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a
journal
of political
volume
2/3
philosophy
spring 1972
page
157
Jacob klein
about plato's philebus
183
dain
on corneille's
194
harry v. Jaffa
226
martin
a. trafton
diamond
martinus
horace
torn sawyer: hero of middle america
the dependence
of
fact
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157
ABOUT PLATO'S PHILEBUS
*
Jacob Klein
To
speak about a
Platonic
dialogue,
about a
to do violence to it. A sense of guilt will, of pain within me while
to shed some light
I
some
But I
am speaking.
moonlight,
as
Platonic
therefore, be it
dialogue,
cannot resist
on the
were
means
a continuous source
the temptation
Philebus. 1 hope
will forgive me 1 cannot for sounding extremely pedantic, for speaking much longer than I should, and for making it sometimes very difficult for you to follow. Let me state five basic points on which my talking about the Philebus you
wiU rest.
First:
Platonic dialogue is
a
in this
not comparable
respect
treatise
not a
or the text of a
lecture; it is
to a work of Aristotle or, for that matter,
to any of Plotinus's Enneads as edited by Porphyry. A Platonic dialogue is usually a drama, a mime, in which what happens cannot be separated from what is said and argued about.
Secondly: however serious the purpose and the content of a Platonic dialogue, its seriousness is permeated by playfulness; indeed, as we can read in the sixth letter attributed to Plato, seriousness and play are sisters. The comical aspect of a Platonic dialogue can never be completely dis regarded.
Thirdly: called and
no
Platonic dialogue
has been
called the
can
be
"Platonic
hint, though never "with perfect of Plato, the thinker. The Sophist, for
said
to
represent what might
doctrine."
1
The dialogue may
be
well
clarity,"
But
thoughts
most certainly.
source provides us with more direct information Plato's thinking than he himself ever put down in writing. This is Aristotle, who spent twenty years at that place of leisure, the
an unimpeachable
about source
Academy,
heard what Plato himself said. I assume that we have to pay Aristotle's reports, never forgetting that Aristotle has his own
and
attention to
way
at genuine and ultimate
example, does that
of
describing
his own thinking he reports.
other people's
and not
thoughts,
in the thinking
a peculiar
terminology
rooted
in
of those other people about whom
Fourthly: in the last two centuries scholars, not all, but most of them, have tried to understand the Platonic dialogues as belonging to different stages of a in Plato's own thinking. Now, it is of course possible that Plato, in his long life, changed his views on many and perhaps even on most important points. But to follow a Platonic dialogue means to take it as it is, as one whole, in which the interlocutors play a "development"
*
i
A lecture
given at
Soph. 254 C.
St. John's College,
Annapolis, Maryland,
on
May 20, 1971.
158
Interpretation
definite and unique role and in which what is said and what is happening does not depend on anything that is said and is happening in any other dialogue. Before we could understand any in Plato's thinking, it is incumbent on us to understand each dialogue in its own "development"
terms. This understanding is not helped by assigning a dialogue to a certain period in Plato's life. Yet, in the case of the Philebus, it will not be not in deviation in Plato's thinking, but merely to establish whether certain statements in the dialogue may refer to somebody's conspicuous behavior within the Academy in Plato's later days. And, happily enough, there is general agreement that the Philebus
unimportant to
take notice
order to track some
is
late
a
dialogue,
of
the time this dialogue was written
"developmental"
although some of
the
reasons
for this
dating
might
be
questionable.
Fifthly: every
word
in
the dialogue to remain
dialogue
about a
And
now
in Athens;
let
must
us
do
a
Platonic dialogue counts,
silent
may
necessarily
approach
remain
for somebody in That's why talking
and
count even more.
insufficient.
the Philebus. The
conversation
takes place
learn exactly where; it may be at a gymnastic school or at a wrestling school. What we read is a part of a very long conversation which begins some time in the afternoon. There are three interlocutors: we
not
perhaps,
are
Philebus: many young men, half listening. Socrates is, well, Socrates
inquiries
and
discussions
Socrates, Protarchus,
and a
friend
and
lover
a
dozen
a
man
of youth.
or a
dozen
devoted to
Protarchus is
Athenian, Calhas. Philebus is not known at all. He is one of the few personages in the Platonic dialogues, like Callicles, Diotima, Timaeus, invented by Plato; if they do not remain nameless, like the Stranger from Elea and the Stranger from Athens, their names are appropriately coined. The name of Philebus indicates that he is a "lover of as Socrates is. Philebus seems to be young, but slightly older than Protarchus and all the listening young men around them.2 The title of the dialogue as it has been handed down to us is Philebus. This title is never mentioned in the writings of Plato's contemporaries. Aristotle refers to what is said in the dialogue at least eight times, mention ing Plato once. There seems to be no reason, however, to doubt that the the
son of a well-known
youth"
"Philebus"
is genuine. Moreover, there is one good reason which for its authenticity. The dialogue contains 2,369 hnes (I did not count them, but somebody did). Of these 2,369 lines only 23 are spoken by Philebus (those I counted). He raises his voice altogether title
speaks
forcefully
only 14 times. Under these circumstances, who else but Plato could have the name of Philebus for the title of the dialogue? There will be
chosen more
to say
The
about
life? And this
a
this matter later on.
main question raised
16 B.
question
has to
in the dialogue is: What is the best human cope
primarily
with
the all-pervasive
feeling
1 59
A bout Plato's Philebus of
pleasure,
All
of
us
to
common without
thousands of different we
hke
ways:
want
we seek
that flatter us;
hearing things
drink
beings
living
all
exception
haunting, filling, mocking
us.
be pleased in thousands and to lie down or to sit comfortably; to
we
enjoy
company, witty words,
good
delight in traveling, in going to the theatre or to the movies, in looking at beautiful things; we love caresses, precious gifts, wild emotions; we loose ourselves with rapture in exerting power, in sexual satisfaction, in ecstasies, and so on, and so on. A list of pleasures like the one I have just given is not to be found in the dialogue, but an infinite number of possible pleasures is implied in the arguments good
food;
and
we
facing. It is Philebus who looks at Pleasure as the highest good, in Pleasure not only the best of human possessions, but the after which all living beings strive. Pleasure (f|5ovr|) is the goddess
we are who
sees
goal
he
worships. And quite a few of us, I think, follow him. Socrates does not. He contends that there is something better desirable than pleasure, to wit, thoughtfulness in deciding how
and more
to act
(to
is intelligible only (to voeiv), the power of memory (to fteuvrio-'dai) and that which is akin to these, right opinion (56|a opdr)) and true calculations (odry&Eig Xoyiauni); but Socrates the apprehending of what
(poovetv),
pleasure
beings
that these
adds
carefully
for those beings
powers
have this ability
who
are
who are able
better
and
desirable than
more
to share in these powers; only to
these powers be profitable, now and in
will
the future.
This juxtaposition
Socrates, is
of
is introduced
by
by
Socrates
what the assertion
is
what our assertion
is,
it. Shall
with
the
foUowing
words:
are now
to
against which you are
then, Protarchus, from Philebus, and
"See,
accept
to argue, if you do not agree them?"
they just
summary
understood
continue
what
not
(vuvi) the
as
what
conversation, the
"now"
of each of
would
assertion
is
nocoTcipxe
notbxaQxe);
not
These
words
are
strikes us
the
vocative
simply
3
immediately is indicating beginning of a con was said before; if they were the
the dialogue. But what
of
beginning by co (cb nrjcuTarjY,> of a
(Sf|) and Protarchus,
with
which you
we give a
the very first words that they cannot be versation;
both contentions, of that of Philebus and of that Socrates very shortly after we begin reading. It
of
made
be
used.
which
you
would
be
preceded "then"
and
Listen are
the
words
again:
to
now
"See,
then
accept
from
The dialogue has no true beginning. Nor does it have a true ending. This is the last sentence we read, spoken by Protarchus: "There is still a little left, Socrates; you will certainly not give up before
Philebus
.
.
.
We do
remains."
we
do,
stand
I
important),
the thesis
Enjoyment
s
shall remind you of what
why the dialogue has
this is over
and
il A.
no
beginning
and no ending.
not yet under
But
we see
(and
begin reading, that Protarchus has to take Philebus. More about that later.
when we
upheld
by
and thoughtfulness are
the two banners that Protarchus and
Interpretation
160
Socrates
are respectively thoughtfulness face each
The life
waving. other.
of
pleasure
But it becomes
clear
and
the life of that
immediately
Socrates is considering some other life superior to both of them.4 He will keep reverting to this third life. It will finally be described in the last pages of the dialogue. What follows the juxtaposition of the two views, that of Philebus and
Protarchus on the one hand and that of Socrates on the other, is insistence that pleasure has many different aspects: "For, when simply hear her named, she is one thing, but surely she takes on are, in
of shapes which
a
way,
unlike
other."5
each
Socrates
Socrates'
you
just
all sorts
gives two
simple, though significant, examples: the pleasures of a hcentious man are
very different from those
of a self-restrained
who
man,
his very
enjoys
self-restraint; the pleasures of a fool are very different from those of a thoughtful man,
who enjoys
his very thoughtfulness. No, says Protarchus, different, may have an opposite character,
the sources of pleasure may be
but "how
can pleasure
itself."6
hke
Yes,
figures
colors
and
colors,
most opposed
not see
how this
help being Socrates,
says
of all things most
color and
figure
be very, very different
can
like pleasure, that is, they are, but
are what
and
even, in the
case
of
to each other, like black and white. Protarchus does
could make
him
change
his
mind.
Socrates tries for the
be said later in the incisively, anticipating dialogue. No argument, he says, disputes that pleasant things are pleasant. But Protarchus's contention, which upholds Philebus's conviction, implies third
time, this time
what will
that all pleasant things are good. That's what is wrong. Pleasant things are
for the
says
most part
Socrates,
bad
call all of
argument to agree that
and
only
them good,
they
are
some are good.
But you, Protarchus, be forced by the
although you might
otherwise
different. Protarchus tacitly
that pleasures may be very different from each other, and even opposed to each other, but sticks to his main point that pleasures, inas admits
much as
they
At this
are
good.
He
and predicts
among them
adds
back to his
own
contention, namely, that
and the apprehension
to these
of the intelligible
for the first time
other,
alike
could
and
not
pleased
that
he, Socrates, unlike
then cling to the
Protarchus
(vovq)
knowledge (Ejucnfpr|)
that many kinds of knowledge will come to the fore, unlike each other. Should it turn out that some are
opposed to each
knowledge is
goes
(q)o6vr|0ig)
thoughtfulness are
pleasures, are always good.
Socrates
point
"save
point
some even
that all
himself"
in
an
absurdity?
Protarchus is
both, his
assertion
and
that
of
Socrates,
the same treatment and is now willing to grant that there are many different pleasures just as there are many different knowledges (we have receive
to note that he does not mention opposite pleasures
4 s
11 D. 12 C.
12D/E.
and
knowledges).
About Plato's Philebus
Socrates is satisfied knowledge and
within
Protarchus's
with
161
concession
about
the manyness
follows: "With
within pleasure and speaks as
no
concealment, then, Protarchus, of the differentiation within my good and within yours, but facing it squarely, let us be bold and see if perchance, on examination, it will tell us whether we should say that the good is thoughtfulness
pleasure or
or some other third
time that Socrates reverts to the
best
ment
by
human
of
thing."7
It is the
possessions.
has a wide, wide range. the transitions in which the dialogue
an assertion which
This is
one of
abounds.
in the 2nd century A.D. Galen wrote a treatise "On the transitions in the which is unfortunately not Let me say a few words about the transition we are now facing. thetical
second
possibility that something third may be He proceeds by strengthening this state
the
remark:
(Paren entitled
Philebus,"
Up
to this point the talk was
about pleasure and about word
taken in its colloquial
about our
lift the
lives in
and
this our world.
conversation to a
about
things
thoughtfulness
level
of
vague
familiar to
most
and about sense.
all of
knowledge,
The talk
was
us,
this last
concerned
What Socrates is undertaking all-embracing universality,
extant).
now
is to
disregarding
knowledge altogether. He will come back to them after a short while and then launch out to an even higher level. Why does he do that? The answer is: to find the ultimate sources of what is so close to us and usuaUy unquestioned by us. The dialogue seeks to link the most common to the most uncommon and fundamental. To find the link will require a great deal of vigor on part. The manyness within pleasure and within knowledge leads Socrates pleasure and
Socrates'
to remind Protarchus of the that "one is
and
difficult
"astounding"
that
assertions
"many
one"
are
There is nothing particularly surprising and if they refer to visible and tangible things, perish. A man, for example, is one, but he is
about these assertions
which come also many, sider
many."9
into being and because he has many
intelligibles,
members and parts.
But
looks,"
things, the "invisible (iv Wyco), and each one
the eISt] of
when we con which can
be
of which is one and only in speech the and problem becomes "one unique, extremely perplexing (Socrates mentions four of the intelligibles: the One Man, the One Ox, the One Beauty, the One Good). That's where the trouble sets in. Any
encountered
many"
young man, says Socrates, challenging those present, any young man, once he has tasted the flavor of that perplexity and thinks he has found a treasure of wisdom, does not spare anyone, neither himself, nor his parents, nor any human being, who can hear him, and joyfully sets every possible argument in motion, confounding everybody. Protarchus feels hit. "Do you Socrates,"
not
see,
men?
Are
7
14 B.
8
14 C.
he says, "how many we that we shall join
you not afraid
are and that we are all with
Philebus
young
and attack
you,
Interpretation
162
if
Socrates to find
better
a
Socrates'
But
us?"9
revile
you
up to
than was used
Protarchus
works.
challenge
road
wants
to lead them
now and
on.
Socrates retorts that there is a better road, which he always loved, which is easy to point out, but very difficult to foUow. Whatever human art has description of discovered had been brought to light through it. this better road marks a new transition in the dialogue. Socrates'
Socrates
this
calls
Prometheus together
road a
lived
nearer
handed down to
of gods
men,"
to
which we owe
gleaming fire (let to men). The ancients,
the gods,
says
Socrates
us the tradition that
to exist are sprung from One and
Many
all
one eI8o?
(he
Prome
better than
who were
deadpan seriousness, have
with
the things which are ever said
have,
and
Limit (jtspac;) and Infinitude (cuiEtpia). We in a little while. What Socrates emphasizes case, look for
to some
me remind you:
with some
theus stole the fire he gave we and
"gift
uses the word
inherent in their nature,
shall come
now
is that
Ibea here)
back to this we
point
must, in every
and next
for two, if
if not, for three or some other number; and we must treat each of these t'ibt] in the same way, that is, subdivide each of them, "until we can see that the original one is not just one and many and is." 10 Then we infinite, but also how many it may bid farewell to infinity, there be
two,
and
bid fareweU to the ibia of infinity. Protarchus wants Socrates to clarify
Socrates The
provides
this
clarification
sound which we emit
infinite in diversity. A
however,
observed,
and
sounds
(X,
by
he has
of
the
wonder! alphabet.
through our mouth can be called one, yet it is
there
are
man, as
distinct
an
vowel
in Greek 7 vowels, 3
consonants
No
said.
pointing to the letters
god or a godlike
that
what
Egyptian story teUs, semi-vowel
sounds,
or
semi-vowels
sonants
14 consonants, more exactly 10, if we include the rough sound h and exclude the 5 double consonants. This means that
p, a), and
breathing
between the of sounds.
writing.
Socrates
example of
vals,
oneness and
the infinitude of sound there are definite
One has to know the
which
emphasizes
alphabet and
Socrates
and us understand
also
all of
the the
gives,
them to
possess
the
art of
numbers of sounds and
example of
are meant
numbers
reading
and
letters. But this
the numbers of musical inter
to let Protarchus and Philebus
that there are numbers in the realm of the
zlbx\.
Later in
clearly distinguish between numbers of un equal units, that is, numbers of sensible things, and pure mathematical numbers of units, that is, of units which do not differ at all from each the dialogue
other.
But
"
we
Socrates
will
learn from Aristotle
12
that Plato
also
spoke
of
eidetic
numbers, of numbers of units which are themselves nothing but
ilbr\.
difficult
road.
To try to find them
means to embark upon
16 A. to
16 D.
n
56 D-E.
12
See
esp.
Met. XIV, 3, 1090 b 32ff.
that
better, but
About Plato's Philebus
163
Protarchus
and Philebus do not understand what is going on. Philebus not see what the theme of numbers, which Socrates has does especially injected into the discussion, has to do with the alternative of pleasure and
thoughtfulness, were
one
was
before
and
in
question.
of
them,
and
many,
becoming
pleasure
was each
which
wondering how
as well
infinite,"
as
thoughtfulness,
of
Protarchus is find
an
He
perturbed.
being
well
as
thoughtfulness,
which
number
there were t'ibx\ of
whether
then are dispersed among that live their lives
and perish and
understands
He
answer to the question.
And he formulates the
him that they
reminds
as
them possessed a
of
that is to say,
beings that continually come into in pleasure and thought. cannot
"each
whether ,3
Socrates
pleasure
what
wants
Socrates is
He
after.
Philebus to
answer
it.
follows: "I think Socrates is asking us whether there are or are not of pleasure, how many there are and of elbt\ u what sort they are, and the same of Philebus does not question as
thoughtfulness."
But Socrates
utter a word. Callias."
15
He
remarks:
Protarchus ceremonially Protarchus is intent
as son of
promised
end was reached.
during
the
that he
This
discussion
you
say is
most
end.
would
true,
by
son of
addressing
Callias.
bringing
on
thoughtfulness to a satisfactory
Socrates
"What
the importance of this fact
underscores
the
discussion
about
We learn from
stay
on
and not go
and
pleasure
he says that home before this
what
have been given, we have to assume, preceded what we read in the dialogue, and
promise must which
forget that. Protarchus demands that Socrates stop perplex the other young men and decide either to divide pleasure and
we should not
ing him and knowledge into their ei8t| himself or to let that go, if there be some other way to solve the matters at issue among them. Socrates is willing to do the latter, and this marks a new transition in the dialogue. Socrates claims playfuUy that some god has just reminded him of some was
talk about
dreaming
pleasure
and
or perhaps when
thoughtfulness, which he heard he was awake. What he heard
when
was
he
that
thoughtfulness was the good, but some third thing, different from both and better than both. We remember, of course, that Socrates himself had intimated this twice. He does it now for the third neither pleasure nor
time. If this
be the
not
into its
ei8t).
become
will
be clearly shown now, says Socrates, pleasure would it would no longer be necessary to divide pleasure And Socrates adds that, while the discussion proceeds, this
could
victor and
still clearer.
What foUows leads to three insights: (1) it is the lot of the Good and only of the Good to be self-sufficient; (2) if we take the life of pleasure and the thoughtful hfe separately, so that the life of pleasure is totally divested any thought, any
of
is
18 E.
15
Ibid.
19 B.
knowledge,
any opinion,
any memory,
and
the
Interpretation
164
life,
thoughtful
desirable
and as
would choose.
Let
be
cannot
intelligibles, sense.
any pleasure,
self-sufficient, as
a life made up of a mixture of pleasure in both will be the kind of life everybody sharing remark that Socrates and also Protarchus list under
me
in
which
vov
as
and
powers associated with thoughtfulness
the
by
untouched
conceived
(3) only
good;
thoughtfulness
and
hand, totally
the other
on
in this bare form
both lives
the
apprehending the
power of
may simply mean good for quite a while. Socrates
common
parlance
This term
will now play a central role it has been sufficiently shown that Philebus's goddess, Pleasure, be considered identical with the good. Thereupon Philebus raises
concludes: cannot
his
"Nor is
voice:
objections.'16
but
Let
vov; the good, Socrates'
hear
us
the true vovc,,
not so
I do
your
Socrates; it will be open to the same "My voiig perhaps, Philebus; divine; that one, I guess, is different.
reaction:
which
is
also
for the vovg the prize of victory look and see what is to be done
not as yet claim
life, but
we
must
over the combined about
the
second
on, speaking to Philebus: "Each of us might perhaps put forward a claim, one that vovg is responsible for this combined "
prize."
Socrates
cause, the other that pleasure is: and thus neither of these two
life, is its would
still
goes
be the good, but one [of the combined
or the other of them might
life]."
cause claims
he
might
keep
and might contend
way
and more similar
,8
Then, turning
up his fight "that in this
than pleasure
that life both desirable and
against
be
regarded as
the
Protarchus, Socrates
to
Philebus in
stronger
an even
life it is votjg that is more akin to that, whatever it may be, which makes As to pleasure, he adds, "it is farther mixed
good."
behind than the third place, if my yovc, is at all to be trusted at The emphasis in this passage is clearly on the terms voiig and
19
present."
"cause"
"cause"
(amov). What remains unclear is the sense in which the term is to be taken and the rank to be attributed ultimately to the voiig. And let us not
for
a moment
Socrates her
Socrates'
forget
suggests that
own
it
might
her in the
voijg.
be better to leave
pleasure and not to
thus proving her in Protarchus disagrees. Socrates asks whether Protarchus dis agrees because he, Socrates, spoke of paining pleasure. It is the second time that pain is mentioned in the dialogue. It is done jokingly. Pain
pain
the
by testing
way
and
wrong.
was mentioned
ful
most precise
life, totally
"Would
anyone
affected
by
for the first time untouched
by
when
pleasure.
Socrates dealt The way he
with
put
the thought
it then
was this:
be willing to live possessing thoughtfulness and voiig and knowledge and perfect memory of all things, but having no share, great or small, in pleasure, or in pain, for that matter, but being utterly un
is
22 C.
it
22C-D.
is
22 D.
"
22 E.
20
21 D/E.
everything
of
that
20
sort?"
The question,
which
is
supposed
About Plato's Philebus to be negated,
165
in this form actually involves a difficulty: one be willing to accept a thoughtful pleasureless life, which involve us in any pain. The third time pain will be mentioned is when put
would perhaps
does
not
going to show pain as a Protarchus says he is not but
Socrates'
by
rather
altogether
let
these matters to
Socrates'
by
apparent attempt to
not seem to understand
you go yet until you 21
end."
an
leaving Whew, Socrates
pleasure,"
"paining stop talking about phrase
have brought the
This is the
pleasure
"that
time Socrates is
second
not
argument about warned
too early.
about
cussion prize
shocked
because Socrates does
and
one of us will
close companion of pleasure and as a real evil.
hes
exclaims, and predicts that a long and difficult dis them. To fight the battle of the voiig for the second
ahead of
requires
new
in
weapons
has to be made,
beginning
to those already used. A
addition
and
new
this will mean a new transition in the
dialogue. Let we
be
us
should
on our guard
indeed pay
in making this
attention
beginning,
says
Socrates,
and
to these words. Socrates suggests that
everything that now exists in the world be distributed in a twofold, or in a threefold way. The results of this distribution are very different from each other. They are called by Socrates, indiscriminately and unrather
first two have been "limitless"
(to
before
mentioned
araipov) and the
translate
shall
"limit"
as a
(to
a moment:
let
considerably
tribes
And
on our guard.
ridiculous
figure, I think, 22
an
when
me,
the
fourth tribe is
a
the
cause of
Protarchus
besides."
needed
commixture of
23
the
mixture
as we shall see
Socrates
adds:
"But I
attempt a separation
wonders
The
gift:
The third is the
literally, I
"tribes."
Promethean
of
jtEpctg).
now
the word
enumeration."
and
seems to means
be
us
by
kind
these two into one. This is not to be taken
of
a
I
or yivt], which
precisely, tlbr\
why.
It turns
into
Socrates: "It
out that
those first two. And
in
cut
Socrates
Protarchus,
who
fifth, separation, is told in affable words that this fifth is not needed now, but that if it be needed later, he should excuse Socrates for going after it. The mentioning of is
eager
to supply
and even
Let
us
following the
proposal
of the
consider
one
boundless,
As to the
23 B. 23 D.
23
Ibid.
24
17 E.
the first two tribes, namely to cbtEipov. The are all adequate: the limitless, the endless,
the unlimited, the
the inexperienced one,
22
of
English translations
the indeterminate. And
21
power of
and the way of handling it cast a doubt on the fourth tribe, the cause. There might be something strange ridiculous indeed about that. We should be on our guard.
Protarchus's necessity
namely the
even a
second
infinite,
we must not
upon which word
tribe,
to
the
innumerable,
forget the homonym Plato does
jtspag, the
"limit,"
not
the indefinite.
cfatsipog,
fail to
it becomes
meaning
pun. 24 almost im-
Interpretation
166
for it the
substitutes
"limitless"
them, the
consider
Here
is difficult
proposes
them is
both "one
are
debatable."
are special cases of
this
tribe,
"excessive
lacking."
26
and
"What I
again:
parts of
"greater
and
into
He
many.
ask you
to
25
In
its
"hotter
and
"exceedingly
and
manyness:
smaUer,"
slower,"
"quicker
many"; for he
and
and scattered
split
up warning Protarchus
and
colder,"
slightly,"
the other young men as weU as we to investigate how each of
and
"limited,"
and the
"limitless,"
the
which
Socrates
contends that each one of starts with
limit,"
"that
Protarchus
confused.
somewhat
Socrates keeps using this term, he also has to jtspag evov, that is
although
phrase
"limited."
to say, the are
that,
apparent
mediately
and
there is "the more
each
as well as
less"
them is constantly advancing the (to uaXXov te vxxi t|ttov). and never stationary in sharp contrast to what is determined by a fixed
Each
of
What
exist.
This to
if
such
captures our attention
is the
just "that
by
number,
is
expression
put upon
it
meant
is
to gather together the tribe of the
pair.
and
The
The
its
opposite
expression
is
an
what about limit,"
"which has
used
become together
"the
and
six
times in the
duality
"limit,"
on the other?
this
as
the
the
argument
"hmitless"
The
is
a
seal of a single
completely indeterminate.
pair.
the
on
2S
less,"
remains
this expression are
"By
limitless."
more as well as the
indeterminate
the
verbs related to
summarizes pointedly:
duality. And this
"limitless"
But
The
all the other cases.
seals a
nature,
It is
considering and once more much later on. Once the This omission focuses our attention on the use of
in the dual. And Socrates
hotter
27
"limitless"
omitted.
this particle in all
advances, it ceases to
a number
expression to \1aXk6v te xai tJttov.
the seal of a single nature.
passage we are now particle te
much":
Let
one
us
hand,
take the
and
the
"hmited,"
"limited"
that
first. It is,
as
Socrates quite clearly states, 29 contrary to "the more as well as the less"; it is the equal, and equality, the double, and any number in firm relation to another number or a measure in firm relation to another measure, that
is, everything
which
"puts
an end
them proportionable
and makes
to the variability between the opposites
harmonious
and
by
the introduction
of
30
number."
We
is
understand
what we read
that what
Socrates
in the Fifth Book
means
of
by
this
tribe
of
the
"limited"
Euclid's Elements. This book is in
all
probability either a perhaps somewhat condensed copy of an original work of Eudoxus or imitates this work. Who is Eudoxus? He was born in
Cnidus,
on
Academy 25
the shores of Asia
for
a while.
He
Minor,
was
an
came
to
Athens
astronomer,
24 A.
2
"Lacking"
27
25 A.
28
24 D.
28
25A/B.
30
25 D/E.
is
not mentioned.
It is
lacking in deed.
a
and stayed at
mathematician,
Plato's and
a
About Plato's Philebus geographer; he
firmly
167
the doctrine of ratios
established
and
proportions,
those of numerically incommensurable magnitudes; he tried to the ei8r|, as understood by Plato, with all the sensible things;
including "mix"
is
he declared pleasure to be the his goddess, as she is for Philebus. Eudoxus, as Aristotle reports, "seemed to be a man of exceptional temperance, and hence he was thought to uphold this view not because he was a lover of pleasure, but because it seemed to him that it was so in what
and
truth."
