Author: staceymeeker

  • Benchmarks (Anthropoetics X, no. 1)

    In this first issue of Anthropoetics‘ tenth year we are honored to offer an English translation of René Girard‘s analysis of Mel Gibson’s Passion of the Christ, which first appeared in Le Figaro magazine in March of this year; our thanks to his translator Robert Doran, who helped bring this article to us. The other articles in this issue cover a wide spectrum of cultural genres, from film and the novel to ancient thought and the philosophy of science. Lahoucine Ouzgane‘s article on Dreiser’s Sister Carrie, his second for Anthropoetics, extends the interrogation of mimetic desire in the early 20th century American novel begun in his article on Wharton’s House of Mirth in Anthropoetics 3, 2. Tom Bertonneau, whose eighth Anthropoetics article deals with Gnosticism in Julian the Apostate and elsewhere, returns to the subject of early (anti-) Christianity that he dealt with in his often-cited article on Celsus, “the first Nietzsche,” in Anthropoetics 3, 1. Andrew Bartlett and Marina Ludwigs, who are making their debuts in our journal, illustrate two opposite poles of interaction of cultural analysis with science. Andrew’s article is a nuanced analysis of the filmic rendering of nuclear war in the framework of mimetic theory; Marina’s is an informed discussion of the conundrum of “explanation” in the philosophy of science that makes a case for humanistic discourse as an opening to human possibility beyond the closure of scientific models.

    About Our Contributors

    René Girard is the Andrew B. Hammond Professor Emeritus of French language, literature, and civilization at Stanford University. Early in his career, Girard developed his theory of “mimetic desire,” which he later developed into a full-blown theory of religion and culture. From the early sixties to the present, his many books have had a profound influence on literary theory, social anthropology, religious studies, political science, economic theory, and cultural studies. Girard’s principal works are: Deceit, Desire, and the Novel (1961, trans. 1966), Violence and the Sacred (1972, trans. 1977), Things Hidden since the Foundation of the World (1978, trans. 1987), The Scapegoat (1982, trans. 1986), A Theater of Envy: William Shakespeare (1991, reedition, 2004), I See Satan Fall Like Lightning (1999, trans. 2001). In 1990, friends and colleagues of Girard’s established the “Colloquium on Violence and Religion (COV&R),” which meets annually to further research and discussion about the themes of Girard’s work. Though Professor Girard officially retired in 1995, he has returned to teach at Stanford on several occasions. Most recently, he has taught such courses as “Literature and Modernity: Proust, Woolf, Dostoevsky, Shakespeare” (2003); and “Violence and Culture: Sophocles, Shakespeare, Racine, Christ” (2004).

    Andrew Bartlett grew up in eastern Canada and studied at the University of New Brunswick (Fredericton) and Dalhousie University (Halifax), earning his Ph.D. from York University (Toronto) in 1994, with a specialization in eighteenth-century British fiction and narrative theory. He has worked as sessional lecturer in English at the University of British Columbia and Simon Fraser University. Since 1998, he has taught composition and literary analysis in the English Department at Kwantlen University College in Surrey, just outside Vancouver. He is an active member of COV&R. Previous publications include scholarly work on Cormac McCarthy and Joseph Conrad, and several reviews of Canadian fiction.

    Thomas F. Bertonneau, author of over fifty published articles and of the 1996 study Declining Standards, is a long-time student of Generative Anthropology who has contributed on many occasions to Anthropoetics. Bertonneau teaches in the English Department and in the Honors Program at SUNY Oswego. His current projects include a book on The Gospels according to Science Fiction, coauthored with Kim Paffenroth and due out from Brazos Press in 2005. He has articles forthcoming on Karen Blixen, Ayn Rand, and V. S. Naipaul.

    Marina Ludwigs holds a BS in Computer Science from the University of California, Irvine and an MA in English from Stockholm University. She is currently working toward the PhD in Comparative Literature at the University of California, Irvine. Her academic interests include GA, prosodic theory, and phenomenology. She is writing a doctoral dissertation on epiphanies in 19th- early 20th-century novels.

    Lahoucine Ouzgane is associate professor of English at the University of Alberta. His teaching and research interests include American literature, North African and Middle Eastern literature, and composition and rhetoric. His recent publications include Crossing Borderlands: Composition and Postcolonial Studies (University of Pittsburgh Press, 2004), co-edited with Andrea Lunsford, and African Masculinities: Men in Africa from the late 19th century to the present (Palgrave Macmillan and the University of Natal Press, 2005), co-edited with Robert Morrell. He lives in Edmonton with his wife, Joni, and their children, Ben and Ryan.

  • On Mel Gibson’s The Passion of the Christ

    Well before the commercial release of his film, Mel Gibson had organized private showings for important journalists and religious leaders. If he was counting on assuring the goodwill of those he invited, he badly miscalculated; or perhaps he instead manifested a superior Machiavellianism.

    The commentaries quickly followed, and far from praising the film or reassuring the public, there were only terrified vituperations and anguished cries of alarm concerning the anti-Semitic violence that might erupt at the cinema exits. Even the New Yorker, so proud of the serene humor from which it normally never departs, completely lost its composure, and in all seriousness accused the film of being more like Nazi propaganda than any other cinematic production since World War II.

    Nothing justifies these accusations. For Mel Gibson, the death of Christ is a burden born by all humanity, starting with Mel Gibson himself. When his film strays a bit from the Gospel text, which happens only rarely, it is not to demonize the Jews but to emphasize the pity that Jesus inspires in some of them: in Simon of Cyrene for example, whose role is amplified, or in Veronica, the woman who, according to an ancient tradition, offered a cloth to Jesus during the ascent to Golgotha on which the features of his face became imprinted.

    The more things calm down, the more it becomes clear in retrospect that the film precipitated a veritable tantrum in the world’s most influential media that more or less contaminated the entire atmosphere in its wake. The public had nothing to do with the controversy, since it had not seen the film. It wondered with evident curiosity what was it in this Passion that could create such a panic among those who are normally so difficult to shock. What ensued was easy to predict: instead of the 2600 screens originally planned, The Passion of the Christ opened on more than 4000 screens on Ash Wednesday–a day evidently chosen for its penitential symbolism.

    The charge of anti-Semitism has receded somewhat since the film’s release. But the film’s detractors have rallied around a second complaint, the excessive violence that they see in the film. There is indeed great violence, but it does not exceed, it seems to me, that of many other films that Gibson’s critics would not dream of condemning. This Passion has shaken up (no doubt only provisionally) the chessboard of media reactions concerning violence in the movies. All those who are normally accustomed to spectacular violence, or even see in its constant evolution so many victories of freedom over tyranny, find themselves condemning it in Gibson’s film with extraordinary vehemence. On the other side, all those who see it as their duty to denounce cinematic violence (without their criticisms ever having the slightest impact) not only tolerate this film, but frequently admire it.

    To justify their attitude, the detractors borrow from their adversaries all of the arguments that they denounce as excessive and ridiculous when articulated by the latter. They lament that this Passion will “desensitize” the young, will make them into violence addicts incapable of appreciating the true refinements of our culture. Mel Gibson is treated as a “pornographer” of violence, when in reality he is one of the rare filmmakers to not (at least in this film) systematically mix eroticism with violence.

    Certain critics push the imitation of their adversaries to the point of mixing religion with their diatribes. They accuse this film of “impiety”; they go so far as to accuse it–brace yourselves–of being “blasphemous.”

    This Passion has, in short, provoked a surprising reversal of position between adversaries who have for so long used the same arguments against one another. This double abjuration plays itself out with such perfect naturalness that it looks like a classical ballet, all the more elegant because it is not in the least conscious of itself.

    What is the invisible but supreme force that manipulates all of these critics without their realizing it? I believe that it is the Passion itself. If one objects that the Passion has been filmed numerous times before without ever provoking either great indignation or great admiration (though today the admiration is more secretive than the criticism), I would reply that never before has the Passion been filmed with Mel Gibson’s implacable realism.

    It is Hollywood saccharinity that first dominated religious cinema, featuring Jesuses with hair so blond and eyes so blue that they could never be subjected to the abuses of Roman soldiers. In the last few years, there have been Passions more realistic yet even less effective, because they are embellished with phony postmodern audacity, preferably of a sexual nature, that the directors counted on to spice up the Gospels, deemed by them to be insufficiently scandalous. They did not see that in sacrificing to the stereotype of “revolt” they rendered the Passion insipid and banal.

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    To restore to the Crucifixion its scandalous force, it is enough to film it as is, without adding or subtracting anything. Did Mel Gibson succeed completely in this endeavor? Not entirely, but he got close enough to strike fear into all the conformists.

    The principal argument against what I have just said consists in accusing the film of being unfaithful to the spirit of the Gospels. It is true that the Gospels merely enumerate all of the cruelties suffered by Christ without ever describing them in detail, without ever making us see the Passion “as if we were there.”

    This is perfectly true, but to take the sparseness and concision of the Gospel text as an argument against Mel Gibson’s realism is an evasion of history. It means not seeing that in the first century A.D., realistic description in the modern sense could not be employed, for it had not yet been invented. Most probably, the first impulse in the development of Western realism came from the Passion. The writers of the Gospels did not deliberately reject a possibility that did not exist during their era. It is clear that far from fleeing realism, they seek to create it, but the means are lacking. The narratives of the Passion contain more concrete details than all of the learned works of the time. They represent a first step in the direction of the ever-increasing realism that defines the essential dynamism of our culture in its periods of great vitality. The first impulse of realism is the desire to strengthen religious meditation, which is essentially a meditation on the Passion of Christ.

    In professing its disdain for realism and for the real itself, modern aesthetics has completely distorted the interpretation of Western art. It has invented a separation between aesthetics on one side and technology and science on the other, a separation that has only come into being with the advent of modernism (modernism is perhaps only a flattering term for our decadence). The will to be true to reality, to paint things as if one were there, has always triumphed in the past, and it has over the centuries produced the masterpieces that Gibson says have inspired him. I have heard that he himself mentions Caravaggio. In the same vein one could think of certain Romanesque Christs, of the Spanish Crucifixions, of a Jerome Bosch, of all the suffering Christs…

    Far from disdaining science and technology, the great art of the Renaissance and modernity used all the new inventions in the service of its will to realism. Far from rejecting perspective and trompe l’oeil, they welcome these things with passion. We need only think of the dead Christ of Mantegna…

    To understand what Mel Gibson has tried to do, we must, it seems to me, free ourselves from all of the modernist and “post-modernist” snobbisms and think of cinema as extending and surpassing the techniques of great literary and pictorial realism. If contemporary techniques reveal themselves as incapable of communicating religious emotion, it is because great artists have yet to transfigure them. The invention of these techniques coincided with the first breakdown of Christian spirituality since the beginning of Christianity.

    If the artists of the Renaissance had had cinema, do we really believe that they would have turned up their noses? It is this realist tradition that Mel Gibson is attempting to revive. The venture he has undertaken consists in utilizing to the hilt the incomparable resources of the most realistic technique that has ever existed, the cinema. The risks are proportional to the ambition that characterizes this enterprise, unusual today but frequent in the past.

    If one truly wants to film the Passion and the Crucifixion, it is obvious enough that one cannot be satisfied with mentioning Christ’s agonies in a few sentences. These sufferings must be represented. In Greek tragedy, direct representation of the hero’s death was prohibited; a messenger told the audience what had just transpired. In the cinema it is no longer possible to avoid the essential. To cut short the flagellation or the nailing to the cross, for example, would be to shrink back from the decisive moment. These horrific things must be represented “as if we were there.” Must we be indignant if the result does not resemble a pre-Raphaelite painting?

    Beyond a certain number of lashings, Roman flagellation meant certain death; it was a mode of execution like any other, as lethal as crucifixion. Mel Gibson recalls this in his film. The violence of Christ’s flagellation is all the more unbearable in that it is admirably filmed, as indeed is the rest of the work.

    Mel Gibson is situated in a certain mystical tradition of the Passion: “what drop of blood have you shed for me?” etc. These mystics see it as their duty to imagine the sufferings of Christ as accurately as possible, not at all to cultivate a spirit of vengeance against the Jews or the Romans but to meditate on our own guilt.

    This is not the only possible attitude concerning the Passion, of course. And there would certainly be a bad as well as a good use of his film, but one cannot condemn the enterprise a priori; one cannot with eyes closed accuse Gibson of making the Passion into something that it is not. In the entire history of Christianity, no one had ever before attempted to represent the Passion as it must have truly happened.

    In the theater where I saw the film, the projection was preceded by three or four “coming attractions” filled with a violence that was plainly inane, sardonic, permeated with sado-masochistic insinuations, bereft of any religious or even any narrative, aesthetic, or simply human interest. How can those who daily consume such abominations, who comment upon them, who speak to their friends about them, how can they be shocked by Mel Gibson’s film? This is beyond me.

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    We must start by absolving the film of the absurd reproach of “going too far,” “of gratuitously exaggerating Christ’s sufferings.” How can one exaggerate the sufferings of a man who must suffer, one after the other, the two most excruciating tortures devised by Roman cruelty?

    Once the overall legitimacy of the enterprise is recognized, one can regret that Mel Gibson went farther in his violence than the Gospel texts require. He makes the brutalization of Jesus start right after his arrest, which is not in the Gospels. If only to deprive his critics of a specious argument, the director might have been better served, I think, to stick with the essential. The overall effect would be just as powerful, and the film would not leave itself open to the hypocritical reproach of flattering the contemporary taste for violence.

    What is the source of this great evocative power that all faithful representations of the Passion produce on most people? I think that there is an anthropological level to the descriptions in the Gospels which is not specifically Jewish, Roman, nor even Christian. It is the collective dimension of the event that makes it into what is essentially a crowd phenomenon.

    One of the things that Mel Gibson’s Pilate says to the crowd is not contained in the Gospels, but it seems to me to be faithful to its spirit: “Five days ago you wanted to make this man your king and now you want to kill him.” This is an allusion to the triumphal welcome Jesus received the preceding Sunday, known as Palm Sunday in the liturgical calendar. The crowd that receives Jesus triumphantly is the same crowd that shouts for his death five days later. Mel Gibson is right, I think, to emphasize the crowd’s sudden about-face, its cruel inconsistency and surprising volatility. All crowds in the world shift easily from one extreme to the other, from passionate adulation to hatred and the frenetic destruction of the same, single individual. Moreover, there is a great Biblical text that resembles the Passion in more ways than is generally thought: the book of Job. After having been the leader of his people for many years, Job is brutally rejected by this same people, who threaten him with death through the intermediary of three representatives, always called (rather grotesquely) “friends of Job.”

    The essence of an excited, terrified crowd is to not calm itself before satisfying its appetite for violence on a victim whose identity most often scarcely matters to it. Pilate is well aware of this, for as an administrator he has experience in crowd control. At first, he proposes to the crowd the crucifixion of Barabbas in place of Jesus. After the failure of this first, well-tried method, to which he obviously resorts too late, Pilate has Jesus whipped in the hope that this will satisfy at a lesser cost, if you will, the appetite for violence that is the essential characteristic of this type of crowd.

    If Pilate proceeds in this way, it is not because he is more humane than the Jews, nor is it necessarily on account of his wife. The most likely explanation is that in order to be well considered in Rome, which took pride in bringing the pax romana to every region, a Roman civil servant would always prefer a trouble-free, legal execution to an execution imposed by the multitude.

    From an anthropological point of view, the Passion has nothing specifically Jewish about it. It is a crowd phenomenon that obeys the same laws as all crowd phenomena. Careful observation will detect equivalent phenomena in the numerous foundational myths that recount the birth of archaic and ancient religions.

    Almost all religions are, I believe, rooted in collective violence analogous to that which is described or suggested not only in the Gospels and the book of Job, but also in the songs of the Suffering Servant in second Isaiah, as well as in many Psalms. Pious Christians and Jews have wrongly refused to reflect on these resemblances between their sacred books and myths. An attentive comparison reveals that beyond these resemblances, but also because of them, we can observe a difference, at once subtle and gigantic, between the mythical on one side, and the Judaic and the Christian on the other, which makes the Judaeo-Christian incomparable with respect to the most objective truth. Unlike the myths that systematically adopt the point of view of the crowd against the victim, because they are conceived and told by the lynchers, and thus they always see the victim as guilty (as in the incredible combination of parricide and incest that Oedipus is accused of, for example), our Scriptures, the great biblical and Christian texts, acquit the victims of the crowd, and this is exactly what the Gospels do in the case of Jesus. This is what Mel Gibson shows.

    Whereas myths incessantly repeat the murderous delusions of crowds of persecution (which are always analogous to those of the Passion), because this illusion satisfies the community and furnishes an idol around which it can come together, the greatest biblical texts, culminating in the Gospels, reveal the essentially deceptive and criminal character of crowd phenomena, on which the mythologies of the world are based.

    In my view, there are two principal attitudes in human history: there is the mythological, which tries to dissimulate violence, because in the final analysis, it is on unjust violence that human communities are founded. This is what we all do when we give in to our instincts. We try to cover the nudity of human violence with Noah’s cloak. And we turn away if necessary, in order not to expose ourselves to the contagious force of violence by looking at it too closely.

    This attitude is too universal to be condemned. This is in fact the attitude of the greatest Greek philosophers, in particular Plato, who condemns Homer and all the poets because they take the liberty of describing in their works the violence that the myths attribute to the gods of the city. The great philosopher sees in this brazen revelation a source of disorder, a great danger for the entire society.

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    This is certainly the religious attitude that is the most widely shared, the most normal, the most natural to man. And today it is more universal than ever, for modernized believers, Christians as well as Jews, have at least partially adopted it.

    The other attitude is much rarer; it is even unique. It is found only in the great moments of biblical and Christian inspiration. It consists not in chaste dissimulation but, on the contrary, in the revelation of violence in all its injustice and all its delusion, everywhere where it is possible to observe it. This is the attitude of the book of Job, and it is the attitude of the Gospels. It is the bolder of the two attitudes, and in my view, the greater. It is the attitude that has allowed us to discover the innocence of most of the victims that even the most religious people over the course of history have never ceased to persecute and kill. This is the common inspiration of Judaism and Christianity, and it is the key, one must hope, to their future reconciliation. It is about the heroic inclination to put the truth above even the social order. It is to this enterprise, it seems to me, that Mel Gibson’s film makes every effort to be faithful.

    Translated by Robert Doran

  • The Limit of Explanation: Following the “Why” to its Epistemological Terminus

    The Search for Explanation

    In this essay I will examine the theory and praxis of explanation and demonstrate the unsustainable character of its claims and underlying presuppositions. My involvement in this project stemmed originally from my interest in contributing to a development of a formal methodology in the humanities. The methodology of the sciences is well established today and is based on a set of accepted tenets that serve as guidelines in scientists’ pursuit of theories. As Michael Ruse puts it:

    Surveying science and the history of science today, one thing stands out: science involves a search for order. More specifically, science looks for unbroken, blind, natural regularities (laws). Things in the world do not happen in just any old way. They follow set paths, and science tries to capture this fact. Bodies of science, therefore, known variously as ‘theories’ or ‘paradigms’ or ‘sets of models’ are collections of laws (PS 39).

    Among the governing principles, scientists single out explanation, prediction, testability, and non-falsifiability as the most salient. Explanation usually comes first, as nearly all scientific quests start as attempts to explain physical phenomena. It has a symmetrical facet–that of prediction. In other words, to understand an empirical phenomenon from a scientific point of view means to have cognizance of a certain law-like physical regularity such that the phenomenon can both be explained and predicted. The distinction between the two activities bears the pragmatic character of what the questioner knows first: that the phenomenon has already occurred–and thus he has to furnish its explanation–or that necessary antecedent conditions obtain–in which case, he can deduce its occurrence. Thus the sight of a baseball flying in the direction of a window makes me anticipate the sound of shattered glass coming closely on its heels, while if I see and hear a window being broken, I immediately start looking for its human or natural source (my familiarity with this phenomenon would include the implicit knowledge of the law of the conservation of momentum and the low shock-resistance of glass).

    As we make a transition to less precise disciplines–first to the social sciences, then to the humanities–the role of explanation and prediction grows progressively more dim. In the humanities, we no longer expect perfect predictive validity from theoretical claims, but this does not mean that the explanatory principle has been rendered irrelevant. Although the use of the term “explanation” itself is not as explicit as it is in science, the explanatory enterprise still serves as the animating impetus behind many activities. Whether tracing through textual interpretation how a text can be brought into a correspondence with another text, or engaging in deconstructive and cultural criticism informed by the workings of language, we implicitly assume that the insights we have gleaned from our analyses have more than just local value. We expect, in fact, that in some way, they have broadened our understanding of the subject and that the next time around, we will be shrewder at spotting pertinent rhetorical figures or semantic features. We still aim at some regularity of knowledge, still hanker after some sort of an illumination. But predictiveness of the humanistic kind is loose and empirically contingent on given context, in contradistinction to reliable predictions supplied by scientific theories. And what form is our illumination to take? What kind of an understanding can we cull from the imprecise humanistic disciplines? If what we know is not sufficiently general or categorizable to yield a cogent prediction under some systematic method of interrogation, can it still be summarized and conveyed in an explanation, and if so, to what kind of an explanation would it be amenable?

    To try to clarify these questions for myself, I set out to investigate scientific explanation, which constitutes an already established discourse with a set of defined issues and standard arguments. I made a foray into the philosophy of science in the hope of gaining some valuable perspective that would allow me to transfer relevant insights and outline a legitimate explanatory problematic in the humanities. To my surprise, I discovered that explanation in the sciences is far from a resolved matter but presents an ongoing debate with several competing models. Each model attempts to overcome the obstacles that other models run up against, but in so doing, it reveals weaknesses of its own. The main problem rests with the philosophical difficulties of articulating formal explanatory criteria. These difficulties in each particular case are either ignored or settled by resorting to an intuitive understanding of explanatoriness. The unexamined appeal to intuition that underpins the scientific discourse indicates to me that, perhaps, the problematic of explanation transgresses or does not even properly belong to the domain of science. Perhaps the real question instead is what lies behind this circumvention of reason and falling-back on the explanatory “sensation,” which makes it no longer a scientific issue, but a humanistic one. In this case, the focus is no longer on the methodologies in the humanities but on redefining explanation as an anthropological project.

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    In the following argument, I will present an overview of the existing theories of explanation in philosophy of science together with their critique, followed by a concluding section on the anthropological implications of the explanatory discourse’s failure, which I will connect to some relevant theoretical points of generative anthropology. Those who wish to skip the technical part can fast-forward to the last subdivision of this article, entitled “The Anthropological Content.” Alternatively, those who do not want to wade through the entire technical argument but want to get some idea about the limit of explanation should go directly to the section on “The Breakdown of Functional and Genetic Explanations.” I have structured my exposition historically, starting with the two standard competing accounts of explanation–those of the covering law and of causation, represented by Carl Hempel and Wesley Salmon, respectively. I then follow with several alternative explanatory paradigms–the pragmatic model of Bas van Fraassen, the capacities model of Nancy Cartwright, and the schematic account of Philip Kitcher. Finally, I present functional and genetic explanations in evolutionary biology, exemplified by the views of Larry Wright and Robert Cummings. I dwell on these theories in great detail, because I view them as crucial for understanding how a scientific issue becomes a problematic in the humanities.

    The Covering-Law Theory: First Attempt at Scientific Explanation

    The modern scientific theory of explanation begins with Carl Hempel and Paul Oppenheim’s 1948’s essay “Studies in the Logic of Explanation,” which to this day remains highly influential: more recent writing has defined itself mainly as a response to the ideas set forth in the authors’ original position. The article begins by stating that explanation is an answer to the why-question (in contradistinction to the what-question, which prompts rather a description of a phenomenon in question). In a later essay, Hempel provides a “mini-anthropology” as a frame for his largely formal-logical investigation. The need for explanation, he contends, stems from “two enduring human concerns,” one practical and the other idealistic. The practical aspect has to do with “man’s quest for foresight and control,” which “makes it important for him to find reliable ways of foreseeing changes in his environment and if possible, controlling them to his advantage.” The idealistic motive “lies in his sheer intellectual curiosity, in his deep and persistent desire to know and to understand himself and his world” (ASE 333).

    The basic schema of explanation outlined by Hempel and Oppenheim’s article goes as following. Explanation as an answer to a why-question, they maintain, is an argument that logically deduces the explanandum (the description of a phenomenon to be explained) from the explanans (general laws and specific antecedent conditions which account for the phenomenon). One of the illustrations given is that of the bent appearance of an oar under water (or a spoon in a cup of tea). If the questioner wants to know why this is so, an appropriate explanatory response would list the general laws in this case, such as the law of refraction and the relative difference between the densities of water and air, and mention the antecedent conditions, namely a straight wooden object located partly in the water, partly in the air.

    The above is an example of a deductive argument–a conclusion that can be logically deduced. There are also inductive arguments, whose validity we demonstrate by an inferential appeal to some known statistical regularity. One could, for instance, ask why there occurred a sudden price drop at the US cotton exchanges. An explanation of this fact would invoke the economic law of supply and demand and the antecedent conditions of there being a sudden large accumulation of cotton stocks (appealing to the logic that when there exists no appreciative rise in demand for a good, increased supply should cause its price to plummet). Another example would be asking for an explanation as to why this particular patient has successfully recovered from a streptococcal infection. A reasonable explanation would mention that the penicillin has been administered to the patient, and that penicillin treats the streptococcal infection with a high degree of statistical probability. In other words, when there exists a reasonably high likelihood that a certain anticipated event will come to pass, a well-established statistical regularity can be used in place of a general law.

    A general law could also be subsumed under a another, more general law. One could question why the propagation of light obeys the law of refraction and answer this question by pointing out that all wave phenomena are subject to refraction, and light is a wave phenomenon. Because the pivotal part of the explanatory argument constitutes an appeal to a general law or a set of general laws which are required for the derivation of the explanandum, the explanatory schema set forth by Hempel and Oppenheim came to be known as the covering-law conception of scientific explanation.

    Hempel and Oppenheim also look at motivational and teleological explanations and dismiss both. The motivational explanation is an answer to the question of the type: “why did John buy fish?”–“because he wanted to have fish for dinner.” But as the authors explain, to assign a motivation to an actor is functionally indistinguishable from explaining the action causally: the person’s wish or belief can be postulated as a statistical law (John’s desire for fish made him do it), while the goal itself could be ignored, since at the moment of the action, there is no certainty that the goal may ever be reached. (Some historical explanations are not uncommonly framed in motivational terms: “Why did Hitler invade Poland? Because he believed that by doing so, he would attain such-and-such strategic goal.”)

    Teleological explanations are somewhat trickier. Even if one discounts the teleological explanation in its traditional, now archaic, form of the Creator purposefully creating the thing in question, there remains the widely used “functional” explanation in evolutionary biology. Functional explanation responds to the question of why a certain feature is there: for example, “why a jack-rabbit has long ears” or “why human blood has red corpuscles” or “why mimicry exists in nature.” A common answer–“in order to effect this and that” (e.g., assist thermoregulation)–is teleological in character insofar as it implicitly presupposes a purpose in its formulation. Evolutionary biologists have since argued that it is possible to couch functional explanation in non-teleological terms, amounting to a claim about evolutionary advantage. However, I believe Hempel and Oppenheim’s criticism of this argument to be valid, as I will demonstrate in “The Breakdown of Genetic and Functional Explanation” section below.

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    When functional explanation is stripped of teleology, it tends to be presented as an account of how a certain adaptive mechanism developed (e.g., “one jackrabbit was born with large ears, which proved to be superior in controlling its body temperature, because larger ears contained more blood vessels that could be dilated in hot weather, radiating more heat and thus cooling the animal more efficiently; those descendants of this jackrabbit who inherited this characteristic survived in larger numbers, because they had an adaptive advantage; as a result, the entire population of jackrabbits came to possess large ears”). In this narrative form, functional explanation merges with the class of genetic explanations. A genetic explanation “that consists in telling a story leading up to the event to be described” (SE 32) is invoked in evolutionary theory, cosmology, geology, and history, among other disciplines. This type of explanation deals with emergent phenomena, i.e., phenomena that can be described as principally novel or unexpected, because their occurrence cannot be predicted based on the available information: they can neither be logically inferred from the immediately preceding state of the system nor surmised from the consideration of its constitutive parts. In giving a genetic explanation, one thus recounts a narrative of how something came to pass. Thus in explaining the Universe, one tells the story of its origin, starting with the Big Bang; in explaining the appearance of a new species, one tells the story of Darwinian selection.

    Some Objections to the Covering-Law Theory

    Even though the covering-law thesis (with later enhancements and modifications) remains widely accepted in the scientific community, it was met with several serious challenges soon after its publication. One important issue that it raised was its unexamined concept of a general law. Can a general law be defined and thus distinguished from a merely accidental generalization? This, it turns out, is far from a trivial task. A famous counterexample is that of a barometer. When we observe a sharp drop in barometric pressure, we know with a high degree of certainty that a storm is coming. It could be said that a correlation between weather and barometric reading constitutes some kind of a general law; yet none will argue that the drop in pressure explains the storm, because both events are caused by atmospheric conditions. An obverse of this is the example of the moon and the tides. Ancient mariners knew about the connection between the position and phases of the moon and the ebb and flow of the tides but did not construe this phenomenon in explanatory terms. Instead they saw it merely in terms of a correlation between the two, believing in all likelihood that God helpfully placed the moon in the heavens in order to guide them. It was only with Newton that people came to understand that it is the moon that governs and thus explains the rise and fall of the tides.

    Another issue raised is that of the lack of temporal constraints. The reasoning used in the original treatment of explanation is time-independent. This creates the so-called asymmetry problem. In one of its classical formulations, it is presented as the explanation of an eclipse. Kepler’s or Newton’s law will allow us to deduce the time of a lunar eclipse from a given preceding point in the relative positions of the earth, the sun, and the moon. It could be said that the laws of celestial mechanics, in conjunction with the knowledge of some earlier positions of the planets, explain the phenomenon of the eclipse. Yet the same (time-invariant) laws of mechanics would allow one to deduce an eclipse “backwards,” so to speak, that is from some later point in the relative positions of the sun, the moon, and the earth. Nevertheless, the proposition that this “backward” deduction can be legitimately counted as an explanation presents itself as highly problematic. From the same problematic league comes the flagpole example. A flagpole on a sunny day casts a shadow on the ground. The length of the shadow can be explained by deriving it, using the law of the rectilinear propagation of light, from the position of the sun in the sky and the height of the pole. However, many would balk at stating that the reverse of this reasoning also constitutes an explanation, that is to say that the height of the flagpole is explained by the length of the shadow.

    Yet another important objection that I would like to mention is that of irrelevance. The problem with the covering-law model is that it does not specify explanatory relevance conditions. Two typical counterexamples to Hempel’s and Oppenheim’s position are those of “hexed” salt and birth-control pills. In the first example, it could be suggested using the covering law’s reasoning that a pinch of salt has successfully dissolved in water because someone, wearing a magician’s hat, waved a wand over it and cast a magic spell. In the second example, it could likewise be claimed, following the same logic, that a man has not become pregnant because he has been regularly taking his wife’s birth-control pills. Clearly, both claims are patently absurd, evincing that some important considerations are missing from the proposed covering-law schema.

    The Causal Model of Explanation

    The critics of the received view came up with a “rival” model that made an appeal to causes instead of general laws. Indeed, if the causal account is adopted in place of the covering-law account, it will solve the asymmetry and the accidental generalization problems. Causality instantiates the idea of temporal succession. To represent two physical events causally is to describe them in terms of a spatio-temporal contiguity. But this also requires the resurrection of the metaphysical notion of influence as that of causal force brought into existence by causal mechanisms. Switching the focus from law-like regularities to causal connections will show the inadequacy of the covering-law model in relation to the barometer example. The barometric reading and the storm do not enter into the relationship of causal dependency but merely of that of a correlation: the barometric reading is caused by the low atmospheric pressure, which, in turn, frequently accompanies the storm. Similarly, in the case of the flagpole, causal analysis will discriminate between the two symmetrical geometric derivations by demonstrating that the shadow is causally posterior to the flagpole and can thus be explained by it, while the opposite is not true.

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    It would seem that attributing explanations to causes rather than to general laws would be an advantageous strategy because it would resolve some of the outstanding issues in the received account. At the same time, it too is not free from problems, which is the reason why the original thesis, in adhering to the empiricist tradition, appealed to laws rather than causes in the first place. For what are causes really? Being indebted to David Hume’s view of causality as simply “constant conjunction” and his skepticism in regards to the metaphysical “reality” of causal connections, empirical reasoning aims to expurgate the remnants of theological ideas from sciences. An empiricist is committed to real phenomena and testable facts instead of unobservables and metaphysical constructions. This viewpoint is eloquently summed up by Bas van Fraassen in his book The Scientific Image:

    To be an empiricist is to withhold belief in anything that goes beyond the actual, observable phenomena, and to recognize no objective modality in nature. To develop an empiricist account of science is to depict it as involving a search for truth only about the empirical world, about what is actual and observable. Since scientific activity is an enormously rich and complex cultural phenomenon, this account of science must be accompanied by auxiliary theories about scientific explanation, conceptual commitment, modal language, and much else. But it must involve throughout a resolute rejection of the demand for an explanation of the regularities in the observable course of nature, by means of truths concerning a reality beyond what is actual and observable, as a demand which plays no role in the scientific enterprise (TSI 202-203).

    Even though the advocates of the causal approach have came up with some illuminating and original ways of resuscitating the idea of causal influence (see, for example, Wesley Salmon’s “informational” conception of causal processes as processes that are capable of transmitting a mark in a spatio-temporally continuous way (SE 107-116)), causal theories still remain vulnerable to the charge of metaphysical thinking.

    The explanatory model that understands the world in terms of causal interactions is termed the ontic conception of explanation, in contradistinction to the epistemic conception, which constructs knowledge on the strength of observation and inference. The strength of the ontic view inheres in its felt intuitive and commonsensical nature. After all, causal considerations are ubiquitous in our everyday reasoning, which is probably because causal explanations appeal to us and appear to wield superior explanatory power. Unlike Hempel’s and Oppenheim’s epistemic conception (the received view), which assumes a symmetry between descriptive and explanatory knowledge, the ontic conception makes a discrimination between the two and claims it as its strength. In the words of Wesley Salmon, “the realist can say that explanatory knowledge is knowledge of underlying mechanisms–causal or otherwise–that produce the phenomena we want to explain. To explain is to expose the internal workings, to lay bare the hidden mechanisms, to open the black boxes nature presents to us” (SE 134).

    Inadequacies of the Causal Conception

    In addition to its questionable epistemological status, the weakness of the causal model lies in its failure to handle probabilistic explanation in a satisfactory manner. Phenomena that are described by statistical rather than by deterministic laws are, of course, greatly prevalent in the world around us. In medicine and biology, we commonly deal with stochastic processes; and the odds of contracting a disease, developing a medical condition, or being cured by a prescribed course of treatment are all statistically calculated. Probabilistic models are also involved in the explanations of indeterministic or chance phenomena, such as the decay of carbon isotopes or the outcome of a throw of a coin. If one accepts the regularity-based conception of explanation, one has no philosophical qualms about explaining an occurrence by appealing to statistical laws. In everyday life, one accepts as adequately explanatory a proposition that a patient’s recovery is attributable to her having undergone a treatment by a highly effective drug. Neither is it problematic to explain a gambler’s winning streak by claiming that his dice are loaded and that in loaded dice, sixes turn up more frequently. For a “causalist,” however, these and other examples of events with probabilistic outcomes present a veritable conundrum, because no specific causal mechanism can be identified.

    A weakness of the causal approach pertaining to individual cases is that singular explanations are sometimes nonexistent or inadequate. At this point, for instance, it is impossible to give an exact answer to the question of why this but not the other patient responded favorably to medication. Biology may or may not turn out to be genuinely indeterministic. We could, of course, nurse the hope that someday, with an increased state of medical knowledge, such an answer will be forthcoming. But this does not change the fact that there exist areas of irreducibly indeterministic character that causal reasoning will fail to illuminate. There could be simply no explanation as to why this particular radioactive isotope, and not its neighbor, decayed at this particular point, although we may have a ready explanation as to why a sample of radioactive material was reduced by a certain percentage after a certain number of days. Similarly, we may explain the percentage of electrons that tunnel through a barrier, but we could never explain why a given electron, as opposed to some other electron, tunneled through instead of being reflected. Philip Kitcher (SE 428-430) provides a vivid example of why looking for local as opposed to general explanatory accounts is sometimes not enough. His example concerns the reason why noble gases are chemically inert. The explanation involves the application of the Pauli exclusion principle to the atomic energy levels and the derivation of the idea of the electron shell-filling around the nucleus. One can demonstrate that in noble gases, the outermost shell is fully filled, which leads to the state of affairs whereby these chemical elements lack the opportunity to form ionic bonds. The explanation of why a certain noble gas cannot form compounds is thus made from a negative premise, using general reasoning. If we, on the other hand, were to trace a complete causal history of an argon atom in the presence of other elements, its history of chemical inactivity would tell us nothing of explanatory relevance.

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    The Impasse

    As we have seen so far, both the covering-law and causal paradigms are marred by serious flaws, even though each is illuminating in its own way. An ongoing argument concerns the philosophical primacy of each conception. Empiricists insist that the allegiance to laws must have precedence over that to causes, since our knowledge of regularities is based on observation and experiment. They suggest that our understanding of the world as an environment steered by causal mechanisms is not as incontrovertible as it might seem at the first glance. It is the other way around, as they see it: namely, it is our inherent understanding of the world that is ruled by lawful generalizations that makes for the a posteriori construction of causality. Onticists counter that causes provide powerful and intuitive criteria for the distinction between explanatory and descriptive knowledge, and that the fact that causal representation makes use of nonobservables should not be seen as a problem, since many scientific descriptions also resort to unobservables (such as the atomic model). Salmon writes: “There is no logical necessity in the fact that causal mechanisms involve nonobservables; that is just the way our world happens to work” (SE 133). The view of causality as pre-eminent in human thinking is questioned by Kitcher, but backed up, on the other hand, by some cognitive science researchers. Kitcher believes that it is a mistake to “naturalize” causes: “Our everyday causal knowledge is gained by absorbing the lore of our community. . . [T]here passes into our common ways of thinking, and our common ways of talking, a view of the ordering of phenomena, and this picture of how phenomena are ordered is expressed, often though not invariably, in our recognition of causal dependencies” (SE 436). In claiming a derivative status for causality, he issues a challenge to the subscribers to the causal view: “If causal knowledge is observable knowledge, then the apparently implausible implications of that position should be addressed. But, if causal knowledge is inferential knowledge, then we are owed an account of the observational conditions on which causal justifications depend” (SE 460). (Something like the account that Kitcher requests is offered by George Lakoff and Mark Johnson in their book, Philosophy in the Flesh, where they contend that conceptualization belongs intimately to the phenomenon of embodied cognition. A repeatedly observed connection between our physical effort and its effect on the environment is externalized and projected onto the outside world and neurally imprinted as a causal mechanism–something to which I will return later).

    The argument between the two rival conceptions of causes and laws is, to a large degree, an argument about understanding. Hempel, in Aspects of Scientific Explanation, writes that “to explain something to a person is to make it plain and intelligible to him, to make him understand it” (ASE 425). But what does it mean to “make someone understand something”? According to Salmon, “explanations enhance our understanding of the world. Our understanding of the world is increased (1) when we obtain knowledge of the hidden mechanisms, causal or other, that produce the phenomena we seek to explain, (2) when our knowledge of the world is so organized that we can comprehend what we know under a smaller number of assumptions than previously, and (3) when we supply missing bits of descriptive knowledge that answer why-questions and remove us from particular sorts of intellectual predicaments” (SE 135).

    Some Later Attempts to Solve the Problems of the Two Models

    Just what is implied by the idea of answering a why-question is elucidated by the linguistically-inspired pragmatic approach to explanation and one of its most prominent proponents, Bas van Fraassen. In the latter’s view, it is not necessary to resort to the notion of causes, with all the epistemological problems that they invite, in order to resolve the problems with the received view. Van Fraassen makes a somewhat Piercean point about explanation, saying that it constitutes a triadic relationship:

    The discussion of explanation went wrong at the very beginning when explanation was conceived of as a relationship like description: a relation between theory and fact. Really it is a three term relation, between theory, fact, and context. No wonder that no single relation between theory and fact ever managed to fit more than a few examples (TSI 156).

    His contention correspondingly is that when the missing context is supplied, both the relevance and asymmetry problems are automatically solved, because why-questions typically arise in very specific contexts. When we ask a why-question, what we mean is “why this as opposed to that, that or the other thing?”, what van Fraassen calls “the contrast class,” which implies relevant background knowledge. For instance, in the example of the baseball breaking the window, the contrast class would be “the baseball broke the window” vs. “the baseball bounced off,” while our background information might include the possibility that the window is made of bullet-proof glass or that the baseball is manufactured of a very light, sponge-like material. In van Fraassen’s view, if we are supplied with a properly developed “background theory” and have correctly defined the contrast class, we could easily rule out an invalid or irrelevant question (for example, in the case of the “hexed salt,” the contrast proposition, namely that “the non-hexed salt sample did not dissolve” would obviously not be true). Thus van Fraassen implies that it is possible to maintain an empiricist position (that is to say, remain an agnostic with regard to the existence of nonobservables, such as causes) and at the same time, to escape the problems that beset the formalism of the received view by countering it with an alternative account of explanation, which uses pragmatic tools of interrogation (erotetic logic: that of thought processes whose conclusions are questions rather than assertions).

