Fall 1992

Volume 20 A

Number 1
Maimonides'

Terence Kleven

Study

of

Part I, Chapters 1-7

the

of

The Guide of
17

Perplexed

Larry

Peterman

Dante

and

Machiavelli: A Last Word Progress: Bacon's Improvement

37

Robert K. Faulkner

The Empire

of

Upon Machiavelli Review

Essay
Collingwood's Embattled Liberalism

63

James W. Muller Book Review

81

Nino Langiulli

Individuals

and

Their Rights,

by

Tibor Machan

Interpretation
Editor-in-Chief General Editors
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Interpretation
Fall 1992

Volume 20

Number 1

Terence Kleven

Study

Part I, Chapters 1-7 The Guide of the Perplexed

of

Maimonides'

of

3 17

Larry

Peterman

Dante

and

Machiavelli: A Last Word

of

Robert K. Faulkner

The Empire

Progress: Bacon's Improvement 37

Upon Machiavelli Review

Essay
Collingwood's Embattled Liberalism 63

James W. Muller
Book Review Nino Langiulli

Individuals

and

Their Rights,

by

Tibor Machan

81

Copyright 1992

interpretation

ISSN 0020-9635

Part 1, Chapters 1-7 The Guide of the Perplexed

Study

Maimonides'

of

of

Terence Kleven
Memorial

University

of Newfoundland

Dr. Marvin Fox's

and

recent

book

entitled

Interpreting Maimonides
"esotericism"

reveals

both

Maimonides'

sympathy uncertainty The Guide of the Perplexed (the edition used in this essay is Moses Mai monides, The Guide of the Perplexed, translated and introduced by Shlomo Pines
essay by Leo Strauss [Chicago: The University of Chicago Press, 1963], volumes I and II, hereafter cited as the Guide). At one point, Mr. Fox recognizes the difficulties in reading the Guide because of its
with an

regarding the alleged

of

introductory

reputedly concealed composition. As a for the writing of a commentary on the

dictions
Once
and allusive rhetoric of

result

he initiates

direction

of

study

work which would sort out

the contra

the Guide.

we

begin to

read

Maimonides in the way he requires,

nor can we always

we can no

longer be
his

comfortable about the general

confidence with which straightforward accounts of

philosophy have been written,

Maimonides'

writers'

trust the
the
most

statements about

views and

doctrines.

Only

painstaking
a sensitive

study

makes

it

possible

for

us even

to hazard an opinion concerning the views of

reliable

Maimonides,

and such an opinion

is

only if it

emerges

from

confrontation with

the obstacles and subtleties of the texts. (M.

Fox, Interpreting

Maimonides, Studies in Methodology, Metaphysics, and Moral Philosophy [Chicago: The University of Chicago Press, 1990], p. 7.)
At
another

point, his tone bears frustration at the suggestions of the depth

of

the

esotericism.

In

response

to Dr. Leo

Strauss'

essays,
magnitude of

which

are, in the

modern

context, formative in explicating the

Maimonides'

esotericism,

Fox

writes:

I have

chosen

to discuss to

Strauss'

method at such

length because it is widely,

modern contributions
with all

and

justly,
study for

considered

be

one of

the most

important

to the
and

of

Maimonides. We have seen,

seems

however,

that

its brilliance

ingenuity, it

to

do little to

advance

the cause of sound understanding, even

readers who are well prepared and sophisticated.

If the only way to

expound an

interpretation, Fall

1992, Vol. 20, No. 1

Interpretation
esoteric text should give

is

by

compounding

and

up the

effort altogether,

complicating the (p. 62)

esotericism, then perhaps we

Few

of us would not admit concealment of

that the

arguments made

by

deliberate

the teachings of the Guide are

Strauss regarding the indeed disturbing.

Moreover, if
what can

the Guide is written with intentional contradictions, one wonders

not

another part of

possibly be written about the Guide which will it. The interpreter of Maimonides seems

be

contradicted

by

required

to

reconsider

preliminary impressions of the book and destined to regret his first expositions of the Guide. This tension remains evident in Mr. Fox's recent publication. In
the same
page
chapter

from

which

the latter quotation is taken (it is actually only one

was

later),

he

writes:

"If he but to

to

conform

to the law [talmudic

esoteric

law], Mai
(p. 63).
re

monides

had

no choice

write

his book in this

fashion"

Despite Fox's
spect

occasional

tone of

frustration, he

Maimonides'

recognizes

for

a rabbinic

law in the

concealment of certain

teachings.

If,

then, Mai
to make an

monides

does

deliberately

conceal as well as

reveal,

we will need

inquiry
we are

endure

he is concealing and how the concealment is accomplished. If determined not to misunderstand the Guide, and we are resolved to disturbances which might cause evasiveness in our inquiry, it seems into
what

unavoidable

that

we will need

to scrutinize what elements lead to the affirma

even

tion that the Guide is a

might

difficult,

esoteric,

composition. write a

Fox

sets out what on

be done; he

suggests that

chapters which will not

will

it is necessary to be the final exposition of is found in

commentary

the

Maimonides'

teaching, but
and what

be the

careful comment on what

each

chapter,

the

chapter's relation

is to

what precedes and

follows (p. 152).

II

In the "Introduction to the First

there are two purposes to his
explanation of obscure of numerous

Part"

of

the

Guide, Maimonides
with a

states

that

treatise,

the explanation of biblical terms and the

biblical

parables.

He begins the Guide

also

discussion

biblical terms. Maimonides

the Account
and
of

identifies the two

most central

biblical
chapters

parables as
of

Genesis)

Beginning (ma'aseh bereshit, the first the Account of the Chariot (ma'aseh merkabah,
the

Ezekiel 1

and

10). The

place

in the Guide devoted to

each parable

is

more

difficult to discern than

appear to

with

the terms. The

Account

of the

Beginning

does

not

be discussed

directly

in any

chapter of

the Guide. The Account of the

Chariot is discussed in
seven chapters

seven chapters at

the

beginning of Part III.

is cursory
purpose, that

Even in these
and

the explanation of Ezekiel 1 and 10

second

allusive,

however. If Maimonides fulfills his

is,

the explanation of

biblical parables, it is necessary to discern the manner in which he offers this explanation. Furthermore, in what sense are these two passages parables? It is
perhaps

simple enough to recognize that

Ezekiel'

s visions are

symbolic, but

The Guide
even

of

the

Perplexed, Part I, Chapters 1-7

and purpose of

this awareness does not account for the sense

what

these sym that it

bols. And in
is
a

way is the

account of creation a parable?

Is the
of

claim

a parable more controversial than the claim that

the Account
present

the Chariot

is

parable,

and

is it therefore
the

more

necessary to

the Account of the

Beginning
to the

enigmatically? of

Account

Why does it appear that there are no chapters devoted Beginning in the way that there are for the Account of the by
cautioning the
reader of

Chariot? Maimonides begins orderly "Yet I did

manner.

the Guide to proceed in an

In the Epistle

not cease

Dedicatory to Joseph (2b), Maimonides writes: dissuading you from this [Joseph's demand for additional
approach matters should

knowledge] and enjoining upon you to My purpose in this was that the truth
accident."

in

an

be

established

orderly manner. in your mind ac

cording to the proper methods and that certainty should not come to you by Maimonides recognizes that the reader may be impatient; the reader wants to know the final statement on all matters without the appropriate respect
for the

difficulty

of

the subject,

without

taking

the necessary steps in

develop

ing

and

completing

an argument and without

submitting to any kind of moral

read and

training. In order to guard against the superficial readings that will arise due to

the student's
contemplate
of

impatience, Maimonides
the

warns

that it is necessary to

to

teaching

of each chapter of

his treatise in its

place.

By

means
with

this cautionary remark Maimonides indicates that the Guide will begin

certain

preliminary teachings

which are

necessary for the full

comprehension of

later teachings in the Guide.

occur at once.
Maimonides'

Maimonides'

explanation of all matters

does

not

creation of a seems

difficult,

even a concealed and

esoteric, book

to arise from his insistence that the student should proceed in

and

fashion
this
tise

that the student should

have

proper

preparation.

orderly Since there is

an

doubt in this matter, let us note the three ways that he claims he uses to achieve aim. First, Maimonides does not explain what the organization of the trea
another" precision"

(9a). is; he says only that "you must connect its chapters one with Second, the treatise is written "with great exactness and exceeding (9a), and only the meticulous reader will scrutinize it with the required persis tence and thoroughness. Third, Maimonides claims that the treatise contains
contradictions.

In the

"Introduction"

Maimonides

mentions

seven causes

of

contradictions ation

he

says

in any book or compilation (10a- 12a); at the end of this enumer that "Divergences that are to be found in this Treatise are due to
seventh"

from the necessity (10a- 10b). of teaching difficult matters in ways that are easy to comprehend The seventh cause arises from the necessity to conceal some parts of a difficult matter and to reveal other parts (10b). The reader is required to identify these
the

fifth

cause and the

(12a). The fifth

cause arises

contradictions without extensive assistance

by

means of and

acquiring

a complete

familiarity ing

with

texts

of

both

classical

Maimonides'

argument closely.

philosophy One only gains

the Bible and

by

follow

confidence

in the

precision

Interpretation
Maimonides'

with which

treatise is written as one begins to see that what at

of

first may
In

appear as

lack

direction in the Guide turns into

biblical
to the way in

a sustained and

coherent exploration of particular philosophical and

order

problems.

to be as

concrete as possible as

which

these assertions
us

regarding the composition of the Guide can be witnessed,

example.

let

look

at one

As already mentioned, the Account of the Chariot is found preliminary in Chapters 1-7 of Part III of the treatise. Yet even an initial reading of these chapters reveals how the explanation found in these passages is incomplete
without

the

proper

discussion

of certain

terms and problems found in other

at

chapters.

For instance, in III 1 and III 2 Maimonides insists, through three different arguments, that the forms of living creatures in Ezekiel 1
are

least
10
the

and

those

of

human beings. He does

state

not

in any

of

the

seven chapters of

Guide devoted to Ezekiel

the
meanings of all

the

key

why this terms in these

argument chapters

is important. Furthermore, have already been examined

elsewhere. explained
of

The term

"face,"

for example, is

studied

in I 37

and not

there it is

that the term has

six possible senses.

Maimonides does

say

which

the six senses is used in the Account of the Chariot. The explanation of the
of

Account

the Chariot requires the study of other biblical terms as well, and
reader

they

are

treated in other chapters of the Guide. The

is only

alerted

to the

variety
of

of meanings of a word

if the

chapters of

the Guide have been studied in

order, that

is, if the
able

chapters

devoted to the
mastered.

explanation of the and

variety

of usages

the terms have already been

not

Thus impatient

disorderly

readers

will

be

to sort out what is said about the Account of the Chariot

because they have not studied the other parts of the Guide adequately. The student who is serious in study is required to begin the laborious task of under
standing each chapter in its place. Maimonides also cautions the reader
against

commenting
to be

on

the Guide. The

teaching of truth itself,

ments.

the treatise may be harmful to the student, to the teacher and to the
and

Maimonides

urges

the

reader

reticent

in making
extent

com

The

reader

is

cautioned

to explain the Guide only to the

that the

teachings of the treatise are explained elsewhere

by

authorities of

the Jewish

law (9a). Maimonides follows this legal

certain

sanction

biblical

passages

before the

student

is

prepared.

prohibiting the explanation of This is one of the rea

the diligent student, only the
student of

sons

that the Guide is

such a

difficult book.

Only

cautious

student,

will complete

the necessary training. Thus the

the to

Guide,
student

provided

he

respects

the cautions
what

issued

by

Maimonides

or submits

the Jewish authorities,

is limited in

he may say

or write about

it. If the Mai

does

not submit

to the author's own explicit

instructions,

there is little

chance of

discovering
would also

what

his true

views are.

If the

student respects

monides'

instruction,

the student may explain certain teachings of the treatise to

others, but

be

restrained

in teaching
of

all

that he has discovered on

certain subjects.

The

need

for

orderliness

in the study

the Guide attests to

an agreement

The Guide
between the teachings
teach the
need of

of

the
and

Perplexed, Part I, Chapters 1-7

the teachings
of

'1

Aristotle for

the Bible. Both sources

For Aristotle the authority that must be respected is rationality; for Scripture the authority is the teaching of the proph Maimonides' ets. intentionally difficult rhetoric, therefore, requires the student for
respect
authority.

to submit to the
rash student will

requirements of

do

neither.

rationality and the wisdom of the prophets. A In this respect for authority the Guide is a vigorous
and of

defence

of

both the intellectual life

the teachings

of

Scripture. The difficult

students who are

nature of

the Guide

is, thus,

way

distinguishing

between

truly
when

respectful of

those authorities

and

those who are not.

It is

possible that someone will claim

to know the teachings

of

the

Guide

in fact he is in ignorance. The

student must come

to be able to distinguish

between trustworthy and untrustworthy authorities. The key to this discrimina tion is always the extent to which the alleged authority can lead each student to
the next step
of

his

education.

Maimonides
not gained

assures the student that those who

obtain a certain perfection

have

has

understood

is

under an obligation

it only for themselves; the one who to allow the knowledge to be learned by
the hints intimated
competence of

someone else

(II 29 [66a]). If the

student can confirm

by

the

teacher, the
student can
who will

student

has

reason

to be convinced of the

the au

thority. The aim of the teacher

is

always

to teach to the student as

are not

much as

the

apprehend; the final teachings

to

be hidden from the

student

is adequately prepared. To be sure, what constitutes adequate preparation be a continual problem; each reader's first inclination will likely be to
he is
competent.

assume which

Maimonides
aware of

must

begin

by

creating learn to

a situation

in

his

readers

become

their uncertainty and perplexity. Further

more, the

student will need

to work

independently

and

resolve

diffi in

culties alone.

However,

the student need never

of

be betrayed

by

teacher

who

fact does

not or

know the teachings

the Guide and is

being

obscure as a

hiding
severe

his

her ignorance. The

qualities of a good teacher will

way of be the most

loyalty

to reasonableness, the extreme care in the reading of all biblical

texts,
all

and a certain straightforwardness

student's

in revealing the

next

step,

even

if

not

steps, in the

learning.
of of

This essay begins the reading reveal, at least in part, the nature
the

the Guide

in

an

orderly way in I

order to

the esotericism of the Guide. I shall

even

study
to

first

seven chapters of

Part I, but
not of

in these

chapters

make no claim
we

having

determined the

purpose of all

that is said therein.

we will

However, if

begin
too

to see an order that

is

at

first

apparent,

be

cautioned against a

rapid and superficial what appears

reading in these first seven

the Guide. This essay seeks to explain that

chapters as a

discussion

of

biblical terms is in fact In

order

an extensive

commentary

on certain

randomly selected biblical passages.

to be
with

alerted

to the biblical passages the student must

significance of

familiar

Scripture to know the

are chosen.

be sufficiently the contexts from which

marvel at

individual terms
well

The

student cannot

but begin to
and

how

Maimonides knew the Hebrew

Scriptures,

to be cautioned against

Interpretation
of the

seeing these initial chapters selected biblical terms. This

one example of

Guide only

as

discussion

of

careful exposition of

key

biblical

passages

randomly is only

Maimonides'

esotericism

in the Guide.

Ill

The first terms, is

not

chapter of

the Guide begins with a discussion of two Hebrew

"likeness"

"image"

(selem)

and

(demuth).
establishes

By

citing the
means

use of

these

terms in biblical passages, Maimonides

that the sense of both terms

limited to

physical shape or configuration.

Selem

"physical

shape"

in I Samuel 6:5, "images of your Psalm 73:20, "thou shalt despise their
notion,"

emerods,"

but it does

"shape"

not mean

in

image,"

for

what

is despised is

a charac

teristic of their soul and not their physical shape. Demuth means "likeness
respect

in

to a

rather

than simply physical

likeness;

see

Ezekiel

31:8,

Psalms 58:5

(King
6),

(KJV,
which

verse

and elsewhere. and

James Version English translation, verse 4), Psalms 102:7 Selem and demuth are both used to refer to that immaterial. In particular, selem may be used to indi thing to be what it is, the formal cause or essence.
words

is incorporeal

cate

that

which causes a

Maimonides
the
same

studies

the meanings of these two

phrase

because they

occur

in

passage, Genesis 1:26-27. A

from these verses, "Let

us make

man

in

our

image,

likeness,"

after our

cal quotation

in Chapter 1

of

containing both terms, is the first bibli the Guide. Parts of Genesis 1:26-27, though not
three more times in the first chapter.

always

this phrase, are

repeated

through the coincidence of the terms selem and demuth in Genesis

and

Thus, 1:26-27,
of

through repeated reference to these two biblical verses, there

of

is

a sugges

tion that Chapter 1

single

the

biblical

passage.

Guide is devoted especially to the explanation The importance of this passage is confirmed first
chapter.

this the

by

identification

of

the theme of the

Maimonides if

states

that

it is

necessary to prove the doctrine of God's doctrine of His unity (II). Thus he sets God does
not

incorporeality
out

we are

to prove the

to

prove

that God is incorporeal:

have

body,

and

He is wholly

separate

from

matter and nature.

According

to certain philosophical arguments, it is a

separate substance philosophical

to say that is corporeal; but Maimonides does not draw attention to that argument. He proceeds by showing that biblical passages teach
contradiction and most central passage made

that God is incorporeal. The first

has

body

is Genesis 1:26-27. If Adam is

suggesting that God in the image of God, then that

image may be man's physical shape. Maimonides sets out to refute this argu ment. Through his lexical study he shows that selem and demuth in this pas
sage

do

not mean physical

likeness.
that the image
the
of

As

an alternative

he

says

God in

mankind

is intellect

or

reason.

Reason is

what constitutes

human

being

as a substance or

being: it

is

our

highest

perfection.

It distinguishes

our species

from

all other species of

The Guide
plants or animals. nature

of

the

Perplexed, Part I, Chapters 7-7*9

what makes us

Moreover,

reason

is

like

unto

God. God's

is best

evoked

is

an

image

of

by saying God is reason and the image of God in mankind this reason. The first chapter of the Guide introduces the reader
The
chapter gives a

to a

basic

principle of philosophy.

justification in the

of philoso

phy from a Scriptural text. What began as a discussion

single

of

Hebrew terms

resulted

explanation of a

key biblical passage, Genesis 1:26-27. The significance of this one pas sage is, however, at first concealed because the chapter examines the meaning of another Hebrew term, (to'ar), and there are numerous references to
"form"

other

biblical texts throughout the

of

chapter.

We

are given the

initial hint that the from

which

study

terms may

conceal

the

more significant

biblical

context

certain

terms are selected.

IV

Chapter 2 does does. Chapter 2

not

begin

with

the

explanation of

biblical terms

as

Chapter 1

presents and

then responds to an objection that is raised against

the conclusion of Chapter 1. The objection is based upon a second biblical

passage, Genesis 3:5:

mankind

is

prohibited

they

eat

they

will

be like gods, highest

knowing
perfection

from eating the fruit because if good and evil. Genesis 3:5 appears to
to the

contradict

Genesis 1:26-27. With human life is the

of

regard

latter, Maimonides has just

hence he
suggests

argued that mankind's

is

reason and

that the

the

purpose of

cultivation of

the intellect

and perhaps

attainment of

the knowledge

beings
verses

are

forbidden to

pursue such

God. Yet in Genesis 3:5, it appears that human knowledge. It appears too in the following
gain

in Genesis 3 that human beings

disobedience: Genesis 3:7
eyes were opened and
pursuit of

the capacity for

knowledge only
Genesis 3

after their

says

that after man and woman ate the

fruit their
suggests

they knew

that

they

were naked.

that the

knowledge is

a result of

disobedience.

Maimonides
man who

places

the objection in the mouth of a learned man, albeit a

regard

is intemperate in
second

to drink and sex. The intemperate man the first:

de

fends the
desires

biblical

passage over

he

seems

to have proof that

than caused a

and

imaginings have brought

of

reason

into

being

rather

diminution

it.

Maimonides'

initial

reservation about

this reading is made,

however, by noting
Maimonides

what

type of moral

life

accompanied

this objection.
the apparent contra

answers

this intemperate

man and resolves

diction between the two biblical

passages with

two

rejoinders.

First, he

shows

that one of the Hebrew terms for god,

refers

Elohim, has

three possible meanings:

it

to the

deity,

or angels or rulers who govern cities.

Maimonides does

not

establish refers

these

meanings of another

instead to

citing their use in biblical passages; he authority, the Aramaic translation of Onqelos. In Gen
Elohim

by

esis

3:5 Onqelos

translates

Elohim

"rulers"

as

(rabrabin). The knowledge

pos-

10

Interpretation

sessed

by

rulers

is

not

the highest form of

knowledge; it is have, but

not

not

identical to the

knowledge

possessed
of

by

God. What

mankind acquires as a result of

disobe

dience is the kind

that God has.
Maimonides'

knowledge that

rulers

the type

of

knowledge
the first
"good"

second argument

is

a confirmation and elaboration of

"falsity"

argument.

He distinguishes
"evil"

"truth"

('emeth)
and

and

(sheqer)

from

(tob)

and

(ra'). What is true

false

exists

by

necessity.

With the
which

necessity of all things or that always true. Good and evil, in contrast, are designations for generally opinions (al-mashhurdt). Maimonides identifies the Hebrew words
nature or
"evil"

intellect humans discern the

is

accepted

"good"

(tob)
al-

and

(ra')

with, respectively, the somewhat ambiguous Arabic

"good,"
"beautiful"

words

hasan
which

which

may

mean
"evil," "ugly"

but

"agreeable,"

even

and al-qablh

may
and

mean
"evil"

and refer

"disagreeable". He thus

emphasizes that
are

"good"

to generally accepted opinions.

and

They

the opinions

and views of the

majority,

they may
be
ra')
and

or

may

not

be true. Through the

true knowledge. Since

cultivation of reason these opinions can

replaced

by

the terms
"truth"

"good"

"evil"

and
"falsity"

(tob
and

are used

in Genesis
concludes

3:5,
that

and not
what

and

('emeth

sheqer), Maimonides

is

acquired as a result of

the disobedience of humans is not true

knowledge but truth;

opinions

generally
are

accepted opinions.

Opinions

are

lower in

dignity

than

only possible after the disobedience highest kind of knowing. The

and tend

to distract

people

from the

inferiority
for food,

of

these generally
of

accepted opinions

is

revealed

in their

ad

mixture with

the desires

the imagination. In Genesis 3:6 the tree is described

to the eyes and as able to make one
comes
wise.

as good

as pleasant

But Due
peo

Maimonides indicates that this knowledge that

quite

different in

nature

from the knowledge that

comes

by way by way

of

imagination is

of reason.

to disobedience the human state tends to

ple

be

absorbed

in imaginings. Most

know only

what

is

agreeable upon

through their sensual nature and the impres

sions of
edge"

this sensuality

the

imagination. The

inferiority

of

this "knowl

The

is indicated by the intemperate morality of the man who advocates it. depravity of mankind's subsequent condition is further evinced by the dif ficulty he has in securing food (Genesis 3:17-19); the human state becomes
more

like that

of

the beasts (I 2).

Chapter 2
of

of

the Guide begins

explains

by

Chapter 1. Chapter 2

the

an account of

the cause and effects

responding to an objection to the reading key verses in Genesis 3 and, thus, gives of Adam's and Eve's disobedience. Chapter
chapters set

2, like Chapter 1, focuses upon a biblical passage. The first two a dialectic between two different positions. Both positions have
and

up

a certain merit

are, therefore, the

persuasive.

However, Maimonides
not possible

offers a criticism of the

case against
an

view presented
man.

in Chapter 2 because the

argument

is

made

by

intemperate

Yet is it

that the argument could

have been
what

made

by

a moral man?

We may

perhaps need

to examine more closely

The Guide
Maimonides implies especially
of as
Maimonides'

of

the

Perplexed, Part I, Chapters 1-7

11

about

the proper understanding of these two positions,

or

he may modify
argument

clarify his position later in the Guide. The force in these first two chapters stresses that the image of
that God is incorporeal. The
chapters seem

God in humans is
written and

reason and
who will of

to be

to someone

that the

intemperance

argument
will

incorrect. The be

one

immediately someone, including a who is persuaded by

accept

that intemperance

is wrong,
their

philosopher,
Maimonides'

makes

presentation moral problems associated

likely

a religious reader

who, because

of

the

with the position presented essence

in Chapter 2,

will accept

the teachings that God's

of

is rationality

and

that this essence

is the image he

God's is

perfection persuaded

in
to

human
accept

beings,

as presented

in Chapter 1. The

religious reader
might not

the philosophical view, that

is,

a view

initially

be

sympa

thetic with, for moral reasons. There are also two types of readers that may not

be

immediately

persuaded

by

Maimonides'

argument.

The first

reader
moral

is the is

genuinely intemperate
though

person who prefers

intemperance to right

action,

such persons would

be left

with

the insinuation that their

argument

irrational because they are intemperate. Now it is possible that Maimonides affirms that intemperance causes irrationality, but it is also possible that he
claims that someone who certain

has

not mastered all

his

passions

degree

of

intellectual

perfection.

At this

stage we

may have achieved a do not know which of

second reader

these situations
who

characterizes

the

intemperate

man.

The

is

one

is temperate

and who agrees

that rationality is mankind's supreme perfec

constructed

tion, but
extremes

who wonders

if

what

has been

this

dialectic

are

two

that need not be as radically opposed as Maimonides presents. Do the

imagination

and commonly accepted opinions participate in any more integral in perfection of the human intellect? We can at this point only wait to the way see how Maimonides manages these two positions in the subsequent chapters of

the Guide.

The dialectical

character of

these first two chapters alerts us to a

distinction

between the
work

ostensible

literary

form

of

the Guide and what the dynamics of the

truly

are.

The Guide

appears

to be a treatise with an exposition of various

nature of

topics in

a sustained

fashion. But the dialectical

the

first two

chapters

introduces the possibility that two or perhaps more viewpoints will be in con versation in subsequent chapters. It remains to be seen how one or the other of
the views
predominates or

how

one view

is

modified

by

the other.

Chapters 3
Chapter 3
purpose of

and

of

the Guide discuss the meaning of five Hebrew terms.

"figure"

examines

the words

(temunah)

"shape"

and

(tabnith). The
respect

this lexical study

"likeness"

is

similar

to what we

discovered in

to the

"image,"

terms

and

"form": Maimonides

shows which

term is used

12

Interpretation
physical shape and

to indicate

when, if at all, the terms

mean essence or natural

"Figure"

form.

shape. (te exclusively physical in the has three uses: it be used in the sense of shape, munah) may sense of the imaginary form of an object after the object is no longer manifest

"Shape"

(tabnith) is

used

of physical

to the

senses and

in the

sense of natural

form

or essence. sense of

Maimonides isolates

one passage

in

"figure"

which

is

used

in the

the essence of God. In

of

Numbers 12:8 Moses beholds the

ilitude"

similitude

(temunah)

God. The
Moses

word

"sim God's

as physical or

it is

used and

here in Numbers 12:8

who

could mean that

saw

shape,

for those

do

not

know the

other meanings of

the word

the problem of saying that God is corporeal, the meaning is

who

helpful, for it
similitude

indicates that Moses knew God. But for those

munah)
Moses'

know that

(te

means essence as well and who also passage

know the

problem of
Moses'

saying that knowledge.

God is corporeal, the

indicates the
perfect

perfection of

apprehension of

God is

human knowledge because he knows

God's true being. Moses his imagination

Chapter 4
vision"

apprehends

the nature of God

by

his

reason and not

by
"to

nor with

any

apprehension received
see"

through the senses.

at"

notes

the use of "to

(ra'oh), "to look

(habbit)

and

cases or

(hazoh). In explaining the sense of these terms Maimonides cites those in which God either sees or is seen by human beings. Whenever God sees
the terms are

is

seen

figurative; God does

of

not

have

body

and, therefore,

has

no eyes as a

to see nor shape to behold. The biblical text describes God as

"seeing"

figurative way

indicating

that

God in

possesses
which

knowledge. Mai
seen

monides also notes numerous

mans. are

biblical

passages which

God is

by

hu

The

passages

in the Pentateuch

say that God is seen

by

humans

Genesis 18:1, Exodus 24:10 and Numbers 12:8. Maimonides refers in both Chapters 3 and 4 of the Guide to the passage in Numbers 12; he thus gives us a
clue to

the importance
and

of

this passage. In the passage the terms

"similitude"

(temunah)
4 is

"to look

at"

(habbit)

occur together.

What links Chapters 3

and

biblical passage; habbit, like temunah, is used figuratively. In Numbers 12:8 Moses does not actually see the form of God with his eyes; he apprehends the form of God with his intellect.
a single

Numbers 12 is

biblical

chapter which establishes

the superiority of

Moses'

prophecy over that of Aaron and Miriam. In Miriam and Aaron that Moses has been singled
ets at the

particular out to

the Lord reveals to

proph

know God. Other

and

time know God in visions

and

dreams (12:6) in the

phrase:

in dark

speeches

(12:8);
Moses'

the Lord speaks to Moses "mouth to

apprehension of

mouth"

(12:8). The "and the

perfection of

God is
The

contained

similitude of

the Lord shall he

behold."

passage at

Genesis 1:26-27, that God is corporeal. possible meanings of habbit and temunah, the dence of the perfection of apprehension
Moses'

first suggests, like the passage in As Maimonides explains the other

passage
of

is

understood as evi

God.

The theme

of

the

Moses'

Chapter 5

as well.

superiority of This chapter is

not a

study

intellective prophecy is continued in of terms, and it functions with

The Guide
respect

of

the

Perplexed, Part I, Chapters 1-7

with

13

to

Chapters 3

and

as

Chapter 2 functions

Chapter 1

Chapter 2

answers an objection to

and

Chapter 1 ; Chapter 5 answers an objection to Chapters 4. The latter propose that Moses apprehends God through the intellect
through the imagination. But how
can such apprehension of perfect

rather than

being

be

possible

for human beings

after

their disobedience? And even if such

an apprehension

is possible, Scripture
affirm

and common opinion would

insist that In

the prophet
order

must possess a moral perfection

by having

a sense of shame.
Moses'

for Maimonides to

the degree of superiority of

apprehen moral

sion, he

must point out where

Scripture

reveals

that Moses possesses

perfection.

Maimonides begins his

ments made scure

response to this problem with a

philosophers"

digression

on com ob

by "the chief of matters. According to

his
own

when account

he began to investigate
chief of

Maimonides'

in Guide I 5, the

the

philosophers enjoins the student to

should appreciate

be patient, which indicates that the student limitations and the difficulty of the subject. The
the student may require an improvement in

"chief

philosophers"

of

the

claims

character; the

student must extinguish the

desires

and cravings engendered

by

the imagination. Maimonides draws to

central

our attention

that moral probity is also

possesses more

to the prophecy of
men upon

Moses; in

particular, Moses

humility

than other

the face of the earth, as is stated explicitly in Numbers

12:3,
sion.

the passage central to Chapter 4 of the Guide. Moses is capable of an

apprehension of

God because he
which

initially drew
refers

back from

such an apprehen

The incident to

Maimonides

burning bush (Exodus 3:1-4:17). In deficiency and God's perfection, and

edge of

the story Moses realizes

in Chapter 5 is the story of the both his own

such a

Moses draws back from

knowl

God (Exodus 3:6). Later, in Numbers 12, Moses is honored as having received a more perfect apprehension of God than Miriam and Aaron, and
Moses is
was also said

to be the

meekest man on earth

(12:3). Moses achieved,

or

granted, the
able

most perfect character and

the

most perfect

intellect. He

was

thereby
the

to overcome the generally accepted opinions

which came about as

result of

Adam's disobedience.

VI

Chapter 6
the use of

and

return

to the study of Hebrew terms. Chapter six

"woman"

discusses
"sister"

"man"

('ish),

('ishshah),
at

"brother"

('ah)

and

Vahoth). Chapter 7
dren"

examines

the use of a single verb meaning "to bear chil

(yalod). The

purpose of

Chapter 6 is

first

obscure

because the four

terms that it
easier

examines are not

to establish

in any key passages we have studied. It is in fact the purpose of Chapter 6 if we begin with Chapter 7.
notion of

In Chapter 7 Maimonides distinguishes the literal

dren"

"to bear
the

chil

from its figurative

uses.

Yalod is

used

figuratively

to

mean

creation

14
of

Interpretation
mountains, the
of growth of

plants, the procuring

of

the

events of

the

day,

the

telling

lies

and

the propagation of opinions and

a

knowledge. In the last

sense

the term is

used

in

biblical in his

passage similar own

to Genesis 1:26-27. In Genesis

5:3 Adam
passage

"bears"

a son
not

likeness

and

image. What is intended in the

is

simply that Adam bore a son

by

procreation

but that Adam

instructed his son, Seth, so that Seth bears the intellect of his father. The image of God in Adam that is passed on to his son is reason and not a physical shape.

Moreover, Seth is
the descendants
of

the first

son of

Adam

who

bears this intellectual perfection;

cultivated evil and vio of

Cain, depicted in Genesis 4:17-24,

lence and, thus, did not resemble Adam. Therefore, it is only at the birth Seth that the text says that a son is born that is in the image of Adam.

Chapter 7, like the chapters before it, focuses upon a biblical passage, Gene sis 5:1-3. This passage is similar to Genesis 1:26-27 in that it uses the terms
"image"

(selem)

"likeness"

and

Maimonides'

refutation of

(demuth). But Genesis 5:1-3 is potentially a reading of Genesis 1:26-27 because it says that
and

Adam begat
of physical
"image"

a son

in his likeness
what

image. If

"begat"

means
son

shape,

Adam begets in his

creates

is

only the creation body. Since the word

is both

what

God

in Adam
same.

and what

Adam begets in his son,

passage

then we expect the image to

be the

Hence,

the

may

suggest

that

God is has
the

corporeal.