3i
But
Socrates,
The tribe
as
"hmited"
dialogue, disagrees.
then consists of
The tribe
ratios.
the
of
the araipov, in its infinite manyness found its unity 32 of "the more and its that is, in "the more as well of
opposite,"
seal
less."
the
has
in the
as we see
the
of
us
pleasure was not
"limitless,"
scattered
in the
important to
most
supreme good.
not yet
The tribe
of
found its
unity.
"limited,"
the
33
did
contain a multitude nor
was
only, as to the
"reference"
to."
Socrates says, "referred "limit" itself (Eig to itepag).
the manyness of determinate ratios,
This unity was only postulated, There was indeed a direct And Socrates feel
we
a
concludes:
difficulty
"The limit did
not
that it might not be one
34
nature."
by
It is
this point that we might turn to Aristotle's reports about Plato's
at
unwritten words to confirm what we
found in the dialogue
to win
and
greater clarity.
In the Sixth Chapter says of
Plato: "It is
Limitless,
of the single
the the
SmaU.'
"
Plato there
uses
forms.
37
to him
two
are
[i.e., Plato]
to
of the
Physics,
35
Aristotle
duality
posit a
where
length, we read in the Fourth Infinites, 'the Great and the in the Philebus,
"great"
the
the Metaphysics
of
instead
to make the Limitless consist of 'the Great and
and
confirmed what we read
way,
the First Book
In the Third Book at great
aitEipov
of
peculiar
except
Aristotle discusses
Chapter
that
We
"For
see
thus
Aristotle, in his
own
"small"
without
and
words
36 again:
Small.' "
their
comparative
He keeps using these words, in speaking about Plato, at many But, what is more important, in Books XIII and XIV of
other places.
the Metaphysics Aristotle
mentions several times
two
"elements,"
as
"numbers"
it, which, according to Plato, have to understand that Aristotle has in mind "eidetic puts
out of
blages
8vfxg)
of 6i5t). and
the
These two "one"
(to
sources are ev).
We
Philebus in the "indeterminate more
as
well
as
the
less."
the "indeterminate
recognize
dyad,"
But
we
the
see
are
numbers,"
assem dyad"
the indeterminate
duality
now
of the
(f| dopiOTog pair of
26 D.
33
25 B.
34
26 D.
35
987 b 26-28.
s
203
37
Cf. 37 C
a
15. end.
the
Limitless, "the
that what was
named
si Arist. Met. XII, 8, 1073 b 17ff.; Proclus, In Eucl. Comm. (Teubner) 2ff.; Arist. Met. I, 9, 991 a 14f.; Nic. Eth. X, 2, 1172 b 9ff. 32
he
derived. We
pp.
the
67,
Interpretation
168 "Limit"
in the Philebus "elements"
the
calls
is
We
name
for
itself,
the
less,"
less
Now let
us
dpxai,
the
and perhaps
aU suited
described
as
is to say,
tribe,
the
"mixing"
What does
of
here
power
two
produces also
mean?
the "indeterminate on
each
other.
follows. The "indeterminate
may
more as well
seem aU of them
a seal on
clear.
"mixture"
the tribe of
But the
entities,
two
character
"Limitless"
and
means that the two "Limit,"
dyad,"
and
the
the
What happens then may be that duplicates the
i8r|,
each of
say
It
the
"One,"
dyad"
"divides"
we
"the
to one
As to the
remains obscured.
their
exert
are used.
duality 38)
perfectly
"One,"
ei8t|
are
"limit,"
"Limitless,"
the
the Precise
Whole
dyad,"
fixed
definitely
a
One,
they
That is
thoughtful
most
the
Socrates, in putting character
powers.
in
Good,
the context in which
take up the third
"Limit."
What Aristotle everything, that
ruling
assume, I think, that Plato had
its intrinsic
makes
the jtspag, the
of the
and as
these dpxat. The terms the
In the Philebus
suitable.
the cbiEipov, of
beginnings
as
common parlance as well as
the Other (which also implies a
and
"One."
named the
the second ao/i], the "indeterminate
names of
no
dpxr), in
should not
each of
both
rank
be
also
called the ultimate sources of
Same, the Limit, dpxai, depending on
of the
as the
by
meant
speech.
be
can
has the first
which what
can
duplicates
these i8r|
each
these
of
keeps
and
on
du
plicating we have to assume up to a certain point. In Aristotle's reports dyad" the "indeterminate is explicitiy characterized as a "doubling (8uojtoiog). 39 It is the ultimate source of definite manyness, of power"
"numbers,"
passage,
in the
realm of the Ei8n as weU as
"limit"
and of
a
In the
our world.
helping
discernible hint that the
earlier
"infinitude"
gift of
that in every case a definite number of
and urged
to be found (the alphabet
hardly
in
Socrates first introduced the Promethean
when
tibr\
had
him to clarify this point), there was with its doubling power is
"Limitless"
for the multiplicity of the ei8i> You wiU remember that in the the infinite, was ultimately dismissed. Not so in the world in which we live. What happens here is this: the responsible
this
"limitless,"
context
"Limit,"
"One,"
the
transforms
the
"indeterminate
dyad"
into
a
determinate one,
that is to say, transforms the two constantly and indeterminately changing terms of the dyad into two stationary and determinate ones and keeps
doing this, Socrates We
of
other
words,
understand now what confused
substituted
The
produces, in
"that
has
which
kind,
world we
live in
a certain
ss
Cf. Soph. 255 D
so
Met.
25 D.
and
XIII, 7, 1082
a
ratios, is already
represents
mathematical
"limited,"
the
the assemblage of
the third tribe. But it
limit."
limit,"
"limited,"
special
That's why 40 "the offspring of the Protarchus and us when Socrates
a multitude of ratios.
can call the manyness of ratios
a
Tightness,
and
"limit"
a part of
itself.
the mixture,
mixture, or rather mixtures, of a that can give to parts of the
partnerships
remove the excess and
256 E-257 A.
15
for the
8,
1083 b 36.
indefiniteness,
About Plato's Philebus and
produce
ships
balance
and
measure.
right
engender, for example, health,
bring beauty and strength Socrates, addressing
41
169
Such
about the temperate seasons and all the
music,
body,
of the
Philebus
and
all
directly
the
and
partner
mathematical
the
establish
entire
bounties
beauties
speaking
art of
genuine
of
of our
the
world,
And
soul.
that
about
proper
42 of mathematical ratios, has this to say: partnership (6p0f| xoiycovia) "For this goddess, my beautiful Philebus, beholding the wanton violence and universal wickedness which prevailed, since there was no limit of
pleasures or of excess
in
she
in them,
43
safe."
kept
us
law
and order
exhausted
us; I say,
established
there is limit. You say she
which
Socrates
Philebus, but
addresses
[vo^og
xai Ta|ig]
on the
contrary,
cannot
we
help
Eudoxus. Philebus remains completely silent. Socrates turns And Protarchus: "How does this appear to you,
thinking
of
Protarchus?"
to
Protarchus
"It is very
answers:
much
Socrates."
how I feel,
44
the common power of the two dpxai determines the Sometimes the community of this power is lacking. Socrates turns now to the fourth tribe, the cause. You wUl remember that Socrates seemed somewhat reluctant to add this fourth to the first
Let
us conclude:
mixture.
three. And
indeed, is
what
is
and the
appeared as
in this
engendered
"Should I
there any need for it? The
"Limit"
"Limitless'
sound a
false
45
note
Listen
mixture.
if I
caUed
with regard
what
Socrates
Socrates'
words:
cause of
the mixture
one moment earlier says
to all the first three tribes: "That which fabricates
the cause, we
call
distinct from the ultimate
And listen to
to
now
the fourth the
generation?"
and
sources,
the
others."46
dpxi, be
first two tribes, the
it has been sufficiently That has not been shown at
fourth,
as
caused
by
"Limitless"
and
something
the
of the
common power
the cause of the mixture and of
"Limit,"
else?
all
these,
shown
to be
all!
If that
How
were
be
can
so, the
what
they
is left pending,
and
would not
are.
The
exploration of
Socrates
makes a new
transition,
tribe, which
"cause,"
the
helps him to turn backwards.
the purpose, he asks, of coming to the point they have They were trying to find out whether the second prize belonged
What
was
reached?
to
this fourth
pleasure or
to thoughtfulness ((ppovnaig).
Protarchus
reminds
and
us, that the
mixed
They life
had posited, Socrates
was the victor.
We
can
now, he continues, to which tribe it belongs, namely, to the third "limitless" and all that is tribe, formed by the mixture of all that is see
"bound
by
41
26 A.
42
25 E.
43
26B-C.
44
26 C.
45
27B/C.
46
27 B.
47
27 D.
the
limit."
47
And
now
Socrates
asks
Philebus to
which of
the
Interpretation
170 three tribes his life
pleasure and pain a
"the
more as well as
which admit
"Nor
limit
Philebus's
the
aU
duced in the discussion for the third time, Socrates adds he would grant Philebus that
in the tribe
the Limitless. We
of
Socrates'
addition
pain.
Pleasure
We in
not
will use
"You
both,
pain,
are
only pleasure,
not
pleasure and
meant
One
pair.
the
of
consequences of this
Protarchus
asks and
shall
voiig
that our risk
the right answer to what is
exalt your own
pleasure
into its
pleasure, but it
discussing
wiU
strict sense.
Socrates
next question
finding
this time decisively. For
and
be necessary to divide
would not
tribe thoughtfulness, knowledge Socrates explains: "For I think or not
replies:
is intro
pain
of
this term later on in
have to be taken in its
The
dryly
pleasure, in the strict sense of this word. ei8t| Socrates had intimated that the discussion would show
way why it
Socrates
ei8t)-
This is how
Philebus
note
limitless
are no
remember that
a clearer
Socrates
is decisive.
and pain are a
is that there
finding
aU
evil."
Philebus, be
would pain,
49
which admit
is: "Yes, among those the good, if it were
be
'more.'"48
in the
is this:
question
the things
answer
pleasure would not and
multitude
they among
or are
less?"
the
the more; for
limitless in
not
belongs. The full
of unmixed pleasure
have
god,
is
assigned without
you
51
what
impiety.
in
not a small one
finding
50
PhUebus:
Socrates: "And
you your
now."
being
do."
Socrates,
Philebus is: to
and
be
asked
52 goddess, my friend. But the question calls for an answer, aU the Protarchus intervenes and urges Philebus to answer. Whereupon Philebus
same."
says:
"Did
you
not,
Protarchus,
the last time Philebus
At the
beginning
Philebus's thesis "has
of
his
raises
of our
choose
voice.
reading
tired"
grown
(the Greek
again and calls upon
When the "one perhaps
And
his
he
an
himself,
is d^EipnxE,
wiU
be
a
opportunity to
as
pun
on
regret that
Protarchus
the
time,
even when
defend
the
word
he
spoke
he does
regret.
remarks:
to disturb Philebus in his sweet
not
silent aU
will
Protarchus says,
own goddess to witness that
question comes up,
This is
a moment.
learn that Protarchus
we
word
place?"53
look back for
many"
and
best for the inquirer
now
us
pleasure, because Philebus
ditEtpov). A little later Philebus has
up
to reply in my
Let
"It is 54
repose."
pleasure, his goddess,
is thoroughly discussed. What is he doing aU this time? Just listening? Socrates' Protarchus has some difficulty in answering last question,
knowledge
namely, to
what tribe
Socrates to
answer this question
48
27 E.
49
28 A.
50
Ibid.
si
28 B.
52
Ibid.
63
Ibid.
54
15 C
[tacit
reference
to
the
and vor>g should
be assigned, and asks wiUing. He declares:
himself. Socrates is
proverb:
\ii\
xiveiv
xccxdv
eu
xeijievov].
About Plato's Philebus "What
to do is
you enjoin me
easy."
Let
be
us
not
All
on our guard.
171
difficult,"55
wise men
and
he
repeats:
"It is
and
thereby really themselves, says Socrates, that voiig is king of heaven and earth. 50 Socrates adds: "Perhaps they are What foUows is indeed an easy, but not too convincing agree,
exalt
right."
"cosmological"
account, which ends with the
four tribes
"of
which was called
statement
that voiig belongs to that
cause
of
all."
And Socrates
Protarchus:
"Yes,
adds:
67
all."
"the
"Now,
you
have
Notice,
at
of
the
please, again,
last
answer."
your
and a
very sufficient one; and yet you answered without Socrates: "Yes, Protarchus, for sometimes playing my noticing 59 provides rest from serious We understand: the it."
5S
"cosmological"
pursuit."
account, which makes the voiig the cause of mentioned of
We
account.
playful
human
life,
Socrates
are
not
sure
before. And let
the
best,
concludes
whether
us not
all
the other
this
voiig
forget that,
tribes,
was a
is the "divine
within
the confines
voiig could obtain, was the second prize.
this entire discussion of the four tribes
by
pointing to "limit"
voiig and to pleasure. He does not mention anything pertaining to "mixture." and to the Let us remember, he says, "that votig was akin to cause
and
belonged roughly speaking [o"xe86v] to this tribe and that itself limitless and belonged to the tribe which, in and by
pleasure was
itself, has
not and never will
have
either
beginning
end."
or middle or
60
must add that this holds also for pain. As we have seen, the dialogue, too, has neither a beginning nor an end, and for that matter, no middle. The graph of a Platonic dialogue usually not always looks like this:
We
But the
graph of
55
28 C.
5
Ibid.
57
30 E.
58
Ibid.
58
Ibid.
60
31 A.
the Philebus looks hke this:
Interpretation
1 72 The dialogue itself, taken
drama, in
as a
we, the
which
listeners,
readers or
If it does that, it must But we be pleasurable and painful. We wUl have to wait and see need not wait to register the most important result of the preceding dis are
involved,
to resemble pleasure
seems
and pain.
...
AU the
cussion.
hves,
in their
reflect
and
pleasures
common experiences
great,
duality
our
which pervade
one of
an ultimate source, It is thus that some
dyad."
the "indeterminate
or
small
pains,
.
the
dpxai, namely
of our most
familiar
are tied to one of the highest points human
and
reflection
can reach.
Socrates
A
this high level
now abandons
transition is made.
new
far. I
considered so
Only
be
shall
to
able
turns to
and
proceed much
lower
a much
one.
the dialogue has been
a third of
about
faster from
now on.
is to see, says Socrates, where each of them, that is, voiig and pleasure, can be found and by means of what affection both come into being, whenever they come into being. m Note, please, that the voiig mentioned here is said to come into being and cannot, therefore, be under The
stood
next
task
the eternal divine
as
Socrates takes
voiig.
mediately adds that it is impossible to from pain. Socrates'
is that
contention
first,
pleasure
examine pleasure
pain and pleasure emerge
in the
tribe,
together and
form
right measure.
62
"If,
to its
own
pain,
and
a generation
and
on the other
the
of
process
emptied, we are
of pain
also
hand, balance is being
nature, pleasure is
the
63
living beings,
take place
restoration
becoming hungry
and
is
process of
pleasure.
pained;
join
When
when we are
"a dis
the same
at
restored and
generated."
The
combined
to balance and
conducive
a mathematical
partnership When this balance is broken in us,
ruption of nature time."
and
im
apart
"limit"
"limitless"
the one, we remember, where the
and
sufficiently
is returning
destruction is we
are
fiUing
up
being again
through eating, we are pleased. And the same can be said of thirst. It is shown
later that it is
belong
and pain often
enough,
the
not
body
affection, that the
to the soul,
as
in the
arises within
the
of pleasure and pain. not
come and as
Both the
of
soul
in
recollection,
by and
itself
as
the fearful
Socrates
involve the
body
the sweet and cheering hope of
pleasant and
memory.
this origin
and
does
to
the
hunger
of pleasure and pain soul
Pleasure
But sometimes, or rather thirst, the body is involved.
kind
we
face
pained or pleased.
soul only.
one
things to come.
that hungers or thirsts or has any such
to the
and
case of
Whenever this is the case, Another kind
body
cannot, therefore, be
at all.
It
pleasant
and woeful expectation of painful things
the
painful expectations
originate within
proceeds to give a circumstantial
description
passing from perception to memory, to forgetfulness, to finally to desire. But he ends this passage by reverting
to pleasure and pain that involve the body. He points to a man who is
si
31 B.
62
31 D.
63
Ibid.
173
About Plato's Philebus
empty and fUled again is
man
without
him. The
stress
hope of is on the
the
emphasizes
duality
it is
hkely
not
is
A
parts,
what
is
feeling
no
Such
had been
or
credit
its
opposite."
is unseemly for later on, if it
65
of
hfe had
a
rejected as
Now
"Certainly
And Socrates
them."
Socrates
help
would
for it in contending for
the
the second
watching.
transition takes place. What follows can be title that
and the
This is
be
and voiig.
life."
joy
of a
pleasure
ultimate source.
self-sufficiency and, therefore, Protarchus chimes in:
divine
most
point
shall
twofold
goodness.
that they may consider this
We
empty in
The possibility
which there
and
an
of pain arises
of a
forget its
us not
life in
either
new
feeling
and pain.
in the dialogue
argument; they might give voiig prize.
Let
also a
that gods feel either
"No, it is
If, however,
not mentioned
very unlikely; for
agrees:
adds
is
even more.
passage
it "the
calls
*4
at
being filled, duality of pleasure
lacking
undesirable,
Socrates
joy
a twofold
considered much earlier
totaUy
his memory, hopes to be time, then, a man, or any
all, but only thoughtfulness
pleasure or pain at
been
pain and
although this
in this
at
a
once."
has both
twofold pain and
Looked
of
and enjoys
living being,
other
pain, but who, because this hope. "At such
suffers
be
can
happens in
given
part one:
subdivided
is "On false
to all of them
into three
pleasures."
Protarchus is unwilling to
that
agree
be false; he accepts the possibility of false but rejects the opinions, possibility of false fears, false expectations, and false pleasures; a lengthy discussion foUows which culminates in the pleasures
that a
assertion
"true
"just,
man,"
pious and good
pleasures,"
while
ridicule;
This,
"unjust
which and
now, is
and pain are a
feels
one who
an
pleasures,"
have "false of
could
pains
and
the
same can
what
pair
be
man"
pleasures"
can
only
to the point
6a
part two: we are reminded
that pleasure
tied to "the more as well as the always
has
gods,"
of the
thoroughly bad
said of pains.
in any way
pleasure
"friend
imitate the "true
happens in
hmitless
and
a
less";
any
really feels pleasure; but these and also as pleasures to be felt
may be felt as present pleasures in the future; the latter ones may be false because they may not come into being as expected, not as great and intense as expected; and when, in our pleasures
feelings, pains,
we are
the limitless
of
The third but
trying
part of
outstanding
men
64
m
this passage does not
falsely
rather pleasures
Socrates, is
65
pains, we may reach entirely false results, because indeterminate character of both, pleasure and pain.
and
pleasure and pain
by
to compare pleasures with pleasures, or pains with
or pleasures with
this
that
is
a common
men.
One
36 B.
33 B. 39E-40C.
of
freedom from
opinion amounts
concern
understood or
topic in Plato's the opinions pain
false
falsely own
about
is identified
pleasures
directly,
judged. The theme
of
time, widely discussed pleasure,
rejected
with pleasure.
For
by
some
to the firm denial of the existence of pleasures
Interpretation
174 altogether.
For them that
are
escapes
merely Socrates does
I have
at
long
caU pleasures judgments."
67
I
would strangle
her
hands."
with
my
own
this passage of the dialogue to the utmost. But you
that it chaUenges the conviction of Philebus radicaUy. Let us again.
He has
tired. Has
grown
time
his friends "of harsh
and
men are men
any names, but it is highly probable that Antisthenes is reputed to have said:
Aphrodite,
condensed
him
he had
These
of these men.
one
ever meet
understand
look
Philebus
which
pain.
mention
not
Antisthenes is "Should I
from
not said a word. not
his
Is he reaUy listening? We know, by Protarchus a
sweet repose mentioned
transformed itself into sound
ago
And sleep, sound,
sleep?
dreamless sleep, we should observe, excludes any feeling of pleasure and life," pain, brings about, in other words, a condition of the "most divine Philebus's
yet a condition not compatible with
he
the beautiful
lies,
Socrates
continues
own aspirations.
the
eyes
closed
closed
and
the other young men. In sharp contrast to Philebus's
and
Socrates'
vigor and straightforwardness.
somnolence are
A
judgments"
"of harsh
with whom
to describe more
it
there while
fatigue
and
68
transition is brought to pass inasmuch as Socrates takes those
subtle
men
Yes,
ears, Philebus, inquiry, imposed upon him by Philebus, Protarchus, with
what
accurately
means
as allies.
to
He is going
these men,
who
We have already seen that pain and joy can be felt at the same time. The point is now emphasized: pain and pleasure do not only constitute an indeterminate pair, but they also mix with each other. This is again shown by Socrates in a tripartite way. Some oppose
deny its
he disagrees
pleasure
or
existence.
those in which both
mixtures of pleasure and pain are
involve
the
body,
tends to consider
body
the
and
soul contribute
heard that before emptiness, but
his in
The
soul.
the
which
of pains
rejoices
mournings
you
the 67
kind
soul and
belonging
pleasures?"
pleasure
the opposite elements, "each adding pain or
71
is
of mixture
only the
hy
He then
asks:
soul
the most
in
order
fully
remember, too, how people, time weep"! 72 "Yes,
one
to
See, for
70
47 C.
7i
47 E.
72
48 A.
example, 34 D 4-8
and
only
to anger and to
the mixture of pain
Socrates'
next question
agrees.
at
the one
gives as examples
mourning, love, find them full of ineffable
sentence
show
says
38 B 3-4.
and
of
is: "And
tragedies, enjoy the spectacle
certainly,"
44C-D.
46 A.
have
fear, longing,
we not
same
es
we
important; it is
is involved. Socrates
"Shall
refers
longings in
in them. Protarchus
68
as, for example
suffers
to this third kind: anger,
and
and
70
pain,"
and
from thirst, is pained by bis bodily in his hope to be filled, a hope entertained only by
man
a
third
jealousy, envy
pain,
evU."
to the other's pleasure
pleasure
pleasure and
as, for example, itching and scratching, which Protarchus 69 a "mixed Some mixtures are those in which the
and at
Protarchus. Whereupon
About Plato's Philebus Socrates that
"And the
asks:
is: "I do
easy to chus,
73
understand."
Socrates
not quite
his part,
know
you
Protarchus's
pleasure?"
mixture of pain and
understand such a condition under such
on
do
condition of our souls at comedies
there is a
there, too,
answer
175
confirms
it is
confirms that
not
circumstances, and Protar
that it is not easy for him. It is not easy for us
either.
This is
beginning
the short
mixture of pleasure
and
of
the discussion
surprisingly, Socrates launches into a
about
the third kind of
involves only the
which
pain,
lengthy
And now, happens
soul.
explanation of what
to spectators at comedies. It takes no less than four pages, and ends with Socrates'
is
that pain
contention
mixed
with
in the theatre, where tragedies and "in ah the tragedy and comedy of
spectators
life."
but to
also
"comedy."
But that
Today,
we are prone
simply
done in
not
was
funny
and a
times. The
ancient
one a
expression
in the dialogue is highly unusual and even comedy of It is almost unique; a somewhat similar phrase referring to to comedy, can be found only in Plato's Laws. 75 Why is this
and
paradoxical. not
in the Philebus? Let
expression used
He takes up envy first. envious man
envy is both
which contradicts
does
have three
aspects:
being
of conceit
conceited.
what
Socrates
says.
the soul, but we
befall those
Socrates then takes up the
also see an
to him. Thus
close
ridiculous.
The
the consequence of a disposition in the human soul
(1)
more
is,
is the
But two
is
know himself. This
not
virtuous than one
hear
the famous inscription at Delphi. A ridiculous man
a man who
conceit of
us
a pain of
evils that
pain and pleasure. main
is
Envy
rejoicing in the
is in the
ridiculous
kind
74
sad event a
life"
"tragedy tragedy,
or
only for
not
"tragedy"
any horrible
caU
pleasure
comedies are performed
the conceit
beautiful than especially
folly of not knowing oneself can of being richer than one is; (2) the one is; (3) the conceit of being more
wiser
most numerous. cases
must
than one is (8oooo(pia). This third
Now,
we tend
to laugh
at men
be distinguished here. Those
who
thus are
may be strong and able to revenge themselves, and are then powerful, terrible, and hateful; for folly in the powerful is hateful and base. Or they are weak and unable to revenge themselves, and then they are truly ridiculous. When we laugh at the follies of such men, who may be our friends, we feel pleasure. But to feel pleasure at the follies of our
laughed
at
friends is what envy brings about, since it is envy that makes us rejoice in the evils that befall these our friends, and envy is painful. Therefore, when we laugh at what is ridiculous in our friends, we mix pleasure and pain.
It is
not quite
although
was
said
clear
Protarchus
by
73
ibid.
74
50 B.
75
817 B.
him
so
how
all
appears to
far
this explains
be
concerned
satisfied.
what
happens
Socrates
adds
only envy, mourning,
at
comedies, all that
that
and
anger
(he
Interpretation
176
longing,
omits
mentioned
also
which was
him in that
by
one
sentence
before passing on to tragedies and comedies). And now, Socrates declares, he need not go further and Protarchus ought to accept
he
uttered
the
that there are plenty of mixtures something extraordinary happens that
assertion
But
now
and of pleasure.
of pain
light
sheds more
on the
theme of comedy.
You
that
remember
wiU
from him the
extracted
discussion
about pleasure
you wUl also remember
this
before the
go
Socrates
says now:
end
to
not one of the
the discussion
me
a
Protarchus, later on,
him that
of
"Tell
young men, who surround Socrates, not to go home before bringing the
and thoughtfulness
that
promise and assured
him
the
promise
young
let
me
men would
Listen to
off,
or
I think only a few words are needed to induce How strange! Why on earth does Socrates utter these
76
off."
me
Is this the Socrates
you
let to
words?
is known for his
who
discuss things? Has he
of
let
what
will you
midnight come?
let
And
end.
Socrates
reminded
reached.
was
then: will you
satisfactory
grown tired
never abating eagerness to like Philebus? Or is it that envy has life"
entered
only the Xoyog but also the stage, the "comedy of in the dialogue? Incredible as it might seem, Socrates appears to
not
presented
"divinely"
be
envious
asleep, seeing Philebus asleep, Does that not mean that Socrates is pained
and pain.
