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Josiah Royce (1855—1916): Overview

Josiah Royce was one of the most influential philosophers of the period of classical American philosophy, the late nineteenth century through the early twentieth century. Although often identified as an exponent of Absolute Idealism, which is a philosophical view explored by Royce particularly in his Gifford Lectures, Royce was a thinker of widely diverse interests and talents. He made major contributions to psychology including a textbook in the field and was, in fact, elected President of the American Psychological Association. He wrote a history of California, considered today a forerunner of contemporary historiography in its attention to the role of women and minority groups. He explored social ethics, developing many ideas on the social grounding of the self, some of which were later expanded upon by George Herbert Mead. Furthermore, Royce wrote on pressing social and political problems of the day including race relations. W.E.B. Dubois was one of his students. He wrote literary criticism and can be considered the founder of the Harvard school of logic, Boolean algebra, and the foundation of mathematics. Among his students at Harvard were Clarence Irving Lewis who went on to pioneer modal logic, Edward V. Huntington, the first to axiomatize Boolean algebra, and Henry M. Sheffer, known for the eponymous Sheffer stroke. Royce has recently been cited as a proto-cybernetic thinker; another of his students was Norbert Wiener, the father of cybernetics. Royce also wrote on issues in the philosophy of science.

In addition to these many philosophical achievements, Royce made major contributions to the Philosophy of Religion, writing on the problem of evil, and Christian community and presenting a phenomenological study of the religious experience of ordinary people. Royce also wrote throughout his career on ethical theory and on the conditions for creating both genuine and supportive communities as well as creative, unique, ethical individuality. At the end of his life he turned to the development of a world community through a process of mediation and interpretation.

Table of Contents

  1. Life
  2. Thought and Works
    1. Royce’s Philosophy of Community
    2. Royce’s Ethics: The Philosophy of Loyalty
    3. Religion
    4. The Problem of Evil
    5. Logic
  3. References and Further Reading
    1. Primary Sources
    2. Published Editions
    3. Secondary Sources

1. Life

Josiah Royce was a Californian by birth, born on 20 November, 1855, in Grass Valley, the son of Josiah (1812-1888) and Sarah Eleanor (Bayliss) Royce (1819-1891), whose families were recent emigrants from England, and who sought their fortune in moving west in 1849. His pioneer mother Sarah was a central figure in forging a new social and political community in Grass Valley. She was the center of much musical activity with her melodeon, the first brought to California. She also helped found a church and served as a teacher of the young, including young Josiah. Under his mother’s tutelage, Josiah developed his love of literature, reading Milton and other literary works; made his acquaintance with the Bible and religious experience; was given an introduction to music and its beauty; and experienced the joys of a warm, loving community, his family, and particularly his mother and sisters. Young Josiah began his literary career with a delightful story of the travels of Pussy Blackie, a “Huckleberry Finn cat,” who runs away from home; gets bitten by a dog; is captured by an eagle; travels on a railroad car; lives in the house of a rich family; finds a cat companion with whom Pussy exchanges stories; discusses social issues such as the contrast between the rich and the poor, as well as the treatment of the less fortunate and moral questions such as honesty, shame, killing, and war. In 1866, the Royce family moved to San Francisco where Royce first attended the Lincoln School. Royce also attended San Francisco Boys’ High School where he had as a classmate the (later famous) physicist, Albert Michelson. Continuing his pioneer trek, Royce entered, at age fourteen, an infant University of California, later becoming one of its first graduates, thus participating in the beginnings of higher education in the state. After receiving his degree in Classics in 1875, Royce traveled to Germany to study philosophy for one year. He mastered the language while attending lectures in Heidelberg, Leipzig, and Göttingen. On his return, he entered the Johns Hopkins University in Baltimore and in 1878, was awarded one of its first four doctorates.

Josiah Royce returned to the University of California, Berkley from 1878-1882. He taught composition, and literature, published numerous philosophical articles and his Primer of Logical Analysis. He married Katherine Head in 1880; the couple had three sons (Christopher, 1882; Edward, 1886; Stephen, 1889) and remained married until Josiah’s death. Royce felt isolated in California, so far from the intellectual life of the East Coast, and he sought an academic post elsewhere. William James, Royce’s friend and philosophical antagonist, secured the opportunity for Royce to replace James at Harvard when James took a one-year sabbatical. In 1882, Royce accepted the position at half of James’ salary and brought his wife and newborn son across the continent to Cambridge, Massachusetts.

At Harvard, Royce began to develop his interest in a number of different areas. In 1885, he published his first major philosophical work, The Religious Aspect of Philosophy, proposing the idea that in order for our ordinary concepts of truth and error to have meaning, there must be an actual infinite mind, an “Absolute Knower,” who encompasses the totality of actual truths and possible errors. That same year, Royce received a permanent appointment as assistant professor at Harvard, where he continued to teach for thirty years. Among his students were such notables as T.S. Eliot, George Santayana, W.E.B. Dubois, Norbert Wiener, and C.I. Lewis, the logician.

Royce was a prolific writer as well as much demanded on the public lecture circuit. In 1886, he published his History of California; he followed this with a published novel in 1887. In 1892, Royce was appointed Professor of the History of Philosophy at Harvard, and he served as Chair of the Department of Philosophy from 1894-1898. During these years Royce established himself as a leading figure in American academic philosophy with his many reviews, lectures and books, including The Spirit of Modern Philosophy, (1892), The Conception of God (1897), and Studies in Good and Evil (1898).

In 1899, and 1900, Royce delivered the prestigious Gifford Lectures at the University of Aberdeen, taking this opportunity to consolidate his thoughts on metaphysics. The result was his two-volume opus, The World and the Individual (1899-1901). This point appeared to be the culmination of Royce’s work. His public reputation was at a high and at 45 years old, Royce was elected President of the American Psychological Association in 1902, and President of the American Philosophical Association in 1903. Reviewers of The World and the Individual praised Royce’s philosophical acumen but there were serious objections to his conclusions. Sparked by these and the criticisms of his logic by Charles Sanders Peirce, Royce began reconsideration of his arguments as well as extensive study in mathematical logic. He also returned to his earlier concerns with philosophy as a means to understand human life, the nature of human society, of religious experience, ethical action, suffering and the problem of evil. His major work on ethics, The Philosophy of Loyalty appeared in 1908, but his concern with ethical issues and the “art” of loyalty continued until his death. He published a collection of essays, Race Questions, Provincialisms, and Other American Problems in 1908 and another, William James and Other Essays on the Philosophy of Life, appeared in 1911.

In 1912, while recovering from a stroke, Royce published The Sources of Religious Insight, in which he sought an explanation for the phenomena of ordinary religious faith as experienced by ordinary religious communities and individuals. He considered this a correction to James’ The Varieties of Religious Experience (The Gifford Lectures, 1901-1902), which, in Royce’s judgment, put too much emphasis on extraordinary and individualistic religious experiences. Drawing on the semiotic of Peirce and other sources, in 1913, Royce published his opus on religious community, The Problem of Christianity, a work which Yale philosopher, John E. Smith identified as “one of the finest works in the philosophy of religion ever to appear on the American scene” (Smith 1982 &1992, 122). In place of the earlier “Absolute Knower,” Royce presents the concept of an infinite community of interpretation, guided by a shared spirit of truth-seeking and community building. The Universal Community constitutes reality, and its understanding increases over time, through its members’ continual development of meaning. Royce’s concern for building a universal or “Beloved Community” is exemplified in two later works focused on building peace and a world community: War and Insurance (1914) and The Hope of the Great Community (1916). In the 1914 book, Royce made a daring political and economic proposal to use the economic power of insurance to mediate hostilities among nations, and reduce the attraction of war in the future.

Royce died September 14, 1916, before he could develop fully his new philosophical insights. Unfortunately, Royce’s works were ignored until recently and now are being revisited by theologians and philosophers interested in not only metaphysics, but also practical and theoretical ethics, philosophy of religion, philosophy of self and of community.

2. Thought and Works

Royce’s major works include The Religious Aspect of Philosophy (1885), The World and the Individual (1899-1901), The Spirit of Modern Philosophy (1892), The Philosophy of Loyalty (1908), and The Problem of Christianity (1913). In his early works, Royce presented a novel defense of idealism, the “argument from error,” and arrived at the concept of an actual infinite mind, an “Absolute Knower,” that encompasses all truths and possible errors. The correspondence theory of truth requires that if an idea or judgment is true it must correctly represent its object; when an idea does not correctly represent its object, it is an error. Royce begins with the fact that the human mind often makes such errors and yet, argued Royce, the mind “intends” or “points to” the idea’s true object. Thus, the occurrence of these errors indicates that the true object of any idea must exist, in a fully determinate state, in some actual infinite mind; this actual infinite “Mind” is the “Absolute Knower.” Royce continued to pursue this move toward Idealism in The World and the Individual. Here we find Royce agreeing with Kantian critical rationalism that a true idea is one that may be fulfilled or validated by a possible experience, but he argued that such a possibility of experience required the existence of an actual being, whose nature was to be the true object of the experience. In this work, Royce engages in criticism of three major views of metaphysics, Realism, Mysticism, and Kant’s Critical Rationalism. He finds valuable points in all three views, but also critical weaknesses. He advocates a “Fourth Conception of Being,” a view of the totality of Being as an actual Infinite, timeless, and encompassing all valid past, present, and future possible experience of fact including the facts of all finite beings.

Royce continued to develop his thoughts spurred by various criticisms and particularly the friendly but longstanding dispute with William James known as “The Battle of the Absolute.” In addition, he struggled with the problem of community and the relations of the individual and community both philosophically and practically, the latter concern evidenced in his writings on the history of California, the land disputes in California, various public problems and his deep concern for a solid theory of ethics. In answer to Charles Sanders Peirce, he turned to a deep exploration of logic, mathematics, and semiotics. In his later works, Royce dispenses with the “Absolute Mind/Knower” of previous works and develops a metaphysical view which characterizes reality as a universe of ideas or signs which occur in the process of being interpreted by an ongoing, infinite community of minds. These minds and the community they constitute also become signs for further interpretation. In The Problem of Christianity he sees representation no longer as a static, one-time experience, but as having creative, synthetic and selective aspects and knowledge is now more than accurate and completed perception of an object, or complete conception of an idea, it is a process of interpretation. This new metaphysical view is reflected in Royce’s work on ethics, philosophy of religion, philosophy of community, social philosophy and logic.

a. Royce’s Philosophy of Community

Royce was concerned about the impact of an extreme individualism and particularly with the “heroic individualism” associated with Walt Whitman, Ralph Waldo Emerson, and William James. Though inspiring as ethical visions, Royce believed these views eventually proved unsatisfactory for ethical life. While affirming the “individual” as a “most fundamental phenomenon,” he sought to address the problem of forming satisfactory communities and dealing with competing forms of community. In his later metaphysics Royce affirms the full-fledged reality of both individuals and community. In the practical social and political realm, Royce tackled the dual issues of “enlightened/genuine individualism,” and “true/genuine community.” He recognized that the task of building authentic individuality and encouraging the growth of fulfilling, moral communities were inextricably bound together—worthwhile individuality and community arising out of their mutual interaction in a creative, ongoing, infinite process.

Thus, Royce develops the following claims: (1) individuals are inextricably rooted in the social context and true individuality is forged out of that context. An individual is both self-made and a social product and the worthiness of the end result, the individual self, is the responsibility of both individual and community; (2) community is a social product, but true community is created by the hard work of free, self-conscious, self-committed, self-creative moral individuals; (3) the task of the individual is both to fashion a “beautiful life” and to build a “beautiful” community, while the obligation of community is to build a harmony of wills while also fostering the development of true individuals; (4) individuals are finite, sinful and fallible and need to extend self to develop morality and overcome error. Furthermore, individuals crave harmony and relationship. Individuals keep communities alive, moral, and sane by keeping them from stagnating into inveterate habit, moving toward exclusivity and intolerance, or degenerating into mob madness. In other words, stress must be equally on the individual and the community. For Royce, “individuals without community are without substance, while communities without individuals are blind.”

In light of the strong individualistic emphasis in philosophy today, it is striking that for Royce communities are logically prior to individuals. For Royce, there is no personal identity unless there are communities of persons that provide causes and social roles for individuals to embrace. Royce declares: “My life means nothing, either theoretically or practically, unless I am a member of a community” (Royce 2001 [1913], 357). And community is more than any association or collection of individuals; communities can only exist, in Royce’s view, where individual members are in communication with one another and there exists to some relevant way a congruence of feeling, thought and will among them. A community is for Royce, as is the human self, a temporal being. He speaks of a community of memory and ac community of hope. Each of the community’s members accepts, as part of his/her own individual life and self, some past events and the same expected future events. And, like human selves, communities are “plans of action” engaged in purposive activity in the world and constituting a will and a spirit and, for Royce, also, like human selves, morally responsible for its communal actions.

b. Royce’s Ethics: The Philosophy of Loyalty

At the center of Royce’s ethics is his contention that to lead a morally significant life, one’s actions must express a self-consciously asserted will; the self is a plan of action, a plan of life created by an individual out of the chaos of many conflicting personal desires and impulses. Such a plan is forged when one finds a cause, or causes which require a program or programs of implementation that extend through time and requires the contributions of many individuals for their advancement and fulfillment. When an individual finds a cause judged worthwhile, his/her will becomes focused and defined in terms of that cause and furthermore, the individual becomes allied with a community of others who are also committed to that same cause. Royce calls this commitment “loyalty” and thus the moral life of an individual is understood in terms of the multiple loyalties that a person embraces. “There is only one way to be an ethical individual. That is to choose your cause, and then to serve it” (Royce 1995 [l908], 47).

According to Royce’s careful definition of loyalty, “genuine” loyalty is intended to rule out loyalty to morally evil causes and communities that serve them. Royce fully recognized that many of the worst deed in human history have involved a high degree of loyalty, but, argued Royce, these loyalties were directed exclusively to a particular group and expressed in the destruction of the conditions for others’ loyal actions, Royce describes the difference between true loyalty and vicious or “predatory” loyalty as follows:

A cause is good, not only for me, but for mankind, in so far, as it is essentially a “loyalty to loyalty,” that is, an aid, and a furtherance of loyalty in my fellows. It is an evil cause in so far as, despite the loyalty that it arouses in me, it is destructive of loyalty in the world of my fellows (Royce 1995 {1908}, 56).

Communities defined by true loyalty, or adherence to a cause that exemplifies the universal ideal of “loyalty to loyalty” are referred to by Royce as “genuine communities.” Again, the degenerate communities are those that tend toward the destruction of other’s causes and possibilities of loyalty. While every community works for the accomplishment of its central cause, Royce places significant emphasis on the idea of loyalty to a “lost cause.” A lost cause is not a hopeless cause but rather one that cannot be fulfilled within the actual lifetime of any of its members. These causes are those that are “lost” simply in virtue of their scope and magnitude and these are precisely the causes that establish ideals capable of evoking our highest hope and moral commitment. “Lost causes” are indispensable, in Royce’s view, as the source of absolute norms for any community and its members.

For Royce, chief among such causes is the full attainment of truth, the complete determination of the nature of reality through inquiry and interpretation. Thus, the formula of “loyalty to loyalty” demands that one’s moral and intellectual sphere become ever broader and remain critical at all levels. In this connection, Royce reframed two central ideas or principles of pragmatism. Following James in his essay, “The Will to Believe,” Royce agreed that any philosophical view is essentially an expression of individual volition. We must first decide how we are to approach the world and then develop our philosophical theories accordingly. For Royce, the essential attitude of will that one must adopt toward the world is “loyalty to the ideal of an ultimate truth.” Secondly, Royce adopted the pragmatist view of truth, that is, truth is the property possessed by those ideas that succeed in the long run. And, following Peirce, Royce argues that to define truth using any conception of “the long run, short of the ideal end of inquiry, is self-refuting.” Having adopted these pragmatic principles, Royce referred to his own position as “Absolute Pragmatism.”

Returning to the principles of “loyalty to loyalty,” it becomes clear that, for Royce, all communities we actually know, inhabit, or identify with, are finite and to varying degrees “predatory.” Roycean loyalty requires one to scrutinize the aims and actions of our communities and those of others and to work to reform the disloyal aspects. The philosophy of loyalty calls upon us to create and embrace more cosmopolitan and inclusive communities. However, any human community, however, inclusive and committed to loyalty to loyalty, will fall short of perfect loyalty. Each community must constantly engage in critical scrutiny and actions of reform. For Royce, there is no expectation that the high ideals of perfect loyalty, truth, and reality will ever be fully realized. The process of building community is an ongoing, infinite process.

Finally, for Royce, beyond the actual communities that we directly encounter in life there is the ideal “Beloved Community” of all those who would be fully dedicated to the cause of loyalty, truth, and reality itself. This is the ultimate goal and cause. Furthermore, the sharing of individuals’ feeling, thoughts and wills in a community (including the Beloved Community) is never, for Royce, a mystical blurring or annihilation of personal identities. Individuals remain individuals, but in forming a community they build or attain a second order life that extends beyond any of their individuals lives. This life is a life coordinated through a cause and extended over time, a super-human personality at work, a community united by an “interpreting spirit.” Again, communities are more than their individual members and individuals are always unique and not lost in their communities; individuals and communities need each other.

c. Religion

Through the strong influence of his mother, Sarah Royce, and the early education she provided him and his sisters, Royce was well acquainted with the Christian Protestant world view and his writings exhibited a consistent familiarity with Scripture and with religious themes. Royce, in his own life did not embrace organized Christianity, and he was critical of many historical churches, believing that they had lost sight of the “spirit” of community that ought to guide them. He identified many “communities of grace,” genuine communities of loyalty, that were non-Christian or not self-consciously religious. Royce had a great respect for Buddhism and he even learned Sanskrit to study religious texts in this language. Although Royce maintained a strong interest in logic, science, evolutionary theory, and natural philosophy throughout his career, religious concerns did figure prominently in a number of his works beginning with his first major publication, The Religious Aspect of Philosophy as well as in his last two major works, The Sources of Religious Insight and The Problem of Christianity. The Sources was Royce’s response to the Gifford Lectures delivered by William James in 1901-1902 and published as The Varieties of Religious experience. James’ lectures were a popular and academic success and remain so even today. Royce, however, believed that James placed too much emphasis on the extraordinary religious experience of extraordinary individuals and thus failed to capture the religious experiences of the ordinary individual. Furthermore, Royce believed that religion was a central phenomenon of human experience that could not be ignored by philosophers. In The Problem of Christianity Royce works out his own religious thought and his full-blown theory of community. He maintains that the Christian model of the “loyal community,” properly understood, successfully combined the true spirit of universal interpretation with an appreciation of the “infinite worth” of the individual as a unique member of the ideal Beloved Community, the Kingdom of Heaven (Royce 2001[1913], 193). It is in this book that Royce also brings to fruition his thought and concern with the problem of evil.

Royce’s approach to religion was empirical, historical and phenomenological as well as concerned with philosophical reflection. Thus, in a 1909 essay, “What is Vital in Christianity?,” Royce approaches religion with a historic-empirical approach akin to modern anthropology. He views the religion as it has developed within human history. He writes: “any religion presents itself as a more or less connected group: (1) of religious practices, such as prayers, ceremonies, festivals, rituals and other observance, and (2) of religious ideas, the ideas taking the form of traditions, legends, and beliefs about the gods or spirits” (Royce 1911 [1909], 101). The term “vital,” says Royce, is metaphoric, such as the “vital” features of an organism. If these changed the organism would not necessarily be destroyed but would be an essentially different type of organism. Royce illustrates with the features, gill breathing” and “lung breathing.” But “vital,” also connotes “alive” for the persons who are followers of the religion and this usage is similar to Paul Tillich’s understanding of religious symbols as alive or dying. Furthermore, this term means also “primary” in practice. Thus, Royce says his first question is: “What is more vital about a religion: its religious practices, or its religious ideas, beliefs, and spiritual attitudes?” In this essay, in a humorous passage about pigeons in the Harvard Yard observing the habits of humans who feed them and concluding to the existence of a benevolent creator, Royce critiques the causal approach to God, represented in many of the proofs for God’s existence.

Royce again approaches religion through a historical-philosophical analysis in an encyclopedia article entitled “Monotheism.” After briefly reviewing monotheism as a doctrine in contrast to polytheism and pantheism, Royce makes the following claim: “…from the historical point of view, three different ways of viewing the divine being have been of great importance both for religious life and for philosophical doctrine” (Royce 1916, 818). The three ways to which Royce refers are three forms of monotheism, which were established in India, Greece, and Israel.

Royce then discusses, what in his view, are the essential features of monotheism as developed in these three cultural contexts. From Israel, we have “the ethical monotheism of the Prophets of Israel,” and “God,” in this religious context is defined as “the righteous Ruler of the world,” as the “Doer of justice,” or as the one “whose law is holy” or “who secures the triumph of the right”(Royce, 1916). Turning to Greece and to “Hellenistic monotheism,” God is defined as the “source, of the explanation, or the correlate, or the order, or the reasonableness of the world” (Royce, 1916). The third type of monotheism is labeled “Hindu pantheism.” Royce notes that this understanding had many different historical origins and appeared, in fact, as part of the Neo-Platonic philosophy and the philosophy of Spinoza. This type of monotheism insists not only upon the “sole” reality of God, but also asserts the “unreality of the world” (Royce, 1916).

In an interesting move, Royce argues that the “whole history of Christian monotheism depends upon an explicit effort to make a synthesis of the ethical monotheism of Israel and the Hellenic form of monotheism (Royce, 1916) This effort, however, says Royce, has proven especially difficult. The Hellenic tradition with its intellectualistic emphasis on the Logos was in favor of defining the unity of the divine being and the world as the essential feature of monotheism, whereas ethical monotheism dwells upon the contrast between the righteous Ruler and the sinful world, and between divine grace and fallen man. Royce, then, concludes:

Therefore, behind many of the conflicts between the so-called pantheism in Christian tradition and the doctrines of “divine transcendence” and “divine personality,” there has lain the conflict between intellectualism and voluntarism, between an interpretation of the world in terms of order and an interpretation of the world in terms of the conflict between good and evil, righteousness and unrighteousness (Royce, 1916, 819).

This history is made even more complex, says Royce, due to the influence of the Indic type of God. This concept influenced mysticism and, of course, Neo-platonic philosophy which, in turn, influenced Christian philosophy and theology. Augustine is a prime example of this influence. Furthermore, within Christianity, the mystics have often pointed to the failure to resolve the conflict with the moral and intellectual interests. Royce writes:

The mystics…have always held that the results of the intellect are negative and lead to no definite idea of God which can be defended against the skeptics, while…to follow the law of righteousness, whether or not with the aid of divine grace, does not lead, at least in the present life, to the highest type of knowledge of God (Royce, 1916).

Then, Royce, with his respect for the experiential in religion, writes: “Without this third type of monotheism, and without this negative criticism of the work of the intellect, and this direct appeal to immediate experience, Christian doctrine, in fact, would not have reached some of its most characteristic forms and expressions, and the philosophy of Christendom would have failed to put on record some of its most fascinating speculations” (Royce, 1916).

Royce then reviews the history of the so-called “proofs for God’s existence,” generally an expression of the Hellenistic influence in Christianity, and says that there is some basis in the claim that these efforts to grasp the divine nature via the intellect leads to results remote “from the vital experience upon which religious monotheism, and in particular, Christian monotheism must rest, if such…is permanently to retain the confidence of a man who is at once critical and religious (Royce, 1916).

Finally, it is not surprising that Royce argues that whatever answers to the questions about the nature of the world – is it real, rational, ethical? – that are developed must not put exclusive emphasis on any one characteristic. For, “as we have seen, the problem of monotheism requires a synthesis of all the three ideas of God,” thus any attempt to address these three questions must be an answer that does adequate justice to the three ideas and the three problems (Royce, 1916). Royce’s own efforts were aimed at achieving this synthesis and providing an answer to these three questions. Thus, he sought in his conceptions of God to give an account of the nature of reality that would satisfy the “moral insight,” “the theoretic insight,” and the “religious insight.” And the three Conceptions of Being addressed in The World and the Individual embody aspects of the three ideas of God and address the three questions.

Turning now to The Sources of Religious Insight, as indicated earlier, it is a parallel to The Varieties of Religious Experience by William James, yet it transcends that work in a number of ways. First, it explores religious experience common to much of mankind rather than the special, genius cases that are the subject of James’ work. Second, it studies both individual and communal religious experience whereas James’ work focuses on the experiences of extraordinary individuals. Third, The Sources is solidly based in the empirical and experiential. Royce writes: “The issue will be one regarding the facts of living experience” (Royce, 1912). James, in his work seeks to explain man’s religious need in terms of an experience that wells up from the subliminal self, from the soundless depths of our own subconscious. Royce, on the other hand, asserts that, “the principal religious motives are indeed perfectly natural human motives” (Royce, 1912,41-42). Man’s religious experience is, as a natural process, an incident in the history of his sensitive life, of his personal interpretation of the world, and of his more or less creative effort to fulfill his needs, and to respond in his own way to the universe. Religious experience, then, for Royce, is natural and profoundly personal and social – it is the experience of a human self in the history of his own life, set in the material, historical, social, and cultural context of that individual history and life.

Beginning then with human experience and needs, Royce seeks to get at the heart of “religious experience.” He states that the “central and essential postulate” of every religion is that “man needs to be saved” (Royce 2001[1912], 8-9). Salvation is necessary, for Royce, for two reasons: (1) There is some aim or end of human life which is more important than all other aims; and (2) Man, as he now is, or is naturally, is always in great danger of missing this highest aim and thus to render his whole life “a senseless failure” (Royce 2001 [1912], 12). This salvation must come in the form of guidance about understanding and achieving the highest aim of life so far as one is able. But given the limitations and fallibility of the human perspective, which hardly extends “beyond one’s nose,” Royce contends that this needed guidance must come from some super-human source. Religion, then, is the sphere of life in which finite human beings are able to get in touch with this source. It is interesting that in seeking to demonstrate the validity of his postulate he reviews the essentials of Buddhism, the writings of Plato in The Republic, and various literary sources. He believes that these examples show that the search for salvation belongs to no “one type of piety or of poetry or of philosophy” (Royce, 1912, 15).

The next major question is “what are the sources of insight?” Royce will consider seven sources, beginning with the human self, viewed first as uniquely individual and then as social. These are the basic and most elementary. However, Royce will find individual life and social life insufficient to meet the religious need for salvation. He then turns to five other sources. These are all dependent on the first two sources but will develop, strengthen, correct and transform in some way these. The five are: reason as a synthesizing power; the will or the volitional; loyalty; the religious mission of sorrow, and the unified community of the spirit.

In turning to the individual alone with his problem of salvation and with his efforts to know the divine that can save, Royce asserts that the individual can be in touch with a genuine source of insight, one of value, although also a source with limits. There are, says Royce, three objects which individual experience, as a source of religious insight, can reveal: The Ideal, the Need, and the Deliverer. The Ideal is, of course, the standard in terms of which the individual estimates the sense and value of his personal life. The Need for salvation is that degree to which he falls short of attaining his ideal and is sundered from this Ideal by evil fortune, his own paralysis of will, or by his inward baseness. The Deliverer is that presence, that power, that light, that truth, that great companion who helps the individual and saves him from his need.

We as humans are creatures of wavering and conflicting motives and, although we strongly desire a unity that makes life meaningful, we, on our own, cannot find this unity; we always miss our mark. Furthermore, we have glimpses of what would fulfill us, what would meet our need: a life “infinitely richer than our own.” As James, argues, we want to get in touch with something that will give us a “new dimension” to our lives. We want something more. Furthermore, for Royce, our need and desire are crucial. Royce writes: “Unless you have inwardly felt the need of salvation and learned to hunger and thirst after spiritual unity and self-possession, all the rest of religious insight is to you a sealed book” (Royce 1912, 33).

However, the individual alone cannot achieve what is needed. Thus we must turn to the social and to shared human life to attain a broader religious insight. Royce writes: “…no one who remains content with his merely individual experience of the presence of the divine and of his deliverer, has won the whole of any true insight. For as a fact, we are all members one of another; and I can have no insight into the way of my salvation unless I thereby learn of the way of salvation for all my brethren. And there is no unity of the spirit unless all men are privileged to enter it whenever they see it and know it and love it” (Royce, 1912, 34). Here is Royce’s emphasis on the need for social expansion of the self, as loyalty to loyalty demands expansion of the perspective of the community. Indeed, Royce argues that one of the principal sources of our need for salvation is our narrowness of view and especially of the meaning of our own purposes and motives. The social world, as Royce has constantly argued, broadens our outlook; an individual corrects his own narrowness by trying to share his fellow’s point of view. Social responsibilities can set limits to our fickleness; social discipline can keep us from indulging all our caprices; human companionship may steady our vision. The social world may bring us in touch with our public, great self, wherein we may find our “soul and its interests writ large” (Royce, 1912, 55). Social life is a source of religious insight and the insight it can bring is knowledge of “salvation through the fostering of human brotherhood” (Royce, 1912, 58).

Another avenue to religious insight, for Royce, is the experience of moral suffering, of the deep sense of guilt accompanied by the belief that one is an outcast from human sympathy and is hopelessly alone. He illustrates this with two literary examples: “The Ancient Mariner” and Raskolnikov in Crime and Punishment. The central conception in these two literary pieces is of salvation as reconciliation both with the social and the divine order, an escape from the wilderness of lonely guilt to the realm where men can understand one another.

This brings us directly to the “religious mission of sorrow.” Sorrows are defined by Royce as evils that we can assimilate. These become part of a constructive process, which involves growth rather than destruction, a passage to a new life. We takes these sorrows up into our plan of life, give them new meaning as they become part of a new whole. This was Royce’s emphasis in his essays on the problem of evil as well as in Religious Aspect and The Spirit. This will be discussed more in the section on the Problem of Evil.

The stage is now set for The Problem of Christianity. Christianity is viewed as a “philosophy of life,” and the question Royce asks is “In what sense, if any, can the modern man consistently be, in creed, a Christian?” (Royce, 2001 [1913], 62). In focusing on “creed,” however, Royce is clear that he is not concerned here with dogma or with particular theological beliefs. Rather he seeks the essentially “vital” and living ideas that will find expression in communal practices and religious-moral living and that will speak to all humanity. Royce will focus on living religious experience as was expressed in the early Pauline Christian communities. Royce’s focus is on the incarnation of the Spirit in the living Church, it is the Church, rather than the person of the founder that is the central idea of Christianity. For Royce, the essence of Christianity is its stress on the “saving community.” Royce writes: “The thesis of this book is that the essence of Christianity, as the Apostle Paul stated that essence, depends upon regarding the being which the early Christian Church believed itself to represent, and the being which I call…the ‘Beloved Community,’ as the true source, through loyalty, of the salvation of man” (Royce, 2001 [1913], 45).

It is indeed the “community” which allows us to understand more fully the teachings of the Master. Of Jesus’ teaching, Royce found two ideas especially crucial: his preaching of love and the “Kingdom of Heaven.” Both were mysterious and in need of interpretation. Thus, “love” is a mystery for although we know we are to love God and our neighbor, the question is how. How can I be practically useful in meeting my neighbor’s needs? Anyone who has tried to be benevolent or to meet the needs of others knows that there can be a huge crevice between your interpretation of what that person needs and their belief in that matter. It is the interpretation of Jesus’ teachings in the letters of Paul that make the difference for Royce. That which can make the loving of our neighbor less mysterious and difficult is community, for a community “when united by an active developing purpose is an entity more concrete, and, in fact, less mysterious than any individual man (Royce, 2001 [1913] 94). In community, we can come to know each other, to see what each other’s needs are. I need not ask “who is my neighbor?” for my neighbor and I are both members of one and the same community.

The essence of Christianity, for Royce, is contained in three ideas. The first of these is that the source and means of salvation is the community of believers. Community is also the basis of the ethic of love taught by Jesus. The other two essential ideas are: “the moral burden of the individual and “atonement.” These are addressed in the section on evil.

d. The Problem of Evil

Josiah Royce struggled with the problem of evil throughout his life, exploring it from various approaches, and asserting that it could neither be avoided nor dismissed by either the philosopher or the ordinary person. Thus, unlike some philosophers, he did not believe the problem of evil could be solved as a practical problem that only required improving social conditions. As a native Californian, a historian, and a social observer of the development of early California, Royce explored ways in which evil manifested itself in social relations among persons, in social bodies infected with racism, greed, and in a variety of harmful prejudices, in expressions of hate and in mob violence. Ultimately, Royce embraced a theistic process metaphysics that recognizes evil as a real force and suffering as an irreducible fact of experience. In his 1897 essay, “The Problem of Job,” Royce presents a fairly succinct overview of the problem of evil, various solutions and his own view on a possible solution. In the Job story, we have a traditional view of God as wise, omnipotent, all powerful, and all good and the situation of Job, namely, a universal situation of unearned ill-fortune, a seeming persecution of a righteous person and a reigning down of evils on a good man. For Royce, Job represents the fundamental psychological fact about the problem of evil, namely, the universal experience of unearned ill-fortune. This, asserts Royce, is the experience of every person, the kind of evil that all persons can see for themselves every day if they choose. This is the fundamental experiential and psychological fact that grounds Royce’s own answers to the problem of evil and also his dismissal of the various traditional answers to the problem of evil. Thus, for example there is the view that the purpose of the world is “soul making,” that pain teaches us the ways of the world and helps us develop our higher potentialities. Royce believes this answer is inadequate because it presupposes a greater evil, namely a world which allows evils as the only way to reach given goals. Such an answer Royce believes is unacceptable to a sufferer of evil and undeserved ills.

Another answer to the problem of evil is the infinite worth of agents with free will. Royce finds value in this view in that it acknowledges evil as a logically necessary part of a perfect moral order, but he believes this answer ultimately fails. A major problem is Job’s situation, namely, the innocent sufferer. Such unearned ills may be partly due to the free will that partly caused them, but, asserts Royce, the unearned ills are also due to God who declines to protect the innocent.