Maimonides does

opposes

this conclusion

by

showing that

"begat"

several

usages,

one of which not mean

is the

propagation or the education of true

shape"

"Begat"

notions. sense of

"physical

in Genesis

5:3; it is

used

in

the preservation and perfection of reason. to Chapter 6.

Let
utes

us now return

Every

chapter thus

far in the Guide

contrib

to the argument that God is incorporeal. We

might

suspect, then, that the

about

same
"man"

is true
and

of

Chapter 6.

Maimonides'

central

statement

the terms

ness

is

is that they refer to human beings. Maleness and femalehuman distinction. He proceeds to say that animals possess this dis
well, and, thus,

"woman"

tinction
monides we are

as

they

too may be

called man and woman.

Mai

leaves the
correct

student to

draw his

own conclusion

from this

statement.

If

that a central theme in these first chapters is God's incorcould

poreality, then how

these terms contribute to

Maimonides'

exploration of

the theme? The student

is led to the

possible problem of

the origin

of sexual

differentiation. This
1:26-27
and

problem is indeed necessary in the exposition of Genesis Genesis 5:1-3 because in both passages it is possible that the
either maleness or

image
and

of

God in Adam is

femaleness
"woman."

or a combination of
"male"

the

two. The Hebrew terms used in these passages,

"female"

however,

are

(zakar)
wishes

(neqebah),

"man"

and not

and

If Maimonides

to make his reading of these two passages in

Genesis

conform to

his

affirmation
"female"

that God is
are

incorporeal, he

must point out

that the uses of

and

"male"

and
of

limited to human beings

of

and animals

that the image

makes

God is
"man"

not

sexually determined

or circumscribed.
"male"

Maimonides
are

by

way

saying that

"female"

and

this argument only equivalents to and

The Guide
"woman"

of

the

Perplexed, Part I, Chapters 1-7

"man" "woman,"

15

(Guide,

p. xxviii).
"female."

As God is

neither

nor

so

God is
not a

"male"

neither part of

nor

Sexuality

is

part of

the created order and

is

the divinity. This discussion of

equivalent

terms does contribute to the

theme

of

God's incorporeality.
alerts us to
and

Chapter 7 reading of God in

of

the

passage

in Genesis 5
continues

which

forms

part of

the

Genesis 1
mankind

3. Maimonides

to

maintain

that the

image

is

reason.

VII

of what at
of

In summary, the first seven chapters of the Guide begin with an examination first appear to be randomly selected biblical terms. Through a study
reader

these terms the the

is introduced to the

and

reader might

therefore conclude

God's incorporeality, that the terms that are discussed have

problem of

been
out

simply because they suggest that God is incorporeal. But through these chapters there is a movement from the study of biblical terms to the
chosen

study of biblical passages, Genesis 1:26-27, 3:5-7, 5:1-3 and Numbers 12:8. The passages are identified as the reader becomes aware that the biblical terms
which are chosen specific

for

examination are not selected

randomly, but are

used

in

biblical

passages.

At the

same time

Maimonides diverts
are not

attention

away
in

from these
sages.

passages examines

by

examining terms that

"form,"

in these
see"

particular pas

He

the terms

"shape,"

"to

and

"to

vision"

these chapters, even though these terms

sages we

do
give

not occur

in any

of the

four

pas

have identified. These terms

and

the

appearance

that the study is

other

purely lexical
"man,"

is

not

devoted to
and

specific passages.

Several
the

"woman,"

"brother"

"sister,"

are equivalents of

words used

terms, in

these
cific

passages.

The

equivalents are used

to

confirm

the reading

of

these spe

biblical
are not

passages

but

also

deflect

attention

they

found in them. Maimonides

passages with which

uses several

away from the passages because devices to alert the stu

concerned so

dent to the biblical

he is

that

as a reader

seeks to clarify the lexical study of the opening chapters of the Guide the treatise becomes an extensive commentary on specific biblical passages.
Maimonides'

reading
explore and

of

these

passages establishes

three teachings which

he

wishes to develop in the Guide. First, reason is the image of God in human beings; it is our highest perfection. Reason is what makes mankind most like God. Therefore the image of God in us is not corporeal being, for

God is Adam's
reason;

not

body

and

does

not

possess

bodily

parts of

or

organs.

Second,
and are

primordial most

disobedience

causes a

diminution

the human capacity for

human beings

are now ruled

by
or

desires

and

imaginings

intemperate different

and even

bestial. Human
than of
what

"knowledge"

is

more often of

accepted opinions rather

order

is true

false. This

"knowledge"

generally is of a different

than the knowledge that Adam once

had,

and

it is

of a

16

Interpretation
than
Moses'

order

apprehension of

God. Whereas Adam's

reason was once

able

to

apprehend

truth without senses and

obscured

imagination,

after

the disobedience

intellectual knowledge has been desires

and pleasures of

by

mankind's preoccupation with

the
or

the

senses.

Third, Moses has been

not

granted

again,

has attained, the

of

perfection of

the intellect. Moses does

visions and obscure

know God

by

way

the senses

and

imagination, in

parables, but

apprehends

God through
What is

reason.

so

has established,

boldly accomplished by these early chapters is that Maimonides by recourse to Scriptural exegesis, the validity and necessity of
investigation. He has
points shown

pursuing does not

philosophical

that the Torah not only

condemn

philosophy, it

to the religious or moral necessity of

pursuing it. Moreover, the prophet Moses is not antagonistic to philosophy, but is himself a philosopher, that is, he has achieved the highest possible human intellectual
perfection.

In

brilliant

argument

reader, Maimonides

reveals

the religious and moral obligation

moral argument

directed primarily to the religious for intellectual derived from Scripture.

to these first seven
explanation of sets out to

inquiry

of

the nature of God through a

Three

of

the four biblical

passages

which are central of

chapters of the

Guide

these passages

in the early chapters forms part of the first parable

are of

Genesis. The

which

Maimonides

explain, the Account

Maimonides'

the Beginning. We

account of

the first

parable.

But

have gradually begun to reconstruct we should be cautioned lest we in

think the explanation of the first parable is complete. Maimonides has not re
solved all of we

the

problems our

in the

explanation of these chapters

Genesis,

and

have only begun in any

concerned with whether affirmations

way.

study of the Guide. We will need to be especially later chapters in the Guide modify any of these early
explains and conceals

This

inquiry

reveals

how Maimonides both

passages.

the full

import

of particular

biblical

It is

an

initial

Maimonides'

example of

esotericism

in the Guide. This

esotericism of our

Guide,
on the unless

even

humbling
of

as we

learn

basis

this preliminary

demanding on the student of the ignorance, but it does not seem, even investigation, that the Guide can be understood

is

this deliberate procedure is recognized.

Dante

and

Machiavelli: A Last Word

Larry Peterman

University

of California, Davis

In

a previous article
on

Language

in Interpretation, I examined Machiavelli's Dialogue on the premise that its indictment of Dante places it in the modern
ancients and moderns. charge that

lines in the battle between

political
mon
"parricide,"

The

article emphasizes

the

dimension

of

Machiavelli's
rather
end

by

claiming

to write in a com

"courtly"

language

than Florentine Dante is

unpatriotic and verges

on

but in the

concluded that

linguistics
and

and politics

do

not

exhaust the
would

issues between the two Florentines

look
at
title.1

that to do justice to them

require a systematic

the performed dialogue from which the

Dialogue takes its

ness and emend

In the

present

article, I

return

to this unfinished

busi his

dispute

with

my Dante is

original premise.

Insofar

as

Machiavelli's
now

account of

a true measure of their

on

differences, I

think it fair to

say, the dialogue becomes a sourcebook

ancients and moderns.

the origins of the battle between

Situating the dialogue in the Dialogue as a whole is relatively simple. It is literally and figuratively the central of the tract's three divisions, following on the one side Machiavelli's negative assessment of arguments, including Dante's,
for
a common

vernacular,

and

preceding

on

the other Machiavelli's own argu

ment on

language,

which amounts

to the position that all languages are made

elements.2

competing native and foreign the language of the Divine Comedy meets the up
of

The dialogue itself tests

whether

requirements of a

Dantean courtly
particular

language

or

whether, as Machiavelli argues, it is Florentine. A contest over the

serves as a

Comedy's language
arguments geneity. against

bridge, then, between Machiavelli's

and

linguistic
more

Similarly, but

generally,

homogeneity by
reinforces

in favor

of

linguistic hetero

Comedy's writing, the dialogue

our potential

concluding that Florentine rules the Machiavelli's destructive analysis of

on the essential

commonality and opens the way to his teaching contentiousness of all human matters. To
velli's appreciate

the dialogue's implications for the destructive

end of

Machia

teaching, it helps to begin with the intersection between Dante's linguis it would span all tic and political teachings. For Dante, a common vernacular

Italy
would

presumes

the

existence or potential existence of a political order which

be its home

and

to

which other

Italian

political

divisions

cities, towns,

interpretation, Fall

1992, Vol. 20, No. 1

18

Interpretation
would proposal

provinces

be

subject.

tied to his
what

that a

In this respect, Dante's teaching on language is world monarchy be established to serve the needs of

he

calls the universal

generis?

Dante's linguistic
that

human community the universalis civilitas humani argument thus becomes an extension of his argu
version of

ment

in favor

of a secularized a political order

the respublica Christiana of the

reproduces

Church,

is,

that

temporally

the ends that order

the Christian

afterlife

in

an equivalent of a universal spiritual community.

From
the
a

Machiavelli's
triumph
of

perspective

this would mean that Dante's proposals manifest the

the promise of

Christianity,

and of

the
rests

teaching
its
case

upon which

Church, speaking for

role

the respublica

Christiana,

for

demanding

For Machiavelli, in short, leading Dante's linguistic-political teaching demonstrates the bitter victory of the doc trines and the agents of what he calls "our and Dante's arguments
affairs.4

in

secular as well as spiritual

religion,"

link him to the ascendency deterioration. The Machiavellian

of the papal

forces

responsible

for Italy's

political

animus

to Dante that runs through

his presentation,

and

destructive analysis, of Dante's argument, then, is in some part a function of his better publicized antipathy to the Church and its This brings us to the specifics of the dialogue. Its first exchanges raise the question of the
spokesmen.5

place of

the Church in Dante's

teaching

and

Dante's

world.

Machiavelli

opens

things
words

by asking Dante to give examples of his Lombard, Latin, and invented to support his disclaimer about using Florentine. Dante responds as re
his
use of

gards

Lombard

with passages

from

Purgatory
choices

and

fifty-two

can

tos later

6 Paradise 22.

Later, Machiavelli
purposes refers to
and

acknowledges

the use of Lombard

are

in these passages, but for our other way. The first passage
over

Dante's
the

here

telling in

an

momentous of

victory

of

the Church

Manfred,

the

King

of

Sicily

the last

the politically the

second

effective

line

of

the Emperor Frederick

of

II,

at

Benevento in

1266,

to the

configuration
air"

the heavens at the moment when Dante

quotations of as

first breathes "Tuscan

in 1265. 7

The first

the

dialogue, in
as

this respect, draw attention to Dante's

birth just Church

out.8

the line

of

the last emperor to mount a serious challenge to the

Dante describes Frederick

"the last

of

the Roman

emperors"

runs

It is

a matter

for

conjecture whether

Manfred's death

and

the exhaustion of
same

Frederick's line
Charlemagne's

cement the power of the

Church for Dante in the

victories and his crowning by in Machiavelli's account, Charlemagne's conquest of the Lombards disposes Italy.9 the last serious unified threat to papal dominance of The vantage seven centuries allows us

way that Pope Leo III do for Machiavelli:

of of

to say what Dante probably could not, that "with the

defeat
an

and

death

of

anachronism."10

We

Manfred in 1266, the Ghibelline (imperial) cause became can be more confident, on the other hand, that the

connecting of Manfred's death and Dante's birth by both Machiavelli and Dante by the dialogue's choice of passages and the Comedy's positioning of

Dante
cantos

and

Machiavelli
Dante's life

19
and

calls attention to their agreement on the confluence of

Church
ries'

predominance

account of

in Italian, and European, affairs. The Florentine Histo Manfred, for example, is consistent with Dante's treatment of
us

Frederick

and

his line. Machiavelli tells

but that
after

that in life Manfred kept the Pope

were able

in

"continuous

anxieties,"

his death the Popes

and

to take

advantage of the
now

"quiet"

ensuing

period of

"now through love for religion,

to
call

through their personal ambition, did

not cease

into

Italy

new men

and to stir
ness

up

new wars

thus that province

not permit

which

through their own weak

This proc any other to ess eventually culminates in the ascendency of Nicholas III, whom both Machi avelli and Dante seem to hold responsible for the development of the modern

they

could not

hold, they did

possess.

Papacy."

Dante,
time
of

as

suggested,

seems to agree with

this

assessment of

the events at the

his birth, that is, that they hastened his world's deterioration and en couraged unforgiveable excesses. Compared to Machiavelli, of course, there are limits to his description of what follows Manfred's death. However, to the
extent that similar

he

can see or

to Machiavelli. The

foresees unfolding events, he describes them in terms Banquet, for example, reports that Manfred's death imperial
stage echoed perhaps

leaves
velli's

a political vacuum on the

"quiet"

in Machia

and the

Comedy barely
continue

mentions

the short-lived attempt

by

Manfred's

nephew

Conradin to

the

family

fight

against

the

Church.12

Nor is Dante particularly sympathetic to the Church at least any more than Machiavelli behavior Manfred. towards Although in the Comedy regarding its

he has Manfred
repentent

acknowledge

his "horrible

sins,"

he

which means

he

will

that the Pope

was unreasonable and consecrated

fred to be buried in
in the
dialogue.13

eventually enter denied Scripture in refusing to allow Man ground, the act recalled in the passage quoted

him among the lateand he is adamant Paradise

places

beginning
awareness

of

In sum, then, calling up Purgatory 3 and Paradise 22 at the the dialogue directs attention to Dante's and Machiavelli's mutual

that Dante lived in a period that was severely affected

by

papal

politics,

and not

for the

better.14

For Machiavelli, if

not

Dante,

the consequence of

living

in the

wake of

Manfred's death is that Dante's teaching bears the stamp of the Church, no matter how radical it appears to his own contemporaries: the Monarchy was

burned for its

Machiavelli

alleged

Averroism. In

other places

in the Dialogue, therefore,

religion"

between Dante, the Church, and "our for which one looks in vain in Dante's writings. Machiavelli, for example, identifies the court of Dante's curiale language with the Court of Rome and at
makes connections end of

the

the Dialogue

exacts

Dante's

"confession"

for

having

erred.15

Machia

velli's treatment of
antitheological writers.

Dante, in this sense, is

part of

part of

his

general anticlerical and

posture, and

the process whereby

he displaces
for the

earlier

Using

Dante

himself

against

target, he "those bad seeds

as a
.

can confront apologists

. .

Church,

pit

which

ruined and are still

ruining

20

Interpretation
and put

Italy,"

those who provide aid and comfort to

religion

in the

ranks of

the

premodern

thinkers.16

The

question of

how Dante faces his

religion and

the world

it

colors

further

unfolds as we go question's

deeper into the dialogue. In effect, Dante himself defines the terms when, in the sequel to the reference to his birth in Paradise

22, he

speaks of

his

"genius"

or

the

capabilities

his

stars

bestowed
us

upon

him.

By joining

this

comment

to his reference to

Manfred, he leads

to ask

how he

expects to make
unfortunate

his way between his natural and astral inheritance and the events that follow Manfred's failure: this is the Dialogue's and
of

Dante's

version relates

the Prince's statement on how that to

"path"

which

"nature in wholly
the

clines"

to the

which we walk

but for

which we are not

accountable.17

The issue

of the

Church's impact
upon

upon

Dante

and perhaps

question

of religion's

impact deal

all of us

thereby

transforms itself into

their

the question of how

control.

men

with circumstances or conditions outside

Machiavelli's Dante is

not without resources

in this

matter.

We

see this

immediately
by
ize
as

in the

examples of

Latin

and

inventions that follow his Lombard

responds

examples: the temptation

is to think that Dante

to the questions raised

his Lombard
of the new.

quotations with a combination of

the best of the old and the

transhuman-

best

The Latin

example

is the

word transhumanare

that Dante uses in Paradise 1 to express the change that takes place in him

he

ascends

from

Purgatory

to Paradise. The invented example is the pair of

of

reflexives that

he utilizes, in the Heaven

Folco

of

Marseilles,

who changed on earth

Venus in Paradise 9, as he induces from a life of passion to one of

faith,

to speak with him. The two examples have in common,

to capacities for change, although the types of change

then, references different.18 involved are

Transhumanization's
that
we

extrahuman character

recognize

it

by

comparing his
eats

change to what

is self-evident, but Dante assures happens to Glaucus

seagod.19

when, as Ovid reports, he the other

point

the plant that transforms him into a the possibility of

mortal

On
a of

hand, Folco
underlines

exemplifies

improvement,
in the Heaven

Dante

by

putting him

with people who are

Venus precisely because of their ability to alter their behavior on earth: Cunizza da Romano, who late in life turned away from youthful debauchery and acted
Ezzsoway that was a reproach to her infamous and bloodthirsty brother lino, introduces Dante to Folco, who, in turn, introduces Dante to Rahab, the

in

Whore

of

Jericho,

who rose above

her

condition

to aid

Joshua.20

The

whole we

question of man's confrontation with should also

his

surroundings and

his conditions,

add, is best realized in the Heaven of Venus's most imposing fig Charles Martel. Charles, the promising son of Charles of Anjou who died ure, before he could realize his potential, delivers the Comedy's teaching on how to handle the intersection of character, or nature, and fortune, that is, its teaching
on

the

question

the Dialogue raises

by linking

Manfred's death

and

Dante's

birth.21

Dante
In the
wake of

and

Machiavelli

21

his

examples of

may say that the charge, open or times submerged his genius or imprisoned him
of nature's
with

inventions, therefore, Dante implied in his examples of Lombard, that his

his Latin
and misses

the

point.

The

problem

illustrates,

fortune is daunting, as Charles Mattel's untimely death rivalry but the Heaven of Venus demonstrates that it is not insurmountable.
of

At the level

faith

or

speculation, transhumanization
malign events or conditions of upon

supplies

the

ultimate

corrective to the
of whether

possibly Dante depends

this

life,

irrespective for the

the

religious or philosophical tradition

teaching

and whether

it is the

power of grace or

intellect that leads him to think

At the
mundane and material

we can escape

from

material or physical

cares.22

level,
our

on

the other

hand,
with

Folco

and at

his

heavenly

companions

demonstrate that
oppor rebirth
next.23

capacity for altering behavior

so,
apart

tunity for doing

the result that it is

least occasionally intersects with an possible for us to look for a

upon,
our rebirth

in this life that is

from,

although patterned

in the

By
and
of

providing glimpses of possibilities available at the levels of faith, intellect, morals, in short, Dante gives men cause to think that they are not captives
or

fate

fortune,

or even

half
us

of

fortune.24

At the

same

time, he

challenges

Machiavellianism
repeat the same

by leading

to see that we are not doomed endlessly to

mistakes.25

In

a nice

instance

of

his artistry

and

responds own at

to Dante's opening

references

fondness for symmetry, Machiavelli and challenge with references of his

the end of the dialogue. The connection between the two arguments
obvious.

is

reasonably

In

place of

Dante's demonstration that he rises

above

his

native vernacular

through the use of

combine with other words to produce a curiale examples of the entine words.
claim men

Lombard, Latin, and invented words that language, Machiavelli gives

"shameful"

Inferno's clumsy, crude, Thus, particularly distasteful

of

and obscene words

all

Flor Dante's
refined

from the

Comedy defy
for the is then

to have written in a new language particularly suited the huomini litterati the
court.26

This

connection

reinforced

in

various ways.

Without comment, for example, Machiavelli

purported

manufactures

his

example of

Dante's
of

clumsiness, the first

of

from

pieces

Inferno 26

and

Inferno
at

20,

which makes

his concluding examples, it a rather clumsy

dialogue.27

example of
references

Dante's

clumsiness

but

the

same

time provides that there be four the

to three kinds

of words at

both

ends of

More impor Both for

the
and

tantly, the opposing instance, begin with

part of

sets of examples are allusions

linked

by

subject matter.
stars.

to Dante's

genius and

his

Specifically,
deceivers

Inferno 26 from
move

which of

Machiavelli borrows describes Virgil's

the thieves to that of the

Dante's

from the ditch

or evil affects

counselors

in Hell's
"virtue"

eighth circle.

Confronting
that

such people must

grievously
or

Dante. After seeing them he does not run where

observes guide

he

"curb "good

(his)

genius"

lest it

it, because if

star"

something

22
even

Interpretation
"better"

has

granted

him

such a

boon

that

is,

genius
reasserts

he

must not mis

it. In this sense, the fragment from Inferno 26 28 initially established through Paradise 22.
use

the associations

Their

common

velli's references work at cross purposes.

features notwithstanding, however, Dante's and Machia Machiavelli intends to demonstrate

cannot erase

through his that Dante

his linguistic roots,

a point

he drives home
Where Dante's
us

by

reminding Dante that "art

to
an

can never

examples point

ability to
of

entirely deny improve and develop

nature."29

and

lead

to construe
of a na

genius or nature

in terms

ture that

constrains rather and

potential, Machiavelli's raise the specter than liberates and is understood in terms of
than opportunities and potential.

necessi

ties, curbs,
short,
ral

limits

rather

Machiavelli, in

uses

his

examples

to reconfigure nature such that we are bound

by

natu

necessity
to

rather

than defined

by

natural potential.

For

Machiavelli, Dante's
art.30

inability

"avoid"

Florentine

celebrates nature's triumph over

From this perspective, logue. Dante's

sedes

we can restate

the differences that frame the dia

repudiation of

Florence his

and

his

claim

to

language that

super

hers

are of a piece with

vision of man as a

being

of natural poten

Conversely, Machiavelli may take hitherto unknown heights, but his argument
tiality.

artistic manipulation of politics against

to

Dante is in The

keeping

with

his

identification

of nature with

compelling
above

necessity.

effect of

Machiavelli's

teaching is that Dante's idea that freedom means

face
of
which

audience needs

to redefine

necessity and freedom means moving in the direction in fortune for the idea that
or

rising

its ends, substituting the remaining constant in the

nature,

providence,

impels.31

It is

worth

repeating, in this respect, that

Machiavelli's
the

examples all come

Purgatory
of

from the Inferno, whereas Dante's come from in the first instance and the Paradise in the rest. For Machiavelli,

the Inferno

conveys an

idea

of nature as

teaching
look

the

rest of

the Comedy. To

see

constraining that is seditious of the the why and how of this, we need

closely at the Machiavelli's closing

more

examples themselves. reference to

Inferno

26, for

start,

adds

Dante's discussion
posed

of genius which

is

not apparent

in the

earlier

something to case. As op

to the

celebration of genius

need sometimes to
who put

keep

genius

in Paradise 22, Inferno 26 emphasizes the under wraps. About to enter the realm of those

their gifts to bad purposes

Ulysses, Diomed, Guido da Montefeltro

in
check or one's promise

Dante indicates that

stances

keeping

talents

demand
their

guards against quote

real

betraying irony

reining in genius like those

eloquence

as circum
evil coun

selors, who, to
cealment of

Grandgent, "applied
mind."32

their

burning
not

to the con

The

here is

far from the

surface.

Dante

conspires to veil

his

abilities

in

reaction

to those who hide their

intentions

by

More to the point, Machiavelli's passage reveals utilizing their that Dante's self-acknowledged abilities notwithstanding, he admits that genius

fully

abilities.33

and candor are not always companions.

The hint that Dante

employs veils

in his teaching is

reinforced

by

the

pas-

Dante
sage

and

Machiavelli

23

from Inferno 20

at the other end of

Machiavelli's

manufactured quotation.

Machiavelli borrows here from

through Hell. Dante and Virgil

another transitional

moment

in the

journey

walking downward from the diviners to the barrators in circle eight. As they move they talk, which Dante mentions twice, but we are not told what they talk about. All Dante cares to say is that he and
are

Virgil

speak

"of

other

things

of which

my comedy does

not care

to

sing":
refusal

in
to

Dante's
remain

comedy,"

other specific reference

silent.34

to

"my

he

emphasizes

his

velli's example
and

Between them, it follows, the of Dante's alleged clumsiness

a purposeful silence.

passages show

then maintaining

Why
right

that make up Machia Dante curbing his genius of his Dante is loath to
"sing"

talk with Virgil is

intriguing
in Hell

in its

own

they may be discussing

diviners but in

the

troublesome

position

of respected ancient

our context

it is secondary to the way Machiavelli combines these passages to give a new, and subtle, response to the question Dante poses at the dialogue's inception. Rather than handle the tension between
our potential genius and circumstances more

for development
avoided

and

growth, Dante here

"singing"

by stressing quietly teaches that

problems

may be curbing

by

maintaining

reserve or of

Restraint

genius and not

avoiding self-exposure. becomes a practi everything

talent.

cal response

to the difficulties that arise

when circumstances oppose

Machiavelli responds, then, to the

questions

Dante

raises at

the dialogue's

opening by bringing forward the reticent end of Dante's teaching at the dia logue's close. In effect, Machiavelli turns Dante's argument for artistic restraint

back his

upon

him have

by

using it to
course of

accuse

Dante

of

being

injudicious

or

indiscreet in

writing:

in the

what you

written."35

arguing Machiavelli tells Dante to "consider well Machiavelli rejects the open teaching of the Para

dise, in
presses

this respect, in favor of the closed

teaching
alter

or

the

teaching

on

discre sup
a

tion of the Inferno. Despite encouraging

men

to be adaptable, Machiavelli

Dante's
of

argument own

that men

may

themselves and gives us

foretaste

his

teaching
A

that morally

neutral

artistry,

guided

by

morally
when

neutral prudence or

wisdom, is the
collide. new

key

to navigating the waters aroused the old

nature and overcomes

fortune
the old

version of

teaching
such

on

deception

teaching

on

human

potential. modern

By

methods, the fox

becomes the lead

animal

in Machiavelli's

bestiary.36

is why Machiavelli calls attention to Dante's methods but will not apply them to Dante's ends. Presumably, he thinks that it would have been preferable for Dante to be more discreet about the teaching An
obvious next question represented

by

the examples

of

Glaucus

and

Folco, but he fails

on

to tell us why

he thinks so, a silence that anticipates his silence ways. This matter brings into play the remaining

quotations

why he foregoes ancient in Machiavelli's

and the last from Dante in the Dialogue. The quotations, concluding set which finish off Machiavelli's demonstration that the Comedy is Florentine,

24
arise

Interpretation
in Inferno 28
and

respectively to Mahomet, who is in Hell as a sower of religious discord, and to Vanni Fucci, who is among the infamous Florentine thieves because of his involvement, in about 1293, in the looting of 25
and refer a

treasury in

the Church

of

San Zeno in Pistoia. Insofar Florentine

choose
expressions

as

the charge that

Dante

employs crude and obscene could

in the

Comedy is
which

con

cerned, Machiavelli

hardly

describe Mahomet's
and

spilled entrails

"that

better than these cases, makes shit of what is

with on

vividly
figs."37

swallowed"

Vanni Fucci's defiance to God

passages

"(he) lifted his hands

a subtext which
methods

both the

The

also,

however, carry
Dante's

bears

the question of

why Machiavelli
reveal

accepts

but

not

his

ends.

the difficulties in trying, like Dante, to join pagan Folco or, more broadly, to fashion an accommodation between Athens and Jerusalem: that Dante and Glaucus transhumanize in a canto which begins with
a call to reform

In context, they Glaucus to Christian

Apollo for inspiration

with

and

that the canto

which commemorates

Folco 's
to the

begins

Beatrice's

reassurances

signals

Dante's

approach

problem.

In the
the

medieval

framework, Mahomet is
Christian
"scandal
or as and

"provocateur,"

a religious
Islam.38

either

in he

role of apostate

the founder of
schism"

In both

instances,
punished

stands

for

religious

and

is appropriately

for

creating disorder: he is hacked apart by a devil, thus the spilling of his entrails, and after he heals is hacked anew. The sacrilegious thief Vanni Fucci suffers
similarly: a snake's

he

regains

sting reduces him to ashes, life only to be stung and reduced

after

which, "like the

Phoenix,"

again.39

Even
and

such a

terrible pun

ishment does not, however, quell his "bloody gesture to God which marks him the
"obscene"

rage,"

he is

still capable of
"proud"

as

the most

spirit

Dante

encounters

in

Hell.40

In referring us to Mahomet and Vanni Fucci Machiavelli supplies a series of rejoinders to Dante's heavenly references. Vanni Fucci, for example, describes himself as more than a beast in a way that sets off Dante's becoming more than

human

at

the

gates of paradise.

Similarly, Mahomet's

tortured

form

acts as a

counterpoint

to Folco's

resplendence.41

velli's examples

deflect the

message

More to the point, however, Machia conveyed by Dante's. Whereas Dante and

Folco become something new in Paradise and on earth respectively, Mahomet and Vanni Fucci undergo repetitive transmutations but always return to their
original

forms. Indeed, in Hell the latter

punishments notwithstanding.

are

hardly living

different than
to

on

earth, their

terrible

Mahomet

continues rebellious

sow

discord

by

asking Dante to convey and Vanni Fucci's

that led

advice to the still

gesture
Zeno.42

friar Fra Dolcino,

attitude

"obscene"

to God

carries

forward the defiant

him to desecrate San

oppose the arguments contained

Machiavelli's examples, then, carry an interconnected set of in Dante's opening. First, with

messages
a nod

that

toward

the

fifteenth

chapter of

the

Prince,

there is what amounts to a

warning that the

the

world

that is renders impossible

in the Dialogue's term,

"incredible"

Dante
world of

and

Machiavelli
and

25

the

Paradise."

Mahomet,

the sower of religious

discord,
Florence

Vanni

Fucci,

the impious

and

defiant thief, illustrate the

medieval and

sectarian antagonisms and and make and gener

divisiveness
Dante's

that tear late

attempted accommodations
secular and spiritual world we

early between Athens

renaissance and

Jerusalem,

ally the

ternatively, the disrepair that it

te's

probably dangerous. Al behold in Machiavelli's hellish examples is in such

worlds,

impractical,
of

and

exposes

the

improbability

the

world we

behold through Dan

heavenly
the

examples.44

In this latter

respect

especially, the Dialogue

thereby
as ancient

repeats

message on religion of

the early part of the

Discourses,
to

where,

Harvey

Mansfield, Jr. says, "we

ancients and

are presented with a contrast

between

veneration of religion and modern contempt

for it,
of

leading
and

moderns"

among the
provisional

among the doctrine that "religion is incapable

disunity

unity eventuating in the

unity"

political

producing

and

that

religious veneration must

useful.45

thereby

give

way to the view that religion

is merely

This

points

to another count in Machiavelli's indictment of Dante. Dante

miscalculates

the

impact

upon

his

audience of sectarianism and religious

insta

bility and, by extension, fails to see that there is no educating his contempo raries. The best that can be hoped for is that they be manipulated. The covert
teaching
and
critical of

the Dialogue is that life in a world molded

requires

by

figures like Mahomet

other

Vanni Fucci

that the methods and arts of deception become the

tools of rule where once

they had been

and

one

among
at

important
to Dante-

tools.

By bringing forward
and and

Mahomet

Vanni Fucci

as rejoinders

Glaucus

Folco, Machiavelli

elevates

Dante's Hell
arts of

the cost of his Para

and

dise,
tion,

demonstrates that Dante's arts, the

discretion

dissimula

are more necessary for Dante's teaching.

facing

the world than the promise underlying

As

well as

responding to Dante, it follows, the Machiavellian

of what we
correct out.

conclusion of

the Dialogue suggests something

route

Machiavelli lays
regions of

If it is

may that Machiavelli

expect at the end of sees

the new the

in his

world

lower

the Inferno made real, the cyclical or at least repetitive punish

ments of

Hell

will compel

human affairs,

and

Aristotle's universe,

where natu

ral cataclysms manifest nature's start

beneficence
world

things afresh,

is

lost.46

The

by presenting the opportunity to Machiavelli describes contains men

repeat

damned, by Dante's infernal

mistakes.

ancestors

standards, to
one should

their own and their

This bleak picture,

to

add, probably leads Dante to leave the

stage at the end of

modern thinkers

the Dialogue. Much

later, it

will move

the

first

wave of

struggle over

how to honor Machiavelli's

view of man with

out

having

to give up hope of relieving the human

examples

condition.

Machiavelli's closing

in the dialogue, in sum,

the credibility
of mark of

counterbalance

Dante's opening
totelian
synthesis

examples and challenge

the Christian- Aris

that

is the theoretical highwater

combination of

late

medievalism.

