THE ACT OF CREATION

by
Arthur Koestler


AUTHOR'S PREFACE
The first part of this book proposes a theory of the at of reatio! "" of the o!sious a!#
u!o!sious proesses u!#erlyi!$ sie!tifi #iso%ery& artisti ori$i!ality& a!# o'i
i!spiratio!( It e!#ea%ours to sho) that all reati%e ati%ities ha%e a basi patter! i!
o''o!& a!# to outli!e that patter!(
The ai' of *ook T)o is to sho) that ertai! basi pri!iples operate throu$hout the )hole
or$a!i hierarhy "" fro' the fertili+e# e$$ to the fertile brai! of the reati%e i!#i%i#ual,
a!# that phe!o'e!a a!alo$ous to reati%e ori$i!ality a! be fou!# o! all le%els(
A!yo!e )ho )rites o! a o'ple- sub.et 'ust lear! that he a!!ot ai' o!e arro) at t)o
tar$ets( *ook O!e is ai'e# at the $e!eral rea#er, so'e of the hapters i! *ook T)o
presuppose a loser a/uai!ta!e )ith urre!t tre!#s i! biolo$y a!# e-peri'e!tal
psyholo$y& a!# are rather teh!ial( There is a! u!a%oi#able #iffere!e i! style bet)ee!
the t)o parts0 i! the first& I a%oi#e# pe#a!try at the ost of oasio!al lapses i!to a loose
ter'i!olo$y, i! the seo!# this )as !ot possible( Rea#ers )ho fi!# ertai! passa$es i! the
seo!# part too teh!ial a! safely skip the' a!# pik up the threa# later o! )ithout losi!$
si$ht of the $e!eral i#ea( Its leit'otifs are restate# o! %arious le%els throu$hout the book(
It 'ay see' a presu'ptuous u!#ertaki!$ to i!/uire i!to the biolo$ial ori$i!s of 'e!tal
reati%ity )he! )e are still u!able to #efi!e the he'istry of a si'ple 'usle t)ith( *ut
ofte! i! the history of i#eas )e fi!# t)o opposite 'etho#s at )ork0 the '#o)!)ar#'
approah fro' the o'ple- to the ele'e!tary& fro' the )hole to its o'po!e!t parts& a!#
the 'up)ar#' approah fro' part to )hole( The e'phasis o! either of these 'etho#s 'ay
alter!ate aor#i!$ to philosophial fashio!& u!til they 'eet a!# 'er$e i! a !e) sy!thesis(
It )oul# ha%e bee! as i'possible to buil# theoretial physis o! a fou!#atio! of its
ele'e!tary partiles 1)hih tur! out to be 'ore a!# 'ore baffli!$2 as it has pro%e#
i'possible to buil# a theory of psyholo$y o! 'ele'e!tary refle-es' a!# 'ato's of
beha%iour'( 3ie %ersa& )ithout the assu'ptio! that o'ple- 'atter o!siste# of ato'i
parts& )hate%er they are& physis a!# he'istry oul# !ot ha%e e%ol%e#(
I ha%e trie# to o'bi!e both 'etho#s by hoosi!$ as 'y starti!$ poi!t a phe!o'e!o!
)hih is at the sa'e ti'e o'ple- a!# si'ple& i! )hih a subtle i!telletual proess is
si$!alle# by a $ross physiolo$ial refle-0 the phe!o'e!o! of lau$hter( Hu'our is a!
elusi%e thi!$& so is the rai!bo), yet the stu#y of oloure# spetra pro%i#e# lues to the
ele'e!tary struture of 'atter(
A preli'i!ary outli!e of this theory )as publishe# i! 4565 u!#er the title Insight and
Outlook( It )as i!te!#e# as the first of t)o %olu'es& a!# its prefae o!tai!e# the
opti'isti se!te!e0 '3olu'e T)o is i! preparatio! a!# )ill& it is hope#& appear t)el%e
'o!ths after the first(' The t)el%e 'o!ths ha%e $ro)! i!to fiftee! years( Partly beause I
bea'e i!%ol%e# )ith other sub.ets, but 'ai!ly beause I felt #issatisfie# )ith that first
atte'pt& a!# felt the !ee# to base the theory o! a broa#er fou!#atio!( I kept retur!i!$ to it
i! bet)ee! other books& but eah ti'e the broa#e!i!$ proess !eessitate# a! e-ursio!
i!to so'e relate# fiel# a!#& as ofte! happe!s& these e-ursio!s a/uire# a 'o'e!tu' of
their o)!( O!e hapter o! ''a!'s ha!$i!$ %isio! of the u!i%erse' $re) i!to a separate book
of 'ore tha! si- hu!#re# pa$es, 748 so #i# a!other hapter& o! Easter! 'ystiis'( 798 A!#
)he! at last I felt rea#y to )rite that lo!$"postpo!e# seo!# %olu'e I fou!# that I ha# to
srap the first a!# be$i! a$ai! at the be$i!!i!$( The )hole theoretial fra'e)ork ha# to be
re%ise# a!# e%e! the t'!i!olo$y ha!$e#( Rea#ers a/uai!te# )ith Insight and Outlook
)ill !otie& ho)e%er& that I ha%e take! o%er& or paraphrase#& passa$es fro' it )hih see' to
ha%e )eathere# the ti'e, to a%oi# te#iu' I ha%e o'itte# /uotatio! 'arks( I ha%e also
i!orporate# i!to the te-t e-trats fro' letures $i%e! at E!$lish a!# A'eria! u!i%ersities&
)ith the ki!# per'issio! of the authorities o!er!e#(
Su''aries appear at irre$ular i!ter%als at the e!#s of hapters or setio!s )here I felt that
they 'i$ht be helpful( Asterisks refer to te-t !otes& i!#e- !u'bers to soure refere!es(
I ha%e !o illusio!s about the prospets of the theory I a' proposi!$0 it )ill suffer the
i!e%itable fate of bei!$ pro%e! )ro!$ i! 'a!y& or 'ost& #etails& by !e) a#%a!es i!
psyholo$y a!# !eurolo$y( :hat I a' hopi!$ for is that it )ill be fou!# to o!tai! a
sha#o)y patter! of truth& a!# that it 'ay sti'ulate those )ho searh for u!ity& i! the
#i%erse 'a!ifestatio!s of hu'a! thou$ht a!# e'otio!(
I a' #eeply i!#ebte# to Professor Sir Cyril *urt& a!# to Professor Hol$er Hy#e!&
U!i%ersity of ;othe!bur$& for rea#i!$ the 'a!usript& for their orretio!s& ritiis's a!#
e!oura$e'e!t, to Professor <e!!is ;abor& I'perial Colle$e& =o!#o!& <r( Ala!
>;lasha!& St( ;eor$e's Hospital& a!# Professor >ihael Pola!yi& O-for#& for 'a!y
sti'ulati!$ #isussio!s o! the sub.et of this book( >y $rateful tha!ks are further #ue to
<r( ?( <( Co)a!& I'perial Colle$e& for his ritiis' fro' the sta!#poi!t of Co''u!iatio!
Theory, to <r( Ro#!ey >alipha!t for sur%eyi!$ the literature o! the psyho"physiolo$y of
)eepi!$, to <r( Christopher :allis for o'pili!$ a biblio$raphy o! the sa'e sub.et, a!# to
>iss E#ith Horsley for her patie!t a!# areful e#itorial )ork(
=o!#o!& <ee'ber 45@A
The At of Creatio!
*OOK ONE
THE ART OF <ISCO3ERB
AN< THE <ISCO3ERIES OF ART
PART ONE
THE ?ESTER
I
THE =O;IC OF =AU;HTER
The Triptyh
The three pa!els of the rou!#e# triptyh sho)! o! the fro!tispiee i!#iate three #o'ai!s
of reati%ity )hih sha#e i!to eah other )ithout sharp bou!#aries0 Hu'our& <iso%ery&
a!# Art( The reaso! for this see'i!$ly per%erse or#er of arra!$e'e!t "" the Sa$e fla!ke# by
the ?ester a!# the Artist o! opposite si#es "" )ill beo'e appare!t as the ar$u'e!t u!fol#s(
Eah hori+o!tal li!e aross the triptyh sta!#s for a patter! of reati%e ati%ity )hih is
represe!te# o! all three pa!els, for i!sta!e0 o'i o'pariso! "" ob.eti%e a!alo$y ""
poeti i'a$e( The first is i!te!#e# to 'ake us lau$h, the seo!# to 'ake us u!#ersta!#, the
thir# to 'ake us 'ar%el( The lo$ial patter! of the reati%e proess is the sa'e i! all three
ases, it o!sists i! the #iso%ery of hi##e! si'ilarities( *ut the e'otio!al li'ate is
#iffere!t i! the three pa!els0 the o'i si'ile has a touh of a$$ressi%e!ess, the sie!tist's
reaso!i!$ by a!alo$y is e'otio!ally #etahe#& i(e( !eutral, the poeti i'a$e is sy'patheti
or a#'iri!$& i!spire# by a positi%e ki!# of e'otio!( I shall try to sho) that all patter!s of
reati%e ati%ity are tri"%ale!t0 they a! e!ter the ser%ie of hu'our& #iso%ery& or art, a!#
also& that as )e tra%el aross the triptyh fro' left to ri$ht& the e'otio!al li'ate ha!$es
by $ra#ual tra!sitio!s fro' a$$ressi%e to !eutral to sy'patheti a!# i#e!tifiatory "" or& to
put it a!other )ay& fro' a! absur# throu$h a! abstrat to a tra$i or lyri %ie) of e-iste!e(
This 'ay look like a basketful of )il# $e!erali+atio!s but is 'ea!t o!ly as a first i!#iatio!