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    One of van Fraassen’s more memorable analyses is his rearticulation of the flagpole example that resolves the asymmetry problem. My own qualms with this example is its disturbingly question-begging character. Why would the questioning of the shadow length even arise? Without providing the circumstances, this question strikes me as purely formal and meaningless. One possible context that will imbue this demand for explanation with meaning would be to ask: “Why are the shadows so long? It must be later than I thought.” Another possibility might even be: “Why are the shadows so long? We must be no longer on earth.” Van Fraassen’s own counterexample is quite clever and provides a meaningful context, such that the prompt to explain the length of the flagpole, given the length of the shadow (he replaces the flagpole with a tower) makes immediate sense. His is a story of a wealthy landowner, who murders his servant on the terrace of his house at 5 o’clock and later orders a tower built in such a location and of such a height that its shadow would cover the terrace at exactly 5 o’clock and spare the owner the unpleasant memories. Bas van Fraassen’s pragmatic approach seems like a viable alternative to the covering law vs. the causal conception dilemma. But objections posed by its critics involve offering various examples that stymie its formal logic and allow for some patently absurd or invalid explanations. At the heart of the issue lie doubts about the possibility of creating adequate “background theory,” which go back to the question of whether it is possible to codify our knowledge about the world. If knowledge, i.e., pragmatic context, cannot on principle be formalized then the pragmatic theory of explanation is vulnerable to the same class of criticism as the received view, with the latter’s inability to provide formal criteria for “general laws.”

    Another interesting attempt to handle the problem of explanation through law-like regularities occurs in Nancy Cartwright’s The Dappled World. Her main contention is that seeing the world of physical phenomena through the lens of covering laws is a mistake. Laws of nature as “necessary regular association[s] between properties” (TDW 49) are useful abstractions that are mistakenly universalized. They are useful in that they create working scientific models, but the models they allow work only on the “everything else being equal” (ceteris paribus) basis. That is to say they “hold only in circumscribed conditions or so long as no factors relevant to the effect besides those specified occur” (TDW 28), such as inside a battery, refrigerator, or a rocket–insofar as special shielding conditions are in effect. Under the circumstances when the protective cover is destroyed or cannot be constructed, general laws no longer obtain. Cartwright’s example is the case of throwing a crumpled banknote out of the window. In this case, Newton’s laws of mechanics and their application to falling bodies would be of almost no help in calculating the time it will take for the bill to hit the ground. One would have to take into consideration the action of the wind–a phenomenon so complex that it may never be successfully modeled.

    Cartwright’s name for the special circumstances in which law-like regularities hold ceteris paribus is a “nomological machine.” As she visualizes it, a nomological machine is “a fixed (enough) arrangement of components, or factors, with stable (enough) capacities that in the right sort of stable (enough) environment will, with repeated operation, give rise to the kind of regular behavior that we represent in our scientific laws” (TDW 50). But if laws can no longer be seen as universal and governing all matter, but are instead restricted and dependent on nomological machines to recreate them, what then persists? It is difficult to shake off an intuition that Newton’s laws are still in operation, if only partially, in the case of the crumpled note: it is just that other forces should also be taken into consideration for constructing the total force. Cartwright suggests instead to re-conceive physical objects in the physical world as endowed with “capacities,” something not unlike Aristotelian natures: “to ascribe a behavior to the nature of a feature is to claim that that behavior is exportable beyond the strict confines of the ceteris paribus conditions, although usually only as a ‘tendency’ or ‘trying’” (TDW 28-29).

    Capacities, according to Cartwright, have philosophical primacy: they are the properties that set forth the principles for the construction of nomological machines in the first place. Thus, instead of proclaiming the universal validity of Newton’s laws, it would be more accurate to say that masses always have a capacity to attract each other. Similarly, one could say that the Coulomb’s principles account for the capacities of charged bodies to attract or repel each other. Capacities are always at work and have exact strength, which might be masked by other capacities that operate jointly with them. Importantly, however, capacities do not constitute “occurrent” or “measurable” properties in the empiricist’s sense, such as positions, speeds, or masses of objects (it is not possible to measure “attraction” per se, after all)–they are abstractions. But they are indispensable abstractions, without which it would be impossible to get the nomological machine functioning. The reason that capacities are “better” than causes is that by operating with the notion of capacities one could, from the empirical point of view, make justifiable truth claims. The reason, on the other hand, that capacities are “better” than regular associations encoded as laws is that (and here she makes an argument similar to the causalists’) the universal law picture of the world is not good at distinguishing laws from accidental regularities, while with capacities, the problem of fake dependencies, such as those between the barometer and the storm, would not arise. As we can surmise from this, Cartwright advocates the view of scientific explanation that relies on capacities or neo-Aristotelian natures. It is an ontologically pluralist view, which does not seek to subsume laws under more general laws and eventually unify all regularities under one grand equation, but proposes diverse answers to why-questions in accordance to a script that runs something like this: “Why did such- and-such occurrence take place? Because it is in the nature of this type of object, endowed by such-and-such properties to effect this.” Cartwright thus conceptualizes explanation by resorting neither to causes, on the one hand, nor to the empiricist fundamentalism of pure facticity, on the other.

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    Last in this brief overview of scientific explanation, I will mention the explanatory pattern schemata of Philip Kitcher. Just as Nancy Cartwright’s re-casting of the law-based view of the physical universe into the one that understands regularities as epiphenomenal, arising out of the successful operation of nomological machines, can be read as a way of fixing the problems with the Hempelian conception, Kitcher’s idea of argument patterns could, in its turn, be understood as a further refinement of the causal conception in an attempt to articulate a causal account of statistical and emergent events. Instead of a history of causal propagation, Kitcher proposes constructing a schematic argument. He remarks that “[f]aced with explanation-seeking questions, the scientist is disposed to produce texts instantiating particular patterns” (TAS 82). These argument patterns, he contends, capture and schematize the way we understand theory. Kitcher invokes Thomas Kuhn’s observation that “even in those instances where there are prominent statements that can be identified as the core of the theory, statements that are displayed in the texts and accompanied with names–as, for example, Maxwell’s equations, Newton’s laws, or Schrödinger’s equations–it is all too common for students to know the statements and yet fail understand the theory, a failure signaled by their inability to do exercises at the end of the chapter. Scientific knowledge involves more than knowing the statements. . . [T]o know a theory involves the internalization of the argument pattern associated with it” (SE 437-438). Internalizing a schematic argument, according to Kitcher, means knowing how to “translate” a theoretical statement into a narrative line of reasoning and apply it to a specific situation (instantiate it). In this way, a schematic argument is rendered as a succession of schematic sentences. For example, a probabilistic moment in a statistical law, such as Mendel’s law of genetics, could be articulated as a schematic sentence: “for any individual x and any alleles yz if x has yz then the probability that x will transmit y to any one of its offspring is ½.” (SE 439).

    A strength of this approach is that it could be extrapolated to emergent phenomena and thus made to accommodate genetic explanation. The narrative form of the schematic argument is particularly suitable for these types of explanation. Thus, Kitcher’s application of this method to Darwinian selection entails encoding the emergent event of mutation as a schematic sentence of the type–“among organisms G there occurred a variation”–in the sequence of sentences that make up the narrative of how an advantageous property came to be selected. Another advantage of this representation is that explanations could be extended, which means that various narrative strands could be woven together. For example, the Mendelian narrative of inheritance could be included in the Darwinian narrative by way of detailing of what exactly is meant by the claim that a given property is heritable. The author believes explanation extension to be a strength, because it allows for a unification of theories without insisting, at the same time, on reducing all laws and explanatory accounts into one fundamental law. It is possible, says Kitcher, that “sciences may not be identifiable by concentrating on a few grand equations” (SE 447). Ultimately, what the argument pattern and causal conception have in common is that they both cater to the same intuition that wants an explanation to be narrative, that is to say, to recount it as a historical sequence of events that have led to the explanandum. But Kitcher’s claim for the superiority of the schematic argument is that it avoids the weaknesses of the causal model, because it holds up in two important areas where the latter breaks down: 1) in being able to provide generalized accounts (such as explaining the formation of chemical bonds); and 2) in accounting for emergent and chance events.

    The Psychological Undercurrent

    In trying to identify the bone of contention between the two theories, it is hard to escape the conclusion that the divisive issue is the ambiguous status of explanation between that of a formal argument and a psychologically motivated act of justification. It would be simple, on the one hand, to just let go of the psychological aspect of what “feels” like an explanation, and concentrate on what one wants explanation to be or to do. This is what Hempel seems to be after when he insists, in his “Aspects of Scientific Explanation” article, on scientific explanation free from pragmatics, saying:

    scientific research seeks to account for empirical phenomena by means of laws and theories which are objective in the sense of their empirical implications . . . ; and the explanations . . . based upon such laws and theories are meant to be objective in an analogous sense. This ideal intent suggests the problem of constructing a nonpragmatic concept of scientific explanation–a concept which is abstracted, as it were, from the pragmatic one, and which does not require relativization with respect to questioning individuals any more than does the concept of mathematical proof. It is this nonpragmatic conception of explanation which the covering-law models are meant to explicate (ASE 426).

    But if one renounces all pragmatic considerations, resists all impulse to psychologize, and disavows all recourse to anthropomorphic thinking (exposed by Hempel and Oppenheim in the case of functional and teleological explanations) what would remain of explanation proper? Or, to restate, how would what one is left with be different from straightforward scientific description geared toward prediction? The covering-law view does, in fact, claim a symmetry between explanation and prediction. But in this case, it would seem, the prompting question should correctly be a how-question, which does not discriminate between the two, because it could be read in both directions. Knowing “how” something works is also the projective knowledge, in Cartwright’s terminology, of how to construct a nomological machine. “Why,” in contradistinction to “how,” contains a remainder, with respect to simple description. It is to this remainder that Hempel himself alludes in saying that explanation be made intelligible to the person who is asking.

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    The causal approach to explanation, on the other hand, exploits the expectation of intelligibility by demonstrating the inadequacy of the covering-law theory in handling asymmetries. The supporters of this approach remonstrate by insisting that we should look to our explanatory practices in order to locate the ground for explanatoriness. It is interesting that Salmon’s objection to Hempel’s dismissal of functional explanation in evolutionary biology turns the tables on the formal definition of explanation:

    If an admissible explanation of any fact must be an argument to the effect that the fact-to-be-explained was to be expected by virtue of the explanatory facts, then functional ‘explanations’ are not admissible explanations. But I have often noticed that, in philosophy as well as other human endeavors, one person’s counterexample is another’s modus ponens. Hempel concludes from his discussion that functional analysis cannot qualify as an admissible type of explanation; at best, it has heuristic value. Others, myself included, would take the moral to be that, since functional explanations play a legitimate scientific role, explanations cannot always be arguments of the sorts endorsed by the received view (SE 31).

    In other words, in Salmon’s view, an argument should be legitimated as explanatory if it has been accepted as explanatory.

    Conversely, if an argument cannot be accepted as explanatory, it is problematic to claim that in some formal sense it “is.” Statistical explanations could be a case in point. The causal conception deems chance occurrences as simply inexplicable. The covering- law view asserts that there is “a statistical-probabilistic concept of ‘because,’ in contradistinction to a strictly deterministic one” (ASE 393), which has to do with expectations of favored odds, and on the strength of which we could accept explanations about such things as the efficacy of drugs or unusual winning streaks. But covering-law formulations of highly likely outcomes are valid from a bird’s eye perspective and as long as they describe chance events collectively: “loaded dice tend to come up sixes,” as Cartwright might express it. In situation, on the other hand, where the randomness of the outcome is increased or events are individualized, justifying statistical explanations becomes considerably less acceptable. Hence, the less likely the event, the more shaky the explanation. Consider, for instance, the proposition: “it is in the nature of electrons to sometimes tunnel through a barrier and sometimes not.” It is a measurably less satisfactory an explanation than the previous example.

    Similarly, Kitcher’s argument patterns do not, in the final account, solve the problem of unidentifiable causes. Kitcher himself provides the most telling example. Noting that statistical explanations of individual events are sometimes invoked in legal decisions of assigning responsibility, Kitcher presents a case for consideration–that of a widow who sues the government for the untimely demise of her husband. Her grounds for bringing up the case are the fact that her husband, who died of a rare form of cancer, spent his military service being exposed to atomic testing. It is known that the probability of a person with this kind of history contracting this type of cancer is 0.02 vis-à-vis the much lower probability of 0.0001 among the general population. Historically, in cases like these, lawyers for the federal government or private corporations have argued successfully that the positive determination of guilt cannot be made, because it cannot be decisively demonstrated that the husband’s cancer was caused by his exposure to radioactivity in the army and not by some extraneous factors that may cause it in the population at large. Having earlier made a distinction between an ideal explanatory account that makes use of a deductive derivation and the best explanatory account that the phenomena will allow (such as that of an indeterministic event), Kitcher himself concedes that one cannot construct an ideal schematic argument but only one that allows for an incomplete answer to the question of why the husband contracted the disease. What it could answer at the most is that the man was at greater risk in contracting this cancer than a member of the general population. In a real-life situation, this weakened claim would not wield enough explanatory power to resolve the controversy definitively. Being structured somewhat like stories, Kitcher’s argument patterns are presented by him as having the advantages of causal accounts as well as being able to deal with probabilistic occurrences. But I would object and say that for as long as this type of schematic argument is contestable in the court of law, Kitcher’s model of explanation has not succeeded in explaining individual events. The link between explanation and responsibility proves, in my eyes, to be the crux of the whole issue of causality. The burden of legal proof places impossible pragmatic constraints on what is or is not an explanation.

    Van Fraassen draws our attention to the fact that the psychological underpinnings of the issue put the philosopher of science in a real predicament regarding explanation’s ambiguous status.

    Many attempts were made to account for such ‘explanatory power’ purely in terms of those features and resources of a theory that make it informative (that is, allow it to give better descriptions … But these attempts ran into seemingly insuperable difficulties. The conviction grew that explanatory power is something quite irreducible, a special feature differing in kind from empirical adequacy and strength. An inspection of examples defeats any attempt to identify the ability to explain with any complex of those more familiar and down-to-earth virtues that are used to evaluate the theory qua description. Simultaneously, it was argued that what science is really after is understanding, that this consists in being in a position to explain, hence what science is really after goes well beyond empirical adequacy and strength. Finally, since the theory’s ability to explain provides a clear reason for accepting it, it was argued that explanatory power is evidence for the truth of the theory, special evidence that goes beyond any evidence we have for the theory’s empirical adequacy (TSI 154).

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    The type of reasoning above, however, comes dangerously close to professing old-fashioned essentialist thinking, as he points out.

    Once you decide that explanation is something irreducible and special, the door is opened to elaboration by means of further concepts pertaining thereto, all equally irreducible and special. The premises of an explanation have to include lawlike statements; a statement is lawlike exactly if it implies some non-trivial counterfactual conditional statement; but it can do so only by asserting relationships of necessity in nature. Not all classes correspond to genuine properties; properties and propensities figure in explanation. Not everyone has joined this return to essentialism or neo-Aristotelian realism, but some eminent realists have publicly explored or advocated it (TSI 155).

    Yet his own pragmatic approach falls short of providing a model of explanation that can adequately account for context and solve all pragmatic aspects. To take just one example, his theory would not be able to give a pragmatic answer based on formal logic to the question of why some (reasonable and unbiased) jury members would find compelling the argument corroborating the demand for compensation in the radiation exposure case, while other (reasonable and unbiased) jury members will not. It cannot be demonstrated to turn out merely a discrepancy in two competing but valid formalizations of context or the contrast class. The answer, I believe, lies outside of the province of the philosophy of science. To look for it, we need to contemplate the distinction between the how-question and the why-question.

    Explanatory Agendas

    Only occasionally do philosophers of science who produce theories of scientific explanation touch on the question of motivation. On the face of it, these considerations are extraneous to the project of explanatory theory as articulated in the philosophy of science. But the fact that the question of “why ask why?” is periodically brought up is, in itself, revelatory of its unacknowledged centrality to the fundamental assumptions in the authors’ philosophical positions. Often the driving forces behind explanation that a philosopher explicitly lists are not the ones that drive his own argument. Several writers, for instance, have remarked that although Hempel insists throughout his essays on banishing causal reasoning, causes are nonetheless periodically invoked, notably when his discussion seeks to illustrate formal logical propositions with specific examples. Hempel’s ascription of motivation behind explanation, as we have already seen, are twofold: one practical and the other disinterested, pertaining to “man’s intellectual curiosity” and his desire to understand himself and his world. (These familiar sentiments, glorifying the scientific enterprise by rehearsing stock-in-trade cultural clichés of scientific objectivity and inquisitiveness, are played up in a hilarious way in Salmon’s discussion of angular momentum. Explaining how it is possible for a cat dropped from a substantial height to land on its feet, according to Salmon, is far from a trivial task. The problem is that the angular momentum has to be conserved, which means that a cat, dropped with a zero angular momentum and with its legs pointing upward is not supposed be able to turn its body around in the air. Could it be that the old saying, “a cat always lands on its feet,” is false? In fact, no, Salmon contends. “Experiment has shown that the cat can twist its body in various ways while the net angular momentum remains zero to achieve the desired position upon landing” (SE 137). It is difficult, at this point, not to conjure up images of two scientists in white laboratory coats, one standing by a high-up window in a tall building with a cart full of cats next to him, casting them out one by one with their legs straight up, and the other at the foot of the building, checking their landing position).

    Interestingly, toward the end of his article, Hempel gives a slightly different kind of an example about a man “who was puzzled to find that it got cold in his house whenever he happened to watch a television program in winter” (ASE 427). (The reason ended up being his TV’s proximity to the thermostat, which made it so that the thermostat would get too warm and shut off). “Thus the quest for an explanation,” offers Hempel, “is often a quest for the ’cause’ of the puzzling occurrence” (ASE 427). Imagining the said man shivering in front of his television set imparts nuances of meaning to the word “puzzle” that exceed the disinterested sense of “intellectual curiosity.” According to Salmon, as also discussed above, human need for explanation arises from the desire to understand hidden causes behind sensible phenomena, to reduce the number of independent bits of information that we possess, and to unify knowledge about local regularities under one overarching system. I cannot help detecting an underlying sense of anxiety that pervades these ostensibly intellectual exigencies.

    We get a glimpse into the source of this anxiety from James Woodward’s revealing comments on explanatory desiderata. One of the considerations that he mentions (which I have not seen taken up explicitly by other philosophers) is that we consider an explanation successful when it “diminish[es] one’s sense of arbitrariness or contingency regarding the explanandum.” Specifically, he continues: “an important feature of many explanations in statistical mechanics . . . is that they proceed by showing that for a great many sets of initial conditions, an outcome like the actual outcome would have ensued. In this way, one’s sense that the actual outcome was fortuitous or arbitrary is at least partly removed” (SE 364).

    This sense of arbitrariness, I would like to venture, is mitigated by law-like interactions between measurable properties that allow for exact deductive predictions in particular cases. At the same time, it increases greatly when we deal with random events and is only partly assuaged with probabilistic laws that explain predictions on a statistical basis. But it reaches its peak when we focus on single, unpredictable situations spawned by emergence. This shift is reflected in Kitcher’s schemata, which claim their strength by attempting to unify different explanatory circumstances; yet their individual instantiations reveal tension and variance in the structure of schematic sentences with respect to their degree of compression and codification. Schematic arguments for deductive laws are phrased instruction-fashion–they read like verbalized formulas (an example used above was: “for any individual x and any alleles yz if x has yz then the probability that x will transmit y to any one of its offspring is ½.”). Statements that deal with emergent events, by contrast, sound more story-like and, just like stories, utilize the past tense (“Among the ancestors of G there was a group of contemporaneous organisms, G0 such that…” (TAS 28)). The narrativity is toned down, however, by the fact that Kitcher blurs the distinction between the why- and how-question, applying a homogeneous explanatory framework to heterogeneous inquiries. When he asks “why do all members of the group G share the property P?”, his question can be understood in two ways. The first way to read it is, “show me how such state of affairs for all members is possible” or “show me how this came about.” One could answer this simply by appealing to the Mendelian law of inheritance and to the fact that P has a selective advantage over the variant properties that preceded it. Note that this is a species of a statistical explanation where the concept of precedence is used formally (as it would be in an account of how a window got broken by a baseball). But in putting it like this, Kitcher already restates the traditional form in which evolutionary questions are asked, which is: “why does this particular group G have this particular property P (as opposed to some other conceivable property in its place)?”. This is a different question, as I will proceed to show, and in answering a question like this, which deals with a singular event, temporality and the story-like character of the explanation acquire special significance.

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    The Breakdown of Functional and Genetic Explanations

    The gradual loosening of explanation is indicative of the increasingly loose character of regularities to which it is applied. But when one is dealing with something that happens only once and cannot therefore be predicted, proceduralized, or controlled, one can no longer use a standard explanatory paradigm to elucidate this happening. Instead one turns to narrative genetic explanations, which address the specificity of the why-question, as pertains to emergent phenomena. Hempel considers them be “light” on “explanatory import,” that is to say, on demonstrating the necessity of the explanandum in relation to known regularities or through an appeal to causal chains of events. Nonetheless they are allocated a visible role in scientific practice, especially in evolutionary biology, where they are often used interchangeably with a related class of functional explanations. Since functional explanations are encountered more commonly, I will start with them.

    The word “function” is multivalent and ambiguous. While in its direct etymological sense, function signifies activity or performance, in the biological sciences, the term has acquired an additional connotation of a “special activity proper to anything; the mode of action by which it fulfills its purpose” (OED)–a usage that is also invoked in descriptions of man-made devices or artifacts. Just as we say that “the function of a knife is to cut” or “the function of hands on a watch is to allow us to read time,” the biologist would say that “the function of a jackrabbit’s long ears is to assist thermoregulation.” Other examples might be: “the function of the heart is to circulate blood throughout the organism” or “the function of protective coloration (mimicry) is to camouflage an animal to help it evade predators.” Although such usage of function is both familiar and intuitive, it raises a suspicion that by simply transferring it from a mechanical to a biological description, we have illegitimately imported a sense of intentionality into our analysis of a biological organism. After all, “the knife has a function to cut” only because, guided by a final goal in mind, we have deliberately endowed this specific implement with this specific function. It is fair to ask whether such intentionality also figures implicitly in our understanding of biological functions? Do we impute to the heart the connotation of being manufactured when we say that “the function of the heart is to pump blood”? And does the act of manufacturing then imply an attendant purpose (things, after all, are designed and produced for a reason)? Does this phrasing, in other words, compel us to impose the framework of the Aristotelian final cause on biological entities? In other words, does ascribing a function to a biological entity entail endowing it with hidden teleology? Or as Elliot Sober puts it: “perhaps it involves an unacceptable anthropomorphism, a vestige of a bygone age in which living things were thought of as products of intelligent design” (PhB 84).

    It is precisely this implication of hidden teleology that has led some philosophers of science, including Hempel and Oppenheim, to object to functional reasoning as anthropomorphic. They point out that couching this class of explanation in a seemingly non-teleological way as a claim that a given function confers an evolutionary advantage is deceptive. Saying that “such or such feature proved to be efficacious in enabling this species to survive” conceals a hidden teleology, because the law-like necessity of a certain characteristic to survival cannot be empirically demonstrated. This is the problem of so-called “functional equivalence”–the same function could be potentially conceived of as existing in a different (or better) execution. As Hempel and Oppenheim put it, “the fact that a given species of butterfly displays a particular kind of coloring cannot be inferred from–and therefore cannot be explained by means of–the statement that this type of coloring has the effect of protecting the butterflies from detection by pursuing birds, nor can the presence of red corpuscles in the human blood be inferred from the statement that those corpuscles have a specific function in assimilating oxygen and that this function is essential for the maintenance of life” (ASE 256). They conclude therefore that functional and teleological explanations lack real explanatory power. Yet if so, what has, one might ask, made them endure for so for long? The authors venture that what has sustained this type of reasoning is its anthropomorphic character. Such explanations make psychological sense, because purpose is something we, as human beings, understand well. Functional explanations therefore falsely appeal to our “feeling of empathic familiarity” (ASE 257). Hempel dismisses this type of explanation on the grounds that the fact of a function’s existence in its current form could not be inferred from the structural constitution of this function: one could theoretically envision a variety of design solutions to the same functional exigency; for that matter, a different design altogether that might even obviate the original functional need from the outset. As Hempel puts it: “In sum then, the information typically provided by a functional analysis of an item i affords neither deductively or inductively adequate grounds for expecting i rather than one of its alternatives. The impression that a functional analysis does provide such grounds and thus explains the occurrence of i , is no doubt at least partly due to the benefit of hindsight: when we seek to explain an item i, we presumably know already that i has occurred” (ASE 313). The problem is that evolutional accounts lack the ability to support counterfactuals, that is answer the what-if question, because they deal with singular events, yet the language and concept of explanation are based on counterfactual reasoning, illustrated by my own (inadvertent) use of teleological language just two sentences ago. It is tricky to escape a recourse to teleological phrasing, alluding to design, design features, etc., even if one does not subscribe to the idea that biological species were designed by a creator who had a specific purpose in mind in creating them.

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    I agree entirely with Hempel’s assessment of the explanatory power of genetic explanations and find no fault in his reasoning. A number of detractors, however, take issue with his summary dismissal of functional-teleological reasoning, noting that certain selected traits and characteristics were, if not strictly determined, at least environmentally and biologically motivated. To go back to the jack-rabbit example, as already mentioned, the jack-rabbit uses its large ears in order to reduce its body heat. However, there are other known thermoregulating mechanisms, such as perspiration in humans and panting in dogs. Critics point out that in a hot, dry climate, the jack-rabbit’s habitat, panting and perspiration would be unfeasible options of thermoregulation, because they would deplete the organism of water in a climate where water conservation is a priority. Some even say, given the stage of the evolution of the organism and environmental constraints, that the next step (of developing the feature in question) was virtually inevitable. The less committing version of this assertion (that the development of the thermoregulation mechanism of this general type is motivated by climate selection pressures) is unarguable, but does not have great explanatory power. Just because certain other kinds of mechanisms are precluded by some existent constraints does not mean that the design features we have today were shaped by evolutional necessity. Neither need the functioning of a particular trait, such as the thermoregulating mechanism, be logically inferred from its evolutional history. In principle, one could be of the “creationist” creed yet still be able to analyze correctly how the dilating of the blood vessels in the ears can expel extra heat and thus cool the organism. As for stating that the development of this feature was virtually inevitable–I find it conceptually unsustainable. Using this slippery-slope logic, we can trace the evolutionary development back in time in small increments and discover that the appearance of each emergent feature, by analogy, was “virtually inevitable.” As a result, the whole origin and evolutionary path of a species could be demonstrated to be “virtually inevitable.”

    Another attempt to rehabilitate functional explanation has been made by evolutionary biologists who claim that the notion of a “natural” function can be meaningfully used in discussing biological adaptation without any unnecessary recourse to anthropomorphic thinking or metaphysical assumptions. The two main approaches to the understanding of functional explanation are represented by the views of Larry Wright and Robert Cummings. For Wright, “the notion of an organ having a function–both in every day conversation and in biology–has no strong theological commitments” (CIEB 29-30). But it would not be in contradiction with scientific reasoning, which rejects conscious purposiveness, to impute to function a “weak” teleology that, by preserving the affinity between natural biological functions and the artificial functions of designed objects, would illuminate the meaning of functionality and legitimize its use in the biological sciences. It is possible, he believes, to arrive at a definition of a function that could be valid both for natural (biological) and designed (man-made) functions. Popular wisdom notwithstanding, such a definition, as he claims to demonstrate, would not involve the idea of “usefulness,” in terms of which function is commonly thought. For artifacts, “usefulness” presupposes a purposeful design. The statement “the function of a watch’s sweep second hand is in making seconds easier to read” is true even if its wearer is completely uninterested in this feature: something can be useful even if it is never used. The same cannot be said about a natural (biological) system. In addition, reading the statement “the function of the liver to secrete bile is useful to the organism” as an analogy to the first statement is highly problematic, because the system in which a natural function is useful (the organism itself) is not analogous to the one in which an artificial function is useful (not the object itself, but the interface between the object and the user). Wright thinks he has reclaimed function for legitimate use when he proceeds in the opposite direction and retraces the rationale behind the notion of usefulness to its viable and proper motivation. He suggests that what is essential to our sense of something being useful is “a teleological ‘in order to,’” but that this teleology need not be swept under the rug because it instantiates a scientifically justifiable enterprise of investigating “how the thing with a function got there” (CIEB 37, 38). This line of questioning should be understood as asking for “the reason the organ is there by invoking natural selection.” “If an organ has been naturally differentially selected for by virtue of something it does,” Wright offers, “we can say that the reason the organ is there is that it does that something” (CIEB 40). This is, in other words, a better way of articulating the intuition behind the idea of “usefulness”: the “usefulness” of a certain biological feature is ascertained by dint of the species’ very survival. It would be perfectly valid, according to him, to say that “the heart beats because its beating pumps blood” or that “porcupines have quills because they protect them from predatory animals,” as long as we understand the because conjunction in its specifically functional, as opposed to straightforwardly causal, sense. This means we are engaging a logic that in a folding-upon-itself move (or, as Wright puts it “convoluted forward orientation”) tracks a causal sequence of events from the standpoint of known consequences (a theory of selected effects). Such a distinctive logic etiologically limited to “consequence-selection” criteria amounts to framing functional explanation in terms of an answer to the question of “What consequences does [this feature] have that account for its being there?” (CIEB 42). Or, “when we explain the presence or existence of X by appeal to a consequence Z, the overriding consideration is that Z must be or create conditions conducive to the survival or maintenance of X” (CIEB 43).

    In short, what Wright claims to have presented is a definition of function that does not rely on the idea of conscious purpose and thus eliminates unacceptable theological connotations that the critics of functional thinking have imputed to it. He wants us to believe that his seemingly teleological “in order to” and his anthropomorphic “reason for a feature to exist” need not put us on our guard, as long as we understand these turns of phrase in their etiologically warranted sense of how this feature became fixed. “Organismic mutations are paradigmatically accidental. . . But that only disqualifies an organ from functionhood for the first–or the first few–generations. If it survives by dint of its doing something, than that something becomes its function on this analysis” (CIEB 44).

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    What Wright’s analysis is not prepared to demonstrate is what it means to say that something “survives by dint of” something else, because delving into that would raise questions about the importance of “survival” and its necessary preconditions, which are auxiliary to the general thrust of his articulation of functional explanation from the vantage point of a fait accompli. Instead of focusing on how a functional feature contributes to the organism’s viability, which must entail an analysis of the contextual system and lead eventually down the path of “usefulness”–something that he wanted to escape in the first place–Wright satisfies himself with an acknowledgement of the fact of survival per se: an occurrence, which itself serves as a proof and illustration of functionality. However, by deliberately bracketing discussion of survival on a systemic level, his analysis becomes another version of genetic explanation. Indeed, the type of functional explanation that he advocates would both exceed a causal account and critically differ from it in accentuation. To give just one example, protective coloration of a species could be explained by recounting a chain of events that led to the camouflaged species gradually replacing the original, uncamouflaged variety. Such an explanation could be strictly causal, except where it accounts for instances of emergence, such as the evolution of protective coloration and perhaps, a sudden proliferation of predatory species (just as in a causal account of a baseball hitting a window, the fact of someone picking up a baseball and throwing it would qualify as an emergent happening). Once the information about initial conditions is known, the rest of the pieces fall logically into place, building up to an explanatory reasoning which argues that the new coloration helped the individual members elude predators and survive in greater numbers and inferring that the increased selection pressure contributed to the acceleration of this process until all members with non-adaptive coloring became extinct.

    A causal account might also engage these elements. The difference is in the kind of prompt we are asked to answer, which offers a different focus of contemplation. From the point where we accept the fact of random mutation and the explosion of predator population as given, we are simply reconstructing a causal chain of occurrences that lead up to a change of phenotype. Essentially, such an explanation would differ little from the explanation of how a window got hit by a baseball, except in the statistical nature of the regularities to which it is appealing. Hypothetically, we could even re-enact the experiment if we could find a population of mixed coloring and confine it together with its predators within a relatively closed ecological system. However, there is a sense in which such a causal explanation does not really get at what drives Wright’s quest of legitimizing the use of functional logic. The question that such an explanation addresses is rather “why” or even “how the original coloring disappeared.” We could imagine that such a question could be prompted by the bewilderment of finding oneself in a natural environment after a passage of time and becoming cognizant of a coloring change in a familiar species. A puzzlement of this sort could be adequately met by a chronicle of ecological change of the type just outlined. What such a chronicle would not fully answer is Wright’s inquiry into “why a feature is there,” in the teleological sense that he suggests (from the standpoint of consequence etiology with its convoluted temporal perspective). On the one hand, the question of “how a change occurred” is formulated from the position of a final outcome and asks only to unravel the causal sequence of events leading up to it. Information that is extracted in this way possesses minimal significance: it is a bare-bones description of what happened, on which no functional ascription, as it were, can be hung. The question that prompts for assigning a function, on the other hand, is a broader question, which, as Eliot Sober notes, asks us to entertain a hypothesis about origins (PB 86). Why origins? Because, put another way, it is a question that asks us to contemplate an original fortuitous event (mutation) from the standpoint of its outcome (survival), and, seen through the prism of this hindsight awareness, this contemplation becomes magnified with the sense of momentousness of the occasion. A functional description exceeds a causal description not in facts but in poignancy: it is no longer a chronicle, but a genetic explanation, a narrative, the first moment of which is imbued with the added significance of posterior knowledge. This posterior knowledge is corroborated by the knowledge that things appear, then cease to exist, and, moreover, some possible things never even come into existence. All of this is woven into a narrative of the vagaries of existence, a cautionary tale of extinction and survival with the moral of “such is life” or “thus it can happen.” As such, the question that it poses and answers of “why something is there” is a metaphysical “why something exists.” Such a question is unanswerable in scientific terms; it can only be approached as a matter of whim, an unfathomable act of discretion–a connotation already heard in Wright’s insistence on contemplating selection but banning all consideration of selection criteria. Thus what exceeds causality in a functional explanation is an emphasis on content-free selection, framing it in terms very similar to Aristotle’s efficient cause explanation, which looks to a (conscious) agent as the explanatory principle. What we then find is that Wright embarks on his enterprise aiming to “make sense of natural functions . . . independent of conscious purpose” (CIEB 30), but in offering an explanation structurally coextensive with efficient causation, Wright’s etiological approach ends up presupposing consciousness even as he ostensibly denies it.

    Another, but related, problem, pointed out by Sober, is that Wright does not provide us with criteria to find suitable candidates as functions. In critiquing his view of function, Sober cites a counterexample in C. Bourse (CIEB) regarding the incompleteness of the etiological model:

    Bourse . . . describes a man who fails to exercise because he is obese. His obesity persists because he fails to exercise. Yet, it seems odd to say that the function of his obesity is to prevent exercise. This suggests that it is a mistake to equate function with explanations for why a trait is present (PB 87).

    The reason Wright’s definition breaks down here is because “how something got there” is not the whole story. If a mountain chain “got there” because of earthquakes, we do not say that the function of earthquakes is to create mountains. Clearly, his line of questioning must have something to do with things sustaining themselves. But even this is not the whole story. An atmospheric condition may accidentally sustain itself through a chance confluence of events, but we do not talk of functions when we describe its contributing factors. By contrast, a biological feature must somehow be advantageous to survival in order to be explainable in functional terms. Obesity is not advantageous to survival, and so it sounds absurd to assign it a function. What Wright’s analysis does not make explicit is that his theory of selected effects presupposes a teleology deemed by him as inappropriate in order to make a determination of what phenomenon or property can be subject to functional analysis. Meditation on evolutionary selection has to base itself on considering the consequences of a function vis-à-vis its contribution to the organism’s viability, even though it might not explicitly acknowledge this. In other words, the consequence of a function has to in some way be useful for the organism–a demand that is consistent with the assumption of strong teleology Wright is at pains to eschew. His approach, from this perspective, relies on the very anthropomorphic understanding of purpose he sets out to banish in order to make itself intelligible.

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    A similar point is made by Richard Cummings, who argues that “if, as Wright maintains, there is a sense of ‘because’ in which the heart is there because it pumps blood and not because it produces heart sounds, then this sense of ‘because’ is as much in need of analysis as ‘function.’” (CIEB 68). Cummings rules any assumption of teleology as unacceptable and starts from the opposite end, trying to clarify the specific content of “selected effects” rather then concentrate on their consequences, as Wright does. To do this, he attempts to derive a functional-ascription statement from the formal analysis of how a function contributes to the surrounding system. As a point of departure, he offers a popular functional definition that is used implicitly in many analyses and proceeds to demonstrate its inadequacy. Specifically, functionality is commonly understood “by identifying the function of something with just those effects which contribute to the maintenance of some special condition of, or the performance of some special activity of, some containing system” (CIEB 57). Here the term “function” draws on its previously mentioned sense of an activity “proper to something,” where “proper” remains to be interpreted in an unproblematic way for biological systems. As already mentioned, Wright thinks that “proper” could be understood in the same way as it is for artifacts, namely, as an “action that fulfills a certain purpose.” Cummings, who shows that this would lead to inadmissible consequences and wants to banish all connotation of purposefulness altogether, suggests instead Hempel’s wording as a springboard: “the crucial feature of a containing system, contribution to which is to count as the functioning of a contained part, is that the system be maintained in ‘adequate, or effective, or proper working order’” (CIEB 57). Thus “proper to something” becomes transformed into a “proper working order,” which now stands in further need of clarification. As Cummings proceeds to analyze, Hempel’s own gloss of this phrase as a kind of order in which the system “functions adequately” produces a circular definition. Indeed, to say that a function of something in a containing system is to contribute to this system in such a special way so as to ensure that the system functions adequately begs the question about the function of the containing system. This, in turn, raises the necessity of an explanation on a higher level. “Either we are launched on a regress,” writes Cummings, “or the analysis breaks down at some level for lack of function, or perhaps for lack of a plausible candidate for containing system” (CIEB 58).

    At the same time, Cummings believes that this definition is on the right track in intuiting that a function-ascribing statement should be made by including the containing system in the analysis, not abstracting from it, as Wright does. His own attempt to cull out the germ of this insight and apply it so as to avoid the pitfalls of regress leads him to re-articulate functionality as a disposition (or a capacity). Thus he asserts that a function-ascribing statement is nothing other than a disposition statement–an observation of a behavioral propensity (saying that a heart functions as a pump in the circulatory system is the same as saying that it has a disposition to pump or that it is capable of pumping in this system). As for how we are to understand disposition formally, Cummings elaborates that to “attribute a disposition d to an object a is to assert that the behavior of a is subject to (exhibits or would exhibit) a certain law-like regularity” (CIEB 61). What is interesting about this view is that it comes very close to Cartwright’s model of the nomological machine; and here we get a full implication of how such a conception would play out as an explanatory paradigm. Explaining a dispositional regularity, as Cummings maintains, amounts to explaining “how manifestations of the disposition are brought about given the requisite precipitating conditions” (CIEB 61). What this amounts to is an analytical strategy whereby the enveloping system is conceptualized as an assembly-line production that is broken down into a number of tasks. The entire assembly line corresponds to the enveloping system, while each task is analogous to an individual function, so that the capacity of the overall system to manufacture a product could be explained as a sum of the constituent capacities of its functional components. To re-cast this in Cartwright’s terms, one could compare the line to a nomological machine–a sealed container holding a collection of parts that will give rise to regular behavior (geared toward churning out a finished product). Each sub-task could be imagined as a functional component–a nomological machine engaged in solving a particular difficulty by overcoming, as it were, an obstructing or resistant feature of the material environment. This mechanistic model could be applied unproblematically to biological systems, as Cummings believes. The circulatory, digestive, nervous systems–all of these possess certain capacities vis-à-vis the organism as a containing system. These, in turn, could be analyzed into smaller-scale capacities of the organs that make them up (heart, lungs, capillaries, etc.). As he remarks, biologists could easily and naturally visualize this as a representation not unlike “schematic diagrams of electrical engineering, with special symbols for pumps, pipes, filters, and so on” (CIEB 63). Such a representation lends itself to an explanatory strategy whereby one points to a capacity of a component against the background of the capacity of the containing system: for example, “the heart functions as a pump against the background of an analysis of the circulatory system’s capacity to transport food, oxygen, wastes, and so on, which appeals to the fact that the heart is capable of pumping” (CIEB 64). What Cummings’ model of functional explanation thus achieves is a contextual understanding of functionality, i.e.,that a functional claim can be made only by appealing to some larger capacity of the containing system.

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    Cummings’ explanatory schema, however, is not problem-free, as it runs into the same difficulties as van Fraassen’s pragmatic approach because of the lack of a viable “theory of context” that would be able to ground the starting point of functional analysis. His own example illustrates the predicament. He proposes that we consider the circulatory system from the point of view of the sound that it produces: “Each part of the mammalian circulatory system makes its own sound, and makes it continuously. These sounds combine to form the ‘circulatory noise’ characteristic of all mammals. . . The question is whether it allows us to say that the function of the heart is to produce a variously tempoed throbbing sound” (CIEB 65). He rejects this possibility as patently absurd and concludes that his model shall be restricted to non-trivial cases. This constraint, of course, begs the question of how “triviality” is to be determined, which points to his theory’s major weakness. Namely, it should be kept in mind that Cummings’ is a top-down analysis: we start from the system on the higher level and analyze it down to the low-level components. It does not present a problem to start with the level of the circulatory system and isolate the heart for functional analysis: phenomena such as circulation, respiration, digestion, locomotion, thermoregulation, etc., are well understood from the biological, chemical, or mechanical point of view (by analogy with other known physical phenomena). But what sets out these systems as significant? Why not, for instance, analyze the function of the human head as something that exists to wear a hat, against the background of the human body as a system that has a capacity for wearing clothes, to name an even more trivial example? In fact, Sober uses the-heart-as-noise-maker example to criticize Cummings’ theory as “being too permissive in the function ascriptions that it endorses” (PB 87). This is because Cummings’ analysis grounds itself implicitly in the teleology of survival that he has purportedly banished at the inception. The reason this remains hidden from sight is because his “non-trivial” examples of systems, such as circulation, are so familiar that the germaneness of sustaining life to their initial identification is no longer examined, and they are now perceived as self-evident units. But it is the criterion of “fitness” that “proper working order” resolves itself into on the level of the whole organism and that is passed down to make the level of the circulatory system meaningful as a unit of functional analysis. It is indeed impossible to make the initial functional determination according to the formal criteria that Cummings supplies us. He defines a function against the background of some capacity of the containing system and defines capacity as a behavior subject to a law-like regularity. But what would this law-like regularity be at the highest level–that of the organism? We could no longer identify it formally, based on some familiar mechanistic analogy, and so it would no longer make sense to appeal to laws. All we could do is resort to a holistic and teleological appraisal of the biological system having a “capacity for survival.”