Royce believes that as long as one views God as an external power, as Job did, the problem of evil cannot be solved. Rather, one must recognize God as internally present to us and as suffering with us to produce the higher good. When we suffer, our sufferings are God’s sufferings and this is the case because without suffering, evil, and tragedy, God’s life could not be perfected. Furthermore, asserts Royce, personal overcoming evil is the essence of the moral life. Persons are instruments of God’s triumph. Thus, in The Sources of Religious Insight, Royce presents man as a destroyer of evil, a being who uses every effort to get rid of evil. Conquering evils and oppressions provide man’s greatest opportunities for loyalty and here is the source of religious insight and spiritual triumph. The encounter of human selves with the problem of evil is, for Royce, the most important moral aspect of the world. One must see the problematic situation into which human selves are immersed as part of the atoning process which tends toward an ultimate reconciliation of finite conflicts. Confronted with evils, one needs to trust within one’s limited view that the Spirit of the Universal Community reconciles.

Ultimately, Royce sees evil as an eternal part of both human and divine consciousness and the most important moral fact of the universe the human conquering of evil step by step. In addressing the doctrine of atonement in The Problem, Royce sets out in detail how the loyal community can best respond to human evil. The highest transgression in an ethics of loyalty is treason, or the willful betrayal of one’s own cause and the community of people who serve it. Such a betrayal is moral suicide for it threatens to destroy the network of purposes and social relationships that define the traitor’s self. The traitor is in what Royce calls “the hell of the irrevocable” (Royce, 2001 [1913], 162). Royce seeks an explanation of atonement which acknowledges this irrevocable nature of the deed that has been done, and which changes everything for the sinner and the community that has been harmed. None of the tradition Christian accounts of atonement are satisfactory. The answer, for Royce, is that the act of atonement can only be accomplished by the community, or on the behalf of the community, through the steadfast “loyal servant who acts, so to speak, as the incarnation of the spirit of the community itself” (Royce, 2011 [1913], 180). This person serves as a mediating party between the traitor and the betrayed community and through the atoning act genuine community is restored and all the individuals may emerge as wiser, more commitment servants of their common cause. Things are not the same as before the treason but, in fact, transformed and better. Royce then states what he believes to be the central postulate of the highest form of human spirituality, namely, that “No baseness or cruelty of treason so deep or so tragic shall enter our human world, but that loyal love shall be able in due time to oppose to just that deed of treason its fitting deed of atonement” (Royce 2001 [1913], 186). In the spirit of James, Royce asserts that this postulate cannot be proven true, but human communities can assert it and act upon it as it is were true.

e. Logic

Royce pursued his interest in logic, mathematics and science throughout his career. His first published book was a Primer of Logical Analysis for the Use of Composition Students, written for his students in California in 1881. His own proposal for a system of formal logic was published as “The Relation of the Principles of Logic to the Foundations of Geometry” in 1905, a work later extended in 1914. Among his last writings were a series of encyclopedia articles on logical topics: Axiom, Error and Truth, Mind, Negation, and Order (all reprinted in Robinson, 1951).

In addition to his discussion of science in The Religious Aspect of Philosophy, The World and the Individual, and in The Problem of Christianity, Royce published a series of articles on scientific method:” The Mechanical, Historical and the Statistical,” “The Social Character of Scientific Inquiry,” (in Josiah Royce’s Late Writings); Hypotheses and Leading Ideas,” and Introduction to H. Poincaré, The Foundations of Science (reprinted in Robinson). Like Peirce, Royce argued for the self-corrective nature of the scientific method; the necessity of experience as the starting point of inquiry; an emphasis on scientific instinct and imaginative judgment in forming hypotheses; the requirement of a proper motive – the search for truth and not fame or profit – as a necessary condition, along with the correct method, for the success of science and essence of science, the notion of science as a communal endeavor, dependent on the contributions of many others, past, present and future, and finally for the thoroughly human and fallible nature of science.

3. References and Further Reading

a. Primary Sources

  • Royce, Josiah, Primer of Logical Analysis for the Use of Composition Students, San Francisco, California: A.L. Bancroft and Co., 1881.
  • Royce, Josiah, The Religious Aspect of Philosophy: A critique of the Bases of Conduct and Faith, Boston, New York: Houghton Mifflin & Co., 1885.
  • Royce, Josiah, California from the Conquest in 1846 to the Second Vigilance Committee in San Francisco [1856]: A Study of American Character, Boston and New York: Houghton, Mifflin and Co. 1886.
  • Royce, Josiah, The Spirit of Modern Philosophy: An Essay in the Form of Lectures, Boston: Houghton Mifflin, 1892.
  • Royce, Josiah, The Conception of God: A Philosophical Discussion Concerning the Nature of the Divine Idea as a Demonstrable Reality, New York: The Macmillan Co, 1897. This includes commentary by Joseph LeConte, George Holmes Howison, and Sidney Edward Mezes.
  • Royce, Josiah, Studies in Good and Evil, New York, Appleton, 1898.
  • Royce, Josiah, The World and the Individual, 2 vols., New York: Macmillan, 1899.
  • Royce, Josiah, Outlines of Psychology: An Elementary Treatise with Some Practical Applications, New York: Macmillan, 1903.
  • Royce, Josiah, The Philosophy of Loyalty, New York: Macmillan, 1908.
  • Royce, Josiah, Race Questions, Provincialism, and Other American Problems, New York: Macmillan, 1908.
  • Royce, Josiah, William James and Other Essays on the Philosophy of Life, New York: Macmillan, 1911.
  • Royce, Josiah, The Sources of Religious Insight, Washington, D.C.: Catholic University of America Press, 2001 [1913]. Also at http://www.iupui.edu/~iat/royce/.
  • Royce, Josiah, The Problem of Christianity, Washington, D.C.: Catholic University of America Press, 2001 [1913].
  • Royce, Josiah, War and Insurance, New York: Macmillan, 1914.
  • Royce, Josiah, The Hope of the Great Community, New York: Macmillan, 1916.

b. Published Editions

  • Robinson, D.S., ed. Royce’s Logical Essays: Collected Logical Essays of Josiah Royce, Dubuque, Iowa: W. C. Brown, 1951.
  • McDermott, J.J., ed. The Basic Writings of Josiah Royce, New York: Fordham University Press, 2 vols., 2005 [1969].
  • Clendenning, J., Ed. The Letters of Josiah Royce, Chicago: University of Chicago Press, 1970.
  • Oppenheim, F., ed. Josiah Royce’s Late Writings: A Collection of Unpublished and Scattered Works, Bristol: Thoemmes Press, 2 vols.

c. Secondary Sources

  • Auxier, R, ed., Critical Responses to Josiah Royce, 1885-1916, Bristol: Thoemmes Press, 3 vols., 2000.
  • Auxier, R, Time, Will, and Purpose: Living Ideas From the Philosophy of Josiah Royce, Open Court, 2011.
  • Clendenning, The Life and Thought of Josiah Royce, revised and expanded ed., Nashville, Tennessee: Vanderbilt University Press, 1999.
  • Kegley, J., Genuine Individuals and Genuine Communities: A Roycean Public Philosophy, Nashville, Tennessee, 1997.
  • Kegley, J. Josiah Royce in Focus, Bloomington, Indiana: Indiana University Press, 2008.
  • Kiklick, B., Josiah Royce: An Intellectual Biography, Indianapolis, Indiana: Hackett Publishing Company, Inc., 1985.
  • Marcel, G., Royce’s Metaphysics, trans. V. and G. Ringer, Chicago: Henry Regnery Company, 1956. This was originally published as La Mėtaphysique de Royce, Paris, 1945.
  • Oppenheim, F.M. Royce’s Voyage Down Under: A Journey of the Mind, Lexington: University of Kentucky Press, 1980.
  • Oppenheim, F.M., Royce’s Mature Philosophy of Religion, Notre Dame, Indiana: University of Notre Dame Press, 1987.
  • Oppenheim, F.M., Royce’s Mature Ethics, Notre Dame, Indiana: University of Notre Dame Press, 1993.
  • Oppenheim, F.M., Reverence for the Relations of Life: Re-examining Pragmatism via Josiah Royce’s Interactions with Peirce, James, and Dewey, Notre Dame, Indiana: University of Notre Dame Press, 2005.
  • Smith, J.E. Royce South Infinite: The Community of Interpretation, Hamden, Conn.: Archon Books, 1969.
  • Tunstall, Dwayne, Yes, but Not Quite: Encountering Josiah Royce’s Ethico-Religious Insight, New York: Fordham University Press, 2009.
  • Trotter, G., On Royce, Belmont, California: Wadsworth, 2001.

Author Information

Jacquelyn Ann K. Kegley
Email: jkegley@csub.edu
California State University Bakersfield
U. S. A.

Arthur Schopenhauer (1788—1860)

Arthur Schopenhauer has been dubbed the artist’s philosopher on account of the inspiration his aesthetics has provided to artists of all stripes. He is also known as the philosopher of pessimism, as he articulated a worldview that challenges the value of existence. His elegant and muscular prose earns him a reputation as one of the greatest German stylists. Although he never achieved the fame of such post-Kantian philosophers as Johann Gottlieb Fichte and G.W.F. Hegel in his lifetime, his thought informed the work of such luminaries as Sigmund Freud, Ludwig Wittgenstein and, most famously, Friedrich Nietzsche. He is also known as the first German philosopher to incorporate Eastern thought into his writings.

Schopenhauer’s thought is iconoclastic for a number of reasons. Although he considered himself Kant’s only true philosophical heir, he argued that the world was essentially irrational. Writing in the era of German Romanticism, he developed an aesthetics that was classicist in its emphasis on the eternal. When German philosophers were entrenched in the universities and immersed in the theological concerns of the time, Schopenhauer was an atheist who stayed outside the academic profession.

Schopenhauer’s lack of recognition during most of his lifetime may have been due to the iconoclasm of his thought, but it was probably also partly due to his irascible and stubborn temperament. The diatribes against Hegel and Fichte peppered throughout his works provide evidence of his state of mind. Regardless of the reason Schopenhauer’s philosophy was overlooked for so long, he fully deserves the prestige he enjoyed altogether too late in his life.

Table of Contents

  1. Schopenhauer’s Life
  2. Schopenhauer’s Thought
    1. The World as Will and Representation
      1. Schopenhauer’s Metaphysics and Epistemology
      2. The Ideas and Schopenhauer’s Aesthetics
    2. The Human Will
      1. Agency and Freedom
      2. Ethics
  3. Schopenhauer’s Pessimism
  4. References and Further Reading
    1. Primary Sources Available in English
    2. Secondary Sources

1. Schopenhauer’s Life

Arthur Schopenhauer was born on February 22, 1788 in Danzig (now Gdansk, Poland) to a prosperous merchant, Heinrich Floris Schopenhauer, and his much younger wife, Johanna. The family moved to Hamburg when Schopenhauer was five, because his father, a proponent of enlightenment and republican ideals, found Danzig unsuitable after the Prussian annexation. His father wanted Arthur to become a cosmopolitan merchant like himself and hence traveled with Arthur extensively in his youth. His father also arranged for Arthur to live with a French family for two years when he was nine, which allowed Arthur to become fluent in French. From an early age, Arthur wanted to pursue the life of a scholar. Rather than force him into his own career, Heinrich offered a proposition to Arthur: the boy could either accompany his parents on a tour of Europe, after which time he would apprentice with a merchant, or he could attend a gymnasium in preparation for attending university. Arthur chose the former option, and his witnessing firsthand on this trip the profound suffering of the poor helped shape his pessimistic philosophical worldview.

After returning from his travels, Arthur began apprenticing with a merchant in preparation for his career. When Arthur was 17 years old, his father died, most likely as a result of suicide. Upon his death, Arthur, his sister Adele, and his mother were each left a sizable inheritance. Two years following his father’s death, with the encouragement of his mother, Schopenhauer freed himself of his obligation to honor the wishes of his father, and he began attending a gymnasium in Gotha. He was an extraordinary pupil: he mastered Greek and Latin while there, but was dismissed from the school for lampooning a teacher.

In the meantime his mother, who was by all accounts not happy in the marriage, used her newfound freedom to move to Weimar and become engaged in the social and intellectual life of the city. She met with great success there, both as a writer and as a hostess, and her salon became the center of the intellectual life of the city with such luminaries as Johann Wolfgang von Goethe, the Schlegel brothers (Karl Wilhelm Friedrich and August Wilhelm), and Christoph Martin Wieland regularly in attendance. Johanna’s success had a bearing on Arthur’s future, for she introduced him to Goethe, which eventually led to their collaboration on a theory of colors. At one of his mother’s gatherings, Schopenhauer also met the Orientalist scholar Friedrich Majer, who stimulated in Arthur a lifelong interest in Eastern thought. At the same time, Johanna and Arthur never got along well: she found him morose and overly critical and he regarded her as a superficial social climber. The tensions between them reached its peak when Arthur was 30 years old, at which time she requested that he never contact her again.

Before his break with his mother, Arthur matriculated to the University of Göttingen in 1809, where he enrolled in the study of medicine. In his third semester at Göttingen, Arthur decided to dedicate himself to the study of philosophy, for in his words: “Life is an unpleasant business… I have resolved to spend mine reflecting on it.” Schopenhauer studied philosophy under the tutelage of Gottlieb Ernst Schultz, whose major work was a critical commentary of Kant’s system of transcendental idealism. Schultz insisted that Schopenhauer begin his study of philosophy by reading the works of Immanuel Kant and Plato, the two thinkers who became the most influential philosophers in the development of his own mature thought. Schopenhauer also began a study of the works of Friedrich Wilhelm Joseph von Schelling, of whose thought he became deeply critical.

Schopenhauer transferred to Berlin University in 1811 for the purpose of attending the lectures of Johann Gottlieb Fichte, who at the time was considered the most exciting and important German philosopher of his day. Schopenhauer also attended Friedrich Schleiermacher’s lectures, for Schleiermacher was regarded as a highly competent translator and commentator of Plato. Schopenhauer became disillusioned with both thinkers, and with university intellectual life in general, which he regarded as unnecessarily abstruse, removed from genuine philosophical concerns, and compromised by theological agendas.

Napoleon’s Grande Armee arrived in Berlin in 1813, and soon after Schopenhauer moved to Rudolstat, a small town near Weimar, in order to escape the political turmoil. There Schopenhauer wrote his doctoral dissertation, The Fourfold Root of the Principle of Sufficient Reason, in which he provided a systematic investigation of the principle of sufficient reason. He regarded his project as a response to Kant who, in delineating the categories, neglected to attend to the forms that ground them. The following year Schopenhauer settled in Dresden, hoping that the quiet bucolic surroundings and rich intellectual resources found there would foster the development of his philosophical system. Schopenhauer also began an intense study of Baruch Spinoza, whose notion of natura naturans, a notion that characterized nature as self-activity, became key to the formulation of his account of the will in his mature system.

During his time in Dresden, he wrote On Vision and Colors, the product of his collaboration with Goethe. In this work, he used Goethe’s theory as a starting point in order to provide a theory superior to that of his mentor. Schopenhauer’s relationship with Goethe became strained after Goethe became aware of the publication. During his time in Dresden, Schopenhauer dedicated himself to completing his philosophical system, a system that combined Kant’s transcendental idealism with Schopenhauer’s original insight that the will is the thing-in-itself. He published his major work that expounded this system, The World as Will and Representation, in December of 1818 (with a publication date of 1819). To Schopenhauer’s chagrin, the book made no impression on the public.

In 1820, Schopenhauer was awarded permission to lecture at the University of Berlin. He deliberately, and impudently, scheduled his lectures during the same hour as those of G.W.F. Hegel, who was the most distinguished member of the faculty. Only a handful of students attended Schopenhauer’s lectures while over 200 students attended the lectures of Hegel. Although he remained on the list of lecturers for many years in Berlin, no one showed any further interest in attending his lectures, which only fueled his contempt for academic philosophy.

The following decade was perhaps Schopenhauer’s darkest and least productive. Not only did he suffer from the lack of recognition that his groundbreaking philosophy received, but he also suffered from a variety illnesses. He attempted to make a career as a translator from French and English prose, but these attempts also met with little interest from the outside world. During this time Schopenhauer also lost a lawsuit to the seamstress Caroline Luise Marguet that began in 1821 and was settled five years later. Marguet accused Schopenhauer of beating and kicking her when she refused to leave the antechamber to his apartment. As a result of the suit, Schopenhauer had to pay her 60 thalers annually for the rest of her life.

In 1831, Schopenhauer fled Berlin because of a cholera epidemic (an epidemic that later took the life of Hegel) and settled in Frankfurt am Main, where he remained for the rest of his life. In Frankfurt, he again became productive, publishing a number of works that expounded various points in his philosophical system. He published On the Will in Nature in 1836, which explained how new developments in the physical sciences served as confirmation of his theory of the will. In 1839, he received public recognition for the first time, a prize awarded by the Norwegian Academy, on his essay, On the Freedom of the Human Will. In 1840 he submitted an essay entitled On the Basis of Morality to the Danish Academy, but was awarded no prize even though his essay was the only submission. In 1841, he published both essays under the title, The Fundamental Problems of Morality, and included an introduction that was little more than a scathing indictment of Danish Academy for failing to recognize the value of his insights.

Schopenhauer was able to publish an enlarged second edition to his major work in 1843, which more than doubled the size of the original edition. The new expanded edition earned Schopenhauer no more acclaim than the original work. He published a work of popular philosophical essays and aphorisms aimed at the general public in 1851 under the title, Parerga and Paralipomena (Secondary Works and Belated Observations). This work, the most unlikely of his books, earned him his fame, and from the most unlikely of places: a review written by the English scholar John Oxenford, entitled “Iconoclasm in German Philosophy,” which was translated into German. The review excited an interest in German readers, and Schopenhauer became famous virtually overnight. Schopenhauer spent the rest of his life reveling in his hard won and belated fame, and died in 1860.

2. Schopenhauer’s Thought

Schopenhauer’s philosophy stands apart from other German idealist philosophers in many respects. Perhaps most surprising for the first time reader of Schopenhauer familiar with the writings of other German idealists would be the clarity and elegance of his prose. Schopenhauer was an avid reader of the great stylists in England and France, and he tried to emulate their style in his own writings. Schopenhauer often charged more abstruse writers such as Fichte and Hegel with deliberate obfuscation, describing the latter as a scribbler of nonsense in his second edition of The Fourfold Root of the Principle of Sufficient Reason.

Schopenhauer’s philosophy also stands in contrast with his contemporaries insofar as his system remains virtually unchanged from its first articulation in the first edition of The World as Will and Representation. Even his dissertation, which he wrote before he recognized the role of the will in metaphysics, was incorporated into his mature system. For this reason, his thought has been arranged thematically rather than chronologically below.

a. The World as Will and Representation

i. Schopenhauer’s Metaphysics and Epistemology

The starting point for Schopenhauer’s metaphysics is Immanuel Kant’s system of transcendental idealism as explained in The Critique of Pure Reason. Although Schopenhauer is quite critical of much of the content of Kant’s Transcendental Analytic, he endorses Kant’s approach to metaphysics in Kant’s limiting the sphere of metaphysics to articulating the conditions of experience rather than transcending the bounds of experience. In addition, he accepts the results of the Transcendental Aesthetic, which demonstrate the truth of transcendental idealism. Like Kant, Schopenhauer argues that the phenomenal world is a representation, i.e., an object for the subject conditioned by the forms of our cognition. At the same time, Schopenhauer simplifies the activity of the Kantian cognitive apparatus by holding that all cognitive activity occurs according to the principle of sufficient reason, that is, that nothing is without a reason for being.

In Schopenhauer’s dissertation, which was published under the title The Fourfold Root of Sufficient Reason, he argues that all of our representations are connected according to one of the four manifestations of the principle of sufficient reason, each of which concerns a different class of objects. The principle of sufficient reason of becoming, which regards empirical objects, provides an explanation in terms of causal necessity: any material state presupposes a prior state from which it regularly follows. The principle of sufficient reason of knowing, which regards concepts or judgments, provides an explanation in terms of logical necessity: if a judgment is to be true, it must have a sufficient ground. Regarding the third branch of the principle, that of space and time, the ground for being is mathematical: space and time are so constituted that all their parts mutually determine one another. Finally, for the principle regarding willing, we require as a ground a motive, which is an inner cause for that which it was done. Every action presupposes a motive from which it follows by necessity.

Schopenhauer argues that prior philosophers, including Kant, have failed to recognize that the first manifestation and second manifestations are distinct, and subsequently tend to conflate logical grounds and causes. Moreover, philosophers have not heretofore recognized the principle’s operation in the realms of mathematics and human action. Thus Schopenhauer was confident that his dissertation not only would provide an invaluable corrective to prior accounts of the principle of sufficient reason, but would also allow every brand of explanation to acquire greater certainty and precision.

It should be noted that while Schopenhauer’s account of the principle of sufficient reason owes much to Kant’s account of the faculties, his account is significantly at odds with Kant’s in several ways. For Kant, the understanding always operates by means of concepts and judgments, and the faculties of understanding and reason are distinctly human (at least regarding those animate creatures with which we are familiar). Schopenhauer, however, asserts that the understanding is not conceptual and is a faculty that both animals and humans possess. In addition, Schopenhauer’s account of the fourth root of the principle of sufficient reason is at odds with Kant’s account of human freedom, for Schopenhauer argues that actions follow necessarily from their motives.

Schopenhauer incorporates his account of the principle of sufficient reason into the metaphysical system of his chief work, The World as Will and Representation. As we have seen, Schopenhauer, like Kant, holds that representations are always constituted by the forms of our cognition. However, Schopenhauer points out that there is an inner nature to phenomena that eludes the principle of sufficient reason. For example, etiology (the science of physical causes) describes the manner in which causality operates according to the principle of sufficient reason, but it cannot explain the natural forces that underlie and determine physical causality. All such forces remain, to use Schopenhauer’s term, “occult qualities.”

At the same time, there is one aspect of the world that is not given to us merely as representation, and that is our own bodies. We are aware of our bodies as objects in space and time, as a representation among other representations, but we also experience our bodies in quite a different way, as the felt experiences of our own intentional bodily motions (that is, kinesthesis). This felt awareness is distinct from the body’s spatio-temporal representation. Since we have insight into what we ourselves are aside from representation, we can extend this insight to every other representation as well. Thus, Schopenhauer concludes, the innermost nature [Innerste], the underlying force, of every representation and also of the world as a whole is the will, and every representation is an objectification of the will. In short, the will is the thing in itself. Thus Schopenhauer can assert that he has completed Kant’s project because he has successfully identified the thing in itself.

Although every representation is an expression of will, Schopenhauer denies that every item in the world acts intentionally or has consciousness of its own movements. The will is a blind, unconscious force that is present in all of nature. Only in its highest objectifications, that is, only in animals, does this blind force become conscious of its own activity. Although the conscious purposive striving that the term ‘will’ implies is not a fundamental feature of the will, conscious purposive striving is the manner in which we experience it and Schopenhauer chooses the term with this fact in mind.

Hence, the title of Schopenhauer’s major work, The World as Will and Representation, aptly summarizes his metaphysical system. The world is the world of representation, as a spatio-temporal universal of individuated objects, a world constituted by our own cognitive apparatus. At the same time, the inner being of this world, what is outside of our cognitive apparatus or what Kant calls the thing-in-itself, is the will; the original force manifested in every representation.

ii. The Ideas and Schopenhauer’s Aesthetics

Schopenhauer argues that space and time, which are the principles of individuation, are foreign to the thing-in-itself, for they are the modes of our cognition. For us, the will expresses itself in a variety of individuated beings, but the will in itself is an undivided unity. It is the same force at work in our own willing, in the movements of animals, of plants and of inorganic bodies.

Yet, if the world is composed of undifferentiated willing, why does this force manifest itself in such a vast variety of ways? Schopenhauer’s reply is that the will is objectified in a hierarchy of beings. At its lowest grade, we see the will objectified in natural forces, and at its highest grade the will is objectified in the species of human being. The phenomena of higher grades of the will are produced by conflicts occurring between different phenomena of the lower grades of the will, and in the phenomenon of the higher Idea, the lower grades are subsumed. For instance, the laws of chemistry and gravity continue to operate in animals, although such lower grades cannot explain fully their movements. Although Schopenhauer explains the grades of the will in terms of development, he insists that the gradations did not develop over time, for such an understanding would assume that time exists independently of our cognitive faculties. Thus in all natural beings we see the will expressing itself in its various objectifications. Schopenhauer identifies these objectifications with the Platonic Ideas for a number of reasons. They are outside of space and time, related to individual beings as their prototypes, and ontologically prior to the individual beings that correspond to them.

Although the laws of nature presuppose the Ideas, we cannot intuit the Ideas simply by observing the activities of nature, and this is due to the relation of the will to our representations. The will is the thing in itself, but our experience of the will, our representations, are constituted by our form of cognition, the principle of sufficient reason. The principle of sufficient reason produces the world of representation as a nexus of spatio-temporal, causally related entities. Therefore, Schopenhauer’s metaphysical system seems to preclude our having access to the Ideas as they are in themselves, or in a way that transcends this spatio-temporal causally related framework.

However, Schopenhauer asserts that there is a kind of knowing that is free from the principle of sufficient reason. To have knowledge that is not conditioned by our forms of cognition would be an impossibility for Kant. Schopenhauer makes such knowledge possible by distinguishing the conditions of knowing, namely, the principle of sufficient reason, from the condition for objectivity in general. To be an object for a subject is a condition of objects that is more basic than the principle of sufficient reason for Schopenhauer. Since the principle of sufficient reason allows us to experience objects as particulars existing in space and time with a causal relation to other things, to have an experience of an object solely insofar as it presents itself to a subject, apart from the principle of sufficient reason, is to experience an object that is neither spatio-temporal nor in a causal relation to other objects. Such objects are the Ideas, and the kind of cognition involved in perceiving them is aesthetic contemplation, for perception of the Ideas is the experience of the beautiful.

Schopenhauer argues that the ability to transcend the everyday point of view and regard objects of nature aesthetically is not available to most human beings. Rather, the ability to regard nature aesthetically is the hallmark of the genius, and Schopenhauer describes the content of art through an examination of genius. The genius, claims Schopenhauer, is one who has been given by nature a superfluity of intellect over will. For Schopenhauer, the intellect is designed to serve the will. Since in living organisms, the will manifests itself as the drive for self-preservation, the intellect serves individual organisms by regulating their relations with the external world in order to secure their self-preservation. Because the intellect is designed to be entirely in service of the will, it slumbers, to use Schopenhauer’s colorful metaphor, unless the will awakens it and sets it in motion. Therefore ordinary knowledge always concerns the relations, laid down by the principle of sufficient reason, of objects in terms of the demands of the will.

Although the intellect exists only to serve the will, in certain humans the intellect accorded by nature is so disproportionately large, it far exceeds the amount needed to serve the will. In such individuals, the intellect can break free of the will and act independently. A person with such an intellect is a genius (only men can have such a capability according to Schopenhauer), and this will-free activity is aesthetic contemplation or creation. The genius is thus distinguished by his ability to engage in will-less contemplation of the Ideas for a sustained period of time, which allows him to repeat what he has apprehended by creating a work of art. In producing a work of art, the genius makes the beautiful accessible for the non-genius as well. Whereas non-geniuses cannot intuit the Ideas in nature, they can intuit them in a work of art, for the artist replicates nature in the artwork in such a manner that the viewer is capable of viewing it disinterestedly, that is, freed from her own willing, as an Idea.

Schopenhauer states that aesthetic contemplation is characterized by objectivity. The intellect in its normal functioning is in the service of the will. As such, our normal perception is always tainted by our subjective strivings. The aesthetic point of view, since it is freed from such strivings, is more objective than any other ways of regarding an object. Art does not transport the viewer to an imaginary or even ideal realm. Rather it affords the opportunity to view life without the distorting influence of his own will.

b. The Human Will: Agency, Freedom, and Ethical Action

i. Agency and Freedom

Any account of human agency in Schopenhauer must be given in terms of his account of the will. For Schopenhauer, all acts of will are bodily movements, and thus are not the internal cause of bodily movements. What distinguishes an act of will from other events, which are also expressions of the will, is that it meets two criteria: it is a bodily movement caused by a motive, and it is accompanied by a direct awareness of this movement. Schopenhauer provides both a psychological and physiological account of motives. In his psychological account, motives are causes that occur in the medium of cognition, or internal causes. Motives are mental events that arise in response to an awareness of some motivating object. Schopenhauer argues that these mental events can never be desires or emotions: desires and emotions are expressions of the will and thus are not included under the class of representations. Rather, a motive is the awareness of some object of representation. These representations can be abstract; thinking the concept of an object, or intuitive; perceiving an object. Thus Schopenhauer provides a causal picture of action, and it is one in which mental events cause physical events.

In Schopenhauer’s physiological account of motives, motives are brain processes that cause certain neural activities and these translate into bodily motion. The psychological and physical accounts are consistent insofar as Schopenhauer has a dual-aspect view of the mental and physical. The mental and the physical are not two causally linked realms, but two aspects of the same nature, where one cannot be reduced to or explained by the other. It is important to underscore the fact that in the physiological account, the will is not a function of the brain. Rather it is present as irritability in the muscular fibers of the whole body.

According to Schopenhauer, the will, as muscular irritability, is a continual striving for activity in general. Because this striving has no direction, it aims at all directions at once and thus produces no physical movement. However, when the nervous system provides the direction for this movement (that is, when motives act on the will), the movement is given direction and bodily movement occurs. The nerves do not move the muscles, rather they provide the occasion for the muscles’ movements.

The causal mechanism in acts of will is necessary and lawful, as are all causal relations in Schopenhauer’s view. Acts of will follow from motives with the same necessity that the motion of a billiard ball follows from its being struck. Yet this account leads to a problem concerning the unpredictability of acts: if the causal process is law governed, and if acts of will are causally determined, Schopenhauer must account for the fact that human actions are unpredictable. This unpredictability of human action, he argues, is due to the impossibility of knowing comprehensively the character of an individual. Each character is unique, and thus it is impossible to predict fully how a motive or set of motives will effect bodily motion. In addition, we usually do not know what a person’s beliefs are concerning the motive, and these beliefs influence how she will respond to it. However, if we had a full account of a person’s character as well as her beliefs, we could with scientific accuracy predict what bodily motion would result from a particular motive.

Schopenhauer distinguishes between causation that occurs through stimuli, which is mechanistic, and that which occurs through motives. Each kind of causality occurs with necessity and lawfulness. The difference between these different classifications of causes regards the commensurability and proximity of cause and the effect, not their degree of lawfulness. In mechanical causation, the cause is contiguous and commensurate to the effect, both cause and effect are easily perceived, and therefore their causal lawfulness is clear. For instance, a billiard ball must be struck in order to move, and the force in which one ball hits will be equal to the force in which the other ball moves. In stimuli, causes are proximate: there is no separation between receiving the impression and being determined by it. At the same time, cause and effect are not always commensurate: for instance, when a plant reaches up to the sun, the sun as cause makes no motion to produce the effect of the plant’s movement. In motive causality, the cause is neither proximate nor commensurate: the memory of Helen can cause whole armies to run to battle, for instance. Consequently the lawfulness in motive causality is difficult, if not impossible, to perceive.

Because human action is causally determined, Schopenhauer denies that humans can freely choose how they respond to motives. In any course of events, one and only one course of action is available to the agent, and the agent performs that action with necessity. Schopenhauer must, then, account for the fact that agents experience their own actions as contingent. Moreover, he must account for the active nature of agency, the fact that agents experience their actions as things they do and not things that happen to them.

Schopenhauer gives an explanation of the active nature of agency, but not in terms of the causal efficacy of agents. Instead, the key to accounting for human agency lies in the distinction between one’s intelligible and empirical character. Our intelligible character is our character outside of space and time, and is the original force of the will. We cannot have access to our intelligible character, as it exists outside our forms of knowing. Like all forces in nature, it is original, inalterable and inexplicable. Our empirical character is our character insofar as it manifests itself in individual acts of will: it is, in short, the phenomenon of the intelligible character. The empirical character is an object of experience and thus tied to the forms of experience, namely space, time and causality.

However, the intelligible character is not determined by these forms, and thus is free. Schopenhauer calls this freedom transcendental, as it is outside the realm of experience. Although we can have no experience of our intelligible character, we do have some awareness of the fact that our actions issue from it and thus are very much our own. This awareness accounts for our experiencing our deeds as both original and spontaneous. Thus our deeds are both events linked with other events in a lawfully determined causal chain and acts that issue directly from our own characters. Our actions can embody both these otherwise contradictory characterizations because these characterizations refer to the deeds from two different aspects of our characters, the empirical and the intelligible.

Our characters also explain why we attribute moral responsibility to agents even though acts are causally necessitated. Characters determine the consequences that motives effect on our bodies. Yet, states Schopenhauer, our characters are entirely our own: our characters are fundamentally what we are. This is why we assign praise or blame not to acts but to the agents who commit them. And this is why we hold ourselves responsible: not because we could have acted differently given who we are, but that we could have been different from who we are. Although there is not freedom in our action, there is freedom in our essence, our intelligible character, insofar as our essence lies outside the forms of our cognition, that is to say, space, time and causality.

ii. Ethics

Like Kant, Schopenhauer reconciles freedom and necessity in human action through the distinction between the phenomenal and noumenal realms. However, he was sharply critical of Kant’s deontological framework. Schopenhauer charged Kant with committing a petitio principii, for he assumed at the outset of his ethics that purely moral laws and then constructed an ethics to account for such laws. Schopenhauer argues, however, that Kant provides no proof for the existence of such laws. Indeed, Schopenhauer avers that no such laws, which have their basis in theological assumptions, exist. Likewise, Schopenhauer attacks Kant’s account of morality as characterized by an unconditioned ought. The notion of ‘ought’ only carries motivational force when accompanied by the threat of sanctions. Because no ought can be unconditioned insofar as its motivational force stems from its implicit threat of punishment, all imperatives are in fact, according to Schopenhauer, hypothetical.

Nor does Schopenhauer accept Kant’s claim that morality derives from reason: like David Hume, Schopenhauer regards reason as instrumental. The origins of morality are not found in reason, but rather in the feeling of compassion that allows one to transcend the standpoint of egoism. The dictum of morality is “Harm no one and help others as much as you can.” Most persons operate exclusively from egoistic motives, for, as Schopenhauer explains, our knowledge of our own weal and woe is direct, while our knowledge of the weal and woe of others is always only representation and thus does not affect us.

