Wednesday, October 9, 2013

Aristotle's Ethics


Alasdair MacIntyre

Chapter 7, A short History of Ethics: History of Moral Philosophy from the Homeric Age to the Twentieth Century



“EVERY CRAFT and every inquiry, and similarly every action and project, seems to aim at some good; hence the good has been well defined as that at which everything aims.” The book which Aristotle opens with this trenchant sentence is traditionally known as the Nicomachean Ethics (it was either dedicated to or edited by Aristotle’s son Nicomachus), but its subject matter is declared to be “politics.” And the work which is called the Politics is presented as the sequel to the Ethics. Both are concerned with the practical science of human happiness in which we study what happiness is, what activities it consists in, and how to become happy. The Ethics shows us what form and style of life are necessary to happiness, the Politics what particular form of constitution, what set of institutions, are necessary to make this form of life possible and to safeguard it. But to say only this is misleading. For the word πολιτικός does not mean precisely what we mean by political; Aristotle’s word covers both what we mean by political and what we mean by social and does not discriminate between them. The reason for this is obvious. In the small-scale Greek city-state, the institutions of the πόλις are both those in which policy and the means to execute it are determined and those in which the face-to-face relationships of social life find their home. In the assembly a citizen meets his friends; with his friends he will be among fellow members of the assembly. There is a clue here to the understanding of parts of the Ethics which later on we shall have to follow up. For the moment we must return to the first sentence.

Good is defined at the outset in terms of the goal, purpose, or aim to which something or somebody moves. To call something good is to say that it is under certain conditions sought or aimed at. There are numerous activities, numerous aims, and hence numerous goods. To see that Aristotle is completely right in establishing this relationship between being good and being that at which we aim, let us consider three points about the use of the word good. First, if I aim at something, try to bring about some state of affairs, that I so aim is certainly not sufficient to justify my calling whatever I aim at good; but if I call what I aim at good, I shall be indicating that what I seek is what is sought in general by people who want what I want. If I call what I am trying to get good–a good cricket bat or a good holiday, for example–by using the word good, I invoke the criteria characteristically accepted as a standard by those who want cricket bats or holidays. That this is genuinely so is brought out by a second point: to call something good and to allow that it is not a thing which anyone who wanted that sort of thing would want would be to speak unintelligibly. In this good differs from red. That people in general want or do not want red objects is a contingent matter of fact; that people in general want what is good is a matter of the internal relationship of the concept of being good and being an object of desire. Or to make the same point in a third way: if we were trying to learn the language of a strange tribe, and a linguist asserted of one of their words that it was to be translated by good, but this word was never applied to what they sought or pursued, although its use was always accompanied, say, by smiles, we should know a priori that the linguist was mistaken.



“If, then, there is some one goal among those which we pursue in our actions, which we desire for its own sake, and if we desire other things for its sake, and if we do not choose everything for the sake of something else–in that case we should proceed to choose ad infinitum, so that all desire would be empty and futile –it is plain that this would be the good and the best of goods.”17 Aristotle’s definition of the supreme good leaves it open for the moment whether there is or is not such a good. Some medieval scholastic commentators, doubtless with an eye to theological implications, rewrote Aristotle as if he had written that everything is chosen for the sake of some good, and that therefore there is (one) good for the sake of which everything is chosen. But this fallacious inference is not in Aristotle. Aristotle’s procedure is to inquire whether anything does in fact answer to his description of a possible supreme good, and his method is to examine a number of opinions which have been held on the topic. Before he does this, however, he issues two warnings. The first is to remember that every sort of inquiry has its own standards and possibilities of precision. In ethics we are guided by general considerations to general conclusions, which nonetheless admit of exceptions. Courage and wealth are good, for example, but wealth sometimes causes harm and men have died as a result of being brave. What is required is a kind of judgment altogether different from that of mathematics. Moreover, young men will be no good at “politics”: they lack experience and hence they lack judgment. I mention these dicta of Aristotle only because they are so often quoted; certainly there is something very middle-aged about the spirit which Aristotle breathes. But we ought to remember that what we have now is the text of lectures, and we ought not to treat what are clearly lecturer’s asides as if they are developed arguments.

Aristotle’s next move is to give a name to his possible supreme good: the name εὐδαιμονία is badly but inevitably translated by happiness, badly because it includes both the notion of behaving well and the notion of faring well. Aristotle’s use of this word reflects the strong Greek sense that virtue and happiness, in the sense of prosperity, cannot be entirely divorced. The Kantian injunction which a million puritan parents have made their own, “Do not seek to be happy, seek to be deserving of happiness,” makes no sense if εὐδαίμων and εὐδαιμονίa are substituted for happy and happiness. Once again the change of language is also a change of concepts. In what does εὐδαιμονία consist? Some say in pleasure, some say in wealth, some say in honor and reputation; and some have said that there is a supreme good over and above all particular goods which is the cause of their being good. Aristotle dismisses pleasure rather brusquely at this point–“The many in choosing a life fit for cattle exhibit themselves as totally slavish”–but later on he is to deal with it at great length. Wealth cannot be the good, for it is only a means to an end; and men prize honor and reputation not as such, but they prize being honored because they are virtuous. So honor is envisaged as a desirable by-product of virtue. Does happiness, then, consist in virtue? No, because to call a man virtuous is to talk not of the state he is in, but of his disposition. A man is virtuous if he would behave in such and such a way if such and such a situation were to occur. Hence a man is no less virtuous while asleep or on other occasions when he is not exercising his virtues. More than this, however, a man can be virtuous and wretched and such a man is certainly not εὐδαίμων.

Aristotle at this point challenges not merely the Kantians and the puritans to come, but also the Platonists. Plato in both the Gorgias and the Republic looked back to Socrates and asserted that “it is better to suffer tortures on the rack than to have a soul burdened with the guilt of doing evil.” Aristotle does not confront this position directly: he merely emphasizes that it is better still both to be free from having done evil and to be free from being tortured on the rack. The fact that, strictly speaking, what Aristotle says and what Plato says are not inconsistent could be misleading. The point is that if we begin by asking for an account of goodness which is compatible with the good man suffering any degree of torture and injustice, the whole perspective of our ethics will be different from that of an ethics which begins from asking in what form of life doing well and faring well may be found together. The first perspective will end up wth an ethics which is irrelevant to the task of creating such a form of life. Our choice between these two perspectives is the choice between an ethics which is engaged in telling us how to endure a society in which the just man is crucified and an ethics which is concerned with how to create a society in which this no longer happens. But to talk like this makes Aristotle sound like a revolutionary beside Plato’s conservatism. And this is a mistake. For, indeed, Plato’s memory of Socrates insures that even at his worst he has a deep dissatisfaction with all actually existing societies, while Aristotle is in fact always extremely complacent about the existing order. And yet Aristotle is at this point in his argument far more positive than Plato. “No one would call a man suffering miseries and misfortunes happy, unless he were merely arguing a case.”

Plato’s making goodness independent of any this-worldly happiness follows, of course, from his concept of the good as well as from his memories of Socrates. It is this concept of the good which Aristotle now proceeds to attack. For Plato the word good’s paradigmatic meaning is given by considering it as the name of the Form of the Good; consequently, good is a single and unitary notion. Of whatever we use it, we ascribe the same relationship to the Form of the Good. But in fact we use the word in judgments in all the categories–of some subjects, such as god or intelligence, of the mode of a subject, how it is, the excellence it has, its possession of the right amount of something, its existence in the right time or place for something, and so on. Moreover, on the Platonic view everything that falls under a single Form should be the subject of a single science or inquiry; but things that are good are dealt with by a number of sciences– such as, for example, medicine and strategy. Thus Aristotle argues that Plato cannot account for the diversity of uses of good. Moreover, the phrases Plato uses to explain the concept of the Form of the Good are not in fact explanatory. To speak of the good “itself” or “as such” does not clearly add anything to good. To call the Form eternal is misleading: that something lasts forever does not render it any the better, any more than long-enduring whiteness is whiter than ephemeral whiteness. Moreover, knowledge of Plato’s Form is of no use to those in fact engaged in the sciences and crafts in which goods are achieved; they appear to be able to do without this knowledge perfectly well. But the heart of Aristotle’s criticism of Plato is in the sentence: “For even if there is some unitary being which is the good, predicated of different things in virtue of something they share or existing separated itself by itself, plainly it would not be something to be done or attained by a man; but it is something which is just that which we are now looking for.” That is, good in the sense in which it appears in human language, good in the sense of that which men seek or desire, cannot be the name of a transcendental object. To call a state of affairs good is not necessarily to say that it exists or to relate it to any object that exists, whether transcendental or not; it is to place it as a proper object of desire. And this brings us back to the identification of the good with happiness in the sense of εὐδαιμονία.

That happiness is the final end or goal, the good (and that more than a name is involved here), appears from considering two crucial properties which anything which is to be the final end must possess, and which happiness does in fact possess. The first of these is that it must be something which is always chosen for its own sake and never merely as a means to something else. There are many things which we can choose for their own sake, but may choose for the sake of some further end. But happiness is not among these. We may choose to pursue intelligence, honor, pleasure, wealth, or what we will for the sake of happiness; we could not choose to pursue happiness in order to secure intelligence, honor, pleasure, or wealth. What sort of “could not” is this? Clearly, Aristotle is saying that the concept of happiness is such that we could not use it of anything but a final end. Equally, happiness is a self-sufficient good; by self-sufficiency Aristotle intends that happiness is not a component in some other state of affairs, nor is it just one good among others. In a choice between goods, if happiness were offered along with one but not the others, this would always and necessarily tilt the scales of choice. Thus, to justify some action by saying “Happiness is brought by this” or “Happiness consists in doing this” is always to give a reason for acting which terminates argument. No further why? can be raised. To have elucidated these logical properties of the concept of happiness is not, of course, to have said anything about what happiness consists in. To this Aristotle turns next.

In what does the final end of a man consist? The final end of a flute player is to play well, of a shoemaker to make good shoes, and so on. Each of these kinds of man has a function which he discharges by performing a specific activity and which he discharges well by doing whatever it may be well. Have men therefore a specific activity which belongs to them as men, as members of a species, and not merely as kinds of men? Men share some capacities, those of nutrition and growth, with plants, and others, those of consciousness and feeling, with animals. But rationality is exclusively human. In man’s exercise of his rational powers therefore the specific human activity consists, and in the right and able exercise of them lies the specific human excellence.

Aristotle advances this argument as though it were obvious, and against the background of the general Aristotelian view of the universe it is obvious. Nature is composed of well-marked and distinct kinds of being; each of these moves and is moved from its potentiality to that state of activity in which it achieves its end. At the top of the scale is the Unmoved Mover, thought unchangingly thinking itself, to which all things are moved. Man, like every other species, moves toward his end, and his end can be determined simply by considering what distinguishes him from other species. Given the general vision, the conclusion appears unassailable; lacking it, the conclusion appears highly implausible. But very little in Aristotle’s argument is affected by this. For when he proceeds to his definition of the good, he depends only on the view that rational behavior is the characteristic exercise of human beings, in the light of which any characteristically human good has to be defined. The good of man is defined as the activity of the soul in accordance with virtue, or if there are a number of human excellences or virtues, in accordance with the best and most perfect of them. “What is more, it is this activity throughout a whole life. One swallow does not make a summer, nor one fine day. So one good day or short period does not make a man blessed and happy.”

Happy, that is, is a predicate to be used of a whole life. It is lives that we are judging when we call someone happy or unhappy and not particular states or actions. The individual actions and projects which make up a life are judged as virtuous or not, and the whole as happy or unhappy. We can see, says Aristotle, the connection between happiness thus understood and all those things which are popularly thought to constitute happiness: virtue, though not man’s final end, is an essential part of the form of life that is; pleasure is taken by a good man in virtuous activity, and hence pleasure rightly comes in; a modicum of external goods is needed for characteristic human well-being and well-doing; and so on.