77
yet
pleased
also
Philebus? But
"conceit
what about
us,
by
by
hear the
"comedy
of
life"?
of all people
witnessing
what
sleep,
words of
Well, is
pleasure
this envy
8o|o0ocpia
the
who read or
realizing that Socrates
and we are also pained
wisdom,"
of
by
Philebus's
of
aspect
ridiculous
the spectators of this
and are
pleased
by
latter's
the
manifests
the
without
of
and
which
friend
the dialogue
we are puzzled and
envious at this moment,
happens to him. We
might
that this is what is going on at this moment, but this refusal would only mean that we expect to be pained and pleased, // we refuse to
accepted
Yes, to
accept
it.
the
dealing
dialogue is
pleasurable and painful
with pleasure and pain
in
speech
in deed
(Epycp), in
(Xoyco). And is
there
addition
any
need
feels in reading, or listening to, the dialogue in all its deliberately complex and inordinate convolution? We understand now, I think, why the title of the dialogue is Philebus. Socrates proceeds, of course. He takes up now and this is a new to mention the pain and the pleasure one
transition
the
pure
pleasures,
Socrates lists five kinds our
senses, one
kinds
of such
involving
of pure pleasure
clear sounds and
beautiful
living
beings
50 D. 77 78
Cf. Apology 40C-E. 51 C.
that which
have their
colors, in
is,
that
pleasures
pleasures, four cannot
with
be
sensed.
in beautiful
odors.
paintings,
by
The first four
argument"
or
pain.
figures, in beautiful The beautiful figures are not 78 but "says the a
source
in many
unmixed
of them conveyed to us
111
About Plato's Philebus straight
help
Une drawn
of a
figures
and solid
beautiful
plane
sounds
unmixed with
are
figures,
these
pleasures
help
of a
colors, in those that
help
of
there is
with
these same
instruments.
of suitable
the
tools,
79
The
trace of any other send forth a single pure tone. The
which
and sounds
colors,
As to the
pain.
help
the
the
with
line drawn
circular
ruler, a
figures drawn
constructed with
colors are pure
Clear
color.
the
with
compass,
generate
of
pleasures
no
are pure
pleasures,
Socrates
as
smell, they are,
divine."
playfully says, "less deeply serious is that
The last kind of pure pleasure and this is which has its source in the known or the knowable, accessible to human beings without hunger for learning and without pangs of such hunger. 80 What Socrates means is contemplation O&Ecopia), which
is
not preceded
by
knowledge. This The transition
some
the
way
leads to
now made
the third is the
of which again
in
desire to
Epoag, the
know,
realm
of
characterizes such pleasures
is due
by
important. The first
by
pleasures
the
The
measure.
pursuit of
exceedingly few. that again has three parts,
a passage
most
pure
feel it in the
as we
is felt
pleasure of contemplation
part extends
statement
that what
second part makes us
understand
that the pure pleasures are, because of their purity,
pleasures.
In
ingenious
third
the
people"81
while
people"
genious
longest
the
Socrates
part
one
of
accepting little later to
are reduced a
also true
refutes
"certain
their premises. These "in
one
man,
and
there is
hardly
any doubt that this man is Aristippus. His premise, which Socrates accepts, is that pleasure consists in a process of generation and has no stable
is
being. What is To
a good.
relation
The
refute
rejected
by
Socrates is that
such a process
in itself
this assertion, Socrates proposes to consider the
that the process of coming into being (yEveaig) has to being (cuoia). is: which one of the two is for the sake of the other? Protarchus
question
rephrases
the
question as
follows: do
ships exist
for the sake
of
shipbuilding
is shipbuilding for the sake of ships? Protarchus knows the answer to this question, of course, but Socrates gives the answer in an all-comprising form: or
"Every instance generation of which
is
of generation
always
while
Socrates,
only
a generation, who
is nothing but the
order of
appears,
53 A-B.
so
52 A.
si
53 C.
83
54 C.
55 A.
we must
but
be
no
grateful
being
82
Now,
being or other, and all being for the sake
the
end
in
a process of generation.
good.
Protarchus
not of
that order.
Therefore,
to him who pointed out that there is
of pleasure.
find their highest
Socrates,
79
82
sake of some
being."
the process of generation itself is
says
those
is for the
sake of
the process of generation takes place is "of the order of the
good,"
all
for the
He
know that
For their highest
concludes:
"It is
to teU us that pleasure is a
laughingstock
makes a
pleasure and
end
a great
good."
83
is
of
pleasure
not of
absurdity,
the
as
it
Interpretation
178
transition, in which courage, self-restraint and vovc are mentioned and which begins to move the dialogue upward. The task is now to consider voiig and knowledge carefully and to find out what is by There is
a new
in them. We
nature purest
the
Two kinds
in the desired
things, the the
"know
other serves how"
division is to be
toil,
aided
by
mixed
life.
distinguished. One is necessary to produce education and nurture. The productive knowledge,
knowledge
of
that their truest parts will be joined with
expect
truest parts of pleasure
of the made.
guessing,
are
producing arts, is taken up
Some
of
and
lack
those
first,
here
and
by
parts are acquired
again a
practice and
They do not use sufficiently This holds, Socrates says,
precision.
the arts of counting, measuring, and weighing.
for music,
it is commonly practiced, for medicine, agriculture, piloting, But in the arts of building, shipbuilding, and house
as
generalship.
and
building, for
example, there is much more precision, because measuring ingenious instruments play a much greater role in them.
and the use of
It is
at this point that
Socrates divides the
arts of counting and of measur into two kinds. Some counting refers ing (not, however, that of weighing) to visible and tangible units, which are all unequal; but there is also
counting
of units
that do
differ
not
or to entities
latter
that
entities means to
production and
for the
ing
careful
and
kind
be
cannot
be
trade, but for
study
measuring
of
another.
of
tangible things
deal with, the
and to
"geometry,"
in
not
of
"arithmetic."
true
visible and
To measure,
for the
purpose of
knowing. And this holds also proportions. These true arts of number
the purpose of
of ratios and
serve education
and nurture.
knowledge purer than another, This purity of knowledge brings
of
to
This kind
each other.
numbering,
either
sensed.
engaged
from
at all
counting is the basis of the true art The art of measuring may also refer
one
as
We
there is a
see that
is
pleasure
purer
about much greater
than
clarity
and
truth.
precision and much more
But there is, beyond that pure mathematical knowledge, the power of dialectic. It deals with Being, True Being, with that which always im mutably is. Protarchus remembers at this point the claim of Gorgias that the art of persuasion, the rhetorical art, surpasses all other arts. Socrates replies the
that he was
"greatest,"
of the
art
or
the
not
of the art
thinking
"best,"
and
the knowledge
that
the "most which
is
asks
reputation power
in
sake of votic
Protarchus to look
of the various
our souls which
with
pursue
it
it,
and of at
little
use
the usefulness
power possess thoughtfulness
Protarchus
Truth does
means to pursue
neither
it
clearness, might
nor
at
be. the
sciences, but to consider whether there is a with Truth and does everything for the
greatest purity?
To be in love it. It
thinking
about
is in love
Truth. Would this
in the
by being
to men; he was
most concerned
precision, and the most true, however little
Socrates
surpasses all others
useful"
to
try
not mean
(cppovnaic)
and
this must be so.
to possess it or to contemplate
to find
means to submit to the
to discover in the spoken or
concedes that
it, indefatigably, unremittingly; to power of discourse, a power that is able
silent words
that which make
speaking
and
About Plato's Philebus
thinking ultimately possible, namely beings. But, as Socrates points out, in them do
engaged
their
with
not submit to
If
opinions.
that, that
and the
"How
can we gain
can
not what
past,
and
upon
and
how it always
things
By doing
the present, the
have
no
asks:
stability
is eternally the
same without change or
or, Socrates surprisingly adds, "in what is most akin to mean the moving, but never changing celestial bodies.
it."
85
mixture mav
This
deals
passage which
with
the
purest
his
how it
to see that the stable, pure,
argument compels us thus what
spends out
is. And Socrates
which
true
the men
are satisfied
itself.
acts
productions of
unchangeably
only be found in
discourse, but
power of
fit to investigate nature, he that is to say, tries to find
stable about
anything
The
whatsoever?"84
true,
thereby,
arts
many existing
toils to discover transient
man
future
and
the unchangeable and, the
the
a man sees
hfe in studying this world of ours came into being, how it is acted
179
knowledge
ends with
He
the re
to voiig and cpoovnoig, which have to be honored most. This reference is the last transition in the dialogue to the last passage of peated reference
the dialogue.
This last
fulness
and
is
passage pleasure
mixture with
the
about the most
desirable life, in
Socrates Protarchus. We
are mixed.
help
of
undertakes expected
which
now
thought
to make this
and still expect
that
knowledge will be joined in this mixture. Before the mixing beeins, Socrates reminds Protarchus and us of what had been said before. Philebus had claimed that pleasure was the true goal the
of
the
pure pleasures and
living being
every
mean
the same thing.
"pleasant"
good
is
that these two words,
Socrates,
on
the
mean
different things
greater
than pleasure's.
and
in the
and
purest
other
and
"good"
hand,
and
claimed
"pleasant,"
that
"good"
that the share of thoughtfulness
agreed, Socrates continues,
They had
living being, in whom the good is present always, altogether, and ways, has no further need of anything, but is perfectly self-sufficient;
that any
in
all
but that
neither
life
a
of
pleasure
unmixed
with
thoughtfulness nor a
thoughtful life unmixed with pleasure was a desirable life.
Directly
to the
related
task of making the mixture is the task of
the good in the well-mixed life, or at be better able to find out to what in the well-mixed life the second prize should be assigned. We remember that Socrates had raised the question before. At that time the possible recipients
winning least an
of
a clear
outline
understanding
of
it,
86
the second prize were voiig
of the
dialogue
This is begins to
voiig
now what
make
a proper prayer
84
59 B.
85
59 C.
86
61 A.
has
the
of
so as to
not
Socrates
mixture:
and pleasure.
been
says
"Let
Note that in this last
mentioned so
jovially
us make
to the gods, Dionysus or
passage
far.
and
playfully
the mixture,
Hephaestus,
just before he
Protarchus,
or whoever
with
he be
Interpretation
180
87
Dionysus leads
mixing."
who presides over the
orgies; he
over
and
pourers, a
fount
of
of
beside
honey,
pleasure.
craftmanship.
us are
Socrates
"We
continues:
are
like
wine
that of pleasure may be hkened to
fountains
the sober,
and
health-giving
pure,
here for
stands
thoughtful and sober
on revellers and presides
Hephaestus is known for his
of thoughtfulness to one
fount
wineless
do
water of which we must
best to
our
mix as weU
88
possible."
as
The first
be better to
would
is:
question
which was
But Socrates is
is thoughtful
first that
mix
knowledge
with that agrees.
Socrates
should
Protarchus
and
mix all pleasure
thoughtfulness? Socrates observes that this would not be safe. It
with all
about
Let
not satisfied.
justice itself, that is,
Protarchus
assume, he says,
a man who
us
in his reasoning about everything that truly is the intelligible, by his voeiv (it is the first time that
his
by
of
vovc
of the
dialogue). If this the all-embracing
passage
human
of our
knowledge? concerned
"that
sphere
No,
the
further.
guesswork
is
man
They
mentioned
cognizant
of
in
the
human circles, will this man have sufficient Protarchus, it would be ridiculous for a man to be
other arts
necessary, if any
fully
is
sphere, but is ignorant
celestial
divine knowledge. "Do
with
only
is
man
is
and
apprehension
and
the unstable and
put with
go
says
justice,
the i8og of
about
mathematical circle and
pleasure
and most precise.
guided
this last
truly
pleasure which was more most true
put
impure
art of
into the ever
the
mean,"
Socrates asks, is to be
you
and circle
untrue rule 89
mixture?"
Yes,
Protarchus,
says
that is
to find his way home. Socrates and Protarchus
music,
lacked purity, the pure into the
and
mingling with Then Socrates turns to the
which and
they
all
said
ago
a while
was
fuU
of
the deficient kinds of knowledge
mixture. pleasures.
Here
again
the pure and true
only ones to be put into the mixture. For the first and only time in the dialogue Socrates mentions "necessary by which he means pleasures connected with the satisfaction of vital needs,
pleasures are not the
pleasures,"90
and adds them
to the pure ones. And the further question arises: is it not
advantageous and
just
as
edge
be
was
kinds He
harmless to let
harmless
such a part?
Protarchus;
us,
of
it
all pleasures
be
to let
all
and advantageous
Whereupon Socrates
we must
ask
a part of
"There is
says:
the pleasures themselves 91
no use
and
another."
of thoughtfulness about one
asks
first the
thoughtfulness
pleasures:
"Would
all?"
or with none at
that for any tribe to be solitary
87
61 B/C.
88
61 C.
88
62 B.
ao
62 E.
si
63A/B.
82
63 B.
That's
you choose 92
the mixture,
the arts and all knowl
what
in asking
the different
Socrates does.
to dwell with the whole
And Socrates lets them
and unaUoyed
is
neither
answer
possible
nor
181
About Plato's Philebus "We think the best to live
profitable:
with
is the knowledge
of all other
93 is possible, the perfect knowledge of Let us not forget, it is Socrates whom we hear speaking. It is highly doubtful whether the pleasures can speak and can have any knowledge
things and,
ourselves."
far
so
as
And
of themselves.
now
Socrates turns to thoughtfulness
(It is
and voiig.
that voiig is mentioned in this last passage of the dialogue.) them whether they want the greatest and most intense
the second time
Socrates
asks
pleasures
to dwell with them in addition to the true and pure pleasures.
And Socrates the true
replies
for them
are united of virtue;
to health
they
be
added
the souls of men,
madden
would
This is the third time
senseless
those which
those which are handmaids
folly
the companions of
to
mix
vo-ug is
that
and also
own,
to the mixture; as to the pleasures which
which are
be
that
thoughtfulness and voiig
and self-restraint and all
should
the other vices, it
is, for
that
are almost their
and pure pleasures
them with the
mentioned
and of aU
voiig.
in the passage,
while
(cppovnaig), by Socrates, is left out. When Socrates has finished replying in the name of both voiig and cppovnoig, he says to Protarchus: "Shall we not say that this reply which the voiig has now made for itself and memory and right opinion is thought thoughtfulness
ful
which was
sensible?"
and
is this
voiig?
94
also
And Protarchus
says:
addressed
"Very
Which voiig
so."
much
that Socrates contrasted with
Is it the "divine
his
own
in his reply to Philebus a long time ago? No, it is Socrates who was speaking guided by his own voiig. It is not the voiig that the and that the sages, in cosmological account found to be "the cause of heaven and It is not to of be "king exalting themselves, declare "easy"
all"
earth."
the fourth tribe of the Promethean gift, to
appear ridiculous
the
kind
fulness
of mixture
and
by doing
he
commixture of
first two tribes
the
cause of this
"limitless"
life. It is
the
and of
original
neither
"limit,"
nor
the
cause of
the
the cause of these
a subtle
mocking
of
all"
the voiig as the "cause of rejection of this voiig mean? I think
introduction
and the subsequent somewhat veiled means
Socrates introduced, fearing is responsible for
own voiig
the Promethean gift.
of
What does the it
which
Socrates'
to produce the life which combines thought
makes
pleasure, is the
that.
Plato's
of
great
pupil
Aristotle. Aristotle's
thoughts must certainly have been familiar to Plato in his late years. A that informs us about Aristotle's life, passage in an ancient manuscript,95
hints have
at
lively
controversies
nicknamed
Aristotle 6
between Plato
and
voiig, and to
have
Aristotle. Plato once
said,
appears
when
to
Aristotle
"The voiig is absent; dullness reigns in the We do know that the investigation of the different meanings
was not present at a meeting:
lecture
room."
63 B/C.
83 84
64 A.
ss
Codex Marcianus. See Paul Friedlander's Akademische Randglossen in Die
Gegenwart
I960,
p.
der Griechen im Neueren
317.
Denken, Festschrift fiir Hans-Georg Gadamer,
Interpretation
182 and of the
(akta)
of cause
divine voiig
plays a
decisive
role
What the dialogue intimates is that voiig is above possession, and that Socrates is the embodiment of this voiig. works.
Socrates
the mixture
completes
must
be
chief
cause
a part of
it,
for this
mixed
this. We
of
all
a
human
pointing to the necessity that truth is the most precious in it and the
by
and then asks what
life to be
measure and proportion which
is ignorant
in Aristotle's
bring
should
lovable. The
most
beauty
about
more
properly,
answer
and excellence.
however,
is: due
Nobody
consider
these
three, beauty, truth, due measure, as the the mixture. We see, first: vovc is more akin to truth than pleasure; secondly: nothing could be found more immoderate than pleasure and nothing is more in harmony with due measure than voiig and knowledge; components of
the goodness of
voiig has a greater share in beauty than pleasure. And now, finaUy, Socrates gives a list of the best human possessions in their proper order. First something like Measure, Due Measure, Propriety, and thirdly:
like everything which must be considered of the same order. Secondly what is well proportioned, beautiful, has been completed and is
and
comes
sufficient, and all that belongs to that very
far from the
you will not wander place?
if
this is my prophecy
to the third
No, it is
elevated
in the
triad played
entire
family. Socrates insist on voiig
continues:
you
truth."
"As
and cppovnatg,
96
Is vong relegated to the third to the proper rank, if you consider the role the dialogue. Fourthly
come
the different kinds
of
knowledge,
the
pleasures of
the soul, some of which accompany knowledge and some of have seen accompany perceptions (observe that knowledge
which
the true
arts,
and
opinions;
fifthly
the
painless
pure
as we
was not mentioned
before among the
pure
pleasures, presumably because
knowledge involves the desire to know, involves Epcog, in which pain and pleasure are mixed). There is no sixth place, says Socrates, quoting Orpheus. He reminds us that neither voiic nor pleasure is the good itself, since both are devoid of self-sufficiency. But within the mixed life, which is the victor, voiig has now been given the second prize, while the pursuit of
pleasure
Socrates'
as
own voiig
behind than the third
place.
had
predicted a
Note that
this
long
holds
time
even
ago
for
is further
pure pleasure
is not mentioned at all. Pleasure is that, according to the tradition, the people associated the goddess Aphrodite with the number
that the satisfaction of vital needs
and
fifth. We called
should
be
aware
"Pythagoreans"
five. The list
given
indeed only the
by Socrates is
an outline of
"limitless,"
the
the
and inordinate. It is desirable life. The cbtapov, reigns, though not supremely, in the
strangely
good
in the
"indeterminate,"
unprecise
most
dialogue. I a
shall
not
discussion. 86
66 B.
keep
you
until
midnight.
Good
night!
But there
wiU
be
183
ON CORNEILLE'S HORACE Dain A. Trafton
The drama Rome's the
Horace is
of
shadows of
Romulus,
AU that happens is to
Aeneas. Critics
upon
it
seem
analogies to
Horace,
play
of allusions
to
characters appear
the auspices of the divine promise of empire
who
have
this background
noticed
and reflected
to agree that its function is to provide a framework of
the characters
and action of
the play itself.
1
What happens in
these critics claim, is like what happened in Rome's earliest
history. And by made
illuminated
harshly
the Sabine women, and Camilla of the Volsci.
under
made
background
played against a
Behind Corneille's
origins.
in
bringing
together
a number of recent
as a
kind
of
recapitulation,
expanding the
and
scattered remarks
one might synthesize a view of
essays,
reduced
the
to its essential pattern, of Rome's
foundation.
legendary Horace,
begin, is
one might
foundation
not about
the foundation of
in its
own
right
the foundation
of a
state, to be sure, but
The
a
play
about political about
Albe is the first of those conquests by which, as we are frequently reminded, Rome is to spread its empire over the earth. But the conquest of Albe is also a parricide, for Albe is said to be Rome's "mother" (56). In the light of the play's aUusions to Romulus (see 11.52-54, 1532, 1755-58), then, Horace appears to be the parricidal role of the state's founder when reenacting he destroys Albe and kiUs his brothers-in-law and sister in the process. 2
Camille, Her
i
of
name
course,
an empire.
plays the role of victim
(which is
See, for
conquest of
not
example, Peter
in this dramatic
found in the sources)
and
Newmark, "A New View
X (1956), 1-10; J. W. Scott, "The
'Irony'
of
recapitulation.
her curse, caUing for
Horace,"
French Studies,
Horace,"
French Studies, XIII (1959), 11-17; Lawrence E. Harvey, "Corneille's Horace: A Study in Tragic and Artistic Ambivalence," Studies in Seventeenth-Century French Literature, ed. Jean-Jacques (Ithaca:
of
Cornell
University Press, 1962), 65-97; Serge Doubrovsky, Gallimard, 1963), pp. 181-82; and The French Review, XL Walter Albert, "The Metaphor of Origins in (1966), 238^5. Harvey appears to have been the first critic to point out the allusions Demorest Corneille
et
la dialectique du heros (Paris:
Horace,"
to the Sabine 2
women and
Throughout
this
Although the latter
Livy's),
to Camilla (pp. 87-89).
essay
would
I
be
use
"state"
rather
more appropriate
than
from
a
"city"
Roman
to
refer
the former is Corneille's word in the play. It is one of the ways
he draws
attention
(See
11.)
note
to the relevance of
his
material
to
Rome.
point of view
by
(e.g.,
which
to seventeenth-century France.
Interpretation
184 the
Rome
annihilation of
by
that Corneille saw her as of
Camilla,
Italian
the
that
founded
Italy. Camille's fate
all), the daughter of Albe
(659-62),
similar situation
is
parricide of
old
ways.
married
that are
Rome's
Through
return
founding
its
of
aU
these
mentators
which
prevent
women
who
are
states
sources at
to throw
their parricidal
interceded in
a
spirit of mediation she
foundation
than the
heroism
and
become
beginnings;
and
the
have
foundation
the
mean
play's
is
conclude, CorneiUe
might
one
allusions,
and
must
of states re
aggrandizement
capacity for
mediation
founding
Stress
similar patterns.
historical
states
great,
stay
to suggest that Rome's
followed
empire
which
the
on
and ana
allusions, however, obscures important but which com
perhaps even more
altogether
similarities, Horace
neglected.
also makes clear
For in
addition
to
of the empire and the
foundation
of
the
revealing
the fundamental differences
Rome itself.
between
Horace,
Sabine live in very different times from Romulus, Aeneas, and the Sabine women. The times of the founders were simpler; foundation of the empire is torn by uncertainty and paradox.
Camille, Camilla,
and
Although the
new
imperial
prophecy from the days prophecy, come
of
and a comparison
from heroic
simplicity.
state comes
the
founders,
In
the
beginning,
Aeneas. Although the
easy, it
be doubted
could not
suffering.
Greek
living
into
and
being
under
the
reveals
the gods
destiny
ultimately
its
own
how far Rome has spoke
they foretold
directly and was hardly
promised a glorious reward
In contrast, the prophecy made to Camille by at the foot of the Aventine is a deceptive riddle,
fitful
sign of a
the new state also has
between the two
unambiguously to for
by
who threatens
days. The
political
to
that
us
to their
of
function,
another
the
Sabine
same
logical function
the
Roman,
to a
her brother to
earliest
to
essential
No doubt Corneille does the
spirit
the tragic suffering
in Corneille's
not
unholy crime, tragic suffering, necessary when states are founded.
the
suggest
heroic
and
the founder or the tragic suffering of those who cling to the
occasionally quires
during less
no
and
those
recalls
be telling
to
seems
the tragic
process
And Sabine (who is
herself between her husband
represents
(1305-06),
neighbors
reminds us of
the harsh
attend
and expanded.
combat
its
of
led her Volscians along with the other Aeneas and died in the hopeless attempt
tribes against
out of
destined to
seems
army
warrior maiden who
cities and
to throw him
an
a reincarnation of
a nameless at
best
the
hope and, when it finally proves true, pointing the way only to death. Similar changes, moreover, lie behind the allusions to Camilla and the Sabine women. The fact that Camille, unlike her name sake, is not an external enemy of Rome but part of the city itself, and source of
not
only
moods of
part of the
city but
part of
Horace's
own
family,
the paradoxical harshness of Rome's
tends to increase
destiny. The imperial undertaking to conquer others apparently also involves a kind of self-destruction. And while the desperate stratagem of the Sabine women was successful in effecting a reconciliation and in preventing parricide, the similar effort of Sabine is fruitless. Her entreaties are soon our
sense
of
great
On Corneille's Horace
185
silenced by her husband, who orders his father to keep her locked in the house while the parricidal combat runs its course. At the end of the play she is reconciled to her husband in Rome not because she has prevented bloodshed but in spite of the fact that she has faUed to do so. These changes in connection with Camille and Sabine are in accord with
CorneiUe's
general expansion of
the theme
of parricide until
the
aspect of the action and constitutes perhaps
every
central
it touches
theme in the
play. For the founders of the city, at least as they appear in the play's historical aUusions, parricide was Umited to a single instance the murder and did not taint every deed, was even specifically averted in of Remus
the
between the Romans
war
the Sabines. But for the founders of the
and
every turn; it infects everything. Accordingly, theme and to its protagonists, the parricidal founders,
empire parricide occurs at
one must
look to
that
Horace, in
1 take to be
Romulus
and
the most
important difference between the founders
founders
of the empire and
According Horace,
one
parricide can
heroes to
aU
to
destroy
the
interesting
recent
origins.3
their
and
his
aspiration
any ties that bind him to the
tie is especially galling because it reminds
the parricidal
divinity drives
lot. Of these, the him of his radical
common
his origins; he is not self-created. Parricide in some consequently becomes a heroic necessity. Horace's part in destruction of Albe and his murder of his sister, then, like
murder of
Remus,
can agree
can
be
that the account of
by Livy (I.vii), Corneille's
seen as
inevitable
main
consequences of
Romulus's
reserves
his highest
praise
murder of
Remus
given
source, might be interpreted in the light
this analysis of heroism. At least one careful
of
alone, to
aspiration.
One
velli,
by
stand
upon
or other
heroic
the
of
toward
fanuly
Romulus's
at once and
the need felt
The hero's impulse is to
destroy
form
the city
interpretations
understood as an expression of
him to
dependence
of
to the play's deeper political meaning.
key
independence,
assert a godlike
understand what
the most
of
be
to
order
reader of
Livy, Machia
for Romulus precisely because his
virtii
him radically independent of his origins. Romulus, Theseus, Moses, and Cyrus are the four greatest princes for Machiavelli because they were Of able to break absolutely with the past and to found truly new birth that of freed accident Romulus from of the an was course it many made
states.4
ties that bind she
to their origins, but when Fortune failed
men
burdened him
with
a
brother,
twin
his heroic
virtu
him,
as when
provided
the
remedy.
To
see
Horace's
parricide as
the expression of a similar, heroic effort
to liberate himself from his origins, contrary, Horace's
bis
origins
as
he
3
Doubrovsky,
4
See The Prince,
pp.
parricide appears understands
133-84; ch.
6.
however, to be
them. For if
esp. pp.
151-52.
is
unconvincing.
an affirmation and
On the
defense
of
Horace is sternly ready to
Interpretation
186
sororicide, a kind of fratricide
commit
kind
of matricide
it
also makes
(as the Roman
clear
that he is
crimes and make a clean
of
his
Patricide
origins.
that form of
and
that involves crimes against one's patrie axe unthinkable to him.
parricide
Father
to complete the gamut of parricidal
not about
sweep
his brothers-in-law), and a kills Rome's "mother"), the play
(killing
who
other parricides are
in fact
dedicated to them precisely because it is in them that he feels his he.
fatherland
origins
and
remain
sacred,
and
his
After murdering
CamUle, Horace meets three characters in quick Procule, Sabine, and his father. Against the reproaches of the first two, Procule and Sabine, Horace unflinchingly defends the (1323) of what he has just done, and if Sabine manages temporarily to upset his equanimity, it is rather by the pathos of her request that he kill her too than by any doubt she throws upon his opinion of Camille's deserts. succession:
"justice"
There is
evidence in these encounters, or anywhere else in Horace's conviction of the justice of his deed is ever shaken. But when his father accuses him, not of injustice, but of having dishonored himself, his submission is immediate and utter. And the terms in which he no
convincing
the play, that
it
proffers
are revealing:
Disposez de J'ai
Si dans S'il Si
sang, les lois vous
lieux
sien aux
en
font maitre;
qui m'ont vu naitre.
vos sentiments mon zele est criminel,
m'en
faut
recevoir un reproche
eternel,
devient honteuse et profanee, d'un seul mot trancher ma destinee:
ma main en
Vous
pouvez
Reprenez A
mon
devoir le
cru
si
Ma Ne
tout ce
brutalement
sang de
qui ma
la
souille
lachete
purete.
de crime en votre race; de tache en la maison d'Horace.
main n'a pu souffrir
souffrez point
(491-92) First it is important to
his father's
accusation
Procule
Sabine. The
or
conditional
clauses
note
any
that it is
more than
words
not clear
he
"Si dans
that
Horace
agreed with vos
the reproaches of
sentiments
that follow suggest that Horace's
agrees with
.
