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    Undertaking Literary Study

    April 10, 2024 by Will Morrisey

    John Guillory: Professing Literature: Essays on the Organization of Literary Study. Part Two: “Organizing Literature: Foundations, Antecedents, Consequences.” Chicago: University of Chicago Press, 2022.

     

    From his discussion of the purposes of literary study in the first part of his book, Guillory turns to the matter of how literature has been defined. An “epochal change” occurred at the beginning of modern life, and he intends to show what it was and what its effects have been, not only on literary study but on the humanities as a whole. The objects of study themselves have changed, and along with them the ways in which those objects have been taught.

    He begins with art historian Erwin Panofsky’s 1940 essay, “The History of Art as a Humanistic Discipline.” Panofsky distinguishes between “documents” and “monuments.” Documents are “all those artifacts or traces of human making, action, or thought surviving into the present.” Monuments are the subset of documents that “have the most urgent meaning for us at any present moment, that most demand our recognition of study.” In literary study, documents range from Shakespeare’s Last Will and Testament to The Tempest. But only The Tempest is monumental. What has this to do with ‘the humanities’? It has to do with them because to study in a field called ‘the humanities’ one ought first to consider what a human is. Man is “the only animal to leave records behind him,” Panofsky writes, “for he is the only animal whose products ‘recall to mind’ an idea distinct from their material existence.” Such “records left by man” are often, though not always, intended to last beyond the lifetime of the man who made them. The “humanistic disciplines” belong “in the field of a long temporality, not that of memory but of memorialization,” as Guillory summarizes: “the domain of ‘culture.'” 

    Panofsky then establishes a second distinction, that between the humanities and the sciences. Scientists make their observations by using “instruments which are themselves subject to the laws of nature” they investigate. What they investigate is “the cosmos of nature,” something not constructed by man. Humanists use documents as instruments for the investigation of other documents, studying the notebooks of Leonardo to better understand his sculptures and paintings (or vice-versa). Humanists often then produce their own documents, recording the results of their investigation into the documents they have studied. Thus, humanistic study differs in its objects from scientific study, ‘ontologically’: “If documents existed in the natural world, it would be as though light could report on its own speed.” But that report might be false. Documents “do not bear with them the assumption of truth telling, as do scientific instruments, which are designed to say only what they must say,” assuming the scientist really wants to know, not to distort or conceal. Panofsky can see the difference between the sciences and the humanities as a radical one because modern science has redefined ‘matter’ as something “that eludes natural languages altogether and bears little relation at all to the perception of matter on the macro scale of the human sensorium.” In the higher, or at least the most obscure reaches of science, words fail us.

    As mentioned, some documents are also monuments. The word ‘monument’ derives etymologically from the Latin monera, which means “calling to mind.” They “make a particular demand upon us, whenever in human experience, past or present, that says ‘Remember me!'” Admittedly, one scholar’s monument is another’s document, “and vice versa”; “the condition of reversibility between document and monument obtains for all the objects of study in the humanities,” as a historian of the Renaissance might use Michelangelo’s Pieta as a document, while an art historian might use the historian’s history as a document that aids in understanding the Pieta. It should be noticed that this reversibility can deceive, as seen in Burckhardt’s Civilization of the Renaissance in Italy. There, the historian so to speak ‘folds Machiavelli into’ the Renaissance, obscuring the fact that Machiavelli aims at revolutionizing the Renaissance, not only by undermining the Catholic Church and Christianity itself but by undermining Renaissance humanism, including the way in which the literary classics beloved by the humanists were studied. [1]

    Treating a document as a monument implies a choice, since monumentality “crowds out other contenders to the margins or to obscurity”; Medusa-like, one statue might seem to turn another statue into mere stone, although in fact we are the ones who select the one over the other for our attention. (Critics can act as Medusas.) Whether considering documents or monuments, whatever the interchange we choose to make among them, “the humanities have an institutional home.” To have an institutional home is to have a regime, and the regime also ‘chooses’ what it holds up as a monument, and what it classifies as a document, as when it orders the removal of Robert E. Lee from his pedestal and places him in a warehouse, consigning him to documentary status, only.

    What, then, do the documents, whether monumental or ordinary, tell Guillory about the epochal change undergone by literary study? That change saw “the demise of rhetoric” as the centerpiece not only of literary study but of education generally, a discipline undertaken principally in Latin. Classical rhetoric consisted not only of speaking with force and elegance but of “the full array of pedagogic techniques for raising language to the level of a formal practice, what in Greek culture was called a technē and in Roman an ars.” While rhetoric had its critics among the philosophers, even they did not regard it as bad in itself, as Aristotle and Cicero show; education in Latin (and to some extent Greek and Hebrew) amounted to a words-centered education that comprehended both what we now call the arts and the sciences. “The rhetorical system must be seen as a total program of cognitive-linguistic training, whose parts, though conceptually distinct, were thoroughly interconnected in the actual rhetorical practice of the premodern world.” Central to it was inventio, which wasn’t ‘invention’ in our sense of the term, a form of devising, but a feature of Aristotelian logic described in his Topics, “support[ing] rhetoric as a form of reasoning,” not merely as beguiling sophistry. This suggests that the pedagogy of rhetoric had absorbed some of Plato’s critique of rhetoric. In strengthening the distinctive human capacity to reason, the art of rhetoric was understood to cultivate (‘culture’ in the older sense) human nature, to bring it closer to its telos.

    In this system of pedagogy, the ‘monumental’ registered in the practice of memorializing. For the ancients, memoria formed the basis of education, of rhetoric. Memoria was part of cognitive training. Moderns denigrate memorization as “rote”—that is, of mere parrotlike recitation. But under the pedagogy of classical rhetoric, memory was an art aimed at developing the human intellect, an art of mindfulness, an art that made human beings more human.

    The epochal break came with the promotion of reading and writing at the expense of speaking in the curriculum and the reconception of reading and writing as ‘basic skills,’ a reconception that democratized reading and writing, enabling them to be extended “to the populace as a whole.” This democratization also required that the vernacular languages displace Latin as the means of education, since the populace more readily learned to read and write their own language. “Vernacularization is a condition and a cause of the demise of rhetoric, a force undermining the ‘dead languages’ of antiquity that could not be resisted forever.”

    “But why was rhetoric not capable of vernacularization, leaving Latin behind?” It might have been; after all, oratory in English during the nineteenth century saw Daniel Webster and Abraham Lincoln among its practitioners, both trained under the auspices of a democratized but still largely traditional curriculum, including the King James Bible. But a verbal education did not serve the purposes of the ‘New Class’ of professional managers, who implemented what Woodrow Wilson (himself no mean orator) called the science of administration. “The new scientific and technical disciplines and vernacular language study together displaced the classical curriculum”—democratization for the populace, but underneath a new ‘aristocracy’ that based its claim to rule on the prestige of modern science. True, a part of rhetoric remained: oratory, “an elaborate program for training voice and gesture.” But this was turned to the service of education tailored to the new political regime. As early as the eighteenth century, oratory conceived not only as a means of delivering a speech but as developing a topic, arranging a speech logically and in an elegant style, was being replaced by ‘belles lettres,’ a pedagogy centered on writing, not speaking. Under the belletristic dispensation, speaking consisted of reciting “passages from works of literature”; that is, speaking was increasingly distanced from thought. Public speaking, the art of saying something one’s fellow citizens can judge, began to give way to polite speaking, which meant that speaking was increasingly relegated to civil society, to private life. This may well register modernity’s Machiavellian turn to statism, in which the prince wants to hear no ‘back-talk.’

    “It was only in the later nineteenth century,” however, “when an increasingly writing-based pedagogy converged with the new vernacular curriculum of literary, scientific, technical, and vocational subjects,” a coincidence in which “the complementary relation between speaking and writing was irrevocably altered and speaking ceased to be a mater of any but the most rudimentary instruction.” Speech has become informal, not part of the formation of students. 

    Guillory doesn’t know Machiavelli very well and does not appreciate his importance in the founding of modernity. But he does see the importance of several influential readers of Machiavelli. For René Descartes, memory is a “gift of the mind,” not a capacity to be developed as an important element of educating the human person. (Is there a ‘human person’ for Descartes?) Descartes rejects the art of rhetoric, turning instead to mathematics, to numbers not to words. And in his Thoughts Concerning Education, John Locke denies that reasoning is aided by rhetoric or even (primarily) by logic, which he associates with the Scholastics. “Locke envisions a pedagogical scene in which the effects of rhetorical persuasion are produced by an intuitive practice”—his ‘simple ideas’ or sense impressions, the building blocks of the complex ideas—and “that rests upon a theory of human nature rather than a notion of language art or technē.” This isn’t quite correct, however. The distinction isn’t so much between nature and art as between rival claims about human nature. Classical rhetorical education understood human nature as teleological, art as a means of ‘imitating’ nature and, in the case of education, getting students to imitate the best examples of human being, to get them to grow into full humanity. Locke founds his educational system upon a non-teleological conception of human nature, a materialist conception that aims at getting students to come down to earth, to avoid the word-nets of rhetoricians, whether clerical or statesmanly. Finally, Adam Smith reduced rhetoric and belles lettres to the expression of moral sentiment—again, pushing moral theory away from reasoning.

    But not quite finally. “The most sweeping critique of rhetoric” came at the hands of Immanuel Kant, who called rhetoric “the art of using the weakness of people for one’s own purposes.” Not art but “vigor” and sincerity were what Kant wanted in speech. The anti-Machiavellian Kant thus accepted the Machiavellian conception of rhetoric, the language of the fox, and rejected it for its Machiavellianism.

    “If the Western school was rhetoric, what is it now?” Modern pedagogy centers on a particular kind of knowledge, namely, “information.” Information is “knowledge detached from individual knowers,” stored or transmitted “in symbolic form,” whether as words or numbers. Information informs; it bypasses teaching by one person of another person. It is “knowledge in disembodied form,” depersonalized. One only need access to it. Technē as the imparting of knowledge from master to apprentice becomes limited to the ‘fine arts,’ on one end of the scale, and ‘craftsmanship’ (carpentry, bricklaying) on the other end. It is true that “the very practice by which information is generated, transmitted, and manipulated is itself an art which, by definition, cannot be reduced to information.” But in general modern education, following Descartes, attempts to teach by means of method, not technē in the classical sense. The very term ‘technical’ has come to be defined as methodical. “Always in our society there is an effort to reduce the transmission of an art to the transmission of information.”

    Modern pedagogy replaces comprehension in the sense of comprehensiveness—any “knowledge expressed in language, about any subject,” including both moral and natural philosophy—with “differentiation”—knowledge acquired by learning and applying methods “specific to different kinds of object.” “The emergence of new sciences in the early modern period was contingent on the differentiation of knowledge discourses and the development of new information technologies, such as the algebraic geometry,” the calculus. With this, mathematics became “a language for representing and intervening substantially into this world, not an ideal or Platonic realm of numbers and shapes.” Math became Machiavellian/Cartesian/Baconian, adapted to the conquest of nature. [2] Modern thinkers transformed logic, as well, shunting aside “the old formal logic of the syllogism” as well as the practical reasoning esteemed by Aristotle and Cicero, central to political life, for logics reducible to mathematical symbols, probabilities that could be calculated. This enterprise sharpened the difference between mathematics and what we now think of as the ‘hard’ sciences and ‘the humanities,’ now scarcely considered rational at all. In the classical sense, the humanities have been dehumanized, as seen in the title of José Ortega y Gasset’s The Dehumanization of Art. This brings a characteristic feature of the modern university, and of the modern way of life generally, its specialization of knowledge(s). “Many discourses we now think of as distinct disciplines, such as psychology or poetics or political science,” which once could be understood “within and through rhetoric, as belonging to technē” broadly defined, fit into bureaucratic ‘departments’ because they have become epistemologically compartmentalized.