For Machiavelli, the

Mahomet

and

Vanni Fucci defeats the

26

Interpretation
Dante-Glaucus
and

combination of

Folco.
are

By

the same
and

token, Christian-Aris
manipulation

totelian
one's

ideas

of

human

potential

set

aside

artistic

of

fellows,

the

secrets of which
political

Machiavelli

attributes

to

Dante, becomes
in the
art of

the route to survival and

propaganda.

triumph

it is

most

fully

realized

Machiavelli's
center of

reservations about as well as

Dante's teachings become

peripheries.

apparent at

the

There, for example, Machia velli replies to Dante's opening claim to having used Lombard by citing a Florentine usage in Beatrice's Thomistic message to Christians to avoid worry
the dialogue

its

about unwanted or unforeseen consequences of vows more careful about

place.47

by being

more grave and

In the immediate sequel to this, vowing in the first Dante, arguing that it is allowable to use a few foreign words in a long work, cites a Persian word in Virgil's account of Aeolus's sinking of Aeneas's fleet at
the urging
of
Juno.48

Dante's two mystery

and

guides

Outside the linguistic issue, it follows, quotations from place Christian sentiment in favor of stripping vows of their

sense of our some gods.

avoiding the unforeseen or unanticipated alongside paganism's helplessness before oftimes fickle and indifferent but always fear

The

central

section of the

dialogue may thereby be

and paganism at a

said

to be

dominated between The

by

the tension between

and

Christianity
repeats,

and

between

Dante's Beatrice

Virgil,

which

higher

level,

the competition

native and

foreign

elements

in Dante's

writing.

same sorts of conclusions after

follow from

passages

Machiavelli
and

cites

imme

diately
stance
says

the

illuminating

confrontation of

Beatrice

Virgil. In this in

Machiavelli, prefiguring Dante's

"confesses"

confession at

the end of the

and

Dialogue,

that Dante

to using
and

Florentine in Inferno 10
when

23

by having

men recognize

him

as

Tuscan
are

Florentine

they hear him

talking. The

characters

in

question

hero

and savior of

respectively Farinata degli Uberti, the Ghibelline Florence, and Catalano dei Malavolti and Loderingo degli
who

Andolo, hypocritical friars

relationship between these

had

once ruled

Florence. For Machiavelli, the

ends of

characters parallels

that between Beatrice and Virgil.

Where the latter indicates the tension between the two

Dante's teach
ad

ing,

the former
of

points

to the

incompatibility

between the lifestyle Dante

of of

mires, that

Catalano meeting

and

Farinata, and the dominant lifestyle Loderingo, who as friars and rulers
Dante's
of religion and

Dante's world, that of Florence represent the Dante

ground of a

his

political association. of what

Farinata,

hero

terms noblehood, and

extraordinary proportions, an example "the greatest of Dante's colossal

sculptures,"

is in Hell

for his Epicureanism. Despite this, but consistent with his oldfashioned bent, he is one of two figures in the Comedy Virgil is the other whom Dante,
after

Aristotle,

styles magnanimo. even

Characteristic

of

the magnanimous,
scorn of
Hell"

Farinata
and
ad-

is exceedingly proud,

in Hell: he displays "great

Dante

and

Machiavelli
and

27

dresses Dante "half disdainfully."49 Conversely, the friars are sullen In contrast to s openness and self-aware greatness, they
Farinata'

fearful.
them.50

are always

looking

over

their shoulders, and

they worry
with

that Dante

will

scorn

Moreover,
punished

where

Farinata is

throwback to pagan beliefs

Epicureans

are

for making "the

ways:

soul

die

the

body"

the

friars

identify

them to

selves

according to their

religious
wear

orders,

and

Dante keys their Cluniac

punishment

their monastic

they

leaden

versions of

cloaks and

cowls.51

Finally, further establishing

accusation that

the antithesis, Inferno 23 refers expressly to the

Catalano

and

Loderingo burned the

of

Farinata'

palace of

family,

the

Uberti,
As he

at

the instigation

the

Pope.52

exacts

trasting

pictures

Dante's confession, then, Machiavelli leads us to Dante's con of an Epicurean heretic who is the last representative of pagan

magnanimity and of religious hypocrites who are also Christian monastics and papal deputies. The initial conclusion that we draw from this is relatively sim ple, and not much different from that which Dante induces without Machia
velli's

help. In

a world of men

is openly sympathetic, becomes

and
sion

like the friars, Farinata's model, to which Dante As Beatrice's and Virgil's essential
suspect.53

contentiousness comes to the surface

in Machiavelli's

framework,

so

Catalano

Loderingo signify conditions unfriendly to a Farinata. The theoretical divi between Dante's guides repeats in the political and practical divisions be

tween his interlocutors. At the simplest

and at a more complex

level,

the friars

help destroy

the

Uberti,

level their

actions refute

the notion of magnanimity

identified does
is

with

the family's greatest spokesman.

versus

While Dante brings the Farinata

not

the friars tension to our attention, he

us

can steer

openly between the

resolve

it. Typically, he leaves it to

us

to decide

whether we

ancient and modern perspectives.

Machiavelli, however,

not so generous.
version

He leads
of

to a decision

terological
over

Gresham's law,

characcausing us to see, in a that Catalano and Loderingo win out

by

Farinata. To this end, Machiavelli enlists the example of Count Ugolino, a Pisan contemporary of Dante and the central figure in the longest episode of the Inferno: Ugolino is in Antenora, the part of lowest Hell assigned to traitors to party and country, where he is punished by having endlessly to devour the
cleric,

Archbishop Ruggieri,
children.

who a

had brief

starved

him

so

terribly

that he canni
argument

balized his dead

tine

After

change of

direction in his
admit

we shall return to this

Machiavelli

causes

Dante to

that he uses Floren

ing
ting
of

reminding him that Ugolino addresses him as Florentine after overhear him talking to Virgil. Machiavelli overcomes Dante's resistance to admit

by

that

he
and

speaks

Tuscan

and

Florentine

on

the

basis

of

the examples of

Farinata Farinata

the

friars, in

other

words, through the similarly directed example

Ugolino. Ugolino's

added

weight,

however,

also

tips the

balance

against

as regards the question of what models of

behavior

are and will

be

compelling for either Dante or Machiavelli's audience. For a start, Farinata, and to a lesser degree the friars, draw attention to Dante's provincial roots by

28

Interpretation
Tosco,"

addressing him "O This simultaneously bears

initially

but Ugolino

greets

Dante

as a

Florentine.

out

Machiavelli's linguistic point; leaves the im

patria, is

pression

that

Florence, Dante's
intertwined
with

province;

and obscures

the ancestral

compelling than Tuscany, his sensibilities that for Dante and Dante's
more

Farinata his

province.54

are

Ugolino, in
"right"

these senses, testifies to

"wrong"

the conditions that ultimately defeat Dante. Dante's collapse in the face of
example after

does
velli

not speak

admitting Machiavelli is is tacit again in the Dialogue

and

and

himself

he

admission

that what Machia

holds is true for

a

that

Ugolino,

the devourer of his own children and

of

spokesman

sounds,"

the

si

city which is the "shame is more representative of

concerns razed and was alone

the peoples of the fair land where

than

Italy

Farinata,

who was

domi

nated

Florence from
are

by family being
more

by

(fu'io solo) responsible for saving the Ghibellines but whose cause, and goodness,

little

than a dim memory

by

Dante's

own

time.55

Where Machiavelli

exposes
with

the self-destructive tension at the heart of Christian-Aristotelianism

the Beatrice- Virgil

write

finis to the

dichotomy, he uses Farinata, the friars, and Ugolino to Farinatan, and Aristotelian, end of any potential ancient-mod

ern synthesis.

Although Machiavelli Machiavellianism. A

Machiavelli
writes velli
mentions

shows

Dante little mercy in the Dialogue, he is fair in

that he allows Dante to suggest some of

case

his,

premachiavellian,
a short
"convincing"

objections

to

in

point

occurs

in

exchange

just before

Ugolino. For the

purpose of

Dante that he

Florentine

by

has Dante
exchange

read

comparing his writing to that of a contemporary, Machia Morgante?6 sequentially from the Comedy and Luigi Pulci's
with

The

begins

the Inferno: "In the

wood where

middle

Machiavelli ordering Dante to read the first line of of the journey of our life, I came to myself in a dark
lost."

the straight way was

Next, he

asks,

not

orders, Dante to

read
ular

from the Morgante. In this instance, Machiavelli does not specify a partic reading, a failure Dante underlines by asking where he should begin.
replies

Machiavelli
caso.

that the choice

is his

or

that
of

he

can choose at

random,

Dante

selects a not

line from the

beginning

Morgante 24: "The

one who

begins does

deserve merit, it is written in your Gospel, benign father."57 Machiavelli's argument here is that there is no difference in language in the
on

Dante reads, but the passages are also similar in another way. Both beginnings. On this subject, Dante and Machiavelli differ substan tially. Whereas Dante shares Aristotle's suspicion of beginnings, Machiavelli is
passages

focus

deservedly
gives

famous for celebrating founders Dante's reference to Pulci's reference

an us

and

innovators.58

to the

Gospel

This, in turn, Matthew 10 and

as

24 both fit
might

interesting
think, that
new.

twist. The Scriptural message is not,

we ought

Pulci's tone

lead

to

to refuse to reward originators

because

of

qualms about

the

Rather, it is

that perseverence guarantees salvation, the

Dante
point

and

Machiavelli

29

being

that

we are

to commit ourselves

jectives because

no matter what pitfalls we encounter and of new

. . .

unwaveringly to our spiritual ob how tempted we are to stray be hated

but false

prophets:

"you
one

will

by

all nations

for my
. . .

name's sake

(many)

will

betray

another,
.

and will

hate

one another

false

prophets will arise and

will

end, he

be

saved"

but whoever perseveres to the astray (Matt. 24.9-13); "brother will hand over brother to
men
. .

lead

death,
who of

and

the father his

. . .

child.

children will

them to death

And

you will

be hated

by

rise up against parents and put all for my name's sake, but he
context

has

persevered

to the end

will

be

saved"

(Matt. 10.21-22). In the

Dante's

suspicion of

innovation
a

and respect

passage and

he

chooses

from Pulci has

for tradition, it follows, the double force. It brings together Aristotle

Scripture

by

the expedient of

identifying

distrust

of

beginnings

with

Chris it is

tian belief in steadfastness. Dante's quotation from

Pulci, in

other words of

the thirteenth of the dialogue

combined paragraphs and

and occurs

in the thirty-third

the Dialogue's

exchanges and

conceals

the gap between Aristotle's to overthrow all in the

bias toward the

name of

faith

long standing by reading Christianity's

Scripture's

willingness

praise of perse verence

into Aristotle's

argument against

Dante

and

Pulci,

accepts and

it

as

opening new ways, at least in politics. The alliance between or Aristotle and Scripture, is uneasy, but Dante apparently the cost of mitigating a practical problem that sets apart Jerusalem
the clash between spiritual commitment and habitual respect for

Athens

tradition

without

employing Machiavelli's

more

acid

remedies.

Through

Pulci, Dante restates the ancient challenge to innovators, and to Machiavellian ism, and suggests a way to ease the strain between reason and revelation. At a critical moment in the dialogue, it follows, a fundamental of Dante's
and

Machiavelli's dispute
and

emerges.

For

reasons

implicit in his

respect

for both in the

Vergil

Beatrice,

Dante

accepts

the

concessions

and uncertainties
of

Christian- Aristotelian synthesis on

beginnings, but because

"our
and

world,

which of

includes

religion"

appreciation of what

his reading of his has wrought, and

because

the impact of
the

figures like Mahomet

to

will not accept

thinly

supported compromises wants

the

Vanni Fucci, Machiavelli synthesis demands. When

hand,"

Machiavelli

says

here that he

"convince"

Dante "with book in

even

he

shows

his disdain for the

Leo Strauss
put

uncertainties

tolerated,

welcomed,

by

Dante
with a

and ancient thinkers and

is true to his

greater project of

replacing them
certainty."59

hope,
velli's

as

it,

"which

approaches or equals

Machia

design in the Dialogue, in

of

such

terms, is

to eliminate the forbearance in

the

face

uncertainty that colors the Comedy:

a

having

said

that he began his

journey
his

lost in

wood, Dante
it.60

immediately

admits that

he

cannot account

for
and

escape

from

It

appears

that for Machiavelli confronting fortune

"artistry,"

natural necessity, the point of the

Dialogue's

comments on

and

liv

ing in uncertainty are mutually exclusive. To succeed in his purpose, and to provide dependable truths, he must overcome Dante, the last great medieval
spokesman

for

classical rationalism's reservations about

knowing.61

30

Interpretation
To the degree that Machiavelli
corrects and convinces

Dante, in

summary,

he

eases

the uncertainty the ancients beget and caters to a modern need

quotes
on

for

surety.

When Dante for

Pulci,

on

the

other

hand, he

turns the pagan and

revelatory traditions high

make valuation

Machiavelli

by

combining

suspicion of originators with

perseverence

and

steadfastness.

Machiavelli's

attempt to

Dante

more assured or convert

elicits closest wears

a challenge

to Machiavelli's confidence in
or perhaps can come

him to Machiavellianism, in this way, inventiveness. This is the

to ancient skepticism while
as regards

Dante

comes

he

his

Christian- Aristotelian
relationship.

garb, but it is instructive

his

and

Machiavelli's
the

At their
one

hearts,

their teachings
modern

go

in

opposite

direc

tions according to the way the

other

deflects the

desire for

certitude and

feeds

it.62

returning to the specifics of the dialogue. According to what has been said, the dialogue turns on questions that divide ancients and moderns. At its center and the Dialogue's there is the contrast between Far
conclude

We

by

inata,
mous

at once an

Epicurean

man,

and

Catalano

and

heretic, the savior of Florence and the last magnani Loderingo, at once hypocritical men of the cloth,
These figures Virgil
on
are surrounded of

betrayors

of

Florence,

and objects of scorn.

by
the

references on one side to

gods and on

Beatrice

on vows and

the fickleness
and

the other side to the Comedy's

beginning

the Morgante's

scripturally
and and of

supported

warning to

originators.

The differences between Farinata

the

friars, in

this way, radiate outwards to the differences between pagan the gods and the
whole ancient and modern appreciations we

Christian

appreciations of

beginnings. Finally,

framing
at

dialogue,
influence
as a

find

opposed alterna

tives regarding our natural potential and the

and surroundings. and

upon us of circumstances of men

different

ways of

Looking looking

the
at

dialogue

whole, different types

human

possibilities
at

face

each across a medium

can

composed of

different

ways of

looking

the gods and at beginnings. This

follows: the contrasting psychological models or souls at the core of the dialogue become, through contact with different forms of belief, the contrasting moral types at its peripheries. Whichever way one takes Machia

be

restated as

velli's

argument,

however, it leads
is
a

to the conclusion that the quarrel between

ancients and moderns

function

of

the way ancient and

modern views of

the

gods

and

God,

and

beginnings,

mediate

between the

soul and the

freedom.63

belief in

human

flexibility

and growth

that most of us

identify

with

NOTES

1. "Machiavelli Machiavelli

versus

Dante: Language
are

and

Politics in the Dialogue

201-21. Dial. 25. Citations

e

to the critical edition of Ornella

lingua"

il "Dialogo intorno

alia nostra

10 (1982), Pollidori, included in her Niccolo (Florence: Leo Olschki, 1978). The argument
on

Language,"

Dante
of

and

Machiavelli
his

31

the original article is that Dante's stance

on

language is tied to his

view of

political associa

Florence, which is in turn governed by Aristotle's discussions of polis and politeia. In criticizing Dante, I consequently argue, Machiavelli opposes Aristotelianism and antici pates the modern state. At Dial. 34, Machiavelli assures that we be aware that the dialogue is
tions,

Tuscany

and

performed

and "I expressly dispensing with the "he 2. The Dialogue is carefully crafted. Its 52 paragraphs and exchanges, for example, are divided into an introductory paragraph and a 13-paragraph section, the dialogue, and a 13-paragraph section

by

said"

replied."

concluding paragraph. There still exists some controversy over the Dialogue's authenticity. Pollidori gives a compelling defense of Machiavelli's authorship in her edition and in her Nuove
and a

Riflessioni (Rome:

Salemo, 1981). For a recent note on the relevant literature, see Charles Davis, Dante Studies, 106(1988), 46 and n. 4. An adequate appraisal of "Dante, Machiavelli, and
Rome,"

the dialogue demands that

special attention

be

given

to the

authorities and quotations

that occur in
occur

its in

give and take. great

supply the heavy weapons in Machiavelli's and Dante's struggle and density: nothing I know in Machiavelli compares with the dialogue in this respect.

They

22-26. See
Medieval

3. Monorchia, I.ii. 8, Pier Ricci ed. (Verona: Arnoldo Mondadori, 1965); Dial. 1-4, 9-10, Studies in Larry Peterman, "Dante's Monorchia and Aristotle's Political
Thought,"

and

delphia: Univ.
not

Renaissance History, 10(1973), 13-16. Charles Davis, in Dante and Italy (Phila of Pennsylvania Press, 1984), 14-15, says that the absence of an Italian court does

foreclose

a common

language, for "Italy

once

had

a united court under

Frederick II

and still

has

dispersed

court whose members are united all

the same

by

the gracious light of reason, that is to

points

say,

by

the bonds of custom

language,"

and usage and most of all of

that Davis reinforces

by

quoting Pier Mengaldo to the end that the argument of the Vulgari Eloquentia accurately reflects the interconnection of the political activities of Frederick and Manfred, the formation of the Magna

Curia,

and

the formation "of the first unitary Italian

the

language."

4. On

interpenetration

of

theology

and politics

in

medieval

thought,

a good place

to begin

is Ernst Kantorowicz, The King's Two Bodies (Princeton: Princeton 5. Discourses, II. 3 [1.237]. Unless otherwise indicated, page
square

University Press, 1957). references to Machiavelli, in

and

brackets,
vols.

are

to Tutte

le Opere di Niccold Machiavelli, Francesco Flora

Carlo Cordie

eds., 2

(Milan: Mondadori, 1968).

are

6. Dial. 35-36. Sinclair text 7. Dial. 35, Purg. 3.128, Para. 22.115. References to the Divine Comedy and translation, 3 vols. (New York: Oxford University Press, 1961). 8. Convivio IV. iii. 6, G. Busnelli
no claimant and

to the John

G. Vandelli

eds.

the same place, Dante says that since the death of Frederick and his

(Florence: Felice Le Monnier, 1964). In there has been

"descendants"

worthy Ricci ed. (Florence: Felice Le Monnier, 1968). 9. Florentine Histories, 1.11 [11,24]: ".
emperors, the
emperor

to the title up "to the

time."

present

Cf. De Vulgari Eloquentia I. xii. 4, Pier

and whereas the pope used to

be

confirmed

by

the

began in his

election

to have need of the pope. As the Empire was coming

to lose its privileges, the Church

over

acquired

princes,"

the temporal

trans. Laura

them, and by these means it kept increasing its authority Banfield and Harvey Mansfield, Jr. (Princeton: Princeton
"Machiavelli's Dante
and

University Press, 1988), 22; Larry Peterman,

vellianism,"

the Sources of Machia

Polity, 20 (Winter, 1987), 249-53. See, too, Conv. IV.ix.17. Marco Lombardo (Purg. 16.115-20) uses Frederick II as the dividing point between his country being full of
cortesia"

"valore

and

becoming

shameful. and

10. Richard Kay, Dante's Swift 1978), 14. III is

Strong (Lawrence, Kansas: University

of

Kansas Press,

11. Flor. Hist., 1.22-23. [11.37-40]. See Flor. Hist., 11.10, 26 chapters later, where Nicholas shown to ruin Charles in the same manner that Charles had ruined Manfred. Nicholas III was,
account, not
benefit"

in Machiavelli's
to "honor and
pontiffs will places

his

own relatives.

only the first pope of open ambition, he was also the first to attempt Machiavelli says that after him mention of the relatives of
that is left is for
popes

fill

history

and all

to

try

to make their office hereditary.

Dante

Frederick among the simonists in Hell. The first portion of the dialogue (35-36, 41-42) is dominated by examples which point to the growth, and impact, of papal secular influence before Charand during Dante's time. To the reference to Manfred's defeat are added a reference to

32

Interpretation
of the

lemagne's defeat

Lombards

and

two references to Nicholas III. to the last

Thus, the

act that solidifies

the power of the Church in

Italy
truly

is

enclosed within references

serious secular

threat to the

Papacy

and

the

first

of

the

modern popes.

12. Purg. XX.68, Conv. IV.iii.6. 13. Charles Singleton, in Purgatory 2:

Commentary

(Princeton: Princeton

University Press,

1973), 59,
loved
and

Villani: "(Manfred) was generous, courteous, and debonair, so that he was much enjoyed great favor. But his whole life was Epicurean; he cared neither for God nor for
quotes

the saints,

and of monks.

but only for the delights of the flesh. He was an enemy of the Holy Church, of priests, Like his father, he occupied the churches; and he became even richer, for he had
of

inherited the treasure

and prosperous

the emperor

and of

his brother,

King

kingdom,

which, despite the wars with the

Conrad. Moreover, he had a large Church, he kept in good state as long as

he lived, increasing its riches and power on land and 14. Cf. Purg. 3 and Para. 22.74-84. For Dante's
of

sea."

view of

degenerating

affairs after

the deaths

Manfred, see Vulg. Eloq. I. xii. 4-5. For a recent assessment of Dante's critique of the Papacy, see Peter Kaufman, "Foscolo, Dante, and the History of European Ideas, 12, No.2(1990), 211-20. More clearly than Dante, Machiavelli holds that the well-being of the Church 251 and of the secular community are inversely proportional. Peterman, "Machiavelli's
and
Papacy,"

Frederick

Dante,"

53.
15. Dial. 79. Dante does
"marvels"

not

say his language

attaches

to any

particular court

(38), but Machia

velli still

that he might assign such importance to the Court of Rome (58-59).

16. Hist. Flor. Vffl.36 [11,434].

Dante's in the
comes

17. Para. 22.114, Prince XXV [1,80]. Cf. Dial. 22-24, lie" but claims that fortune "gives (Dante) the
"genius"

where

Machiavelli his

acknowledges

as regards

portrait of

Florence:

process

Machiavelli describes
on

Florence

incredible. See

the possibility of a

in Prince XXV,
18. Dial.
me").

Harvey Mansfield,
100.

Jr.

Machiavelli' ,

well-being that his own description be middle way between the choices Machiavelli lays out s New Modes and Orders (Ithaca, NY: Cornell
of such m'intuassi come

University Press, 1979),

The
p. change

36; Para. 1.70; Para. 9.81 (io

in Folco is sufficiently
was a

tu ti

immii, "were I in
was given

you as you

in

radical

that Sinclair speaks of his

"transfiguration"

(Para.,

143). Folco

troubadour and poet who early in

monk and

life

to the pleasures of the

flesh but later became

Cistercian

demonstrated his dedication to the Albigensian heretics. As in the

cannot

spiritual

eventually the Bishop of Toulouse, in which office he life by taking a vigorous part in the persecution of the Dante's invented
reflexives

case of transhumanare ,

signify

what

adequately be

conveyed

by language,
For this

an

interpenetration

of minds or

"spiritual

telepathy"

which renders speech redundant.

characteristic of

Paradise,

see

Sinclair's

gloss on the
und

passage

(143-44). Erich Von Richthofen locates thirteen

such

inventions in the Para., Veltro

Diana (Tubingen: Max Niemeyer 19. Para. 1.

Publisher, 1956), 102-3.

quotes

64-69, Metamorphoses XIII. 898-968.

Grabher
on

20. Para. 9. 22-66, 109-26; Joshua 2:1, 3. Sinclair (p. 143) tranformation of human passion into "holy
ardour.'

Rahab's

21. Charles Martel

particular place promise could evil

that

will

creates problems for critics Dante is unclear about why he is in this but he fits nicely into our framework. Having died young and before his political be borne out "the world held me only a little time, and if I had lived longer, much be would not have (Para. 8.49-51) he becomes a good example of the
been"

ofttimes malign

influence
collide.

of

fortune in

active affairs and a case

nature and
on

fortune

Thus, he

also

becomes

the lookout for

fortune

yet not abandon

moved which

to pursue different ends and should

"nature"

study in what can happen when for the warning that men must be nature: recollecting Aristotle, he says that men are be discordant with it will fail, from
a good source
"fortune"

he

concludes

in

order

to

foundation nature lays and build on it improve (121-48). See Peterman, "Machiavelli's 254-55. For Dante, we
Dante,"

that men must pay greater attention to the

Charles Martel 's death the overthrow of the White Guelphs and Dante's eventual exile from Florence are on a par with the long-term consequences the triumph of the Church and its party. Between them, in other of Manfred's death words,
should

add, the

short-term consequences of

Manfred

and

Charles define Dante's

major political

problems,

i.e.,

an unrestrained

Church

and an

Dante
unstable ends of

and

Machiavelli

33

Florence. It is

interesting

in this

respect

that Dante mentions Manfred and Charles at the

thirty-nine cantos at the center of which Statius describes his remarkable change of life after

experiencing Christianity (cf. Purg. 3, Para. 8, Purg. 22). 22. Cf. Conv. II. xiii, xvi. 22. 23. The Heaven
with

of

Venus is it is

characterized

by

rhetoric at

Conv. II. xiii. 13,

which

is

consistent

Folco's

position that

a contact point

between the temporal

and extratemporal orders:

Folco is

end"

(Para. 9.107-20) tells Dante that in the Heaven of Venus "the and we "discern the good for which the world above turns

shadow of your world comes to an

world."

about your
of

As

rhetoric

path

between philosophy and politics, however imperfect, the Heaven the heavens and the earth. 24. There
text,
are

Venus

mediates

between

interconnections between these have been

seen

passages

that go beyond those suggested in the

examples of

and which would

by

Machiavelli. The

Lombard

and

invented

for example, belong to a sequence it includes Purg. 3, Manfred's canto; Purg. 16, Marco Lombardo's canto; Purg. 29, Dante's account of the chariot; Para. 9, Folco's canto; and Para. 22,
words,

Dante's birth

under

Gemini

that speaks to the question of

as well on

man's permanence and

his

place

be

tween the stars and the earth, a question that bears

Dante's transhumanization. Cf. Para.

8.115-48; Mon.l.ii. 2.
25. Disc. I.xi.end [1,128]. 26. Dial. 38. 27. Dial. 50; Inf. 26.130, 20.13; Polidori, p. 243, n. 81. To argue that describing the two is an oversight ignores the fact that Machiavelli refers correctly to the same place
at

passages as one

in Inferno 26

Dial.26.

explicit quotations

By counting the incorrect attribution as a single quotation, the number of in the Dial, totals twenty-six. Making two quotations one reminds of Machia
to give the Disc, the same
number of chapters as

velli's use of prefaces

Livy

has books.
as
used

28. Inf. 26.13-24, Para. 22.112-14. On the Dante, see Inferno, Singleton, vol. 2, 452. 29. Dial. 51.

significance of genius

(ingegno)

by

30. Dial. 50; Leo Strauss, Thoughts on Machiavelli (Glencoe, 111.: The Free Press, 1958), 241. 31. Strauss, Thoughts, 217-18. For a more conventional view of this subject, see Quentin

Skinner, Machiavelli (Oxford: Oxford University Press, 1981), 15. 32. La Divina Commedia (Cambridge: Harvard University Press, 1972), 227. The
selors create problems

evil coun

difficulties in reckoning their sins together. See, e.g., Mark Musa's comments, The Divine Comedy, 3 vols. (New York: Penguin, 1981), 1, 313-14. Other things being equal, the extraordinary abilities of the evil counselors are obvious. Sinclair, for

for

critics

because

of

example, speaks of their "high

gifts"

mental

and

their "higher

endowmen

and concludes

that

Dante's "main thought is that

on ends which are not

great mental powers are a great

disaster"

trust and that the expending of them

p.

God's is treason

and utilizes

(Inferno,
is from
where

329). Inf. 26,

are with

33. Here
comment on

again the passage

"genius,"

Machiavelli

a greater sequence.

its

curbing "the teaching hidden

falls between Inferno 9,

veil of

those of "good

intellect"

to note

under

the

(Dante's)

verses"

strange
"veil"

(61-63)

and

33

cantos

later

Purgatory 8,

where

Vincent Hopper, 34. Inf. 21.2, 16.128. In the Conv., Dante speaks of writing with discrezione, and allows himself and other writers room for dissimulazione within the discretionary purpose. See Peterman, Dante Studies, 103 (1985), 126-30; Inf. 31.54; Para. 12. 144. "Reading the
Convivio,"

(19-21). See, e.g., Medieval Number Symbolism (New York: Columbia University Press, 1938), 137.
are

"readers"

to penetrate the

over

Dante's

"truth"

35. Dial. 50. Machiavelli, of course, is shockingly forthright about utilizing lies. See "Letter to Guicciardini," 17 May 1521, in Allan Gilbert trans., The Letters of Machiavelli (New York: Capri
corn

Books, 1961), 200.

36. Mansfield, Modes and Orders, 299. 37. Dial. 50; Inf. 28.27; Inf. 25.2. 38. Singleton, Inferno, 2, 503. 39. Inf. 24.97-108.
40. Vanni Fucci's
status

in Hell is

remarkable.

Machiavelli

compares

his defiance to that

of

Capaneus. Cf. Inf. 25.13-14, 14.46-72.40.

34

Interpretation
41. The
replacement of

Dante-Glaucus

and

Folco

by

Mahomet

and

Vanni Fucci

recalls

the

replacement of

the

God-Man Chiron
sect of

by

the Beast-Man Chiron of Prince

XVIII. See Strauss,

still active at

Thoughts, 78.
42. The heretical
time

the Apostolic
set

Brethren,

which

Fra Dolcino led, is

the

in

which the pride

Comedy

is

Fucci's

is

associated with

(Inf. 28.55-60). See Grandgent, Commedia, 247, n. 55. Vanni that of the Black Devil of Inf. 21.29, to which Machiavelli refers in
see

the Castruccio
Commedia,"

[1.673]. On the connection,

Davy Carozza,

"The Motif

of

Maturation in the

Lectura Dantis Newberryana, 1(1988), 60-61. 43. At Dial. 26 Machiavelli notes the incredibility of Dante's
citizens

finding

Brutus in the

mouth of

Lucifer, five Florentine

44. Vanni Fucci

among the thieves, and Cacciaguida in Paradise.

prophesies the
was

deterioration for
a

of

Florence through Black-White party strife,

and

Mahomet's Fra Dolcino

successful

time, thereby

disrupting

the spiritual world.

On

Dante's accomodations, see, e.g., the statements on the documenta phylosophica and the documenta spiritualia and the Emperor and the Pope in Mon. III. xv. 7-18. Inf. 24.142-51, 28.55-57. For Machiavelli, perhaps, Dante's too rosy view is manifested in Folco's 42) of the imminent end of the corrupt government of the Church.
45. Disc. I.xi [1.127-28], Mansfield, Modes 46. See Strauss, Thoughts, 299.
or
and

prediction

(Para.

9.139-

Orders, 73.

47. Dial. 43, Para. 5.64. Machiavelli's point is that Dante utilizes the Florentine ciancie (light frivolous) rather than the Lombard zanze in Dante's text the word used is ciancia. See, too, The Review of Politics (Spring Larry Peterman, "Gravity and Piety: Machiavelli's Modern 1990), 189-214. 48. Dial. 43, Aen. 1.119. The Persian word is gaza, treasure. 49. Sinclair, 141. It is surprising that Singleton fails to mention the delicacy of Dante's han
Turn,"

dling

of magnanimity.

He

notes

its

opposition

to pusillanimity in his comments on Virgil

(Inferno,

2, 30) but he is silent on the subject in his comments on Farinata. 50. Inf. 10.41; 23.92-93. Singleton (Inferno, 2, 398) reinforces
two cantos

the connection between the

by

noting that

both

mention

Frederick II.
friars'

on

51. Inf. 10.13-15, 23.61-66. Dante likens the cloaks to those which Frederick II had melted canto are underscored traitors. The religious, and particularly Christian, undertones of the
the inclusion in their ditch of Caiaphas and other New Testament Jews responsible

by

for

judging

and

delivering

weight of

up Jesus: they lie "crucified on the ground with three that passes over them, a punishment over which the every
load"

stakes"

and must
pagan

"feel the

Virgil

"marvels"

(109-26). 52. Inf. 23. 115-26; 108. 53. Machiavelli (Dial. 44-45) he
garbles mentions

his

account of

the

friars

54. Dante is
him to

"native"

a self-described

Farinata by name and correctly quotes his passage, but by having Dante hear Catalano rather than the reverse. of Tuscany and of Florence. Machiavelli likens
"citizen"

a parracida and

for turning

upon

Florence and, in the

course of

the Dialogue loses any sense of

Dante,"

Tuscan
19.

Tuscany. Cf. Vulg. Eloq. I.vi.3, Dial. 2, Peterman, "Machiavelli

versus

215-

55. Dial. 13, Inf. 33.79-80, 10.49-51, 91-93. 56. Dial. 46-49. The quotations from Pulci and Virgil
not arise

are

the only

ones

in the dialogue that do

a

in the Comedy. The

passage

from Pulci is the only

quotation

from

contemporary poet,

Dante excepted, in the Dialogue. 57. Dial. 46-48. 58. We may also speculate that him that his innovativeness,
attempts

by having
which

Dante

recall

the Comedy's

beginning, Machiavelli

reminds of

is

comparable

to Machiavelli's own, stands in the way

viewpoints: Machiavelli earlier signifies the unsatisfactory remarking on the incredibility of the Comedy's accounts of Brutus, the five Florentine thieves, and Cacciaguida (Dial. 26). On the other hand, Dante, who acknowl edges that he is innovative but still warns about innovation's dangers, may remind Machiavelli through the Morgante that being new does not assure reward. Cf. Conv. I.x.1-3, Pol. 1268b25ff.

his

to

promote

traditional

nature of such viewpoints

by

59. Strauss, Thoughts, 297.

Dante
60. Inf. 1.1-12.
certain"

and

Machiavelli

35

61. At Conv. I.x.2-4, Dante announces that he intends to take a "new and then bids his audience not to at the direction his apology not tell them not to wonder. Cf. Prince XV [1.48]. 62. On Dante and Machiavelli and certitude, see Larry Peterman, "Dante
"marvel"

path"

whose end will

is "not

take

he does

and

the

Setting

for
and

Machiavellianism,"

American Political Science Review, 76, No. 3(1982), 632-35. 63. Other references and quotations in the dialogue (Dial. 39-42) suggest that Dante
agree about

Machiavelli

their worlds

being

dominated

by

the

Church,

and

that there

is

a connection

between that

and

Ugolino's fate.