.
and
the
"sentiments"
are
different from his father's. And later, before the king, when Horace asks for permission to kill himself to save his honor, he does not speak of expiation for Camille's murder or for any particular dishonor already
incurred. He admits that he is "en peril de quelque ignominie" (1584), "quelque" but the vague indicates that he is not thinking specificaUy of Camille but generally of the future dishonor that may come to him simply because he will be unable to live up to the expectations created in "le by his exploit against the Curiaces. The point is that Horace peuple"
submits to
his
"Reprenez
tout ce
1641, he
father,
not
because he
sang,"
said
"Reprenez
says
agrees with
Horace,
and
him, but
out of piety.
in the original
version of
sang."
votre
In
either case
the
implication
comes
On Corneille's Horace
Horace is saying, "whether judgment or not, to take back this blood because it was in the first place. You gave it to me. You are its origin, the origin
through clearly enough. "You have a
I
187
right,"
agree with your
yours
life."
of
my
Furthermore, behind his blood hes
origin of
Disposez de J'ai
mon
devoir le
cru
this fundamental piety felt for his father as the
an even
deeper piety felt for Rome.
sang, les lois sien aux
lieux
vous en
font maitre;
qui m'ont vu naitre.
wiU surrender bis blood to bis father, not only because his father it to him in the first place, but because his father's right to it is decreed by Roman law. Roman law recognizes fathers rather than
Horace gave
mothers as the origin of
the play, that
its
nor would
Rome
blood. Horace never even mentions his be sure, be moved by Sabine's
one can
should not attack
"origin"
Horace's
of
he,
Roman law
(55-56). To be
said
in
argument
"mother"
and
extent, then, that Roman law is the origin his origin, the origin of his piety for his father,
the
opinion about might
Albe because Albe is Rome's
mother
to
be the
Horace's
origin of
origin.5
But Rome
figures in Horace's piety for his origins in another, much more direct way. Rome is the place where he was born, his place of origin. And the also
power
that this idea of Rome has for him is
to this place of origin that he felt even warned
interets de
Rome"
in the fact that it
evident
was
"owed"
CamiUe, just before killing her,
ta naissance aux
Camille's life. Indeed, he to remember "Ce que doit
(1300). It is
not
surprising, therefore,
he teUs us within the first five lines of in the play, one of Rome's (375) or that he TuUe, as the head of the state, has as much right to his
that Horace considers
himself,
as
"children"
his first
speech
feels that
blood
he
as
King
his father does. In his
long
final speech, Horace
reveals that
already have committed suicide to save his honor were it his behef that he does not have the right to shed blood that would
not
he for
"belongs"
to the king:
Mais
sans votre conge mon
Comme il C'est
sang
n'ose sortir:
vous appartient, votre aveu
vous
le derober
qu'autrement
le
doit
se
prendre;
repandre.
(1586-88) a passage such as the one just mentioned, in which Horace speaks committing suicide to save his honor, some critics have concluded that The important point, how he is primarily motivated by personal ever, is that in spite of his desire Horace wUl not kiU himself unless he
From
of
glory.6
5 fl
Cf. Aristotle's Politics, 1275b, 26-30 (III.i.9). See, for example, Doubrovsky, p. 149 and note 134 VAstree,"
"Corneille p.
371;
et
and
Revue d'histoire litteraire de la
W. H. Barber, "Patriotism
Language Review, XLVI
and
(1951), 368-78.
'Gloire'
on p. 539; fimile Droz, France, XXVIII (1921),
in Corneille's
Horace,"
Modern
Interpretation
188 the king's
receives
In
permission.
other
as
he
elsewhere,
his fatherland. In
subordinates his personal glory to
definitely
here,
words,
fact, it
of his glory may even be doubted whether Horace has any conception When he origins. from his separate individual as a distinctly quality
saving his honor and glory, he is also thinking of protecting his (1569). The three words are interchangeable, and the sense of
speaks of "name''
"name"
him
characterizes
that
the
throughout
play
provides
another
the piety that binds him to father and fatherland. Horace has two names, and the very first reference to him in the play couples
Ulustration
both
of
of them around the verb
Romain"
(25).
important that constitute
they
heritage
a
"to
"Horace"
are
be"
as around an equal sign.
and
"Roman": these
also
names
and a
bond
that he
"Horace
his names,
are
shares
with
and
others;
est
it is
they
that give him his sense of
with others
identity. He tells his father that he kiUed CamUle, not only because he her life to Rome, but because "Ma main n'a pu souffrir de felt he "owed"
race,"
crime en votre
and
emotional
is the is
in the
weight; the name
name of
concerned
this
next
urges
maison
"Horace"
race rather
hne he
d'Horace."
"en la
rather than suffer a stain
is the
his father to kiU him The
name of
rhyme carries
"votre
and
to protect, as when he asks Tulle's permission to kiU himself.
title refers to him or to his father
or
to the race in general.
have been offended by the individual that is implicit in such a doubt. would not
Horace
it
than a merely individual name that Horace
Horace's name and honor are practically indistinguishable from the and honor of his race. It is even possible to wonder whether the Horace
the
race,"
regards with
similar
piety the
attaint to
name
name
play's
Certainly
his honor
as an
that comes to him from "named"
Rome. He is
humbly aware that the fact that he is 331, 368, 372, 502) by Rome as its representative
against
(see 11.307, Albe offers
him glory that he would never have acquired through personal merit alone. Although no one doubts his worth, his nevertheless comes as "naming"
in the play. There may be some assumed modesty, but there is fundamental sincerity in his reply to Curiace's compliments:
a surprise also
Loin de
Voyant C'est
trembler pour
Albe, il
vous
faut
plaindre
les trois qu'elle elle bien fatal
ceux qu'elle oublie et
un aveuglement pour
D'avoir
tant a choisir, et
Mille de
ses enfants
Pouvaient bien
de
Rome,
nomme.
choisir mal.
beaucoup
plus
dignes d'elle
mieux que nous soutenir sa querelle.
(371-76)
By
Rome's
children
of
unexpected
favor Horace
Rome, Romans par de (354),
and
Romains"
n'est
point
his brothers have become the "Hors les fils d'Horace, il Curiace. "Fils d'Horace" has
excellence.
exclaims
become practically identified with "fils de burden of his new name eagerly:
Rome,"
and
Horace
accepts the
189
On Corneille's Horace
Contre
qui que ce soit que mon pays m'emploie
J'accepte It does
aveuglement cette gloire avec
not
"Horace
him that Horace become
gall
Romain",
est
joie.
"Si
a reflected glory.
that his glory
vous n'etes
Romain,
in
remain
will
soyez
because
name
glorious
a
part
significant l'etre"
digne de
he
(483),
Curiace when we might have expected him to say, had he been 7 a different kind of hero, "Si vous n'etes Horace, soyez digne de Now we are in a position to state more fuUy the difference between Horace and Romulus. If the founding of the state called for heroic in admonishes
l'etre."
dependence,
the
Both kinds
of
founding
is
of the empire
a work of radical
dependence.
foundation involve crime, particularly the most terrible crime of parricide; but for Romulus parricide was the necessary means to something new, whereas Horace commits his parricide for the sake of something old, in the
Romulus
empire.
is hmited
by
patriotism
that is
the profoundest
by
committing
these two
kind
and
as well
state,
Horace is
often attributed
so
be
in
famUy
and
an almost simultaneous
paradoxical union of
ultimate
name of
impious,
was
impiously
for the
His
new
impiety
piety for pater and patria, and the to him is precisely defined by the
qualities.8
The founder
His task is to
of patriot.
as
pious.
of an empire must
his fatherland
renew
the crimes necessary to political foundation except the crime against the fatherland itself. He is a paradoxical creature
whom
aU
ruthlessness
utter
nearly
is joined to the deepest
By
piety.
contrast, of course, the founder of a new state cannot be a patriot. His
be devoted to the
energies cannot state of
his origins; he
his origins, to
must
accomplish
be
his task. He
becomes instead the father
than, hke Horace,
Horace is
7
reminds
This
also
with
father
conscious
fate's or
of
role
Querellez del apres
le
et
terre,
respects no
land,
father
or
fatherland
and
the father of his state rather
"chUdren."
owing his
the
to commit any crime, even against
most eminent
"name"
partly to
sort qui
de I'honneur
suggests
that Horace does
fatherland. At the
9
fate;
not
at one
la
nous ouvre
point
barriere"
identify himself
he
(431). com
time, however, his feeling for them than his piety for fate or the gods. When he leaves with the Curiaces, his last advice to her is:
is clearly much stronger Camille for the encounter
Mais
of a new
its
one of
Curiace that it is "Le
recognition of
pletely
preservation and aggrandizement of
prepared
et maudissez
combat ne
same
le sort;
pensez plus au mort.
(529-30) In
other words,
curses 8
he
Rome, he
"Patriotism"
will
will
is
a
allow
her to
curse
heaven,
earth,
and
fate; but
word
often
used
rather
loosely in
studies
of
Horace. That
the play leads us to discover the roots of the concept in Horace's piety
been s
pointed
(1838)
has
never
out.
Cf. Abraham Lincoln's "Address Before The
field"
when she
kill her.
on
"the
perpetuation of
Young Men's Lyceum
our political
institutions."
of
Spring
Interpretation
190
The idea that Romulus, as founder, is the father of Rome is never implied by the passage, explicitly stated in the play but is unmistakably Albe is Rome's that argues already mentioned, in which Sabine "mother"
"origin."
She is trying to
and
its
Julie that Rome
persuade
respect
should
maternal origin:
Mais
tu dois Romule.
respecte une ville a qui
Ingrate,
du sang de
souviens-toi que
ses rois
Tu tiens ton nom, tes murs et tes premieres lois. Albe est ton origine: arrete et considere Que tu portes le jer dans le sein de ta mere.
(52-56) I have
Sabine's failure to
commented upon
We have
the Roman
seen that
Horace is
(379;
male
be Romulus. Indeed, it is him than from Albe that Rome received its Rome's father
much more
must
to the legend recounted
According walls,
and
the
at
laws that he
political
name that
he
gave
established were
his
gave to
creation
Rome
inherited from it:
having
usage
was,
for
of
the
city's
certain religious
laws,
that
raised
his
of
course, his
(the "lieux
walls
"laws."
and
apparently
all those things
from
directly
"walls,"
Romulus
by Livy,
he followed Alban
although
Thus Romulus of
1069). But
cf.
"name,"
The
patriotism.
to mothers.
time Sabine's words lead us to reflect that if Albe is Rome's mother,
same
the
Roman
not extend
assurance"
"une
by
animated
understand
piety does
patriot's
devising.
own
own.
Horace is
qui m'ont vu
conscious
naitre"), laws
les lois vous en font maitre"), and name behind Vieil Horace as Horace's origin, Romulus stands behind Rome. Romulus is the origin of Rome and there fore ultimately the origin of Horace. In a certain sense the founder of a
("Disposez de
mon
sang,
("Roman"). If Rome
state
is indeed the
he
created.
Now
Romulus. To analogies
to
origin of
formed
state and are
stands
we can perceive
equal
would
literally,
of
to
have to
course; he
of
the final
Romulus (and
Horace),
Horace
its citizens,
10
his
own.
Beyond this,
by Horatium, it promised point
an
would
one
might
have to be
detect the
counter
the hero
who wants
gods, or
at
least the
patriot would of
Romulus,
replaced
suggestion
and
any
by
have to turn and
create
destroy
attack
on
new
Horatium.10
that for Roma to be
be necessary for Horace to
imperial destiny to Rome, run
of the play's allusions to
him truly his origins and found something new, Romulus. Horace could not do this have to do it indirectly by attacking Romulus's
would
would also
and
destroy destroy
would
Roma
irony
up in his laws that
who grow
make the play's allusions to
creation, his namesake, Rome. Horace the Rome, destroy the name, walls, and laws ones of
the people
the influence of the name, walls,
by
upon
the gods.
it
replaced
They have
by Horace
to their designs. More generally, does it not
at
follow
this that
to be truly independent of his origins will have to destroy the old gods? Machiavelli hints that founders of states have
may
On Corneille's Horace
That Horace's triumphs put
the
have led to
might
inconceivable. In fact Valere's
of man who wants to and now
Rome his
make
Valere
own.
Mais
puisque
d'un tel
Qu'il triomphe
outstanding the
as capable of
il
crime
is
a conclusion
unless checked
can,
the
admits
victory, but he also sees him and therefore warns TuUe:
such
not
in the last act, that Horace be is based on the assumption that he is
demand,
to death for CamiUe's murder
kind
191
s'est montre
most
immediately,
merit of
Horace's crimes
outstanding
capable,
en vainqueur et perisse en coupable.
Arretez sa fureur, et sauvez de ses mains, Si vous voulez regner, le reste des Romains: 11 y va de la perte ou du salut du reste.
(1487-91) "Quel sang
barbare
epargnera ce
vainqueur?"
(1501)
he
goes on
to
ask.
Faisant triompher Rome, il se Vest asservie; II a sur nous un droit et de mort et de vie; Et
nos
jours
Qu'autant
criminels ne pourront plus
qu'a sa clemence
il
plaira
durer
I'endurer.
(1507-10) As Valere
Rome, with
sees
it, Horace has
the
Sire,
frightening lieu Rome
ce
La
suite en est a
Sauvez-nous de
and
and
death
Valere
over
closes
analogy:
faut
c'est ce qu'il
En
life
acquired a power of
blood that belongs to fathers alone,
a power over
a vu
que votre arret
le
premier
decide.
parricide;
craindre, et la haine des Cieux: main, et redoutez les Dieux.
sa
(1531-34) TuUe,
of
course,
is false. After
to see that Valere's understanding of Horace Valere, Tulle listens to Horace and realizes
comes
listening
to
that Rome has nothing to fear from the hero who would already have committed suicide to save his name were it not for his belief that his
blood belongs to the mands while other reason.
ing him
to
state.
new
ch.
Romulus, Tulle dares
6),
religion
activities of
and
Livy
Romulus,
he
when
informs
in Rome (I.vii).
the possibility that he remotest of
I'Etat"
(1763), Tulle
pour servir
com
he pardons, confident that Horace would not live for any And whereas Valere sought to condemn Horace by compar
to do something like this
Prince,
"Vis
suggestions, if it
them
characterizes at
length
about
Horace, however,
and unlike might
us
to turn the same analogy to flattery:
"armed
as
Romulus's
contains
the possibility that Horace
rise
to an
is in the play
assault at all.
upon
(See
no
note
allusions
might attack
the gods
7.)
(The
prophets"
establishment
remains
to
of a
these
the state,
only the
Interpretation
192 De
les forces des wis, des lois.
pareils serviteurs sont
Et de
pareils aussi sont au-dessus
Qu'elles
se taisent
done;
que
Rome dissimule
Ce que des sa naissance elle vit en Romule: Elle peut bien souffrir en son liberateur Ce qu'elle a bien souffert en son premier auteur.
(1753-58) The
lies in the implication that
flattery
the parricide committed
"liberateur"
by
the
auteur."
If is hke that committed by its "premier TuUe really believed in that implication, we can suppose that he would of a state is not the servant of a put Horace to death. The "first king. He does not preserve other kings but becomes one himself. Horace saves himself, paradoxically, by asking permission to kUl him state's
author"
self.
If he had
made
Valere's him the
above
the
accept
not revealed
his piety so clearly, Tulle would have had to Horace's success against the Curiaces has
point of view. greatest
king himself,
in Rome,
man as
Tulle
to Horace that he is "maitre de deux
Sans lui j'obeirais Et je
ou
serais sujet ou
he
and
stands
he (1742):
recognizes when Btats"
temporarily
admits that
even
it is due
je donne la loi, suis deux fois roi.
je
(1745-46) What
could
be
position than
for Valere
more natural
to conclude that
or
for any
a man of such
other
greatness,
Roman in his
who
has
also
just
ruthlessly killed his sister, is potentially a Romulus? For Valere, Romulus's outstanding virtue joined to his parricide provide the only precedent from
Roman accuses
intensity ed
history to explain Horace. How could Valere, Horace, has not had the audience's opportunity of
his patriotism, be
expected to understand
who,
when
he
to observe the
it? It is
unprecedent
in Roman history.
No doubt there were Roman patriots of a kind before Horace. Vieil Horace seems to be one. But Horace is the first clear figure of a patriot in Livy, and Corneille's Horace carries his patriotism undeniably further than did his father. Camille suspects that Vieil Horace prefers the state to his family (255), but we actually see Horace act out the implications of that preference. To be ready to die for one's patrie is, as he says, a common form of patriotism; one must also be ready to kill one's nearest
dearest (437-52). Horace is the first Roman to go that far; in him, first time in Roman history, the piety felt for the fatherland as origin is exposed in all its impious power. Perhaps Corneille shared and
for
the
Machiavelli's belief that the common, respectable forms of political behavior are misleading. In any case, it appears that Horace turns to the extreme case in order to define the limits and essence of patriotism.
On Corneille's Horace
193
Corneille is telling us that to understand patriotism we must strip away its blandly pious garb of every day; we must lay bare the terrible paradox, the impious piety hidden in its heart.11
u
As every
student
Richelieu in terms
of
the
of
the
play
warmest
knows,
admiration,
See, for
Horace and
was
dedicated to Cardinal
there has been
much speculation
the play edited Pol Gaillard for Les Petits Classiques Bordas (Paris: Bordas, 1967), pp. 22-23, or Jacques Maurens, La tragedie sans tragique (Paris: Armand Colin, 1966), pp. 198-242. I suspect that a connection may exist between the impious piety of about
the meaning
of this
tribute.
example, the
edition of
by
Horace's policy. point.
patriotism and
Such One
would
Machiavelli,
the doctrine of
a connection,
and
however, is
have to trace the
that would
be the
raison not
d'etat that
guided
the great
readily demonstrable beyond
pedigree of raison
d'etat back to its
subject of another essay.
cardinal's
a certain
origins
in
194
TOM SAWYER: HERO OF MIDDLE AMERICA Harry V. Jaffa
chapter of Tom Sawyer Becky tells her father, in strict the Judge how Tom had taken her whipping in school: ". confidence, was visibly moved; and when she pleaded grace for the mighty lie which
In the last
.
Tom had told in
order
own, the Judge said
lie
a magnanimous
down
through
Truth
about the
to shift that whipping from her shoulders to his fine outburst that it was a noble, a generous,
with a
a
history
Tom Sawyer,
.
lie that was worthy to hold up its head and march breast to breast with George Washington's lauded
hatchet."
master of
the
noble
lie, is
the master
figure
American
of
literature, the character in whom, more than in any other, Americans fancy themselves to be reflected and idealized. Not Captain Ahab, pursu the great white whale, or Walter
ing
Mitty
bridge
at the
but Tom Sawyer playing hooky comes closest to To be described as having a "Tom Sawyer
is
grin"
measurable value to
this epithet of
the
rising
frequently
In
soul
the late
applied was
that the reflection of his Kansas
smile and wave of
glory.
im
the man to whom
President, General
curious
a
for
accolade of
an
recent years
Dwight D. Eisenhower. It is
Army
American
any
was most
politician.
destroyer,
of the
our aspirations
revelation
of
the
in his boyish
childhood
the arms conveyed more of the reassurance the
repubhc
from his leadership than any specific achievement of his later life. We are a democratic people, and democracies love equality above aU else, as Alexis de Tocqueville so forcefully pointed out so long ago. We sought
tend to equalize the distinctions based upon
wealth
birth, but
and
tend also to equalize those based upon age. Where else is it an achievement not
to be able to tell the mother from the daughter
the grandmother from the
immortality and
to
that a
father
characteristics.
seek
signs of
its
part of
childhood
in its
maturity
the young. In
of
and
part
wrote
advances
by
quently be and
Jefferson in
1818, "I
democracy's
they than the burners
The
way providing his own qualities
quest
for
ancients
immortality
celebrated with age.
the
But
if not the in belief in science the immense advantages in science and
charm
made within
look forward and
have
the period of my to equal
with confidence
no
doubt they
than we have been as we than our
As
witches."
of
or
of
the wisdom that comes
cleverness
the present generation,
as much wiser
son signs of
elders.
"When I contemplate discoveries in the arts which have been
life,"
nature's
this follows from our
and progress. and
It is
find in his
turn instead to the
moderns
nocence
should
But it is
strength that comes with we
granddaughter?
we
considered
a nation we seem
will conse
fathers were, early to have
Tom Sawyer: Hero of Middle America
been
to a depreciation of ancestral wisdom
committed
195
and
to
an elevation
the young that reverses the order of nature. Tom Sawyer had no father. Aunt Polly tells us that he is her dead sister's son; but no allusion of any of
kind is
to his paternity. Even Huck Finn had a father, albeit drunk. Tom is the new boy, if not the new man, par excellence. Gang," "Tom Sawyer's whose formation is the culminating event, or conclusion, of the novel, is in fact the United States, whose founding or re ever made
the town
is described symbolically
founding
democratization father figure
of
the framework of the plot. The
within
the republic requires a juvenile hero to replace the
of
Washington. We know
of course
that the "lauded Truth
hatchet"
Parson Weems's invention, just as we know that Judge Thatcher is utterly deceived as to the generosity of Tom's lie. But about
the
was
Judge Thatcher's declared
intention,
Military Academy
to the best law
and then
that even he comprehends
by
a new
chapter we
under
find that the
although we may surmise
sit upon
We
"the dead
of
St. Petersburg meet and Joe Harper,
won a great
it is
victory
we
are
told,
an eminence
carried on
by
lone
and
We of
the
of
rules,
are
hard battle,
counted, prisoners exchanged, the terms
were
conduct
well-defined
sides are evaluated.
after a
condescend
and
details
are not vouchsafed
the advantages of the respective
that Tom's army
fry
do not,
commanders
operations through aides-de-camp.
which
small
the rival generalship of Tom
bosom friend. The two
which
realize
is already complete, that in the new order, of prince, the boy is father of the man, and the old
to fight in person. Rather do thev
by
in the country indicates destiny is that of a
that Tom's
somehow
the young.
In the third
conflict,
Tom first to the National
school
education
regularly in battle a
send
the democratic republic. What Judge Thatcher fails to
guardian of
is that Tom's which Tom is are ruled
to
told after
the next
disagreement agreed upon, and the day for the necessary battle All Tom's virtues, we learn, are in a manner arts of war, arts of force and fraud, in which the latter component is predominant. Tom may be said,
appointed."
like the perjury.
grandfather
they turn piety
out,
are of
to surpass everyone in
the grand,
not of
thievery
and
And
the petty variety.
in the end, to be in the service of the law and justice and he appears to rebel. Tom's unregenerate individualism,
against which
or protestantism, which a
Odysseus,
of
Yet his deceptions
deeply
is the book's
sympathetic chord within
In
appears to ridicule.
one of
his
never
failing
source of
humor,
strikes
the sanctuary of the conventions he
moments of supreme
glory, produced
by
deception, he makes the congregation of the little village doxology with a passion and intensity they had not known. In
a most profane
sing the
the opening
chapter
of the village. him."
In the end,
captures
the
author
He knew the
the town
Tom's military
tells us that Tom "was
model
however, Tom is by his
boy
very
well
not
the Model
though
the Model Boy.
Tom,
and
we
Boy
loathed
may say,
generalship.
skills are
displayed in the opening episode,
when
he is
Interpretation
196
hidden in
he
Aunt
a cupboard as
dash for
makes a
Polly
him
seeks
only to be
freedom,
out.
caught
As her back is turned, by the taU of his coat.
He stoutly denies all wrongdoing, but the evidence of the jam jar is upon 'My! Look him. "The switch hovered in the air the peril was desperate " And as the old lady whirls around, Tom is gone in behind you, aunt!'
instant,
the
over
the high board fence outside,
There follows Tom is
always
a
long
soliloquy in tricks
such
playing
and
them. She ought to be on to them now,
he
never plays
days,
is lost to
being
PoUy
that
victimized
says, "But my goodness,
she
how is
and
sight.
learn from Aunt
that she is always
by
them alike, two
and
which we
a
body
to know what's
in trickery, not only because of the variety of his tricks, but because he knows how to work on the feelings of his subjects. "He 'pears to know just how long he can torment me before I get my dander she observes, "and he knows if he can make out to put me off for a minute or make me laugh, it's all down again and I can't
coming?"
Tom is
an expert
up,"
lick."
hit him
a
The
still
further Tom's
resourcefulness
the magnitude of the obstacles it faces. Tom has
something
of
hooky,
Aunt
as
displays
episode
next
Polly
expects
he has,
at
and
dinner
she
and
played
conducts
a
in her simplicity thinks) inquisition designed to entrap him. It has been a warm day and she supposes that he has gone swimming. (as
guileful
she
He forestalls her
damp his
observing that "Some of us pumped our heads mine's Aunt Polly retorts that he wouldn't have to unbutton
by
See?"
yet.
shirt to
whether
the
feels he is
pump his head and demands that he open his jacket to see collar she had stitched closed is still securely in its place. Tom safe
his half-brother Sid treacherously comments, sewed his collar with white thread, but recourse but to flight. When alone, he
until
now,
"Well, now, if I didn't think you black." it's At this, Tom has no examines
the two large needles with black
and white
concealed
in his lapels
at
and complains
bitterly
his
using now one and now the other. Nevertheless, we the fact that his guile was more than sufficient for not
Sid betrayed him. He
vows retribution
to
thread he carries
aunt's must
inconsistency be impressed
dealing
Sid,
which
with
is
in
by
her, had
not
long
to
come.
Aunt the next a
Polly day,
is
now
which
holiday. Aunt
between
a
determined to is
Saturday,
Polly loves Tom, heart
loving
and
a
punish
when all and
stern
Tom. She
will make
him
the other boys will be
there is
Puritan
a
conflict
conscience.
work
having
within
her,
Her heart is
Tom's wiles, which play upon her weakness. Her love for return, but it is slight beside the great love they share, which is for himself. There is no conflict within Tom between heart and conscience, of the kind that so dramatically preoccupies that other trans cendent hero in the later volume, Huckleberry Finn. Yet Tom does, as
vulnerable to
him is
not without
we shall a man
see, have
(or
boy)
the lawgiver.
a conscience of a sort.
of
the
law,
who needs
Tom,
unlike
Huck, is essentially
only to have it
settled
that he is
Tom Sawyer: Hero of Middle America Or
perhaps we
knows that
say that he is like Machiavelli's
should
laws
good
197
require
good
arms
Prince,
who
therefore devotes himself
and
first to attaining eminence in arms. Tom retreats from the dinner table, discomfited. Wandering through the town, he comes upon a stranger, "a
boy
larger than
a shade
fashion
himself."
The
stranger
is dressed to
Tom is astounding, and he "had into Tom's Later Tom calls him
that to
vitals."
that ate
degree
a
a citified air about
of
him
"aristocracy,"
using the The necessary outcome of the ensuing confrontation is bitter one, and results in Tom's victory. Before the fight
noun as adjective. a
fight. It is
a
however,
takes place,
boy
and the other
only
after
there is
resort to
the resources
of
a contest of wills, in which we see both Tom every imaginable bluff. They come to force fraud are exhausted. But we see that Tom,
something of a bully, is no coward. Much later, when Tom, with Joe Harper and Huck Finn, is thought to be dead, the children along of the town vie with each other in memories of the departed. "One poor although
chap,"
author, "who had no other grandeur to offer, said in the remembrance: 'Well, Tom Sawyer
remarks the with
tolerably
he licked
manifest pride
once.'
me
say that
could
.
.
.