of the #iretio! i! )hih the i!/uiry )ill 'o%e(
The pa!els o! the #ia$ra' 'eet i! ur%es to i!#iate that there are !o lear #i%i#i!$ li!es
bet)ee! the'( The flui#ity of the bou!#aries bet)ee! Sie!e a!# Art is e%i#e!t& )hether
)e o!si#er Arhiteture& Cooki!$& Psyhotherapy& or the )riti!$ of History( The
'athe'atiia! talks of 'ele$a!t' solutio!s& the sur$eo! of a 'beautiful' operatio!& the literary
riti of 't)o"#i'e!sio!ar haraters( Sie!e is sai# to ai' at Truth& Art at *eauty, but the
riteria of Truth 1suh as %erifiability a!# refutability2 are !ot as lea! a!# har# as )e te!#
to belie%e& a!# the riteria of *eauty are& of ourse& e%e! less so( A $la!e at the hart o! p(
AA9 7Fi$ure 4Ca8 )ill i!#iate that )e a! arra!$e !ei$hbouri!$ pro%i!es of sie!e a!#
art i! series )hih sho) a o!ti!uous $ra#ie!t fro' 'ob.eti%e' to 'sub.eti%e'& fro'
'%erifiable truth' to 'aestheti e-perie!e'( O!e $ra#ie!t& for i!sta!e& lea#s fro' the so"
alle# e-at sie!es like he'istry throu$h biohe'istry to biolo$y& the! throu$h
'e#ii!e "" )hih is& alas& a 'uh less e-at sie!e "" to psyholo$y& throu$h
a!thropolo$y to history& throu$h bio$raphy to the bio$raphial !o%el& a!# so o! i!to the
abyss of pure fitio!( As )e 'o%e alo!$ the slopi!$ ur%e& the #i'e!sio! of 'ob.eti%e
%erifiability' is see! to #i'i!ish stea#ily& a!# the i!tuiti%e or aestheti #i'e!sio! to
i!rease( Si'ilar $ra#e# series lea# fro' o!strutio! e!$i!eeri!$ throu$h arhiteture a!#
i!terior #esi$! to the hybri# 'arts a!# rafts' a!# fi!ally to the represe!tati%e arts, here o!e
%ariable of the ur%e oul# be alle# 'utility'& the seo!# 'beauty'( The poi!t of this $a'e is
to sho) that re$ar#less of )hat sale of %alues you hoose to apply& you )ill 'o%e aross a
o!ti!uu' )ithout sharp breaks, there are !o fro!tiers )here the real' of sie!e e!#s a!#
that of art be$i!s& a!# the uomo universale of the Re!aissa!e )as a iti+e! of both(
O! the other si#e of the triptyh the bou!#aries bet)ee! #iso%ery a!# o'i i!%e!tio! are
e/ually flui# "" as the prese!t hapter )ill sho) "" althou$h at first si$ht this is less ob%ious
to see( That the ?ester shoul# be brother to the Sa$e 'ay sou!# like blasphe'y& yet our
la!$ua$e reflets the lose relatio!ship0 the )or# ')ittiis'' is #eri%e# fro' ')it' i! its
ori$i!al se!se of i!$e!uity& i!%e!ti%e!ess(D ?ester a!# sa%a!t 'ust both 'li%e o! their )its',
a!# )e shall see that the ?ester's ri##les pro%i#e a useful bak"#oor e!try& as it )ere& i!to
the i!!er )orkshop of reati%e ori$i!ality(
The =au$hter Refle-
=au$hter is a refle-( The )or# refle-& as Sir Charles Sherri!$to! sai#& is a useful fitio!(
Ho)e%er 'uh its #efi!itio!s a!# o!!otatio!s #iffer aor#i!$ to %arious shools "" it has
i! fat bee! the e!tral battle$rou!# of psyholo$y for the last fifty years "" !o o!e is likely
to /uarrel )ith the state'e!t that )e are the 'ore .ustifie# to all a! or$a!is''s beha%iour
'refle-' the 'ore it rese'bles the atio! of a 'eha!ial slot"'ahi!e, that is to say& the
'ore i!sta!ta!eous& pre#itable& a!# stereotype# it is( :e 'ay also use the sy!o!y's
'auto'ati'& 'i!%olu!tary'& et(& )hih so'e psyholo$ists #islike, they are i! fat i'plie# i!
the pre%ious se!te!e(
Spo!ta!eous lau$hter is pro#ue# by the oor#i!ate# o!tratio! of fiftee! faial 'usles
i! a stereotype# patter! a!# ao'pa!ie# by altere# breathi!$( The follo)i!$ is a
#esriptio! abri#$e# fro' Sully's lassi essay o! the sub.et(
S'ili!$ i!%ol%es a o'ple- $roup of faial 'o%e'e!ts( It 'ay suffie to re'i!# the rea#er
of suh harateristi ha!$es as the #ra)i!$ bak a!# sli$ht lifti!$ of the or!ers of the
'outh& the raisi!$ of the upper lip& )hih partially u!o%ers the teeth& a!# the ur%i!$ of
the furro)s bet)i-t the or!ers of the 'outh a!# the !ostrils 1the !aso"labial furro)s2( To
these 'ust be a##e# the for'atio! of )ri!kles u!#er the eye& )hih is a further result of the
first 'o%e'e!t ( ( ( a!# the i!rease# bri$ht!ess of the eyes(
These faial ha!$es are o''o! to the s'ile a!# the lau$h& thou$h i! the 'ore %iole!t
for's of lau$hter the eyes are apt to lose u!#er their lahry'al suffusio! the sparkle )hih
the s'ile bri!$s(
:e 'ay !o) pass to the lar$er e-perie!e of the au#ible lau$h( That this atio! is
physiolo$ially o!ti!uous )ith the s'ile has alrea#y bee! su$$este#( ( ( ( Ho) losely
o!!ete# are s'ili!$ a!# 'o#erate lau$hi!$ 'ay be see! by the te!#e!y )e e-perie!e
)he! )e reah the broa# s'ile a!# the fully ope! 'outh to start the respiratory 'o%e'e!ts
of lau$hter( As <ar)i! a!# others ha%e poi!te# out& there is a series of $ra#atio!s fro' the
fai!test a!# 'ost #eorous s'ile up to the full e-plosio! of the lau$h(
( ( ( The series of $ra#atio!s here i!#iate# is $o!e throu$h& 'ore or less rapi#ly& i! a!
or#i!ary lau$h( ( ( ( The reo$!itio! of this i#e!tity of the t)o atio!s is e%i#e!e# by the
usa$es of speeh( :e see i! the lassial la!$ua$es a te!#e!y to e'ploy the sa'e )or# for
the t)o( ( ( ( This is partiularly lear i! the ase of the =ati! ridere& )hih 'ea!s to s'ile
as )ell as to lau$h& the for' subridere bei!$ rare 1Italia!& ridere a!# sorridere, Fre!h rire
a!# sourire, ;er'a! lachen a!# lcheln2(
:e 'ay !o) tur! to the #isti!$uishi!$ harateristis of lau$hi!$, that is& the pro#utio!
of the fa'iliar series of sou!#s( ( ( ( 748
*ut these #o !ot o!er! us yet( The poi!t to retai! is the o!ti!uity of the sale lea#i!$
fro' the fai!t s'ile to Ho'eri lau$hter& o!fir'e# by laboratory e-peri'e!ts( Eletrial
sti'ulatio! of the '+y$o'ati 'a.or&' the 'ai! lifti!$ 'usle of the upper lip& )ith urre!ts
of %aryi!$ i!te!sity& pro#ues e-pressio!s ra!$i!$ fro' s'ile to broa# $ri! to the faial
o!tortio!s typial of lou# lau$hter( 798 Other researhers 'a#e fil's of tikle# babies a!#
of hysteris to )ho' tikli!$ )as o!%eye# by su$$estio!( They a$ai! sho)e# the refle-
s)iftly i!reasi!$ fro' the first fai!t faial o!tratio! to paro-ys's of shaki!$ a!#
hoki!$ "" as the /uiksil%er i! a ther'o'eter& #ippe# i!to hot )ater& rapi#ly 'ou!ts to the
re# 'ark(
These $ra#atio!s of i!te!sity !ot o!ly #e'o!strate the refle- harater of lau$hter but at
the sa'e ti'e pro%i#e a! e-pla!atio! for the rih %ariety of its for's "" fro' Rabelaisia!
lau$hter at a spiy .oke to the rarefie# s'ile of ourtesy( *ut there are a##itio!al reaso!s to
aou!t for this o!fusi!$ %ariety( Refle-es #o !ot operate i! a %auu', they are to a
$reater or lesser e-te!t i!terfere# )ith by hi$her !er%ous e!tres, thus i%ili+e# lau$hter is
rarely /uite spo!ta!eous( A'use'e!t a! be fei$!e# or suppresse#, to a fai!t i!%olu!tary
respo!se )e 'ay a## at )ill a #isreet hukle or a leo!i!e roar, a!# habit"for'atio! soo!