Although most persons are motivated primarily by egoistic concerns, certain rare persons can act from compassion, and it is compassion that forms the basis of Schopenhauer’s ethics. Compassion is prompted by the awareness of the suffering of another person, and Schopenhauer characterizes it as a kind of felt knowledge. Compassion is born of the awareness that individuation is merely phenomenal. Consequently the ethical point of view expresses a deeper knowledge than what is found in the ordinary manner of viewing the world. Indeed, the feeling of compassion is nothing other than the felt knowledge that the suffering of another has a reality equal to one’s own suffering insofar as the world in itself is an undifferentiated unity. Schopenhauer asserts that this knowledge cannot be taught or even communicated, but can only be brought about by experience.

Since compassion is the basis of Schopenhauer’s ethics, the ethical significance of conduct is found in the motive alone, an aspect of his ethics that finds affinity with Kant. Thus Schopenhauer distinguishes the just person from the good person not by the nature of their actions, but by their level of compassion: the just person sees through the principle of individuation enough to avoid causing harm to another, whereas the good person sees through it even further, to the point that the suffering he sees in others touches him almost as closely as does his own. Such a person not only avoids harming others, but actively tries to alleviate the suffering of others. At its highest point, someone may recognize the suffering of others with such clarity that he is willing to sacrifice his own well-being for the sake of others, if by doing so the suffering he will alleviate outweighs the suffering he must endure. This, says Schopenhauer, is the highest point in ethical conduct.

3. Schopenhauer’s Pessimism

Schopenhauer’s pessimism is the most well known feature of his philosophy, and he is often referred to as the philosopher of pessimism. Schopenhauer’s pessimistic vision follows from his account of the inner nature of the world as aimless blind striving.

Because the will has no goal or purpose, the will’s satisfaction is impossible. The will objectifies itself in a hierarchy of gradations from inorganic to organic life, and every grade of objectification of the will, from gravity to animal motion, is marked by insatiable striving. In addition, every force of nature and every organic form of nature participates in a struggle to seize matter from other forces or organisms. Thus existence is marked by conflict, struggle and dissatisfaction.

The attainment of a goal or desire, Schopenhauer continues, results in satisfaction, whereas the frustration of such attainment results in suffering. Since existence is marked by want or deficiency, and since satisfaction of this want is unsustainable, existence is characterized by suffering. This conclusion holds for all of nature, including inanimate natures, insofar as they are at essence will. However, suffering is more conspicuous in the life of human beings because of their intellectual capacities. Rather than serving as a relief from suffering, the intellect of human beings brings home their suffering with greater clarity and consciousness. Even with the use of reason, human beings can in no way alter the degree of misery we experience; indeed, reason only magnifies the degree to which we suffer. Thus all the ordinary pursuits of mankind are not only fruitless but also illusory insofar as they are oriented toward satisfying an insatiable, blind will.

Since the essence of existence is insatiable striving, and insatiable striving is suffering, Schopenhauer concludes that nonexistence is preferable to existence. However, suicide is not the answer. One cannot resolve the problem of existence through suicide, for since all existence is suffering, death does not end one’s suffering but only terminates the form that one’s suffering takes. The proper response to recognizing that all existence is suffering is to turn away from or renounce one’s own desiring. In this respect, Schopenhauer’s thought finds confirmation in the Eastern texts he read and admired: the goal of human life is to turn away from desire. Salvation can only be found in resignation.

4. References and Further Reading

a. Primary Sources Available in English

  • Manuscript Remains in Four Volumes. Edited by Arthur Hübscher, Translated by E.F.J. Payne. Oxford: Berg Publishers, 1988.
  • On the Fourfold Root of the Principle of Sufficient Reason. Translated by E.F.J. Payne. LaSalle: Open Court Press, 1997.
  • On the Basis of Morality. Translated by E.F.J. Payne. Indianapolis: The Bobbs Merrill Company, 1965.
  • On the Will in Nature. Translated by E.F.J. Payne, Edited by David Cartwright. New York: Berg Publishers, 1992.
  • Parerga and Paralipomena Volumes 1 and II. Translated by E.F.J. Payne. Oxford: Oxford University Press, 2000.
  • Prize Essay on the Freedom of the Will. Edited by Gunther Zoller, Translated by E.F. J. Payne. Cambridge: Cambridge University Press, 1999.
  • The World as Will and Representation. Translated by E.F.J. Payne, 2 vols. New York: Dover, 1969.

b. Secondary Sources

  • Atwell, John E. Schopenhauer: The Human Character . Philadelphia: Temple University Press, 1990.
    • Provides a lucid account of Schopenhauer’s ethics and pessimism.
  • Atwell, John E. Schopenhauer on the Character of the World: The Metaphysics of Will. Berkeley: University of California Press, 1995.
    • An excellent and comprehensive account of Schopenhauer’s metaphysics and epistemology that brings new insight into Schopenhauer’s methodology.
  • Cartwright, David E. Schopenhauer: A Biography. Cambridge: Cambridge University Press, 2010.
    • The most comprehensive biography of Schopenhauer available in English.
  • Copleston, Frederick. Arthur Schopenhauer, Philosopher of Pessimism. London: Barnes and Noble, 1975.
    • The first book length monograph on Schopenhauer written in English.
  • Hamlyn, D.W. Schopenhauer. London: Routledge & Kegan Paul, 1980.
    • A brief but substantive critical analysis of his thought that includes a strong summary of his dissertation as well as his relationship to Kant.
  • Hübscher, Arthur, The Philosophy of Schopenhauer in Its Intellectual Context: Thinker Against the Tide. Translated by Joachim T. Baer and David E. Cartwright. Lewiston, N.Y : Edwin Mellon Press, 1989.
    • An excellent intellectual biography, extensively covers his earliest (pre-dissertation) thought and the influences of German romanticism and idealism.
  • Jacquette, Dale, ed. Schopenhauer, Philosophy, and the Arts. Cambridge: Cambridge University Press, 1996.
    • A collection of essays on both Schopenhauer’s aesthetics and the influence his aesthetics had on later artists.
  • Janaway, Christopher, ed. Willing and Nothingness: Schopenhauer as Nietzsche’s Educator. Oxford; Clarendon Press, 1998.
    • These essays explore Schopenhauer’s influence on Nietzsche. The book includes a complete list of textual references to Schopenhauer in Nietzsche’s writings.
  • Magee, Bryan. The Philosophy of Schopenhauer. Oxford: Carendon Press, 1983.
    • Covers the whole of Schopenhauer’s thought, as well as an extensive account on his influence on later thinkers and artists such as Wagner and Wittgenstein.
  • Safranski, Ruediger, Schopenhauer and the Wild Years of Philosophy. Translated by Ewald Osers, London: Weidenfeld and Nicolson, 1989.
    • An entertaining biography that provides insight into the political and cultural milieu in which Schopenhauer developed his thought.
  • Young, Julian, Willing and Unwilling: A Study in the Philosophy of Arthur Schopenhauer. Dordrecht: Martinus Nijhoff, 1987.
    • An influential reading of Schopenhauer’s work, which argues that Schopenhauer’s account of the thing-in-itself cannot be wholly identified with the will.

Author Information

Mary Troxell
Email: mary.troxell.1@bc.edu
Boston College
U. S. A.

Autonomy

Autonomy is an individual’s capacity for self-determination or self-governance. Beyond that, it is a much-contested concept that comes up in a number of different arenas. For example, there is the folk concept of autonomy, which usually operates as an inchoate desire for freedom in some area of one’s life, and which may or may not be connected with the agent’s idea of the moral good. This folk concept of autonomy blurs the distinctions that philosophers draw among personal autonomy, moral autonomy, and political autonomy. Moral autonomy, usually traced back to Kant, is the capacity to deliberate and to give oneself the moral law, rather than merely heeding the injunctions of others. Personal autonomy is the capacity to decide for oneself and pursue a course of action in one’s life, often regardless of any particular moral content. Political autonomy is the property of having one’s decisions respected, honored, and heeded within a political context.

Another distinction that can be made is between autonomy as a bare capacity to make decisions and of autonomy as an ideal. When autonomy functions as an ideal, agents who do not meet certain criteria in having reached a decision are deemed non-autonomous with respect to that decision. This can function both locally, in terms of particular actions, and globally, in terms of agents as a whole. For instance, children, agents with cognitive disabilities of a certain kind, or members of oppressed groups have been deemed non-autonomous because of their inability to fulfill certain criteria of autonomous agency, due to individual or social constraints.

There is debate over whether autonomy needs to be representative of a kind of “authentic” or “true” self. This debate is often connected to whether the autonomy theorist believes that an “authentic” or “true” self exists. In fact, conceptions of autonomy are often connected to conceptions of the nature of the self and its constitution. Theorists who hold a socially constituted view of the self will have a different idea of autonomy (sometimes even denying its existence altogether) than theorists who think that there can be some sort of core “true” self, or that selves as agents can be considered in abstraction from relational and social commitments and contexts.

Finally, autonomy has been criticized as being a bad ideal, for promoting a pernicious model of human individuality that overlooks the importance of social relationships and dependency. Responses to these criticisms have come in various forms, but for the most part philosophers of autonomy have striven to express the compatibility of the social aspects of human action within their conceptions of self-determination, arguing that there need not necessarily be an antagonism between social and relational ties, and our ability to decide our own course of action.

This article will focus primarily on autonomy at the level of the individual and the work being done on personal autonomy, but will also address the connection of autonomy to issues in bioethics and political theory.

Table of Contents

  1. The History of Autonomy
    1. Before Kant
    2. Kant
    3. The Development of Individualism in Autonomy
    4. Autonomy and Psychological Development
  2. Personal Autonomy
    1. Content-Neutral or Procedural Accounts
      1. Hierarchical Procedural Accounts
      2. Criticisms of Hierarchical Accounts
      3. Coherentist Accounts
    2. Substantive Accounts
  3. Feminist Philosophy of Autonomy
    1. Feminist Criticisms of Autonomy
    2. Relational Autonomy
  4. Autonomy in Social and Political Context
    1. Autonomy and Political Theory
    2. Autonomy and Bioethics
  5. References and Further Reading

1. The History of Autonomy

a. Before Kant

The roots of autonomy as self-determination can be found in ancient Greek philosophy, in the idea of self-mastery. For both Plato and Aristotle, the most essentially human part of the soul is the rational part, illustrated by Plato’s representation of this part as a human, rather than a lion or many-headed beast, in his description of the tripartite soul in the Republic. A just soul, for Plato, is one in which this rational human part governs over the two others. Aristotle identifies the rational part of the soul as most truly a person’s own in the Nicomachean Ethics (1166a17-19).

Plato and Aristotle also both associate the ideal for humanity with self-sufficiency and a lack of dependency on others. For Aristotle, self-sufficiency, or autarkeia, is an essential ingredient of happiness, and involves a lack of dependence upon external conditions for happiness. The best human will be one who is ruled by reason, and is not dependent upon others for his or her happiness.

This ideal continues through Stoic philosophy and can be seen in the early modern philosophy of Spinoza. The concept of autonomy itself continued to develop in the modern period with the decrease of religious authority and the increase of political liberty and emphasis on individual reason. Rousseau’s idea of moral liberty, as mastery over oneself, is connected with civil liberty and the ability to participate in legislation.

b. Kant

Kant further developed the idea of moral autonomy as having authority over one’s actions. Rather than letting the principles by which we make decisions be determined by our political leaders, pastors, or society, Kant called upon the will to determine its guiding principles for itself, thus connecting the idea of self-government to morality; instead of being obedient to an externally imposed law or religious precept, one should be obedient to one’s own self-imposed law.  The former he called heteronomy; the latter autonomy. In his “What is Enlightenment” essay, he described enlightenment as “the human being’s emergence from his self-incurred minority” and called on his readers to have the courage to use their own understanding “without direction from another” (Kant 1996, 17). This description is close to what we might acknowledge today as personal autonomy, but Kant’s account is firmly located within his moral philosophy.

In acting we are guided by maxims, which are the subjective principles by which we might personally choose to abide. If these maxims can be deemed universal, such that they would be assented to and willed by any rational being, and thus not rooted in any individual’s particular contingent experience, then they may gain the status of objective laws of morality. Each moral agent, then, is to be seen as a lawgiver in a community where others are also lawgivers in their own right, and hence are to be respected as ends in themselves; Kant calls this community the kingdom of ends.

While the will is supposed to be autonomous, for Kant, it is also not supposed to be arbitrary or particularistic in its determinations. He sees our inclinations and emotional responses as external to the process of the will’s self-legislation; consequently, letting them determine our actions is heteronomous rather than autonomous. Feelings, emotions, habits, and other non-intellectual factors are excluded from autonomous decision-making. Any circumstances that particularize us are also excluded from autonomous decision-making.

The reason for Kant’s exclusion of feelings, inclinations, and other particular aspects of our lives from the structure of autonomy is rooted in his metaphysical account of the human being, which radically separates the phenomenal human self from the noumenal human self. All empirical aspects of our selfhood — all aspects of our experience — are part of the phenomenal self, and subject to the deterministic laws of natural causality. Our freedom, on the other hand, cannot be perceived or understood; rather we must posit the freedom of the will as the basis for our ability to act morally.

Contemporary Kantians within moral theory do not adhere to Kant’s metaphysics, but seek to understand how something like Kant’s conception of autonomy can still stand today. Thomas Hill suggests, for example, that the separation of our free will from our empirical selfhood be taken less as a metaphysical idea but as a normative claim about what ought to count as reasons for acting (Hill 1989, 96-97)

There are significant differences between Kant’s conception of moral autonomy and the conceptions of personal autonomy developed within the last thirty years, which attempt to articulate how social and cultural influences can be compatible with autonomous decision-making. Further, the majority of contemporary theories of personal autonomy are content-neutral accounts of autonomy which are unconcerned with whether or not a person is acting according to moral laws; they focus more on determining whether or not a person is acting for his or her own reasons than on putting any restrictions on autonomous action.

c. The Development of Individualism in Autonomy

Between Kant’s description of moral autonomy and the recent scholarship on personal autonomy, however, there was a process of individualizing the idea of autonomy. The Romantics, reacting against the emphasis on the universality of reason put forth by the Enlightenment, of which Kant’s philosophy was a part, prized particularity and individuality. They highlighted the role of the passions and emotions over reason, and the importance of developing one’s own unique self. John Stuart Mill also praised and defended the development and cultivation of individuality as worthwhile in itself, writing that “A person whose desires and impulses are his own – are the expression of his own nature, as it has been developed and modified by his own culture – is said to have a character. One whose desires and impulses are not his own has no character, no more than a steam engine has a character” (Mill 1956, 73).

The Romantic conception of individuality was then echoed within the conception of authenticity that runs through phenomenological and existential philosophy. Heidegger posits an inner call of conscience summoning us away from ‘das Man’: in order to be authentic, we need to heed this inner call and break away from inauthentically following the crowd. This conception of authenticity became intertwined with the idea of autonomy: both involve a call to think for oneself and contain a streak of individualism (see Hinchman 1996).

Unlike the universalism espoused by Kantian autonomy, however, authenticity, like the Romantic view, involves a call to be one’s own person, not merely to think for oneself. For Kant, thinking for oneself would, if undertaken properly, lead to universalizing one’s maxims; for both the Romantics and the Existentialists, as well as for Mill, there is no such expectation. This division is still present in the contrast between conceiving of autonomy as a key feature of moral motivation, and autonomy as self-expression and development of individual practical identity.

The emphasis on autonomy within this strain of philosophy was criticized by Emmanuel Lévinas, who sees autonomy as part of our selfish and close-minded desire to strive toward our own fulfillment and self-gratification rather than being open to the disruptive call of the other’s needs (Lévinas 1969). He argues for the value of heteronomy over autonomy. For Lévinas, in heteronomy, the transcendent face of the other calls the ego into question, and the self realizes its unchosen responsibility and obligation to the other. The self is hence not self-legislating, but is determined by the call of the other. This criticism of the basic structure of autonomy has been taken up within continental ethics, which attempts to determine how or whether a practical, normative ethics could be developed within this framework (see for example Critchley 2007).

d. Autonomy and Psychological Development

The connection between autonomy and the ideal of developing one’s own individual self was adopted within the humanistic psychologies of Abraham Maslow and Carl Rogers, who saw the goal of human development as “self-actualization” and “becoming a person,” respectively. For Maslow and Rogers, the most developed person is the most autonomous, and autonomy is explicitly associated with not being dependent on others.

More recently Lawrence Kohlberg developed an account of moral psychological development, in which more developed agents display a greater amount of moral autonomy and independence in their judgments. The highest level bears a great resemblance to the Kantian moral ideal, in its reference to adopting universal values and standards as one’s own.

Kohlberg’s work was criticized by Carol Gilligan, who argued that this pattern reflected male development, but not female. Instead of taking “steps toward autonomy and independence,” in which “separation itself becomes the model and the measure of growth,” “for women, identity has as much to do with intimacy as with separation” (Gilligan 1982, 98). The trajectory is thus less about individualization and independence than toward ultimately balancing and harmonizing an agent’s interests with those of others.

Gilligan does not entirely repudiate autonomy itself as a value, but she also does not suggest how it can be distinguished from the ideals of independence and separation from others. Her critiques have been widely influential and have played a major role in provoking work on feminist ethics and, despite her criticism of the ideal of autonomy, conceptions of “relational autonomy.”

The contemporary literature on personal autonomy within philosophy tends to avoid these psychological ideas of individual development and self-actualization. For the most part, it adopts a content-neutral approach that rejects any particular developmental criteria for autonomous action, and is more concerned with articulating the structure by which particular actions can be deemed autonomous (or, conversely, the structure by which an agent can be deemed autonomous with respect to particular actions).

2. Personal Autonomy

The contemporary discussion of personal autonomy can primarily be distinguished from Kantian moral autonomy through its commitment to metaphysical neutrality. Related to this is the adherence to at least a procedural individualism: within contemporary personal autonomy accounts, an action is not judged to be autonomous because of its rootedness in universal principles, but based on features of the action and decision-making process purely internal and particular to the individual agent.

The main distinction within personal autonomy is that between content-neutral accounts, which do not specify any particular values or principles that must be endorsed by the autonomous agent, and substantive accounts which specify some particular value or values that must be included within autonomous decision-making.

a. Content-Neutral or Procedural Accounts

Content-neutral accounts, also called procedural, are those which deem a particular action autonomous if it has been endorsed by a process of critical reflection. These represent the majority of accounts of personal autonomy. Procedural accounts determine criteria by which an agent’s actions can be said to be autonomous, that do not depend on any particular conception of what kinds of actions are autonomous or what kinds of agents are autonomous. They are neutral with respect to what an agent might conceive of as good or might be trying to achieve.

i. Hierarchical Procedural Accounts

The beginning of the contemporary discussion of personal autonomy is in the 1970s works of Harry Frankfurt and Gerald Dworkin. Their concern was to give an account of what kind of individual freedom ought to be protected, and how that moral freedom may be described in the context of contemporary conceptions of free will. Their insight was that our decisions are worth protecting if they are somehow rooted in our values and overall commitments and objectives, and that they are not worth protecting if they run counter to those values, commitments, and objectives. The concept of personal autonomy, thus, can be used as a way of protecting certain decisions from paternalistic interference. We may not necessarily want to honor the decision of a weak-willed person who decides to do something against their better judgment and against their conscious desire to do otherwise, whereas we do want to protect a person’s decision to pursue an action that accords with their self-consciously held values, even if it is not what we ourselves would have done. Frankfurt and Dworkin phrase this insight in terms of a hierarchy of desires.

Frankfurt’s and Dworkin’s hierarchical accounts of autonomy form the basis upon which the mainstream discussion builds and reacts against. Roughly speaking, according to this hierarchical model, an agent is autonomous with respect to an action on the condition that his or her first-order desire to commit the act is sanctioned by a second-order volition endorsing the first-order desire (see Frankfurt 1988, 12-25). This account is neutral with respect to what the origins of the higher-order desires may be, and thus does not exclude values and desires that are socially or relationally constituted. The cause of such desires does not matter, solely the agent’s identification with them (Frankfurt 1988, 53-54). Autonomy includes our ability to consider and ask whether we do, in fact, identify with our desires or whether we might wish to override them (Dworkin 1988).  The “we”, in this case, is constituted by our higher-order preferences; Dworkin speaks of them as the agent’s “true self” (Dworkin 1989, 59).

ii. Criticisms of Hierarchical Accounts

There are several different objections to the hierarchical model, mostly revolving around the problem in locating the source of an agent’s autonomy, and questioning the idea that autonomy can be located somehow in the process of reflective endorsement itself.

First, the Problem of Manipulation criticism points out that because Frankfurt’s account is ahistorical, it does not protect against the possibility that someone, such as a hypnotist, may have interfered with the agent’s second-order desires. We would hesitate to call such a hypnotized or mind-controlled agent autonomous with respect to his or her actions under these circumstances, but since the hierarchical model does not specify where or how the second order volitions ought to be generated, it cannot adequately distinguish between an autonomous agent and a mind-controlled one. The structure of autonomous agency therefore seems to have a historical dimension to it, since the history of how we developed or generated our volitions seems to matter (see Mele 2001, 144-173).

John Christman develops a historical model of autonomy in order to rectify this problem, such that the means and historical process by which an agent reaches certain decisions is used in determining his or her status as autonomous or not (Christman 1991). This way, an agent brainwashed into having desire X would be deemed nonautonomous with respect to X.  The theory runs into difficulty in a case where an agent might freely choose to give up his or her autonomy, or conversely where an agent might endorse a desire but not endorse the means by which he or she was forced into developing the desire (see Taylor 2005, 10-12), but at least it draws attention to some of the temporal features of autonomous agency.

Another criticism of the hierarchical model is the Regress or Incompleteness Problem. According to Frankfurt and Dworkin, an agent is autonomous with respect to his or her first order desires as long as they are endorsed by second-order desires. However, this raises the question of the source of the second-order volitions; if they themselves rely on third-order volitions, and so on, then there is the danger of an infinite regress in determining the source of the autonomous endorsement (see Watson 1975). If the second order desires are autonomous for some other reason than a higher-order volition, then the hierarchical model is incomplete in its explanation of autonomy. Frankfurt, while acknowledging that there is “no theoretical limit” to the series of higher order desires, holds that the series can end with an agent’s “decisive commitment” to one of the first order desires (Frankfurt 1988, 21). However, the choice of terminating the series is itself arbitrary if there no reason behind it (Watson 1975).

Frankfurt responds to this criticism in “Identification and Wholeheartedness” by defining a decisive commitment as one which the agent makes without reservation, and where the agent feels no reason to continue deliberating (Frankfurt 1988, 168-9). To stop at this point is, Frankfurt argues, hardly arbitrary. It is possible that the agent is mistaken in his or her judgment, but that is always a possibility in deliberation, and thus not an obstacle to Frankfurt’s theory in particular. In making a decision, an agent “also seeks thereby to overcome or to supersede a condition of inner division and to make himself into an integrated whole” (Frankfurt 1988, 174). Thus, by making this decision, the agent has endorsed an intention that establishes “a constraint by which other preferences and decisions are to be guided” (Frankfurt 1988, 175), and thus is self-determining and autonomous.

The criterion of wholeheartedness and unified agency has been criticized by Diana Meyers, who argues for a decentered, fivefold notion of the subject, which includes the unitary, decision-making self, but also acknowledges the functions of the self as divided, as relational, as social, as embodied, and as unconscious (Meyers 2005). The ideal of wholeheartedness has also been criticized on the grounds that it does not reflect the agency of agents from oppressed groups or from mixed traditions. Edwina Barvosa-Carter sees ambivalence as an inescapable feature of much decision-making, especially for mixed-race individuals who have inherited conflicting values, commitments, and traditions (Barvosa-Carter 2007). Marina Oshana makes a similar point, with reference to living within a racist society (Oshana 2005).

In any case, it is a puzzle how decisive commitments or higher-order desires acquire their authority without themselves being endorsed, since deriving authority from external manipulation would seem to undermine this authority. This is the Ab Initio Problem: If the source of an agent’s autonomy is ultimately something that can’t itself be reflectively endorsed, then the agent’s autonomy seems to originate with something with respect to which he or she is non-autonomous, something that falls outside the hierarchical model.

A related objection to the Regress Problem is that this hierarchical account seems to give an unjustified ontological priority to higher versions of the self (see Thalberg 1978). Marilyn Friedman has argued that it begs the question to assume some sort of uncaused “true self” at the top of the hierarchical pyramid. In order to give a procedural account that would avoid these objections, Friedman has proposed an integration model in which desires of different orders ought to be integrated together, rather than being constructed in a pyramid (Friedman 1986).

iii. Coherentist Accounts

Part of the appeal of understanding autonomy is not simply in explaining how we make decisions, but because the idea of autonomy suggests something about how we identify ourselves, what we identify with. For Frankfurt, we identify with a lower level desire if we have a second order volition endorsing it. However, our second order volitions don’t necessarily represent us — we may have no reason for them, which Frankfurt acknowledges.

This concern drives some of the other approaches to personal autonomy, such as Laura Ekstrom’s coherentist account (Ekstrom 1993). Since autonomy is self-governance, it stands to reason that in order to understand autonomous agency, we must clarify our notion of the self and hence what counts as the self’s own reasons for acting; she argues that this will help avoid the Regress Problem and the Ab Initio Problem.

Ekstrom’s account of self is based on the endorsement of preferences. An agent has a preference if he or she holds a certain first level desire to be good; it is similar to a second order volition for Frankfurt. It presupposes higher level states since they are the result of an agent’s higher order reflection about the agent’s desires with regard to goodness. A self, then, is a particular character with certain beliefs and preferences which have been endorsed in a process of self-reflection, and the ability to reshape those beliefs and preferences in light of self-evaluation. The true self includes those beliefs and preferences which cohere together; that coherence itself gives them authorization. A preference is thus endorsed if it coheres with the agent’s character.

Michael Bratman develops a similar account, arguing that our personal identity is partly constituted by the organizing and coordinating function of our long-range plans and intentions (Bratman 2007, 5). Our decisions are autonomous or self-governing with respect to these plans.

This is, of course, only a very brief account of some of the literature on proceduralist accounts of autonomy, and it omits the various defenses of the hierarchical model and the objections to Friedman’s, Christman’s, and others’ formulations. But it should be enough to make clear the way in which theorists offering these accounts strive to ensure that no particular view of what constitutes a flourishing human life is imported into their accounts of autonomy. Autonomy is just one valued human property amongst others, and need not do all the work of describing human flourishing (Friedman 2003).

b. Substantive Accounts

Some doubt, however, that proceduralist accounts are adequate to capture autonomous motivation and action, or to rule out actions that or agents who we would hesitate to call autonomous. Substantive accounts of autonomy, of which there are both weak and strong varieties, set more requirements for autonomous actions to count as autonomous. Whether weak or strong, all substantive accounts posit some particular constraints on what can be considered autonomous; one example might be an account of autonomy that specifies that we might not autonomously be able to choose to be enslaved. Susan Wolf offers a strong substantive account, in which agents must have “normative competency,” in other words, the capacity to identify right and wrong (Wolf 1990). We do not need to be metaphysically responsible for ourselves or absolutely self-originating, but as agents we are morally responsible, and capable of revising ourselves according to our moral reasoning (Wolf 1987). Similarly, Paul Benson’s early accounts of autonomy also advocated a strong substantive account, stressing normative competence, and also the threat of oppressive or inappropriate socialization to our normative competence and thus to our autonomy (Benson 1991).

Contemporary Kantians such as Thomas Hill and Christine Korsgaard also advocate substantive accounts of autonomy. Korsgaard argues that we have practical identities which guide us and serve as the source of our normative commitments (Korsgaard 1996). We have multiple such identities, not all of which are moral, but our most general practical identity is as a member of the “kingdom of ends,” our identity as moral agents. This identity generates universal duties and obligations. Just as Kant called autonomy our capacity for self-legislation, so too Korsgaard calls autonomy our capacity to give ourselves obligations to act based on our practical identities. Since one of these is a universal moral identity, autonomy itself thus has substantive content.

Autonomy, for Hill, means that principles will not simply be accepted because of tradition or authority, but can be challenged through reason. He acknowledges that in our society we do not experience the kind of consensus about values and principles that Kant supposed ideally rational legislators might possess, but argues that it is still possible to bear in mind the perspective of a possible kingdom of ends. Human dignity, the idea of humanity as an end in itself, can represent a shared end regardless of background or tradition (Hill 2000, 43-45).

Substantive accounts have been criticized for conflating personal and moral autonomy and for setting too high a bar for autonomous action. If too much is expected of autonomous agents’ self-awareness and moral reflection, then can any of us be truly said to be autonomous (see for example Christman 2004 and Narayan 2002)? Does arguing that agents living under conditions of oppressive socialization have reduced autonomy help set a standard for promotion of justice, or does it overemphasize their diminished capacity without encouraging and promoting the capacities that they do have? This interplay between our socialization and our capacity for autonomy is highlighted in the relational autonomy literature, covered below.

In order to come to some middle ground between substantive and procedural accounts, Paul Benson has also suggested a weak substantive account, which does not specify any content, but sets the requirement that the agent must regard himself or herself as worthy to act; in other words, that the agent must have self-trust, self-respect (Benson 1991). This condition serves to limit what behavior can be deemed autonomous and to bring it in line with our intuition that a mind-controlled or utterly submissive agent is not acting autonomously, while not ruling out the agent’s ability to decide what values he or she wants to live by.

3. Feminist Philosophy of Autonomy

a. Feminist Criticisms of Autonomy

Feminist philosophers have been critical of concepts and values traditionally seen to be gender neutral, finding that when examined they reveal themselves to be masculine (see Jaggar 1983, Benjamin 1988, Grimshaw 1986, Harding and Hintikka 2003, and Lloyd 1986). Autonomy has long been coded masculine and associated with masculine ideals, despite being something which women have called for in their own right. Jessica Benjamin argues that while we are formally committed to equality, “gender polarity underlies such familiar dualisms as autonomy and dependency” (Benjamin 1988, 7). There has been some debate over whether autonomy is actually a useful value for women, or whether it has been tarnished by association.

Gilligan’s criticisms of autonomy have already been covered, but Benjamin writes along similar lines that:

The ideal of the autonomous individual could only be created by abstracting from the relationship of dependency between men and women. The relationships which people require to nurture them are considered private, and not truly relationships with outside others. Thus the other is reduced to an appendage of the subject – the mere condition of his being – not a being in her own right. The individual who cannot recognize the other or his own dependency without suffering a threat to his identity requires the formal, impersonal principle of rationalized interaction, and is required by them. (Benjamin 1988, 197)

Benjamin ultimately argues that the entire structure of recognition between men and women must be altered in order to permit an end to domination. Neither Gilligan nor Benjamin addresses the possibility of reformulating the notion of autonomy itself, but each sees it as essentially linked with individualism and separation. Sarah Hoagland is more emphatic: she openly rejects autonomy as a value, referring to it as “a thoroughly noxious concept” as it “encourages us to believe that connecting and engaging with others limits us” (Hoagland 1988, 144).

These criticisms have been countered, however, by feminists looking to retain the value of autonomy, who argue that the critics conflate the ideal of “autonomy” with that of “substantive independence.” Autonomy, while it has often been associated with individualism and independence, does not necessarily entail these. Most feminist criticism of autonomy is based on the idea that autonomy implies a particular model or expectation of the self. Marilyn Friedman and John Christman, however, point out that the proceduralist notion of autonomy which is the focus of contemporary philosophical attention does not have such an implication, but is metaphysically neutral and value neutral (Friedman 2000, 37-46; Christman 1995).

b. Relational Autonomy

A feminist attempt to rehabilitate autonomy as a value, and to further underscore the contingency of its relationship to atomistic individualism or independence, emerges in the growing research on “relational autonomy” (Nedelsky 1989, Mackenzie and Stoljar 2000). It addresses the challenge of balancing agency with social embeddedness, without promoting an excessively individualistic liberal atomism, or denying women the agency required to criticize or change their situation. The feminist work on relational autonomy attempts to capture the best of the available positions.

It is worth noting first, for clarity, that there are two levels of relationality at work within relational autonomy: social and relational sources of values, goals, and commitments, and social and relational commitments themselves. While all acknowledge that relationality at both levels is not incompatible with autonomy, not all accounts of relational autonomy require that we pursue social and relational commitments. For instance, on Marilyn Friedman’s account, a person could autonomously choose to be a hermit, despite having been brought up in a family and in a society and having been shaped by that upbringing (Friedman 2003, 94). However other relational autonomy theorists are skeptical about neatly separating the two, because they note that even our unchosen relationships still affect our self-identity and opportunities. They argue that while we need not pursue relationships, we cannot opt out entirely. Anne Donchin demonstrates this with regard to testing for genetically inherited disease (Donchin 2000).

In general, on relational autonomy accounts, autonomy is seen as an ideal by which we can measure how well an agent is able to negotiate his or her pursuit of goals and commitments, some of which may be self-chosen, and some the result of social and relational influences. Social and relational ties are examined in terms of their effect on an agent’s competency in this negotiation: some give strength, others create obstacles, and others are ambiguous. The primary focus of most relational autonomy accounts, however, tends to be less on procedure and more on changing the model of the autonomous self from an individualistic one to one embedded in a social context.

4. Autonomy in Social and Political Context

The value of autonomy can be seen in its social and political context. The idea that our decisions, if made autonomously, are to be respected and cannot be shrugged off, is a valuable one. It concerns the legitimacy of our personal decisions in a social, political, and legislative context.

a. Autonomy and Political Theory

The importance and nature of the value of autonomy is debated within political theory, but is generally intertwined with the right to pursue one’s interests without undue restriction. Discussions about the value of autonomy concern the extent of this right, and how it can be seen as compatible with social needs.