The Empire

of

Progress: Bacon's

Improvement Upon Machiavelli

Robert K. Faulkner
Boston College

I. BACON, MACHIAVELLI, AND THE ESSAYS

Many
projects

commentators are somehow

have

wondered whether

Francis Bacon's incline to say

complicated

traceable to Machiavelli's simpler if ruthless novelty.

Recent
swer

students of the

Baconian

political writings

yes.

That

an
uto-

leads to
rest

new questions.
upon

How

could scientific method and a

humane

pianism guides
vellian

foundation

so

this

study.

examine with
or

apparently incompatible? That question care the four explicit treatments of Machia
and

doctrines in Essays
relies on

Counsels, Civil

Moral

and conclude

that

Bacon

Machiavelli's fundamentals, but

attempts

improved

measures.

There is

another

difficulty
against

that some contemporary scholars raise;

they doubt
How
can

that Machiavelli's works contain any very original

one measure

or extensive plan.

Bacon

advocates an old classical civic and republican

Machiavelli's innovations if Machiavelli merely republicanism, as Zera Fink contends, or a typically

variation on an

humanism, in J.G.A. Pocock's

consideration of

influential

formulation? A little

these views
and

will provide a
revisions.1

glancing intro
a new advo and

duction to Machiavellian fundamentals

Fink simply interprets Machiavelli
cate of others.

Bacon's

as a

Renaissance republican,

the old mixed government set forth

by Aristotle, Polybius, Cicero,

not

She thus simply

spirit"

abstracts

from the differences. Her

arguments neglect

the primacy of

moral virtue and of of

philosophy for Aristotle (but

not

for the

"utilitarian
princes

Machiavelli),

the primacy of execution and effectual

and republics

for Machiavelli (but

for Aristotle), the difference

between Aristotle's
character)
and

(which is partly attuned to diversity of ethical Machiavelli's republican state (which sets diverse passions of
mixed regime

tant

into managed conflict), and, among many other impor recommendation of a small city (for Aristotle's differences, quality of po litical life) and Machiavelli's of an expanding republican empire (for security

fear,

gain, and

ambition

managing faction within). Pocock's historical synthesizing is much more a self-conscious and complex theory of historical development. Machiavelli and his fellow Florentine intel
abroad and

lectuals

are said

to

advance an

Aristotelian

account of

the "political nature of

interpretation, Fall

1992, Vol. 20, No. 1

38

Interpretation
under special

man"

Christian

circumstances which

deny

the possibility of secu

lar

fulfilment;

the resulting

"civic"

humanism is

not simple classicism.

Pocock

is brief, not to say enigmatic, about the "balanced "dynamic

in shaping the
ment was
vellian vided a
"personality."

core of and

this humanism. He
role of arms and

mentions
property"

government," virtue,"

"the

civic epochal.

He is

clearer about

its future: the

achieve

clearly

moment"

which

This Florentine theorizing constituted a "Machia influenced the tradition; in particular it pro
"Atlantic"

formative

civic republicanism that was

hostile to the

capitalism and

commercialism of

the liberal and individualist tradition.

These
more

complications contain more

difficulties than Fink's

simplicities.

No

than Fink does Pocock confront the differences between Aristotle's doc

trines and

Machiavelli's,
counsels

and and

velli's obvious

his historicist theorizing gives us less of Machia more evasions and distortions. Pocock alludes
challenges

slightingly to the
political
on

contention

that Machiavelli
refers

the "great

tradition"

of

philosophy (he probably

to conclusions in Leo Strauss's Thoughts

Machiavelli); he does

not expound or confront this argument.

passage most

While

summa

rizing The Prince's chapters, he neglects the purpose: the critique, in chapter 15, of
and of an orientation seems

important for his

"imaginary"

republics and principalities

by

the good rather than necessity. It is a critique that

directed

at philosopher-kings and government a

by

gentlemen and at

the

comes into existence from necessity but exists reviewing chapter 3 Pocock skips over Machia velli's introductory formulations of his own foundation: "it is a very natural and ordinary thing to desire to acquire"; and only if men fail are they to be accused

Aristotelian doctrines that for the

good.

city

Similarly,

while

of

"error

blame."

and

Machiavelli legitimates

acquisitiveness.

It is the

key

step

shared
should

by

the later and capitalistic versions of individualism. It is the step that

utes

be absent, by definition, from the civic neoclassicism that Pocock attrib to Machiavelli. Also, Pocock misreads the character and importance of He continually inserts an into Machiavelli's advocacy of a republic that
republicanism.
"ideal"

Machiavelli's
participation elites

of active citizen mixes peoples and

in

striving.

way that protects liberty reinterpreted as He then overstates Machiavelli's devotion to

a

a warrant

for individual He has to

or

republicanism.

elude or explain

away the advice to princes on how to acquire,

In general, any impartial
reader must rests upon

destroy,
of

make use of a republic.

an

have doubts
array

about

interpretation that

Pocock's

bristling

and explicit

assump

tions and presumptions, not least the enormous assertion, a decayed Hegelian

ism,
lenic

that the "Florentine

intellect"

mind"

created
and

its

own concepts a

according to the "Hel

and self-directed

it inherited,

thus, like
within,

self-inflated

blimp,

with passengers anesthetized own comments on

came to

dominate the future.

suggest that

Bacon's

Machiavelli's thought

it

was a

turn
are

ing

point.

Machiavelli
do."2

and other such writers are and others

decisively
men

correct.

"We

much

beholden to Machiavel
to

that write what

do,
and

and not what

they

ought

This

much-quoted phrase

is

no

aside,

its

portent

is

The Empire of Progress

crucial. science

39

It

occurs

in the

midst of

Bacon's

comprehensive

development

of moral

in the Advancement; it

encapsulates morality. political

Machiavelli's

profound revolution chapter

in morality or, rather, away from Machiavelli confronted the ancient

good, he
called

When in The Prince's

orientation

15

philosophers'

by

what

is
in be

it

imaginary

and advanced a new move men. who

orientation,
so

by

success one

managing the forces that really to how one should live that he

"For it is

far from how

lives

lets

go of what

is done for This is

what should

done learns his

ruin rather

than his

presentation."3

what

Strauss

called

Machiavelli's "clarion

call"

of modernity: the announcement of a novel

founda

tion, finally in fear, for a new organization of human affairs, to provide not least for self-preservation. This is far from Bacon's only allusion to Machia
velli.

According during

to Richard

Kennington, Bacon's
no other so much as one

open references are unprece

dented among
published

political

philosophers;

his lifetime

seventeenth-century philosopher mention. In Advancement alone

favorably.4

Bacon

refers

to Machiavelli ten
noted

times,

almost always resemblance.

Commentators have
century, N.
and

the

family

Edwin Abbott in the last

Orsini, Felix Raab, Howard White, Paolo Rossi, Jonathan Marwil,

Quinton in this, are among many impressed with the hard-nosed informing Bacon's writings on practical affairs. Bacon was "more
Machiavelli,"

Anthony

opportunism

Machiavellian than
says

"greatly

influenced

by

Machiavelli,"

according to Orsini. Abbott thought the Es as are "the whole of Bacon's political
observation: all

writings,"

and added an

impressive

the writings exhibit a

"pre

schemes"

occupation with vast

that leads to "neglect of rules of

morality."5

Such

writers suggest

that Bacon follows Machiavelli in

discarding

traditional

scruples and

ends,

and

some,

such as

Abbott,

even

apply this thought to influence

on

truth,

the end of science.

Still,
be
of
so

other writers

have

seen

that

Machiavelli's'

Bacon
on

cannot

simply
to

affirmed.

Even the

explicit

deference to Machiavelli

the status

morality, in the
what men

Advancement, is
do
and not what
wisdom

accompanied

by

qualification: we should

attend

they

ought to

possible

to join the

of the serpent with

do, if only because "it is not the innocence of the dove,

itself."

The quali be perfectly acquainted with the nature of evil fication might seem in the spirit of the Bible, even if the final counsel, that men devote themselves to perfect knowledge of evil ways, gives pause.
except men

Such differences
are more massive
all

cloud

the

question of

Bacon's

Machiavellianism,

and

there

differences. Bacon's important

works and

the general tone of

differ visibly from anything Machiavelli ever wrote. The works on method, to take the obvious case, have no Machiavellian parallel. Suppos ing the descriptions of experimental method to be Bacon's chief contribution, his
works

Spedding's exam Spedding dismissed Abbot's contentions rather ple and biography have often been followed. Also, precisely the famous Baco nian features of the idea of progress are absent from Machiavelli's plans. Chap
James
airily.6

ter 15

of

The Prince had turned to "what

do"

men

and

away from "the

orders of

40

Interpretation
who

others,"

had "imagined
exist

principalities and republics

that have

never

been

seen or

known to
of

in

truth."

Yet Bacon's New Atlantis

advances an

imag

ined land
cal

future health, peace, affluence, and parentlike care, a technologi heaven on earth that had not been seen or known to exist. Even if Machia be thought to hide
of a prescription

velli might

for

new modes and orders

beneath

historical examples, there are conspicuous differences between his prescriptions and Bacon's. The surface of Bacon's more practical works

descriptions
lacks the

ruthlessness

for

which

The Prince

and the

Discourses

are

infamous.

On the contrary, the Essays counsel humanity, appear businesslike and respect able, and are filled with quotations from traditional authorities. None of Ba
con's works exhibits
phor of war.

Machiavelli's
exhibit

preoccupation with the

strategy

and meta

Nor do they
and popular

Machiavelli's

characteristic or

themes: ruthless

princely decisiveness,
erty, patria,
public.

reminiscent of

Cesare Borgia
reminiscent

republicanism,

Julius Caesar, and lib of the ancient Roman re

In short, Bacon defers to Machiavelli in ways that some consider fundamen tal, and yet differs from him in ways that others consider fundamental. This essay
addresses

the

difficulty by investigating
look
at

a selected number of

the Baco
or

nian references

to Machiavelli. I

the

references

in the Essays

Coun

sels, Civil

and

Moral alone,

which allows me

the

luxury
I
attend

of close examination

in

a work

that

is

nevertheless of

broad scope,

and

only to

references

to

Machiavelli

by

name.

The

price of

these restrictions is real. A complete ac

count would weigh the express references to

what of

Machiavelli in

other works.

And

the tacit allusions,

mention

not

Bacon

not

Machiavelli
(if

least in the Essays! In particular, why does by name in the most visibly Machiavellian
Estates"

essay, "Of the True Greatness of Kingdoms

of

and essays

(no. 29)? This is

one

the two

central essays

we count

the 58

that Bacon included in the

definitive 1625 edition) and the longest one, and its very examples are often drawn from Discourses on the First Decade of Titus Livius. Bacon prescribes a
rather popular militia

republic, unscrupulously warlike,

and nobles and

with middle class and native

encouraged

wealth, population,

and naval

clergy reduced, and bent on growth in empire. However one may explain Bacon's reti
myself

cence, there and elsewhere, I confine

provides explicit references.

to the four essays in

which

Bacon

can ponder progress of of

reasoning,

selection of

detail,
To

and subtle

differences four

doctrine. The

result seems to vindicate the

experiment. summarize: all references use

the authority

of

Machiavelli to deal indirectly. All

and

with matters of religion or

sects, three times

of

directly
of

and once

occur amidst crucial

Nature"

discussions

fundamentals
Troubles"

"Goodness

Goodness
and

of
Education"

(no. 13), "Of Sedition and (no. 39), and "Of Vicissitude
With

(no. 15), "Of Custom

Things"

of

(no. 58). All take issue

with

Machiavelli,

the last two expressly, although on the

basis

of a

fundamen imperial

tal

agreement.

Machiavelli, Bacon

seems

impressed

with

the

The Empire of Progress

glory that
attends

41
be

the head

of a

conquering
political or

sect.

The thinking

man should

the comprehensively calculating templative philosopher; not truth

man,

not

the comprehensively

con

virtue, but the glory that

ensures preserva

tion, is his
that
an aura of

end.

Yet Bacon

corrects

Machiavelli's

calculations about

the sect

will glorify.

Essay

13

advises

the

adoption of a

humane

cause

that retains
rather

Christian

charity.

than partisan. Economic

more

Essay 15 development,

encourages
and

kings to be parental,

in

general a management of

hopes

than

fears, is

Essay

39

criticizes

the way to undermine an old order and engender a new. Machiavelli's bloody words, suggesting instead revolution

through the

society that affords opportunities, especially in business. The last essay, number 58, links Bacon's vision of scientific progress to a series of growing and businesslike nation-states. Together such new na
customs of a civil

tions can spread an imperial sect and overcome the

Christianity

that

Spain,

especially,

upheld

in Bacon's time. Bacon thought that his

progress appeals more

combination of civil

nation-state with

visionary
and

broadly
and

than Machiavelli's

mixture of republican empires with modes of

rising

safety, better hides its

founder's ambition,
other-worldly
nate place within a

better imitates the

successful

Christian

vision of an

provider.

It incorporates Machiavellian

realpolitik

in

a subordi

Baconian

movement of enlightenment.

II. THE POLICY OF HUMANITARIANISM

"And

one of the

doctors

of

Italy, Nicholas
given

Machiavel,"

"had the

confidence

to put in writing, almost in

plain

'That the Christian faith had

those that are tyrannical and

up
"

good men

terms, in prey to
13).7

unjust'

("Of Goodness

and

Goodness
of

Nature,"

of

no.

Bacon's first introduction

authority.

Machiavelli in the Essays is

as a a

theological

The

irony barely
original

glosses

in fact it
occurs

Christianity. The
2.8

indictment

telling blow at in Dr. Machiavelli's Discourses,

accentuates

It is startlingly ruthless. The II, democratic toward nobles

"ferocity"

passage celebrates and contrasts

democratic

liberty

and

the freedom of ancient war

like
the

peoples with modem servile peoples.

"magnificent," "ferocious,"

Machiavelli traces the difference to

sacrifices

"bloody"

and

in

pagan

religion,

which celebrated

worldly glory,

as opposed

to the delicate equivalents in "our

religion,"

which glorifies

does
a

not celebrate except

humble, peoples, liberty,

is but

abject,

and contemplative men.

Number 13

or pagan

whole,

quietly, as in

numbers

15

ferocity; neither does the Essays as and 29. True, Machiavelli indicates
in
population and private acqui

repeatedly that
sitions,
and

liberty

a means to growth

that a conquering republic

and a regulated populace.

is

a tyrannical ruler.

He

plans a calcu

lated bold

liberty

But these

suggestions come

only

after

praise of

bold

militancy.

42

Interpretation
Bacon
veils

his

militancy.

He follows his

display

of

Machiavelli's

scan

dalous indictment, typically, by his own respectable-sounding "Which he spake, because indeed there was never law or sect or opinion did
much

explanation:

so

magnify "the Christian

and

goodness as

the Christian
at

doth."

religion
"sect"

Apart from

identifying
essays

religion"

as,
appears

best,

a mere

(he develops this in

charge

16

17), Bacon
missed

to

withdraw

from Machiavelli's

if the

reader

has

his

substitution of goodness

Christianity
tue charity

with goodness rather moves on

for charity and his identification of than Christ. The essay begins with this sly
goodness

identification,
admits of no
goodness

to say that

"answers

to"

the theological

vir

for those
excess,

who

don't

ask questions

and then says

that charity
of

except error. after

That

big

qualification of

the goodness
scandal

becomes thematic
Bacon

Bacon turns "to

scandal of

avoid

the

and

the

danger
ger of

both."

will avoid way.

the

Christianity's
essays.

He

proceeds

in

an

Machiavelli's way and the dan indirect way characteristic of all

and

but

few

Essay

13

exemplifies

both Bacon's humanitarianism how

each

his hard-nosed
other. of

Machiavellianism

and shows

is

revised

to

support

the

Accord
Bacon's

ing

to Howard White's

seminal and

moderation of science.

the imperial

study humanitarianism was part acquisitive spirit of Machiavelli's essay 13,

politics and

Yet White's

accounts neglect

the locus classicus of Baconian

on one's own

humanitarianism. It turns humanitarianism toward self-reliance,

acquisitions,
and

toward a this

social

tool of political acquisitiveness. In

even

fact White
.

senses and portrays

development,

if he does

not make

it thematic He
to
of

eventually defines Baconian charity uncharitably, as "a political the "unwitting charity recruit followers and as "depersonalized
charity,"

weapo

the

spirit of

capitalism."9

Essay
Christian

13's first description

name of

of philanthropia abstracts

from the

distinctively

divine

soul.

charity Bacon's restatements

and

from its
move

for those sharing a first to compassion for common bodily

pious spirit:

care

needs and

then very

delicately

to self-advancement as the means of providing.

Then Bacon
gifts,
and

cautions against regard equal

for

"faces"

"fancies,"

men's

or one should

for

precious what

for

distribution

of

things.
or

That is,

disregard

men appear

to wish or say

they wish,

their rare needs,

or mere

inequalities.

Regard instead the basic

needs satisfied

by

common and

basic supplies, like for The lan

food,
guage

"barley-corn."

or perhaps

seed, such as

Bacon then

slips

in

self-regard as a

limit

upon regard

others.

is biblical, but the words are profound blasphemy. Having revamped the second commandment, Bacon replaces the first and fundamental commandment
with a

foundation in the

self.

"For

divinity
provision

maketh

the love of ourselves the

pattern:

the love of our neighbors but the

portraiture."

Love

of neighbor

for

God's

sake

has been
of

replaced

by

for human

necessities

for

one's

own, and love

God, by love

of self. of

The revolutionary implications

the lord thyself are quickly

developed:

The Empire of Progress

advancement,
not

43

love, is

the point.

Concentrate

on

providing for
and

oneself

by

"vocation": "for

otherwise

in

feeding

the streams one driest the

fountain."

It is

Machiavellian, as ineffectual,
Orwin has
17
restatements,
chapter of

this criticism of
and

both Aristotelian
toward
humanity.10

liberality

this

movement

an unChristian

Christian charity charity, as Clifford

quiet

called
and

Machiavellian

But Bacon's insinuations,

focus

on economic needs and attitudes are some

way from

The Prince.

must

be

governed more
relies

by

hope. Bacon
on

Essay 13 lacks that chapter's spectacular theme: men by cruelty than by humanity, because more by fear than more indirectly than Machiavelli on fear and more di
a show of so

rectly

hope,
13

while

Essay

contains a

managing both with fearsome passage

even

humanity.

hidden

by its

show of

humanity
is that
or
"habit"

that few commentators note it and

great politic selves are not good
"disposition"

fewer

weigh

it. The

message

but bad

by

nature.

Whatever be the

of some natural

toward goodness, nature tends most clearly toward "a

Envy,"

malignity."

deeper

sort of

and to engage

sort of malignancy is inclined to envy, and the no. 9) is inclined to slander things established ("Of envy mischief. men in other calamities in mere "Such men's are, as it

A deeper

were, in

season."

These "dispositions

are

the very errors of human

yet

nature"

so

deeply

does the

error of goodness go

"and

they

are

the fittest timber to

make great politics

of; like to knee timber, that is

good shall

ordained to

is

what

be tossed; but not for building houses, that Richard Hooker called Machiavelli, a "wise
and

for ships, that are stand Bacon

firm."

malignant."

He

advances

both

humanity humanity has the

malignity,

and

both have

a place

in his

politics.

While

conspicuous

other and their relation.

place, malignity is the foundation that shapes the Malignity accounts for the leader's humanity.
that

The profoundly
given

evil

teaching

barely

breaks the

surface of

pears as muffled effects on earlier essays.

"He that hath

wife and children

essay 13 ap hath

of

hostages to fortune; for they are impediments to Yet "Of Marriage and Single virtue or
mischief."

great enterprises either

Life"

(no.

7) discusses

coolly kind of discipline to

control.

various advantages of

marriage; "wife

children,"

and

humanity."

The

politic man can use

for example, "are a family life for social have

or

Similarly, "A
from

man shall see

men."

the noblest works and foundations

encourages a

proceeded ualistic

childless not
austere

Yet Bacon

democratic
and

individ

family,

and

hierarchical but
engage

rather equal
"vocations"

indulgent.

Children generally

should

be bred to
"careers"

in

"courses"

and
"dispositions"

today, the
and roles cial

word might

be

rather than

of character or
useful vocations

ways of the

Lord.

Upbringing
and

is

reshaped

to foster mutually

("Of Custom

Education,"

policy, especially the policy of The occasional, more open statement Advancement's discussion of "active
comes

39). Depersonalized charity is so channeling desires to provide for needs.

no. appears outside of as opposed

the civil Essays.

good,"

to passive good, be
on

the

grandest

especially blunt. The scale. Bacon

active good equates

turns out to be private domination

with

this

divine

power

("the true

the-

44

Interpretation
which

omachy"),

is

a gigantic passion a

to form the

world

for

oneself

although

Bacon

finally
of

issues

foggy

qualification

(which "we have

determined")

on

behalf

"society."

Neither hath this

case

it hath

an

active good any identity with the good of society, though in some incidence into it. For although it do many times bring forth acts of

beneficence,

yet

it is

with a respect private

. . .

to a

man's own

power, glory,

amplification,

continuance

For that

gigantine state of mind which possesseth

other

the troublers of the world, such as was Lucius Sylla and infinite model,
who would

in

smaller

have

all men

happy

to unhappy as

they

were

their friends or

enemies, and would give

form to the world, according to their

to
active which we

own

humors (which it
recedeth

is the true theomachy), furthest from

good of xxi

pretendeth and aspireth

good, though

society,

have determined to be the

greater.

(Advancement, II
The

1,

ed.

Wright)

conclusion of

good of society.

its

new sense of

essay 13 shows how one who would be politic can use the It may hint at Bacon's own use. The topic: what goodness, in Bacon about "a real needs, regard for
others'

"shows"

man."

mentions various aspects compassion

(or exhibitions)

of goodness:

courtesy to

strangers and

toward the afflictions of others, easy

pardon and remission of of

fenses,

gratitude a

for

small

benefits,

and,

perfection,"

"wish to be

an anathema

phrasing of "St. Paul's from Christ for the salvation of his

a peculiar

brethren."

The

complex prose

twists a New Testament passage to require, as a

test of goodness,

a condemnation of

Christ. This
whole.

confirms

Bacon's
of

procedure

in essay 13, indeed in the Essays as a quotes Christ's killer, Pilate, and jests
truth.

The first line

claim

the first essay

at

Christ's

to be witness to the

A very elliptical conclusion of essay 13 may intimate a new, humanitarian, faith: the place of goodness in building houses after tougher men have estab

lished he is

foundation. "If

a man

be

gracious and courteous

to strangers, it

shows

a citizen of

the world, and that his heart is no island cut off from other

lands, but
afflictions

a continent that
of others.

joins to them. If he be
The language

compassionate

toward the
to

could remind of

the

hospitality

Bensalem, in Bacon's New Atlantis, by Stranger's House and Solomon's House. Christian Europeans, cast ashore, are converted from their old faith by the humanity of new ways: the hospitality, the medicines and hospitals, the affluence and parentlike provision of a civil land
strangers afforded on
of

the island

infused
the

with

humane

science and technology.

It is probably

not coincidence

that Bacon once calls his comprehensive advancement of science a "citizen of

world.""

The founder

of

Bensalem's

scientific

establishment,

Solamona, had laid

down the way

together."

dealing Humanity is conspicuous.

of

with strangers

to progress: "join
are

humanity

and

policy

The

governor-father of

a parade

that the cool

intimations that policy governs. the benevolent scientific establishment is first shown in narrator sees to be a While the great figure
"shew."

There

The Empire of Progress

appears

45

compassionate, Bacon's description

singles out of artifice

the appearance:
stronger

he has

"an

aspect as

if he

men."

pitied

The hint

is

in

a similar

phrase

from

an earlier

never published

Baconian work, the Refutation of Philosophies. Bacon this pungent little piece, perhaps, as Paolo Rossi suggests,
to master the envelopment of
of

because he had

yet

daring

plans

in the

mantle of

tradition and the half-light tional convention

expression of
of

insinuation. A face

philosopher

"sages"

shows a

which

addressing an interna "had become habituated to the

pity."12

Like Machiavelli, Bacon was impressed by Christ's worldly success. Like Machiavelli, he traces the success to Christ's promise of satisfaction, an indi
rect and

future

satisfaction

of

the strongest passion,

fear

of

death. Unlike Not

affections."13

Machiavelli, Bacon can supply an analogous vision of future fear but hope, he writes elsewhere, "is the most useful of all
The
management of wishes

satisfaction.

the

for the future is the deepest

art of
and

the politics of

progress.
hopes,"

"Certainly,
men

the politic and artificial nourishing

Bacon

carrying
a poison.

says in the essay on "Seditions and from hopes to hopes, is one of the best

Troubles"

entertaining of (no. 15), "and

against

antidotes

the
as

discontentments."

poison of

Like many

an

antidote, it

can also serve

its turn

III. SEDITION BY ECONOMIC DEVELOPMENT

Also,
make

as

Machiavel

noteth

well,

when

princes, that
a

ought

to be common parents,

themselves as a party and lean to

side, it is as a boat that is over-thrown

by

uneven weight on

the one side; as was well seen in the time of

entered

Henry

the Third of
and

France, for first himself

presently
after the same no.
Troubles,"

league for the

extirpation of the

Protestants;

league

was

turned upon himself. ("Of Seditions and

15)
Machiavelli for
a a statement misses

Bacon

praises
and

cannot

find in The Prince

or

Discourses

mendation of

neutrality that princely decisiveness.

can come

for

Machiavelli's 15
suggests

conspicuous recom

Essay

that great sedition and

means of satisfaction
people,"

great

authority

from

teaching

that displays the

or,

at

least,

of

hope. Thus
or

princes might appear as prime

"shepherds

of

the

essay's

first words,
That

like the Aristotelian

mover, also
one's own shows

used as metaphor roles of

for

a prince.

is,

one can appropriate

for

glory the

benevolent
ence: sect

god and mover of nature.

The essay

the

new political sci

the formula for

a

transforming irreconcilable human divisions

division
of

of class and

into

The

analogous

mutually Machiavellian
or

useful

labor

and advancement.

passages suggest

that

one should

deal

with a

disunited city by killing putting by 27); do not remain neutral in wars among join the
war

the leaders of the parties (Discourses

your neighbors

III,

but take

a side and

(Prince, 21). True,

each of

these counsels is quietly qualified. One

46

Interpretation
Machiavelli
of

suspects

leading

on,

perhaps over a allies.

more established

(and less

Machiavellian)
Bacon's

preliminary wave of Discourses II, 21 and 25, on

brink,

the

other

hand,

are closer to

point.

prince

dealing

with a

disunited

free city may hold it as a benefactor by being an arbitrator between the parties, especially between plebs and nobles. Thus he will not drive them to union and
may favor the
not weaker so as

to weaken both. Yet these discourses recommend a

as expedient and

prudent adoption of

both sides, if only

Troubles,"

to

weaken

both,

and

do
to

obviously deal with "Of Seditions and human

religious sects.

by

contrast,

sets

forth

a sect.

It is from

start

to

finish

about seditious slanders and envies which are

speeches.

eventually

shown to
and

be
li

products of
centious

The

sign of

tempests in states is libels

of sedition as earth against

discourses (fraudesque in the Latin saying Bacon supplies), or females Bacon calls them. A Virgilian origin of fame, the rebellion of
the gods, is identified
or

by
but

Bacon

as

the origin of seditions. Sedi

name against what men's

tion is inevitable

natural; it is

self-assertion of one's a

dominates,

the guise of gods

being

form

of

domination

by

fame.

Tempests in states, Bacon says, are greatest "when things grow to equality"; the greatest is when the most honorable, sacred, or authoritatative acts of a "are taken in ill sense, and essays attempted. Bacon reduces the
state
traduced."

That

summarizes what

the

earlier

established

hierarchy

toward an equality;

he

reduces to exploitation and

illusion the
that do

old order's

devotions to
Nobility,"

divinity
no.

and

nobility, truth and goodness. The previous essay ("Of

"democracies"

note of certain
respects."

not need a

nobility;

"utility

is their

14) bond,
pre

took

and not

Essay
much

15 follows its first

diagnosis,
alien

of sedition

by

slander,

with a

first

scription: relax.

When confronting
and

teachings,

a prince ought a pacifier?

to avoid "too
can

severity"

too

"disputing."

much

Is this

If Bacon

encourage royal and episcopal

passivity, despite

attacks upon

the supports of

royalty
lost"

and

religion, he accomplishes

sedition under cover of prevention. signal

In the

sequel, he
and

notes

both that

open

discords

that "reverence of government is

God."

that "reverence is that wherewith princes are girt from

He had

already insinuated a fundamental heresy or sedition; the topic is tempests of state, rather than blasphemies against God or treason against king and estates.

But how

can

kings
two

and estates

be

made so
of speech

dumb
to

as

to

be

so passive?

Bacon de

will suggest

ways:

blandness
Bacon
and

veil sedition and economic

velopment to

insinuate it.
context corrects

Just in this

Machiavelli. Machiavelli had for

rule to advance

guided

rulers to expand
war.

by

war,

those ambitious
on conspiracies

by

hidden

Machiavelli's discourse

(III, 6),
and

the

longest in

the Dis

courses, corresponds to Bacon's "Of Seditions

from ful

defending

princes to

against princes.

It turns quickly encouraging conspiracies, often violent conspiracies Machiavelli returned only briefly to urge upon princes a doubt
postpone action until

Troubles."

passivity:

let them

they

obtain

full knowledge.

The Empire of Progress

Bacon
writes more
troubles,"

Al

and his de euphemistically of "seditions and meanor throughout the essay is of a counsellor preventing troubles, not of a rebel stirring them up. His counsel is of unity, not violence; a prince should be common parent and avoid

being

a religious partisan.

less,
and

would separate

kings from

support of
suit.

This counsel, neverthe their supports, from aristocracy, and

church.

The

rest of
as

treasure

the

the essay follows four "pillars of

Bacon lists religion,

then sets
restructure

justice,

counsel,

government,"

forth

a general

diag
into

nosis and supports

"general

preservatives"

that, in effect,

the old

pillars

for

a new civil order.

of

Essay 15 discusses the materials, the causes and motives, and the remedies sedition. The crucial is neediness, less of the articulate few than of
"matter"

the many,
enter upon or

"discontentment,"

"fears."

and

the justice
state,"

or

vaguely stated as injustice of discontents or dangerous forces in

motion

Bacon does

not a

even and

their strength:

"prince,
fosters
quickly

should anticipate puts political men and vague

inevitable forces.

While Machiavelli
a vague

in fear

of

insecurity

hopes for "causes

victories
and

inevitable war, Bacon in a war on poverty. He

of

acknowledges a

long

list

motives"

of

sedition,

which

and before, but includes "general of "advancement as central. He acknowledges slyly that a unworthy "just must answer to the "particular yet he sets forth "general now omits mentioned
persons" cure"

the justice

oppression"

disease,"

preservatives":

general solution that

particular states.

This

prescription

may not solve particular problems of departs in principle from the Aristotelian
of

diagnosis

of civil strife strife

in the fifth book

the

Politics,
had

which

had

examined

especially
remedies now

between democrats in

and oligarchs and

commended

different be the

for different

regimes and circumstances. civilization.

Instead, Bacon

advances a

familiar

revolution

General

preservatives

turn out to

general promise

institutions

of a progressive everywhere

to encompass

economy and movement, institutions that both the many and the few.
the first four encourage economic growth
prescribes

Of
four

nine

"general

preservatives,"

and regard

for democracy, the fifth

nourishing
an

"moderate

liberty,"

and

the last

a politic

of

hope, especially in
"the

the most ambitious men.

sedition"

The first three

in organizing
attacks

preservatives treat

material cause of

and consist
estate."

economy to conquer "want and poverty in the

Bacon

waxes enthusiastic

in

praise of

trade,

population

growth,

and manufactures and

idleness

faces: he

attacks

overgrown
"scholars."

economy sur "an "the multiplying of nobility and other degrees of an and excess of clergy, for they bring nothing to the
and waste.
political agenda of
stock,"

The

his

political

quality,"

Bacon
great

spells out the premise of this attack upon

produces great

leisurely

or pious activities:
opus."

Work is gains, for "materiam superabit industry superior to the material and, the Baconian conclusion, "enricheth a state It is a worthy slogan for the political economists to come, as well as for natural
scientists

more."

bent

on

conquering

nature.

Essay

15

uses an example of a

democratic

48

Interpretation
recently freed from Christian Spain: the Low Countrymen have "the in the They are the same democracies alluded
world."

republic

best

mines above ground

to in essay 14.

The third
the
an

preservative

draws

a political conclusion.

"Above

things"

all

keep
is worthy
of

"treasure

monies"

and

of a state

from "few

hands."

