Professional Documents
Culture Documents
Decidophobia
to Autonomy
Without
Guilt and
Justice
By Walter
Kaufmann
Contents
Preface
Decidophobia
39
71
103
Against Guilt
117
143
177
241
243
Bibliography
257
Preface
morality.
Decidophobia
1
humanity has always lived in the shadow of fears. Yet next to, nothing was known about fear until Freud made a beginning with the
study of unusual phobias. A little later, some existentialist philosophers suggested that one dread is common to all mankind: the dread
of death. This suggestion was couched in such obscure language
that discussions of it have generally revolved around the meaning of
phrases in books and have not dealt with the facts. It might have
been better to ask what leads some writers to express themselves in
ways that seem designed to forestall understanding and hence also
criticism, and why legions of professors and students thrive on texts
like that. The creeping microscopism that meets the eye all over
academia is related to a deep dread that still lacks a name.
Humanity craves but dreads autonomy. One does not want to
live under the yoke of guilt and fear. Autonomy consists of making
with open eyes the decisions that give shape to ones life. But being
afraid of making fateful decisions, one is tempted to hide autonomy
in a metaphysical fog and to become sidetracked and bogged down
in puzzles about free will and determinism. It is far easier to dene
autonomy out of existence than it is to achieve autonomy in the
very meaningful sense in which it can be attained. The dierence
between making the decisions that govern our lives with our eyes
open and somehow avoiding this is all-important. The best way
to begin to understand autonomy is to examine some of the major
Decidophobia
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Decidophobia
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Decidophobia
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Decidophobia
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important to recognize the attraction of movements for decidophobes. And in individual cases one must ask how important this
attraction has been, and to what extent it may reduce all arguments
with otherwise intelligent people to futility.
Those seeking liberation must ask themselves whether they are
really advancing toward autonomy or whether they have merely exchanged one kind of conformity for another. Renouncing a religion,
a creed, or a code and throwing o the blinders that went with it
does not necessarily spell liberation. The question remains whether
one has turned to a surrogate and put on a new pair of blinders.
5
Allegiance to a school of thought sounds like a mere variant of allegiance to a movement, but it is actually importantly dierent.
Membership in a movement is generally palpable and overt, and
ones consciousness of it is usually crucial: it helps to give one an
identity. Allegiance to a school of thought can be like that but usually is not. Typically, it is quite unselfconscious and even denied
outright. When granted, it is often felt to be irrelevant.
Those who belong to a school of thought are usually more interested in their small dierences with fellow members than they are
in what they have in common. These dierences can be spelled out
without much trouble, and in their publications those who write
develop dierences of this sort. What one has in common with
those with whom one diers is much harder to specify. Distance is
required to behold such family resemblances, and those inside the
family lack this distance. But they rarely nd it dicult to say who
does not belong.
Can one say what the members of a school have in common,
without even specifying any school? They tend to deal with a few
clusters of problems, not with others, and they tend to deal with
them in the same way. They share a way of thinking, a style, and a
tradition that they see in much the same perspective. A few writers
may be key gures in more than one tradition, but dierent schools
will see them dierently. Thus Heidegger and his admirers do not
see Aristotle the way the Oxford philosophers do, and the Aristotle
of the Thomists is dierent again.
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the Lord of Hell; and humanity was split into two campsthose
headed for salvation and those headed for everlasting torment.
Even so, Christianity did not follow Zarathustra all the way. In
the third century another Persian prophet, Mani, preached a more
Zoroastrian version of Christianity: Manichaeism. For a while
its impact in the Roman Empire rivaled that of Christianity, and
Augustine came under its spell. Eventually the church condemned
the Manichaean heresy, and as a religion it died. But Manichaeism
is far from dead if the name is used inclusively to label views in which
history is a contest between the forces of light and darkness, with
all right on one side.
The perennial appeal of Manichaeism is due not only to the fact
that it atters its followers but also to the way in which it makes the
most complex and baing issues marvelously simple. There is no
need for dicult decisions; the choice is perfectly obvious.
In times of war, Manichaeism ourishes; and during the cold
war that followed World War II it did, too. What is more surprising is that this strategy is also encountered in the work of some
philosophers who at rst glance seem rather subtle. Thus Heidegger
contrasted two life styles in Being and Time: authentic and inauthentic. He described the latter at great length before nding the
mark of authenticity in resoluteness. He never showed that resolution was incompatible with inauthenticity. Of course, it is not, as
his own decision for Hitler in 1933 illustrates. A resolute leap into
faith or into a movement is quite compatible with dishonesty, decidophobia, and heteronomy. But in his Manichaean way, Heidegger
assumed that all good must be on one side; and since he considered
resoluteness good and inauthenticity bad, he failed to see that they
can occur together.
Manichaeism permeates much of traditional morality, and beyond that also Western thought about reality. Indeed, many people
assume that Manichaeism is based squarely on the facts. But there
are no opposites in nature. What would be the opposite of this rose
or that Austrian pine? Or of the sun, or of this human being? Only
human thought introduces opposites. Neither individual beings nor
classes of such beingssuch as roses, pines, or human beingshave
opposites; nor do colors, sounds, textures, feelings.
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But are not hard and soft opposites? As abstract concepts they
are; but the feel of a rock and the feel of moss are not. It is only by disregarding most of the qualities of botl1 experiences and classifying
one as hard and the other as soft that people think of them as opposites. Playing with re and rolling in the snow are not oppositesfar
from itbut hot and cold are. No specic degree of heat or coldness has any opposite, only the concepts do. The starry heavens
and a sunny sky are not opposites, but day and night are. And the
Manichaean looks everywhere for day and night concepts.
Temperatures are arranged on a linear scale, like hard and soft,
fast and slow. Day and night, like summer and winter or spring and
fall, are best represented by a circle, like colors. Colors that are across
from each other on a color wheel are not opposites; no two colors
are any more than two times of day. Nothing temporal, nothing
living, nothing that is in process has an opposite.
To understand the world and to bring some order into the chaos
of human impressions one needs concepts and abstractions; one
disregards what in some particular context is less relevant. Scientists,
engineers, and analytical philosophers generally realize how indispensable analysis is. The neo-romantics who extol direct experience
and feeling are much more prone to catch the virus of Mani. Why?
Thoughtful people are at least dimly aware of the claims of
both feeling and understanding. Even those who incline heavily
toward one side usually feel some need for the other. Thus the
analytically minded tend to leave the realms of faith and morals, if
not politics, to feeling and intuition, while the romantics, who stress
the importance of feeling and intuition, indulge in a bare minimum
of analysis and tend to favor polarities.
Neither analysis nor direct experience entails any form of Manichaeism. The Manichaean limps on both legs: he curtails both the
understanding and direct experience, settling for very little of each.
He all but shuts both eyes and is a decidophobe.
He supposes not only that truth and error are opposites but even
that there are children of truth and children of error. The notion
of degree, and especially degrees of truth, is anathema to him. His
thinking is as simplistic as a true-or-false test. Abraham Lincoln
was born on February 11, 1809: True or False? False, but hardly
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Decidophobia
the opposite of the truth, seeing that he was born February 12, 1809.
Even a multiple- choice test would allow a little more subtlety if
it distinguished between degrees of falsehood or approximations
of the truth. But such complexities frighten those who seek refuge
in Manichaeism. They like decisions that make themselves. The
Manichaeans think in black and white; the autonomous think in
color.
8
The seventh strategy is much the subtlest of the lot. I shall call it
moral rationalism. It claims that purely rational procedures can show
what one ought to do or what would constitute a just society. There
is then no need at all to choose between dierent ideals, dierent
societies, dierent goals. Once again, no room is left for tragic
quandaries or fateful choices.
Various philosophers have devoted considerable acumen to the
development of dierent versions of moral rationalism, and one
cannot prove all of them wrong in a few paragraphs. But my critique
of the idea of justice in the next three chapters will join this issue
and should show that moral rationalism is untenable.
My repudiation of moral rationalism does not entail an acceptance of what I call moral irrationalism. Anyone supposing that it
must would commit the Manichaean fallacy. I repudiate both.
Moral irrationalism claims that because reason by itself cannot
show people what to do, reason is irrelevant when one is confronted
with fateful decisions. This view is exemplied in dierent ways by
Kierkegaard and Heidegger and widely associated with existentialism. It is compatible with any of the rst six strategies and need not
be considered here at length as a separate strategy. The moral irrationalist says more or less explicitly that when it comes to ultimate
commitments reason is irrelevant; and the choice of a religion or a
movement or a school of thought, of a life style like drifting or a way
of thinking like exegetical thinking or possibly even Manichaeism,
involves to his mind an ultimate commitment. This is a way of saying
that while it may be reasonable to keep your eyes open when making
relatively petty decisions, it makes no sense to keep them open and
examine your impulsive preferences as well as the most signicant
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the latter are for aggression and hate, stupid and misinformed.
His plea for the withdrawal of toleration of speech and assembly
from groups and movements which promote aggressive policies,
armament, chauvinism, discrimination on the grounds of race and
religion, or which oppose the extension of public services, social
security, medical care, etc. hinges on the notion that all good, all
humanity, intelligence, and information are on one side.
His moral rationalism nds expression when he says that the
distinction between liberating and repressive, human and inhuman
teachings and practices is not a matter of value-preference but of
rational criteria. Three pages later this becomes the distinction
between true and false, progressive and regressive. The early Heidegger, under whom Marcuse had studied and to whom he had
dedicated his rst book, had fused Manichaeism with moral irrationalism.
When one considers how many dierent combinations are possible, seven strategies may seem to be enough, but when it comes to
avoiding fateful decisions people are most inventive and use other
means as well. No exhaustive list is possible, but something will be
gained by adding three more to my list.
9
The eighth strategy for avoiding autonomy is pedantry. It plays a
central part in the creeping microscopism mentioned earlier; and
I have noted previously that as long as one remains absorbed in
microscopic distinctions one is in no great danger of coming face to
face with fateful decisions.
Of course, careful attention to detail is not only compatible with
autonomy but a requirement of intellectual integrity. Pedantry becomes decidophobic at the point where a person never gets around
to considering major decisions with any care or actually closes his
eyes to macroscopic alternatives. The same criteria apply to all the
other strategies.
Pedantry is often part of a mixed strategy and may appear as an
ingredient of religion, belonging to a school of thought, exegetical
thinking, or moral rationalism. In Heideggers early work (1927)
it appears along with moral irrationalism and Manichaeism. But
29
pedantry can also be a persons one and only strategy. If so, he is not
likely to become famous; hence no great examples come to mind.
But Grand, a character in Camuss novel The Plague, may serve as
an illustration: He has, he says, his work, which consists of writing
a book, but the rst sentence is giving him no end of trouble, and
he keeps rewriting itspending whole weeks on one word.
The ninth strategy is the faith that one is riding the wave of the
future. This, too, is usually part of a mixed strategy and frequently
associated with religion, allegiance to a movement, belonging to a
school of thought, or Manichaeism. But even if the later Sartre did
not succumb to these four lures, he certainly deserves a point for this
faith in addition to the point he gets for exegetical thinking, and this
is a very telling objection to his later work. Sartre endows Marxism
with authority because it is the philosophy of our time (1960)
and the wave of the future, and this exempts him from any need to
see what speaks against it and what speaks for various alternatives.
In fact, the wave of the future would possess no moral authority
even if we could predict it. Anne Morrow Lindbergh, who rst
said, The wave of the future is coming and there is no ghting it,
meant Hitlerin 1940. Even if the future had belonged to him, an
autonomous person might well have chosen to go down ghting
against the Nazis.
Those who employ the ninth strategy never stand alone or unsupported: they always feel backed up by force majeure. Consider a
very dierent example. Wallenstein, the great seventeenth-century
general who commanded the imperial army for almost a decade
during the Thirty Years War, has been brought to life on the stage by
Friedrich Schiller as an exemplary decidophobe: he keeps delaying
his crucial break with the emperor and rationalizes his indecision
by recourse to astrology. Schiller suggests that if Wallenstein had
acted sooner he probably would have succeeded; but he waited until
events forced his hand, and he failed and was murdered. Astrology,
oracles, and the Chinese I Ching, which achieved such immense popularity in the United States during the 1960s, have always attracted
decidophobes. Nor is it merely a great help in specic cases to have
an authoritative prognosis of the future. Millions nd it frightening
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Decidophobia
to face up to the lack of necessity in human aairs. For the Soviet Writers Secretariat, which considered Alexander Solzhenitsyns
Cancer Ward unpublishable as writtenthey were generous with
oers to help him rewrite it!one of the major provocations was
the concluding image of the novel: An evil man threw tobacco in
the Macaque Rhesuss eyes. Just like that The aront was not so
much that Stalin was likened to an evil man, but that the author
implicitly denied the Marxist philosophy of history and insisted
on the element of caprice in human aairs. One does not have to
be a member of the Soviet Writers Secretariat to be dizzied by the
thought that what some individual decides just like that might
determine the misery and death of millions. To avoid this dizziness, people have always found it tempting to believe in a divine
government, the stars, or History.
Solzhenitsyns opposition to all forms of historical determinism
is central in his August 1914. Here he develops a view of history
that stands squarely opposed to Marxism and to that Tolstoyan
philosophy, with its worship of passive sanctity and meekness of
simple, ordinary people which one of his Soviet detractors had
found in his early work. For obvious reasons, the polemic against
Marxism is not formulated explicitly, but Tolstoys ideas about history are rejected expressly. The subtlety and richness of this novel
cannot be discussed here, but the points that bear on autonomy can
be stated succinctly.
In the rst part of August 1914 the author shows how decrepit,
obsolete, and hopeless the Tsars army was. Soon one feels that there
is no need to go on in this vein; the disastrous Russian defeat at
Tannenberg was overdetermined, and anyone or two of the endless
reasons mentioned would have been enough. The reader is led to feel
that it did not require the superlative eciency and technological
superiority of the German army to defeat such a wretched force. But
then Solzhenitsyn tries to show that if the celebrated German victors,
Hindenburg and Ludendor, had been obeyed, the Russian army
would not have been encircled and destroyed: the shattering Russian
defeat was accomplished by two German generals who disobeyed
orders. And the Russian ocers who deed their stupid orders
and fought courageously inicted serious defeats on the Germans
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anyone who made that choice was a decidophobe who had come to
the conclusion that he could not take it any more.
Getting married does not have to be like that; it is never quite
like that; but it is often a little like that. Marriage can be an expansion of consciousness. Getting married can involve the will to incur
additional responsibilities and to see a myriad things in two perspectives. Climbing with another person may be prompted partly by the
will to reach peaks that one cannot reach alone.
The same is often true of some of the other strategies. A religion
or a movement may be embraced because it holds out the same
promise. But it is easy to deceive oneself and to credit oneself with
a courage that one lacks. One should realize at that point that one
is actually hedging ones bet; however bold ones intentions, one is
making it easy for oneself to succumb to decidophobia in the future
if not immediately. It is the exceptional person who keeps resisting
this temptation.
The ten strategies could be arranged in a table as follows:
1. Avoid fateful decisions
a) Strategies involving recourse to authority: 1, 3, 4, 5, 9.
b) Strategies that do not involve recourse to authority and
are compatible with going it alone: 2, 8.
2. Stack the cards to make one alternative clearly right and remove all risk: 6, 7.
3. Decline responsibility: 10.
But it is only by exploring some of these strategies in detail that
one can show what is involved in autonomy, and what lures have
to be resisted. Obviously, one must also resist the temptation of
thinking of autonomy in Manichaean terms. Autonomy provides
no guarantee of happiness or even goodness; and decidophobes
may be very decent, altruistic people, good scholars, or ne artists.
Their lives may be blessed with warmth, security, and the comfort
of strong convictions.
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Decidophobia
35
troubled about themselves and their children are urged to take heart:
The children of light who are numbered in the millions are even
now approaching on the wave of the future, sitting on the Left.
The other question we must face is whether it is at all possible
to resist all ten lures, to master decidophobia and become liberated.
If I point to some illustrious examples to show that autonomy is
attainable, you may feel that what was possible for people of such
stature is not necessarily possible for ordinary human beings. But if
I mentioned people who are not famous and therefore not widely
known, I would be asking you in eect to take my word for it that
it is possible and actually has been done. Clearly, the rst course
represents the lesser evil, the more so because autonomy is dicult
to attain.
Characters from literature are beside the point, but it is worth
noting that Aeschylus created at least two autonomous gures: Prometheus, who is almost autonomy incarnate, and Clytemnestra,
who reminds us that autonomy is no warrant of virtue. (Aeschylus
did not mean to suggest that married women, if liberated, must kill
their husbands.)
Western philosophy has been to some extent a quest for autonomy, and the pre-Socratics are considered the rst Western philosophers because they were free thinkers who leaned neither on religion
nor on exegetical thinking but took stands of their own. Heraclitus
comes to life as an individual rather more than the others, and although knowledge of him is limited it seems clear that he did not
employ any of the ten strategies. The most dramatic illustrations
in the long history of Western philosophy, however, are Socrates
and Nietzsche. A few interpreters, to be sure, have tried to saddle
Socrates with Platos moral rationalism; but the Apology, the conclusion of the Theaetetus, and some other passages suggest forcibly
that Socrates made a point of not knowing what he did not know.
But even if he should not have deed the fear of freedom with complete success, he clearly went much further than most men, and
contemplation of his thought and posture helps us understand what
is involved in mastering decidophobia.
The case of Nietzsche illustrates not only autonomy but also
two phobic gambits, employed by those who feel stung by such
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Decidophobia
freedom. The rst gambit is to turn those who have mastered decidophobia into something elsesay, by posthumously baptizing
Socrates as an Anglican or by claiming that Nietzsche was a fascist.
The secondindeed, the classical phobic gambit, equally popular
with religious apologists and members of political movements, Left
as well as Rightis to say: Those who examine their own preferences as well as alternatives end up by never making up their minds;
they keep arguing when the time for argument is long past; they
never get around to drawing a conclusion and taking a stand; they
shrink from decisions. No doubt, there are people of that kind, but
it is also possible to make decisions responsibly.
The autonomous individual does not treat his own conclusions
and decisions as authoritative but chooses with his eyes open, and
then keeps his eyes open. He has the courage to admit that he may
have been wrong even about matters of the greatest importance.
He objects to the ten strategies not on account of their putative
psychological origins but because they preclude uninhibited selfcriticism.