We have two large questions on our agenda as a result of Aristotle’s definition of the good for man. There is the question to be answered at the end of the Ethics as to the activity in which the good man will be chiefly employed. And there is the question of the excellences, of the virtues, which he has to manifest in all his activities. When Aristotle proceeds to the discussion of the virtues he subdivides them in accordance with his division of the soul. Aristotle’s use of the expression soul is quite different from Plato’s. For Plato soul and body are two entities, contingently and perhaps unhappily united. For Aristotle the soul is form to the body’s matter. When Aristotle speaks of the soul we could very often retain his meaning by speaking of personality. Thus nothing peculiar to the Aristotelian psychology turns on his distinction between the rational and nonrational parts of the soul. For this is simply a contrast between reasoning and other human faculties. The nonrational part of the soul includes the merely physiological as well as the realm of feelings and impulses. These latter can be called rational or irrational insofar as they accord with what reason enjoins, and their characteristic excellence is to so accord. There is no necessary conflict between reason and desire, such as Plato envisages, although Aristotle is fully aware of the facts of such conflicts.

We therefore exhibit rationality in two kinds of activity: in thinking, where reasoning is what constitutes the activity itself; and in such activities other than thinking where we may succeed or fail in obeying the precepts of reason. The excellences of the former Aristotle calls the intellectual virtues; of the latter, the moral virtues. Examples of the former are wisdom, intelligence, and prudence; of the latter, liberality and temperance. Intellectual virtue is the consequence usually of explicit instruction; moral, of habit. Virtue is not inborn, but a consequence of training. The contrast with our natural capacities is plain: first we have the natural capacity, and then we exercise it; whereas with virtues we acquire the habit by first performing the acts. We become just men by performing just actions, courageous by performing courageous actions, and so on. There is no paradox here: one brave action does not make a brave man. But continuing to perform brave actions will inculcate the habit in respect of which we call not merely the action but also the man brave.

Pleasures and pains are a useful guide here. Just as they can corrupt us by distracting us from habits of virtue, so they can be used to inculcate the virtues. For Aristotle one sign of a virtuous man is that he gets pleasure from virtuous activity, and another is that he knows how to choose among pleasures and pains. It is this matter of virtue as involving choice that makes it clear that virtue cannot be either an emotion or a capacity. We are not called good or bad, we are not praised or blamed, by reason of our emotions or capacities. It is rather what we choose to do with them that entitles us to be called virtuous or vicious. Virtuous choice is choice in accordance with a mean.

This notion of the mean is perhaps the single most difficult concept in the Ethics. It will be most conveniently introduced by an example. The virtue of courage is said to be the mean between two vices–a vice of excess, which is rashness, and a vice of deficiency, which is cowardice. A mean is thus a rule or principle of choice between two extremes. Extremes of what? Of emotion or of action. In the case of courage, I give way too much to the impulses which danger arouses when I am a coward, too little to them when I am foolhardy. Three obvious objections at once arise. The first is that there are many emotions and actions for which there cannot be a “too much” or a “too little.” Aristotle specifically allows for this. He says that a man “can be afraid and be bold and desire and be angry and pity and feel pleasure and pain in general, too much or too little”; but he says also that malice, shamelessness, and envy are such that their names imply that they are evil. So also with actions such as adultery, theft, and murder. But Aristotle states no principle which will enable us to recognize what falls in one class, what in the other. We can, however, attempt to interpret Aristotle at this point and try to state the principle implicit in his examples.

If I merely ascribe anger or pity to a man, I thereby neither applaud nor condemn him. If I ascribe envy, I do so condemn him. Those emotions of which there can be a mean–and the actions which correspond to them–are those which I can characterize without any moral commitment. It is where I can characterize an emotion or action as a case of anger or whatever it is, prior to and independently of asking whether there is too much or too little of it, that I have a subject for the mean. But if this is what Aristotle means, then he is committed to showing that every virtue and vice are mean and extreme for some emotion or concern with pleasure and pain characterizeable and identifiable in nonmoral terms. Just this is what Aristotle sets out to show in the latter part of Book II of the Ethics. Envy, for example, is one extreme, and malice another, of a certain attitude to the fortunes of others. The virtue which is the mean is righteous indignation. But this very example brings out a new difficulty in the doctrine. The righteously indignant man is one who is upset by the undeserved good fortune of others (this example is perhaps the first indication that Aristotle was not a nice or a good man: the words “supercilious prig” spring to mind very often in reading the Ethics). The jealous man has an excess of this attitude–he is upset even by the deserved good fortune of others; and the malicious man is alleged to have a defect here in that he falls short of being pained–he takes pleasure. But this is absurd. The malicious man rejoices in the ill-fortune of others. The Greek word for malice, ἐπιχειρεκακία, means this. Thus what he rejoices in is not the same as what the jealous and the righteously indignant man are pained by. His attitude cannot be placed on the same scale as theirs, and only a determination to make the schematism of mean, excess, and defect work at all costs could have led Aristotle to make this slip. Perhaps with a little ingenuity Aristotle could be emended here so as to save his doctrine. But what of the virtue of liberality? The vices here are prodigality and meanness. Prodigality is excess in giving, deficiency in getting, and meanness is excess in getting, deficiency in giving. So these are not after all excess or defect of the same emotion or action. And Aristotle himself half admits that to the virtue of temperance and the excess of profligacy there is no corresponding defect. “Men deficient in the enjoyment of pleasures scarcely occur.” Thus the doctrine finally appears as at best of varying degrees of usefulness in exposition, but scarcely as picking out something logically necessary to the character of a virtue.

Moreover, there is a falsely abstract air about the doctrine. For Aristotle does not, as he might seem to, think that there is one and only one right choice of emotion or action, independent of circumstances. What is courage in one situation would in another be rashness and in a third cowardice. Virtuous action cannot be specified without reference to the judgment of a prudent man– that is, of one who knows how to take account of circumstances. Consequently, knowledge of the mean cannot just be knowledge of a formula, it must be knowledge of how to apply the rules to choices. And here the notions of excess and defect will not help us. A man who is suspicious of his own tendency to indignation will rightly consider how much envy and malice there is in it; but the connection of envy and malice with indignation is that in the one case I evince a desire to possess the goods of others, and in the other I evince a desire for the harm of others. What makes these wrong is that I desire that what is not mine should be mine, without thought for the deserts of others or myself, and that I desire harm. The viciousness of these desires is in no way due to their being excess or defect of the same desire, and therefore the doctrine of the mean is no guide here. But if this classification in terms of the mean is no practical help, what is its point? Aristotle relates it to no theoretical account of, for example, the emotions, and it therefore appears more and more as an arbitrary construction. But we can see how Aristotle may have arrived at it. For he may have examined everything commonly called a virtue, looked for a recurrent pattern, and thought that he had found one in the mean. The list of virtues in the Ethics is not a list resting on Aristotle’s own personal choices and evaluations. It reflects what Aristotle takes to be “the code of a gentleman” in contemporary Greek society. Aristotle himself endorses this code. Just as in analyzing political constitutions he treats Greek society as normative, so in explaining the virtues he treats upper-class Greek life as normative. And what else could we have expected? To this there are two answers. The first is that it would be purely unhistorical to look in the Ethics for a moral virtue such as meekness, which enters only with the Christian gospels, or thrift, which enters only with the puritan ethics of work, or for an intellectual virtue such as curiosity, which enters self-consciously with systematic experimental science. (Aristotle himself, in fact, exhibited this virtue, but perhaps could not have envisaged it as a virtue.) Yet this is not good enough as an answer, for Aristotle was aware of alternative codes. There is in Aristotle’s Ethics not merely a contempt for the morality of artisans or of barbarians, but also a systematic repudiation of the morality of Socrates. It is not just that the undeserved suffering of the good man is never attended to. But when Aristotle considers justice he so defines it that the enactments of a state are unlikely to be unjust provided that they are properly enacted, without undue haste and in due form. It cannot therefore–generally speaking–be just to break the law. Moreover, in the discussion of the virtues, the defect of the virtue of truthfulness is the vice of the self-deprecator which is named εἰρωνεία, irony. This is a word closely associated with Socrates’ claim to ignorance, and its use can scarcely have been accidental. Thus at every point where a reference to Socrates occurs in Aristotle we find none of Plato’s respect, although a deep respect for Plato himself is shown. It is difficult to resist the conclusion that what we see here is Aristotle’s class-bound conservatism silently and partisanly rewriting the table of the virtues, and so from yet another point of view suspicion is cast upon the doctrine of the mean.

The detail of Aristotle’s account of particular virtues is rendered with brilliant analysis and perceptive insight, especially in the case of courage. It is much more, as I have just suggested, the list of virtues which raises questions. The virtues discussed are courage, temperance, liberality, magnificence, greatness of soul, good temper or gentleness, being agreeable in company, wittiness, and lastly, modesty, which is treated as not a virtue, but akin to one. Of these, greatness of soul is to do in part with how to behave to one’s social inferiors, and liberality and magnificence concern one’s attitudes to one’s wealth. Three of the other virtues have to do with what are sometimes called manners in polite society. Aristotle’s social bias is thus unmistakable. This bias would not matter philosophically but for the fact that it prevents Aristotle from raising the questions, How do I decide what is in fact included in the list of the virtues? could I invent a virtue? is it logically open to me to consider a vice what others have considered a virtue? And to beg these questions is to suggest strongly that there just are so many virtues–in the same sense that at a given period there just are so many Greek states.

Aristotle’s account of the particular virtues is preceded by an account of the concept of voluntary action, necessary, as he says, because it is only to voluntary actions that praise and blame are assigned. Hence, on Aristotle’s own premise, only in voluntary actions are virtues and vices manifested. Aristotle’s method here is to give criteria for holding an action to be nonvoluntary. (The usual translation for ἀκούσιος is involuntary, but this is a mistake. Involuntary in English usage is contrasted with “deliberate” or “done on purpose,” not with “voluntary.”) An action is nonvoluntary when it is done under compulsion or in ignorance. Compulsion covers all cases when the agent is really not an agent at all. The wind carries his ship somewhere, for example. Actions can also be nonvoluntary where other people have the agent in their power, but actions done under threat of one’s parents or one’s children being put to death are borderline cases. They satisfy the ordinary criteria of voluntary actions in that they are deliberately chosen. But no one apart from such special circumstances would deliberately choose to act as he would under such threats. In some cases we allow the circumstances to be an excuse, in others not. As an example of the latter, Aristotle cites our attitude to the character of Alcmaeon in Euripides’ play, who murders his mother under threats.

Aristotle is careful to point out that the fact that I am motivated in some particular way never entails that I am compelled. If I could allow that my being moved by pleasure or for some noble end was enough to show that I was compelled, then I could not conceive of an action which could not be shown by this or a similar argument to be compulsory. But the whole point of the concept of being compelled is to distinguish actions which we have chosen on the basis of our own criteria, such as the pleasure we shall get or the nobility of the object, from those things we do in which our own choice was not part of the effective agency. Thus, to include too much under the heading of compulsion would be to destroy the point of the concept.