The

reason

investment-oriented Lord Keynes:

spread."

be
to

"money is like muck, not good except it Machiavelli himself had so praised republics: free peoples and lib
in
wealth and population.

erated acquisitiveness encourage growth

According

Bacon, however,
thus
a means

economic growth can

itself be

an object of royal patronage

and

to republics. A growing middle class and a

democratization
of war.

can evolve as

if

by

chance,

and reformers can avoid

corresponding the risks

Bacon rarely mentions democracies or republics and discusses the pos sibility warring for liberty only with the greatest reticence (no. 29). This, despite his clear awareness that the breakup of the old empire, Spanish or
of

Christian, will occasion great wars (no. 58). Later, thematically economic essays develop Bacon's
hopes dle
can of various new parties who can advance without

plan.

They

nourish

the

themselves,

and

their new order,

becoming
"Of
(no.
or

independent
(no.

of

the

mutual system of exchange and

the

mid

Expense"

class.

28)

encourages self-made

breed riches from their

vocations.

men, who, if frugal, "Of the True Greatness of Kingdoms and

Estates"

29)

encourages

small

farmers

and

merchants,

as

well

as

"strangers"

immigrants

who can perform more

delicate

manufactures.

"Of

Plantations"

(no. 33) prescribes colonies of the very plain and the very indus devout trious, barely in name, lacking gentlemen, and given over to produc tion. Bacon encourages the rich, especially nobles, to invest their money in
such

foreign
of

ventures.

"Of

Usury"

(no.

41)

encourages the monied to

of

become

financiers
arts and

trade

and

manufactures,

not

least

young

merchants and of new

can enliven a new are not

improvements. New hopes

and new

discoveries
Riches"

economy and new men. That is a theme in "Of for leisure, redistribution, or pleasure; they are
riches. The

(no. 34). Riches

capital

for producing further

beginning
being

of

the essay plays with moral and religious strictures on

wealth-getting; the

remainder shows

"The fortune in

the first in

an

how really to pile it up. Among the means: invention or in a privilege doth cause

sometimes a wonderful overgrowth

in

riches;

as

it

was with

the first sugar to have as

man well
fit."

in the Canaries. Therefore if

a man can

play the true

logician,

judgment

matters, especially if the times be Even the judgment of kings may be thus won to patronize the new logic of science as well as the new science of economics. "Of Empire" (no. 19) notes
great

as

invention, he may do

that that
can

kings, discontented
will

in their security, are moved to patronize distinguish them and bring them fame. Perhaps Bacon's new science
even
"toys"

be

made to appear such a project. no.

Empire,"

19,

and

the Letter

(compare "Of Essay 58 calls it a Dedicatory to the Great Instauration). Kings

"toy"

The Empire of Progress

may
patronize

49

the

economic

and

technical

powers

that

undermine

kingly

power.

Preservatives four through

nine

deal

with

"removing

discontentments"

those,
strife safe

one might

say,

other

than

poverty.

cal grounds another anti-aristocratic

The fourth quietly advances on politi policy: the few are chiefly to blame for
This shows,
we are

between "noblesse, and it for monarchs to seek "the

is"

commonaltie."

told, "how

people.

good will of

the common

preservatives quickly and elliptically, perhaps because their revolutionary import is hard to hide. "Moderate is the central prescription, which qualifies his preliminary elevation of democracy. It
liberty"

Bacon

sets

forth the last five

also replaces

moderation, virtue,

and religion

in general, the

general preserva

tives advanced
rates more

by

traditional political philosophy and theology. Bacon elabo

can

how hopes it

be

managed

to regulate liberty. "And

when

it is

a certain

signe,

of a wise when

government,
cannot

and

proceeding,

it

can

hold

men's

hearts

by

handle things, in such manner, as no evil shall appear so peremptory, but that it hath some outlet of Essay 15 stops there, reserving the revamping of visionary hope for "Of

hopes,

by

satisfaction,

and when

it

can

hope."

Prophecies"

(no.

35)

and

New

Atlantis,

and of such as

economic and political

advancement,
and

ordinary hope for discussions of "Of (no. 34), "Of the

Riches"

True Greatness

of

Kingdoms

Estates"

(no. 29),

and

History

of the Reign of

King Henry

the Seventh.
preservatives

The three final

deal

with

They

slip from preventing unity

or

of the

the managing of extraordinary hopes. hopeful beneath an enemy of the state,

to avoiding sharp speeches that cut off the

hopes

of

followers for

their own
prose

dictatorships

places, to
shows

a prince's need

for

a valiant

defender. The
"Princes"

is

terse. The last

that

Bacon, despite his

more pacific counsel of

unity,
need a

follows Machiavelli in understanding his

person"

crusade as a war.

"military
spondence with
person,"

who can repress seditions against

"the

state"

and

keep

corre

"other

great men

in the

state."

Perhaps Bacon is that "great kings

on with val

a shepherd of peoples who also can aid enlightened orous speeches

like the ensuing

as

essays.

Essays 16

and

17 take

Christianity

under cover of a skirmish with atheism and superstition.

factions,

such

king,

nobles, and admirers of

ancient

Bacon keeps enemy philosophy, from a

unity beneath the Church of England, such as the theologian Richard Hooker had sought in the 1590s. Bacon also keeps up correspondence with leaders of a

like

state of

mind,

including

great

scientists,

enlightened

kings,

and compre

hensive
Bacon

chiefs such as

Machiavelli. In "Of Followers

of

Friends"

and

(no. 48),

saying few friends. Machiavelli's sharp speeches, however, drive from him the followers whom Bacon's project can satisfy, advance, and keep

presents a crucial

Machiavelli

as an example of

the advice to

be taken from in hope.

Immediately after taking Machiavelli's advice, Bacon concludes friendship is only between "superior and inferior, whose fortunes may

that

compre-

50

Interpretation
other."

hend,

the one the

Bacon

means to comprehend

Machiavelli's

civil cru

sade within

his

progressive movement.

IV. CUSTOM AS THE BUSINESS OF REGULATED OPPORTUNITY And therefore, as Machiavel is no trusting to the force of
corroborate

well noteth

(though in

an evil-favored of

instance),
it be

there

nature nor to the

bravery
the

words,

except

by

custom.

His instance is, that for

such an one as

conspiracy,
resolute

a man should not rest upon

achieving of a desperate the fierceness of any man's nature, or his hath had his hands
nor a

undertakings; but take

formerly
nor a

in

blood. But Machiavelli knew

not of a yet

Friar

Clement,
holdeth

Ravillac,

Jauregay,
no.

nor a

Baltazar

Gerard;

his

rule

still that

nature, nor the

Education,"

engagement of

words,

are not so

forcible

as custom.

("Of Custom

and

39)
reference

This third

is the first to

criticize

Machiavelli
the

explicitly. of

Bacon

criticizes not a prince's

impiety
as a

and

immorality.

impiety Bloody

and

immorality, but

inefficacy

bloody

conspiracies are not said to

be evil; they are,

however,

In welcoming assassins as a matter of course, rather than desperate measure, Machiavelli had underestimated the power of other worldly assassins. The four that Bacon names were all Catholic assassins of

"desperate."

kings. Friar Clement, for example, murdered the politic Henry III of France, the very king Bacon mentioned in essay 15 when he used a similar
politic

"noteth
relieves

well"

to criticize a policy of

siding

with a sect.

Nevertheless, Bacon

Machiavelli

force
cism

of custom.

quence of

the responsibility Machiavelli erred about the force of a conse Still, devotion, his error about the force of hope. Bacon develops this implicit criti
of

and approves

his

general rule as to

correcting Machiavelli's rule to extol the force of In his quick and quiet way Bacon has involved us in one passages from a writer known for nastiness. Machiavelli calls

by

"custom."

of

the

nastiest

not exactly for different customs, but for men tried, experienced (isperimentati), in bloody deeds. Murdering a revered man, especially a religious man, is difficult; it is hard to be altogether bad. The context is again the discussion of conspiracies in

Discourses, III 6. Since

"majesty"

even accustomed
of some great

killers

are often

bewildered

by

the

"reverence"

and
enced"

target, the job

more also

requires men

"experi

in

such murders.

Machiavelli has
of

men

by

speech.

Confusion

brain

can

in mind, namely, accustoming cause foolish speech, such as

"Traitor!",

which warns

the victim. The turn to words is

important;

experience

in murdering the revered is hard to come by and the first such murder hard to account for. Besides, Machiavelli immediately turns to conspirators who are
moved

by

words

to attack a number of tyrants. The examples

and of

include

two

disciples
tyrants

of

Plato,
the

with

aid

Pelopidas, who liberated his "native from ten one Chiron, adviser to tyrants. People may become

land"

The Empire of Progress

experienced
words must or accustomed

51

by

ruthless

words

about

bloody deeds,
tyrants,
will

but the

be shrewdly
of

chosen so as not

to alarm. Machiavelli's writings,

and

which combine advice

to republican conspirators

help
an

and

harden the variety

followers to come,
more

not

least in overcoming

other

worldly empire. Bacon fears superstition from his hope

special

than does Machiavelli and hopes for

of progress.

more and

replacement, the prediction

the

Perhaps his fear He

seems

reflect a greater estimate of

men"

power of custom.

to describe

"nature in

as and

but

body

with passion or

force (no. 38,

immediately

before

"Of Custom
scribed all

Education"); it may be the same as the universal nature de in the Plan for the Great Instauration and in the New Organon. If so,

that appears

distinctly

human is

.wholly

son.

If

our

deeds

are not products of

invented, including speech or rea impulse, they are but the effect of some

one's calculation or custom. enlarged estimate of custom

Advancement of Learning is explicit as to Bacon's compared to Aristotle's (II xxii 8). The ambiguous
Education"

beginning
are much

to "Of Custom

and

may
their

imply

as much:

"Men's thoughts according

according to their
and

inclination;

discourse

and speeches are after as

to their

learning
problem

infused opinions; but their deeds

suitable

they have
Machia

been

accustomed."

The
velli

for Bacon is how to institute He follows his

advanced, that

customs,

which

failed to

solve.

criticism of

Machiavelli thus: "superstition

as

is

now so well

men of

the first blood are

firm

butchers."

as

Five

examples of custom's
even

"reign

tyranny"

or

follow,
says,

all examples of

disdain

by

the religious for

their own deaths. Bacon reduces religious disputation

of custom.

and

zealotry to

discussion

He

even

since custom

(not

God)
to

"is the

principal magistrate of man's

customs."

life, let

men

by

all means endeavor

obtain good

While

other essays prescribe what customs are

effective: start

useful,

essay 39 indicates chiefly how to make them mutual interaction what we and he call
usage.

young,

and

rely

on

"society."

Bacon may

originate

the

Effective

custom

is "custom

collegiate,"

copulate and conjoined

and

because "there
glory
of
plined."

example

teacheth, company comforteth,

emulation

quickeneth,

raiseth."

After thus

hinting

at

the secrets

of

the church (and of the roots

well ordained and

goodness), Bacon dwells

on the role of

"societies depend

disci

Governments

and commonwealths
mind are

on seeds otherwise planted.

What

societies

Bacon has in
the
churches:
desired."

left

obscure

in this essay,
now

except

for

an

implicit One
pursuits

dig

at

"the

most effectual

means, are

applied, to the

ends, least to be

suspects that can

Bacon
a

wishes

associations various and

for

gain:

businesses. Useful
commends recurs
mer

discipline

people.

In

places word

Essays

chants, manufacturers,
santly.

and

financiers,

the

"business"

inces
mer

This

suspicion

is heightened

chant

is the

most prominent civil

by New Atlantis, in which a Jewish figure among the Bensalemites.

(no. 39), making
one's

Nevertheless,

the

essays on custom

fortune (no. 40),

52

Interpretation
(no.

and economic science

association

41) say little

about companies or

enterprises.

What

Superstition,"

is based

on

wary

and anxious neediness of

("Of
Nobility,"

no.

17),

is

rather

democratic

and

has the bond

fosters
than a that he

a self-reliant opportunism?
world of calls

Bacon,
can

no. 14), and utility ("Of less businesses advances I suggest,

business. Businesses

discipline

us

in

a world of

business

If this is true, then much of Bacon's reformulation of religion, ethics, economics, and politics is designed to promote what we often take for granted as society or civil society. Perhaps later intellectuals slight the
artifice

"society."

involved in the invention

Fortune"

and preservation of society.

"Of
custom:

(no.

40)

exhibits

the chief

opinion

to be infused with social

should

the

mold of a man's

fortune is in his
as

own

hands. Self-reliance
"goodness"

be

customary.

Bacon intimated this

he transformed

(no. 13). any

sense

Here he

elaborates

the difference between Baconian

self-reliance and

of goodness.

number of

"virtues,
do

or rather

faculties

customs,"

and or

make men

fortunate,

and

two

are crucial:

not

be too devoted to country

Bacon

master, do
re

not place one's

thoughts too far outside oneself. Like

Machiavelli, Bacon

places virtue with

ability to
and

succeed.

encourages customs

that do not

scandalize,
to lose.
are and

however,
have "a

do

not

lead toward
as

wars

that the politiques are

Fortune"

likely

easiness,"

They

slide and

"Of

puts

it. The Essays business

popular, the dedication says, because

they

come

home to

men's

bosoms.
next

The

two essays explore the systematic connections between individual

society.

ism

and

businesslike
"Of
Usury"

One

connection

is the

art

or

science of eco art can advance

nomics.

(no.

41)

shows

how the

author of an

himself
seven

by
is

showing

others

how to

advance

themselves. It begins
against

arguments,

religious and moral

in tenor,

rebuttal

an argument

from the

"necessities"

of

lending borrowing and

at

by rebutting interest. The

lending. Bacon

then
and

strictly from the viewpoint of economic progress, disadvantages advantages of lending at interest. Among the disadvantages are the damp

"invents,"

ing

of

"industries, improvements
of

and new

inventions"; among
and of

the advantages,
and profitable

the encouragement
improvements."

"young
our a

merchants"

"industrious

Before

eyes,

yet with a slide and easiness that come

from

transforming
distaste for

necessity into
Age"

priority, Bacon

overturns moral and religious

moneylenders and

invents

a comprehensive custom

for

civil society. em

"Of Youth
ployments"

and

(no. 42),

which

follows,

shows the

"compound

available

in the

new society.

the

inventive side, the older as young may be judicious before their time his examples are generals emperors but he confines himself to supposing that "heat and vivacity in
some

The young commonly will shine on executives or managers. Bacon indicates that
and

age

is

an excellent composition

for

business."

While both he His society

and

Machiavelli
the

praise

young

over

old, Bacon is

more reserved. exploits.

seems more of settled

business

than of

daring
as

military

Accordingly, he favors
projects"

as combative

but

inventive

and open

to "new

or

"new

things."

young not This

The Empire of Progress

openness are

53
as

may

show

foolishness: "for the

politic."

part"

moral

the

older

for "the

His

example:

the young are superior, "your young shall see

visions"

rather

than merely

dream. Perhaps the

new project of

progress,

as portrayed

in

the visionary half-light of New turous

young.

Atlantis, is designed especially for

year.

the adven

world and

The Europeans in the story left from the far were prepared to sail, over uncharted seas, for a

edge of the

known

V. STATES AND STATES OF LEARNING

As for the him

observation

that Machiavel
of

hath,

that the

jealousy

of sects

doth

much

extinguish the

memory

lay

to extinguish all

things; traducing Gregory the Great that he did what in heathen antiquities; I do not find that those zeals do
who
Things."

last long; as it appeared in the succession of Sabinian, any did revive the former antiquities. ("Of Vicissitude of no. 58)
great effects, nor

The fourth

and

last

reference

to Machiavelli occurs in the final and culminat

ing
and

essay.

This

second criticism

distances Bacon from Machiavelli's

own more respectable name. a real of

impiety
There is

name,

while

tacitly confirming his

in the lists

less here than

Bacon
against and
not

meets

the eye, and yet it indicates

of opinion as

difference. Pope

appears

defender

Gregory

the

Great

Machiavellian
event,

slanders.

The defense

is, in any
its truth,
name),

misleading. as a

and

defends it

barely closely viewed, He defends Christianity's efficacy for empire, sect, again tacitly denying its claim to be the
exists when
a pope

one and catholic

cal after

faith. He defends

(while

not

defending

the ecclesiasti

having

heretofore favored the Protestants. He in

fundamentally

defends Christianity's

weakness

dealing

fying
things

one

Sabinian (also
former
of sect.

a pope whom

its predecessors, and by digni Bacon deprives of the name) for saving
with and

of a

Actually,

this pope seems best known for introduc

ing

the

ringing

bells

at canonical

hours

for

celebration of

the eucharist;

the Latin Essays indicates that his

"revival"

alleged

of antiquities was

but the

creeping out Renaissance

of

things forbidden. Like

Machiavelli, Bacon is

silent about the

patronage of Greek and Roman philosophy and art. In ef Bacon adopts Machiavelli's treatment of Christianity in Discourses II, 5, fect, except for adding a fraudulent retraction that itself mirrors Machiavelli's hints

popes'

about the

impotence
Bacon

of

the

unarmed conqueror.

Besides,

after a

two-paragraph

intermission,
has just
The

asserts what

is

close

to the Machiavellian statement that he

questioned:

greatest vicissitude of things amongst men,

is the

vicissitude of sects and

religions.

For these

orbs rule

in

men's minds most.

The

paragraphs

between dubious

correction and

imitative

paraphrase are

Ba

con's serious correction of

Machiavelli. As Machiavelli
an old

overestimated

Chris

tianity's disposition to transform

sect, he

underestimated

its capacity

54

Interpretation
new science able

to be transformed into a new sect. Bacon's correction is a

to

find the

causes

in

nature

for

effects useful

to

man.

This invention
earth.

can

be

pre

sented as

leading by
The

regular progress

to a new heaven on
natural science

Like Machia
to

velli's political rule

science,

however,

Bacon's

is

part of a sect which

the

world.

sequel reveals

Bacon's fundamental science,

is the
how

political science of

causing "new

sects."

The first

of

these

intervening

paragraphs

is

"I's."

studded with

It

shows

to learn causes of useful effects, rather than alleged causes of eternal nature,
such as shows

Plato's

supposition of natural

cycles,

or

Aristotle's

prime mover.

Bacon

himself observing useful causes and effects and then generalizing about them. In such generalizations will be found the true prime for man intimated in
essay 15: he
ple,
correction:
can move nature

for his benefit. One

can predict

floods, for

exam

and control

some of their effects.

Thus the first

advantage of

Bacon's But

it

can

influence

natural vicissitudes that are

Machiavelli

could not.

human sects,

not natural

disasters,
Empire"

the decisive causes of oblivion. The art

of prediction affords a tool

Machiavelli lacked. "Of

well

for getting glory by manipulating hope, a tool that (no. 19) had suggested that kings, however
to provide against an
were of arts or
mind:

"toys"

established,
"toy"

seek

incessant fear that their fame

hand."

will not endure.

The illustrations

feats "of the

Essay

58

suggests a

that is an art of the

the art of prediction and of inven

tion. In

another

work, Bacon shows prominent persons relying on

reliance on such
"toys."14

"fortune-teller"; he discredits
tune, however, learned.
The two

astronomy as His toy can master for

prominent and

and can engage the patronage of

both the

the

paragraphs are

directed to those tempted

by

the old

learning,

as are

the Advancement of Learning, the New

an empire of

Organon,

and, in general, the

project of

the learned. As a nation-state

growth

attracts the

statesman,

in

powerful

advancing in knowledge is to

wealth and power

attract the curious

and studious.

Bacon

provides a niche

for those

who would otherwise

fall for
mind

the charms of philosophy. "The

of man

principle"

appeared

in "Of Empire": the

small

"is

more cheered and refreshed

great."

by

profiting in

standing at a stay in such. Advancement of

Glory
science

is the profit, however, brings advancement of the

not

things, knowledge

than

by
as

scientist.

Bacon's for the

of the rules and rites of Solomon's House, the Bensalem, begins with "two very long and fair best inventions, the other for "statua's of all principal ment

description
in

scientific establish
one

galleries,"

inventors."

Every
reward

inven
and a

tion

earns

the inventor both

liberal
of

statue,

which

may be

of a

degree

honorable monetary richness ranging up to

and

gold."

By

serving

mankind

the scientist

can obtain affluence and are revered

the Fathers of Solomon's House

and

glory of leading mankind; in Bensalem. The last of the rules

useful
of

the

rites is the distribution

of

largess, especially

knowledge. The

leading
and so

scientists

periodically bestow "natural divinations

diseases,

plagues,"

The Empire of Progress

forth. It is the
scientists

55

art of prediction
can

that is the

scientists'

power,
care

and

by

Bacon
of

lead them. Bacon took

to

put

his

chief

serving the books in the

language
velli

the learned. Machiavelli did not, except for chapter titles. Machia
change of
not.

blamed

language for

oblivion of memories
version of

Essay

58 does
a

Even the English

unlearned

the Essays is

(Discourses II, 5). stuffed with Latin

quotations,

bar to the

but

a charm

to the learned. While Bacon

helps Machiavelli
ates

contribute

to the

oblivion of

the Greek

language, he insinu
learned. In
an

himself into the

power of

Latin

as of

into the

circles of the

ironic dedication, he
of

assures the

Duke

Buckingham that "the Latin

volume"

the

last"

Essays, being in "the universal may last as long "as books than an English kingdom and its dukes. longer, presumably,
compare essay 58 as a whole to the corresponding Machia discussion in Discourses, 11,5. 16 Both are among their most writings, probably because in both shocking statements cover more
authors'

language,"

It is difficult to
vellian cryptic

shocking intimations. The pioneering study of Bacon's mix of state and by Howard White; he sets forth a Baconian "imperialism of the human
that
and
wins

sect

is

mind"

by

"subversion."

White

goes on

to infer from Bensalem's

the absence

of political

coercion,

aggressive

commerce,

and or

hospitality, imperialism,
state."17

that Bacon's universal science calls for a "world

community"

"world

Yet White
prominent

acknowledges

that New Atlantis hints at a pervasive hidden state, at

merchants,

at new and

terrible weapons,

and at

industrial

and scien

tific espionage to build up Bensalem at the expense of other countries. To

supplement state

is

needed

White's thesis, Richard Kennington has argued that an imperial to overcome the world of independent nation states; "world

utopia

is imposed

by

imperial

power."

Yet Bacon

reduces

humanitarianism to has
shown a

policy for domination

nian

and empire

in essay 13,

and no one

Baco

writing that

prescribes or expects world government or world community.

Essay 58,

upon which

White

and

Kennington do

not

comment,

suggests what
and

I believe to be Bacon's

solution: various civil

states, advancing

declining
useful

in turn, that separately harbor the

science.

progressive civilization

devoted to

Amidst discourse

a rational explanation of sects or and

religions, that

is, Machiavelli's

men's minds.

Bacon's essay each invents a new sect or civilization to rule Machiavelli is more nearly direct in title and text. The title: "That
and

changes

of sects

languages,

together
things"

with

the

accident

of

floods

and

plagues,

destroy

the

memories of

(II, 5). At the

contention as

start of

his

argument

he

confronts

appear only in from Seneca, Plato, and, a nasty cut, an abstruse astrologer who reads rather like Aristotle. He finally confutes Plato, however, twice and ex pressly. Contrary to Plato, Bacon, like Machiavelli, maintains that immortality world. of

expressly "the Bacon allows this contention

philosophers'"

to the eternity of the

Greek philosophy to

quotations

must

be

made or conquered.

As to nature, "certain it is, that the

matter

is in

56

Interpretation

perpetual

flux,

stay."

and never at a

Bacon takes up
after

change of

sects,

by

which

a man might make

his

name

immortal, only

exploring the natural causes

chief
omits

that Machiavelli

puts second.

cause of

Like Machiavelli, Bacon touches preliminarily upon floods as the oblivion, whose effect is to extinguish the memory of things. He

from this
esting, his
account
Indies"

biblically

significant attribution a

Machiavellian jibe that

some sur

vivor might conceal

the past to

get

himself

a reputation and name.

More inter

account rebuts a myth

from Plato's Timaeus

blaming
of

the sun and an

from the Old Testament

blaming

fires. Instances

floods in the "West

follow, in

the inhabitants to be

way that alludes a "a newer or a

to the Americas ("their

younger

Andes"),

asserts

people,"

and alludes

to the At

lantis Plato describes in the Timaeus. Elliptical indeed. What

coherent message

may be discerned? Bacon seems to be rebutting old myths that have a supernatural tint, myths that his rivals for empire over the mind, Plato and the Bible, had set forth. He intimates a new myth that promotes belief in his new project. Specifically, he
turns to observations, to what might

be

examined

in

a particular place

and

topography. But his

purpose

is to imagine

cial

Uncanny parallels with his imaginary dealing with Christian Europeans

newly be accomplished. New Atlantis occur. In Bensalem an offi

what might

tells a

broadly

similar

tale

of

flood

and

ica,"

fabulous"

equated with "Amer surviving mountaineers, similar down to "West which is inhabited by a "young He explicitly calls "poetical and the divine or religious features of Plato's Atlantis. The drama of the
people."18

Indies,"

work rebuts the

biblical drama:
of progress.

by

Bacon's

art

Christian Europeans
accomplished

convert to

faith in

land

The

conversion who

is

for

most of

the

Europeans

by

a priest

(by "vocation")
be known

looks

after strangers

(by
of

"office").
"our
state

The Europeans
business"

ask about

the secrecy: how can the

island know

and
unknown of

but

not

by

Europe? Despite the

connotations of an
or

knower,
even

the priest rejects any

ones.

implications
not of a

"magicians"

of

"spirits

the

air,"

"angelical"

He tells

divinely

guided golden age

but
one

of an ancient

time

of great commercial and naval empires.

As their norm,

may infer, Europeans should look to the power politics set forth in "Of the True Greatness of Kingdoms and (no. 29). Yet all these empires and
Estates"

Bensalem's. Bacon can present restoring the old ways. Peru attacked Greece and was never heard from again. Mexico attacked Bensalem but was captured by Altabin, ingen
all

this navigation have

as

disappeared,

except

himself

iously
rest of

and without

force,

and

then freed before succumbing to the flood. The

at

the tale concerns the research establishment

home

and

industrial

and

technological espionage abroad.

interpretation of the relevant parts. Bacon hints, I be his to spread his new ways to the new world. The land of the lieve, strategy title, the new Atlantis vanquished by Bensalem's new ways, is America. Ba
shall venture some at con's

puzzling

conflation of the empire of Atlantis- America with

those

of Mex-

The Empire of Progress

ico
and

57

Peru itself intimates, perhaps, that

new world.
old

variety

of states

may

nevertheless

exist

in the

Unlike the

Greek

political

ways, Bacon's

will

be humane to

conquered

lands. Altabin's extraordinary mixture of ingenuity and humanity is not easy to interpret as a feat of real generalship. Might it symbolize Bacon's mode of
conquering his
and a great practical-spiritual

rival, Christian Spain? Like

"a

wise man

warrior,"

he

will

America carry the

ships;
and entoil

spiritual

handle the Spaniards, whose forces in Europe and empire, "so as to cut off their land-forces from their
power on

theirs, both
and

by

sea and

both their navy and their camp with a greater Could Bacon refer to British navies
land."

than
seas

the

expanding British plantations in the New World? Essay 29 urges a naval power; essay 33, industrious plantations. The Christian empire may eventually
render

itself "without striking

the
old

stroke."

Perhaps the

appeals of progress case

will

undermine

spirituality

within

its Spanish homeland. In that himself

the

father

of enlightenment could content

should no more

bear

him,"

arms against

"only dismissing
58

with

their oath that

they
new

them all in safety. This

strategy humane

combines vision

the new civil

forces the Essays

summon soon

forth

with wars

the

New Atlantis

propounds.

Essay
and

intimates

involv

ing
and

the

Spaniards, but
even

life

reader

many other tough secrets of state farther from the visionary surface of New Atlantis. may be excused for wondering whether these scattered allusions to
to a Baconian plan for
and
world empire.

Bacon keeps this

Atlantis
exist

amount

Yet

similar allusions

elsewhere,

they

too are hard to explain otherwise. For example, the

bizarre "Of

Prophecies"

(no.

35)

contains

the only

other reference

in the Essays
a philosopher

to Atlantis or, rather, to Plato's

"Atlanticus."

It intimates that

of may act the poet ("Seneca the Tragedian") to provide "natural for which human nature hungers. The disease and floods, the phrase reminds of the scientists in Bacon's poetic Bensalem; during their cir
"divinations"

predictions

cuits

they bestow "natural

recurs

divinations"

essay

to Seneca's alleged

diseases, floods, etc. The end of the prophecy, in his Medea, of new worlds. Bacon
of of

expressly interprets it as a prophecy care to dwell on the rational causes

the

discovery

of

America. Bacon takes

the fact that land

of such a prophecy:

lay

beyond the Atlantic

maeus and

might

Atlanticus"

distorting
Bacon

emphasis). makes

be demonstrated, and "the tradition in Plato's Ti (Bacon misnames the Critias, perhaps to awaken us to These books encouraged Seneca to invent a
appear

"prediction."

What Bacon
makes

Seneca

to

do for Plato, the

the prediction

poet and philosopher

for himself. The New Atlantis form helps

make effectual
Prophecies"

predicts new worlds

in

America; its

visionary While "Of

shows
of

poetic

how to

master

discredits false prophecy of a traditional sort, it also the art. It indicates that apprehension, the desire to know

dangers to come, is the cash value of natural divination. The essay ends by predicting political dangers. By the end of a catalogue of some fourteen fool

ishnesses,

Bacon has discredited heathen oracles, divine

prophecies

("in the

58

Interpretation
"Judea,"

East,"

of are no

etc.),

and ancient predictions, which

in hands like Seneca's

better than
modern

prophecy.

The

account moves

Rome to

kings

and empires.

from prophecy in Greece and The Spanish Armada is the only subject of
greatest

two prophecies, the last two. It

of any fleet ever. Catholic Spain remains, the great empire and the great vehicle of Christ's em pire. Against these Bacon contrives a plot in which he can also embroil and was

"the

in

strength"

form the British Spain). An

and perhaps

the French

kingdoms (which

are

threatened

by

Guiding

the poetic geography of New

Atlantis,
in the

as well as

its

poetic

humanity, is

policy.

allusion of comparable

King Henry
other

the

obscurity Seventh. Bacon singles

occurs

History

out as a

"memorable

of the Reign of John

accident"

Cabot's discoveries in North America

sailors,
rather

and praises

the explorer for

following

Plato's

antiquities"

ecies"

seems

"Seneca's prophecies, or (Works, 11:293-94; 6:196-97). The likeness to "Of Proph too close for coincidence. A bit of dark prose presents Cabot's
than prior
such as

"conjectures"

effort as

inspired by Columbus's, which is itself curiously reinterpreted. Co lumbus only rediscovered America; the original discovery had been related by a Spanish pilot who died in Columbus's house. Columbus suppressed the ac
enterprise the child of

count, wishing to "make his

his

fortune."

science and

Bacon

praises
of

Cabot's

enterprise and endued with

knowledge: he

obtained

his fleet
must

by

tell

ing Henry
son

"an island

rich

commodities."

There

be

a rea

for these

elaborate oddities.

Bacon

elsewhere compared

himself to Colum

bus, especially in being

projects

adept at

inspiring

those he hoped to attract to great

(New Organon I 92, in Works, 8:129; 4:91). Is he showing followers how to woo kings? Or is he evoking his own promise of a future land of health,
wealth,
and peace? whose

Or

might

he hint

at a

borrowing

from Christ (the Spanish

secular

navigator),

influence

will

die,

nevertheless, in the

land

produced

by

Bacon's However

science and

fortune?
obscurities, it is
clear

History encourages investing of unknown particularly of North America. While Bacon praises Henry VII for in confronting immediate dangers, he tasks him for lacking "providence to pre vent and remove [dangers] afar off (Works, 11:364; 6:244). Bacon insinuates
English kings to
patronize

one settles such

that the

"the

discovery

lands,"

and

"dexterity"

his

own providence

as tacit

explicitly

remedied.

The

account of

remedy for a defect explicitly noted but Cabot's discoveries occurs expressly
Bacon
a

never out of

chronological order and as memorable.

puts

it

immediately

after

the

king's defeat

of

Perkin Warbeck, the latest in

line

of pretenders whom

Bacon

presents as magical or supernatural

idols. The Baconian

as of state.

substitute turns affec

not

tions away from supernatural remedies. It appears the king's unending desire for security

instrument,

enemy, to

The

remainder of

Essay

58

outlines

Bacon's

greatest policy.
of new

Counsels

civil

and moral conclude with counsel as concerned with the

"stay"

to the "causes

sects."

Ostensibly
gives for-

to

"revolutions,"

such great

Bacon mainly

The Empire of Progress

mulas

59

from the

for producing them. This Machiavellian science, of averting oblivion most powerful selves, is the greatest science. Bacon discusses in turn

three conditions that are appropriate for the rise or

founding

of new

sects, two

necessary properties and then a third, and three manners of The three properties of a successful sect are opposition to existing authority, provision of license to pleasure, and if "speculative the "help of
heresies"
occasions."

"plantations."

civil

Bacon's

authority,

although not as

tional moral restraints or

new sect, like Machiavelli's, will oppose existing directly. Like Machiavelli, Bacon removes the tradi virtues, although for a liberty more moderated by and

business than Mandragola

Clizia

portend.

is comprehensively planned and not merely anti-establishment Indeed, Bacon's is more attuned to speculation or learning, and
can spread

Like Machiavelli's sect, Bacon's and licentious.

yet such a sect

if linked

with a civil movement.