    Guillory acknowledges one important advantage moderns enjoy over the ancients. The rhetorical system, “rigorous and comprehensive” though it was, “was limited as a means of developing new knowledge.” The ambition to conquer nature, made desirable by the re-conception of nature as manipulable matter with no stable form and no inherent purpose, and therefore unfriendly to man, spurred an effort to learn more about matter itself, a practical interest in knowing one’s enemy. Such knowledge of matter can be accumulated, as Bacon recommended, discovered by experimentation instead of formal reasoning. Bacon’s The Advancement of Learning marshals the techniques of the old rhetoric in order to persuade one of the supreme use of non-rhetorical, non-verbal learning. Bacon specifically redefines inventio as the discovery of “what we know not” instead of “recover[ing] or resummariz[ing] what we already know.” “Knowledge in the form of accumulated information seems to stand outside of the body, as a ‘body of knowledge.'” Disembodied knowledge is knowledge readily manipulated, an “art of devising methods.” Masters of the art of devising methods are the “experts,” the members of the professional-managerial “New Class.” “The new class of knowers was in possession of greater knowledge than all the generations of its predecessors, but at the price of understanding less well than ever the process, of learning, the relation between art and information,” the verbal arts that “stretch beneath and across all the fields of knowledge as their common cognitive foundation.” No amount of information, and no mathematical formula, can teach a student why he should learn.

    With modern research universities establishing themselves, literature professors struggled to find a place in the new regime. Two such attempts enjoyed only fleeting success: belles lettres and philology, which “belong neither to the older curriculum of the arts nor to the current system of the disciplines.” (“The history of Western education can be summed up” in the phrase, “From arts to disciplines.”) Guillory identifies the origin of belles lettres to the 1746 publication of The Fine Arts Reduced to a Single Principle by the philosophe Charles Batteux. In that book, Batteux classified poetry, painting, sculpture, music, and dance as the fine arts, arts which “have in common the intention to give pleasure”—Batteux had Epicurean leanings—which he distinguished from the utilitarian “mechanical arts” and the partly utilitarian, partly pleasurable arts of rhetoric and architecture. G. W. F. Hegel later lent his considerable philosophic heft to this classification. A generation earlier, the French historian and educator Charles Rollin popularized the term ‘belles lettres’ in a work translated from the French into English in 1734, thereby “establish[ing] the idea of belles lettres as a course of study in England.” For Rollin, belles lettres included not only the fine arts but philosophy and rhetoric, too, making it into “a comprehensive system of education,” albeit one heavily weighted to the esthetic genres, those that give “pleasure.” For example, Adam Smith delivered a series of lectures on rhetoric and belles lettres at the University of Edinburg in the 1762-63 term and his former student Hugh Blair published an influential book based in part on those lectures twenty years later. Blair brought the term ‘taste’ into vogue in English literary study (“Latin had no word corresponding” to it), a term then allied with ‘criticism,’ which included the discriminations concerning poetry (John Dryden, the essayists Addison and Steele), of ‘moral sentiments’ (Smith), and civil society (Shaftesbury, Hutcheson). Such thinkers made belles lettres “a way of systematizing judgment across a range of writing genres.” In the commercial and industrial regime late nineteenth-century America, however, such an attempt could not sustain itself as a mode of university study, given the ever-increasing prestige of the sciences.

    Enter philology, which claimed scientific status—an import not from France but from Germany. German Kultur centered on the study of vernacular languages, consonant with the nation-state the Hohenzollerns and Bismarck had built. “The German university successfully transmitted” an even “more powerful ideal to its Anglo-American counterparts: research.” This was indeed congenial to the notion of ‘discipline,’ and also to the sharp division between moral and natural philosophy, inaugurated long before by Hume but institutionalized in Germany as the division between the humanities and the sciences. Philology attempted to mediate between the two. “By giving nations a cultural origin in a common language, philology effectively fused the philosophical [German idealist] concept of culture with that of ethnos” in a discipline that could be understood as empirical. Philology could bring study of the classics, history, philosophy, and literature “into a close relation to current standards of scientific knowledge at the same time that it unified scholarly enterprises within a total view of the history of civilization,” as propounded by such historicists as Hegel, but now within a positivist framework. “In England and the United States, the philologists who trained in the German universities of the later nineteenth century returned to their home institutions with a conception of their discipline more than ever prescribed by norms of scientific investigation, as well as by the turn to vernacular languages.” This put philologists squarely into conflict with belletrists.

    As Hegel might have predicted, the two disciplines did not so much kill each other off as ‘synthesize’ into ‘literary history.’ “By the 1890s, the curricular structure of literary study in the university was organized according to the period concepts of literary history the same period concepts that organize the discipline today.” But in institutional terms, the synthesis was far from complete, as belletrists and philologists stuck to their lasts, continuing to compete with the new literary historians and even the remaining teachers of rhetoric, now reduced to teaching composition classes. The problem for philologists, whose discipline might have seemed the most compatible with the new university regime, was that literature “resisted scientific treatment,” “yield[ing] diminishing returns when applied to literature.” What can philology tell me about Paradise Lost that Milton wants me to know? As a consequence, philology “open[ed] space for a new science of language: linguistics,” which eventually “traveled very far indeed from philology” into the realms of such ‘harder’ sciences as biology and psychology. As for belles lettres, the criticism it fostered now inclined to resist utilitarianism, industrialism, and ‘scientism’ generally, arguing that such disciplines may at best serve but never rule human beings, never support the civility of civil society, never lend prudence to politics. But given the universities’ esteem for the sciences, this has caused literary study to become more marginal to academic life. Tocqueville might well have nodded with approval at the reading clubs that arose in the nineteenth century and continue to this day.

    The reading clubs, consisting of ‘lay readers,’ evidently follow Tocqueville’s understanding of democratization, being democracy’s equivalent of the aristocratic salons. Thus, “the word literacy did not become current until later in the nineteenth century, when the ability to read one’s native tongue was becoming universal” and the study of classical languages declined. Guillory recalls that the Latin word literatus referred “only to someone who read Latin”; one who had no Latin was a laicus, a layman. Initially, this distinction characterized clergy from non-clergy, but also those practicing the professions of medicine and law. Even as the elevation of vernacular languages to professional status began, professionals developed their own specialized ‘languages’ or jargon, deploying vernacular terms in ways incomprehensible to outsiders, as readers of medical and legal ‘literature’ quickly discover. In universities today, this has led to the establishment of ‘composition’ courses intended to teach students to ‘write for business,’ or, as one observer has put it, to “teach students how to write the kind of utilitarian prose they will be asked to produce in their other college classes and later on in their jobs.” Boswell has triumphed over Johnson.

    Even the reading of poetry and imaginative prose became ‘professionalized,’ with the rise of literary “modernism.” James Joyce and Ezra Pound aren’t easy to read. Both polemicized against rhetoric, against writing and speaking that aims at being understood by laymen. Guillory cites Wallace Stevens, who called poetics “the imagination’s Latin,” the new demarcation line between the learned and the unlearned. “A defense of modernism such as we find in Robert Graves and Laura Riding’s important Survey of Modernist Poetry projected a reading public that was rapidly bifurcating into those who were receptive to the experiments of the modernists and those who were resistant, those Graves and Riding called ‘plain readers.'” The adoption of literary modernism by academics subordinated judgment of texts to the interpretation of them, a task that was manifestly more difficult when dealing with the new vernacular literature. Interpretation soon extended to earlier literary works (as seen in William Empson’s Seven Types of Ambiguity), which were discovered to have difficulties of their own, difficulties insufficiently clarified by literary history. “This movement gave birth to a discipline of reading even as it rescued older vernacular literature in English from oblivion.” 

    Today, professional and lay reading divide along four lines: professional reading is work, lay reading leisured; professional reading is disciplined by certain accepted techniques and procedures (which, however, change over time), lay reading undisciplined in that sense; professional reading scrutinizes the pleasure readers take in reading, lay reading simply enjoys the ride, which may or may not include moral edification; professional reading is of, by, and for members of the literary profession, university professors, lay reading solitary or within a reading group, that is, among friends. Guillory regrets that “lay reading so often falls to the level of ephemeral consumption, with no other end than pleasure or distraction”; he also regrets “the mutual incomprehension of these two practices of reading.” Neither of these conditions need be, if professionals will begin to think of reading as an “ethical practice,” that is, the development of character, an ethos reinforcing, and reinforced by a way of life, a Bios ti, itself one element of a regime, a politeia. Guillory distinguishes classical ethics from Christian morality, the former being “a cultivation of the self”—actually, the soul, inasmuch as the ‘self’ is a modern, Montaignian invention—unburdened by “notions of salvation or damnation.” “Lay reading is best understood as a practice that belongs to the ethical domain,” a domain Guillory tends to conceive of in terms of a democratized Epicureanism including “physical exercise, cooking, conversation with friends, sexual activity, or any number of other pleasures which enlarge our experience and enrich our sensibilities,” a “practice of pleasure” that makes pleasures both more intense and “better for us.” Professionals, too, experience such pleasure, albeit in “rarefied” form. To reconceive reading as an ethical practice might have “political consequence,” although it must be remarked that the original Epicureans shunned politics and the first modern political Epicurean was Hobbes, that great despiser of literature, followed by Locke, who advised the father who detected any literary inclinations in his son to move decisively to stamp it out. Admittedly, the American Epicureans amongst the Founders, Franklin and Jefferson, were less unrelenting.

    Guillory isn’t thinking of the American Founders, however. He has his critical sights on New Left literati of the past few decades, who defend pleasure “only when it comes dressed in the garb of a transgressive politics,” only when it has been politicized—that is, moralized, reduced to separating moral sheep from sinful goats. “If the failure of both lay and professional readers to recognize reading as an ethical practice underlies their mutual antagonism and miscomprehension, I have, alas, no program for reconciling these practices.”  Still, “many lay readers very much desire the improvement of their reading experience, a desire that is widely expressed in lay engagement with the other arts as well.” Indeed, but perhaps this receptivity might only be answered by professionals less bent on proselytizing transgressive politics?

    The professoriate is unlikely to reform itself anytime soon. One problem, quite possibly intractable, is what Guillory calls “the democratization of the educational system,” by which he means the refusal of graduate program administrators and indeed of undergraduate program administrators to restrict access to higher education when fewer non-academic institutions want to hire the graduates. Ordinary businesses respond to flagging market demands by reducing supply, by lowering prices, and/or by attempting to (as economists say) ‘creating’ greater demand. Colleges and universities succeeded in persuading potential students and their parent that what they offer is valuable—people still want to ‘go to college’—but the resulting oversupply of graduates devalues the degrees themselves in the eyes of the marketplace. This might turn out to be a good thing: “I would like to think that the devastation of the job market might liberate students to pursue whatever mot interests them.” I would like to think so, too, but, as a critic once said, if wishes were horses, beggars would ride.

    The European model of the research university makes sense if you run your university as the Europeans do—by being undemocratic, restricting admissions to students who are ready to learn, thus freeing professors to teach good students and conduct research, as well. Otherwise, one gets a two-tiered faculty; senior, tenured researchers with a few good students combined with part-time people who do the grunt work of teaching the masses. Guillory holds up the example of the “composition course,” wherein junior faculty teach writing in the “new professional, managerial, bureaucratic, and technical settings,” which has largely jettisoned the inventio of the old rhetoric instruction, “the finding of arguments.” But students learn how to write by reading good books, by following the reasoned thought of writers who know how to think. Not enough of that gets done, anymore, and the composition courses are reduced to the application of rules—that is, to the managerial, the bureaucratic, and the technical. Guillory supposes that removing grades from freshman composition courses might “de-inhibit writing,” get it away from the dreary grind of such pedagogy, although it might also (probably would?) de-inhibit working, too. He also wants English departments to reach out to the field of “communications studies,” to widen their ‘market’ by allying with those who teach the non-written ways in which human beings signal one another. That might work as a business model, but in doing so it blurs the distinction Aristotle sees between human beings, who speak to one another, and birds, which merely call.