    That teleology was implicit in this explanatory scheme from the outset is seen more starkly when we look at it from the nomological-machine angle. In such a representation, a pragmatic, goal-oriented aspect is a given. When we try to harness certain natural regularities, as Cartwright argues, we do so by capturing them within the shielded confines of a nomological machine, built to circumvent a hurdle that lies in the way of desirable behavior. If the physical world did not manifest any resistance to our wishes, if it were possible just to snap our fingers to get what we want, there would be no need to construct nomological machines: the very idea of the nomological machine is predicated on imperfection and planning. In conceptualizing an organism as a “schematic diagram” of interconnected nomological machines, this goal-oriented character of our thinking is foregrounded with clarity (whereas the covering-law representation reveals, by contrast, the metaphysical assumption of the ordered Universe but not necessarily that of teleology). Just like Wright’s, Cummings’ attempt to rehabilitate functional explanation ultimately reveals circular reasoning. In his initial move, by equating functions with dispositions (which are nothing but dumb law-like regularities amenable to formal definition) Cummings clears functionality of all significance, but by glossing over the definition of (non-)triviality, he imports it back as an unexamined requirement for understanding something “against the background” of something else.

    As I have shown, functional explanatory schemes start out by trying to justify the intuition that functional explanation constitutes a distinctive class of explanation valid for (biological) systems, but fall back on circular reasoning. The excess of meaning with which they extend causal description amounts to bringing in the consideration of survival, which, in turn, engages inadmissible presuppositions. It appears impossible to purge functional explanation both of genetic and teleological fallacies at the same time. If, like Larry Wright, one dwells on the question of selection but abstracts from the issue of fitness, one arrives at a version of the efficient cause explanation. Doing the opposite, on the other hand, like Robert Cummings, utilizes the logic of the final cause. In the latter case, functional ascription becomes a teleological claim about a viable design equivalent to a goal-ascribing statement. In the former case, functional explanation becomes interchangeable with genetic explanation, where history itself is endowed with extra meaning. But in both cases, the reflection on ends and origins would be “tacked,” as a metaphysical mantle, onto a minimally significant causal analysis of the functional feature that could be competently made through a mechanistic analogy to known physical processes.

    To shed some light on the tenacity with which functional and genetic explanations are defended as having a legitimate role, one should seize upon Wesley Salmon’s modus ponens comment–if genetic explanations are accepted then they must be valid–and a very similar one by Larry Wright that other treatments of function “have overlooked, ignored, or at any rate failed to make one important observation: that functional ascriptions are–intrinsically, if you will–explanatory” (CIEB 37). And indeed, we resort to functional and genetic explanations all the time. To explain any emergent happening, we tell a story that leads up to it, in which appeals to origins and goals are often combined. In his Work on Myth, Hans Blumenberg, for example, quotes Flaubert’s diary entry from the latter’s trip to Egypt in 1850:

    during the day his group has climbed a mountain on the summit of which there was a great number of large round stones that almost resembled cannonballs. [Flaubert] was told that these had originally been melons, which God had turned into stones. The story is over, the narrator is evidently satisfied; but not the traveler, who has to ask for the reason why. Because it pleased God, is the answer, and the story goes no further. (WM 257)

    Even though we cannot causally demonstrate the connection between the immediately preceding situation and the explanandum, we nonetheless find these stories satisfying. To understand in what way these explanations are acceptable, I recommend that we turn our attention to what exactly is being asked, or what, in van Fraassen’s terminology, would constitute the contrast class for our question. Why ask “why”?

    15

    The Anthropological Content

    The question of “why,” as opposed to the question of “how,” is brought forth, I believe, by the anxiety of having failed to take into account a certain fact. To dwell a little longer on the stones-as-melons story, the explanation in this case, as Blumenberg writes, aims to “naturalize” the unusual shape and size uniformity, which goes against the familiar experience of stones and is bound to raise consternation.

    Melons just grow this way, and there is no need–in their case–for an explanation of why they look so similar and so uniform in size. Thus the introduction of the melons helps one to accept a characteristic of the surprising stones that stones do not in general and by their nature tend to have. It is a case of falling back on the life-world, on something that is familiar in it. . . (WM 257).

    What the questioner is often asking is to be reassured that the world is as previously thought or that he has evaluated the situation correctly, and what he expects to hear is some fact that would reduce the new to the familiar. Take Hempel’s example of a man who wonders why his teaspoon got dissolved in a glass of punch at a New Year’s party. Is it disinterested curiosity that makes him wonder or an underlying anxiety that all is not as he thought or as it should be with the world? Is punch such a substance that it can dissolve spoons? Are spoons made of such a substance that they can melt in liquid? I would imagine that information about metals, such as Wood’s alloy, that are capable of melting at the temperature of hot punch and about the spoon being a party joke made of such an alloy would be received by him with some small amount of relief and not just register as an intellectually satisfactory explanation. If we recognize this anxiety, we will solve many a contextual problem. The classical flagpole asymmetry problem would not arise if we ask: “why question the length of the shadow in the first place?” As I indicated earlier, it is an odd why-question to ask at all. It could be so that, given the height of the flagpole and the position of the sun, there is a marked discrepancy between the actual length of the shadow and the one we would expect based on earlier experience. What we would really be asking then (anxiously) is “could it be later than I thought?” or “am I in some alternative Universe?”. To sum up, the contrastive sets of questions in these cases would not be, as van Fraassen would have them, <the spoon dissolved; the spoon did not dissolve> or <the length of the shadow is 1 foot; the length of the shadow is 2 feet; etc…>, but <the world is as I know it; the world is not as I know it>–considerations whose pragmatic import for van Fraassen might be buried in “background theory,” but which, I believe, must take the center stage if we are to understand the specificity of the why-question.

    But even the “is all as it should be with the world?” question is derivative with respect to the “why something exists” question. Let us think back to the questions “why does the jack-rabbit have big ears?” or “why does the giraffe have a long neck?” What do they invite us to ponder that remains outside the scope of functional analysis? What is “behind,” as it were, the causal determination of how these features became fixed, is a sense of wonderment at the variety of life, its whimsical nature, its sheer arbitrariness, tinged with, as I suggested above, anxiety over the precarious and vulnerable status of existence per se. The “why” one is asking could be a way of saying: “Look, here are some long and pointy ears that really stand out compared to other ears we see around us. And look at this neck. It is so much longer than all the other animals’ necks.” Or it could be: “I wonder what ill fate befell the small-eared rabbits and the short-necked giraffes that I saw here earlier.” It could be understood as a question about emergence, difference, a question of whether the world is big enough to accommodate aberration. And even this question could be secondary to just saying: “look”– an utterance whose obscure status originates at the vanishing point of grammatical mood, where we can no longer distinguish between asking a question, lodging a supplication, or issuing a prompt. What inspires awe at this moment is our contemplation of the facticity of being.

    It is this family of questions, summed up by Martin Heidegger as “why are there beings at all instead of nothing?” which he called the fundamental question of metaphysics, assigning to it the status of the first of all questions. Why, I would like to claim, is a question of metaphysical anxiety par excellence, which ties into our understanding of existence as fraught with realizable or unrealizable potentialities, as Heidegger shrewdly understands the contrastive phrase “instead of nothing” to signify. When the prospect of nothing is injected, all beings “come to waver within the broadest and harshest possibility of oscillation–the ‘either beings–or nothing,’” and such a wavering “opens [human existence] up to possibilities not yet asked about, futures to come, and thereby also binds it back to its inception that has been” (IM 31, 47). But this would precisely be the structure of genetic explanation, as elaborated by Larry Wright. Genetic argumentation, I believe, provides us with the most general paradigm for the why-question that can afford us important insights into what constitutes the “explanatoriness” of explanation.

    This is also the province of the earliest narratives: myths, legends, fairy tales. In fact, many fairy tales have a structure not unlike explanations in evolutionary biology, with titles like How the Elephant Got His Trunk or Why the Jellyfish Has No Bones. Hagiographies and biographies, without unduly stretching the point, can be viewed as explanations of greatness. Even many novelistic narratives can function as explanations of some thematic point. In his Work on Myth, Hans Blumenberg grounds mythological narratives anthropologically (but his analysis would work equally well for other types of narratives) as a desire of humans to understand themselves as free from the constraints of what he calls the “absolutism of reality”– a phrase denoting man’s lack of control over the outside world, which is experienced by him as an environment hostile and impervious to his needs and resistant to his exertions to transform it. This desire is born in the defensive reaction of an early hominid who has left its native environment in the rainforest for the savanna and now faces the challenge of meeting his food needs in an ecological niche for which he lacks adaptation. According to Blumenberg, the exigencies of the absolutism of reality are eventually met by theory as “the better adapted mode of mastering the episodic tremenda of recurring world events” (WM 26). Theory, as he points out, domesticates the world, easing its “episodicity” by regularizing knowledge and introducing ordered practices and iterative procedures. But some of this episodicity will always retain a random, haphazard character, will forever be irreducible to law-like regularities, will fall outside the realm of what could be theoretically ascertained. And the mythological narrative will be there to deal with unrepeatable, emergent events. What I am suggesting, however, is not that mythological narratives offer proper explanatory responses to existential why-questions about emergence–questions, which, in their turn, have an originary status–but rather that why-questions are anthropologically coextensive with narratives. Therefore the ultimate “why” as well as its local instantiations can never be answered. The why-question itself is embedded in the structure of narrative; or to put it another way: it is “because” we have language, “because” we have narrative, that we ask “why.”

    16

    If one extends some of the ideas about embodied cognition expounded in cognitive science today, one could speculate that narrative structures resonate with our physical alienation from the world. In Philosophy in the Flesh, George Lakoff and Mark Johnson contend that our conceptualization of the surrounding world as endowed with causal relations is fundamentally embodied, meaning that our conceptual system is “neurally” grounded in our sensorimotor experiences. An important implication of this is that logical and rational inference are instances of sensorimotor inference. The way this works is through an observed connection between an experienced exertion and its effect on the world. From this experience of “felt” conjunction between willed movement and its imprint on the surroundings, an extrapolation is made to all other conjunctions between environmental disturbances, which is eventually conceptualized as a cause-effect association–a precondition for narrative. Mark Turner goes further in his book, The Literary Mind, arguing that storytelling is a fundamental human activity, with stories, as “complex dynamic integrations of objects, actors, and events” (10), rather than individual objects or concepts, being cognitive “primitives” that reflect a unit of thought. Such basic narrative structure also lends itself inherently to explanation: because it is natural for us to think in narratives, we are used to retracing stories back to their inception.

    When a drop of water falls mysteriously from the ceiling and lands at our feet, we try to imagine a story that begins from a normal situation and ends with the mysterious situation. The story is the explanation. The narrative imagining is our fundamental cognitive instrument for explanation (LM 20).

    Unfortunately, Turner does not take the idea of narrative explanation any further. But he draws connections between narrative and language, saying that an elemental spatial and sequential story, called an image schema (like leaving the house, sitting on a chair, throwing an object) has the same conceptual structure as the basic grammatical clause: “The abstract narrative structure is projected to create the abstract grammatical structure” (LM 143). Just as a rudimentary abstract story chronicles an agent performing an action, a sentence runs from the subject to the predicate. But a grammatical sequence records something else: the immediate embodied movement of the image schema may get extended by an action-at-a-distance encoded in the structures of the direct and indirect object, marking the transition from the immediate to the remote (“he threw a spear at an animal”).

    Language maps the world of material culture that is no longer embodied. Things suddenly come into our view and just as suddenly disappear. We can manipulate them prosthetically with the help of hand-held tools and thrown projectiles, but can only make the tools extensions of our physical bodies in an ever-diminishing sense, as they continue to become more removed from our bodies, more virtual. Representation, a crucial anthropological mark of human culture, reflects this separation anxiety. This anxiety, I believe, permeates and underpins both what Blumenberg sees as the human striving to overcome the “absolutism of reality” as well as what Eric Gans identifies as the paradoxical impasse of the triangular mimetic configuration (SP 18-23). But it would be equally correct to say that the separation anxiety itself is epiphenomenal to representation. The point here is not to assign epistemological primacy, to provide, as it were, an explanation of explanation, because we are mining a territory that is “beyond” the notions of causality or succession. What I see rather as an anthropological project of interest is tapping into the connections between explanatory exigencies and narrative representational structures.

    One such possibility is sketched out by Heidegger, whose existential and avowedly anti-anthropological project yields nonetheless profound anthropological insights. I would like to draw on his analysis of the existential structure of significance, as expounded in Being and Time. Traditionally, understanding is related to the process of inscribing a concept into and later retrieving it from the symbolic network of meaning. That is to say, knowing where and how a concept fits into the hierarchical structure of categories and the grammatical system, as well as being able to engage figurative associations and garner relevant bits of pragmatic contextual knowledge are all indispensable to the act of understanding the meaning of a concept. Heidegger, however, adds a “human” parameter to this schema. Signs for him are not subject to formal definition–they are “handy” or “useful things” that help us orient ourselves within the referential totality of signifying relations. These signifying relations construct a meaningful context for our need-driven, embodied, situated, and goal-oriented understanding. This means that the world is pre-understood by us not as a kind of “background theory” but as a sum total of human imperatives–both daily strategies of going-about-one’s-business as well as self-reflexive questions about the meaning of one’s life. It is against the backdrop of embodied exigencies that human understanding can grasp and thematize something as significant.

    Significance for Heidegger is constituted not by the directionality of attention, but by a structure of relevant relationships. (Indeed, we can turn our attention to something only to discover that it is not significant). Heidegger arrives at this by treating understanding as something that is always attuned (an example of attunement would be the sense of anxiety with which why-questions are tinged), and pointing out that this attunement is rooted in understanding’s thrown possibility. The idea of thrownness is related by him to facticity, the fact of finding ourselves existing in the already existing world (and the existential predicament it engenders). The awareness of possibilities pertains to our “projective” thinking that pre-understands itself as situated and goal-oriented and is therefore perpetually in the process of planning ahead and making conjectures about potential futures. Significance is identified by Heidegger with this structure of thrown projection and is said to be constituted by two determinants that he terms upon-which and for-the-sake-of-which–the original relations of relevance which ground our understanding. Meaning thus is anchored both in the past (as something that finds itself simply thrown into the world) and the future (as something that looks ahead to what it could potentially be in order to understand what it is), and we have access to it in a temporal act of understanding called the Moment, whereby we “retrieve” future possibilities by mapping the past upon the future.

    17

    Unlike categorical and grammatical structures, which are atemporal, the structure of thrown projection both thematizes time and unfolds in time, and the temporal actuation of this structure can be read narratively. Thus, what I am suggesting is that Heidegger’s basic unit of meaning is narrative, although it is important to note that it reveals a different understanding of narrativity than in Turner, where a story is understood simply as a sequential action. Heidegger’s human-scale narrative, on the other hand, resonates with affect, wherein the Moment crystallizes an act of awed reflection on the facticity of existence, its momentous occasions, and lost opportunities. The pathos of this reflection is of the same variety that animates functional explanation: its Moment is topologically similar to the vantage point of the post-factum appreciation of survival from which the functional why-question is asked; at the same time, its attunement to the future is comparable to the teleology of functional “in-order-to” purposiveness. Heidegger gives us a particularly apt model for analyzing the logic of consequence-selection. The tension between its two polar determinants of “upon-which” and “for-the-sake-of-which” produces an explanatory movement of “convoluted forward orientation” that is characteristic of the etiological “because.” In other words, the problematic of explanation is inscribed in Heidegger’s analysis of significance, which clarifies the teleological and genetic aspects of narrative as explanation, demonstrating how the “upon-which” is transfigured into the Aristotelian effective cause and the “for-the-sake-of-which,” correspondingly, into the final cause.

    Such a perspective on narrativity can be put into dialogue with generative anthropology’s narrative theory. It may be argued that the structure of significance, which is content-free in Heidegger, could be particularized as mimetically-driven. In The End of Culture, Eric Gans gives an analysis of narrative as a cultural adaptation for sublimating resentment: “The resentful imagination is a reaction against real perceptions that are painful in that they show another in the place that the self would like to occupy” (EC 225). Instead, mimetic desire, which originally intends the real, gets redirected toward the imaginary and propitiated by a satisfactory fictional resolution. Hence “[t]he esthetic offers an internal solution to resentment” by instantiating a movement of its deferral (OT 125). The Heideggerian schema can accommodate the mimetic scenario of deferral by constructing a representational framework within which the subject can articulate an explanatory narrative of imaginary fulfillment. But its emphasis is shifted to explanation, which marks the subject’s understanding of his own predicament as significant. The “upon-which” and “for-the-sake-of-which” of significance function as the system of coordinates that define his current position on the resenting periphery and his aspiration to occupy the central position, creating a narrative vector along which a story of mimetic satisfaction could be temporalized. Because his model is explanatory, it allows for a mimetic reading of a literary narrative in two ways: firstly, as an imaginary identification with its protagonist and a sublimation of unfulfilled desires, and secondly, as the production of a personal narrative of emancipation that patterns itself on a fictional one.

    Another point of contact between the argument presented here and generative anthropology is the question of the epistemological and methodological role of explanation in the humanities. As I show, the pursuit of explanatoriness can be pushed only so far. As we get to descriptions of emergent events, we also exhaust the logic of explanatory thinking, evinced by how various philosophical accounts resort at this point to the claim of intuitive self-evidence. This suggests to me that we should approach explanation theory as the watershed issue between the humanities and other disciplines. The fault line between the two types of discourses runs, I believe, along the narrative schema of generative explanation–a story that tells us not only about things we want to know but just as much about ourselves. I propose that we take this circumstance as a point of departure. The implication that I draw from my claim that explanation is coeval and coextensive with representational structures is to approach explanations in the humanities from two perspectives. On the one hand, we can treat them as productive accounts of cultural histories after the fashion of generative anthropology. Gans defines his project by saying that: “The reconstruction of the originary event provides a minimal configuration within which all essential human categories may be situated” (SP 6). This is a view, of course, that is predicated on the mimetic as the founding category. As he sees it: “humanity is the species for which the central problem of survival is posed by the relations within the species itself rather than those with the external world” (OT 2). If one sides with Blumenberg regarding the importance of physical survival and traces the origin of symbolic forms to the crisis of man’s loss of biological niche, one might instead look for significant milestones in the cultural history of overcoming the “absolutism of reality” (the way Blumenberg does in tracing the transformation of myths). On the other hand, however, we can put under scrutiny the very anthropological imperatives that give rise to explanatory histories. From the perspective of generative anthropology, I would like to suggest that such a narrative itself institutes the ritualistic reenactment of the birth of representation and the originary experience of significance.

    I have argued that representation and, in particular, narrative give rise to the explanatory problematic. In the sciences, the search for explanation is the engine that drives the scientific enterprise. The illuminations that it affords allow for predictive knowledge and yield insights into necessary connections and regularities–as well as their practical outgrowth in the form of rockets, vacuum-cleaners, and other nomological machines. But given that explanatory activity in the humanities is essentially circular, can we, under these circumstances, talk about the progress of human knowledge, and if so, how do we define it? If humanistic knowledge illuminates–and I believe it does–what kinds of insights does it generate, what investigative methods does it avail itself of, what practical applications does it give rise to?

    18

    I will leave these fundamental questions largely unanswered except to offer one final reflection. I have suggested above that the question of “why?” falls under the rubric of humanistic knowledge. I would like to suggest further that the more fundamental question that it leads to (and that humanistic knowledge seeks ways of answering) is the question of “what-to-do?” The idea of free choice arises and becomes thematized with representation, together with the need for decision-making criteria. Making an informed choice is unproblematic in the areas of proceduralized knowledge, that is to say, when our mode of knowing becomes theoretical. But for the plurality of cases that cannot be attributed to law-like regularities or subsumed under nomological machines, the rationale behind the decision-making process must either be bolstered by the authority of dogma or work itself out “parabolically” by seeking legitimacy through modeling itself on culturally-sanctioned “master”-narratives. The latter strategy, I believe, captures one important way in which humanistic knowledge increases.

    Literary interpretation and literary and cultural theory are engaged in an open-ended discursive practice, casting and re-casting narratives in terms of other narratives, as opposed to scientific discourse geared toward reaching a consensus over a finished model. I would like to view this open-endedness as humanistic discourse’s methodological specificity: neither a weakness, a sign of disciplinary “softness,” nor a strength, a tolerance of a diversity of opinion, because both attitudes presuppose a goal-oriented critical performance with an eye toward theory-building. Instead I propose to regard humanistic activities as a praxis that opens up rather than theories that close off. What they repeatedly reopen is our attuned striving to understand ourselves as free, and what this opening-up elucidates is the emergence of explanation as an exercise of our freedom to re-invent ourselves. This is why predictive assessments entailed by traditional explanatory accounts seem untenable in the context of humanities. What this might point to is a philosophical anthropology that, among other things, seeks not to explain explanation but humanize it, uncover the unfolding of its various imperatives and ferret hidden agendas out of narrative practices.

    19

    Working Bibliography

    Blumenberg, Hans. Work on Myth. Cambridge, Massachusetts, and London, England: The MIT Press, 1985.

    Cartwright, Nancy. The Dappled World: A Study of the Boundaries of Science. Cambridge University Press, 1999.

    Curd, Martin, Cover, J. A. Philosophy of Science: The Central Issues. New York, London: W. W. Norton & Company, 1998.

    Gans, Eric. Originary Thinking: Elements of Generative Anthropology. Stanford, California: Stanford University Press, 1993.

    ——. Signs of Paradox: Irony, Resentment, and Other Mimetic Structures. Stanford, California: Stanford University Press, 1997.

    ——. The End of Culture: Toward a Generative Anthropology. Berkeley, Los Angeles, London: University of California Press, 1985.

    Heidegger, Martin. Being and Time. State University of New York Press, 1996.

    ——. Introduction to Metaphysics. New Haven & London: Yale University Press, 2000.

    Hempel, Carl G. Aspects of Scientific Explanation (And Other Essays In the Philosophy of Science. New York: The Free Press, London: Collier-MacMillan Limited, 1965.

    Kitcher, Philip, Salmon, Wesley, ed. Scientific Explanation: Minnesota Studies in the Philosophy of Science. Minneapolis: University of Minnesota Press, 1989.

    ——. The Advancement of Science: Science Without Legend, Objectivity Without Illusions. New York, Oxford: Oxford University Press, 1993.

    Lakoff, George, Johnson, Mark. Philosophy in the flesh : the Embodied Mind and its Challenge to Western Thought. New York : Basic Books, 1999.

    Sober, Eliot ed. Conceptual Issues in Evolutionary Biology. Cambridge, Massachusetts, London, England: The MIT Press, 1994.

    Sober, Eliot. Philosophy of Biology (Second Edition). University of Wisconsin-Madison, 2000.

    Turner, Mark. The Literary Mind: The Origins of Thought and Language. New York, Oxford: Oxford University Press, 1996.

    Van Fraassen, Bas C. The scientific image. New York : Oxford University Press, 1980.

    Abbreviations

    ASE —Aspects of Scientific Explanation
    CIEB–Conceptual Issues in Evolutionary Biology
    EC —The End of Culture
    IM —Introduction to Metaphysics
    LM —The Literary Mind
    PB —Philosophy of Biology
    PS —Philosophy of Science
    OT —Originary Thinking
    SE —Scientific Explanation
    SP —Signs of Paradox
    TAS —The Advancement of Science
    TDS —The Dappled World
    TSI —The Scientific Image
    WM —Work on Myth

  • Nuclear Warfare in the Movies

    I. Introduction: Ethical Anxiety, Esthetic Dilemma

    1 For moviemakers, moviegoers and critics with a conscience, the representation of nuclear warfare in film presents problems of “seriousness,” esthetic and ethical. When we talk about bombs in movies, the imaginary does not offer its customary refuge; anxiety about the real bomb tugs at us. We feel the nuclear referent stands always too close to its sign; we feel that proximity as one of the conditions of life in the postmodern era. In Time and Narrative, Paul Ricoeur, while trying to save narrative discourse from the most virulent attacks of anti-narrativist deconstruction, suggested that we preserve the essential distinction between history and fiction by owning the sense of debt we feel to the dead, the presence of a felt obligation to get things right when telling the stories of the dead. It is that sense of historical debt that creates the serious mood. The seriousness is a desire to be responsible in our representations of the nuclear bombing of human beings. In somewhat the same way that movies telling stories about the Holocaust arouse detractors and enliven defenders (see Gans’s Chronicle 148 with remarks on on Schindler’s List, for example), movies aiming to show truthfully the threat of nuclear warfare are bound to provoke and have provoked controversy.(1)

    2 Our ethical anxiety about the topic is expressed by a double respect that looks back, and looks ahead. We must respect the victims of the atomic bombings of Hiroshima and Nagasaki on August 6th and 9th, 1945. We are haunted by the fate of those Japanese selected as experimental examples destined to sudden unanticipated annihilation or lingering and ineradicable sorrow.(2) We fear they were victims of the under-experienced Truman administration’s perhaps needlessly impatient desire to defeat Japan quickly and to gain a decisive superiority in what would quickly become the Cold War.(3) On the other hand, more selfishly but no less necessarily, in respecting ourselves and our loved ones we remain bound by the obligation to fear the future use of nuclear weapons and not to “take lightly” the nuclear threat. This ethical anxiety is not going anywhere; it circulates tirelessly in the historical situation we occupy. And just as it is inescapable, we will probably never escape feeling a given movie has not quite done justice to the threat. Indeed, our thesis partly proposes that it is utopian to expect any movie to “do justice” to nuclear warfare, and that resentment about the topic can be circulated more favorably if we register that truth. But if it is impossible for the movies ever to “do justice” to nuclear warfare, it is a good thing they try and try again. The movies we will explore–Stanley Kramer’s On The Beach (1959), Sidney Lumet’s Fail Safe (1964), Stanley Kubrick’s Dr. Strangelove (1964), and Mick Jackson’s Threads(1984), with a glance at Terminator II: Judgment Day (1991)–do get some things right.

    3 Although the esthetics of the nuclear warfare movie present indissoluble obstacles (the topos itself seems to have precluded so far in our culture any definitive treatment), we can identify a basis for the ethically responsible movie that contains the nuclear warfare trope. It is neither obstinately pacifist nor piously ascetic to require that movies at least begin to show nuclear war as exceedingly dangerous (because it is) and its effects on people as horrifically ugly (because they are). The “danger” requirement seems to be easily met in narrative films meditating on the bomb; the “horrific ugliness” requirement presents more difficulties. For now, we note only these minimal requirements are less political than ethical; the reader in agreeing the bomb should be represented as dangerous and damaging is agreeing only to minimal conditions for assessing the attractions of a given representation. By agreeing, the reader has neither been conned into defending governments’ possession of nuclear arsenals, nor required to sign up as a peace activist and join the next local disarmament march. Deterrence itself, the official doctrine that arguably helped get us through the Cold War, assumes the danger and horror as much as the anti-nuclear doctrine of the desirability of abolition assumes it. The fearsomeness of nuclear weapons is a given as much for those who threaten to use them as for those who want the threat simply to be removed. Curiously, as fear was a universal motivator at an early stage of the originary emergence of the human sign, it is a universal on the brink of possible annihilation.

    4 The fearsome nuclear arsenals do threaten our real chances of survival, but they also threaten our will to think about the threat itself; the thinking and real surviving are, from an originary perspective, tied together. Our thesis must be formulated as a chiasmus spanning the dilemma of that fearsomeness. In proportion as the movie is adequate to the horrible reality of the worst results of nuclear warfare–extinction, annihilation–the movie must risk destroying hope and faith in human agency; but insofar as the movie elevates human agency and creates the illusion the bomb is controllable and thereby unthreatening, the nuclear danger risks being trivialized. Between a debilitating obsequiousness to the nuclear sublime and an irresponsibly fictive defiance of it, the moviemaker’s esthetic production and the critic’s discerning consumption are condemned to oscillate uneasily.

    II. Strains of Critical Response

    5 Let us elaborate on this oscillation in preparation for a survey of some of the critical literature. If a movie is faithful to the reality of nuclear warfare conceived as a genuine threat to human survival, the moviemaker must present something so horrifically ugly that hope is destroyed, so ugly that an attack on faith in human agency for the film characters (and the viewers who identify with them) is the result. Paradoxically, the films most impressively horrific in their visual embodiments of the horror of nuclear warfare–the exemplary tour de force here must be Mick Jackson’s Threads (1984)–are those most likely to induce in the viewer feelings of despair. We will call these Dramas of Nuclear Devastation (in which the bombs are usually dropped somewhere near the middle of the action). Now the violent induction of viewerly submissiveness to such hopeless feelings is an effect resented by all critics, even the anti-nuclearist ones that we would expect to celebrate these films as “responsible” and “realistic.” In the plots of dramas of nuclear devastation, gestures or acts of anti-nuclear activism are conspicuously absent or shown to be futile–necessarily after-the-fact protests. The movie may get the “danger and horror” of nuclear weapons right, but the effect of representing extinction or near-annihilation in its full ugliness is to risk barring any response other than shock and horror (an ironic result, given that the didactic import of such a work would presumably be to heighten awareness of nuclear danger in a non-disabling and socially productive manner).

    6 One might propose then that the esthetic solution is to mix up the horror with the hope of human (or divine) agency. Thus the moviemaker enacts the formulas of the apocalyptic imagination, not about annihilation but hope: the visionary hero can exhort us to action, provide a model for imitation and a future-oriented discourse of redemptive conduct or a fantasy of rescue. But as soon as the moviemaker gives us such a hero/heroine, the story of nuclear warfare starts to transmute itself, such that nuclear warfare is not really a threat and “real” nuclear warfare is just not the movie’s topic. Such post-apocalyptic films as The Road Warrior (1981) or Kevin Reynold’sWaterworld (1995), or such nuclear countdown dramas as John Badham’s made-for-teenagers Wargames (1983) or the Tom Clancy CIA thriller The Sum of All Fears (2002) may be “in good fun,” but the good fun is in no way intended to create any anxious attention directed at the nuclear threat “out there.” We intuitively know the facts about nuclear weapons well enough to assess such movies according to the following proportion: the more individual human agency is elevated as heroically decisive, the more the nuclear threat is diminished by the fantasy of apocalyptic rescue.

    7 So the dutiful critic, at the risk of losing attention by putting on the killjoy’s sackcloth, returns to our opening archway of “seriousness.” In proportion as the model of magically heroic bomb control is given free reign, movies including the trope of nuclear warfare risk defaulting on the debt that creates our ethical anxiety about what such movies should–minimally–do. Our purpose in this study, however, is not to condemn movies for falling away from an esthetic and ethical ideal. Instead, it is to provide a description of the manners and degrees in which such movies must submit to the ratio that plays the seriousness of the nuclear war threat against the necessity not to let that threat annihilate thinking about it (and by implication, making movies about it).

    8 The decisive majority of movies about nuclear warfare tend toward the latter half of the chiasmus: in most, human agency triumphs and the referent of nuclear annihilation recedes while the energy of the apocalyptic imaginary takes over. This statistical fact must be fully registered. According to Jerome Shapiro, “Admittedly, a fair number forecast a dystopic future, but only a very few describe complete annihilation” (12); “very few bomb films describe the strategic annihilation of humanity” (29). John Martens captures the obstacle with a nice directness: “Films that deal with the actual [nuclear] war are minimal, as a nuclear war is simply the dropping of bombs or the sending of missiles. This would make for a short film” (197). Toni Perrine puts it more eloquently: “the contradiction inherent in the fact that even portrayals of nuclear annihilation are often positive at the narrative and structural levels deserves critical attention” (9). Indeed, that “contradiction inherent in the fact” is the paradox we wish to explore. Perrine elaborates elsewhere:

    Films must have something to show, however obliquely, and despite the fact that the ultimate nuclear apocalypse on film would logically consist entirely of rubble, destruction, and death, most tend to posit a future that also includes recognizable human life. . . . In fact, it is axiomatic that dramatic narrative film must depict social life and is structurally incapable of depicting the absence of social life. (16)

    But despite the axiomatic necessities governing “dramatic narrative film,” the recession of the realism respecting the nuclear threat in most nuclear warfare movies troubles most critics, Perrine included.

    9 The majority of opinion informing most criticism of nuclear warfare in the movies worries over and openly opposes “nuclearism.” The concept of “nuclearism” was established by Robert Jay Lifton, and furthered by the likes of Paul Boyer, Helen Caldicott, and Jonathan Schell. The discourse contesting nuclearism criticizes our (alleged) collective irrational worship of the bomb and our collective denial of its horrible entrapment of our human(e) reason, and implies a call for political commitment to disarmament. With respect to movies, the critical approach was anticipated by Susan Sontag in her seminal essay “The Imagination of Disaster.” We find this strain continuing in the work of Mick Broderick with his zestily exhaustive essay-and-catalogue Nuclear Movies (1991); in Joyce Evans’ informative cultural materialist study, Celluloid Mushroom Clouds: Hollywood and the Atomic Bomb (1998); in Tony Perrine’s Film and the Nuclear Age; Representing Cultural Anxiety (1998), perhaps the most balanced but also, because of its balance, the most melancholy study. In this critical strain, the consistent attitude is that nuclear movies have not done and perhaps never can do enough to respond with esthetic means to the reality of the nuclear threat. They express the easily understandable unease of the left-leaning or liberal intelligentsia with our seeming subservience to stockpiles of nuclear arms, and exemplify one instance of what Gans has identified as the resentment of theory.(4)

    10 On the other side, many entertaining and not utterly unethical movies using the bomb deploy the apocalyptic formula. Those movies are championed by Jerome F. Shapiro in his magisterial Atomic Bomb Cinema: The Apocalyptic Imagination on Film(2002). Shapiro’s project is to create–by defining–a genre he calls “atomic bomb cinema,” in which the high-cultural (politically correct?) imperative of creating in audiences the properly sophisticated fear of the nuclear referent is firmly subordinated to the popular, if not populist, freedom of the apocalyptic imagination to play in the fields of resentful fantasy. Shapiro’s refreshing perspective acts as a pugnaciously iconoclastic corrective to the equally resentful utopianism that animates the anti-nuclear tradition: he fears not to differ from Lifton, Boyer, Schell, Sontag, and others.(5) Shapiro is never depressing, and that itself is a virtue in a field which magnetically attracts portentous rhetorics about human evil, human stupidity, human inhumanity and the like. His closing chapter defends the Hollywood movie industry itself against the routine demonization Hollywood suffers as the ritually pin-pricked voodoo doll of academic intellectuals. But having said all this in Shapiro’s praise, we can not serenely settle into his position without ceasing to think in originary terms.

    11 Whereas Broderick, Evans, Perrine and like-minded analysts find the governing conventions of Hollywood movie-making opposed to the project of representing nuclear warfare with “seriousness,” Shapiro defends Hollywood formulae informed by the apocalyptic tradition: “in atomic bomb cinema, there is little radical variation from the ‘classical’ use of the cinematic apparatus. That is to say, bomb films are generally not marketed as consciousness-raising events or art, but entertainment…. there are only a few films that offer formal surprises” (11). He refuses to study nuclear movies “as evidence of nuclearism, a vast break in public consciousness, or covert political and religious propaganda, and thus a distorted representation of some nuclear reality” (9). He privileges an apocalyptic narrative structure the thematic import of which is to valorize “individual, and communal, survival and self-actualization under oppressive conditions” (35).

    12 But it is ironically the case that Shapiro is not interested in movies that worry explicitly about nuclear war, because his “atomic bomb cinema” itself, despite the expectations the phrase obviously creates, excludes such films. Shapiro sees no contradiction between a movie treating nuclear themes “seriously” and the movie having a happy ending Hollywood-style, precisely because the assumed innocence of apocalyptic narrative form is the respectable throne he carries onstage to legitimate reigning Hollywood formulae: “But faith in a beneficent outcome, as numerous authorities on apocalyptic and millennial thought have pointed out, is essential to the philosophical, psychological, theological and generic structure of all apocalyptic narratives” (33). The apocalyptic pattern calls for the hero to journey to another (visionary world), to return to the real world, and there to exhort and rescue the oppressed and help them survive a terrifying crisis: “The key theme that connects atomic bomb cinema to the apocalyptic tradition… is the promise of not merely surviving the current oppressive conditions, but ‘rebirth.’ The apocalypse does not bring about the end of the world, but a crisis-like period of intense suffering that cleanses the world of evil” (28).

    13 Shapiro’s critics would counter that it is one thing to tutor us about what apocalyptic formulae make possible in the imaginary world of movies but another to guarantee that those formulae themselves will have no mimetically unsettling effect on decision-makers in the real world or their electorates.

    14 The severity of his attacks on those movies that attempt anything “earnest” respecting the bomb settles down, when sifted, to a hard-boiled prejudice: Shapiro enjoys bomb movies that use apocalyptic formulae and mostly despises those that do not. It is not that he proposes an attitude of indifference to nuclear issues, but that he finds the very question of “responsibility” annoying precisely to the extent that, once it is asked, his beloved “apocalyptic imagination” begins to look ethically immature by virtue of its aggressive unreality, regardless of its ancient pedigree. (One wishes Shapiro had read Girard on “Science and Apocalypse” in Things Hidden.) Thus he castigates attempts to be earnest about the effects of nuclear warfare such as On the Beach (1959) and Lynne Littman’s imperfect but valuable Testament (1983) as self-indulgent and simple-minded, but it must be said that A Boy and His Dog (1975) or Escape from New York (1984), which he prefers, are equally vulnerable to such descriptors. Refusing to “take a stand” on the nuclear threat, as Shapiro defiantly does in an oddly enumerated manifesto, does not make the threat evaporate. The weakness of Shapiro’s volume is at one with its strength. Defending with great persuasiveness the apocalyptic imagination in Hollywood film, he never questions the value of employing apocalyptic structures in the first place when treating nuclear bomb topics. That is, he simply sidesteps the way that (for Sontag, Lifton, Evans, Perrine) the apocalyptic imagination itself, when mixed up with nuclear weapons, whether in Hollywood or in the White House, might understandably be considered part of the danger (see Krauthammer; see Gates and Fineman for very recent material).

    15 In what follows, we explore the critical tension between the obligation to respect the horrors of nuclear warfare (emphasised by Perrine and others) and the obligation to respect the requirement that human agency be included on the scene of representation (emphasised by Shapiro’s endorsement of Hollywood’s apocalyptic imaginings). We proceed through the three categories of movies already named, categories defined initially but not exclusively by the point in the film’s action at which the bomb falls. Although it is not our argument that one category is superior to the others, the most promising opportunities for a full treatment of nuclear warfare would seem to emerge neither in the post-nuclear-warfare nor in the nuclear countdown drama, but in the drama of nuclear devastation (which in fact includes the essential features of the first two and adds “horrific ugliness”).

    III. Post-Nuclear-Warfare Movies

    16 The most popular, perennial film trope related to nuclear annihilation is one in which, ironically, we do not need to see the bomb fall at all: the trope of the post-nuclear-warfare wasteland. This is the domain of the science-fiction genre in which a reluctant remnant of humanity survives to fight it out in nuclear wastelands of varying hostility and inhospitality. The desert is the most frequently chosen setting. The Mad Max movies belong here; the cult classic A Boy and His Dog (1975) (to which the Max Max films owe much) belongs here; Kevin Costner’s reluctantly humanized tough-guy in the underrated Waterworld (1995) belongs here. Luc Besson’s Le Dernier Combat(1983), a film deservedly notorious because in it there is no dialogue–unless one wants to elevate grunts, whimpers and semi-coughs meaningfully exchanged to the status of dialogue–belongs here. There are many, many others. The post-nuclear apocalyptic frontier provides the frame for telling the old story of the hero of warrior violence defending his honour, territory, and power to define the ethically supreme.

    17 Most critics despise such movies (Shapiro the exception), partly because in their disregard for the “facts” about how nuclear war can not be “survived,” the genre is suspected of contributing to delusions about global thermonuclear warfare and complacency about nuclear danger.(6) But the more substantial objection would be the way these films flatter our fantasies of resentment: as gleefully pro-war films celebrating the effectiveness of warrior violence, they exclude from the outset any fruitful meditation on the evil of war itself, let alone the evil of nuclear war. Because the civilized world has been lost, all incivilities can be excused; because the originary (fake) nuclear war has forced them into a cruel world, they may be as cruel as they wish while blaming the originary nuclear disaster for the necessity of their cruelty. The will to kindness has been annihilated, but not the will to violence. Toni Perrine comments: “These films only nominally deal with the idea of nuclear war, which is significant primarily because it resulted in a neobarbarian setting in which leather-clad characters can rape, murder and pillage” (33).(7)

    18 John Martens studies such movies in the light of apocalyptic tradition as does Shapiro but–unlike Shapiro–what he finds in their deployment of apocalyptic to celebrate and enjoy is very limited. Martens’ research discovery is that the hopefulness and moral reciprocity which are sanctioned by divine intervention in ancient apocalypse are conspicuously absent from modern apocalypse: “God is at the center of apocalyptic texts; God is missing in action in apocalyptic movies” (89). Martens’ puzzled dissatisfaction with Hollywood and television versions of apocalyptic storytelling is a useful counterweight to Shapiro’s defence of them. But the crucial difference is that Martens is willing to include the properly theological as a category for evaluation, which leads him to point out “a fatalism which imbues these films, in that humans must act to stop the apocalypse, but, even if they succeed, it could return at any time. So even following victory, the future looks bleak, filled with emptiness, desolation and doom, or, at best, more of the same…. there seems to be no joy, just hard-bitten realism” (228). No joy indeed. The embittered survivors occupy a scene on which the allegedly futuristic is really only a mask for the pseudo-primitive, warrior values back with a vengeance. Using nuclear warfare as an initializing excuse for fresh scenarios of unembarrassed violence seems the least promising of generic frameworks. But there are flashes of humanity even in these wastelands.