There is no need here to recapitulate my interpretation of Nietzsche as a man of this type or to show that he did get around to
drawing conclusions and taking stands, My disagreements with him
are legion, but his books reveal a truly liberated spirit. It will suce
here to quote a single epigram from his notebooks: A very popular
error: having the courage of ones convictions; rather it is a matter
of having the courage for an attack on ones convictions!!! Among
poets there are few whose lives are as well documented as Goethes,
and nobody can accuse him of having succumbed to any of the ten
strategies. Incidentally, he married, as Socrates did, illustrating the
point that marriage does not necessarily involve decidophobia.
Coming to our own time, Eleanor Roosevelt was an autonomous
woman but did not come fully into her own until after her husbands
death. In some ways, being a Presidents wife oers a woman exceptional opportunities; but it is also conning because she must always
consider how her words and actions will aect the President. This
helps to explain why no other Presidents wife played a comparable
role. It is harder to understand why others did not use their experience and prestige for the good of humanity once their husbands
37
The Death of
Retributive Justice
12
the road to autonomy is blocked by a two-headed dragon. One
head is Guilt, the other Justice. Justice roars: You have no right to
decide for yourself; you have been told what is good, right, and just.
There is one righteous road, and there are many unrighteous ones.
Turn back and seek justice!
Frightened, man stops and marvels at his own presumption,
when Guilt cries: Those who succeed in getting past Justice are
devoured by Guilt. Seek the road to which Justice directs you and
dare not to strike out on paths of your own. Guilt has a thousand
eyes to swallow you, and the lids above and below each are lined with
poison fangs. Turn back: autonomy IS sacrilege. Whoever wants to
reach autonomy must rst slay this dragon and do battle with Justice
and Guilt. But Justice has many wiles and is not always as erce as
her roar. She can change herself into a beautiful womanno longer
young, to be sureand say: In my youth the Hebrew prophets
loved me, and Plato sang my praises. Christianity taught generations
to think of me as divine and linked me to Gods righteous judgment
of all men. When faith in God declined, philosophers of widely
dierent views tried to dissociate me from religion and linked me
with reason. At that point the voice of Justice becomes less wistful;
she continues rmly, even imperiously: Legions now no longer
appeal to God as moral arbiter; they invoke me.
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retributive justice. He did not even speak of justice when in his postulate of Gods existence (1788) he implicitly demanded distributive
justice in the hereafter.
Hegel also published a Philosophy of Right without ever discussing justice at any length; and he, too, found justice above all in
punishment. Distributive justice has never held the place in German
moral philosophy that it obtained in British and American ethics.
Karl Marx stood squarely in the German tradition and pleaded not
for distributive justice (Robert Tucker has shown this conclusively)
but for self- realization and, in a sense, autonomy. (I shall return
to Marx in the chapter on alienation; for what he fought against
was not distributive injustice but alienation.) The modern liberal
champions of distributive justice tend to ignore retributive justice,
but before our own time almost everybody except David Hume
recognized that retributive justice was of the essence of justice.
This recognition was by no means conned to Catholics, Calvinists, and Kants heirs. Take Thomas Jeerson, the very model of
an enlightened opponent of Calvinism and Catholicism. When
Napoleon was in St. Helena, Jeerson said of him, in a letter:
The penance he is now doing for all his atrocities must be soothing to every virtuous heart. It proves that we have a god in
heaven. That he is just, and not careless of what passes in this
world. And We cannot but wish to this inhuman wretch, a long,
long life, that time as well as intensity may ll up his suerings
to the measure of his enormities. But indeed what suerings
can atone for his crimes !
The nal exclamation suggests the limits, if not the absurdity, of
the dream of proportionality. Yet the notion that justice is done
only when every crime is punished proportionately is extremely
widespread. Jeerson shows this, too. In his First Inaugural Address
he proposed Equal and exact [!] justice to all men. To his mind this
did not entail the abolition of slavery. But he had spelled out some
of his relevant ideas in 1779 in A Bill for Proportioning Crimes
and Punishments, which ends: Slaves guilty of any oence punishable in others by labor in the public works, shall be transported
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15
The rst phase of the movement that is leading to the death of justice
might be called moral skepticism. This could be traced back to the
Greeks; Plato could be seen as a reaction to it, and Christianity as
a great countermovement. But for our purposes it will suce to
consider the familiar resurgence of moral skepticism in the modern
era. This development is so well known that we need only recall very
briey a few of its major elements. First, religion lost its authority in
moral matters for most of mankind. Then, the habit of considering
alternatives and weighing pros and cons spread with the rise of
modern science; and when this approach is applied to moral claims,
the result is moral skepticism. The development of comparative
sociology and anthropology has done its share to make this explicit.
So has the study of comparative religionthis, too, is a way of
considering alternativesin spite of the last-ditch holy lie of some
decidophobes that all the great religious teachers taught the same
morality.
On another plane, it has become more and more unusual for
all the children in a family to stay in the town where they were born.
People are exposed to dierent environments and mores. Tens of
millions have been uprooted and moved since World War II, and
vast numbers have left farms and villages and small towns for big
cities. Travel has also proliferated; hitherto isolated people who
are far too poor to travel are suddenly brought face to face with
foreigners; and magazines, lms, radio, and television have done
their share to expose men to dierent value systems.
Our moral philosophers have on the whole been more conservative than many of their students. It makes a dierence if one
has grown up in a relatively stable environment, under the tutelage
of parents and teachers who were still closer to absolutism. Those
who grew up after Auschwitz and Nagasaki cannot recall a normal, stable world. That many students became Manichaeans in
the 1960s and reverted to a form of moral absolutismin some
cases, moral rationalismwas due to the fact that they had traveled
further down the road of skepticism and had reached nihilism and
despair. The wars in Vietnam and Algeria and the slaughter in India
52
and Pakistan, in the Congo, Indonesia, and Nigeria, and the worlds
reaction, made a mockery of the morality to which Western societies as well Asian and African governments paid lip service. These
vast atrocities and the numbing anonymity of metropolitan life had
contributed to a desperate sense of futility. Many had gone beyond
moral skepticism into moral nihilism: from the reasonable position
that whatever we do is not likely to make any dierence a thousand years hence, they inferred fallaciously that it therefore made
no dierencenot even now. It was from this nihilistic despair that
some students sought salvation in a new absolutism.
Skepticism about natural law is implicit in moral skepticism.
The very concept of natural law is not widely familiarphilosophers,
theologians, and lawyers know it; few others do. Not only is the
term mildly esoteric, but the idea that a single moral law is binding
for all men, regardless of time and place, lost its plausibility as moral
skepticism spread. Few except Catholics still cling to this notion,
and fewer and fewer Catholics do. Even many Catholic theologians
now defend the Inquisition by saying that it was justied in its time
but would not be justiable today.
The man who did most to promote skepticism about positive
lawthe law actually in force in a statewas Hitler. The war crimes
trials from Nuremberg to Jerusalem convinced millions that obedience to the laws of the state in which one lives is by no means
always ones duty. What a few had learned earlier from Sophocles
Antigone, Tolstoy, Thoreau, or Gandhi, millions learned from these
trials. Some learned it directly, as it were; but there was no lack of
mentors.
One of the most inuential of these was Sartre. During the
Algerian War he kept exhorting intellectuals to speak out and defy
their government. He reached an international constituency. At the
same time Martin Luther Kings civil disobedience campaign in the
American South did its share to shake the faith in positive law. King
had taken his doctorate in philosophy, but again it would be misleading to understand the change in attitude in purely intellectual
terms. In the United States, for example, the Draconic laws against
possession of marijuana and other drugs carried masses of young
people beyond skepticism about law into downright contempt for
53
law. The prohibition of alcohol in the 1920s had had a similar eect.
But the constellation of incomparably more severe penalties with
the civil rights struggle and opposition to the war in Vietnam made
this new contempt far more impassioned.
In time, moral skepticism will be seen to entail doubts about
justice, but so far skepticism about distributive justice is not yet
widespread at all. Why, then, is retributive justice dying? In addition
to the historical developments summarized here, three major points
are worth stressing.
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First, attitudes towards criminals have changed to the point where
the demand not to hate them but to remain mindful of their humanity no longer sounds utopian. This change is due in no small
measure to some nineteenth-century novelists. Charles Dickens
and Victor Hugo come to mind along with Dostoevsky and Tolstoy. Their depiction of suering was nothing new, and the image of
prison conditions in the nineteenth-century novel is no more cruel
than much that can be found in earlier literature, including Dantes
Inferno. What is distinctive is the novelists attitude toward these
conditions and the sympathy for the criminals that is evoked in the
reader. The culmination of this movement is reached at the turn
of the century in Tolstoys Resurrection, the novel for which he was
excommunicated by the Orthodox Church in 1901.
Second, we have developed a kind of second sight. To say that
we have become more perceptive in psychological matters would
be an understatement, not because our age is so perceptive, which
it is not, but rather because the psychological obtuseness that prevailed until quite recently is almost unbelievable. Again, Dostoevsky
and Tolstoy deserve much of the credit for this change, along with
Nietzsche and, above all, Freud.
To tear down the wall that respectable people had built up
between themselves and those who were abnormal, these writers
approached it from two sides. Unlike Dostoevsky and Tolstoy, Freud
did not think much of the dictum that one ought to love ones
enemies, but far more than any Christian saint or theologian, he
showed that our enemies, and criminals for that matter, were not
essentially dierent from ourselves. One did not have to accept his
theories in detail to be strongly aected by this implication of his
work.
The other approach to the wall is much less obvious. In Paul W.
Tappans massive standard text on Crime, Justice and Correction, for
example, all ten references to Freud (in seven hundred fty pages)
concern the light he shed on criminals. But Freudlike Nietzsche,
whom Tappan does not mention at all also turned a searchlight on
respectable society, illuminating the unedifying motives that come
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after-life. The Omnipotent and All-Knowing Creator can always prevent the repetition of a crime by the interior moral
conversion of the delinquent. But the supreme Judge, in His
Last Judgment, applies uniquely the principle of retribution.
This, then, must be of great importance.
As long as traditional Christianity ourished, retributive justice
did, too. When the faith in hell and the Last Judgment lost its grip,
Jeerson and Kant, as well as other writers, still tried to save the
faith in retributive justice by providing a new, rationalist foundation
for it. While men still had the old religious faith in their bones, such
eorts seemed to have some plausibility; but no more. Millions
realize that neither God nor reason has determined once and for all
what each person deserves and that it is up to us to weigh alternatives
and to make dicult decisions.
17
To decide whether and when punishment is needed, one must rst of
all be clear about what precisely punishment is and what its functions
are. It is such a familiar institution that most people never realize
how subtle it is.
Punishment involves at least two persons (call them A and B)
and two acts. A holds a position of authority in relation to B, claims
that B has done some wrong, and by virtue of his authority causes
something unpleasant to happen to B in return for (as a punishment
for) this claimed wrong. This is what is meant by punishment. If
A does not claim that B has done some wrong, one speaks of maltreatment or torture, not of punishment; and if A does not hold a
position of authority one speaks of revenge.
B could be an animal, but only if A treats B more or less as a
person. Thus B could well be a dog or a cat; but we do not call it
punishment when we kill a mosquito that has just bitten us. If A
and B are one and the same person and we say, Why do you keep
punishing yourself ? we are using the term guratively but still in a
manner that is wholly consistent with our explication: B assumes
the role of A and punishes himself. Finally, A could be a deity who
in that case would act more or less like a personspecically, like a
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The oender has weakened the law and come close to annulling its
deterrent eect; now the punishment is meant to undo this negative
consequence and thus to restore the deterrent eect.
6. By providing a safety valve for the unlawful desires that
smolder below the surface and are fanned to the danger point by
the commission of a crime. Many people have wanted to do what
the criminal did but were kept from doing it by the law or by their
conscience. Now he makes them look silly; they were timid, he was
bold; they were weak, and he was strongif he gets away with it.
And he seems to have gotten away with it. Hence many people are
burning to de what he did. The penal code provides an outlet for
this criminal desire. He has killed someone, and now youmany of
youalso want to kill? All right; kill him! He has maimed someone,
and now many of you also want to maim someone? All right; maim
him! Thus the desire for talionfor doing to the criminal what he
has done to someone elsedoes not evidence any profound sense
of justice or a primordial conviction that this is clearly what the
criminal deserves.
These last three functions (4-6) interpenetrate. But the desire
to proportion punishments to crimes is not born of the feeling
that anything less than this would not be justice; it represents an
attemptas in Jeersons caseto keep cruelty in bounds. For
as soon as people are invited to vent their criminal desires on the
criminal, the same dangers reappear that we have just considered
(under 4 and 5): as long as he is to be killed in any case, why merely
kill him? Why not. hang him rst, then take him down alive, cut
out his entrails Why not have an orgy? Historically, the call for
talion has generally signied a great advance over wanton cruelty
(see page 44 above).
The fourth and fth functions still come under the heading
of deterrence. The sixth might be called cathartic, to use an ugly
word for an ugly fact. Punishment purges the societynot, as often
claimed, by removing some mythical pollution, but in a more palpable psychological sense. The purge, of course, aords only temporary
relief, and unfortunately there is evidence that it is addictive. But
this function of punishment has often been mistaken for a demand
for retributive justice.
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cisms:
a. The notion of desert is questionable and will be criticized at
length in the next two chapters.
b. The rst seven functions are clearly future-oriented. The
eighth (recompense) is at least partly future- oriented, but it also
hinges on the notion of desert. The ninth (expiation) is a variant
of the eighth that introduces the supernatural. But retribution is
past-oriented. This contrast of two orientations and my objections
to any such xation on the past will be developed in the chapter
on guilt. Specically, this claim (10) is frequently based on the
conviction that a past event needs to beand can beundone.
This is a superstition. The past is not a blackboard, punishments are
not erasers, and the slate can never be wiped clean: what is done is
done and cannot be undone.
c. The intuitive certainty that nevertheless often accompanies
the belief that an oender fails to get what he deserves until he is
punished will be explained in the chapter on the birth of guilt and
justice.
18
The decidophobe loves retributive justice because she tells him precisely what is to be done: wrongdoing must be punished, and there
is one penalty that is just and therefore mandatory. But I say:
1. Punishments can never be just.
2. Even if a punishment could be proportionate, it would not follow
that it ought to be imposed.
3. The preoccupation with retributive justice is inhumane.
The rst thesis means that a punishment can never be deserved
or who11y proportionate. If the nine- year-old child sentenced
to death in 1832 for smashing a window and stealing two-pence
worth of paint had actually done these things, and if the penalty
conformed with precedent and custom, that would not entail that
the punishment was deserved and just. The same goes for a man
broken on the wheel for stealing a piece of cheese.
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Jeerson plainly felt that at least some of the punishments provided in existing penal codes were unjust; but he believed in the
possibility of proportioning crimes and punishments. To be just,
a punishment must satisfy three conditions: the accusation must be
proved; the punishment must accord with precedent and custom;
and the punishment must be proportioned to the crime. Our clear
sense that some punishments are outrageous even though they satisfy the rst two conditions results from the feeling that they seem
out of all proportion to the crime. (One could introduce further
complications by stipulating how the accusation must be proved;
for example, in accordance with established procedure, without recourse to torture, and so forth. But this would take us too far aeld.)
The rst two conditions concern particular instances of punishment.
The third condition, proportionality, concerns the penal law and
is far more interesting. The crucial point is that the admission that
some punishments are cruel and unusual does not commit one to
the view that for every crimeor even any crimethere is a proportionate and hence deserved and just penalty. Indeed, it seems
very plain that for some crimes there is not, and I shall try to show
in the next chapter that there is no just punishment for any crime.
To begin with crimes for which there is clearly no proportionate
punishment: how could one possibly establish what a man deserves
for seducing a child, for raping a child, or for arson or treason? The
question of how one should deal with such crimes calls for excruciating decisions. The moral rationalist avoids the frightening task
of weighing alternatives; he claims that reason demands such and
such a penalty, backs up his claim with a proof a la Kant, and shuts
his eyes to objections and alternatives. The moral irrationalist relies
on authority, most likely on Gods revelation or the law, and then
engages at most in exegetical thinking. The autonomous human
being uses his reason to eliminate various alternatives, but nds that
after this he is still left with several tenable positions between which
he must make a choice. He may have little doubt that his choice
is better than many that are clearly inferior, but he will not have
the arrogance to claim that the penalty he chooses is the one that is
proportionate, deserved, and just.
This question about desert is as dicult as it is important. It is
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but it requires some shock to awaken those who are not shocked by
Dantes lines and by the Christian view. Over the gate of Auschwitz
those who entered saw the words: Arbeit macht freiwork liberates.
One can still wander about this camp for hours, walk through
barracks, stare at mountains of shoes and hair, at ovens, and then see
those words when leaving. Those who take language lightly and have
no love for words may feel that this inscription adds nothing to the
horror. Yet it is the ultimate in brazen cynicism and dishonestya
nal, almost unbelievable, aront.
The whole Third Reich lasted barely more than twelve years,
Auschwitz only about threea drop in the bucket compared to
the eternal torments of hell. But what on earth could one liken to
the Christian hell if not a concentration camp? And what to the
Auschwitz inscription if not the innitely more fateful claim that
eternal tortures are compatible with, and were actually devised by,
the greatest love that ever wasand by justice?
Augustines and Dantes God does not really treat the mass of
men in accordance with their deserts. But as long as men believed
that he did and that this meant that eternal torments awaited most
men after death, it made good sense to torture men for a few days
or weeks if need be to save them from hell and to silence all who
might endanger the faith and salvation of their fellow men.
20
These reections on Dante lead to my third thesis, that the preoccupation with retributive justice is inhumane. But my analysis of the
functions of punishment shows that this thesis does not entail any
demand for the abolition of punishment. Punishments are needed,
invocations of justice are not.
In deciding what to punish and how to punish, we should banish from our minds the chimaera of justice. The suggestion made by
Rawls that in a just society legal punishments will only fall upon
those who have a bad character is ill considered. Having a bad
character is neither a necessary nor a sucient condition of being
punished legally even in a morally admirable society. It makes sense
to punish people for parking violations, but it does not make sense
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Asking about the price one has to pay for probable gains is part of
the question of eciency. But one does not have to fret about what
those breaking the law deserve.
It may be objected that if desert is out of the picture no good
reason remains for not punishing the innocent. But that is not so,
as I shall show in the chapter on guilt.