    And this isn’t what Guillory really wants, as he shows in his concluding chapter. What is literary study for? Once settled, how shall that purpose be attained? What sort of curriculum is needed? And how shall teachers balance the various elements within that curriculum?

    “The study of literature is a rational procedure for establishing what can be known about an object,” a “discipline,” not “an ineffable expression of taste or the intuitive cultivation of sensibility.” Its purpose is knowledge, presumably about things worth knowing, as identified by the rulers of the university regime. (As with all regimes, there are better and worse.) A discipline or way of life in a regime requires a plan, in the case of the university a plan of study or curriculum, as outlined in a variety of thinkers, including Erasmus, Bacon, and Vico; the contrast between the curricula of Erasmus and Bacon reflects the difference in the regime purposes of each. In language, “the knowledge that was foundational for this structure was the ability to read, write, and speak Latin (or sometimes both Latin and Greek”), but “this linguistic coherence disappeared from the educational system with the venularization of learning”—fortunately, not quite an Ivory Tower of Babel, in part because Latin remained de rigeur (as we vernacularists might say) in the sciences for a long time, and partly because mathematical science began to tie the system together, across national boundaries. Given vernacularization, literary study can no longer be unitary but it can be coherent if its practitioners think in an orderly way. 

    Guillory begins by identifying five “rationales” for literary study: linguistic/cognitive, moral/judicial, national/cultural, esthetic/critical, and epistemic/disciplinary. Linguistic/cognitive literary study establishes a parallel between writing and speaking, with writing being speaking’s “companion art,” a means of formulating an rational argument, or at least a persuasive one, before you open your mouth. The Greeks understood arts to “refer to cognitive abilities and not to the objects that such abilities might bring into existence”—forming a plan for your statue and a rational means of realizing that plan. Teachers of literature “no longer see what we do, even though we have always been engaged in the transmission of this art.” Since “no one can deny the importance of language arts among the modes of cognition,” of reading before we write, listening before we speak, and thinking while we do all of those things,” an effort to recover the way of the ‘ancients’ might yet regain momentum, energeia. 

    “The moral/judicial rationale is as old as the linguistic/cognitive, but it subjects the accumulation of writing to greater selection; the judiciousness of its designers gives students a praxis to emulate.” “The occasions of rhetoric in ancient Greece—the forensic, the deliberative, and the epideictic—largely involved moral judgments, expressed in highly structured arguments.” It is the purpose of presenting moral/judicial arguments to students that discourages mindlessness or, as Guillory more courteously puts it, “defaults” to judgment’s “intuitive base, where it often echoes contemporary norms and biases.” As “teachers know,” or once knew, “the impulse to judge characters in literature is difficult to resist and that it often precipitates judgment of the work,” making readers “heavy-handed,” inducing them to indulge in “an overwriting of the literary work by unexamined moral attitudes.” Guillory hopes that the (to us) immorality of the “moral norms” that informed the earlier societies which characters in that literature often exemplified will prove “the motive for a deeper inquiry into the historicity of moral precepts.” But if historical relativism prevails, what good does it serve, and why is that putative good not itself an artifact of ‘history’? And if current “moral norms” are historical artifacts, how would one justify changing them, as Guillory evidently wants to do, regarding literary study? 

    The national/cultural rationale for literary study obviously addresses politics, regimes, more directly than any of the others, although all of them have political implications. Vernacularization of literary study went with the formation of modern states, particularly of ‘nation-states,’ as seen in (for example) Machiavelli and Montaigne. “The notion of the ‘transnational’ that literary scholars favor at present”—notice that the question of historicism persists—is “at once a repudiation of the ‘national’ and at the same time an invocation of it.” That is, it might decline toward a universal ‘culture’ under a world state or a demand to treat all ‘cultures’ equally, or a claim that one ‘culture’ is superior to all the others (yesterday, Germany, today, China, in practice if not in theory, America). “Literary study can only liberate itself from its bond to national languages” (again, because that’s the current fashion?) “by thinking through its own origins.” This returns Guillory to Panofsky’s distinction between documents and monuments, preservation and canonization. “Let us admit that cultural production today is no longer principally constituted by works of literature”; this notwithstanding, there is a new universal language, English. “To whom does Shakespeare belong?” To anyone who can learn English and then learn in English but ‘making it his own’—but there’s the rub. Ezra Pound appropriated Confucius in the service of Italian Fascism. That is, the liberation of literary studies from its bond to national languages, or the universalization of one of those languages, will not settle the regime question.

    Can literary study attempt to float above the regimes altogether? Guillory recalls the origin of ‘aesthetics’ in a study by the German philosopher Alexander Baumgarten, who flourished in the eighteenth century. In his Aesthetica, Baumgarten took the Greek word, aisthesis, meaning sensibility as “sensory experience,” and elevated it to our contemporary meaning, the refinement of such experience, setting standards for it, in relation both to nature and to works of art. Esthetics shifts judgment from an appreciation of form as it relates to ethics to an appreciation of form alone. In the hands of Kantian ‘epistemology’ (another coinage derived from Greek, appearing a century later), this “sacrifice[ed] the objective status of aesthetic judgment” by asserting that esthetic judgment is “without concept.” Such a conceptless conception militates against Guillory’s argument for the rational practice of literary study, unless he recurs to historicist doctrine as the authoritative framework for rationalism. Recent history tells him that “the waning of literary culture is a ‘media situation’ that is probably irreversible,” turning literature into yet another form of “entertainment.” And to view literature as entertainment, alone, means that there is little point in reading anything that takes effort to understand. This again suggests that the democratization of literary study proceeds apace.

    Guillory’s fifth and final rationale for literary study, the epistemic/disciplinary, pushes against the reconception of literature within the limits of entertainment alone. “Literary scholarship is most definitely a form of knowledge,” but it is knowledge quite different from that pursued by modern scientists. Literary knowledge does not accumulate, except insofar as it is knowledge of literary history. For this reason, “scientists do indeed wonder whether disciplines such as literary study produce knowledge” at all. In their terms, it doesn’t, or doesn’t produce much. “Arguments in literary study” not only contradict each other, as scientific hypotheses do, but they cannot be confirmed “in the manner of scientific hypotheses,” by experimentation. In reply, Guillory “want[s] most to bring to light…that the articulation of understanding can be communicated a knowledge but not as fact.” Accumulating facts is one thing, understanding them another. By understanding, Guillory means the kind of knowledge that says, “I know what you mean.” “The proof of that knowledge is the ability to articulate understanding—to say, in other words, what you mean.” That is, literary scholars and all students of literature intend “to express their understanding of literary works in other words, that is, their own words.” In doing so, they integrate those works into their own souls, first by understanding them as their authors intended them to be understood (the proper understanding of ‘historicity’) and only then by subjecting them to assessment, to judgment, to ‘critique.’ In this, literary study can contribute to what the litteratteur/philosopher/scientist Francis Bacon calls “the advancement of learning.”

     

     

    Note

    1. See Harvey C. Mansfield: Machiavelli’s Effectual Truth: Creating the Modern World. New York: Cambridge University Press, 2023. For discussion, see “What Is ‘Effectual Truth’?” on this website under the category, “Philosophers.”
    2. On the philosophic significance of the calculus, see Jacob Klein: Greek Mathematical Thought and the Origin of Algebra. New York: Dover Publications, 1992 [1968].

     

     

    Filed Under: Manners & Morals

    What Is the Point of Studying Literature?

    April 3, 2024 by Will Morrisey

    John Guillory: Professing Criticism: Essays on the Organization of Literary Study. Part One: The Formation and Deformation of Literary Study. Chicago: University of Chicago Press, 2022.

     

    A skeptic might wonder if, by “professing criticism,” Professor Guillory means that professing criticism is all English professors really do, without ever getting around to criticism itself. But he doesn’t mean it that way, exactly, and it would be odd if he did, since criticism sometimes seems to be about all many such professors now do, using their authority, such as it is, to issue ‘critiques’ of modern societies, critiques informed by a variety of egalitarian sentiments. 

    Guillory rather intends to consider “an unresolved problem in how literary study understands its purpose.” Should works of literature be studied at university or criticized? Or both? To study, one must first establish a “discipline,” “identify[ing] objects of study by differentiating these objects from others, by specialization”; a discipline is a discipline by virtue of its implied command, ‘Stay in your lane.’ Study requires no university framework, nor indeed an institutional framework of any kind. A student of literature or of physics might even prefer to be a lone wolf. A profession does require such a framework because a profession sets “the requisites and perquisites common to all the disciplines,” with the expectation that all members of that profession will adhere to them. Readers of Plato will understand this as a political-philosophic question, the exigencies of political life (reverence for the gods of the city, deference to the rulers and the laws) versus philosophers’ desire to know and therefore to inquire, to question human rulers, gods, and laws. In modern tyrannies, this tension becomes acute; modern commercial republics have attempted to resolve the matter by establishing liberty of speech and the press, but universities—regimes within the larger regimes—have their own set of rulers and ruling institutions. To “profess” literature, to speak and write within the ruling institutions of a university, may be to collide with the university’s regime, which may want to define scholarship in ways some scholars do not want to follow. 

    To this perennial problem, literary study has added another, a problem of self-definition. Literary study, the discipline, has become a profession, but it didn’t start out that way. In earlier modern centuries, those who studied literature thought of themselves as literary critics. And before that, those who studied literature considered themselves rhetoricians, or philosophers, or sophists. “The discipline’s enthusiastic embrace of professionalism” in the past hundred years or so “betrays an ambivalent relation to its amateur past.” “The essays in this book consider how literary study has been organized, both historically and in the modern era, both before and after its professionalization.” After all, if literary scholars cannot clearly define what they do, how shall they defend their position within the university regime? In the early twentieth century, scholars labeled what they proposed to do in the university with “a surprising array of names: philology, belles lettres, rhetoric, literary history,” before finally settling on “a new name,” “literary criticism,” after the Second World War.

    This is, then, a political question. Guillory addresses it sociologically, however. Sociology focuses on subpolitical categories, while inevitably bringing political considerations in, albeit with insufficient clarity. In this book, one hears about Weber and Veblen, but not Aristotle (except for the Poetics), Tocqueville, or Machiavelli. Tocqueville would be especially helpful, since his analysis of democracy as the ruling condition of civil society remains unsurpassed and supremely relevant to what literary scholars have been doing in modernity. But this caveat should not deter anyone from learning from Guillory’s immense erudition and formidable analytic strength. He knows what he studies and professes, better than just about anyone else. And he does use at least one political term, calling “the perpetual churn in literary study” a “constant revolutionizing of its methods and objects.” Regime change, indeed.

    “Literary study in the past did not take the form of a professional activity at all; for most of its history, literary study was a set of practices with many different sites, both within and outside the university,” ‘professionalizing’ itself only in the late nineteenth century, “and then only fully after the First World War”—that is, with the rise of Progressivism, a movement addressed by and in large measure to, the expanding class of persons who thought of themselves as ‘professionals.’ “The theory and practice of professionalization was a hallmark of the Progressive Era, when the university gathered an extraordinary number of disciplines and professions within its pale, organizing them in the bureaucratic form of the ‘department'”—bureaucracy (somewhat contradictorily) at the service of historical movement toward ever-increasing social egalitarianism being Progressivism’s signature. By professional, Guillory doesn’t mean, merely, someone who gets paid for what he does—a professional wrestler, for example. Earlier specialists in literature “achieved great visibility and influence without depending upon academic credentials”—in England, Carlyle, Arnold, and in America Emerson; “they were in that sense truly amateurs, representatives of the common reader,” possessing “a kind of expertise that was self-authorized,” founded on public recognition. Later scholars and critics committed themselves to “the ideal of professionalism,” that is, recognition within the institutional setting, the regime, of the university, which requires credentials. 