In the case of ignorance Aristotle distinguishes the nonvoluntary from the merely not-voluntary. For an action to be nonvoluntary through ignorance, the discovery of what he has done must cause the agent pain and a wish that he had not so acted. The rationale of this is clear. A man who, having discovered what he has unwittingly done, says, “But if I had known, that is just what I would have chosen to do” thereby assumes a kind of responsibility for the action, and so cannot use his ignorance to disclaim such responsibility. Aristotle next distinguishes actions done in a state of ignorance, such as when drunk or raging, from actions done through ignorance, and points out that moral ignorance–ignorance of what constitutes virtue and vice–is not exculpatory, but is indeed what constitutes vice. The ignorance which is exculpatory is that through which a particular action is done, which would otherwise not have been done, and it is ignorance as to the particular circumstances of the particular action. The examples of such ignorance are various. A man may not know what he is doing, as when someone tells of a matter which he does not know is a secret and so does not know that he is revealing something hidden. A man may mistake one person for another (his son for an enemy) or one thing for another (a harmless weapon for a deadly one). A man may not realize that a medicine is in this type of case deadly, or how hard he is hitting. All these types of ignorance are exculpatory, for it is a necessary condition of an action being voluntary that the agent knows what he is doing.

What is most worth remarking on here is Aristotle’s method. He does not begin by looking for some characteristic of voluntary action which all voluntary actions must have in common. He rather looks for a list of characteristics any one of which would if present in an action, be sufficient to withdraw the title “voluntary” from it. An action is treated as voluntary unless done through compulsion or ignorance. Thus Aristotle never gets involved in the riddles of later philosophers about free will. He delineates the concepts of the voluntary and the involuntary as we possess them, and brings out the point about them that they enable us to contrast those cases where we admit the validity of excuses and those cases where we do not. Because this is so, Aristotle only raises marginally–in discussing our responsibility for our own character formation–the question which has haunted modern free-will discussions, Is it possible that all actions are determined by causes independent of the agent’s deliberations and choices, so that no actions are voluntary? For Aristotle, even if all actions were somehow thus determined, there would still be a distinction between agents acting under compulsion or through ignorance and agents not so acting. And Aristotle would surely be right about this. We should not be able to escape his distinction no matter what the causation of action might be.

What does emerge about voluntary action in a positive sense is that choice and deliberation have a key role in it. The deliberation which leads up to action always concerns means and not ends. This is yet another Aristotelian saying which may mislead us if we read it anachronistically. Some modern philosophers have contrasted reason and emotion or desire in such a way that ends were merely the outcome of nonrational passions, while reason could calculate only as to the means to attain such ends. We shall see later on that Hume took such a view. But this view is alien to Aristotle’s moral psychology. Aristotle’s point is a conceptual one. If I in fact deliberate about something, it must be about alternatives. Deliberation can only be as to things which are not necessarily and inevitably what they are, and as to things which are within my power to alter. Otherwise there is no room for deliberation. But if I choose between two alternatives, then I must envisage something beyond these alternatives in the light of which I make my choice, that for the sake of which I shall choose one rather than another, that which provides me with a criterion in my deliberation. This will in fact be what in that particular case I am treating as an end. It follows that if I can deliberate about whether or not to do something, it will always be about means that I am deliberating in the light of some end. If I then deliberate about what was in the former case the end, I shall now be treating it as a means, with alternatives, to some further end. Thus, necessarily, deliberation is of means, not of ends, without there being any commitment to a moral psychology of a Humean kind.

The form of the deliberation involved Aristotle characterizes as that of the practical syllogism. The major premise of such a syllogism is a principle of action to the effect that a certain sort of thing is good for, befits, satisfies a certain class of person. The minor premise is a statement, warranted by perception, that here is some of whatever it is; and the conclusion is the action. An example which, although its content is mysterious, makes the form of the practical syllogism clear is given by Aristotle: Dry food is good for man–major premise; Here’s some dry food– minor premise; and the conclusion is that the agent eats it. That the conclusion is an action makes it plain that the practical syllogism is a pattern of reasoning by the agent and not a pattern of reasoning by others about what the agent ought to do. (That is why a second minor premise–e.g., And here is a man–would be redundant, and indeed misleading, since it would distract from the point.) Nor indeed is it a pattern of reasoning by the agent about what he ought to do. It is not to be confused with perfectly ordinary syllogisms, whose conclusion is a statement of that order. Its whole point is to probe the sense in which an action may be the outcome of reasoning.

A probable first reaction to Aristotle’s account will fasten upon just this point. How can an action follow from premises as a conclusion? Surely only a statement can do that. To remove this doubt, consider some possible relations between actions and beliefs. An action can be inconsistent with beliefs in a way analogous to that in which one belief can be inconsistent with another. If I assert that all men are mortal, and that Socrates is a man, but deny that Socrates is mortal, I become unintelligible in my utterance; if I assert that dry food is good for man, and I am a man, and I assert that this is dry food, and I do not eat it, my behavior is analogously unintelligible. But perhaps the example is bad. For it may be that I can provide an explanation which will remove the apparent inconsistency. How? By making another statement, such as that I am not hungry, having just finished gorging myself on dry food, or that I suspect that this dry food is poisoned. But this strengthens, not weakens the parallel with ordinary deductive reasoning. If I allow that a warm front’s approach causes rain, and that a warm front is approaching, but deny that it is going to rain, I can remove the appearance of inconsistency in this case also by making some further statement, such as that before the warm front reaches here it will be intercepted. So that actions can be consistent and inconsistent with beliefs in much the way that other beliefs can be. And this is because actions embody principles. It is in holding this that Aristotle lays himself open to the charge of “intellectualism.” To understand this charge, let us consider it first in a crude form and then in a more sophisticated one.

The crude version of the attack is that made by Bertrand Russell.18 It is because his actions embody principles, conform or fail to conform to precepts of reason in a way that those of no other species do, that Aristotle defines man as a rational animal. Russell’s comment upon this is to invoke the history of human folly and irrationality: men just are not rational in fact. But this is to miss Aristotle’s point massively. For Aristotle is in no sense maintaining that men always act rationally, but that the standards by which men judge their own actions are those of reason. To call human beings irrational, as Russell rightly does, is to imply that it makes sense and is appropriate to judge men as succeeding or failing in the light of rational standards, and when Aristotle calls men rational beings, he is simply pointing out the meaningfulness and appropriateness of the application of predicates which refer to such standards. However, Aristotle is committed to more than this. For he has to maintain that men characteristically act rationaly, and what this implies is that the concept of human action is such that unless a piece of behavior fulfills some elementary criterion of rationality, it does not count as an action. That is, unless implicit in the behavior there is a purpose of a recognizably human kind, unless the agent knows under some description what he is doing, and unless we can detect some principle of action in his behavior, what we have is not an action at all, but merely a bodily movement, perhaps a reflex, only to be explained in terms of other bodily movements, such as those of muscles and nerves. That Aristotle is right about this appears if we consider another kind of criticism of his intellectualism, implied in the injunctions of all those moralists who believe that reason is a misleading guide, that we should rely on instinct or on feeling. This appeal to feeling as a moral guide is central to the Romantic period; it emerges again in modern times in the appeal to dark, visceral emotion of D. H. Lawrence’s Mexican period; and in its most detestable form it is expressed in the Nazi cry to think with the blood. But these injunctions are intelligible only because they are backed up by reasons; and these reasons are usually assertions to the effect that too much reasoning leads to a calculating, insufficiently spontaneous nature, that it inhibits and frustrates. In other words, it is argued that our actions, if the product of too much calculation, will exhibit undesirable traits or will produce undesirable effects. But to argue like this is to meet Aristotle on his own ground. It is to suggest that there is some criterion or principle of action which cannot be embodied in deliberate action, and thus that deliberate action would be to that extent irrational. And to argue thus is to accept, not to dissent from, a central thesis of Aristotle’s rationalism.

Does Aristotle in any case believe that every human action is preceded by an act of deliberation? Clearly if he does believe this, what he believes is false. But he does not. It is only acts which are chosen (in a specially defined sense of chosen which involves deliberation) which are preceded by deliberation, and Aristotle says explicitly that “not all voluntary actions are chosen.” What does follow from Aristotle’s account is that we can assess every action in the light of what would have been done by an agent who had in fact deliberated before he acted. But this imagined agent cannot, of course, just be any agent. He has to be ὁ ϕρόνιμος, the prudent man. Once again translation raises difficulties. Φρόνησιϛ is well translated in medieval Latin by prudentia, but badly in English by prudence. For later generations of puritans have connected prudence with thrift, and especially with thrift in monetary matters (it is the “virtue” embodied in life insurance), and so in modern English prudent has something of the flavor of “cautious and calculating in one’s own interest.” But ϕρόνησις has no particular connection either with caution or with self-interest. It is the virtue of practical intelligence, of knowing how to apply general principles in particular situations. It is not the ability to formulate principles intellectually, or to deduce what ought to be done. It is the ability to act so that principle will take a concrete form. Prudence is not only itself a virtue, it is the keystone of all virtue. For without it one cannot be virtuous. A man may have excellent principles, but not act on them. Or he may perform just or courageous actions, but not be just or courageous, having acted through fear of punishment, say. In each case he lacks prudence. Prudence is the virtue which is manifested in acting so that one’s adherence to other virtues is exemplified in one’s actions.

Prudence is not to be confused with a simple faculty for seeing what means will bring about a given end. Aristotle denominates that particular faculty cleverness and holds that it is morally neutral, since it is of equal use to the man who pursues praiseworthy and to the man who pursues blameworthy ends. Prudence includes cleverness; it is the cleverness of the man who possesses virtue in the sense that his actions always flow from a practical syllogism whose major premise is of the form “Since the end and the best thing to do is. . . . ” It is a conjunction of a grasp of the true τέλος of men with cleverness. For Aristotle the role of intelligence is to make articulate principles on which a man whose natural dispositions are good will have already been acting unconsciously, so that we are less likely to make mistakes; the role of prudence is to know how a given principle (which will always be of a certain degree of generality) applies in a given situation. There is, therefore, after all a point in the argument at which Aristotle clashes with irrationalists such as D. H. Lawrence and with Tolstoy. For Aristotle holds that an explicit and articulate grasp of principle will help to insure the right sort of conduct, while Lawrence’s praise of spontaneity and Tolstoy’s adulation of peasant ways of life rest on the contention that being explicit and articulate about principles is morally crippling. This clash has more than one root. To a certain extent Aristotle and Lawrence or Tolstoy disagree as to what the right sort of conduct is; and to a certain extent they disagree about what the actual consequences of being articulate are. But once again we must note that although one can be a Lawrentian or a Tolstoyan without inconsistency, what one cannot consistently do is to offer an explicit and articulate rational defense of their doctrines. And the fact that both Lawrence and Tolstoy exhibited all the intellectualism which they used their intellectual resources to condemn strongly suggests that an Aristotelian position of some sort is unavoidable. Moreover, it is only when one is explicit and articulate about principle that one is able to mark clearly the cases where one has failed to do what one should have done. And because this is such a strong point in favor of Aristotle’s position, we may well be puzzled that for Aristotle failure constitutes a problem. But it does.

Aristotle begins from Socrates’ position, discussed in an earlier chapter, that nobody ever fails to do what he thinks to be best. If a man does anything, then his doing it is sufficient to show that he thought it the best thing to do. Consequently moral failure is logically impossible. This, says Aristotle, flies in the face of the facts. But, for Aristotle, that men should fail to do what they believe they ought to do still constitutes a problem. His explanations are several. A man may, for example, know what he ought to do, in the sense of being committed to a principle of action, but ignore his principle because he is not exercising his knowledge, as may happen when a man is drunk or mad or asleep. So a man carried away may do what in one sense he knows he ought not to do. Or a man may fail to recognize an occasion as one appropriate to the application of one of his principles. What we need to underline here is, however, not the adequacy of Aristotle’s explanations. We can set out a wide range of different kinds of case in which there is a gap between what an agent professes and what he does. What is interesting, however, is that Aristotle, and in this he is very close to Socrates, feels that there is something special to be explained in the facts of moral weakness or failure, that such weakness or failure constitutes a problem. This suggests strongly that Aristotle’s initial assumption is that men are rational beings in a much stronger sense than we have hitherto ascribed to him. For the suggestion is that if men always did what they thought best, there would be nothing to explain. Yet any account of men as agents which only introduces the facts of weakness and failure by a kind of afterthought is bound to be defective. For human desires are not straightforward drives to unambiguous goals in the way that biological instincts and drives are. Desires have to be given goals, and men have to be trained to reach them, and the point of having principles is in part to detect and diagnose failure in the attempt to reach them. Thus fallibility is central to human nature and not peripheral to it. Hence the portrait of a being who was not liable to error could not be the portrait of a human being. The portrait of the Jesus of the Gospels needs the temptations in the wilderness and the temptation in Gethsemane in order that we can be shown, at least in the intention of the authors, not merely a perfect man, but a perfect man.