rystalli+es these refle-"plus"prete!e a'al$a's i!to harateristi properties of a perso!(
Further'ore& the sa'e 'usle o!tratio!s pro#ue #iffere!t effets aor#i!$ to )hether
they e-pose a set of pearly teeth or a toothless $ap "" pro#ui!$ a s'ile& a si'per& or s'irk(
>oo# also superi'poses its o)! faial patter! "" he!e $ay lau$hter& 'ela!holy s'ile&
lasi%ious $ri!( =astly& o!tri%e# lau$hter a!# s'ili!$ a! be use# as a o!%e!tio!al si$!al"
la!$ua$e to o!%ey pleasure or e'barrass'e!t& frie!#li!ess or #erisio!( :e are o!er!e#&
ho)e%er& o!ly )ith spo!ta!eous lau$hter as a speifi respo!se to the o'i, re$ar#i!$
)hih )e a! o!lu#e )ith <r( ?oh!so! that ''e! ha%e bee! )ise i! %ery #iffere!t 'o#es,
but they ha%e al)ays lau$he# i! the sa'e )ay('
The Para#o- of =au$hter
I ha%e take! pai!s to sho) that lau$hter is& i! the se!se i!#iate# abo%e& a true refle-&
beause here a para#o- arises )hih is the starti!$ poi!t of our i!/uiry( >otor refle-es&
usually e-e'plifie# i! te-tbooks by k!ee".erk or pupillary o!tratio!& are relati%ely
si'ple& #iret respo!ses to e/ually si'ple sti'uli )hih& u!#er !or'al iru'sta!es&
fu!tio! auto!o'ously& )ithout re/uiri!$ the i!ter%e!tio! of hi$her 'e!tal proesses, by
e!abli!$ the or$a!is' to ou!ter #isturba!es of a fre/ue!tly 'et type )ith sta!#ar#i+e#
reatio!s& they represe!t e'i!e!tly pratial arra!$e'e!ts i! the ser%ie of sur%i%al( *ut
)hat is the sur%i%al %alue of the i!%olu!tary& si'ulta!eous o!tratio! of fiftee! faial
'usles assoiate# )ith ertai! !oises )hih are ofte! irrepressibleE =au$hter is a refle-&
but u!i/ue i! that it ser%es !o appare!t biolo$ial purpose, o!e 'i$ht all it a lu-ury refle-(
Its o!ly utilitaria! fu!tio!& as far as o!e a! see& is to pro%i#e te'porary relief fro'
utilitaria! pressures( O! the e%olutio!ary le%el )here lau$hter arises& a! ele'e!t of fri%olity
see's to reep i!to a hu'ourless u!i%erse $o%er!e# by the la)s of thr'o#y!a'is a!# the
sur%i%al of the fittest(
The para#o- a! be put i! a #iffere!t )ay( It strikes us as a reaso!able arra!$e'e!t that a
sharp li$ht sho!e i!to the eye 'akes the pupil o!trat& or that a pi! stuk i!to o!e's foot
auses its i!sta!t )ith#ra)al "" beause both the 'sti'ulus' a!# the 'respo!se' are o! the
sa'e physiolo$ial le%el( *ut that a o'pliate# 'e!tal ati%ity like the rea#i!$ of a pa$e
by Thurber shoul# ause a speifi 'otor respo!se o! the refle- le%el is a lopsi#e#
phe!o'e!o! )hih has pu++le# philosophers si!e a!ti/uity(
There are& of ourse& other o'ple- i!telletual a!# e'otio!al ati%ities )hih also
pro%oke bo#ily reatio!s "" fro)!i!$& ya)!i!$& s)eati!$& shi%eri!$& )hat ha%e you( *ut the
effets o! the !er%ous syste' of rea#i!$ a Shakespeare so!!et& )orki!$ o! a 'athe'atial
proble'& or liste!i!$ to >o+art are #iffuse a!# i!#efi!able( There is !o lear"ut
pre#itable respo!se to tell 'e )hether a piture i! the art $allery strikes a!other %isitor as
'beautiful', but there is a pre#itable faial o!tratio! )hih tells 'e )hether a ariature
strikes hi' as 'o'i('
Humour is the only domain of creative activity where a stimulus on a high level of
complexity produces a massive and sharply defined response on the level of physiological
reflexes. This para#o- e!ables us to use the respo!se as a! i!#iator for the prese!e of that
elusi%e /uality& the o'i& )hih )e are seeki!$ to #efi!e "" as the tell"tale liki!$ of the
$ei$er"ou!ter i!#iates the prese!e of ra#ioati%ity( A!# si!e the o'i is relate# to
other& 'ore e-alte#& for's of reati%ity& the bak#oor approah pro'ises to yiel# so'e
positi%e results( :e all k!o) that there is o!ly o!e step fro' the subli'e to the ri#iulous,
the 'ore surprisi!$ that Psyholo$y has !ot o!si#ere# the possible $ai!s )hih oul#
result fro' the re%ersal of that step(
The biblio$raphy of ;rei$'s Psychology of Laughter and omedy& publishe# i! 459A&
'e!tio!e# three hu!#re# a!# si-ty"three titles of )orks beari!$ partly or e!tirely o! the
sub.et "" fro' Plato a!# Aristotle to Ka!t& *er$so!& a!# Freu#( At the tur! of the e!tury T(
A( Ribot su''e# up these atte'pts at for'ulati!$ a theory of the o'i0 '=au$hter
'a!ifests itself i! suh %arie# a!# hetero$e!eous o!#itio!s ( ( ( that the re#utio! of all
these auses to a si!$le o!e re'ai!s a %ery proble'atial u!#ertaki!$( After so 'uh )ork
spe!t o! suh a tri%ial phe!o'e!o!& the proble' is still far fro' bei!$ o'pletely
e-plai!e#(' 7A8 This )as )ritte! i! 4F5@, si!e the! o!ly t)o !e) theories of i'porta!e
ha%e bee! a##e# to the list0 *er$so!'s Le !ire a!# Freu#'s "it and its !elations to the
#nconscious( I shall ha%e oasio! to refer to the'(D
The #iffiulty lies e%i#e!tly i! the e!or'ous ra!$e of lau$hter"pro#ui!$ situatio!s "" fro'
physial tikli!$ to 'e!tal titillatio! of the 'ost %arie# ki!#s( I shall try to sho) that there
is u!ity i! this %ariety, that the o''o! #e!o'i!ator is of a speifi a!# speifiable patter!
)hih is of e!tral i'porta!e !ot o!ly i! hu'our but i! all #o'ai!s of reati%e ati%ity(
The baillus of lau$hter is a bu$ #iffiult to isolate, o!e brou$ht u!#er the 'irosope& it
)ill tur! out to be a yeast"like& u!i%ersal fer'e!t& e/ually useful i! 'aki!$ )i!e or %i!e$ar&
a!# raisi!$ brea#(
The =o$i of =au$hter0 A First Approah
So'e of the stories that follo)& i!lu#i!$ the first& I o)e to 'y late frie!# ?oh! %o!
Neu'a!!& )ho ha# all the 'aki!$s of a hu'orist0 he )as a 'athe'atial $e!ius a!# he
a'e fro' *u#apest(
T)o )o'e! 'eet )hile shoppi!$ at the super'arket i! the *ro!-( O!e looks heerful& the
other #epresse#( The heerful o!e i!/uires0 ':hat's eati!$ youE' 'Nothi!$'s eati!$ 'e('
'<eath i! the fa'ilyE' 'No& ;o# forbi#G' ':orrie# about 'o!eyE' 'No ( ( ( !othi!$ like that('
'Trouble )ith the ki#sE' ':ell if you 'ust k!o)& it's 'y little ?i''y(' ':hat's )ro!$ )ith
hi'& the!E' 'Nothi!$ is )ro!$( His teaher sai# he 'ust see a psyhiatrist(' Pause( ':ell&
)ell& )hat's )ro!$ )ith seei!$ a psyhiatristE' 'Nothi!$ is )ro!$( The psyhiatrist sai# he's
$ot a! Oe#ipus o'ple-(' Pause( ':ell& )ell& Oe#ipus or Sh'oe#ipus& I )oul#!'t )orry so
lo!$ as he's a $oo# boy a!# lo%es his 'a''a('
The !e-t o!e is /uote# i! Freu#'s essay o! the o'i(
Cha'fort tells a story of a >ar/uis at the ourt of =ouis HI3 )ho& o! e!teri!$ his )ife's
bou#oir a!# fi!#i!$ her i! the ar's of a *ishop& )alke# al'ly to the )i!#o) a!# )e!t
throu$h the 'otio!s of blessi!$ the people i! the street(
':hat are you #oi!$E' rie# the a!$uishe# )ife( '>o!sei$!eur is perfor'i!$ 'y fu!tio!s&'
replie# the >ar/uis& 'so I a' perfor'i!$ his('
*oth stories& thou$h appare!tly /uite #iffere!t a!# i! their ori$i! 'ore tha! a e!tury
apart& follo) i! fat the sa'e patter!( The Cha'fort a!e#ote o!er!s a#ultery, let us
o'pare it )ith a tra$i treat'e!t of that sub.et "" say& i! the >oor of 3e!ie( I! the
tra$e#y the te!sio! i!reases u!til the li'a- is reahe#0 Othello stra!$les <es#e'o!a,
the! it ebbs a)ay i! a $ra#ual atharsis& as 1to /uote Aristotle2 'ho!or a!# pity ao'plish
the pur$atio! of the e'otio!s' 1see Fi$( 4&a o! !e-t pa$e2(
I! the Cha'fort a!e#ote& too& the te!sio! 'ou!ts as the story pro$resses& but it !e%er
reahes its e-pete# li'a-( The ase!#i!$ ur%e is brou$ht to a! abrupt e!# by the
>ar/uis' u!e-pete# reatio!& )hih #ebu!ks our #ra'ati e-petatio!s, it o'es like a
bolt out of the blue& )hih& so to speak& #eapitates the lo$ial #e%elop'e!t of the situatio!(
The !arrati%e ate# as a ha!!el #ireti!$ the flo) of e'otio!, )he! the ha!!el is
pu!ture# the e'otio! $ushes out like a li/ui# throu$h a burst pipe, the te!sio! is su##e!ly
relie%e# a!# e-plo#e# i! lau$hter 1Fi$( 4&b20


I sai# that this effet )as brou$ht about by the >ar/uis' u!e-pete# reatio!( Ho)e%er&
u!e-pete#!ess alo!e is !ot e!ou$h to pro#ue a o'i effet( The ruial poi!t about the
>ar/uis' beha%iour is that it is both u!e-pete# a!# perfetly lo$ial "" but of a lo$i !ot
usually applie# to this type of situatio!( It is the lo$i of the #i%isio! of labour& the /ui# pro
/uo& the $i%e a!# take, but our e-petatio! )as that the >ar/uis' atio!s )oul# be
$o%er!e# by a #iffere!t lo$i or o#e of beha%iour( It is the lash of the t)o 'utually
i!o'patible o#es& or assoiati%e o!te-ts& )hih e-plo#es the te!sio!(
I! the Oe#ipus story )e fi!# a si'ilar #ash( The heerful )o'a!'s state'e!t is rule# by the
lo$i of o''o! se!se0 if ?i''y is a $oo# boy a!# lo%es his 'a''a there a!'t be 'uh
)ro!$( *ut i! the o!te-t of Freu#ia! psyhiatry the relatio!ship to the 'other arries
e!tirely #iffere!t assoiatio!s(
The patter! u!#erlyi!$ both stories is the perceiving of a situation or idea$ L$ in two self%
consistent but habitually incompatible frames of reference$ &' and &( 1Fi$( 92( The e%e!t
=& i! )hih the t)o i!terset& is 'a#e to %ibrate si'ulta!eously o! t)o #iffere!t
)a%ele!$ths& as it )ere( :hile this u!usual situatio! lasts& = is !ot 'erely li!ke# to o!e
assoiati%e o!te-t& but bisoiate# )ith t)o(


I ha%e oi!e# the ter' 'bisoiatio!' i! or#er to 'ake a #isti!tio! bet)ee! the routi!e skills
of thi!ki!$ o! a si!$le 'pla!e'& as it )ere& a!# the reati%e at& )hih& as I shall try to sho)&
al)ays operates o! 'ore tha! o!e pla!e( The for'er 'ay be alle# si!$le"'i!#e#& the latter
a #ouble"'i!#e#& tra!sitory state of u!stable e/uilibriu' )here the bala!e of both
e'otio! a!# thou$ht is #isturbe#( The for's )hih this reati%e i!stability takes i! sie!e
a!# art )ill be #isusse# later, first )e 'ust test the %ali#ity of these $e!erali+atio!s i!