Jeersons and Kants quest for the just punishment for various
crimes was ill advised, illusory, and inhumane. A man who steals a
piece of cheese does not deserve to be broken on the wheel; neither
does he deserve forced labor in a penitentiary, as Kant argued. It
would be more sensible, fruitful, and humane to ask altogether
dierent questions about penitentiaries; for example, whether the
following claims made by two penologists are true:
Prison as organized today is a real sewer that continually
pours into society a ood of pus and contagious germs of a
physiological as well as moral kind. It poisons, dulls, depresses,
and corrupts. It is a factory that simultaneously produces the
tubercular, madmen, and criminals.
A few semesters of prison or penitentiary do more to perfect the professional criminal than years of practical work in
freedom.
I cannot here determine to what extent these statements still
apply to prisons in various parts of the world. What I have tried to
show is this: we cannot dispense with punishments, but we should
realize that punishments cannot be just; that a less disproportionate
punishment is not always morally preferable; and that the preoccupation with retributive justice is inhumane.
21
It is widely assumed that the sense of retributive justicethe sense
that certain crimes clearly call for certain punishmentsis primordial, instinctive, and universal. It still remains to be shown that this
is false. The moral sense of dierent ages and communities diers
very widely, and there could hardly be a better illustration of the fact
that conduct viewed with utter horror by one society is frequently
enjoined by another than the way in which we ourselves react to
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An Attack on
Distributive Justice
22
it remains to be shown that distributive justice cannot long
survive the death of her Siamese twin. The purpose of this chapter
is to hasten her demise. This is no triing undertaking. Justice has
been the heart of traditional morality. Even after the notion that she
was the sum of the virtues had been given up, justice did not become
merely one of the virtues or nothing but a quality of punishments and
distributions. She never lost her old charisma and was still regarded
as personifying the objectivity and timelessness of the old morality.
In the turbulent ood of human preferences, emotions, and desires,
justice was still held to be a rock with precise outlines that deed
the ebb and ow of history.
The frightening freedom to choose could be held in bounds
as long as there were stable and precise norms. Confronted with
a ood of claims, by our fellow men and by our own desires, one
could turn to justice and ask her precisely what one owed to each.
The death of justice marks the end of the old morality. But it also
creates an opening for a new, autonomous morality.
To mount a fatal attack on distributive justice is certainly much
harder than to give reasons for clinging to her. Because such an
attack ought not to be undertaken lightly, three such reasons should
be considered.
The appeal to justice is rhetorically powerful and therefore use-
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so is justice. But we can never say that justice has been done when a
person is punished or when a distribution has been made.
Those who feel very attached to distributive justice may protest
that she is not at all the Siamese twin of retributive justicethey may
even hold that the two are only distantly related. One such rescue
attempt has won a good deal of attention among philosophers, and
will be considered a little more fully later: John Rawlss conception
of Justice as Fairness. As I mentioned earlier, retributive justice
has no place in his A Theory of Justice. In eect, he does not oer a
theory of justice; he develops a theory of fairness, and justice and
fairness are not the same thing. Fair procedures do not guarantee a
just outcome.
In some cases fair and just are almost synonymous; but each
word also has some meanings quite remote from this common area.
It is revealing that one of the most characteristic uses of fair is
in the phrase fair play; but it would be such a solecism to speak
of just play that the sentence this is just play can only mean
this is merely play. Why can play be fair but not just? Because
fairness is pre-eminently a quality of procedures and not of results (if
a result is called fair, one may wonder whether what is meant is that
it is middling), while just is pre-eminently a predicate ascribed
to results and specically to what is meted out. Just, unlike fair,
has a note of nality. Thus a trial can be fair but not just. Even if it
is fair, the punishment that is imposed may be unjust. The way we
proceed to make a distribution can be fair but not just. Even if it is
fair, it does not follow that everybody gets his just deserts.
23
It might seem that distributive justice is really unlike retributive
justice because the former always involves several people in addition
to the distributor, while punishment need involve only one person
besides the judge. But an individual might claim a reward simply
because it was promised to him, or to anyone at all, solely for fullling one condition that he had in fact fullled. This case would
be strictly parallel to a situation in which a punishment had been
promised to a person, or to anyone at all, provided only that he did
a certain thing that he had in fact done.
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If it should be said in the former case that this situation is somewhat elliptical and that distributive justice in the full-edged sense
does not come into play until more people enter into the picture
and the distributor is forced to compare them, exactly the same is
true of retributive justice: as soon as there is a dispute, both sides
make comparisons with other cases, past and present.
One dierence that is genuine is that problems of retributive
justice do not depend on scarcity. But this does not seriously aect
my claims. That there are dierences, we know. Punishments are
predicated on the assumption that they are not desired but nevertheless required for some reason; distributions are predicated on the
assumption that something is desired but nevertheless in insucient
supply for some reason. In both cases I make the same claim: the
good and the evil men receive cannot be said to be deserved.
We can criticize punishments and distributions on moral grounds
without invoking the ction of just punishments and distributions.
What matters is that punishments as well as distributions can be
cruel and unusual, capricious, utterly at odds with rules announced
beforehand, and defended with dishonest claims and arguments. It
does not follow that when none of these strictures applies justice
has been done. It is easy to imagine specic cases in which many
dierent punishments or distributions would not be open to any
such charge, but it would be absurd to call all of them just. If one did
call all of them just, a criminal who received any of these tenable
punishments would be told that justice had been done. But suppose
that he received one of the harsher punishments when a lighter one
would have been tenable, too. Surely, it would be absurd to claim
that justice required it. In precisely the same way, a person who
received less than he would have received in another distribution
that was also tenable could hardly be told that he had received what
he deserved, no more and no less.
The fact that many solutions are untenable is not disturbing
because what is untenable can be rejected. But that many mutually
incompatible solutions are tenable is felt to be profoundly disturbing
because this plurality calls for excruciating choices and engenders
decidophobia. Having found a tenable position, people like to rest
on their laurels and think of themselves as the children of light.
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man owes his wife and children something while he is alive, too.
The case of the wife brings us to the second subcategory: what one
is at the time of distribution. Here one might includeto give a
few examplesage, health, and residence.
The second category is what one has. Here one might include
property, family, and abilities. All three are often relevant when
distributions are made.
The third category is what one doesnot only at work but also
in public life, in ones family, and on ones own.
The fourth category, what one needs, has two subcategories: what
one needs for oneself; and what one needs for ones dependents.
Both have the same four subheads: for subsistence, for comfort, for
a particular project, and for ones optimal development. The great
vagueness of these notions will be considered soon.
The fifth category, what one desires, is ignored in most discussions. This category is clearly relevant in many cases, however, unless
we assume that a person often deserves something as a reward although he does not desire it at all.
The sixth category is what one has contracted. If one has received a formal contract or a promise, or even if there is room for
debate as to whether there was an implicit promise, this category is
clearly relevant. If an employee took a job with the understanding
that he would receive a certain salary, or annual raises of $1,000,
such commitments cannot be ignored when the money is actually
allocated.
Finally, there is the seventh category: what one has done. At least
one of the seven should be considered in more detail, and I shall
concentrate on this one. Without much trouble, one can subdivide
it into seven subcategories, e.g., education, military service, civilian jobs (kinds, length of time, achievements), public services and
oces, extracurricular accomplishments (including lives saved or
publications and prizes that do not fall under the heading of achievements in ones job), suerings (since one may deserve compensation
for them), and crimes.
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Suppose you had to decide about salary raises for ve assistant professors, and the sum available were only $3,000. Chances are that
in one or two cases a decision must simultaneously be made as to
whether to reappoint, promote, or oer a terminal appointment.
Some of the points considered above under various categories are
clearly irrelevant, while age, abilities, and need might be judged relevant, and promises would certainly have to be taken into account.
One might debate which of the seven subcategories under what one
has done ought to be considered in this case and how they should
be weighted, but the decision is dicult enough even if you conne
your attention to a single subhead under one of them: achievements
in civilian jobs. To make things still simpler, disregard all jobs except that of being a faculty member and proceed as if it made no
dierence whatsoever that one is thirty and another fty; one is
a bachelor, while another has nine children; one is a millionaire,
another totally dependent on his salary; one has served the government with rare distinction; another has heroically saved twenty lives.
If you took all that into account, how could you possibly say in the
end that each had got what he deserved?
Even if you try only to assess their achievements in their present
profession, a further breakdown is needed. There is (a) teaching;
and here you must further distinguish (i) levels and (ii) techniques.
Somebody may be very popular at the introductory level but poor in
more advanced courses, and impossible as a teacher of graduate students. Another professor may be highly respected by a few graduate
students who share his interests, but an almost total loss with underclassmen. Under techniques one might protably distinguish lecturing, conducting discussions, and supervising independent work.
Then there are (b) publications. It would be nave to suppose
that here we have to deal with only two variables: quantity and
quality. In a letter of recommendation for a Fulbright professorship,
a dean once wrote about a candidate: during the past year he has
published ve times. This is ridiculous even as a purely quantitative
measure. Five short book reviews, each about a page in length,
would constitute ve items; and a book of seven hundred pages, one.
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26
My scheme of seven categories with a great many subcategories may
seem to be needlessly complex. Might it not be sucient to invoke
only needs and merits?
The case of the assistant professors shows how, even if one conned oneself to merits, one would still be quite unable to determine
how much each person deserves. Thus my thesis is not reducible to
the claim, however true, that merits and needs often conict. Moreover, my scheme brings out many points that cannot be reduced to
needs or merits but that are quite often crucial for decisions about
distribution.
Another illustration may help. When it comes to the right to
vote, no community could possibly consider merit alone relevant.
Age and citizenship and often also place of residence are considered
crucial in almost all societies, and membership in the community
that is, citizenship or residence or bothmust be required because
otherwise the system could not be made to work.
Second, even if one considered merit all-important within these
restrictions, there is such a crisscross of merits that one might well
despair of the possibility of devising any workable system based on
merit. It might be the lesser evil to give the vote to every citizen who
is, say, at least eighteen.
The objection to giving no vote to those who had not graduated
from primary school, one vote to those who had, two votes to highschool graduates, three votes to college graduates, and four to those
with a Ph.D., an M.D., or a law degree, is not so much that this
would be making too much of merit; it is rather that it would come
nowhere near an accurate reection of mens merits. Vast numbers
of people who have not graduated from college are incomparably
more intelligent and better informed, not to speak of other merits,
than millions who have. It is fatuous to assume that all members
of one groupsay, all college graduates without a doctorateare
equal. It might be more to the point to require all who want to vote
to take a public-aairs test. But a high score on such a test would be
another highly dubious way of measuring merit.
Finally, the vote is not a reward for merit but a means of prevent-
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vised to pay more heed to them. Secondly, the concern with desert
looks to the past, but it is more fruitful to consider the future. This is
true not only of the right to vote but alsoto refer to just one other
exampleof the distribution of college admissions. The counsel to
be just and admit those who deserve admission is not only unhelpful
because it is unclear how desert should be computed, it is also misguided because admissions, like the vote, are not mainly a reward
for past performance but an opportunity to do something in the
future. But as soon as promise is taken into accountand it would
be foolish indeed to ignore itone transcends the preoccupation
with desert and justice. Now the question becomes rather: how
should one determine promise? And then also: promise of what?
The rst of these questions is dicult to answer, but at least dierent
answers can be tested by observing the results. If it is claimed, for
example, that a students score on a particular test or his grades in
science courses at some secondary school show promise in scientic
work, one can study the correlation between these indicators and
work actually done after admission. The second questionpromise
of what?poses the problem of goals. How much weight should
be given to promise of this rather than of that? What kind of men
and women do we want to accept, to educate, to graduate? What
kind of a society is desirable? The decidophobe would rather avoid
such questions of goals, and he often does it by concentrating on
justice.
Many cases of injustice are reducible to the simple fact that
one set of criteria was announced while another was used when
the distribution was actually made. Thus color or sex may not have
been among the criteria proclaimed publicly but nevertheless crucial when the decision was made. In such cases, injustice consists
of dishonesty. But even when the decision-makers adhere to the
standards announced in the rst place, they may still be inhumane
or capricious because the standards themselves are objectionable.
This is like the case in which the penal law is unjust.
The norms invoked in distributions can be morally objectionable in two ways. First, they may be arbitrary, being irrelevant to
ones stated goals. The standards applied openly to justify favored
treatment for certain groups may bear no rational relation to the
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while the unselsh, who take delight in the good fortune of others,
were not.
Even when the decision about distribution is the same, it makes
a dierence whether we tell those who are not admitted or promoted that justice has been done, or whether we realize how absurd
such a claim would be. In the latter case we might say: These were
our criteria, which are obviously debatable. In time we shall probably revise them. Meanwhile we have done our best, rst to make
them known in advance and then to stick by them without being
swayed by considerations of very doubtful relevance. We know from
experience that even so we make mistakes at that level, too, but we
tried hard to avoid them. To speak that way instead of claiming
that justice was done is more honest and loving, more humane, and
more mindful of the self-respect of those whom we disappoint.
It should be clear that what I object to is not so much the continued use of the words just and justice as it is a way of thinking
that aects the way people behave. One can always redene old
words in such ways that the new concepts are no longer open to the
old objections. In my books on religion I have shown how many
theologians are virtuosos in this art. But the result, if not the purpose, of this practice is that the new concept carries the emotional
charge and something of the moral authority of the old term, and
does this illicitly. Invocations of justice help to blind a moral agent
to the full range of his choices. Thus they keep people from realizing
the extent of their autonomy.
Some individuals can manage to use the old words while realizing very clearly how precisely they are using them, and their
autonomy may not suer. But for every person who brings o this
feat, there are likely to be a hundred who are kept from understanding their autonomy. Hence it is far better to make a clean break.
The following consideration may help to support this suggestion. We can point to examples of love and honesty, courage and
humanity. We do not know in the same way what justice is, as a quality of punishments and distributions. We cannot point to concrete
examples. Solomons celebrated judgment illustrates his legendary
wisdom rather than his justice. What made his judgment so remarkable was that he managed to get at the facts; he found out which
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woman was the mother of the child that two women had claimed
was theirs. Still, this may seem to be a clear instance of a just distribution. But if that were really so, then it would not take a Solomon
to make just distributions in cases where the facts are easier to come
by. When something is mine and you take it away, anyone who is
called in to arbitrate and gives it back to me might then be said to
have made a just distribution: I deserved it because it was mine.
In the last chapter I noted that restorationgiving back what
one has taken illegallyis not an instance of punishment. It is not an
instance of distribution either. I have concentrated on: punishment
and distribution and see no need now to go on to discuss restitution;
cases of that sort provide no guidance for the many more important
cases considered here.
Indeed, Bertolt Brechts version of Solomons case, in The Caucasian Chalk Circle, which is based on a Chinese play, suggests that
the mechanical application of the view that restitution is right simply ignores the problem of desert, and hence of justice. In the Bible
the real mother is also more loving. In Brechts play she is merely
possessive and has no deep aection for the child, while the other
woman does, and Brecht argues that the child should be given to
the woman who will take good care of itand the land to those
who will make it ower and bear fruit. Is that a model of a just distribution? Again it would be more accurate to call the judgment of
Brechts judge wise and humane. It is future oriented and considers
the past solely as a harbinger of the future.
In great international disputes there is ample disagreement
among nations not only about facts, including events of the recent
past, but also about principles. They may be in favor of restitution
but cannot agree about the timethe day, month, and yearof
the status quo ante that is to be restored. Nor are nations that favor
restitution in one case likely to agree to it, even in principle, in several others. They may favor Brechts principle where it would favor
them, but reject it where it would not.
Continual talk of a just peace is not merely unproductive but
positively harmful. Just solutions are unattainable and cannot even
be imagined. Hence one can go on talking about justice and a just
peace without committing oneself to anything; and while holding
101
out for a just peace one usually feels that until one gets what one
demands one is entitled to go on waging a just waror to keep
threatening another war soon.
The popular notion that we need to cling to justice because it
is denite, clear, and objective, is false. Humanity would gain if we
declared a moratorium on the use of just and justice while giving
a high priority to the ght against brutality and dishonesty.
When the United Nations was founded after World War II, it
was widely felt to be the last best hope on earth. But it has failed
to live up to its promise. If it should perish, it might well be of too
much talk about justice, too much indierence to brutality, and too
little concern with high standards of honesty.
The moralistic cant of so many politicians has persuaded growing numbers of people that moral principles simply have no application in international politics. In fact, the preoccupation with justice
is as ill advised here as it is elsewhere, but the concern to minimize
brutality and dishonesty is as relevant as it is in other areas.
We know neither God nor the devil; we are beset by an endless
number of devilsNo worst, there is none. To ght evil without the illusion that it is the greatest ever, to choose the lesser evil
without the faith that it is surely the least evil, to endure darkness
without the boast that none could be blacker, and to create more
light without the comfort of excessive hopesthat requires courage
and autonomy.
31
It is perfectly true that you hardly ever actually beat me. But
the shouting, the way your face turned red and you hurriedly
loosened your suspenders, their lying ready over the back of
the chair, were almost worse for me. When one has to live
through all the preparations for ones own hanging and learns
of ones pardon only when the noose hangs in front of ones
eyes, one may suer from this experience for the rest of ones
life. Moreover, from these many times when, according to your
clearly manifest opinion, I deserved a thrashing but, owing to
your grace, barely escaped it, I accumulated a profound sense of
guilt.
This passage from Franz Kafkas Letter to the Father illuminates the origin not only of guilt but also of justice. My primary
concern is not with origins. I want to criticize guilt and, insofar as
a book can do that, liberate people from guilt feelings. But guilt
feelings are being bred all around us, and if one wants to keep them
from developing in the rst place, one has to nd out how they
originate.
Moreover, I have argued that justice consists of giving each what
he deserves, but that it is impossible to specify what a human being
deserves. My critique of the concepts of desert and justice leaves
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109
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34
The origin of what one might call ideal justice poses no grave problem for the theory advanced here. In early childhood and in early
history, orders, promises, and threats tend to be improvised, ad hoc,
unsystematic. Later on, attempts are made to codify them, but it is
extremely dicult to achieve consistency. Typically, one principle
is invoked or implicit here and another there; one sentiment or
intuition at this point and another at that; one precedent now and
then another one. Such inconsistencies prompt reformers, prophets,
critics, and revolutionaries to invoke one tradition or set of ideas
against the rest.