Aristotle’s halfhearted admission of fallibility is connected not merely with a philosophical blindness to the importance of this human characteristic but also with a moral attitude to prosperity of a kind that can only be called priggish. This emerges clearly in the course of his account of the virtues. Aristotle’s list of virtues falls clearly into two parts, a division obviously not perceived by Aristotle himself. There are, on the one hand, traits such as courage, restraint, and agreeableness which it is hard to conceive of as not being valued in any human community. Even these, of course, fall on a scale. At one end of this scale there are norms and traits which could not be disavowed totally in any human society, because no group in which they were absent could fall under the concept of a society. This is a matter of logic. When Victorian anthropologists sailed round the world they reported the recurrence of certain norms in all societies as an empirical generalization, just as a comparative anatomist might report similarites in bone structure. But consider the case of truth telling. It is a logically necessary condition for any group of beings to be recognized as a human society that they should possess a language. It is a necessary condition for a language to exist that there should be shared rules, and shared rules of such a kind that an intention to say that what is, is can always be presumed. For if when a man said, “It is raining” we could not have such a presumption, then what he said would not communicate anything to us at all. But this presumption, necessary for language to be meaningful, is only possible where truth telling is the socially accepted and recognized norm. Indeed, lying itself is only possible where and on the assumption that men expect the truth to be told. Where there is no such expectation, the possibility of deception disappears too. Thus the recognition of a norm of truth telling and of a virtue of honesty seems written into the concept of a society. Other virtues, although not logically necessary to social life, are obviously causally necessary to the maintenance of such life, given that certain very widespread and elementary facts about human life and its environment are what they are. Thus the existence of material scarcity, of physical dangers, and of competitive aspirations bring both courage and justice or fairness on the scene. These are virtues which, given such facts, appear to belong to the form of human life as such. Other virtues again appear unavoidable for recognition by any society in which fairly widespread human desires are present. There can be exceptions, but as a matter of fact they will be rare. So agreeableness is a general human virtue, although we may come across an occasional people, such as the bad-tempered Dobuans, who may not rate it as such. But toward the other end of the scale there are virtues which are more or less optional, so to speak, which belong to particular contingent social forms, or which are matters of purely individual choice. The non-Aristotelian, but Christian virtues of loving one’s enemies and of humility, with the practice of turning the other cheek, appear to belong in the latter category; the English and much more Aristotelian public school virtue of being “a gentleman” in the former. These differences Aristotle does not recognize, and so we find side by side in Aristotle’s list virtues which anyone would find it hard not to recognize as virtues and alleged virtues which are difficult to comprehend outside Aristotle’s own social context and Aristotle’s own preferences within that context.

The two Aristotelian virtues which demand attention in this respect are those of “the great-souled man” (μεγαλόμνχος) and of justice. The great-souled man “claims much and deserves much.” It is for Aristotle a vice to claim less than you deserve, just as much as it is to claim more. It is particularly in relation to honor that the great-souled man claims and deserves much. And since the great-souled man has to deserve most, he must have all the other virtues too. This paragon is extremely proud. He despises honors offered by common people. He is gracious to inferiors. He repays benefits so as not to be put under obligations, and “when he repays a service, it is with interest, for in this way the original benefactor will become the beneficiary and debtor in turn.” He speaks his mind without fear or favor, because he has a poor opinion of others and would not care to conceal his opinion. He runs into few dangers, because there are few things which he values and would wish to preserve from harm.

It is because Aristotle conceives of him as not failing that Aristotle endows the great-souled man with no sense of his own fallibility. The great-souled man’s characteristic attitudes require a society of superiors and inferiors in which he can exhibit his peculiar brand of condescension. He is essentially a member of a society of unequals. In such a society he is self-sufficient and independent. He indulges in conspicuous consumption, for “he likes to own beautiful and useless things, since they are better marks of his independence.” Incidentally, he walks slowly, has a deep voice and a deliberate mode of utterance. He thinks nothing great. He only gives offense intentionally. He is very nearly an English gentleman.

This appalling picture of the crown of the virtuous life has an almost equally distressing counterpart in one aspect of Aristotle’s account of justice. Much of what Aristotle says about justice is illuminating and far from objectionable. He distinguishes between distributive justice–fairness–and the corrective justice which is involved in redress for a harm done. He defines distributive justice in terms of the mean: “To do injustice is to have more than one ought, and to suffer it is to have less than one ought,” and justice is the mean between doing injustice and suffering it. But when Aristotle comes up against the use of δίκαιος as meaning either “fair” or “right,” or “in accordance with the laws,” he asserts without argument that although everything unlawful is unfair, everything unfair is unlawful. It is less clear in the Ethics than it is in the Politics that Aristotle is prepared to believe that the positive laws of existing states can be more than marginally a variance with what is fair and right. “The laws aim either at the common interest of all, or at the interest of those in power determined in accordance with virtue or in some such way; so that in one sense we call just anything that effects or maintains the happiness or the components of the happiness of the political community.” Aristotle goes on to describe the law as enjoining virtue and forbidding vice, except where it has been carelessly enacted. And this must remind us of Aristotle’s complacency with the existing social arrangement. It is perhaps no accident that he also believes that some men are slaves by nature.

By contrast, Aristotle appears to advantage in his inclusion of friendship as among the necessities of the man who achieves or is to achieve the good. He distinguishes the varieties of friendship –those between equals and unequals; those based on shared pleasure, mutual usefulness, or common virtue–and produces a typical catalogue, whose details perhaps matter less than the fact that the discussion is there at all. But the self-sufficiency of Aristotle’s ideal man deeply injures and deforms his account of friendship. For his catalogue of types of friend presupposes that we can always ask the questions, On what is this friendship based? for the sake of what does it exist? There is therefore no room left for the type of human relationship of which it would miss the point totally to ask on what it was based, for the sake of what it existed. Such relationships can be very different: the homosexual love of Achilles for Patroclus, or of Alcibiades for Socrates; the romantic devotion of Petrarch to Laura; the marital fidelity of Sir Thomas More and his wife. But none of these could be included in the Aristotelian catalogue. For the love of the person, as against the goodness, pleasantness, or usefulness of the person, Aristotle can have no place. And we can understand why when we remember the great-souled man. He admires all that is good, so he will admire it in others. But he needs nothing, he is self-contained in his virtue. Hence friendship for him will always be a kind of moral mutual admiration society, and this is just the friendship which Aristotle describes. And this again illuminates Aristotle’s social conservatism. How could there be an ideal society for a man for whom the ideal is as ego centered as it is for Aristotle?

The exercise of virtue is, of course, for Aristotle not an end in itself. Virtues are dispositions which issue in the types of action which manifest human excellence. But the injunctions “Be virtuous,” “Be courageous,” “Be great-souled,” “Be liberal” do not tell us what to do in the sense of what to aim at; they rather tell us how we should behave in the pursuit of our aim, whatever it is. But what should that aim be? What, after all this, does εὐδαιμονία consist in? What is the τέλος of human life? A claim which Aristotle takes with immense seriousness, but nonetheless finally dismisses, is that of pleasure. On this subject he has to argue against two kinds of opponent. Speusippus, who was Plato’s immediate successor as head of the Academy, had argued that pleasure was in no sense a good. Eudoxus the astronomer, who was also a pupil of Plato, held by contrast that pleasure was the supreme good. Aristotle wished to deny the position of Speusippus without laying himself open to Eudoxus’ arguments. His arguments for the goodness of pleasure, or at least for the goodness of some pleasures, are partly a refutation of Speusippus’ position. To argue, for example, that pleasures are bad because some are harmful to health is like arguing that health is an evil because sometimes the pursuit of health conflicts with the pursuit of wealth. More positively, Aristotle points to the fact that everyone pursues pleasure as evidence that it is a good, and he advances another argument to the effect that pleasure is taken in what he calls unimpeded activity. By unimpeded activity he means activity which achieves its end, which is well done. Everybody, he argues, takes pleasure in unimpeded activity; everybody wishes his activities to be unimpeded; everybody therefore must see pleasure as a good. But in fact pleasure appears to be common to all forms of activity, and to be the only factor common to all; Aristotle finds himself for a moment close to the position of Eudoxus, and some scholars have held that in Book VII of the Ethics this is the position which he in fact takes. But, in Book X at any rate, he produces arguments against this Eudoxian position, although even here he is clearly puzzled by the relation of pleasure to the τέλος of human life. The reason why he is puzzled is evident. Pleasure clearly satisfies some of the criteria which anything which is to play the role of such a τέλος must satisfy, but equally clearly it fails to satisfy others. We take pleasure in what we do well (unimpeded activity again), and thus taking pleasure in an activity is a criterion of doing it as we wish to do it, of achieving the τέλος of that action. A τέλος must be a reason for acting, and that we would get pleasure is always a reason for acting, even if not always a finally conclusive one. Pleasure, too, is not only sought by almost everybody, and therefore appears to be a universal τέλος but it cannot be a means to anything else. We do not seek pleasure for the sake of anything further to be got out of it. At the same time, pleasure has characteristics that make it appear not to be a τέλος. It does not complete or terminate an activity; that is, the pleasure we get from doing something is not a sign that we have reached our goal and should therefore stop. Rather, getting pleasure is a reason for continuing the activity. Moreover, there is no particular action or set of actions which can be specified as ways of getting pleasure. Pleasure comes from many different kinds of activity, and so to say that pleasure was the τέλος would not of itself ever give us a reason for choosing one of those kinds of activity rather than another. But to do this is the function of a τέλος. And finally the pleasure that we take in an activity cannot be identified separately from the activity itself; to enjoy or take pleasure in doing something is not to do something and to have an accompanying experience of something else which is the pleasure. To enjoy playing a game is not to play the game, and in addition, to experience some sensations, say, which are the pleasure. To enjoy playing a game is simply to play well and not to be distracted, to be, as we say, thoroughly involved in the game. Thus we cannot identify pleasure as a τέλος external to the activity, to which the activity is a means. Pleasure, says Aristotle, in a memorable but unhelpful phrase supervenes on the τέλος “like the bloom on the cheek of youth.”

Different activities, different pleasures; which activities then? The activities of the good man. But which will these be? “If happiness consists in activity in accordance with virtue, it is reasonable that it should be activity in accordance with the highest virtue; and this will be the virtue of what is best in us.” What is best in us is reason and the characteristic activity of reason is θεωρία, that speculative reasoning which deals with unchanging truths. Such speculation can be a continuous and pleasant–it is, Aristotle says brusquely, “the pleasantest”–form of activity. It is a self-sufficient occupation. It has no practical outcome, so it cannot be a means to anything else. It is an activity of leisure and peacetime, and leisure is the time when we do things for their own sake, since business affairs are for the sake of leisure and war is for the sake of peace. Above all, since it is concerned with what is unchanging and timeless, it is concerned with the divine. Aristotle follows Plato and much else in Greek thought in equating changelessness and divinity.