other fiel#s of the o'i(
At the ti'e )he! ?oh! :ilkes )as the hero of the poor a!# lo!ely& a! ill")isher i!for'e#
hi' $leefully0 'It see's that so'e of your faithful supporters ha%e tur!e# their oats('
'I'possible&' :ilkes a!s)ere#( 'Not o!e of the' has a oat to tur!('
I! the happy #ays of La !onde& a #ashi!$ but pe!!iless you!$ Austria! offier trie# to
obtai! the fa%ours of a fashio!able ourtesa! To shake off this u!)a!te# suitor& she
e-plai!e# to hi' that her heart )as& alas& !o lo!$er free( He replie# politely0
'>a#e'oiselle& I !e%er ai'e# as hi$h as that('
'Hi$h' is bisoiate# )ith a 'etaphorial a!# )ith a topo$raphial o!te-t( The oat is
tur!e# first 'etaphorially& the! literally( I! both stories the literal o!te-t e%okes %isual
i'a$es )hih sharpe! the lash(
A o!%it )as playi!$ ar#s )ith his $aolers( O! #iso%eri!$ that he heate# they kike#
hi' out of $aol(
This %e!erable hest!ut )as first /uote# by Shope!ha!er a!# has si!e bee! roaste# o%er
a!# a$ai! i! the literature of the o'i( It a! be a!alyse# i! a si!$le se!te!e0 t)o
o!%e!tio!al rules 1'offe!#ers are pu!ishe# by bei!$ loke# up' a!# 'heats are pu!ishe# by
bei!$ kike# out'2& eah of the' self"o!siste!t& olli#e i! a $i%e! situatio! "" as the ethis
of the /ui# pro /uo a!# of 'atri'o!y olli#e i! the Cha'fort story( *ut let us !ote that the
o!fliti!$ rules )ere 'erely implied i! the te-t, by 'aki!$ the' e-pliit I ha%e #estroye#
the story's o'i effet(
Shortly after the e!# of the )ar a 'e'orable state'e!t appeare# i! a fashio! artile i! the
'a$a+i!e )ogue0
*else! a!# *uhe!)al# ha%e put a stop to the too"thi! )o'a! a$e& to the ult of
u!#er!ourish'e!t( 768
It 'akes o!e shu##er& yet it is fu!!y i! a $hastly )ay& foresha#o)i!$ the 'sik .okes' of a
later #ea#e( The i#ea of star%atio! is bisoiate# )ith o!e tra$i& a!# a!other& utterly tri%ial
o!te-t( The follo)i!$ /uotatio! fro' *ime 'a$a+i!e 7I8 strikes a relate# hor#0
Aross the first pa$e of the Christ'as issue of the Catholi U!i%erse *ulleti!& Cle%ela!#'s
offiial Catholi #ioesa! !e)spaper& ra! this ei$ht"olu'! ba!!er hea#0 It's a boy i!
*ethlehe'( Co!$ratulatio!s ;o# "" o!$ratulatio!s >ary "" o!$ratulatio!s ?oseph(
Here the fra'es of refere!e are the sare# a!# the %ul$arly profa!e( A teh!ially !earer
%ersio! "" if )e ha%e to #)ell o! blasphe'y "" is
:e )a!te# a $irl(
The sa'ples #isusse# so far all belo!$ to the lass of .okes a!# a!e#otes )ith a si!$le
poi!t of ul'i!atio!( The hi$her for's of sustai!e# hu'our& suh as the satire or o'i
poe'& #o !ot rely o! a si!$le effet but o! a series of 'i!or e-plosio!s or a o!ti!uous
state of 'il# a'use'e!t( Fi$( A is 'ea!t to i!#iate )hat happe!s )he! a hu'orous
!arrati%e osillates bet)ee! t)o fra'es of refere!e "" say& the ro'a!ti fa!tasy )orl# of
<o! Jui-ote& a!# Sa!ho's u!!i!$ horse"se!se(


>atries a!# Co#es
I 'ust !o) try the rea#er's patie!e )ith a fe) pa$es 1se%e!& to be e-at2 of psyholo$ial
speulatio! i! or#er to i!tro#ue a pair of relate# o!epts )hih play a e!tral role i! this
book a!# are i!#ispe!sable to all that follo)s( I ha%e %ariously referre# to the t)o pla!es i!
Fi$s( 9 a!# A as 'fra'es of refere!e'& 'assoiati%e o!te-ts'& 'types of lo$i'& 'o#es of
beha%iour'& a!# 'u!i%erses of #isourse'( He!eforth I shall use the e-pressio! ''atries of
thou$ht' 1a!# ''atries of beha%iour'2 as a u!ifyi!$ for'ula( I shall use the )or# ''atri-' to
#e!ote a!y ability& habit& or skill& a!y patter! of or#ere# beha%iour $o%er!e# by a 'o#e' of
fi-e# rules( =et 'e illustrate this by a fe) e-a'ples o! #iffere!t le%els(
The o''o! spi#er )ill suspe!# its )eb o! three& four& a!# up to t)el%e ha!#y poi!ts of
attah'e!t& #epe!#i!$ o! the lie of the la!#& but the ra#ial threa#s )ill al)ays i!terset the
laterals at e/ual a!$les& aor#i!$ to a fi-e# o#e of rules built i!to the spi#er's !er%ous
syste', a!# the e!tre of the )eb )ill al)ays be at its e!tre of $ra%ity( The 'atri- "" the
)eb"buil#i!$ skill "" is fle-ible0 it a! be a#apte# to e!%iro!'e!tal o!#itio!s, but the rules
of the o#e 'ust be obser%e# a!# set a li'it to fle-ibility( The spi#er's hoie of suitable
poi!ts of attah'e!t for the )eb are a 'atter of strate$y& #epe!#i!$ o! the e!%iro!'e!t&
but the for' of the o'plete# )eb )ill al)ays be poly$o!al& #eter'i!e# by the o#e( The
e-erise of a skill is al)ays u!#er the #ual o!trol 1a2 of a fi-e# o#e of rules 1)hih 'ay
be i!!ate or a/uire# by lear!i!$2 a!# 1b2 of a fle-ible strate$y& $ui#e# by e!%iro!'e!tal
poi!ters "" the 'lie of the la!#'(
As the !e-t e-a'ple let 'e take& for the sake of o!trast& a 'atri- o! the lofty le%el of
%erbal thou$ht( There is a parlour $a'e )here eah o!testa!t 'ust )rite #o)! o! a piee
of paper the !a'es of all to)!s he a! thi!k of starti!$ )ith a $i%e! letter "" say& the letter
'='( Here the o#e of the 'atri- is #efi!e# by the rule of the $a'e, a!# the 'e'bers of the
'atri- are the !a'es of all to)!s be$i!!i!$ )ith '=' )hih the partiipa!t i! /uestio! has
e%er lear!e#& re$ar#less )hether at the 'o'e!t he re'e'bers the' or !ot( The task before
hi' is to fish these !a'es out of his 'e'ory( There are %arious strate$ies for #oi!$ this(
O!e Perso! )ill i'a$i!e a $eo$raphial 'ap& a!# the! sa! this i'a$i!ary 'ap for to)!s
)ith '='& proee#i!$ i! a $i%e! #iretio! "" say )est to east( A!other perso! )ill repeat sub"
%oally the syllables Li$ La$ Lo& as if striki!$ a tu!i!$ fork& hopi!$ that his 'e'ory iruits
1=i!ol!& =isbo!& et(2 )ill start to '%ibrate' i! respo!se( His strate$y #eter'i!es )hih
'e'ber of the 'atri- )ill be alle# o! to perfor'& a!# i! )hih or#er( I! the spi#er's ase
the ''e'bers' of the 'atri- )ere the %arious sub"skills )hih e!ter i!to the )eb"buil#i!$
skill0 the operatio!s of sereti!$ the threa#& attahi!$ its e!#s& .u#$i!$ the a!$les( A$ai!&
the or#er a!# 'a!!er i! )hih these e!ter i!to atio! is #eter'i!e# by strate$y& sub.et to
the 'rules of the $a'e' lai# #o)! by the )eb"buil#i!$ o#e(
All ohere!t thi!ki!$ is e/ui%ale!t to playi!$ a $a'e aor#i!$ to a set of rules( It 'ay& of
ourse& happe! that i! the ourse of the parlour $a'e I ha%e arri%e# %ia =a$os i! =isbo!&
a!# feel su##e!ly te'pte# to #)ell o! the pleasa!t 'e'ories of a! e%e!i!$ spe!t at the
!i$ht"lub =a Cuaraha i! that to)!( *ut that )oul# be '!ot playi!$ the $a'e'& a!# I 'ust
re$retfully proee# to =ee#s( <rifti!$ fro' o!e 'atri- to a!other harateri+es the #rea'
a!# relate# states, i! the routi!es of #isipli!e# thi!ki!$ o!ly o!e 'atri- is ati%e at a ti'e(
I! )or#"assoiatio! tests the o#e o!sists of a si!$le o''a!#& for i!sta!e '!a'e
opposites'( The sub.et is the! $i%e! a sti'ulus )or# "" say& 'lar$e' "" a!# out pops the
a!s)er0 's'all'( If the o#e ha# bee! 'sy!o!y's'& the respo!se )oul# ha%e bee! 'bi$' or 'tall'&
et( Assoiatio! tests are artifiial si'plifiatio!s of the thi!ki!$ proess, i! atual
reaso!i!$ the o#es o!sist of 'ore or less o'ple- sets of rules a!# sub"rules( I!
'athe'atial thi!ki!$& for i!sta!e& there is a $reat array of speial o#es& )hih $o%er!