The critique of positive law begins as a protest against inconsistency. The demand for ideal justice is linked to the denunciation of
hypocrisy and to an appeal to selected elements of an old tradition.
None of this necessarily involves superior moral standards, although
the standards invoked will, of course, be proclaimed as superior.
The ideal justice that is contrasted with what passes for justice
can involve more rigorous respect for ancient inequalities, as in
Platos attack on democracy, or a plea for equality, or even, as in
the Hebrew Bible, special consideration for orphan, widow, and
stranger. Which strands of a tradition set his heart are proves what
kind of a person a social critic is.
The contrast between ideal justice and positive justice is fruitful,
but it would be a grave error to suppose that ideal justice is, or tends
to be, the same everywhere. Any such claim is as false as it would be
concerning positive justice. Amos ideal justice would have outraged
Plato, and vice versa.
The origin of ideal justice is dissatisfaction with positive justice. But ideal justice is also born of an unfullled promise. One
appeals to ancient promises that, one claims, have been betrayed.
The critique of positive justice could be presented as a protest against
brutality and inhumanity. Typically, however, the great critics of
positive justice have denounced inconsistency, irrationality, and
hypocrisy. Hypocrisy is a kind of inconsistency, and treating people
dierently on account of dierences that on reection can be seen to
be irrelevant and to constitute no sucient reason for the dierence
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surest way to do it. But if one wants to liberate oneself and the future
from the tyranny of guilt, one has to know how guilt is bred and
born. The question remains whether guilt feelings are a necessary
evil, as traditional morality has taught. The time has come to attack
guilt.
Against Guilt
37
with the death of justice, the tyranny of guilt comes to an
end. For without justice there is no guilt. To say that anyone is,
or feels, guilty is to say that he deserves, or feels that he deserves,
punishment. Once it is seen that nobody deserves punishment, it
follows that nobody is guilty or should feel guilty.
It may be objected that it is simply a fact in some cases that
a person is guilty. But what is a fact is merely that he has done
wrongpossibly a grievous wrong. It does not follow that he deserves punishment, and it would therefore be far better to avoid this
implication by not speaking of guilt. As long as we continue to call
people guilty, we shall not get rid of guilt feelings. Is it silly to criticize feelings? Certainly not. It makes sense to criticize resentment,
envy, jealousyand guilt feelings. Unlike many other so-called feelings, or at any rate much more so than most, guilt feelings involve
beliefs and even strenuous convictions. These convictions could be,
and are, false and irrational, and therefore guilt feelings are open to
criticism.
In particular cases, nobody would hesitate to criticize feelings
of jealousy for being unwarranted and irrational. One might also go
further and argue that jealousy or guilt feelings, or both, are always
irrational. But the case against guilt feelings has far more important
implications. While many people condone jealousy, moralists and
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Against Guilt
123
they realize that they have caused somebody else who is very close
to them great suering. They are infected by feeling compassion.
Finally, those who feel guilty usually feel, more or less like the
antihero of Camuss novel The Fall, that if they feel guilty, you have
no less reason to feel guilty. This conviction does not depend on
your having been the wronged person in the rst place, although
in the case of husband and wife this reaction is the rule when one
has wronged the other. When a parent feels guilty over having done
something seriously wrong in bringing up a child, he (or she) will
normally feel that the other parent should feel guilty, too. And one
is infected by being held responsible. Guilt craves company; guilt
obtains company by contagion.
39
Can one transcend guilt feelings without becoming self-satised
and self-righteous? First of all, it should be noted that guilt feelings
are quite compatible with self-congratulation and self-righteousness.
The Fall shows this at length. A word of explanation is in order
because Camuss novel has so often been misunderstood, and interpreters have not been lacking who have claimed to nd in it a
rapprochement with Christianity. In fact, it is the authors most
Nietzschean work.
His rst novel, The Stranger, was a kind of antithesis to Dostoevskys Crime and Punishment, and its antihero was an anti-Raskolnikov. Having killed another human being, he refused to feel any
remorse. It scarcely occurred to him even to feel any regret. And
when he was sentenced to death, he felt sure that society wanted
to punish him merely because he had refused to cry at his mothers
funeral; in other words, because he had refused to fake it, because he
was more honest than other mennot because he had committed a
crime. Camuss third and last novel, The Fall, was conceived as an
antithesis to Dostoevskys Notes from Underground. Dostoevskys
antihero saw everything from underground, from below, resentfully;
Camuss tells us how he always needed to feel above. This theme
runs through the whole story. He has always been possessed by the
desire to look down on others, but then he became convinced of the
hollowness and hypocrisy of his life and of his own profound guilt:
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Against Guilt
of course, all men are guilty, but he is particularly guilty and aware
of his guilt and thus after all and once again superior to other men.
He now spends his time thinking and talking about his guilt and
his superiority, congratulating himself and being self-righteous
instead of using his time and energy constructively. I take it that the
antihero of this book is not an utterly atypical and marginal case but
that the characterization is intended as an attack on the Christian
doctrine of original sin and its secular variations, as is Sartres The
Flies.
Although guilt feelings are compatible with self-righteousness
and with a complete failure to work at becoming a better person, it
is also clear that some people who feel guilty try to rise to a higher
level or do good works, or both. The question remains whether
one can transcend guilt feelings without becoming (or remaining)
self-righteous and self-satised. The answer should also take care of
the problem raised earlierwhether guilt feelings are a prerequisite
of reform.
In intellectual and artistic endeavors and in sports it is obviously
possible to be sharply self-critical without harboring guilt feelings. If
the desired goal is that one should not be self-righteous and that one
should try hard to rise to a higher level of existence, guilt feelings
establish no high probability at all that one will move in this direction; what is needed is a fusion of ambition with humility. Once
again I have to coin a word to move an important idea clearly into
focus. I shall call the fusion of ambition with humility humbition.
Humility and ambition are widely considered antithetical. I
hold no brief for either as long as they appear separately. But their
fusion, humbition, I consider a cardinal virtue, along with courage,
love, and honesty.
Virtues are habits that can be cultivated, not qualities that one
either has or lacks. Thus courage depends in some measure on vitality
and therefore comes more easily to some people than to others; yet
it is not unteachable. Some swimmers readily dive into the water,
while others have to overcome a deep inner resistance, but most
people can acquire the necessary courage, especially if they begin
at an early age. The same applies not only to other behavior that
requires some physical courage but also to the moral courage that
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far as they reached. modern man is led to wonder whether a culture without guilt feelings can even be imagined. Most modern
readers simply fail to see that the heroes of the Iliad feel no guilt.
Again, Achilles is the outstanding example. Even when old King
Priam comes to him at night to ask for the return of Hectors corpse,
Achilles feels no guilt for having dishonored the corpse and dragged
it through the dust behind his chariot. Neither did he feel guilty
when his wrath caused the death of thousands, nor when he was
even more directly responsible for the death of his best friend, Patroclus. Now he has Hectors body cleaned, not because he feels either
shame or guilt, but, as Homer goes out of his way to explain, for a
very dierent reason. If Priam saw the corpse in its pitiful condition,
he might say things that would rekindle Achilles wrath and lead
him to kill the old man and thus outrage the gods. Achilles has no
guilt feelings and is fond of telling others that he is superior to all.
What I propose is not a return to Homer. We should replace guilt
feelings with humbition.
40
Guilt is inner-directed, shame other-directed, while humbition and
self-criticism are autonomous. Thus guilt feelings arise when an
initially external authoritythe voice of ones parents, for example
has been internalized. These feelings issue from an inner voice, the
so-called bad conscience. The person whose morality is of this type
can be sublimely independent of the opinions of his peers, nor does
it spell absolution if he knows that his actual parents, out there, do
not consider him guilty at all. What matters is their voice inside
him, which has gained a life of its own and become tyrannical.
The person whose morality is oriented toward shame rather
than guilt is concerned about what his peers will think, out there.
He fears being embarrassed, humiliated, laughed at, despised. It
might be thought that guilt feelings arise typically when one feels
that one does not live up to the expectations of others, and that guilt
feelings are therefore other-directed. But this suggestion rests on
faulty observation. The person who cares deeply about the opinion
of his peers and about the expectations they have concerning his
performance is likely to feel deep shame when he lets them down.
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Guilt feelings are much more likely to arise vis--vis ones parents,
especially if one feels that they have made great sacrices and that
they therefore deserved bettereven if they themselves do not feel
that way. Guilt is tied to desert; shame is not.
Those who have fallen short of their own high standards in
painting, writing, or sports are clearly sensible when they do not
feel guilty, nor need they feel shame. It is reasonable for them to
try to criticize their own performance carefully, to ask themselves
what went wrong, and to map strategies for doing better next time.
And if there is no next time and the failure is somehow irrevocable,
they may well feel keen regret, but they would be unreasonable and
neurotic if they felt guilty. Is the situation basically dierent in the
case of moral failures? Why do so many people assume that moral
failures call for guilt feelings?
This distinction between two kinds of failures is deeply ingrained in our civilization, and millions are rmly persuaded that
there is a profound and obvious dierencebut cannot give any
convincing account of it. They are apt to say that not only sports
but also writing and painting are relatively trivial and not all that
important, or that failures in such endeavors are merely technical
and cause no suering to others, while moral failures do. It remains
unclear why guilt feelings, if admittedly inappropriate in one area,
are called for in the other. Not all moral failures cause suering,
while many technical failures cause great sueringfor example,
some of the failures of doctors, surgeons, nurses, lawyers, judges,
politicians, ocers, policemen, teachers, architects, stockbrokers,
and mechanics. It is obviously much harder to train people to avoid
serious failures in such elds as these than it is to educate them to
avoid theft, murder, perjury, and rape. If technical competence
can be taught without inculcating guilt feelings, moral competence
must be teachable, too, without recourse to guilt.
Our illustrations also show that the dierence between moral
and so-called technical failures cannot be that the latter are of no
great importance for the survival of a society. The line between the
area in which guilt feelings are held to be indispensable and the area
in which they are admittedly inappropriate is exceedingly hard to
draw, and under these circumstances the intuitive certainty that we
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Against Guilt
129
black slavery and squirms under taunts that his ancestors kept slaves
even if his ancestors never did anything of the sort. Should the
descendants of those blacks in Africa who sold their brothers to
Arab slave traders, and the descendants of the Arab slave traders, feel
guilty? Clearly, the proverbial white liberal is confused. He would
do well to transcend his guilt feelings, and this need not keep him
from working for civil rights.
We must distinguish between guilt and responsibility. We cannot dispense with the concept of responsibility, which will be discussed at greater length in a later chapter. It does not follow from
any of my arguments that it is irrational for a person to say: You can
rely on me; I accept this responsibility. On the contrary, something
is wrong with those who will not accept responsibilities. Now, if
one has accepted responsibility and failed, one may be (but need
not always be) responsible for the failure. Even if one is responsible
for it, it does not follow that one should feel guilty, although in
German one would say, meine Schuld, which may seem to mean mea
culpa, my guiltbut which really need not mean more than my
fault. We cannot dispense with the concept of my fault or my
responsibility, but we should transcend the notion of my guilt.
Let us try to work out more fully the contrast between my
fault and my guilt. Each of these two concepts belongs to a little
family of related terms, and it may be useful to juxtapose them in
two columns. The family in the rst column is under criticism here,
while that in the second column might replace it.
past-oriented
guilt
remorse
contrition
self-accusation
wallowing
future-oriented
fault
regret
humbition
self-criticism
planning
The wish to have the past dierent is understandable but irrational. If it actually were dierent, much else would be dierent,
too. As a passing fancy, such a wish requires no censure, but if it is
pursued seriously, it leads one into confusion and inconsistency, or
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Against Guilt
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Against Guilt
133
belief in hell. And then about belief in God. Now that relatively few
students or readers of a book like this would press such a question
about either hell or God, one must ask whether guilt feelings are
not the last dike.
Seeing that even the certainty of eternal torment did not keep
people from murder and perjury, theft, burglary, and fraud, it seems
exceedingly implausible that the fear of self-torment and guilt feelings should be a powerful deterrent now. You may object that committing those crimes did not entail the certainty of everlasting tortures; one could hope for absolution. True enough, but conscience
is even less unbending than the church.
Remorse can be a rack, but those who suer on it are hardly ever
those who have committed crimes against humanity or who have
seriously wronged their fellow men. As a rule, the bad conscience
catches only minor oenders, while major criminals escape its grasp,
and often it punishes those who are virtually innocent.
Thus the question that I have set out to answer involves a false
premise, namely, that guilt feelings do protect society. There is no
evidence that they accomplish much in this way. Nor is there any
reason to believe that raising children on humbition would accomplish less. I should think that humbition would prevent antisocial
conduct better than guilt feelings, but I obviously cannot prove that.
Still, a few examples may help us to understand the alternatives
better. A surgeon who keeps worrying about how much blame he
deserves in this case or that, and whether he could or should have
known better, becomes a neurotic menace. In order to do his job
well and help his fellow men he must be self- critical without losing
self-condence. Of course, operating on people is not like playing
chess, and we understand readily how some people would say that,
unlike a chess champion who has lost a game, a surgeon who has
made a grave error ought to feel remorse. This is traditional wisdom,
but for the protection of society it would be far better if the surgeon
asked himself when, where, and why he had failed; how he could
improve his competence; and how he could teach young colleagues
to guard against the mistakes that he has made.
In the case of surgeons it is clearly better and safer to rely on
their humbition than to count on their fear of guilt feelings. The
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Against Guilt
135
guilt feelings. The survivor fails to see how, if the other person died,
he deserves to live, and he feels that he doesnt.
In our time this experience is not conned to those who have
recently lost a loved one. Millions who survived World War II and
realize how many others did not, have guilt feelings. The intensity
of these feelings depends on ones sensitivity and on ones closeness
to those who died. Those who did not know anyone who died in
a concentration camp or in some battle or in a bomb raid may not
qualify as survivors in the relevant sense. In those who lost many
who were very close to them, guilt feelings are apt to be strong;
and if some of ones closest relatives or friends died under dreadful
circumstances under ones eyes, the sense of guilt is likely to be
overpowering.
Is it any help to be told that the inference that one deserves to
die or, failing that, to suer terribly, is invalid? Is it any help to be
told that the notion of desert is quite confused? In most cases it
probably does not help much to be told that once. But it would be
stupid to go to the opposite extreme and claim that arguments and
books never helped anyone. When one is in a receptive frame of
mind because prior beliefs have been shaken up or, in the present
case, because one really would like to shed ones guilt feelings, a
book can help.
The arguments must be thought through, digested, lived with.
They must lead to a re-examination of ones life and ones place in
the world. Obviously, we did not deserve a better fate than millions
who died horribly. Nor can we hope to earn the right to our survival
after the event. Desert is out of the picture. The world is capricious
and cruel, and some of the most admirable human beings suer
hideously while many of the most unconscionable ourish. The
question facing us is what we can do with the incubus within us
that keeps burrowing into the past and gnawing at our vitals. A
liberated human being redirects his thoughts and energies toward
the future, toward a worthy projectnot just any project, not mere
therapy. A merely therapeutic project would make a mockery of our
survival, as if what mattered now were merely easing our pain and
being comfortable. Humbition aims higher and asks to what extent
our own particular experience might be turned to advantage.
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Against Guilt
does not really have suering coming to him; but when he falls
asleep, he forgets.
Some apologists for guilt will grasp at dreams and treat them
as authoritieswhen they can be used in support of guilt. But this
involves a double standard. Sophocles Jocasta told Oedipus that
in his dreams many a man has lain with his own mother, and Plato,
too, said that in dreams the part of the soul that is not rational does
not shrink from attempting to lie with a mother or with anyone else,
man, god, or brute. It is ready for any foul deed of blood, and
falls short of no extreme of folly If it is the irrational elements in
us that nd expression in such wish-fullment dreams, why should
we hesitate to consider our self-punishment dreams irrational, too?
Only reason can decide what is irrational; and I have tried to show
that guilt feelings are irrational.
None of this implies that we should ignore our dreams or that
all dreams are equally irrational. A person may repress guilt feelings
simply because they are painful, and he may persuade himself that
he was not at fault when in fact he was. In his dreams he may punish
himself for faults that, when awake, he would deny. He must still
ask his reason to help him decide to what extent he was responsible
and, more important, what it would be best for him to do now.
45
To charge a person with guilt is to judge that he deserves to be
punished. To tell him that he has made a mistake, or even that he
has grievously wronged another human being, does not imply that
he deserves to be punished. Nevertheless I have argued that we need
to retain the institution of punishment for future-oriented reasons.
To live together, people have to prohibit some kinds of conduct,
and prohibitions without penalties are ineective in the face of
temptation. If we always waived all penalties, the law would cease to
deter men, and the kind of conduct that we sought to prevent would
ourish. Hence we punish oenders, but we should not insist that
they deserve their punishment. Some of them may well be morally
superior to the prosecutor, the judge, and the prison guards. But
arent the prisoners, or at any rate most of them, guilty, while the
prosecutor, judge, and guards are innocent? This is the kind of
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feelings. Suce it that this story shows how irrational and dangerous
people with strong guilt feelings can be.
Finally, consider the double-think into which her guilt feelings
led Simone de Beauvoir herself. She describes her vivid sense that
all those people in the streets were all murderers, all guilty.
Myself as well. Im French. For millions of men and women,
old men and children, I was just one of the people who were
torturing them, burning them, machine-gunning them, slashing
their throats, starving them; I deserved their hatred.
As if this were not irrational enough, the author says later, speaking
of the U.S.S.R.: The sons were covertly blaming their fathers for
having supported Stalinism; what would they have done in their
place?
They had to live; they lived. In other words, those who supported Stalinism should not be blamed for that; but those Frenchmen who, like the author herself and Sartre, spoke out boldly against
the French government were all guilty. To understand this double
standard, which is in evidence throughout her otherwise brilliant
book, one must not only recall Sartres pronouncement that Russia
is not comparable to other countries, but one must also understand
why de Beauvoir and Sartre felt that way. Their attitude toward
the U.S.S.R. is incomprehensible apart from their sense of guilt for
being so well o. For years they kept trying to believe, although
their critical reason occasionally made this rather dicult for them,
that the Soviet Union, even during Stalins terror, was the best friend
of the workers and the dispossessed and starving. Any word that
might possibly give aid or comfort to the enemies of Russia would
therefore involve a betrayal of the poor, and it was only by at least
avoiding treason of this sort that they could barely manage to live
with their guilt.