Thus, surprisingly, the end of human life is metaphysical contemplation of truth. The treatise which began with an attack on Plato’s conception of the Form of the Good ends not so far away from the same attitude of contempt for the merely human. External goods are necessary only to a limited extent, and the wealth required is only moderate. Thus the whole of human life reaches its highest point in the activity of a speculative philosopher with a reasonable income. The banality of the conclusion could not be more apparent. Why then is it reached? One clue is in Aristotle’s concept of self-sufficiency. A man’s activities in his relations with other men are for Aristotle in the end subservient to this. Man may be a social-cum-political animal, but his social and political activity is not what is central. Yet who can live with this degree of leisure and wealth and this degree of disengagement from affairs outside himself? Clearly only a few people. This however could not appear as an objection to Aristotle: “For it is the nature of the many to be moved by fear, but not a sense of honor, to abstain from what is bad not on account of its baseness but for fear of the penalties; for, living on their emotions, they pursue the appropriate pleasures and the means to these pleasures, and avoid the opposite pains, but they lack even a concept of the noble end of true pleasure, never having tasted it.” So, Aristotle concludes, they could not be attracted or changed by ethical theorizing. The tone is that of Plato’s Laws.


Aristotle’s audience, then, is explicitly a small leisured minority. We are no longer faced with a τέλος for human life as such, but with a τέλος for one kind of life which presupposes a certain kind of hierarchical social order and which presupposes also a view of the universe in which the realm of timeless truth is metaphysically superior to the human world of change and sense experience and ordinary rationality. All Aristotle’s conceptual brilliance in the course of the argument declines at the end to an apology for this extraordinarily parochial form of human existence. At once the objection will be made: this is to judge Aristotle against the background of our values, not of his. It is to be guilty of anachronism. But this is not true. Socrates had already presented an alternative set of values in both his teaching and his life; Greek tragedy presents other, different possibilities; Aristotle did not choose what he chose for lack of knowledge of alternative views of human life. How, then, are we to understand this union in the Ethics of philosophical acumen and social obscurantism? To answer this we must look at his work in a wider perspective.

MacIntyre, Alasdair. (2002). Short History of Ethics, A: History of Moral Philosophy from the Homeric Age to the Twentieth Century. (Taylor & Francis 2002)

Tuesday, September 17, 2013

On Political Judgment

By Sir Isaiah Berlin (1909-1997)
Initially published in The New York Review of Books, October 3, 1996

What is it to have good judgment in politics? What is it to be politically wise, or gifted, to be a political genius, or even to be no more than politically competent, to know how to get things done? Perhaps one way of looking for the answer is by considering what we are saying when we denounce statesmen, or pity them, for not possessing these qualities. We sometimes complain that they are blinded by prejudice or passion, but blinded to what? We say that they don’t understand the times they live in, or that they are resisting something called “the logic of the facts,” or are “trying to put the clock back,” or that “history is against them,” or that they are ignorant or incapable of learning, or else unpractical idealists, visionaries, Utopians, hypnotized by the dream of some fabulous past or some unrealizable future.

All such expressions and metaphors seem to presuppose that there is something to know (of which the critic has some notion) which these unfortunate persons have somehow not managed to grasp, whether it is the inexorable movement of some cosmic clock which no man can alter, or some pattern of things in time or space, or in some more mysterious medium—”the realm of the Spirit” or “ultimate reality”—which one must first understand if one is to avoid frustration.

But what is this knowledge? Is it knowledge of a science? Are there really laws to be discovered, rules to be learned? Can statesmen be taught something called political science—the science of the relationships of human beings to each other and to their environment—which consists, like other sciences, of systems of verified hypotheses, organized under laws, that enable one, by the use of further experiment and observation, to discover other facts, and to verify new hypotheses?

Certainly that was the notion, either concealed or open, of both Hobbes and Spinoza, each in his own fashion, and of their followers—a notion that grew more and more powerful in the eighteenth and nineteenth centuries, when the natural sciences acquired enormous prestige, and attempts were made to maintain that anything not capable of being reduced to a natural science could not properly be called knowledge at all. The more ambitious and extreme scientific determinists, such as Holbach, Helvétius, and La Mettrie, used to think that, given enough knowledge of universal human nature and of the laws of social behavior, and enough knowledge of the state of given human beings at a given time, one could scientifically calculate how these human beings, or at any rate large groups of them—entire societies or classes—would behave under some other given set of circumstances. It was argued, and this seemed reasonable enough at the time, that just as knowledge of mechanics was indispensable to engineers or architects or inventors, so knowledge of social mechanics was necessary for anyone—statesmen, for example—who wished to get large bodies of men to do this or that. For without it, what had they to rely on but casual impressions, half-remembered, unverified recollections, guesswork, mere rules of thumb, unscientific hypotheses? One must, no doubt, make do with these if one has no proper scientific method at one’s disposal; but one should realize that this is no better than unorganized conjectures about nature made by primitive peoples, or by the inhabitants of Europe during the Dark Ages—grotesquely inadequate tools superseded by the earliest advances of true science. And there are those (in institutions of higher learning) who have thought this, and think this still, in our own times.

Less ambitious thinkers, influenced by the fathers of the life sciences at the turn of the eighteenth century, conceived of the science of society as being rather more like a kind of social anatomy. To be a good doctor it is necessary, but not sufficient, to know anatomical theory. For one must also know how to apply it to specific cases—to particular patients, suffering from particular forms of a particular disease. This cannot be wholly learned from books or professors, it requires considerable personal experience and natural aptitude. Nevertheless, neither experience nor natural gifts can ever be a complete substitute for knowledge of a developed science—pathology, say, or anatomy. To know only the theory might not be enough to enable one to heal the sick, but to be ignorant of it is fatal. By analogy with medicine, such faults as bad political judgment, lack of realism, Utopianism, attempts to arrest progress, and so on were duly conceived as deriving from ignorance or defiance of the laws of social development—laws of social biology (which conceives of society as an organism rather than a mechanism), or of the corresponding science of politics.

The scientifically inclined philosophers of the eighteenth century believed passionately in just such laws, and tried to account for human behavior wholly in terms of the identifi-able effects of education, of natural environment, and of the calculable results of the play of appetites and passions. However, this approach turned out to explain so small a part of the actual behavior of human beings at times when it seemed most in need of explanation—during and after the Jacobin Terror—and failed so conspicuously to predict or analyze such major phenomena as the growth and violence of nationalism, the uniqueness of, and the conflicts between, various cultures, and the events leading to wars and revolutions, and displayed so little understanding of what may broadly be called spiritual or emotional life (whether of individuals or of whole peoples), and the unpredictable play of irrational factors, that new hypotheses inevitably entered the field, each claiming to overthrow all the others, and to be the last and definitive word on the subject.

Messianic preachers—prophets—such as Saint-Simon, Fourier, Comte, dogmatic thinkers such as Hegel, Marx, Spengler, historically-minded theological thinkers from Bossuet to Toynbee, the popularizers of Darwin, the adaptors of this or that dominant school of sociology or psychology—all have attempted to step into the breach caused by the failure of the eighteenth-century philosophers to construct a proper, successful science of society. Each of these new nineteenth-century apostles laid some claim to exclusive possession of the truth. What they all have in common is the belief that there is one great universal pattern, and one unique method of apprehending it, knowledge of which would have saved statesmen many an error, and humanity many a hideous tragedy.

It was not exactly denied that such statesmen as Colbert, or Richelieu, or Washington, or Pitt, or Bismarck, seem to have done well enough without this knowledge, just as bridges had obviously been built before the principles of mechanics were discovered, and diseases had been cured by men who appeared to know no anatomy. It was admitted that much could be—and had been—achieved by the inspired guesses of individual men of genius, and by their instinctive skills; but, so it was argued, particularly toward the end of the nineteenth century, there was no need to look to so precarious a source of light. The principles upon which these great men acted, even though they may not have known it, so some optimistic sociologists have maintained, can be extracted and reduced to an accurate science, very much as the principles of biology or mechanics must once have been established.

According to this view, political judgment need never again be a matter of instinct and flair and sudden illuminations and strokes of unanalyzable genius; rather it should henceforth be built upon the foundations of indubitable knowledge. Opinions might differ about whether this new knowledge was empirical or a priori, whether it derived its authority from the methods of natural science or from metaphysics; but in either form it amounted to what Herbert Spencer called the sciences of social statics and social dynamics. Those who applied it were social engineers; the mysterious art of government was to be mysterious no longer: it could be taught, learned, applied; it was a matter of professional competence and specialization.

This thesis would be more plausible if the newly discovered laws did not, as a rule, turn out either to be ancient truisms—such as that most revolutions are followed by reaction (which amounts to not much more than the virtual tautology that most movements come to an end at some time, and are then followed by something else, often in some opposite direction)—or else to be constantly upset, and violently upset, by events, leaving the theoretical systems in ruins. Perhaps nobody did so much to undermine confidence in a dependable science of human relations as the great tyrants of our day—Lenin, Stalin, Hitler. If belief in the laws of history and “scientific socialism” really did help Lenin or Stalin, it helped them not so much as a form of knowledge, but in the way that a fanatical faith in almost any dogma can be of help to determined men, by justifying ruthless acts and suppressing doubts and scruples.

Between them, Stalin and Hitler left scarcely stone upon stone of the once splendid edifice of the inexorable laws of history. Hitler, after all, almost succeeded in his professed aim of undoing the results of the French Revolution. The Russian Revolution violently twisted the whole of Western society out of what, until that time, seemed to most observers a fairly orderly course—twisted it into an irregular movement, followed by a dramatic collapse, foretold as little by Marxist as by any other “scientific” prophets. It is easy enough to arrange the past in a symmetrical way—Voltaire’s famous cynical epigram to the effect that history is so many tricks played upon the dead is not as superficial as it seems.(1) A true science, though, must be able not merely to rearrange the past but to predict the future. To classify facts, to order them in neat patterns, is not quite yet a science.

We are told that the great earthquake that destroyed Lisbon in the mid-eighteenth century shook Voltaire’s faith in inevitable human progress. Similarly the great destructive political upheavals of our own time have instilled terrible doubts about the feasibility of a reliable science of human behavior for the guidance of men of action—be they industrialists or social-welfare officers or statesmen. The subject evidently had to be re-examined afresh: the assumption that an exact science of social behavior was merely a matter of time and ingenuity no longer seemed quite so self-evident. What method should this science pursue? Clearly not deductive: there existed no accepted axioms from which the whole of human behavior could be deduced by means of agreed logical rules. Not even the most dogmatic theologian would claim as much as that. Inductive, then? Laws based on the survey of a large collection of empirical data? Or on hypothetical-deductive methods not very easily applicable to the complexities of human affairs?

In theory, no doubt, such laws should have been discoverable, but in practice this looked less promising. If I am a statesman faced with an agonizing choice of possible courses of action in a critical situation, will I really find it useful—even if I can afford to wait that long for the answer—to employ a team of specialists in political science to assemble for me from past history all kinds of cases analogous to my situation, from which I or they must then abstract what these cases have in common, deriving from this exercise relevant laws of human behavior? The instances for such induction—or for the construction of hypotheses intended to systematize historical knowledge—would, because human experience is so various, not be numerous; and the dismissal even from these instances of all that is unique to each, and the retention only of that which is common, would produce a very thin, generalized residue, and one far too unspecific to be of much help in a practical dilemma.