But that bid for glory was a faUure. Most of the boys We thus see that Tom's democratic leadership among
the viUage boys is founded not
inconsistent
Tom
returned
she saw
the
upon
the
natural right of
love
with an aristocratic
the stronger, a right
of glory.
home late, only to find his aunt awaiting him, and "when his clothes were in her resolution to turn his Saturday
state
firmness."
into captivity at hard labor became adamantine in its Tom's generalship had enabled him to play hooky. But will it
holiday
him to do
enable
impunity? He had nearly escaped scot free until Sid's treachery betrayed him. Aunt Polly's heart before it was hardened might have rescued him, had not her conscience accused her and him so with
together. "He's full
do her
the Old
Scratch,"
she
is only "a-laying up
go unpunished must
of
duty by
sin
him, or and being
punishing
and
says,
to
and
suffering for
she will
be his
allow
us
him to
both."
ruination.
She
Thus is
he cursed with Adam's curse; as full of the Old Adam as of the Old Scratch, "he hates work more than he hates anything But Tom's else."
genius
does
Model and
Boy
he
created
will
forsake him. Not only will he escape the fate of Adam, upon Sid, but he will in the end displace Sid and the
not
and revenge
himself
as
the paragon of respectability. He
do
so ex
for himself. Sid,
we
are
look down
will
upon
seat of
authority he
them,
have told, "was a quiet boy, and had no Tom will triumph, not only over Sid's
cathedra, from a new
will
ways."
adventurous, troublesome person, but over the orthodoxy in accepts.
Tom is
a
hero
of
the
new
aunt
Polly's
Calvinism, in
soul
that Sid
which
dutifully
a new wine of
worldly glory is poured into the old churchly vessel, and such success will henceforth be regarded as the hallmark of election and salvation.
"Saturday morning was come, and all the summer world was bright Cardiff Hill, beyond the village fresh, and brimming with life just far enough and above it lay away to seem a Delectable and
....
Land."
.
.
.
Interpretation
198 Thus is the work
with
bucket
for
unpromising Christian. Tom is set to and a brush. "Life seemed to him
a most
of whitewash burden."
hollow, Negro
scene set a
Tom first
and existence a
boy Jim,
has been
who
temptations to Jim to whitewash for him:
water.
first,
the little
suborn
He
three
offers
that he wiU carry the
for him; next, that he wUl give him his white that he will show him his sore toe. After many that "Ole missis [wiU] take an tar de head offn
bucket to the
"alley";
to
attempts
to pump
sent
well
finally,
and
me,"
remonstrances
.
.
.
Jim succumbs. He is bent over with absorbing interest as the bandage is unwound, but before the stigmata come into view, Aunt Polly descends in force, and Jim is sent "flying down the street with his pail and a tingling
poor
Tom, for
rear."
it
bartering hour
an
spiration
a
whitewashes
moment,
him. He
settles upon
his
empties
away, he finds that he
all
vigor.
But
despair
soon
by
than half
could not purchase more
freedom. "At this dark and hopeless moment an in him! Nothing less than a great, magnificent inspira
of pure
burst
with
to examine his wealth; but
pockets
upon
tion."
The
this inspiration is to
effect of
set
Tom tranquilly to
This he
work.
hitherto do, because his soul within him was troubled. Now it is serene. But what is the work? It is not the work of whitewashing the fence, although that is how it will appear to Ben Rogers, the first of the could not
long series of Tom's victims. The real believing that he, Tom, is absorbed in requires
for its
detection to be
The
appear
Ben into
deceiving
the whitewashing,
he
that
consummation
is in
work
that
a work
beyond possibility
of
whitewashing and the work of deceiving are distinguishable to the mind, but not to the eye. And Tom does enjoy his work and take pride in it. At the end of the chapter the so absorbed.
author
intrudes
law
human action,
a
of
man
or
difficult to writer of
a
boy
this
body is
following
But Mark
a
reflection:
knowing
book, he
body is
Twain,
would now obliged
to
.
.
.
had discovered
namely, that in
to
make
make
the
thing
a great and wise philosopher
have
do,
comprehended
and
that
Play
a great
to
order
like
the
that Work consists
consists of whatever
do."
that great
Tom
candid.
"Tom
it
thing, it is only necessary to
If he had been
not obliged
altogether
without
covet
attain.
of whatever a a
the
work of
could
and
wise
not
have
philosopher, like sold
the
Tom, is not boys whitewashing
privileges, however unconstrained the activity, merely under the aspect of its being play. He had first to create in them the vision of its desirability, and
this
vision
is
a work of art.
Tom
makes
Ben
believe, first,
that
he,
Tom, is enjoying it;
second, that it is something that requires skill in its last and most important, that to be selected or permitted
execution; and to do it is to occupy
a position of envy and distinction. In a polity whose is equality, where the individual feels himself lost in the mass, no passion burns more universally than the passion for distinction, or more precisely, the illusion of distinction. Actual distinctions are of course by
principle
their
nature rare and
difficult, but
the iUusion of
distinction is easy
and
Tom Sawyer: Hero of Middle America can
be
made available to anyone who
As Ben begs for
chance to
a
is
take
199
willing to pay for it.
gullible and
turn at the whitewashing, Tom
a
cautiously refuses, saying it wouldn't do, since Aunt Polly is so particular about this fence, "right here on the street, you know but if it was the back fence I wouldn't mind and she Tom says he reckons wouldn't."
"there
in
boy
ain't one
done."
the way it's got to be
hundred,
upon one
or maybe
that
maybe two thousand
thousand,
a
And then in the
spirit
two hundred thousands
do it
can
that was to descend of used-car
salesmen,
Tom is, he goes on in response to Ben's begging, "Ben, I'd like to, honest injun; but Aunt Polly well, Jim wanted to do it, but she wouldn't let him; Sid wanted to do it, and she wouldn't let Sid. Now
whose ancestor
don't
how I'm fixed? If
you was to tackle this fence and anything Ben's appetite is now whetted, from a faint in clination to a raging desire. He offers Tom the core of his apple; Tom holds out. Then he offers all of the apple. "Tom gave up the brush with you see
was to
"
happen to it
reluctance
in his face, but alacrity in his heart. And worked and sweated in the sun, the
Big
barrel in
innocents."
of more
"There
they
the shade close
by, dangled his legs,
And,
lack
as used-car salesmen
the late steamer
while
Missouri
retired
artist sat on a
and planned
the
have discovered
slaughter
ever
since,
material; boys happened along every little while; to jeer but remained to At the end of the operation
was no
of
whitewash."
came
Tom "had had
and the fence plenty of company it! If he hadn't run out of whitewash, he would have bankrupted every boy in the In that moment of great inspiration, Tom had revealed to him some of
had three
a
nice, idle time
.
.
.
coats of whitewash on
village."
the profoundest mysteries of American democratic
capitalism.
does not,
if that
stood
to be merely the
an estate relief
see, lie in "the
we
the
capitalist
he is to
make a
theory
quintessential
every
profit. of
this
estate
essence
is
Rather does it lie in the
estate of nature.
under
relief of
himself has created, by infusing the desires by whose Long after Tom, John Kenneth Galbraith was to
fact,
and call
it the "dependence
enterprise
capitalist, carrying
entrepreneur's
Its
estate,"
relief of man's
deepest longing, but
effect."
Tom is the
to that consummation that is
which
he
never
hopes to
achieve
except, no doubt, in that better world to which good capitalists aspire to go. He turns the workers into customers and sells them their own labor.
What he realizes is pure profit, purer profit indeed than Karl Marx ever imagined in his wildest polemics against the iniquity of surplus value. He has no overhead, no labor cost, and no cost of material, and he exacts the entire
purchasing
power of
We should, moreover, the entire transaction. Tom sells runs out.
with whom the original
her self.
by
not
at
to
least
notice
until
work
a
whitewash
only to the boys but to Aunt takes
the old,
place.
He is
PoUy
under a
precapitalist order
further bonus. When he
is inspected, Aunt
the
the twofold nature of
playing hooky. This debt too he discharges
And there is "his"
and
not omit
"exchange"
under what we might call
tracted
his market,
reports
"was
a
debt
at no cost
back to
so overcome
Polly,
"debt"
to
con
to him
headquarters, by the splendor
Interpretation
200 of
his
achievement
that
took him into the
she
closet and selected a choice
delivered it to him, along with an improving lecture upon the value and flavor a treat took to itself when it came without sin
apple and added
Tom
effort."
through virtuous
say, enlarges
upon
Polly is closing
his
with a
happy
Tom has imposed his proved
his slave,
paying the
it
as
thereupon
state of
will upon
by
upon
the capitalist
those
own
favor, he
great
fortunes
Sawyer is the Gilded
as
Aunt
flourish.
every
its obstacles; fortune has hooky, and far from
one of
played
The inspiration
discovery By
we might
doughnut,
a
bounty
reaped a wonderful
who exchange.
that
of profits
brings these
that wealth is
not
rigging
shrewdly
from
rewards
to be measured
but
by
the
the market in his
the new principle, upon which most of the
exemplifies
of
"hooking"
the principle of the just price
the work it embodies
appetites of
doubles his bonus, or,
hereafter. He has
will
a venture of marvelous enterprise.
is founded
by
scriptural
sin, he has
wages of
grace,
America in the later
an exquisite example of
nineteenth
century
based. Tom
were
barons"
the genius of the "robber
in the idyllic setting
of
Golden Age. "hooked" his apple and the Tom skips off. But in Taking doughnut, passing out he sees Sid, with whom he still has an account to settle. A storm of clods fills the air; and although Aunt Polly comes to Sid's rescue, it is not before revenge has been exacted. Now Tom's soul is at peace.
Age,
concealed
of a
The peace however is short-lived. Tom goes off to direct the victory of his army over Joe Harper's. But this is mere epilogue to the victory at the fence. The more important sequel occurs afterwards as Tom is passing the house where Jeff Thatcher lives, and where for the first time he catches sight of a
in two
long
little blue-eyed creature with has just come to town. Mars
"lovely
tails,"
who
conjunction, and the "fresh-crowned hero fell without the hero's affections, we
Amy Lawrence herself behind
learn, had
vanished out of
....
his heart
He had been
fessed hardly a week ago the betrothal ceremony in .
.
.
not
months
Later
and
a
and
hair
Venus
firing
plaited
are
shot."
a
in
But
tabula rasa. "A certain
left
not even a
winning her;
memory of had con
and she
the wooing of Becky, and her faith to Tom. After the
we watch
which she plights
denials, the chase, the maidenly surrender, he tells her that now she is coy
been
yellow
blushes, never
and
to love
finaUy
the kiss
of
or
marry anybody demands in return
but him, "never, never, and forever." She agrees, and that he never marry anyone but her. Tom's reply is, "Certainly. Of course. it." That's part of But his obligations are clearly an afterthought. A moment later he blunders into disclosing the engagement to Amy and that
"forever"
to him
be a very short time. Tom's conquest of Becky kind of complicating circumstances that had previously befallen his hooky playing, when Sid ratted on him. This time he has ratted on himself. But as before, his victory will be all the more astounding. The illusion of virtue that he will conjure before Becky (and her father), which will obscure the memory of his infidelity, is exactly of thereupon faces the
can
same
Tom Sawyer: Hero of Middle America that
a piece with
her
with which
he
confronts
Aunt
Polly
201 when
he
presents
the thrice-whitewashed fence.
with
We have followed
our
hero from
Friday
Saturday,
to
and now
it is
Sunday. Aunt PoUy's religion, over which Tom so mightily triumphed at the fence, now assaUs him with all its multiplied Sabbath-day force. First there is
famUy
worship, foUowed
by a drill in Sunday school. Sid, Mary tries to help him,
the verses he is
to have memorized for the
days before. His
cousin
the whole field of human
ing
thought,"
of
supposed
course, had learned his
but "his
mind was
travers
the case appears hopeless. In
and
her perplexity, Mary offers him a prize, without teUing him what it is. Then, "under the double pressure of curiosity and prospective gain, he And what did it with such spirit that he accomplished a shining success."
were
the verses? The five hnes of the Sermon on the
"Blessed
had As
are
Mount, beginning
the poor in spirit, for theirs is the kingdom of
"because he
chosen them
we shah
they
see,
180 degrees
could
find
by
that were
verses
the exact point
constitute
to the principle
opposite
no
which
heaven."
on
Tom
shorter."
the moral compass
Tom lives. Tom does
for gain, the chiefest gain being the glory that nurtures But memorizing the injunctions to humUity and meekness brings him a "sure-enough knife, which sends convulsions of except
nothing
self-esteem.
Barlow"
delight through his At the door
system.
It
was a good
Sunday
the
of
school
family
procession and accosts a
tickets
begins,
deal.
Tom drops back
Sunday-dressed
step from the The trading for
a
comrade.
"yaUer"
exchanging for a "piece of lickrish and a Each blue ticket, we learn, is payment for memorizing two Ten blue tickets are worth one red one, and ten reds equal one with
a
fishhook."
verses.
Ten
yeUow.
2,000
yellow
verses a
Dore
tickets
would
Bible,
bring
very plainly
the
scholar who
bound,
and
had
memorized
forty cents in keep their tickets
"worth
times."
those easy "Only the older pupils managed to and stick to their tedious work long enough to get a
Bible,
and so
the
circumstance."
delivery We
of one of
are told that
these prizes
was a rare and
it is doubtful that "Tom's
noteworthy
had
stomach"
mental
ever
"really hungered for one of those prizes, but unquestionably his entire being had for many a day longed for the glory and eclat that came with it."
This
Sunday
proves
to be different from other Sundays. There
visitors to the school of august presence.
Constantinople, she of
the
the county seat,
yellow
hair
most restless of the
and
great
comes accompanied
blue
boys to the
The
eyes.
Everyone,
Sunday
Judge his
by
we
are
own
Mr.
way,
"showing
"There
Walters'
ecstasy complete, But no
and
was
wife and
only
one
that was a
thing
chance
child,
told, from
school superintendent
off."
his
are
Thatcher, from
is,
the
each
in
wanting, to make to deliver a prize
prodigy."
and exhibit a
of
tickets,
now at
or so
one seemed
to have the requisite number
his inquiries among the star pupils had indicated. "And when hope was dead, Tom Sawyer came forward
this moment,
Interpretation
202
that the
assured
this
Judge
tickets,
had
But the "certified
Too late did
elect."
envy,"
that
realize
with
"they
checks
.
.
are
from
application
were
.
was therefore elevated to a place with the
"Tom
the other
and
"an
years."
and
We
ones."
ten blue
and
expected
not
next ten
face,"
for their
nine red
superintendent
for the
source
good
tickets,
yellow
nine
with
the other
had
themselves
boys,
their vitals "eaten
contributed
to this hated
by trading tickets to Tom for the wealth he had amassed in privUeges. These despised themselves, as being the whitewashing seUing Or perhaps we should dupes of a wily fraud, a guUeful snake in the
splendor
grass."
say that, like Esau, they found inheritance for a mess of pottage. crafty Jacob, the Lord.
Tom has
and
hke him
too late that
out
Certainly Tom
wiU vindicate
his
the labor of the
used
boys,
their
sold
here fits the role of the
character
as one chosen of
fence. As
the miracle of the
repeated upon a grander scale
before he had
they had
gaining the credit for it
himself,
their labor in memorizing Bible verses. In doing so, Tom again demonstrates his superiority. He displays that ""rational and so now
he has
utilized
industrious"
soul
as
the
elect of
has already credit
this
world,
came to
and therefore a proper witness of
himself
shown
something
its prosperity in
by
that,
God,
directly
an artisan of
to
opposite
belief,
what
to be true. Of the many successors of Ben "they came to jeer, but remained to
when
be
he led the boys to
they had previously
Rogers,
the
regarded
the true faith. Tom
author
This
supposed
had
that
said
whitewash."
paraphrases
familiar line in Goldsmith's The Deserted Village, "And fools, who spoken of a gifted divine in a village scoff, remained to
a
came to
pray,"
Although Tom's Bible itself,
mental stomach
he had the
yet
may
he
who
that the assembling of the capital
asset,
the market.
Whereas the
buys them. We escape
work, or
doubted
see
him
the far more durable
Thatcher Tom's
for
goods that
world
for the
or
all
eclat
led him to
his newly
churchly
represented
seU
alone, great
shrewdness
exchanges
capital of a
is, besides
aspiration
contents of
he
the world, a who
he
as
new,
entered
faith, he
the testimonials of their
sell
others
of glory He displays a
motives when
credit with
many
pos
than
which saw
could create a
that it is not mere love of ease that drove
an appetite
now.
of
consumption goods with which
Nor is it love
privileges.
motivates
scattered efforts
distinct from the
as
prize
its better
to see a good connected with
vision
presumably knew its contents lacked. Moreover they lacked his entrepreneurial genius, that the others
session
church.
have hungered for the
never
him to
whitewashing that
is,
that transcends these acquired
liquid
assets
that un
for
Tom is acquiring the vast dignity of Judge
reputation.
by
else, her father.
prize
Bible may have had little to do
with
the
that book. Or perhaps we should say that it had little to do with
contents, as understood by the old Protestant orthodoxy, if a protest be not a contradiction. As Tom was introduced to the orthodoxy ing He Judge, "his tongue was tied, his breath would hardly come dark." would have liked to fall down and worship him, if it were in the such
....
Tom Sawyer: Hero of Middle America Tom sadly flunks the test wonder, as the "curtain of
of scriptural
knowledge,
203
and
we
left to
are
is drawn, what lies behind. It is our hypothesis that nothing detracts from Tom's essential triumph. As far as the Judge is concerned, Tom's display of genuine feeling, if not his rote charity"
learning, testify in his behah. We book Tom is We
occasion.
Tom is
to
presented
throughout as a
us
But in
and school.
becoming
institution,
the
end of
motives
on each occasion.
church,
for his
that at the
the Judge misconstrues Tom's
would surmise that
in Tom's favor
home,
must remember
the Judge's hero as the Judge is Tom's upon this
as much
hero,
a
against which
either
he
the
of
the
rebel against
his
each case
institution,
or
constraints of
is
the occasion
at
least in the
rebellion
By disobeying Aunt Polly,
and grieving her beyond measure, he becomes the beloved prodigal, for whom she rejoices ninety and nine times more than ever she could for Sid. Tom's
naming David were
they of a
and
Goliath
rebels.
as
the first apostles is
the only two Biblical names he
highly functional
memory.
But
that the story of David's heroism
infinitely
could summon
funny.
Evidently
from the depths
we should not overlook
the significance
have had for Tom. Nor
must
must we
forget that, very soon, Tom does play David to Injun Joe's Goliath and helps rid the town of a scourge believed to have taken the lives of five its
of
In Plato's dialogue
citizens.
on
Euthyphro,
piety,
we are presented
definitions: that piety consists in obeying the gods in imitating the gods. In both the Athens of Socrates
with these alternative or
that it consists
and
Tom Sawyer's
have been upon
America,
the conventional wisdom would appear to
obeying the gods, of doing what one is told to do, But both Euthyphro and Tom insist upon the more
on the side of
divine authority. form of piety; both insist
radical
the
upon
murder,
pattern of conduct
Kronos; Tom imitates both In the
service
busied in many
in the
ways
David
church
and
had been, but he
seldom
told, "he
we are
was
as
a grand and
picture of
the
a
little
moving
millennium when
lesson,
relieve
he
he
his text the
lead
the
the
moral of
his
and
them."
always
about
a
little
But,
should
the
David.
school, Tom was
Sunday
"Tom
the
counted pages
discourse."
The
the
there
This
while."
eleventh chapter of
the lamb
of
knew how many
Isaiah
of
minister
and
"made
the world's hosts
lie down together
and
author, "the pathos, the lost upon the boy; he only
says the
great spectacle were
conspicuousness of
house
oppression.
the assembling together
the lion
child should
thought of the
looking
the gods,
scion of the
knew anything else really interested for
had evidently taken at
the
that followed the
designed to
pages of the sermon; after church
time,
or the heroes his father for he believes to be true of Zeus and
imitating
upon
the divine to them. Euthyphro prosecutes
who represent
principal character
before the
on-
nations; his face lit with the thought, and he said to himself that lion." he could be that chUd, if it was a tame
wished
Whether the
boy
depends
moral of
the spectacle of the prophecy was lost upon the as to what that moral was. The
upon one's point of view
Interpretation
204
to be assuring us that his own understanding is orthodox but mistaken. We doubt that this is
author seems
that he finds Tom to be amusing
and
Mark Twain's Does God
intention. Tom to
we
understand
the
child
Tom becomes
depends
the glory of the little chUd of the
wants
that the
for his
not create man
admiration of and
real
Are
millennium.
child
kind
upon a certain
an ever greater expert
himself does
Tom
own glory?
sixth
belief in that child; or belief
of
be
MachiaveUi's Prince. There it is
of
chapter
have succeeded, in the light
understood
were unarmed prophets.
mentions
that
and
all unarmed ones
Of the
destroyed
was
all
armed
his institutions
amid
when
they were still new, as soon as the multitude ceased to believe because he had no way to keep firm those who had once believed make
the unbelieving
how
strates
the
without
believers in the Joe Harper to
believe."
The
art embodied
compulsion
of
principle of a new regime.
punish
Aunt
Polly
and
arms
Tom
must
MachiaveUi
and
failed, MachiaveUi
unarmed prophets who
only Savonarola, "who
in the
passage
that
said
Tom
of which
have failed. This
the reflection that both Jesus
of
it?
that the
in compelling wonder,
in himself. We believe Tom's enterprise, or the enterprise is the vehicle, becomes intelligible in the light of a famous prophets
not want
understands
him, or
to
in Tom Sawyer demon
men runs
may become firm with
away
Huck
and
that dread and
Becky by becoming
fearful figure, the Black Avenger of the Spanish Main. But he returns instead as the central figure of that pathos that is his own funeral. He his
returns to enact
own resurrection!
Let
us retrace the
development
of
this Machiavellian Imitatio Christi.
The evening
of
the
the ancient curse of was
for
reproached
knuckles
are rapped
punished
for the
you
day that Tom had gained his great victory Adam, he returned home in the best of clodding Sid, but this he did not at aU for stealing sugar,
do. You'd be
always
reply.
Then Aunt
sugar.
"But Sid's fingers
expects that
Sid
Polly
into that steps
it
he
if I
complains that
torment a
work,
spirits.
He
mind.
His
Sid is
body
not
the way
you,"
is the watching into the kitchen and Sid reaches for the sugar
slipped and
will catch
and
"Well, Sid don't
same crime.
over
warn't
the bowl dropped and
and adopts an attitude of
broke."
demure
Tom
silence on
Aunt Polly's return. But just as he expects the thunder of vengeance to fall upon Sid, a potent palm sends him sprawling on the floor. Then Tom speaks up, "Hold on, now, what er you belting me for? Sid broke Poor Aunt Polly is perplexed, and all she can say is that she is sure that Tom didn't get a lick too many, for all his many transgressions, seen and it!"
unseen.
Now the
what we
demned
saw
him,
possibilities
his
situation
between Tom
in the opening now reproaches
in the
advantage
and
his
aunt
Her conscience, her. And he in his turn is chapter.
he has
gained.
is the
reverse of
which then con quick to perceive
"He knew that in her heart
her knees to him, and he was morosely gratified by the But the genius within Tom will have no cheap reward, merely by humbling her. He will die for her sin. "And he pictured himself How she would throw herself brought home from the river, dead aunt was on
consciousness of
it."
....
Tom Sawyer: Hero of Middle America upon
him
would
.
.
her lips pray God to
and
.
lie there
give
205
her back her
cold and white and make no sign
....
boy
And
But he
....
such a
luxury
to him was this petting of his sorrows that he could not bear to have any
worldly cheeriness for such contact .
where
wUted
would
no
.
this
die
out
in
the cold
hand to
world,
with no shelter over
came."
voice profaned
a window
holy
the
calm,
is
The
who now
further
love,
war, and rehgion
But the
"martyr"
in
he
now a
drenched
"strangling
calm with a
curse,
woods
After wooing, winning, and then beyond Cardiff HiU. "The boy's
It seemed to him that life was but a in melancholy he more than hah envied Jimmy Hodges, so lately
soul was steeped
at
into the
retreats
is
holy
a
maidservant's
close proximity.
mood of martyrdom returns.
losing Becky, trouble,
had been
"a
of water
the sound of shattering glass. The mysteries
by
are
deluge
erstwhUe
profanes what
is quickly followed
raised and
and a
remains."
hero"
his homeless head,
death damps from his brow, no loving face him when the great agony This reenactment
the prone martyr's
of
.
with
the
wipe the
the cross is interrupted when
which
is before
meeting beneath her window, clasping to his bosom flower that is the memorial of his secret passion. "And thus he
friendly
discordant
for
on the ground
to bend pityingly over of
.
.
lived,"
the Adored Unknown
Becky. He lies the
any grating delight intrude upon it; it was too sacred Then the scene shifts to the "deserted street
or .
....
best,
and
If he only had a clean Sunday school record he could be This latter sentiment is one of the wiUing to go and be done with it few expressions of what we might call conventional remorse. It should, of released
....
aU."
course, be taken for
done? should
meant
what
it
is,
namely,
an
excuse,
since
Tom has
not
the
early death. "Now as to this girl. What had he Tom conveniently forgets the infidelity, or perhaps we
inchnation for
slightest
Nothing."
an
say hypothetical bigamy, that had so disturbed Becky. "He had and been treated like a dog She would be sorry the best .
.
....
.
too late.
maybe when
it
earlier scene
Tom had
was
Ah, if he
wished
that he
.
temporarily!"
could could
only die be drowned, "all
.
.
In the
at once and
undergoing the uncomfortable routine devised by Tom, we see, is the paradigm of that latter-day Christian, whose is the pleasant indulgence of his own self-love, expressed as grief
unconsciously,
without
nature."
passion at
the neglect
of others
to take him
at
his
own
self-estimate.
Or,
more
precisely, it is the pleasant contemplation of the grief or pain of others, for faUing to take him at his own self-estimate. The pleasure that he is to
enjoy occurs in virtue of a death that is both painless and temporary! Tom is unmindful that, by the traditional Christian doctrine of the resurrection, aU
death is temporary, for the faithful. Of course, traditional Christianity taught that the soul of the individual found its fulfilment by the
also
recognition given
recognition, on earth. of
God,
not
it
Moreover,
but in
perpetrates
death, by God in Heaven. Tom demands that by men (and women), not in Heaven, but is to happen, not in virtue of the grace and power
after
by God, this
but
virtue of a certain secular skill.
replaces
The fraud that Tom
now
traditional piety, in the same way that the traded
Interpretation
206 tickets to the
prize
Tom's
for
a
self-glorifying he inflicts upon
weep bitter tears
recurs, to be
clown with
dead body.
poor
First, then,
supposed rejection.
his
They
idea he had
an
are
Next he
retaliates
had
once
and
of
the
Becky
alternative
simply
he
disgust. It is entirely
rejected with
present mood.
a series of
in these fantasies are equivalents fantasies, in which Aunt Polly and
enjoying the pain of others, ways with which
ways of
deeds
the fear
we should notice that
others
his
over
But
revenge.
of earlier
and remorse
temporary death is followed by
painless,
of
envy that
scriptures, as title
sacred
Bible.
wish
fantasies grief
memorizing the
replace the work of
for his
becoming a of harmony
of
out
going away to be a soldier, Better still, "he and
considers
illustrious."
"to
long
return after
would
all warworn
years,
join the Indians
.
.
.
away in the future
and
come
back
a great
chief,
bristling with feathers, hideous with paint, and prance into Sunday school, some drowsy summer morning, with a bloodcurdling war whoop, and This is
envy."
sear
the eyeballs of all his companions with
than this. He
in
to the
closer
getting
"But no, there was something gaudier even And the future is now vouchsafed to him
mark.
be
would
pirate!"
a
"How his
colors of unimaginable splendor. people
and make would
suddenly
shudder!
flag
unfurled,
with
...
the
.
.
.