Essays

and related works provide

the civil supports.

For example, "Of the True Greatness

suggests a

of

Kingdoms

Estates"

and

(no.

29)

growing
can

naval empire and also

lightly
33)

suggests expansion

by

"plan

colonies."

tation of
colony.

"Of

Plantations"

(no.

suggests an economic sort of

Nobles

invest

and

patronize;

plain people of skills and

industry

will

populate new worlds.

People

as well as crops are

thus

"planted";

the population
wealth

is the

means

for growth, wealth,

to

and

power,

and colonies

growing in

and numbers will expand

rival,

and perhaps

overwhelm, the missionary and

gold-digging

colonies of the other empire.

Eventually

"it is time to

plant with

women as well as

men; that the plantation may spread

into

generations."

Bacon

cares not at all about religious and marital

regulations, except,

as

is

also clear

from New Atlantis, for the sake of population growth. "The sinfullest thing in the is to forsake, not God, but a plantation. He may be even more sly. Does he anticipate the inde Once he calls what has been planted a
world"

"country."

pendence

from the

old world's

kings

and nobles

that such self-reliant new na

tions

are

likely
58,

to demand?

In essay
the three
always
without

Bacon has

a more comprehensive

type of

plantation

in

mind.

Of

methods of

founding, he
Atheism,"

treats coolly "signs and miracles"; here as

atheists.
. .ever

he

appears one of

the "great
no.

feeling"

("Of

16). He treats

almost

means,

"by

the eloquence and

counsel

wisdom of speech

handling holy things, but invisibly the second and Yet deep
through reform,

persuasion."

policy is in his brief

to stop

new sects and schisms

fostering agreement, by winning and advancing

and
ness."

mildness, and "rather to take off the principal authors

them than to

enrage

them

by

violence and

bitter

He

would

transform a struggle over creed

into

a plan of mutual tolerance

opportunity for rising. It is his general strategy for a civil society. Behind the counsel of moderation, however, is a strategy of war. Virtually the whole remainder of the essay is about war. Bacon shows his followers the
with

strategy
the

by

which a new civilization can conquer.

A little
of

sign:

he

substitutes

comprehensive

term

"war"

for his first description

the third means,

"the

60

Interpretation
This
war

sword."

is

conducted

in

good part

by

"eloquence

and wisdom call

in

persuasion,"

speech and

the sort that

or enlightenment.

later

generations

would

a war of

ideas, ideology,
Bacon

expects

to

contrive with words a a rise and

rise

by the

northern powers

(perhaps
weather

including
makes ence

America), "the bodies hardest,

"discipline"

North

in wealth,
will

numbers and power. yet or

Cold

the courages warmest";

he

notes

the differ

that

makes.

Wars

follow the fall

rise

of a great state

(Spain is his last example), and when a state grows to a great over did. We recall that power, it is sure to overflow. The"ancient northern Bacon plans many ways to increase population, and not least by what he men
and empire
people"

Will modern northern here, growth in "means of life and peoples increase, forcing some to overflow into colonies abroad? Abruptly, Bacon notes that rich states tend to become soft and vulnerable,
tions
whereupon

sustentation."

he turns to the

effect of

weapons,

of

technology,

upon

military

strength.

Does he

imply

that a civilization devoted to

increasing

power can with argument

new weapons overcome warlike

barbarians? Perhaps. Yet here his

grows more strange and abstract.

One
courses

wonders whether

this discussion of artillery, like Machiavelli's in Dis

redirect a

guns of

II, 17, is actually about how to spike and the church. The sequel intimates the use of
of old was waged more

the canons and

big by

strategy

of simulation and

dissimulation. Warfare
"number
rather cion

by

peoples and now

is

more

rather competent

than vast"; it relies on planning, cunning, and skill

than

force

of numbers.

Bacon's

next

step

somewhat confirms our suspi

that he is subtly

intimating

the warfare and

followers his
and

sect will

have: he
an

turns from the rise and fall of states to the

enlightened political state will

rise

fall

of

learning. Even
when

merchandise"

arts and

age,
of

and the union of

rise, especially its youth, the learning of its middle the two. Striking. Does this mean that the economic cast
as well as
of replace

fall

"mechanical

the arms

Baconian states, the prominence given to merchants, the soft affluence trayed in Bensalem, are causes of downfall? Is Bacon's compassionate
economic

por and

consciously corrupting appeal? Or must we not re member the emphasis of essay 29 upon growth in power, a warlike population, and occasions for war? That is a tough element of Bacon's civil teaching, a
appeal, then,
a

slight variation on

Machiavellian toughness.
suggests

Nevertheless, Bacon
decline
and exhibits a

that
of

modern economic states will

"learning."

inevitably
learn

further type

empire,

of

One

state of

ing
nor,

can exist

in

variety

of civil states.

There

are civil states who

and states of gover

appear

learning; in Bensalem, both

and the a

the ordinary
who

father,
secrets

is

regulated

scientist-father,
of

keeps

from

state

by a institutions,
then

beneath variety

"cloth

state"

(Works, 5:587, 397; 3:148, 156). There

nation-states,

can

be

of enlightened and progressive

rising

and

declining,
finite.

while all embrace

the science of

progress.

Yet essay 58 indicates that

even

the sect of enlightenment may be

The Empire of Progress

61

Learning, too, has

an

infancy,

youth,

a strength of

years,

an old age.

Proba
science

bly
had

Bacon

alludes

to his own science established and progressing, to

developed
earlier

and applied.

Learning, too, may become "dry

exhaust."

and
last."

Bacon

He knows uncertainty whether "the world should limits to progress, even his own progress in enduring. At this point, he coun sels averting the eyes from such "turning wheels of lest they make
an
vicissitude,"

intimated

"giddy."

us

Yet he eschews, he tells us, tales

empire and argument

of cycles or other names.

Bacon

is

steadfast

cannot

in making his do enough. If my

himself endure, while knowing that he has been accurate, Bacon's steadfastness

produced an effectual plan

for

our progress.

NOTES

1. Fink, The Classical Republicans (Evanston: Northwestern University Press, 1962) pp. 1021; Pocock, The Machiavellian Moment (Princeton: Princeton University Press, 1975); my discus
sion

is drawn from

pp. vii-x and

156-218. Consider the synthesizing it

all,"

efforts

in

a recent popular

account, Sebastian de Grazia's Machiavelli in Hell (Princeton: Princeton

University Press,

1989).

A "perfect

republic"

is the "point

of

holding Machiavelli at once "rather "fairly conventional, paganizing,

advocate of a

conventional"

according to de Grazia. That does not prevent him from in his religious practice and faith, possessed of

Christian"

ideas

of

human

nature and

the creation and

imposture"

fall,

and an

philosophy"

"radically

new political

with a

"rhetoric

of

which

"destabi

lizes the
xxi

morality"

conventional

of

kings.

2. Advancement of Learning, 9. 3. The Prince, trans. Press, 1985), p. 61.

ed.

William Aldis Wright (Oxford: Clarendon Press,

and

1900), II
of

Harvey

C. Mansfield, Jr. (Chicago

Machiavelli,"

London: The

University
p.

Chi

cago

4. "Bacon's Humanitarian Revision

5. Abbott, "The Latest

of
Bacon,"

unpublished

paper,

1983,

2.
and

Theory

about

Contemporary Review, 28(1876):141-68,

Francis Bacon: An Account of His Life and Works (London: Macmillan & Co., 1885), esp. pp. 457-60; Orsini, Bacone e Machiavelli (Genoa: E. degli Orfini, 1936), p. 9; Raab, The English
Face of Machiavelli (London and Toronto: Routledge & Kegan Paul, University of Toronto Press, 1964), pp. 73-76; White, Peace Among the Willows (The Hague: Martinus Nijhoff, 1968); Rossi, Francis Bacon (Chicago:
troit: Wayne State

University of Chicago Press, 1968); Marwil, The Trials University Press, 1976); Quinton, Francis Bacon (New York:
and

of Counsel (De Hill and Wang,

1980).

Theory

His Times (Boston: Houghton, Mifflin & Co., 1878); cf. "The Latest 27 (1875-76):653-78, and Abbott's reply, same title and journal, vol. 28, 141-68. Thomas Fowler's reply to Abbott is more airy and contains nothing beyond Spedding's, Bacon's Novum Organum (Oxford: Clarendon Press, 1889), pp. xiii-xviii.

6. Francis Bacon
about

Bacon,"

Contemporary Review,

7. I generally quote from The Essays of Francis Bacon, ed. Clark Sutherland Northup (Boston: Houghton Mifflin Company, 1936). The original spelling and orthography may be found in The Essays or Counsells, Civill and Morall, ed. Michael Kiernan (Cambridge: Harvard University

Press, 1985). 8. Alan Gilbert, ed. and trans., Machiavelli, The Chief Works and Others (Durham: Duke University Press, 1965), 3 vols., vol. 1. I tend to translate from // Principe e Discorsi, ed. Sergio
Bertelli (Milano: Feltrinelli Editore, 1960). 9. Howard B. White, Peace Among "Bacon's Humanitarian Revision of Politics: Francis Bacon
and

the

Willows,
pp.

pp.

Machiavelli,"

17-39, 42, 197. See also Kennington, 7-12; J. Weinberger, Science, Faith, and
Cornell

the Utopian Roots of the Modern Age (Ithaca:

University

Press: 1985),

pp.

17-39.

62

Interpretation
10. "Machiavelli's UnChristian
Charity,"

American Political Science Review, 72

(1978),

1217-28. 11. In a letter to the heir to the throne, 1623, reprinted in James Spedding, ed. , The Letters and The Life of Francis Bacon (London: Longman, Green, Longman, and Roberts, 1874), 7:436-37. I owe the reference to Michael Kiernan's edition of Essayes or Counsels, p. 200. 12. Trans. Benjamin Farrington, in The

Philosophy

Chicago Press, 1964), p. 104. Rossi, Francis Bacon, From Magic of Chicago Press, 1968), pp. 88-97.
13. Historiae Vitae
et

of Francis Bacon (Chicago: University of to Science (Chicago: University

of Francis

Mortis,

para.

90, in The Works

Bacon,

ed.

James Spedding,

Robert Leslie Ellis, and Dennis Denon Heath (Boston: Brown and Taggard, 1861), 15 vols., 3:426; (London: Longman & Co., 1861), 14 vols., 2:172. 14. History of the Reign of King Henry the Seventh, Works 11:319; 6:213-14. 15. New Atlantis, ed. Alfred B. Gough (Oxford: Clarendon Press, 1924), 16. I have been helped here as elsewhere by Harvey Mansfield's
pp.
s

46-47.
New Modes
and

Machiavelli'

Orders (Ithaca
17. Peace 18. The 25.

and

London: Cornell
the

University Press,
pp.

1979).
also

Among
of

Willows,
and

230-39, 243-50. See

n.

Kennington, "Bacon's Human

ed.

itarian Revision

Machiavelli,"

pp.

14-26,

40. in New Atlantis,

quotations

in this

the

next paragraph occur

Gough,

pp.

16-

Review

Essay

Collingwood's Embattled Liberalism

James W. Muller

University

of Alaska, Anchorage

R. G. Collingwood, Essays in Political Philosophy. Edited (Oxford: Clarendon Press, 1990, ix + 237 pp., $55.00).
Almost half Professor
of

by

David Boucher

a century Metaphysical
appeared.

on politics

has

of R. G. Collingwood, Waynflete a new volume of his writings Oxford, Philosophy Edited by David Boucher, author of a recent study of

after the

death
at

Collingwood's

political

thought,1

Essays in Political

Philosophy

makes avail

able eighteen selections

extracts are reprinted

from his

published and unpublished writings. or

Eight

journal articles, while ten appear in print here for the first time; of these, seven are drawn from lecture notes and three from other manuscripts among the Collingwood papers in the Bodleian Library. To these
his
are appended a

from books

1918

reader's report on
which

Collingwood's
after

unpublished

manuscript of

"Truth

Contradiction,"

and

he destroyed

the appearance

politics penned

Autobiography in the late 1930s, and parts of three letters on current by Collingwood to his student T. M. Knox between 1937 and 1940. The earliest selection was written during the First World War and the latest during the Second: the essays here collected thus span the whole of Col lingwood's life as a mature writer. Despite the curious stipulation required by
Collingwood's daughter "that
no

item

should

be

reproduced

in its

entirety"

(3

10; triguing book,

n.

cf.

viii), Professor Boucher has

which not

managed

to fashion a

readable and

in

complements and

only offers material never before published but illuminates Collingwood's other political writings.

also

After the
parts.

editor's

introduction, Collingwood's

essays are organized of

into two

The first,

"Political

Activity

and

the Forms

Practical

Reason,"

begins

with an sophical

essay, originally

published as a

investigation

of economic action.

journal article, that undertakes Despite the cleverness and

under
"prestige"

a philo

success

of

"the

economics,"

science of

Collingwood finds it

blinders. Economics has

laws"

attained great

disciplinary laboring by formulating "empirical

like,"

by

pose some
which

induction from the study of economic facts; yet economists presup "fundamental conceptions, such as value, wealth, and the they rarely define or ponder (58). Collingwood finds the clue to under
conceptions

standing these

in the idea

of economic

action,

which

discerns

interpretation, Fall

1992, Vol. 20, No. 1

64

Interpretation
economic

human intention behind

facts

rather

than simply

describing them,
a special

as of

an empirical psychologist might.

His

"thesis"

is "that there is
epithets as

type

action,

which we and

profitable,
the

ordinarily distinguish by such and "that this utilitarian the

like,"

expedient, useful,
type of action

or economic

is

fundamental fact

with which all economic science

is

concerned"

(59). Col
a child

lingwood distinguishes
who

economic action

from

action

done

on

impulse

or "an angry man kicking a "runs shouting round the (61, 62) in that economic action involves calculation. Unlike impulsive action, which follows desire "without more (61), economic action has an end that
ado"

garden"

chair"

is

"immediately

desired"

and a means
end"

necessary
hedonist"

presupposition of who sees no

the

that "is only mediately desired, as the (63). Collingwood is unpersuaded by "the
economic action and a

difference between
as

impulsive

ac

tion,

since everyone

does just like

he likes: for there is

what you

difference between
sake of some an element

simply

doing

what you

and

doing

dislike for the

thing

else

that you like

(61, 63). Economic

action always

involves

is missing in impulsive action. A like distinction must be made, according to Collingwood, between eco nomic and moral action. Borrowing in effect Kant's distinction between hypo
of prudence that

imperatives, he argues that we act morally when we set do expediency something simply because it is right. Of course one do the right for prudential reasons may thing obeying a rule for fear of being or caught, treating others decently for reputation's sake but those actions
thetical and categorical
aside

and

have

an economic rather

than a moral motive.

duty"

Only

when considerations of

utility
of

are

"subordinated to

is

an action moral.

Again, Collingwood is
the grounds

unpersuaded

by

"the
since

utilitarian"

who would explain moral action on

expediency,
chosen:

has

every prudent man chooses means in relation to an end he for there is a difference between the duality of ends and means in

economic action and their

means, though
unity": we aim

unity in distinguishable as in
and

moral

action

(61). Here the

are

end and a

the

economic

action,

"merged in

fresh

being being Collingwood, though not without a doubt as to whether this taxon omy is exhaustive (62), distinguishes actions into the three categories of impul
good

"to be good;

the only means to

is

good"

(63). Thus

sive, economic,

and moral.

Economic
sion and

action

is

marked

by

a combination of pain and

pleasure,

or aver

desire. In the

economic action called

exchange, for

instance,

one gives

up one good in return for a good that individual preference for those oranges
give

one wants even more. over

Since it is the
man

these apples that causes a

to

up his

apples
of

the exchange

for oranges, Collingwood understands this transaction one man's apples for another man's oranges, but as one for
oranges and another man's other useful
not of

not as man's

exchange of apples

apples.

Each
of

man

finds the
he

the better
preference

the exchange
what

for in making the exchange, but each gets the other because of his own subjective
exchange of oranges

for

receives over what

he

gives up.

man

has to

exchange

Collingwood'

Embattled Liberalism
market.

65

one good

for

another

through the medium

of

the

Preferences

change

from hour to hour, so market values alter. If he sets too high a price on the good he wants to exchange for another good, then his preference is ineffectual
and

he fails to find
to have been
price

market; if he sets too low a price

on

it,

then he

finds

market
seen

but buys dear. Collingwood imprudent: the

that the public

allows that some economic exchanges are

price

that a

vendor

"ought to have
price"

asked

is the is
him be

highest

pay"

will

(67). But his insistence that

value

subjective

forces him to

deny

that there is any "right

and prevents man who

from calling any willing exchange unfair (66). Even the who finds no choice but to sell his labor, perhaps, for
said

buys dear
cannot

a pittance

to strike a bad

bargain,
we

since

he only
claim

chooses

to exchange one condition

for

another

that seems better to him. Such a purchase may "offend our moral

consciousness,"

but then

really

"that this

case

an act of

exchange, but

gift,"

an act of

which would

morally demands not remove the situation from

admits

an economic

to a moral plane (65). While

Collingwood

that there are

some

kinds

of exchanges which

prostitution), his

argument

simply leads him to claim that "there

gambling,"

ought not

to be made (for
cannot

instance,

any (69

economic argument against

an end of

since
it"

the gambler

conceivably be prefers his wager

to standing pat, "and there is

n.

from the

economic point of view

4). Yet

one must wonder whether

there is not some truth in the almost that gambling is imprudent

or

universal whether

judgment

of empirical economists

Collingwood's

admission of prudential calculation

in

economic action

is

finally
In the

consistent with

his insistence

on

valuing that remains, in his terms,

impulsive.
second

selection, taken from his lecture notes, Collingwood begins

by

asking

which

things are good;

ture, is "that
we suffer goodness

the goodness of a

his answer, from arguments in thing is the fact of it being

those arguments;

a previous

lec

chosen"

(78). Here
thus that

from the

omission of

but, presupposing

is

no more

than a human choice, he bids us consider why

we

we choose

what we choose.
of

Sometimes

have

no conscious reason
goatishness.2

choosing Collingwood calls caprice, or G. E. Moore, whose "doctrine is that there is

anything"

for choice; this kind Cambridge Realists like

reason

never

any

chooses

(79),

suppose that all choice

is

capricious.

why anybody But Collingwood

holds that
sons

rational choice entails

the consciousness of alternatives and of rea

for preferring one to another. When we can explain why we chose as we (i.e., tau did, he calls our choice rational, though he dismisses as because it was we chose explanation that the good, or something tological)
"unreal"

pleasant,

since

he

understands goodness as

nothing but

what we

choose, and

choice"

pleasure as

"a

constituent of

activity, a

presupposition of

(84-85). Real
and

explanations, he

argues

here, may be
the

reduced

to three: utility,
"useful" "prudent"

right,
or as

duty.

We have already
called the eration
of

encountered

the pursuit of the

or

it may be
our consid

"expedient,"

"profitable,"

the

(86)

in

economics; here Collingwood elaborates on this type of action,

66

Interpretation
involves
ends and means.

which

Action

which aims at an end

phases,"

is consciously

understood to action: a

be divided into "two distinct

or

which and a

in fact

belong
or

to

all

"preparatory
the logical

phase"

preliminary
sequence of

"completing
or

crowning

phase"

(88). In the time

action, immediate acts,

means, come

first; but in
comes part of

sequence of a man's

desiring,

the mediate act, or end,

first. Here Collingwood's

the Leviathan.
reader will

argument resembles

that of

Hobbes in the first first essay, actions, does not

the

The
which

have

noticed

that the

taxonomy

of actions of and moral

distinguishes among impulsive, economic,

the

correspond with

cious, utilitarian,

taxonomy of the right, and dutiful

second,
actions.

which

distinguishes among capri Not that Collingwood means to

distinguish between impulse

and caprice, or between economics and utility as but his distinction between right and duty, asserted but not explained motives; in the second essay (86; cf. 86 n. 5), modifies the taxonomy of the first. That

this
of

revision reflects a refinement

in Collingwood's thought is the

"particular"

main

theme
a new

Boucher's introduction. He

offers as a

justification for

collection of writings the

"illuminate far
or

in the

short

fact that Collingwood's previously unpublished essays clearly than the cursory discussion in An Autobiography, expositions in The New Leviathan, the distinctions he wished to
more
duty"

between utility, right, and goods and of the motives for rational
make

(4-5). Indeed, this tripartite division

the
plan of

of

action suggests

the

first

part of

Essays in Political Philosophy, which the editor chose to mirror Collingwood's own order of argument. The first two essays distinguish utility from caprice;
the remaining essays of the first part
explain

how right
with

and

duty

differ from the

first two
which

motives and

from

each

other,

beginning

five

essays on politics.

In the first

of these essays

Collingwood looks

past the substance of the

state,

he finds ordinarily the focus of political theory, to study politics "from a different (92). He finds politics not only in states but also in churches,
angle"

trade unions, and municipalities, and in the relations of these associations

states.

with

Since sovereignty belongs to all political action, it inheres in all of these associations, not only in states (106-7). A focus on states leaves the observer
perplexed when practical problems arise whose solutions

depart from the

con

fines

of state

sovereignty
action, just

for

lingwood

considers political as

and economic

Nations. Instead, Col instance, action, arguing that it differs from moral action they differ from each other. While moral action is
the League
of

performed out of

duty

and economic action aims at

wealth,

political action

(such

as a

society undertakes, for

a political under good

some other reason sists ples

reason"

instance, in making a law) is performed "for (95; cf. 117). Political goodness con
which so as

in "a life lived

laws,"

Collingwood describes

as princi

"really

worked out

in thought
as

to apply to a particular region of that region, and really obeyed or in the English
"singular"

practice, really laid down

observed"

binding

within

(96). He finds

political action epitomized

which

practice of

queueing for tickets,

he has

not seen

"in any

country"

other

Collingwood'

Embattled Liberalism

67

but

which exemplifies

the

choice of

"a

political value: all

orderliness, regularity,

submission

to a rule

which applies

equally to

persons."

Again, if

you came

upon one man who was

threatening
on
.

to shoot another and you decided to

inter

fere,

though both
sort of

of

them were strangers, out of "the

. .

feeling
like

that one can't

have this

thing going
political

that,"

shooting

people

then

your not

motive would

be

(97-98).

According

to

Collingwood,
sort of

you

do
you

really

answer

the question why

you can't

have this
it"

thing, for if

did in

your action would

have

a utilitarian motive

instead. The

political motive

volves a simple resolve

ment of

that "I won't have

of what

the political importance

the Greeks

Collingwood's acknowledg called thymos. Observers

the

who confuse

economic and political action will miss a price and a

difference, for in
rulers

stance, between

fine (99).
claim

Contrary to
do
not rule n.

Thrasymachus'

in the first book

when

of

Plato's Republic,
are not

for their

own

benefit;
is to

or,

they do, they

acting

as rulers

(100

1). To

make a rule savages

regulate one's own conduct

along

with

that of
rules

others

(101). While
made

follow inscrutable rules,

admits examples

civilized men

follow

they have

themselves. Collingwood

that

even civilized rules

may
and a

develop
"the law

unintentionally, citing as
and custom of

both the

rules within a n.

family
just
as

the British

Constitution"

(103

2). Yet he discerns

such:

distinctive intention behind

getting
end,
contributes of wealth

political

action,

or

regulation, as
sake of

the

in

economic action

is for the

prosperity, the
sake of

promul

gation and observance of rules

peace"

in

political action

is for the its

own

"its

own

(108). But if

political action

has

after all

end, to

which

it

by
for

well-chosen

means, may it not be likened to

economic action

in

its

concern

means and ends

in

word, for

utility?

unambiguous echo of peace the most

cal action

Hobbes,

who

in the first

part

In any case, here is an of the Leviathan makes

claim

important

end of political
regulation"

life. Collingwood's

that "politi

is essentially
of

importance
supposes.

the political regime

(100) follows Hobbes in diminishing the and the controversy over justice that it pre
political good and reduce

By denying
form
of

any

standard of good

drain disputable
regularian

content out of

the

beyond human choice, both writers it to the mere

law.
action we makes us

In

a second

make and

essay on politics, Collingwood argues that in political follow a plan. Some would claim that following a plan

but "the unfree, but they are mistaken: "we are always free to break the more ra a real a plan is power to follow out power, something involving tionality and therefore more freedom than the simple power to do what we like
moment"

rule,"

at

any

given

(111-12). Such

a plan

sion of

"seditious

publications,"

or obscene view

which

may be as modest as the suppres falls within the proper prov

or as grand

ince
of

of

the state in Collingwood's

(113),

"as the

establishment

the Principate

by

Augustus"

begins
to

by denying

that

it

recognizes

rule"

(118): to do

one's

(112). Collingwood's third essay on politics any "form of goodness except conformity moral duty cannot be part of a political intention.

68
The

Interpretation
state makes room

for

private conscience
property"

the security

of person and of

only as part of its provision "for (119). The citizen's part is to comport

himself according to the laws according to the relying

on
argument

the land. Lawbreakers contradict

themselves,

that Collingwood silently borrows from

Kant, by

the very

presupposes

laws they break: a forger depends on a banking system that honesty even as he tells himself that dishonesty is justified by his
(121-22).
of crime anticipates

desperate
this part,

need

This brief treatment

which

the

last two

essays on politics

in

take up the

question of punishment.

Collingwood begins
to

by
and a

opposing

punishment

to forgiveness. Though both

the

are attributed

God

enjoined upon man

by

Bible, they

seem contradictory:

if

punishment

is

duty,
ness

then forgiveness

seems

like "sentimental "the

weakness"

(125); but if forgive

Collingwood
should

is

duty,
both

then punishment seems no better than revenge.

claims rest on as moral
organization of

consciousness."

argues that
not

Punishment

be

understood

is

a second crime

published

duty.)
and

a moral duty. (In this early essay, first in 1916, Collingwood does not yet distinguish between right and Nor should punishment be understood as deterrence, "as a means of selfsociety"

simply but punishment is

the "state

revenge,"

since revenge

preservation on

the part

of

(126). Such

view, compounding

"cruelty

selfishness,"

allows us

to maltreat a criminal in order to

barn-door"

"a

marauder nailed

in terrorem to the

deter others, like (127). The only just punish he

deserves"

ment

is

retribution

"giving

a man the punishment

(128). There

is actually no contradiction between punishment and forgiveness: the pain we inflict by punishment aims at no more than evoking the criminal's "self-con demnation
repentance,"

or moral

which

in turn

makes

it

possible

for

us

to

forgive him. Indeed, the best

admonishment,
home"

punishments entail no encouragement

child.

incidental

pains: a word of straight

without

any

from the stick, "goes

to a properly

brought-up

tremely
The

brutalized"

coarsened and means

Collingwood admits, however, that "ex criminals will have to be punished by less
a

"perfect"

(131).
on

second

essay

punishment, from retribution,

lecture

written

in 1929,

asks whether

its

purpose

is

deterrence,

or reformation.

Since "it is immoral to

inflict

suffering"

on someone cannot

deterrence
retribution.

simply "for the sake of frightening other be justified unless it is simply the effect of punishment
since

people,"

as

Likewise,

forcing

a man

to amend

his

ways

is immoral "un only be

less his habits justified

tion
on

are such

that he deserves to be
wish

hurt,"

reformation can

the same ground (133). The

excessive

to achieve
which

deterrence

or reforma

leads easily to

punishments,
with

may be

avoided

reining the
since an

punishment

back into line

to decide

just

retribution.

only Collingwood

by
ac

knowledges that
angry

punishment as retribution must

be carefully

purged of

anger,

man

is

unfit

what a criminal

deserves (134). Here he

draws

distinction, however, between

the political action of

determining
The

proper punishment and the moral action of

assessing

moral guilt.

court

Collingwood'

Embattled Liberalism

69

simply tries to determine whether a man "has broken the law, and if so, what delinquencies" (135). Hence some "moral amongst which Collingwood
law"

lists greed, laziness, ill temper, drunkenness, and adultery offenses; but "they are punished elsewhere than in the
political

are not criminal

courts"

(136). In its

society conformity (like the length of women's skirts) enforced by fashion and others by the courts. The good man will be concerned about the moral guilt of the prisoner in
the

life

aims not at moral

purity but

at

to rules, some

dock;

the good

judge,

as

such,

will

ask

only

whether

the

prisoner

has

broken the law (138).

After the five
two essays
essays on

politics, the first

of

part of

the book

concludes with

taken from these, "Monks and Collingwood's account of a yacht trip to the Greek islands in 1939, is the most charming of the essays. Together with some of his students from Oxford, he
on ethics.

The first

Morals,"

had
n.

visited

the monastery of the Monks of the Prophet Elijah

on

Santorini (144

1). What

they found among the

all of

monks was

music, grace,

devotion, dignity,
utilitarian

and of

hospitality;
that

these

thinking

they
of

could

upbringing."

treason to their
monks'

way find them appealing only by what "seemed a kind of His students could not but admire the beauty of
were ashamed of their admiration:

elements were so

foreign to their

the

way

life, but they

up in

They

had been taught that

wrapped

monks were at worst

idle,

self-indulgent, and corrupt; at

best selfishly

a wrong-headed endeavour to save their own souls

virtue.

by

forsaking

the world and cultivating a fugitive and cloistered

was worse than

They had,

suspect, been taught that the best

monk was a sinner to

the worst; for

whereas a vicious

be saved, and from another point of view a man doing his best, like most men, to have a good time, a virtuous monk was a man irremediably sunk in the deadliest of moral errors: a man who had renounced the primary duty
of

helping

the moral principle

of salvation.

his fellow men, and had thus corrupted the best thing in human nature, itself, into the worst, a purely individual and self-centred quest

(144)

The students, no crude materialists, were willing to grant the social utility of music. But the monks were removed from society. What good was beautiful
music without an audience to

hear it? Still,

no

after

living

for

few days, the

visit

students

had found
and

"moral

faults"

closely with the in them (145).

monks

After the

to

Santorini,

yacht, Collingwood
sions.

conversed with

especially during the night watch on the his students about their contrary impres
the Santorin music.
mathematics was worth

Perhaps they already

agreed

prized pursuits as useless as

For

instance, they

that pure
even

while, despite its

lack of social utility; for result was to increase the

mathematics
worth

if the

pure mathematician

published, the only

number of pure mathematicians.

If

others

found

pure

while

and

were

proud

to

have its

practitioners

in their

midst, then

they felt
what

that their life

was of some

benefit to themselves. The

Yet the

Greeks
way
of

around

the monastery clearly held that view about the monks and their

life. But

if their

admiration was

simply

superstition?

view

70
that

Interpretation

"utility is
But the merely

goodness"

the only

contradicts

itself (147). In the

reasoning

world of

the

utilitarian, reasoning
cedes.

about means proliferates while

about ends re

ends must as means

be

good

for

their own sake and cannot themselves

else:

be

sought

to something
useful
bankruptcy"

for if

ends

disappear altogether,
choiceworthy.

then

means are no

longer

for anything

intrinsically

Col

lingwood likens "the

moral

flation in economics, where in real goods: if "everything So if

the
we

people one

of this unbending utilitarianism to in find themselves rich in banknotes but poor of

does is done in the hopes

comes,"

purchasing
living"

by

its

means a satisfaction which never

then "life

is

not worth

(148).
way,"

trust our impression "that the Santorin way of life is a good their honored monks, then
we

including

may find

ourselves obliged

to defend

monks against our

Protestant,

secular,

utilitarian

world,

even at

the risk of

Oxford "of corrupting its young during being their nocturnal dialogue. But, after all, he asks, "What is the use of travel if it doesn't broaden your mind? And how can it do that except by showing you the Collingwood's
accused at

men"

goodness of ways of

home,

ought

to

be

bad?"

life which, according to the (149).

the first part,
"Duty,"

prejudices you

have learned
his

at

In the final essay understanding

tional
action of

of

Collingwood lays
rational action.

out

peculiar

the third of the

motives

for

Any

sort of ra which

obliges one

to give up "the

particular

kind

of

freedom

belongs to

action,"

capricious

for "obligation in
one

general

is merely the denial

of

do something that contributes (150). To act usefully to one's end; to act rightly one is obliged to obey a rule. Yet both utility and (151): one can choose which means to lightness still allow a "relic of
caprice"

is

obliged

to

caprice"

use or of

how to

act within

the law.

Moreover,
nor

utilitarianism offers no explanation

why

one chooses a given

end,

does

regularianism explain

why
to

one rec

ognizes a given rule.

Only

when one acts out of

duty, according
kinds

Colling

wood, does the element of caprice still present in disappear altogether. Hence "duty is completely that "a
person who

other

of rational action which means what

rational"

(152),

does his discretion

duty

has

no

option; he has

got

to do exactly

he does; he has
tion that allows
as a practical

choice"

no
no

(151). Collingwood

understands

duty

as an obliga

one which springs

from "the

situation

in which,

agent, I find
to the agent
not

myself or place myself

(153). Both
unanalysed

situation and
individuality"

action
(154).3

appear

in their "unbroken
clear

or

But it is

immediately
might appear

why

duty
as

has to it

point

inexorably
appeared

to a

single

action;

and

it

to the reader,

must

have

to his

students when

Collingwood

presented this argument as a

lecture,
got

that this un
it"

derstanding
action

of

duty

is tautological: "I do this because I have

to escape from these difficulties

to do

(153).