Kant described the protection of autonomy at the political level as encapsulated in the principle of right: that each person had the right to any action that can coexist with the freedom of every other person in accordance with universal law (Kant 1996, 387). Mill’s On Liberty similarly defends the rights of individuals to pursue their own personal goals, and emphasizes the need for being one’s own person (Mill 1956). On his view, this right prohibits paternalism, or restrictions or interference with a person of mature age for his or her own benefit. As Mill writes, “The only part of the conduct of anyone for which he is amenable to society is that which concerns others. In the part which merely concerns himself, his independence is, of right, absolute. Over himself, over his own body and mind, the individual is sovereign” (Mill 1956, 13).

Non-interference is generally seen as key to political autonomy; Gerald Gaus specifies that “the fundamental liberal principle” is “that all interferences with action stand in need of justification” (Gaus 2005, 272). If any paternalistic interference is to be permitted, it is generally restricted to cases where the agent is not deemed to be autonomous with respect to a decision (see for example Dworkin 1972); autonomy serves as a bar to be reached in order for an agent’s decisions to be protected (Christman 2004). The question is then how high the bar ought to be set, and thus what individual actions count as autonomous for the purposes of establishing social policy. Because of this, there is a strong connection between personal and political autonomy.

Further, there is also a connection between political liberalism and content-neutral accounts of autonomy which do not require any predetermined values for the agent to be recognized as autonomous. As Christman and Anderson point out, content-neutral accounts of autonomy accord with liberalism’s model of accommodating pluralism in ways of life, values, and traditions (Christman and Anderson 2005).

The framework of seeing the value of political autonomy in terms of protecting individual choices and decisions, however, has been criticized by those who argue that it rests on an inadequate model of the self.

Communitarians such as Michael Sandel criticize the model of the autonomous self implicit in liberal political theory, arguing that it does not provide an adequate notion of the human person as embedded within and shaped by societal values and commitments. Procedural accounts of autonomous decision-making do not adequately recognize the way our relational commitments shape us. We do not choose our values and commitments from the position of already being autonomous individuals; in other words, the autonomous self does not exist prior to the values and commitments that constitute the basis for its decisions. To deliberate in the abstract from these values and commitments is to leave out the self’s very identity, and that which gives meaning to the deliberation (Sandel 1998).

Feminist scholars have agreed with some of the communitarian criticism, but also caution that the values and commitments that communitarians appeal to may not be ones that are in line with feminist goals, in particular those values that concern the role and makeup of the family (Okin 1989 and Weiss 1995).

Another criticism of the dominant model of autonomy within political theory is made by Martha Fineman, who argues for the need to rethink the conceptions of autonomy that undergird legal and governmental policies in order to better recognize our interdependence and the dependence of all of us upon society (Fineman 2004, 28-30). While not drawing on the philosophical literature on personal autonomy or relational autonomy, but rather drawing upon sociological theories and accounts of legal and government policy, she traces the historical and cultural associations of autonomy with individuality and masculinity, and argues the need to see that real human flourishing includes dependency.

Recognizing the different levels of autonomy at play within the political sphere as a whole can help to clarify what is at stake, and to avoid one-sided accounts of autonomy or the autonomous self. Rainer Forst outlines five different conceptions of autonomy that can combine into a multidimensional account (Forst 2005). The first is moral autonomy, in which an agent can be considered autonomous as long as he or she “acts on the basis of reasons that take every other power equally into account” and which are “justifiable on the basis of reciprocally and generally binding norms” (Forst 2005, 230). Even though this is an interpersonal norm, it is relevant to the political, argues Forst, because it promotes the mutual respect needed for political liberty. Ethical autonomy concerns a person’s desires in the quest for the good life, in the context of the person’s values, commitments, relationships, and communities. Legal autonomy is thus the right not to be forced into a particular set of values and commitments, and is neutral toward them. Political autonomy concerns the right to participate in collective self-rule, exercised with the other members of the relevant community. Finally, social autonomy concerns whether an agent has the means to be an equal member of this community. Attending to social autonomy helps to demonstrate the responsibility of members of the community to consider each other’s needs, and to evaluate political and social structures in terms of whether they serve to promote the social autonomy of all of the members. Forst argues that ultimately “citizens are politically free to the extent to which they, as freedom-grantors and freedom-users, are morally, ethically, legally, politically, and socially autonomous members of a political community … Rights and liberties therefore have to be justified not only with respect to one conception of autonomy but with a complex understanding of what it means to be an autonomous person” (Forst 2005, 238).

Whether or not one agrees with this particular way of dividing the conceptions of autonomy, or with the particular explanation of the details of any of the conceptions, Forst’s account highlights the way that understanding the contribution of autonomy to political theory involves a multifaceted approach. It is of limited use to say that citizens are autonomous because they have the right to vote, if their material needs are not met, or if they are not free in their choice of values or ethical commitments.  Taking ethical autonomy into consideration can help to meet some of the concerns raised above by communitarian and feminist critics of autonomy; meanwhile, taking legal autonomy into account alongside ethical autonomy can help to provide the bulwark of protection against oppressive traditions that feminists are concerned about.

This can also be related to the work done by Martha Nussbaum and Amartya Sen on the capabilities approach to human rights, in which societies are called upon to ensure that all human beings have the opportunity to develop certain capabilities; agents then have a choice whether or not to develop them (see for example Sen 1999 and Nussbaum 2006).  The kind of political autonomy granted to subjects, then, depends on their ability to cultivate these various capabilities within a given society.

b. Autonomy and Bioethics

In applied ethics, such as bioethics, autonomy is a key value. It is appealed to by both sides of a number of debates, such as the right to free speech in hate speech versus the right to be free from hate speech (Mackenzie and Stoljar 2000, 4). There is a lack of consensus, however, on how autonomy ought to be used: how much rationality it requires, whether it merely involves the negative right against interference or whether it involves positive duties of moral reflection and self-legislation.

Autonomy has long been an important principle within biomedical ethics. For example, in the Belmont report, published in 1979 in the United States, which articulates guidelines for experimentation on human subjects, the protection of subjects’ autonomy is enshrined in the principle of “respect for persons.” One of the three key principles of the Report, it states that participants in trials ought to be treated as autonomous, and those with diminished autonomy (due to cognitive or other disabilities or illnesses) are entitled to protection. The way this principle is to be applied takes shape in the form of informed consent, as the Report presumes that this is the best way to protect autonomy.

One of the standard textbooks in biomedical ethics, Principles of Biomedical Ethics by Tom L. Beauchamp and James F. Childress, defends four principles for ethical decision-making, of which “respect for autonomy” is the first, even though it is not intended to override other moral considerations.  The principle can be seen as both a negative and a positive obligation. The negative obligation for health care professionals is that patients’ autonomous decisions should not be constrained by others. The positive obligation calls for “respectful treatment in disclosing information and fostering autonomous decision-making” (Beauchamp and Childress 2001, 64).

Beauchamp and Childress accept that a patient can autonomously choose to be guided by religious, traditional, or community norms and values. While they acknowledge that it can be difficult to negotiate diverse values and beliefs in sharing information necessary for decision-making, this does not excuse a failure to respect a patient’s autonomous decision: “respect for autonomy is not a mere ideal in health care; it is a professional obligation. Autonomous choice is a right, not a duty of patients” (Beauchamp and Childress 2001, 63).

Autonomy is also important within the disability rights movement. Within the disability rights movement, the slogan, “Nothing about us without us” is a call for autonomy or self-determination (see Charlton 1998). It goes beyond merely rejecting having decisions made for people with disabilities by others, but also speaks to the desire for empowerment and recognition as being agents capable of self-determination.

The relational approach to autonomy has become popular in the spheres of health care ethics and disability theory. The language of relational autonomy has been helpful in reframing the dichotomy between strict independence and dependence and providing a way of framing the relationship between a person with a disability and his or her caretaker or guardian. It has also been argued that a relational approach to patient autonomy provides a better model of the decision-making process.

Criticisms of a rationalistic and individualistic ideal of autonomy and the development of the idea of relational autonomy have been taken up within the mainstream of biomedical ethics. In response to criticism that early editions of their textbook on biomedical ethics had not paid adequate heed to intimate relationships and the social dimensions of patient autonomy, Beauchamp and Childress emphasize that they “aim to construct a conception of respect for autonomy that is not excessively individualistic (neglecting the social nature of individuals and the impact of individual choices and actions on others), not excessively focused on reason (neglecting the emotions), and not unduly legalistic (highlighting legal rights and downplaying social practices)” (Beauchamp and Childress, 2001, 57).

Their account of autonomy, however, has still been criticized by Anne Donchin as being a “weak concept” of relational autonomy (Donchin 2000). While they do not deny that selves are developed within a context of community and human relationships, agents are still assumed to have consciously chosen their beliefs and values and to be capable of detaching themselves from relationships at will (Donchin 2000, 238). A strong concept of relational autonomy, on the other hand, holds that “there is a social component built into the very meaning of autonomy,” and that autonomy “involves a dynamic balance among interdependent people tied to overlapping projects” (Donchin 2000, 239). The autonomous self is one “continually remaking itself in response to relationships that are seldom static,” and which “exists fundamentally in relation to others” (Donchin 2000, 239). Donchin argues that it is the strong concept of relational autonomy that offers the most helpful account of decision-making in health care.

5. References and Further Reading

  • Barvosa-Carter, Edwina. “Mestiza Autonomy as Relational Autonomy: Ambivalence and the Social Character of Free Will,” The Journal of Political Philosophy Vol. 15, no. 1 (2007), 1-21.
  • Beauchamp, Tom L. and James F. Childress. Principles of Biomedical Ethics, 5th ed, Oxford and New York: Oxford University Press, 2001.
  • Benjamin, Benjamin. The Bonds of Love: Psychoanalysis, Feminism, and the Problem of Domination, New York: Pantheon Books, 1988, 183-224.
  • Benson, Paul. “Autonomy and Oppressive Socialization,” Social Theory and Practice 17, no. 3 (1991), 385-408.
  • Bratman, Michael. Structures of Agency, Oxford: Oxford University Press, 2007.
  • Charlton, James I. Nothing About Us Without Us: Disability, Oppression and Empowerment, Berkeley and Los Angeles: University of California Press, 1998.
  • Christman, J., (ed.). The Inner Citadel: Essays on Individual Autonomy, New York and Oxford: Oxford University Press, 1989.
  • Christman, John, and Joel Anderson (ed.) Autonomy and the Challenges to Liberalism, Cambridge: Cambridge University Press, 2005.
  • Christman, John. “Autonomy and Personal History,” Canadian Journal of Philosophy, 21 no. 1(1991), 1-24.
  • Christman, John. “Autonomy, Self-Knowledge, and Liberal Legitimacy,” in Autonomy and the Challenges to Liberalism, ed. John Christman and Joel Anderson, Cambridge: Cambridge University Press, 2005.
  • Christman, John. “Feminism and Autonomy,” “Nagging” Questions: Feminist Ethics in Every Life, ed. Dana E. Bushnell. Lanham, MD: Rowman and Littlefield Publishers, Inc., 1995, 17-39.
  • Christman, John. “Relational Autonomy, Liberal Individualism, and the Social Constitution of Selves,” Philosophical Studies 117, no. 1-2 (2004), 143-164.
  • Critchley, Simon. Infinitely Demanding: Ethics of Commitment, Politics of Resistance, London: Verso, 2007.
  • Donchin, Anne. “Autonomy and Interdependence: Quandaries in Genetic Decision Making.” In Relational Autonomy: Feminist Perspectives on Autonomy, Agency, and the Social Self, edited by Catriona Mackenzie and Natalie Stoljar, 236-258. Oxford: Oxford University Press, 2000.
  • Dworkin, Gerald. “Paternalism,” The Monist, 56 no. 1 (1972), 64-84.
  • Dworkin, Gerald. The Theory and Practice of Autonomy, Cambridge: Cambridge University Press, 1988.
  • Dworkin, Gerald. “The Concept of Autonomy,” in The Inner Citadel, ed. John Christman, 54-62.
  • Ekstrom, Laura. “A Coherence Theory of Autonomy,” Philosophy and Phenomenological Research, 53 (1993), 599–616.
  • Fineman, Martha Albertson. The Autonomy Myth: A Theory of Dependency. New York: The New Press, 2004.
  • Forst, Rainer. “Political Liberty: Integrating Five Conceptions of Autonomy,” in Autonomy and the Challenges to Liberalism, 2005, 226-242.
  • Frankfurt, Harry. The Importance of What We Care About, ed. Harry Frankfurt, Cambridge: Cambridge University Press, 1988.
  • Friedman, Marilyn. “Autonomy and the Split-Level Self,” Southern Journal of Philosophy 24 (1986), 19-35.
  • Friedman, Marilyn. Autonomy, Gender, Politics, Oxford: Oxford University Press, 2003.
  • Gaus, Gerald F. “The Place of Autonomy Within Liberalism,” in Autonomy and the Challenges to Liberalism, 2005, 272-306.
  • Gilligan, Carol. In a Different Voice: Psychological Theory and Women’s Development. Cambridge, Mass.: Harvard University Press, 1982.
  • Grimshaw, Jean. Philosophy and Feminist Thinking. Minneapolis: University of Minnesota Press, 1986.
  • Harding, Sandra and Merrill B. Hintikka, eds., Discovering Reality: Feminist Perspectives on Epistemology, Metaphysics, Methodology, and Philosophy of Science, 2 ed.. Dordrecht: Kluwer Academic Publishers, 2003.
  • Hill, Thomas. “The Kantian Conception of Autonomy,” in The Inner Citadel, ed. John Christman, 91-105.
  • Hill, Thomas. “A Kantian Perspective on Moral Rules,” in Respect, Pluralism, and Justice: Kantian Perspectives (Oxford and New York: Oxford University Press, 2000), 33-55.
  • Hinchman, Lewis. “Autonomy, Individuality, and Self-Determination,” in What is Enlightenment? Eighteenth-Century Answers and Twentieth-Century Questions., ed. James Schmidt. Berkeley: University of California Press, 1996, 488-516.
  • Hoagland, Sarah L. Lesbian Ethics: Toward New Value. Palo Alto, California: Institute of Lesbian Studies, 1988, 144.
  • Jaggar, Alison M. Feminist Politics and Human Nature, Totowa, NJ: Rowman & Allenheld, 1983.
  • Lévinas, Emmanuel. Totality and Infinity, trans. Alphonso Lingis, Pittsburgh: Duquesne University Press, 1969.
  • Lloyd, Genevieve. The Man of Reason: Male and Female in Western Philosophy (London: Routledge, 1986).
  • Kant, Immanuel. Practical Philosophy. ed. and trans. Mary Gregor. 1996
  • Korsgaard, Christine. The Sources of Normativity. New York: Cambridge University Press, 1996.
  • Kymlicka, Will. Contemporary Political Philosophy: An Introduction. Oxford: Oxford University Press, 1991.
  • Mackenzie, Catriona, and Stoljar, Natalie, (eds.). Relational Autonomy, New York and Oxford: Oxford University Press, 2000.
  • Mele, Alfred R. Autonomous Agents: From Self-Control to Autonomy, New York and Oxford: Oxford University Press, 2001.
  • Meyers, Diana Tietjens. Self, Society, and Personal Choice, New York: Columbia University Press, 1989.
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Author Information

Jane Dryden
Email: jdryden@mta.ca
Mount Allison University
Canada

Friedrich Nietzsche (1844—1900)

NietzscheNietzsche was a German philosopher, essayist, and cultural critic. His writings on truth, morality, language, aesthetics, cultural theory, history, nihilism, power, consciousness, and the meaning of existence have exerted an enormous influence on Western philosophy and intellectual history.

Nietzsche spoke of “the death of God,” and foresaw the dissolution of traditional religion and metaphysics. Some interpreters of Nietzsche believe he embraced nihilism, rejected philosophical reasoning, and promoted a literary exploration of the human condition, while not being concerned with gaining truth and knowledge in the traditional sense of those terms. However, other interpreters of Nietzsche say that in attempting to counteract the predicted rise of nihilism, he was engaged in a positive program to reaffirm life, and so he called for a radical, naturalistic rethinking of the nature of human existence, knowledge, and morality. On either interpretation, it is agreed that he suggested a plan for “becoming what one is” through the cultivation of instincts and various cognitive faculties, a plan that requires constant struggle with one’s psychological and intellectual inheritances.

Nietzsche claimed the exemplary human being must craft his/her own identity through self-realization and do so without relying on anything transcending that life—such as God or a soul.  This way of living should be affirmed even were one to adopt, most problematically, a radical vision of eternity, one suggesting the “eternal recurrence” of all events. According to some commentators, Nietzsche advanced a cosmological theory of “will to power.” But others interpret him as not being overly concerned with working out a general cosmology. Questions regarding the coherence of Nietzsche’s views–questions such as whether these views could all be taken together without contradiction, whether readers should discredit any particular view if proven incoherent or incompatible with others, and the like–continue to draw the attention of contemporary intellectual historians and philosophers.

Table of Contents

  1. Life
  2. Periodization of Writings
  3. Problems of Interpretation
  4. Nihilism and the Revaluation of Values
  5. The Human Exemplar
  6. Will to Power
  7. Eternal Recurrence
  8. Reception of Nietzsche’s Thought
  9. References and Further Reading
    1. Nietzsche’s Collected Works in German
    2. Nietzsche’s Major Works Available in English
    3. Important Works Available in English from Nietzsche’s Nachlass
    4. Biographies
    5. Commentaries and Scholarly Researches
    6. Academic Journals in Nietzsche Studies

1. Life

Because much of Nietzsche’s philosophical work has to do with the creation of self—or to put it in Nietzschean terms, “becoming what one is”— some scholars exhibit uncommon interest in the biographical anecdotes of Nietzsche’s life. Taking this approach, however, risks confusing aspects of the Nietzsche legend with what is important in his philosophical work, and many commentators are rightly skeptical of readings derived primarily from biographical anecdotes.

Friedrich Wilhelm Nietzsche was born October 15, 1844, the son of Karl Ludwig and Franziska Nietzsche. Karl Ludwig Nietzsche was a Lutheran Minister in the small Prussian town of Röcken, near Leipzig. When young Friedrich was not quite five, his father died of a brain hemorrhage, leaving Franziska, Friedrich, a three-year old daughter, Elisabeth, and an infant son. Friedrich’s brother died unexpectedly shortly thereafter (reportedly, the legend says, fulfilling Friedrich’s dream foretelling of the tragedy). These events left young Friedrich the only male in a household that included his mother, sister, paternal grandmother and an aunt, although Friedrich drew upon the paternal guidance of Franziska’s father. Young Friedrich also enjoyed the camaraderie of a few male playmates.

Upon the loss of Karl Ludwig, the family took up residence in the relatively urban setting of Naumburg, Saxony. Friedrich gained admittance to the prestigious Schulpforta, where he received Prussia’s finest preparatory education in the Humanities, Theology, and Classical Languages. Outside school, Nietzsche founded a literary and creative society with classmates including Paul Deussen (who was later to become a prominent scholar of Sanskrit and Indic Studies). In addition, Nietzsche played piano, composed music, and read the works of Emerson and the poet Friedrich Hölderlin, who was relatively unknown at the time.

In 1864 Nietzsche entered the University of Bonn, spending the better part of that first year unproductively, joining a fraternity and socializing with old and new acquaintances, most of whom would fall out of his life once he regained his intellectual focus. By this time he had also given up Theology, dashing his mother’s hopes of a career in the ministry for him. Instead, he choose the more humanistic study of classical languages and a career in Philology. In 1865 he followed his major professor, Friedrich Ritschl, from Bonn to the University of Leipzig and dedicated himself to the studious life, establishing an extracurricular society there devoted to the study of ancient texts. Nietzsche’s first contribution to this group was an essay on the Greek poet, Theognis, and it drew the attention of Professor Ritschl, who was so impressed that he published the essay in his academic journal, Rheinisches Museum. Other published writings by Nietzsche soon followed, and by 1868 (after a year of obligatory service in the Prussian military), young Friedrich was being promoted as something of a “phenomenon” in classical scholarship by Ritschl, whose esteem and praise landed Nietzsche a position as Professor of Greek Language and Literature at the University of Basel in Switzerland, even though the candidate had not yet begun writing his doctoral dissertation. The year was 1869 and Friedrich Nietzsche was 24 years old.

At this point in his life, however, Nietzsche was a far cry from the original thinker he would later become, since neither he nor his work had matured. Swayed by public opinion and youthful exuberance, he briefly interrupted teaching in 1870 to join the Prussian military, serving as a medical orderly at the outbreak of the Franco-Prussian War. His service was cut short, however, by severe bouts of dysentery and diphtheria. Back in Basel, his teaching responsibilities at the University and a nearby Gymnasium consumed much of his intellectual and physical energy. He became acquainted with the prominent cultural historian, Jacob Burkhardt, a well-established member of the university faculty. But, the person exerting the most influence on Nietzsche at this point was the artist, Richard Wagner, whom Nietzsche had met while studying in Leipzig. During the first half of the decade, Wagner and his companion, Cosima von Bülow, frequently entertained Nietzsche at Triebschen, their residence near Lake Lucerne, and then later at Bayreuth.

It is commonplace to say that at one time Nietzsche looked to Wagner with the admiration of a dutiful son. This interpretation of their relationship is supported by the fact that Wagner would have been the same age as Karl Ludwig, had the elder Nietzsche been alive. It is also commonplace to note that Nietzsche was in awe of the artist’s excessive displays of a fiery temperament, bravado, ambition, egoism, and loftiness— typical qualities demonstrating “genius” in the nineteenth century. In short, Nietzsche was overwhelmed by Wagner’s personality. A more mature Nietzsche would later look back on this relationship with some regret, although he never denied the significance of Wagner’s influence on his emotional and intellectual path, Nietzsche’s estimation of Wagner’s work would alter considerably over the course of his life. Nonetheless, in light of this relationship, one can easily detect Wagner’s presence in much of Nietzsche’s early writings, particularly in the latter chapters of The Birth of Tragedy and in the first and fourth essays of 1874’s Untimely Meditations. Also, Wagner’s supervision exerted considerable editorial control over Nietzsche’s intellectual projects, leading him to abandon, for example, 1873’s Philosophy in the Tragic Age of the Greeks, which Wagner scorned because of its apparent irrelevance to his own work. Such pressures continued to bridle Nietzsche throughout the so-called early period. He broke free of Wagner’s dominance once and for all in 1877, after a series of emotionally charged episodes. Nietzsche’s fallout with Wagner, who had moved to Bayreuth by this time, led to the publication of 1878’s Human, All-Too Human, one of Nietzsche’s most pragmatic and un-romantic texts—the original title page included a dedication to Voltaire and a quote from Descartes.  If Nietzsche intended to use this text as a way of alienating himself from the Wagnerian circle, he surely succeeded. Upon its arrival in Bayreuth, the text ended this personal relationship with Wagner.

It would be an exaggeration to say that Nietzsche was not developing intellectually during the period, prior to 1877. In fact, figures other than Wagner drew Nietzsche’s interest and admiration. In addition to attending Burkhardt’s lectures at Basel, Nietzsche studied Greek thought from the Pre-Socratics to Plato, and he learned much about the history of philosophy from Friedrich Albert Lange’s massive History of Materialism, which Nietzsche once called “a treasure trove” of historical and philosophical names, dates, and currents of thought. In addition, Nietzsche was taken by the persona of the philosopher Arthur Schopenhauer, which Nietzsche claimed to have culled from close readings of the two-volume magnum opus, The World as Will and Representation.

Nietzsche discovered Schopenhauer while studying in Leipzig. Because his training at Schulpforta had elevated him far above most of his classmates, he frequently skipped lectures at Leipzig in order to devote time to [CE1] Schopenhauer’s philosophy. For Nietzsche, the most important aspect of this philosophy was the figure from which it emanated, representing for him the heroic ideal of a man in the life of thought: a near-contemporary thinker participating in that great and noble “republic of genius,” spanning the centuries of free thinking sages and creative personalities. That Nietzsche could not countenance Schopenhauer’s “ethical pessimism” and its negation of the will was recognized by the young man quite early during this encounter. Yet, even in Nietzsche’s attempts to construct a counter-posed “pessimism of strength” affirming the will, much of Schopenhauer’s thought remained embedded in Nietzsche’s philosophy, particularly during the early period. Nietzsche’s philosophical reliance on “genius”, his cultural-political visions of rank and order through merit, and his self-described (and later self-rebuked) “metaphysics of art” all had Schopenhauerian underpinnings. Also, Birth of Tragedy’s well-known dualism between the cosmological/aesthetic principles of Dionysus and Apollo, contesting and complimenting each other in the tragic play of chaos and order, confusion and individuation, strikes a familiar chord to readers acquainted with Schopenhauer’s description of the world as “will” and “representation.”

Despite these similarities, Nietzsche’s philosophical break with Schopenhauerian pessimism was as real as his break with Wagner’s domineering presence was painful. Ultimately, however, such triumphs were necessary to the development and liberation of Nietzsche as thinker, and they proved to be instructive as Nietzsche later thematized the importance of “self-overcoming” for the project of cultivating a free spirit.

The middle and latter part of the 1870s was a time of great upheaval in Nietzsche’s personal life. In addition to the turmoil with Wagner and related troubles with friends in the artist’s circle of admirers, Nietzsche suffered digestive problems, declining eyesight, migraines, and a variety of physical aliments, rendering him unable to fulfill responsibilities at Basel for months at a time. After publication of Birth of Tragedy, and despite its perceived success in Wagnerian circles for trumpeting the master’s vision for Das Kunstwerk der Zukunft (“The Art Work of the Future”) Nietzsche’s academic reputation as a philologist was effectively destroyed due in large part to the work’s apparent disregard for scholarly expectations characteristic of nineteenth-century philology. Birth of Tragedy was mocked as Zukunfts-Philologie (“Future Philology”) by Wilamowitz-Moellendorff, an up-and-coming peer destined for an illustrious career in Classicism, and even Ritschl characterized it as a work of “megalomania.” For these reasons, Nietzsche had difficulty attracting students. Even before the publication of Birth of Tragedy, he had attempted to re-position himself at Basel in the department of philosophy, but the University apparently never took such an endeavor seriously. By 1878, his circumstances at Basel deteriorated to the point that neither the University nor Nietzsche was very much interested in seeing him continue as a professor there, so both agreed that he should retire with a modest pension [CE2] . He was 34 years  old and now apparently liberated, not only from his teaching duties and the professional discipline he grew to despise, but also from the emotional and intellectual ties that dominated him during his youth. His physical woes, however, would continue to plague him for the remainder of his life.

After leaving Basel, Nietzsche enjoyed a period of great productivity. And, during this time, he was never to stay in one place for long, moving with the seasons, in search of relief for his ailments, solitude for his work, and reasonable living conditions, given his very modest budget. He often spent summers in the Swiss Alps in Sils Maria, near St. Moritz, and winters in Genoa, Nice, or Rappollo on the Mediterranean coast. Occasionally, he would visit family and friends in Naumburg or Basel, and he spent a great deal of time in social discourse, exchanging letters with friends and associates.

In the latter part of the 1880s, Nietzsche’s health worsened, and in the midst of an amazing flourish of intellectual activity which produced On the Genealogy of Morality, Twilight of the Idols, The Anti-Christ, and several other works (including preparation for what was intended to be his magnum opus, a work that editors later titled Will to Power) Nietzsche suffered a complete mental and physical breakdown. The famed moment at which Nietzsche is said to have succumbed irrevocably to his ailments occurred January 3, 1889 in Turin (Torino) Italy, reportedly outside Nietzsche’s apartment in the Piazza Carlos Alberto while embracing a horse being flogged by its owner.

After spending time in psychiatric clinics in Basel and Jena, Nietzsche was first placed in the care of his mother, and then later his sister (who had spent the latter half of the 1880’s attempting to establish a “racially pure” German colony in Paraguay with her husband, the anti-Semitic political opportunist Bernhard Foerster). By the early 1890s, Elisabeth had seized control of Nietzsche’s literary remains, which included a vast amount of unpublished writings. She quickly began shaping his image and the reception of his work, which by this time had already gained momentum among academics such as Georg Brandes. Soon the Nietzsche legend would grow in spectacular fashion among popular readers. From Villa Silberblick, the Nietzsche home in Weimar, Elisabeth and her associates managed Friedrich’s estate, editing his works in accordance with her taste for a populist decorum and occasionally with an ominous political intent that (later researchers agree) corrupted the original thought[CE3] . Unfortunately, Friedrich experienced little of his fame, having never recovered from the breakdown of late 1888 and early 1889. His final years were spent at Villa Silberblick in grim mental and physical deterioration, ending mercifully August 25, 1900. He was buried in Röcken, near Leipzig. Elisabeth spent one last year in Paraguay in 1892-93 before returning to Germany, where she continued to exert influence over the perception of Nietzsche’s work and reputation, particularly among general readers, until her death in 1935. Villa Silberblick stands today as a monument, of sorts, to Friedrich and Elisabeth, while the bulk of Nietzsche’s literary remains is held in the Goethe-Schiller Archiv, also in Weimar.

2. Periodization of Writings

Nietzsche scholars commonly divide his work into periods, usually with the implication that discernable shifts in Nietzsche’s circumstances and intellectual development justify some form of periodization in the corpus. The following division is typical:

(i.) before 1869—the juvenilia

Cautious Nietzsche biographers work to separate the facts of Nietzsche’s life from myth, and while a major part of the Nietzsche legend holds that Friedrich was a precocious child, writings from his youth bear witness to that part of the story. During this time Nietzsche was admitted into the prestigious Gymnasium Schulpforta; he composed music, wrote poetry and plays, and in 1863 produced an autobiography (at the age of 19). He also produced more serious and accomplished works on themes related to philology, literature, and philosophy. By 1866 he had begun contributing articles to a major philological journal, Rheinisches Museum, edited by Nietzsche’s esteemed professor at Bonn and Leipzig, Friedrich Ritschl. With Ritschl’s recommendation, Nietzsche was appointed professor of Greek Language and Literature at the University of Basel in January 1869.

(ii.) 1869-1876–the early period

Nietzsche’s writings during this time reflect interests in philology, cultural criticism, and aesthetics. His inaugural public lecture at Basel in May 1869, “Homer and Classical Philology” brought out aesthetic and scientific aspects of his discipline, portending Nietzsche’s attitudes towards science, art, philology and philosophy. He was influenced intellectually by the philosopher Arthur Schopenhauer and emotionally by the artist Richard Wagner. Nietzsche’s first published book, The Birth of Tragedy, appropriated Schopenhaurian categories of individuation and chaos in an elucidation of primordial aesthetic drives represented by the Greek gods Apollo and Dionysus. This text also included a Wagnerian precept for cultural flourishing: society must cultivate and promote its most elevated and creative types—the artistic genius. In the Preface to a later edition of this work, Nietzsche expresses regret for having attempted to elaborate a “metaphysics of art.” In addition to these themes, Nietzsche’s interest during this period extended to Greek philosophy, intellectual history, and the natural sciences, all of which were significant to the development of his mature thought. Nietzsche’s second book-length project, The Untimely Meditations, contains four essays written from 1873-1876. It is a work of acerbic cultural criticism, encomia to Schopenhauer and Wagner, and an unexpectedly idiosyncratic analysis of the newly developing historical consciousness. A fifth meditation on the discipline of philology is prepared but left unpublished. Plagued by poor health, Nietzsche is released from teaching duties in February 1876 (his affiliation with the university officially ends in 1878 and he is granted a small pension).

(iii.) 1877-1882—the middle period

During this time Nietzsche liberated himself from the emotional grip of Wagner and the artist’s circle of admirers, as well as from those ideas which (as he claims in Ecce Homo) “did not belong” to him in his “nature” (“Human All Too Human: With Two Supplements” 1).  Reworking earlier themes such as tragedy in philosophy, art and truth, and the human exemplar, Nietzsche’s thinking now comes into sharper focus, and he sets out on a philosophical path to be followed the remainder of his productive life. In this period’s three published works Human, All-Too Human (1878-79), Dawn (1881), and The Gay Science (1882), Nietzsche takes up writing in an aphoristic style, which permits exploration of a variety of themes. Most importantly, Nietzsche lays out a plan for  “becoming what one is” through the cultivation of instincts and various cognitive faculties, a plan that requires constant struggle with one’s psychological and intellectual inheritances. Nietzsche discovers that “one thing is needful” for the exemplary human being: to craft an identity from otherwise dissociated events bringing forth the horizons of one’s existence. Self-realization, as it is conceived in these texts, demands the radicalization of critical inquiry with a historical consciousness and then a “retrograde step” back (Human aphorism 20) from what is revealed in such examinations, insofar as these revelations threaten to dissolve all metaphysical realities and leave nothing but the abysmal comedy of existence. A peculiar kind of meaningfulness is thus gained by the retrograde step: it yields a purpose for existence, but in an ironic form, perhaps esoterically and without ground; it is transparently nihilistic to the man with insight, but suitable for most; susceptible to all sorts of suspicion, it is nonetheless necessary and for that reason enforced by institutional powers. Nietzsche calls the one who teaches the purpose of existence a “tragic hero” (GS 1), and the one who understands the logic of the retrograde step a “free spirit.” Nietzsche’s account of this struggle for self-realization and meaning leads him to consider problems related to metaphysics, religion, knowledge, aesthetics, and morality.

(iv.) Post-1882—the later period

Nietzsche transitions into a new period with the conclusion of The Gay Science (Book IV) and his next published work, the novel Thus Spoke Zarathustra, produced in four parts between 1883 and 1885. Also in 1885 he returns to philosophical writing with Beyond Good and Evil. In 1886 he attempts to consolidate his inquiries through self-criticism in Prefaces written for the earlier published works, and he writes a fifth book for The Gay Science. In 1887 he writes On the Genealogy of Morality. In 1888, with failing health, he produces several texts, including The Twilight of the Idols, The Anti-Christ, Ecce Homo, and two works concerning his prior relationship with Wagner. During this period, as with the earlier ones, Nietzsche produces an abundance of materials not published during his lifetime. These works constitute what is referred to as Nietzsche’s Nachlass. (For years this material has been published piecemeal in Germany and translated to English in various collections.) Philosophically, during this period, Nietzsche continues his explorations on morality, truth, aesthetics, history, power, language and identity. For some readers, he appears to be broadening the scope of his ideas to work out a cosmology involving the all encompassing “will to power” and the curiously related and enigmatic “eternal recurrence of the same.” Prior claims regarding the retrograde step are re-thought, apparently in favor of seeking some sort of breakthrough into the “abyss of light” (Zarathustra’s “Before Sunrise”) or in an encounter with “decadence” (“Expeditions of a Untimely Man” 43, in Twilight of the Idols). The intent here seems to be an overcoming or dissolution of metaphysics.  These developments are matters of contention, however, as some commentators maintain that statements regarding Nietzsche’s “cosmological vision” are exaggerated. And, some will even deny that he achieves (nor even attempts) the overcoming described above. Despite such complaints, interpreters of Nietzsche continue to reference these ineffable concepts.