#iffere!t types of operatio!s, so'e of these are hierarhially or#ere#& e($( a##itio! ""
'ultipliatio! "" e-po!e!tial fu!tio!( Bet the rules of these %ery o'ple- $a'es a! be
represe!te# i! 'o#e#' sy'bols0 -Ky& or -(y or -Ly or -My& the si$ht of )hih )ill 'tri$$er
off' the appropriate operatio! "" as rea#i!$ a li!e i! a pia!o sore )ill tri$$er off a )hole
series of %ery o'pliate# fi!$er"'o%e'e!ts( >e!tal skills suh as arith'etial operatio!s&
'otor skills suh as pia!o"playi!$ or touh"typi!$& te!# to beo'e )ith pratie 'ore or
less auto'ati+e#& pre"set routi!es& )hih are tri$$ere# off by 'o#e# si$!als' i! the !er%ous
syste' "" as the trai!er's )histle puts a perfor'i!$ a!i'al throu$h its paes(
This is perhaps the plae to e-plai! )hy I ha%e hose! the a'bi$uous )or# 'o#e' for a
key"o!ept i! the prese!t theory( The reaso! is preisely its !ie a'bi$uity( It si$!ifies o!
the o!e ha!# a set of rules )hih 'ust be obeye# "" like the Hi$h)ay Co#e or Pe!al Co#e,
a!# it i!#iates at the sa'e ti'e that it operates i! the !er%ous syste' throu$h 'o#e#
si$!als' "" like the >orse alphabet "" )hih tra!s'it or#ers i! a ki!# of o'presse# 'seret
la!$ua$e'( :e k!o) that !ot o!ly the !er%ous syste' but all o!trols i! the or$a!is'
operate i! this fashio! 1starti!$ )ith the fertili+e# e$$& )hose '$e!eti o#e' o!tai!s the
blue"pri!t of the future i!#i%i#ual( *ut that blue"pri!t i! the ell !uleus #oes !ot sho) the
'irosopi i'a$e of a little 'a!, it is 'o#e#' i! a ki!# of four"letter alphabet& )here eah
letter is represe!te# by a #iffere!t type of he'ial 'oleule i! a lo!$ hai!, see *ook
T)o& I2(D
=et us retur! to reaso!i!$ skills( >athe'atial reaso!i!$ is $o%er!e# by speifi rules of
the $a'e "" 'ultipliatio!& #iffere!tiatio!& i!te$ratio!& et( 3erbal reaso!i!$& too& is sub.et
to a %ariety of speifi o#es0 )e a! #isuss Napoleo!'s #efeat at :aterloo 'i! ter's of' 1a2
histori si$!ifia!e& 1b2 'ilitary strate$y& 12 the o!#itio! of his li%er& 1#2 the o!stellatio!
of the pla!ets( :e a! all these 'fra'es of refere!e' or 'u!i%erses of #isourse' or
'assoiati%e o!te-ts' "" e-pressio!s )hih I shall fre/ue!tly use to a%oi# 'o!oto!ous
repetitio!s of the )or# ''atri-'( The .okes i! the pre%ious setio! a! all be #esribe# as
u!i%erses of #isourse olli#i!$& fra'es $etti!$ e!ta!$le#& or o!te-ts $etti!$ o!fuse#( *ut
)e 'ust re'e'ber that eah of these e-pressio!s refers to speifi patter!s of ati%ity
)hih& thou$h fle-ible& are $o%er!e# by sets of fi-e# rules(
A hess player looki!$ at a! e'pty boar# )ith a si!$le bishop o! it #oes !ot see the boar#
as a u!ifor' 'osai of blak a!# )hite s/uares& but as a ki!# of 'a$!eti fiel# )ith li!es
of fore i!#iati!$ the bishops' possible 'o%es0 the boar# has beo'e patter!e#& as i! Fi$(
6a, Fi$( 6b sho)s the patter! of the rook(


:he! o!e thi!ks of ''atries' a!# 'o#es' it is so'eti'es helpful to bear these fi$ures i!
'i!#( The N'atri-N is the patter! before you& represe!ti!$ the e!se'ble of per'issible
'o%es( The No#eN )hih $o%er!s the 'atri- a! be put i!to si'ple 'athe'atial
e/uatio!s )hih o!tai! the esse!e of the patter! i! a o'presse#& 'o#e#' for', or it a!
be e-presse# by the )or# '#ia$o!als'( The o#e is the fi-e#& i!%ariable fator i! a skill or
habit, the 'atri- its %ariable aspet( The t)o )or#s #o !ot refer to #iffere!t e!tities& they
refer to #iffere!t NaspetsN of the sa'e ati%ity( :he! you sit i! fro!t of the hessboar#
your No#eN is the rule of the $a'e #eter'i!i!$ )hih 'o%es are per'itte#& your N'atri-N
is the total of possible hoies before you( =astly& the hoie of the atual 'o%e a'o!$ the
%ariety of per'issible 'o%es is a 'atter of Nstrate$y&N $ui#e# by the lie of the la!# "" the
'e!%iro!'e!t' of other hess'e! o! the boar#( :e ha%e see! that o'i effets are
pro#ue# by the su##e! lash of i!o'patible 'atries0 to the e-perie!e# hess player a
rook 'o%i!$ bishop)ise is #ei#e#ly 'fu!!y'(
Co!si#er a pia!ist playi!$ a set"piee )hih he has lear!e# by heart( He has i!o'parably
'ore sope for 'strate$y' 1te'po& rhyth'& phrasi!$2 tha! the spi#er spi!!i!$ its )eb( A
'usiia! tra!sposi!$ a tu!e i!to a #iffere!t key& or i'pro%isi!$ %ariatio!s of it& e!.oys e%e!
$reater free#o', but he too is still bou!# by the o#es of the #iato!i or hro'ati sale(
>atries %ary i! fle-ibility fro' refle-es a!# 'ore or less auto'ati+e# routi!es )hih
allo) but a fe) strate$i hoies& to skills of al'ost u!li'ite# %ariety, but all ohere!t
thi!ki!$ a!# beha%iour is sub.et to so'e speifiable o#e of rules to )hih its harater of
ohere!e is #ue "" e%e! thou$h the o#e fu!tio!s partly or e!tirely o! u'o!sious le%els
of the 'i!#& as it $e!erally #oes( A bar"pia!ist a! perfor' i! his sleep or )hile o!%ersi!$
)ith the bar'ai#, he has ha!#e# o%er o!trol to the auto'ati pilot& as it )ere(
Hi##e! Persua#ers
E%erybo#y a! ri#e a biyle& but !obo#y k!o)s ho) it is #o!e( Not e%e! e!$i!eers a!#
biyle 'a!ufaturers k!o) the for'ula for the orret 'etho# of ou!terati!$ the
te!#e!y to fall by tur!i!$ the ha!#lebars so that 'for a $i%e! a!$le of u!bala!e the
ur%ature of eah )i!#i!$ is i!%ersely proportio!al to the s/uare of the spee# at )hih the
ylist is proee#i!$'( 7@8 The ylist obeys a o#e of rules )hih is speifiable& but )hih
he a!!ot speify, he oul# )rite o! his !u'ber"plate Pasal's 'otto0 Le coeur a ses
raisons +ue la raison ne conna,t point. Or& to put it i! a 'ore abstrat )ay0
The o!trols of a skille# ati%ity $e!erally fu!tio! belo) the le%el of o!sious!ess o!