Collingwood is his

seeks

by

connecting dutiful

to a theme that might surprise us but for the fact that The Idea of History
most

famous book. "There is

history,"

thing

called

he

writes

here,

and

"every Briefly

situation which

the historian studies is an

individual

situation"

(155).

he

summarizes

the argument of The Idea of History that each

historical

Collingwood'

Embattled Liberalism

71

and can only happen once; that the men who made history did because of their situation; and that the historian's view is they determined by his own historical situation. He concludes that "the conscious

event

is individual

acted as

ness of

duty

is thus identical

with

the historical

consciousness"

(157). Though
the individual

historical study is
or regularian actions of men

still confined

by
of

historians

who

fail to

rise above utilitarian

analysis, the idea

duty

allows us to understand

in

history
he

"Granted,"

as rational.

for instance,

that Gladstone was the man he was, conscious of himself as standing in the
situation

in

which

was aware of end of

himself

as

standing, the historian is able to ask

how he came, towards the

and

his life, to

pursue

Irish Home Rule

as an

end,

to

pursue

it,

though unsuccessfully, through the means of parliamentary action.

And these

questions are

historically
events of

answerable.

(158)
can under

Instead
stand

of

imagining

the

history

as

accidents, the historian

their necessity. Instead of supposing that the French revolutionary capri

ciously chose to recognize a certain rule, and to obey it in a certain way, "the historian may hope to show that he recognized that rule because he had to
recognize

that rule and obeyed

it in that

unique

way because he had to obey it

in that

unique way"(158).

Collingwood's understanding of duty, the crowning element of his political philosophy, thus depends on his philosophy of history. That philosophy, which owes much to Hegel, bids us believe that the choices men make in history are really contingent upon their own willing, and thus that Gladstone had to pursue Irish Home Rule, Augustus had to found the Principate, and the French revolutionaries had to wield the guillotine. All of these actions appear to Col
not

lingwood to have been imposed historian

could understand

by duty

on

the

men who

took them, if only the

to
common sense

how. Yet his

took these

view runs counter

in

denying
seems and

that the

men who

actions might

have

chosen otherwise.

By

attributing to
to

duty

many historical

actions

that seem anything but

dutiful, it

excuse or our an

justify

actions

that are usually considered morally culpable;

it belies

rather than

ordinary understanding that duty has a moral or religious basis historical one. Aside from these moral drawbacks, Colling

wood's view of

history

leads to the
men

unwelcome conclusion

that the historian's

themselves

duty

is to

understand

the

he

studies not as

they

understood

but

in a unique way imposed upon him by lingwood's insistence on deprecating the freedom
what
caprice"

has happened
we give

since.

Despite Col

up

by forsaking

"the

residue of

in

other

kinds

of action

in

order

to do

our

duty, he leaves

our most rational actions

ment

in

which we act.

entirely subject to the accident of the historical mo One can hardly help wondering whether this understand
philosophy to the
well-worn paths of our own
freely.4

ing

of

duty,

which confines even

era, does

not underestimate man's

ability to act and think

Certainly
political

Collingwood thought himself bound

of

by duty

not

to

conform

to the

fashion

his day. The

apocalyptic

theme of the closing paragraphs of

72

Interpretation
which might almost

An Autobiography,
considered

be

called a

jeremiad

against what

he

the

increasing

acceptance of

fascism in the Britain

of

the late

1930s,
in

finds
the

a more sober echo

in

several of

Collingwood's letters to T. M. Knox in

second appendix of
part of

Essays in Political

Philosophy

(232- 34). 5

The
and

essays

the second

the

book,

which

the

editor calls

"Civilization

its Ene his

mies,"

show and

how Collingwood thought

rest of

about

the public questions

of

facing

country "The Present Need

to public debate
solution ple

the

the civilized

world.

He begins the first

these essays,

Philosophy,"

of a

by

arguing that philosophy

problems not

can contribute

on

intractable

social

by dictating

the correct

but

soluble"

by providing failing which,

allows

a conviction

"that

all scientific problems are

in

princi

he avers, there is
the
provide

a great

temptation simply to

conclude
ble"

"that the

special problems of

modern world are

inherently
is
a
can

insolu

(168). What
that
all

philosophy to
are made

this
so

conviction

growing
no evils

assurance

human things

by

men,

that

"there

be

obstacles

in any human institution which human to human progress (169). This

neither as as

cure"

will

cannot

and no permanent on a view of man

assurance

is based

"conceived
natural

lifted

clean out of nature nor yet as the and sharing to an eminent inward essence of all

forces, but
second

sharing,

degree,
(170).

plaything of in the creative

power which constitutes the

things"

In his
as a

brief essay of this part, "The Rules of lecture in 1933, Collingwood announces a practical
purpose

Life,"

originally
rather

written
an aca

than

demic
with

in his

pedagogy:

"I have

not

materials

Schools."

for writing a successful Instead, he seeks to make his

should act.

paper

been trying merely to supply you on Moral Philosophy in the

to students in
world as one
firm."

own experience useful

deciding

how they

He describes their

"whose

chief

While their parents singularity is that nothing in it can be trusted to stand were brought up in a framework of institutions that seemed certain to last, "this 6 framework has (171). The older generation can never "entirely
collapsed"

themselves"

adjust customed

to the change but

darkness."

can only "grope uneasily in the unac Collingwood describes two unsuccessful tacks they took:

first they
treme
good

embarked on a

bootless

attempt
of

"to

rebuild what

had in fact been

to the other ex this

finally destroyed";
time."

then,

despairing

success,

"they

rushed

and plundered

the ruins in which

they lived,

and called

having

It is up to his students to make themselves "at home in that dark and to learn to find their way there. Amid the ruins of the old system have been born new movements, both religious and political (amongst which
ness"

fascism), all of them sharing "a spirit of he deprecates the growing popular clamor Gently for a leader, suggesting that a worthy follower would have to have a defensible way of life before he professed allegiance to any leader (172). Collingwood lays down three rules that his students might follow: (1) "know
communism and
work."

Collingwood includes
serious constructive

yourself,

which

(2)

is the only way to find the independence that a man needs to be happy; "respect which means not to give in to a reductionism that belityourself,"

Collingwood'

Embattled Liberalism

73
and

ties human nature and denies

a proportion

between the He

body

and

the soul;

(3)

"orientate

yourself,"

which allows a man

more

to rise above

fear

and anger and

to

treat love as

than an animal appetite.

new

concludes

students'

desire to leave "a

preface

world"

to their children

appealing to his (173-74).

by

In his 1927

to Ruggiero's

History

of European

Liberalism,

repro

duced here
as

as

the third essay of the second part, Collingwood

defines liberalism
and achieve

the principle that assists "the

progress"

individual to discipline himself in it

his

own moral authoritarianism and

(175), discerning

ignorant democracy.
liberalism is

happy Combining
a
on

mean
a

between overbearing democratic "respect for

human

liberty"

with an authoritarian
government,"

insistence

practised
enemies"

now under

"the necessity for skilful and attack from "powerful and danger
of

ous

(176). That
Politics,"

attack upon
which

liberalism is the theme

an

the

following
liberalism

essay, "Modern

is taken from

undated manuscript entitled

essence"

"Man Goes
as

Mad."

Therein Collingwood describes "the

as

of

"the idea

of a

community

governing itself by
to a

fostering

the free expression

of all political opinions that take shape within

unity."

reducing this multiplicity

cies, majority votes,

of opinions

it, and finding some means of Parties, territorial constituen

simply means, and not indispen for sable means at that, assuring that opinion is freely expressed on political questions (177). This free expression of opinions is to be not just tolerated but
and parliamentarism are

actually fostered,
education

since

it improves the

nation's politics and provides a political

centuries"

to

citizens.

For "the last three

this idea of political

States"

life has
im

been developing,
portant

with

"France, England,
even

and

the United

the
the

most

contributors.

Collingwood judges it
civilization,
though

achievements"

of our eralism

"certainly it is hardly
it

one

of

greatest

finished (178). Lib

is

not well suited

to every political situation:

war or violent

would not

be

chosen

by

a nation

in

acute

danger from

crime,

which

has

an urgent need

for less talk

and more

force. is
attacked

Liberal
and calls
were

government

from the right,

which rues

its

inefficiency
emergency Collingwood
the power

for

resolute action

by

powerful experts

as

if

a state of

the

permanent and proper condition of good government.

fears that

even

of parliament
civil service.

in England, "the home of the parliamentary is giving way to government by the cabinet
principles of

system,"

and

the permanent
most precious

But the
man

liberal

government of

"are the

possession
ment

that

has

ever acquired

in the field

politics";
over

and

free

govern crimi

is

possible

only

when government

"can appeal,

the heads of

nals, to
the

body

of public opinion
acts"

wisdom of

their

brutalize

the populace

sufficiently educated in politics to understand (180). To take away the right of public debate is so to as to leave them unable to do more than "to throw up
another"

one gangster government after

(181). Liberal

government

is

also at

tacked from the

left,

which claims

that liberalism is only an attractive cloak

wage-earners.

beneath

which capitalists plunder

the

Within the

capitalist sys

tem, according to their argument, free debate

occurs

only among the exploiters;

74
the

Interpretation
exploited class can

ples;7

by waging war upon their oppressors and establishing the temporary dictatorship of the proletariat. Collingwood is friendlier to this attack from the left, since it aims to vindicate liberal princi method of the socialists (182), who have but he rues the
redress

find

only

"anti-liberal"

borrowed from "Kant's essay that ushers in a "happy

warfare

on

Universal
and

History"

the idea

of a revolution

millenium,"

from Hegel
socialists

a glorification of class

(183-84). Collingwood teases the

are

ideas they have borrowed digested lumps of bourgeois

cal

"obsolete"

that

by arguing "they

that the politi

are,"

in fact, "un
thought"

ideology

in the

stomach

of socialist

(184). It is
"madness"

to abandon
of

to blame ideologues

liberal principles; but liberals are perhaps too apt the left and right for the ills that have come over them.
tone that

Collingwood

argues

in

a moderate

"nothing

is

gained

by blame:

some

thing

perhaps,
not

itself for

by trying having applied

it

to

(184). Instead, he blames liberalism to international relations or to private business the

understand"

generous principles

established

in domestic his

politics.

It

would

be easy to

miss

the fact that Collingwood is actually criticizing liberalism for

a moderation

that the that

its founders
millenialism

would

have thought

realistic:

argument

is

not untinged with explains

he decries in Kant. In the

us with

case of
more

foreign affairs, he

our neglect

has left

"weapons

destructive,

wars more

expensive,
smoul was
govern

and national

dering

everywhere."

hatred (a thing hardly known in the seventeenth century) Within the body politic, this "external
private realm of

illiberalism"

mirrored

in the

business,

which was

held

exempt

from
men

ment control. serve each

Only other by

Adam Smith's

"extraordinary

doctrine"

that

actually

serving themselves kept them from seeing the truth in the life in liberal society (185). Thus liberals themselves, must reap the harvest of "the failure of our grand That

socialists'

critique of

according
fathers"

to

Collingwood,

to apply their own principles consistently.

attacks

failure, however,
against

hardly

justifies the intemperate

application of

from left

and

right, "not

the

incomplete
selves"

liberal principles, but

against

those principles them

(186). essay
of

The

central

the second part,

reason

1940, inquires into

Collingwood finds
"vital
warmth"

the

for the
the

appeal of

originally published as an article in fascism and Nazism. Here

of

another cause of

decline from

liberalism: the loss

In the
spirit of

of

its

at

the

heart,

which comes

religion.

John

Stuart Mill's

argument that uncontested opinions

he

argues

that just as "Greco-Roman

heart,"

civilization"

degenerate into dead dogmas, met its demise when its in

the collapse of its
civilization
spiritual was suc

heritors "lost
underpinnings ceeded

liberalism is threatened
which,
of after a vital

by

(187). For

Collingwood, Greco-Roman
youth,

by Christianity,

suffered a curious

fate

during

the scientific revolution

the Renaissance. Modem science carefully divided

parts,

Christianity into its and discarding the

rational and superstitious

residue

(188). An

"Illuminism"

preserving what was logical became orthodoxy among

Collingwood's Embattled Liberalism

educated

75

men,

who

did

not scruple

to

disguise their

hostility

towards

religion.

The

was, in "distilled" Collingwood's view, from Christianity; but it disdained the religious beliefs that might have helped to sustain it (189). Christianity seems to him the
speech and
real source of

political principle of

"free

free thought for

everyone"

the idea that every

man

has "infinite

dignity

worth,"

or man

which

in

turn is the ground of our liberal rights; these gifts came to each

because

of

God's love for human

us and the

intercession liberal

of

Christ (190). The Christian

view of

nature which entails

principles survived

long

after

Christianity
fascism

had been discredited. Even in the

or

countries which

have

succumbed to

Nazism,

most people

believe in "liberal-democratic
power,
can
a psychological

ideals."

Yet the fascists

that their
oppo

and

Nazis have "a

to

driving
with

dynamism,"

nents

lack. While liberals

hardly

be troubled to defend
men, but
of

liberalism,

the fas

cists seem

fight

the power

not of

demons (191). Neither the

that it owes its

Marxist it is the
success

claim

that fascism is a class movement,

nor

the populist suggestion that

creature of

big business,

nor

the

publicist's confidence

to propaganda is
our

sustained

by

fact. The truth is that

while

liberal

argu
and

ments, in
that

makes

which

'Leader,'"

his thoughts may be (192). Fascism, "harks back consciously to the Roman and its "worship of a appeals to what Collingwood calls "the pagan that have
though
Empire"

day, are merely him irresistible,

cerebral, the fascist "thinks

with

his

blood,"

"silly"

survivals"

been

allowed

by Christianity
is

in

Italy

and

Germany

(195). essay of the second which describes our "util

rejection of

Our itarian
magic,

neglect of emotion

also

the theme of the sixth

part, taken from

a manuscript called

"Fairy

Tales,"

civilization."

Collingwood

observes

that our

thoroughgoing

which expresses

businesslike";
them

we

emotion, leaves us proud to be "sensible, rational, hold that every act is justified by its utility (197). What is not

useful we tend to suppress.

We

are afraid

to embrace our emotions,

finding

a worrisome residue of our savage past.

As

we are apt

to discredit its

expression of

in

art and

discountenance emotion, religion as useless things (198).

we

We

misunderstand

the customs

savages, supposing that

they

must

be based

on the same utilitarian calculus

us

that moves
and

our own actions.

Yet if

magic

helps

to

"resolve

conflicts"

emotional

to make necessary adjustments in our

practical ourselves

lives,
(199).

our rejection of emotion

may

prevent us

from understanding

essay of the second part, extracted from an address to Belgian in 1919, considers what Collingwood calls "the Prussian distin (202). He begins by denying that imperialism "is fundamentally The
seventh students
evil,"

philosophy"

guishing instead between "right imperialism the which he calls "a necessary over the less
mankind"

rule of element

the

more civilized education of who would

civilized,"

in the

and

the "false

imperialism"

and evil

of

the

Germans,

impose the tyranny

alism caused the
which

of one civilized people over another

(201). German imperi

philosophy"

Great War, but he finds its genesis in the Prussian philosophy, diminishes the individual and exalts the state. "This strange

76

Interpretation
but
not embraced

was expressed

by Hegel,
his

who

"was too

great a

thinker to

believe in it Hegel's

entirely."

Marx

made

proletarian

rational

state.
will

imperialistic"; its

In the Prussian view, the state could "only be defined as a will to

Prussians'

dictatorship as absolute as was "conquering and

power,"

in Nietzsche's
disease,"

"very
which

formula"

for the

"crude

message"

(202-3).
a

Schopenhauer's
claims

pessimism was a sign that the

Collingwood
disease"

attributes

undergoing to Hegel's philosophy. He flatly

and

Prussians

were

"spiritual

that "this

spiritual
theory"

caused could

the Great War

that

"only

the

eradication of

this

bring

peace

(203). The

error of

the Prussian philosophy

is in its he

belief in the
Even the

unlimited power of

the state: for power must always

was

have limits.

power of

the Christian God

limited

by

the moral law which

created and would not

break. Collingwood therefore Nations

as

recommends

international
when

law

and

the

League
warns

of

proper antidotes

to the omnipotent state

(204). But he
again, it
will

that "the Prussian philosophy is

and

not

crushed";
of

it rises (205).

threaten "disaster

death,

the destruction

civilization"

In the
gium)

nations'

civilized
must

task of civilizing the world, every nation (even Bel

we must not yield omnipotent.

play its part; but

state should

to the Prussian disease

concludes

of

supposing that the

be

Collingwood

by

pos ab

ing

this

stark alternative: either we embrace

"mutual

service and

devotion,

negation of zation and

self,
of

of

class,

of

race, nation,
or we

and

language in the
a

service of civili

world,"

the
with

"see Europe "there is

desert,
third

silent, unpeopled,

uncultivated; riddled

the craters of shells and scorched black with the

fumes

gases."

of poisonous

In his

alternative"

view

no

(206).

Collingwood's

penultimate

essay

the longest of the

second part

to the same danger

by considering what he calls "three laws of delivered as a Hobhouse Memorial Lecture, it served as the basis for what nally Collingwood later published, in less readable form, as the twenty-fifth chapter
of

politics

leads up Origi

The New

Leviathan.9

He defines
will

determine together how they

rulers and second

society as a community whose members live. The first law of politics is that there are
a

ruled, those
explains

who make

laws

and

those

who

law

that the division between rulers

and ruled

obey them (209). The is

"permeable."

At

a minimum

it

must

be

so

because

of

the

fact

of

death,
(210).

which means

that the

ruling
rulers.

body

must replenish

itself or be
ruled

extinguished
can

competent persons

from the

class"

Only "recruitment of eventual defect of the supply

Since, however,
own ranks as

the ruling

matically, it
ruled

must make provision

into its

does not supply these vacancies auto for accepting people who begin among the (211). The third law is that rulers are those who take
class

the

initiative,
In
a

Collingwood divines from the

ruler sets an example

original

meaning

of

the Greek

word arche.

The

to

be imitated

by his

subjects

(212).

wood

long but tersely written digression by this digressive writer, Colling illuminates what he means by the three laws. The digression begins by

considering Harold Laski's complaint against T. H. Green, who refused to call Tsarist Russia a state because of its strong inclination to despotism. Colling-

Collingwood'

Embattled Liberalism
What he

11

wood sides with

was

Laski, arguing
meaning

that Green
"state"

"confused."

was

confused

the

"scientific"

of

with

the practical question of how

Russia

ought

to be treated. In other words, Green mixed up values ("practical

statements,"

Green,
when

whose

in Collingwood's terminology) "indignation got the better

of

with of

facts ("scientific
scientific acted

statements").

his

bent"

because he
who,

found Russia's treatment

he
was asked

thinking
meat';

men

abhorrent,

like

someone

"what

sort of meat

had been

offered

is

perfectly

beastly

sort of

telling

you not what

had replied, '"It [is],10 the meat but what

him,"

his

practical reaction to
last,"

it

is."

Collingwood

suggests that the cobbler should

"stick to his

and

that as a political scientist Green had no business making

same
of

a condemnation of

Russia. At the

time, he
an

mentions

that the Chamberlain

government concealed

"the horrors
deception"

the concentration

camp"

from the

public
war."

"to

prevent

indignation from "this

flaring
ruled,

up into
the

inopportune
not,

and

hopeless

He

asks whether

was criminal or of need

which reminds us of

the

division between

ruler and

for the

rulers

to recruit from

among the ruled, and of the importance of examples set by the rulers (213-14). Collingwood seems to be hinting that Chamberlain and his men were wrong to

try

to hide the villainy of the Nazis from people who would later have to fight

them mies,

that
as

as political rulers political scientist

they

can

be faulted

not

for criticizing their

ene

the

Green did, but for But he leaves his

show

failing

to criticize them. Col

lingwood's

conclusion seems

to be that

political scientists and statesmen should position

be held to different

standards.

very murky,

perhaps

because it
After
a

would

be hard to
digression

why this criticism of Chamberlain is any

of

more scientific

than Green's criticism of Russia.

on

second

the meaning
point

the

"state,"

word

in

which

Collingwood
realization

suggests that the

turning

in its

history

was

Machiavelli's

that

rulers should enlist rulers achieve

the active energy of the ruled

(215), Col

lingwood

why rior intelligence provides

asks

ascendancy over their subjects. Though supe rational basis for rule, "H. G. Wells wrote a fantas

that, although in the kingdom of the blind the one-eyed man should rule, the blindness of the many might keep them from acknowledging the superior fitness of the one-eyed man (217). Madness com
story"

tically

unpleasant

to show

petes with
of

rationality in claiming the right to rule madness that puts Orthodox Christians in mind

most of all of

the creative

kind

rant

has the

appeal of
Politics,"

this false currency; and,

by

the demonic. Plato's ty "a reversed action of the

Third Law For sanity

of
requires

the

madman engenders more madness

by

his

example.

exertion:

"it is

much

easier

to speak and act and write

are."

crazily than to do it intelligently; you just let yourself go, and there you The impressionable democratic mob finds new leaders who carry the madness
to
new

extremes; shouting
admits

with a mob

"is the

do"

easiest

thing anybody

can

(221). Collingwood

that he never expected the sudden collapse of the

French in 1940. In retrospect, he finds its cause in the legacy of the French weakness for Napoleon, which divides them from England and makes them

78

Interpretation
blandishments
of

susceptible to the

leaders

who sympathize with

German tyr
was

anny (222). He
gether

concludes

the essay

by

claiming that his discussion

"alto
for

neutral"

between

political

systems; but he disclaims any scientist's abil

ity

to predict the issue of the Second World

philosophers

War,

then in progress. As

German

like Hegel
The

future,
be

"more fools

they."

and Marx, who thought they could foretell the future, Collingwood assures his readers, "has to
hearts"

made

by

us,

by

the strength of our hands and the stoutness of our

(223).
The book's final essay is
a

draft

preface

to The New

Leviathan, Colling
civilization"

wood's attempt to elucidate what

he took to be "the
replaced

revolt against

in his book "law

own

time (224). (This preface was

by

a shorter one when

the

was published and

in

1942.) He
and

understands civilization

as a condition of
under

peace."

order, prosperity,
win

Civilized

men

live

"definite
come to

rules";

they

their livelihood

without

taking it from others;

claim, from the

and

they

agreement with their own will

fellows

rather

than relying on violence to enforce their

(224). Rebels

against civilization

left,

that it

fails to

others; from the right, since only civilized cowards forbear from exploiting their fellows (225). Germany, which prefers barbarism on ac count of the latter claim, is "fighting for the destruction of Eng

live up to its own ideal by allowing that "the very ideal of civilization is

some men to exploit

false,"

civilization."

land fights
The

against

Germany; but "what

only "that
we are seeks

we are

fighting for,
to defeat the

knows."

nobody
enemy,"

government says

fighting
of

which

is

hardly

illuminating. Collingwood

to provide his "own

answer.

In

order
what

to show that "we are

civilization

fighting

in defence

civilization,"

he has to know

is. To

answer

that question

forces him to
must

ask what a

before he
the brief
revolt

can understand a will

society, he

know

what a man

society is, but is (226). So The

New Leviathan

limn

theory
in the
and

of

man, society, and civilization,

but only in

compass required

present crisis what

to prepare a man to consider the

against

civilization,

a civilized

society
reader

might

do to defend
not

itself.

By

this account The New Leviathan

is

a piece of war

writing, though
what

war propaganda:

Collingwood

means

to offer

his

"just

the present

He concludes the draft preface by paying emergency demands, and no homage to Hobbes, whose "Leviathan was the first book in which the idea of a
expounded"

more."

civilized

society

was

consciously

and

systematically

(228). Ac

cording essays leaves

on

to the plan established

off where

by its editor, the new volume of Collingwood's The New Leviathan begins, encouraging us to embark
Boucher, in turn,
of
makes

Collingwood's final he

and most neglected work.

The

New Leviathan the

philosophy,
viewed
which

centerpiece of

his

own

study

Collingwood's
to the

political

undertook as a companion volume

book here

re

(3

n.

10). is to be
commended

The

editor

for

having brought

together the disparate

essays of student

this volume and making them a whole, somewhat as

earlier

Collingwood's
a
par-

T. M. Knox did

in compiling The Idea of History. With

Collingwood'

Embattled Liberalism
with

79

tiality
while ern and

may be forgiven he concludes his own study have warned us "of the dangers "many
that
academics"

the remark that

which confront mod so of

civilization,"

no one

incisively,
be

as

R. G.

Collingwood.""

has done it "so eloquently, and few Our own appreciation

part of

passionately Collingwood
com

must

more modest.

In the theoretical first

account of

the

new

volume, he
account of

bines
and

variations on

James Mill's

utility, Hobbes's
more

right,

Hegel's

account of

duty

in

a welter of

ideas

thought provoking than

consistent.

In the

more practical second

part, he advances

always persuasive view of

the dangers
convince some such

facing

a trenchant, if not liberalism. There is enough of

Collingwood in this book to

and a

the

reader

that he
as

was a serious

thinker

devoted teacher. But in the first

judgment

Henry
and

Jones

wrote

in his
now

reader's report on

Collingwood's
as well:

manuscript

"Truth

Contradiction,"

published

appendix to this

book,

might well

be

applied

to Essays in

Political
I have

Philosophy
read

every

word of

it,

and

done

so with

lively interest;
its

which

is

as good a

testimonial as I could give to a book. But I cannot feel that I have a clear estimate
of

its

worth.

Not that it is unintelligible,

such

nor that

problems are unfamiliar, or

its

doctrine strange; but that it has

contradictory

qualities.

(230)

NOTES

1. The Social

and

Political Thought of R. G. Collingwood (Cambridge: Cambridge

of these essays

University

Press, 1989).
2. One
pretend notable

feature

is Collingwood's

critique of psychology.

Psychologists

but he sternly confines their empirical science to describing the actions of men insofar as they are not determined by reason. Though Collingwood dismisses the psychologist's argument that our reasons for choice are all unconscious,
to offer a comprehensive account of human action, that the psychologist may be able to help a man to understand and correct "capricious if they "are actions, that is to say actions that interfere with the life he is trying to (81; cf. 58-59). Unfortunately, however, psychology can alter healthy actions as easily as morbid ones, just as a surgeon can amputate a healthy limb; so "for everyone except those who

he

admits

actions"

'morbid'

lead"

suffer

from really

serious psychological

disease the only

writes

sensible advice

is James Thurber's: 'Leave Boucher

reports

alone'"

your mind

(82-83). Here Collingwood

from

experience:

that he
consid

"took psychology seriously enough to undergo a full 50 it" (81 n. 3). ering himself qualified to comment on
3. One
concludes necessary: should compare
man's

sessions of psychoanalysis

before

Collingwood's brief discussion

on a given occasion

of

duty

that "a

duty

is the

act which

in The New Leviathan, which for him is both possible and

to make it
or

the act which at that

a

moment character and circumstance combine

inevitable,

if he has

free will, that he

and

Civilization,
4.

do": The New Leviathan, Barbarism (Oxford: Clarendon Press, 1942), 124.
should

freely

will

to

Man, Society,

by

the adequacy of Collingwood's understanding of history was suggested The Review of Metaphysics 5, no. 4 Leo Strauss, "On Collingwood's Philosophy of (June 1952), 559-86. daylight" 5. Collingwood's account of his life ends with a ringing promise to "fight in the

My

argument about

History,"

against

fascist irrationalism: An

Autobiography
of

6. Compare the

second paragraph

Churchill's

(Oxford: Clarendon Press, 1939), 167. preface to his autobiography: Winston S.

Churchill, My Early Life: A Roving Commission (London: Thornton Butterworth Ltd., 1930), 9.

80

Interpretation
1. See his famous
remark

I began reading Marx": An Autobiography, 152; but Essays in Political Philosophy, Boucher's convincing argument
whenever about

that a part of him "used to stand up and cheer, in a sleepy voice, see also, in the introduction to
against

the common

view

"that

the time that Collingwood wrote An

Autobiography his
of

political views

had swung sharply to

the

left"

(7-30).
History,"

8. See Strauss, "On Collingwood's Philosophy 9. See The New Leviathan, 184-91. 10. The text
11.
"it"

563.

reads

here in
and

Boucher, The Social

presumably in error. Political Thought ofR.G. Collingwood, 243.

place of

"is,"

Book Review

Tibor

Machan, Individuals and Their Rights (La Salle, Illinois: Open Court, 1989), 250 pp., cloth $32.95, paper $16.95.
Nino Langiulli
St. Francis

College, Brooklyn

Had the
munism

events of 1989 the and

collapse,

theoretically
not

and

practically,

of

Com

in Central
occurred

Eastern

Europe,

to speak of its palpable

fragility

in China
would

before Professor Machan's book had been published, he have been able to offer the reader a less pessimistic, more truthful,

though no

less ironic text to

serve as and

his

epigram.
says

dera's The Book of Laughter

Forgetting,

the

That text, from Milan following:

Kun-

Yes, say
place.

what you will

the Communists were more intelligent.

They

had

grandiose program, a plan

for

brand

new world no great patch

in

which everyone would all

find his
a

The

Communists'

opponents

had

dream;

they had

was

[sic]

few

moral

principles,

stale and of

lifeless to

up the tattered trousers of the

established order. compromises and

So,
lost
all.

course, grandiose enthusiasm won out over the cautious

no time

turning

their dream

into

reality: the creation of an

idyll

of

justice for

As

an escapee

from Communist Hungary, moreover, Machan

Communists'

might even

have

celebrated

the fact that the the

opponents

without

the grandiose
all,"

dream,
longer
social

without

moralistic and

dreamlike

rhetoric of

"justice for

but

armed with those run.

few

moral principles and episode

the

love

of

liberty,

won out

in the

The China

demonstrated that

all

the Communist

Utopians

had left, if there

ever was

anything else,
not of

was mere rhetoric and

brute force. Not

justice,
of

not

power,
a

authority, just
those

mere rhetoric and

moral

brute force.
more espe

Machan's book is

defense

few
and

principles, but

cially
on

that

liberty

both
of

presupposed

by

time it is a defense

the reality of persons

as

resulting from them. At the same as individuals whose rights hinge

the right to property

pursuit of

the necessary

condition

for the

practice of virtue and a noble

the

happiness. It

is,
and

to say

it

somewhat
of

archly,

defense

of

libertarianism. In this lies the originality

conceptions of

his thesis: the

attempt

to rescue the
mechanis-

life, liberty,

property from their

associations with

interpretation, Fall

1992, Vol. 20, No. 1

82

Interpretation

tic materialism and empiricism and to join them instead to a certain kind of
moral

individualism

which

he

calls

"classical

egoism."

ethical

It is

an attempt

to establish modern virtue on an ancient

basis,

to wed the truths in

Thomas

Hobbes, John Locke, David Hume,

At the
same

and

Adam Smith to the truths in Aristotle.

time, Machan studiously

various critics of political

and

laboriously

takes

into

account what

he

calls

"the
the

cognitivism, egoism,
count of
critics of

foundationalism, individualism, and

results

meta-ethical

naturalism, ethical

capitalism."

His taking
of

ac

these positions is concomitantly

an affirmation of

those

very

positions

the critics deny. This

in

a unified

texture

his

affirma

tions and their denials.

an

That unity is established instructive introduction,

over

the course

of seven

chapters, two postscripts,

preface.

and an even more

instructive

ideas developed in the book, Machan tells his readers, were such other forums as philosophical and political journals
volumes to which

Many "partially
as well as

of

the

aired"

in

in two
also

he contributed, The Main Debate,

and

of which

he is

the

editor,

and

Ideology

American Experience.

A In
to discuss classical ethical egoism

order

philosophically

and not

merely
and on

ideologically,
tological

propagandistically, or casually, Professor Machan

this reader concurs, that

he

must confront an epistemological

believes, issue, an
,

issue,

and a metaethical one. requirement of modern

The first is to dispel the

foundationalism, i.e.

speak

ing

the truth

means

speaking necessarily

and with absolute

without

that p means saying that ~p is

gether.

impossible)

dispelling

certainty (saying foundations alto

The

application

here is that Machan

wishes

to define the concept of

rights truthfully and soundly without having at the same time to imply that the truthful definition is "some final, unalterable timeless statement that corre sponds to some final, unalterable, timeless (p. 1). Rather, the truth of the
fact"

definition

In the case of rights, like many other truths, is "context the definition of rights, the contextual boundary is that of social morality, poli tics, and law. Correlatively, it is bound to that wider "context of human reality
of

bound."

in which not all that one wishes for is available just by wishing (p. 1). But to say that definitions are relational is not to deprive them of their objectivity. Just as a right not existing apart from a context of persons
within a world
it"

living
ple,

together is

not

deprived

of objectivity, so too a scientific principle sun's rays shine on skin

holds
exam

conditionally Machan
ever

yet objectively,

//the

pigment, for

certain results would obtain maintains

(p. 2).

that human beings possessed rights

was

they

now

have, how

clearly

or

unclearly this

known, from

the time that

human beings

Book Review
began to
ence and exist.

83

Here he

addresses

himself to the
a

challenge offered to the exist

knowledge

by Kantian-Platonic/Cartesian model of knowing is a kind of timeless, changeless, entailment relation. Referring to knowledge accounts in the work of Keith Lehrer and Stuart Hampshire, Machan answers the first by asserting that con
of such

knowledge
which

rights

holds that

mutual-

textual aspects of
and sufficient

knowledge

should

be

admitted

into the meaning

of

necessary
wherein

conditions,

and

that Gettier-type counterexamples

possible and not should

merely
serve

conceivable
a

(i.e., logically
of

really possible)

scenarios not

to defeat

definition

'knowledge'

be

rejected

because

to

do
a

so

is to lose the ideal

concept of
which can

knowledge
attained

altogether

by requiring

"fantastic"

be

He
sense

answers

Hampshire

by

asserting:

only by an omniscient (1) Language is not conventional in the have

it to live up to mind (p. 6).

to

that a person can choose to have

or not

it,

although

he

can choose

use a particular

language. (2) The

rules of

language

are not created ex nihilo

but

develop
as

gradually through the

case with other

recognition of their

suitability
a

and effective

ness,

is the

tools.