3. Problems of Interpretation

Nietzsche’s work in the beginning was heavily influenced, either positively or negatively, by the events of his young life. His early and on-going interest in the Greeks, for example, can be attributed in part to his Classical education at Schulpforta, for which he was well-prepared as a result of his family’s attempts to steer him into the ministry. Nietzsche’s intense association with Wagner no doubt enhanced his orientation towards the philosophy of Schopenhauer, and it probably promoted his work in aesthetics and cultural criticism. These biographical elements came to bear on Nietzsche’s first major works, while the middle period amounts to a confrontation with many of these influences. In Nietzsche’s later  writings  we find the development of concepts that seem less tangibly related to the biographical events of his life.

Let’s outline four of these concepts, but not before adding a word of caution regarding how this outline should be received. Nietzsche asserts in the opening section of Twilight of the Idols that he “mistrusts systematizers” (“Maxims and Arrows” 26), which is taken by some readers to be a declaration of his fundamental stance towards philosophical systems, with the additional inference that nothing resembling such a system must be permitted to stand in interpretations of his thought. Although it would not be illogical to say that Nietzsche mistrusted philosophical systems, while nevertheless building one of his own, some commentators point out two important qualifications. First, the meaning of Nietzsche’s stated “mistrust” in this brief aphorism can and should be treated with caution. In Beyond Good and Evil Nietzsche claims that philosophers today, after millennia of dogmatizing about absolutes, now have a “duty to mistrust” philosophy’s dogmatizing tendencies (BGE 34). Yet, earlier in that same text, Nietzsche  claimed that all philosophical interpretations of nature are acts of will  power (BGE 9) and that his interpretations are subject to the same critique (BGE 22).   In Thus Spoke Zarathustra’s “Of Involuntary Bliss” we find Zarathustra speaking of his own “mistrust,” when he describes the happiness that has come to him in the “blissful hour” of the third part of that book. Zarathustra attempts to chase away this bliss while waiting for the arrival of his unhappiness, but his happiness draws “nearer and nearer to him,” because he does not chase after it. In the next scene we find Zarathustra dwelling in the “light abyss” of the pure open sky, “before sunrise.” What then is the meaning of this “mistrust”? At the very least, we can say that Nietzsche does not intend it to establish a strong and unmovable absolute, a negative-system, from which dogma may be drawn. Nor, possibly, is Nietzsche’s mistrust of systematizers absolutely clear. Perhaps it is a discredit to Nietzsche as a philosopher that he did not elaborate his position more carefully within this tension; or, perhaps such uncertainty has its own ground.  Commentators such as Mueller-Lauter have noticed ambivalence in Nietzsche’s work on this very issue, and it seems plausible that Nietzsche mistrusted systems while nevertheless constructing something like a system countenancing this mistrust. He says something akin to this, after all, in Beyond Good and Evil, where it is claimed that even science’s truths are matters of interpretation, while admitting that this bold claim is also an interpretation and “so much the better” (aphorism 22). For a second cautionary note, many commentators will argue along with Richard Schacht that, instead of building a system, Nietzsche is concerned only with the exploration of problems, and that his kind of philosophy is limited to the interpretation and evaluation of cultural inheritances (1995). Other commentators will attempt to complement this sort of interpretation and, like Löwith, presume that the ground for Nietzsche’s explorations may also be examined. Löwith and others argue that this ground concerns Nietzsche’s encounter with historical nihilism. The following outline should be received, then, with the understanding that Nietzsche’s own iconoclastic nature, his perspectivism, and his life-long projects of genealogical critique and the revaluation of values, lend credence to those anti-foundational readings which seek to emphasize only those exploratory aspects of Nietzsche’s work while refuting even implicit submissions to an orthodox interpretation of “the one Nietzsche” and his “one system of thought.” With this caution, the following outline is offered as one way of grounding Nietzsche’s various explorations.

The four major concepts presented in this outline are:

  • (i)  Nihilism and the Revaluation of Values, which is embodied by a historical event, “the death of God,” and which entails, somewhat problematically, the project of transvaluation;
  • (ii) The Human Exemplar, which takes many forms in Nietzsche’s thought, including the “tragic artist”, the “sage”, the “free spirit”, the “philosopher of the future”, the Übermensch (variously translated in English as “Superman,” “Overman,” “Overhuman,” and the like), and perhaps others (the case could be made, for example, that in Nietzsche’s notoriously self-indulgent and self-congratulatory Ecce Homo, the role of the human exemplar is played by “Mr. Nietzsche” himself);
  • (iii) Will to Power (Wille zur Macht), from a naturalized history of morals and truth developing through subjective feelings of power to a cosmology;
  • (iv)  Eternal Recurrence or Eternal Return (variously in Nietzsche’s work, “die ewige Wiederkunft” or “die ewige Wiederkehr”) of the Same (des Gleich), a solution to the riddle of temporality without purpose.

 

4. Nihilism and the Revaluation of Values

Although Michael Gillespie makes a strong case that Nietzsche misunderstood nihilism, and in any event Nietzsche’s Dionysianism would be a better place to look for an anti-metaphysical breakthrough in Nietzsche’s corpus (1995, 178), commentators as varied in philosophical orientation as Heidegger and Danto have argued that nihilism is a central theme in Nietzsche’s philosophy. Why is this so? The constellation of Nietzsche’s fundamental concepts moves within his general understanding of modernity’s historical situation in the late nineteenth century. In this respect, Nietzsche’s thought carries out the Kantian project of “critique” by applying the nineteenth century’s developing historical awareness to problems concerning the possibilities of knowledge, truth, and human consciousness. Unlike Kant’s critiques, Nietzsche’s examinations find no transcendental ego, given that even the categories of experience are historically situated and likewise determined. Unlike Hegel’s notion of historical consciousness, however, history for Nietzsche has no inherent teleology. All beginnings and ends, for Nietzsche, are thus lost in a flood of indeterminacy. As early as 1873, Nietzsche was arguing that human reason is only one of many peculiar developments in the ebb and flow of time, and when there are no more rational animals nothing of absolute value will have transpired (“On truth and lies in a non-moral sense”). Some commentators would prefer to consider these sorts of remarks as belonging to Nietzsche’s “juvenilia.” Nevertheless, as late as 1888’s “Reason in Philosophy” from Twilight of the Idols, Nietzsche derides philosophers who would make a “fetish” out of reason and retreat into the illusion of a “de-historicized” world. Such a philosopher is “decadent,” symptomatic of a “declining life”. Opposed to this type, Nietzsche valorizes the “Dionysian” artist whose sense of history affirms “all that is questionable and terrible in existence.”

Nietzsche’s philosophy contemplates the meaning of values and their significance to human existence. Given that no absolute values exist, in Nietzsche’s worldview, the evolution of values on earth must be measured by some other means. How then shall they be understood? The existence of a value presupposes a value-positing perspective, and values are created by human beings (and perhaps other value-positing agents) as aids for survival and growth. Because values are important for the well being of the human animal, because belief in them is essential to our existence, we oftentimes prefer to forget that values are our own creations and to live through them as if they were absolute. For these reasons, social institutions enforcing adherence to inherited values are permitted to create self-serving economies of power, so long as individuals living through them are thereby made more secure and their possibilities for life enhanced. Nevertheless, from time to time the values we inherit are deemed no longer suitable and the continued enforcement of them no longer stands in the service of life. To maintain allegiance to such values, even when they no longer seem practicable, turns what once served the advantage to individuals to a disadvantage, and what was once the prudent deployment of values into a life denying abuse of power. When this happens the human being must reactivate its creative, value-positing capacities and construct new values.

Commentators will differ on the question of whether nihilism for Nietzsche refers specifically to a state of affairs characterizing specific historical moments, in which inherited values have been exposed as superstition and have thus become outdated, or whether Nietzsche means something more than this. It is, at the very least, accurate to say that for Nietzsche nihilism has become a problem by the nineteenth century. The scientific, technological, and political revolutions of the previous two hundred years put an enormous amount of pressure on the old world order. In this environment, old value systems were being dismantled under the weight of newly discovered grounds for doubt. The possibility arises, then, that nihilism for Nietzsche is merely a temporary stage in the refinement of true belief. This view has the advantage of making Nietzsche’s remarks on truth and morality seem coherent from a pragmatic standpoint, in that with this view the problem of nihilism is met when false beliefs have been identified and corrected. Reason is not a value, in this reading, but rather the means by which human beings examine their metaphysical presuppositions and explore new avenues to truth.

Yet, another view will have it that by nihilism Nietzsche is pointing out something even more unruly at work, systemically, in the Western world’s axiomatic orientation. Heidegger, for example, claims that with the problem of nihilism Nietzsche is showing us the essence of Western metaphysics and its system of values (“The Word of Nietzsche: ‘God is dead’”). According to this view, Nietzsche’s philosophy of value, with its emphasis on the value-positing gesture, implies that even the concept of truth in the Western worldview leads to arbitrary determinations of value and political order and that this worldview is disintegrating under the weight of its own internal logic (or perhaps “illogic”). In this reading, the history of truth in the occidental world is the  “history of an error” (Twilight of the Idols), harboring profoundly disruptive antinomies which lead, ultimately, to the undoing of the Western philosophical framework. This kind of systemic flaw is exposed by the historical consciousness of the nineteenth century, which makes the problem of nihilism seem all the more acutely related to Nietzsche’s historical situation. But to relegate nihilism to that situation, according to Heidegger, leaves our thinking of it incomplete.

Heidegger makes this stronger claim with the aid of Nietzsche’s Nachlass. Near the beginning of the aphorisms collected under the title, Will To Power (aphorism 2), we find this note from 1887: “What does nihilism mean? That the highest values devalue themselves. The aim is lacking; ‘Why?’ finds no answer.”  Here, Nietzsche’s answer regarding the meaning of nihilism has three parts.

(i) The first part makes a claim about the logic of values: ultimately, given the immense breadth of time, even “the highest values devalue themselves.” What does this mean? According to Nietzsche, the conceptual framework known as Western metaphysics was first articulated by Plato, who had pieced together remnants of a declining worldview, borrowing elements from predecessors such as Anaximander, Parmenides, and especially Socrates, in order to overturn a cosmology that had been in play from the days of Homer and which found its fullest and last expression in the thought of Heraclitus. Plato’s framework was popularized by Christianity, which added egalitarian elements along with the virtue of pity. The maturation of Western metaphysics occurs during modernity’s scientific and political revolutions, wherein the effects of its inconsistencies, malfunctions, and mal-development become acute. At this point, according to Nietzsche, “the highest values devalue themselves,” as modernity’s striving for honesty, probity, and courage in the search for truth, those all-important virtues inhabiting the core of scientific progress, strike a fatal blow against the foundational idea of absolutes. Values most responsible for the scientific revolution, however, are also crucial to the metaphysical system that modern science is destroying. Such values are threatening, then, to bring about the destruction of their own foundations. Thus, the highest values are devaluing themselves at the core. Most importantly, the values of honesty, probity, and courage in the search for truth no longer seem compatible with the guarantee, the bestowal, and the bestowing agent of an absolute value. Even the truth of “truth” now falls prey to the workings of nihilism, given that Western metaphysics now appears groundless in this logic.

For some commentators, this line of interpretation leaves Nietzsche’s revaluation of values lost in contradiction. What philosophical ground, after all, could support revaluation if this interpretation were accurate? For this reason, readers such as Clark work to establish a coherent theory of truth in Nietzsche’s philosophy, which can apparently be done by emphasizing various parts of the corpus to the exclusion of others. If, indeed, a workable epistemology may be derived from reading specific passages, and good reasons can be given for prioritizing those passages, then consistent grounds may exist for Nietzsche having leveled a critique of morality. Such readings, however, seem incompatible with Nietzsche’s encounter with historical nihilism, unless nihilism is taken to represent merely a temporary stage in the refinement of Western humanity’s acquisition of knowledge.

With the stronger claim, however, Nietzsche’s critique of the modern situation implies that the “highest values [necessarily] devalue themselves.” Western metaphysics brings about its own disintegration, in working out the implications of its inner logic. Nietzsche’s name for this great and terrible event, capturing popular imagination with horror and disgust, is the “death of God.” Nietzsche acknowledges that a widespread understanding of this event, the “great noon” at which all “shadows of God” will be washed out, is still to come. In Nietzsche’s day, the God of the old metaphysics is still worshiped, of course, and would be worshiped, he predicted, for years to come. But, Nietzsche insisted, in an intellectual climate that demands honesty in the search for truth and proof as a condition for belief, the absence of foundations has already been laid bare. The dawn of a new day had broken, and shadows now cast, though long, were receding by the minute.

(ii) The second part of the answer to the question concerning nihilism states that “the aim is lacking.” What does this mean? In Beyond Good and Evil Nietzsche claims that the logic of an existence lacking inherent meaning demands, from an organizational standpoint, a value-creating response, however weak this response might initially be in comparison to how its values are then taken when enforced by social institutions (aphorisms 20-23).  Surveys of various cultures show that humanity’s most indispensable creation, the affirmation of meaning and purpose, lies at the heart of all fundamental values. Nihilism stands not only for that apparently inevitable process by which the highest values devalue themselves. It also stands for that moment of recognition in which human existence appears, ultimately, to be in vain. Nietzsche’s surveys of cultures and their values, his cultural anthropologies, are typically reductive in the extreme, attempting to reach the most important sociopolitical questions as neatly and quickly as possible. Thus, when examining so-called Jewish, Oriental, Roman, or Medieval European cultures Nietzsche asks, “how was meaning and purpose proffered and secured here? How, and for how long, did the values here serve the living? What form of redemption was sought here, and was this form indicative of a healthy life? What may one learn about the creation of values by surveying such cultures?” This version of nihilism then means that absolute aims are lacking and that cultures naturally attempt to compensate for this absence with the creation of goals.

(iii) The third part of the answer to the question concerning nihilism states that “‘why?’ finds no answer.” Who is posing the question here? Emphasis is laid on the one who faces the problem of nihilism. The problem of value-positing concerns the one who posits values, and this one must be examined, along with a corresponding evaluation of relative strengths and weaknesses. When, indeed, “why?” finds no answer, nihilism is complete. The danger here is that the value-positing agent might become paralyzed, leaving the call of life’s most dreadful question unanswered. In regards to this danger, Nietzsche’s most important cultural anthropologies examined the Greeks from Homer to the age of tragedy and the “pre-Platonic” philosophers. Here was evidence, Nietzsche believed, that humanity could face the dreadful truth of existence without becoming paralyzed. At every turn, the moment in which the Greek world’s highest values devalued themselves, when an absolute aim was shown to be lacking, the question “why?” nevertheless called forth an answer. The strength of Greek culture is evident in the gods, the tragic art, and the philosophical concepts and personalities created by the Greeks themselves. Comparing the creativity of the Greeks to the intellectual work of modernity, the tragic, affirmative thought of Heraclitus to the pessimism of Schopenhauer, Nietzsche highlights a number of qualitative differences. Both types are marked by the appearance of nihilism, having been drawn into the inevitable logic of value-positing and what it would seem to indicate. The Greek type nevertheless demonstrates the characteristics of strength by activating and re-intensifying the capacity to create, by overcoming paralysis, by willing a new truth, and by affirming the will. The other type displays a pessimism of weakness, passivity, and weariness—traits typified by Schopenhauer’s life-denying ethics of the will turning against itself. In Nietzsche’s 1888 retrospection on the Birth of Tragedy in Ecce Homo, we read that “Hellenism and Pessimism” would have made a more precise title for the first work, because Nietzsche claims to have attempted to demonstrate how

the Greeks got rid of pessimism—with what they overcame it….Precisely tragedy is the proof that the Greeks were no pessimists: Schopenhauer  blundered in this as he blundered in everything (“The Birth of Tragedy” in Ecce Homo section 1).

From Twilight of the Idols, also penned during that sublime year of 1888, Nietzsche writes that tragedy “has to be considered the decisive repudiation” of pessimism as Schopenhauer understood it:

affirmation of life, even in its strangest and sternest problems, the will to life rejoicing in its own inexhaustibility through the sacrifice of its highest types—that is what I called Dionysian….beyond [Aristotelian] pity and terror, to realize in oneself the eternal joy of becoming—that joy which also encompasses joy in destruction (“What I Owe the Ancients” 5).

Nietzsche concludes the above passage by claiming to be the “last disciple of the philosopher Dionysus” (which by this time in Nietzsche’s thought came to encompass the whole of that movement which formerly distinguished between Apollo and Dionysus). Simultaneously, Nietzsche declares himself, with great emphasis, to be the “teacher of the eternal recurrence.”

The work to overcome pessimism is tragic in a two-fold sense: it maintains a feeling for the absence of ground, while responding to this absence with the creation of something meaningful. This work is also unmodern, according to Nietzsche, since modernity either has yet to ask the question “why?,” in any profound sense or, in those cases where the question has been posed, it has yet to come up with a response. Hence, a pessimism of weakness and an incomplete form of nihilism prevail in the modern epoch. Redemption in this life is denied, while an uncompleted form of nihilism remains the fundamental condition of humanity. Although the logic of nihilism seems inevitable, given the absence of absolute purpose and meaning, “actively” confronting nihilism and completing our historical encounter with it will be a sign of good health and the “increased power of the spirit” (Will to Power aphorism 22). Thus far, however, modernity’s attempts to “escape nihilism” (in turning away) have only served to “make the problem more acute” (aphorism 28). Why, then, this failure? What does modernity lack?

5. The Human Exemplar

How and why do nihilism and the pessimism of weakness prevail in modernity? Again, from the notebook of 1887 (Will to Power, aphorism 27), we find two conditions for this situation:

1. the higher species is lacking, i.e., those whose inexhaustible fertility and power keep up the faith in man….[and] 2. the lower species (‘herd,’ ‘mass,’ ‘society,’) unlearns modesty and blows up its needs into cosmic and metaphysical values. In this way the whole of existence is vulgarized: insofar as the mass is dominant it bullies the exceptions, so they lose their faith in themselves and become nihilists.

With the fulfillment of “European nihilism” (which is no doubt, for Nietzsche, endemic throughout the Western world and anyplace touched by “modernity”), and the death of otherworldly hopes for redemption, Nietzsche imagines two possible responses:  the easy response, the way of the “herd” and “the last man,” or the difficult response, the way of the “exception,” and the Übermensch.

Ancillary to any discussion of the exception, per se, the compatibility of the Übermensch concept with other movements in Nietzsche’s thought, and even the significance that Nietzsche himself placed upon it, has been the subject of intense debate among Nietzsche scholars. The term’s appearance in Nietzsche’s corpus is limited primarily to Thus Spoke Zarathustra and works directly related to this text. Even here, moreover, the Übermensch is only briefly and very early announced in the narrative, albeit with a tremendous amount of fanfare, before fading from explicit consideration. In addition to these problems, there are debates concerning the basic nature of the Übermensch itself, whether “Über-” refers to a transitional movement or a transmogrified state of being, and whether Nietzsche envisioned the possibility of a community of Übermenschen, as opposed to a solitary figure among lesser types. So, what should be made of Nietzsche’s so-called “overman” (or even “superman”) called upon to arrive after the “death of God”?

Whatever else may be said about the Übermensch, Nietzsche clearly had in mind an exemplary figure and an exception among humans, one “whose inexhaustible fertility and power keep up the faith in man.” For some commentators, Nietzsche’s distinction between overman and the last man has political ramifications. The hope for an overman figure to appear would seem to be permissible for one individual, many, or even a social ideal, depending on the culture within which it appears. Modernity, in Nietzsche’s view, is in such a state of decadence that it would be fortunate, indeed, to see the emergence of even one such type, given that modern sociopolitical arrangements are more conducive to creating the egalitarian “last man” who “blinks” at expectations for rank, self-overcoming, and striving for greatness. The last men are “ the most harmful to the species because they preserve their existence as much at the expense of the truth as at the expense of the future” (“Why I am a Destiny” in Ecce Homo 1). Although Nietzsche never lays out a precise political program from these ideas, it is at least clear that theoretical justifications for complacency or passivity are antithetical to his philosophy. What, then, may be said about Nietzsche as political thinker?   Nietzsche’s political sympathies are definitely not democratic in any ordinary way of thinking about that sort of arrangement. Nor are they socialist or  Marxist.

Nietzsche’s political sympathies have been called “aristocratic,” which is accurate enough only if one does not confuse the term with European royalty, landed gentry, old money or the like and if one keeps in mind the original Greek meaning of the term, “aristos,” which meant “the good man, the man with power.” A certain ambiguity exists, for Nietzsche, in the term “good man.” On the one hand, the modern, egalitarian “good man,” the “last man,” expresses hostility for those types willing to impose measures of rank and who would dare to want greatness and to strive for it. Such hostilities are born out of ressentiment and inherited from Judeo-Christian moral value systems. (Beyond Good and Evil 257-260 and On the Genealogy of Morals essay 1). “Good” in this sense is opposed to “evil,” and the “good man” is the one whose values support the “herd” and whose condemnations are directed at those whose thoughts and actions might disrupt the complacent normalcy of modern life. On the other hand, the kind of “good man” who might overcome the weak pessimism of “herd morality,” the man of strength, a man to confront nihilism, and thus a true benefactor to humanity, would be decidedly “unmodern” and “out of season.” Only such a figure would “keep up the faith in man.” For these reasons, some commentators have found in Nietzsche an existentialist program for the heroic individual dissociated in varying degrees from political considerations. Such readings however ignore or discount Nietzsche’s interest in historical processes and the unavoidable inference that although Nietzsche’s anti-egalitarianism might lead to questionably “unmodern” political conclusions, hierarchy nevertheless implies association.

The distinction between the good man of active power and the other type also points to ambiguity in the concept of freedom. For the hopeless, human freedom is conceived negatively in the “freedom from” restraints, from higher expectations, measures of rank, and the striving for greatness. While the higher type, on the other hand, understands freedom positively in the “freedom for” achievement, for revaluations of values, overcoming nihilism, and self-mastery.

Nietzsche frequently points to such exceptions as they have appeared throughout history—Napoleon is one of his favorite examples. In modernity, the emergence of such figures seems possible only as an isolated event, as a flash of lightening from the dark cloud of humanity. Was there ever a culture, in contrast to modernity, which saw these sorts of higher types emerge in congress as a matter of expectation and design? Nietzsche’s early philological studies on the Greeks, such as Philosophy in the Tragic Age of the Greeks, The Pre-Platonic Philosophers, “Homer on Competition,” and “The Greek State,” concur that, indeed, the ancient world before Plato produced many exemplary human beings, coming forth independently of each other but “hewn from the same stone,” made possible by the fertile cultural milieu, the social expectation of greatness, and opportunities to prove individual merit in various competitive arenas. Indeed, Greek athletic contests, festivals of music and tragedy, and political life reflected, in Nietzsche’s view, a general appreciation for competition, rank, ingenuity, and the dynamic variation of formal structures of all sorts. Such institutions thereby promoted the elevation of human exemplars. Again, the point must be stressed here that the historical accuracy of Nietzsche’s interpretation of the Greeks is no more relevant to his philosophical schemata than, for example, the actual signing of a material document is to a contractarian political theory. What is important for Nietzsche, throughout his career, is the quick evaluation of social order and heirarchies, made possible for the first time in the nineteenth century by the newly developed “historical sense” (BGE 224) through which Nietzsche draws sweeping conclusions regarding, for example, the characteristics of various moral and religious epochs (BGE 32 and 55), which are themselves pre-conditioned by the material origins of consciousness, from which a pre-human animal acquires the capacity (even the “right”) to make promises and develops into the “sovereign individual” who then bears responsibility for his or her actions and thoughts (GM II.2).

Like these rather ambitious conclusions, Nietzsche’s valorization of the Greeks is partly derived from empirical evidence and partly confected in myth, a methodological concoction that Nietzsche draws from his philological training. If the Greeks, as a different interpretation would have them, bear little resemblance to Nietzsche’s reading, such a difference would have little relevance to Nietzsche’s fundamental thoughts. Later Nietzsche is also clear that his descriptions of the Greeks should not be taken programmatically as a political vision for the future (see for example GS 340).

The “Greeks” are one of Nietzsche’s best exemplars of hope against a meaningless existence, hence his emphasis on the Greek world’s response to the “wisdom of Silenus” in Birth of Tragedy. (ch. 5). If the sovereign individual represents history’s “ripest fruit”, the most recent millennia have created, through rituals of revenge and punishment, a “bad conscience.” The human animal thereby internalizes material forces into feelings of guilt and duty, while externalizing a spirit thus created with hostility towards existence itself (GM II.21). Compared to this typically Christian manner of forming human experiences, the Greeks deified “the animal in man” and thereby kept “bad conscience at bay” (GM II.23).

In addition to exemplifying the Greeks in the early works, Nietzsche lionizes the “artist-genius” and the “sage;” during the middle period he writes confidently, at first, and then longingly about the “scientist,” the “philosopher of the future,” and the “free spirit;” Zarathustra’s decidedly sententious oratory heralds the coming of the Übermensch; the periods in which “revaluation” comes to the fore finds value in the destructive influences of the “madman,” the “immoralist,” the “buffoon,” and even the “criminal.” Finally, Nietzsche’s last works reflect upon his own image, as the “breaker of human history into two,” upon “Mr. Nietzsche,” the “anti-Christian,” the self-anointed clever writer of great books, the creator of Zarathustra, the embodiment of human destiny and humanity’s greatest benefactor: “only after me,” Nietzsche claims in Ecce Homo, “is it possible to hope again” (“Why I am a Destiny” 1). It should be cautioned that important differences exist in the way Nietzsche conceives of each of these various figures, differences that reflect the development of Nietzsche’s philosophical work throughout the periods of his life. For this reason, none of these exemplars should be confused for the others. The bombastic “Mr. Nietzsche” of Ecce Homo is no more the “Übermensch” of Thus Spoke Zarathustra, for example, than the “Zarathustra” character is a “pre-Platonic philosopher” or the alienated, cool, sober, and contemptuous “scientist” is a “tragic artist,” although these figures will frequently share characteristics. Yet, a survey of these exceptions shows that Nietzsche’s philosophy, in his own estimation, needs the apotheosis of a human exemplar, perhaps to keep the search for meaning and redemption from abdicating the earth in metaphysical retreat, perhaps to avert the exhaustion of human creativity, to reawaken the instincts, to inspire the striving for greatness, to remind us that “this has happened once and is therefore a possibility,” or perhaps simply to bestow the “honey offering” of a very useful piece of folly. This need explains the meaning of the parodic fourth book of Zarathustra, which opens with the title character reflecting on the whole of his teachings: “I am he…who once bade himself, and not in vain: ‘Become what you are!’” The subtitle of Nietzsche’s autobiographical Ecce Homo, “How One Becomes What One Is,” strikes a similar chord.

6. Will to Power

The exemplar expresses hope not granted from metaphysical illusions. After sharpening the critique of art and genius during the positivistic period, Nietzsche seems more cautious about heaping praise upon specific historical figures and types, but even when he could no longer find an ideal exception, he nevertheless deemed it requisite to fabricate one in myth. Whereas exceptional humans of the past belong to an exalted “republic of genius,” those of the future, those belonging to human destiny, embody humanity’s highest hopes. As a result of this development, some commentators will emphasize the “philosophy of the future” as one of Nietzsche’s most important ideas. Work pursued in service of the future constitutes for Nietzsche an earthly form of redemption. Yet, exemplars of type, whether in the form of isolated individuals like Napoleon, or of whole cultures like the Greeks, are not caught up in petty historical politics or similar mundane endeavors. According to Nietzsche in Twilight of the Idols, their regenerative powers are necessary for the work of interpreting the meaning and sequence of historical facts.

My Conception of the genius—Great men, like great epochs, are explosive material in whom tremendous energy has been accumulated; their prerequisite has always been, historically and psychologically, that a protracted assembling, accumulating, economizing and preserving has preceded them—that there has been no explosion for a long time. If the tension in the mass has grown too great the merest accidental stimulus suffices to call the “genius,” the “deed,” the great destiny, into the world. Of what account then are circumstances, the epoch, the Zeitgeist, public opinion!…Great human beings are necessary, the epoch in which they appear is accidental… (“Expeditions of an Untimely Man,” 44).

It is with this understanding of the “great man” that Nietzsche, in Ecce Homo, proclaims even himself a great man, “dynamite,”“breaking the history of humanity in two” (“Why I am a Destiny” 1 and 8). A human exemplar, interpreted affirmatively in service of a hopeful future, is a “great event” denoting qualitative differences amidst the play of historical determinations. Thus, it belongs, in this reading, to Nietzsche’s cosmological vision of an indifferent nature marked occasionally by the boundary-stones of noble and sometimes violent uprisings.

To what extent is Nietzsche entitled to such a vision? Unlike nihilism, pessimism, and the death of God, which are historically, scientifically, and sometimes logically derived, Nietzsche’s “yes-saying” concepts seem to be derived from intuition, although Nietzsche will frequently support even these great hopes with bits of inductive reasoning. Nietzsche attempts to describe the logical structure of great events, as if a critical understanding of them pertains to their recurrence in modernity: great men have a “historical and psychological prerequisite.” Historically, there must be a time of waiting and gathering energy, as we find, for example, in the opening scene of Zarathustra. The great man and the great deed belong to a human destiny, one that emerges in situations of crisis and severe want. Psychologically, they are the effects of human energy stored and kept dormant for long periods of time in dark clouds of indifference. Primal energy gathers to a point before a cataclysmic event, like a chemical reaction with an electrical charge, unleashes some decisive, episodic force on all humanity. From here, the logic unfolds categorically: all great events, having occurred, are possibilities. All possibilities become necessities, given an infinite amount of time. Perhaps understanding this logic marks a qualitative difference in the way existence is understood. Perhaps this qualitative difference will spark the revaluation of values. When a momentous event takes place, the exception bolts from the cloud of normalcy as a point of extreme difference. In such ways, using this difference as a reference, as a “boundary-stone” on the river of eternal becoming, the meaning of the past is once again determined and the course of the future is set for a while, at least until a coming epoch unleashes the next great transvaluative event. Conditions for the occurrence of such events, and for the event of grasping this logic itself, are conceptualized, cosmologically in this reading, under the appellation “will to power.”

Before developing this reading further, it should be noted some commentators argue that the cosmological interpretation of will to power makes too strong a claim and that the extent of will to power’s domain ought to be limited to what the idea might explain as a theory of moral psychology, as the principle of an anthropology regarding the natural history of morals, or as a response to evolutionary theories placed in the service of utility. Such commentators will maintain that Nietzsche either in no way intends to construct a new meta-theory, or if he does then such intentions are mistaken and in conflict with his more prescient insights. Indeed, much evidence exists to support each of these positions. As an enthusiastic reader of the French Moralists of the eighteenth century, Nietzsche held the view that all human actions are motivated by the desire “to increase the feeling of power” (GS 13). This view seems to make Nietzsche’s insights regarding moral psychology akin to psychological egoism and would thus make doubtful the popular notion that Nietzsche advocated something like an egoistic ethic. Nevertheless, with this bit of moral psychology, a debate exists among commentators concerning whether Nietzsche intends to make dubious morality per se or whether he merely endeavors to expose those life-denying ways of moralizing inherited from the beginning of Western thought. Nietzsche, at the very least, is not concerned with divining origins. He is interested, rather, in measuring the value of what is taken as true, if such a thing can be measured. For Nietzsche, a long, murky, and thereby misunderstood history has conditioned the human animal in response to physical, psychological, and social necessities (GM II) and in ways that have created additional needs, including primarily the need to believe in a purpose for its very existence (GS 1). This ultimate need may be uncritically engaged, as happens with the incomplete nihilism of those who wish to remain in the shadow of metaphysics and with the laisser aller of the last man who overcomes dogmatism by making humanity impotent (BGE 188). On the other hand, a critical engagement with history is attempted in Nietzsche’s genealogies, which may enlighten the historical consciousness with a sort of transparency regarding the drive for truth and its consequences for determining the human condition. In the more critical engagement, Nietzsche attempts to transform the need for truth and reconstitute the truth drive in ways that are already incredulous towards the dogmatizing tendency of philosophy and thus able to withstand the new suspicions (BGE 22 and 34). Thus, the philosophical exemplar of the future stands in contrast, once again, to the uncritical man of the nineteenth century whose hidden metaphysical principles of utility and comfort fail to complete the overcoming of nihilism (Ecce Homo, “Why I am a Destiny” 4). The question of whether Nietzsche’s transformation of physical and psychological need with a doctrine of the will to power, in making an affirmative principle out of one that has dissolved the highest principles hitherto, simply replaces one metaphysical doctrine with another, or even expresses completely all that has been implicit in metaphysics per se since its inception continues to draw the interest of Nietzsche commentators today. Perhaps the radicalization of will to power in this way amounts to no more than an account of this world to the exclusion of any other. At any rate, the exemplary type, the philosophy of the future, and will to power comprise aspects of Nietzsche’s affirmative thinking. When the egoist’s “I will” becomes transparent to itself a new beginning is thereby made possible. Nietzsche thus attempts to bring forward precisely that kind of affirmation which exists in and through its own essence, insofar as will to power as a principle of affirmation is made possible by its own destructive modalities which pulls back the curtain on metaphysical illusions and dogma founded on them.