    To be accepted within such a regime, literary criticism needed redefinition. No longer a “practice of judgment”—how shall a bureaucracy assess that?—it became a “method of interpretation” focused on a “proper disciplinary object,” in this case “the verbal work of art.” As a method, it made sense, at least marginally, to the university administrators; interpretation sounded sort of scientific, or at least something that could make a claim to know. Famously, the kind of knowledge claimed by post-World War II literary scholars proved unsatisfactory to administrators after the administrators’ student population deemed it ‘irrelevant’ to the social and political controversies of the late 1960s: sexual liberation, psychedelic drugs, and fear of getting shot in a rice paddy in Southeast Asia (a fear dignified by the term ‘anti-imperialism’). In response, “the discipline and its institutional structures, especially the curriculum, were reimagined as surrogates for the social totality,” an ambitious claim indeed, which Guillory kindly calls “the profession’s overestimation of its aims.” But at this same time, not only the well-calculated irrationalism of the New Left but “the proliferation of new media” has “displaced literature itself from its historical position as the premier medium of entertainment and edification.” Guillory cogently remarks, “It does not matter how politically ambitious the aims of literary study might be if literature itself continues to contract in social importance.” The ‘social-activist’ turn in literary study brings the discipline to the bar of its “real effects in the world,” a “position of justification by faith,” which he doubts to be “either warranted or likely to sustain the discipline in the future.” This may then be what educationists call a ‘teachable moment’ for teachers of literature, and Guillory undertakes “to give an account of the profession’s formation and deformation according to a guiding principle of what the Greeks called parrhesia, or speaking the truth freely.”

    Every regime features a way of life that tends to produce a characteristic human ‘type.’ In Guillory’s preferred sociological terms, “all professional formation is also, by necessity, deformation,” not necessarily in a pejorative sense but indeed as a necessity of mastering the task. The hand of the dyer gets stained; the back of the scholar, leaning over the book on the table, gets hunched. And of course these habitual behaviors form and deform minds at least as much as bodies. This is true of scholarship pursued in solitude or within the university bureaucracy, that “highly organized, even byzantine form of collectivity.” Bureaucracies ‘compartmentalize’ human activities, thoughts, habits; “the fact that the division of knowledge during the nineteenth century into ever more specialized disciplines necessitated the reorganization of university faculty into departments, the most conspicuous feature of our institutional geography.” A type of human being called a ‘clerk,’ closely aligned to ‘clericalism,’ could be described by Nietzsche as zealous, serious, and even furious; this character hasn’t gone away but it has adapted itself to the universities’ turn “away from the church.” “Literary study is not alone among the humanistic disciplines in its struggle to define a social mission that would justify its corporate identity as a profession or to resort to overestimation as compensatory response to uncertainty of aim.” And as Nietzsche well knows, scholars are not philosophers; they are oxen, plodding over the field of knowable things, at best directed by philosophers or, as likely, followed by philosophers who harvest their gleanings. In Nietzsche’s formulation, however, philosophers imitate life itself by partaking of life’s universal will to power, a doctrine that distorts Plato (Guillory cites the superficial Hannah Arendt on this, with altogether too much credence) and deformed Heidegger (fair enough). The problem of deformation, Guillory maintains, in philosophy or in any other discipline, must be “redressed by a better estimation of philosophy, as of any scholarly discipline.” (Yes and no: a better estimation than Nietzsche’s, to be sure, but not an estimation that fails to distinguish philosophers from scholars—in this instance, from professors of philosophy or, to use an older word, philosophes.) 

    Returning to the Progressives and their distinctive kind of bureaucracy, Guillory cites the “new professions [that] both displaced and transformed the system of the three ‘ancient’ (that is, medieval) professions” of law, medicine, and divinity. As Plato almost says of the idols of the cave, “it is difficult to see through the professionalization of literary study to its long prehistory”; “almost” because the Platonic ascent rises to nature, not to history. Guillory presents an “epochal break” whereby “claims to professional identity b a proliferation of new technical and managerial workers effectively entailed a reconceptualization of cognitive labor itself,” a reconceptualization “expressed in a great burst of theorizing that lasted from the later nineteenth century until the Second World War.” That theorizing, it should be seen, consisted precisely of a shift in political thought that mirrored a prior shift in philosophy, the shift called ‘historicism,’ replacing both Biblical commandments and natural right as the source of moral and political principles. Guillory here cites Kenneth Burke, who, although no Edmund Burke, understands clearly enough that “a society’s ways of life affect its modes of thinking, by giving rise to partial perspectives,” which both form and deform citizens. Guillory provides the necessary application: in “much Progressive Era theory, the professional organization serves as a model for society itself.” As both Burkes, Aristotle, Progressive stalwart John Dewey, and many others acknowledge, “all education can be understood as a process of habituation, the embodiment of knowledge,” and “what one learns changes one’s behavior, but it can also induce a maladaptive hardening of behavior over time.” Progressives especially concerned themselves with inculcating expertise, wielded by (in Woodrow Wilson’s phrase) “experts in the relations of things,” prepared to coordinate the relations of those “things,” including persons, in the march toward social justice as they conceived it. “This ideology of professional expertise is in some ways as constitutive of modernity as the rise of the natural sciences,” and indeed conceives the ‘social sciences’ and at times the humanities along the model of experimentalism at the service of the mastery of nature and of ‘fortune.’ Dividing intellectual from manual labor, professionalism animates “a new class” of professional managers, which “arrogates ‘intellectual’ labor to itself,” and thus moral and political authority to itself. Although Guillory finds “the explosion of professions in the Progressive Era” “difficult to explain,” that may be because he considers neither Machiavelli (and following him Bacon), whose prince knows how to “master Fortuna” by the means of the lion and the fox, nor Tocqueville, who traces the longue durée of democratization. If the professions valorized by Progressivism as instruments of historical progress toward egalitarianism have proliferated, this registers the modern philosophic attempt to rule nature combined with the modern philosophic esteem for equality; the ambition to rule according to the dictum, ‘Knowledge is power’ and to ‘democratize’ the ruled, simultaneously, requires the expansion of professionalism to disciplines well beyond the medieval trinity.

    For literary scholars, the problem has been that their discipline “was not an easy fit for the university,” so reorganized. “The establishment of new disciplines in the university system, and their ultimate bureaucratic organization into departments, was premised on a normative conception of knowledge identified with what the age called science.” Science meant not only natural science but “other forms of empirical investigation, such as history and philology,” both of which had to do with the study of literature. As scholarship generally became increasingly institutionalized within universities, “many nonscientific professions came increasingly to imitate the scientific form of knowledge production through disciplinarization, that is, by the strategy of locating the production and reproduction of their expertise in the university,” as universities “brought the professions into permanent fusion with the system of the disciplines, which in turn transformed the university itself.” In the United States, in the eighteenth and well into the nineteenth centuries, colleges had trained clergymen and coated the sons of commercial and industrial entrepreneurs with “the veneer of European civility.” American gentry, so formed, returned to the enterprises of their fathers, or invented new ones, but had no substantial bureaucracy to enter and so needed no education to fit them for it. When philosophic doctrines of historicism, democratized as a reader of Tocqueville might anticipate, turned the universities away from Bible-based theology and natural rights-based civic life, there was no political class to resist them, to guide democracy away from them, as Tocqueville had hoped his own aristocratic class would do. Thus, “in the era of the great university presidents—Charles William Eliot of Harvard, Danield Coit Gilman of Johns Hopkins, Andrew Dickson White of Cornell” (one might add Wilson at Princeton)—the “Latin and Greek curriculum was replaced by the system of electives, which permitted specialization directed toward a career” and also permitted professors not only to teach but to do research. “These professors acquired sophisticated new conceptions of research in part as a consequence of study abroad, primarily in the German universities.” The American universities (and, under Dewey’s influence, high schools and elementary schools) taken together amounted to “a new kind of school,” one committed not to transmitting the principles of the existing regime to subsequent generations but to move toward a new regime altogether, one founded upon the new, historicist principles. Under this new dispensation, literary study could thrive in the universities under the rubric of philology, the scientific study of language. “But this was only a temporary rapprochement” between literary study and the ‘harder’ sciences.

    Fortunately for the status of literary studies in the university, not science itself but professionalism became the authoritative criterion for inclusion in the new regime. “Social authority” “came to be based on the very institutional and cultural forms science had helped to establish: the professional association, the academic discipline, the department, professional and graduate schools, the higher degree”; “in the end, professionalism triumphed even over science.” “Knowledge workers” have become “a new ruling class,” and as that class invents more new technologies that enhance their rule, more wealth, prestige, and political power accrues to them. All regimes have rulers; all rulers make claims to rule, upholding some idea of justice and maintaining that they know how to obtain it. Rule by experts maintains its authority by defining professionalism in terms of cognitive or abstract work, by asserting a specialized knowledge that excludes non-experts from the work of rule, by organizing ruling institutions, including publishing enterprises that make their principles and practices known to one another and to the general public, along with professional organizations and educational institutions, by establishing bureaucracy as a main arm not only of government conventionally defined but in education and in ‘private enterprise’ (the business corporation), and finally by “ideologies of social presentation or legitimation” such as “public service” (a nod to democracy by the undemocratic) or, even more pointedly, by means of such locutions of ‘being on the right side of history’ and indeed on the ‘cutting edge of history,’ and the now-familiar ‘diversity, equity, and inclusion’—all within the bureaucratic institutional framework peopled by the new ruling class. Commerce and industry can thus be brought to heel—more readily than one might suppose, thanks to their own bureaucratic structures peopled by university graduates saturated by historicist ideologies.

    Within those universities, given the material difference between “a new and potentially lucrative discovery in chemistry” and “a new reading of Joyce’s Ulysses,” “much depends on the maintenance of professional identity” among those who produce the latter sort of thing. Such professionalization “insulates some kinds of knowledge work to a certain extent from the volatility of the market,” seldom kind to new readings of Joyce’s Ulysses. To keep literary studies in the same institutional setting as chemistry, physics, and biology requires not only a claim to professionalism, however, but an additional claim not to commercial or industrial benefit, which would be supremely implausible, but to social benefit. And this, too, is only somewhat less tenuous. To the rescue comes the ‘market’ within the universities themselves, where the humanities have competed fairly well with natural and social sciences in terms of ‘customers’ and ‘products’ —the “number of students taught or books published and, ultimately, to a measurable index of institutional reputation.” Three consequences follow from these circumstances: “standardized, universalized, ritualized, and above all compulsory” professional standards such as academic degrees, attendance at academic conventions and conferences, and publications; the attempt to innovate (fitting well with Progressivism); and the “professional profile,” most notably “the ability to analyze or make complex arguments, in spoken or written form.” For professors of literature, this has issued in “desires to effect change directly through the critique expressed in literary criticism.” And this leads back to the problem of “overestimation” of the value of literary studies and criticism, or what an advertising man would call ‘puffing.’ Among academics, however, puffing is very close to professing, and may often be done with considerable sincerity, if not naivete. This can be a problem, since literary study now calls itself literary criticism, and “no other discipline” than literary criticism “incorporates the concept of criticism into its name.” Puffing and criticism rest uneasily together, given the inclination of the criticized to answer with critiques of their own, and given the occasional inclination of critics to criticize themselves. “If criticism is a kind of Archimedean lever by which literary critics hope to move the world, it must be a wonderful device indeed, wherever one stands in order to push down on this lever.”

    Where, then, shall the literary critic stand? What is “the particular field of professional expertise” where he “plants his flag”? After all, the professional training of literary scholars “by no means confers upon literary scholars the authority to speak on social and political matters in public venues,” a point about which no less an eminence than Joseph Schumpeter groused about back in 1942, calling literary criticism the “profession of the unprofessional”—a palpable hit, indeed, if one makes much of one’s professionalism, as literary scholars and social scientists like Schumpeter must alike do, if they profess within a modern university.