These reections on the politics of guilt should call attention
to some of the social implications of the problem. De Beauvoir
provides us with a helpful distance, a brilliantly presented record of
events, and exceptional moral sensitivity. My criticisms should not
obscure my admiration for her book.
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The apologists of guilt often repulse all criticism with the old
ploy of the theologians: the loaded alternative, alias Manichaeism.
We used to be told that we had to choose between Christianity and
crude materialism. Now those who defend guilt are wont to claim
that the alternative is to have no concern for our fellow men and no
compunction about rape or murder. They think that if you have no
sense of guilt you are a psychopath.
Admittedly, there are some people whose social conscience depends on resentment and is ultimately rooted in self-hatred. When
they make progress with their analyst and manage to have a satisfying sexual relationship, their political activism ebbs away. People
of this type are rather like the earnest students of a decade or two
earlier who used to say that a person who does not believe in God (or
hell) simply has no reason for not committing rape or murder. They
were deeply troubled and afraid of what they themselves might do if
they ever lost their faith. Millions have discovered that one can care
for ones fellow men and refrain from monstrous crimes without
belief in hell or God. Surely, self-criticism and a social conscience
can survive the death of guilt.
Finally, it may be objected that only excessive guilt feelings
are a menace, and that the same is true of a complete lack of such
feelings, and that we really need a moderate dosage. A middling
amount is admittedly less harmful than a heavy dose, but a study of
the latter shows more clearly how the poison works. My position
does not depend on advocating a good conscience in place of the
bad conscience, nor a lack of conscience. The good eects that are
claimed for guilt feelings can be had without this poison. To liberate
oneself, one must break the chains of guilt.
46
morality without guilt does not mean morality without
pain. Autonomy precludes guilt feelings, but it involves a sense of
alienation.
Alienation is a word that has been used to designate so many
dierent conditions that nobody could argue that we need them all.
One might suppose that nobody could be against all of them either.
Yet the seminal books about the subject have such a Manichaean
avor that it has become a commonplace that all forms of alienation
are deplorable.
Unquestionably, some of the phenomena for which the term
has been used are pathological, notably alienation in the psychiatric
sense: a state of severe depression in which one nds no meaning in
any activity and lacks the energy to relate to anybody or anything.
That we do not need, and it is well to remember that alienation
has long been a psychiatric term, and psychiatrists actually used to
be called alienists. But my claim that we need alienation does not
depend on a marginal use of the term. What I mean is the condition
of feeling estrangedabove all, from ones fellow men, but also from
the universe, and from oneself. I shall argue that alienation is the
price of self-consciousness, autonomy, and integrity.
This thesis has the air of paradox because a false view of alienation has come to be widely accepted. As I defend my thesis, I shall
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also with the facts of life. His growing awareness of the hollowness
of some of his rhetoric and of the ways in which the starving and
oppressed are not completely freehis social conscience, in short
led him to reconsider; and we have seen how his guilt feelings led
him to seek a rapprochement with Marxism. But even his early
existentialism could have been formulated in terms of a concept of
human nature. He might have said, and so might Marx: By nature,
man is free; yet everywhere he is in chains.
The young Marx and the early Sartre: two variations on Rousseau?
Sartre much less so than Marx. For the early Sartre did not blame
society, as Rousseau and the young Marx did; he blamed man himself, whose nature it is not only to be free but also to conceal his
freedom from himself and to lapse into bad faith.
The main dierence between the young Marx and the early
Sartre is that Sartre concentrated on the psychological processes
that lead men to see themselves as objects, as things, as unfree, while
Marx decided to study the economic processes that lead to the same
result. Marx saw the unfree as victims, while the early Sartre insisted
that we are our own victims.
This dierence runs deep. While the rhetoric of Sartres early
existentialism was too optimistic insofar as it exaggerated mans
freedom, the underlying view of man was more tragic. No revolution or reform could make men free; men dread freedom and try to
hide their freedom from themselves. Unfortunately, Sartre inherited from the two famous German philosophers who had been his
mentors, Edmund Husserl and Martin Heidegger, a bias against psychology, and he felt free to pursue psychology only under the guise
of ontologythe pseudoscience of being. Marx, a century earlier,
did not do psychology at all and, like Kant and Hegel, worked with
unexamined assumptions about human nature. Partly as a result of
this dual heritage from Marxism and existentialism, much of the
literature on alienation has an oddly unscientic and unempirical
quality. But Marxs peculiar use of the word alienation has had
two more specic consequences that are most unfortunate.
First, in the seminal books by the authors mentioned above,
alienation from oneself, which is an intricate and dicult subject,
is constantly confounded with other forms of alienation, and as a
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Where those who shut their eyes and lull their minds to sleep, as
well as those reduced to brutishness in one way or another, nd
it possible to feel at home, the autonomous spirit who insists on
keeping his eyes open to examine critically his own position and
alternatives nds it impossible to feel at home.
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If my conception of alienation is accepted, the three theses I have
criticized are obviously wrong. Hence it may seem that I must have
missed what all the talk about alienation is really about. It would be
distracting to survey the vast literature on the subject, but in a book
that makes so much of the importance of examining alternatives it
would be odd if this discussion of alienation ignored the writings
of the young Marx altogether. I shall therefore consider briey
two particularly inuential passages from his writings before The
Communist Manifesto. Neither of these passages was published by
Marx himself, and the point is not to score against him but rather to
understand why some people have been led to believe in the third
error. In a study of Marx one might go on to explore how in his
later work he varied some of his early themes without speaking of
alienation. In the present context, however, Marx concerns us
only insofar as his ideas have colored contemporary notions about
alienation.
Consider Marxs famous dream in The German Ideology:
As soon as the division of labor sets in, everybody has a determinate and exclusive sphere of activity that is imposed on him
and from which he cannot escape. He is hunter, sherman, or
shepherd, or critical critic, and must remain that if he does not
want to lose his livelihoodwhile in Communist society
society regulates general production and thus makes it possible for me to do this today and that tomorrow, to hunt in the
morning, to sh in the afternoon, to rear cattle in the evening,
and to criticize after dinner, as I please, without ever becoming
hunter, sherman, shepherd, or critic. This xation of social
activity, this consolidation of our own product into an objective
power over us that outgrows our control, crosses our expecta-
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There is one other notion that has to be considered here lest it appear
that I have missed the real import of the current vogue of alienation.
The notion that things have never been worse than in our time looms
large in the literature on alienation. Protracted polemics are apt to
create the impression that they are prompted by some personal ill
feeling. As an illustration I shall therefore choose Martin Bubers I
and Thou, a book I have translated myself because I felt close to the
author.
The immense popularity of this book during the second half of
the twentieth century is due in part to the fact that the second of its
three parts deals at length with alienation and suggests that ours is a
sick age. Less and less do men see one anotheror a work of art or
a treeas another You; more and more do they see their fellow men
and works of art and trees as so many objects of experience and use.
Half a century after the book was written, young readers consider
these pages prophetic because they describe so perfectly the world
in which we live. It does not occur to most of them that the world
in which it was written was like that, tooany more than it struck
Buber himself that he implicitly gloried a past that had not been as
dierent as he occasionally insinuated. He insisted that one cannot
live entirely in I-You relationships, but he still wrote as if in the past
there had been communities not tainted by sickness. Like others
who speak in this vein, he failed to substantiate or even investigate
this assumption.
Bubers book has a poetic quality that discourages analysis and
criticism. But the same methodological scandal taints much of the
literature on alienation. What we are witnessing is an understandable reaction against the blithe faith in progress that was in fashion
in the nineteenth century. But the new antifaith in the unique alienation of modern man is as unsound and simplistic as the old faith in
progress. The notion that things were never so good and are constantly getting better and the notion that things were never so bad
and are steadily getting worse are entirely worthy of each other.
The truth of the matter is that things are and always have been
terrible. And alienation has always been the price of autonomy.
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The transition from one simplistic proposition to its opposite illustrates Hegels dialectic. To rise above such unsophisticated claims,
we must inquire how what has become worse is related to what has
become better.
In brief, the sense of alienation has spread with the unprecedented expanse of education. To a large extent, this was inevitable.
If the world and the societies we live in are, and always have been,
abhorrent, brutal, and cruel, then it follows that the more one comes
to know about them, the less can one feel at home in them. With an
increase in self-consciousness and sensitivity, the sense of alienation
deepens. If relatively few people had any profound sense of alienation in times past, while millions feel estranged today, this is not
least because more people receive more education than formerly.
While even the best education must increase alienation, some
aspects of the modern sense of alienation are due to the faults of
modern education. Above all, education has bred utterly unrealistic
expectations, and this is not necessary and could, and ought to, be
changed. Not only have vast numbers of pupils been exposed after a
fashion to great art, great novels, and to the achievements of great
scientists, but pupils have also been encouraged to believe that they
can paint and write as well as anyone, or make brilliant experiments
and great discoveries. But men are not equal in talents, and this wellintentioned but misguided egalitarianism has resulted in the vast
growth of a sense of disappointment. Naturally, one rarely questions
the sacred dogma of egalitarianism, and instead of blaming oneself
for ones failures, one blames society or the establishment, and
feels alienated.
Modern education is also at fault in another way. Not only is it
false that everyone has the gifts to become a competent composer,
painter, novelist, or physicist, but the creative life is hard, and to
nd satisfaction in it requires an immense amount of self-discipline.
But self-discipline has been neglected in modern education. The
point is not that schools are not suciently disciplinarian. Most of
them are too disciplinarian in unnecessary, petty ways and thus bring
discipline into disrepute. What has not been stressed suciently is
functional self-discipline: the need to master skills and subjects that
one may not feel like learning but without which competence in
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nd out what other channels have to oer him, he develops undisciplined habits that in many cases interfere eventually with other
media. Thus people talk more than they used to during plays, movies,
and lectures, or drop in on lectures and walk out on themas if
autonomy consisted of a lack of discipline. Meanwhile, the commercials on TV have done their share to shorten the span of attention;
more and more people need an interruption every fteen minutes,
whatever the medium might be. If being turned o easily is taken
for a sign of alienation (the television metaphor is interesting), I
am far from claiming that we need that sort of alienation.
I have argued that many of the most popular uses of the term
are unfortunate. This becomes apparent when we ask, who is more
alienated: a writer in America who does not have a television set,
or those who spend much of their leisure time in front of theirs?
The nonconformist is alienated from society and cuts himself o
from the world in which most of his fellow men are dwelling. But
for those who operate with some conception of mans true nature
and assume that man is essentially creative, as the young Marx did,
it should be clear that those who spend their spare time watching
whatever fare is oered are self-alienated. Anyone who spent art
equal amount of time seeing lms of comparable quality, or listening
to lectures of such quality, might be said to be equally self-alienated.
But (1) few people, if any, spend as much time week after week
seeing lm after lm, or hearing lecture upon lecture, as watch TV.
(2) It is doubtful whether enough lms of comparable quality are
available to many people. (3) Going to a lm or lecture requires
at least some exertion and a longer span of attention, hence a little
more discipline. (4) Lectures usually come in sequences and require
some active and at least minimally creative attempt at integration
of dierent lectures and of a fair amount of reading. In practice,
therefore, TV is especially debilitating and a good example of what
certain writers might call alienation from oneself.These writers
also often claim, falsely, that alienation from oneself is the most
basic form of alienation from which all other forms are derived.
In fact, we have to choose between this kind of alienation
from oneself and alienation from society. Total alienation is
total nonsense. So is any dream of the total absence of alienation.
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Heraclitus: I sought myself. That is surely the theme of all of Hermann Hesses major novels, which are so dear to those who feel that
they are alienated.
Plato and Aristotle remarked that philosophy begins in wonder
or perplexity. We could say just as well that it begins in alienation
namely, when our self, the world, and the society we live in become
strange to our minds and set us thinking.
Where a philosopher goes from that starting point, diers from
case to case. But one nal example is particularly pertinent to the
second and third errors: the Pythagoreans formed a sect and were,
like many of our own contemporaries, alienated together. During
the fth century, when Athens became a great power and produced
the Parthenon and the other buildings whose ruins we still see on
the Acropolisduring the whole age of Aeschylus, Sophocles, and
Euripidesthe Pythagoreans lived, withdrawn, in a commune in
southern Italy. Their admission of women to their society, their
practice of holding all property in common, and their contempt for
business inuenced Plato and are bound to seem modern to many
people today.
An altogether dierent approach also suggests that the great
philosophers were deeply alienated men. Who have been the greatest philosophers since the Middle Ages? There is a surprising consensus about the answer: Descartes, Spinoza, and Leibniz; Hobbes and
Hume; Pascal and Rousseau; Kant and Hegel; Bentham, Schopenhauer, and Nietzsche; and in our time, Russell and Sartre. One
might add a few names to this list, but these fourteen philosophers
are certainly among the most interesting and inuential.
Descartes lost his mother when he was one year old; Spinoza
was six when his mother died, and Leibniz six when his father died.
Nothing seems to be known about Hobbess mother, but his father
abandoned him when he was quite small, and he was brought up by
an uncle. (He wrote his major works during a twelve-year exile from
England.) Humes father died when he was three; Pascals mother
when he was three. Rousseaus mother died soon after his birth,
and when he was ten his father left him. Kant and Hegel lost their
mothers at thirteen; Bentham lost his at eleven. Schopenhauer was
seventeen when his father committed suicide after having shown
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anything of comparable quality; yet the so-called Urfaust, the version of Faust written in the 1770s, was not published until 1887.
But Goethe kept working at it, and in 1790, after he had published
plays that gave German literature an altogether new .and dierent
direction, he published Faust: A Fragment, including a revised version of parts of his earlier draft, along with a lot of new material.
Then he proceeded to altogether new experiments. He kept trying
new things, but almost everything he did was instantly acclaimed.
His deepest estrangement from his fellow men coincides with
the period when he is now widely held to have been a pillar of the
establishment. He had published Part One of Faust in 1808, with
an utter disregard for the very possibility of a performance on the
stage. While he was director of the theater at Weimar, a vast variety
of plays and operas were performed, but never Faust. Sixty years
after he had begun Faust, Goethe nished Part Two, a few months
before he died, in his eighties. He tied up the manuscript, sealed
it, and refused to divulge the conclusion even to old friends. He
had no wish to see the play performed; he did not want to have it
published until after he was dead; and he had no desire to share it
with anyone. Surely, that is an example of extreme alienation from
society and from ones fellow men.
I can be much briefer about the other two poets. The Middle
Ages are often viewed nostalgically as a time when all was harmony
and integration. There is no need here to dwell on the superstition
and the inhumanity of those centuries, as evidenced, for example,
in the persecution of Jews and heretics. Suce it that the greatest
poet of the age was a paradigm of alienation.
Dantes Vita Nuova is a case study of self-alienation in the proper
sense of that termof viewing oneself as a stranger. And his Divine
Comedy is the work of an exile, consumed by bitterness. He creates
a vast hell to people it with his fellow men, including members of
the establishment.
If alienation should be associated more with being artistically
out of touch with ones time, and what is meant is inaccessibility, this description also ts the Divine Comedyand Part Two
of Faustperfectly. Who among Dantes or Goethes contemporaries could possibly have fathomed these works? And how many
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could destroy his hearing, too, cutting the last bonds to the world
and to his fellow men.
What explains the perennial fascination of this play? I do not
think it would have haunted men so much if alienation were in
fact only a modern phenomenon, restricted to advanced industrial
societies.
If there is another play that has exerted an equal fascination, it is
surely Hamlet. And if there is another hero who dominates a drama
totally with his pervasive sense of alienation, it is Hamlet. He displays almost every conceivable form of alienation. He views himself,
his fellow men, and the society in which he lives with loathing. And
generations of readers have identied with him; above all, young
people, writers, artists, and philosophers. For these groups have
always experienced what is nowadays called alienation. Why? Because alienation is the price of sensitivity, self-consciousness, and
freedom, and adolescence glories in these qualities, while among
the older generation these qualities are cultivated preeminently by
creative writers, artists, and philosophers. That these groups have no
monopoly on admiration for Hamlet and self-identication with
the heroor on alienationis grist for my mill. These historical
and literary examples should nally dispatch the three great errors
about alienation.
As a last resort, some people have claimed that what is distinctively modern is not so much the artists condition as it is the
attitude of the modern public toward art. It is said that modern
man no longer sees works of art as paintings or sculptures but rather
as commodities, investments, or status symbols. This generalization
is obviously false and irresponsible; it applies to a relatively small
class. But were things better in the past? Did not the pharaohs of
Egypt and the kings of Europe, the Renaissance patrons and popes,
and the wealthy citizens of northern Europe look on paintings and
sculptures as status symbols?
When we discover lamentable conditions in our own society,
we have no right whatever to assume that in Communist countries,
in the Third World, or in the past nothing equally deplorable could
possibly be found; that our country is the worst, and our time the
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ford English Dictionary calls colloquial and links with sense 2 of Jew:
Applied to a grasping: or extortionate usurer, or a trader who drives
a hard bargain or deals craftily.)
Let us not seek for the secret of the Jew in his religion; let
us rather seek for the secret of his religion in the actual Jew.
What is the secular foundation of Judaism? Practical urges,
selfishness.
What is the Jews secular cult? Jewing. What is his secular
god? Money.
Well then! Emancipation from jewing and from money
would be the self-emancipation of our age.
An organization of society that would eliminate the presuppositions of jewing and thus the possibility of jewing, would
have made the Jew impossible.
This, says Marx, would be a triumph over the highest practical
expression of human self-alienation.
Nothing in his budding view of history compelled Marx to
write like that. After all, this is a travesty of Judaism, and insofar as
the Jews were pushed into certain ways of making a living, it was
Christian society that had forbidden them to own land, bear arms,
or study at the universities. But Marx was so determined at that
point to blame all misfortunes on the Jews that he expatiated at
some length on the theme that The Jews have become emancipated
insofar as the Christians have become Jews. Insofar as Christians
are venal, selsh, and money-hungry, they have become Jews! And
that the proclamation of the gospel itself, that the Christian ministry
has become a commercial object proves the practical dominion of
Judaism over the Christian world.
Money is the jealous God of Israel before whom no other
god is tolerated. Money degrades all the gods of manand
changes them into commodities . Money is the essence of
mans labor and existence that has been alienated from man;
and this alienated essence lords it over him, and he worships it.