)hih that ati%ity takes plae( The o#e is a hi##e! persua#er(
This applies !ot o!ly to our %iseral ati%ities a!# 'usular skills& but also to the skill of
perei%i!$ the )orl# arou!# us i! a ohere!t a!# 'ea!i!$ful 'a!!er( Hol# your left ha!#
si- i!hes& the other t)el%e i!hes& a)ay fro' your eyes, they )ill look about the sa'e
si+e& althou$h the reti!al i'a$e of the left is t)ie the si+e of the ri$ht( Trae the o!tours
of your fae )ith a soapy fi!$er o! the bathroo' 'irror 1it is easily #o!e by losi!$ o!e
eye2( There is a shok )aiti!$0 the i'a$e )hih looke# life"si+e has shru!k to half"si+e&
like a hea#hu!ter's trophy( A perso! )alki!$ a)ay #oes !ot see' to beo'e a #)arf "" as
he shoul#, a blak $lo%e looks .ust as blak i! the su!li$ht as i! sha#o) "" thou$h it shoul#
!ot, )he! a oi! is hel# before the eyes i! a tilte# positio! its reti!al pro.etio! )ill be a
'ore or less flatte!e# ellipse, yet )e see it as a irle& beause )e know it to be a irle,
a!# it takes so'e effort to see it atually as a s/uashe# o%al shape( Seei!$ is belie%i!$& as
the sayi!$ $oes& but the re%erse is also true0 k!o)i!$ is seei!$( 'E%e! the 'ost ele'e!tary
pereptio!s'& )rote *artlett& 7O8 'ha%e the harater of i!fere!tial o!strutio!s(' *ut the
i!fere!tial proess& )hih o!trols pereptio!& a$ai! )orks u!o!siously( Seei!$ is a skill&
part i!!ate& part a/uire# i! early i!fa!y(D The seleti%e o#es i! this ase operate o! the
i!put& !ot o! the output( The sti'uli i'pi!$i!$ o! the se!ses pro%i#e o!ly the ra) 'aterial
of our o!sious e-perie!e "" the 'bloo'i!$& bu++i!$ o!fusio!' of :illia' ?a'es, before
reahi!$ a)are!ess the i!put is filtere#& proesse#& #istorte#& i!terprete#& a!# reor$a!i+e#
i! a series of relay statio!s at %arious le%els of the !er%ous syste', but the proessi!$ itself
is !ot e-perie!e# by the perso!& a!# the rules of the $a'e aor#i!$ to )hih the o!trols
)ork are u!k!o)! to hi'(
The e-a'ples I 'e!tio!e# refer to the so"alle# '%isual o!sta!ies' )hih e!able us to
reo$!i+e that the si+e& bri$ht!ess& shape of ob.ets re'ai! the sa'e e%e! thou$h their
reti!al i'a$e ha!$es all the ti'e, a!# to ''ake se!se' out of our se!satio!s( They are
share# by all people )ith !or'al %isio!& a!# pro%i#e the basi struture o! )hih 'ore
perso!al 'fra'es of pereptio!' a! be built( A! apple looks #iffere!t to Piasso a!# to the
$ree!$roer beause their %isual 'atries are #iffere!t(
=et 'e retur! o!e 'ore to %erbal thi!ki!$( :he! a perso! #isusses& say& the proble' of
apital pu!ish'e!t he 'ay #o so 'i! ter's of' soial utility or reli$ious 'orality or
psyhopatholo$y( Eah of these u!i%erses of #isourse is $o%er!e# by a o'ple- set of
rules& so'e of )hih operate o! o!sious& others o! u!o!sious le%els( The latter are
a-io'ati beliefs a!# pre.u#ies )hih are take! for $ra!te# a!# i'plie# i! the o#e(
Further i'plie#& hi##e! i! the spae bet)ee! the )or#s& are the rules of $ra''ar a!#
sy!ta-( These ha%e 'ostly bee! lear!e# !ot fro' te-tbooks but 'by ear'& as a you!$ $ypsy
lear!s to fi##le )ithout k!o)i!$ 'usial !otatio!( Thus )he! o!e is e!$a$e# i! or#i!ary
o!%ersatio!& !ot o!ly #o the o#es of $ra''ar a!# sy!ta-& of ourtesy a!# o''o!"or"
$ar#e! lo$i fu!tio! u!o!siously& but e%e! if o!siously be!t o! #oi!$ so )e )oul#
fi!# it e-tre'ely #iffiult to #efi!e these rules )hih #efi!e our thi!ki!$( For #oi!$ that )e
!ee# the ser%ies of speialists "" the se'a!tiists a!# lo$iia!s of la!$ua$e( I! other
)or#s& there is less #iffere!e bet)ee! the routi!es of thi!ki!$ a!# biyle"ri#i!$ tha! our
self"estee' )oul# 'ake us belie%e( *oth are $o%er!e# by i'pliit o#es of )hih )e are
o!ly #i'ly a)are& a!# )hih )e are u!able to speify(D
Habit a!# Ori$i!ality
:ithout these i!#ispe!sable o#es )e )oul# fall off the biyle& a!# thou$ht )oul# lose its
ohere!e "" as it #oes )he! the o#es of !or'al reaso!i!$ are suspe!#e# )hile )e #rea'(
O! the other ha!#& thi!ki!$ )hih re'ai!s o!fi!e# to a si!$le 'atri- has its ob%ious
li'itatio!s( It is the e-erise of a 'ore or less fle-ible skill& )hih a! perfor' tasks o!ly
of a ki!# alrea#y e!ou!tere# i! past e-perie!e, it is !ot apable of ori$i!al& reati%e
ahie%e'e!t(
:e lear! by assi'ilati!$ e-perie!es a!# $roupi!$ the' i!to or#ere# she'ata& i!to stable
patter!s of u!ity i! %ariety( They e!able us to ope )ith e%e!ts a!# situatio!s by applyi!$
the rules of the $a'e appropriate to the'( The 'atries )hih patter! our pereptio!s&
thou$hts& a!# ati%ities are o!#e!satio!s of lear!i!$ i!to habit( The proess starts i!
i!fa!y a!# o!ti!ues to se!ility, the hierarhy of fle-ible 'atries )ith fi-e# o#es "" fro'
those )hih $o%er! the breathi!$ of his ells& to those )hih #eter'i!e the patter! of his
si$!ature& o!stitute that reature of 'a!y"layere# habits )ho' )e all ?oh! *ro)!( :he!
the <uke of :elli!$to! )as aske# )hether he a$ree# that habit )as 'a!'s seo!# !ature he
e-lai'e#0 'Seo!# !atureE It's te! ti'es !atureG'
Habits ha%e %aryi!$ #e$rees of fle-ibility, if ofte! repeate# u!#er u!ha!$i!$ o!#itio!s&
i! a 'o!oto!ous e!%iro!'e!t& they te!# to beo'e ri$i# a!# auto'ari+e#( *ut e%e! a!
elasti strait".aket is still a strait".aket if the patie!t has !o possibility of $etti!$ out of it(
*eha%iouris'& the #o'i!a!t shool i! o!te'porary psyholo$y& is i!li!e# to take a %ie)
of 'a! )hih re#ues hi' to the statio! of that patie!t& a!# the hu'a! o!#itio! to that of a
o!#itio!e# auto'ato!( I belie%e that %ie) to be #epressi!$ly true up to a poi!t( The
ar$u'e!t of this book starts at the poi!t )here& I belie%e& it eases to be true(
There are t)o )ays of esapi!$ our 'ore or less auto'ati+e# routi!es of thi!ki!$ a!#
beha%i!$( The first& of ourse& is the plu!$e i!to #rea'i!$ or #rea'"like states& )he! the
o#es of ratio!al thi!ki!$ are suspe!#e#( The other )ay is also a! esape "" fro' bore#o'&
sta$!atio!& i!telletual pre#ia'e!ts& a!# e'otio!al frustratio! "" but a! esape i! the
opposite #iretio!, it is si$!alle# by the spo!ta!eous flash of i!si$ht )hih sho)s a fa'iliar
situatio! or e%e!t i! a !e) li$ht& a!# eliits a !e) respo!se to it( The bisoiati%e at
o!!ets pre%iously u!o!!ete# 'atries of e-perie!e, it 'akes us 'u!#ersta!# )hat it is
to be a)ake& to be li%i!$ o! se%eral pla!es at o!e' 1to /uote T( S( Eliot& so'e)hat out of
o!te-t2(
The first )ay of esape is a re$ressio! to earlier& 'ore pri'iti%e le%els of i#eatio!&
e-e'plifie# i! the la!$ua$e of the #rea', the seo!# a! ase!t to a !e)& 'ore o'ple-
le%el of 'e!tal e%olutio!( Thou$h see'i!$ly oppose#& the t)o proesses )ill tur! out to he
i!ti'ately relate#(
>a! a!# >ahi!e
:he! t)o i!#epe!#e!t 'atries of pereptio! or reaso!i!$ i!terat )ith eah other the
result 1as I hope to sho)2 is either a collision e!#i!$ i! lau$hter& or their fusion i! a !e)
i!telletual sy!thesis& or their confrontation i! a! aestheti e-perie!e( The bisoiati%e
patter!s fou!# i! a!y #o'ai! of reati%e ati%ity are tri"%ale!t0 that is to say& the sa'e pair
of 'atries a! pro#ue o'i& tra$i& or i!telletually halle!$i!$ effets(
=et 'e take as a first e-a'ple ''a!' a!# ''ahi!e'( A fa%ourite trik of the oarser type of
hu'our is to e-ploit the o!trast bet)ee! these t)o fra'es of refere!e 1or bet)ee! the
relate# pair ''i!#' a!# ''atter'2( The #i$!ifie# shool'aster lo)eri!$ hi'self i!to a rikety
hair a!# rashi!$ to the floor is perei%e# si'ulta!eously i! t)o i!o'patible o!te-ts0
authority is #ebu!ke# by $ra%ity( The sa%a$e& )istfully a##ressi!$ the ar%e# tote' fi$ure
"" '<o!'t be so prou#& I k!o) you fro' a plu'"tree' "" e-presses the sa'e i#ea0 hubris of
'i!#& earthy 'ateriality of bo#y( The %ariatio!s o! this the'e are i!e-haustible0 the perso!
slippi!$ o! a ba!a!a ski!, the ser$ea!t"'a.or attake# by #iarrhoea, Ha'let $etti!$ the
hiou$hs, sol#iers 'arhi!$ like auto'ata, the pe#a!t beha%i!$ like a 'eha!ial robot,
the abse!t"'i!#e# #o! boili!$ his )ath )hile luthi!$ the e$$& like a 'ahi!e obeyi!$
the )ro!$ s)ith( Fate keeps playi!$ pratial .okes to #eflate the %iti''s #i$!ity& i!tellet&
or o!eit by #e'o!strati!$ his #epe!#e!e o! oarse bo#ily fu!tio!s a!# physial la)s ""
by #e$ra#i!$ hi' to a! auto'ato!( The sa'e purpose is ser%e# by the re%erse teh!i/ue of
'aki!$ artefats beha%e like hu'a!s0 Pu!h a!# ?u#y& ?ak"i!"the"*o-& $a#$ets playi!$
triks o! their 'asters& hats i! a $ust of )i!# esapi!$ the pursuer as if )ith alulate#
'alie(
I! He!ri *er$so!'s book o! the proble' of lau$hter& this #ualis' of subtle 'i!# a!# i!ert
'atter 1'the 'eha!ial e!ruste# o! the li%i!$'2 is 'a#e to ser%e as a! e-pla!atio! of all
for's of the o'i, )hereas i! the prese!t theory it applies to o!ly o!e %aria!t of it a'o!$
'a!y others( Surprisi!$ly& *er$so! faile# to see that eah of the e-a'ples .ust 'e!tio!e#
a! be o!%e!e# fro' a o'i i!to a tra$i or purely i!telletual e-perie!e& base# o! the
sa'e lo$ial patter! "" i(e( o! the sa'e pair of bisoiate# 'atries "" by a si'ple ha!$e of
e'otio!al li'ate( The fat 'a! slippi!$ a!# rashi!$ o! the iy pa%e'e!t )ill be either a
o'i or a tra$i fi$ure aor#i!$ to )hether the spetator's attitu#e is #o'i!ate# by 'alie
or pity0 a allous shoolboy )ill lau$h at the speta#e& a se!ti'e!tal ol# la#y 'ay be
i!li!e# to )eep( *ut i! bet)ee! these t)o there is the e'otio!ally bala!e# attitu#e of the
physiia! )ho happe!s to pass the se!e of the 'ishap& )ho 'ay feel both a'use'e!t a!#
o'passio!& but )hose pri'ary o!er! is to fi!# out the !ature of the i!.ury( Thus the
%iti' of the rash 'ay be seate# i! a!y of the three pa!els of the triptyh( <o! Jui-ote
$ra#ually ha!$es fro' a o'i i!to a pu++li!$ fi$ure if& i!stea# of relishi!$ his #elusio!s
)ith arro$a!t o!#ese!sio!& I beo'e i!tereste# i! their psyholo$ial auses, a!# he
ha!$es i!to a tra$i fi$ure as #etahe# uriosity tur!s i!to sy'patheti i#e!tifiatio! "" as I
reo$!i+e i! the sa# k!i$ht 'y brother"i!"ar's i! the fi$ht a$ai!st )i!#'ills( The stok
haraters i! the fare "" the ukol#& the 'iser& the stutterer& the hu!hbak& the forei$!er ""
appear as o'i& i!telletually halle!$i!$& or tra$i fi$ures aor#i!$ to the #iffere!t
e'otio!al attitu#es )hih they arouse i! spetators of #iffere!t 'e!tal a$e& ulture& or
'oo#(
The ''eha!ial e!ruste# o! the li%i!$' sy'boli+es the o!trast bet)ee! 'a!'s spiritual
aspiratio!s a!# his all"too"soli# flesh sub.et to the la)s of physis a!# he'istry( The
pratial .oker a!# the lo)! speiali+e i! triks )hih e-ploit the 'eha!ial fores of
$ra%ity a!# i!ertia to #eflate his hu'a!ity( *ut Iarus& too& like the #i!!er $uest )hose hair
ollapse#& is the %iti' of a pratial .oke "" the $o#s& i!stea# of breaki!$ the le$s of his
hair& ha%e 'elte# a)ay his )i!$s( The seo!# appeals to loftier e'otio!s tha! the first& but
the lo$ial struture of the t)o situatio!s a!# their 'essa$e is the sa'e0 )hate%er you
fa!y yourself to be you are sub.et to the i!%erse s/uare la) like a!y other lu'p of lay( I!