And,
at
name would
his
crime-rusted
fill the world,
his fame, how he into church, brown
the zenith of
the old village and
at
appear
and weather-beaten
unappeasable
stalk
his
side
and
hear
cutlass at
it,
skull and crossbones on
ecstasy the whisperings, 'It's Tom Sawyer the Pirate! " of the Spanish
the
his black
...
with
swelling
Black Avenger
Main!'
And
Tom
so
mother,
gathers
up Joe
Harper,
who
to Tom's with Aunt
similar
Polly, off they
to go anywhere with anybody, and
has had go
a
difference
his
with
is ready to Jackson's Island to play Huck
and
Finn,
who
pirates.
turns out, in the main, to be no more than from the skylarking, away town, away from all adult supervision or inter a boiled ham, a side of bacon, ference. They do steal certain provisions
The pirating
and
to
hooks
sleep
causes
and
that
lines for fishing. And Tom
"They
purloined
conscience was not no
while
stealing
they inwardly
remember
and
appeased
by
stolen
and
resolve
and
hams
reminding
taking
is
of the
should
the
pirates
grand,
not
fell peacefully to petty variety. He
he despoil it? That
laws
of
property
are
would
conscience that
times; but .
.
that in the
truce,
be
was
only plain
Bible."
So
sullied with
and these
Tom's piracy,
the
there was
.
valuables was
should not again
curiously
sleep."
means
as
his
as we shall
to capture the town.
be to diminish the
in his favor
getting
conscience
and
sweetmeats
such
against
the crime of stealing. Then conscience granted a
inconsistent
of
scores
and
there was a command that "their piracies
difficulty
meat,
thin plausibilities
the stubborn fact that
taking bacons
by
apples such
Joe have
and
the
tried to argue it away sweetmeats
to be
around
getting
'hooking,'
simple
They
night.
trouble.
they had
expedition
value of
his
commercial genius
Why
see, then
own. All has already
Tom Sawyer: Hero of Middle America demonstrated. He least
be the last
should
Twain's interpretation
his
of
one to
leading
207
hold them in disrespect. Mark is
character
These
again misleading.
pirates, them, anything but inconsistent. In the middle of the day, the boys are puzzled to hear a distant boom ing. Presently they see the village's httle steam ferryboat, its decks crowded or at
with people.
entire town
one of
are
Then they realize that the booming is a cannon and that the engaged in a quest for drowned bodies. But it is Tom's mind
is
thought"
in
which the
'revealing
"They felt
it's
they
were
missed;
account; tears were
town,
concerned.
But His
This
were shed
fine. It
was
homesick
the process
by
and
.
the departed were the talk of the whole as
far
as this
be
was worthwhile to
subsides, trouble
and
sets
dazzling
notoriety
was
all."
a
pirate,
in for the
after
pirate chieftain.
and
Huck have drifted
sleep, the troubled leader
off to
his way back to St. Petersburg and to his unobserved into the sitting room and squeezes
steals out of
makes
camp and home. He creeps
own
.
mutinous, play loses its savor, reversing the work of whitewashing had been transmuted into
which
After Joe
.
boys,
all the
when the excitement
crew grows
play.
they
being
the envy of
and
flashes. "Boys, I know who's drownded an instant. Here was a gorgeous triumph; mourned; hearts were breaking on their
like heroes in
us."
bed. Aunt Polly, Sid, Mary, and Mrs. Harper are there. It is being held for the lost boys. Tom who is believed at least by Aunt PoUy to be in a better place, is quite literally beneath them. Now the fantasy that Tom had imagined, of the grief occasioned by the
under a
kind
of wake
his death, is being enacted in his very that is both painless and temporary! Tom
remains
joins the "with
As
silently beneath
heavenly
love"
finaUy
she
falls into
her, "his heart full upon which
scroU,
him the
bark
idea
of
climax
hiding place.
sleep, he steals out and looks down at Tom takes from his pocket a sycamore
he had
coming
and
own
him, delivered
pity."
in his
his
has departed. He
that Tom welters in tears in his
of
hastily
to
untU everyone
"death"
a
a troubled
His face lighted
....
bed
He is enjoying
to Aunt Polly's prayer for
witnesses
such measureless
the
presence.
"But something
written a message. with
a
happy
The light
pocket."
on
occurred to
his thought; he put Tom's face, of course, is the
solution
of
hiding in the church, to provide the tremendous funeral. And he couldn't bear to spoil such a gorgeous
and pity for Aunt Polly do not deter him from her and her grief an instrument of his self-glorification. love making There is a curious epilogue to the secret visitation of that night. After
spectacle.
the
So his love
funeral is over,
and
the
resurrection
has transfigured Tom into
un
believable glory among the smaller fry, and unappeasable envy among the larger, he imposes scandalously upon Aunt Polly's credulity for a further enlargement of
bed,
his
apotheosis.
He tells her in
complete
detail
but
with
the story of everything he overheard from beneath the pretending that it came to him in a dream while on the island. Sid
artful
hesitations
overhears this shameless powered
by
Tom's
imposture in
grandeur.
He only
silence.
He is
comments
to
now
hopelessly
himself, "Pretty
over
thin
Interpretation
208
long
as
is
it!"
any mistakes in because Joe Harper had told his mother Wednesday evening. Poor Aunt Polly,
dream
a
revealed
camp that Mrs. Harper
as
that,
Tom's
of
Eventually
without
of
Tom's
who
hoax
the
having left the
had
to teU
rushed
powers, is subject instead to remarkable
prophetic
a knack for profiting from the exposure of as we saw in less than from the deceptions themselves the coUar thread, and as we guessed in the case of the "curtain In the pocket of his old jacket he stiU had the bark on which
Yet Tom has
embarrassment.
his deceptions the case of
no
charity."
of
he had written, "We pleads
in
reheve
Aunt Polly's
Tom, I
had
ever
only off that he had
we are
fakery
come over that night to
to gloat over them,
anxieties and not
be the thankfuUest
When he
being
in this
soul
if I
world
she
says,
'"Tom,
beheve
could
you
good a thought as that, but you know you never did, and I He pleads that this is the truth, and Aunt Polly begs him
Tom."
lie,
to
not
as
pirates."
dead
his
extenuation of
would
know it,
ain't
against all
that it only makes things a hundred times worse. Tom insists, probabUity and reason, that this is not a lie. Aunt Polly rejoins
it
that she would "give the whole world to beheve that
Tom
would cover
up
that it was only the thought of the funeral
sins."
a power of
explains
him change his mind and put the bark back in his pocket. Then he teUs her how he kissed her as she slept, to which she responds with infinite pathos. Tom has so wrought upon her that her will to believe in him is equal in fuU to the great power of faith that is in her. It will require but a single scrap of evidence to make him the complete beneficiary of that that made
faith. When Tom leaves
jacket. Her heart is herself into
justifying him,
her hand to take the
fortified herself let it
me.'
...
flowing
through
garment
A
tears
moment
.
.
and
"
glory
later
and saying: sins!'
committed a million redemption and
.
its burden
of
love,
and she reasons
"Twice
the evidence.
whatever
the thought: 'It's
with
grieve
turns toward the closet with its tattered
she
overwhelmed with
she
put
refrained."
twice
she
a good
lie
Finally,
it's
a good
lie
I
out
"she
won't
reading Tom's piece of bark forgive the boy, now, if he'd
she was
'I
could
As far
as
Aunt
is
Polly
concerned.
Tom's
are complete.
Before turning to the culminating episode of Tom's piracy, let us it against the background of certain alternatives. Tom's favorite
consider
of
Robin Hood. We
and once with
is that
Huck Finn. Joe
game
in the
their equipment
fact,
ritual.
of
him
at
it twice,
once with
Joe Harper
Tom play at it regularly and beyond Cardiff Hill. What they do and
store
is, in
to play roles in episodes drawn from the story, just as if it were a
stage production.
has
woods
see
Here
never
the
we
It is
game, played to win. It is, rather, a dramatic Tom's own kind of scriptural authority. But Huck Robin Hood, and Tom tells him, "Why, he was one
first
heard
not a
see
of
greatest men
that was ever in England
robber."
Huck
people
and
kings,
loved 'em. He
"Well,
he
asks who and
must
such
robbed.
"Only
like. But he
divided up been a
always 'a'
he
and
the best. He was a
bishops and rich bothered the poor. He
sheriffs and never
'em perfectly Huck rejoins, To which Tom replies, "I bet you he square."
with
brick."
Tom Sawyer: Hero of Middle America was, Huck.
Joe
Oh, he
now, I
such men
you."
When Tom had
tell
the boys had ended
Harper,
They
the noblest man that ever was.
was
can
209
"grieving
played
ain't
Robin Hood
any with
that there were no outlaws
wondering what modern civilization could claim to have done to compensate for their loss. They said they would rather be outlaws and
any more,
in Sherwood Forest than President
a year
In the final
episode of
Hood again,
Tom's
and was allowed
away through his
and
by
the United States
of
Joe's reenactment, "Tom became Robin the treacherous nun to bleed his strength
wound."
Then Joe,
neglected
"representing
forth,"
and weeping outlaws, dragged him sadly that the arrow might indicate Robin's hands, falling
of
tribe
a whole
his bow into his
put
place of
burial. Tom
died, but he lit
the arrow, "and fell back and would have
shot
forever."
on
a
All Tom's deaths are, we see, sprang up too gaily for a dramatic and extremely temporary. But the story of Robin Hood is corpse."
nettle and
highly
the romantic embodiment of that Machiavellian or that is
Tom's
Tom
calls
The
why.
Robin "the
people that
kings,"
and
are
therefore
to
noblest man
Christianity
We
can understand
bishops
and rich people
was."
that
ever
Robin robbed, "sheriffs
and
essentially appendages of a feudal regime. He Protestant radicalism. In his attack
appeals
democratic,
orders, Robin
privUeged
piratical
rehgion.
represents
Revolution; in his betrayal by
the
of
egalitarianism
on
the
the American
the established church, he represents the
America, represented by Judge Thatcher, whom Tom would have liked to fall down and worship (if it that Robin were dark), is dedicated to that "simpler but wider spirit
of
the Reformation.
But Tom's
justice"
Hood
robbed
to implement. When Robin Hood's principle
becomes
that
estabhshment, noble outlawry is no longer possible. That is why Tom can engage in ritualistic play as Robin Hood, but when it comes to of the
vocation, it
a serious choice of a
never occurs
Island into Sherwood Forest. In the on
world of
to
him to
American
make
Jackson's
democracy
Tom is
property and authority, because that world is itself antago to bishops and kings. Yet that world lives, in its imagination, in the
the
nistic
side of
its revolutionary past, symbolized by the story of Robin deeper sense, Tom does enact Robin Hood, in the same sense that Robin himself enacts the Christ of radical Protestantism. Robin is a robber, and Tom Sawyer's Gang is a robber gang. But it is a robber gang golden glow of
Hood. In
that
a
meets the
Tom
explains
highest
standards of respectability.
it to Huck in this
way:
"A
robber
At the is
more
end of
the
novel
high-toned than
what a pirate is as a general thing. In most countries they're awful high Robin himself, if memory serves, up in the nobility dukes and was an earl. Tom Sawyer's Gang is founded, not only upon the powerful imagination of its leader, but upon his wealth which is inherited from such."
an earlier nonrespectable
Tom's
and
Huck's in
gang,
the end.
In
Murrel's,
whose
treasure cache
becomes
words, Tom ends by despoiling the Robin Hood had done; only after the
other
despoilers, which is exactly what American Revolution, the despoilers
can
only be
enemies
of
the legal
Interpretation
210
Yet nothing prevents the ill-gotten gains from supplying an admir foundation for the new, respectable gang. In the new legal order the
order. able
highest
so
instrumental to,
kind
respectable
most
and
honored. And
the myth of
of
that of
a new myth
is
robber
Robin Hood is
also
the
replaced
highly
most
by,
becomes
or
Tom Sawyer.
Before piracy is settled upon for the expedition to Jackson's Island, one alternative is briefly considered. When Tom meets Joe as he is on the point of running away and finds that Joe is about to do the same, "they began to in
a remote
after
for
plans."
lay
their
"Joe
cave,
dying, Tom, he conceded
to
listening
advantages about a
life
of
know that Tom's piracy those pleasant passions
life
unpleasant
lonely death,
and
further discussion and
mornings,
being
hermit,
a
and
living
crime,
that there
and so
he
were
consented
eminently in the in Joe's mind with
consisted
connected
conspicuous
some
to be
on crusts
grief; but
We
pirate."
a
appropriation
of aU
the spectacle of the
hermit. Tom has already indulged the fantasy of a his steps are already directed toward enjoying all its
of the
advantages without
hermiting
was
sometimes, of cold and want and
and
its disadvantages. On Jackson's Island he has
with
pirating.
and you
Joe
and
Huck
comparative
go
see a pirate
some
merits of
A pirate, Tom explains, "don't have to
don't have to
blame foolishness. You
the
about
get
up
to school, and wash, and aU that
don't have to do anything, Joe,
he's ashore, but a hermit he has to be praying considerable, Joe don't have any fun, anyway, all by himself that
and
when
then he
way."
assures
Tom see,"
that, it, he much prefers being a pirate. "You Tom continues, "people don't go much on hermits, nowadays, like they used to in old times, but a pirate's always Moreover, Tom now
that he's tried
respected."
continues, "a hermit's
got
to sleep on the hardest place he can find, and " his head, and stand out in the rain, and
put sackcloth and ashes on
This is too
much
for Huck,
who
things for. Tom says he doesn't and
Huck
demands to know
know, but they
it?"
they do
such
do these things, hermit. Huck stoutly
have to do them too, if he was a not, upon which Tom demands, "How'd you get Huck says he wouldn't stand it, that he'd run away. At this
would
insists that he around
what
always
would
Tom exclaims, "Run away! Well, you would be a nice old slouch of a disgrace." hermit. You'd be a Tom thus sees quite clearly that hermiting, meaning
ascetic
Christianity, is
ashore comes close to
nist
society in
work and "work"
people
abolished.
piracy is
of
pirates,
which
play is
(but
out of style. On the other hand, pirating Marx's vision, in the Germain Ideology, of a commu there is perfect freedom, and all distinction between
said
to
It
also resembles
consist
in taking
the Garden
of
Eden. The
burning ships, making burying treasure. But these and
women) walk the plank, and learn, do none of these things. Their climactic moment afloat but ashore, and it comes in the church, where they dem not
we soon
comes not
onstrate the superiority of the piratical to the hermitical, of the com fortable to the uncomfortable brand of Christianity. Yet Tom remains true to his compulsive sense of propriety, which is also an unreasoning sense of
Tom Sawyer: Hero of Middle America
211
even as he rejects hermiting. Whereas Huck would reject the hermit's life because it makes no sense even though it comes closer to his own style of living than to Tom's Tom rejects it because it is out of
authority,
fashion. Yet if it from the
were
in
fashion, Tom
from
alteration or variation
All Tom's defiances
higher
upon a
departing
cannot conceive of an
an authoritative model except
upon an equal or superior authority.
based, like Euthyphro's,
way for
would see no
hermiting. Tom
authoritative version of
if it be founded of
authority
are
and more esoteric version of the
authority he seems to defy. Let us then return to the churchly consummation of Tom's piratical Christianity. "When the Sunday-school hour was finished the bell .
death. "None before."
Amidst hymn Life.'
The
was "
central
the
muffled sobs
Little
figure
the
as
rank
the mystery of so
the bereaved families
his hands
and prays.
that, but
drama, sitting in
present
departed only "faults incidents
reverently
minister spreads
the glory of the httle child seemed
of
presence
could the congregation guess of
.
villagers gathered
full
enter.
"A moving
the text followed: 'I am the Resurrection and the
and
sung,
The
the little church had been
could remember when
congregation rises
.
way."
began to toll, instead of ringing in the usual in the hushed atmosphere induced by the
rascalities,
who should
flaws
and
.
lead them. of
the minister in
by
They
[and episodes] that
.
deserving
well
are now related
.
a week
before,
the
their midst, had lusted after
the
had
seen
These
cowhide."
as to
such a
in the
the time had
at
same
illustrate
way And the congregation, conscious that heretofore they had been persistently blinded to the truth about the lost lads, felt the pangs of conscience compounding their grief. the
sweet,
"The went
generous
congregation
on, till
became
last the
at
and more
more
whole
departed.
the
of
natures
company broke
as
moved, down,"
the
pathetic
tale
in the
end
including
himself. At this moment, when the pathos of the occasion had reached its extremity, there is a rustle in the gallery. A moment later the astounding event occurs, as the three boys come up the aisle, Tom in the
preacher
the
lead,
Joe
the
rear.
In the
behind,
and
Huck in his tattered
pandemonium that
follows,
rags
slinking miserably in
two incidents are remarkable.
As their families throw themselves upon Tom and Joe, Tom laid hold of Huck and said, "Aunt PoUy, it ain't fair. Somebody's got to be glad to Huck." see As Aunt PoUy responds with her warm humanity, the minister's voice thunders out, "Praise God from whom all blessings flow SING! up
and put your
with a triumphant
the Pirate looked
hearts in
burst,
We
they
are
told
by
the
was
author
would almost
missionary piracy ville, in Huckleberry
the envying juveniles the
that "As the
his
'sold'
congregation
ridiculous This puts us in made
and con
life."
trooped
again to
out
hear
more."
once
he
king, Finn, as well
the
him
about
proudest moment of
be willing to be
said they Old Hundred sung like that
of
"And they did. Old Hundred swelled it shook the rafters Tom Sawyer
and whUe
around upon
fessed in his heart that this
it!"
as
worked
as
mind of the the camp meeting in Poke-
reminding
us of
how the
king
and
Interpretation
212 the
duke
"sold"
When Jim is "in
shocked
breed
the
the httle Arkansas river town
.
.
the rascality
by
[that]
.
Later Huck
out."
make
Jim that these
besides, it
and,
kind."
Kings
was
who appear as mere
I
as
and
dukes? It
fraudulent
are the
frauds,
himself, "What
those
in the
church of
got their money's worth.
as
'a'
the
fur
I
as
can
the use to teU
was
done
wouldn't
rulers of
that it's
explains
no
good;
from
the real
anciens
regimes,
divested of all the aura of rule in this demo a success.
back for blood to the third
such,"
king, Huck
you couldn't tell them
said:
But Tom's fraud is
cratic regime. who come
kings
just
dukes
and
to
comments
warn't real
the
of
kings is mostly rapscallions,
aU
Nonesuch."
"Royal
with the
St.
Unhke the
guUed
Petersburg have,
in
townspeople
the "Royal None
performance of
a manner of
speaking,
money but glory that Tom sought. the duke's, is not vulgar. Yet the
And it
was not
His ambition, unlike the king's and a price price that Aunt PoUy and the town pay for Tom's ambition is far higher than that exacted not in money but in grief and anguish taken
by
the emblems of spurious nobility in the later work.
All Tom's virtues, we have said, are arts of war; yet the consummation virtues has been an imitation of the greatest of the unarmed prophets. But the deceptions practiced by Tom have been recognizable as of these
deceptions. The fame Tom has
achieved
pleasures attendant upon a painless and
his way to proach. We have upon
who
a place noted
a
Tom,
as
and
episodes
his father. But there
to fraud when alone Jacob wrestled with the
he
wrestles with
his
conscience
during
the trial
are and
in Tom to the
and
noted,
temporary death,
beyond detection
resemblance
deceived both his brother
recourse
station
and
in the
only beyond
be
angel of
of
no
final
the Lord.
Muff Potter
he faces death in the cave, also demonstrates that his cleverness are not the full measure of his character.
daring
as
re
Jacob,
patriarch could
the
stages
and
and
his
We have presented Tom's piratical Christianity as animated by a lust for glory in a world still believing itself to believe in the otherworldly religion of humUity. Tom's religion appears as a sanctification of that process
bear in
by
which
mind
was characterized the
the blessed have
that the
many to the and
by inequality next
world.
the enjoyment
equality Tom is a hero
of
their rewards
ancien regime
that myth
by by
and
the
here
and now.
one plundered
by
We
should
Robin Hood
the postponement of the pleasures of
Modern
democracy
is
characterized
by
the many of the pleasures of this world. which rehgion is transformed to meet the
democracy. Tom has an elaborate set of superstitions, which strike kind of humorous absurdity, against the background requirements of modern
orthodoxy
or
of
scientific
reasoning.
However, if
Tom's piety, in imitating
we
one as
having
either
of
remember
a
staid
the
obeying the divine, we can see an equally radical Protestantism in his superstitions. Protestant ism was in its origins a movement of religious authority from the established orthodox roots of
church
to the
common people.
The
rather than
extension of this movement
is
shown
Tom Sawyer: Hero of Middle America
here
Tom
when
Tom,
natural.
reveals the source of
we should
his
in
convictions
to the
regard
disputes
always settles
remember,
213
by
super
an appeal
Usually it is the books he has read, about Hood, hermits, pirates, or robbers, that supply the truth about these things. In Huckleberry Finn Tom undergoes a radical extension of his literary authoritarianism. Tom Sawyer's Gang is there conducted upon methods borrowed from Don Quixote. The attack upon the Sunday to authority, never to experience.
Robin
picnic
school
is closely
Jim,
emancipation of
bits
rowed
Henry
IV"
among
and other of
it is
Tom
of
.
.
Benvenuto
bor
upon
Chelleeny
the Count of Monte Cristo
.
.
.
chief
when, in considering a question in regard to Huck questioning the authenticity or reliability of stray dog howling in the night is a certain prophecy
with
settles
they know
source
heroes,"
"them
.
remarkable
supernatural
death
from Cervantes. The
episodes
by
the superstition that a
and
upon
Tom's Law is derived from the Book, the original being infusions from such other sources as we have suggested.
them.
Accordingly,
of
modeled
the end of the latter novel, is based
from "Baron Trenck
and pieces
transformed
the
at
all
saying, "That's
these kind of outside
stand
authority
by
the matter
about
the
what
Huck."
things,
niggers
Negroes in
Christianity
conventional
say, as
a
Tom
Sawyer's America, much as earlier Protestants were outside the precincts of authority in the Europe from which Tom's ancestors had fled. Tom is led by his superstitions to a rendezvous with Huck Finn, to test the virtues of a
dead
to the graveyard
has been three"
or you
is
buried,"
cat
'long
for the
removal of warts.
The
cure requires
going
somebody that was wicked that "a devU wiU come, or maybe two
about midnight when
on the assurance
to carry off the deceased. "When they're
heave
devil,
"
'em
taking
that
feller away,
say 'Devil follow corpse, cat foUow " follow cat, I'm done with We suspect that Huck himself an attraction for Tom at this point the beginning of their
your cat after
and
ye!'
warts
as much
relationship in the conventional
novel
as the ritual of
society, hke that
of
esoteric and more genuine reahty.
coming for the corpse has that Huck expects the body
the cat. Huck's position outside
the slaves, promises communion with an
But Huck's belief in
a certain
foundation in
a
devU
reality.
or
It is
devils
notable
merely the soul of the deceased to be follow in the graveyard, culminating in the murder of young Doctor Robinson, we infer that body snatching was practiced by many young medical scholars, who needed cadavers for carried off.
dissection
From the
and not
events that
and who could not get
them any other way. The main obstacle to
dissection was the traditional religious belief in the bodily resurrection, a belief to which Tom also addresses himself, as we have seen. The doctor,
hke Huck, Tom, outside
random, but modern
and
traditional arose
medicine.
medicine,
and
kept from the
the
Negroes,
religious
from the
views.
frequency
Dobbins the
represented
a
children,
of grave
robbing in the early days is also a secret votary
schoolmaster
as
of conviction
superstition
the book he keeps locked in his desk view of
ground
Huck's
was
then
not
and which must
Becky discovers, because
of
its
of
of
be
pictures
Interpretation
214 of the naked
Huck's modern
human
to
catharsis of
the
the
soul.
In
body,
have
indeed to
traditional
ridding
a textbook
cures
wart
and
medicine,
distinction
is
body
Tom's
and
in
anatomy.
beliefs.
religious
warts,
to
resemblance
of
points
altogether, in contra
science
modern
contrast with
oneself of
in
other
Getting
of
rid
ridding
oneself of
method
is
warts
is
a
catharsis of
sin, a
aU-important.
The devUs
that carry off Hoss Williams must be approached at the right time, in the right place, and with the right incantation. Earlier, Tom had described two other methods of removing warts. One is with spunk water, the rain in the hollow of a tree stump. Bob Tanner is said to have water
remaining
faUed
with
this method. For Huck this is
evidence of
inefficacy
the
of
the
method. Tom, however, insists that Bob had not done it correctly, the proper way being as follows. One must go at midnight to a stump that is
in the
middle of the
around
if
and
woods,
you recite a prescribed
back up to it to immerse
three times, and walk home without speaking to
you speak
the
busted."
charm's
The
anyone.
the moon. Then you burn the the blood on it will
other piece
to
it,
and so
rest of
the dark of
the bean. "You see that piece that's
keep drawing that
"Because
in splitting half of the
other method consists
a bean, drawing blood from the wart and putting it on one bean, and burying that half at midnight at the crossroads in
got
hand. Then
one's
verse, take eleven steps with your eyes shut, turn
and
drawing, trying
helps to draw the wart,
and
to fetch the
pretty
soon off
comes."
Implicit in
she at
three
the
produce the
laws
desired
of physics and
if they
results
all of which are performed
wart cures
is the belief that the
midnight
forces, like
the
powers
darkness
of
and
chemistry,
are solicited
have
in the
are
impersonal
no option
but to
proper manner.
They
differ in this from prayer, to which a personal God may or may not respond, according to the desire of the petitioner. They are also like modern science
in that the
power
in
question obeys anyone who
discovers
the right method, and the possession of this method is independent of the character of
the seeker. For one of these superstitions to fail means to
Tom only that it has not been performed properly. In fact, we never Tom verifying any of his wart cures. He claims that he has taken "thousands"
plicity
frogs
of
his
see
off
of warts with spunk water and attributes the supposed multi warts to the
cause warts
is
fact that he
plays a great
as much a superstition as
deal
with
frogs. That
the idea that spunk water
them, and we suspect that the cause and the cure are equaUy imaginary. Neither of the boys exhibits any warts for removal before the trip
removes
to the graveyard. All their interest is concentrated upon the ritual and none
the warts for the
upon
We
observe
that, to
a
sake of which
devotee
the ritual is ostensibly performed.
of modern
science, the failure of
science
to solve a problem does not mean that science cannot solve the problem.
AU it
means is that the right experiment has not yet been devised or the right formula found. The votary of traditional religion, however, believes
that God acts for the
It is
assumed that
best,
whether
he
God knows better
seems
than we
to grant our prayers or not.
do
what
is
good
for
us and
Tom Sawyer: Hero of Middle America
that, moreover, his in the
strictly to this world,
kind
of
Aunt
fluid
fulfilled
purposes are
next world as well as
in this
his
and
Tom's
one.
215
goodness made
manifest,
expectations are confined
and we can see that science
and superstition
in
a
reshaping the traditional beliefs of St. Petersburg. although a traditionalist in religion, subscribed to all the new mixture are
PoUy,
"health"
periodicals
frauds"
"phrenological
and
Tom their
made
and
deemed his health in
victim whenever she
need of assistance.