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twentieth centuries have revolted. against this heritage. Assimilation represented one way out; Zionism (at least some versions of it)
another; and some of the literature on alienation, beginning with
Marxs essay On the Jewish Question, a third. Marx, of course,
did not see things this way. The irrational tone of his article and the
irrational suggestion that all alienation is bad presumably resulted
from the fact that he did not fully understand the hidden springs
of his own interest in the problem. On a dierent scale, this is also
true of his successors.
Finally, the sweeping, indiscriminate attack on alienation is a
corollary of a dream of community. In this community there is to be
no alienation, nor any room for the stranger in your midst. Even
the kibbutzim in Israelone of the noblest social experiments of
our centuryhave a strong xenophobic streak. The pressures toward conformity are overwhelming: those who do not fully belong
are generally made to feel that fact deeply and painfully; and for
a creative artist, life in a kibbutz is apt to prove impossible. The
major countries that proclaim Marx as their prophet openly spurn
nonconformity and have no room for autonomous individuals. It
would be illicit to saddle Marx with Stalins terror, but the kind of
community that seeks to eliminate alienation is incompatible with
autonomy.
In the discussion of decidophobia, I showed how any confrontation with fateful alternatives engenders dread, and how the craving
for community of worship is prompted by the craving to eliminate
such confrontations. The stranger is an incarnate alternative. That
goes not only for the Jew or heretic in a Christian society but also
for the alienated individual in a community. Indeed, the herd man
nds it easier to tolerate the nonconformists who are members of
another, smaller herd than to suer those who stand alone. The
autonomous man is a living provocation. Usually he is forgiven only
after he is dead.
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in our time one concept of integrity is being replaced by another.
This development is at the heart of the contemporary revolution in
morality. The old idea was closely linked to justice, while the new
integrity involves autonomy.
What is at stake is not merely one virtue. One can have courage
and yet be a monster. But it is generally felt that a person who has
integrity cannot be immoral, and that whoever is moral cannot
lack integrity. Integrity is taken for the whole of morality or, as the
Greeks put it, the sum of the virtues.
The Greeks also called this sum of the virtues justice. Now
that justice is dying, a new concept of integrity is emerging. It also
claims to be all of morality. Actually, what passes for integrity today
is a confused and callow notion that cannot be considered on a par
with the classical conceptions of the ancient Greeks and Hebrews.
It makes more sense to treat this messy and brash brat like Shaws
Eliza; she needs cleaning up and must be taught some manners.
What I call the new integrity may be seen as the goal of some
recent developments, but I do not believe in itor in anything else
because I take it to be the wave of the future. After all, endowing
the wave of the future with moral authority is one of the strategies
of decidophobia.
The classical conception of integrity is best explained in terms
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that evil is merely un integrated partiality becomes highly problematic. One is struck by the underlying optimism. Why should it be
impossible to embrace evil with ones whole heart, soul, and might?
The classical conception is close to Manichaeism and to moral
rationalism. In Plato it comes down on the side of moral rationalism.
But the idea that all good is on one sidehealth, wholeness, and
all the virtuesis Manichaean and decidophobic. The cards are
stacked, and there is no need to consider objections and alternatives.
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The crux of the current crisis in morality is that integrity is no longer
associated with the just man. Our rst association with integrity is
honesty. Intellectual integrity is a synonym of intellectual honesty.
A just man is a mild archaism or a Hebraism, but it is no longer
uncommon to call a man honest by way of suggesting not a particular
virtue but the sum of the virtues.
An honest woman is an idiom that suggests an altogether
dierent context, but actually it illustrates the same development.
What is meant is not that she never lies but rather that she had lost
her virtue and her moral reputation, and that by marrying her some
man has restored these priceless possessions to her and made an
honest woman of her. The moral judgments implicit in this usage
are archaic, but honest is here used in the sense of virtuous.
When Abraham Lincoln is called Honest Abe, what is meant
is not that he could never tell a lie (that was George Washington)
but that he was what Plato and the prophets would have called a just
man. Thus honesty is now often considered the sum of the virtues,
as justice was formerly.
What is meant by honesty? Let us distinguish three dierent
conceptions of honesty. The rst two use the name of honesty in
vain.
The classical American misconception of honesty is that the word
is a synonym of sincerity. What is at stake is not merely the misuse
of a word but the overestimation of sincerity. While sincerity is
preferable to insincerity, it comes nowhere near being the sum of
the virtues; it is not even a cardinal virtue. Small children tell all
sorts of charming falsehoods with sincerity and might be said to be
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are, what speaks for and against each, and what alternatives are
preferable on these grounds.
This is the heart of rationality, the essence of scientic method,
and the meaning of intellectual integrity. I shall call it the canon.
We have seen what speaks against some alternative conceptions of
honesty. Now let us consider some objections to this conception.
It may seem that a canon cannot properly be called a virtue.
How can the essence of scientic method be presented as an explication of honesty? This objection can be met. The canon takes the
form of a series of imperatives. These imperatives dene the essence
of scientic method. But the practice of a method can become a
habit Of, as people sometimes put it, speaking rather loosely, it can
become instinctive. And virtues are habits. They can be acquired
and developed by practice.
Confronted with a proposition, view, belief, hypothesis, conviction ones own or another personsthose with high standards
of honesty apply the canon, which commands us to ask seven questions: (I) What does this mean? (2) What speaks for it and (3)
against it? (4) What alternatives are available? (5) What speaks for
and (6) against each? And (7) what alternatives are most plausible
in the light of these considerations?
Now it may be objected that doing all this is rather dicult.
But has it ever been a condition of virtue that it required no great
exertion? On the contrary. Next, it may be said that all this is not
only dicult but in many cases quite impossible and at other times
out of all proportion to the signicance of the issue at hand. This is
a serious objection and requires an important qualication of the
conception presented so far.
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Honesty does not entail pedantry. A pedant devotes so much time
and energy to trivial matters that he lacks sucient time and energy
to investigate the questions that bear on the most fateful decisions.
Pedantry is the eighth strategy of decidophobia. Honesty entails
a sense of proportion, in two ways. First, the pedant is not really
a paragon of honesty. He deceives himself. He prides himself on
his scruples in small matters, but he shuts his eyes when it comes
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literature, religion, and biology, and other classes, too. After all,
some student might report them to the authorities if they did not
toe the line. Even if none did, some student might say quite naively
to his father, to a fellow member of the Hitler Youth, or to anyone
at all: But my teacher said That might be the end of the teachers
career; it might even take him to a concentration camp. As time
passed, the falsehoods that at rst had made some teachers gag went
down more easily. The teachers integrity deteriorated. Still, might
not some teachers, or at least some students, have believed all that
they were required to believe? Of course, but only if they did not
ask the seven crucial questions.
As for the Soviet Union under Stalin, Solzhenitsyn has shown
convincingly in The First Circle and Cancer Ward how one could
live in accordance with the new integrity only in a concentration
camp or by keeping silent, how silence usually corrupts, and how
this corruption spread like a disease through the whole society. The
chapter on Idols of the Market Place in Cancer Ward makes this
point expressly and at length.
In the West so many people are such relativists that they suppose it must be just as possible to swallow Stalinism or Hitlerism as
it is to swallow any other world view. And if one believes that American society is just as repressive as was Hitlers Germany or Stalins
Soviet Union, one demonstrates indeed that, but for the grace of
circumstance, one might have swallowed Nazism or Stalinism, for
one shows that one does not care greatly about the seven questions.
Of course, one could be sincere and a Nazi or a Stalinist. But nobody who applied the canon could have accepted Hitlers or Stalins
irrational views, and teaching the canon in ones classes or openly
asking the seven questions would have been a recipe for death.
Few people have ever lived by the canon. Only those who
suppose that most people do could possibly suppose that some of
Hitlers or Stalins followers did. Under Stalin, the party line kept
changing, and his followers were required to change their views
overnight, again and again and again. If they believed that whatever he did was best, that he knew better than anyone else, and
that whatever the latest edition of the great Encyclopedia said was
true, they could escape terrible qualms, but in that case they were
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courage and some humbition, one might be honest and yet lack
courage and humbition in most matters.
Conversely, those who do not have high standards of honesty
and never give much thought to the seven questions of the canon
may be very decent people for all that. They may be courageous in
many ways, help others unselshly, and never cheat anyone. This
point is hard to get across because so many people assume vaguely,
but falsely, that honesty or integrity is the whole of virtue. Hence
people may admit regretfully that they are not very courageous and
that after all few people are. But if you suggest that their standards of
honesty are not very high, or that they leave something to be desired
as far as the new integrity is concerned, they may never forgive you.
Yet the new integrity is not the whole of virtue; nor is autonomy.
The desire for only one cardinal virtue is the desire for a panacea.
As long as there are several cardinal virtues, they may occasionally
come into conict with each other. Thus a teacher in a totalitarian
state may be pulled in one direction by his regard for honesty, in
another by his love for his family.
Love is exceedingly corruptible and often does the devils bidding. Love has no scruples about tempting us to be dishonest, less
courageous, less humbitiouseven to be cowardly and to lie. Yet if
we renounced love for that reason, clinging to the three virtues that
on the whole are mutually compatible, we should have to condone
a cruel lack of concern for others.
Autonomy is not a panacea that saves us from conicts and
hard choices. On the contrary, autonomy consists of considering
alternatives and objections to our preferences. Yet an autonomous
person might lack love. Any claim that all who are rational and
use the canon would end up with the same codeminewould
be moral rationalism. Love is compatible with rationality, but it is
not entailed by rationality. Of course, we can stack the cards and
load our denition of rationality. That is the essence of the moral
rationalists strategy. Thus one can claim that rationality entails an
impartial concern for all human beings, and that all partiality to
ourselves is therefore irrational. To anyone brought up on the ethics
of Kant, that may actually sound plausible. Of course, he did not
speak of love in this connection but of the categorical imperative,
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and those who follow him in our time speak of justice. Either way,
the concept of rationality is loaded illicitly.
Those who apply the canon do not have to come to the conclusion that we ought to act in accordance with an equal concern
for all human beings; nor need they conclude that all partiality to
ourselves is irrational. They might actually conclude that it is impossible to act in accordance with an equal concern for all human
beings, and that it is quite rational to give some priority to ones
children, spouse, parents, friends, or pupilsand even to oneself. I
have to see to it that I get some sleep; I cannot be equally concerned
that everybody else does.
Nor is it clear why we should feel, or act in accordance with,
equal concern for all human beings. Why should we be so partial
to the human race? If we do not believe that God created man in
his own image and that man is more like God than like any other
animal, this partiality to man becomes questionable. Kant tried to
nd a basis for it in mans rationality, but again it is far from clear
why reason should require us to feel an equal concern for all rational
creatures, but no comparable concern for those not so gifted. If we
encountered beings from another planet, could reason really tell
us whether we owed them as much concern as we owed our fellow
men, or more, or less? Can reason tell us where the cut- o point
should be, regarding those who do not act according to the canon, or
regarding idiots, infants, or embryos? Equal concern for all beings is
clearly quite impossible. In short, we must make choices, and reason
cannot tell us what we ought to choose.
My view is that the adoption of love as a cardinal virtue is tenable, but not required by reason; that a social conscience is desirable
though not entailed by rationality; and that, in brief, autonomy is
not enough.
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What speaks for autonomy, honesty, love, courage, and humbition?
What speaks against them? And what speaks for and against various
alternatives? Is my code really more plausible than others? Throughout this book I have considered alternatives and objections. I have
tried to show how humbition is preferable to guilt feelings, which
have loomed so large in traditional morality, and how love and honesty can do better what justice was supposed to do but could not
do. I have not made out any comparable case for courage, which is
admired almost universally. Courage has been celebrated by poets
and tellers of tales since time immemorial. Even so, an autonomous
morality cannot invoke any authorityneither that of intercultural
agreement nor that of my own moral sense. What kind of appeal
remains?
There is a utilitarian argument that does not depend on the hedonism of the English utilitarians. We should distinguish between
utilitarianism in the wide sense, which appeals to the consequences
of laws or rules, acts or habits, virtues or codes (let us call this consequentialism), and utilitarianism in the narrow, hedonistic sense,
which judges the consequences according to their conduciveness to
the greatest possible balance of pleasures over pains. I reject utilitarianism in the narrow sense for reasons that will be discussed in
the next chapter. But it is the essence of irresponsibility to ignore
the consequences, and I can nd no good reasons for ignoring them.
The only major moralist who insisted that moral judgments must
ignore the consequences was Kant, who thought, falsely, that reason
could tell us what is right, without considering consequences. The
question remains as to the standards by which we should judge the
consequences. How, if at all, can one justify ones standards?
Obviously, one can try to justify one set of standards by appeal
to another set; but if one chooses to be rational, one cannot justify
ones ultimate standards, or cardinal virtues, once and for all. Whoever makes one ultimate decision that relieves him of the need for
further fateful decisions, is a decidophobe. An autonomous human
being asks: What are the alternatives, and how, if at all, are they
preferable?
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little sense. Even when love is dened better, it is not the whole of
virtue, much less an adequate substitute for a detailed code of law.
The negative formulation is far superior: Do not do unto others
what you would not want them to do to you. But even this rule,
which antedates Jesus and was advanced by Hillel and, much earlier,
by Confucius, falls short of what is needed.
We see this as soon as we consider the parallel to courage. Again,
every society is deeply indebted to some people who showed extraordinary concern for others. It makes sense to speak of love in
this context, but neither the Golden Rule nor the superior negative formulation describes the virtue of these individuals. They did
something positive, but not as a rule anything they wanted anyone
to do to them. Those who lay down their lives for others generally
have no wish whatever for others to make such a sacrice for them.
The same applies to smaller sacrices. What is really called for is
not the simple projection of our own desires into others, but the
habit of trying to fathom what those with whom we deal may feel.
That is a minimum. Thinking about how we might help others is
the second step.
The case for humbition is so similar to that for courage that
only a single dierence calls for comment. Humbition has not been
celebrated since time immemorial; otherwise I should not have
had to coin a name for it. Ambition has been celebrated, in eect,
though usually without recourse to this word, and again society has
been indebted to ambitious men. But this quality was found not
only in the heroes of ones past but also in many of the major villains.
In some societies, humility was held up as exemplary, but one failed
to note that those who were admired for their great humility were
not people resigned to being of no consequence but humbitious
men. My claim is twofold: neither ambition nor humility is as
desirable for the survival of society as is humbition, whose social
value is immense. Moreover I nd humbition intrinsically admirable.
When I contemplate the characters whom I admire most, I nd that
insofar as they possessed humbition, I admire them for that, and
insofar as they lacked it, I feel that this was a defect. Exactly the
same consideration applies to the other virtues.
Honesty is dierent in one way from all the other virtues. As I
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Most existentialists exhortations to resoluteness and commitment extol integrity in the classical sense. By choosing with your
whole heart you are supposed to become integrated. Your life crystallizes around a project and becomes wholeeven if the price you
pay should be the new integrity.
Typically, it is assumed that because reason alone cannot prove
that we should choose this project rather than that, reason is irrelevant when it comes to fateful decisions. Once that is granted, the
way is clear for one or another of the strategies of decidophobia; one
may choose a religion or a movement, for example. But what reason
and the new integrity can do is crucial: safeguard us against decisions and commitments that anyone who asked the seven questions
would not make.
When we apply the canon to alternatives, we consider not only
logical consistency but also what speaks for and against each, and
we evaluate the probable consequences of this decision and that.
The moral irrationalist, on the other hand, chooses one alternative
resolutely, without even asking how it is likely to aect various people, and he feels no need to examine with some care objections and
signicant alternatives.
An illustration may help. Suppose you consult a doctor, and
his reasons and the evidence cannot establish conclusively what is
the cause of your ailment. Imagine that he frankly admitted this
and then oered to ip a coin or to pluck the petals of a daisy: to
cut or not to cut, to cut or not to cut This would be a paradigm
of irresponsibility. What you would expect him to do is to invoke
the canon. Then the most plausible hypothesisor one of the most
plausiblewould be chosen tentatively, not with the dogged conviction that, once we have chosen it, we have to stick with it, as if
that were the essence of integrity.
The decidophobe objects: But there is not time for all this; such
investigations might take years, and by that time the patient, if not
the doctor, will be dead. Of course, it would be irresponsible to
ignore the consequences, and to keep thinking up new possibilities
without any regard for the time factor. But even if there is very little
time, a responsible doctor will not pluck the petals of a ower or
assure the patient that the most important factor is that the doctor
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who makes the decision is sincere or resolute. He is responsible insofar as he applies the canon as much as time permits; and what speaks
against some laboratory tests and some other medical procedures is
precisely that there is not time enough.
Suppose the case were quite dramatic, and the question were
whether to amputate a leg. It might not be necessary, but if we
waited until we could be absolutely sure of that, the patient might
well be past saving. The responsible procedure would still be to
run as many tests as time permits, to weigh the pros and cons to
the limits of ones ability, and then to act (let us assume, to cut) as
skillfully as possible, without the bad faith that, because the die is
cast, one must feel certain that one has elected the right course. If
the surgeon nds out in midoperation that it was unnecessary to
cut, he obviously should neither insist that it really was necessary
nor throw up his hands in despair and let the patient die. All he can
do at that point is to minimize the damage.
Responsibility is not accompanied by any warrant that everything will turn out well. If it does not, all we have is the small
comfort that at least we have acted responsibly, with integrity. To
make matters worse, irresponsible actions sometimes succeed. But
that success is no proof of integrity, that the wicked often ourish,
and that disaster does not prove a lack of integrity, was known to
the Psalmists and the author of Job.
Given a large sample and a long period of time, responsibility
succeeds much more often than irresponsibility. That is why we
want physicians to act responsibly. That is why scientists and engineers are trained to check and doublecheck their hunches. It is
no dierent in politics. Occasionally, reckless gambles will succeed,
but those who continue to place their trust in them generally come
to grief before long; and the great statesmen of the past have been
thoughtful men who weighed alternatives with care. That includes
great revolutionaries like Lenin, who studied and wrote books about
philosophy. Marx spent most of his later years at work in the library
of the British Museum. He felt strongly that it was not enough to
interpret the world; he wanted to change it. But the more important the changes are that one would like to bring about, the more
indispensable becomes the canon.
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the abundance of dishonestynot only in religion, politics, and advertising. The whole quality of modern life is poisoned and polluted
by dishonesty.