    19 Stanley Kramer’s On the Beach (1959) deserves praise if for no other reason than that it does not walk into the trap of the post-apocalyptic fantasy of warrior violence, while boldly taking the already-happened full-scale nuclear war as its narrative opening. When originally released in 1959 during the height of the Cold War, opening in eighteen cities worldwide including Moscow and Tokyo, this film–a $2.9 million United Artists production (Evans 145)–was “accompanied by great fanfare and received substantial critical comment” and was “lauded as a deterrent to further nuclear armament” (Keyerleber 31). Members of President Eisenhower’s cabinet were so worried that it would promote “ban the bomb” propaganda that they discussed ways of undermining it (Evans 148–49).

    20 The action begins weeks after a full-scale nuclear war; the only human survivors are those living in Australia. Fully aware that a radioactive cloud is drifting toward the Australian continent and that the cloud’s dust will kill them off, too, we meet characters in three storylines gathered together. At the center is an American naval captain, Dwight Lionel Towers ( played by Gregory Peck), who has trouble absorbing the fact of the death of his wife and children; Peck conveys Towers’ infantile denial of reality effectively, and the discomfort we feel in witnessing this “hero” refuse by mute dissociation to engage with the real personalizes the horror of extinction without merely domesticating it. A never-married but voluptuous Moira Davidson (played by Ava Gardner) falls in love with Towers, but must die with that love unrequited, after some sadly ineffective flirtations (the persistent impossibility of the reproductively heterosexual erotic in the post-nuclear-warfare scenario is a telling trope). A younger sailor named Lieutenant Holmes (Anthony Perkins) and his young wife attempt to carry on living with their newborn infant but end by gathering the courage to commit suicide–killing their baby, too–to avoid radiation sickness. The wife’s nervous, near-hysterical refusal to discuss the impending mass death with scientists at an evening party which she and her husband host early in the movie functions as synecdoche of the whole film’s refusal to represent open, vigorous debate about the war, its origins, and its consequences. The unspoken thesis seems to be the not-implausible notion that the pain of such open discussion could only make things worse and would anyway prove futile. Finally, a man named Julian (Fred Astaire), a former lover of Moira and one of the scientists who contributed to the development of the bomb, busies himself with winning a competition in his racing car before his clock runs out, and accompanies Towers on a sea voyage taking radiation readings. All these victims accept with some dignity–but with what we might also feel is troubling resignation, if not baffling passivity–their status as an extended-life remnant awaiting only a slightly delayed membership among the extinct.

    21 Kramer’s On the Beach does not provide pictures of explosions, but pictures only of nuclear radiation’s effects. The scene in which they are most movingly shown is that which presents Captain Towers’ submarine in a harbour near San Diego. The vessel has gone up to Alaska studying radiation levels and is now returning to Australia. It stops in this harbour to complete a delayed mission to track down the sender of an indecipherable telegram message that was traced to San Diego, a telegram signal which seemed possibly human in origin despite its indecipherability. Each sailor looks through the periscope and studies the streets of the city bordering the beach (before one sailor is sent into the city in a protective suit to track down the source of the telegraph signals). One by one each sailor takes his turn at the periscope. Each sees no human figure is walking the streets; there is no sign of human life; indeed, as Joyce Evans complains in her frustrated hunger for realistic signs of the horror of nuclear annihilation, there are not even any corpses (149). Nevertheless, the audience participates in this effective ritual repetition: stare through the periscope, witness a deserted and emptied San Diego, give up the periscope, grimace, turn away, be silent. None of the sailors has a word to say. It is as if we have witnessed the end of the world, and the sum of our response is…no comment. The single sailor dressed in a heavy space suit to protect him from radiation leaves the submarine, walks into the city and follows the telegraph signal to its source: a window in an office has been left open, and a breeze has been tugging a window shade and thus moving a Coke bottle against the electronic clapper. So the source of the message which the survivors had hoped might come from a miraculous single survivor–a hopeful angelic double to mitigate the monstrousness of the survivors’ unspoken despair–is only a breeze, random. This figure of meaninglessness is the Holy Grail at the end of the submarine’s quest: a random tapping that mirrors the seemingly “random” universe in which the whole human species now appears only an evolutionary aberration whose chances have been used up.

    22 On the Beach has been found wanting by many. Time magazine excoriated it for managing “to make the most dangerous conceivable situation in human history seem rather silly and science fictional” (quoted in Keyerleber, 32; my emphasis), but this lampoon seems off-target: Kramer begins where the “danger” is past, in that the radiation cloud can neither be avoided nor fought. The horror of the situation is partly that human “danger” is now a non-category and fighting now is futile; we have been deprived by an ultimate violence of all fantasies about the effectiveness of violence, and the humiliating lesson is utterly disarming. Joseph Keyerleber complains with more justification that On the Beach “almost casually accepts the notion that once radiation sickness comes, there is nothing to do but relax and die” (37). Nor is Shapiro impressed: “Not only does the film gloss over the genuine political issues that are likely to initiate a nuclear war, it also ignores the secrecy, deception, and lack of democratic control that surrounds nuclear weapons” (92). What we ought to register in Keyerleber and Shapiro’s remarks is the way they take issue with the movie’s seemingly inhumane content: they want it to be about something other than extinction, they want it to include the kind of effective human agency that will diminish the baffling tragedy of extinction. Keyerleber wishes there were not “nothing to do but relax and die” and Shapiro wants the film to be about the causes of the war, where something could be done to avoid the war that has already taken place.

    23 The disturbing passivity of On The Beach, however, should be accepted as its very point: that painful passivity, at its most effective limit, might by frustrating the viewer’s appetite for “action” or “discussion” of nuclear destruction provoke viewers into supplementing the experience of the film with their own talk. The allegedly missing content should be accepted as a deliberately formal barrier rather than denounced as unrealistic omission, which denunciation entitles us to slip away without absorbing the muted but terrible sadness of the dramatized situation. In its quiet way, Kramer’s conscientious work succeeds in getting us to contemplate extinction: although the characters avoid discussing their own coming deaths, the sailors face extinction in the sign of the abandoned city and the meaningless telegram signal. The emptied city has an ingloriously sobering effect; its ineffable barrenness remains the wall against which the most hardened viewer ought to feel some heart-muscle soften. We can not possibly wish these people dead without losing our humanity, and in that sense the film succeeds in forcing us to think about extinction and the horror of nuclear warfare. It certainly succeeds infinitely more than A Boy and His Dog or the Mad Max movies.

    IV. Nuclear Countdown Dramas

    24 A second category of nuclear warfare movies, what we call the Nuclear Countdown drama, gives us–or threatens to give us–the explosion that signifies nuclear annihilation at the end of the plot. Nuclear annihilation is the end we wish to defer, the thing we wish not to happen, just as the good characters in the stories themselves wish it not to happen (psychotic scientists or military officers eager and able to launch a first strike attack represent human evil). The classic examples here are Sidney Lumet’s Fail Safe (1964) and Stanley Kubrick’s Dr. Strangelove, or How I Learned to Stop Worrying and Love the Bomb (1964). The genre has certainly continued since 1964. It includes nuclear-armed submarine thrillers such as The Hunt for Red October (1992) and Crimson Tide (1995). A good-natured if juvenile postmodern example is John Badham’s Wargames (1983), where the terrible question is whether the nuclear planes on the computerised maps in the Pentagon wall room are representing the “real” thing of nuclear warfare or merely computer simulations of it, and the hero is a high-school computer genius who inadvertently seems to start World War III and then later gets to stop it, or the illusion of it: everybody cheers when the war-room wall map imagery turns out to have been just simulated attack.(8) The time-limit, the drama of working against the clock and the drama of politico-military decision-making and negotiation constitute the raw material of this genre.

    25 The nuclear countdown drama constitutes a tellingly transparent enactment of originary thinking’s definition of human culture itself: the deferral of violence through representation. It gives us the drama of deferred violence under the sign of nuclear deterrence. Nuclear annihilation is deferred, but deferred only through representation of the threat and representations of abstention from its enactment, its carrying out. These movies emphasise political negotiation, watching the bombers approach their targets, watching models creeping across radar screens or wall-sized maps of the simulated world, pilots in deadly planes flicking switches, checking secret codes, double and triple-checking backup systems. They give us a sophisticated culture of ritual procrastination, the action of inaction, of doing anything other than the actual thing itself, the appropriation of the object itself–the object being the privilege of intentionally launching the first nuclear attack, before the enemy brother and rival nation does the same. Andrew McKenna’s remarks come to mind: “For deterrence is nothing but the deference we pay to the sacred, to absolute violence, in its difference from itself, in its differance as it originates in mimetic violence and menaces and protects undecidably” (102); “The strategy of nuclear deterrence is purely mimetic, all anticipation and deferral, all representation. It operates by feints and fictions of reprisal, including the broadcast fiction that, lest the threat lose its credibility, we don’t know what the threat catastrophically implies for all” (157).

    26 If language emerges at the origin as an abortive gesture of appropriation, one is tempted to suggest the appropriateness of the way that when human culture is required, as in these movies, to think about the end of humanity, culture must be self-stalled, confined to playing with the endless deferring of the absolute violence that would obliterate the scene of culture itself. When representation stops representing the deferral of absolute violence, then the movie is over and done; representation must cease to represent. Is it not anthropoetically appropriate that the abortive gesture of appropriation at the origin of human culture should be destined to find its (non)fulfillment in the abortive gesture of non-annihilation at the imagined end of human culture?

    27 Sidney Lumet’s Fail Safe (1964) is an admirable example of the nuclear countdown drama. As in most examples, Fail Safe presents a cast of high-ranking military and political personnel, characters who represent synecdochically the states that possess nuclear arms. We witness the President of the United States on the telephone in dialogue with the Premier of the Soviet Union in the Kremlin (such phone negotiations are a staple trope in the genre). In the conclusion, we learn that Henry Fonda as President has secretly decided to destroy New York City with a bomb dropped by an American plane which has been circling over the city while the President has been negotiating. The President commits this act of national self-injury, a political choice upsetting every “patriotic” principle, in order to prove unequivocally to the rival Russian premier that the lost American plane which has destroyed Moscow is in fact a rogue plane–not sent intentionally on a mission but lost accidentally because of ironic failures of the fail-safe system. The annihilation of New York city (and that image gains a new horror after 9/11) represents a sacrificial substitution of one great city for another, reciprocal violence of the sort Girard (1977) has taught us to observe, at its most transparent. The images of the destruction of New York are not pictures of actual bombs dropping and exploding, but freeze frames of ordinary people in the street just before the moment of the detonation; these are combined with a siren noise that indicates that the phone lines to Moscow have been destroyed in the sister annihilation.

    28 This is mimetic doubling, yes, but the reciprocal violence here is deliberate, pondered, chosen, willed in the most awful fashion–not the unthinking slippage of model-obstacles. It is the willfulness of the President’s choice, its necessary evil and its “rational” defensibility, that is so chilling. Michael Wollscheidt is correct to notice that the politicians’ discussion evades responsibility to the extent that “technology” in the abstract is demonized, and “the theme of their soul-searching conversation is that no one is to blame. The decisions regarding nuclear weapons are almost of a mystical nature, beyond capacity to comprehend or control” (72).(9) This “mystical” attribution and the corresponding evasion of human agency and responsibility represent an instance of Lifton’s “nuclearism.” The “system” is shown to fail, when nothing can call the one rogue plane back, not even the desperate pleadings of the wife of the pilot, who is desperately imported into the War Room to insert the scene of private love into the scene of impending public disaster but forced to meet with her own humiliating defeat. Nevertheless, all the weight gets thrown on the President’s decisive sacrificial realpolitik. Dramatizing the proposition that the destruction of two great cities could indeed sacrificially substitute for the destruction of world civilization, Lumet’s grim picture holds back from meditating on global annihilation. But Fail Safe certainly succeeds in forcefully representing the horror of so-called “limited” nuclear warfare. Although an early effort (1964), it succeeds much better than the made-for-television By Dawn’s Early Light (1990) or The Sum of All Fears (2002), even though these latter works built upon bigger production budgets and offered more visual pyrotechnics to seduce the viewer. In Fail Safe, human agency limits the nuclear threat, but certainly does not triumph over it: true to political reality, the movie defers any such fantastic possibility.

    29 Stanley Kubrick’s Dr. Strangelove, or How I Learned to Stop Worrying and Love the Bomb (1964) stands as both the most famous example of the Pentagon-Kremlin nuclear countdown film, and the least reverent: as Shapiro declares, the movie’s “dynamic tension between seriousness and satire makes [it] a compelling drama that never loses its appeal” (145). Kubrick opens the action with the famously psychotic General Ripper, an authoritarian cigar-chewing commie-hater who orders a complete squadron of B-52 bombers to fly into Russian airspace and drop missiles on Russian cities because of his private delusion that flouridation is a commie plot designed to rob him and all Americans of the purity of their natural body fluids, and his private decision that he is fed up with suffering the conspiracy. A good megalomaniac, General Ripper takes the matter of the world into his own hands. President Merkin Muffley, played by Peter Sellers, with long-distance help from Colonel Mandrake, the healthy and sane executive assistant to the insane General Ripper (also brilliantly played by Peter Sellers), manages after great struggle to call back from Russian airspace all but one of the loose B-52s. But in predictable sacrificial fashion, one plane emerges from the mass of recalled bombers as the anti-heroic exception that gets away. Its pilot is one Major Kong (Slim Pickens), who overcomes all obstacles (Russian planes attempting to shoot him down, leaking fuel tanks), and at last manually opens the jammed drop doors on his B-52 to mount in phallic fashion a single nuclear missile, riding it like a bronco with a rodeo cowboy’s wild cries of “yee-hah” to orgasmically apocalyptic detonation over an unprepared Russian ICBM missile facility.

    30 Major Kong rides to gleeful suicidal death only one bomb, but “limited” warfare does not satisfy Kubrick. The Russian establishment has secretly set in place a Doomsday machine which was originally intended to act as the superlative deterrent. The only problem: the Russians have foolishly delayed making public the existence of their Doomsday machine. A deterrent not yet made public is no deterrent: this stupidity is one of the plot’s jokes. Major Kong’s single bomb sets the Doomsday machine in motion; the Doomsday machine responds by automatically releasing a full-scale nuclear attack that will destroy civilization and cover the world in a radioactive shield for ninety-three years. The movie’s closing dialogue shows President Muffley and Dr. Strangelove and other leaders in the USA War Room, the poor President shell-shocked by his loss of control; the leaders calmly discuss Dr. Strangelove’s proposal that they act to save a remnant of humanity in mine-shaft civilizations thousands of yards underground, civilizations that would fuel their machines with nuclear power and allegedly be required to employ a ten-woman-to-one-man ratio with the women being selected for their “sexual characteristics.”

    31 Concise, sardonic, clippingly paced and visually appealing, Kubrick’s much-loved masterpiece is at once comical and unsettling in its exposure of the bizarre irrationalities of faith in systems of deterrence. The final scene, however, in which we witness many consecutive nuclear bombs exploding in varying shapes and sizes and shades of black and white, has an oddly calming effect. The reason for this oddly calming effect is partly the vast distance from which we see the bombs: the aerial view, the view from above, not only here but in other nuclear bomb film images, removes the viewer from the scene to such an extent that the explosion does little to horrify. The prettiness is also enhanced by Kubrick’s carefully rapid choreographing of the image sequence. Above all, the contentless framework of the explosions decisively creates anonymity and detachment. We do not know where the bombs are falling, we do not see any human or animal or architectural victims, we are given no text connecting bombs to places or persons. The bombs fall on planet Earth, but because no particular locations are named, the effect is bemused curiosity. Finally, the musical selection Kubrick plays on the soundtrack is Vera Lynn and soldierboy chorus singing the World War II song of hopeful endurance, “We’ll Meet Again.” The disjunction between song and visual symbol is sarcastic in the extreme.

    32 We might find our viewerly desire shifting uneasily between positions. On the one hand, we admire Kubrick’s cleverness: witnessing the bombs as the self-condemning acts of psychotic warmongers whom he invites us to despise, one identifies with Kubrick in his ironic distance from any endorsement of the nuclear worship he shows. The explosion images say we will not meet again; the song says we will meet again; in identifying with Kubrick’s rejection of the song’s appropriateness, we share his awareness that nuclear war must be utterly unlike World War II and that Hiroshima and Nagasaki marked the end of containable “total” warfare (as Gans has reminded us on numerous occasions).(10) On the other hand, we may resent Kubrick not because of his political impudence and disrespect of military officialdom, but because the disjunction between song and picture risks ethical indifference to the bombs’ (fictional) victims and dissatisfaction to those viewers who wish their agreement with his very anti-establishment message to be “seriously” affirmed. The irony is one which teeters on the brink of an insulting absurdity: here, human agency is shuffled offstage not by horror but by an (ironic) denial of horror. Perhaps the brusque burlesque of Dr. Strangelove cannot avoid appearing ironically in league with the political establishment it ostensibly undermines. Kubrick’s seeming rivalry with the warmongers requires him ultimately to lose sight of the object in the very way Girard warns us intensive mimetic rivalry does so (1987: 311).

    33 The nuclear countdown drama with the bomb at the end offers possibilities that, gathered together, weigh out as ethically superior to those offered by the post-apocalyptic warrior movie. By figuratively “putting off” the imagery of nuclear destruction, this genre celebrates the deferral of violence in the very process of enacting such deferral. The nuclear countdown drama cannot help but open a greater space for gestures of ethical maturity both because its narrative form dictates that the nuclear threat be presented as a “real” threat to be delayed, deferred; and because the antagonists who desire to start nuclear warfare are invariably figures of the crazy, the evil, and the irresponsible. The heroes–who act to defer nuclear exchanges–are figured as good, thoughtful, responsible; however, the regular personification and demonization of “technology” or “man’s folly” or “the system” often begins to absolve the high-level actors of responsibility the moment they take it up. (In their decisive speeches, they never blame themselves but rather these mystifying powers to which they are beholden; the genuinely penitent President or Premier seems a generic impossibility.) Most curiously, in contemplating the all-too-possible but (equally) possibly avoidable end of the human world, these movies enact a version of the process originary thinking situates at the origin of the human: the deferral of violence through representation. The originary abortive gesture of appropriation here finds its terminal transposition in the endlessly abortive gesture of non-annihilation.

    V. Dramas of Nuclear Devastation

    34 Our third category locates fully disturbing or frightening images of or allusions to nuclear warfare in the middle of the narrative action. We designate this genre the Drama of Nuclear Devastation. Although genuine examples are understandably rare–the unpleasantly stark must impede commercial success–the examples we do have visualize with different degrees of earnestness the “real” consequences of nuclear war. The most famous American version, excluding the sensationally disseminated TV movie The Day After (1983), is Lynne Litman’s Testament (1983). Given the constraining influence of American political culture on Hollywood movies about nuclear bombs (see Evans), it might not surprise us that the most noteworthy dramas of nuclear devastation come from Great Britain, with its more entrenched public culture of anti-nuclear activism. Peter Watkins’ 47-minute made-for-TV docudrama The War Game(1966) caused such scandal when it was about to be broadcast that the British Broadcasting Corporation, after spending the money to produce it, refused to show it, fearful it would cause real political panic among shocked viewers. A much more impressive drama (in my opinion the best movie treatment of nuclear war) is the BBC’s made-for-TV Threads (1984), written by Barry Hines, produced and directed by Mick Jackson.

    35 The War Game and Threads, The Day After and Testament share several features. One is a manifest “realistic” intention in that the harm, ugliness, horror of nuclear bombing is bodied forth, richly visualized, itself made central. Mick Broderick remarks: “unlike the rare and inept early attempts to depict the horror and tragedy of global nuclear conflict via stock footage of fires and conventional warfare, the eighties equivalent invest their scenarios with an almost pathological attention to detail” (40). Toni Perrine names Threads as the “film which comes closest to representing the full horror of nuclear war and its aftermath, as well as the catastrophic impact that the event would have on human culture” (237). The nuclear warfare in all such movies is neither mere plot device nor narrative presupposition (as in our first category), nor a concluding terminus either deferred or ironically simulated (as in our second category). Nor is the priority for representation either adventure (on the warrior wasteland) or suspense (in the Presidential war room). These films are set on the citizen streets and in private homes, and they tell stories of undistinguished people: neither warrior-heroes nor politico-military officials figure as leading dramatis personae. The destiny of the human agents here is primarily to struggle ingloriously, suffer and die. We witness the destruction of helpless families and the obliteration of institutions.

    36 Perhaps as an unintended consequence of this realism, these films are vulnerable to the accusation that a message-bearing didactic intention (“content”–nuclear warfare as designated by the filmic sign) overwhelms the insulating barriers of esthetic decorum (“form”–the film as designating nuclear warfare). For example, Shapiro dismisses Lynne Litman’s Testament (1983) as a pseudo-feminist weepie devoid of meaningful comment on the bomb. Wynne Wachhorst, in an otherwise brilliant study of nuclear aftermath movies and a defence of Testament, inexplicably dismisses Threads (1984) as a feeble attempt to re-do The War Game (1967). Now the charge of didacticism has merit inasmuch as dramas of nuclear devastation cannot be recommended for the prospective viewer’s pleasure as mere “entertainment.” Threads works on the viewer with a peculiar power: one finds oneself horrified, fascinated, numbed, provoked, unsettled, made restless. Its power may be the effect of its oscillation between form and content being so heavily weighted toward the pole of content–in this case, that threat of nuclear destruction which cannot help but feel “real”–so that we are unable to relax into Threads as “just” a movie, as we do when watching, say, Terminator II: Judgment Day (1991). This film, certainly the best of the action-adventure American nuclear warfare movies, calls for a brief digression.

    37 James Cameron in Terminator II: Judgment Day (1991) manages to work in time-travelling loops of deferral and deterrence, thus cleverly combining the rescue fantasy of the post-nuclear-warfare movie with the seriousness of the desire to avert nuclear war that elevates the countdown drama’s with its emphasis on avoiding nuclear warfare. The movie’s plot figures forth explicitly the desirability of the postponement of nuclear war. In more simply cinematic terms, Cameron’s skills as producer of stunning visual effects give us the single most powerful image of nuclear devastation in American popular cinema. We witness the brief (it takes less than five seconds) but amazingly memorable annihilation of Los Angeles, which the heroine Sarah Connor sees in the trapped nightmare framework of a (non)prophetic but terrifying private daydream. Why is this image so awful? Partly because Sarah herself is destroyed, and her figurality draws into itself all goodness and lovability of the apocalyptic heroine at her best: her being annihilated in the flames signifies the merciless murder of loving mother, escaped innocent prisoner, misunderstood but truthful prophet, resilient feminist warrior, nurturing source of wisdom and care, displacement of the earth mother, scapegoat-victim and scapegoat-queen all at once. Seeing her shrieking skeleton burn, her wire-locked arms shaking against the playground fence as skyscrapers topple like dominoes before the outcircling blast, is unforgettable. But to return to the difference between such a movie as Judgment Day and Threads: we know that Judgment Day is “just” a movie, even though the pictured annihilation of Los Angeles stays with us long after the Schwarzenegger robot has saved us all from doom for another decade or so. Indeed, only moments after that image, the film is carrying us along in its action ride and we are not thinking about nuclear warfare. In Threads, however, we must think of the harm the bomb does and nothing else. Threads is also “just a movie,” but as we watch it, we more frequently feel the need to remind ourselves of that disowning barrier.

    38 Threads is set in Sheffield, England, in the early 1980s. Three plot lines structure the narrative. Ruth Beckett is a twenty-something local girl of a well-to-do family who gets pregnant unexpectedly by Jimmy Kemp, her boyfriend, in an opening scene where they flirt, fight a little, and kiss into lovemaking in their car parked atop a cliff overlooking Sheffield. The movie’s second scene leaps two months ahead: Ruth announces her unplanned pregnancy to Jimmy. In desultory fashion, they decide to keep the baby and get married: thenceforth, we get to know two families. The upper middle-class Becketts have Ruth as their only child; the Kemps are lower middle-class, louder, more vulgar, with a daughter Alison and son Michael, both younger than Jimmy. The families meet when the Kemps come to dinner chez the Becketts one evening, to mark their future merger as in-laws. While this coming together of Ruth and Jimmy’s families is happening, news bulletins in the background with ominous persistence report the escalation of tensions between the United States and the Soviet Union concerning missile deployments in Iran. The citizens of Sheffield fully expect the war to occur; Sheffield’s people empty the supermarkets and stock up their own cupboards with tinned food; they tape their windows, read up on radiation, or try to leave–the motorways are jammed with families attempting to escape to the countryside. Cartoonish educational videos on TV inform citizens about radiation and fallout shelters. The government empties its hospitals of anyone not in intensive care, expecting mass casualties; Ruth’s poor grandmother is taxied home and brought up to the stairs in the soon-to-be-blasted house of her children, hobbling and fragile.

    39 When the city of Sheffield is devastated, one storyline follows Ruth and her parents, the other follows the Kemp household (Jimmy, Michael, Alison are killed instantly). The third storyline involves a childless couple, Mr. Sutton and wife: Sutton is a municipal bureaucrat whose duties include those of the Designated Wartime Controller for Sheffield. His wife worries when he must leave her behind to take up those duties in an improvised basement office with other officials–health systems managers, engineers, planning administrators and the like. Once the bomb falls, the scale of its destruction renders futile the efforts of Sutton and colleagues at moving such things as tinned food and petrol supplies about. Indeed, the very basement office they occupy like caged rats is buried in so much rubble that they are cut off except by a single radio line, and they themselves–ironically responsible for co-ordinating rescue activities–go unrescued and starve to death in four weeks. We see a member of the work crew that belatedly breaks through to dig them out walk past the begrimed photograph of Sutton’s wife on his dust-covered desk. Sutton has died, and we see his dust-covered body slumped over the desk.

    40 To Mick Jackson’s credit, despite all the narrative preparations, which one might expect to destroy any suspense, we feel dread and find nothing anti-climactic about the spectacle that follows the bomb’s detonation on the military base just outside Sheffield. The narrative preparations are a generic regularity: Threads moves us partly because we become attached (not sentimentally, minimally) to the Becketts, Kemps, and Suttons before the attack, about fifty minutes into the reel, at about the halfway point. Now the moments of footage showing the devastation of Sheffield are without rival in the realm of nuclear warfare movies: windows smash, houses collapse, people fly in panic, animals burn, people are incinerated, buildings are obliterated, waves of heat and flame fill the screen, screaming and panic and terror dominate. The stunned disbelief, the helpless panic are intensely ugly. One cannot help but feel a kind of involuntary voyeur’s nausea. For its part, the mushroom cloud is seen neither from a great aerial distance, nor simulated with graphics on the wallmap of a war room; nor is the explosion signified metonymically by a white flash, a siren noise, freeze frames of victims, or the like.(11) Instead, we see the residents of Sheffield, including those we have learned to like, watching the cloud rise above the street, a monstrous presence in the sky, terrifyingly near and unremovable. And we watch the Becketts and Kemps scrambling to build pathetic mattress lean-to shelters inside their homes, getting immediately sick from the radiation, dying without dignity within days. The visual scale is close enough to be intimate; there is nothing heroic here; people endure, try hanging on, but die sooner rather than later. The suffering is presented in a manner both unsentimental and respectful. We care for the people who die, but there is nothing beautiful in their deaths. This tension between sympathy for the victims and disgust at the ugliness of their destruction is the result of fine-tuned production (Jackson) and a careful screenplay (Hines).

    41 One of the most well-calculated factors in Threads results from its rejection of the conventionally sudden-and-unexpected quality of nuclear war’s outbreak (the convention that does depoliticize Testament, for example), via the integration of a pseudo-documentary overuse of background media broadcasters that are, ironically, foregrounded. We are brought to overhear the inexorable mounting of American-Russian hostilities represented via intrusive, persistent news broadcasts: Threads interlaces every character’s movements with radio announcers talking, television newscasts of the NATO-Soviet threats and counter-threats, images of the Kemps and Becketts reading the newspaper or glancing up at the television. It would be wrong to interpret this interference of a properly political narrative as clumsy overlay, and wrong to decode it as mere moralizing about the benighted masses’ failure to tremble with politically correct fear at a doom they should have anticipated if only they had “educated” themselves. On the contrary, the patrons of the local pub get annoyed when the bartender turns the channel away from the political newscast and demand he switch it back. Jackson and Hines use this trope of foregrounded-background media interference to dissolve with subtle insidiousness the public-private boundary, thematizing the way the bomb would be felt to dissolve the boundary between public and private space were real nuclear warfare felt to be about to occur. The idea that human agency can easily manage the nuclear threat is thus dissolved; but at the same time, the formal substitute for heroic narrative does not lead to facile demonizing of political or military leaders–the temptation of that resentment is resisted. The relentless presence of newscaster voices persists up until the nuclear attack; only then, ironically, only when the public institutions of government and market have been reduced by the bombs to their skeletal remains, is something that might be called “private” space restored. The silence of destruction replaces the noise of the media. But to call the ensuing silence a restoration of the “private” would not do justice to it; what subsists is a new space where all the vanished citizen-state relationships, however imperfect, have been replaced, and the post-war state is infinitely more cruel and oppressive than it was as a mere threatener of war.

    42 A second quasi-documentary technique used to powerful effect in Threads is the interruption of the human storylines with dark-screens upon which teletype rattles out bullet-form factual reports on the war and information about the effects of the nuclear attack. Indeed, the chronological markers of the story itself are pounded out with these typed datelines. In an effective touch, the sound of the teletype ceases after the attack–as if no human is doing the typing anymore. The formal barrier blocks our sense that the human characters can help determine their own fates, and sets Ruth and her fellow Sheffield people rigidly in a context of calendrical time indifferent to individual agency. When the air-raid signals sound off on the morning of May 26th, for example, crowds out shopping in the streets of Sheffield break into panic, and we read this teletype: “08:35: Single warhead explodes high above North Sea: Energy pulse burns out many electrical systems. Massive damage to communications across Britain and Northwest Europe.” Ten days after the attack, the teletype now spells out silently, without the rattling noise: “Sunday June 5th. Attack plus ten days. 3000 megaton exchange. Smoke produced: 10 million tons. Dust lifted into atmosphere: 500 million tons.” The neutral feminine voice of the reserved narrator explains nuclear winter briefly. This presence of the voice of the narrator is itself a third quasi-documentary feature of the film.

    43 Not least, Threads shows us the effects of nuclear war on the ecology, the dried and frozen and devastated natural landscape in the country. Once the Beckett and Kemp survivors die of radiation sickness, coughing and shaking in their makeshift mattress shelters in their blown-out homes, and once poor Sutton and his Wartime Emergency Committee colleagues starve in their buried basement, we follow the fate of Ruth Beckett alone, a wandering refugee, pregnant and starving. Things are bad in the city: hunger riots, summary executions, forced labour camps. People are shot on sight for looting tinned food from abandoned houses. Soldiers of the British state turn into agents of merciless totalitarian repression. With other survivors, Ruth wanders to the countryside five weeks after the attack. Four months after the attack, she gives birth alone in a barn to a baby girl; ten months after the attack, with the baby six months old, we see her stealing grain and pounding it herself; one year after the attack, from a pedlar she buys dead rats to eat. Three to eight years after the attack, she is working as an agricultural labourer, her daughter standing beside her, hoeing rows of struggling crops in the barren ground, a forlorn figure on a barren landscape. The land has been devastated. Food is not growing. The teletype screen estimates the United Kingdom’s population has returned to medieval levels, between 4 and 11 million. Ruth unceremoniously dies one morning in a straw bed in a barn, her eyes damaged by ultraviolet light. Her daughter, born brain-damaged by radiation, is unmoved, unable to understand why Ruth is not getting up to work in the fields. This nameless daughter is raped and impregnated, and later gives birth in a primitive hospital to a stillborn “babby”… with which image the film abruptly ends.

    44 However undignified her fate, we care for Ruth: her narrative line is presented with a careful fusion of the ugly and the fascinating–the fascinating, it must be said, rather than the pitiable. The moral dubiousness of finding another’s suffering more fascinating than pitiable must be confronted: Ruth’s condition and circumstances are so ugly, so removed from culture as we know it, “pity” would seem an inaccurate (dishonest) description of our responses. It is perhaps her minimally beautiful human endurance that fascinates us. We do not “identify with” Ruth as tragic victim. Threads is not tragedy, not even a tragedy of shock and horror such as Oedipus; in it, the obliteration of the tragic chorus as such is the point. Traumatized, inarticulate, almost somnambulant, this heroine possesses no social or metaphysical privilege we could possibly envy; Karen Meagher, the actress, has very few lines to after the fearsomely violent bomb detonation. Ultimately, the human “figure” central to Threads is not Ruth herself, finally only a synecdoche, but the social fabric of the city as such, as the opening epigraph implies.(12)

    45 Indeed, it is the suddenness of the annihilation of civilization, particularly urban civilization, that horrifies us in Threads. In his incisive cutting-down-to-size of the inflated stock of mid-1980’s “nuclear criticism” (see Ruthven for a valuable introduction to the trend), Tobin Siebers extracted from its baroque sophistical excesses the following paradoxical wisdom: “Nuclear criticism, in fact, returns with insistence to the idea that nuclear war makes human community more apparent than ever”; one step later, “The metaphor of nuclear war creates a sense of human community by virtue of exploring its loss” (238). Such, however, are the theoretical lessons of Hines and Jackson’s very untheoretical work. Threads dramatizes the merciless obliteration of social institutions, of civilized culture, of language itself: the roving parentless kids of Ruth daughter’s generation can barely speak English, as if Barry Hines had borrowed the invented fourth-millennium degenerate English of Russell Hoban’s opaque but fascinating post-nuclear fiction Riddley Walker for the few lines of the rape scene.

    46 But impressing us with the horror of the impending end of the world by nuclear warfare is no guarantee that our being so impressed will produce a desire in us to help “save” ourselves, let alone “save the world” from nuclear weapons. Inasmuch as the esthetic of Threads elicits serious horror, it creates the side-effect of serious despair, a despair that inhibits ethical conduct and invites fatalism–ironically, the fatalism one would expect its makers not to wish having created. More than any nuclear warfare movie, Threads risks destroying our faith in human agency by insisting on the “unrelievedly bleak” (Perrine’s phrase). The anti-nuclear activists in the movie–two political demonstrations are dramatized, along with state thugs who shut them down–appear ridiculous in their seeming assumption that only they properly grasp the enormity of the threat. Ruth, on the periphery, ordinary and uneducated, is seen to grasp it just as much. We might, indeed, attribute to this minimization of political differences some of the movie’s esthetic power to provoke anthropological reflection: we are not explicitly distracted by the petty culture of moralizing blame that is such a temptation in discourse about nuclear bombs. However, just as the puzzled viewer might desire to supplement Kramer’s On the Beach with the explicit discussions of extinction it curiously omits, the viewer might feel propelled to supplement Hines and Jackson’s Threads with the possibility for hope it obliterates in its obliteration of civilized Sheffield and its natural ecology. Otherwise, the film’s horror has no ethical import, and its effect might amount to the pornography of violence wearing the mask of anti-nuclear “awareness.”

    VI. Conclusion: Staving off Annihilation, Saving Human Agency

    47 Our enthusiastic description of Threads may have given the impression we are convinced it is the “one” nuclear warfare movie that “must” be seen. Inasmuch as Threads seems a work relatively unknown in the North America, that impression might be worth saving. We ought to return, however, to our opening chiasmus: the movie that succeeds fully in conveying the horror of nuclear warfare does so at the risk of destroying faith in human agency, while the elevation of human agency that pretends the bomb is easily controllable trivializes nuclear horror. Threads, the most didactically realistic, visually powerful anti-nuclear-warfare film, must also be the one most productive of the despairing temptation to feel nothing but resignation. In somewhat the same way that originary thinking suggests we must believe our neighbor beautiful before we can learn to love him, we must believe our chances of keeping the world going are good ones before we can keep it going. It is that hope we can keep the world going that the drama of nuclear devastation threatens to prohibit.

    48 We reiterate that it does no good to centralize as esthetically supreme such dramas of nuclear devastation, which might be considered the most “accurate” and thus honorable, in such a manner as to exclude post-nuclear-warfare movies or nuclear countdown dramas. Cameron’s Terminator II: Judgment Day has power because of its deft integration of essential elements from all genres, while belonging most firmly to countdown drama. The point is not to condemn the movies that fall away from the (impossible) ethical-esthetic ideal as much as to grasp without distortion the ways in which they do fall away from a certain completeness in which both agency and annihilation could be fully figured. Each genre offers possibilities for representation that the other does not; this is not a flaccid supermarket relativism, but a respect for the minimality of the ethical conditions with which we began.

    49 Humility is good to pursue when thinking about nuclear warfare. No objective feature of any movie can substitute for the critic’s humility. Any good nuclear warfare movie adds something to our cultural resources for living out the threat; the differences between the genres are there to be understood, not denounced in an impossible quest for the esthetically pure. We might despise the survivor in the post-nuclear-warfare wasteland for the fantastic centrality of his violent agency–a survivor like John Connor’s time-traveling birth father in Terminator (1984), with his machine guns and his biceps and his mystical military loyalties. But that obstinate “fantasy” of human agency appears to serve a good cause when set as a counterweight, however illusory, to the slow but total annihilation of Ruth Beckett in Threads.

    50 We might do well to close with a return to the real Hiroshima and Nagasaki, by remembering in imitation of Akira Kurosawa the atomic bomb victims who died in those cities. One could do worse than open a new door by offering a respectful bow in the direction of Kurosawa’s beautiful work in Dreams (1990) and Rhapsody in August (1992) . These are not quite movies of nuclear warfare, but in their allusiveness to the only deliberate historical bombings of real human populations, each film shows what is lost by way of nuclear destruction. Dreams evokes such loss in transparently didactic but wonderfully fanciful visual parables of a post-nuclear future, especially the episodes “Mount Fuji in Red” and “Demons.” Rhapsody in August tells a tale of careful remembering, cultivated affection, and unexpected forgiveness that brings together a supposedly-but-wrongly-suspected American beneficiary of the Nagasaki attack (played by Richard Gere) and his Japanese aunt, a survivor who was a child on just the other side of the mountain from the bomb’s ground zero at Nagasaki. Rhapsody in August‘s tragicomical treatment of the grandmother’s transcendent and comically unanticipated readiness to forgive her American nephew without forgetting the damage of the bomb manages to make us laugh-while-crying about the unavoidable tensions of our nuclear dilemma. Kurosawa refuses to assign ethnic or political blame except by having the grandmother blame “war” generally; the movie indulges no temptation to validate anti-American resentment. But Kurosawa equally refuses to ignore the harm the Nagasaki bomb did: he centralizes the figures of that harm. When kind laughter in the context of remembering such horrific victimization becomes possible, we know that ethical progress has been made.

    51 Staving off annihilation and saving human agency in doing so are one and the same gesture, the gesture originary thinking posits our ancestors were performing at the origin of human culture. No one movie can “do justice” to the fearsome threat of nuclear annihilation. But that impossibility is no reason to despair if we can learn that the expectation of such esthetic and ethical “justice” is utopian anyway. Once we let the expectation go, hope returns, but not with a vengeance; hope for real peace has never traded with vengeance anyway. Perhaps it is not irreverent to build on an ancient chiasmus from St. Augustine.(13) We must not presume: the threat of another Nagasaki is a reality; we must not despair: the reality of another Nagasaki is (so far only, only so far) but a threat.

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    ———-. 1987. Things Hidden Since the Foundation of the World. Trans. Stephen Bann and Michael Metteer. Stanford: Stanford U P.

    Hines, Barry. 1984. Threads. Threads and Other Sheffield Plays. Ed. Michael Mangan. Sheffield: Sheffield Academic Press. 157–235.

    Hoban, Russell. 1980. Riddley Walker. Expanded. ed. With Afterword, Notes and Glossary. Bloomington: Indiana U.P, 1998.

    Iwao, Sumiko. 1992. “The Day After” in Japan. In Wober, ed., 67–76.

    Keyerleber, Joseph. 1978. “On the Beach.” In Shaheen, ed., 31–38.

    Krauthammer, Charles. 1985. “The End of the World.” New Republic (March 28, 1985): 12–15.

    Lifton, Robert Jay and Greg Mitchell. 1995. Hiroshima in America: A Half-Century of Denial. New York: Avon.

    Martens, John W. 2003. The End of the World: The Apocalyptic Imagination in Film and Television. Winnipeg, Manitoba: J. Gordon Shillingford.

    McKenna, Andrew J. 1991. Violence and Difference: Girard, Derrida, and Deconstruction. Urbana and Chicago: U Illinois P.

    Perrine, Toni A. 1998. Film and the Nuclear Age: Representing Cultural Anxiety. Garland Studies in American Popular History and Culture. Series ed. Jerome Nadelhaft. New York and London: Garland.

    Ricoeur, Paul. 1984–88. Time and Narrative. Vols. I–III. Trans. Kathleen McLaughlin and David Pellauer. Chicago: Chicago U P.

    Ruthven, Ken. 1993. Nuclear Criticism. Series: Interpretations. Carlton, Australia: Melbourne U P.

    Schell, Jonathan. 1982. The Fate of the Earth. New York: Knopf.