The historical situation that conditions Nietzsche’s will to power involves not only the death of God and the reappearance of pessimism, but also the nineteenth century’s increased historical awareness, and with it the return of the ancient philosophical problem of emergence. How does the exceptional, for example, begin to take shape in the ordinary, or truth in untruth, reason in un-reason, social order and law in violence, a being in becoming? The variation and formal emergence of each of these states must, according to Nietzsche, be understood as a possibility only within a presumed sphere of associated events. One could thus also speak of the “emergence,” as part of this sphere, of a given form’s disintegration. Indeed, the new cosmology must account for such a fate. Most importantly, the new cosmology must grant meaning to this eternal recurrence of emergence and disintegration without, however, taking vengeance upon it. This is to say that in the teaching of such a worldview, the “innocence of becoming” must be restored.  The problem of emergence attracted Nietzsche’s interest in the earliest writings, but he apparently began to conceptualize it in published texts during the middle period, when his work freed itself from the early period’s “metaphysics of aesthetics.” The opening passage from 1878’s Human, All Too Human gives some indication of how Nietzsche’s thinking on this ancient problem begins to take shape:

Chemistry of concepts and feelings. In almost all respects, philosophical problems today are again formulated as they were two thousand years ago: how can something arise from its opposite….? Until now, metaphysical philosophy has overcome this difficulty by denying the origin of the one from the other, and by assuming for the more highly valued things some miraculous origin…. Historical philosophy, on the other hand, the very youngest of all philosophical methods, which can no longer be even conceived of as separate from the natural sciences, has determined in isolated cases (and will probably conclude in all of them) that they are not opposites, only exaggerated to be so by the metaphysical view….As historical philosophy explains it, there exists, strictly considered, neither a selfless act nor a completely disinterested observation: both are merely sublimations. In them the basic element appears to be virtually dispersed and proves to be present only to the most careful observer. (Human, All Too Human, 1)

It is telling that Human begins by alluding to the problem of “emergence” as it is brought to light again by the “historical philosophical method.” A decidedly un-scientific “metaphysical view,” by comparison, looks rather for miraculous origins in support of the highest values. Next, in an unexpected move, Nietzsche relates the general problem of emergence to two specific issues, one concerning morals (“selfless acts”) and the other, knowledge—which is taken to include judgment (“disinterested observations”): “in them the basic element appears to be virtually dispersed” and discernable “only to the most careful observer.”

The logical structure of emergence, here, appears to have been borrowed from Hegel and, to be sure, one could point to many Hegelian traces in Nietzsche’s thought. But previously in 1874’s “On the Uses and Disadvantages of History for Life,” from Untimely Meditations, Nietzsche had steadfastly refuted the dialectical logic of a “world historical process,” the Absolute Idea, and cunning reason. What, then, is “the basic element”, dispersed in morals and knowledge? How is it dispersed so that only the careful observer can detect it? The most decisive moment in Nietzsche’s development of a cosmology seems to have occurred when Nietzsche plumbed the surface of his early studies on the pathos and social construction of truth to discover a more prevalent feeling, one animating all socially relevant acts. In Book One of the The Gay Science (certainly one of the greatest works in whole corpus) Nietzsche, in the role of “careful observer,” identifies, with a bit of moral psychology, the one motive spurring all such acts:

On the doctrine of the feeling of power. Benefiting and hurting others are ways of exercising one’s power upon others: that is all one desires in such cases…. Whether benefiting or hurting others involves sacrifices for us does not affect the ultimate value of our actions. Even if we offer our lives, as martyrs do for their church, this is a sacrifice that is offered for our desire for power or for the purpose of preserving our feeling of power. Those who feel “I possess Truth”—how many possessions would they not abandon in order to save this feeling!…Certainly the state in which we hurt others is rarely as agreeable, in an unadulterated way, as that in which we benefit others; it is a sign that we are still lacking power, or it shows a sense of frustration in the face of this poverty….(aphorism 13).

The “ultimate value” of our actions, even concerning those intended to pursue or preserve “truth,” are not measured by the goodness we bring others, notwithstanding the fact that intentionally harmful acts will be indicative of a desperate want of power. Nietzsche, here, asserts the significance of enhancing the feeling of power, and with this aphorism from 1882 we are on the way to seeing how “the feeling of power” will replace, for Nietzsche, otherworldly measures of value, as we read in finalized form in the second aphorism of 1888’s The Anti-Christ:

What is good?—All that heightens the feeling of power, the will to power, power itself in man. What is bad?—All that proceeds from weakness.  What is happiness?—The feeling that power increases—that a resistance is overcome.

No otherworldly measures exist, for Nietzsche. Yet, one should not conclude from this absence of a transcendental measure that all expressions of power are qualitatively the same. Certainly, the possession of a Machiavellian virtù will find many natural advantages in this world, but Nietzsche locates the most important aspect of “overcoming resistance” in self-mastery and self-commanding. In Zarathustra’s chapter, “Of Self-Overcoming,” all living creatures are said to be obeying something, while “he who cannot obey himself will be commanded. That is the nature of living creatures.” It is important to note the disjunction: one may obey oneself or one may not. Either way, one will be commanded, but the difference is qualitative. Moreover, “commanding is more difficult than obeying” (BGE 188 repeats this theme). Hence, one will take the easier path, if unable to command, choosing instead to obey the directions of another. The exception, however, will command and obey the healthy and self-mastering demands of a willing self. But why, we might ask, are all living things beholden to such commanding and obeying? Where is the proof of necessity here? Zarathustra answers:

Listen to my teaching, you wisest men! Test in earnest whether I have crept into the heart of life itself and down to the roots of its heart! Where I found a living creature, there I found will to power; and even in the will of the servant, I found the will to be master (Z “Of the Self-Overcoming”).

Here, apparently, Nietzsche’s doctrine of the feeling of power has become more than an observation on the natural history and psychology of morals. The “teaching” reaches into the heart of life, and it says something absolute about obeying and commanding. But what is being obeyed, on the cosmological level, and what is being commanded? At this point, Zarathustra passes on a secret told to him by life itself: “behold [life says], I am that which must overcome itself again and again…And you too, enlightened man, are only a path and a footstep of my will: truly, my will to power walks with the feet of your will to truth.” We see here that a principle, will to power, is embodied by the human being’s will to truth, and we may imagine it taking other forms as well. Reflecting on this insight, for example, Zarathustra claims to have solved “the riddle of the hearts” of the creator of values: “you exert power with your values and doctrines of good and evil, you assessors of values….but a mightier power and a new overcoming grow from out of your values…” That mightier power growing in and through the embodiment and expression of human values is will to power.

It is important not to disassociate will to power, as a cosmology, from the human being’s drive to create values. To be sure, Nietzsche is still saying that the creation of values expresses a desire for power, and the first essay of 1887’s On the Genealogy of Morality returns to this simple formula. Here, Nietzsche appropriates a well-known element of Hegel’s Phenomenology, the structural movement of thought between basic types called “masters and slaves.” This appropriation has the affect of emphasizing the difference between Nietzsche’s own historical “genealogies” and that of Hegel’s “dialectic” (as is worked out in Deleuze’s study of Nietzsche). Master and slave moralities, the truths of which are confirmed independently by feelings that power has been increased, are expressions of the human being’s will to power in qualitatively different states of health. The former is a consequence of strength, cheerful optimism and naiveté, while the latter stems from impotency, pessimism, cunning and, most famously, ressentiment, the creative reaction of a “bad conscience” coming to form as it turns against itself in hatred. The venom of slave morality is thus directed outwardly in ressentiment and inwardly in bad conscience. Differing concepts of “good,” moreover, belong to master and slave value systems. Master morality complements its good with the designation, “bad,” understood to be associated with the one who is inferior, weak, and cowardly. For slave morality, on the other hand, the designation, “good” is itself the complement of “evil,” the primary understanding of value in this scheme, associated with the one possessing superior strength. Thus, the “good man” in the unalloyed form of “master morality” will be the “evil man,” the man against whom ressentiment is directed, in the purest form of “slave morality.” Nietzsche is careful to add, at least in Beyond Good and Evil, that all modern value systems are constituted by compounding, in varying degrees, these two basic elements. Only a “genealogical” study of how these modern systems came to form will uncover the qualitative strengths and weaknesses of any normative judgment.

The language and method of The Genealogy hearken back to The Gay Science’s “doctrine of the feeling of power.” But, as we have seen, in the period between 1882 and 1887, and from out of the psychological-historical description of morality, truth, and the feeling of power, Nietzsche has given agency to the willing as such that lives in and through the embrace of power, and he generalizes the willing agent in order to include “life” and “the world” and the principle therein by which entities emerge embodied. The ancient philosophical problem of emergence is resolved, in part, with the cosmology of a creative, self-grounding, self-generating, sustaining and enhancing will to power. Such willing, most importantly, commands, which at the same time is an obeying: difference emerges from out of indifference and overcomes it, at least for a while. Life, in this view, is essentially self-overcoming, a self-empowering power accomplishing more power to no other end. In a notebook entry from 1885, Will to Power’s aphorism 1067, Nietzsche’s cosmological intuitions take flight:

And do you know what “the world” is to me? Shall I show it to you in my mirror? This world: a monster of energy, without beginning, without end…as force throughout, as a play of forces and waves of forces…a sea of forces flowing and rushing together, eternally changing and eternally flooding back with tremendous years of recurrence…out of the play of contradictions back to the joy of concord, still blessing itself as that which must return eternally, as a becoming that knows no satiety, no disgust, no weariness; this my Dionysian world of the eternally self-creating, the eternally self-destroying, this mystery world of the two-fold voluptuous delight, my “beyond good and evil,” without goal, unless the joy of the circle is itself a goal….This world is the will to power—and nothing besides! And you yourselves are also this will to power—and nothing besides!

Nietzsche discovers, here, the words to articulate one of his most ambitious concepts. The will to power is now described in terms of eternal and world-encompassing creativity and destructiveness, thought over the expanse of “tremendous years” and in terms of “recurrence,” what Foucault has described as the “play of domination” (1971). In some respects Nietzsche has indeed rediscovered the temporal structure of Heraclitus’ child at play, arranging toys in fanciful constructions of what merely seems like everything great and noble, before tearing down this structure and building again on the precipice of a new mishap. To live in this manner, according to Nietzsche in The Gay Science, to affirm this kind of cosmology and its form of eternity, is to “live dangerously” and to “love fate” (amor fati).

In spite of the positivistic methodology of The Genealogy, beneath the surface of this natural history of morals, will to power pumps life into the heart of both master and slave conceptual frameworks. Moreover, will to power stands as a necessary condition for all value judgments. How, one might ask, are these cosmological intuitions derived? How is knowledge of both will to power and its eternally recurring play of creation and destruction grounded? If they are to be understood poetically, then the question “why?” is misplaced (Zarathustra, “Of Poets”). Logically, with respect to knowledge, Nietzsche insists that principles of perception and judgment evolve co-dependently with consciousness, in response to physical necessities. The self is organized and brought to stand within the body and by the stimuli received there. This means that all principles are transformations of stimuli and interpretations thereupon: truth is “a mobile army of metaphors” which the body forms before the mind begins to grasp. Let us beware, Nietzsche cautions, of saying that the world possesses any sort of order or coherence without these interpretations (GS 109), even to the extent that Nietzsche himself conceives will to power as the way of all things. If all principles are interpretive gestures, by the logic of Nietzsche’s new cosmology, the will to power must also be interpretive (BGE 22). One aspect of the absence of absolute order is that interpretive gestures are necessarily called-forth for the establishment of meaning. A critical requirement of this interpretive gesture becoming transparent is that the new interpretation must knowingly affirm that all principles are grounded in interpretation. According to Nietzsche, such reflexivity does not discredit his cosmology: “so much the better,” since will to power, through Nietzsche’s articulation, emerges as the thought that now dances playfully and lingers for a while in the midst of what Vattimo might call a “weakened” (and weakening) “ontology” of indifference. The human being is thereby “an experimental animal” (GM II). Its truths have the seductive power of the feminine (BGE 1); while Nietzsche’s grandest visions are oriented by the “experimental” or “tempter” god, the one later Nietzsche comes to identify with the name Dionysus (BGE 295).

The philosopher of the future will posses a level of critical awareness hitherto unimagined, given that his interpretive gestures will be recognized as such. Yet, a flourishing life will still demand, one might imagine, being able to suspend, hide, or forget—at the right moments—the creation of values, especially the highest values. Perhaps the cartoonish, bombastic language of The Genealogy’s master and slave morality, to point to an example, which was much more soberly discussed in the previous year’s Beyond Good and Evil, is employed esoterically by Nietzsche for the rhetorical effect of producing a grand and spectacular diversion, hiding the all-important creative gesture that brought forth the new cosmology as a supreme value: “This world is the will to power and nothing besides!—And you yourselves are also this will to power–and nothing besides!” With this teaching, Nietzsche leaves underdeveloped many obvious themes, such as how the world’s non-animate matter may (or may not) be involved with will to power or whether non-human life-forms take part fully and equally in the world’s movement of forces. To have a perspective, for Nietzsche, seems sufficient for participating in will to power, but does this mean that non-human animals, which certainly seem to have perspectives, and without question participate in the living of life, have the human being’s capacity (or any capacity for that matter) to command themselves? Or, do trees and other forms of vegetation? Apparently, they do not. Such problems involve, again, the question of freedom, which interests Nietzsche primarily in the positive form. Of more importance to Nietzsche is that which pertains solely to the human being’s marshalling of forces but, even here (or perhaps especially here), a hierarchy of differences may be discerned. Some human forms of participation in will to power are noble, others ignoble. But, concerning these sorts of activities, Nietzsche stresses in Beyond Good and Evil (aphorism 9) the difference between his own cosmology, which at times seems to re-establish the place of nobility in nature, and the “stoic” view, which asserts the oneness of humanity with divine nature:

“According to nature” you want to live? Oh you noble Stoics, what deceptive words these are! Imagine a being like nature, wasteful beyond measure, indifferent beyond measure, without purposes and consideration, without mercy and justice, fertile and desolate and uncertain at the same time; imagine indifference itself as a power—how could you live according to this indifference? Living—is that not precisely wanting to be other than this nature? Is not livingestimating, preferring, being unjust, being limited, wanting to be different? ….But this is an ancient, eternal story: what formerly happened with the Stoics still happens today, too, as soon as any philosophy begins to believe in itself. It always creates the world in its own image; it cannot do otherwise. Philosophy is this tyrannical drive itself; the most spiritual will to power, to the “creation of  the world,” to the causa prima.

Strauss claims that here Nietzsche is replacing “divine nature” and its egalitarian coherence with “noble nature” and its expression of hierarchies, the condition for which is difference, per se, emerging in nature from indifference (1983). Other commentators have suggested that Nietzsche, here, betrays all of philosophy, lacking any sense of decency with this daring expose—that what is left after the expression of such a forbidden truth is no recourse to meaning.

The most generalized form of the philosophical problem of emergence and disintegration, of the living, valuing, wanting to be different, willing power, is described here in terms of the difference-creating gesture embodied by the human being’s essential work, its “creation of the world” and first causes. Within nature, one might say, energy disperses and accumulates in various force-points: nature’s power to create these force-points is radically indifferent, and this indifference towards what has been created also characterizes its power. Periodically, something exceptional is thrust out from its opposite, given that radical indifference is indifferent even towards itself (if one could speak of ontological conditions in such a representative tone, which Nietzsche certainly does from time to time). Nature is disturbed, and the human being, having thus become aware of its own identity and of others, works towards preserving itself by tying things down with definitions; enhancing itself, occasionally, by loosening the fetters of old, worn-out forms; creating and destroying in such patterns, so as to make humanity and even nature appear to conform to some bit of tyranny. From within the logic of will to power, narrowly construed, human meaning is thus affirmed. “But to what end?” one might ask. To no end, Nietzsche would answer. Here, the more circumspect view could be taken, as is found in Twilight of the Idol’s “The Four Great Errors”: “One is a piece of fate, one belongs to the whole, one is in the whole, there exist nothing which could judge, measure, compare, condemn our being, for that would be to judge, measure, compare, condemn the whole….But nothing exists apart from the whole!” Nietzsche conceptualizes human fate, then, in his most extreme vision of will to power, as being fitted to a whole, “the world,” which is itself “nothing besides” a “monster of energy, without beginning, without end…eternally changing and eternally flooding back with tremendous years of recurrence.” In such manner, will to power expresses itself not only through the embodiment of humanity, its exemplars, and the constant revaluation of values, but also in time. Dasein, for Nietzsche, is suspended on the cross between these ontological movements—between an in/different playing of destruction/creation—and time. But, what temporal model yields the possibility for these expressions? How does Nietzsche’s experimental philosophy conceptualize time?

7. Eternal Recurrence

The world’s eternally self-creating, self-destroying play is conditioned by time. Yet, Nietzsche’s skepticism concerning what can be known of telos, indeed his refutation of an absolute telos independent of human fabrication, demands a view of time that differs from those that place willing, purposiveness, and efficient causes in the service of goals, sufficient reason, and causa prima. Another formulation of this problem might ask, “what is the history of willing, if not the demonstration of progress and/or decay?”

Nietzsche’s solution to the riddle of time, nevertheless, radicalizes the Christian concept of eternity, combining a bit of simple observation and sure reasoning with an intuition that produces curious, but innovative results. The solution takes shape as Nietzsche fills the temporal horizons of past and future with events whose denotations have no permanent tether. Will to power, the Heraclitean cosmic-child, plays-on without preference to outcomes. Within the two-fold limit of this horizon, disturbances emerge from their opposites, but one cannot evaluate them, absolutely, because judgment implicates participation in will to power, in the ebb and flow of events constituting time. The objective perspective is not possible, since the whole consumes all possibilities, giving form to and destroying all that has come to fulfillment. Whatever stands in this flux, does so in the midst of the whole, but only for a while. It disturbs the whole, but does so as part of the whole. As such, whatever stands is measured, on the one hand, by the context its emergence creates. On the other hand, whatever stands is immeasurable, by virtue of the whole, the logic of which would determine this moment to have occurred in the never-ending flux of creation and destruction. Even to say that particular events seem better or worse suited to the functionality of the whole, or to its stability, or its health, or that an event may be measured absolutely by its fitted-ness in some other way, presupposes a standpoint that Nietzsche’s cosmology will not allow. One is left only to describe material occurrences and to intuit the passing of time.

The second part of Nietzsche’s solution to the riddle of time reasons that the mere observation of an occurrence, whether thought to be a simple thing or a more complex event, is enough to demonstrate the occurrence’s possibility. If “something” has happened, then its happening, naturally, must have been possible. Each simple thing or complex event is linked, inextricably, to a near infinite number of others, also demonstrating the possibilities of their happenings. If all of these possibilities could be presented in such a way as to account for their relationships and probabilities, as for example on a marvelously complex set of dice, then it could be shown that each of these possibilities will necessarily occur, and re-occur, given that the game of dice continues a sufficient length of time.

Next, Nietzsche considers the nature of temporal limits and duration. He proposes that no beginning or end of time can be determined, absolutely, in thought. No matter what sort of temporal limits are set by the imagination, questions concerning what lies beyond these limits never demonstrably cease. The question, “what precedes or follows the imagined limits of past and future?” never contradicts our understanding of time, which is thus shown to be more culturally and historically determined than otherwise admitted.

Finally, rather than to imagine a past and future extended infinitely on a plane of sequential moments, or to imagine a time in which nothing happens or will happen, Nietzsche envisions connecting what lies beyond the imagination’s two temporal horizons, so that time is represented in the image of a circle, through which a colossal, but definitive number of possibilities are expressed. Time is infinite with this model, but filled by a finite number of material possibilities, recurring eternally in the never-ending play of the great cosmic game of chance.

What intuition led Nietzsche to interpret the cosmos as having no inherent meaning, as if it were playing itself out and repeating itself in eternally recurring cycles, in the endless creation and destruction of force-points without purpose? How does this curious temporal model relate to the living of life?  In his philosophical autobiography, Ecce Homo, Nietzsche grounds eternal recurrence in his own experiences by relating an anecdote regarding, supposedly, its first appearance to him in thought. One day, Nietzsche writes, while hiking around Lake Silvaplana near Sils Maria, he came upon a giant boulder, took out a piece of paper and scribbled, “6000 Fuss jenseits von Mensch und Zeit.” From here, Nietzsche goes on to articulate “the eternal recurrence of the same,” which he then characterizes as “a doctrine” or “a teaching” of the “highest form of affirmation that can possibly be attained.”

It is important to note that at the time of this discovery, Nietzsche was bringing his work on The Gay Science to a close and beginning to sketch out a plan for Zarathustra. The conceptualization of eternal recurrence emerges at the threshold of Nietzsche’s most acute positivistic inquiry and his most poetic creation. The transition between the two texts is made explicit when Nietzsche repeats the final aphorism of The Gay Science’s Book IV in the opening scene of Zarathustra’s prelude. The repetition of this scene will prove to be no coincidence, given the importance Nietzsche places upon the theme of recurrence in Zarathustra’s climactic chapters. Moreover, in the penultimate aphorism of The Gay Science, as a sort of introduction to that text’s Zarathustra scene (which itself would seem quite odd apart from the later work), Nietzsche first lays out Zarathustra’s central teaching, the idea of eternal recurrence.

The greatest weight.—What, if some day or night a demon were to steal after you into your loneliest loneliness and say to you: “This life as you now live it and have lived it, you will have to live once more and innumerable times more; and there will be nothing new in it, but every pain and every joy and every thought and sigh and everything unutterably small or great in your life will have to return to you, all in the same succession and sequence—even this spider and this moonlight between the trees, and even this moment and I myself. The eternal hourglass of existence is turned upside down again and again, and you with it, speck of dust!” (GS 341).

“What if,” wonders Nietzsche, the thought took hold of us? Here, the conceptualization of eternal recurrence, thus, coincides with questions regarding its impact: “how well disposed would you have to become to yourself and to life to crave nothing more fervently than this ultimate eternal confirmation and seal?”

How would the logic of this new temporal model alter our experiences of factual life? Would such a thought diminish the willfulness of those who grasp it? Would it diminish our willingness to make normative decisions? Would willing cease under the pessimistic suspicion that the course for everything has already been determined, that all intentions are “in vain”? What would we lose by accepting the doctrine of this teaching? What would we gain? It seems strange that Nietzsche would place so much dramatic emphasis on this temporal form of determinism. If all of our worldly strivings and cravings were revealed, in the logic of eternal recurrence, to be no more than illusions, if every contingent fact of creation and destruction were understood to have merely repeated itself without end, if everything that happens, as it happens, both re-inscribes and anticipates its own eternal recurrence, what would be the affect on our dispositions, on our capacities to strive and create? Would we be crushed by this eternal comedy? Or, could we somehow find it liberating?

Even though Nietzsche has envisioned a temporal model of existence seemingly depriving us of the freedom to act in unique ways, we should not fail to catch sight of the qualitative differences the doctrine nevertheless leaves open for the living. The logic of eternity determines every contingent fact in each cycle of recurrence. That is, each recurrence is quantitatively the same. The quality of that recurrence, however, seems to remain an open question. What if the thought took hold of us? If we indeed understood ourselves to be bound by fate and thus having no freedom from the eternal logic of things, could we yet summon love for that fate, to embrace a kind of freedom for becoming that person we are? This is the strange confluence of possibility and necessity that Nietzsche announces in the beginning of Gay Science’s Book IV, with the concept of Amor fati: “I want to learn more and more to see as beautiful what is necessary in things; then I shall be one of those who make things beautiful. Amor fati: let that be my love henceforth!”

Responses to this “doctrine” have been varied. Even some of the most enthusiastic Nietzsche commentators have, like Kaufmann, deemed it unworthy of serious reflection. Nietzsche, however, appears to stress its significance in Twilight of the Idols and Ecce Homo by emphasizing Zarathustra’s importance in the “history of humanity” and by dramatically staging in Thus Spoke Zarathustra the idea of eternal recurrence as the fundamental teaching of the main character. The presentation of this idea, however, leaves room for much doubt concerning the literal meaning of these claims, as does the paucity of direct references to the doctrine in other works intended for publication. In Nietzsche’s Nachlass, we discover attempts to work out rational proofs supporting the theory, but they seem to present no serious challenge to a linear conception of time. Among commentators taking the doctrine seriously, Löwith takes it as a supplement to Nietzsche’s historical nihilism, as a way of placing emphasis on the problem of meaning in history after the shadows of God have been dissolved. For Löwith’s Nietzsche, nihilism is more than an historical moment giving rise to a crisis of confidence or faith. Rather, nihilism is the essence of Nietzsche’s thought, and it poses the sorts of problems that lead Nietzsche into formulating eternal return as a way of restoring meaning in history. For Löwith, then, eternal return is inextricably linked to historical nihilism and offers both cosmological and anthropological grounds for accepting imperatives of self-overcoming. Yet, this grand attempt fails to restore meaning after the death of God, according to Löwith, because of eternal return’s logical contradictions.

8. Reception of Nietzsche’s Thought

The reception of Nietzsche’s work, on all levels of engagement, has been complicated by historical contingencies that are related only by accident to the thought itself. The first of these complications pertains to the editorial control gained by Elizabeth in the aftermath of her brother’s mental and physical collapse. Elisabeth’s overall impact on her brother’s reputation is generally thought to be very problematic. Her husband, Bernhard Förster, whom Friedrich detested, was a leader of the late nineteenth-century German anti-Semitic political movement, which Friedrich often ridiculed and unambiguously condemned, both in his published works and in private correspondences. On this issue, Yovel demonstrates persuasively, with a contextual analysis of letters, materials from the Nachlass, and published works, that Nietzsche developed an attitude of “anti-anti-Semitism” after overcoming the culture of prejudice that formed him in his youth (Yovel, 1998). In the mid-1880s, Förster and wife led a small group of colonists to Paraguay in hopes of establishing an idyllic, racially pure, German settlement. The colony foundered, Bernhard committed suicide, and Elisabeth returned home, just in time to find her brother’s health failing and his literary career ready to soar.

Upon her return, Elisabeth devised a way to keep alive the memory of both husband and brother, legally changing her last name to “Förster-Nietzsche,” a gesture indicative of designs to associate the philosopher with a political ideology he loathed. The stain of Elisabeth’s editorial imprint can be seen on the many ill-informed and haphazard interpretations of Nietzsche produced in the early part of the twentieth century, the unfortunate traces of which remain in some readings today. During the 1930s, in the midst of intense activity by National Socialist academic propagandists such as Alfred Bäumler, even typically insightful thinkers such as Emmanuel Levinas confused the public image of Nietzsche for the philosopher’s stated beliefs. Counter-efforts in the 1930s to refute such propaganda, and the popular misconceptions it was fomenting at the time, can be found both inside and outside Germany, in seminars, for example, led by Karl Jaspers and Karl Löwith, and in Georges Bataille’s essay “Nietzsche and the Fascists.” Of course, the ad hominem argument that “Nietzsche must be a Fascist philosopher because the Fascists venerated him as one of their own,” may be ignored. (No one should find Kant’s moral philosophy reprehensible, by comparison, simply on the grounds that Eichmann attempted to exploit it in a Jerusalem court). Apart from the fallacy, here, even the premise itself regarding Nietzsche and the Fascists is not entirely above reproach, since some Fascists were skeptical of the commensurability of Nietzsche’s thought with their political aims. The stronger claim that Nietzsche’s thought leads to National Socialism is even more problematic. Nevertheless, intellectual histories pursuing the question of how Nietzsche has been placed into the service of all sorts of political interests are an important part of Nietzsche scholarship.

Since the middle part of the last century, Nietzsche scholars have come to grips with the role played by Elisabeth and her associates in obscuring Nietzsche’s anti-Nationalistic, anti-Socialist, anti-German views, his pan-European advocacy of race mixing, as well as his hatred for anti-Semitism and its place in the late-nineteenth-century politics of exploitation. The work Elisabeth performed as her brother’s publicist, however, undoubtedly fulfilled all of her own fantasies: in the early 1930’s, decades after Friedrich’s death, the Nietzsche-Archiv was visited, ceremoniously, by Adolf Hitler, who was greeted and entertained by Elisabeth (in perhaps the most symbolic gesture of her association with the Nietzsche image) with a public reading of the work of her late husband, Bernhard, the anti-Semite. Hitler later attended Elisabeth’s funeral as Chancellor of Germany.

In a matter related to Elizabeth’s impact on the reception of her brother’s thought, the relevance of Nietzsche’s biography to his philosophical work has long been a point of contention among Nietzsche commentators. While an exhaustive survey of the way this key issue has been addressed in the scholarship would be difficult in this context, a few influential readings may be briefly mentioned. Among notable German readers, Heidegger and Fink dismiss the idea that Nietzsche’s thought can be elucidated with the details of his life, while Jaspers affirms the “exceptional” nature of Nietzsche’s life and identifies the exception as a key aspect of his philosophy. French readers such as Bataille, Deleuze, Klossowski, Foucault, and Derrida assert the relevance of various biographical details to specific movements within Nietzsche’s writings. In the United States, the influential reading of Walter Kaufman follows Heidegger, for the most part, in denying relevance, while his student, Alexander Nehamas, tends the other way, linking Nietzsche’s various literary styles to his “perspectivism” and ultimately to living, per se, as an self-interpretive gesture. However difficult it might be to see the philosophical relevance of various biographical curiosities, such as Nietzsche’s psychological development as a child without a living father, his fascination and then fallout with Wagner, his professional ostracism, his thwarted love life, the excruciating physical ailments that tormented him, and so on, it would also seem capricious and otherwise inconsistent with Nietzsche’s work to radically severe his thought from these and other biographical details, and persuasive interpretations have argued that such experiences, and Nietzsche’s well-considered views of them, are inseparable from the multiple trajectories of his intellectual work.

Attempts to isolate Nietzsche’s philosophy from the twists and turns of a frequently problematic life may be explained, in part, as a reaction to several early, and rather detrimental, popular-psychological studies attempting to explain the work in a reductive and decidedly un-philosophical manner. Such was the reading proffered, for example, by Lou Salomè, a woman with whom Nietzsche briefly had an unconventional and famously complex romantic relationship, and who later befriended Sigmund Freud among other leaders of European culture at the fin-de-siècle. Salomè’s Friedrich Nietzsche in His Works (1894) helped cast the image of Nietzsche as a lonely, miserable, self-immolating, recluse whose “external intellectual work…and inner life coalesce completely.” In some commentaries, this image prevails yet today, but its accuracy is also a matter of debate. Nietzsche had many casual associates and a few close friends while in school and as a professor in Basel. Even during the period of his most intense intellectual activity, after withdrawing from the professional world of the academy and, like Marx and others before him in the nineteenth century, taking up the wandering life of a “good European,” the many written correspondences between Nietzsche and life-long friends, along with what is known about the minor details of his daily habits, his days spent in the company of fellow lodgers and travelers, taking meals regularly (in spite of a very closely regulated diet), and similar anecdotes, all put forward a different image. No doubt the affair with Salomè and their mutual friend, the philosopher Paul Rée, left Nietzsche embittered towards the two of them, and it seems likely that this bitterness clouded Salomè’s interpretation of Nietzsche and his works. Elisabeth, who had always loathed Salomè for her immoderation and perceived influence over Friedrich, attempted to correct her rival’s account by writing her own biography of Friedrich, which was effusive in its praise but did little to advance the understanding of Nietzsche’s thought. Perhaps these kinds of problems, then, provide the best argument for resisting the lure to reduce interpretations of Nietzsche’s thought to gossipy biographical anecdotes and clumsy, amateurish speculation, even if the other extreme has also been excessive at times.

Another key issue in the reception of Nietzsche’s work involves determining its relationship to the thoughts of other philosophers and, indeed, to the philosophical tradition itself. On both levels of this complex issue, the work of Martin Heidegger looms paramount. Heidegger began working closely with Nietzsche’s thought in the 1930s, a time rife with political opportunism in Germany, even among scholars and intellectuals. In the midst of a struggle over the official Nazi interpretation of Nietzsche, Heidegger’s views began to coalesce, and after a series of lectures on Nietzsche’s thought in the late 1930’s and 1940, Heidegger produces in 1943 the seminal essay, “Nietzsche’s Word: “God is Dead””.  Nietzsche, for Heidegger, brought “the consummation of metaphysics” in the age of subject-centered reasoning, industrialization, technological power, and the “enframing” (Ge-stell) of humans and all other beings as a “standing reserve.” Combining Nietzsche’s self-described “inversion of Platonism” with the emphasis Nietzsche had undoubtedly placed upon the value-positing act and its relatedness to subjective or inter-subjective human perspectives, Heidegger dubbed Nietzsche “the last metaphysician” and tied him to the logic of a historical narrative highlighted by the appearances of Plato, Aristotle, Roman Antiquity, Christendom, Luther, Descartes, Leibniz, Schopenhauer, and others. The “one thought” common to each of these movements and thinkers, according to Heidegger, and the path Nietzsche thus thinks through to its “consummation,” is the “metaphysical” determination of being (Sein) as no more than something static and constantly present. Although Nietzsche appears to reject the concept of being as an “empty fiction” (claiming, in Twilight of the Idols, to concur with Heraclitus in this regard), Heidegger nevertheless reads in Nietzsche’s Platonic inversion the most insidious form of the metaphysics of presence, in which the destruction and re-establishment of value is taken to be the only possible occasion for philosophical labor whereby the very question of being is completely obliterated. Within this diminution of thought, the Nietzschean “Superman” emerges supremely powerful and triumphant, taking dominion over the earth and all of its beings, measured only by the mundane search for advantages in the ubiquitous struggle for preservation and enhancement.

As is typically the case with Heidegger’s interpretations of the history of philosophy, many aspects of this reading are truly remarkable—Heidegger’s scholarship, for example, his feel for what is important to Nietzsche, and his elaboration of Nietzsche’s work in a way that seems compatible with a narrative of the concealing and revealing destiny of being. However, the plausibility of this reading has come into question almost from the moment the full extent of it was made known in the 1950s and 60s. In Germany, for example, Eugen Fink concludes his 1960 study of Nietzsche by casting doubt upon Heidegger’s claim that Nietzsche’s thought can be reduced to a metaphysics:

Heidegger’s Nietzsche interpretation is essentially based upon  Heidegger’s summary and insight into the history of being and in particular on his interpretation of the metaphysics of modernity. Nevertheless, the question remains open whether Nietzsche does not already leave the metaphysical dimensions of any problems essentially and intentionally behind in his conception of the cosmos. There is a non-metaphysical originality in his cosmological philosophy of “play.” Even the early writings indicate the mysterious dimension of play….