o!e ase it is a o'i& i! the other a tra$i 'essa$e( The #iffere!e is #ue to the #iffere!t
harater of the e'otio!s i!%ol%e# 1'alie i! the first ase& o'passio!ate a#'iratio! i!
the seo!#2, but also to the fat that i! the first ase the t)o fra'es of refere!e olli#e&
e-plo#i!$ the te!sio!& )hile i! the seo!# they re'ai! .u-tapose# i! a tra$i o!fro!tatio!&
a!# the te!sio! ebbs a)ay i! a slo) atharsis( The thir# alter!ati%e is the reo!iliatio! a!#
sy!thesis of the t)o 'atries, its effet is !either lau$hter& !or tears& but the arousal of
uriosity0 .ust how is the 'eha!ial e!ruste# o! the li%i!$E Ho) 'uh aeleratio! a!
the or$a!is' sta!#& a!# ho) #oes +ero $ra%ity effet itE
Aor#i!$ to *er$so!& the 'ai! soures of the o'i are the 'eha!ial attributes of
i!ertia& ri$i#ity& a!# repetiti%e!ess i'pi!$i!$ o! life, a'o!$ his fa%ourite e-a'ples are the
'a!"auto'ato!& the puppet o! stri!$s& ?ak"i!"the"*o-& et( Ho)e%er& if ri$i#ity o!traste#
)ith or$a!i supple!ess )ere lau$hable i! itself& E$yptia! statues a!# *y+a!ti!e 'osais
)oul# be the best .okes e%er i!%e!te#( If auto'ati repetati%e!ess i! hu'a! beha%iour )ere
a !eessary a!# suffiie!t o!#itio! of the o'i& there )oul# be !o 'ore a'usi!$
spetale thau a! epilepti fit, a!# if )e )a!te# a $oo# lau$h )e )oul# 'erely ha%e to feel
a perso!'s pulse or liste! to his heart"beat& )ith its 'o!oto!ous tik"tak( If ')e lau$h eah
ti'e a perso! $i%es us the i'pressio! of bei!$ a thi!$' 7F8 there )oul# be !othi!$ 'ore
fu!!y tha! a orpse(
I! fat& e%ery o!e of *er$so!'s e-a'ples of the o'i a! be tra!spose#& alo!$ a hori+o!tal
li!e as it )ere& aross the triptyh& i!to the pa!els of sie!e a!# art( His 'ho''e"auto'ate'&
'a! a!# artefat at the sa'e ti'e& has its lyri ou!terpart i! ;alatea "" the i%ory statue
)hih Py$'alio! 'a#e& Aphro#ite brou$ht to life& a!# Sha) retur!e# to the o'i #o'ai!(
It has its tra$i ou!terpart i! the le$e!#s of Faust's Ho'u!ulus& the ;ole' of Pra$ue& the
'o!sters of Fra!ke!stei!, its ori$i!s reah bak to ?eho%ah 'a!ufaturi!$ A#a' out of
'a#a'Ph'& the Hebre) )or# for earth( The re%erse tra!sfor'atio! "" life i!to 'eha!is' ""
has e/ually rih %arieties0 the pe#a!t )ho' e!sla%e'e!t to habit has re#ue# to a!
auto'ato! is o'i beause )e #espise hi', the o'pulsio!"!euroti is !ot& beause )e
are pu++le# a!# try to u!#ersta!# hi', the atato!i patie!t& fro+e! i!to a statue& is tra$i
beause )e pity hi'( A!# so a$ai! bak to 'ytholo$y0 =ot's )ife tur!e# i!to a pillar of salt&
Narissus i!to a flo)er& the poor !y'ph Eho )asti!$ a)ay u!til !othi!$ is left but her
%oie& a!# her bo!es ha!$e# i!to roks(
I! the 'i##le pa!el of the triptyh the 'ho''e"auto'ate' is the foal& or rather bi"foal&
o!ept of all sie!es of life( Fro' their i!eptio! they treate#& as the pratial .oker #oes&
'a! as both 'i!# a!# 'ahi!e( The Pytha$orea!s re$ar#e# the bo#y as a 'usial
i!stru'e!t )hose soul"stri!$s 'ust ha%e the ri$ht te!sio!& a!# )e still u!)itti!$ly refer to
our 'ortal fra'e as a ki!# of stri!$e# $uitar )he! )e speak of ''usle tone '& or #esribe
?oh! as '$oo# te'pere#'( The sa'e bifoal %ie) is reflete# i! the four Hipporati
'hu'ours' "" )hih )ere both li/ui#s of the bo#y a!# 'oo#s of the spirit, a!# 'spiritus' itself
is& like 'p!eu'a'& a'bi$uous& 'ea!i!$ also breath( The o!ept of 'atharsis' applie#& a!#
still #oes& to the pur$atio! of either the 'i!# or the bo)els( Bet if I )ere to speak ear!estly
of halitosis of the soul& or of la-ati%es to the 'i!#& or all a! outburst of te'per a
hu'ourrha$e& it )oul# sou!# lu#irous& beause I )oul# 'ake the i'pliit a'bi$uities
e-pliit for the purpose of 'aliiously o!trasti!$ the', I )oul# tear asu!#er t)o fra'es of
refere!e that our ;reek forbears ha# 'a!a$e# to i!te$rate& ho)e%er te!tati%ely& i!to a
u!ifie#& psyhoso'ati %ie) )hih our la!$ua$e still reflets(
I! 'o#er! sie!e it has beo'e aepte# usa$e to speak of the ''eha!is's' of #i$estio!&
pereptio!& lear!i!$& a!# o$!itio!& et(& a!# to lay i!reasi!$ or e-lusi%e stress o! the
auto'ato! aspet of the 'ho''e"auto'ate'( The 'eha!isti tre!# i! physiolo$y reahe# its
sy'boli ul'i!atio! at the be$i!!i!$ of the e!tury i! the slo$a! '>a! a 'ahi!e' "" the
pro$ra''ati title of a o!e fa'ous book by ?a/ues =oeb, it )as take! o%er by
beha%iouristi psyholo$y& )hih has bee! pro'i!e!t i! the A!$lo"Sa-o! ou!tries for half
a e!tury( E%e! a $e!ial !aturalist like Ko!ra# =ore!+& )hose -ing .olomon/s !ing has
#eli$hte# 'illio!s& felt i'pelle# to prolai' that to re$ar# Ne)to! a!# <ar)i! as auto'ata
)as the o!ly per'issible %ie) for 'the i!#uti%e researh )orker )ho #oes !ot belie%e i!
'irales'( 758 It all #epe!#s& of ourse& o! )hat o!e's #efi!itio! of a 'irale is0 ;alileo& the
i#eal of all 'i!#uti%e researh )orkers'& re.ete# Kepler's theory that the ti#es )ere #ue to
the 'oo!'s attratio! as a! 'oult fa!y'( 74C8 The i!telletual li'ate reate# by these
attitu#es has bee! su''e# up by Cyril *urt& )riti!$ about 'The Co!ept of Co!sious!ess'
1)hih beha%iourists ha%e ba!!e#& as a!other 'oult fa!y'& fro' the %oabulary of
sie!e20 'The result& as a y!ial o!looker 'i$ht be te'pte# to say& is that psyholo$y&
ha%i!$ first bar$ai!e# a)ay its soul a!# the! $o!e out of its 'i!#& see's !o)& as it faes a!
u!ti'ely e!#& to ha%e lost all o!sious!ess(' 7448
I ha%e #)elt at so'e le!$th o! *er$so!'s fa%ourite e-a'ple of the o'i& beause of its
rele%a!e to o!e of the leit'otifs of this book( The 'a!"'ahi!e #uality has bee!
epito'i+e# i! a lao!i se!te!e "" ''a! o!sists of !i!ety per e!t )ater a!# te! per e!t
'i!erals' "" )hih o!e a! re$ar#& aor#i!$ to taste& as o'i& i!telletually halle!$i!$&
or tra$i( I! the first ase o!e has o!ly to thi!k of a ariature sho)i!$ a fat 'a! u!#er the
Afria! su! 'elti!$ a)ay i!to a pu##le, i! the seo!#& of the 'i!#uti%e researh )orker'
be!t o%er his test"tube, i! the thir#& of a ha!#ful of #ust(
Other e-a'ples of *er$so!'s 'a!"auto'ato! !ee# be 'e!tio!e# o!ly briefly( The puppet
play i! its !aQ%e Pu!h a!# ?u#y %ersio! is comic , the sophistiate# 'ario!ette theatre is a
tra#itio!al for' of art , life"i'itati!$ o!traptio!s are use# i! %arious bra!hes of science
a!# teh!olo$y0 fro' the #u''y fi$ures of #ress'akers to the a!ato'ial 'o#els i!