Aunt Polly's
traditional faith does not protect her from these incursions of pseudo
science, any more than it protects Tom from wart cures. In Aunt Polly's "cure" decisions to Tom with the water treatment, the sitz baths, the "painkiller"
blister plasters, and finally the whiskey), both the ailment and the warts and
the
experience
is
We
less in the
no
can see
human
respect
in this
concern.
was
raw
probably
imaginary
as
as
the
dispensation.
old
Petersburg law,
moving in the direction world replaces salvation
All Tom's
(which
probably
the triumph of imagination over
in the
new than
that in Tom Sawyer's St.
and superstition are
preservation
In this
wart cure.
cure are
superstitions
religion, science,
in
of a new order
in the
are
which
self-
dominating
the
next as
of
recognizing and his property. Although he ways
evading or controUing threats to his person or believes the devils are coming to take Hoss Williams, there is no mention of the hell or hell-fire awaiting the victim. The only allusion to future there is
punishment
be willing to
might
When the stray they're
reckon
to future
none whatever
templates the fate of
Jimmy Hodges, "lately
is
reward
when
released,"
and
he
con
thinks he record."
too "if he only had a clean Sunday school howls nearby as the boys flee the murder scene,
go
dog
"goners."
Again, Tom
his
regrets
momentarily
they
Sunday
record, but only because of the conviction of doom that has seized of the oldtime religion thus survive in Tom, but only as
school
him. Elements part of
the
new religion of self-preservation
in this
That is, they
world.
appear, along with his superstitions, as elements of his wariness in dealing with the supernatural as one among the threats to his personal safety.
Tom
and
Huck
the dead-cat
are
wart
drawn to the but in fact
cure
graveyard at
by
the
midnight, ostensibly
secret
exigencies
by
of modern
There they witness the murder of the young doctor. They become the guardians of an important truth, upon which both the justice of the law and (to a degree) the safety of the community depend. Not even Muff Potter knows the facts about the murder, because he was drunk and unconscious when it was committed. The boys are terrified and swear an medicine.
oath,
written
about
this
ever
out
and
tell and
by
they
rot."
Tom
wish
Huck
on a pine
shingle, that
"they
they may drop down dead in
admires
Tom's
facility
will
keep
their tracks if
in writing
and
mum
they
takes a brass
his flesh. But Tom stops him and insists on using one of the he carries for the sewing of his shirt collar. There is a danger of poisoning from the pin, he explains to Huck. We can see, in this informative sidelight, the beginning of Tom's transition from super pin
to
clean
stition
prick
needles
to
science.
Although
invoking the
powers of
darkness
by
their oath,
Interpretation
216 Tom
take care not to corrupt the blood that invokes those powers
wiU
any Huck
drownding didn't hang
us
personal
safety
by
The
in
is
night
that it is Muff Potter
sanction
for its
of pledge
enforcement
horror
the
of the murder
wart cures.
has been
augmented
by
death has passed, Tom is convinced is doomed. He seems unaware that if Muff is
who
it is because
doomed,
they
guaranteeing their to the fear already
purpose of
a certain resemblance to
out the
dog. After that
howling
of
Of course, it is their lifeblood that they wish to safe makes the oath a kind of homeopathic antitoxin,
it bears
which respect
the
more
blood
Shedding
Before the
any
takes the place of God in what we would consider
which
a conventional oath. guard.
has the
oath then
by adding a supernatural Injun Joe. It draws a kind
blood,
the
make
wouldn't
than a couple of cats, if we was to squeak 'bout this and
him."
engendered
from
"that Injun devU
it, because
puts
by
to natural causality. The oath is required, as
negligence with respect
omen of
of their own oath to conceal the truth.
in the way
seen, that oath now stands
truth, justice,
of
and
the community. This oath, we see, protects Injun Joe at the
As
we
have
the security of
inquest,
where
the boys for the first time feel the puU of sympathy for poor, betrayed
Muff Potter.
They hear falsely
statement"
serene
accusing Muff,
that the clear sky would dehver
divine Satan
vengeance
will
and
conclude that
be fatal to
quieted
responsibUity too. When in the however, appear to be God's
some weeks
finaUy
murder,
has
expect
head."
his
upon
of such a power
property
the opinion that God has
by
crisis
he does the It
work.
work of
Tom
guilt.
weakened.
Huck
Tom,
seeks out
and
Huck to find
firm
seems
being
enough.
an
whether
He
the latter's
appears
own resolve more
than he fears Huck's when he
their oath of secrecy again.
for Muff. "He
ever
money to with
Huck,
by
pathetic
.
when
kites for Tom guilt
that
they into
.
swear
com
account,"
ain't
Huck, "but then he Just fishes a little, to get
no
says
done anything to hurt anybody. drunk on But it transpires that he
get
likely
fears his
relapse
suggests
sworn, the boys
Having
to know
himself is less
outcast
to have protection from Joe's vengeance. It is clear that Tom
hain't
God,
be Tom Sawyer's.
wiU
later that Muff, who has now been charged with the The boys are oppressed by their secret,
Injun Joe better than
miseration
When
himself to
miscreant sold
comes to trial.
fear dominates
resolve
"'this
meddle with the
is thus
conscience
they
God's lightnings
not,
It is
yet
fails, they
would
Tom's
abdicated
it
it
and
that."
as
Joe] reel off his "every moment
the "stonyhearted liar [Injun
.
there wasn't enough for two,
and
also shared
that
he has
food
mended
knitted hooks to his fishlines. They try to relieve their doing many small kindnesses for Muff at the village jail, but the gratitude they receive in return only adds mightily to their inward and
torture.
The trial
comes
on, it
evidence unshaken,
Tom is The
out
next
late
day
and at
and returns
three
the end of the second
appears there
can
home "in
a
witnesses are caUed.
be but
day,
with
one verdict.
tremendous state
Injun Joe's That
night
excitement."
of
The first testifies to seeing Muff
Tom Sawyer: Hero of Middle America himself
wash
second
brook, early in
at a
testifies to the
identity
the knife in question was Muff's. In
The
cross-examine.
courtroom
murder.
knife. A third
A
that
attests
case, Muff's lawyer declines to
each
buzzes
the
following
the morning
of the murder
217
dissatisfaction
with
the lawyer
at
for the defense, who appears to be letting his case go by default. But suddenly the lawyer addresses the court, saying that he has changed his defense from that he had indicated in his opening remarks two days prove only that Muff had committed an
before. Then he had intended to
involuntary homicide he
says.
administered
Tom, breathless narrative of
In
and
Turning
to the clerk,
an atmosphere electric with puzzled
oath,
an oath
different from that
to himself and to Huck. Then Muff's lawyer leads
inaudible
almost
at
first,
through the
the events he and Huck had witnessed from their
in the
that night
climax when the
Potter
Sawyer!"
clerk administers the
anticipation, the
Tom had
the influence of drink.
under
"Call Thomas
"The
graveyard.
boy
and as
fell, Injun Joe jumped
place
strain upon pent emotion reached
'
said:
sensational
hiding
the doctor fetched around
lightning
the half-breed sprang for
opposers,
and was
'
a
its
Muff
Crash! Quick
as
window, tore his way through
all
the knife and
with
and
gone!"
"Tom the
of
Tom
was
glittering hero once The heroism is on
a
now pays a price
for his
but his
that
we
horror."
"Injun
eye."
aU
the consequence of
tricks
played upon others.
moment
only led to the
precaution of a second
of
the
murder.
Fear had dominated
Sympathy for Muff
Potter had
the trial was
until
oath,
under
way
the tension began to build. The scene in the courtroom certainly was
"theatrical
one whose as
basis than before; but are told, were "days
solid
His days,
nights "were seasons of
him from the and
more
What was his dreams, and always with doom in his tempted Tom into this new heroism? All his glory hitherto had
Joe infested been
a
glory.
exultation,"
of splendor and
it
the pet of the old, the envy
more
young."
that in
which
he
appealed
returned
to play the lead
have no introspective evidence of what it decision to risk Injun Joe's vengeance, himself in his
to his
gorgeousness"
own oaths.
In
Huckleberry
at
Finn
nature
own
as
strongly
funeral. We
that led to Tom's great
was or
his
the
doom invoked
upon
we are provided abundant
of the hero's inward processes of moral crisis and of the deliberations accompanying their resolution. The Huck of the later novel articulates his private world much as does Hamlet in the great soliloquies. In Tom's case, we are never told in advance how the hero determines upon evidence
his great deeds. In the whitewashing a great, magnificent inspiration
episode we
inspiration"
...
the
Sunday
the
boys, but his
the
presence of
to Mr.
school
Walters,
we
told only that "an upon
him. At
Tom mysteriously trading for tickets among presentation of himself for the prize Bible, in
saw
sudden
Judge Thatcher, is the
are
had burst
Sunday
almost as much of a surprise
school superintendent.
his pirating expedition, as he sleeping form of Aunt Polly,
stands
we
silently in the
only know
that
Later, in
to us as
the midst
night over the
of
troubled
"his face lighted
with a
Interpretation
218
In each of these cases we only learn what he had decided from the results of his decision. An indication of how Tom decides may be gleaned, however, from the description of how he chooses his runaway vocation. He contemplates the careers of the clown, the Black Avenger soldier, and the Indian chief. Then, as the vision of the
his
happy
solution of
of the
Spanish Main
his
and
inner
his being, it sweeps the field, is made. It is the workings of Tom's passions, not any upon alternative courses or motives, that determine his
choice
reflection
fate. We
of
closely latter.
We
fear
until
but
recoUect
that fear
therefore,
but that
murder
the
with
seizes and convulses
to suggest,
venture
moment
thought."
controUed
him from the
for Muff Potter
compassion
warred
the second oath recorded the ascendancy of the
to Tom's conscience in
one reference
connection with
the murder trial. In the twenty-third chapter, in which the case is brought
on,
that
we are told
heart, for his
"Every
these remarks were put
how he he
be
could
from this
clear
be
in the
conscience
things. Tom would like to be
ened
gossip."
Potter
fears
and
altogether
are
even as
he
had
earlier
not
different
death. The feels
the advantages of
we
by
and
know that he is troubled
also
the threat to Muff. It is our
Muff,
not conscience
in the direction he
takes.
By
a
sense
finaUy
of
conscience, insofar
identification as
by
bis
attachment
judgment
speaking, compassion for
he
It is
midst of this
"comfortable,"
of
see
but
sought
threat
way enjoying Injun Joe; but he also feels threatened by the community, which use legal processes to compel him to testify if they suspected what
could
Tom
to his
him that
by
he knew. Yet
from
almost persuaded
hearing as 'feelers'; he did not knowing anything about the murder,
comfortable
whether
a comfortable
murder sent a shudder
fears
forth in his
suspected of
not
still could
the
reference to
troubled conscience and
proper, that
with
We
another.
the latter imphes recognition of a
ascendancy
of
fundamental fear
passion
is,
to Muff
strictly
motivates
Tom
sympathy arising distinguish it from
Muff, or to either literally feels for him, and this feeling, this
with the more
it
compassion we mean
shows no sense of obligation to
quite
that
he has for his
over compassion
or obligation.
or
justice. But
passion, is
at war
life. In the end, the
own
is reversed,
duty law
by
not
the strength of
compassion, but by its mighty assistance from Tom's love of glory and eclat. The melodrama of the trial and the vision of himself in the central role like that of the little child of the millennium overcome the contrary
force
of
and of
fear. The playing
the
of the
mediate
gratifications,
sense of
danger from Injun Joe.
But let seems to
heroic
role of personal savior of
us
have
role
before the
entire community,
Muff,
presented
overwhelming im
which obliterated
understand acted so
thoroughly
decisively
for the
what
upon
moment
the more
remote
that love of glory was that
Tom. Love
of
glory has two
roots
that, strictly understood, differ as much as conscience and compassion. Glory is an intensification of fame, as fame is of honor. We can love honor either from self-knowledge or from self-love. In the former case,
Tom Sawyer: Hero of Middle America
219
ultimately seek is a competent assurance of our virtue or ex That is to say, we may desire virtue as a means to well-being, and honor as a means to virtue. The quest for honor may then be an element in the quest for self-knowledge in the service of excellence. But the quest
what we ceUence.
for glory
is
in
rooted
self-love
in itself. The
an end
glory latter
thus
species
anonymity
Tom
appears as a passion
for
boy who has by becoming a founder
not unnatural
from
apart
passion
in his
the love of distinction to which Tom
Love
of
fame,
passionate negative
to the
privileges.
At bottom, it is the
in
gratify clearly of the merely for a name. Perhaps this
father
no
a
and who must overcome
own right.
in his
appealed
We
his
spoke earlier of
sale of
whitewashing
tends to be the
democracy,
a modern mass
constant
tends to make
self-knowledge
seeks to
threat to the sense of individual identity.
equivalent upon
the human level of the
reaction of
the organism to the threat of physical extinction, as that threat is seen
from the dividual will
other. sees
is
modern
never
dissolve. Radical
a
From this
science.
than
more
of atoms upon
sequestration
it
of
perspective
organism
gravitational
nominalisms
in
perspective
hypothetical
a
the in
temporary
and
field into which, presently, in ethics parallel each
physics and
Because Tom's glory has no foundation beyond the acclaim he hears or feels he is constantly driven to repeat it. He must
and
constantly
limelight in
revive that
he
which alone
experiences assurances
Whether he is swearing the oath to keep the secret, or revealing the same secret before the astounded court, he is obeying the same law of his nature.
his
of
own
authenticity.
glory in the church has now been transformed into glory in the courtroom, and beyond. Yet Injun Joe remains liberty. Rewards have been offered, a detective from St. Louis has
Tom's
questionable
unquestionable at
come and
gone, but
must prove
Joe's
Joe. Of course, it is Tom, assisted by Huck, who After the trial had ended so sensationally and
no
nemesis.
Tom had been immortalized
by
the
village
newspaper, "There
were some
hanging."
be President, yet, if he escaped The humor notwithstanding, it is Tom's quasi criminality that qualifies him as is the relevant proverb. an antagonist of Joe. "Set a thief to catch a that believed he
would
thief"
In fact, Tom never sets out to this is a story of a boy,
myth that
by
the art of the
protagonist.
his
novel
Tom
confederate
an
as
In
a
ruined,
covery
by
hiding
place
of
they
At that
secret
by-product
accidental
development
unrelated
house, they
of
meeting
of
the
a
Mark Twain's
ascribed
ascribed
to the
witness
are
to the
to chance art of
place of
Joe
the and
treasure hunt that is
prior action of
equally
the plot.
accidental
dis
the long-lost treasure of the Murrel Gang. From their watch
hear is to be hidden in cross."
things
that otherwise might be
abandoned
Joe
Joe. Because
certain
Huck discover the
and
presented to us as a
catch
point
the
criminals
one
the boys
of set
Joe's off,
off the treasure, which they dens, "Number Two under the not to apprehend Joe, but to steal cart
the treasure for themselves. Their motive is simply to rob the robbers.
Interpretation
220 It is Tom's
interest to
of some
in tracking
skill
him
the treasure. Joe
or
they had done
undoing.
and
his
It is
not
companion
loot; but Joe would not do so job. Had they foregone that
to light out for Texas with their
planned until
the cause of Joe's
recognize
either
"dangerous''
one more
final job, they might have taken both their loot and the treasure and departed for a life of ease, and perhaps even respectability. But the job consists, as the confederate himself discovers only at the last moment, in taking threatens
revenge upon
the
even
assistance murdered
vagrancy.
the
infinitely jail, ""like a
village
the judge's
The
peace, had done the
of the
done something of
death
unless
crucial
he
death,
moment, Joe
renders the
in carrying the act of vengeance to its young Doctor Robinson as revenge for
him to be jailed for justice
the Widow Douglas. At a
confederate with
conclusion.
once
necessary Joe had
having
caused
husband, who had been a thing. Moreover, he had once
widow's same
he had had Joe horsewhipped in front The insult to Joe's pride had demanded
worse;
nigger!"
and since the
judge had
cheated
Joe's assistance, it now demanded the widow's and barbaric sense of honor, yet it is a sense
him
by dying
mutilation.
of
honor
without
Joe has
brutal
a
nonetheless.
It is
honor that has nothing in common with Tom's love It causes him to lose both treasure and life. Yet Joe
moreover a sense of
of
and eclat.
glory
shows, in the dialogue
for
much with
Joe to
presents
old-fashioned
the
within
comparison with
us as a worthless as well as a
for Aunt Polly's ative
his confederate, that neither life nor gold count his pride or honor. Mark Twain
with
him in
novel
of
devotion to
joins Aunt Polly's Christian
pride
dangerous being. Yet
piety, Joe appears to be the sole an
immaterial
humility
upon
good.
the
except
represent
Joe's
pagan
Tom's
of
altar
materialistic self-glorification.
Tom
Huck trace Injun Joe to his lair in the whisky room of the They believe the treasure is in the room and that if
and
temperance tavern.
they
in there
can get
are certain
he
night
come
by day, when
nights pass without
event,
heralded
picnic
on a night when
to
as
treasure;
follows. "The and
and agree
Injun Joe sure
fun
can make off with
on
Saturday by Becky. Why
might emerge of the
the
Tom
and on
boylike, he determined
it.
They
that Huck will watch every
Joe has left
that had been planned
away us
leave
for Tom
and
Several
Joe is away they
when
will not
evening
"dangerous"
job.
goes on the long-
Tom
risks
from his den is
being
expressed
outweighed the uncertain
to yield to the stronger inclination
allow himself to think of the box of money another time that We think the author meant, not that Tom "determined to but that he yielded. The present good of the picnic outweighed the treasure, just as the fear of Injun Joe had been outweighed by the glory
and not
day."
in the
yield,"
courtroom.
Before pursuing the dual themes of the treasure and the picnic, we must direct attention to an episode that was a necessary condition of the picnic, namely, the
began
with
reconciliation of
the
Tom
and
discovery by Becky
Becky. Their estrangement, which been engaged to Amy
that Tom had
Tom Sawyer: Hero of Middle America
Lawrence, had finaUy
Becky
recess,
The
master
impasse. But
reached an
passes the schoolmaster's
keeps
identity Becky turns
the school.
of
one
day during the the key in the
and sees
book there, the
a
tormenting mystery
desk
221
of which
key,
the
is the
lock.
great and
the
opens
noon
drawer,
presently is inspecting the anatomy text with its handsomely engraved At that moment Tom steps up frontispiece, "a human figure, stark behind her, Becky starts, and as luck would have it, tears the page. Becky and
naked."
bursts into tears: her terror multiply What
thousandfold her
a
discovery
of
punishment
and
thereupon
Tom.
grievance against
Dobbins does in such cases is to demand of the class that the guUty party step forward. When no one volunteers, he asks each of the scholars in turn, fixing his gaze full upon him or her, to discover evidences of guUt. Such a procedure might not succeed with such a hardened old
Tom, but it cannot faU with such an innocent as Becky. Becky might have confessed had she not been so paralyzed by fear. The beating that is the sure punishment for such a crime appears to her in aU
prevaricator as
the
lurid hght
of
to be
He
him
seen
dehberately court a licking in order day Becky had come to the school.
to sit with the girls, the first
sent
can't understand
hke
a girl
But
of course we
same
damnation. But Tom has been licked times
eternal
We have
without number.
is
Becky
why
so
bitter
time,
know that that is
know
we
that
taking
the prospect. "That's just
he
part of
licking
a
at
chicken-hearted,"
they're so thin-skinned and
is
their charm for about
comments.
Tom. At the
the smallest price Tom
possibly pay for any good thing he might desire. At the crucial moment, just as Dobbins reaches Becky in his relentless search for the could
guilty one, Tom has another of his great inspirations. "He sprang to his it!' and when he stepped forward to go feet and shouted / done .
to his upon
punishment
him
out of poor
floggings."
terized,
Their
not
dragon had
.
Becky's
reconciliation
ever won
fair
seemed
eyes
is
a reconciliation,
as
.
the surprise, the gratitude, the adoration that shone
complete.
but
lady by
as
what
a
the
pay
enough
Indeed,
it
had
a
hundred
be
charac
No knight slaying
conquest.
lady
for
should
perceived as greater
valor.
So Tom the
and
afternoon
Becky
the
are
a main avenue that was
cave, for there
ary to
venture
immediately
inseparable
upon
the
long-delayed
picnic.
In
take to exploring McDougal's cave. There was "knew" familiar to most. No one, we are told the
children
were
labyrinths beyond labyrinths,
beyond the
adjacent
main
avenue
and
and
it
was not custom
the corridors
and recesses
thereto. "Tom Sawyer knew as much of the cave
one."
as
any Tom leads
unknown,
hope,
of
emerging
discoverer
But Tom danger
Becky on into the cave, beyond the known portion to the finally they are lost, with no idea, and finally no rational
until
alive.
him."
seized
never seeks
except
when,
Why? At
Tom is
a
a certain
danger for its as
point, "the ambition to be
a
venturer; his is the spirit of enterprise. own
sake; nor does he willingly face
in the courtroom, it is
suppressed
by
another,
Interpretation
222 immediate
more
But
passion.
Tom is led to
now
and
un
into the
un
unsought
for him to necessary danger. There was no reason known without marking the pathway by which they might return. But Tom is under a compulsion to break with the trodden pathways, to go venture
death or salvation, retracing his steps. There wiU be either and lost the but no turning back. And so, having being driven ever way * lost. onward, Tom and Becky are from the picnic Their only food is a piece of cake she has "'saved onward without
.
.
.
for us to dream on, Tom, the way grown-up people do with wedding " Tom shows great tenderness for Becky's growing weakness in cake the cave and reserves the greater part of the cake for her, never eating more than a smaU part of of
her troth. To
his
own share.
Yet he
never returns
the pledge
the cake is not consecrated; it is only a means of
him,
When they come to a spring, Tom decides that they must make a halt; at least the water wiU keep them alive longer, whUe they wait and hope for rescue. Becky becomes very weak; slowly she sinks into "a and eventuaUy loses aU hope. She teUs Tom to take his dreary survival.
apathy,"
kite hne
to explore if he chooses; but makes him promise
and continue
to return from time to time and to hold her hand when the end comes.
this terrible vigil, Tom
During in the fear
chamber
of
the
cave
makes
a
that Injun Joe is
discovery
to their own. Fear of Joe overcomes
next
It apparently
of the cave at that moment.
never occurs
to Tom to
to Joe to rescue them. Yet Joe could have had no grudge against
appeal
Becky;
and
it
have been in Joe's interest to have
might
them. After aU, there
led to the medium.
There
already
a petition
being
both
saved
circulated
of
for Joe's
the children after all other hope had gone might have
Rescuing
pardon.
was
success of
How then
the petition. But Tom's future glory brooks no such
why does Tom
and
succeed?
two conspicuous facts about the vigU in the darkness. First
are
is the apparent absence from Tom of any conception of his own death. Although Tom knows fear particularly of Injun Joe there never seems to be the decided equation between hopelessness and death that there is in the
case of
Becky.
its inevitable
as
situation, gestion
Becky feels her growing weakness and accepts death But Tom, although aware of the facts of the
conclusion.
never resigns
of
prayer,
before did Tom approach of
the
by
ever
himself to it. Second is the
Tom
Becky. We
absence of
any sug
that only once when Huck was overcome pray, by fright at the either
"devils"
in the
or
recaU
But he broke it
graveyard.
off
before
ever
naming the Lord. In his utmost extremity, Tom relies on no other power than
himself,
whether
higher
or
Tom then, wasting no time extends his kite line, first down
down
still
speck
that looked like
*
See
another.
note page
Turning
224.
lower. or
energy
on
useless
thoughts
or
down another, back from the third, "he glimpsed one corridor, then
daylight."
Dropping
the
line, he
groped
actions, and then a
far-off
toward the
Tom Sawyer: Hero of Middle America
hght
presently "pushed his head
and
and saw
the broad Mississippi rolling
is
by Tom, by
saved
a
hght
223
hole
and shoulders through a smaU by!"
vouchsafed
Tom is thus saved, and Becky to him far within the innermost
the cave, at a point where the probabUity of finding light or of hght finding him was the most remote, if not most unreasonable. Tom recesses of
thus becomes comes,
merit
authentic
works or
hero
of that new
faith, but by
Calvinism in
which grace
indefeasible
the spirit of utter and
may say, is saved by the Lord because the Lord in the fact that it had never occurred to Tom to ask for help.
Tom,
self-reliance.
finds
an
by
not
Tom may have
we
appeared as a clever and
wUl emerge with a new aura of
has
principle of the old order
lucky
authenticity
trickster hitherto. But he
legitimacy. The highest
and
the leader
now anointed
of
the new. Tom's
formation of his character have been completed deep Tom Sawyer's Gang is now ready for the hght of the
the
education and
within the earth. sun.
Huck
has kept his
meanwlule
Becky
and
are
faithful
own
deeper into
ever
wandering
vigil.
On the
night
that Tom
Huck foUows Joe
the cave,
companion as they leave their lair. But they carry a box with them, Huck mistakenly believes is the treasure. There is no time to go for Tom. The men pursue a course toward the Widow Douglas's, and follow and
his
which
closely in the dark, Huck discovers the evU But the widow has company, and the men lurk
ing
the lights to
Joe
arrive with guns.
Huck is terrified seized with
comes to of a
Then Huck
go out.
fever
a
his
and
and
nature of
for help. The Welshman
runs
confederate are
driven off, but
is taken into the Welshman's for
and
himself again, he too
time loses
long
a
wiU
their mission.
under cover
taste, but
waiting for his sons
and
not captured.
house,
he is When he
where
consciousness.
pleasure, the glory
without
hero.
Before Huck recovers, Tom Thatcher has the
and
Becky triumphantly
the cave sealed,
mouth of
not
knowing
Judge
return.
that Joe is within.
of thirst and starvation before Tom discovers what the Judge had done. The hght that had been vouchsafed to Tom has been denied to Joe. Now the boys are safe, and when Huck is well enough, Tom takes him aside and imparts his secret. Number Two is in the cave, and Tom knows
And Joe dies
an
easy way to
They
gather
up
head for the which he and
sure
that that is where the treasure is kept.
provisions and two
bags to carry the treasure. Then they below the mouth of the cave from
there. He is
get
secret place
Becky
Tom had nearly
had
five
emerged
stumbled
candle smoke on a
big
miles
rock.
This
the treasure must be "under the terror. Injun Joe's must
surely be
at
ghost must
be
to safety.
Exploring
Joe, they discover
upon
without cross."
nearby.
the chamber where
cross, done
a
doubt is "Number
But Huck is Tom
and
again struck with
remonstrates that
the mouth of the cave, where Joe had
here. But Huck disagrees, "No, Tom, it
wouldn't.
It
with
Two,"
died,
would
the
rather
hang
ghost
than
around
Interpretation
224
I know the way doubts too. That the ghost the
of
money.
reasonable.
fools
what
But
we're
seemed eminently Tom. "Looky-here, Huck, Injun Joe's ghost ain't a-going to
comes to
of ourselves!
making
And
cross!"
there's a
come around where
Tom begins to have
you."
treasure
would stick to the
inspiration
once more
do
and so
ghosts,
so
the
sacred symbol performs
the function that wiU now be characteristic in the order over which Tom
is to
preside.
free
pure and
Huck
and
Welshman
It
Tom
sees
Douglas's. Their
they the
the
reach
aside
drop
out
for the
tells them
it
for scrubbing
appears
the
window
and
escape.
the Welshmanbut
Huck
feared that Joe
As
The
senses
the
death
Huck
have
of
that
quickly of
scene
another
setting for how Huck had risked
celebration
the Welshman of
are
to find a rope and
wants
save the widow.
not
the Widow
at
there. The boys
But Tom
anything.
by
the supposed grand revelation
his life that Saturday night to the Welshman to secrecy, but vinced
are
dressing. Huck
it for
grandeur and won't miss
wanted
that something great is in progress. All
in the town
and
town, the
enter the
they
are
to him to be loaded with old metal.
wagon appears
widow's
they
the air
faith.
votaries of the
to St. Petersburg. As
and
of consequence
people
sent
return
them
keep
the way to the new salvation and
wUl point
of evil spirits
is
Huck had
a
earlier
sworn
Injun Joe evidently has con the oath is no longer binding.
friends around. But the secret had already leaked out, and the surprise lacked some of its supposed force. When the widow responded by saying that she meant to give Huck a stiU
home, have him
educated,
He
chance was come.