Fink’s reluctance to take a stronger position against the reading of his renowned teacher seems rather coy, given that Fink’s study, throughout, has stressed the meaning and importance of “cosmological play” in Nietzsche’s work. Other commentators have much more explicitly challenged Heidegger’s grand narrative and specifically its place for Nietzsche in the Western tradition, concurring with Fink that Nietzsche’s conceptualization of play frees his thought from the tradition of metaphysics, or that Nietzsche, purposively or not, offered conflicting views of himself, eluding the kind of summary treatment presented by Heidegger and much less-gifted readers (who consider Nietzsche to be no more than a late-Romantic, a social-Darwinist, or the like). In this sort of commentary, Nietzsche’s work itself is at play in deconstructing the all-too-rigid kinds of explanations.

While such a reading has proven to be popular, partly because it seems to make room for various points of entry into Nietzsche’s thought, it has understandably stirred a backlash of sorts among less charitable commentators who find pragmatic or neo-Kantian strains in Nietzsche’s critique of metaphysics and who wish to separate Nietzsche’s level-headed philosophy from his poorly-developed musings. Notable works by Schacht, Clark, Conway, and Leiter fall into this category. In a loosely related movement, many commentators bring Nietzsche into dialogue with the tradition by concentrating on aspects of his work relevant to particular philosophical issues, such as the problem of truth, the development of a natural history of morals, a philosophical consideration of moral psychology, problems concerning subjectivity and logo-centrism, theories of language, and many others. Finally, much work continues to be done on Nietzsche in the history of ideas, regarding, for example, Nietzsche’s philology, his intellectual encounters with nineteenth-century science; the neo-Kantians; the pre-Socratics (or “pre-Platonics,” as he called them); the work of his friend, Paul Rée; their shared affinity for the wit and style of La Rochefoucauld; historical affinities and influences such as those pertaining to Hölderlin, Goethe, Emerson, and Lange, detailed studies of what Nietzsche was reading and when he was reading it, and a host of other themes. Works by Habermas, Porter, Gillespie, Brobjer, Ansell-Pearson, Conway, and Strong are notable for historicizing Nietzsche in a variety of contexts.

The Anglo-American reception of Nietzsche is typically suspicious of Heidegger’s influence and strongly disapproves of gestures linking the “New Nietzsche” found in late twentieth-century discussions of postmodernism and literary criticism to a supposed end of philosophy, although some American scholars will admit, with Gillespie, that “the core of this postmodern reading cannot simply be dismissed,” despite this reading’s excesses (1995, 177). Due to these suspicions, moreover, common Nietzschean themes such as historical nihilism, Dionysianism, tragedy, and play, as well as cosmological readings of will to power, and eternal recurrence are downplayed in Anglo-American treatments, in favor of bringing out more traditional sorts of philosophical problems such as truth and knowledge, values and morality, and human consciousness. Nietzsche reception in the United States has been determined by a unique set of circumstances, as portrayed by Schacht (1995) and others. A very early stage of that reception is stained by the Nazi-misappropriation of Nietzsche, which popular American audiences were prepared to accept uncritically due on the one hand to their initial impression of Nietzsche as an enemy of Christianity who ultimately went insane and on the other hand to their lack of familiarity with Nietzsche’s work. The next stage of Nietzsche reception in the U.S. benefited greatly from Walter Kaufmann’s landmark treatment in the 1950’s. Kaufmann’s Nietzsche was certainly no fascist. Rather, he was a secular humanist and a forerunner of the existentialist movement enjoying a measure of popularity (and acceptability) on college campuses in the United States during the 1950’s and 1960’s. Whereas European commentators such as Jaspers, Löwith, Bataille, and even Heidegger had been busy in the 1930’s “marshalling” Nietzsche (as Jaspers described it) against the National Socialists, in the U.S. it was left to Kaufmann and others in the 1950’s to successfully refute the image of Nietzsche as a Nazi-prototype. So successful was Kaufmann in this regard, that Anglo-American readers had difficulty seeing Nietzsche in any other light, and philosophers who found existentialism shallow regarded Nietzsche with the same disdain. This image of Nietzsche was corrected, somewhat, by Danto’s Nietzsche as Philosopher, which attempted to cast Nietzsche as a forerunner to analytic philosophy, although doubts about Nietzsche’s suitability for this role surely remain even today. To the extent that Danto succeeded in the 1970’s in reshaping philosophical discussions regarding Nietzsche, a new difficulty emerged, related generally to a tension in the world of Anglo-American philosophy between Analytic and Continental approaches to the discipline. In such a light, Schacht sees his work on Nietzsche as an attempt to bridge this institutional divide, as do other Anglo-American readers. The work of Rorty may certainly be characterized in this manner. Despite these attempts, tensions remain between Anglo-American readers who cultivate a neo-pragmatic version of Nietzsche and those who, by comparison, seem too comfortable accepting uncritically the problematic aspects of the Continental interpretation.

In most cases, interpretations of Nietzsche’s thought, and what is taken to be most significant about it, when not directed solely by external considerations, will be determined by the texts in Nietzsche’s corpus given priority and by a decision regarding Nietzsche’s overall coherence, as concerns any given issue, throughout the trajectory of his intellectual development.

9. References and Further Reading

a. Nietzsche’s Collected Works in German

  • Samtliche Werke: Kritische Studienausgabe, ed. Giorgio Colli and Mazzino Montinari, 15 vols (Berlin: de Gruyter, 1980).
    • This “critical student edition” of collected works, commonly referenced as the KSA, contains Nietzsche’s major writings and most of the well-known essays and aphorisms found in his journals. Specialists and readers seeking Nietzsche’s letters, his lectures at Basel, and other writings from his vast Nachlass, will need to supplement the KSA with two additional sources.
  • Kritische Gesamtausgabe: Briefwechsel, ed. Giorgio Colli and Mazzino Montinari, 24 vols. (Berlin: de Gruyter, 1975-84).
    • This edition offers a comprehensive collection of Nietzsche’s correspondences.
  • Kritische Gesamtausgabe: Werke, ed. Giorgio Colli and Mazzino Montinari, (Berlin: de Gruyter, 1967-).
    • The project of publishing a “complete edition” of Nietzsche’s writings was started in 1967 by Colli and Montinari and has since enlisted the services of a number of other editors. At the present time, the project remains unfinished. The most important contribution of the KGW, as this edition is commonly referenced, is perhaps its publication of Nietzsche’s lectures from the University of Basel on topics such as pre-Platonic philosophy, the Platonic dialogues, and ancient rhetoric.

b. Nietzsche’s Major Works Available in English

Most of Nietzsche’s major works were published during his lifetime and are now available to English readers in competing translations. The following list is by no means exhaustive.

  • The Birth of Tragedy (Die Geburt der Tragödie,1872); published in English with The Case of Wagner (Der Fall Wagner, 1888), trans. Walter Kaufmann, (New York: Vintage, 1966).
    • These two texts are available separately in other editions
  • Untimely Meditations (Unzeitgemässe Betrachtungen, 1873-1876), trans. R.J. Hollingdale (Cambridge: Cambridge University Press, 1983).
    • The four essays of this work are available separately in other editions
  • Human, All Too Human (Menschliches, Allzumenschliches [vol. 1], 1878 and [vol. 2], 1879-1880), trans. R. J. Hollingdale (Cambridge: Cambridge University Press, 1986).
    • Volume one of this work and the two distinct parts of volume two, “Assorted Maxims and Aphorisms” and “The Wanderer and His Shadow,” are available separately in other editions.
  • Daybreak (Morgenröte, 1881), trans. R, J. Hollingdale (Cambridge: Cambridge University Press, 1996).
    • The later editions of this translation contain a helpful index.
  • The Gay Science (Die fröliche Wissenschaft, 1882; with important supplements to the second edition, 1887), trans. Walter Kaufman (New York: Vintage, 1974).
  • Thus Spoke Zarathustra (Also Sprach Zarathustra, bks I-II, 1883; bk III, 1884; bk IV [printed and distributed privately], 1885), trans. R. J. Hollingdale, (New York: Penguin, 1973).
  • Beyond Good and Evil (Jenseits von Gut und Böse, 1886), trans. Walter Kaufman (New York: Vintage, 1966).
  • On the Genealogy of Morality (Zur Genealogie der Moral, 1887), edited with important supplements from the Nachlass and other works by Keith Ansell-Pearson; trans. Carol Diethe (Cambridge: Cambridge University Press, 1995).
  • The Case of Wagner (Der Fall Wagner, 1888); published in English with The Birth of Tragedy (Die Geburt der Tragödie,1872), trans. Walter Kaufmann, (New York: Vintage, 1966)
  • Ecce Homo (Ecce Homo, 1888, first published 1908), trans. R. J. Hollingdale (New York: Penguin, 1992).
  • Nietzsche contra Wagner (Nietzsche contra Wagner, 1888, first published 1895), trans. Walter Kaufmann, in The Portable Nietzsche, ed. Walter Kaufmann (New York: Viking, 1954).
  • Twilight of the Idols (Götzen-Dämmerung, 1889); published in English with The Anti-Christ (Der Antichrist, 1888), trans. R. J. Hollingdale (New York: Penguin, 1968).

c. Important Works Available in English from Nietzsche’s Nachlass

Nietzsche’s Nachlass contains several developed essays and an overwhelming number of fragments, sketches of outlines, and aphorisms, some in thematically related successions. A number of these writings are available to English readers, and a few are accessible in a variety of editions, either as supplements to the major works or as part of assorted critical editions. The following list offers a sample of these writings.

  • “Homer on Competition” (“Homers Wettkampf,” 1872) and “The Greek State” (Der griechische Staat, 1872), included in On the Genealogy of Morality (Zur Genealogie der Moral, 1887), ed. Keith Ansell-Pearson; trans. Carol Diethe (Cambridge: Cambridge University Press, 1995).
  • “On Truth and Lies in a Nonmoral Sense” (“Über Wahrheit und Lüge im aussermoralischen Sinne,” 1873), collected in various editions, including Philosophy and Truth: Selections from Nietzsche’s Notebooks of the early 1870’s, ed. and trans. Daniel Breazeale (New Jersey: Humanities Press, 1979) and Friedrich Nietzsche on Rhetoric and Language, ed. and trans. Sander L. Gilman, Carole Blair, and David J. Parent (New York: Oxford University Press, 1989).
  • Philosophy in the Tragic Age of the Greeks (Die Philosophie im tragischen Zeitalter der Griechen, 1873), trans. Marianne Cowan (Washington, D. C.: Gateway Editions, 1962).
  • The Pre-Platonic Philosophers (Die vorplatonischen Philosophen, lectures during various semesters at Basel from 1869 to 1876; ed. by Fritz Bornmann and Mario Carpitella for the KGW, vol. II, part 4), ed. and trans. with an interpretive essay and appendix by Greg Whitlock (Urbana, IL: University of Illinois Press, 2001).
  • Unpublished Writings from the Period of Unfashionable Observations (vol. 11 of The Completed Works of Friedrich Nietzsche), based on the KGW, adapted by Ernst Behler; ed. Bernd Magnus; trans. Richard T. Gray (Stanford, CA: Stanford University Press, 1999).
  • The Will to Power (Der Wille zur Macht, writings from the Nachlass ed. and arranged by Elizabeth Förster-Nietzsche and Peter Gast and published in various forms after Nietzsche’s death), trans. Walter Kaufmann and R. J. Hollingdale (New York: Vintage, 1967).
  • Writings from the Late Notebooks (writings from the Nachlass), ed. Rüdigger Bittner; trans. Kate Sturge (Cambridge: Cambridge University Press, 2003).

d. Biographies

A firsthand and secondhand biographical narrative may be followed in the collected letters of Nietzsche and his associates:

  • Selected Letters of Friedrich Nietzsche, ed. Christopher Middleton (Indianapolis: Hackett, 1996)
  • Conversations with Nietzsche: A Life in the Words of His Contemporaries, ed. Sander L. Gilman, trans. David J. Parent (New York: Oxford University Press, 1987).

The following list includes a few of the most well known biographies in English.

  • Diethe, Carol. Nietzsche’s Sister and the Will to Power: A Biography of Elisabeth Förster-Nietzsche (Urbana: University of Illinois Press, 2003).
  • Hayman, Ronald. Nietzsche: A Critical Life (New York: Oxford University Press, 1980).
  • Hollingdale, R. J. Nietzsche, the Man and His Philosophy (Baton Rouge: Louisiana State University Press, 1965).
  • Pletsch, Carl. Young Nietzsche: Becoming a Genius (New York: The Free Press, 1991).
  • Safranski, Rüdiger. Nietzsche: Biographie Seines Denkens (Muenchen: Carl Hanser, 2000).
  • Nietzsche: A Philosophical Biography, trans. Shelley Frisch (New York: Norton, 2002).
  • Salomé, Lou. Nietzsche, ed. and trans. Siegfried Mandel (Redding Ridge, CT: Black Swan, 1988).

e. Commentaries and Scholarly Researches

Hollingdale once wrote that Nietzsche anticipated what would soon become “part of the consciousness of every thinking person” living in the twentieth century and, no doubt, beyond. During the last forty years, Nietzsche scholarship has generated a considerable amount of commentary and research, and some of the most important of these texts were produced by the twentieth century’s most significant thinkers. Even so, the work of elucidating Nietzsche’s thought seems unfinished. The following list is by no means comprehensive, nor does it purport to represent all of the major themes prevalent in Nietzsche scholarship today. It is designed for the reader seeking to learn more about the intellectual history of Nietzsche reception in the twentieth century.

  • Allison, David B. ed.,  The New Nietzsche: Contemporary Styles of Interpretation, (Cambridge, Mass.: MIT Press, 1985).
  • Allison, David B. Reading the New Nietzsche (Lanham, MD: Rowman and Littlefield, 2001).
  • Ansell-Pearson, Keith. An Introduction to Nietzsche as Political Thinker (Cambridge: Cambridge University Press, 1994).
  • Aschheim, Steven E. The Nietzsche Legacy in Germany: 1890-1990 (Berkeley: University of California Press, 1994).
  • Bambach, Charles R. Heidegger’s Roots: Nietzsche, National Socialism, and the Greeks (Ithaca: Cornell University Press, 2003).
    • This text delivers a scholarly, critical account of Heidegger’s intellectual encounter with Nietzsche against the politically charged backdrop of Germany in the 1930s.
  • Bataille, Georges. Sur Nietzsche (Paris, Gallimard, 1945), available in English under the title, On Nietzsche, trans. Bruce Boon (New York: Paragon House, 1992).
  • Bataille, Georges. “Nietzsche and the Fascists,” available in Visions of Excess: Selected Writings, 1927-1939 (which includes other essays devoted to Nietzsche), ed. Allan Stoekl, trans. Stoekl, et. al (Minneapolis: University of Minnesota Press, 1985).
  • Brobjer, Thomas. Nietzsche’s Philosophical Context: An Intellectual Biography (Urbana: University of Illinois Press, 2008).
    • Brobjer delivers invaluable resource for collating Nietzsche’s writings with the texts that he was himself reading.
  • Clark, Maudemarie. Nietzsche on Truth and Philosophy (Cambridge: Cambridge University Press, 1990).
    • This study is representative of the trend in American scholarship emphasizing those parts of Nietzsche’s thought apparently commensurate with pragmatic and neo-Kantian concerns. It is, perhaps, the best point of entry for readers hoping to gain such insight. For Clark, many of Nietzsche’s remarks on truth are simply confused, although he is redeemed as a philosopher by conclusions drawn in 1887 and thereafter.
  • Conway, Daniel W. Nietzsche’s Dangerous Game: Philosophy in the Twilight of the Idols (Cambridge: Cambridge University Press, 2002).
  • Conway, Daniel W. Nietzsche and the Political (London: Routledge, 1997).
  • Danto, Authur C. Nietzsche as Philosopher (New York: Columbia University Press, 1965).
    • According to Danto, a surprisingly rigorous analytic system of thought is embedded in Nietzsche’s writings, which for Danto are rather poorly executed from a philosophical perspective. In this reading, Nietzsche’s architectonic shortcomings are redeemed, even unconsciously, by the consistency of his polemics.
  • Deleuze, Gilles. Nietzsche et la philosophie, (Paris: Presses Universitaires de France, 1962), available in English under the title, Nietzsche and Philosophy, trans. Hugh Thomlinson (New York: Columbia University Press, 1983).
    • Deleuze’s seminal work delivers the classic statement on Nietzsche as a thinker of processes and relations of active and reactive forces. For Deleuze, Nietzsche is a post-Kantian thinker of historical consciousness and a genealogist refuting the dialectic rationalism of Hegel
  • Derrida, Jacques. Spurs: Nietzsche’s Styles (Èperons: Les Styles de Nietzsche), published with French and English facing pages, trans. Barbara Harlow (Chicago: The University of Chicago Press, 1979).
  • Derrida, Jacques . “Interpreting Signatures (Nietzsche/Heidegger): Two Questions,” trans. Diane P. Michelfelder and Richard E. Palmer in Dialogue and Deconstruction: The Gadamer-Derrida Encounter (Albany: State University of New York Press, 1989).
  • Fink, Eugen. Nietzsches Philosophie (Stuttgart: Kohlhammer, 1960); available in English under the title, Nietzsche’s Philosophy, trans. Goetz Richter (London: Continuum, 2003).
  • Foucault, Michel. “Nietzsche, la généalogie, l’historiè,” in Hommage à Jean Hyppolite (Paris: Presses Universitaires de France, 1971), available in English under the title, “Nietzsche, Genealogy, History,” trans. Donald F. Bouchard and Sherry Simon in The Foucault Reader, ed. Paul Rabinow (New York: Pantheon Books, 1984), 76-100.
    • According to Foucault, Nietzsche’s genealogies eschew the search for origins and teleology with the result of uncovering simply the “play of dominations” in history.
  • Gillespie, Michael Allen. Nihilism Before Nietzsche (Chicago: University of Chicago Press, 1995).
  • Gillespie, Michael Allen and Strong, Tracy B. ed. Nietzsche’s New Seas (Chicago: University of Chicago Press, 1988).
  • Golomb, Jacob and Robert S. Wistrich ed. Nietzsche, Godfather of Fascism? On the Uses and Abuse of a Philosophy (Princeton: Princeton University Press, 2002).
  • Habermas, Jürgen. Der philosophische Diskurs der Moderne (Frankfurt: Suhrkamp, 1985), available in English under the title, The Philosophical Discourse of Modernity, trans. Frederick Lawrence (Cambridge, MA: MIT Press, 1987).
    • These lectures offer a historical reading of Nietzsche’s decisive role in interrupting “the discourse of Modernity” and abandoning its emancipatory content. Habermas detects two dominant strains of post-Nietzschean philosophical rhetoric: a Dionysian messianism (transmitted through Heidegger and Derrida) which longs for the absent god and a fetishization of power, heterogeneity, and subversion (found in Bataille and Foucault).
  • Heidegger, Martin. “Nietzsches Wort‘Gott is tot,’” in Holzwege (Frankfurt: Vittorio Klostermann, 1952 [written in 1943]). The essay is available to English readers as “Nietzsche’s Word: God is dead” in The Question Concerning Technology and other essays, trans. William Lovitt; co-edited J. Glenn Gray and Joan Stambaugh (New York: Harper, 1977).
    • This essay is Heidegger’s first published and most concise treatment of Nietzsche.
    • Heidegger’s preparation for this essay includes several lecture courses devoted entirely to Nietzsche’s philosophy, taught at the University of Freiburg from 1936 to 1940.
    • The published form of these lectures first appeared during 1961 in two volumes.
  • Heidegger, Martin. Nietzsche I-II (Pfulligen: Neske, 1961).
    • Beginning in 1979, Heidegger’s Nietzsche lectures at Freiberg became available to English readers in piecemeal fashion, along with other materials in a somewhat confusing manner, in a two edition, four-volume, set.
  • Heidegger, Martin . Nietzsche, vol. I-IV, trans. David Farrell Krell, (San Francisco: Harper, 1979ff).
    • The philosophy of Nietzsche plays a prominent role in several other works by Heidegger.
  • Heidegger, Martin.  “Platons Lehre von der Wahrheit,”(written in 1930, revised in 1940), published in Wegmarken (Frankfurt am Main: Klostermann, 1967); available in English under the title, “Plato’s Doctrine of Truth,” in Pathmarks, ed. William McNeill (Cambridge: Cambridge University Press, 1998).
  • Heidegger, Martin. “Was Heisst Denken?” (Tübingen: Niemeyer, 1954); available in English under the title, “What is Called Thinking?,” trans. J. Glenn Gray and Fred Wieck (San Francisco: Harper, 1968).
  • Heidegger, Martin. “Wer ist Nietzsches Zarathustra?” in Vorträge und Aufsätze (Stuttgart: Neske, 1954); available in English under the title, “Who is Nietzsche’s Zarathustra?” in Nietzsche vol. II trans. David Farrell Krell, (San Francisco: Harper, 1979), 209-233.
  • Jaspers, Karl. Nietzsche. Einführung in das Verständnis seines Philosophierens (Berlin: de Gruyter, 1936); available in English under the title, Nietzsche: An Introduction to the Understanding of His Philosophical Activity, trans. Charles F. Wallraff and Frederick J. Schmitz (Baltimore: Johns Hopkins University Press, 1997)
  • Kaufmann, Walter. Nietzsche: Philosopher, Psychologist, Antichrist, 4th edition: (Princeton: PUP, 1974). Kaufmann’s study was a watershed text in the history of Nietzsche reception in the United States
  • Klossowski, Pierre. Nietzsche et le cercle vicieux (Paris: Mercure de France, 1969), available in English under the title, Nietzsche and the Vicious Circle, trans. Daniel W. Smith (Chicago and London: University of Chicago Press and Athlone Press, 1997)
  • Lambert, Laurence. Leo Strauss and Nietzsche (Chicago: University of Chicago Press, 1996)
  • Lambert, Laurence. Nietzsche’s Teaching: An Interpretation of ‘Thus Spoke Zarathustra,’ (New Haven: Yale University Press, 1986)
  • Leiter, Brian. Nietzsche on Morality (London: Routledge, 2002).
    • Leiter plays down the ineffable aspects of Nietzsche’s thought in order to elaborate formally and concisely Nietzsche’s writings on morality, especially from the Genealogy. This approach lends credit to the claim that Nietzsche was foremost a moral philosopher with pragmatic, even analytic consistency
  • Löwith, Karl. Nietzsche’s Philosophy of the Eternal Return of the Same, trans. J. Harvey Lomax (Berkley: University of California Press, 1997).
    • Löwith’s study was originally produced in the mid 1930’s, during a wave of interest that included treatments by Heidegger and Jaspers. Like these works, Löwith attempted to correct Alfred Bäumler’s political misappropriation. While National Socialist renditions glorify subjectivity and power in will to power and to the exclusion of eternal return and other ineffable concepts, Löwith places eternal return at the forefront of Nietzsche’s thought, arguing that such thought is thereby flawed with internal contradictions
  • MacIntyre, Ben. Forgotten Fatherland: The Search for Elisabeth Nietzsche (New York: Farrar, Strauss, Giroux 1992).
    • This study offers a somewhat informative, if rather sensationalistic, account of Elizabeth and Bernhard Förster’s sordid misadventure in Paraguay. This title should not be counted on, however, for any sort of understanding of Nietzsche’s philosophy
  • Michelfelder, Diane P. and Palmer, Richard E. eds. Dialogue and Deconstruction: The Gadamer-Derrida Encounter (Albany: SUNY Press, 1989).
    • This text chronicles an interesting confrontation on Nietzsche reception between two landmark philosophers of the late twentieth century. The encounter regards Heidegger’s reading of Nietzsche and what it implies for post-Heideggerian thought
  • Montinari, Mazzino. Reading Nietzsche trans. Greg Whitlock (Urbana: University of Illinois Press, 2003).
    • With Giorgio Colli, Montinari was coeditor of the KSA and the first volumes of the KGW. This translation of his collection of lectures and essays originally published in 1982 portrays Nietzsche being primarily interested in science, albeit taken off course for a time by Wagner and their shared interest in Schopenhauer. Montinari’s Nietzsche is best characterized as having a lifelong “passion for knowledge.” However, Montinari’s insights into previous editions of Nietzsche’s corpus, and the editorial politics behind these editions, may be the most valuable parts of this interesting work
  • Mueller-Lauter,Wolfgang. Nietzsche: His Philosophy of Contradictions and the Contradictions of His Philosophy, trans. David J. Parent (Urbana: University of Illinois Press, 1999)
  • Nehamas, Alexander. Nietzsche: Life as Literature, (Cambridge, Massachusetts: Harvard University Press, 1985).
  • Porter, James I.  Nietzsche and the Philology of the Future (Stanford: Stanford University Press, 2000).
    • Porter’s study places Nietzsche’s philology in historical context and shows how this training prepared hermeneutic gestures found in later Nietzsche’s philosophy of interpretation
  • Porter, James I. The Invention of Dionysus: An Essay on the Birth of Tragedy (Stanford: Stanford University Press, 2000)
  • Schacht, Richard. Nietzsche: The Great Philosophers (London: Routledge, 1983)
  • Schacht, Richard. Making Sense of Nietzsche: Reflections Timely and Untimely (Champagne/Urbana, IL: University of Illinois Press, 1995)
  • Schrift, Alan D. Nietzsche’s French Legacy: A Genealogy of Poststructuralism (New York: Routledge, 1995).
    • As the title promises, this text surveys aspects of the French reception of Nietzsche
  • Schutte, Ofelia. Beyond Nihilism: Nietzsche Without Masks (Chicago: University of Chicago Press, 1984)
  • Strauss, Leo. “Note on the Plan of Nietzsche’s Beyond Good and Evil” in Studies in Platonic Political Philosophy (Chicago: University of Chicago Press, 1983).
    • Strauss’ take on Nietzsche, here and elsewhere, has generated quite a bit of scholarship on its own
  • Strong, Tracy B. Friedrich Nietzsche and the Politics of Transfiguration: Expanded Edition, (Berkley: University of California Press, 1988).
    • Strong’s reading is somewhat esoteric, but it nevertheless brings out important political tensions seemingly implied in Nietzsche’s encounter with Socrates, Aeschylus, and other Greeks
  • Vattimo, Gianni. The End of Modernity trans. Jon R. Snyder (Baltimore: Johns Hopkins, 1988)
  • Vattimo, Gianni. Nihilism and Emancipation (New York: Columbia University Press, 2004).
    • With these titles and several others, Vattimo takes up Heidegger’s transmission of Nietzsche and works out the issue of “completed nihilism” with impressive results. Vattimo’s Nietzsche emerges as one of the best philosophical resources for grounding emancipatory discourse in the twentieth first century
  • Waite, Geoff. Nietzsche’s Corps/e, (Durham, NC: Duke University Press, 1996).
    • Waite offers a richly thematized, innovative Kulturkampf using Nietzsche-reception itself as a wedge for breaking open a variety of late-twentieth century issues
  • Yovel, Yirmiyahu. Dark Riddle: Hegel, Nietzsche, and the Jews (University Park, PA: Penn State University Press, 1998)
  • Zimmerman, Michael. Heidegger’s Confrontation with Modernity: Technology, Politics, Art (Bloomington: Indiana University Press, 1990).
    • Zimmerman delivers a useful text for understanding this key conduit of Nietzsche reception.

f. Academic Journals in Nietzsche Studies

In addition to a typically large number full-length manuscripts on Nietzsche published every year, scholarly works in English may be found in general, academic periodicals focused on Continental philosophy, ethical theory, critical theory, the history of ideas and similar themes. In addition, some major journals are devoted entirely to Nietzsche and aligned topics. Related both to the issue of orthodoxy and to the backlash against multiplicity in Nietzsche interpretation, the value of having so many outlets available for Nietzsche commentators has even been questioned. The following journals are devoted specifically to Nietzsche studies.

  • Nietzsche-Studien (Berlin: de Gruyter).
  • The Journal of Nietzsche Studies (University Park, PA: The Pennsylvania State University Press).
  • New Nietzsche Studies: The Journal of the Nietzsche Society (New York: Nietzsche Society).

Author Information

Dale Wilkerson
Email: dale.wilkerson@utrgv.edu
University of Texas Rio Grande Valley
U. S. A.

Legal Positivism

Legal positivism is a philosophy of law that emphasizes the conventional nature of law—that it is socially constructed. According to legal positivism, law is synonymous with positive norms, that is, norms made by the legislator or considered as common law or case law. Formal criteria of law’s origin, law enforcement and legal effectiveness are all sufficient for social norms to be considered law.  Legal positivism does not base law on divine commandments, reason, or human rights.  As an historical matter, positivism arose in opposition to classical natural law theory, according to which there are necessary moral constraints on the content of law.

Legal positivism does not imply an ethical justification for the content of the law, nor a decision for or against the obedience to law. Positivists do not judge laws by questions of justice or humanity, but merely by the ways in which the laws have been created. This includes the view that judges make new law in deciding cases not falling clearly under a legal rule. Practicing, deciding or tolerating certain practices of law can each be considered a way of creating law.

Within legal doctrine, legal positivism would be opposed to sociological jurisprudence and hermeneutics of law, which study the concrete prevailing circumstances of statutory interpretation in society.

The word “positivism” was probably first used to draw attention to the idea that law is “positive” or “posited,” as opposed to being “natural” in the sense of being derived from natural law or morality.

Table of Contents

  1. The Pedigree Thesis
  2. The Separability Thesis
    1. Inclusive vs. Exclusive Positivism
  3. The Discretion Thesis
  4. Classic Criticisms of Positivism
    1. Fuller’s Internal Morality of Law
    2. Positivism and Legal Principles
    3. The Semantic Sting
  5. References and Further Reading

1. The Pedigree Thesis

The pedigree thesis asserts that legal validity is a function of certain social facts. Borrowing heavily from Jeremy Bentham, John Austin argues that the principal distinguishing feature of a legal system is the presence of a sovereign who is habitually obeyed by most people in the society, but not in the habit of obeying any determinate human superior (Austin 1995, p. 166). On Austin’s view, a rule R is legally valid (that is, is a law) in a society S if and only if R is commanded by the sovereign in S and is backed up with the threat of a sanction. The severity of the threatened sanction is irrelevant; any general sovereign imperative supported by a threat of even the smallest harm is a law.

Austin’s command theory of law is vulnerable to a number of criticisms. One problem is that there appears to be no identifiable sovereign in democratic societies. In the United States, for example, the ultimate political power seems to belong to the people, who elect lawmakers to represent their interests. Elected lawmakers have the power to coerce behavior but are regarded as servants of the people and not as repositories of sovereign power. The voting population, on the other hand, seems to be the repository of ultimate political authority yet lacks the immediate power to coerce behavior. Thus, in democracies like that of the United States, the ultimate political authority and the power to coerce behavior seem to reside in different entities.

A second problem has to do with Austin’s view that the sovereign lawmaking authority is incapable of legal limitation. On Austin’s view, a sovereign cannot be legally constrained because no person (or body of persons) can coerce herself (or itself). Since constitutional provisions limit the authority of the legislative body to make laws, Austin is forced to argue that what we refer to as constitutional law is really not law at all; rather, it is principally a matter of “positive morality” (Austin 1977, p. 107).

Austin’s view is difficult to reconcile with constitutional law in the United States. Courts regard the procedural and substantive provisions of the constitution as constraints on legal validity. The Supreme Court has held, for example, that “an unconstitutional act is not a law; it confers no rights; it imposes no duties; it is, in legal contemplation, as inoperative as though it had never been passed.” (Norton v. Shelby County, 118 U.S. 425 (1886)). Moreover, these constraints purport to be legal constraints: the Supremacy Clause of Article VI of the Constitution states that “[t]his Constitution … shall be the supreme Law of the Land; and the Judges in every State shall be bound thereby.”

The most influential criticisms of Austin’s version of the pedigree thesis, however, owe to H. L. A. Hart’s seminal work, The Concept of Law. Hart points out that Austin’s theory provides, at best, a partial account of legal validity because it focuses on one kind of rule, namely that which requires citizens “to do or abstain from certain actions, whether they wish to or not” (Hart 1994, p. 81). While every legal system must contain so-called primary rules that regulate citizen behavior, Hart believes a system consisting entirely of the kind of liberty restrictions found in the criminal law is, at best, a rudimentary or primitive legal system.

On Hart’s view, Austin’s emphasis on coercive force leads him to overlook the presence of a second kind of primary rule that confers upon citizens the power to create, modify, and extinguish rights and obligations in other persons. As Hart points out, the rules governing the creation of contracts and wills cannot plausibly be characterized as restrictions on freedom that are backed by the threat of a sanction. These rules empower persons to structure their legal relations within the coercive framework of the law-a feature that Hart correctly regards as one of “law’s greatest contributions to social life.” The operation of power-conferring primary rules, according to Hart, indicates the presence of a more sophisticated system for regulating behavior.

But what ultimately distinguishes societies with full-blown systems of law from those with only rudimentary or primitive forms of law is that the former have, in addition to first-order primary rules, secondary meta-rules that have as their subject matter the primary rules themselves:

[Secondary rules] may all be said to be on a different level from the primary rules, for they are all about such rules; in the sense that while primary rules are concerned with the actions that individuals must or must not do, these secondary rules are all concerned with the primary rules themselves. They specify the way in which the primary rules may be conclusively ascertained, introduced, eliminated, varied, and the fact of their violation conclusively determined (Hart 1994, p. 92).

Hart distinguishes three types of secondary rules that mark the transition from primitive forms of law to full-blown legal systems: (1) the rule of recognition, which “specif[ies] some feature or features possession of which by a suggested rule is taken as a conclusive affirmative indication that it is a rule of the group to be supported by the social pressure it exerts” (Hart 1994, p. 92); (2) the rule of change, which enables a society to add, remove, and modify valid rules; and (3) the rule of adjudication, which provides a mechanism for determining whether a valid rule has been violated. On Hart’s view, then, every society with a full-blown legal system necessarily has a rule of recognition that articulates criteria for legal validity that include provisions for making, changing and adjudicating law. Law is, to use Hart’s famous phrase, “the union of primary and secondary rules” (Hart 1994, p. 107). Austin theory fails, on Hart’s view, because it fails to acknowledge the importance of secondary rules in manufacturing legal validity.