    Criticism came to sight in the late seventeenth century as “the name of a genre of writing” in which writers judged plays and poems, usually in prose but occasionally in poetry, as Alexander Pope did. As the eighteenth century saw Enlightenment philosophes coming to the fore, and as the nineteenth century saw the acceleration of the movement toward ‘democracy’ or social equality, criticism ranged afield, eventually to critiques of “society itself.” This attracted no stern objections until literary criticism “competed for territory among the academic disciplines,” as it was compelled to do in the decades before Schumpeter published his riposte. Guillory hastens to say, “I do not believe the criticism of society is the province of any particular discipline, much less that it can be institutionalized in departments of literature”; “criticism is the privilege of no one discipline and the obligation of all.” Other university denizens are less ‘inclusive.’ Yet criticism implies a criterion or set of criteria for judgment. What will that be, for literary scholars?

    At the time literary criticism had established itself outside the universities, formidable Samuel Johnson had defined its task as “to establish principles,” thereby “improv[ing] opinion into knowledge” with his essays in The Gentleman’s Magazine. Although Guillory does not mention it, Johnson was speaking in Platonic terms, the ascent from opinion to knowledge of nature being the philosophic ascent, the ascent from the Cave. A ‘discipline’ indeed, as Plato himself makes plain in his Letters. [1] In a sense, the ‘caves’ of Europe had multiplied by Johnson’s time, as many clergy and statesmen alike had separated their regimes from the Catholic Church, causing Bibles to be translated into vernaculars; literary critics, for their part, wrote in the vernacular on literary works written in the vernacular. The reign of Latin had weakened and would weaken still more. 

    Johnson’s life ended shortly after the United States of America gained independence from his sovereign. As in England and in Europe generally, American literary critics operated outside of academia for the next century, but when the study of literature gained entrance into the universities, “the classically trained teaching corps of the university system had to be recommissioned for the new vernacular curriculum.” Between the world wars, universities welcomed many of the literary critics to their faculties, “whatever their credentials.” This meant that literary criticism “became an academic profession before it became a discipline.” The critics professionalized themselves by formulating a method of interpretation, the most successful being the New Criticism of John Crowe Ransom at Vanderbilt, later at Kenyon. Ransom “made the stakes of the procedure explicit: ‘Rather than occasional criticism by amateurs, I should think the whole enterprise might be seriously taken in hand by professionals.'” This amounted to a challenge to the scholars, by now primarily literary historians; the New Criticism insisted that a literary work be interpreted within the framework of the text itself, not as a token of the ‘time’ in which it was written. Although Guillory describes the literary historians as positivists, one might more cogently describe them as historicists, meaning historical relativists—having derived their intellectual assumptions from the several neo-Hegelian doctrines then taught in the graduate schools, the philosophic framework of Progressivism. Ransom and his allies often resisted Progressivism not only in literary study but also in politics, as seen in their collection of essays on social and economic topics, I’ll Take My Stand.

    By the years subsequent to World War II, literary and social critics independent of the universities had dwindled in number, the “New York Intellectuals” being the most conspicuous holdouts. Historians and textualists papered over their differences and proceeded to school the Baby Boomers. But “the postwar settlement was fragile: the merger of criticism and scholarship drove the criticism of society underground, as the cost of compromise.” Pressured by the New Left, and at the same time getting a bit bored with what they were doing (“endlessly repeated celebrations of great literature”), the literary professoriate welcomed “the reassertion of criticism,” and indeed of criticism of topics well beyond literary forms. If neo-Hegelianism galvanized the professors of the late nineteenth and early twentieth centuries, neo-Marxism or ‘cultural Marxism’ galvanized the younger scholars in the universities, soon joined by the New Leftists who had escaped conscription by going to graduate school. (New Leftists began as critics of academic professionalism, as seen in Tom Hayden’s 1962 Port Huron Statement, but quickly adapted to university forms upon getting gainful employment—tenured employment, at that.) New methods were needed to maintain this professional status, and there was no shortage of those, thanks to prior efforts by European leftists, among whom Jacques Derrida, armed with ‘deconstructionism,’ was perhaps the most popular initially, although feminism to some extent eclipsed it. “At present, theory is disseminated largely by means of anthologies that offer theoretical approaches to interpretation, like choices on a menu (I invoke the banal simile to underscore my point).” As a result, in literature departments today, “criticism is what we really profess,” “claim[ing] to wield an Archimedean lever,” “want[ing] to rule the world.”

    As Guillory satirically puts it, this combination of university requirements and perquisites—a quasi-aristocratic status—and taking one’s stand on the Left, for ‘democracy,’ means that “the professional career of the scholarly critic today functions simultaneously as a covert prophetic career.” Guillory hastens to remark that this is indeed literary criticism is “a spurious form of prophecy, the religious trope by which Weber grasps the politicization of the lecture hall and of scholarship,” warning, as Weber put it, that “the prophet and the demagogue have no place at the lectern,” that they belong out on the street, haranguing passersby. In Weber’s Germany, things of that sort would get noticeably worse before they got better, a point one may take when considering the universities today, although for the moment Guillory considers academic prophets to be animated by “the scholarly imaginary.” Taken by themselves, yes, but when backed by the administrators, they influence the people who go on to find jobs in the ruling professions, do they not? Yes, he soon observes: “It seems reasonable to suppose…that teaching in humanities disciplines has had a significant impact on political attitudes in the demographic of the ‘college-educated.'” But this doesn’t “mean that the college-educated fully understand the structural bases of social injustice or see clearly what must be done politically to transform these structures.” In fact, your reviewer has encountered distinguished professional political scientists who have never read Aristotle’s Politics. 

    What is more, lit-crit attempts to address politics via such subpolitical, social and economic categories as “black, Chicano, or female studies,” or such polemicized political categories as “Revolutionary Literature,” “Imperialism,” or “The Antislavery Struggle” have achieved results less than satisfactory to the ideologues who teach in accordance with them. This brings “renewed uncertainty about the justification of the discipline,” as well it might. In today’s academe, “the system of rewards encourages us to imagine that we are being rewarded for the criticism of society. I think we might expect such rewards in heaven.” (Or not. Heaven reportedly declines to reward hubris.) “The absurdity of the situation should be evident to all of us: as literary study wanes in public importance, as literature departments shrink in size, as majors in literature decline in numbers, the claims for the criticism of society are ever more overstated.”

    With its excess of “rebarbative” jargon and its failure to identify a “proper clientele” for the multisyllabic and bloodless words it has on offer, academic literary critics have ignored “readers of literature.” “To name our clientele as the readers of literature argues rather for…the reestimation of aim, a better understanding of how literary works are read, both in the schools and without, and what literary study might do to improve the reading of literature, even reading as such.” As implied by the adjective itself, “amateur readers” “love what they read” (or sometimes hate it—are engaged by it, at any rate). “I would like to believe that the value of criticism inheres in its discovery of a truth in literary or other cultural works, whatever feelings of affection or disaffection the critical reader might have about a given work.” Dr. Johnson and his guide, Aristotle, were right: Man does indeed want to know.

    The regime of the university, with its departments of literary study, thus need a new purpose. “The criticism of the text can also be the criticism of society,” but this criticism needs “to move beyond the phase of manifesto.” “Long ago, literary education was the chief requisite for a voice in the public sphere; that day is over.” Get over it and move on. One way to do so (if I may so bold as to suggest) would be to assume that the ‘canonical’ authors are often smarter than the professors and students who study them, then take things from there, both in class and in the journals.

    Note

    1. See Ariel Helfer, ed.: Plato’s Letters: The Political Challenges of the Philosophic Life. For commentary, see “Plato’s Politic Practice” and “What Is Politic About Political Philosophy?” on this website under the category, “Philosophers.”

     

     

     

     

    Filed Under: Manners & Morals

    What Is Politic About Platonic Political Philosophy? Plato’s “Letters,” V-XIII

    March 27, 2024 by Will Morrisey

    Ariel Helfer, ed.: Plato’s Letters: The Political Challenges of the Philosophic Life. Translated, with introduction, notes and interpretive essay by Ariel Helfer. Ithaca: Cornell University Press, 2023. Letters V-XIII.

     

    Having shown how the tyrant, Dionysius the Younger, and the aspiring philosopher-king, Dion, failed as philosophers but especially as rulers, Plato turns in Letters Five and Six to corresponding with two more sober men, the young Perdiccas III of Macedon, then under the regency of his brother-in-law, and Hermias of Atarneus, a former student of Plato and friend of Aristotle, who is said to have arranged Aristotle’s marriage to his daughter. In some respects, Perdiccas serves as a parallel life to that of Dionysius, both of them young men, Hermias to that of Dion, both of them mature men. 

    To Perdiccas, Plato offers counsel on the customs of guest-friendship and of sacred counsel. Plato has sent one of his students to him, as he had done for Dionysius. According to one account, the student, Euphraeus, inspired a love of philosophy in the young king, and Perdiccas reciprocated by raising Euphraeus to a position of honor in his court. A guest-friend, indeed. As to sacred counsel, Plato advises Perdiccas on the nature of political regimes—that is, on ruling, the divine action par excellence. Political life is ‘polytheistic’ in the sense that each regime has “a certain voice,” even as certain animals have distinctive calls (321d). But whereas animals call to other animals, regimes call to other rational beings. Yet only “a very few” observers understand what democracies, oligarchies, and monarchies are saying as they speak to gods and human beings, with actions that “follow” their voices (321e). When regimes follow their voices they flourish, but if they imitate the voices of other regimes they are ruined. Euphraeus can help you to find the right voice for your regime, “the speeches befitting monarchy” (322a).

    “But if someone, having heard these things, should say, ‘Plato, it seems, pretends to know what things are advantageous to a democracy, but when it was possible to speak to the demos and to counsel the things best for it, he never went up to utter a sound,'” how to reply (322a)? True enough, but the Athens of Plato’s own time (having already executed Socrates, among other actions) saw “a demos already elderly and habituated by those who came before to do many things unlike to his own counsel”; the philosopher would have been foolish to attempt to advise it, “taking risks in vain and doing nothing more” in a regime that had descended into “an incurable state” (322b). “Political wisdom is likely to be as much an object of suspicion in a democracy as in a monarchy,” Helfer rightly observes. Plato makes no mention of philosophy itself in this letter, content to recommend his philosophically-minded student, with good effect. Perdiccas ruled for five years, killed in a disastrous military expedition against Illyria, which had seized upper Macedonia. It would be helpful to know what we do not know—what Euphraeus advised in regard to the venture—but it is at least clear that this was no imperialist lunge, rather an attempt to counter an act of imperialism. 

    Plato sends students to Hermias, introducing them as persons likely to benefit the tyrant and likely to benefit from him in turn. His letter is addressed to all three men. “Friends who are steadfast who have healthy character” are more valuable than a multitude of horses or an additional military alliance or additional gold (322d). Young Erastus and Coriscus will prove to be such friends to Hermias, as Plato has tested them and found them of moderate and trustworthy character. For his part, Hermias can protect them, as “they are inexperienced on account of having been occupied with us…for a long part of their life” (322e). It will be recalled that Plato had regarded his time spent in Syracuse with Dionysius a waste of his time and Dionysius regarded the beginnings of a liberal education at the feet of Plato a waste of his time; as a ruler, Hermias spends his time deliberating and acting, not philosophizing, whereas the young philosophers have spent their time becoming liberally educated, not in ruling. As Helfer suggests, “the study of philosophy in Plato’s Academy has rendered them perfectly upright but desperately vulnerable; by attending for so long to the attainment of ‘true wisdom,’ they have failed sufficiently to acquire ‘the human and compulsory’ wisdom that would allow them to fend off the ‘wicked and unjust.'” This being so, these two human types should “hold fast” to one another, “arriv[ing] at a single braid of friendship” (323b).

    If, however, one of you becomes disgruntled with this bond and you “resolve to dissolve it,” write a letter of accusation to me, and I will attempt to reconcile you (323b). If you do this, “unless the dissolution happens to have been great,” our joint philosophizing should succeed better “than any incantation whatsoever,” any pious utterance, to “naturally implant and bind you together again” in “friendship and community” (323b-c). Plato playfully calls this “a good prophecy,” claiming “that we will do all these good things, if a god should be willing” (323c). More seriously, he calls this “a compact and sovereign law” among the four of them,” as “playfulness…is a sister of seriousness, and swearing by the god who is leader of all things”—perhaps the “first by nature,” mentioned in his letter to Dionysius?—both “the things that are and the things that will be,” can be known to us, provided “we really philosophize,” as “clearly as is within the power of happy human beings” to know that god (323d). If the tyrant consents, he will be less a tyrant, having submitted to a form of the rule of law.