    Shaheen, Jack, ed. 1978. Nuclear War Movies. Cardondale: Southern Illinois U P.

    Siebers, Tobin. 1988. “Conclusion: The Ethics of Nuclear Criticism.” In his The Ethics of Criticism. Ithaca and London: Cornell U P.

    Shapiro, Jerome F. 2002. Atomic Bomb Cinema: The Apocalyptic Imagination on Film.New York and London: Routledge.

    Sontag, Susan. 1965. “The Imagination of Disaster.” Orig. In Against Interpretation. Ed. Mick Broderick in Hibakusha Cinema: Hiroshima, Nagasaki, and the Nuclear Image in Japanese Film. London and New York: Kegan Paul International, 1996. 38–53.

    Wachhorst, Wyn. 1987. “The Days After: Films on Nuclear Aftermath.” In Yoke, ed., 177–92.

    Wollscheidt, Michael G. 1978. “Fail Safe.” In Shaheen, ed., 68–75.

    Wober, J. Mallory, ed. 1992. Television and Nuclear Power: Making the Public Mind. The Communication and Information Science Series. Series ed. Brenda Dervin. Norwood, New Jersey: Ablex.

    Wober, J. Mallory. 1992. “Preface.” In Wober, ed., xi–xx.

    Yoke, Carl B., ed. 1987. Phoenix from the Ashes: The Literature of the Remade World.Contributions to the Study of Science Fiction and Fantasy, Number 30. New York: Greenwood.

    Filmography

    A Boy and His Dog. USA, 1975. Dir. L.Q. Jones.

    By Dawn’s Early Light. USA, 1990. Dir. Jack Sholder. [TVM.]

    Crimson Tide. USA, 1995. Dir. Tony Scott.

    Le Dernier Combat. France, 1983. Dir. Luc Besson.

    The Day After. USA, 1983. Dir. Nicholas Meyer. [TVM.]

    Dr. Strangelove or: How I Learned to Stop Worrying and Love the Bomb. United Kingdom, 1964. Dir. Stanley Kubrick.

    Dreams. Japan, 1990. Dir. Akira Kurosawa.

    Escape from New York. USA, 1984. Dir. John Carpenter.

    Fail Safe. USA, 1964. Dir. Sidney Lumet.

    The Hunt for Red October. USA, 1990. Dir. John McTiernan.

    On the Beach. USA, 1959. Dir. Stanley Kramer.

    The Road Warrior. Australia, 1981. Dir. George Miller.

    Rhapsody in August. Japan, 1992. Dir. Akira Kurosawa.

    The Sum of All Fears. USA, 2001. Dir. Phil Alden Robinson.

    Terminator II: Judgment Day. USA, 1991. Dir. James Cameron.

    Terminator III: Rise of the Machines. USA, 2003.

    Testament. USA, 1983. Dir. Lynne Littman.

    Threads. United Kingdom [BBC], 1984. Dir. Mick Jackson. [TVM.]

    The War Game. United Kingdom [BBC], 1967. Dir. Peter Watkins.

    Wargames. USA, 1983. Dir. John Badham.

    Waterworld. USA,1995. Dir. Kevin Reynolds.

    Notes

    1. The American government complained of Kramer’s On the Beach (1959) that it inaccurately presented the threat of extinction from nuclear war because there were not then enough weapons to cause extinction. The Pentagon refused to help Stanley Kubrick with information about how to build a model of a B-52 bomber in preparation for Dr. Strangelove (1964). The BBC refused to broadcast Peter Watkins’ The War Game(1967) after producing it. Jackson’s Threads (1984) was restrained by “the statutes governing British broadcasting [which] require that balance and fairness are maintained, in programs making what can readily be seen as politically related statements” (Wober, “Preface,” 1992: xvii). See Evans (1998) for a full treatment of state-industry tensions in Hollywood movies until the mid-sixties. (back)

    2. Sumiko Iwao: “The number of deaths from the nuclear bombing of Hiroshima and Nagasaki was approximately 200,000, and even today there are 367,000 survivors of the attacks, and a number of them are in the Atomic Bomb Hospital in Hiroshima. Survivors of the nuclear blast were all given registration cards which entitle them to medical care paid for by the state. However, there are some who have chosen not to accept the registration cards fearing the stigma of being known as a survivor. There have been cases where employers have been hesitant to hire survivors, or potential marriage partners have decided not to marry them. In the former case the main reason is the potential cost that the employer must bear in case of an employee’s illness both in terms of medical expenses and the lack of dependability as a human resource; in the latter situation the reason for avoidance is mainly a fear of hereditary problems that may be suffered by the next generations) (1992: 67). (back)

    3. See Lifton and Mitchell (1995) for their account of the facts which animate our suggestion initiated by the qualifier “perhaps.” (back)

    4. From Chronicle 125, “Presidential Kneepads and Phallic Religion”: “Theory expresses the intellectual’s resentment against a social order dominated by ‘irrational’ forces, whether those of religion or those of the market, that his mastery of discursive rationality–of ‘metaphysics’–does not permit him to control.” Lifton does not hesitate to describe “nuclearism” as a “religion.” (back)

    5. We say “utopianism” not at all in contempt of those who propose disarmament such as Lifton and Schell, whose work is essential and praiseworthy; but as Martin Amis points out about works such as Schell’s The Fate of the Earth (1982): “Some of the blueprints for eventual abolition . . . are wonderfully elegant and seductive; but these authors are envisioning a political world that is as subtle, as mature and (above all) as concerted as their own solitary deliberations. Nuclear war is seven minutes away, and might be over in an afternoon. How far away is nuclear disarmament? We are waiting. And the weapons are waiting” (Einstein’s Monsters, 1987: 1-2). (back)

    6. Mick Broderick: “The inability of most contemporary movies to approach the complexities of social relations in the nuclear age–whether by a nostalgic yearning for a less complicated life in some imaginary childhood past or embracing a more distant historical milieu via an apocalyptic future, constructed as a pioneering, frontier, or survivalist ‘second chance’–suggests a continued determination to avoid coming to terms with the present” (45). (back)

    7. Perrine elsewhere: “when nuclear war is represented, it is most often trivialized, as in the postnuclear action-adventure genre” (242). “A post-nuclear future free of the corrupting influence of technological progress, and most often typified by radically simplified social relations (barbarism and survival of the fittest), is a recurring American fantasy of the late 20th century which inflects many of the films discussed here” (243).(back)

    8. One might include as more recent if less interesting examples The Sum of All Fears(2000), which includes an explosion midway through the plot but remains preoccupied with the deterrence of full-scale nuclear war, and Terminator III: Rise of the Machines(2003), which ends with strangely detached and long-distance aerial views of the nuclear annihilation of American civilization, the heroic John Connor and his girlfriend having stumbled into safe underground space originally intended for the American President. (back)

    9. Joyce Evans makes a similar observation: the military characters in Fail Safe “become victims of the overwhelming technological and security apparatus, of security measures so stringent and dependent on rules that they ultimately create the inability to halt the impending disaster” (161). (back)

    10. See (for example) Originary Thinking (1993: 208-209); Signs of Paradox (1997: 160–67); Chronicles of Love and Resentment, numbers 35; 70; 125; 137; 147. (back)

    11. Perrine points out the way the symbolism of nuclear disaster has been “conventionalized” and gives us this useful list [enumeration added]: “Ways of visually expressing the idea of a nuclear disaster include [1] the ubiquitous mushroom cloud, often tinted an angry red, [2] flash frames (the frame goes white), [3] a firestorm or flames, [4] images of actual bombs dropping but not exploding, [5] missiles leaving their silos, [6] a fade to black or some other color and finally, [7] expository titles which inform the audience verbally rather than visually that a nuclear exchange has occurred” (241). (back)

    12. The film’s opening epigraph reads: “In an urban society, everything connects. Each person’s needs are fed by the skills of many others. Our lives are woven together in a fabric. But the connections that make society strong also make it vulnerable. . . .”(back)

    13. “Do not presume; one of the thieves was damned. Do not despair; one of the thieves was saved.” (back)

  • Dreiser and Sister Carrie’s Kingdom of Greatness

    [I]n life, after all, we are most wholly controlled by desire. The things that appeal to desire are not always visible objects. . . . Desire is the variable wind which blows now zephyrlike, now shrill, filling our sails for some far-off port, flapping them idly upon the high seas in sunny weather, scudding us now here, now there, before its terrific breath, speeding us anon to accomplishment; as often rending our sails and leaving us battered and dismantled, a picturesque wreck in some forgotten harbor.(1)

    It is by now well established that desire constitutes the real subject of Theodore Dreiser’s Sister Carrie, and indeed of his other major novels. In an article entitled “Desire as Hero,” Randolph Bourne concludes: “The insistent theme of Mr. Dreiser’s work is desire, perennial, unquenchable. . . . His hero is really not Sister Carrie, or the Titan or the Genius, but that desire within us that pounds in manifold guise against the iron walls of experience.”(2) Irving Howe, in “Dreiser: The Springs of Desire,” observes that the central characters in the early novels are “harried by a desire for personal affirmation, a desire they can neither articulate nor suppress.”(3) Donald Pizer is more specific about what Sister Carrie wants: “Of the major forces in her life, it is primarily her desire for objects that furnish a sense of physical and mental well-being–for fine clothing and furniture and attractive apartments and satisfactory food–which determines much of her life.”(4) Walter Benn Michaels, for his part, notes that in Dreiser’s novel “What you are is what you want, in other words, what you aren’t.”(5)Finally, a comprehensive study of Dreiser’s work begins the section on Sister Carrie thus: “Desire is the protagonist of Sister Carrie. The principal supporting players include a young small-town girl drawn by undefined dreams to the great city and the men she meets during her search for fulfillment.”(6)

    These various readings underline the importance of desire in Dreiser’s work, particularly in Sister Carrie, where desire is perceived as an unfathomable and irrepressible force. The characters seem so helpless that desire, according to Lawrence Hussman Jr., has become the novel’s new protagonist. This subordination of character to desire is also what Richard Poirier suggests when, describing what he thinks characterizes most American novelists of the late nineteenth and early twentieth centuries, he points out that “their vision often moves panoramically across the massed phenomena of social and economic structures, and it is only within these that they can see the hero at all.”(7)

    While the centrality of desire to Dreiser’s thought is undeniable, I want to suggest that the phenomenon of desire in Sister Carrie is not as unfathomable as it seems, not some mysterious and overpowering force that hurls Carrie toward the objects she desires. Within the “massed phenomena of social and economic structures,” we can clearly perceive the prominent place occupied by the human mediator. Sister Carrie, along with a host of other characters in the novel, dramatizes René Girard’s mimetic theory. According to Girard, “The standard view [of imitation], derived from Plato’s mimesis via Aristotle’s Poetics, has always excluded one essential human behavior from the types subject to imitation–namely, desire and, more fundamentally still, “appropriation” (“To Double Business Bound” central to vii). Central to Girard’s thought is the theory of “mimetic desire,” developed in his first book Mensonge romantique et vérité romanesque (1961) and elaborated in his later works: a character desires an object, not for itself, but for the value assigned to it by the desire of another. Don Quixote, for instance, believes that true chivalric existence can be experienced only through a careful imitation of Amadis of Gaul, who seems to him to personify ideal knightly behavior. Don Quixote’s desires are thus “mediated”: the subject pursues objects determined by the mediator of desire. In this respect, the directions taken and influences exerted by snobbery, vanity, jealousy, envy, rivalry, resentment, hatred, renunciation, and sacrifice form the center of Girard’s critical thinking. “This triangle of subject, objects and mediator,” Bruce Bassoff notes, “is similar to Thorstein Veblen’s model of ‘conspicuous consumption,’ where ‘keeping up with the Joneses’ means desiring what they possess regardless of the real value of the object.”(8) For Girard, however, it is not merely a question of desiring what the Joneses possess, but of desiring what they themselves appear to be; Girard calls this desire “metaphysical” because it is aimed at the mediator’s being. Veblen describes the phenomenon only in its economic manifestations, but through an extensive analysis of major works by Cervantes, Stendhal, Flaubert, Proust, and Dostoevsky, Girard unravels the complicated strategies of mimetic desire, explores the depths and ways in which it operates, and provides numerous examples of its powerful effects on human relationships.(8a)

    Despite its title, Sister Carrie is not a study of a family; indeed, the story opens as Carrie Meeber is leaving home to seek her fortune in Chicago, thus severing “the threads which bound her so lightly to girlhood and home” (3). In the absence of any subsequent references to Carrie’s past, it seems doubtful that one can speak of her ever having been rooted. While the freedom and mobility enable Carrie to create her self, they also render her susceptible to the influences that life in Chicago and New York will bring:

    2

    The city has its cunning wiles. . . . There are large forces which allure, with all the soulfulness of expression possible in the most cultured human. . . . Half the undoing of the unsophisticated and natural mind is accomplished by forces wholly superhuman. . . . Without a counselor at hand to whisper cautious interpretations, what falsehoods may not these things breathe into the unguarded ear! (4)

    As the narrator suggests, Carrie, “possessed of a mind rudimentary in its power of observation and analysis” (4), needs a model to guide her through the seemingly bewildering wonders of Chicago. The first words whispered literally in Carrie’s ear as her train is approaching Chicago come from a flashy salesman, who quickly finds out that she is on her first visit to the city. The initial meeting captures Charles Drouet’s habit of asserting his importance through boasting: “’You want to see Lincoln Park,’ he said, ‘and Michigan Avenue. They are putting up great buildings there. It’s a second New York, great. So much to see’” (7). Drouet wishes to impress on Carrie his association with the ‘great’ world of the city and to intimate that he regularly partakes of the pleasures of Chicago–a city, he suggests, busy imitating New York. The glamorous account makes the attractions seem desirable; as the narrator observes, “There was a little ache in her fancy of all [Drouet] described. Her insignificance in the presence of so much magnificence faintly affected her” (7). The seeds of desire are so firmly planted in her imagination that Carrie grows suddenly conscious of her appearance: “Her own plain blue dress with its black cotton tape trimmings realized itself to her imagination as shabby” (7). Carrie’s new perception springs from dissatisfaction: in contrast to Drouet’s showiness, the simplicity of her apparel is amplified into shabbiness; the jump from “plain” to “shabby” charts Carrie’s sudden movement toward self-consciousness; as Girard points out, “it is the mediator who makes the imagination fertile.”(9)

    At this point, Carrie does not yet realize that Drouet is a poseur, one whose “dress or manners are such as to impress strongly the fancy, or elicit the admiration of susceptible young women” (5). Just as Carrie will try to measure up to his standards of dress by imitating his presumed elegance, Drouet himself behaves so as to conform to the expectations of young women like Carrie; both are thus caught in the process of mutual mediation. Before they enter Chicago, Drouet has one more card to play:

    He reached down in his hip pocket and took out a fat purse. It was filled with slips of paper, some mileage books, a roll of green-backs and so on. It impressed her deeply. Such a purse had never been carried by any man who had ever been attentive to her before. Indeed a man who traveled, who was brisk and experienced and of the world, had never come within such close range before. The purse, the shiny tan shoes, the smart new suit and the air with which he did things built up for her a dim world of fortune around him of which he was the centre. (8-9)

    Although Drouet’s appeal is simple, even crude–the purse looks ‘fat,’ the ‘roll of green-backs’ is visible, the new suit is ‘smart,’ and the tan shoes are ‘shiny’–this first meeting ends in his favour because he knows how to arouse Carrie’s interest; as the narrator, who is perfectly aware of the workings of mimetic desire, notes, “She could not realize that she was drifting, until [Drouet] secured her address. Now she felt that she had yielded something–he, that he had gained a victory. . . . Already he took control in directing the conversation” (9). Although the association cannot be considered a master-slave relationship, Carrie has lost what Girard calls the “struggle of consciousnesses” when she has succumbed to Drouet’s strategies, to what the narrator calls the “cunning wiles” of the city, the “wholly superhuman” and the “large forces which allure” the unsophisticated mind. Thus, when Drouet takes his leave, Carrie “felt something lost to her. . . . When he disappeared she felt his absence thoroughly. With her sister she was much alone” (12). The void left by the mediator’s departure can hardly be filled by “dull and commonplace” (13) Minnie.

    From now on, Carrie will rely on Drouet’s standards to judge people and places. His approval or disapproval will determine what she thinks, even what she does. When she reaches Minnie’s flat, “Something about the place irritated her, she did not know what” (13), a reaction that the narrator attributes to Carrie’s “sixth sense” and to her vague sense of harmony: “Too ignorant to understand anything about the theory of harmony, Carrie yet felt the lack of it” (13). Obviously, Carrie’s reaction stems from her encounter with Drouet: she is ashamed to let Drouet see where she resides. Although she has already given him Minnie’s address, she suddenly thinks, “he could not come here. . . . My sister’s place is so small” (14).(10) This feeling of shame, indicative of mediated desire, informs Carrie’s job-seeking experience in Chicago as well, since she is more concerned with her public image than with finding a job; with her eyes on the mediators, she loses sight of what she is after: “As she contemplated the wide windows and imposing signs, she became conscious of being gazed upon and understood for what she was–a wage-seeker” (18). In the world of internal mediation in which virtually anyone can become someone’s mediator, Carrie has made the ‘mistake’ of openly revealing her desires, of showing others that she needs a job. Thus, “To avoid conspicuity and a certain indefinable shame she felt at being caught spying about for some place where she might apply for a position, she quickened her steps and assumed an air of indifference supposedly common to one upon an errand” (18). The quick steps and the air of indifference (itself imitated) cannot hide Carrie’s preoccupation, and, under the circumstances, her conduct becomes unprofitable, for “she passed many manufacturing and wholesale houses without once glancing in” (18). Looking for a job has turned into a flight from the mediators, and the object of desire itself has been pushed aside.

    3

    Because Carrie is under the sway of mimetic desire, she considers herself insignificant whenever she encounters people who seem to her to be superior models, comparing herself to them and repeatedly concluding that they enjoy a self-sufficiency of which she remains deprived. When her job-hunting adventures take her into a fashionable store, “she noticed, with a touch at the heart, the fine ladies who elbowed and ignored her, brushing past in utter disregard of her presence, themselves eagerly enlisted in the materials which the store contained” (23). The experience heightens Carrie’s self-awareness, particularly her sense of her insignificance. Irving Howe’s notion that the characters in Dreiser’s novels suffer from a “desire for personal affirmation” describes Carrie’s situation well but overlooks the role of human mediation, the mechanism apparent in the women’s haughtiness and in Carrie’s envy. For Carrie, personal affirmation can be attained only when she is no longer treated as if she did not exist. Her desire is for recognition, and not, as Donald Pizer argues, merely for clothes and material comfort. In this respect, the episode with the shop girls in the same store is telling:

    Carrie was not familiar with the appearance of her more fortunate sisters of the city. Neither had she before known the nature and appearance of the shop girls, with whom she now compared poorly. They were pretty in the main, some even handsome, with a certain independence and toss of indifference which added . . . a certain piquancy. . . . [W]herever she encountered the eye of one, it was only to recognize in it a keen analysis of her own position–her individual shortcomings of dress and that shadow of manner which she thought must hang about her and make clear to all who and what she was. A flame of envy lighted in her heart. (23)

    To be conscious of one’s appearance is to be in the grip of mediated desire, to engage in constant mental comparisons between oneself and others. Unlike the ‘fine’ ladies and the shop girls, Carrie feels that she lacks ‘being’ and that her identity seems transparent. At the source of Carrie’s subjectivity, we see the human mediators’ significance. Her flame of envy is understandable: she wants to acquire what makes those girls superior: independence, indifference, and piquancy. Carrie’s low self-image colours even her understanding of other people’s behaviour. When Drouet, who had promised to call on her, has apparently forgotten to keep his word, she jumps to the conclusion that “Drouet was not coming and somehow she felt a little resentful, a little as if she had been forsaken–was not good enough” (52); Drouet’s neglect reinforces Carrie’s low opinion of herself. But her reading of Drouet’s action is absurd when we recall that she had earlier written to him expressly asking him not to call at Minnie’s small flat.

    At other times, however, Carrie’s mere connection to Drouet makes her feel superior to other women and also to their men. At the shoe factory where she eventually gets her first job, Carrie has to work alongside girls who “had young men of the kind whom she, since her experience with Drouet, felt above. . . . She [also] came to thoroughly dislike the light-headed young fellows of the shop” (56) “who beside Drouet seemed uncouth and ridiculous” (40). Once Drouet has pointed out what seems desirable, Carrie will settle for nothing less.

    But what is the nature of the superiority Carrie persists in attributing to Drouet? Is he as “great” and self-sufficient as she believes him to be? Here is why Drouet spends his free evenings at a famous Chicago restaurant:

    Rector’s, with its reputation as a resort for actors and professional men, seemed to him the proper place for a successful man to go. He loved fine clothes, good eating, and particularly the company and acquaintanceship of successful men. (42)

    There is no doubt as to what attracts Drouet to Rector’s: like Carrie, like all the characters who have helped to give Rector’s its reputation, Drouet loves the company of the successful and haunts the restaurant because his mediators’ prestige seems imparted to the place. The only difference between Carrie and Drouet is that she thinks he is successful, but as she gains experience, the difference between them dissolves, and with it goes her desire for his company.

    That Drouet craves the atmosphere of places like Rector’s to feel himself alive is made clear in several other episodes. When he dines out, “it was a source of keen satisfaction to him to know that Joseph Jefferson was wont to come to this same place at some time or another, or that Henry E. Dixey, quite a well-known performer of the day, was there only a few tables off” (42). Drouet is a vaniteux, one who, according to Girard, “will desire any object so long as he is convinced that it is already desired by another person whom he admires.”(11) Drouet’s satisfaction derives not from the quality of the food but from his conviction that his temporal or spatial proximity to his mediators bestows upon him some of their prestige. Because his desire is so mediated, some of Drouet’s actions become comic: at Rector’s, he would sometimes overhear someone mention the presence of some popular figure, and “When these things would fall upon Drouet’s ears, he would straighten himself a little more stiffly and eat with solid comfort. If he had any vanity, this augmented it, and if he had any ambition, this stirred it” (42). The mechanical reaction to the mediators’ presence recalls Carrie’s quick steps when she realized other people were watching her as she was looking for a job. The passage also shows how the narrator can sometimes intuitively comprehend and unambiguously portray the laws governing mimetic desire: Drouet, the subject of desire, appears as a puppet whose actions are precipitated by the mediators’ presence. In a perfect spirit of emulation, Drouet “would be able to flash a roll of greenbacks too someday. As it was, he could eat where they did” (42). Drouet also frequents Hannah and Hogg’s, “a gorgeous saloon from a Chicago standpoint” (42). The reasons for the place’s popularity with Drouet point once again to the mediators’ role: “The fact that here men gather, here chatter, here love to pass and rub elbows, must be explained upon some grounds. It must be that a strange bundle of passions and vague desires gives rise to such a curious social institution or it would not be” (47). The saloon owes its existence to a human environment made up of what the narrator loosely designates as “a bundle of passions and vague desires,” but Drouet’s example indicates that desire for social recognition represents an essential element in the creation of Hannah and Hogg’s. The motive for the gathering and the rubbing of elbows is to impress others and to prove oneself worthy of their attention.

    4

    What has been said about Drouet applies equally to the other people drawn to the saloon:

    The many friends [Drouet] met here dropped in because they craved, without perhaps consciously analyzing it, the company, the glow, the atmosphere, which they found. . . . The worst effect such a thing could have would be perhaps to stir up in the material-minded an ambition to arrange their lives upon a similarly splendid basis. In the last analysis, that would scarcely be called the fault of the decorations, but rather of the innate trend of the mind. That such a scene might stir the less expensively dressed to emulate the more expensively dressed could scarcely be laid at the door of anything save the false ambition of the minds of those so affected. (47)

    The narrator’s view of emulation seems ambivalent in this passage, for though he describes the tendency to imitate others as an inborn quality of the human mind, he also suggests that emulation remains the false ambition of a particular mind, the kind permanently affected by desire.

    Indeed, Drouet’s mind is forever at work. When he takes Carrie out to dinner, he “selected a table close by the window. . . . He loved the changing panorama of the street–to see and be seen as he dined” (58). Mixed with Drouet’s love of the varied street spectacle is his desire to be noticed, to draw attention to himself; and Drouet is more than just gregarious: the preceding example indicates how his self-esteem increases when he knows that other people, Carrie included, associate him with the city’s fashionable places.

    Drouet’s power over Carrie depends on his ability to make her feel the elegance of his manners and the superiority of his taste; unable to perceive his limitations, Carrie leads a major part of her life in Chicago according to his expectations. One of the most telling examples of this influence occurs in chapter eleven, as Carrie and Drouet, who are now living together, are taking a walk:

    Drouet had a habit . . . of looking after stylishly dressed or pretty women on the street and remarking upon them. . . . He saw how they set their little feet, how they carried their chins, with what grace and sinuosity they swayed their bodies. . . . He loved the thing that women love in themselves, grace. At this, their own shrine, he knelt with them, an ardent devotee.

    “Did you see that woman who went by just now?” he said to Carrie, on the very first day they took a walk together.

    It was a very average type of woman they had encountered, young, pretty, very satisfactorily dressed so far as appearances went, though not in style. Drouet had never seen the perfectly groomed ladies of the New York social set, or he would have been conscious of her defects.

    “Fine stepper, wasn’t she?”

    Carrie looked again and observed the grace commended.

    “Yes, she is,” she returned cheerfully, a little suggestion of possible defect in herself awakening in her mind. If that was so fine she must look at it more closely. Instinctively she felt a desire to imitate it. . . .

    When one of her mind sees many things emphasized and re-emphasized and admired, she gathers the logic of it and applies accordingly. Drouet was not shrewd enough to see that this was not tactful. He could not see that it would be better to make her feel that she was competing with herself, not with others better than herself. (99-100)

    The “fine stepper” incident represents one of the clearest illustrations of Girard’s concept of mimetic desire. Carrie, who suddenly finds the other woman’s style desirable because Drouet has commended it, yearns to appropriate the sort of admiration the “fine stepper” enjoys in the eyes of men like Drouet. But Carrie’s struggle is not with the other woman, but with the mediator, who unwittingly suggests her shortcomings by praising other women in her presence. Instead of “whisper[ing] cautious interpretations” (4), the self-appointed counselor incites her to more emulation.

    In addition to being a bad counselor, Drouet is unable to restrain his admiration for women; he reveals his desires too much, a habit indicative of a crude and tactless nature. Since Drouet cares to judge and be judged by appearances, his understanding of “grace” and “style” remains shallow.

    This superficiality makes it hard for Carrie to engage his attention for very long, because “Drouet was a man whom it was impossible to bind to any one object for long. He had but one idol–the perfect woman” (105). Eager to meet Drouet’s standards of what constitutes the desirable, Carrie frequently finds herself copying whatever Drouet recommends. The “fine stepper” is not an isolated episode; chapter eleven provides an equally telling instance:

    5

    What Drouet said about the girl’s grace . . . caused Carrie to perceive the nature and value of those little modish ways which women adopt when they would presume to be something. She looked in her mirror and pursed up her lips, accompanying it with a little toss of the head as she had seen the railroad treasurer’s daughter do. She caught up her skirts with an easy swing, for had not Drouet remarked that in her and several others, and Carrie was naturally imitative. She began to get the hang of those little things which the pretty woman who has vanity invariably adopts. . . . She used her feet less heavily, a thing that was brought about by her attempting to imitate the treasurer’s daughter. (104)

    Richard Poirier’s argument that Dreiser “derive[s] his creative energy from a kind of fascinated surrender to the mysterious forces that in the city destroy freedom and even any consciousness of its loss”(12) misses the novel’s power to depict the complex dynamics of imitation; the narrator clearly identifies mimesis as a decisive force in the heroine’s life. The examples of the “fine stepper” and the treasurer’s daughter indicate that in Sister Carrie desire is not as mysterious as some critics think.

    Drouet’s influence over Carrie leads her into a world of artifice in which her gestures are conscious imitations of one person or another. However, she soon begins to see his limitations, particularly the crudity of his desires. Even if Drouet had earlier impressed her with his apparent sophistication and his knowledge of the world, the narrator has stressed that “In reality Carrie had more imagination than [Drouet] did, more taste” (69). Drouet’s temporary power can be traced to Carrie’s inexperience:

    In a dim way she was beginning to see where he lacked. If it had not been for this, if she had not been able to measure and judge him in a way, she would have been worse off than she was. She would have adored him. She would have been utterly wretched in her fear of not gaining his affection, of losing his interest, of being swept away and left without an anchorage. (92-93)

    Carrie is experiencing what Girard describes as “metaphysical disappointment,”(13) common among the subjects of mimetic desire. Her familiarity with Drouet gradually helps to diminish his qualities. When she was subject to his mediation, Carrie was unable to see things clearly, but the relationship between subject and mediator changes when the former’s admiration for the latter begins to wane. The narrator even suggests that mimetic desire would have enslaved Carrie, and that Drouet would have become her idol, a prediction that confirms Girard’s observation that “This movement [of mimetic desire] toward slavery is one of the basic principles of novelistic structure.”(14)

    The arrival of a superior mediator contributes significantly to the change in Carrie’s attitude: “When Hurstwood called she met a man who was more clever than Drouet in a hundred ways” (93). Hurstwood emerges as Drouet’s opposite: far from wounding Carrie’s sensibilities or suggesting her limitations, Hurstwood makes her feel special, convincing Carrie of his difference from Drouet:

    He was never dull for a minute and seemed to make her clever. At least she brightened under his influence until all her best side was exhibited. She felt she was cleverer with him than with others. At least he seemed to find so much in her to applaud. There was not the slightest touch of patronage. Drouet was full of it. (117)

    Even without the repetition of the verb “seemed,” we know that Hurstwood is too attentive to Drouet’s mistress, a fact neither she nor Drouet suspects. Hurstwood’s strategy to gain her is part of the “cunning wiles” of the city: he knows both how to excite Carrie’s interest and how to flatter her self-importance. But first, the manager’s desire has some obstacles to overcome. For one thing, Drouet now becomes Hurstwood’s rival; in fact, in the overall structure of the novel, the interaction between the two men is dominated by their rivalry over the heroine. For Hurstwood, Carrie is even more desirable because she belongs to another: “He envied the drummer his conquest as he had never envied any man in all the course of his experience” (122). The intense envy reflects not only the strength of his desire but also his awareness of his rival and his determination to triumph over him. Hurstwood finally persuades Drouet to bring Carrie to a show:

    [A]s he looked at the well-dressed, jolly salesman whom he so much liked, the cold gleam of the rival glowed in his eye. He began to size up Drouet from the standpoints of wit and fascination. He began to look to see where he was weak. . . . Drouet felt nothing. . . . while his friend examined him with the eye of a hawk. (108)

    Hurstwood’s mediated desire makes him unscrupulous, and the animal imagery used to depict him reflects the extent to which his desires have mastered him. As Girard’s writes, “The secret of success, in business as well as in love, is dissimulation. One must hide the desire one feels and pretend a desire one does not feel.”(15) Hurstwood will win Carrie because he, unlike Drouet, is careful not to reveal his desires too quickly. At the show to which he has invited Drouet and Carrie, he feigns indifference; when Drouet steps outside to get the evening’s program, Hurstwood and Carrie are alone:

    Several times their eyes accidentally met and then there poured into hers such a flood of feeling as she had never before experienced. She could not for the moment explain it, for in the next glance or the next move of the hand there was seeming indifference mingled only with the kindliest attention. (110)

    6

    Hurstwood arouses Carrie’s interest because his assumed indifference perplexes her, seeing it as a sign of his superiority and an indication that perhaps she does not matter to him. When Drouet comes back:

    [He] was almost dull in comparison. Hurstwood entertained them both and now it was driven into Carrie’s mind that here was the superior man. She instinctively felt that he was stronger and higher and yet withal so simple. . . . Drouet was only a kindly soul but otherwise defective. (110)

    One model supplants another: when she first met Drouet, Carrie found her own sister dull; now, Drouet himself appears dull. Carrie’s new perception is “driven” into her mind, mediated through what she takes to be Hurstwood’s superiority.

    Far from being superior, Hurstwood is himself a victim of mimetic desire. Like Drouet, the manager worries about the kind of impression he makes on people; but unlike Drouet, Hurstwood’s tactics are subtle. The narrator describes him as “shrewd and clever in many little things and capable of creating a good impression” (43). His attributes are socially oriented, calculated to elicit a particular response among his acquaintances; in other words, Hurstwood can be seen as one of the novel’s many actors, and only in this light can the conduct of “this starched and conventional poser among men” (105), be fully understood:

    If Hurstwood had one leaning, it was toward notabilities. He considered that, if anywhere, he belonged among them. . . . In situations like the present–where he could shine as a gentleman and be received without equivocation as a friend and equal among men of known ability, he was most delighted. It was on such occasions, if ever, that he would ‘take something.’ When the social flavour was strong enough, he would even unbend to the extent of drinking glass for glass with his associates, punctiliously observing his turn to pay as if he were an outsider like the others. (266)

    The unspoken but mild rivalry pervading the circle brings out the members’ mediated actions: no one lets himself be outdone in the ability to drink or to spend money. For Hurstwood, to be a celebrity, to be in the public eye and enjoy the admiration and envy of many, seems the ultimate form of recognition. As the narrator states, “individuals love more to bask in the sunshine of popularity than they do to improve in some obscure intellectual shade. Merit is no object, conspicuity all. No one realized this better than Hurstwood” (173). The cultivation of the mind, conspicuously lacking in the lives of the novel’s characters, remains an imagined possibility to be partially realized in Robert Ames (I shall have more to say about him later). For every other character, social conspicuousness seems to be the pinnacle of greatness, something that Hurstwood achieves on the night of Carrie’s first stage experience:

    The little theatre resounded to a babble of successful voices. . . all largely because of this man’s bidding. . . . he was a member of an eminent group–a rounded company of five or more, whose stout figures, large white bosoms and shining pins bespoke the character of their success. . . . He was evidently a light among them, reflecting in his personality the ambitions of those who greeted him. He was acknowledged, fawned upon, in a way lionized. Through it all one could see the standing of the man. It was greatness in a way, small as it was. (180)

    In an atmosphere of glamour and finery, Hurstwood’s desires seem fully gratified: he is the centre of attention and king of the occasion; he becomes everybody’s mediator, symbolizing the ambitions of many people present. Even the narrator’s qualification of Hurstwood’s greatness (“small as it was”) does not detract from his approval of this kind of public eminence.

    Carrie’s stage experience proves significant for another reason. Her public acclaim, though mild, increases her desirability in Hurstwood’s eyes, so much so that he proposes that they live together in another part of Chicago. But Carrie, who is living with Drouet and who does not know that Hurstwood is married, will agree only if the manager is ready to marry her and move with her to another city, a condition that redoubles Hurstwood’s desire: “She was something to struggle for, and that was everything. How different from the women who yielded willingly” (149). The more insurmountable the obstacle, the more intense Hurstwood’s feelings, and the more desperate he is to sacrifice everything for her.(16)

    Drouet’s desire for Carrie rekindles too when he becomes aware of the manager’s desire. When Hurstwood pays him a visit, “Drouet felt really closer to him than ever before. It gave him more respect for Carrie. Her appearance came into a new light, under Hurstwood’s appreciation” (94-95). To understand Drouet’s new perception, we need to remember that, before meeting Carrie, Drouet had often thought of Hurstwood as a model, one whose attention he sought whenever he went to Rector’s: when the manager had “been pointed out as a very successful and well-known man about town, Drouet immediately conceived a notion of him as being someone worth knowing and was glad not only to meet him but to visit the Adams Street bar thereafter whenever he wanted a drink or a cigar” (43). The manager’s appreciation of Carrie amounts to an approving nod from the model.

    But, following Carrie’s stage triumph, the triangular relationship assumes a new shape. Toward the end of the performance,

    The two men . . . scarcely heard the few remaining words with which the scene concluded. They only saw their idol, moving about with appealing grace, continuing a power which to them was a revelation. Hurstwood resolved a thousand things–Drouet as well. (192-93)

    7

    The applause intensifies the two men’s love for Carrie: Hurstwood decides that “He would act at once. . . . The Drummer would not have her” (193). So when he sees Drouet approaching Carrie, “Jealousy leaped alight in his bosom . . . he hated him as an intruder. . . . grudging Drouet every moment of his presence” (186). The audience’s admiration has a similar effect on Drouet, pushing him to act at once: “He was resolving that he would be to Carrie what he had never been before. He would marry her, by George. She was worth it” (192). In short, Hurstwood and Drouet desire Carrie not for herself but for the recognition given her by the public at large. Although his own feelings toward Carrie intensify because another man finds her desirable, Drouet is initially unable to sense the change in her perception of him, now that her stage successes are bringing her more and more public recognition. However, with the apparent self-assurance Carrie derives from all the applause, she begins to feel no longer bound by Drouet’s standards: “She was realizing now what it was to be petted. For once she was the admired, the sought-for” (193).

    The most desirable state the characters can imagine and the ultimate symbol of their social ambitions is what the novel calls “the kingdom of greatness,” where the “great money kings” (304) rule as the ultimate mediators of desire. Because wealth is viewed as intrinsically honourable and as conferring prestige and superiority on its owners, it mediates between ordinary individuals and the desired ideal of behaviour, a process often referred simply to as the “social atmosphere” of the city:

    The great create an atmosphere which reacts badly upon the small. This atmosphere is easily and quickly felt. Walk among the magnificent residences, the splendid equipages, the gilded shops, restaurants, resorts of all kinds. Scent the flowers, the silks, the wines; drink of the laughter springing from the soul of the luxurious content, of the glances which gleam like light from defiant spears; feel the quality of smiles which cut like glistening swords and of strides born of place and power, and you shall know of what is the atmosphere of the high and the mighty. Little need to argue that of such is not the kingdom of greatness, but so long as the world is attracted by this and the human heart views this as the one desirable value which it must attain, as long, to that heart, will this remain the realm of greatness. So long, also, will the atmosphere of this realm work its desperate results in the soul of man. It is like a chemical reagent. One day of it, like one drop of the other, will so affect and discolor the views, the aims, the desires of the mind, that it will thereafter remain forever dyed. (305)

    Dreiser’s narrator is fascinated by the atmosphere surrounding the wealthy, and the elaborate descriptions make the kingdom of greatness appear as the object to end all desires, its inhabitants having nothing else left to desire. Their power is so formidable that mere glances and smiles are as effective as deadly weapons. However, to talk about the aggressive and belligerent nature of those smiles and glances is to suggest a deficiency in “the soul of the luxurious content.” The narrator also describes the atmosphere as compelling, even contagious, part of the “large forces which allure” and contribute to the undoing of the unsophisticated mind. As Walter Benn Michaels notes:

    We are . . . so accustomed to identifying capitalism with some form of rugged individualism that it is extraordinarily difficult for us to see . . . what Sister Carrie exemplified–that the capitalism of the late nineteenth and twentieth centuries acted more to subvert the ideology of the autonomous self than to enforce it.(17)

    The description of the kingdom of greatness suggests that the gradual disintegration of the self is based on the mimetic principle. Richard Poirier is right when he observes that Dreiser’s creative energy derives from “a kind of fascinated surrender to the mysterious forces of the city,” for we get the impression that Dreiser’s narrator surrenders to the luring powers of the kingdom of greatness–only death, as he admits, can deliver one from such a grip. It is as if Dreiser’s paradoxical thinking cannot imagine an alternative to the sway of desire, a failure that might help explain why many readers find unconvincing the portrayal of Ames, whose function is supposedly to criticize the ethos of material success.

    In New York, Carrie makes the acquaintance of Mrs. Vance, “a typical New Yorker in many things,” the narrator says, “some of which were dressiness, jollity, love of metropolitan life, crowds, theatres” (320). But Mrs. Vance’s first invitation to Carrie proves unsettling: “She . . . saw that she was not well-dressed–not really as well-dressed as Mrs. Vance. . . . She felt that her life was becoming stale. . . . The old helpful, urging melancholy was restored. The desirous Carrie was whispered to concerning her possibilities” (321), and when the two women go for a walk, Carrie feels once again the sense of her own insignificance because “this woman pained her by contrast. Carrie felt that anyone looking at the two would pick Mrs. Vance for her raiment alone” (322). The new friend is both a model and a rival, but Mrs. Vance herself is in the grip of mimetic desire:

    [The parade] was a familiar thing to Mrs. Vance, who not only knew of it as an entity, but had often been in it, going purposely to see and be seen, to create a stir with her beauty and dispel any tendency to fall short in dressiness by contrasting herself with the beauty and fashion of the town. (323)

    8

    Mrs. Vance lives for the sake of the institutionalized showy parade. Like Carrie, Drouet, and Hurstwood, she often betrays her mimetic conduct in the presence of her mediators; during their excursion down Broadway, Carrie “noticed of a sudden that Mrs. Vance’s manner had rather stiffened under the gaze of handsome men and elegantly dressed ladies” (323). Still, Carrie remains envious of her friend’s self-assurance: “The whole street bore the flavor of riches and show and Carrie felt that she was not of it. . . . It cut her to the quick, and she resolved that she would not come here again until she looked better” (324). Carrie feels excluded from the apparent bliss enjoyed by her friend; acquiring Mrs. Vance’s assurance will presumably give her a place in the street parade. But “Broadway taught her a sharper lesson. . . . It clinched her convictions concerning her state. She had not lived, could not lay claim to having lived, until something of this had come into her life. . . . That night the pretty little flat seemed a commonplace thing” (325-26); as the narrator puts it, “The great awakening blow had been delivered” (327). I emphasize the role of Mrs. Vance in Carrie’s life because such an influence, ignored in most readings of the novel, is part of the city’s atmosphere, part of the human interaction that shapes character. When she cannot keep up with her friend’s standards, Carrie prefers not to see Mrs. Vance any longer.