(3) Language is
whereas

not a mere game.

"Games (p. 5).

the
of

are optional activities

in human life is that the

language is
seem

basic have

tool"

Machan implies that Hampshire

order of

and others

like him

to

reversed

analogy,

which

rules of games are analogous to

the rules

life

and not

the other way around.

similar

Hampshire is

to

(4) The model of knowledge invoked by means "to be unaltera Lehrer's, i.e., "to know that
p"

bly, forever
Machan

certain, beyond
that

a shadow of conceivable

doubt in

p"

about

(p. 6).
self-

repeats

such a requirement

for knowledge is impossible

ground

and one

defeating. To
pendent of

seek

"an

independently

identifiable
and

reality,"

inde

human consciousness, is impossible

reality,
no other ground

to

show

that something is the

actual ground of

being

possible, is to require

infallibility,
(p. 5).
a more

incorrigibiMty,
At this

and perfection

the qualities of

divinity

not

humanity
rules of

point

in his

epistemological

propaedeutic, Machan suggests

appropriate conception of

knowledge

by

regarding the

language the

way Aristotle did in one of his formulations of the principle of noncontradic tion: "It won't be possible for the same things to be and not to be [not] just [as]
a matter of the word

but he

where

it's

a matter of the
on

thing"

(p. 5). What is

the require
model of

more,

although

Machan does
what

not

impose
or

himself

or

his

readers

ment of

meeting

calls a

fantastic Kantian-Platonic/Cartesian his

readers without

knowledge,
cal ples of

he does

not

leave himself

any

epistemologi princi

foundations. He

settles on and

for the Aristotelian

view of

the basic

substantive rather

reality (noncontradiction, identity and excluded middle) understood in a than in a purely formal sense. The fact that there are mathe
to the principle of excluded middle

matical objections

does

not vitiate

Aris

totle's basic
concepts

metaphysical

position, according to Machan (p. 7). A system of

in this

case one which

includes those

"individual"

"rights"

of confirmed

and

resting

on such principles
and

learned from Aristotle "is

(p. 7).

repeatedly in

all

action,"

thought

to which Machan adds unnecessarily, "and also on the

perception"

processes of

sensory

84

Interpretation
In
addition

to a proper

epistemological

basis for his

support

argument about
ontological

"indi

viduals"

"rights,"

and

Machan turns for further

says

to the

issue,
have

the nature

of

human beings. He

that if it

is the

case

that individuals

rights,

these rights cannot be

grounded

only

on either

convention, contract, or

interest. For these interests

"the
not

presuppose

something else, i.e., something that is natural,

not

something that human beings are, such that the conventions, contracts, and
occur or exist.

Machan is

deaf to the

criticism

that the concept of

not exist or

individual"

is recent,

however,

a concept that either

did

did

have

ontological

the alternative of

priority in medieval or ancient discussions. He mentions "the having ontological priority in these discussions
family"

but argues, among

tual system. The
would

other

things,

that this may have been a mistake of omission,

an

albeit an understandable one

due to

inadequate development
of the concept of
of what was

of our

concep

recent so-called

invention
a

the individual

then

be

not an

invention but

discovery

implicit in the

'family.'

concept of
alism"

Machan then human

addresses

himself to the issue that "individu himself

has been
the

associated with

those

philosophical concepts which entail a

rejection of

concept of

nature.

He formulates
exists and

and addresses always

to the

following

dilemma: "the individual

has
or

existed, in

which case

there is no human nature and natural

and

rights;

the individual has

been invented rights

of the
since no

there is a human nature, but no individuals have natural

exist

individuals

to have such

rights"

(pp. 8-9). The dissolution

first, he says, in arguing that individualism has had an inadequate philosophical base, presumably Locke's and more recently Sartre's, and then in finding the adequate one, Aristotle's, which reconciles individuality
and human nature in such a nonreductivist way as to offer a conception of human beings who, while being members of a species, are the cause of some of their own actions. Thus they would possess not merely numerical individuality but, through choosing some of their behavior, individuality in the significant political sense of

dilemma lies

possessing individual natural rights (p. 9). Machan proceeds, then, to consider, and to discard by way
various ontological positions which

of sound argu

ments, the

deny

human

choice or views

freedom.
such as

Among
not

the positions he considers are

mechanistic and

scientific

Newtonian physics, Skinnerian

behaviorism,
In the

Darwinian

natural

selection,
and

to speak of those philosophic doctrines which accept a materialist

course of

mechanistic physics such as positivism.

more nor

his arguments, Machan

than

hints that he
with a

considers a

teleological

view of nature neither obsolete

incompatible

rigorous

nonreductivist science. considers as

The third issue that Machan

central argument

preparatory

groundwork

for his
and

is the
"is"

metaethical one of
"ought,"

the

"distinction"

between facts be

values, between

and

between

nature and morality. would

Although he
congenial

does

not put

it in the

following
the

way, my formulation

to

him, namely

that while the distinction is

version of

It is the dogmatic

true, the division or separation is distinction he disavows. This is to say

facts
and

not.

that
one

there are not two worlds

the world of

the world of values

but

Book Review
world with

85
pair.

interrelated
it this

aspects.

One interrelated

pair

is the kinds

"fact-value"

Machan

puts

way:

Values may be

regarded as

of

fact

and

many

facts

must

awareness.

be inferred, especially those not immediately accessible to sensory He then proposes a theory to explain how values are indeed a spe fact. The theory
existence.

cies of complex values come

says that with

with

the

emergence of
of

living

things,
moral

into existence,

and

the emergence

human life,

values come

into

Since

living
bad
of

things can perish, whatever contributes

"disvalue,"

to perishing comes to be regarded as

or goodness

or

so

that the idea of value

derives from the fact

life. But lives

which

are not all

identical. Nor
of

are

the standards of value or goodness

by

the

best way to live. Human best way of life is to

range
,

being

is the kind

of

differing living being

kinds

lives find the

that discovers that the

rear

"adapt"

to its environment through the capacity to

it (i.e. free choice) and thereby take advantage of and create a number of options to forge a successful life. Morality, then, is the set of general principles
that
members of

the human species

what

must

discover in
a

order

to live a successful
concept of value or

human life. This is

goodness.

Machan
are

means of

Good

and

bad

features

by living

fact-based

human being.

"They

are objec

tive

relational

features

living"

or aspects of

(pp. 18-19).

Having established the groundwork for his central thesis, Machan, in the body of his book, proceeds to develop the argument through a set of proposals
which

he defends
which

against

their critics. He provides a brief summation of

entirety.

his

thesis,
We

is

worth

quoting in its

as

human individuals

are responsible

for

doing

well at

living

our

lives. This,

when

understood, implies a system of moral and political principles. It

each person should aspire to

implies,

morally, that

live rationally
conduct,

as a

human individual be left free

Each person, in

and, politically, that regarding their

chosen

everyone must

from,
short,
own

and should seek protection

against, intrusions

by

others.

must be left with a rightful, defensible sphere of authority to make his or her for example, play it safe or take risks, develop or falter, stay way in life apart from others or join with them when this is mutually agreeable. All this rests on a conception of ethics as a firmly-based yet contextual system of guidelines required

by

human beings because they lack automatic, built-in

(instinctual)

prompters

be

argued

for how to carry on with their lives successfully. In what follows it will that the human self ought to be understood along not Hobbesian but
egoism

Aristotelian lines. Then the indeed

that emerges

will prove

to

be the best
(P.

and

most noble ethical system on which to ground a sound politics.

27)
this

It is equally

worth

summary especially the novel points expressed in the last two The individualism which Machan defends is that

so as

examining in somewhat greater detail to illuminate further not only the thesis as a

some parts of
whole

but
it

also and

sentences.

conception of

which

he

86

Interpretation
to
collectivism. of of

opposes

To Marx's

notion that

"the human

essence

is the true is the

man,"

collectivity
true
of

Machan

opposes

the

notion

that "the human

essence

individuality
in

man"

(p. 21). The

since

main reason

he

gives

for his treatment

other

the human essence is that

virtue of

human beings

are

distinguished from
possess,
thought

living beings
form

the form

of consciousness

they

and since

this

of consciousness

namely

rational and conceptual

implies the

capacity for creative original thought, individual not a collectivity which is individual brain is do
necessary individual human beings who
collectivities none of these. a
are

then

it is

correct

to argue that

it is
that

an

capable of original

ideas. For this the

reminder
and

prerequisite.

Machan

adds

the

it is

born, live,

enjoy, suffer,

die,

whereas

If this is so, then individual, because of

moral and political values arise.

The

rational and

free

a creative role

in governing the

wrongfully as well as rightfully in sustaining and morality. Since individuals spend most of their time
moral principles
which sustain

his life, can act enhancing that life. Hence

course of
with other

individuals,
must also

the
a

and enhance

individual lives

be

guide to public and economic policy. The rules that govern communities, there

fore,

must

be

such

possible. uals what

This is done

they

must

individuals to flourish in the best way best, according to Machan, not by rules telling individ do for and to one another but what they must not do to and
that

they

enable

for

one another.

Government is established, then, to

with one another as

protect

individuals from
chosen con

and against

interference

they

engage

in their

duct. The

name

for the

power

to choose the conduct of their

life

so as to sustain
government

and enhance exists

life is "natural

right."

The

name

for those rights that Hobbes

to

protect of

is "negative

right."

Most
one

this sounds like the natural

rights doctrine

of

and

Locke

on
or

hand

and

the individualistic political economy of

required

Adam Smith. Egoism

self-interest

is

by

these doctrines. But while Machan admits

egoism

he defends he
of

calls classical and

an egoism

this, the finds in Aristotle. Herein lies the

originality

his book. Such

he

regards as a sound system of moral

ity,

not

since

merely a crutch for libertarian politics or capitalist economies. Indeed, Machan considers ethics as conceptually prior to politics or economics,

he expressly admits that he would abandon negative liberty and libertarian poli tics if classical egoism were to demand their abandonment. This admission is
qualified with the admonition

that
a

rational

self-development,

i.e.,

classical ego
author

ism, is

hardly

conceivable

in

society

where some

individuals have the

ity

to tell others what to do rather than what not to do (p. 29).

The task liberal

of

separating

a version of egoism

for the basis for

ethics and

for

capitalism without

overstretching the very concept of egoism or

version

having

it

collapse

into the Hobbes-Lockean

it. He believes that his

such

version will escape

is formidable, the logical and

and

Machan knows

ethical solecisms of

formulations

of

the Hobbes-Lockean

version offered

by

Milton Friedman

and

George Stigler.

Book Review
every individual serves his own history have served their "private
. . .

87

private

interest.
as

The

great

Saints

of

interest'

just

the most money grubbing miser

has

served

his interest. The

private

interest is

whatever

it is that drives

an

individual. (P. 26)

Man is eternally a utility-maximizer in his home, in his office (be it public in his in his scientific work in short, everywhere. (P. 30) private), church,
.

or

Machan
totle's

replaces

the isolated

and atomistic

individual

with what

he

calls

Aris

"self-sufficient, self-loving human

it is "closer to is the
eighth

being"

because it is know

"sensible"

more

than the other version and

what we

about

human

beings"

(P- 31).

The Aristotelian text

egoism"

which

point of

departure for Machan's "classical

the ninth book of the Nico

ethical
machean

is from the

chapter of

Ethics.
a man were always anxious or

...

if

justly, temperately,
were always

in

accordance with

to

try

to secure

himself, above all things, should act any other of the virtues, and in general for himself the honorable course, no one will call such
lover
of

that he

a man a

lover

of self or

blame him.
self; at
all events

But

such a man would seem more than the other a

he

assigns to

himself the things that in himself

is (P.

are noblest and

best

and gratifies

the most
as a

authoritative element

and

in

all things obeys

this;
with

and

just

city

or

any

other systematic whole

most

properly identified

the most authoritative

element

in it,

so

is

man; and therefore the man who loves this and gratifies it is

most of all a

lover

of self.

37)
arise

Machan is
of

not oblivious

to the objections that

support

immediately
In

about

this use
second

Aristotelian

material as

for

ethical egoism.

fact,

in the
this

sentence after the completion of the

quotation, he asks:

"Why

'egoism'

call

in this way a most obvious objection. Aris totle appears to be contrasting the moral individual with the egoistic one. The moral individual performs noble actions and obeys reason, the most authorita
He
anticipates

in the first

place?"

tive

element

in him,

and not self-love or self-interest.

whether

The

end

for the

sake of

which actions are

performed,

they be

of

the class of moral or of in

tellectual virtues, is the

actions

themselves and the satisfaction

derived from
self-

performing them. Some

such actions
one's

may

require

the sacrifice or denial of

interest,

such as or

risking

life to

save another's.

If

self-interest

is

not some

times denied

sacrificed, then the notion of self-interest or egoism collapses

into those
In

versions of and

it that Machan

wishes

to avoid, as

found, for example, in

Milton Friedman
an

George Stigler.
page

endnote on

214, in

which

Machan discusses the Aristotelian

anticipates another serious ob

passage with respect to

interpretations

of

it, he

jection to his few that the

use of

Aristotle for libertarian

reviewer

ends.

The

objection

is

one of

the

present

has to the book. Machan

quotes

from Jack

88

Interpretation
of

Wheeler's essay "Rand and Aristotle: A Comparison totelian in which Wheeler rightly says:
Ethics,"

Objectivist

and

Aris

In

a certain

sense,

no

Greek

can

be labeled

an egoist

any

more

than an

altruist.

The

whole

issue

of egoism and altruism reconcile one's own

is

modem.

Indeed,

the entire project of

or the

attempting to society
of man.

interests

with

benevolence
and

interest

of

as a whole seems

clearly to start with Hobbes

the Hobbesian

view

Machan does
individual
thought is
this

not answer

this objection. The

response

that the

notion of

the

emerged

later from its implicit locations in Nor is the

response

classical and medieval

not sufficient answer.

sufficient.

to the question
ultimate

'egoism'?"

Machan's

replies that
or she will

"the

"Why call beneficiary of

he
or she

moral conduct
be"

is the agent, in that he

well

be the best

person

can

(p. 37). He

adds that the point of

morality is to
sometimes

give

human beings

"a

guide to

doing
all

in life, to
as

living

properly, to conducting themselves

rightly."

But

these,

already said, may is

abhorrent

involve

self-denial or

self-sacrifice.

Machan insists that

egoism

because the

standard version of antisocial

it

tends toward greedy, envious,

lustful,

and, in general,
which entails

behavior
good

behavior that is incompatible

and

with

morality

generosity,

will,

noncalculating loyalty. The

objection

to standard egoism about its

inability

to resolve conflicts of self-interest in principle or in

objection

fact is

for

classical egoism

inasmuch

as

in this

version

question-begging it would never be in

in

one's genuine self-interest to

The thrust

of classical

do the morally wrong thing (p. 33). ethical egoism is that "everyone ought to
possible"

strive to
not abide

become the best individual human

making
ity"

being

(p. 61). It does

some

individuals the

"resources"

may be inherently human, says must be a matter of choice (p. 61). In this way, whatever is morally dubious in egoism disappears for him. Ethical egoism or individualism, he repeats, is not
an ethics of

for others, however. While "social Machan, i.e., implicit in human nature, it

greed, ambition,

or

power, but one

of self-development.

Its

politi
self-

form, rights, is concerned with the development in as peaceful, "though not necessarily fraternal ner as can be obtained (p. 61).
cal

the doctrine of natural

expansion of
familial,"

or

man

problem

must

be

noted

here

with

Machan's Aristotelianism. It

would

that he disregards the singularly characteristic line of Aristotle's Poli a line which does not mean tics, "Man is a political animal by merely that human beings are social by nature but rather that individuals become hu man in and through the city. This means that the kind of life the city makes
appear
nature,"

possible

this social form

is precisely the human life (i.e., the life cannot be thought of solely as
condition

of reason and

liberty). Hence
but
as a

a matter of choice

necessary

for

human life. It is

no sin to

be

selective

in

one's

Aris

totelianism, however.

Book Review
Machan's
politics

89

politics are

Lockean, but his

law

wish

and

desire

are

to relate this

to an Aristotelian ethics understood as ethical egoism which establishes

natural

the content of the

state of nature.

ethics and which

Locke

claimed governed the

that

should

This is to say that "eudaimonistic guide human conduct prior to the consideration

individualism"

is the

ethics

of civil

law (p. 95).

Machan
ment

substitutes Aristotelian ethics understood as an egoism of self-develop for Lockean ethics, whereby every man is an executive and an execu tioner of the law of nature. The problem may be one of an appropriate fit here.

The Lockean
place of

ethic

fits

with

the Lockean state of nature

because the latter is the

Hobbesian

war of everyone against everyone.

The Aristotelian

ethics

fits

with

the Aristotelian political society, which

as

is primarily
of natural

cooperative

in

character, starting

it does

with

the desire that unites men and women and the

fear that

unites master and slave.

Locke's doctrine

rights fits

com

fortably

with

Locke's

political

doctrine. Aristotle's ethics,

understood even as a

benevolent egoism, seems to be ill fitted for a Hobbes-Lockean politics. This is not to say that Machan's attempt to provide a sound and even hu
mane moral

theory for libertarianism is

accepted

not original and

interesting. He

says

that once it is the tee

conditions

that every

individual

ought to pursue a good

life,

then

that are necessary to make this possible, although not to guaran

conditions
persons

necessary tinues, demands that

and retain some conduct would

it,

are

for justice (p. 123). Ethical egoism, he con be treated in such a way that their right to acquire
not

domain

of personal

be difficult if

authority be respected. Complete rational impossible without this domain of personal

of

authority,

expression of

liberty, and jurisdiction. The respect for the domain justice, while the domain itself is concretely
"property"

expressed

authority is an in the

right to property (p. 137). Machan takes the term

ean sense of one's own

first in the Lock

must

person,

such

that the

individual,

not

others,

be the

final authority in conducting his

exchangeable
sons"

or

her life and, second,

"anything

tradable or to per

[items,

skills,

or other

valuables] that may be

of value

(p. 140).
again admits at this point
were

Machan
period

in his

argument that prior to the modern

individuals
the
same

thought of

by

prominent thinkers as part of a and

whole,

while at

time

personal

privacy
critics

property did

not receive emphasis.

But he

rejects

the

view

of

those critics who exaggerate the point and draw

invalid inferences from it. These individual

that
at a
and of

claim, moreover, that the

are

notions of

the

they

sovereignty discoveries based on a better understanding later point in history. But he readily admits that
are and of private

his

moral

inventions. He,
of

however,

asserts reached

human life

extreme

doctrines

of

individualism
as

property,

i.e.,

those that understand the individual

entirely

unique and separate

from

everyone

else,

capable of
which

isolated

self-

sufficiency,

are unwarranted.

The

concept of

privacy
is

he defends is that

which signifies the aspect of a person which

autonomy, in the

sense of self-direction or

from others, namely self-governance. This, in turn, is the

separate

90

Interpretation
for
private

moral presupposition

property

such

that an individual

possesses nat

urally the authority to keep, use, or give away the things which belong to him and such that he (not others) is responsible for whichever choice he makes as to their disposition (p. 141). Machan finds a medieval suggestion of his view in
the thought
of

William

of

Ockham

(who,

through some oversight,

and

is

placed

in

the twelfth century rather than in the late thirteenth

supposed to
also

have held that "private property is a that "natural right [being] nothing other than

early fourteenth). He is and dictate of right

reason,"

a power

to

conform

to

right
of

reason"

modern

(p. 141). It may be no accident, but it is mildly ironic that hints capitalism can be found in an English medieval Franciscan.
rational moral

At any rate,
alternatives.

life

requires a reflective

deliberation

on available

responsibility for the decisions or choices made from these Of course, deliberation about and choice from alternatives implies jurisdiction over the alternatives. In a totalitarian regime of a socialistic kind,
alternatives and then

both deliberation
could clear

and choice would about

be

so restricted that each of

me"

its

members

(p. 144). Without a his actions, "Nothing is up to rightly say distinction between what is ours and what belongs to someone else, says
moral confusion sets quotes

Machan,

in

and confidence about

criticism

leading

a moral

life is

in the Politics concerning common in the tragedy of common own and says that what is tragic ultimately property ership is that even if an individual were determined to fulfill his responsibili ties, it could not and would not be clear what his responsibilities are (p. 144).

lost (p. 143). He

Aristotle's

Hence property rights are necessary for the practice of the moral life (p. 147). A political economy which permits and guarantees to its participants not only
the ownership of property but the derivative right to exchange
wish or use

it

as

they

is

one which

is best

moral

life. That
for

such a

for the possibility of human individuals living a political economy does not at the same time guarantee
suited

equal economic results and avoid market

failures is

not and should not

be

ground

government to

property in the name of The coercive power of government exists, precisely in the forms of defense and crime fighting, to protect the lives and property of its members so that they may engage in a rational pursuit of self-development (pp. 150-51). Machan's defense of property rights and a free enterprise political economy is a disavowal of Marx's conception of private property and human individuals
on one
saying:

disregard property rights altogether or to redistribute a moral imperative to redress economic inequalities.

hand

and of

defenders

of capitalism on

the other. He quotes Marx as

The

right of man to

same

arbitrarily,

without regard

property is the for

right

to enjoy his possessions and

dispose

of

the

other men,

independently

from society, the

right of selfishness.

(P.

153)
that Marx is speaking of the worst
pessimistic view of

Then he correctly
private

points out

property

and an

inordinately
are

arguments against

both

too obvious to be repeated

possibility of human intentions. The here.

Book Review
Machan's
italism
more

91

interesting

who are economists

tempting to be purely theory of science, these

"scientific,"

criticisms are directed at those champions of cap pretending to be value-free social scientists. In at in a false albeit not falsifiable positivist

economists who

defend the free

market presuppose a

normative viewpoint as well as a controversial conception of

the

good

(p. 154).

When they defend the superiority

of the

free

market

system,

they defend the

even,
argues

superiority

of private

property

over collectivism or welfare-statism

Machan,

when

these economists attribute no more merit to the system than its

adds that this purport adversaries of capital

efficiency for producing what people want (p. 155). He edly value-free posture is so transparently false that the ism trade it to discredit the transparently best discipline which studies it (p. 154).
on

economic system and

the

Machan does concede,

nected

however,

that Marx was not mistaken when

he

con

the right to private property with egoism. Marx was mistaken,

though,

in taking the Lockean theory of rights as entailing the view of the individual as essentially an isolated monad and the view of the relationships between individ
uals as

essentially those of Machan admits separation

when

separation and conflict. as entailed

by

The only respect in which the Lockean natural right position

each person

it is joined to

classical egoism or

is in the

is

responsible

for his

her

own actions of conflict

moral sense, whereby (p. 172). The rights to life,

liberty,

and of

property

are not

instruments

between individuals but "conditions

survival."

existence required

by

man's nature

for his

proper
"nature"

The

words within
"proper"

quotation marks are

those of Ayn Rand. Although

and

are

stressed, the entire clause can be understood, in a purely Hobbesian sense,

however,
the
quotation

"proper"

with

moral weight

In this way, the meaning that Machan wishes it to bear. Indeed,

employed

"own."

clause would not another more

bear

lengthy
foun

from Ayn Rand is

wishes

by Machan

to strengthen the moral

not seem

dation he
needs.

to

build for libertarianism, but it too does

to fit his

As Rand

puts

it,
the logical transition from the principles

'Rights'

are a moral concept that provides an

guiding

individual's

actions

to the principles guiding his relationship to others

the concept that

preserves and protects

link between the

moral code of a man and

individual morality in a social context the the legal code of a society, between

ethics and politics.

(P. 172)

This

not say enough in order to establish what it claims to estab transition from the principles guiding an individual's logical "the lish, namely, If there were a actions to the principles guiding his relationship to passage

does

others."

mention or suggestion of

have

reason

to hope for

support

respecting the rights of others, then Machan would from Rand. There is no mention of how the

society is to be forged. The moral code of the individual may involve only self-interest in a purely hedonistic sense, and the legal code may mean merely the coercion link between the
moral code of an

individual

and

the legal code

of a

that the

government

may employ to

keep

people

from

interfering

with each

92

Interpretation
Without the
concept of

other's pleasure.

duty

as

its

correlative, the concept of

rights

cannot

Machan

considers

do the job logically, morally, but rejects a rights theory defends

what

or politically.
such as

that offered
which

by

Alan
to

Gewirth,
secure equal

who

he

calls

the "supportive
of

state"

is

supposed

for

each

individual the rights

freedom

and well-being.

Everyone is

in possessing these rights. But in the attempt to reconcile the right to liberty with the right to well-being, Gewirth, according to Machan, does not it is
vital

prove

that well-being is something others must provide an individual, only that for the individual's life (p. 197). Furthermore, Gewirth 's defense of a

welfare-state ence

theory
values

of rights

between

only

others can produce

fails to take account, says Machan, of the differ for the individual and those which
exists not

almost all adults can produce

for themselves (p. 198). A right to freedom

others

because autonomy is something that an individual possesses if take it away. Freedom cannot be given, only taken and regained.

do

Well-being
not

is
in

different, according
do
or

to Machan. Individuals may lack it apart from

what others

don't do to

or

for them (p. 198). While the

as a

dispute, regarding it
impose laws for the
on

right is

a mistake.

well-being is For if it were a right, it

value of

would

individuals

legally
as

enforceable

duties that they do

(p. 199).

not

have. The

which authorized such an

imposition

would substitute

the concept of need

concept of
Rawls'

justice

the basis for

legitimacy
theory

John

version of

the

welfare-state raise

that inequalities the

worst

are mor as

ally
as

and

legally
are

justified if they

those

people who are

off,

far

needs

concerned

(i.e.,

the economically

disadvantaged),

to a higher
one

standard of

living
The

is

paradoxical at

best (p. 200). Rawls believes that "no

nor merits a more must

deserves his in
Machan

greater natural welfare

capacity

favorable starting is

place

society."

state, therefore,

remedy the
must

unfairness of nature. essen

says

that the paradox lies in the

theory

that moral character

tially

obtained

by

accident.

If this is so, then Rawls

effort

deny

at

least implic How

any merit to individual moral deeds. Character is

itly

because

character

is

what explains a person's

not obtained

through effort but

by

accident.

then,

asks

Machan,

can a person earn

the right to anything

Rawls'

of value

by

improv
to

ing
out

the lot of the

poor and

needy,
makes

as

theory
of

requires. of

The
who

appeal

character or virtue that

Rawls

to improve the lot

those

have lost

in life

must

fall

on

deaf

ears

unless,

course, the appeal rests

not on moral

grounds

but

on sheer

force

of government

to establish and maintain equality

which, in turn, is understood as the only index of fairness. Machan concludes that the welfare state promotes rights
which are

and entitlements within a

keyed to
system

government

capitalist

a harsh rights formulated first by Locke and defended by himself and other libertarians limits individual rights to those of life, liberty, and property. These rights are derived from a conception of human nature as having a moral aspect. This is to say that each human individ-

need

interventions because the individuals equalizing forces to remedy both nature and
A doctrine
of natural

socioeconomic system.

Book Review
ual

93

other

has the responsibility to pursue the best possible life for himself and that individuals may not interfere with either the effort or lack of it to meet
of
groups"

that responsibility. The task

must

remedying the inequalities and harshness of life be the responsibility of "voluntary cooperating individuals and (p. 203). The worry that individuals will not accept this responsibility cannot be relieved by the appeal to a coercive state which, experience has now taught
everyone

but the

most

dogmatic

of

ideologues,

produces

ities

and greater

suffering,

not to speak of greater

only greater inequal injustices. The doctrine of

that a government

natural rights

defended

by

Machan includes the

expectation

which protects

the rights of

life, liberty,
and

that

will

be prosperous, decent,

and property just (p. 203).

will produce a

society

in

Professor Machan has

one:

written a

book that is

excellent

in every

respect

but

the nagging

doubt it leaves in the

mind of

the reader about the central

thesis,
ethics.

the ontological priority of the individual with egoism as the

basis for

He is

quite right and persuasive about

the concept of the individual

lying
more argu

implicit in
concept of

ancient

thought only to be discovered

required

by

modern

thought. Yet the

one

the individual

by

an ethical egoism

is

that

is

compatible with ment

Epicureanism than
the libertarian

with

Aristotelianism.
the individual

Stretching
between

the

to

redeem

concept of

from its Hobbes-Lock

egoism and opposition

ean origins altruism

is

even more

dubious. Just

as

the

opposition

is

neither an ancient opposition nor a and collectivism

true one, so too the

between individualism
state) is

(or between the individual

and

the
and

neither ancient nor

true. In such ancient texts as Plato's

Apology

Crito

as well as

becomes

human,

Aristotle's Politics, it is evident that the human individual i.e., leads a human life, only in and through the city. This is
characteristic sentence of
nature."

the meaning of that

political animal

Aristotle's Politics: "Man is

the
characteristic
life."

a of

by

This is the

purport of

line

Plato's Apology: "The life

of

without

inquiry

is

not a

human

It is the burden
not

the speech

of

"The

Laws"

stood as natural

but

as of

in the Crito, the city is only higher worth than the individual inasmuch
wherein

under as

the

individual becomes human only through the

tions
of

city.

In the

other political associa

the

ancient

world, the tribe and the empire, neither

individuality

nor a

human life high

are probable,

according to Plato
must

and

Aristotle. Tribes do
not manage

not achieve

civilization.

Empires, being large

an

societies, do
a

to generate the

kind

of

freedom

individual

have to lead

human life. in this He

Machan does

mention

the first opposition, that between egoism and altru to

ism, but does

refers

not attend

it,

as was pointed out earlier

review.

to the
of

second

in the
of

context of

issue

the priority

the

family

responding to those critics who raise the to the individual and those other critics who

94

Interpretation
concept of the
not altogether

say that the to the issue

individual is

a modern

invention (p. 8). He

attends
non-

satisfactorily, for

while

he is

correct about a

abstract notion of the

individual

lying implicitly

in both

ancient and medieval

philosophy, the notion is discovered in

modern

philosophy but then trans

formed
an

within

the context of
and

contractarian political philosophies.

individual"

In this trans
abstraction,

formation

by
as

Hobbes is the
and

Locke "the
The

is just

as much an

artifice,
the

state.

appearance of concreteness

is

created

by

attribut

ing
for

desires

fears

of a person

to the

abstraction of

"the

individual."

In

the Hobbes-Lockean
and with

social over

polity, the individual has

concern

decisive

preoccupation

himself

belongs

by

social consent.

and selfish
an ancient

individual

by

which he any Machan tries to remedy this concept of the abstract releasing it from its modem context and by tying it to

he has for the community to

one, specifically Aristotle's ethics,

somewhat

which

in turn he

calls an ethical

egoism.

Since Machan himself is

that there is

dubious

about such philosophers as

Rawls

believing

no need of

grounding for ethics, we must assume tic atomism of Hobbes-Lockean individualism for the teleological individualism
should
of

any metaphysical and epistemological that he is prepared to drop the mechanis

and organic

Aristotle. He

says

as

let

go of

the notion of egoism.

much, but in this case he must and He cannot do so, however, because the

notion of egoism

is tied to the

notion of

rights,

and got

Machan may

not

be

pre

along fairly it. And giving up the notion of rights means giving up the libertarian concep tion of polity. While Machan does replace a modem view of ethics with an
pared to yield the notion of ancient
with an

rights. Yet Aristotle

well without

one, he
ancient

can

hardly

be

expected

to replace the
of

modem view of

polity

one

without

being

accused

nostalgia, romanticism, or,

worse,

ahistoricism. might concede a

Perhaps Professor Machan

egoism

little,

at

least to

understand

that

is

not so untroublesome

altruism opposition posed as a

a basis for ethics. Not only is the irrelevant for Aristotelian ethics, it is simply irrelevant. If either egoism or altruism it is a false disjunction disjunction
egoism-

because
the

sometimes a person

may

choose

for himself,
of

sometimes

for

others on

grounds of a

different
a

ethic such as cannot

that

would

interest may be say, it is defined

virtue, but it

love. Furthermore, selfbe the basis for ethics, or as Socrates

duty

or

not virtue self

itself. Still

further, if interests

are

limited to the

self

as

by

the

(for how

else could

they be defined in

an egoistic sys

tem), then it is not evident how the person could distinguish between right and wrong on one hand and self-interest on the other, especially since the self does
not

irrevocably
not

surrender

its

natural rights.

Last but

least,
not

even

if this

self-interest

is
of

insists

on

doing,
does

one could still

argue,

by

way

called rational, as Machan criticism, that even rational

self-interest

do the trick, because

of either
choices.

reason sometimes

fails

us

in

moral

choices and often our passions, come our reason

the erotic or aggressive

kind,

over

in those

Book Review
These
enter criticisms are not meant to a

95

denigrate
with

a splendid

into

brief

philosophical

discussion

book but solely to it. Professor Machan, unlike

many libertarians, is not only conscious of the weaknesses of the position but attempts to save it from those weaknesses. The effort is especially laudable and

timely, for

as millions of

the

world's people are

shedding the

shackles of col

lectivism,
for
and

whether

political,

economic or

rhetorical,
on

they

appear

to

be yearning

choosing

a political

economy based

liberty.

The

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