Obviously what matters is to understand a particular situation in its full uniqueness, the particular men and events and dangers, the particular hopes and fears which are actively at work in a particular place at a particular time: in Paris in 1791, in Petrograd in 1917, in Budapest in 1956, in Prague in 1968, or in Moscow in 1991. We need not attend systematically to whatever it is that these have in common with other events and other situations, which may resemble them in some respects, but may happen to lack exactly that which makes all the difference at a particular moment, in a particular place. If I am driving a car in desperate haste, and come to a rickety-looking bridge, and must make up my mind whether it will bear my weight, some knowledge of the principles of engineering would no doubt be useful. But even so I can scarcely afford to stop to survey and calculate. To be useful to me in a crisis such knowledge must have given rise to a semi-instinctive skill—like the ability to read without simultaneous awareness of the rules of the language.

Still, in engineering some laws can, after all, be formulated, even though I do not need to keep them constantly in mind. In the realm of political action, laws are far and few indeed: skills are everything. What makes statesmen, like drivers of cars, successful is that they do not think in general terms—that is, they do not primarily ask themselves in what respect a given situation is like or unlike other situations in the long course of human history (which is what historical sociologists, or theologians in historical clothing, such as Vico or Toynbee, are fond of doing). Their merit is that they grasp the unique combination of characteristics that constitute this particular situation—this and no other. What they are said to be able to do is to understand the character of a particular movement, of a particular individual, of a unique state of affairs, of a unique atmosphere, of some particular combination of economic, political, personal factors; and we do not readily suppose that this capacity can literally be taught.

We speak of, say, an exceptional sensitiveness to certain kinds of fact; we resort to metaphors. We speak of some people as possessing antennae, as it were, that communicate to them the specific contours and texture of a particular political or social situation. We speak of the possession of a good political eye, or nose, or ear, of a political sense which love or ambition or hate may bring into play, of a sense that crisis and danger sharpen (or alternatively blunt), to which experience is crucial, a particular gift, possibly not altogether unlike that of artists or creative writers. We mean nothing occult or metaphysical; we do not mean a magic eye able to penetrate into something that ordinary minds cannot apprehend; we mean something perfectly ordinary, empirical, and quasi-aesthetic in the way that it works.

The gift we mean entails, above all, a capacity for integrating a vast amalgam of constantly changing, multicolored, evanescent, perpetually overlapping data, too many, too swift, too intermingled to be caught and pinned down and labeled like so many individual butterflies. To integrate in this sense is to see the data (those identified by scientific knowledge as well as by direct perception) as elements in a single pattern, with their implications, to see them as symptoms of past and future possibilities, to see them pragmatically—that is, in terms of what you or others can or will do to them, and what they can or will do to others or to you. To seize a situation in this sense one needs to see, to be given a kind of direct, almost sensuous contact with the relevant data, and not merely to recognize their general characteristics, to classify them or reason about them, or analyze them, or reach conclusions and formulate theories about them.

To be able to do this well seems to me to be a gift akin to that of some novelists, that which makes such writers as, for example, Tolstoy or Proust convey a sense of direct acquaintance with the texture of life; not just the sense of a chaotic flow of experience, but a highly developed discrimination of what matters from the rest, whether from the point of view of the writer or that of the characters he describes. Above all this is an acute sense of what fits with what, what springs from what, what leads to what; how things seem to vary to different observers, what the effect of such experience upon them may be; what the result is likely to be in a concrete situation of the interplay of human beings and impersonal forces—geographical or biological or psychological or whatever they may be. It is a sense for what is qualitative rather than quantitative, for what is specific rather than general; it is a species of direct acquaintance, as distinct from a capacity for description or calculation or inference; it is what is variously called natural wisdom, imaginative understanding, insight, perceptiveness, and, more misleadingly, intuition (which dangerously suggests some almost magical faculty), as opposed to the very different virtues—very great as these are—of theoretical knowledge or learning, erudition, powers of reasoning and generalization, and intellectual genius.

The quality I am attempting to describe is that special understanding of public life (or for that matter private life) which successful statesmen have, whether they are wicked or virtuous—that which Bismarck had (surely a conspicuous example, in the last century, of a politician endowed with considerable political judgment), or Talleyrand or Franklin Roosevelt, or, for that matter, men such as Cavour or Disraeli, Gladstone or Atatürk, in common with the great psychological novelists, something which is conspicuously lacking in men of more purely theoretical genius such as Newton or Einstein or Russell, or even Freud. This is true even of Lenin, despite the huge weight of theory by which he burdened himself.

What are we to call this kind of capacity? Practical wisdom, practical reason, perhaps, a sense of what will “work,” and what will not. It is a capacity, in the first place, for synthesis rather than analysis, for knowledge in the sense in which trainers know their animals, or parents their children, or conductors their orchestras, as opposed to that in which chemists know the contents of their test tubes, or mathematicians know the rules that their symbols obey. Those who lack this, whatever other qualities they may possess, no matter how clever, learned, imaginative, kind, noble, attractive, gifted in other ways they may be, are correctly regarded as politically inept—in the sense in which Joseph II of Austria was inept (and he was certainly a morally better man than, say, his contemporaries Frederick the Great and the Empress Catherine II of Russia, who were far more successful in attaining their ends, and far more benevolently disposed toward mankind) or in which the Puritans, or James II, or Robespierre (or, for that matter, Hitler or even Lenin in the end) proved to be inept at realizing at least their positive ends.

What is it that the Emperor Augustus or Bismarck knew and the Emperor Claudius or Joseph II did not? Very probably the Emperor Joseph was intellectually more distinguished and far better read than Bismarck, and Claudius may have known many more facts than Augustus. But Bismarck (or Augustus) had the power of integrating or synthesizing the fleeting, broken, infinitely various wisps and fragments that make up life at any level, just as every human being, to some extent, must integrate them (if he is to survive at all), without stopping to analyze how he does what he does, and whether there is a theoretical justification for his activity. Everyone must do it, but Bismarck did it over a much larger field, against a wider horizon of possible courses of action, with far greater power—to a degree, in fact, which is quite correctly described as that of genius. Moreover, the bits and pieces which require to be integrated—that is, seen as fitting with other bits and pieces, and not compatible with yet others, in the way in which, in fact, they do fit and fail to fit in reality—these basic ingredients of life are in a sense too familiar, we are too much with them, they are too close to us, they form the texture of the semiconscious and unconscious levels of our life, and for that reason they tend to resist tidy classification.

Of course, whatever can be isolated, looked at, inspected, should be. We need not be obscurantist. I do not wish to say or hint, as some romantic thinkers have, that something is lost in the very act of investigating, analyzing, and bringing to light, that there is some virtue in darkness as such, that the most important things are too deep for words, and should be left untouched, that it is somehow blasphemous to enunciate them.(2) This I believe to be a false and on the whole deleterious doctrine. Whatever can be illuminated, made articulate, incorporated in a proper science, should of course be so. “We murder to dissect,” wrote Wordsworth (3)—at times we do; at other times dissection reveals truths. There are vast regions of reality which only scientific methods, hypotheses, established truths, can reveal, account for, explain, and indeed control. What science can achieve must be welcomed. In historical studies, in classical scholarship, in archaeology, linguistics, demography, the study of collective behavior, in many other fields of human life and endeavor, scientific methods can give indispensable information.

I do not hold with those who maintain that natural science, and the technology based upon it, somehow distorts our vision, and prevents us from direct contact with reality—”being”—which pre-Socratic Greeks or medieval Europeans saw face to face. This seems to me an absurd nostalgic delusion. My argument is only that not everything, in practice, can be—indeed that a great deal cannot be—grasped by the sciences. For, as Tolstoy taught us long ago, the particles are too minute, too heterogeneous, succeed each other too rapidly, occur in combinations of too great a complexity, are too much part and parcel of what we are and do, to be capable of submitting to the required degree of abstraction, that minimum of generalization and formalization—idealization—which any science must exact. After all, Frederick of Prussia and Catherine the Great founded scientific academies (which are still famous and important) with the help of French and Swiss scientists—but did not seek to learn from them how to govern. And although the father of sociology, the eminent Auguste Comte himself, certainly knew a great many more facts and laws than any politician, his theories are today nothing but a sad, huge, oddly-shaped fossil in the stream of knowledge, a kind of curiosity in a museum, whereas Bismarck’s political gifts—if I may return to this far from admirable man, because he is perhaps the most effective of all nineteenth-century statesmen—are, alas, only too familiar among us still. There is no natural science of politics any more than a natural science of ethics. Natural science cannot answer all questions.

All I am concerned to deny, or at least to doubt, is the truth of Freud’s dictum that while science cannot explain everything, nothing else can do so. Bismarck understood something which, let us say, Darwin or James Clerk Maxwell did not need to understand, something about the public medium in which he acted, and he understood it as sculptors understand stone or clay; understood, that is, in this particular case, the potential reactions of relevant bodies of Germans or Frenchmen or Italians or Russians, and understood this without, so far as we know, any conscious inference or careful regard to the laws of history, or laws of any kind, and without recourse to any other specific key or nostrum—not those recommended by Maistre, or Hegel or Nietzsche or Bergson or some of their modern irrationalist successors, any more than those of their enemies, the friends of science. He was successful because he had the particular gift of using his experience and observation to guess successfully how things would turn out.

Scientists, at least qua scientists, do not need this talent. Indeed their training often makes them peculiarly unfit in this respect. Those who are scientifically trained often seem to hold Utopian political views precisely because of a belief that methods or models which work well in their particular fields will apply to the entire sphere of human action, or if not this particular method or this particular model, then some other method, some other model of a more or less similar kind. If natural scientists are at times naive in politics, this may be due to the influence of an insensibly made, but nevertheless misleading, identification of what works in the formal and deductive disciplines, or in laboratories, with what works in the organization of human life.

I repeat: to deny that laboratories or scientific models offer something—sometimes a great deal—of value for social organization or political action is sheer obscurantism; but to maintain that they have more to teach us than any other form of experience is an equally blind form of doctrinaire fanaticism which has sometimes led to the torture of innocent men by pseudo-scientific monomaniacs in pursuit of the millennium. When we say of the men of 1789 in France, or of 1917 in Russia, that they were too doctrinaire, that they relied too much on theories—whether eighteenth-century theories such as Rousseau’s, or nineteenth-century theories such as Marx’s—we do not mean that although these particular theories were indeed defective, better ones could in principle be discovered, and that these better theories really would at last do the job of making men happy and free and wise, so that they would not need, any longer, to depend so desperately on the improvisations of gifted leaders, leaders who are so few and far between, and so liable to megalomania and terrible mistakes.

What we mean is the opposite: that theories, in this sense, are not appropriate as such in these situations. It is as if we were to look for a theory of tea-tasting, a science of architecture. The factors to be evaluated are in these cases too many, and it is on skill in integrating them, in the sense I have described, that everything depends, whatever may be our creed or our purpose—whether we are utilitarians or liberals, communists or mystical theocrats, or those who have lost their way in some dark Heideggerian forest. Sciences, theories no doubt do sometimes help, but they cannot be even a partial substitute for a perceptual gift, for a capacity for taking in the total pattern of a human situation, of the way in which things hang together—a talent to which, the finer, the more uncannily acute it is, the power of abstraction and analysis seems alien, if not positively hostile.

A scientifically trained observer can of course always analyze a particular social abuse, or suggest a particular remedy, but he can do little, as a scientist, to predict what general effects the application of a given remedy or the elimination of a given source of misery or injustice is going to have on other—especially on remote—parts of our total social system. We begin by trying to alter what we can see, but the tremors which our action starts sometimes run through the entire depth of our society; levels to which we pay no conscious attention are stirred, and all kinds of unintended results ensue. It is semi-instinctive knowledge of these lower depths, knowledge of the intricate connections between the upper surface and other, remoter layers of social or individual life (which Burke was perhaps the first to emphasize, if only to turn his perception to his own traditionalist purposes), that is an indispensable ingredient of good political judgment.