    This sense of her insignificance is brought home to her again when all she, a popular Chicago actress, can get is the role of chorus girl in New York: “she had her first sight of those high and mighty–the leading ladies and gentlemen. . . . She saw that they were privileged and deferred to. She was nothing–absolutely nothing at all” (391).(18) But through diligent imitation of the more successful actors and a careful heeding of the critics’ comments, Carrie eventually enters the “walled city” (449):

    Gradually the deference and congratulations gave her a mental appreciation of her state. She was no longer ordered but requested, and that politely. The other members of the cast looked at her enviously. (449)

    Even though Carrie has become one of the “high and mighty” she once envied, her perception of her own success is still determined by the public regard for her. As if to expose the fluctuating dynamics of desire and to explain the nature of Carrie’s rise, Dreiser reintroduces Mrs. Vance, who now comes to pay homage to a rising star: “‘But aren’t you a success. Dear, oh! All the papers talking about you. . . . I was almost afraid to come back here this afternoon’” (454). Mrs. Vance’s fear might perhaps sound comic, but it reflects the change through which Carrie now becomes Mrs. Vance’s mediator of desire.

    Because Carrie has become a model for the public at large, the manager of a New York hotel even offers her a suite in his establishment at a special rate because “‘Every hotel depends upon the repute of its patrons. A well-known actress like yourself . . . draws attention to the hotel, and, although you may not believe it, patrons. Now we must have repute. It is what we live on. The common run of individuals will go where celebrities are’” (451). The implications of Mr. Withers’ theory can be understood when we recall Drouet’s inclination to go to Rector’s because some celebrity was dining a few tables off, Hurstwood’s leaning toward notabilities, Mrs. Hurstwood and her daughter’s frantic pursuit of Chicago Society, and Carrie’s desire to feel equal to the better-dressed women of Chicago and New York. Just as Hannah and Hogg’s in Chicago exists because of “a strange bundle of passions and vague desires,” the Wellington in New York relies for its success on the mimetic principle.

    Carrie Meeber of Columbia City has finally entered New York’s “kingdom of greatness’” as “the doors of fine places seemed to open quite without the asking. These palatial chambers–how marvellously they came to her. The elegant apartments of Mrs. Vance in the Chelsea–these were hers. Men sent flowers, love notes, offers of fortune” (456). But now that his heroine has attained what she has often desired, Dreiser is confronted with resolving the problem of desire. In Deceit, Desire, and the Novel, Girard argues that a great novel is fundamentally an extended theory of human interaction that reveals a pattern of mediated desire and that concludes with its characters undergoing a radical transformation for the better when they finally grasp the contagious and self-destructive power of mimesis.

    The closest Dreiser comes to solving this structural and thematic problem and to offering an alternative to the “kingdom of greatness” is in his introduction of Ames(19) at the height of Carrie’s material success in the last pages of the book. He is described as “an original thinker” who is “wholly free of affectation” (329), and Carrie is attracted to him because “he liked better books than she read, better people than she associated with. His ideal burned in her heart” (405). His presence helps her see that “Flattery in its most palpable form had lost its force with her. It required superiority–kindly superiority, to move her” (432). If Carrie’s view of experience begins to change, it is because she has at last met what the narrator earlier said she needed most: a good counselor. Challenging Carrie’s notion that success in love and fortune is everything, Ames argues that “‘if a man doesn’t make knowledge his object, he’s likely to fail’” (482).

    Experience has taught Ames a great deal about the relationship between happiness and desire:

    “When I was quite young I felt as if I were ill-used because other boys were dressed better than I was, were more sprightly with the girls than I, and I grieved and grieved, but now I’m over that. I have found out that everyone is more or less dissatisfied. No one has exactly what his heart wishes.” (482-83)

    Ames accepts desire as part of the human condition; however, he also realizes that desire needs limits, because, as he tells Carrie, “‘the world is full of desirable situations’” (482). Therefore, the only way out of the labyrinth of desire is to accept that “‘happiness is within yourself wholly if you will only believe it’” (482).

    9

    But although we are told that, when Ames is gone, his ideal remains with Carrie, especially his suggestion that “riches were not everything” (346), our last glimpse of Carrie undermines any expectations that she has fully grasped the import of his words:

    In her comfortable chambers at the Waldorf, Carrie was reading, at this time, “Père Goriot,” which Ames had recommended to her. It was so strong, and Ames’s mere recommendation had so aroused her interest, that she caught nearly the full sympathetic significance of it. For the first time it was being borne in upon her how silly and worthless had been her earlier reading, as a whole. (495)

    The predictable irony in Carrie’s willingness to sympathize with suffering in books while she remains unaware that Hurstwood is dying not very far from her comfortable hotel chambers seems at odds with the implications of Ames’s advice. Therefore, if the conclusion of the novel does not constitute a fresh beginning, if we are not left with a novelistic truth, it is because Dreiser’s heroine has not triumphed over mediated desire; she has not achieved the clarity of vision necessary to contradict the ideas and transcend the obsessions that have driven and shaped her actions throughout the story.

    But Sister Carrie’s failure to acquire this new vision springs from Dreiser’s paradoxical thinking about desire. While he is willing to expose Drouet’s crudity and vanity, to reveal Hurstwood as a “conventional poser among men” (105), to trace Carrie’s determination to emulate and triumph over her rivals, and to write that “individuals love more to bask in the sunshine of popularity than they do to improve in some obscure intellectual shade” (173), Dreiser’s narrator comes across as a supermediator who looks down on all these little characters playing their little games of desire.(20) He seems more sophisticated in the ways of the world than they are. Still, the narrator himself is not above the games of desire, often implying that he has better taste and more style than his characters: he knows, for instance, the difference between “a very average type of woman, not stylish” [desired by Drouet] and “the perfectly groomed ladies of the New York social set” (99-100). And although he characterizes the “large forces” and the “cunning wiles” of the city as full of “falsehoods” (4) and although he describes emulation as “the false ambition of the minds of those so affected” (47) by desire, the narrator cannot transcend the pull of the “kingdom of greatness” because, as he says, “It is like a chemical reagent. One day of it, like one drop of the other, will so affect and discolor the views, the aims, the desires of the mind, that it will thereafter remain forever dyed” (305). In spite of Dreiser’s pronounced concern with desire (there are at least 80 occurrences of the term in the novel), his narrator’s ambivalent views support Rolf Lundén’s central claim that “Theodore Dreiser was inconsistent, often paradoxical, in his outlook on life” (11).

    Works Cited

    Bassoff, Bruce. The Secret Sharers: Studies in Contemporary Fictions. New York: AMS Press, 1983.

    Bourne, Randolph. “Desire as Hero.” Critical Essays on Theodore Dreiser. Ed. Donald Pizer. Boston: G.K. Hall, 1981. 243-46.

    Dreiser, Theodore. Sister Carrie. Philadelphia: U of Pennsylvania P, 1981.

    Girard, René. Deceit, Desire, and the Novel. Trans. Yvonne Freccero. Baltimore: The Johns Hopkins UP, 1965.

    —. “To Double Business Bound”: Essays in Literature, Mimesis, and Anthropology. Baltimore: The Johns Hopkins UP, 1978.

    Howe, Irving. Decline of the New. New York: Harcourt, 1970.

    Humphries, David T. “’The Shock of Sympathy’: Bob Ames’s Reading and Re-reading of Sister Carrie.” Dreiser Studies 32.1 (Spring 2001): 36-55.

    Hussman Jr., Lawrence E. Dreiser and His Fiction: A Twentieth-Century Quest. Philadelphia: U of Pennsylvania P, 1983.

    Lundén, Rolf. The Inevitable Equation: The Antithetic Pattern of Theodore Dreiser’s Thought and Art. Stockholm: Uppsala, 1973.

    Michaels, Walter Benn. “Sister Carrie‘s Popular Economy.” Critical Inquiry 7 (Winter 1980): 373-390.

    Ouzgane, Lahoucine. “Desire, Emulation, and Envy in The Portrait of a Lady.” Contagion: Journal of Violence, Mimesis, and Culture 8 (Spring 2001): 114-34.

    Pizer, Donald. “Late Nineteenth-Century American Naturalism.” Sister Carrie. Ed. Donald Pizer. New York: Norton, 1970. 567-73.

    Poirier, Richard. A World Elsewhere. London: Oxford UP, 1966.

    10

    Notes

    1. Theodore Dreiser, Sister Carrie (Philadelphia: U of Pennsylvania P, 1981) 97. Subsequent references are to this edition. (back)

    2. Randolph Bourne, “Desire as Hero,” in Critical Essays on Theodore Dreiser, ed. Donald Pizer (Boston: G.K. Hall, 1981): 243-46. (back)

    3. Irving Howe, Decline of the New (New York: Harcourt, 1970) 140. (back)

    4. Donald Pizer, “Late Nineteenth-Century American Naturalism,” Sister Carrie, ed. Donald Pizer (New York: Norton, 1970) 572. (back)

    5. Walter Benn Michaels, “Sister Carrie‘s Popular Economy,” Critical Inquiry 7 (Winter 1980): 382. (back)

    6. Lawrence E. Hussman, Jr., Dreiser and His Fiction: A Twentieth-Century Quest(Philadelphia: U of Pennsylvania P, 1983) 18. (back)

    7. Richard Poirier, A World Elsewhere (London: Oxford UP, 1966) 213. (back)

    8. Bassoff 126. (back)

    8a. This brief summary of Girard’s insights is drawn from my article “Desire, Emulation, and Envy in The Portrait of a Lady” published in Contagion (2001). (back)

    9. René Girard, Deceit, Desire, and the Novel. Trans. Yvonne Freccero (Baltimore: The Johns Hopkins UP, 1965) 87. (back)

    10. Carrie experiences a similar feeling of shame when she avoids seeing Mrs. Vance, her wealthy New York neighbour, rather than give her the address of the apartment she shares with Hurstwood. (back)

    11. Girard 7. (back)

    12. Poirier 5. (back)

    13. Girard 88. (back)

    14. Girard 170. (back)

    15. Girard 107. (back)

    16. A few pages earlier, we have another example of how obstacles fuel desire: when Drouet is away, the manager takes Carrie out for dinner, but, as “She kept him at a distance . . . his interest was heightened. Now that the game was only to be won by artifice, it seemed more and more entrancing. Her beauty was heightened for him by her aloofness” (133). (back)

    17. Michaels 388. (back)

    18. Carrie’s feeling that she amounts to nothing echoes Hurstwood’s own when he arrives in New York:

    Whatever a man like Hurstwood could be in Chicago, it is very evident that he would be but an inconspicuous drop in an ocean like New York. . . . In other words, Hurstwood was nothing. (304-05) (back)

    19. For a comprehensive study, see David T. Humphries, “’The Shock of Sympathy’: Bob Ames’s Reading and Re-reading of Sister Carrie” (2001). (back)

    20. My thanks to Eric Gans for this idea. (back)

  • Intellectualism and the Gnostic Debacle: Julian the Apostate in the Modern Literary Imagination

    Plato knows of those intelligible and invisible gods which are immanent in and coexist with the creator himself and were begotten and proceeded from him. Naturally, therefore, the creator in Plato’s account says “gods” when he is addressing the invisible beings, and “of gods,” meaning by this evidently, the visible gods [i.e., the stars]. And the common creator of both is he who fashioned the heavens and the earth and the sea and the stars, and begat in the intelligible world the archetypes of these. (Emperor Julian, “the Apostate,” Against the Galileans [Wright’s translation] 337-39)

    Most venerable fathers, I have read in the records of the Arabians that Abdul the Saracen, on being asked what thing on, so to speak, the world’s stage, he viewed as most greatly worthy of wonder, answered that he viewed nothing more wonderful than man. And Mercury’s, “a great wonder, Asclepius, is man!” agrees with that opinion . . . O great liberality of God the Father! O great and wonderful happiness of man! It is given to him that he chooses to be that which he wills . . . he will be an Angel and a Son of God. (Giovanni Pico Della Mirandola, On the Dignity of Man [Wallis’ translation] 3 & 5)

    I

    This essay, which explores the origin and meaning of intellectualism, grows out of a previous one, on Augustine’s City of God as one of the sources of Henryk Ibsen’s two-part historical drama Emperor and Galilean (1873). Under the title “The Senescence of the World,” that precursor-essay will appear in print later this year (2004) in a hardcover symposium on Augustine and Literature, edited by Kim Paffenroth of Iona College, New York, under the imprimatur of Lexington Books.

    One result of reading Augustine together with Ibsen was the discovery of how convergent are their views on the standing noetic prejudices of Late Antiquity. Both see something curiously dogmatic in the supposedly free realm of dialectics and speculation, tinged with mysticism, of the period. Both see intellectualism–an impassioned commitment to the worldview of radical nominalism–as spiraling down on and compressing itself negatively until it becomes pure nihilism, a rancorous rebellion against reality as it is given. Thought, making of itself an idol and seeking, through the propitiation of that idol, to transform the intolerable reality, thereby cancels thought. The human likewise cancels the human in favor of bodiless abstraction that turns its wrath against the very limitation implied by the notion of body. I thus stressed in “The Senescence of the World” the playwright’s unexpected partiality for the Christian–specifically for the Augustinian–over the Pagan judgment on the famous “Apostate” Caesar. Another way of putting this is to say that Ibsen prefers the moral to the metaphysical interpretation of the supposedly benevolent dictator because the moral interpretation remains connected with actual human scene.

    I wish in the present occasion to expand the earlier analysis and apply it to our own condition, which I see as characterized by a widespread, casual denial of the human through a reemphasis of metaphysics in its most distorted form. This application of the insight will entail one other thing: showing the paradox of intellectualism, which consists in the intellectual’s (or let us say the metaphysician’s) inability to come to terms with the paradox inherent in the messy and imperfect thing that makes human beings specifically human–namely their consciousness, as articulated in scenic structure of language. This aspect of the argument might be summed up in an aperçu of Eric Gans, in his Signs of Paradox (1997), that “it is in the very nature of logic to be obsessed by the wish to expel paradox” in order to ensure “the protection of form against its dissolution in the chaos of content” (42). One might also say that intellectualism, when it reaches its inevitable acme in Gnostic wrath, amounts to an absolute impatience with the deferral of appetitive satisfaction entailed by the operation of significance on the human scene. There is a type of patience inherent in Christianity, stemming from the indefinite postponement of the Second Coming, that is not available in the bodiless peregrinations of spirit that characterize metaphysical theology. Nor can metaphysics reliably supply a practical moral framework for everyday life, another one of its anthropological defects.

    In the interpretation of Emperor and Galilean referred to above–unpredictable given that the adjudicator is Ibsen, whom one associates with modern Pyrrhonism in matters religious–Julian appears neither as the valiant defender of a pristine tradition now under concerted and narrow-minded assault, nor as the Romantic non-conformist and individualist, but rather as a typical case of the true-believing illuminatus who excoriates the world for its defects (as though the world could be otherwise than as it is) and who becomes convinced, through a kind of egophany, of his own godhead. To account for any fact that undermines these assumptions, the true believer requires an increasingly complicated explanation, which takes on the character of a witting falsification of reality. Part of the reality that Julian would falsify is the appeal of Christianity, of “the carpenter’s son” (Emperor and Galilean 447), to the masses of his empire. The Galileans rankle Julian. Fitting nowhere in his scheme of the world, they scandalize him, the consummate metaphysician, because they exist. As Gans has remarked, “metaphysics ultimately cannot tolerate the existence of another minimal discourse than its own” (58).

    2

    Compared to Christianity, the Neoplatonism espoused by Julian is not minimal at all but quite maximal. The maximal character of this doctrine finds expression in an aggressiveness at odds with its irenic claims and in an inflation that contrasts greatly with the modest implicit in the reciprocal model of ethics of the Gospel. While the best of the Christians in Ibsen’s play advocate their creed as vehemently as Julian does his, none of them believes that he himself is God, which Julian arguably does. One must be cautious, of course. Ibsen in no wise subscribes to Christianity but neither does he take up a rigidly anti-Christian position, such as Julian increasingly espouses in his story as told in the drama. Other literary interpreters of Julian’s career–the French nineteenth-century writer Alfred de Vigny, for example, or the American twentieth-century writer Gore Vidal–tend to find irresistible the opportunity afforded by the imperial apostasy to make polemic against the Gospels. In exploiting Julian for propaganda purposes, a Vigny or a Vidal shows himself to be in continuity with the Apostate’s metaphysical intolerance for non-propositional theology. Gans provides an apposite formulation in Originary Thinking (1993):

    In its more sophisticated forms, metaphysics becomes wary of the term “God,” whose commonality with the individual being of religious belief might appear to call for an explanation [that the metaphysician would prefer not to give]. To speak of the idea of God is in effect to display a suspect continuity, or at least a contiguity, with religious modes of thought. But not to do so is simply to imply the meaninglessness of the idea, and therefore to fall within the ranks of non-believers–that is, to dissolve the synthesis that metaphysics had originally sought to effect. (33)

    These words sum up Julian’s dilemma for, by the Fourth Century, Christianity had already displaced the philosophical schools as the dominant intellectual-theological authority in the Empire: Christianity had become the tradition, to which its enemy could now, in his reactionary manner, counterpoise the older lore that the Gospel dispensation had all but vanquished, Hellenism, with its quasi-saints in Socrates, Plato, Orpheus, Pythagoras, and so forth. The very sequence of Socrates-to-Orpheus suggests why Hellenism had fallen vulnerable to a new revelation. There was a lapse from philosophical-anthropological penetration to mystical opacity, accompanied by an increasingly pedantic, allegorical style of presentation designed to rescue myth from its status as so much outdated curiosity. Believing that the true deity can, as it were, be derived from logical principles, Julian takes especial offense in the obstreperous irrationality of the God who is three-in-one, in the grotesque of the incarnation, and in a radically egalitarian morality that refuses to grant to the philosophical initiate more worth than to a lowly slave. Even Christians–educated ones in any case–can see part of what Julian saw: that the moral triumph of the Church entailed both loss of prestige for philosophy and a demotion for esthetics. Ibsen grasps this. His Julian’s constant complaint is about the primitiveness of the Christians. Built up meticulously on the fourth-century documentation, Ibsen’s Julian merely reflects the elite prejudices of his day–the ones, not incidentally, which take their most acute form in Gnosticism.

    Ibsen’s refusal to join himself to the anti-Christian stance implicit in the Romantic celebration of Julian has a connection to the playwright’s interpretation of the modern, or self-consciously post-Christian, mentality as a libidinous deformation of existence–as an assault on the human scene. Ibsen sees the “anti,” so to speak, as the peculiarly modern disease. He furthermore sees the modern age (his own nineteenth century) as a peculiar repetition of that final phase of Antiquity during which the contest occurred between (i) an attitude that accepts the world as given and (ii) those various intellectual systems that show in common a denial of the worldly “is” in preference for the arbitrarily posited intellectual “ought.” So, as Ibsen says in a letter to Edmund Gosse, his Julian drama has a contemporary significance and is by no means a mere antiquarian fantasy. “I work every day at Julianus Apostata, and hope to have the whole book finished by the end of the present year . . . It is part of my own spiritual life which I am putting into this book; what I depict, I have, under different conditions, gone through myself; and the historical subject chosen has a much more intimate connection with the movements of our own time than one might first imagine” (Letters 248).

    These terms–world denial, Gnosis, egophany–are perhaps unfamiliar, as they figure but little in the vocabulary of contemporary literary criticism. It is true that Harold Bloom writes a good deal about “Gnosticism,” but he claims to be a Gnostic, and his vocabulary falls short of the analytical. A good way all at once to elucidate these terms and to summarize the significance of Emperor and Galilean is to take a close look at the climax of Ibsen’s dramatic presentation–namely Part II, Act V, or what I call here “The Gnostic Debacle.” Julian ends where all Gnostics end: defeated and humiliated by the hard stubbornness of the given and by the non-magical reality of the adamantly non-nominal real. This is the pattern–the moral, even–that Ibsen sees within or draws from (however best to put it) the weird confusion of events at the end of Julian’s ill-starred Persian campaign, when the conviction that he is Alexander the Great redivivus, or perhaps Dionysus, fatally consumes the philosophical warrior-prince.

    I shall cheat a little, begging pardon along the way. I shall begin with a discussion of Gnosis, that unaccountable knowledge based not in experience but, rather, mystically vouchsafed to the knower from beyond this world, that so pervasively colors Late Antiquity. The Late Antique centuries constitute a strange period, full of baroque extravagance in philosophy and theology, from which Christianity could boast no absolute invulnerability. Nevertheless, the main religious and social distinction of this historical phase is that between Gnostic elaborations of mankind’s cosmic plight and the minimal cosmology–and maximal anthropology–of the Gospel message.

    Gnosis, as Hans Jonas tells us in his classic study The Gnostic Religion (1957/65), is an anti-cosmic dualism strongly associated with the Hellenism of the final centuries of the Roman Empire. From Homer through Plato nigh unto the Stoics, the symbol of Kosmos possesses, for the Old Mediterranean mind, a positive value. It does so etymologically through its denotation of something beautiful (hence its not entirely remote affiliation with the English term cosmetics), and it does so philosophically in the doctrine of an orderly, a just, a divinely created world, where each properly fashioned thing takes its place on the proverbial Ladder of Being. Beginning in the aftermath of Alexander’s conquests, however, and gaining strength under the Roman annexation of the Hellenic world, a new strain of thought appears in philosophy and religion that reverses the value of the venerable symbol.

    3

    We can measure the difference this way: for Plato, the world is beautiful; its wonderful beauty reflects the moral sublimity of its creator. Humanity, endowed with reason, learns of harmony, balance, justice, and meaning from contemplating the world. Thepolis, mirroring the orderliness of Kosmos, functions as a microcosm within the macrocosm. The household, or oikos, functions similarly within the polis. The world-creator has fitted each part perfectly to the whole. The philosophical Judaism of Alexandria assimilates this optimistic view to the cosmogony of Genesis, as in Philo Judaeus. Paul’s Christianity likewise assimilates it, despite the ascetic, unworldly element in the Pauline ethos. Yet when we reach the Neoplatonism of the Second and Third Centuries, something has changed. What E. R. Dodds, in his Pagan and Christian (1963), famously describes as “An Age of Anxiety” has set in. Plotinus, the best known of the Neoplatonists, treats his body with disdain because he regards matter as absolutely inferior to spirit; the spirit has descended into the body and longs to be free of it. In one of his treatises, Plotinus argues against the Gnostics, but he nevertheless shares his anti-materialism with them. Porphyry and Iamblichus, Plotinus’ two major successors, are equally anti-materialist in their disposition.

    For all the syllogistic elaboration in their tractate, however, all of the Neoplatonist thinkers share in common what one might call a public relations weakness related to their unworldly or anti-worldly attitude. They appeal, in their distress, to a deity so without human quality that he–or it–cannot even be supposed to exist in any manner meaningful to ordinary people in their tribulations. In his analysis of the concept of God, Gans notes that this idea “includes existence not because the ‘greatest’ or ‘most perfect’ being must exist, but precisely because this concept could never have arisen if human reason had at its disposal only abstractions like ‘greatest’ or ‘most perfect’” (31). In this way, despite the philosophical refinement, the Neoplatonist deity is, anthropologically, a conceptual decline from the anthropomorphic gods of classical polytheism. The anthropomorphic Zeus of Odyssey at least takes an interest in human justice and sends his lieutenants to assist those, like Odysseus, whose quest for justice various contingencies have unduly delayed.

    The Gnostics themselves–in such persons as Marcion of Sinope and Valentinus of Alexandria–take anti-materialism one step further. Depending on whether they are Judaeo-Christian or Platonic in their starting orientation, they treat the cosmogony of Genesis or that of Timaeus, not as glorious, but as catastrophic. The Old Testament’s Creator God and the Platonic Demiurge both become, in this rereading, wicked villains in rebellion against the “Unknown” or “Invisible” God–the “Real” or “Hidden” God–who is the ultimate source of being. The created world devolves, at minimum in this scheme, into a travesty and, at maximum, into a deliberate, perverse parody of the Real God’s actual–spiritual hence immaterial–Creation. Matter, as the Gnostic sees it, is not merely something to which the spirit must be indifferent, but it is something inherently evil and therefore antithetical to spirit. Matter and spirit, shadow and light, fight in a great ontological struggle. To restore the realm of light from its catastrophe entails the abolition of matter. I quote Jonas:

    It is almost by exaggeration that the divinity of the cosmic order is turned into the opposite of divine. Order and law [constitute] the cosmos here too, but rigid and inimical order, tyrannical and evil law, devoid of meaning and goodness, alien to the purposes of man and to his inner essence, no object for his communication [or] affirmation. A world emptied of divine content had its own order: an order empty of divinity. Thus the metaphysical devaluation of the world extends to the conceptual root of the cosmos-idea, that is, the concept of order itself, and includes it with its quality perverted in the now debased concept of the physical universe. In this manner the term “cosmos,” endowed with all its semantic associations could pass over into gnostic use and could there, with its value-sign reversed, become as symbolic as it had been in the Greek tradition. (The Gnostic Religion 250).

    From Kosmos so re-conceived, as the botched sub-creation of an inferior divinity and as a muddy prison-house for souls, the Gnostic naturally seeks escape. The modes of this escape might vary, with all of the variations nevertheless retaining intact the fundamental premise. The aspirant might turn from worldly life by embracing a rigorous asceticism, including self-mortification, or he might conversely sin his way to salvation under the notion that, because law is pernicious, he who has come to understand this perniciousness must de rigueur attack and destroy the law. Both responses begin in Gnosis itself, that potent influx of knowledge under whose stark light every custom and all the items of inherited lore show their inherent falsehood so that the knower suddenly knows himself as ontologically different from–and ontologically superior to–those who continue in their wretched ignorance. I remark once again that the Gnostic position can be summed up in the complaint that the scene is inexcusably flawed in that the Gnostic himself feels discomfited by it and would therefore recast it after his own inflexible taste. Gnosticism is a type of noetic non-adaptation: a desire to abolish what makes us human–the fact that we have fitted ourselves to the world, as to our own hard-wired propensities.

    Both the contemporaries of the Gnostics, such as Augustine, and modern scholars, such as Jonas himself or Giovanni Filoramo or Kurt Rudolph, note the insistence of the illuminati that they are the elect while all those outside the light are a preterit, hardly human. The parallel with the modern claims of an artistic, a philosophical, or a political avant-garde is easy to see. Filoramo quotes Basilides’ claim that “one in a thousand is capable of attaining the Gnostic mysteries” (A History of Gnosticism 174). Filoramo describes the typical Gnostic thiasos as “a group . . . rigid and compact internally [and] in total retreat from the surrounding world” (174). The members see themselves as representing a particular genealogical line, as from Adam and Eve’s son Seth. A strong Gnostic streak of just this rebellious and exclusive type marks Julian’s own writings, which Ibsen studied, as in the introduction to the encomium on King Helios, written in Julian’s first year as emperor. Referring to his Mithraic initiation under the tutelage of Maximus of Ephesus, Julian writes how he always, in his words, “from my earliest years [enjoyed] an extraordinary longing for the god” whose “ray [has] penetrated deep into my soul” (Wright’s translation, Vol. II 353). Julian declares that he is “endowed by the god Helios” with the privilege of having been born “of a house that rules and governs the world in my time” (355). His birth is not accidental, therefore, but belongs to a divinely ordained destiny. The spark of that divinity experiences discomfort in this world. In the treatise Against the Galileans, also written during his tenure in office, Julian reveals another Gnostic inclination, that of positing a superior God beyond the gods.

    4

    This positing of a supra-deity known only to the farsighted constitutes an essential Gnostic trump. In deploying his trump, Julian employs a Platonic vocabulary. He derives the inferior–the material–creation from what he calls the intelligible matrix in the mind of the concealed or Intelligible, God, the one apprehensible only to the philosophical initiate, but never to the mass of the unwashed, who must make do with the cults of the preterit. In Julian’s view of existence, material creation lies at the farthest remove from the real Creator, who sometimes suffers to be called by the name of Helios. The soul being spiritual rather than material, it sojourns but unhappily in the weightiness of a benighted world.

    While I have never encountered the term Gnostic in Ibsen (this vocabulary was nascent in his day), the purport of Emperor and Galilean is, even so, to reveal Julian as an illuminatus in revolt against reality, who comes to believe that he can transform reality by an act of his own will. Ibsen discovers these traits in the historical sources and they are thus well founded. The debacle comes with the Emperor’s decision to campaign against Rome’s traditional enemy, Persia–the source, ironically, of his Mithraism. Julian’s trajectory is thus deeply self-destructive. The battle with the Persians, in which the Roman army in fact vanquished the Persian army, forms the subject matter of Part II, Act V.

    II

    Ibsen assembles the full cast of Julian’s spiritual and political advisors, his flatterers and detractors, for the chaotic finale. The personae are almost all historical: many of them, like Julian himself, left considerable literary remains that allow us to grasp their thinking with some clarity, or perhaps to sample its nebulosity. Among these are Priscus, Oribases, Eutherius, and the omnipresent Maximus. They represent, by degrees, the mystic preoccupations of Late Antique paganism, Priscus and Oribases being undistinguished Neoplatonists, Maximus being the Spiritual Perfect and Prophet of the Superman, whom he believes himself to have cultivated in Julian. Hence his admonition to the Emperor: “The world-will has placed its power in your hands” (Emperor and Galilean 442), a remark by which Ibsen identifies the Left Hegelianism of his own time, if not Hegel’s proper doctrine, with ancient Gnosis. The general and historian Ammianus Marcellinus, Julian’s chief chronicler and a participant in the Persian war, also stirs about. Among the Christians, Ibsen produces Basil, later Bishop of Caesarea. If, in Julian, Ibsen portrayed zealous delusion, then in Basil he would give us a picture of spiritual and philosophical balance. Sincere in his faith, Basil nevertheless passionately studies the Greek classics; he defends their value against the bigoted prejudice of the zealots among his co-religionists. Basil thus avoids the mistake made by the speculators and illuminati. He would rather not expel the anthropomorphic deities of Classical Olympian religion–no doubt because he sees that they, rather than the God of the Philosophers, have something in common, by way of anticipation, with the Christian God. An image is more minimal, as we might say, than a system in the form of so many interdependent propositions or syllogisms. In the final moments of Ibsen’s drama, Basil refuses to celebrate the Apostate’s death. Which is not, for him, something abstract, but something supremely present and pathetic. Julian had been Basil’s friend.

    The scene in Part II, Act V is at first crepuscular (late afternoon) and then eerily nocturnal. When the night comes on, a link is formed with Acts I and V of Part I, earlier nocturnal moments in the drama that define Julian’s spiritual rebellion and put his professed solar religiosity in a different light. Julian’s army wanders in confusion in the Anatolian hinterland, seeking contact with the foe. Ibsen describes “a stony desert plain without trees or grass . . . Exhausted soldiers are lying in groups on the plain” and “from time to time detachments of the army pass from left to right” (434). These details are anthropologically significant. They suggest the dissolution of the human–the communal–scene. The desertion and desolateness of the setting sums up the quandary of the Fourth Century, with its many spiritual and political crises as summed up in the career of Julian himself: the old order, the pagan order, is irreparably in dissolution; Julian’s proposed new philosophical order cannot itself replace imperial syncretism, nor can Mithraism or the cult of the Magna Mater. Given the discovery, forced on the imperial citizenry through the brute fact of empire (Roman or Persian, as they both compete to occupy the same spatiotemporal domain), of the universality of mankind, the disorganization implied by the scene is intolerable. The universal people require reunion. Such a reunion requires a new minimal referent, which is precisely what the (to Julian) contemptible Christian word supplies.

    Julian dismisses his philosophic retinue–Priscus, Eutherius, and Oribases–and goes looking for Maximus. (Of course!) An inability of his usual soothsayers and magicians to interpret the sacred signs has troubled Julian, suggesting to him the flight of divinity from the rites that should record its disposition. Julian points to a stagnant pond. He says to Maximus:

    Look at that black pool. Do you think . . . if I were to vanish from earth without a trace, and my body were never found, and no one discovered what had become of me . . . do you think a legend would grow that Hermes had come to me and carried me off, and that the gods had admitted me to their company? (445)

    Maximus replies, “the time is near when men shall not need to die in order to live as gods on earth” (445). Julian replies again, “I am consumed with a longing for home, Maximus . . . home with the light, and the sun, and the stars” (445). In these words, Julian confesses his failure, which we must therefore credit him with understanding, at least partly. The intellectual is above all alienated a priori from the human scene: he is alienated from it because in pre-existing him it affronts an inarticulate desire to establish and dominate on the model of the invisible authority who is central to the scene. Julian takes redoubled offense in the fact that this invisible authority is now the despised Galilean. As man is a mimetic creature, subject in his nature to resentment, it follows, to cite Gans again, that “we identify with the centrality we resent and are alienated from the centrality we desire” (Originary Thinking 137).

    5

    Julian tells Maximus that he has had a vision, a veiled figure appearing to him, which Maximus identifies as “the Spirit of Empire” (446). The same apparition presented itself during Julian’s initiation into the mysteries, under Maximus’ tutelage, in Athens, before he became emperor. At that time Maximus assured his student that this divine messenger foretold Julian’s own destiny as the God-Man who incarnates the world-will. Ibsen has discerned in Julian’s baroque Helios-doctrine a bedrock of dualism, introduced in the contrast between the “black pool” to which the material world seems to have shrunk on the eve of battle and “the light” for which Julian nostalgically yearns. Thus in King Helios, Julian describes human nature as “a two-fold contending . . . of soul and body compounded into one, the former divine, the latter dark and clouded” (Wright’s translation, Vol. I 389). In King Helios Julian mentions also how the Sun God “endows with superior lot the nobler races–I mean angels, demons, heroes, and those divided souls which remain in the category of model and archetype and never give themselves over to bodies” (397). The truth belongs to the elect and lifts them above the run of humanity. In Emperor and Galilean, under Maximus’ theory of the God-Man, Julian ought to have acquired an ever more subtle body: his will, reflecting the pure light of Helios, should be an ever more effective instrument in reshaping the grossness of the world. Alas, it has not happened. This disappointment constitutes the real kernel of Julian’s panic, as he seeks from Maximus some consolation that will save the notion from the appearances.

    Let me say something about Maximus, both Ibsen’s dramaturgical persona and the Magus of the historical sources. According to Eunapius, in The Lives of the Sophists, the flamboyant Maximus dominated Julian both intellectually and spiritually from the time they first met, in Ephesus, when Julian had not yet completed his study of philosophy. Eunapius says little, regrettably, about Maximus’ doctrine, but we can discern in his sketch the basic outlines. No philosopher in the strict sense, Maximus disdained dialectic, a propensity that distinguished him from other favorites of Julian, such as Chrysanthius and Priscus, whose common doctrine appears to have been a pure nominalism: a redeeming truth exists in the form of a luminous syllogism. Where Chrysanthius and Priscus venerated intelligence, Maximus affected a rhetorical apotheosis of will. He claimed that the will (his own, for example) could sublimate matter and liberate the entombed spirit. He grew famous in his day as a wonder-worker, once bringing to life, apparently, a statue of Hecate in a temple in Ephesus.

    One suspects that–given Maximus’ Mithraic orientation–his doctrine corresponded to a dualism, a typical Gnostic characteristic. Eunapius records how Maximus once told Chrysanthius that a “learned man” (441) should assume as his goal “to wrestle with the heavenly powers” (441). This conceit maintains rapport with a widespread Gnostic conviction that the illuminatus can, once he has established communion with the Hidden God, command the lesser divinities to make them do his will. He will, bending divinities to his libido, become himself the equivalent of (at least) a lesser divinity. This is the goal of every Magus, from Maximus to Giovanni Pico Della Mirandola, or to Robert Fludd and the lesser numerologists and alchemists. Difficult it is sometimes to distinguish between Gnosis as theology and Gnosis as theurgy or magic. The ambiguous “Empire” (Emperor and Galilean 446)–sometimes “Third Empire”–that Ibsen makes Maximus promise to Julian connotes the will’s reversal of the catastrophe of matter and its reassertion of the precedence of the immaterial. In Ibsen’s drama–in Part II, Act V–Maximus tries to revive Julian’s flagging confidence by urging him that “victory comes to him who wills” (446). Julian, deeply shaken, replies in the interrogative:

    And what does the victor win? Is it worthwhile to conquer? What did the Macedonian Alexander, what did Julius Caesar win? Greeks and Romans speak of their fame with cold astonishment . . . while the other one, the Galilean, the carpenter’s son, reigns as the king of love in the warm believing hearts of men.

    Where is he now? . . . Is he busy elsewhere, since what happened on Golgotha? (446)

    Since his youth, Ibsen’s Julian has demonstrated an obsession with “the carpenter’s son” and with “the Galileans.” He begins as a nominal Christian, only to rebel against what he takes for a rigid and paltry dogma. So also it seems to have been with the historical Julian, to judge by the literary remains. Julian makes the same set of arguments against Christianity that Celsus and Porphyry do: all three deny–Julian last in the line–that the divine could ever take on a material form without being defiled. On the other hand, the recipient of Gnosis might transcend his material condition and assume divinity. At the acme of his conviction, after his defeat of the Germans in the West, Julian, in Ibsen’s handling of him, believes himself to be the reincarnated life force of the ancient gods and heroes–of Alexander the Great and of Dionysus. This conceit by no means violates the apotheotic drift of historical documents. Ibsen’s Julian sees himself as restoring the interrupted True Doctrine and, by so doing, ridding the world of Christian falsehood. When Ibsen has the Emperor invoke Alexander of Macedon and Julius Caesar, the invocation implies the old, Maximus-inspired fantasy of the “Logos in Pan” (256). One might note that Julian’s agon with Christ and with Christianity is almost identical to Nietzsche’s. The date of Emperor and Galilean means that Ibsen had seen how much modernity would articulate itself as an attempt to expel Christian onto-theology decades before Nietzsche made such a characterization obvious. Neoplatonists, Julian, and Nietzsche together, and in a similar vocabulary, accuse Christianity of being a religion of base ressentiment. The slaves and women who constitute Christianity’s degraded clientele resent their pagan overlords and husbands and, in dissimulating response to their ire, celebrate thralldom and weakness as virtues, as their strength. “Nietzsche,” writes Gans, “inaugurated the modern analysis of resentment by creating a dubious typology” (141). Yet the Late Antique polemic prefigures this typology. Nietzsche’s Oedipal relation to Christ is the same as Julian’s, sixteen centuries earlier: both attempt to stave off being absorbed into the egalitarian scene posited by Christian reciprocal morality by establishing the Manichaean–hence Gnostic–dichotomy of preterit and elite, assigning themselves to the latter category.

    6

    Now, however, Julian suffers another vision, which he reports to Maximus:

    I dreamt about him [i.e., Jesus] recently. I dreamt I had subjected the whole earth. I ordered that the memory of the Galilean should be erased from the earth; it was erased . . . Then the spirits came and ministered unto me, and tied wings to my shoulders, and I soared out into infinite space, until I set foot on another world. (446)

    When, from this visionary new world, Julian gazes down on the old, he sees an ecumene “cleared of Galileans” and he thinks to himself “that all I had done was very good” (446). One might meditate on the phrase, “cleared of Galileans.” Klarad af Galiléer. Its import is less than pretty. At the same instant, to his chagrin, Julian also sees going past him a procession of souls–“soldiers and judges and executioners at the head, and weeping women follow[ing] after”–among whom walks “the living Galilean, bearing a cross on his back” (447). The “son of the carpenter” refuses to be expunged. The “place of the skull” has become the psychic center of the universe, the point of articulation of all thought. Cries Julian: “Oh, if I could only lay waste the world! Maximus . . . is there no poison, no consuming fire, which can lay waste creation, as it was that day when the solitary spirit moved upon the face of the waters?” (447).

    Such cosmic ressentiment tends inevitably towards nihilism, expressed by Ibsen’s Julian in the hyperbolic urge to “lay waste creation” because “the world” fails to correspond to the plaintiff’s idea. Ibsen has elicited another feature of Julian’s disposition that assigns it a place in the Gnostic category. I refer to the dependence of the Helios-doctrine on what it attacks, namely the ontological offense of the Galilean through his mere existence. Indeed, Julian’s King Helios does not reveal its full import unless and until one reads it in direct conjunction with his Against the Galileans. As Kurt Rudolph says in his masterly Gnosis (1987), “Gnosticism strictly speaking has no tradition of its own but only a borrowed one” and might even be considered as “parasitic” on its “host religions” (55). In Against the Galileans, Julian in fact appropriates the Old Testament in a typically Gnostic fashion. “But even if He who is honoured among the Hebrews really was the immediate creator of the universe, our beliefs about him are higher than theirs, and He has bestowed on us greater blessings than on them, with respect both the soul and to externals” (Wright, Vol. III 355). Julian accepts the text only as long as it falls subject to his interpretation of it. The Mosaic Creator-God thus becomes the Sol Invictus of King Helios, an entity “Supra-Intelligible” and “the very Idea of being” (Wright, Vol. I 359). Those who persistently identify him with the Jehovah of Moses become betrayers of the text. I have shown in my previous essay how Ibsen’s drama represents Julian’s lack of originality by making him vehemently reject Christianity only to advocate a revived paganism that is little more than a dull pastiche of vital religion. Put it this way: even those who wish to abolish the human scene as it is given can think of nothing other than the scene by which to replace it. Characteristically, they try to insert a difference through complicating what is given. Thus Julian would replace what he regards as the unworthy proletarian narrative of the Gospels with his own baroquely syncretic Helios-doctrine. Reaction always deludes itself about originality.