Once again it may help to recall the Hebrew prophets. They
certainly raised moral standards, but that does not mean that their
contemporaries were more moral than their predecessors. One only
needs to read the prophets to realize that this was not the case.
Specically, Micah and Isaiah raised moral standards when they
proclaimed war to be evil and demanded that swords should be made
into plowshares and spears into pruning hooks. Yet wars did not
cease, and twenty-ve centuries later most of mankind still had not
accepted even in theory the standards set by Micah and Isaiah. Only
after the horrors of World War II, when confronted with atomic
bombs, did much of mankind come to agree that nations ought not
to learn war any more, but even then many nations continued to
wage wars. Most Americans did not disapprove of the Vietnam war
until they felt that they were not winning it. From this depressing
record it does not follow that the prophets did not raise moral
standards.
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The question remains as to whether it is proper to speak of the new
integrity. Is it really new? After all, Socrates approached it, and so
did Job. But in antiquity Socrates was admired for some of his other
qualities; and to this day, Job is usually seen dierently. Few readers
even notice that when he says to his friends, Till I die, I will not
part from my integrity, he means his honesty. Those who note his
honesty generally suppose that it consists merely of his not being
a hypocrite, and it is widely held that his friends are hypocrites.
But they say little that has not been repeated through the centuries
by theologians of many dierent denominations. They accept the
wisdom that is ready at hand. Popular wisdom or common sense has
some authority for them, and hearing each other conrms each in
his views. They are not hypocrites; neither do they see any need for
taking pains to nd out what might be true. They prefer the instant
wisdom that only authority can furnish.
Honesty in the sense of truth-telling was esteemed as a virtue
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seemed to feel that way about themselves, and in the 1950s many of
their students still accepted this view. In the late 1960s they went to
the opposite extreme.
All of this becomes more plausible as soon as one recalls how
the new integrity involves autonomydeciding for oneself and not
accepting the ten strategies of decidophobia. When Luther and
Calvin deed the church, they appealed to authority. The Enlightenment came closer to autonomy.
Enlightenment is mans emergence from his self-incurred minority.
Minority is the incapacity for using ones understanding without the guidance of another. And this minority is self-incurred
when it is caused by the lack not of understanding but of determination and courage to use it without the guidance of another.
Sapere aude! Have the courage to avail yourself of your own
understandingthat is the motto of the Enlightenment.
These are Kants words, and in his ethics he also made much
of autonomy. Nevertheless, he and many other great men of that
period had recourse to moral rationalism. Kants style was usually
dry and scholastic, but the eusiveness of his apostrophes to Duty
and to the Moral Law shows how they were for him surrogates for
God, and how much he still required some authority. Some of his
contemporaries in France, of course, formally proclaimed Reason a
goddess.
Some of the romantics reacted against this rationalism and
became moral irrationalists, apostles of feeling and intuition. But
the ideal of autonomy clearly owes something to the romantics,
too. What was needed was a step beyond moral rationalism and
moral irrationalism, and before the twentieth century that step was
taken only by a very few individuals here and there. Kants younger
contemporary Goethe was autonomous, and among the ancients
also, as noted earlier, Euripides. But hitherto the ethos of the new
integrity has never been spelled out as here.
Are both the old and the new integrity partial? Do we really
need both? Fortunate indeed are those who have both, but those
still striving to develop the new integrity cannot aord to be overly
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humanity craves but dreads autonomy. My reections on decidophobia, alienation, and the new integrity suggest that those who
choose autonomy, refusing the comforts of conformity, must pay a
heavy price. In some ways, autonomy is an austere ideal. Could it
be that one cannot hope to be happy if he elects autonomyand
that one is bound to feel unhappy without it? Anyone trying to
develop an autonomous ethic must face up to this question. The
answer obviously depends on what is meant by happiness.
Many dictionaries distinguish three meanings of happiness,
which the most comprehensive dictionary of our language, the Oxford English Dictionary, denes as follows:
1. Good fortune, luck in life or in a particular aair; success,
prosperity.
2. The state of pleasurable content of mind, which results from
success or the attainment of what is considered good.
3. Successful or felicitous aptitude, tness, suitability, or appropriateness; felicity.
The third denition is clearly marginal and irrelevant here. It
refers to such extended and almost metaphorical uses of the word as
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preceded it. When the infant is hungry, the nipple spells pleasure.
When the infant is sated, it pushes the nipple away angrily. This
primary experience of pleasure is paradigmatic: what is pleasant
by way of contrast becomes boring and unpleasant when there is
no contrast. Every theory of pleasure should take into account the
phenomenon of boredom.
The third interpretation of the question as to whether autonomy and happiness are compatible is more reasonable than the rst
two and makes the problem a little more dicult to solve. Is a life
dedicated to the maximizing of pleasure and the minimizing of pain
and discomfort compatible with autonomy? (We now no longer
depend on the very stringent denition of happiness as excluding
all pain and discomfort.) The question could also be put this way:
Are liberty and the pursuit of happiness (in this sense) compatible?
Most Americans and probably also most Europeans take it for
granted that they are, and not a few fail to distinguish between
our two concepts of happiness. But the pursuit of happiness in the
narrow sense is incompatible with freedom and autonomy.
Dostoevskys Grand Inquisitor faced this question squarely. He
argued that the freedom to make fateful decisions breeds anxiety and
makes for a great deal of worry and discomfort; he valued happiness
above autonomy; and he therefore argued in favor of what I call
benevolent totalitarianism.
Those who associate totalitarianism primarily with Stalins and
Hitlers malevolent totalitarianism may consider this coinage a contradiction in terms. But it makes far better sense to use the term
neutrally for governments that insist on their right to regulate the
peoples lives totally, and this is what the Inquisitors argument is
all about. My coinage also cuts through many confused arguments
about Plato. Some authors see him as a totalitarian, while others
insist that he was a decent man and therefore could not have been
a totalitarian. Men in the latter camp have even argued that since
Plato was a decent man he must really have been a democrat. But
he was the rst great proponent of benevolent totalitarianism and
believed that the only way to make the greatest possible number, if
not actually everybody, as content and virtuous as they were capable
of being was to regulate mens lives totally.
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Plato believed that men were radically unequal, that there were
three very dierent types, and that all three could attain contentment and virtue in his ideal state. The Grand Inquisitor, on the
other hand, insists that all men are basically equal, although some
are more gifted than others, and he suggests that the few who are
more gifted should sacrice their happiness for the happiness of the
greatest possible number. All men are so constituted, he argues, that
freedom brings them unhappiness, but some have to make decisions
and renounce happiness for the good of their fellow men.
Plato does not face the problem of the happiness or unhappiness of the decision-makers as squarely and explicitly as the Grand
Inquisitor does. In the Republic the philosopher-guardians are not
really decision- makers in the Grand Inquisitors sense. They themselves are deceived in the annual sex lottery, thinking that the selection of partners is random and left to chance when in fact it is
xed and carefully planned to bring about the best breeding results.
Those who do the xing are never discussed, but it is clear that they
do not live with frightening decisions. At this point Platos moral
rationalism is crucial. Those at the top do not really have to make
decisions; it is all a matter of seeing what is right, and the decisions
about breeding follow from mathematicalreally, astrological
calculations.
While rejecting Platos moral rationalism, one might tell the
Grand Inquisitors elite: There is really no need for you to sacrice your happiness; we have learned in the twentieth century how
decision-making can be assigned to committees in such a way that
no individual has much responsibility. Not only can matters be
so arranged that nobody has much freedom to make momentous
decisions, but in politics and business: in bureaucracies and schools
we have come very close to attaining such a state, and where it has
not been reached as yet we are coming closer to it by the day.
Ironically, the radical demand for participation accelerates
this movement. When heeded, it results either in a proliferation of
ever-larger committees or in decision-making by huge crowds who
have been harangued by several orators. Neither way is any individual called upon to make momentous decisions. His options are
reduced to voting with the majority or the minority, or more rarely
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of those who live dangerously, one can gain the false impression that
there are two types of people and almost two breeds. But in fact
there is a continuum, and millions live far from both extremes.
The contentment of the conformists is mixed liberally with
frustration and resentment and the sense that one has failed to get
what one desired most. Having settled for second bestor more
nearly tenth bestone can admire from a distance some of those
who have lived freer lives, while one detests nonconformists near
at hand. Socrates was a great manas long as more than twenty
centuries lie between him and us. At that safe distance one can even
speak well of the prophets.
The resentment people feel against nonconformists gives expression to a deep frustration, a profound resentment of ones own
existence, and a cancerous discontent. Basically, the attitude is that
of the woman who said to King Solomon, Cut the child in half. If
I cant have a live child, why should she? If I had to settle for conformity, why shouldnt they? It does not follow that the nonconformist
has a free and open nature and is generous. On the contrary, most
nonconformists bristle with resentment, and more often than not
todays nonconformist is tomorrows conformist and comes to feel
that if he did not make it there is no good reason why somebody
else should. For that matter, the great majority of so-called nonconformists are in fact conformists who have merely cast their lot with
a smaller group.
Even the joys of a truly free life that is not mired in conformity
are usually mixed with a great deal of frustration and frequent selfdoubtand occasionally with resentment of conformists who seem
so damnably content.
The dualists who would divide humanity into two camps are
wrong. As usual, we are confronted with a continuum. For certain
purposes it may be useful to contrast two types, but we should keep
in mind that there are many types, and that people have a great deal
in common.
Cloudless contentment is not open to man, and if he trades
his freedom and integrity for it, the time will come when he feels
cheated. This does not mean that he will openly regret the bargain.
Most people have failed to cultivate their critical perception of their
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own present position and of the alternatives they might have chosen;
precisely this is the trade they made; this is what they gave up for
comfort and contentment. Now they feel cheated without knowing
how and when and why. What they feel is a diuse and free-oating
resentment in search of an object.
Having given up autonomy for happiness, they have missed out
on both. This strategy does not work. Merely renouncing freedom
does not spell the end of all frustration and all discontent; to achieve
that aim one must also deprive people of much of their human
potential. Hence the strategy considered here is often supplemented
with alcohol, tranquilizers, or other drugs; but what people nd is
merely relief, not lasting happiness.
It will be noted that my critique did not depend on the stringent
denition of happiness in the narrow sense as excluding all discomfort and pain: I have also dealt with the concern to minimize pain
and discomfort. But as we now turn to consider happiness in the
formal or inclusive senseas a state, not necessarily conscious, that
is desiredwe must recall once more the paradox that it is possible
to say, This is what happiness means to me, and then not to be
happy when we are in that state. Not only is this possible, but it is a
very common experience.
It may therefore seem that a state that is desired and that is
thought to be happiness need not really be happiness. If so, my
denition (la) would be faulty. But what does it mean to say that
it is not really happiness? If it merely means that on being attained
it is no longer desired, I have already answered that objection by
pointing out that if it were sustained, then the cessation of desire as
well as unconscious states would be disqualied. But what I want is
a wide enough denition of happiness to include Nirvana, which
strikes me as one of the most interesting conceptions of happiness.
Next, it might be claimed that what is thought to be happiness
is not really happiness if, once the state is attained, one still feels
discomfort and pain. But anyone who would argue that way would
have slipped back into the narrow denition of happinessas if pain
and discomfort could not be ingredients of happiness. My answer
to the rst objection shows why we should not make satisfaction a
necessary condition of happiness, and my answer to the second ob-
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that he would not have been so naughty if he had had his mothers
attention; that the naughtiness was prompted by frustration; and
that, while it may be too late now, the mother might be able to verify
the suggestion when a similar occasion arises in the future.
The point about the creative life is precisely the same. Insofar
as people do not lead creative lives, they feel frustrated, and one
typical reaction is resentment that may issue in aggressive behavior
(naughtiness). Once that point is reached, it may be too late to
suggest that what is really wanted is a creative life; this claim may be
met with scorn and hatred. But it has to be tested not against what
people say once they feel frustrated but against peoples behavior
when they do and when they do not lead creative lives.
The creative life is no panacea. Neither is a mothers attention.
The thesis that all people desire something does not imply that this
is all they desire. A child that has his mothers attention but no
opportunity to engage in creative activities will feel frustrated and
miserable. So will a creative child who lives with a mother who gives
him no attention. And a child who is creative and has his mothers
attention may still be miserable in spite of that if he does not have
enough to eat, or if he cannot keep warm in the winter, or if he has
a sadistic father or a cruel older sister.
It is nave to suppose that only one thing is needful Men desire
and need many things, and creativity is merely one of these, but the
creative life is a phrase that covers more than one thing. To live a
creative life one needs a great many things, including food and some
security and, depending on ones talents, usually also some utensils.
The question remains whether all people really desire such a life.
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The most important single piece of evidence is play. All over the
world children play. And while it is dicult to dene play (see Johan
Huizingas splendid book Homo Ludens), it is of the essence of play
that it is creative.
As children grow older, they play games that, more often than
not, involve a ritual with rules, but within these rules there is room
for originality. Chess is a ne example. But the most remarkable
evidence for the creativity of all people comes much earlier in life
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over the printing of his plays. In his day, plays were not considered literature, and when his friend Ben Jonson, just a little later,
published his own plays as Works this was considered odd. Yet
Shakespeare put far more into his tragedies than even people with
rare powers of understanding could get out of seeing a performance
or two. Moreover, his plays were often too long to be staged uncut.
He made his living writing plays, but more importantly he wrote to
please himself.
Similar examples abound: paintings in tombs that were sealed
when the job was done; sculptures in inaccessible high places. Performing artists who lived before the invention of phonographs, tape
recorders, and motion pictures furnish an even more obvious example. They were creative, but even the most famous artists among
them did not create anything that endured. The continuum between
the child and Shakespeare is crucial for my thesis. Once again I am
rejecting a bifurcation of mankind. But for all I have shown so far,
the possibility remains that the need to be creative is a childish need
that most people manage to outgrow without regrets. The time has
come to focus on another form of alienation: how exactly do people
lose their creativity? The most popular answer is that there must be
a villain who takes it awaysay, the corporate state or advanced
industrial society. If that were true, those living before this blight,
and those who still live outside it, should retain their creativity. This
being false on both counts, the answers clearly are false, too. The
problem is universal.
Spontaneity and originality involve nonconformity and make
for social problems. Societies socialize their children, teach them
discipline, inhibit their spontaneity, and make them do things the
way they are supposed to be done. In Western societies this is done
quite systematically in school. Originality is curbed, and the way is
substituted for a multitude of dierent ways.
If every child developed its own way of writing, ranging from
pictographs and hieroglyphs to characters with a vaguely Chinese
look and all sorts of diverse alphabets, writing would not serve its
purpose of communication, and society would break down. Everybody who learns to write must learn the same script and must
learn to read it, too, and the obvious way to accomplish that is to
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teach many children at the same time. But that means that the child
who feels like drawing at that moment, or feels like painting, or like
playing with dolls, digging in the dirt, running around, climbing a
tree, or chasing butteries is told to stop it and sit down with all the
rest.
This is only the beginning. The more one learns, the more is
one subjected to all kinds of discipline. But the essence of discipline is that spontaneity and originality are inhibited. A dialectical,
non-Manichaean thinker will not jump to the conclusion that discipline is therefore bad, and that we should be better o without
it. Communication and social life depend on it, and so does the
development of traditions. Without communication, social life,
and traditions, we should remain on the level of the brutes. We
should remain incapable of those activities that the word creative
brings to mind rst of all. Composers and playwrights, painters and
sculptors, poets and architects, as well as the dance depend on communication, social life, and traditions. It always requires training to
master a discipline. One has to renounce originality at one level in
order to get it back with interest at a higher level.
Romantic opponents of all alienation may not believe this, even
if they pay lip service to dialectic. Some people still dream of noble
savages living in paradise without paying any price for their bliss.
But in preindustrial societies, even on lush tropical islands, one encounters a fantastic amount of discipline and scarcely any possibility
of nonconformity. Creativity is channeled rigorously into ritual.
Those who share Marxs dream of rearing cattle in the evening before
dinner are struck by the way in which lovely dances are woven into
life and ignore the fact that these dances are meticulously prescribed
by tradition and require years of training.
If every child learned in the end to be as original with a mere
three actors or four instruments as Sophocles and Beethoven were,
our problem would not arise. But most children are squelched, by
no means only in advanced industrial societies. As they grow up,
more and more of their time is spent doing what one does. And
then they live by proxy in the eveningreading, watching, listening.
What they watch depends on their society. It may be dances or
rituals, cockghts or spectator sports, motion pictures or television.
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Unfortunately, the picture painted here is a little too bright. The
creative writer or artist may be a voyeur who contemplates imaginary
scenes, without the courage to act in real life. He may be a decidophobe who consoles himself with his freedom of invention and his
power to choose words. He may have discovered a game in which
his autonomy is untrammeled; now he devotes as much of his time
as he can to that; but whenever the game stops, he isuncreative.
He nds his happiness in his creative life, but would be happier
if he were more creativeif he had the courage and the skill to bring
some spontaneity and some originality into his daily life and his
relationships to others. For creativity is not encountered in the arts
only but also in the dimension of human relationships and in the
practice of the new integrity. We have noted how the new integrity
involves autonomy: making decisions for oneselfespecially those
decisions that mold our character and future. Thus the autonomous
human being makes himself and gives shape to his life. He not only
considers alternatives that others present to him, but he uses his
imagination like a novelist or dramatist to think up possibilities.
It is wrong to suppose that there are two types of people, the
creative and the uncreative. Even the suggestion that we should
thin in terms of degrees is too crude because it may be taken to
imply that people can be ranked on a single scale. The example of
ay, and perhaps also that of dreams, may help to remind us that we
are all born with a creative capacity, and that few indeed manage to
maintain and develop it both in their lives and in some of the arts,
like Goethe. Some people are squelched in real life and are creative
only as writers; others infuse some spontaneity and some originality
into their lives. Large numbers, of course, lead rather uncreative
lives, have routine jobs, and spend their spare time passively.
Play is also a helpful example because the life of the little girl
who, when playing, is as gods, is anything but autonomous. Others
decide for her where she is to live, with whom, and even what to
wear and what to eat, and when to go to bed. She is autonomous
only at play.
Parents, teachers, and societies nd children much easier to live
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with if they can be made predictable and less spontaneous and original. Society nurtures decidophobia and makes people more, not
less, afraid of autonomy. Obtuse disciplinarians squelch creativity.