Hart also finds fault with Austin’s view that legal obligation is essentially coercive. According to Hart, there is no difference between the Austinian sovereign who governs by coercing behavior and the gunman who orders someone to hand over her money. In both cases, the subject can plausibly be characterized as being “obliged” to comply with the commands, but not as being “duty-bound” or “obligated” to do so (Hart 1994, p. 80). On Hart’s view, the application of coercive force alone can never give rise to an obligation-legal or otherwise.

Legal rules are obligatory, according to Hart, because people accept them as standards that justify criticism and, in extreme cases, punishment of deviations:

What is necessary is that there should be a critical reflective attitude to certain patterns of behavior as a common standard, and that this should display itself in criticism (including self-criticism), demands for conformity, and in acknowledgements that such criticism and demands are justified, all of which find their characteristic expression in the normative terminology of ‘ought’, ‘must’, and ‘should’, and ‘right’ and ‘wrong’ (Hart 1994, p. 56).

The subject who reflectively accepts the rule as providing a standard that justifies criticism of deviations is said to take “the internal point of view” towards it.

On Hart’s view, it would be too much to require that the bulk of the population accept the rule of recognition as the ultimate criteria for legal validity: “the reality of the situation is that a great proportion of ordinary citizens-perhaps a majority-have no general conception of the legal structure or its criteria of validity” (Hart 1994, p. 111). Instead, Hart argues that what is necessary to the existence of a legal system is that the majority of officials take the internal point of view towards the rule of recognition and its criteria of validity. All that is required of citizens is that they generally obey the primary rules that are legally valid according to the rule of recognition.

Thus, on Hart’s view, there are two minimum conditions sufficient and necessary for the existence of a legal system: “On the one hand those rules of behavior which are valid according to the system’s ultimate criteria of validity must be generally obeyed, and, on the other hand, its rules of recognition specifying the criteria of legal validity and its rules of change and adjudication must be effectively accepted as common public standards of official behavior by its officials” (Hart 1994, p. 113).

Hart’s view is vulnerable to the same criticism that he levels against Austin. Hart rejects Austin’s view because the institutional application of coercive force can no more give rise to an obligation than can the application of coercive force by a gunman. But the situation is no different if the gunman takes the internal point of view towards his authority to make such a threat. Despite the gunman’s belief that he is entitled to make the threat, the victim is obliged, but not obligated, to comply with the gunman’s orders. The gunman’s behavior is no less coercive because he believes he is entitled to make the threat.

Similarly, in the minimal legal system, only the officials of the legal system take the internal point of view towards the rule of recognition that endows them with authority to make, execute, adjudicate, and enforce the rules. The mere presence of a belief in the officials that they are entitled to make law cannot give rise to an obligation in other people to comply with their enactments any more than the presence of a belief on the part of a gunman that he is entitled to issue orders gives rise to an obligation in the victim to comply with those orders. Hart’s minimal legal system is no less coercive than Austin’s legal system.

2. The Separability Thesis

The second thesis comprising the foundation of legal positivism is the separability thesis. In its most general form, the separability thesis asserts that law and morality are conceptually distinct. This abstract formulation can be interpreted in a number of ways. For example, Klaus Faber (1996) interprets it as making a meta-level claim that the definition of law must be entirely free of moral notions. This interpretation implies that any reference to moral considerations in defining the related notions of law, legal validity, and legal system is inconsistent with the separability thesis.

More commonly, the separability thesis is interpreted as making only an object-level claim about the existence conditions for legal validity. As H.L.A. Hart describes it, the separability thesis is no more than the “simple contention that it is in no sense a necessary truth that laws reproduce or satisfy certain demands of morality, though in fact they have often done so” (Hart 1994, pp. 181-82). Insofar as the object-level interpretation of the separability thesis denies it is a necessary truth that there are moral constraints on legal validity, it implies the existence of a possible legal system in which there are no moral constraints on legal validity.

a. Inclusive vs. Exclusive Positivism

Though all positivists agree there are possible legal systems without moral constraints on legal validity, there are conflicting views on whether there are possible legal systems with such constraints. According to inclusive positivism (also known as incorporationism and soft positivism), it is possible for a society’s rule of recognition to incorporate moral constraints on the content of law. Prominent inclusive positivists include Jules Coleman and H.L.A. Hart, who maintains that “the rule of recognition may incorporate as criteria of legal validity conformity with moral principles or substantive values … such as the Sixteenth or Nineteenth Amendments to the United States Constitution respecting the establishment of religion or abridgements of the right to vote” (Hart 1994, p. 250).

In contrast, exclusive positivism (also called hard positivism) denies that a legal system can incorporate moral constraints on legal validity. Exclusive positivists like Joseph Raz (1979, p. 47) subscribe to the source thesis, according to which the existence and content of law can always be determined by reference to its sources without recourse to moral argument. On this view, the sources of law include both the circumstances of its promulgation and relevant interpretative materials, such as court cases involving its application.

At first glance, exclusive positivism may seem difficult to reconcile with what appear to be moral criteria of legal validity in legal systems like that of the United States. For example, the Fourth Amendment provides that “[t]he right of the people to be secure in their persons, houses, papers, and effects against unreasonable searches and seizures, shall not be violated.” Likewise, the First Amendment prohibits laws abridging the right of free speech. Taken at face value, these amendments seem to make moral standards part of the conditions for legal validity.

Exclusive positivists argue that such amendments can require judges to consider moral standards in certain circumstances, but cannot incorporate those standards into the law. When a judge makes reference to moral considerations in deciding a case, she necessarily creates new law on an issue-and this is so even when the law directs her to consider moral considerations, as the Bill of Rights does in certain circumstances. On this view, all law is settled law and questions of settled law can be resolved without recourse to moral arguments:

The law on a question is settled when legally binding sources provide its solution. In such cases judges are typically said to apply the law, and since it is source-based, its application involves technical, legal skills in reasoning from those sources and does not call for moral acumen. If a legal question is not answered by standards deriving from legal sources then it lacks a legal answer-the law on such questions is unsettled. In deciding such cases courts inevitably break new (legal) ground and their decision develops the law…. Naturally, their decisions in such cases rely at least partly on moral and other extra-legal considerations (Raz 1979, pp. 49-50).

If the judge can resolve an issue involving the First Amendment merely by applying past court decisions, then the issue is settled by the law; if not, then the issue is unsettled. Insofar as the judge looks to controversial moral standards to resolve the issue, she is going beyond the law because the mere presence of controversy about the law implies that it is indeterminate. Thus, on Raz’s view, references to moral language in the law, at most, direct judges to consider moral requirements in resolving certain unsettled questions of law. They cannot incorporate moral requirements into the law.

3. The Discretion Thesis

Third thesis commonly associated with positivism is the discretion thesis, according to which judges decide difficult cases by making new law in the exercise of discretion. Ronald Dworkin describes this thesis as follows:

The set of these valid legal rules is exhaustive of ‘the law’, so that if someone’s case is not clearly covered by such a rule . . . then that case cannot be decided by ‘applying the law.’ It must be decided by some official, like a judge, ‘exercising his discretion,’ which means reaching beyond the law for some other sort of standard to guide him in manufacturing a fresh legal rule or supplementing an old one (Dworkin 1977, p. 17).

On this view, a judge cannot decide a case that does not fall clearly under a valid rule by interpreting or applying the law; she must decide the case by creating or promulgating a law that did not exist prior to the adjudication. Thus, the discretion thesis implies that judges are empowered with a quasi-legislative lawmaking authority in cases that cannot be decided merely by applying law.

Though often associated with positivism, the discretion thesis does not belong to positivism’s theoretical core. The pedigree and separability theses purport to be conceptual claims that are true of every possible legal system. These two claims jointly assert that, in every possible legal system, propositions of law are valid in virtue of having been manufactured according to some set of social conventions. On this view, there are no moral constraints on the content of law that hold in every possible legal system.

But many positivists regard the discretion thesis as a contingent claim that is true of some, but not all, possible legal systems. Hart, for example, believes there will inevitably arise cases that do not fall clearly under a rule, but concedes a rule of recognition could deny judges discretion to make law in such cases by requiring judges “to disclaim jurisdiction or to refer the points not regulated by the existing law to the legislature to decide” (Hart 1994, p. 272). Indeed, Hart’s inclusive positivism allows him to hold that a rule of recognition could require judges to decide cases in precisely the manner that Dworkin advocates (Hart 1994, p. 263; and see Section IV-2, infra). Thus, at least for inclusive positivists like Hart, the discretion thesis makes a different kind of claim than the conceptual claims that form positivism’s theoretical core (Himma 1999).

Moreover, the discretion thesis is consistent with some forms of natural law theory. According to Blackstone’s classical naturalism, conformity with the natural law is a necessary condition for legal validity in every possible legal system. But insofar as the natural law is incomplete, there will inevitably arise issues that have multiple outcomes consistent with the natural law. Since none of the relevant outcomes in such cases offend the natural law, there is nothing in the assumption of necessary moral constraints on the content of law, in and of itself, that precludes Blackstone from endorsing the discretion thesis in such cases. Of course, if Blackstone believes the natural law contains a principle denying discretion to judges, then that commitment is inconsistent with the discretion thesis. But the assertion there are necessary constraints on the content of law, in and of itself, is consistent with the discretion thesis, even construed as a conceptual claim, as long as there are cases to which the natural law is indifferent.

In any event, Dworkin distinguishes three different senses in which a judge might be said to have discretion: (1) a judge has discretion when she exercises judgment in applying a legal standard to a particular case; (2) a judge has discretion when her decision is not subject to reversal by any other authority; and (3) a judge has discretion when her decision is not bound by any legal standards.

According to Dworkin, positivism’s discretion thesis is committed to the third sense of discretion, which he refers to as strong discretion. On Dworkin’s view, the thesis that judges have discretion only in the sense that they exercise judgment is trivially true, while the thesis that judges have discretion in the sense that their decisions are not subject to being reversed by a higher authority is false. Even the Supreme Court can be reversed by Congress or by constitutional amendment. Thus, on Dworkin’s view, the discretion thesis implies that judges have discretion to decide hard cases by what amounts to an act of legislation because the judge is not bound by any legal standards.

Thus construed, the discretion thesis is inconsistent with ordinary legal practice. Even in the most difficult of cases where there is no clearly applicable law, lawyers do not ask that the judge decide the relevant issue by making new law. Each lawyer cites cases favorable to her client’s position and argues that the judge is bound by those cases to decide in her client’s favor. As a practical matter, lawyers rarely, if ever, concede there are no legal standards governing a case and ask the judge to legislate in the exercise of discretion.

Nevertheless, the problem with Dworkin’s analysis is that it falsely presupposes an official cannot make new law unless there are no legal standards constraining the official’s decision. Indeed, lawmaking authorities in legal systems like the U.S. never have what Dworkin describes as strong discretion. Even the legislative decisions of Congress, the highest legislative authority in the nation, are always constrained by constitutional standards. For example, under the Fourteenth Amendment, Congress cannot enact a law that sets one speed limit for male drivers on interstate highways and another for female drivers.

For his part, Hart concedes that judicial lawmaking authority is limited in two respects: “not only are the judge’s powers subject to many constraints narrowing his choice from which a legislature may be quite free, but since the judge’s powers are exercised only to dispose of particular instant cases he cannot use these to introduce large-scale reforms or new codes” (Hart 1994, p. 273). What explains the judge’s discretion to make new law in a given case, on Hart’s view, is not the absence of legal standards constraining her decision; rather it is the absence of legal standards that dictate a uniquely correct answer to the case. The judge cannot decide such a case merely by applying existing law because there is more than one available outcome that coheres with existing law. In such instances, it is impossible to render a substantive decision (as opposed to simply referring the matter back to the legislature) without creating new law.

The discretion thesis is vulnerable to one powerful objection. Insofar as a judge decides a difficult case by making new law in the exercise of discretion, the case is being decided on the basis of a law that did not exist at the time the dispute arose. If, for example, a judge awards damages to a plaintiff by making new law in the exercise of discretion, it follows that she has held the defendant liable under a law that did not exist at the time the dispute arose. And, as Dworkin points out, it seems patently unfair to deprive a defendant of property for behavior that did not give rise to liability at the time the behavior occurred.

Nevertheless, Dworkin’s view fares no better on this count. While Dworkin acknowledges the existence of difficult cases that do not fall clearly under a rule, he believes they are not resolved by an exercise of judicial discretion. On Dworkin’s view, there is always a right answer to such cases implicit in the pre-existing law. Of course, it sometimes takes a judge of Herculean intellectual ability to discern what the right answer is, but it is always there to be found in pre-existing law. Since the right answer to even hard legal disputes is always part of pre-existing law, Dworkin believes that a judge can take property from a defendant in a hard case without unfairness (Dworkin 1977, pp. 87-130).

But if fairness precludes taking property from a defendant under a law that did not exist at the time of the relevant behavior, it also precludes taking property from a defendant under a law that did not give reasonable notice that the relevant behavior gives rise to liability. Due process and fundamental fairness require reasonable notice of which behaviors give rise to liability. As long as Dworkin acknowledges the existence of cases so difficult that only the best of judges can solve them, his theory is vulnerable to the same charge of unfairness that he levels at the discretion thesis.

4. Classic Criticisms of Positivism

a. Fuller’s Internal Morality of Law

In The Morality of Law, Lon L. Fuller argues that law is subject to an internal morality consisting of eight principles: (P1) the rules must be expressed in general terms; (P2) the rules must be publicly promulgated; (P3) the rules must be (for the most part) prospective in effect; (P4) the rules must be expressed in understandable terms; (P5) the rules must be consistent with one another; (P6) the rules must not require conduct beyond the powers of the affected parties; (P7) the rules must not be changed so frequently that the subject cannot rely on them; and (P8) the rules must be administered in a manner consistent with their wording (Fuller 1964, p. 39).

On Fuller’s view, no system of rules that fails minimally to satisfy these principles of legality can achieve law’s essential purpose of achieving social order through the use of rules that guide behavior. A system of rules that fails to satisfy (P2) or (P4), for example, cannot guide behavior because people will not be able to determine what the rules require. Accordingly, Fuller concludes that his eight principles are “internal” to law in the sense that they are built into the existence conditions for law: “A total failure in any one of these eight directions does not simply result in a bad system of law; it results in something that is not properly called a legal system at all” (Fuller 1964, p. 39).

These internal principles constitute a morality, according to Fuller, because law necessarily has positive moral value in two respects: (1) law conduces to a state of social order and (2) does so by respecting human autonomy because rules guide behavior. Since no system of rules can achieve these morally valuable objectives without minimally complying with the principles of legality, it follows, on Fuller’s view, that they constitute a morality. Since these moral principles are built into the existence conditions for law, they are internal and hence represent a conceptual connection between law and morality that is inconsistent with the separability thesis.

Hart responds by denying Fuller’s claim that the principles of legality constitute an internal morality; on Hart’s view, Fuller confuses the notions of morality and efficacy:

[T]he author’s insistence on classifying these principles of legality as a “morality” is a source of confusion both for him and his readers…. [T]he crucial objection to the designation of these principles of good legal craftsmanship as morality, in spite of the qualification “inner,” is that it perpetrates a confusion between two notions that it is vital to hold apart: the notions of purposive activity and morality. Poisoning is no doubt a purposive activity, and reflections on its purpose may show that it has its internal principles. (“Avoid poisons however lethal if they cause the victim to vomit”….) But to call these principles of the poisoner’s art “the morality of poisoning” would simply blur the distinction between the notion of efficiency for a purpose and those final judgments about activities and purposes with which morality in its various forms is concerned (Hart 1965, pp. 1285-86).

On Hart’s view, all actions, including virtuous acts like lawmaking and impermissible acts like poisoning, have their own internal standards of efficacy. But insofar as such standards of efficacy conflict with morality, as they do in the case of poisoning, it follows that they are distinct from moral standards. Thus, while Hart concedes that something like Fuller’s eight principles are built into the existence conditions for law, he concludes that they do not constitute a conceptual connection between law and morality.

Unfortunately, Hart’s response overlooks the fact that most of Fuller’s eight principles double as moral ideals of fairness. For example, public promulgation in understandable terms may be a necessary condition for efficacy, but it is also a moral ideal; it is morally objectionable for a state to enforce rules that have not been publicly promulgated in terms reasonably calculated to give notice of what is required. Similarly, we take it for granted that it is wrong for a state to enact retroactive rules, inconsistent rules, and rules that require what is impossible. Poisoning may have its internal standards of efficacy, but such standards are distinguishable from the principles of legality in that they conflict with moral ideals.

Nevertheless, Fuller’s principles operate internally, not as moral ideals, but merely as principles of efficacy. As Fuller would likely acknowledge, the existence of a legal system is consistent with considerable divergence from the principles of legality. Legal standards, for example, are necessarily promulgated in general terms that inevitably give rise to problems of vagueness. And officials all too often fail to administer the laws in a fair and even-handed manner-even in the best of legal systems. These divergences may always be prima facie objectionable, but they are inconsistent with a legal system only when they render a legal system incapable of performing its essential function of guiding behavior. Insofar as these principles are built into the existence conditions for law, it is because they operate as efficacy conditions-and not because they function as moral ideals.

Fuller’s jurisprudential legacy, however, should not be underestimated. While positivists have long acknowledged that law’s essential purpose is to guide behavior through rules (e.g., John Austin writes that “[a] law .. may be defined as a rule laid down for the guidance of an intelligent being by an intelligent being having power over him” Austin 1977, p. 5), they have not always appreciated the implications of this purpose. Fuller’s lasting contribution to the theory of law was to flesh out these implications in the form of his principles of legality.

b. Positivism and Legal Principles

Dworkin argues that, in deciding hard cases, judges often invoke legal principles that do not derive their authority from an official act of promulgation (Dworkin 1977, p. 40). These principles, Dworkin believes, must be characterized as law because judges are bound to consider them when relevant. But if unpromulgated legal principles constitute law, then it is false, contra the pedigree thesis, that a proposition of law is valid only in virtue of having been formally promulgated.

According to Dworkin, principles and rules differ in the kind of guidance they provide to judges:

Rules are applicable in an all-or-nothing fashion. If the facts a rule stipulates are given, then either the rule is valid, in which case the answer it supplies must be accepted, or it is not, in which case it contributes nothing to the decision…. But this is not the way principles operate…. [A principle] states a reason that argues in one direction, but does not necessitate a particular decision (Dworkin 1977, pp. 24-25).

On Dworkin’s view, conflicting principles provide competing reasons that must be weighed according to the importance of the respective values they express. Thus, rules are distinguishable from principles in two related respects: (1) rules necessitate, where principles only suggest, a particular outcome; and (2) principles have, where rules lack, the dimension of weight.

Dworkin cites the case of Riggs v. Palmer as representative of how judges use principles to decide hard cases. In Riggs, the court considered the question of whether a murderer could take under the will of his victim. At the time the case was decided, neither the statutes nor the case law governing wills expressly prohibited a murderer from taking under his victim’s will. Despite this, the court declined to award the defendant his gift under the will on the ground that it would be wrong to allow him to profit from such a grievous wrong. On Dworkin’s view, the court decided the case by citing “the principle that no man may profit from his own wrong as a background standard against which to read the statute of wills and in this way justified a new interpretation of that statute” (Dworkin 1977, p. 29).

The positivist might respond that when the Riggs court considered this principle, it was reaching beyond the law to extralegal standards in the exercise of judicial discretion. But Dworkin points out that the Riggs judges would “rightfully” have been criticized had they failed to consider this principle; if it were merely an extralegal standard, there would be no rightful grounds to criticize a failure to consider it (Dworkin 1977, p. 35). Accordingly, Dworkin concludes that the best explanation for the propriety of such criticism is that principles are part of the law.

Further, Dworkin maintains that the legal authority of standards like the Riggs principle cannot derive from promulgation in accordance with purely formal requirements: “[e]ven though principles draw support from the official acts of legal institutions, they do not have a simple or direct enough connection with these acts to frame that connection in terms of criteria specified by some ultimate master rule of recognition” (Dworkin 1977, p. 41). Unlike legal rules, legal principles lack a canonical form and hence cannot be explained by formal promulgation.

On Dworkin’s view, the legal authority of a binding principle derives from the contribution it makes to the best moral justification for a society’s legal practices considered as a whole. According to Dworkin, a legal principle maximally contributes to such a justification if and only if it satisfies two conditions: (1) the principle coheres with existing legal materials; and (2) the principle is the most morally attractive standard that satisfies (1). The correct legal principle is the one that makes the law the moral best it can be. Thus, Dworkin concludes, “if we treat principles as law we must reject the positivists’ first tenet, that the law of a community is distinguished from other social standards by some test in the form of a master rule” (Dworkin 1977, p. 44).

In response, positivists concede that there are legal principles, but argue that their authority as law can be explained in terms of the conventions contained in the rule of recognition:

Legal principles, like other laws, can be enacted or repealed by legislatures and administrative authorities. They can also become legally binding through establishment by the courts. Many legal systems recognize that both rules and principles can be made into law or lose their status as law through precedent (Raz 1972, p. 848).

According to this view, legal principles are like legal rules in that both derive their authority under the rule of recognition from the official acts of courts and legislatures. If the Riggs principle that no person shall profit from her own wrong has legal authority, it is because that principle was either declared by a court in the course of adjudicating a dispute or formally promulgated by the appropriate legislative body.

Further, inclusive positivists argue that Dworkin’s account of principles is itself consistent with the pedigree thesis. As Hart puts it, “this interpretative test seems not to be an alternative to a criterion provided by a rule of recognition, but … only a complex ‘soft-positivist’ form of such a criterion identifying principles by their content not by their pedigree” (Hart 1994, p. 263). The idea, familiar from Section II, is that a rule of recognition can incorporate content-based constraints on legal validity, even those rooted ultimately in morality.

c. The Semantic Sting

In Law’s Empire, Dworkin distinguishes two kinds of disagreement legal practitioners can have about the law. Lawyers can agree on the criteria a rule must satisfy to be legally valid, but disagree on whether those criteria are satisfied by a particular rule. For example, two lawyers might agree that a rule is valid if enacted by the state legislature, but disagree on whether the rule at issue was actually enacted by the state legislature. Such disagreements are empirical in nature and hence pose no theoretical difficulties for positivism.

There is, however, a second kind of disagreement that Dworkin believes is inconsistent with positivism. Lawyers often agree on the facts about a rule’s creation, but disagree on whether those facts are sufficient to endow the rule with legal authority. Such disagreement is considerably deeper than empirical disagreement as it concerns the criteria for legal validity-which, according to positivism, are exhausted by the rule of recognition. Dworkin calls this second kind of disagreement theoretical disagreement about the law.

Theoretical disagreement, on Dworkin’s view, is inconsistent with the pedigree thesis because the pedigree thesis explains the concept of law in terms of shared criteria for creating, changing and adjudicating law:

If legal argument is mainly or even partly about [the properties that make a proposition legally valid], then lawyers cannot all be using the same factual criteria for deciding when propositions of law are true and false. Their arguments would be mainly or partly about which criteria they should use. So the project of the semantic theories, the project of digging out shared rules from a careful study of what lawyers say and do, would be doomed to fail (Dworkin 1986, p. 43).

If lawyers disagree about the criteria of legal validity, then the grounds of legal validity cannot be exhausted by the shared criteria contained in a rule of recognition. The semantic sting, then, implies that there must be more to the concept of legal validity than can be explained by promulgation in accordance with shared criteria embodied in a rule of recognition.

The semantic sting resembles one of Dworkin’s earlier criticisms of Hart’s pedigree thesis. Hart believes that the rule of recognition is a social rule and is hence constituted by the conforming behavior of people who also accept the rule as a ground for criticizing deviations. Like all social rules, then, the rule of recognition has an external and internal aspect. The external aspect of the rule of recognition consists in general obedience to those rules satisfying its criteria of validity; the internal aspect is constituted by its acceptance as a public standard of official behavior. Hart believes it is this double aspect of the rule of recognition that accounts for its normativity and enables him to distinguish his theory from Austin’s view of law as a system of coercive commands. For, as Hart points out, a purely coercive command can oblige, but never obligate, a person to comply (see Section I, supra).

Dworkin argues that this feature of Hart’s theory commits him to the claim that there cannot be any disagreement about the content of rule of recognition:

Hart’s qualification … that the rule of recognition may be uncertain at particular points … undermines [his theory]…. If judges are in fact divided about what they must do if a subsequent Parliament tries to repeal an entrenched rule, then it is not uncertain whether any social rule [of recognition] governs that decision; on the contrary, it is certain that none does (Dworkin 1977, pp. 61-62).

On Dworkin’s view, the requirements of a social rule cannot be uncertain since a social rule is constituted by acceptance and conforming behavior by most people in the relevant group: “two people whose rules differ … cannot be appealing to the same social rule, and at least one of them cannot be appealing to any social rule at all” (Dworkin 1977, p. 55).

Jules Coleman responds that if the rule of recognition is a social rule, then Hart’s view implies there must be general agreement among the officials of a legal system about what standards constitute the rule of recognition, but it does not imply there cannot be disagreement as to what those standards require in any given instance:

The controversy among judges does not arise over the content of the rule of recognition itself. It arises over which norms satisfy the standards set forth in it. The divergence in behavior among officials as exemplified in their identifying different standards as legal ones does not establish their failure to accept the same rule of recognition. On the contrary, judges accept the same truth conditions for propositions of law…. They disagree about which propositions satisfy those conditions (Coleman 1982, p. 156).

Coleman, then, distinguishes two kinds of disagreement practitioners can have about the rule of recognition: (1) disagreement about what standards constitute the rule of recognition; and (2) disagreement about what propositions satisfy those standards. On Coleman’s view, Hart’s analysis of social rules implies only that (1) is impossible.

Under the U.S. rule of recognition, for example, a federal statute is legally valid if and only if it has been enacted in accordance with the procedural requirements described in the body of the Constitution and is consistent with the first fourteen amendments. Since, on Hart’s view, the U.S. rule of recognition is a social rule, U.S. officials must agree on the procedures the federal government must follow in enacting law, the set of sentences constituting the first fourteen amendments, and the requirement that federal enactments be consistent with those amendments.

But Hart’s view of social rules does not imply there cannot be any disagreement about whether a given enactment is consistent with the first fourteen amendments. Legal practitioners can and do disagree on what Hart calls penumbral (or borderline) issues regarding the various amendments. While every competent practitioner in the U.S. would agree, for example, that torturing a person to induce a confession violates the fifth amendment right against self-incrimination, there is considerable disagreement about whether compelling a defendant to undergo a psychiatric examination for the purpose of increasing her sentence also violates that right. On Coleman’s view, there is nothing in Hart’s analysis of social rules that precludes such borderline disagreements about whether a practice is consistent with the Fifth Amendment.

Despite its resemblance to this earlier criticism, Dworkin’s semantic sting argument takes aim at a deeper target. The semantic sting targets all so-called semantic theories of law that articulate the concept of law in terms of “shared rules … that set out criteria that supply the word’s meaning” (Dworkin 1986, p. 31). Thus, while the earlier criticism is directed at Hart’s extraneous account of social rules, the semantic sting is directed at what Dworkin takes to be the very heart of positivism’s theoretical core, namely, the claim that there are shared criteria that exhaust the conditions for the correct application of the concept of law.

At the root of the problem with semantic theories, on Dworkin’s view, is a flawed theory of what makes disagreement possible. According to Dworkin, semantic theories mistakenly assume that meaningful disagreement is impossible unless “we all accept and follow the same criteria for deciding when our claims are sound, even if we cannot state exactly, as a philosopher might hope to do, what these criteria are” (Dworkin 1986, p. 45). On this flawed assumption, two people whose concepts of law differ cannot be disagreeing about the same thing.

Perhaps with Coleman’s response to his earlier criticism in mind, Dworkin concedes that semantic theories are consistent with theoretical disagreements about borderline or penumbral cases: “people do sometimes speak at cross-purposes in the way the borderline defense describes” (Dworkin 1986, p. 41). But Dworkin denies semantic theories are consistent with theoretical disagreement about pivotal (or core) cases.  According to semantic theories, he says,

[Y]ou and I can sensibly discuss how many books I have on my shelf, for example, only if we both agree, at least roughly, about what a book is. We can disagree over borderline cases: I may call something a slim book that you would call a pamphlet. But we cannot disagree over what I called pivotal cases. If you do not count my copy of Moby-Dick as a book because in your view novels are not books, any disagreement is bound to be senseless (Dworkin 1986, p. 45).

The problem, on Dworkin’s view, is that many difficult appellate cases like Riggs involve theoretical disagreement about pivotal cases:

The various judges who argued about our sample cases did not think they were defending marginal or borderline claims. Their disagreements about legislation and precedent were fundamental; their arguments showed that they disagreed not only about whether Elmer should have his inheritance, but about why any legislative act, even traffic codes and rates of taxation, impose the rights and obligations everyone agrees they do…. They disagreed about what makes a proposition of law true not just at the margin but in the core as well (Dworkin 1986, pp. 42-43).

On Dworkin’s view, the judges in Riggs were not having a borderline dispute about some accepted criterion for the application of the concept of law. Rather, they were having a disagreement about the status of some putatively fundamental criterion itself: the majority believed, while the dissent denied, that courts have power to modify unambiguous legislative enactments.

Accordingly, theoretical disagreement about pivotal cases like Riggs is inconsistent with semantic theories of law, on Dworkin’s view, because it shows that shared criteria do not exhaust the proper conditions for the application of the concept of law. For the majority and dissenting judges in Riggs were having a sensible disagreement about law even though it centered on a pivotal case involving the criteria of legal validity. Thus, Dworkin concludes, the concept of law cannot be explained by so-called criterial semantics.

In response, Hart denies both that his theory is a semantic theory and that it assumes such an account of what makes disagreement possible:

[N]othing in my book or in anything else I have written supports [a semantic account] of my theory. Thus, my doctrine that developed municipal legal systems contain a rule of recognition specifying the criteria for the identification of the laws which courts have to apply may be mistaken, but I nowhere base this doctrine on the mistaken idea that it is part of the meaning of the word ‘law’ that there should be such a rule of recognition in all legal systems, or on the even more mistaken idea that if the criteria for the identification of the grounds of law were not uncontroversially fixed, ‘law’ would mean different things to different people (Hart 1994, p. 246).

Instead, Hart argues that his theory of law is “a descriptive account of the distinctive features of law in general as a complex social phenomenon” (Hart 1994, p. 246). Hart presents his theory, not as an account of how people apply the concept of law, but rather as an account of what distinguishes systems of law from other systems of social rules. On Hart’s view, it is the presence of a rule of recognition establishing criteria of validity that distinguishes law from other systems of social rules. Thus, according to Hart, Dworkin’s criticism fails because it mischaracterizes positivism as providing a criterial explanation of the concept of law.

5. References and Further Reading

  • Austin, John, Lectures on Jurisprudence and the Philosophy of Positive Law (St. Clair Shores, MI: Scholarly Press, 1977)
  • Austin, John, The Province of Jurisprudence Determined (Cambridge: Cambridge University Press, 1995)
  • Bentham, Jeremy, Of Laws In General (London: Athlone Press, 1970)
  • Blackstone, William, Commentaries on the Law of England (Chicago: The University of Chicago Press, 1979)
  • Coleman, Jules, “Negative and Positive Positivism,” 11 Journal of Legal Studies 139 (1982)
  • Dworkin, Ronald M., Law’s Empire (Cambridge: Harvard University Press, 1986)
  • Dworkin, Ronald M., Taking Rights Seriously (Cambridge: Harvard University Press, 1977)
  • Finnis, John, Natural Law and Natural Rights (Oxford: Clarendon Press, 1980)
  • Fuller, Lon L., The Morality of Law, Revised Edition (New Haven: Yale University Press, 1969)
  • Fuller, Lon L., “Positivism and Fidelity to Law–A Reply to Professor Hart,” 71 Harvard Law Review 630 (1958)
  • Faber, Klaus, “Farewell to ‘Legal Positivism’: The Separation Thesis Unraveling,” in George, Robert P., The Autonomy of Law: Essays on Legal Positivism (Oxford: Clarendon Press, 1996), 119-162
  • George, Robert P., “Natural Law and Positive Law,” in George, Robert P., The Autonomy of Law: Essays on Legal Positivism (Oxford: Clarendon Press, 1996), 321-334
  • Hart, H.L.A., The Concept of Law, Second Edition (Oxford: Clarendon Press, 1994)
  • Hart, H.L.A., “American Jurisprudence through English Eyes: The Nightmare and the Noble Dream,” reprinted in Hart, H.L.A., Essays in Jurisprudence and Philosophy (Oxford: Clarendon Press, 1983), 123-144.
  • Hart, H.L.A., “Book Review of The Morality of Law” 78 Harvard Law Review 1281 (1965)
  • Hart, H.L.A., Essays on Bentham (Oxford: Clarendon Press, 1982)
  • Hart, H.L.A., “Positivism and the Separation of Law and Morals,” 71 Harvard Law Review 593 (1958)
  • Himma, Kenneth E., “Judicial Discretion and the Concept of Law,” forthcoming in Oxford Journal of Legal Studies vol. 18, no. 1 (1999)
  • Mackie, J.L., “The Third Theory of Law,” Philosophy & Public Affairs, vol. 7, no. 1 (Fall 1977)
  • Moore, Michael, “Law as a Functional Kind,” in George, Robert P. (ed.), Natural Law Theory: Contemporary Essays (Oxford: Clarendon Press, 1992), 188-242
  • Raz, Joseph, The Authority of Law: Essays on Law and Morality (Oxford: Clarendon Press, 1979)
  • Raz, Joseph, “Authority, Law and Morality,” The Monist, vol. 68, 295-324
  • Raz, Joseph, “Legal Principles and the Limits of Law,” 81 Yale Law Review 823 (1972)
  • Raz, Joseph, “Two Views of the Nature of the Theory of Law: A Partial Comparison,” Legal Theory, vol. 4, no. 3 (September 1998), 249-282
  • Waluchow, W.J., Inclusive Legal Positivism (Oxford: Clarendon Press, 1994)

Author Information

Kenneth Einar Himma
Email: himma@spu.edu
Seattle Pacific University
U. S. A.