    III

    The sudden manifestation of a Persian ambush briefly rallies Julian, who snaps back for a time into the spiritually crusading mode so carefully inculcated by Maximus. For battle, however, Julian has ill prepared himself: his mood totters, this way and that. He has previously burned his ships, cutting himself off from re-supply under the erroneous belief that his “Empire” should burst forth by predestination because his will is so supremely pitched. Ibsen, drawing on Ammianus, even makes Julian throw off his armor to fight with sword and shield only, so absolutely does he wager on a favorable outcome. Yet the old confusion swiftly returns. Julian seems to forget whom he battles or, as one might say, he remembers only too vividly who the real nemesis is. The ruddy clouds of dawn make display on the horizon. Julian shouts:

    They are the Galilean’s hosts, I tell you! Look . . . those in the crimson-edged garments. They are the ones whose blood was shed. There are women surrounding them, singing, and twisting bowstrings from the long hair they’ve torn from their heads. Children are with them, disemboweled, plaiting slings from their entrails. Burning torches . . . Thousands of them . . . no end to them! They are heading this way! They are all looking at me; they are all making straight for me!

    Stand fast, Greeks! Stand, stand, Romans! Today we shall free the world! (452)

    Fallen soldiers appear to Julian as so many supine crucifixions, flinging out their arms and bleeding from their wounds. Ibsen has intuited a feature of Christian revelation that distinguishes it–again in the direction of minimality–from Neoplatonist and Gnostic constructions. In Science and Faith (1990), Gans calls this feature polycentrism. The ecumenical character of the Roman Empire, which subordinated scores of formerly independent ethnic nations under a unified administration, gave rise, at first in the case of the conquered Jews, to “a vision of the world beyond social difference, ruled by universal reciprocity” (97). As the pre-ecumenical centers of the local cultures have been displaced or demoted by an imperial syncretism, which remains meaningless to subject peoples, “it is for each individual to become his own center, recognizing at the same time the centrality of the other” (97). This notion, best articulated in the Gospels and in Paul’s formulations of what became the Church, “is essentially polycentric” for “it cannot be conceived as emerging in revelatory fashion from a single point” (97). All of the fallen thus appear to Julian as sacred victims. In his hallucination, he himself becomes an object of persecution, and he tastes how terrible persecution is. But why say that Christian polycentrality is minimal in comparison to, say, the Helios doctrine? Because devolving sacrality on each and every individual makes otiose the ritual structures and hierarchical conceptions of speculative theology.

    7

    Having suggested the radical shift in religious thought that Christianity entails, Ibsen now deliberately swerves from his major documentary source for the battle, Ammianus: Ibsen has Agathon, a Christian fanatic, wound Julian with a spear in his side, a rumor that Ammianus specifically denies but which has considerable dramatic power. Maximus says that, in Julian’s fatal wound he is “betrayed!” (456) It is Basil, poignantly, in whose propinquity the stricken Julian takes the deepest consolation: “Basil . . . friend, brother . . . the two of us have spent many a fine day together” (456). Urging Basil not to mourn, Julian speaks the first half of his concluding soliloquy:

    Do we not all love wisdom? And does not wisdom teach us that supreme happiness is in the life of the soul, not that of the body? In that the Galileans are right, though . . . but we will not talk of it. If the powers of life and death had let me complete a certain treatise I think I could have . . . (456)

    Ibsen gives us, in these words, a Julian who is an intellectual, even something of a pedant, to the last. If only he had completed that “certain treatise,” then he might fully have plumbed that “mysterious power,” as he says, “outside us which essentially determines the outcome of human endeavor” (457). “Vaesentligen beviser”: “essentially determines.” Ibsen’s Julian, breathing his last, speaks the language of the Danish Hegelians, those other, modern initiates of the “World Spirit” and the “World Will” whose dialectical Synthesis constitutes an intellectual “Third Empire.” In a delirium of “beautiful temples . . . pictures . . . But so far away” and of “beautiful garlanded youths,” the Julian of Emperor and Galilean expires. Now a brief contest occurs, with echoes of the squabble in Sophocles’ Oedipus at Colonus over the body of the dead king. Maximus, seething, excoriates the Christians as the authors of all misery. Basil calmly responds that he “perceive[s] the truth in all its radiance and grandeur: here lies a glorious shattered instrument of the Lord” (459). Julian, Basil says, “was a rod of correction . . . not for our death, but for our resurrection” (459). The playwright gives the last line to Macrina, who once loved Julian before his apostasy: “Oh brother, let us not seek to the bottom of this abyss. [ . . .] Erring human souls . . . if you were forced to err, allowance will indeed be made on that great day when the Mighty One shall come in a cloud to judge the living dead and the dead who live” (459).

    In Basil and Maximus, as they appear over Julian’s corpse, Ibsen highlights once again the distinction between (i) a attitude that accepts the world as given and (ii) those various intellectual systems that show in common a denial of the worldly “is” in preference for the arbitrarily posited intellectual “ought.” Basil is reconciled to reality while Maximus, because reality does not respond to his “ought,” remains in rancorous rebellion against it. Ironically it is in Basil that a kind of “Third Empire” in a positive sense actually finds its figure. Basil would distinguish himself, when he assumed the Episcopate of Caesarea, as the successful advocate against the puritans among his coreligionists for continued non-censorious study of the pagan classics. In Basil, then, Hellene and Galilean converge.

    I would like to pick up a strand from the final section of “Ibsen’s Unknown Masterwork and its Sources.” I asked the question, “what did Ibsen mean when he wrote to Edmund Gosse that Emperor and Galilean represented ‘part of my own spiritual life’ and when he said that ‘the historical subject [ . . .] has a much more intimate connection with the movements of our own time than one might first imagine’?” I proposed, by way of an answer, how “one should remark the resemblance of Julian to other characters of the Ibsen oeuvre–to the precursor, Brand, and to the successor, Doctor Stockman.” These other of Ibsen’s personae, I said, start, as does Julian, from genuine premises and even design to bring about good, but swiftly find that their efforts, distorted by a deeply seated superbia, entail unwonted consequences, at variance with the design. The goal refuses to be realized. The crusader blames the world for its recalcitrance. Ultimately he rebels for the sake of rebellion, makes empty protest against reality, as he finds it given to him, inalterable. In fact, the rebellious subject’s attitude reflects the radical binarization, to use one of Gans’s terms, characteristic of contemporary victim-discourse. The source of the current notion that this or that marginalized minority suffers oppression through the arbitrariness and exclusiveness of the established center stems from the primitive ressentiment against the human scene–any human scene–as unresponsive to the particular ego, which would like to exercise its private libido without hindrance. The term radical binarization also neatly describes the fundamental Gnostic gesture of dividing existence into the wretchedness of the given and the superior being of those who constitute the elite.

    Ibsen’s life records a doctrinaire and radical phase, in which we find him briefly flirting with actual rebellion. The author of the Julian drama, whom his critics typically accused of having a completely negative outlook, came under the influence, in his twenties and thirties, of Hegel and the Hegelians, whose aura began to be felt in Denmark and Norway at this time. Ibsen’s association with Brandes for a time reinforced the playwright’s Hegelianism, while tipping it in the direction of the Left Hegelians. The emblem of “The Third Empire,” in Emperor and Galilean, indicates the influence of Hegel himself (the famous synthesis) and of Emmanuel Feuerbach and David Strauss, among others, on Ibsen’s thinking: the religious and scientific outlooks might somehow combine in a new Weltanschauung, the Left Hegelians argued, thereby signifying a New Age. In Norway this would require a republic, free of the state religion. The line quoted earlier, Maximus’ words to the effect that the time is near when men will not need to die in order to live like gods, is a Feuerbach-like sentiment. Yet Ibsen, at the time he when was writing his Julian-drama, began decisively to dissociate himself from almost everything that could be called ideology or doctrine.

    An aside made by Brandes, in Main Currents in Nineteenth Century Literature (1871), on the character of Hegelianism hints at the underlying cause. “At the time of Hegel’s death . . . in 1831,” Brandes says, “his followers compared him to Aristotle, to Alexander the Great, even to Christ” (227). Ibsen would have been aware of such inflation and would have reacted against it. In addition to describing Hegelianism positively as “modern Hellenism,” Brandes says that the teaching of the Jena master “acted as an emancipating spiritual power . . . that destroyed faith in religious dogma and freed the individual from the burden of the Christianity of the State church” (227). Never mind that about Julian and about Neoplatonism Hegel himself wrote with remarkable objectivity, saying in The Philosophy of History (1831), that while Plato, in repudiating Homeric religion, “was accused of Atheism,” the Hellenists “endeavored to demonstrate a speculative truth in the Greek conceptions of the gods: and the emperor Julian resumed the attempt, asserting that pagan ceremonials had a strict connection with rationality” (Friedrich’s translation 330). The formula pithily summarizes Neoplatonism and Julian’s role in it. But Hegel’s radicalizing students are what Brandes is discussing. It was Hegel’s student, Christian Baur (1792-1860), who, in his Christlicher Gnosis (1835), first linked Hegel explicitly to Late Antique illuminismus. Baur’s evaluation, like Brandes’, is positive, however, and not a rejection or a critique. As Filoramo writes, Baur “regarded the Gnostics as the first philosophers of the Christian religion, the vanguard of the type of reflection that was to manifest itself many centuries later in the Gnosis of the Hegelian system” (10-11).

    8

    The Hegelian impulse seemed to Ibsen to entail violence almost inevitably, for in 1870 the Lutheran state, Prussia, had crushed the Catholic state, France–a repetition, as it were, of the Arian-Orthodox polemics of the Fourth Century. Ibsen found the spectacle demoralizing. Nor could the other religious implications of the times and their events be concealed. It was Hegel, not Nietzsche, who first proclaimed the epochal death of God.Says Brandes, himself a materialist, the Left Hegelians “avoid employing the words Jewish or Christian,” but they seize instead on Hegel’s coinage of “Nazarenic” to indicate “men with ascetic, image-hating dispositions, inclined to morbid spiritualization,” whom they despise and whom they oppose to those of a “cheerfully realistic temperament, inclined to genial self-development” (288). Nietzsche retains this rancorous Hegelianism in The Anti-Christ, his least likeable book. Such characterizations are inevitably parti pris.

    The response of the nineteenth-century intellectual to Christianity thus echoes the response of the Late-Antique illuminatus to the same. One employs the pejorative Galilean, the other the pejorative Nazarene. The synonymous responses articulate a synonymous prejudice. I might humbly call attention to my Anthropoetics article of a few years ago, Celsus, the First Nietzsche (1997), which has since migrated to a number of websites, making it easily accessible. The First Nietzsche documents in detail the parallelism between the second-century Neoplatonist / Gnostic and the nineteenth-century atheist critiques of the Gospels. The analysis that applies to Celsus’ True Doctrine also applies to Porphyry’s Against the Christians and to Julian’s Against the Galileans. Jonas, Dodds, Rudolph, and Filoramo have all spoken of the Gnosticizing tendency in Late Antique thought: the insistence that an elite–and an elite alone–can authoritatively interpret existence; and that, to borrow the album-title from the redoubtable Fire-Sign Theater, “Everything You Know is Wrong.” I have earlier commented on the ressentiment implicit in the Neoplatonist and Gnostic obsession with constructing increasingly complicated speculative systems in response to the simplicity (they would say the stupidity) of the Gospels; the speculations remain tied to that which they would abolish. The same is true of the modern atheist response to the Gospels. I defer once again to Gans. In Originary Thinking, he writes how

    Once the idea of God exists, it can be forgotten; and once it has been forgotten for even an instant, human culture is already engaged in the process of secularization of which the contemporary atheist is the final product. [But] because the idea of God . . . is coeval with the origin of humanity, the process of this forgetting can never be concluded. Even if someday not one believer remains, the atheist will remain someone who rejects belief in God, not someone for whom the very concept is empty. (43)

    In light of the citation above, we should remember Filoramo’s declaration that the various manifestations of Gnosticism are typically derivative of, even “parasitic” on, what the Italian calls their “host religions.” Hans Jonas again, and the late Eric Voegelin, and Ellis Sandoz, and Thomas Molnar, among others, have identified a similar Gnosticizing tendency in modern thought, beginning with Marsilio Ficino’s Fifteenth-Century Hermetic speculation, and embracing German Idealism and its sequelae.Giordano Bruno and Pico Della Mirandola–the latter’s famous Oration alludes to Thrice-Great Hermes in only its second sentence–continued where Ficino left off. We think of them as humanists, like mild-mannered professors, but they correspond rather more closely to the image of a Magus who aims magically to transform a defective world into his own vision of utopia. Jonas says, in his essay on “Gnosticism, Existentialism, and Nihilism” (1965), that “the existentialist deprecation of the concept of nature obviously reflects its spiritual denudation at the hands of physical science, and it has something in common with the gnostic contempt for nature” (337). Elsewhere: “Gnostic man is thrown into an antagonistic, anti-divine, and therefore anti-human nature, modern man into an indifferent one” (338). Think of Antoine Roquentin confronting the plane-tree roots in La nausée. Think of the “Nada” prayer from Hemingway’s novel For Whom the Bell Tolls. Nietzsche and Heidegger are, for Jonas, the modern Gnostics par excellence.But the whole of what its practitioners since Marx have called “theory” is implicated.

    Where Jonas admires both Gnosticism and Existentialism (he studied with Heidegger), Voegelin takes a less sympathetic stance. In The New Science of Politics (1952), Voegelin argues that a Gnostic revolt against reality animates modern history in such disparate phenomena as “the puritan churches of the saints,” a reference to Oliver Cromwell, and “the Marxian mysticism of the realm of freedom and the withering away of the state” (In Modernity without Restraint 226). Voegelin penetrates to the epistemological core of Gnosis and explains how the perceptual issue is connected with the moral one. He writes:

    In classic and Christian ethics the first of the moral virtues is sophia or prudentia, because without adequate understanding of the structure of reality, including the conditio humana, moral action with rational co-ordination of means and ends is hardly possible. In the gnostic dream-world, on the other hand, nonrecognition of reality is the first principle. As a consequence, types of action that in the real world would be considered as morally insane because of the real effects that they have will be considered moral in the dream world because they intended an entirely different effect. The gap between intended and real effect will be imputed not to the gnostic immorality of ignoring the structure of reality but to the immorality of some other person or society that does not behave as it should according to the dream conception of cause and effect. (226)

    Voegelin’s character-sketch fits Ibsen’s Julian perfectly, right down to his obsessive notion that, but for the Galileans, and if only he had finished that “certain treatise,” his “Third Empire” would have sprung magically into being. This is what Voegelin means under the designation of “the dream conception of cause and effect.” Ibsen indeed appears to grant to the best of the Christians–Basil and Macrina–a Sophia or a prudentia, in Voegelin’s terms, that Julian, for all his intellectual posturing, simply cannot match. Ibsen thus anticipates Voegelin in his adjudicative typology of Late Antique religiosity more than he anticipates Jonas. Ibsen’s portrait of Julian also differs significantly from more or less contemporary portraits, such as the one given by Alfred de Vigny in his avant-garde novel Daphné (1847).

    9

    For Vigny, Julian qualifies as the warrior-idealist, “qui marche avec un livre de Platon sous son bras, le rhéteur [qui] écrit en marchant, et gagne des batailles entre deux Poëmes qu’il compose” (Oeuvres 822). Julian, in Vigny’s version, has realized “la pensée de Marc-Aurèle, le règne des philosophes” (822). The two “poems,” as Vigny calls them, would be King Helios and The Mother of the Gods. Vigny’s narrator sits in session with Julian in the Daphneum in Antioch and hears the Emperor-Pontiff and his spiritual brethren excoriate “les dogmes religieux, avec leurs célestes illusions” of the Christians while they extol “le Roi-Soleil” and “les Anges solaires” (837), elements in their own baroque dogme religieux, to the supposedly dignified syncretism of which Vigny contrasts the undignified, “Jets and Sharks” street-combat of “le Donatistes et les Ariens . . . et ceux qui se nomment orthodoxes” (845).

    Vigny seems unaware that his protagonists, in effect, also se nomment orthodoxes, and that he is advocating their orthodoxy. One of the “Solar Angels” once appeared to him, Julian says, to announce to him his destiny, and this spirit bore the name of “Le Génie de l’Empire” (837). Earlier in the novel, Vigny has depicted the nominally Christian bourgeoisie of his own time as an anti-intellectual rabble, to whom the sublimity of the poetic mind is completely alien, and who are therefore incapable of salvation by means of the esthetic. Like Ibsen, Vigny sees a parallelism between the centuries of Late Antiquity and those of Modernity, and his scenario draws on the same sources. His interpretation is nevertheless the opposite of Ibsen’s. In Vigny–as in his precursor Edward Gibbon and again in his successor, as we shall see–we discover the Romantic Julian, embraced by his celebrant because he stands against values that have prevailed as normative for two thousand years.

    Julian’s romantic advocates take the position of Ibsen’s Brand and his Doctor Stockman: the majority is always wrong. Ibsen judges, however, that the reactionary is always in a derivative position, unoriginal, dependent on what he denounces. There is thus a kind of madness or perversity in the “anti” position. The “anti” makes difficulty but othersfind themselves immiserated. Ibsen uses the solar effulgence as a symbol for madness for the first time in Emperor and Galilean, but not for the last time. Osvald Alving, the pensive, Bohemian protagonist of Ibsen’s Ghosts (Gjengångere) (1881), who ends up in syphilitic madness, closes the play dedicated to his sorry plight with a Julian-like, Heliolatric invocation of “The sun, the sun!” Where have we heard that before?

    IV

    After Ibsen’s Emperor, Gore Vidal’s Julian (1962) ranks as the second most ambitious literary statement about the meteoric career of the would-be savior of Paganism. Vidal is the successor to Vigny mentioned above. While owing a good deal also to Emperor, Julian has considerable literary merit on its own–even though its author occupies a seat on the literary Parnassus below Ibsen’s. As Vidal’s “Partial Bibliography” appended to the end of the novel tells, he researched his subject quite as thoroughly as did Ibsen his a century earlier. It is not only Julian, as Vidal says, who “continues to fascinate,” but rather “the Fourth Century itself” (Julian VII). “For better or worse,” as Vidal writes, “we are today very much what they were then” (VIII). Vidal’s historical novel possesses another value in the present context. Unlike Ibsen, who played everything close to his vest, Vidal volubly states his case. Far from concealing his convictions–which he takes from Nietzsche and from Epicurus, making him certifiably a member of the Hellenist faction–he has always aggressively staked out his territory.

    In his Nation essay “Monotheism and its Discontents” (1992), for example, Vidal commits himself to the precept that:

    The great unmentionable evil at the center of our culture is monotheism. From a barbaric Bronze Age text known as the Old Testament, three antihuman religions have evolved–Judaism, Christianity and Islam. These are sky-god religions . . . The sky-god is a jealous god, of course . . . [who] requires total obedience from everyone on earth, as he is in place not just for one tribe but for all creation . . . Ultimately, totalitarianism is the only sort of politics that can truly serve the sky-god’s purpose. (Essays: 1952-1992 1049)

    Vidal invites his readers to “dwell upon the evils” that the followers of the sky-god (“Christers” or “red-neck divines,” as he styles them) “have wrought” (1051). Says Vidal: “Hatred of blacks comes straight from their Bad Book” and “racism is in the marrow and bone of the true believer” (1051); both “patriarchal rage at the thought of Woman ever usurping Man’s place” and “the ongoing psychopathic hatred of same-sexuality” (1051) are equally integral to the sky-god cult. Environmental pollution also stems from Scripture. Followers of the sky-god smugly ignore the blighting of the earth because they consider mortal life as merely a “staging area for heaven,” whereupon they shrug their shoulders and pose the exculpatory question: “why bother to clean it up?” (1051). These epithets constitute the degree-zero of contumely, for, in essence, Vidal claims that dirt and hatred exude from the poisonous center of our culture (the object, as it were, of an unlawful usurpation) and so taint it, by their radiation, everywhere along the otherwise immaculate periphery. By race, class, and sex, turning us against one another, Christianity has fomented the quintessential sacrificial crisis. The sky-god cult distorts life. It makes existence intolerable for the clairvoyant, clean-living elect who, scurrying past its seductions, would prefer to live, unprofaned, in their gate-guarded utopia–somewhere presumably between Seattle and San Francisco. Vidal inverts the particularly Christian morality that he loathes in a manner the parasitical cast of which nevertheless remains opaque to him. Another observation by Gans will explain what I mean. In Signs of Paradox, Gans writes:

    10

    Victimary rhetoric reaffirms the reciprocity of the Christian moral utopia, not as universal love, but in the resentful mode of “the last shall be the first,” the “last” being defined as the collective victims of historic injustice. To occupy the Victimary position absolves one of the narrowness of one’s own worldly interests; the place of the victim is the sole locus of human truth and the sole human truth is that of victimization. But the Victimary critique of universal anthropology is circularly self-fulfilling. It is an anthropological hypothesis only in the tautological sense that its denial of universality makes it the only universal statement conceivable in its own terms. (181)

    Notice how although Vidal is not an intellectual per se and can even make fun of intellectuals–as in his New York Review of Books essay “The Hacks of Academe” (1976), which ought to be mandatory reading–his complaint against those normative values that his sentences in the “Monotheism” essay caricature is the same as theirs. And theirs is the same as that, say, of Julian himself, or of Porphyry, the Third Century Syrian-born student of Plotinus. In Porphyry’s Against the Christians, devotees of the Gospel appear as “renegades waiting for their chance to seize [political] control” (29), ingrates who are careless about the beauty of creation (67) and about the “rationality of nature” (67), preachers of “nonsense” (42), purveyors of “degraded, unintelligible images” (77), “devoid of sense” (47), “asinine” (59), “illiterate” (74), and “dim” (74). But Porphyry might simply have been quoting from Celsus, his precursor, and little distinguishes either of those two from their latter-day successor, Voltaire. Ecrasez l’infâme! Implicit, however, in all these complaints is the notion that Christianity is not merely vulgar and brutal, but that it is triumphantly vulgar and brutal and that its triumph entails the misery of those who, like Vidal, understand it critically. Whether it is Porphyry or Voltaire or Vidal, the plaintiff declares himself in effect a victim and his victimization (no doubt well remunerated) becomes his own overwhelming truth.

    Vidal’s Julian, like his historical model, frequently cites Porphyry. In one instance: “Following Porphyry I have discovered some sixty-four palpable contradictions and absurdities” in the Gospels, which together tell “a confused story” in “bad Greek,” that will “disgust” an educated person (Julian 331). Vidal’s Julian calls Christianity “savagery” (148), “lunatic superstition” (167), and a “Death Cult” (385), while Christians are, for him, “hypocrites,” “ravenous,” and “beasts” (378). One is tempted to write et cetera because the list is indefinitely extendable. Christ is “the dead Jew” (362), as in the occasional similar construction in Ibsen, usually from the mouth of one of the Hellenist zealots. In Ibsen, however, the insults are never incontrovertibly authorial. In my previous arguments, I have striven to show why we need not scruple too much over the adverb: Ibsen stands back and lets the conflict reveal itself.

    In opposing Christianity, which he identifies with “the general atheism of the day” (362), Vidal’s Julian works, with authorial sympathy, towards a synthesis (Julian’s own word) of “all true religion in a single comprehensive system” (331). Synthesis and system: the rhetoric of the Anti-Gospel has a long pedigree and this rhetoric is intertwined in an inextricable way with the kindred rhetoric of intellectualism–whence the sophistic reversal that transforms Christian belief into “atheism” so that nonbelievers in the New Testament (and perhaps in anything else except matter or self) might assume the title of fideist and so legitimate an animosity by an exchange of the normative terms. In an Observer essay, “Gods and Greens” (1982), after characterizing Judaism and Christianity equally as “immaculate evil,” Vidal declares that “it is time for us in the West to look to more subtle religions and ethical systems, particularly those of China and India” (Essays 1043). Vidal misses a point that Ibsen, for his part, obviously grasped: that it is the minimal Christian morality, resilient and plastic, that opens the Western outlook to competing dispensations and permits their considerable assimilation. Ibsen’s figure of this openness is Basil, who, as we have seen, sympathizes with Julian as neither Julian nor his followers can sympathize with Basil. The historical Basil, as I have mentioned, fought a battle with his puritanical coreligionists to maintain the study of the pagan classics. Vidal clearly does not propose that western Christians make room in their ethical purview for essential lessons from Buddhism or Hinduism; he wants Buddhism or Hinduism as replacements for Christianity, which he wishes would disappear.

    The passage of time between the early 1960s and the early 1990s no doubt focused Vidal’s ire–hence the hyperbolic rancor of the Nation piece. But the attitudes that pervade Julian, by no means latently, are identical to those that Vidal expresses in the later essay. No one becomes a curmudgeon or a prig overnight. Where Ibsen treats Pagan and Christian with scrupulous fairness, revealing his own judgment subtly, Vidal distributes his merits and demerits among the dramatis personae unsubtly and–as one says–with an agenda in mind. The foremost instance lies in the aura that Vidal puts in place to make Julian’s religious experience vital and palpable; the novelist endows none of his Christian characters with anything at all like the Apostate’s transcendentally affirmed certitude in his own doctrine. Julian’s protagonist (who tells his story in the first person, in the form of diaries, on which two of his preceptors–Priscus and Libanius–make editorial comments) undergoes serial initiations into the Mithras Cult, supervised by the notorious Maximus. Persia, lying to the east of the Roman Empire, offers a “more subtle” religious alternative to Christian intemperance, for Persia is the origin of Mithras. Indeed, according to Maximus, even while they work to mandate “one final rigid myth on what we know to be various and strange,” the Christians “borrow from our mystery rites, particularly those of Mithras” (86). Priscus and Libanius make similar comments, which echo, in fact, a theme developed in sequence by all Late Antique critics of the rising faith. As we have seen, Vidal applies the identical postulate to the present, recommending what is to us what Persia was to a Fourth Century Greco-Roman intellectual–the Light of the Buddha and the sublime serenity of the Mystic East.

    11

    On Julian’s first initiatory excursion, the result is a vision, extrapolated from Julian’s own King Helios:

    When the day ended . . . and I stumbled from the cave, I was born again . . . As I looked at the setting sun, I was possessed by light. What is given to few men was given to me. I saw the One. I was absorbed by Helios . . . My veins coursed not with blood but light . . . I saw the simplicity at the heart of creation. The thing which is impossible to grasp without the help of divinity, for it is beyond language and beyond mind: yet it is so simple that I marveled at how one could not have known what is always there, a part of us just as we are part of it. (93)

    Later, following Maximus’ advice, Julian submits to initiation in the Mysteries of Eleusis. He records the “logic” that seems to him to give order to “what is revealed [in the rites so] that one is astonished not to have understood it before” (166). Vidal’s fictional Libanius comments approvingly on Julian’s claim about the Mysteries and rebukes Priscus for being skeptical: “I find Priscus’ remarks about Eleusis distasteful, even atheistic” (167). Note the pattern. Vidal consistently links an authentic religious experience–possession by light, the encounter with “the One”–with intellectual terms such as system, synthesis, and logic. The Christians in Julian, by contrast, give no evidence of having experienced anything like the profound, visionary transformation to which Vidal allows the emperor-to-be to lay claim in his account of the various mysteries; nor does Vidal grant his Christians any capacity for synthesis, system, or logic. On the contrary, they present themselves invariably as coarse, cynical, unlettered, and cruel, if not downright stupid. When, using an elegant syllogism based on statements from the Old and the New Testaments, Julian cleverly confutes a gathering of bishops, one of them, Bishop Maris, confronts him. Says Julian: “I had never seen such malevolence in a human face” (339). Vidal puts in Maris’ mouth the hissing dogmatic pronouncement that Julian is “Apostate” and that he will “burn in hell” (339).

    When a wicked monster calls a fellow “Apostate” and pronounces him destined to hellfire, it functions, naturally, as a compliment in context. Such Vidal intends it to be. In another, similar rencontre, Vidal arranges for Julian to debate Bishop Meletius of Antioch. When Meletius assents that the God of the Old Testament is a god strictly of the Jews and, in this way, is limited, Julian triumphs that Yahweh cannot therefore be “the One God, who . . . can have no limitation” (366). In Ibsen, Julian grows tired of such demonstrations, even disgusted by them. For Vidal, they carry weight.

    Let us note a contradiction observed also by Ibsen in the same talkative–that is to say, intellectual–milieu. When philosophy absorbs the cultus, as it does in Hellenism, it begins to endow syllogism with the luster of something sacred. Seneca, Plutarch, Plotinus, Iamblichus, and Porphyry are unanimous that philosophy has succeeded religion. Read any page at random of any of them. Vidal’s scenario reflects this. Peculiarly, however, the numinous source of syllogism’s noetic supremacy under the philosophical dispensation is the subject’s claim to a revelatory possession by the light,which the claimant confesses has no content that can be put into a formula, except that it demands the worshipful respect of sensible people. Sensible people, meanwhile, are those in agreement with the promulgator. The religious experience of the two Testaments–for Vidal the inauthentic religious experience, therefore not really a religious experience at all–has a different character. When Moses, in Exodus, confronts the Burning Bush, the Divinity identifies Himself as a sentence, “I am,” and asks His witness to announce to the people that He will lead them out of Egypt. When Paul (“the blasphemous Paul” [339], as Vidal’s Julian calls him) undergoes his conversion in Acts, it takes the form of a voice that asks why do you persecute me?

    The historical Julian and Vidal’s Julian are both right when they say that Judaism and Christianity are non-philosophical. Not that there are no Jewish or Christian syllogisms: there are–but in commentary, not in Scripture. Help me lead the people out of Egypt and stop persecuting the innocent are nevertheless concretely ethical proposals on which one can act; they are articulations, whereas an inexpressible possession by the light amounts to so much esthetic vagueness. Of course, this kind of amorphous illumination can be the topic of innumerable allegories and syllogisms even though, ab origine, it is irrational and sans content. Precisely in its vagueness, then, the pantheistic illumination constitutes the manna of intellectualism.

    In recent times, Vidal has taken an interest in Abraham Lincoln, but his Lincoln, the subject of an eponymous 1976 novel, is curiously like his Julian. In Vidal’s “First Note on Abraham Lincoln” (1981), he informs us how “it will come as a terrible shock to many of those who have been twice-born in the bosom of Jesus to learn that Lincoln not only rejected Christianity but wrote a small book called ‘Infidelity’ (meaning lack of faith in God)” (Essays 666). Julian wrote Against the Galileans. Like Julian before he becomes Augustus, Vidal’s Lincoln has to pretend orthodoxy in order to please the prevailing powers. Now Vidal has mixed feelings about Lincoln, but he clearly admires what he takes to be Lincoln’s religious conviction, a sense of the Almighty, rather in the manner of Julian’s “One,” that disdains specificity in favor of an Emersonian cumBuddhist atonement with the All. The All, which all at once exists and does not exist, offers its paradoxical existence-nonexistence to the rhetorical purpose of evading all tough questions, while its devotees agitate to reshape the world. I defer to Leszek Kolakowski’s “On the Death of Utopia Reconsidered” (1983), where he reminds us that it is possible “to recognize in the [modern] utopian temptation a vague echo of those oriental and Neoplatonist theologies to which our separation from the source of being . . . was a sort of ontological curse” such that the ideological utopia becomes “a secular caricature of Buddhist metaphysics” (Modernity on Endless Trial 141).

    12

    V

    My perspicacious examiners will have gleaned that Ibsen’s argument, if not Vidal’s, boasts a general implication beyond the assessment of Julian as an illuminatus drunk on the apocalypse of his own ego and fixated on the insuperable scandal of “the Galilean.” The set of phenomena under the rubric of Gnosticism is a sub-sample of the set of phenomena under the rubric of intellectualism. Not all intellectualism is Gnosticism, but Gnosticism, as it is the nec plus ultra of intellectualism, can tell us something about the larger and less specific of the two categories within which it nestles. One must also take care to note that intellectualism is not always given away by its style, although there is a definite type of polysyllabic prose typical of the illuminatus. Sometimes, however, as in the case of the verbally Plain-Jane Vidal, intellectualism takes the form, not of a baroque vocabulary and a convoluted syntax, but rather of a set of characteristic assumptions.

    Is intellectualism endemic in the Western, the Judeo-Christian dispensation? When Ibsen insists on the contemporary significance of his drama, he implies as much. So does Vidal explicitly when he remarks that we have a relation–a direct one–to the Fourth Century (“We are today very much what they were then”). Ibsen conducts a critique of intellectualism; Vidal exhorts for it, complaining that the anti-intellectuals (the evil monotheists) have held the floor for far too long and need to be disestablished. Of course, a like reactionary reflex might be traced as far back as Akhenaten, the Fifteenth Century B. C. pharaoh who tried to disestablish the long-standing Ra cult, leading to a time of troubles that saw, on good evidence, a twenty-five percent reduction in the population of Egypt’s major cities. Freud even tied Mosaic revelation to the Aten, which shows many proleptic similarities to the content-less “Intelligible Sun” of the much later Neoplatonist dispensation and to the utopianism of the Gnostic prophets. There is something tantalizing in the fact that Gnosticism and Neoplatonism both have strong Egyptian affiliations, and that the pseudo-Scripture of Hermetica posits itself as a Nilotic ur-revelation.

    But we shall leave such speculation aside. A continuum of Gnosticizing, pseudo-philosophical and pseudo-political discourse is apparent that stretches from the Imperial-Philosophical heliolatry of Iamblichus-Celsus-Porphyry-Julian through German idealism, including Hegel, to the present day. Consider the putatively (and, let us grant, the actual) founding statement of an identifiably modern-humanist discourse, the Oration on the Dignity of Man (circa 1480), by Giovanni Pico Della Mirandola (1463-1494). The background to the Oration is the arrival in Italy of Byzantine Greeks during and after the Ottoman reduction of the Byzantine Empire in the mid-Fifteenth Century, especially Gemistus Plethon (1355-1450), and the study and promotion of Prisca Theologia by Plethon’s Florentine heritor, Marsilio Ficino (1433-1499), whose student, in turn, Pico was. Various Byzantine Neoplatonist texts brought by Plethon and other émigré Greeks made an exotic impression on Italian scholars, suggesting a mighty and ancient intelligence unknown in the by comparison inferior Latinate world.

    The term Prisca Theologia refers to the notion that there is a secret, aboriginal revelation behind the traditional revelations expressed in accepted Scripture; the prevailing religion, under this light, appears as exoteric only, vulgar, unscholarly, and instrumentally ineffective. Prisca Theologia continues to exercise its appeal to this day, as attested in the best-selling status of Dan Brown’s novel The Da Vinci Code (2003).Umberto Eco satirized the aura of such low-grade Gnosticism in his Foucault’s Pendulum (1989). The frisson of what Helena P. Blavatsky successfully marketed as “secret doctrine” already at the end of the nineteenth century will nevertheless outlast the debunking of the satirists. Ficino thought that he had discovered the esoteric ur-doctrine in Hermetica, a second-century Gnostic farrago purporting to consist of revelations vouchsafed by the god Hermes to an Egyptian illuminatus (“Asclepius”) at a time prior to Exodus. The gist of Hermetic doctrine is that man is god, while remaining unaware of his extraordinary gifts. The task of the initiate is to remember his own godhood, just as Julian, in Ibsen’s drama, remembers that he is Adam or Achilles or whichever august person it is that Maximus succeeds in suggesting to him. To cite the section of Hermetica known as Poimandres (or in seventeenth-century English as Pymander): “For [the sacred light] shining steadfastly upon and round the whole mind, it enlighteneth all the Soul; and loosing it from the bodily senses and motions, it draweth it from the Body, and changeth it into the Essence of God” (Everard’s translation 22).

    As earlier intimated Pico cites Hermes in only the second sentence of the Oration: “A great wonder, Asclepius, is man” (Wallis’ translation 3) because man is a god in disguise, unbeknownst to himself. In the course of the essay, Pico also cites “Bacchus . . . whose father was the sun” (14), “Apollo . . . the true, not the invented, Apollo” (14), “Pythagoras” (15), “Porphyry” (23), “Iamblichus” (23), “Xalmoxis” (27), “Eudoxus” (27), “Hermippus” (27), “Orpheus” (32), “Dactylus” (32), and “Zoroaster” (32). The list bears a strong resemblance to those that one might compile in canvassing King Helios orAgainst the Christians by the Emperor Julian: Pico puts us in the realm of Fourth Century Neo-Platonism, with its admixtures of Egyptian and Persian myth-material. In Nietzsche’s oeuvre, the last name on the list becomes central to modern discourse, thus providing an ersatz Scripture for those who cannot come to terms with the existing Scripture. The same list reveals a great craving for priority, also evident in the rejections of Christianity by the polemicists Celsus, Porphyry, Julian, and Nietzsche.

    This craving for priority is a type of ressentiment du monde–as one might say, a spurning of the sociologically given or indeed of the world, as the world is what is given in a superlative and circumambient way. Pico needed to make some concessions to religious authority. His gesture for keeping shy of trouble entails, not a rejection of the Testamental God, but a claim to having increased the depth of Testamental revelation. God has “a secret wisdom” (4) hitherto undisclosed; while the moral law remains valid, there is yet another law “more secret and true” (24) accessible to and effective for the one who knows how to find it. Pico refers also to Origen’s claim that “Jesus Christ . . . revealed many things to his disciples which they did not want to write down, lest they become common to the vulgar” (30). For that sentence alone, Pico deserves the title of modern ur-intellectual.

    13

    In his Julian-drama, Ibsen makes a theme of will. The crusading emperor comes to believe, in his final deluded hours, that his own godlike will can transform the world by a mere act of intention. Willfulness, of the same Gnostic type, also figures in the formula of the Magus announced by Pico in his Oration. Among the secret divulgences made by God to Adam, for example, is the admonition, quite contrary to anything in Genesis, that “thou art confined by no bounds” (5). Notice the casual abolition of any determinate human nature. When the explorer rediscovers the hidden glory in himself, Pico writes, then “the happiness of man” will consist of his “fix[ing] the limits of nature” and of choosing “that which he wills” (5). Human nature having been abolished, nothing remains to rein in libido, which can now, as Dostoyevsky would prophesy, do as it pleases. In these achievements, the Magus will “compete with the angels in dignity and glory” (7) and will indeed “be an angel and a son of god” (5). The “fathers” whom Pico addresses in the Oration are not only the priests of the Inquisition who examined him, prior to a fortunate change in the Papacy, but the Archons of the Gnostic myth, who tyrannize arbitrarily over the world that they have made solely for the sake of exercising their dominion. They are the looming obstacles of the Magus’ ownressentiment. As in Julian’s synthetic creed, so in Pico’s scheme “the secret rites of the Greeks” (13) play an important role: “Who does not seek to be initiated into such rites” (13), Pico asks. When Gnosticism had absorbed and transformed the mysteries in the Late Antique centuries, they served as magical avenues of escape from an intolerable creation. That is how Pico sees them. He forecasts the result when one has been initiated:

    Then Bacchus, the leader of the muses, in his own mysteries, that is, in the visible signs of nature, will show the invisible things of God to us as we philosophize, and will make us drunk with the abundance of the house of God . . . We, raised up in the loftiest watchtower of theology, from which, measuring with indivisible eternity the things that are, will be, and shall have been, and looking at their primeval beauty, shall be prophets of Phoebus, his winged lovers, and finally, aroused with ineffable charity as with fire, placed outside of ourselves like burning Seraphim, filled with divinity, we shall now not be ourselves, but He himself who made us. (14)

    The standard reading of Pico takes all this as metaphor, but Pico self-evidently means it literally. Pico not only has a theory of self-deification, but he has a practice as well, that of Cabalistic magic: so did his followers Giordano Bruno (1548-1600) and Robert Fludd (1574-1637). Of Bruno’s Spaccio della bestia trionfante (1584), Frances Yates notes how, in it, Bruno “is taking Renaissance magic back to its pagan source, abandoning the feeble efforts of Ficino to do a little harmless magic whilst disguising its main source in [Hermetica,] utterly flouting the religious Hermetists who tried to have a Christian Hermetism . . . proclaiming himself a full Egyptian who, like Celsus in his anti-Christian arguments . . . deplores the destruction by the Christians of the worship of the natural gods of Greece, and of the religion of the Egyptians, through which they approached the divine ideas, the intelligible sun, the One of Neoplatonism” (Giordano Bruno 214). Again, the standard reading would have it that Spaccio (“Expulsion”) is simply a defense of Copernican cosmography. Who but a throwback could be opposed to Copernican cosmography? Copernicus, however, took an interest in the astronomical, not in the “intelligible” sun. Bruno’s “beast” (bestia) is an amplification of Pico’s “fathers.”

    Vidal’s hissing version of Bishop Maris belongs to the same figural species: l’objet énorme de ressentiment. I see no reason why Rene Descartes’ epistemological Deceiver should be exempted from the same category, as he fills the same role of normative super-obstacle. No one can fully grasp the critique of the Magus-complex in Goethe’s Faust without some knowledge of Renaissance Neoplatonism and some acquaintance with its associated techniques. No one can fully understand Renaissance Neoplatonism without some knowledge of the Late Antique anti-Christian–that is to say, Gnostic–polemic and some acquaintance with its rhetorical methods.

    Yates traces from Ficino, Pico, and Bruno, among other things, the utopianism of The City of the Sun (1602) by Tommaso Campanella (1568-1639), and of the related, posthumous New Atlantis (1626) by Francis Bacon (1561-1620). In addition to forecasting the bonus to be gained from the technical manipulation of nature, the aspect of them that commentators seem to note to the exclusion of all else, both of these works also abolish normative social-moral values and settle a kind of materialist godhood on man. Campanella, for instance, dissolves marriage and replaces it with an amorphous but supposedly reasonable love. The Behmenist School in the German-speaking countries owes a debt to the Italian Magi, bringing New England Transcendentalism into the family tree through R. W. Emerson’s admiration of Jacob Boehme. A long-standing myth, given its specific form in Berthold Brecht’s treatment of Galileo, makes an admonitory theme of ecclesiastical hostility to science. The real question is not why the church was hostile to the emancipated researchers, but, in two parts, how far the researchers were really emancipated and why they were so hostile to the moral tradition, as embodied in the church.