We rightly fear those bold reformers who are too obsessed by their vision to pay attention to the medium in which they work, and who ignore imponderables—John of Leiden, the Puritans, Robespierre, Lenin, Hitler, Stalin. For there is a literal sense in which they know not what they do (and do not care either). And we are rightly apt to put more trust in the equally bold empiricists, Henry IV of France, Peter the Great, Frederick of Prussia, Napoleon, Cavour, Lincoln, Lloyd George, Masaryk, Franklin Roosevelt (if we are on their side at all), because we see that they understand their material. Is this not what is meant by political genius? Or genius in other provinces of human activity? This is not a contrast between conservatism and radicalism, or between caution and audacity, but between types of gift. As there are differences of gifts, so there are different types of folly. Two of these types are in direct contradiction, and in a curious and paradoxical fashion.

The paradox is this: in the realm presided over by the natural sciences, certain laws and principles are recognized as having been established by proper methods—that is, methods recognized as reliable by scientific specialists. Those who deny or defy these laws or methods—people, say, who believe in a flat earth, or do not believe in gravitation—are quite rightly regarded as cranks or lunatics. But in ordinary life, and perhaps in some of the humanities—studies such as history, or philosophy, or law (which differ from the sciences if only because they do not seem to establish—or even want to establish—wider and wider generalizations about the world)—those are Utopian who place excessive faith in laws and methods derived from alien fields, mostly from the natural sciences, and apply them with great confidence and somewhat mechanically.

The arts of life—not least of politics—as well as some among the humane studies turn out to possess their own special methods and techniques, their own criteria of success and failure. Utopianism, lack of realism, bad judgment here consist not in failing to apply the methods of natural science, but, on the contrary, in over-applying them. Here failure comes from resisting that which works best in each field, from ignoring or opposing it either in favor of some systematic method or principle claiming universal validity—say the methods of natural science (as Comte did), or of historical theology or social development (as Marx did)—or else from a wish to defy all principles, all methods as such, from simply advocating trust in a lucky star or personal inspiration: that is, mere irrationalism.

To be rational in any sphere, to display good judgment in it, is to apply those methods which have turned out to work best in it. What is rational in a scientist is therefore often Utopian in a historian or a politician (that is, it systematically fails to obtain the desired result), and vice versa. This pragmatic platitude entails consequences that not everyone is ready to accept. Should statesmen be scientific? Should scientists be put in authority, as Plato or Saint-Simon or H.G. Wells wanted? Equally, we might ask, should gardeners be scientific, should cooks? Botany helps gardeners, laws of dietetics may help cooks, but excessive reliance on these sciences will lead them—and their clients—to their doom. The excellence of cooks and gardeners still depends today most largely upon their artistic endowment and, like that of politicians, on their capacity to improvise. Most of the suspicion of intellectuals in politics springs from the belief, not entirely false, that, owing to a strong desire to see life in some simple, symmetrical fashion, they put too much faith in the beneficent results of applying directly to life conclusions obtained by operations in some theoretical sphere. And the corollary of this over-reliance on theory, a corollary alas too often corroborated by experience, is that if the facts—that is, the behavior of living human beings—are recalcitrant to such experiment, the experimenter becomes annoyed, and tries to alter the facts to fit the theory, which, in practice, means a kind of vivisection of societies until they become what the theory originally declared that the experiment should have caused them to be. The theory is “saved,” indeed, but at too high a cost in useless human suffering; yet since it is applied in the first place, ostensibly at least, to save men from the hardships which, it is alleged, more haphazard methods would bring about, the result is self-defeating. So long as there is no science of politics in sight, attempts to substitute counterfeit science for individual judgment not only lead to failure, and, at times, major disasters, but also discredit the real sciences, and undermine faith in human reason.

The passionate advocacy of unattainable ideals may, even if it is Utopian, break open the barriers of blind tradition and transform the values of human beings, but the advocacy of pseudo-scientific or other kinds of falsely certified means—methods of the sort advertised by metaphysical or other kinds of bogus prospectuses—can only do harm. There is a story—I don’t know how true—that when the Prime Minister Lord Salisbury was one day asked on what principle he decided whether to go to war, he replied that, in order to decide whether or not to take an umbrella, he looked at the sky. Perhaps this goes too far. If a reliable science of political weather-forecasting existed, this would, no doubt, be condemned as too subjective a procedure. But, for reasons which I have tried to give, such a science, even if it is not impossible in principle, is still very far to seek. And to act as if it already existed, or was merely round the corner, is an appalling and gratuitous handicap to all political movements, whatever their principles and whatever their purposes—from the most reactionary to the most violently revolutionary—and leads to avoidable suffering.

To demand or preach mechanical precision, even in principle, in a field incapable of it is to be blind and to mislead others. Moreover, there is always the part played by pure luck—which, mysteriously enough, men of good judgment seem to enjoy rather more often than others. This, too, is perhaps worth pondering.

1. "Un historien est un babillard qui fait des tracasseries aux morts." The Complete Works of Voltaire, Volume 82 (University of Toronto Press, 1968), p. 452.

2. In this spirit Keats wrote: "Do not all charms fly/At the mere touch of cold philosophy?… Philosophy will clip an Angel's wings,/Conquer all mysteries by rule and line…." Lamia (1820).

3. In "The Tables Turned" (1798).


Tuesday, August 27, 2013

Cowboy Nation


Robert Kagan, author of the recent book, The Return of History and the End of Dreams (Knopf 2008), writes a monthly column on world affairs for the Washington Post and is a contributing editor at both the Weekly Standard and the New Republic.

(B.A., Yale University; M.P.P., John F. Kennedy School of Government, Harvard University; Ph.D., American University)



This article was published on October 17, 2006 in THE NEW REPUBLIC ONLINE.

These days, we are having a national debate over the direction of foreign policy. Beyond the obvious difficulties in Iraq and Afghanistan, there is a broader sense that our nation has gone astray. We have become too militaristic, too idealistic, too arrogant; we have become an "empire." Much of the world views us as dangerous. In response, many call for the United States to return to its foreign policy traditions, as if that would provide the answer.

What exactly are those traditions? One tradition is this kind of debate, which we've been having ever since the birth of the nation, when Patrick Henry accused supporters of the Constitution of conspiring to turn the young republic into a "great and mighty empire." Today, we are mightier than Henry could have ever imagined. Yet we prefer to see ourselves in modest terms--as a reluctant hegemon, a status quo power that seeks only ordered stability in the international arena. James Schlesinger captured this perspective several years ago, when he said that Americans have "been thrust into a position of lonely preeminence." The United States, he added, is "a most unusual, not to say odd, country to serve as international leader." If, at times, we venture forth and embroil ourselves in the affairs of others, it is either because we have been attacked or because of the emergence of some dangerous revolutionary force--German Nazism, Japanese imperialism, Soviet communism, radical Islamism. Americans do not choose war; war is thrust upon us. As a recent presidential candidate put it, "The United States of America never goes to war because we want to; we only go to war because we have to. That is the standard of our nation."


But that self-image, with its yearning for some imagined lost innocence, is based on myth. Far from the modest republic that history books often portray, the early United States was an expansionist power from the moment the first pilgrim set foot on the continent; and it did not stop expanding--territorially, commercially, culturally, and geopolitically--over the next four centuries. The United States has never been a status quo power; it has always been a revolutionary one, consistently expanding its participation and influence in the world in ever-widening arcs. The impulse to involve ourselves in the affairs of others is neither a modern phenomenon nor a deviation from the American spirit. It is embedded in the American DNA.

Long before the country's founding, British colonists were busy driving the Native American population off millions of acres of land and almost out of existence. From the 1740s through the 1820s, and then in another burst in the 1840s, Americans expanded relentlessly westward from the Alleghenies to the Ohio Valley and on past the Rocky Mountains to the Pacific, southward into Mexico and Florida, and northward toward Canada--eventually pushing off the continent not only Indians, but the great empires of France, Spain, and Russia as well. (The United Kingdom alone barely managed to defend its foothold in North America.) This often violent territorial expansion was directed not by redneck "Jacksonians" but by eastern gentlemen expansionists like George Washington, Thomas Jefferson, and John Quincy Adams.

It would have been extraordinary had early Americans amassed all this territory and power without really wishing for it. But they did wish for it. With 20 years of peace, Washington predicted in his valedictory, the United States would acquire the power to "bid defiance, in a just cause, to any earthly power whatsoever." Jefferson foresaw a vast "empire of liberty" spreading west, north, and south across the continent. Hamilton believed the United States would, "erelong, assume an attitude correspondent with its great destinies--majestic, efficient, and operative of great things. A noble career lies before it." John Quincy Adams considered the United States "destined by God and nature to be the most populous and powerful people ever combined under one social compact." And Americans' aspirations only grew in intensity over the decades, as national power and influence increased. In the 1850s, William Seward predicted that the United States would become the world's dominant power, "the greatest of existing states, greater than any that has ever existed." A century later, Dean Acheson, present at the creation of a U.S.-dominated world order, would describe the United States as "the locomotive at the head of mankind" and the rest of the world as "the caboose." More recently, Bill Clinton labeled the United States "the world's indispensable nation."

From the beginning, others have seen Americans not as a people who sought ordered stability but as persistent disturbers of the status quo. As the ancient Corinthians said of the Athenians, they were "incapable of either living a quiet life themselves or of allowing anyone else to do so." Nineteenth-century Americans were, in the words of French diplomats, "numerous," "warlike," and an "enemy to be feared." In 1817, John Quincy Adams reported from London, "The universal feeling of Europe in witnessing the gigantic growth of our population and power is that we shall, if united, become a very dangerous member of the society of nations." The United States was dangerous not only because it was expansionist, but also because its liberal republicanism threatened the established conservative order of that era. Austria's Prince Metternich rightly feared what would happen to the "moral force" of Europe's conservative monarchies when "this flood of evil doctrines" was married to the military, economic, and political power Americans seemed destined to acquire.

What Metternich understood, and what others would learn, was that the United States was a nation with almost boundless ambition and a potent sense of national honor, for which it was willing to go to war. It exhibited the kind of spiritedness, and even fierceness, in defense of home, hearth, and belief that the ancient Greeks called thumos. It was an uncommonly impatient nation, often dissatisfied with the way things were, almost always convinced of the possibility of beneficial change and of its own role as a catalyst. It was also a nation with a strong martial tradition. Eighteenth- and nineteenth-century Americans loved peace, but they also believed in the potentially salutary effects of war. "No man in the nation desires peace more than I," Henry Clay declared before the war with Great Britain in 1812. "But I prefer the troubled ocean of war, demanded by the honor and independence of the country, with all its calamities, and desolations, to the tranquil, putrescent pool of ignominious peace." Decades later, Oliver Wendell Holmes Jr., the famed jurist who had fought--and been wounded three times--in the Civil War, observed, "War, when you are at it, is horrible and dull. It is only when time has passed that you see that its message was divine."

Modern Americans don't talk this way anymore, but it is not obvious that we are very different in our attitudes toward war. Our martial tradition has remained remarkably durable, especially when compared with most other democracies in the post-World War II era. From 1989 to 2003, a 14-year period spanning three very different presidencies, the United States deployed large numbers of combat troops or engaged in extended campaigns of aerial bombing and missile attacks on nine different occasions: in Panama (1989), Somalia (1992), Haiti (1994), Bosnia (1995-1996), Kosovo (1999), Afghanistan (2001), and Iraq (1991, 1998, 2003). That is an average of one significant military intervention every 19 months--a greater frequency than at any time in our history. Americans stand almost alone in believing in the utility and even necessity of war as a means of obtaining justice. Surveys commissioned by the German Marshall Fund consistently show that 80 percent of Americans agree with the proposition that "[u]nder some conditions, war is necessary to obtain justice." In France, Germany, Italy, and Spain, less than one-third of the population agrees.