And *
so
The
the
candle
long
made
said::
and start
some
him in business
'Huck don't
need
some
it, Huck's
day, "Tom's "
rich.'
trail of successes winds its way to the triumph to end
the break
exact cause of
Tom had
by
the
might
two smoke
the return path is
with
marks
for future
guidance
not
easy to
before they
state precisely.
were
attacked
bats. To escape, Tom leads Becky hastily down a corridor, just as Becky's is put out. The flight continues for some time, down a succession of
corridors
entered
at
random.
Is the pathway broken
at
this point? Tom does
not
think of returning for some about
time, still impelled by his search for novelties to brag later. He then tells Becky he reckons he could find the way back, but fears
encountering the bats
again.
He insists
upon
searching for
a
His fear
new way.
of
the bats appears to govern him at this point, just as his fear of Injun Joe does a
little later. But the bats
are a
the candle, at least until
they
largely imaginary danger. A reached
the
resolute attempt
smoke marks or
to
protect
the staircase might have
Even if they failed, they would have remained at a point in the cave they might easily have been rescued. In fact, had they remained near the bats, they might have followed them out of the cave when night came, and the bats succeeded.
where
of
in their quest for food. If it is true, as we are told, that Tom knew the ways bats, his behavior becomes even more unreasonable. But Tom is ever dominated
by
the passion of the moment. He never acts reasonably. It is in his defiance of
emerged
reason,
and
the cunning of his passion, that his
virtu consists.
His way is
downwards, and he emerges not from the top, but from the bottom can hardly imagine a more apt symbol of the replacement Machiavellian
republicanism.
irreversibly
of the cave. of
Platonic
One
by
Tom Sawyer: Hero of Middle America triumphs. Once more Tom is the little
all
child
in
a
225
drama that has
all
the glory of the millennium. The whitewashing of the fence, the prize winning in the Sunday school, the return from the dead, the revelation in the
courtroom,
dollars in
gold
all
pale
coins
into insignificance beside the twelve thousand
that
now
transfix the
assembled
magnates
of
St.
Petersburg.
Tom's glory will now endure. The Lord has shown him to be truly of elect. He has shown him the light of salvation in his hour of sorest
the
His
need.
cross
has
pointed
him the way to the treasure. And the treasure
the cross has revealed and protected is such as neither moth nor rust can
corrupt, path
or other
thieves
to greatness and
either
in this
can steal.
immortality
world or the
next,
as a
Tom Sawyer's
Gang
faith
such
as no
large
capital.
can
is
set upon
assure
so
the
well,
226 "VALUE"
THE DEPENDENCE OF FACT UPON
*
Martin Diamond
The title
this
of
scientific study hypothesis that
its basic argument, namely, that the requires the the study of what is politicaUy
paper
states
of politics
teach
can
reason
to live politically. Not any prise
itself
something about how they yearning, but the empirical
hypothesis. Rational
that
requires
men
normative
of
explanations
ought enter
political
like possibility of making rational statements about political This is what is implied by the phrase "the depend ence of fact upon Accordingly, I argue that the radical distinction made by modern political science between facts and values is false and
facts
a
require
"values."
value."
misleading
and
that the refusal to treat the validity of values as
subject
reasoning is fatal to the empirical study of politics. Let me hasten to add that this article is not addressed to
to
scientific
theoretical scope of the fact-value question can
be helped. The
tries to
perspective
is that
understand and explain the
of a
factual
at
least
working stuff of
not
any
fuU
the
than
more
political scientist who
pohtics,
such as states
men, governments, opinion, movements, parties.
Now the factual and minds with and most
stuff of politics presents
facts
fundamental fact "power"
phrase
"influence"
Hobbes)
the indicator
have haunted
that
pursuit of such
those
us now
presence are
values, we are
dealing
as, say, a gang, the
tinguished from the
not pohtical
influence. Until
with some
or
Indeed,
the first
all about values.
(to
deliberate merely
behavior
and unless
mutual
public
social phenomenon
the factory. Political
gangster, a courtesan,
For
para
are not
several generations
the
with
only
bedroom,
power of a
for
of power or
involved
our senses
modern spook-terms
Behavior is
and measure of the political.
merely because of the power and influence
entwined.
is that it is
about politics
and
example,
itself empirically to
inextricably
and values
or a
power
is dis
factory foreman
the fact that political power is generated and constituted out of the deliberate mutual pubhc pursuit of values or, as it would be more sensible
by
to say, out of the public process whereby rival opinions are put forward to what is mutually advantageous and just for the whole community.
Consider fact to
see
power and
*
The
what everyone of us and
hear the
influence
present paper
political.
knows in his bones It is
present themselves
is based
(Chicago) in 1970, and is to be by F. E. Peacock Publishers.
we come
to our eyes and ears, for
upon a series of published
how
not when spook-abstractions
lectures
given at
in the Loyola Series
on
as
in
like
they
Loyola University Political Analysis
The Dependence of Fact
be
cannot
heard. We
seen or
see and
governments, citizens, movements,
"Value"
227
upon
hear the
and parties
political when present
statesmen,
themselves to
us
regarding virtue, justice, or the common good. Each comes clamorously explaining its behavior in terms of some argument or opinion as to what is good and just. These rival opinions about virtue, justice, or the common good are the first and the central political as rival
claimants
phenomenon:
Now the they
they
empirical
confront
and
behavior.
that."
this
and
evaluate, that
is,
Therefore,
the
first demand the
the working political scientist is that he judge the validity of, these conflicting
is just. After all, what else can you do with an besides evaluate it? The political scientist cannot go spelunking,
power
opinions
political
as to what
cannot reach
about
of
phenomena make on
arguments argument
behavior
these politics-constituting opinions is that for example, "such and such is just or good for the
are arguments:
country because
he
are what makes
peculiar character of
or
beneath these influence
regarding the
any underlying facts he has first dealt justly with the rival The fact he has to deal with first is the
opinion arguments to
until
ought.
argument the opinion makes about values.
In short, the
ought stands at
study of the is. But precisely here lies the failure of modern political science. It has barred itself from entering through the gateway because it does not the gateway to the
political
believe that opinions regarding the ought can be evaluated. The fact-value distinction that self-denying methodological ordinance regarding values teaches
modern political science
that reasoned
argument and values
belong
to two radicaUy separate realms. Hence all value opinions are equal in being equally nonevaluable: the arguments upon which they claim ultimate to rest all equally fail before the tribunal of science. Accordingly, science necessarily treats all serious political opinion,
ly
modern political which
is
always at
bottom
some sort of reasoned argument
regarding values,
ultimately spurious or self-deceived. Party platforms, constitutions, the great debates over policy issues, the promises of candidates, the speeches as
of
statesmen,
lying ear
is
interests
all
these are ultimately massive
and passions.
a snare and a
observer must steel
Politics
delusion, himself
as
a giant
against
it
rationalizations
presents
itself to the
fabrication. The
of under
eye and
knowing
the delusions. Like the wily
the
scientific
Ulysses,
tie himself securely within the coils of scientific method and hold tenaciously to the fact-value distinction when exposed to the siren song of politics, that is, when exposed to the spurious opinion that is the funda
he
must
mental stuff of politics.
Now this is not only to misunderstand the nature of political opinion, but it is also profoundly to degrade both the political and the science that studies it. The fact-value distinction degrades politics and political science because that view of values denies to the political the unique element that constitutes its being. As I have argued, politics is constituted by the rivalry of human opinion regarding justice and the common good. That is to say, pohtics is an expression of the uniquely human faculty of reason-
Interpretation
228
ing
It is that
about such matters.
human things from
rational
faculty
that distinguishes
alone
things and, in particular, distinguishes the social or the economic or the biological. But the
other
aU
from the merely fact-value distinction denies the authenticity of the human capacity to reason about justice and the common good. That distinction is therefore political
fatal to science
science; but it is a veritable spawning ground of the other
political
social sciences.
They
improvidently in its
acquiesced
by
preempted.
sciences.
its
abdicates
preemption
And it has been the social
to fill the gap created when modern political
rush
Since
the
That is the
history
cheerfully
derivative,
becomes the dependent variable, varying
and
the last century of
of
fact-value distinction
the political epiphenomenal,
and
proper subject matter and
others.
makes
the rational
reflexive, the pohtical
the underlying independent
with
variables
the social, the economic, and the psychological. These
disciplines
seem
to have a
their own; or at least all seem to be
all
an
and
matter
subject
independent
sister
variable
to the core of the
somehow closer
behavior. Political science, in contrast, has come to seem derivative, marginal, sustaining life on table scraps of data and hand-medown methodology from these richer autonomous relatives among the general stuff of
social sciences.
It is hardly necessary to document the recent development. But it may be Ulustrated clearly in S. M. Lipset's Politics and the Social Sciences, the fruit of a series of panels conducted at the 1967 meetings of the American Political Science Association. The the other
of
are
social sciences
told, is "the
apply various concepts political behavior and application
political psychologists and
apply it to
the
of
economic
draw "their intellectual
the question of whether politics itself affects
"the
effective
eses
concerning
arena"
in
the
which
policy
sociology There is a "new
theory
to
sustenance
And
politics."
from psychology
behavior."
behavior, it does
Regarding so
only as hypoth but "our made; choices] must come from the
choices are
determinants [of i
we
and methods of
of political attitudes and
study
contribution
Pohtical sociology,
institutions."
for the
enthusiasm
of pohtics.
effort to
to the study of
the
various essays explain
to the study
such
sciences."
other social
of
politics,
politics
This
but
psychological political
values
theory
of
politics,
economic
theory
any theory for the study
of pohtics
of
theory.
situation results
regarding
Sociological theory
can
inevitably
be founded
understood as mere rationalization.
from the denial that on
reason;
Aristotle
to be the rational animal; modern
political
political opinion opinion
must
be
wrong in thinking man science knows him to be
was
political
i
Seymour Martin Lipset, Politics and the Social Sciences (New York: Oxford The quotations are from pages xi, xv, xv-xvi, xxii. It should be emphasized that Professor Lipset is primarily reporting on what is in
University Press, 1969). fact
happening and that he himself usually dignity and autonomy of political things.
shows
an
awareness
in his
work of
the
The Dependence of Fact
"Value"
229
upon
instead the rationalizing animal. Political opinion is a superstructural thing; what really counts is the substructure. Behavior when it manifests itself in the political arena has the annoying habit of masquerading itself as noble and just. As it the other disciplines may deal with the were, fundamental behavioral stuff neat, straight off the shelves as it comes to them; but the
modern political scientist has, uniquely, the duty to unmask the data. He must discredit the pretended grounds of the behavior and
its true subrational or arational "determinants."2 Hence reality is be sought, not in opinion, but behind and beneath it; not in the exercise of man's distinctive rational faculty, but in the exertion upon that faculty of determining forces that link man with all the other creatures and things. From this it follows that what explains all other creatures and things likewise explains man; inevitably, then, political theory must give way to
reveal
to
theory imported from
directly
more
with
concerning the
those apparently more primary disciplines that deal
the universal
stuff of
behavior. Hence "our hypotheses
determinants"
of political
the other social
sciences."
things must indeed "come from
From its former
position as
the architectonic
the study of the most important independent variable, namely,
study man's
unique
rational-political
to studying only the
"arena"
capacity
in
which
the
political
is
science
universal stuff of
relegated
behavior is
displayed. AU the carefuUy
foregoing developments
the
term
"values."
may be seen simply by considering In the process, it will become clear why
quotation marks were used around the word of
way
indicating
its dubious
status.
"values"
at
the outset, as a
Consider first how
recent
is the
contemporary social science usage of the term. The Oxford English Dictionary does not recognize it; in any event, the one reference that could at aU be said to be in the new mode dates only from 1899. Webster's New World Dictionary hsts the new meaning and attributes it to sociology, which both dates the usage and should give political scientists pause. The traditional meaning
the
the
word was connected
of material values
commodities, do you the buyer or
value
2
of
value of
It turns
out on closer
seUer place on
inspection that
primarily with things, i.e., in the expression, "What
as
this ring or
modern science
does
jewel?"
not
3
That
treat all values
equally nonevaluable, as, for example, Brecht seems only modestly to Rather, all value arguments turn out to be equally false when evaluated as
science 3
A
based
upon
second
or worthiness
being
according to the OED dealt
traditional meaning
(of persons) in
of value as a soldier,
another
claim.
by
a
the fact-value distinction.
on one's own qualities, or
Still
is,
respect
holding
valuing
a valued rank
someone
in the
with
the "worth
for example, in society, setting a high value
of rank or personal
qualities,"
sense of
esteeming that
traditional meaning of the word is as a measure of
things,
person. such
as
But the way the word is used in modern social science clearly derives from the idea of material values, where the emphasis is on the desirer and the value he idiosyncratically places on things, rather than on mathematical quantities
their inherent worth.
or musical notes.
Interpretation
230 the traditional use
Thus the arbitrary
ing
far
as
opinions
partly
to
rational
proved
values
modern usage regard
hitherto to
values was never used
an
which
of
the realm of the reserved
for
mean
justice,
is to say, from the
realm
Treating
justice
wholly
material
arbitrary.
things
and
their conventional
ploy, because
rhetorical
effective
extremely
to commodities or to
applied
less arbitrary
implicit in the traditional term.
was always
the word
realm
term heretofore
under a
important to the
so
"values,"
to the
opinion
of the
teU,
can
or
of justice or the common good. And that is precisely the change wrought: questions of justice were transferred from the realm
that was of
I
as
the more
of
value
conventional
the
by
to them
of men.
element
ethical and political values
But
emphasized
worth assigned
desires
and changeable
term
the
of
the
material things
the word value
whether
persuasively implies
the commodities nor justice have any intrinsic merit, but only subjectively and arbitrarily attach to them. Indeed, when applied
that neither what men
to
justice,
everyone
imply
the word came to
knew that
always
whoUy arbitrary matter; after aU, have some objective, in
a
most commodities
trinsic worth.
Values and
thus understood, there is naturally a
being
between facts settles
and values.
The
the important questions
all
radical
distinction
rhetorically prejudges the case before they can even be asked.
word value
For example, hear how the term value judgment settles the matter: judgment is a judgment made as to whether one likes or dislikes
facts,
but only
to
different
belong
and
facts
realms
to the
are accessible
"noncognitive"
realm of
Consider the
import
similar
of some
to
scientific
interests
reason,
while values
and passions.
terms closely related to the concept
commitments, preferences, attitudes. They are used interchangeably with the word value, and for the good reason that of
values-
have the I
mean
thrust regarding the status of rationality.
same
by
my will,
or predisposition.
is only
merit
desire derived from
the substantive or value
and passions that
The difference between stressed.
is to But
For example,
a given an
issue,
attitude
attitude can
be
"because"; but "because,"
the
attitude
my inclination
of
rational
all
no
material
idea valued; there interests or passions.
content
of
thing
or
little significance;
determine
at
my commitment,
what counts are
the
the content.
these terms and the
typically
ask what
idea
of opinion must
be
the respondent's attitude
being used synonymously with opinion. justify itself, while an opinion must. An
word attitude
not
expressed
in
sentence
because
or
is
pollsters
need
a
by
aU
commitment
notice:
that reason can perceive in the
preference, attitude,
interests
and
By
almost
they
my commitment, my preference, my value, these words also presuppose that there is
an act of will or
Consequently,
my desire,
preference
And
titude. Like the word
intrinsic
certain
have already been considered. The very thus seems to confirm that facts and values belong
the facts
after
term presupposes
a value
a sentence that
expressing
an
does
opinion
not
include the
must
always
opinions are arguments, while attitudes are
word
give
a
only likes
The Dependence of Fact and
dislikes,
can
be
tastes
preferences, inclinations
and
expressed with a
an opinion must always
an
considered,
opinion
includes
a
arational
influences
rational
"Value"
231
upon
An
and aversions.
attitude
shrug or a grimace and is merely expressive, but be discursive. However poorly stated, however ill is an exercise of the rational faculty; it always
element
commitments, preferences
is independent
that
bear
that also
upon
opinion.
simply the
are
of
the
By
contrast, attitudes,
subrational
or
products of subrational or ara
determinants. It is therefore an entirely different thing to speak of opinions of the just and to speak of values regarding justice. Values and facts clearly do belong to different realms when values are understood tional
the expression of
as
merely
facts
that
clear
do
not
belong
and the other
opinion
political
interest. But it is
different realms, the one in which it is not. While reason cannot
which
distinguishes
Now
has
to
in
can support opinions.
surely what
and
is
science,
Indeed,
of opinion
itself
most prides
political science.
ficient
support
4
is
it has
ones.
misunderstood
perhaps that area
having
on
made
A formidable
for the
claim.
the
nature
of
opinion,
thing entirely different
Indeed,
which modern political science
greatest
advances
upon
the old
be suf due trepidation in the face of these state the following: far from advancing of studies would seem to
all
volumes, let me nonetheless the study of opinion, modern political all, but
in
the
mass
With
massed
not studied opinion at
relevant
values, it
to the study of politics that even modern
so central
although
support
the support of reason is precisely
from foolish
sound opinions
is
reason
nonetheless given a central place to the problem of opinion.
the study
not
equally heterogeneous. That is why no the fact-opinion distinction. Facts and opinions manifest
one ever spoke of
ly
desire, inclination,
and opinions are
rather
science
has
has
abandoned
the study of opinion
it. It has
for that study formation.
substituted
some
The study
of opinion proper is in the first instance the study of its content, its arguments, its wisdom, its folly. The study of opinion formation, on the contrary, presupposes the utter irrelevance of
substantive
substance to
an opinion's
radical
conclusion
sufficiently
is
explaining the process of its formation. This startling to common sense that it may be in in its starkness. But the accepted contemporary
so
appreciated
formation readily confirm the point. For example, Smith, White introduce their work by disclaiming any interest in the Bruner, specific opinions they dealt with; these were used only as the "focus of investigation." Their book is not concerned with any particular opinions but "is, rather, a study of the psychological processes involved in forming texts
on opinion and
4
Compare
a
somewhat
Scientific Study of Politics,
Winston, 1962),
3. I
am
ed.
by Walter Berns in Essays on Storing (New York: Holt, Rinehart
statement
Herbert
indebted to Berns for his
his thoughtful editing of the book, possible the Essays and this paper.
Storing for made
p.
similar
and
critique of
to Leo
the and
voting studies, to
Strauss,
whose
work
Interpretation
232
opinion"
holding
and
No
means.
an
opinion
how
matter
foolish, how
wise or
"psychological processes
same
ing
The
any regarding the
for the
and
arguments,
why the
informed, drunk,
forming
hold
and
and sense
to which it is a response,
has
formation. In explaining why abstracts wholly from its evidence,
and held, one inferences, because they
is formed
opinion
Ul
or
process of opinion
is formed
opinion
an
soundly based
"any
opinion, its accuracy
content of the
or political problem
ethical
zero consequence
what
involved in
[are]
opinion."
.
..
Consider
the opinion is that of Plato or the Athenian town
no matter whether
the
opinion."5
any
and
have been the
cannot
held. The study
reasons
formation is
of opinion
perfectly divorced from the study of opinion. How could so incredible a position come to have been held? The answer is that once the fact-value distinction was accepted this ludicrous con inescapable. The theoretical
clusion was
presuppositions must "values,"
All important
political opinions rests on
i.e.,
be
restated.
upon arguments as
to the ought. But since values can have no cognitive status, such arguments can
have
no
All
standing.
reason; hence there are The purported grounds stitute
its
That
opinion. and
content
passions,
opinions
no sound or
of
any
is
which
that
opinion
is,
the arguments that con
possibly have influenced
cannot
content
ultimately are equally unfounded in foolish opinions regarding the ought. the
formation
the true determinants of the opinion.
are
of
the
interests
a mere rationalization of subterranean
Thus, by
necessary inference from the fact-value distinction, the study of opinion formation divorces itself from the study of opinion. The persuasiveness of modern political science, despite the ludicrousness of
its
main
Of
opinion.
interests
that opinions
I
and passions.
interest
cannot
been wrong to
transparent,
by
accept
can
be
part on what we all
training,
know
acknowledge,
by
political
their pocketbooks, their character
and
the like. But influenced only;
that common
sense
understanding
regarding the ought are determined by such be more than a rationalization of underlying
want
to
argue
exactly
the contrary:
themselves determine opinion
the notion that any opinion, so
and
do profoundly influence
passions
radicalizes
that opinion cannot
interests and
science
in
influenced
childhood
political
into the idea
factors,
and
course men are
structures, their modern
rests
conclusion,
that
namely,
What
determined.
an
that
passion
and that we
no matter
economic
how
have
crass or
interest, for
5 M. Brewster Smith, Jerome S. Bruner, Robert W. White, Opinions and Personal ity (New York: John Wiley & Sons, 1964). Emphasis supplied. See also Robert E.
Lane
and
David O.
Sears,
Public Opinion (Englewood
Cliffs, N.J.: Prentice-Hall,
1964). "Our study deals mostly with the ways people arrive at their opinions this, believes" rather than exploring just what it is the public (p. vi). Lane and Sears seek
to understand "the
mechanisms
and
And in conclusion, "We have not looked this book, but we have examined various
learned
and changed
.
.
(p. 1 14).
processes at
of
opinion
formation"
the complexion of popular
ways
in
which
beliefs
(p.
vi).
beliefs in
and opinions
are
"Value"
The Dependence of Fact
determine is the
can
example,
favor
conclusion or objective that the opiner or
to reach. A man's
rationalizer wants
pocketbook can
him
make
the group or the politician has to make arguments; they have to the result they desire with an opinion that makes sense to others
man or support
and, for that matter, usuaUy to themselves
interest,
the economic
Let
it
whUe
that
us acknowledge
i.e.,
choose this particular
the
is in
say, the
or
the common good and not
But that only
be
hence
makes sense and
interest
economic
persuades?
by itself;
therefore impels
explain the empirical pohtical
justice that form
political
zation requires points on
interest; but
no
us
to
out of
this view of
is that
answer
particular audiences.
step back.
subrational
or
factors
arational
set of arguments
to look for something else that
life. As it were, plotting the
can
or rationalizations.
phenomenon, the contending
wiU
help
opinions about
curve of a rationali
two axes. One is indeed the axis of, say, economic
the other be? I
what can
interest
that audience? What
transform themselves into a precise
inquiry
Why
The easy
not
Why does this argument is it in the argument that Whatever it is, it cannot spring from
pushes the problem one
and not another persuade
another?
persuasive
that
important
some
economic
rationalization, these words, these arguments,
groups choose arguments that wUl
is
does
the opinion.
content of
the infinite number of possible words and arguments?
justice
submit
the conclusion,
most pohtical opinion
Yes, but why does,
respect a rationalization.
What I
as weU.
favoring
explains
the arguments offered,
and cannot explain
Our
indeed
pohcy because it will or will not put money into his the end result. But that does not end the matter. The
or oppose a
pocket; he wants
the
233
upon
can conceive of no other explanation
for the behavior to be explained, i.e., the perception,
intimation,
a rational
an empirical
at
forces
of opinion
account
facts impose themselves upon itself on our minds. In short, the
of what
our
a
with regard
view
that
that, just
as
too does the ought impose
to both the is and the ought,
one of
the
causes of opinion.
This
of
is simply the
answering the
product political
of
underlying
question:
what
precise content of opinion?
All important
political
"determinants,"
of
justice
opinion
forces is incapable
determines the
kinds
is
to acknowledge so
tenable hypothesis regarding the formation of opinion, whereas
the prevaUing arational
us
senses,
lightness or correctness of opinion
least is
content of opinion, than a really is just. Our effort to give
of
these two
human indeed so
about
the force of interest and passion, which do
by
skewed
opinion, I submit, is the product is, what men opine is the truth
that
all of us. We aU hear the voice of justice, but the and dulled in the caverns through which it has to reach twisted is meaning us. The force of the rational factor, the intimation of what really is just, is the independent variable that belongs to political science; the force of
deeply
interest
is the
press upon
and passion
architectonic
behavior
do
our
of
the
job is
what we share with
task
the
fascinating
the other
disciplines. But ours blend in actual
task of seeing the
forces. And the only way
we can
evaluating the ought arguments, which are the
factual
rational and subrational
by
stuff of political
is
behavior.
Interpretation
234
My
be illustrated
can
meaning
Aristotle's Politics. The two explains,
division, Aristotle
the oligarchs and the democrats. They have sharply opposed justice. The democrats believe that justice requires the equal office and honors; the oligarchs believe that justice requires
are
opinions of of
sharing
from
example
well-known
a
with
perennial sources of political
inequality. The very first thing Aristotle does is to show what is sensible in both these views. "Both oligarchs and democrats have a hold on a sort of conception of justice"; but their views are incomplete and distorted. distributive justice; the view of believe, is the product of two forces, one the rational intimation of what justice is, and the other the biasing force of interest. In the first instance, their opinion is formed by the portion of the truth that they do in fact see. According to Aristotle, justice does What
holds is
each
each, Aristotle
a skewed version of
to
seems
both a certain kind of equality and a certain kind of in distribution of office and honors. But the democrat, biased the in equality economic social and his position, sees only the equahty side of justice; by the oligarch, biased by his position, sees only the inequality side. Both indeed
require
democrats justice
ity
by
on
oligarchs
and
their respective
in their
point
one
are partially blinded in their conceptions of interests. Thus, "the oligarchs think that superior wealth
case
democrats believe that equality in birth means equality all
superiority on all: the for instance, that of free
means
one respect
they have only
round."
partial and
hence
and
judging
special
distorting
The
erroneously, in their
reason
justice is that
opinion of
u
case,"
own
"they
is, in
that
are
this
judging,
the light of their
interest.
Democratic
and oligarchic
ally
perceived and of
see
all
important
tinguish the
In
are a
The task
"values."
can explain political
inextricably
blend
of
blends
analysis, interest
ration
and
is to
to dis
and reason are
determining
a part of
The true foundation
justice
of political science
such
precisely
their just share of influence in
upon
rational and
as
a proper political
Evaluation is thus
dependent
opinions, then, rationalized.
opinion
political
elements.
each assigned
opinion.
interest
the
content of
explanation; facts
are
of a political science that
behavior is the capacity to distinguish between the
the rationalizing, between the sound and foolish
and
fraudulent
parts of opinion.
Now before assert
most
that we of
is turned
everyone
all act on
that
claim
off
by this astonishing claim, let me day in our work. Unfortunately,
every
the time it is done covertly; but that is
political scientists analyze patterns of aggressive
of
violence,
they
behavior that is almost
say they
presuppose neither
presuppose
The Politics of Aristotle, 1962). The
quotations are
knowledge
aggressive
ed.
nor
knowledge
of what
another
behavior
story.
of
a
the right behavior
sort
of
chapter
9.
When
the question
timid but just right;
is, i.e.,
one might
Aristotelian
Ernest Barker (New York: Oxford
from Book III,
or
mean.
University Press,
The Dependence of Fact
Analysis
of ghetto riots and of
"Value"
235
upon
"backlash"
similarly presupposes normative behavior has to be discriminated into categories of ordinary criminality and political militancy; i.e., the behavior has to be judged as either self-seeking or vicious or as justifiable and manly
knowledge. For example,
wrath.
And
what
riot
happens to the fact-value distinction
"backlash"
means
For example, in
a
respondent would
an
unjustified
or
excessive
when
hostility
or
the very
word
punitiveness?
survey study of backlash, every characterization of a involve a normative judgment. In short, all important of behavior rest upon tacit premises; and if the "value"
empirical analyses
value premises can
conclusions.
You
have
can't
normative score card.
no objective
validity,
neither
can
the
empirical
teU one factual datum from another without a