    Helfer contrasts the real Platonists with Dion. “Dion did not really understand what philosophy means for Plato.” Erastus and Coriscus do, but as a result of their ardent and laborious studies they are helpless in any polis, needing the political protection of one such as Hermias. Philosophy alone is not a solution to politics, although Euphraeus’ Platonic political science can be helpful to a young ruler like Perdiccas. Letter Six “is a bridge between [the] drastically truncated presentation of philosophy” moralizing Dion embodied “and the correction of that distortion.” Letter Six both “upholds the notion of philosophy as the basis of trustworthy friendship” and acknowledges philosophy’s “essentially dynamic and transpolitical character.” While insisting on the pious character of philosophy, Plato takes care to propose the covenantal law as a hedge against “the danger of human inconstancy.” After all, will Hermias, with his “limited capacity for philosophy,” sustain the friendship? The young philosophers will be loyal, but how useful can they be to this ruler, beyond their trustworthy friendship? After all, “the philosopher does not wish to spend time in, or even think about, the practical requirements of political activity,” even if he comes to be capable of doing so, in time. And indeed “the real lesson of the letter…is the demonstration of the practical infeasibility of this ideal arrangement,” “the regime” within the regime in Atareneus “that [Plato] has founded.” While he has written “a critical safeguard” into the sovereign covenant—the three philosophers outnumber the lone non-philosopher—the unphilosophic ruler will retain all the physical power, leaving “the philosopher at the mercy of the ruler,” should the tyrant turn especially tyrannical. “Plato cannot rule by means of fear because he can muster no threat of force against the powerful Hermias”; persuasion is his only available means of rule. Worse, this “solution to the philosopher’s need for protection is inappropriate in any real circumstances, since the philosophers must always constitute a tiny minority of the political community.” Letter Six serves as “an introduction to the central political challenge of Plato’s political-philosophic writings.” The “doctrine of philosophic rule is necessarily mythical.” Letter Seven will address this matter, showing much more elaborately “how Plato calls into question the political efficacy of philosophy.”

    Plato addresses the seventh letter to “intimates and comrades of Dion,” who by now had been assassinated (323e). These men carry on a civil war against the rule of the assassins. Letter Seven is the central letter in the book, and also the longest. 

    Plato recalls that Dion “supposed that the Syracusans should be free, dwelling under the best laws” (324b). His opinion originated from his association with Plato, who explains his own political career. Even before reaching the age of full citizenship, Athenian Plato expected to engage in “the common affairs of the city” (324c). But the regime of the Thirty Tyrants, effectively installed by the Spartans after their defeat of Athens in the Peloponnesian War, with some “intimates and acquaintances of mine” among its number, did not “manage the city by leading it from a certain unjust life to a just way,” as Plato had hoped, but instead imposed a violent purge of those Athenians who had opposed the surrender (324d). The leader of the Thirty, Critias, had been a student of “my friend, the elderly Socrates, whom I would scarcely be ashamed to say was the most just of those in that time” (324e). That is, the worry that the conduct of Dionysius, Plato’s student-tyrant, might reflect badly upon his teacher was a possibility Plato had seen in Athens, decades earlier. This, despite the fact that when the regime commanded Socrates to “carry off one of the citizens by force to be put to death in order that he should participate in their affairs whether he should wish to or not,” Socrates courageously refused the command, “risked suffering everything rather than become a partner in their impious deeds” (324e-325a). As for Plato, “I was disgusted and I withdrew myself from the evils of that time” (325a). The subsequent democratic regime that replaced the brief rule of the Thirty Tyrants was even worse, at least regarding to philosophy, killing Socrates “on grounds of a lack of pious veneration” (325c). As Helfer remarks, Plato passes over in silence the second charge against Socrates, that of corrupting the young. One reason for that may be that the addressees of the Seventh Letter are young men. 

    Upon reflection, and with further observation of politics in Athens and elsewhere, Socrates came to understand how hard it is “to manage the political things correctly” (325d). This is because it is hard to find “men who are friends and faithful comrades,” without whom one can do nothing politically, as the reign of Dionysius, that man alone, confirmed (325d). The corruption of existing regimes, with their “written laws and customs,” makes this nearly impossible, inasmuch as bad regimes foster bad character in rulers and ruled alike (325d). Being a philosopher, Plato continued to consider how regimes might be improved, but “with respect to acting I was always waiting for propitious moments” (326a). They never came. I “ended up thinking, concerning all the cities now, that all of them are being governed badly—for what is of their laws in in a nearly incurable state without some amazing artifice [or preparation] together with fortune” (326a). Echoing the words of the Republic 473c, Plato then concluded that “the human tribes will not cease from evils until either the tribe of those philosophizing (correctly and truly, that is) should come into the positions of political rule, or that of those who are in power in the cities should, by some divine fate, really philosophize” (326b). Plato tacitly invites the late Dion’s allies, and perhaps especially those reading his book, to measure the odds of either eventuality.

    Journeying to Italy and Sicily for the first time, he found that “the life that is there called happy” consists of eating and copulating, habits that prevent the young from “becoming practically wise,” men of phronēsis (326b), or indeed to cultivate any other virtue. Here is where Dion came in. His association with Plato, his attempt to philosophize, was the “beginning” of “the problems that have now come to be concerning Dion and of those concerning the Syracusans”—namely, civil war—and, “it is to be dreaded, of still more, unless you would now obey my counsel, given now for the second time” (326e). For when Plato revealed to Dion “through speeches the things that seemed to me to be best for human beings and counseling him to do them, I was ignorant that I, without noticing myself, was in a certain way contriving what would come to be a dissolution of a tyranny” (327a). Dion “hearkened keenly and intently such as none of the young I have ever met,” choosing to “over the rest of his life in a manner differing from that of the many Italiotes and Siceliotes,” “cherish[ing] virtue more than pleasure and the rest of luxury” (327a). This annoyed “those living according to what is lawful convention in a tyranny” (327b). 

    Had Dion left it there, had he simply lived a virtuous private life, he might have been written off as a peculiar character but deserving of no more than contempt. But Dion “apprehended” that his way of life was being emulated in others, if not in many (327c). More, he “held” (note well, not apprehending) that even the ruler, “even Dionysius could perhaps become one of these with the assistance of gods,” and if so, “both his life and that of other Syracusans would turn out to become one of indomitable bliss” (327c). And he further “supposed” that his good old teacher, Plato, might be brought in “as a partner in these things,” turn Dionysius toward philosophy and thus to found, “without slaughters, deaths, and the evils that have come to be, a happy and true life throughout the land,” a regime ruled by the philosopher-king in practice, not merely in theory, as in the Republic (327d). Does this not substitute Plato for the gods, or does it merely assume that Plato’s arrival has become possible thanks to a divinely arranged, rare circumstance? In the event, it was not a god who called Plato but Dionysius, having been persuaded by Dion to do so. Plato was rightly cautious about Dion’s bright hopes, but he eventually decided to journey to Syracuse, thinking that “if ever someone was to undertake to bring these intentions concerning both laws and regime to completion, it must be attempted also now” (328c). To that dubious hope, Plato added the worry that he might be “in danger of betraying, in the first place, the guest-friendship and comradeship of Dion, who had really come to be in no small dangers” (328d). More, what if Plato did not come and Dion were exiled, arriving in Athens (under the terms of guest-friendship) to rebuke Plato but even more philosophy itself for having betrayed him and having betrayed this unique opportunity to put philosophic theory into practice? In the words Plato puts into the mouth of Dion in this fictional scenario, “will you ever escape a reputation for vice? Far from it.” (329a). There would be no answer to this accusation against himself and philosophy, Plato claims.

    “I went, in accordance with reason and in justice as much as can be for a human being,” who lacks godlike foresight (329b). “I left behind my occupations, which were not indecorous”—as we know, his teaching in the Academy he had founded—in order to live “under a tyranny that didn’t seem to be fitting with respect to my things or to me” (329b). This nonetheless acquitted him “in relation to Zeus Xenios,” that is, the god of gods in his aspect of guardian of guest-friendship, while “rendering the philosopher’s part impeachable” (329b). That is, by showing himself both pious and philosophic, he defended himself and philosophy against one of the charges the Athenian demos had leveled against Socrates.

    Upon arrival in Syracuse, however, he found not philosophic or friendly speech but “everything around Dionysius full of strife and slanders about Dion in relation to the tyranny” (329c). His concerns about Dion’s safety confirmed, he defended him “to the extent I was capable,” which wasn’t very far; Dionysius soon accused Dion of “plotting against the tyranny”—of a form of thought animated by philosophic principles, if not by the virtue of prudence (329c). In exiling Dion, Dionysius begged, or rather insisted, that Plato stay behind. Did he find something of value in the philosopher, or was he simply ensuring that his putative regime enemies could not reunite and continue their supposed conspiring against him? “While he did grow ever fonder of me as time went on during his intercourse with my way and character, he also wished for me to praise him more than Dion and to hold him to be more especially a friend than him,” spurred on by the “amazing love of victory” typical of a thumotic soul (330a). In this, Dionysius never came to pursue the regime, the way of life, of philosophy; worse, “he shrank from it, fearing, on account of the slanderers’ speeches, lest he should become ensnared in some way and Dion come to accomplish everything for himself” (330b). Plato persevered in his efforts but Dionysius, “resisting, won out,” not in persuading Plato to prefer him to Dion but in resisting philosophy (330b). 

    Should Plato have persevered instead of getting out of town? No: “One who is counseling a sick man adhering to a regimen that is depraved with respect to health ought first to change his life into something else, and if he is willing to obey, at that point to suggest other things too; but if he is not willing, I would hold one who flees from counseling such a one to be both a man and a doctor, and one who remains to be the opposite: unmanly and artless. It is indeed the same with respect to a city as well, whether it has one sovereign authority or more.” (330c-d). With a slave, it is another matter; in that case, one can use force. But there is no sense in “mak[ing] myself hateful by admonishing in vain” or in flattering them either (331c). Yet isn’t that what Dion did, in Syracuse? Making himself hateful by admonishing in vain? His followers should take note. One should speak to one’s city “if it does not appear to him to be nobly governed, if he is neither going to be talking in vain nor to be put to death for speaking; but he should not bring force against a fatherland to produce a change of regime when it is not possible for it to come to be the vest without exile and slaughter of men; rather, he should keep quiet and pray for the good things for both himself and the city” (331d). Plato makes it explicit: “In this same way, indeed, I would counsel you,” and this is how Dion and I counseled Dionysius; govern yourself, first, then “acquire faithful friends and comrades” attracted to you by your virtue before attempting to reform Syracuse or to recolonize Sicilian cities misruled by barbarians, the latter task undertaken but never achieved by his father (331d-e).