How do we reconcile the gap between our preferred self-image and this historical reality? With difficulty. We are, and have always been, uncomfortable with our power, our ambition, and our willingness to use force to achieve our objectives. What the historian Gordon Wood has called our deeply rooted "republicanism" has always made us suspicious of power, even our own. Our enlightenment liberalism, with its belief in universal rights and self-determination, makes us uncomfortable using our influence, even in what we regard as a good cause, to deprive others of their freedom of action. Our religious conscience makes us look disapprovingly on ambition--both personal and national. Our modern democratic worldview conceives of "honor" as something antiquated and undemocratic. These misgivings rarely stop us from pursuing our goals, any more than our suspicion of wealth stops us from trying to accumulate it. But they do make us reluctant to see ourselves as others see us. Instead, we construct more comforting narratives of our past. Or we create some idealized foreign policy against which to measure our present behavior. We hope that we can either return to the policies of that imagined past or approximate some imagined ideal to recapture our innocence. It is easier than facing the hard truth: America's expansiveness, intrusiveness, and tendency toward political, economic, and strategic dominance are not some aberration from our true nature. That is our nature.

Why are we this way? In many respects, we share characteristics common to all peoples through history. Like others, Americans have sought power to achieve prosperity, independence, and security as well as less tangible goals. As American power increased, so, too, did American ambitions, both noble and venal. Growing power changes nations, just as it changes people. It changes their perceptions of the world and their place in it. It increases their sense of entitlement and reduces their tolerance for obstacles that stand in their way. Power also increases ambition. When Americans acquired the unimaginably vast territory of Louisiana at the dawn of the nineteenth century, doubling the size of their young nation with lands that would take decades to settle, they did not rest content but immediately looked for still more territory beyond their new borders. As one foreign diplomat observed, "Since the Americans have acquired Louisiana, they appear unable to bear any barriers round them."

But, in addition to the common human tendency to seek greater power and influence over one's surroundings, Americans have been driven outward into the world by something else: the potent, revolutionary ideology of liberalism that they adopted at the nation's birth. Indeed, it is probably liberalism, more than any other factor, that has made the United States so energetic, expansive, and intrusive over the course of its history.

Liberalism fueled the prodigious territorial and commercial expansion in the eighteenth and nineteenth centuries that made the United States, first, the dominant power in North America and, then, a world power. It did so by elevating the rights of the individual over the state--by declaring that all people had a right to life, liberty, property, and the pursuit of happiness and by insisting it was the government's primary job to safeguard those rights. American political leaders had little choice but to permit, and sometimes support, territorial and commercial claims made by their citizens, even when those claims encroached on the lands or waters of foreigners. Other eighteenth- and nineteenth-century governments, ruled by absolute monarchs, permitted national expansion when it served personal or dynastic interests--and, like Napoleon in the New World, blocked it when it did not. When the king of England tried to curtail the territorial and commercial expansionism of his Anglo-American subjects, they rebelled and established a government that would not hold them back. In this respect, the most important foreign policy statement in U.S. history was not George Washington's farewell address or the Monroe Doctrine but the Declaration of Independence and the enlightenment ideals it placed at the heart of American nationhood. Putting those ideals into practice was a radical new departure in government, and it inevitably produced a new kind of foreign policy.

Liberalism not only drove territorial and commercial expansion; it also provided an overarching ideological justification for such expansion. By expanding territorially, commercially, politically, and culturally, Americans believed that they were bringing both modern civilization and the "blessings of liberty" to whichever nations they touched in their search for opportunity. As Jefferson told one Indian leader: "We desire above all things, brother, to instruct you in whatever we know ourselves. We wish to learn you all our arts and to make you wise and wealthy." In one form or another, Americans have been making that offer of instruction to peoples around the world ever since.

Americans, from the beginning, measured the world exclusively according to the assumptions of liberalism. These included, above all, a belief in what the Declaration of Independence called the "self-evident" universality of certain basic truths--not only that all men were created equal and endowed by God with inalienable rights, but also that the only legitimate and just governments were those that derived their powers "from the consent of the governed." According to the Declaration, "whenever any Form of Government becomes destructive of these ends, it is the Right of the People to alter or to abolish it." Such a worldview does not admit the possibility of alternative truths. Americans, over the centuries, accepted the existence of cultural distinctions that influenced other peoples to rule themselves differently. But they never really accepted the legitimacy of despotic governments, no matter how deeply rooted in culture. As a result, they viewed them as transitory. And so, wherever Americans looked in the world, they saw the possibility and the desirability of change.

The notion of progress is a central tenet of liberalism. More than any other people, Americans have taken a progressive view of history, evaluating other nations according to where they stood on the continuum of progress. The Russians, Theodore Roosevelt believed, were "below the Germans just as the Germans are below us ... [but] we are all treading the same path, some faster, some slower." If Roosevelt's language sounds antiquated, our modern perspective is scarcely different. Although we may disagree among ourselves about the pace of progress, almost all Americans believe that it is both inevitable and desirable. We generally agree on the need to assist other nations in their political and economic development. But development toward what, if not toward the liberal democratic ideal that defines our nationalism? The "great struggle of the epoch," Madison declared in the 1820s, is "between liberty and despotism." Because the rights of man were written "by the hand of the divinity itself," as Hamilton put it, that struggle could ultimately have only one outcome.

It was a short step from that conviction to the belief that the interests of the United States were practically indistinguishable from the interests of the world. "The cause of America is in a great measure the cause of all mankind," Thomas Paine argued at the time of the revolution. Herman Melville would later write that, for Americans, "national selfishness is unbounded philanthropy; for we cannot do a good to America but we give alms to the world." It was another short step to the belief that the United States had a special, even unique, role to play in serving as a catalyst for the evolution of mankind. "The rights asserted by our forefathers were not peculiar to themselves," Seward declared, "they were the common rights of mankind." Therefore, he said, the United States had a duty "to renovate the condition of mankind" and lead the way to "the universal restoration of power to the governed" everywhere in the world. Decades earlier, John Quincy Adams had noted with pride that the United States was the source of ideas that made "the throne of every European monarch rock under him as with the throes of an earthquake." Praising the American Revolution, he exhorted "every individual among the sceptered lords of mankind: 'Go thou and do likewise!'"

A Russian minister, appalled at this "appeal to the nations of Europe to rise against their Governments," noted the hypocrisy of Adams's message, asking, "How about your two million black slaves?" Indeed. The same United States that called for global revolution on behalf of freedom was, throughout its first eight decades, also the world's great defender of racial despotism. The slaveholding South was itself a brutal tyranny, almost totalitarian in its efforts to control the speech and personal behavior of whites as well as blacks. Much of the U.S. territorial expansion in the nineteenth century--including the Mexican War, which garnered today's American Southwest and California--was driven by slaveholders, insisting on new lands to which they could spread their despotic system.

In the end, the violent abolition of slavery in the United States was a defining moment in the country's foreign policy: It strengthened the American tendency toward liberal moralism in foreign affairs. The Northern struggle against slavery, culminating in the Civil War, was America's first moral crusade. The military defeat of the Southern slaveholders was America's first war of ideological conquest. And what followed was America's first attempt at occupation and democratic nation-building (with the same mixed results as later efforts). The effect of the whole struggle was to intensify the American dedication to the universality of rights and to reaffirm the Declaration of Independence, rather than the Constitution with its tacit acceptance of slavery, as the central document of American nationhood. The Civil War fixed in the American mind, or at least in the Northern mind, the idea of the just war--a battle, fought for moral reasons, whose objectives can be achieved only through military action.

Such thinking led to the Spanish-American War of 1898. One of the most popular wars in U.S. history, it enjoyed the support of both political parties, of William Jennings Bryan and Andrew Carnegie, of eastern Brahmin Republicans like Henry Cabot Lodge, radical prairie populists, and labor leaders. Although one would not know it from reading most histories today, the war was motivated primarily by humanitarian concerns. Civil strife in Cuba and the brutal policies of the Spanish government--in particular the herding of the civilian population into "reconcentration" camps--had caused some 300,000 deaths, one-fifth of Cuba's population. Most of the victims were women, children, and the elderly. Lodge and many others argued that the United States had a responsibility to defend the Cuban people against Spanish oppression precisely because it had the power to do so. "Here we stand motionless, a great and powerful country not six hours away from these scenes of useless bloodshed and destruction," he said, imploring that, if the United States "stands for humanity and civilization, we should exercise every influence of our great country to put a stop to that war which is now raging in Cuba and give to that island once more peace, liberty, and independence." The overwhelming majority of the nation agreed. The U.S. intervention put an end to that suffering and saved untold thousands of lives. When John Hay called it a "splendid little war," it was not because of the smashing military victory--Hay was no militarist. It was the lofty purposes and accomplishments of the war that were splendid.

It was also true that the United States had self-interested reasons for going to war: commercial interests in Cuba, as well as the desire to remove Spain from the hemisphere and establish our preeminence in the region. Most of Europe condemned the United States as selfish and aggressive, failing to credit it with humanitarian impulses. Moreover, the war produced some unintended and, for many who idealistically supported it, disillusioning consequences. It led to the acquisition of the Philippines and a most unsplendid war against independence-minded Filipinos. It also produced a well-intentioned, but ultimately disappointing, multiyear occupation of Cuba that would haunt Americans for another century. And it reignited an old debate over the course of U.S. foreign policy--similar to the one that consumes us today.

Now, as then, the projection of U.S. power for liberal purposes faces its share of domestic criticism--warnings against arrogance, hubris, excessive idealism, and "imperialism." Throughout the eighteenth and nineteenth centuries, conservatives in the republican tradition of Patrick Henry worried about the effect at home of expansive policies abroad. They predicted, correctly, that a big foreign policy generally meant a big federal government, which--in their eyes--meant impingements on the rights and freedoms of the individual. The conservatives of the slaveholding South were the great realists of the nineteenth century. They opposed moralism, rightly fearing it would be turned against the institution of slavery. As Jefferson Davis put it, "We are not engaged in a Quixotic fight for the rights of man. Our struggle is for inherited rights. ... We are conservative." At the end of the century, when Americans were enthusiastically pushing across the Pacific, critics like Grover Cleveland's long-forgotten secretary of state, Walter Q. Gresham, warned that "[e]very nation, and especially every strong nation, must sometimes be conscious of an impulse to rush into difficulties that do not concern it, except in a highly imaginary way. To restrain the indulgence of such a propensity is not only the part of wisdom, but a duty we owe to the world as an example of the strength, the moderation, and the beneficence of popular government."

But, just as progressivism and big government have generally triumphed in domestic affairs, so, too, has the liberal approach to the world beyond our shores. Henry failed to defeat the Constitution. Southern realism lost to Northern idealism. The critics of liberal foreign policy--whether conservative, realist, or leftist--have rarely managed to steer the United States on a different course.

The result has been some accomplishments of great historical importance--the defeat of German Nazism, Japanese imperialism, and Soviet communism--as well as some notable failures and disappointments. But it was not as if the successes were the product of a good America and the failures the product of a bad America. They were all the product of the same America. The achievements, as well as the disappointments, derived from the very qualities that often make us queasy: our willingness to accumulate and use power; our ambition and sense of honor; our spiritedness in defense of both our interests and our principles; our dissatisfaction with the status quo; our belief in the possibility of change. And, throughout, whether succeeding or failing, we have remained a "dangerous" nation in many senses--dangerous to tyrannies, dangerous to those who do not want our particular brand of liberalism, dangerous to those who fear our martial spirit and our thumos, dangerous to those, including Americans, who would prefer an international order not built around a dominant and often domineering United States.

Whether a different kind of international system or a different kind of America would be preferable is a debate worth having. But let us have this debate about our future without illusions about our past.