    In picking up a cue from Kolakowski, whom I quoted earlier, I would mention a later, culminating derivation of the Magus-tradition, influential on Brecht: the well-known statement, uttered by another chastiser of Judaism and Christianity working in the Left Hegelian tradition, that the philosophers in their different ways used simply to explain the world, but changing it is what it’s all about. This statement too belongs to a reactionary religious fervor that claims to be neither reactionary–say rather, progressive–nor religious: say rather, scientific. It has been impossible, for the last one hundred years, to avoid its manifestations, even in so innocuous an adventure as going to graduate school in the humanities in an American university.

    14

    My own interest in these matters thus springs, as it must, from modest personal experience. It entails my humbling. I started graduate school, at UCLA, in 1984, just when the deconstruction orgasm became pandemic. I dutifully enrolled in Joseph N. Riddel’s seminars on “theory” and read my way through Heidegger, Derrida, De Man, Foucault, J. Hillis Miller, and Barbara Johnston. I wonder what a videotape of those seminars would show? A weird and repulsive thiasos, I am certain, with choruses and expostulations, as in the best Dionysiac or Televisual-Pentecostal performances. When I think back on our ignorance and our lack of humility, I cringe. I did my best, at the time, to participate in the mania and no doubt succeeded actually in being maniacal. A type of intoxication accompanies the brave discovery that the present constitutes the decisive moment for understanding and that all that has gone before is so much confusion, mendacity, and benightedness. Fortunately, while I tramped after Joe Riddel and the major arcana of post-structuralism I also kept up my Scandinavian studies with my Norwegian teacher Mary Kay Norseng, who had published on Ibsen and who usually taught the Ibsen seminar. Now Ibsen in fact figures in the story but incidentally. Here is the non-incidental gist: Professor Norseng subscribed to no “theory.” She merely read poems and novels and plays knowledgeably and sensitively. She wrote a lovely book about Cora Sandel, widely and appreciatively reviewed at the time. But the excitement pricked her curiosity, as any grotesque must. She asked me what it meant. I began to tell her about logocentrism and invaginated structures. When my torrent of polysyllables had run its eructative course a few moments, the professor leaned back in her chair and frowned. It was a withering frown. She said that she set store by me, but only when I made sense. She hoped that I would not couch the paper on Georg Brandes that I had promised her, as part of an independent project, in these “silly terms.”

    So, on a rare occasion, an ineffable grace salvages a life. One nevertheless throws off inebriation only with difficulty and throwing it off has taken me a long time. Only recently, for example, did it occur to me that Gustave Flaubert’s Dictionary of Received Ideas is not a satire of other people although in graduate school we used to cackle over it promiscuously as though that were the case.

    The deconstruction-orgasm formed one small hiccough in a long sequence of pseudo-philosophical hiccoughs starting, let us say, with Pico. That the modern period, however one dates it, is emphatically a period of ideas–moreover of vehemently contending ideas, the more misshapen the better–seems to me a self-evident proposition. A second proposition seems to me equally self-evident, that the typical modern intellectual is liable to being so consumed by whatever idea currently inebriates him that the idea predominates entirely and the person disappears into a welter of slogans, euphemisms, postures, reactions, insistences, shrieks, paroxysms, somersaults, indictments, capers, and formulae. The historical Julian disappears, in this way, into hisressentiment over the Galileans and into his fascination for the intelligible light of King Helios. Paul Johnson, in his Intellectuals (1988), says that that class of people, “far from being highly individualistic and non-conformist, follow certain regular patterns of behavior” (342), one of which is their attempt, when they form collectives, “to create climates of opinion and prevailing orthodoxies” (342). This brings us back to Emperor and Galilean, indeed, for while Johnson’s study rewards examination (I generally like his work), it strikes me as flawed in one quite particular respect.

    Johnson includes a chapter on Ibsen, in which he claims that “what Rousseau had done for the late eighteenth, [Ibsen] did for the late nineteenth century” (82). Johnson argues that “Ibsen preached the revolt of the individual against the ancien régime of inhibitions and prejudices” and that “he taught men, and especially women, that their individual conscience and their personal notions of freedom have moral precedence over the requirements of society” (82). As I read it, Emperor and Galilean argues exactly the opposite: it roundly criticizes the superbia of the ego and, while not precisely defending the doctrinal affinities of the mass of people, at least implies that the people have as much right as the intellectual to make up their own minds about important issues–that should they choose the Galilean, for example, it is their business, not his. I believe that the remainder of Ibsen’s oeuvre, right up to his last play When We Dead Awaken (Når vi Dode vågner) (1899), when re-read in light of Emperor and Galilean, upholds the same position. The omnipresent other of the townspeople is as much a scandal for Doctor Stockman–disastrously so–as the hygiene-crusader is for the townspeople in An Enemy of the People (Folkefiendet) (1882), a symmetry of offense little remarked in the criticism. Julian’s implicit “the majority is always wrong” becomes Doctor Stockman’s explicit motto, so articulated. This is Gnosticism in its modern, entirely secular variant. Stockman shouts his condemnation angrily when voted down by the town council. They will not permit him to save them from the evil of matter. When he persuades himself to do as he would, the namesake of Master Builder Sølness (1896), whose name contains the Norwegian word for the sun, promptly destroys himself, as do the two lovers in Rosmersholm (1886). Vigny and Vidal take Julian’s position: Judeo-Christian culture equals ubiquitous repression and is especially intolerable for sensitive people. Asked to explicate their doctrine, they can only point to the Solar Angels in their mute but convincing effulgence. They, not Ibsen, forecast the reign of the new, but really aboriginally old, reign of collective ressentiment mondial against the impersonal strictures of moral civilization.

    Ibsen, who gives my argument its armature, achieves something in Emperor and Galilean almost sui generis. I can think of only one other work even remotely like the Julian-drama, Flaubert’s Tentation de Saint Antoine, written in 1848, which its author then revised and published in 1874, the year after the appearance of Ibsen’s play. Both works may be seen as responses to Vigny. For Flaubert, as for Ibsen, Gnosticism is a problem that a sane society must regularly overcome. Anthony, in his desert retreat, meets a succession of erudite madmen, beginning with Mani, the Persian arch-dualist and Gnostic thinker par excellence, followed up in rapid succession by Marcion, Bardesanes, Cerdo, and Valentine. Valentine’s delirious panegyric to “le plus parfait des êtres, des Éons, l’Abîme, [qui] repose au sein de la Profondeur avec la Pensée” (La tentation 95) might be transplanted to Emperor and Galilean and given, say, to Maximus, without upsetting the integrity of Ibsen’s play. As is the case with Ibsen, one might plausibly read Flaubert’s oeuvre as a prolonged meditation on the intellectualist theme. Where Saint Anthony of the Desert manages to deflect temptation, Emma Bovary yields to it: she allows herself to be overcome by the low-grade ideas in the low-grade books that she reads. Frédéric Moreau’s Bohemian associates in L’éducation sentimentale regard themselves as an ontologically superior esthetic cum spiritual sodality although, because Flaubert shows them to us from the outside, their conceit remains unconvincing. When revolution breaks out, they believe themselves to be participating in a sudden, alchemical transformation of the cosmos, but they cannot even transform themselves–even to the small extent of tidying up the wretched little shop that provides their income.

    15

    Neither Flaubert nor Ibsen has a theory, which is why critics accuse them of negativity, especially Ibsen. The accusation is unfair, as neither of them is, so to speak, an “anti, “as theoreticians invariably are. Yet both are acute observers of life and careful recorders of experience, determined not to falsify the world in order to flatter a prejudice. Both, finally, but Ibsen most of all, see in modernity a great, disturbing fervor which, if it were not religion, would nevertheless be something akin to it, an apocalypse not of the heavens but of the self, not of external moral restraint but of the will, not of the “is” but of the “ought.” We live, by annoying continuous negotiation, in the tangled mischief of such pretensions.

    Works Cited

    Ammianus Marcellinus. Translated by W. Hamilton with an introduction and notes by A. Wallace-Hadrill. The Later Roman Empire (A. D. 354-378). New York: Penguin, 1986.

    Anonymous. Translated by Everard. The Divine Pymander of Hermes [Hermetica]. (Reprint of the 1650 edition.) San Diego: Wizard’s Shelf, 1978.

    Augustine. Translated by H. Betteson with an introduction by J. O’Meara. City of God.New York: Penguin, 1984.

    ————. Translated by R. S. Pine-Coffin. Confessions. New York: Penguin, 1984.

    Georg Brandes. Translated by J. Muir; revised by W. Archer. Henryk Ibsen. New York: Benjamin Blom, 1964. (Reprint of the Macmillan 1899 edition).

    ————. Translated by W. Morrison. Main Currents in Nineteenth Century Literature,vol. VI, Young Germany. London: Heinneman, 1905. (Originally in Danish, 1871).

    Robert Browning. The Emperor Julian. Berkeley and Los Angeles: University of California Press, 1976.

    E. R. Dodds. Pagan & Christian in an Age of Anxiety: Some Aspects of Religious Experience from Marcus Aurelius to Constantine. New York: Norton, 1965.

    Eunapius (and Philostratus). Translated by W. C. Wright. The Lives of the Sophists. New York: Putnam (Loeb Classical Library), 1921.

    Giovanni Filoramo. Translated by A. Alcock. A History of Gnosticism. Cambridge, Massachusetts: Blackwell, 1992.

    Eric Gans. Originary Thinking: Elements of Generative Anthropology. Stanford, California: Stanford University Press, 1993.

    ————. Science & Faith: The Anthropology of Revelation. Savage, Maryland: Rowman & Littlefield, 1990.

    ————. Signs of Paradox: Irony, resentment, and Other Mimetic Structures.Stanford, California: Stanford University Press, 1997.

    Georg Wilhelm Friedrich Hegel. Translated by C. J. Friedrich. The Philosophy of History.New York: Dover, 1956.

    Henryk Ibsen. Translated by J. W. McFarlane and G. Orton. Ibsen, vol. IV, The League of Youth and Emperor and Galilean. London: Oxford University Press, 1963.

    ————. Translated by J. N. Laurvik and M. Morison. The Letters of Henryk Ibsen.New York: Duffield and Company, 1908.

    Brian Johnston. To the Third Empire: Ibsen’s Early Drama. Minneapolis: University of Minnesota Press, 1980.

    Hans Jonas. The Gnostic Religion: The Message of the Alien God and the Beginnings of Christianity. (Second Edition, revised) Boston: Beacon Press, 1963.

    Julian. Translated by W. C. Wright. Works, Vols. I, II, and III. Cambridge, Massachusetts: Harvard University Press (Loeb Classical Library), 1998.

    G. L. Keyes. Christian Faith and the Interpretation of History: A Study of St. Augustine’s Philosophy of History. Lincoln: University of Nebraska Press, 1966.

    Halrdan Koht. Translated and edited by E. Haugen and A. E. Santanello. The Life of Ibsen. New York: Benjamin Blom, 1971.

    16

    Leszek Kolakowski. Modernity on Endless Trial. Chicago: University of Chicago Press, 1990.

    Giovanni Pico Della Mirandola. Translated by C. G. Wallis et al. On the Dignity of Man, On Being and the One, Heptaplus. New York: Bobbs-Merrill, 1965.

    Friedrich Nietzsche. Translated by R. J. Hollingdale. Twilight of the Idols and The Anti-Christ. New York: Penguin, 1985.

    Porphyry (Malchus of Tyre). Edited and translated by R. J. Hoffman. Against the Christians. Amherst, New York: Prometheus Books, 1994.

    Oswald Spengler. Translated by C. F. Atkinson. The Decline of the West, vol. II, Perspectives on World History. New York: Knopf, 1928. (204).

    Gore Vidal. Julian: A Novel. Boston: Little, Brown and Company, 1962.

    ————. United States: Essays 1952-1992. New York: Random House, 1993.

    Eric Voegelin. History of Political Ideas, Vol. I, Hellenism, Rome, and Early Christianity.Columbia: University of Missouri Press, 1997.

    ————. Modernity without Restraint. Columbia: University of Missouri Press, 1997.

    Francis A. Yates. Giordano Bruno and the Hermetic Tradition. Chicago: University of Chicago Press, 1964.

  • High and Low Esthetics

    If the fundamental difference between high and mass/popular culture is that popular culture indulges resentment and high culture defers it, what does this imply about the defining intersubjective relationship between creator and consumer? The sacrificial system is run by the center for the benefit of the periphery; the central deferral of resentment permits the indulgence of resentment by the peripheral sacrificers, who are nonetheless under central control. The victim is an embodiment of the sacred sign whose destruction reaffirms its timeless meaning as the “name of God.” Popular culture has the structure of the “inauthentic,” that is, of resentment: the periphery depends on the center, but this very dependence provides the security to attack it. In order to understand the possibility of popular culture, we must show how the resentful peripheral mind can become the master of the esthetic scene. It is not enough to identify with the perpetrators of the sparagmos; we must explain how one of their number can tell his story of the sacrifice, and why this is the version most of us prefer to listen to.

    The original cultural dichotomy is that between sacred and secular, preserved in modified form in that between tragedy and comedy. The “absolute” difference between sacred and profane cannot prevent its reduplication within the profane domain itself, involuntarily in the structure of desire, voluntarily in that of art. In religious ritual, one follows the dictates of the central will; the lesson is deferral, and whatever pleasures are experienced concurrently or subsequently exist in order to instill this lesson. The ritual moment exists in order to liberate the participants from the sacred scene; thus the profane world is not in the first place “cultural” at all. But the scenic structure of desire is independent of ritual; it is the fundamental structure of the human. The scene of secular culture is that of private desire, desire that does not collect the entire community behind it. Love-songs go back to ancient Egypt and beyond; it is too simple to say that their purpose is seduction, but not too simple to point out that their function is the inverse of that of religious ritual; not to use appetitive satisfaction to teach the lesson of deferral, but to make the deferral effected by representation a means to the satisfaction of appetite.

    Whereas the solidarity accomplished by religious rites is obtained by a turning away, however temporary, from the appetitive, the festival makes the appetitive itself a source of solidarity, on the condition that it be contained within a context furnished by ritual. A festival is not a secular event in the modern sense of the term; it is a profane complement to sacred ritual, Mardi Gras before Lent. Festival is a ritual conducted from the point of view of the periphery, where deferring appetite can await its later imposition by higher authorities. Thus the festival does not tell a story, but enacts its own loosely structured temporal sequence. Its typical manifestation is the parade, with a beginning and an end, a semblance of linear progression, but no narrative series of meaningful events that occurs in and defines a life. Traditional popular culture does not deal in totalities; like the satyr plays added to tragic trilogies, it offers comic relief from high-cultural rigor. High culture reinforces and justifies the social order as a whole, whereas popular culture leaves the totality to those in charge and concentrates on relieving the resentments of those who are, whether justly or unjustly, excluded from major responsibilities. The traditional approach to popular resentment, what Bakhtin called the carnivalesque, is incompatible with the development of individualized characters whose experiences in the world of desire are objects of cumulative mimetic identification, so that we “live their lives” rather than experiencing their resentments and satisfactions as a series of singular events; the concept of “plot” is a high-cultural notion.


    In bourgeois society, economic and political power is more diffuse than in traditional society, and one might therefore expect the high-popular dichotomy to become less sharp. This is indeed borne out by the history of bourgeois genres such as the novel or the melodrama. However, the “rivalry of all against all” in a society where caste distinctions are blurred revalidates the notion of a high secular culture that is not merely aware of its sacred responsibility to the totality but anxious to impose a hierarchy of cultural prestige–as witness the long-ambiguous status of the novel, the supreme bourgeois genre, which consequently lacks inherent signs of such prestige. The cultural hierarchy superficially reinforces social distinctions, but its real effect is to permit their diffusion, just as the sign permits the common possession of the sacred center. Because cultural representations cannot withhold themselves from anyone who acquires the knowledge to understand them, culture is essentially democratic: the arts are “liberal.” But cultural knowledge is not an all-or-nothing proposition, and a little learning is a dangerous thing. It should therefore not surprise us that the bourgeois era gives rise to mass popular forms that emulate the structures of high art. It is in fact in this era that high-popular tension begins in earnest.

    The mass popular culture that emerges in the nineteenth century with the generalization of literacy as well as of at least nominal political power is more than a naive expression of popular resentment; it imitates the cultural forms hitherto reserved to the high culture. We encounter here for the first time a popular version of life-destiny that, whatever its crudeness, provides existential models for everyday life rather than limiting itself to the punctual realization of resentful fantasies. These latter are by no means excluded, but they are integrated into a storyline with pretensions to temporal continuity. Complementary to the high-cultural deferral of resentment through renouncing the illusions of desire, there appears a mode in which resentment is not simply discharged in carnivalesque fashion but recuperated by a worldly praxis.

    This phenomenon corresponds on the cultural plane to the development of a “legitimate” left-wing politics–the parliamentary liberalism decried by Marx and his Bolshevik disciples. No doubt liberals exploit the existing social order by calling on it to favor those who have its overall interests least at heart; but precisely, a democratic society is one whose primary purpose is fostering the desires of individual citizens rather than the other way around. Such a society gives priority to recycling the most passionate resentments in order to assure the maximal circulation throughout its citizenry of desires as well as the goods and services that satisfy them; the more effective the society, the more “irresponsible” its Left can become.

    Popular culture itself is not from the beginning on the left. Right-wing populism is its dominant mode up to World War II and beyond; the Left’s definitive triumph occurs only after 1968. Even today, the zero degree of popular narrative is the thriller where a few good guys destroy countless bad guys. Sometimes, of course, the bad guys are working for the CIA, but their adversaries are as a rule patriotic citizens, not disciples of Noam Chomsky. The right-wing populist is suspicious of high culture, always suspected of falling into decadence; he seeks to renew the solidarity, and to revive the cultural legacy, of pre-cultural, “compact” societies.

    Yet right-wing populism stricto sensu, usually coupled with antisemitism, is not a stable mode in mature market society. (Its–relatively non-virulent–recrudescence in Europe today reflects the fears for this “maturity” provoked by the influx of large numbers of immigrants seen rightly or wrongly as unwilling to integrate themselves within it.) In contrast, socialism on the Left–in principle more radical, since its ultimate intention is not simply to create communal solidarity but to abolish the market–in fact accommodates itself easily to the parliamentary system as soon as it becomes something less than fanatical. Socialism’s victimary attitude is well-suited to legislative debate, particularly in the postmodern era where victimary rhetoric is a reliable source of votes. In contrast, right-wing populism, anchored in the pre-WWII era, is not essentially victimary; it uses the sense of injustice to stir up its partisans, not to impose white guilt on its adversaries, of whom it asks no favors, treating them with contempt and worse.


    Mechanically separating inside from outside, central from peripheral esthetics misses the real point of the distinction between high and popular culture in the modern era. Whatever one can say about the naiveté of the “masses” in traditional societies, in modern society everyone has access to more or less the same insights about the overall social structure. The peripheral consciousness with which we identify in modern popular culture is not naively so; the esthetic choice of peripheral resentment is also a political choice. The reformulation of a temporally coherent praxis from the perspective of the social periphery not merely ignores the sacrality of the social order, it denies it by appealing to the originary intuition that reciprocal exchange is the essential mode of human interaction.

    Because in modern culture, the ostensibly distinctive forms of high or low culture are consciously chosen signs rather than organic emanations of their content, there are consequently no reliable formal criteria by which to evaluate a given work’s adherence to a total or partial vision of the social order. The high-low distinction itself, and even its survival, become thematic elements of the works themselves, means of situating them in the cultural marketplace. Rather than consecrating the ordre établi, the artwork has the task of imposing via the esthetic effect its creator’s vision of the social order. This does not prevent rereadings of the latter, as exemplified by the recuperation of Balzac by Marxist criticism. It should not be forgotten that when Lukács transforms Balzac the conscious monarchist into an unconscious revolutionary, he is reinterpreting a subtext, demonstrably present in the novels, that contests the social order in its present form. Significantly, this approach cannot be extrapolated without a good deal of question-begging to the interpretation of pre-modern texts, for example in Lucien Goldmann’s controversial readings of Racine’s “Jansenist” plays–and even then, the implicit critique of worldliness is transcendental rather than political as such.


    The most striking indicator of the parlous condition of high culture today is that the more the artwork calls attention to its “high” status, the less esthetic effect it produces. The plastic arts, whose emphasis on the singular artifact effectively excludes the general public–museum-going treats the spectator like a student; galleries intimidate those who can’t afford to buy; public art is seldom experienced as “ours”–notoriously present as artworks, in a “democratically” snobbish gesture, objects chosen to demonstrate that art is not inherent in the work itself but is an effect of its presentation. This is also true of the more radical forms of music, experimental film, theater and the like.

    I think the best place to find masterpieces in our era of “no more masterpieces” is in the cinema. Film is the only medium not stifled by absolute masterpieces set beyond competition. No one can hope to outdo Bach, Mozart, Beethoven, Shakespeare, Dante, Cervantes, Michelangelo, Leonardo… or even Proust, Joyce, Stravinsky, Cézanne. But film is still open; for my money Claire Denis’ Beau travail, made in 1999, is as good as any French film ever made. I will deal with the distinctive qualities of cinema in a future Chronicle.


  • My Book about Carole Landis

    For over a year I have been gathering data about Carole Landis in preparation for a book that I await only family data to begin writing. After watching all her films, viewing hundreds of her photographs, and reading the few significant things written about her as well as most of the insignificant ones, I know Carole very well–on the surface. Carole wrote a good deal more for publication than most movie people; how many of us publish a book, albeit ghost-written, at 25? But her writings resemble what her conversations must have been; breezy, witty, guardedly superficial, not because Carole was herself superficial, but because she never found an outlet, save in her sister and a very few friendships–certainly not her husbands!–for what was in the depth of her soul. I doubt if her diaries, did they still exist, would reveal much more. How does one discover what is in the depth of Carole’s, or of anyone’s soul? What more can I do than begin at the beginning and end at the end, able sometimes to cite her words, at others only to describe her actions, or else presuming to invent words to go with these actions, as though one had the right to make another human being into a literary character?

    Despite the easy cliché that appearances are deceiving, the best way to show who Carole is by showing her. At one point early in this project a friend suggested I write a coffee-table book with glossy pictures dominating the text. He later changed his mind, but he was on the right track. Carole gives proof, living proof, that the human image reveals human truth, that representation is rooted in presence. Few things seem more different than a beautiful woman and a theory of human origin, yet Carole is the exemplary incarnation of the originary paradox: desire’s dependency on, and denial of, representation. It is sad that all we have left of Carole are representations; but even the beauty of a living being is a mediated experience. We should not call a woman beautiful unless we feel called upon to look at her as if at a picture, as an object of worldly desire enshrined within the aura of the sacred. The beautiful object, human or not, withholds itself from our desire, maintaining its integrity as an object for contemplation rather than possession (Kant’s “disinterest”). Because the moment of esthetic contemplation is not a “behavior,” it does not dictate whatever action may follow it, from aggression to flight, from worship to insult.

    Aware that beauty withholds itself, the beauties of Hollywood’s glamour age were led to capitalize this withholding by embodying it as attitude–a strategy that has become only more insistent in the era of the pout that began in the fifties with Brigitte Bardot and is today far from ended. Carole’s sexual attractiveness was too powerful to dissemble or coquettishly withhold. At her death some called her the original “sweater girl,” but although Carole’s figure was far more spectacular, arguably Hollywood’s most beautiful ever, the term was created for Lana Turner, a studio-named and -manufactured beauty, a good-bad girl all the way to middle age while Carole was from the beginning a woman.  Neither tease nor femme fatale, Carole never hoarded her beauty to increase its value–understanding that because it is representation that withholds, she herself has no need to, that, on the contrary, the situation of public beauty, beauty en représentation, allows her to give herself generously to all as she cannot in real life. It was this understanding that prepared her to perform selflessly for soldiers during the war. The withholding that belongs to the form of representation permits her to offer herself to others as a gift of love, in the timeless present of what some call the immortality of the soul. As with her other good deeds, Carole never sought compensation or recognition for this greatest gift of all. But her uncalculating generosity, although compatible with the esthetic of photographic and even filmic representation, stood in contradiction with film’s narrative closure and the commercial culture it supported.

    One might think that the promotion of physical beauty requires no explanation; if “sex sells,” then the sexier the better. But there is a history of beauty as of everything else, and Carole emerged at just the time and place in which sexual beauty received its most powerful expression–a “good fortune” that unfortunately did not prove compatible with Hollywood’s requirements for stardom. There was just enough ambiguity in the situation to allow for the miracle of Carole’s public presence, and a miracle it was, however tawdry the roles to which Carole was confined by the studios.

    Facile Hollywood cynicism, whether it reduces Carole to “a lovely torso, not an actress” (Time obituary, July 19, 1948), or on the contrary, condemns the studios for the meretricious callousness that destroyed so many “Babylon women” or “fallen angels” (Lupe Velez, Marie McDonald, Maria Montez, Barbara Payton, Inger Stevens, Jean Seberg, Linda Darnell, and of course, Marilyn Monroe), misses the point, as it always does. Because human beings are inherently resentful, the world is not a perfect place, but their resentment is the source of the very notion of perfection. When we look at Carole in photograph or film, we cannot admire her unique beauty without acknowledging Hollywood’s indispensable role in its creation. As the old philosophical saw has it, a tree that falls in the forest doesn’t make a noise if there is no one around to hear it. Frances Ridste the San Bernardino housewife could not be publicly beautiful; glamour requires publicity, with all the trappings of clothing, makeup, lighting and the rest that the production of public effect justifies.

    My affinity with Carole not only grants me the degree of psychological identification necessary to be able to write about her, it provides a link between the trivial contingencies of time, place, and personality and the seemingly outrageous generality of my own theoretical pretensions. My acquaintance with Carole, this woman so wondrously different from myself, gives me a confirming hint of the mysterious emergence of spirit from matter, of transcendence from immanence. I need not experience first-hand the mise-en-scène that prepares the belle victime for the sacrifice; Carole is herself my mise-en-scène.

    I understand and accept Carole’s success only because I share her failure, although academic tenure, and the domestic happiness that always eluded one who constantly overwhelmed reciprocity, make drastic solutions unnecessary. Carole failed in Hollywood not because she was a “bad actress,” but because her presence was too extraordinary for the actor’s mask. All movie stars play themselves, but Carole’s self was compatible only with her own story. Carole played Carole most explicitly in two films: I Wake up Screaming and The Powers Girl. In the first, she is an ambitious New York waitress who wins a screen test in Hollywood but is sacrificed before she can leave, and before the film begins, to the desire of all the male characters, most memorably the investigating detective (played by Laird Cregar), whose apartment walls, not unlike my own, are covered with pictures of Carole (the protagonist, Victor Mature, is falsely accused of her death because he alone is relatively indifferent to her charms). Carole’s flashback image, including a filmed song, dominates the film, to the real-life discomfiture of Betty Grable, its purported star. This minor 1941 film noir was the high point of Carole’s career. A year later, her role in The Powers Girl is a caricature of the previous one. Carole’s ambition, her beauty, even her hairdo are turned to ridicule in this nasty comedy of which she is the eponymous, yet third-billed, anti-heroine. The only story Carole could have won an Oscar for is one she could not have made: The Tragedy of Carole Landis, the story of “the most beautiful girl in the world,” too magnificently, generously present for the deferral required by fiction.


    Carole was so beautiful that she never developed a sense of strategy. She freely admitted being “brazen” at the start of her film career; “Hollywood didn’t discover me,” she said, “I discovered it.” Carole was breezily confident that she could get herself noticed wherever she went, then succeed through talent, intelligence, and hard work. Learning about Carole makes me realize that I too lack a strategy in life, that my reliance on my “one big idea,” like Carole’s on her beauty, has led me to treat the details of professional life as tactical problems to be dealt with as they arise rather than elements of a long-term plan. Our professional standing is similar; modestly successful but never chosen for the big roles. Carole and I share the same constitutional incapacity for planning to gain and maintain power, the same conviction, however often belied by experience, that our uniqueness makes strategy unnecessary. The “beauty” of my one big idea owes its force to this lack of strategy, as does the unifying grace behind the multiple modes in which Carole revealed herself to us. Carole never needed to cultivate her image; she was beautiful in any context, and her frequent changes in look and hairstyle testify to her self-confident unconcern for preserving an outward formula of beauty. Carole couldn’t be bothered with fostering illusion; she knew her reality would always suffice. If she, or I, were otherwise, we would lose our uncompromising absoluteness.

    Yet no one could be more different than Carole from myself. The rightness of my ideas is guaranteed only by their internal logic, whereas Carole’s appeal is rooted deep in the human brain. Whatever the mediations of resentment that move us back to the “democratic” norm, Carole’s exceptional beauty is an unforgettable demonstration that qualitative, transcendental difference is inherent, originary quality of the human.

    It reconciles me to mortality to know not only that Carole existed, but that traces of her public beauty have been preserved for posterity. A friend of mine who, I am proud to say, first became acquainted with Carole through my website, has vowed to leave flowers on her grave every January 1 for the rest of his life. If my book fulfills its purpose, there will forever be fresh flowers on Carole’s memory.


  • Why Art Defies Analysis

    After many years interpreting literary texts for publication and in the classroom, I am struck by two things: how much one can say about them, and how recalcitrant they are to any kind of rigorous analysis. As I recall, when Tzvetan Todorov attempted to write a “grammar” of the Decameron some decades ago, the only general formulation he could come up with was that at the core of each story was a sui generis element for which no general pattern could be formulated. The various attempts at a “science of literature” in the 1960s and 70s were even less successful than the Chomskian efforts to reduce language to a computer program. Although certain esthetic effects are predictable and categorizable, the millions of hours thousands of intelligent people have spent analyzing cultural phenomena have given rise to no generally agreed upon set of models. It is perhaps not surprising that art has not improved over the centuries, but one might have expected thinking on the subject to have made a little progress.

    Art stands in contrast to religion, whose operations are not merely relatively understandable but fall into a cumulative historical progression, a kind of Hegelian dialectic. Religions operate through moral revelations that reinforce and build on each other; art changes form throughout history, but only in order to produce the same fundamental effect. Hence although there are religions that we perceive as primitive and superseded, we never perceive art that way; we continue to admire the paintings of Altamira and Lascaux although we have long abandoned the kind of sacrificial ceremonies for which we must presume they were created.

    As soon as narrative liberates itself from ritual, it becomes susceptible of the highest esthetic values. If the Gilgamesh Epic is still transitional (and linguistic and textual difficulties add to the effect of estrangement), the Homeric epics are sufficiently accessible for us to recognize them as unsurpassable. Yet this in itself requires some explanation. Why are we so quick to find “unsurpassable” masterpieces? Why do we so easily reach a point at which we give up seeking something better, no longer desire to find something better, as if we had fallen in love? The answer is that our relation to the artwork is not the formal relation of a subject to an object but a “triangular” intersubjective mediation–on which we depend all the more the less we profess belief in the Subject.

    Art, like love, defies analysis. Our commitment to the mediation of the artwork is not, however, a promise of reciprocity like that shared by a lover and his beloved. We worship the artwork from afar; its governing subjectivity is modeled on divinity. The esthetic reveals and exploits the sacred that lies at the center of our internal scene of representation, whether we “believe in God” or not. The human imperative of equality begins from a position of absolute difference. The moral model of reciprocal exchange, of which language supplies the originary example, is conceivable only on the periphery of a sacred center. The institutions through which we attempt to realize this reciprocity, notably the “free” market, all imply this preexistent center that history neither abolishes nor even demystifies, but disseminates, to use a Derridean figure. What is being disseminated, however, is not the placeless Subject of metaphysics but the center of sacred ostension and interdiction that is at the origin of the human.

    As soon as we realize that our relationship to the artwork is a modality of unreciprocated mediation (external mediation in Girard’s old terminology), we have half unraveled the mystery of its inaccessibility to the analysis that “murder[s] to dissect”: our inability to objectify the artwork stems from our inability to model our subject-object relationship to it independently of our mediation by its implicit creator.


    The other half of the mystery is that of temporality. Esthetic mediation takes place in time, as do the richest and most culturally significant esthetic experiences; yet it is not accidental that “art” and “esthetic” are terms most naturally applied to works of plastic art, or objets d’art. The objet d’art is analogous to the originary central object: it focuses desire on itself as both representational form and imaginary, inaccessible content–in the general case supplemented by a contextual authority of place, church or museum, or minimally, the (wealthy, well-ordered) home. Its apprehension has no temporality of its own because it is analogous to the object of the quest from which temporality itself is constructed. Its originary model is the subsistence of the center beyond ritual in a divine being of which the artwork is the reminder. The plastic artist’s subjectivity exercises its mastery over us through this memorial function, as the surrogate of the divinity whose transcendent being guarantees the sacrality of the central object of desire.

    Mastery exercised only in the moment must be virtually prolonged; the deferral of violence is necessarily a durational phenomenon. Hence the most overt model of the temporality of esthetic experience is that of narration, whose one-sided exchange of language between narrator and listener follows the periphery-center structure of the originary event. This model contrasts only superficially with that of the communal rituals in which all participate; by the nature of ritual, such participation is conceived by the participants themselves as obedience to a law or norm–ultimately, to a central will. This notion of the will is crucial in all intersubjective relations.

    Let me digress for a moment to anticipate the objections of postmodern thought bent on undermining the authority of the central subject. The anthropological intuition behind this enterprise, which Derrida alone can be said to have articulated with any degree of subtlety, is that the center is not indeed constituted from eternity, but revealed within a (proto-)human context. (Having given birth to the very notion of “eternity,” this context supplies no victorious argument for either theism or atheism.) The authority of the author is only human and therefore, vulnerable to attack–who set him up as the master of discourse? But resentment of the central figure only reinforces its domination. The subtlest maneuvers of deconstruction bring satisfaction in what we must learn to recognize as an all-too-crudely human context: the agon in which the critical thinker seeks to humiliate his philistine bourgeois opponent. Deconstruction has the sacrilegious structure of the black mass: brûlez ce que vous avez adoré, which is nothing other than the structure of resentment in general. The dark secret of postmodernism is that not only its axiology of liberation but its epistemology of unveiling are based on resentment.


    Storytelling is the archetype of the esthetic relation because it explicitly realizes the mastery over time that is the key to all interpersonal relations. In narrative, the narrator’s transcendent mastery is realized from moment to moment in the telling of the tale. We listen in order to hear what follows, and we care to hear what follows because we know it as the continuous expression of the same will, giving proof that the will that imposes the meaning of the sign is capable not merely of maintaining its control through time but of transforming time itself into a revelatory process. We learn from narrative the magic lesson–the lesson that Plato’s Socrates always taught but could never articulate convincingly–that the agon of conflicting and incompatible desires is in reality the product of a single will. The narrative of crisis and resolution attaches us to the transtemporal subject whose origin it reproduces.

    We cannot provide a formula for this narrative pattern for the simple reason that we cannot experience narrative without surrender to the mediation of the narrating subject, whose freedom we cannot presume to confine. If we could generate stories by computer, they would come alive only when we, imaginarily or otherwise, endowed the computer with a desiring will. Cultural analysis addresses itself to the work, but its real object is the subjective mediation that the work facilitates. For the real locus of esthetic experience is not the esthetic object, but the mediations it embodies. These mediations lie on the interface between universal anthropology and historical particularity. There is no surer way to define this interface at a given time and place than through the artworks themselves; the worldly materials of desire and transcendence, before becoming the object of a theoretical model, will be tested by the tales they inspire. Could cultural analysis outwit the artist’s subjective mediation, it would replace culture itself.


  • The Youth Culture – Fifty Years Later

    I sometimes reflect on the fact that I belong to the last generation that knew an era yet untouched by television and ball point pens, let alone calculators, copy machines, computers, cell phones…. But a recent article bemoaning the dominance of adolescent modes in American culture recalled to me a fact more relevant to our current predicament (culture is always in a predicament except in rare moments of apotheosis): that I belong to the last generation to reach adolescence before the onset of the youth culture. I was in junior high school at the birth of rock’n’roll, when my urban teenager friends began trying to talk and dress like rural southerners, abandoning the imitation of the rich and famous for that of the poor and commonplace. Perhaps needless to say, the new music and what it stood for were incompatible with Bronx romanticism. Not that I preferred the excruciating insipidity of those old Hit Parade songs, best exemplified by Patti Page’s “How Much Is That Doggie in the Window? (woof, woof),” which were themselves addressed, if not to adolescents, then to young adults in a state of terminal complacency. Setting aside the twenties and thirties tunes I heard my mother sing while helping her with the dishes and a few more recent exceptions, I simply opted out of musical popular culture.

    The point of these details about the moi haïssable is to claim for myself a certain historical privilege; no one more than a year or two younger than I has come of age in a world where popular culture was not specifically geared to the expression and purgation of postwar adolescent resentment, the kind that remains adolescent rather than following the etymology of the term and becoming adult.


    What is culture for, anyway? Why does this agricultural metaphor refer both to a “cultural” segment of our society and in a less colloquial context, to the social order as a whole? Culture in both senses serves to keep humans from killing each other, or as I prefer to put it, it brings about “the deferral of violence through representation.” Cultural activity in the narrow sense is a profane supplement to religion, specifically geared to deferring mimetic violence the propensity for which defines us as human on the condition that we defer it long enough to profit from our mimetic abilities. Culture in this sense consists of a privileged set of representations that attempt to reproduce in profane experience, that is, esthetically, the effect of the originary scene. This reproduction is effected by the oscillation between the representation and its imaginary referent: the representation evokes the referent, but the referent cannot be contemplated without the representation; we assimilate the signs of art in order to stage on our internal scene of representation the imaginary world they evoke, but at every moment of this staging we return to the artwork in order to reinforce the presence of this imaginary world. The artwork deliberately, as do all objects of esthetic experience implicitly, attracts our desire into a world devoid of appetitive satisfaction, where the only pleasures are those of desire itself. This lack of appetitive satisfaction explains why the artwork cannot be transparent to a (propositional, moral) “meaning.” The mediation of a unique artistic will–which we postulate even where its association with any individual is problematic, as with the auteur of a film–is essential not merely to reinforce our perception of the esthetic content but to establish this content in the first place, just as the meaning of the first sign was established in the originary scene.


    The notion of originary will merits a discussion of its own, given that it is the real bone of contention between those who believe in God and those who do not. The cosmology of religious belief is more metaphoric than substantial; the force that “moves the sun and the other stars” at the end of the Paradiso provides no epistemological basis for distinguishing between a conscious and an unconscious agent, so that Ockham’s razor dictates that we prefer the latter. But in human affairs, it is impossible to eliminate conscious will from the “arbitrary” choice of the sign and its meaning. This is not a logical necessity but an anthropological one; language is born as an act (the “aborted gesture of appropriation”) of the several participants in the originary group that demonstrates their renunciation of a central object, an act that is taken as/becomes/is at the same time the collectively understood emission of a sign-of that object. This new intention of the individual members of the group binds the sign to its referent, so that the aborted gesture of appropriation becomes invested with the “meaning” of the object. But the source of the participants’ intention is outside them, in the object, ultimately in the subsisting center itself. It is this central will that presides over the scene as God. The artist’s will occupies the same place in the artwork, as the mediator of the desires aroused within it–and its subjective unity, like that of God, is vulnerable to contestation, as postmodern critical theory has shown us ad nauseam. Artistic representation is no mere perceptual mnemonic reinforcement of our imagination; when we return to the representation from our imaginary construct it is not the artwork as such but the artwork as intended by the artist that reinforces our desire.

    When we speak of a “youth culture” we are referring to a particular quality of this mediating will that defines our desire as adolescent. The adolescent is a consumer who does not (yet) produce; whereas the traditional notion of adolescence was the preparation of adult life, the imaginary realm of modern youth culture presents itself as a permanent refuge from adult life. The dominant role of the youth culture in our society is due to this utopian dimension, which offers a solace for resentment unattainable in an imaginary world that has compromised with the marketplace. The youthful revolt against the exchange system, by the very fact that it takes place within the system itself, gives it a paradoxical guarantee of authenticity. Resentment is the denunciation of a scenic configuration by those who participate in it; youth culture is the privileged mode of expression for the resentment of the victimary era. I have pointed out elsewhere the particular role of America’s Black population as providing a guarantee of authenticity to the popular culture of revolt and in particular to the youth culture, a role that has maintained itself for over a century and that shows no signs of flagging in the era of hip-hop.


    The broader revelation of the dominance of postmodern culture by its youth is the essential immaturity of popular culture and at the limit, of culture itself. Rather than contenting himself with the endless mediations of the exchange system, the consumer of culture requires and obtains closure, or in other terms, sacrifice: the generation of transcendence or “meaning” from within the world. In the past, culture’s immaturity was on the side of history, not of the individual; as in Hegel’s vision of tragedy, the cultural imagination showed the world its moral future. Conversely, today the maturity of human history is reflected in the immaturity of its sacrificial culture. I commented in Chronicle 211 on the extraordinary sales of the Harry Potter series; the only cultural desire powerful enough to impose an epic-length narrative on the general population is not even that of adolescents, who prefer to act out their desires in increasingly elemental music, but that of children.

    The oft-remarked coarsening of our cultural lives, in every domain from popular spectacle to everyday dress, reflects the immaturization of resentment in the postmodern era; the increasing remoteness of a credible long-term utopia is compensated for by the provision of increasingly short-term satisfactions–culture with ADD. (Whence the fascination on all levels, from oversize jeans to the Sopranos, with the criminal element, whose lives are dominated, as ours cannot be, by the search for immediate gratification.)

    But the salvation of popular culture is that at any point, and in unexpected ways, real beauty can emerge within it. There is no fictional situation so simplistic that the complexity of human relations cannot be retrieved from it, no resentment so radical that love cannot be generated from its transcendence. So long as life can be lived, it can be affirmed. What one learns in getting old is that maturity is nothing but immaturity deferred.