    But neither did the virtuous Dion succeed in founding a good regime in Syracuse after returning to the city and expelling the tyrant. Dion’s virtue attracted friends, to be sure. In this enterprise, he brought with him two brothers from Athens who had “come to be [his friends] not from philosophy but from the promiscuous comradeship belonging to most friends, which they work out through hosting someone as a guest-friend or through initiation into the lesser and greater mysteries” (333e). Once victorious in Syracuse, they betrayed Dion, participating in his assassination. This was a “shameful and impious thing” to do, but it must be noticed that although Plato makes much of the congruence of traditional customs, piety, and philosophy, rational inquiry shows that such customs and piety do not guard a man from false friends as well as philosophy—in particular political philosophy, which ought to alert its students to the importance of prudence. Plato immediately displays such prudence, observing that just because the two men in question were Athenians they did not necessarily represent the ethos of that city. I, Plato, am also an Athenian, but never betrayed him, even when tempted by the blandishments of the Syracusan tyrants. Plato “had become a friend to Dion not through vulgar friendship, but through partnership in liberal education” (334b). As for Syracuse, and your continued attempt to rule it in line with Dion’s intentions, but not with his folly, his wish “to make use of justice” without considering the ethos of Syracusans (335c). “Let not Sicily, nor any other city, be enslaved to human masters, but as my speech [logos] has it at least, to laws; for otherwise it is better neither for the enslavers nor the enslaved,” nor for their descendants (334c-d). And, now recurring to a pious thought, “one really ought to be persuaded by the ancient and sacred speeches, which indeed reveal to us that the soul is deathless, and it has judges, and that it suffers the greatest penalties whenever it is rid of its bodies; wherefore ought one to believe that it is a smaller evil to suffer even the great sins and injustices than to do them” (335a). 

    How, then, to rule Syracuse? Imitate Dion’s personal moderation, be alert to those among you who are “not capable of living in the Dorian way” (336d), do not seek vengeance against your defeated enemies but make them, “by a pair of compulsions, awe and fear,” and make yourselves too, in your prudence, “slaves of the laws” (337a). Select fifty elders and offer them “the greatest possible honors” in framing good laws (337c)—in marked contrast to the Spartans’ imposition of the Thirty Tyrants on conquered Athens. “The laws having been given, everything comes down to this: if those who have won victory should render themselves, more than the vanquished, subservient to the laws, everything will be full of salvation and happiness and there will be refuge from all evils; but if they do not, neither call upon me nor upon another partner for help against whoever is unpersuaded by the letter that has now been sent to you” (336e-337a).

    All very good, sage philosopher, but if you had taken Dionysius’ measure in your second visit to Syracuse, why did you return yet again? And if the only reliable friends are the philosophic ones, and philosophic souls are so rare, why would you risk falling into the clutches of this tyrant a second time, inasmuch as he had not heeded the advice of you and your friend Dion the previous time? It isn’t hard to see that Dionysius might invite him back; as a point of honor, he did not want people to think he’d learned nothing from Plato—or so Plato surmises. But why would you accept his invitation?

    We have reached what Helfer identifies as the midway point of Letter Seven, “which is to say the midway point of the entire Letters.” As Fortune or some other god or gods would have it, another philosopher, and indeed a philosopher-king of sorts, the mathematician Archytas of Tarentum, had spent time with Dionysius, writing to assure Plato that the young tyrant “had advanced in philosophy” (339b). For his part, Dionysius wrote, too, promising Plato to follow Plato’s wishes regarding Dion. Once again, Plato chose to put the thing to the test, for “if things really be as had been said, in no way [would he] betray this very thing,” philosophy, and thereby put himself under “so great a reproach” (439e). And although fearful and “divining not very nobly,” he set out; once again, his increasingly wan hopes were disappointed, but at least Dionysius, “next after a god,” did prevent “many who wished to destroy me” from doing so, perhaps out of a certain “awe” or shame (340a). Helfer observes that at least Plato had come to the assistance of Archytas and the other Pythagorean philosophers at Syracuse by appeasing Dionysius’ request; “it was to avoid jeopardizing them and their work that Plato once more ‘veiled himself.” But why was Archytas fired with false hopes for the tyrant? Here Plato unfolds the difficulties of the philosophic life, perhaps the main reason so few continue in it.

    Students need to understand “what sort of thing the whole problem is and through how many problems and how much toil it lies” for those who undertake to solve it (340c). To “really be a philosopher, being both intimate with and worthy of the divine problem” one must “strain to follow” the path toward it (340c). Such persons, and such persons alone, consider “that life would not be worth living for one who would do otherwise,” and “will not let up until he should either bring everything to completion or obtain such a power that, separately from the one who has shown him, he is incapable of being a guide himself” (340c). On the other hand, “those who are not really philosophers, but have been tinctured by opinions just as those whose bodies have been burnt by the sun, once they have seen how many are the subjects of learning, and the extent of the toil, and the ordered daily regimen that befits the problem, hold it to be hard and impossible for themselves” (340d). Even worse are those “who persuade themselves that they have heard the whole sufficiently and have no further need of any problems” (341a). Such a one was Dionysius, who “pretended both to know and sufficiently to have a hold on many, even the greatest, things because of hearsay from other,” even to the point of writing “about the things he had heard, composing as though it were his own treatise,” although Plato himself professes to “know nothing of these writings” (341b). Even I, Plato, who have written extensively on Socratic and other efforts of philosophic inquiry, have written nothing about the divine problem, for “it is no way speakable as are the other subjects of learning, but rather, from the coming to be of much intercourse concerning the problem itself, and living together, suddenly, as from a jumping fire a light is kindled, and having come to be in the soul, it straightaway nourishes itself” (341c-d). Genuine philosophizing about the divine problem, if writable and speakable “to the many,” would be of the greatest benefit to them, as it would “lead nature forth into the light for all” (341d-e). But “I do not hold [that] to be good for human beings unless for some few—however many are themselves capable of finding them out through a small indication” (341e). Others will view such discoveries either with “incorrect disdain” or worse, “a lofty and empty hope as though they had learned some august things” (341-342a). 

    Why so? Plato lists five levels of knowing. The first is naming, the first sort of knowledge children learn, once they begin to understand words: for example, ‘this is a circle.’ The second is definition; rationally explaining the thing named in verbal terms: a circle is “that which is everywhere equally distant from the extremes to the middle”—an account, however, which remains ambiguous, inasmuch as it could refer as easily to something called a ‘ring’ (342b). For more precision, one needs an image, “what is drawn and erased, and what is turned on a lathe and destroyed” (342c). Scientific knowledge comes after that, when “all this [is] set down in turn as one, being not in sounds, nor in shapes and of bodies, but within souls” as “the nature of the circle,” its species (342c). And there is still a fifth level, knowledge of “the very thing that is knowable and is truly a being” (342b). The need for this level, as Helfer remarks, is that it “makes it possible to say that the objects of our experience belong objectively and really to species or classes.” Overall, “this amounts to a far-reaching critique of any thoroughgoing materialism” and, one might add, any ‘subjectivism.’ [1]

    It is easy to see the daunting features of this path of philosophic ascent. One needs to be “good-natured” to gain the “scientific knowledge of the good-natured” (344e). Aptness to learn and a good memory will not suffice to gain such knowledge. This suggests that the divine problem has to do with “the good,” which Plato’s Socrates mentions as somehow both the origin and ‘end’ or purpose of all natural phenomena. This may be why Plato now emphasizes in his account of inquiring into the nature of the whole the task of “learn[ing] the truth about virtue to the extent possible,” and of vice (344b). “It is necessary to learn them simultaneously, and also the false and true of the whole being simultaneously, with total occupation and a great deal of time” (344b). The difficulty comes with the necessary task of “rubbing against one another: the names, definitions, sights, and perceptions,” the dialectic that process with “kindly refutations,” “making use of questions and answers being without envy,” whereby, when considering what is good and what bad, “practical wisdom shines forth, as well as mind, straining to the utmost extent of human power” (344b-c). This is why a serious man considering “the serious beings” will not write about them, “cast them down amid the envy and perplexity of human beings” who, for the most part, will sneer, snicker, or become enraged at whatever has been discovered in the inquiry, and inquiry for the rigors of which they have neither taste, nor time, nor patience, nor the courage to persevere in (344c). Things that are written down—laws, to give the politically important example—are “not the most serious things” to the lawgiver, “if indeed he himself was serious,” philosophic (344c). For his part, Dionysius wrote about the divine problem “for love of honor” (344e). He was not a serious man, although he was a dangerous one, to others and to himself. 

    With this, Plato brings matters down to earth. What the tyrant also wanted, aside from honor, was property, including Dion’s property. He also wanted power, and suspected, as already recounted, that Dion was plotting against him. Dionysius proposed an arrangement whereby Dion would profit from his property in Syracuse but could not withdraw the ‘principle,’ as we now would call it, without Plato’s approval, as the right to withdraw that property would give Dion revenues sufficient to fund a military campaign to overthrow Dionysius. Plato disgustedly saw through that ploy, counter-offering to stay in Syracuse but only if Dionysius put his offer in writing. Dionysius wanted nothing to do with that sort of writing—permanence of obligation being less appealing to the tyrannical soul than permanence of a reputation for wisdom concerning the highest things, however spurious that wisdom might be. In the event, Dionysius simply sold Dion’s property, not surprising Plato when he did it. Plato’s recalcitrance regarding the initial scheme proved “a persuasive argument for enmity against me” (349c), as Dionysius now charged that Plato had sided with Dion. Happily, the philosopher-king Archytas rescued the philosopher he’d persuaded to return to Syracuse.

    Dionysius’ machinations brought on his ruin. Dion would not have marched against him, had Dionysius given him his money back or had reconciled with him. “But as it is they, having set out against one another, have had their fill of every evil” (350e). For his part, Plato declined Dion’s invitation to join him in the expedition to overthrow Dionysius, and Plato concludes his letter to Dion’s admiring followers with a measured eulogy. Their mutual friend nobly “preferred the suffering of impious deeds above the doing of them, yet being very careful not to suffer them; nevertheless he stumbled, having come to the peak of his overcoming of his enemies” (351c). Such a pious, moderate, sensible human being “would never be wholly deceived concerning the souls of such as they,” but although “a coming storm would not altogether escape his notice…the extraordinary and unexpected magnitude of a storm could escape his notice, and having escaped it, inundate him by force” (351d). A basically good but not prudent man, he did not understand the height of their “ignorance, depravity, and gluttony” (351e). He had not rubbed good and bad together long enough, as a genuine philosopher would do.

    As Helfer observes, “there is no denying that the whole undertaking in Syracuse appears to have been a debacle.” Making a philosopher-king out of Dionysius was Plan A; Helfer likens this to Socrates’ proposal in the Republic. Had it succeeded, Platonic political philosophy would have been vindicated in the most spectacular way. Putting Dion in as king, with the best laws, was Plan B; Helfer likens this to the plan of the Laws. “Had Dion succeeded in giving good laws to the Syracusans his reputation of being associated with philosophy, more than any ability to govern wisely himself, would have benefited the reputation of philosophy in turn,” although in truth Dion was no philosopher but rather a gentlemanly admirer of it. He was “wrong ever to believe that Plato’s description of philosophic rule in the Republic was a blueprint for political action,” since philosopher have no “wish to rule” and the people have no wish “to be ruled by philosophers.” Plato more reservedly, more prudently, praised philosophy by saying that “human beings would not be free from evils until philosophy and political power should coincide,” but although he was cautiously ready to test the possibility he never wholeheartedly believed in it. Did Plato derive what political prudence he had from his philosophy as such? Helfer doubts it, since philosophy seeks to know the nature of things, and indeed the nature of the divine things, the rigorous inquiry into which more readily brings souls into the condition of Erastus and Coriscus. 

    Yet, what of Plato himself? He has inquired into both the divine and the human, political things, not without result. With Erastus and Coriscus, might he be holding out the likelihood of the harmlessness of philosophy and of philosophers and their trustworthiness, while concealing their political knowledge—the result of their philosophic inquiry into the human nature that finds a home in nature as a whole? For one thing, as Helfer does not hesitate to cite, “the key failing of Dion’s political thought” is precisely his insufficient “attention to the difficult problem of political foundings.” He expects—and to Dion’s friends and admirers, Plato praises him for it—a bloodless founding, “recoil[ing] instinctively from the ugly business of ‘laying down the law’ for a new regime,” something the Athenian Stranger in the Laws most emphatically does not overlook. At the same time, Plato is no Machiavellian, one who rather takes delight in such ugly business. For one thing, “Plato is much less willing than Machiavelli to encourage the prospective founder to discard his belief in divine providence as a determining factor in human affairs.” Plato would set natural-right limits on founders, while recognizing that “political affairs belong too much to the realm of flux and chance to be mastered,” Machiavelli-like, “that great political undertakings require more good fortune than one can reasonably hope for.” 