But those who therefore inveigh against discipline overlook the fact
that without it no sustained creativity is possible and no one can
nd satisfaction in his work.
Those who deplore all alienation or all discipline and over-praise
community and spontaneity erode the ethos on which creativity
depends. Originality consists of being dierent and alienates the
creative person from his fellow men. But creativity also provides a
way of coping with this alienation.
It is by no means only at the elementary levels of education
that creativity is squelched. The same process continues through
adult lifeeven in colleges and universities, which would seem to
be more hospitable to a creative life than most institutions. Among
scholars we nd some creativity, but on the whole disappointingly
little. Most professors are inhibited by Webers Fallacy. This fallacy is
encountered among legions who have never read Max Weber, but it
seems fair to name it after the man who oered the best formulation
of it instead of merely committing it in silence like millions of others.
(In fact, his practice was better than his preachment.)
Max Weber, the greatest sociologist of our century, not only
wrote about the Protestant ethic but also perpetuated it in his immensely inuential lecture, Scholarship as a Profession. He put
the point succinctly:
It is only through severe specialization that a scholar can really
obtain once, and perhaps never again in his life, the climactic
feeling: Here I have achieved something that will endure. A
really denitive and solid achievement today is always a specialists achievement. And whoever, therefore, lacks the capacity
to put on blinders, as it were, and to transport himself into the
notion that the destiny of his soul depends on whether he is
correct in making precisely this conjecture at this place in this
manuscript should certainly stay away from scholarship.
Weber had a commendable sense for the misery of life. His
appeal here is plainly to autosuggestion: scholarship as the opiate
231
232
then be wrong. The following claims would still stand: Those who
opt for the new integrity must countenance alienation; they have to
master the fear of freedom; but they need not live wretched lives,
devoid of happiness. They can live creative lives and nd solace in
their work.
If they have all four of the cardinal virtues, they will need such
solace, for not only honesty entails some suering; the other three
virtues also entail discomfort and pain. In the case of courage, entail may be too strong a word, inasmuch as a bold person may be
very lucky. But the odds are, of course, that anyone who keeps taking
great risks will sometimes get hurt badly. Humbition precludes selfsatisfaction, smugness, and complacency, which means in practice
that one is always self-critical. Even when one feels that something
one has done is good, an inner voice speaks up: So what? Love,
nally, involves sharing the plights of others. Thus the lives of those
who are morally admirable are hard, and they need some solace.
77
Now suppose that some men and women do not nd solace in
creative work. Or rather, they do nd happiness while they are
creative, but they cannot sustain their creativity. It comes in spurts,
not in a steady stream, and between the peaks there are vast valleys
of despair. What then?
There seems to be another, less romantic road to happiness. It
can be found through work of which one can honestly believe that
doing it well stands some chance of making the world a little better
work that is worth doing well because it benets humanity. Does
this life of service constitute a fourth conception of happinessan
alternative to hedonism, Nirvana, and the creative life? I prefer to
think of it in conjunction with the creative life. For an uncreative
life of service would not be autonomous but self-destructive or at
best a drug. But work of this kind can be creative, and moreover
it can be combined with a life that is creative in the more ordinary
sense of that word: one can serve others between creative spurts.
The most obvious way of combining creativity and service is by
also teaching. That is what painters and sculptors did in the past,
and what many scholars, as well as artists and writers, are doing
233
234
235
survivor will be found at the center of this book, but this theme is
introduced on the dedication page. Solzhenitsyns unique moral
force is inseparable from the fact that he has never forgotten that
he is a survivor. In his novels he has given voice to the experiences
of those who did not survive, and in his public statements, most
obviously in his Nobel Lecture, he has spoken quite explicitly s a
survivor.
Of course, it is possible to be creative without having had this
kind of experience. Tolstoy had it and described in Anna Karenina
how his brothers death became a turning point in his life. I have
shown earlier how most of the major modern philosophers lost one
or both parents in childhood. We are all survivors, but it is possible
to be creative without ever taking in this fact.
Autonomy is dierent. One cannot become autonomous and
make with open eyes the decisions that mold ones character and
future while shutting ones eyes to the fact that one is a survivor.
If the alternatives were laid out before us like so many distributive
shares, being a survivor would be totally irrelevant. But fateful
choices are not like that. Life does not lead us into a bakery shop as
if we were children, telling us to choose one piece of cake. As long as
you conne your choices to the alternatives that are presented to you
in a given framework and do not think of questioning the framework
itself, considering alternatives to that, you are not liberated.
The fateful choice is not simply between marrying X or Y, it
being understood that you have to marry one of them. It includes
the possibility of not getting married at all, or not yet, or perhaps
to Z. The fateful decision is not limited to going to this school or
that. There are countless other schools and ways of life. And there
is always the option of ending ones life. One can make lists, and
that may help, especially when the choice is not a fateful one. But
autonomy faces up not merely to bloodless, disembodied alternatives
that one thinks up. Some of the most haunting alternatives have
human shapes, and not all of these come out of books. Some we
have known in the esh, and not all of them are living any more.
It is usually the dead that are most persistent. And typically it is
only the death of someone very close to us that liberates us from the
framework that we had taken for granted, exploding the status quo
236
237
acter but also a great deal of luck. After all, every attempt was
made t root out signs of budding autonomy and to kill those who
gave promise of attaining it. To cite Solzhenitsyns Nobel Lecture:
Those who fell into that abyss who already had made a name in
literature are at least known to usbut how many whom we do
not know, never once were published! And so very few, almost no
one, managed to survive and return. A whole national literature
remained behind
Autonomy involves reection on alternatives. It requires a sustained eort to liberate oneself from the cultural determination that
sticks to youth as eggshell does to a young bird. In this ght for
liberation nothing helps more than reading and discussion. What
is needed is exposure to dierent viewsnot merely to one devils
advocate but to a genuine variety of points of view and of ways of
experiencing the world. What is needed is not only a free ow of
ideas but also some feeling for the less fortunate, some feeling for
those who did not and those who still do not enjoy the privileges
that we tend to take for granted. What is needed is not only comparative religion and philosophy but also history and, above all, world
literature.
An ethic that includes love, but not justice, among the cardinal
virtues is apt to be considered Christian. Mine is not. In the rst
place, the notion that Christianity transcended justice is simply
false: witness the belief in retribution after death. Then, what is
distinctive in my ethic is humbition and the new integrity, as well
as the detailed critique of justice. Finally, the concept of autonomy
is anti-Christian, and in Christian morality, from the Sermon on
the Mount to Thomas, Luther, Calvin, and beyond, guilt and fear
have always been central. My autonomous morality is above guilt
and fear.
80
Another comparison may help to sum up my views. The just man
of Plato and the prophets was essentially an obedient man. He might
disobey a wicked despot, but only in obedience to a higher law that
was not of his making. Decidedly, he was not autonomous. Nor
did creativity have a place in this ancient ideal. We do not usually
238
239
the serpent was wiser than man and woman and asked them: Are
you afraid? They answered: We have been told what is good and
evil, and if we disobey we shall die. But the serpent said: You will
not die, but your eyes will be opened; you will see that all gods are
dead; and you will be as gods, deciding what is good and evil.
They were afraid and replied: How can that be? The gods
are almighty and know everything. We can never be as gods. But
the serpent said: Nobody is almighty and knows everything. Your
knowledge and your power will always be limited. Still, you can
decide about your own life, and you need not accept what you have
been told.
The man and the woman replied: Those who told us knew
what is good, and we do not know. If we do not obey, we shall be
guilty. We are afraid. Then the serpent said: Fear not to stand
alone! Nobody knows what is good. There is no such knowledge.
Once upon a time God decided, but now that he is dead it is up to
you to decide. It is up to you to leave behind guilt and fear. You can
be autonomous.
They answered: But what are we to do right now to make a
beginning? The serpent replied: You still want to be told what to
do. Perhaps your children will be ready for autonomy.
Chapter 1:
* Kants autonomy and a little depth philosophy
1: Kant introduced the term autonomy into ethics, but the
ideal is far older. The Stoics sought moral autonomy, and so did
the Cynics even earlier. These post-Socratics associated liberation
with independence from desire and therefore believed that it was
essential to have few desires and no passions. Kant still stands in
this tradition; and he was autonomous y his own lights.
He considered it the mark of autonomy that ones actions are
not prompted by any inclination whatsoever but by a maxim of
which one could wish that it might become universal law. This
notion has elicited a large literature, and I have dealt with it at some
length in The Faith of a Heretic, 77. Now it must suce if I can
suggest briey how Kants conception of autonomy was misguided.
By considering his autonomy in action, we can see at a glance
what is borne out by a careful analysis of his works. on ethics.
Not everybody acts according to maxims, but Kant did. Why
did he? A few months after Kants death, R. B. Jachmann, who had
known him well and whom Kant had actually asked to write his
biography, published a memoir, Immanuel Kant Described in Letters
to a Friend. I turn to the seventh letter: Perhaps smoking tobacco
was his supreme sensual pleasure, but he had adopted the maxim to
smoke only one full clay pipe a day, because he did not see where he
should stop otherwise.
Kant suered from constipation, and a physician prescribed a
daily pill. When the eectiveness of the pill diminished, he doubled
the dosage on the advice of another doctor. But no sooner had this
happened than Kant reected that this increase would have no end,
and he formulated a maxim for himself never to take, as long as he
lived, more than two pills a day. Late in his life, when his doctors
wished him to take more pills, he refused to deviate from his maxim.
As soon as he had adopted such a maxim, nothing in the world
could have made him abandon it.
Jachmanns attitude is rather worshipful; he admires Kants
rmness; and the illustrations are introduced thus: By and by his
whole life had become a chain of maxims that eventually formed a
rm system of character. And Jachmann concludes: In this way he
had eventually tied his whole way of thinking and living to rules of
reason to which he remained as loyal in the smallest circumstances as
in the most important matters. His will was free, for it depended
on his law of reason. All attempts by others to subdue his will and
guide it dierently were in vain. He persisted in the duty that he
had imposed on himself.
Clearly, Kants conception of rationality was untenable. A
maxim that can be universalized is not necessarily rational. And a
person whose life is governed by scores of duties that he has imposed
on himself is hardly a paradigm of autonomy.
Socrates did not depend on alcohol. He could take it or leave
it. He did not need a maxim to stop after the second glass of wine.
When the wine and conversation were good, he went on drinking
until everybody else had passed out and then, at dawn, left the symposium, took a bath, and spent the rest of the day as he usually,
did.
The exclusively microscopic approach favored by so many scholars gives one no depth of vision at all. What I call depth philosophy,
following the example of depth psychology, makes it easier to perceive radical alternatives-for example, to a morality of maxims and
principles. What I mean by depth philosophy is a philosophy
that does not rest content with analyses of words or concepts but
inquires into the concrete human realities behind various philosophical positions. Specically, one does not have to be either a slave
of ones inclinations or a man of maxims, to use Jachmanns apt
phrase.
The central problem of Kants ethics (no less than of his Critique
of Pure Reason) was to escape from determinism. He called all
motivation that was not totally free of inclination pathological,
and he believed that as long as our motivation was pathological we
were unfree. Only behavior determined solely by reason was free,
and it was only when obeying a law one had imposed on oneself that
one was autonomous, provided that this law was wholly rational
and not stained by inclination. The test of that was whether the
law could be made universal and applied to all men. Thus Kants
rigorism seemed essential to him. As long as one always gets up at 5
a.m. (as Kant did), regardless of all inclinations, or as long as one
never takes more than two pills a day, no matter what consequences
are invoked by others, one is free, Kant thought. But as soon as one
heeds ones inclinations or appeals to consequences, one re-enters
the realm of causal determinism and of heteronomy.
Kants psychology was supercial. The procedure he recommended could well be pathological. It is certainly decidophobic.
I am not trying to explain Kants ethics psychologically. For my
present purpose it is just as well if his ethics came rst and he then
put it into practice. I believe that, as Jachmann put it in his sixth
letter, Kant lived as he taught. But even if the stories cited here
were apocryphal and if Kant himself had been a libertine, these illustrations would still show how Kants conceptions of autonomy
and rationality were misguided.
I agree that autonomy depends on rationality. But rationality
is incompatible with a rigorous refusal to listen to reason. Autonomy requires deliberate attention to objections and alternatives. If
anything can liberate us from cultural determination, that can. But
there is no need here for an analysis of determinism. The dierence
between those who give deliberate attention to objections and alternatives and those who do not is suciently important to be stressed
and worked out in detail.
2 and 6: For existentialism, cf. Kaufmann, 1959, especially
the chapters on Kierkegaard and Heidegger. For Heideggers relation to the Nazis, see also Heidegger, 1933, and Schneeberger, 1962.
The Heidegger quotation in 6, about using force, is from his 1953,
page 124.
4: The We-We orientation: See. Buber, 1923. In the Prologue to the English translation, pages 11-14, I present ve attitudes
in which there is no You: I-I, I-It, It-It, We-We, and Us-Them.
7: For Manichaean thinking, cf. Kaufmann, 1969 and 1970.
I have made some use of material rst presented there.
For Greek tragedy, cf. Kaufmann, 1968. For Hegel, ibid.
* A Note on Solzhenitsyn
9: For the confrontation with the Soviet Writers Secretariat,
see either Solzhenitsyn, ed. Labedz, or the Appendix of Cancer
Ward. The quotation about Tolstoyan philosophy is found in
Burg and Feifer, 1972; the detractor was Dmitri Eremin. The image
of Solzhenitsyn that emerges from the Burg and Feifer biography is
consistent with my view of him, but my interpretations are based
exclusively on his own works and on the admirable Documentary
Record, edited by Labedz. H. T. Willetts somewhat dierent rendering of Solzhenitsyns remark about the mice and cockroaches
is equally to my purpose: But I got used to it because there was
nothing evil in it, nothing dishonest. Rustling was life to them.
11: For the Nietzsche epigram see Kaufmanns Nietzsche, page
19.
Chapter 2:
13: For Marx and justice, see also Wood, 1972.
14: First sentence: see Reiwald, page 16. Regarding 1694, see
Megarry, page 182. Regarding 1770, 1832, and 1837, see Reiwald,
page 16f.
Reiwald on talio: pages 268f. and 273. Cf. also 18. Scholarly
references in support of the long quotation: page 294, note 17; also
Kaufmann, 1961, 49.
The Gospel quotation is from Matthew 10: 14f.; cf. Luke 10:
10. For a fuller discussion of these aspects of the New Testament,
see Kaufmann, 1958, chapters 6-8, and 1961, chapter 8.
16: the nineteenth-century philosopher is Green, 1895, page
184.
17: for point 6, cf. Freud, 1913, Werke, IX, page 89.
20: the two penologists are Gauthier and Robert Meindl; the
quotations are from Reiwald, page 189.
21: for poena, see Mommsen, 1899, page 13; cf. pages 14, 899.
Chapter 3:
* Notes on Rawls
22: For the dierences between justice and fairness see also
Chapman, 1963. Rawls, 1971, page 12f., defends himself by saying that justice as fairness does not mean that the concepts of
justice and fairness are the same, any more than the phrase poetry
as metaphor means that the concepts of poetry and metaphor are
the same. But this terse remark does not help much to explain the
dierence between two key concepts.
One of the dierences between justice and fairness is illustrated
by one of Rawlss own examples: gambling. If a number of
persons engage in a series of fair bets, the distribution of cash after
the last bet is fair, or at least not unfair, whatever the distribution
is (page 86). But we should not call it just. Rawlss chapter 1 is
entitled Justice as Fairness, and the phrase recurs throughout.
29: For a fuller account and critique of Hume, see Kaufmann,
December 1969. Humes association of justice with possessions
and the love of gain was so close and at the same time so misguided
that it seems to call for psychological, historical, or sociological
explanations.
Page references for the Rawls quotations: moral geometry
(121); everyones advantage and Injustice (62 et passim); For
simplicity (408n); Rome or Paris (412. cf. 551); To say that
(138); We want to (141).
Rawlss exceptional intelligence and subtlety and his tireless
attention to detail may give the impression that we are confronted
with such a tightly woven theory that every objection is taken care
of somewhere. In fact, the book is quite uneven, and the discussion
of guilt in 70-74, for example, seems rather ill-considered. To
mention at least one point, Rawls seems to suppose that a greater
feeling of guilt implies a greater fault (page 475).
Occasional asides in Rawlss book come much closer to my
position than do the passages quoted in the text; for example, this
staggering concession: It is too much to suppose that there exists
for all or even most moral problems a reasonable solution. Perhaps
only a few can be satisfactorily answered (page 89f.). I welcome
such agreement, but it would be naive to suppose that I must be right
because another author says something similar. What autonomy
requires is attention to signicant alternatives to our own views.
Hence I have concentrated on the moral rationalism that is the
central motif of A Theory of Justice.
How hard even philosophers nd it to see through moral rationalism is suggested by Stuart Hampshires review-article (1972):
If our moral beliefs on many subjects, and in many very dierent
Consider two recurrent dreams. A professor who is a very successful lecturer dreams now and again that people walk out on his
lectures. A woman who has an enviable reputation as a hostess and a
cook and always has an abundance of food left over after every party
dreams occasionally of giving one at which there is not enough food,
while people she does not remember inviting keep arriving. If one
knows independently that both have an articulate social conscience
and that the woman is troubled by the fact that millions are starving,
my interpretation seems the most plausible.
Chapter 6:
Hours
3:30
5:30
7
8
9
10:30
11:30
1
9:30
10:30
on temporality and the wholeness not only of the person but also
of his life. 68: for a detailed discussion of dierent dimensions of
meaning, see Kaufmann, 1966, page 33.
69, rst paragraph: Job is usually seen dierently. Glatzer,
1969, includes over thirty interpretations of Job, and considers mine
(reprinted from Kaufmann, 1961) one of the boldest and most
incisive and sensitive, partly because it stresses points carefully
avoided by theological moralists (page 237). It would be immodest
to quote this here if there were a better way of establishing the point
made in the text.
70: The rst sentence harks back to the beginning of this
book.
73: Buddha and Mara: Jataka, I, 63. 271; quoted in Sderblom,1933.
77: Moses as yourself : You shall love your neighbor as
yourself and The stranger shall be to you as the native among
you, and you shall love him as yourself (Leviticus 19: 18 and 34).
80: The sentence quoted from Marx is the last of his eleven
Theses on Feuerbach, which are included, e.g., in Marxs Frhschriften and in Tucker, 1972.
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