    In Letter Eight, Plato again addresses Dion’s “intimates and comrades,” but much more briefly. With Dionysius’ tyranny removed and Dion assassinated, Syracuse now roils with a regime dispute between those who want a new tyranny and those who want to “escape from tyranny” (352c). The short Dionysian dynasty had first been installed because the city had needed a defender against powerful Carthage, and it found one in the capable Dionysius the Elder, but once the emergency had passed the tyrants did what tyrants often do: turn their untender attentions upon their own people. Plato writes, “My speech urges to everyone: it urges those aiming at tyranny to turn away in flight and flee the purported happiness of insatiably hungry and mindless human beings, and to attempt to change into the form of a king, and to be slaves to kingly laws, having acquired the greatest honors both from human beings voluntarily and from the laws; and those pursuing free ways and fleeing the slavish yoke as being bad, I would counsel to beware lest they should ever fall into the disease of the ancestors out of insatiability for a certain unpropitious freedom, which disease they then suffered because of the excessive anarchy, making use of an unmeasured, passionate love of freedom” (354c-d). Sounding rather like his student, Aristotle, he denigrates the extremes of slavery and freedom, although “if each is in measure” (as in slavery to good laws and freedom understood as the rule of reason over the appetites), they are “altogether good” (354e). 

    What would Dion say, were he still living? Plato imagines a speech by Dion, for the benefit of his intimates and comrades. Dion would say that there are three things to consider: soul, body, and money. All are good, so long as care for them is sought in that order, in a regime whose laws buttress that proper hierarchy. Syracusan freedom-lovers should accept “freedom under kingly rule” while would-be tyrants should enjoy “kingly rule for which they are accountable, with laws as masters both of the other citizens and of the kings themselves in case they should do anything illegal” (356c). This can be done if the founders of the new regime establish the kind of ruling institutions that will perpetuate the rule of laws—specifically, three kings, vested with military power and religious authority, thereby made capable of defending the city from foreign attack, along with a set of law guardians who would oversee the kings, with the power to block them from violating the law. Plato also recommends a policy: Syracuse should recolonize Sicily, expelling the barbarians. This effort seems directed at uniting the city, now at war with itself, by giving all citizens a noble, common purpose. “These things I intended to come to be for you while I lived,” Plato’s Dion says, “and I intend them now” (357d). Helfer points to the fact that Plato considers this speech a kind of prayer to hint that it may not prove to be practical. It is evident, for example, that enslaving oneself to the laws, which are written and therefore stable but rigid, does not meet the bar of prudential rule, which requires adjustment to ever-changing circumstances. And what “if there is a conflict between the law of the city” which here is obviously human, “and what the gods demand, such as we know from, for example, Sophocles’ Antigone?” In Letter Two, Plato himself “claims that he is ‘great’ because he makes himself ‘a follower’ not of the law, nor indeed of pleasure, but of his ‘own reason.'” Citizen-bodies can’t do that, being non-philosophers. 

    Letter Nine goes to someone who may be more amenable to reasoned self-rule, the mathematician-ruler of Tarentum, Archytas, whom Helfer identifies as “the closest thing we find in the Letters to a philosopher-ruler.” This is the man who had entertained such hopes for Dionysius. Here, Plato mentions one of the difficulties of philosopher-kingship, citing a report that “you are restless because you are not capable of being released from the lack of leisure connected with the common things” (357e). After all, “the most pleasant thing in life is to do one’s own thing, especially if someone should choose to do things of such a sort as you too have chosen” (357e-358a). This notwithstanding, Plato counsels moderation. “You need to take the following to heart as well: that it is not only for oneself that each of us has been born, but one’s fatherland gets a certain portion of our birth, one’s parents another, and the rest of one’s friends another, and many things are given also to the propitious moment that overtake our life” (358a). In the philosophic life, lest we become defenseless Erastuses and Coriscuses, the virtue of moderation requires us to balance philosophizing with considerations that can, if well managed, protect the philosophic way of life within the regime of the city, the order of the family, and the network of friends, all of which can threaten that way of life, as seen throughout, but all of which can also support it, if philosophers take care to allocate their time prudently. “This theme quietly pervades the Letters from its very first words,” as Helfer recalls, when Plato complained to Dionysius about all the time he’d devoted to him.

    Plato addresses the very short Letter Ten to Aristodorus, whom Dion (who was still alive at this point—the letters in the Letters are not chronologically arranged) has described as “a special comrade of his” (358c). Special because he understands philosophy in the Dionian way, “exhibiting a character that is the wisest one with a view to philosophy; for it is steadfast, and faithful, and healthy,” a view that Plato assures him is his own view of what “true philosophy” is (358c). But as we know, and as Helfer emphasizes, philosophy is much more than this, being the love of wisdom and the ardent pursuit of it an inquiry that yields ambiguous results. “Be strong and remain in the very character traits in which you now remain,” Plato writes in his best avuncular manner (358c). Decent readers who don’t read very carefully will come away with the impression that this Plato, and philosophers who follow him, are trustworthy fellows, no threat to the city and even commendable citizens.

    The philosophers must not be seen as impious, then. This defense is the burden of Letter Eleven, addressed to the otherwise unknown Laodamas, a Greek colonist who is thinking of founding a new regime. Plato here insists, as he has done previously, that a founding consists in more than lawgiving. A city cannot be “well established without the existence of some authority caring for the daily regimen of both slaves and free in the city, so that it might be both moderate and manly” (359a). If the city already has good men in its politeuma, its ruling body, very well, but “if there is a need of someone to educate them,” who will do it? (359b). “What remains is for you to pray to the gods” (359b). Alternatively, and perhaps marginally more realistically, you will need a founder, “a man both noble and good” who also enjoys “great power” (359b). “Good luck,” indeed (359b).

    Letter Twelve is Plato’s final letter to his own philosophic comrade, Archytas. He praises some memoranda Archytas has sent to him, memoranda quite possibly written by Archytas himself. Plato doesn’t mention the topics of the memoranda, which might range from comments on Dionysius the Younger to philosophic considerations. The author reminds Plato of the writer’s “ancient ancestors,” “good men” expelled from Troy by the tyrannical Laomedon, father of Priam (359d). Plato might be alluding to the exiles from Syracuse in the present day. He also mentions some memoranda of his own, which Archytas was waiting for; they are not yet ready, Plato tells him, but he has sent them, anyway, with the proviso that they be guarded from eyes unworthy to see them, reiterating the theme of caution with respect to anything written down, a caution Plato is confident his philosophic confidant shares.

    The thirteenth and final letter begins jarringly: “It is denied that this is by Plato” (359e). Helfer draws a parallel between Plato’s disavowal of the full seriousness of his corpus of writings in Letter Two, and also to Plato’s final paragraphs in that letter, where he moves from “lofty philosophic subjects to a hodgepodge of quotidian matters.” Letter Thirteen, the last one to Dionysius, also contrasts sharply with the earlier letters, especially Letter One, “which of course was marked by strident denunciation of tyranny in general and Dionysius’ tyranny in particular.” What’s going on? 

    Plato reminds Dionysius that the tyrant had once said he’d benefited from Plato. He sends some Pythagorean writings along, a further benefit, and announces that he is also sending Helicon, a student of the mathematician Eudoxus. He is someone Archytas might wish to converse with—another example of Plato’s interest in placing philosophically minded persons under the patronage of a ruler who might yet be brought to “honor Platonic philosophy,” as Helfer puts it. Plato judiciously includes some material gifts—a statue of Apollo for Dionysius and some jars of honey for his children. Helfer suggests that this contrasts with the conduct of imprudent Dion, who relied on appeals to moral rectitude alone in his dealings with men.

    Plato then gets down to brass tacks: “I will be frank with you concerning money” (362c). He once again adjures the tyrant—who, we recall, has not dealt honestly with Dion’s property—to make sure that his “expenses be correctly spent and correctly returned,” lest he (the honor-lover) be impugned as a man “hard to do business with” (362d). Hard not only for Dion, but just as hard for Plato, it transpires, inasmuch as the wealthy Dion had been donating funds that Plato uses for wholesome “civic and familial duties” in Athens, to say nothing for the expenses Plato incurs in running his Academy. “It was the life of the Academy,” Helfer sees, “the support for his philosophic friends’ ability to live the philosophic life, that put Plato in the position of needing to raise funds in places like Syracuse.” A college president is a college president, then and forever after. Dion, his chief donor, is too high-minded to notice the material needs of philosophers; Dionysius, Plato’s chief worry, is perhaps too honor-minded to appreciate such a purpose. Put another way, Plato has indeed founded a regime, a regime ruled by a philosopher-king who rules within the larger Athenian city, which has seen more than one regime. Although the purpose or telos of Plato’s regime differs substantially from the purposes of any of the regimes of the city, it shares the characteristics of regimes generally: a ruler, a ruling way of life, a ruling purpose, and ruling institutions. The regime also needs a foreign policy, a way of dealing with other regimes in other cities, including a philosophic regime-within-a-regime in Syracuse. All regimes need revenues, philosophic regimes not excepted.

    Helfer concludes: “the Letters is Plato’s attempt to clarify the meaning of his lifelong project of promoting and defending the reputation of philosophy, of seeking to make philosophy ‘honored even among the multitude.'” He does so in the course of narrating and commenting on a cautionary tale on the difficulties of philosophizing itself and of philosophizing in a politic manner.

     

    Note

    1. In the spirit of Socratic inquiry, Helfer cites serious problems with Plato’s account of the levels of knowledge in the Letters. First, Plato does not explain how the changing, perceptible things known at the first three levels relate to the imperceptible but knowable fifth level. Elsewhere, Plato unfolds a theory of “participation” in the forms/Ideas. But “Plato’s own work does not consistently stress this solution,” which he presents as an unquestioned doctrine only in the Phaedo. Although the Parmenides has the young Socrates presenting that theory, “Parmenides there advances a number of trenchant critiques that Plato never attempts to refute in any of his writings.” Second, in the Seventh Letter, the emphasis isn’t on participation of perceptible things in “the fifth” but on the participant. ‘Subjectively,’ Plato elsewhere (e.g., in the Phaedrus) links perceptibles to imperceptibles with his theory of “recollection,” but not here. Finally, the relationship between the fourth and fifth levels isn’t clear. If knowledge of the fourth level is prerequisite to “scientific knowledge of the fifth,” why is this “anything but the incoherent or circular claim that attainment of some scientific knowledge is a prerequisite to attainment of that same scientific knowledge”? What is needed is “an understanding of the nature of mind,” but the mind is hard to understand, a thing that “cannot be known in the same manner as the other beings of which scientific knowledge is possible.” This leads to the question of the question of the existence of “a cosmic mind or deity, knowledge of which is made out to be the goal of philosophy in Letters Two and Six,” but unmentioned here. In the Seventh Letter, then, Plato does not answer “the great questions” of mind so much as he “indicates the basic features—and some of their implications—of our intuitive belief that we know, or can come to know through sense perception together with mind, about the beings that make up the whole”; “some further metaphysical apparatus would be needed to make up a complete explanatory picture.” He has certainly “indicated no avenue along which we might still hope to find access to the ‘what’ of the beings, to any direct grasp of ‘the fifth’ itself.” Is there any divine or cosmic support, then, for justice and the other virtues? There are limits to human knowledge, which makes writing down claims about “the fifth” a misguided enterprise for the philosopher, as only a certain, rare, kind of human soul can live with the knowledge of those limits. “There is doubt or ‘perplexity’ (aporia) involved in philosophy that is generally ill suited to the human constitution.” This doubt opens the possibility that “true knowledge of the divine…is not necessarily compatible with the stories of Homer and Hesiod,” and therefore that true piety, which Plato identifies with true philosophy, may lead in a direction the vast majority of people don’t want to hear. In this, respectable Dion is farther from philosophizing than tyrannical, sneering Dionysius.  

     

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