'e#ial shools, fro' the artifiial li'bs of the orthopae#ist to robots i'itati!$ the
)orki!$ of the !er%ous syste' 1suh as ;rey :alter's eletro!i tortoises2( I! the
metaphorical se!se& the puppet o! stri!$s is a ti'eless sy'bol& either o'i or tra$i& of
'a! as a playthi!$ of #esti!y "" )hether he is .erke# about by the $o#s or suspe!#e# o! his
o)! hro'oso'es a!# $la!#s( I! the !eutral +o!e bet)ee! Co'e#y a!# tra$e#y&
philosophers ha%e bee! tireless i! their efforts to reo!ile the t)o o!fliti!$ aspets of
the hu'a! puppet0 his e-perie!e of free )ill a!# 'oral respo!sibility o! the o!e ha!#, the
stri!$s of #eter'i!is'& reli$ious or sie!tifi& o! the other(
A! e-tre'e %aria!t of the puppet 'otif is ?ak"i!"the"*o-& sy'bol of the stubbor!&
'eha!ial repetiti%e!ess& but also of the i!#estrutibility& of life( Its opposite !u'ber is the
le$e!#ary 'o!ster )ho i!sta!tly $ro)s a !e) te!tale or hea# )he! the hero has ut it off,
or the ol# )o'a! i! Raskol!ikof's #rea' )ho& after eah stroke of the a-e o! her skull&
tur!s rou!# a!# lau$hs i! his fae( I! the biolo$ial sie!es& ?ak"i!"the"*o- is a fa'iliar
fi$ure& represe!te# i! all proesses of the tri$$er"release type "" the 'usle"t)ith& the
epilepti fit& the 'si$!"releasers' of the a!i'al ki!$#o'& )hose sy'boli 'essa$e ati%ates
the spri!$s of hoppi!$ 'a# or te!#erly a'orous& i!!ate beha%iour patter!s(
NOTES
To p( 9F( ':it' ste's fro' witan& u!#ersta!#i!$, )hose roots $o bak 1%ia videre a!#
7EI<O82 to the Sa!skrit veda& k!o)le#$e( The ;er'a! "it0 'ea!s both .oke a!# au'e!,
it o'es fro' wissen& to k!o), "issenschaft "" sie!e& is a lose ki! to 12rwit0 a!#
3berwit0 "" presu'ptio!& heek& a!# .est( Fre!h teahes the sa'e lesso!( .pirituel 'ay
either 'ea! )itty or spiritually profou!#, to a'use o'es fro' to 'use 14%muser2& a!# a
)itty re'ark is a 5eu d/esprit "" a playful& 'ishie%ous for' of #iso%ery(
The )or# '.ester'& too& has a respetable a!estry( The chansons de geste playe# a
pro'i!e!t part i! 'e#ie%al literature fro' the ele%e!th to the fiftee!th e!turies( They )ere
epis e!tre# o! heroi e%e!ts, their !a'e is #eri%e# fro' the =ati! gesta0 #ee#s& e-ploits(
:ith the o'i!$ of the Re!aissa!e& satire te!#e# to replae the epis of hi%alry& a!# i!
the si-tee!th e!tury the heroi '$este' tur!e# i!to '.est'(
To p( A9( A ritial #isussio! of both theories a! be fou!# i! Appe!#i- I of Insight and
Outlook(
To p( 6C( The hoie of the ter' ''atri-' is less easy to e-plai!( I! a! earlier %ersio! I use#
'feel#' a!# 'fra'e)ork'& but 'fiel#' is too %a$ue& a!# 'fra'e' too ri$i#( '>atri-' is #eri%e#
fro' the =ati! for )o'b a!# is fi$urati%eRy use# for a!y patter! or 'oul# i! )hih thi!$s
are shape# a!# #e%elope#& or type is ast( Thus the e-erise of a habit or skill is ''oul#e#'
by its 'atri-( I! 'athe'atis& 'atries are reta!$ular arrays of !u'bers apable of all
sorts of 'a$i, they a! be sub.ete# to %arious tra!sfor'atio!s )ithout losi!$ their
i#e!tity "" i(e( they are both 'fle-ible' a!# 'stable'( Also& 'atries ha%e a o!sta!t attahe# to
the'& alle# their '#eter'i!a!t'& )hih re'ai!s u!affete# by a!y of these tra!sfor'atio!s(
*ut the a!alo$y bet)ee! '#eter'i!a!t' a!# 'o#e' is e-tre'ely loose a!# i! 'ore tha! o!e
respet 'islea#i!$(
To p( 6A( Co!$e!itally bli!# patie!ts& )ho a/uire %isio! after sur$ial operatio!s at a
'ature a$e& ha%e $reat #iffiulties i! reo$!i+i!$ patter!s a!# faes& a!# i! orie!ti!$
the'sel%es i! spae( Cf( Se!#e! 145A92& /uote# by Hebb 145652(
To p( 66( The #ual o!epts of 'atries a!# o#es )ere #esi$!e# )ith o!e eye o!
psyholo$y& the other o! physiolo$y( Their theoretial i'pliatio!s i! this )i#er o!te-t are
#isusse# i! *ook T)o(
The rea#er %erse# i! e-peri'e!tal psyholo$y )ill ha%e bee! re'i!#e# by !o) of suh ol#
frie!#s fro' the :Sr+bur$ Shool as 3ufgabe& 6instellung& 7ewu8tseinslage, a!# of their
A!$lo"Sa-o! relati%es0 determining tendency& expectancy& task& schema a!# set( He )ill
probably also re'e'ber that ?( ?( ;ibso! i! a fa'ous artile 1/uote# by Hu'phrey& 45I4& p(
4CI2 =iste# so'e forty #iffere!t 'ea!i!$s i! )hih the )or# set )as use#( I hope to sho)
that matrices a!# codes are o!epts at the sa'e ti'e 'ore preise& a!# of 'ore $e!eral
%ali#ity& tha! 3ufgaben or sets(
II
=AU;HTER AN< E>OTION
The su##e! bisoiatio! of a! i#ea or e%e!t )ith t)o habitually i!o'patible 'atries )ill
pro#ue a o'i effet& pro%i#e# that the !arrati%e& the se'a!ti pipeli!e& arries the ri$ht
ki!# of e'otio!al te!sio!( :he! the pipe is pu!ture#& a!# our e-petatio!s are foole#& the
!o) re#u!#a!t te!sio! $ushes out i! lau$hter& or is spille# i! the $e!tler for' of the sou"
rire(
A$$ressio! a!# I#e!tifiatio!
=au$hter& as the lihT has it& is 'liberati!$'& i(e( te!sio!"relie%i!$( Relief fro' stress is
al)ays pleasurable& re$ar#less )hether it )as ause# by hu!$er& se-& a!$er& or a!-iety(
U!#er or#i!ary iru'sta!es& suh relief is obtai!e# by so'e purposeful ati%ity )hih is
appropriate to the !ature of the te!sio!( :he! )e lau$h& ho)e%er& the pleasurable relief
#oes !ot #eri%e fro' a o!su''atory at )hih satisfies so'e speifi !ee#( O! the
o!trary0 lau$hter pre%e!ts the satisfatio! of biolo$ial #ri%es& it 'akes a 'a! e/ually
i!apable of killi!$ or opulati!$, it #eflates a!$er& apprehe!sio!& a!# pri#e( The te!sio! is
!ot o!su''ate# "" it is frittere# a)ay i! a! appare!tly purposeless refle-& i! faial
$ri'aes& ao'pa!ie# by o%er"e-ertio! of the breathi!$ 'eha!is' a!# ai'less $estures(
To put it the other )ay rou!#0 the sole fu!tio! of this lu-ury refle- see's to be the
#isposal of e-itatio!s )hih ha%e beo'e re#u!#a!t& )hih a!!ot be o!su''ate# i!
a!y purposeful 'a!!er(
*ut why has the e-itatio! su##e!ly beo'e 're#u!#a!t', a!# )hy is it #ishar$e# i!
lau$hter a!# !ot& say& i! )eepi!$ "" )hih is a! e/ually 'purposeless' ati%ityE The a!s)er
to the seo!# half of the /uestio! see's ob%ious0 the ki!# of e-itatio! e-plo#e# i!
lau$hter has a #iffere!t /uality or he'ial o'positio!& as it )ere& fro' the e'otio!s
)hih o%erflo) i! tears( *ut the %ery ob%ious!ess of this a!s)er is #eepti%e& for the
atte'pt to #efi!e this #iffere!e i! '/uality a!# o'positio!' !eessitates a !e) approah to
the theory of hu'a! e'otio!s(
At first si$ht there seehis to be a be)il#eri!$ %ariety of 'oo#s i!%ol%e# i! #iffere!t types
of hu'our( The pratial .oke is fra!kly a$$ressi%e, the la%atory .okes of hil#re! are
satolo$ial, blue .okes are se-ual, the Charles A##a's type of artoo! a!# the 'sik' .oke
play o! feeli!$s of horror a!# #is$ust, the satirist o! ri$hteous i!#i$!atio!( >oreo%er& the
sa'e type of se'a!ti pipeli!e a! be 'a#e to arry #iffere!t types of flui# u!#er %aryi!$
#e$rees of pressure0 for i!sta!e& 'they ha%e!'t $ot a oat to tur!' a!# 'I !e%er ai'e# as hi$h
as that' are both bisoiatio!s of 'etaphorial a!# #iret 'ea!i!$ "" .okes of the sa'e
lo$ial patter! but )ith #iffere!t e'otio!al olouri!$( The 'ore sophistiate# for's of
hu'our e%oke 'i-e#& a!# so'eti'es o!tra#itory& feeli!$s, but )hate%er the 'i-ture& it
'ust o!tai! o!e i!$re#ie!t )hose prese!e is i!#ispe!sable0 a! i'pulse& ho)e%er fai!t& of
a$$ressio! or apprehe!sio!( It 'ay be 'a!ifeste# i! the $uise of 'alie& #erisio!& the
%eile# ruelty of o!#ese!sio!& or 'erely as a! abse!e of sy'pathy )ith the %iti' of the
.oke "" a ''o'e!tary a!aesthesia of the heart'& as *er$so! put it( I propose to all this
o''o! i!$re#ie!t the 'a$$ressi%e"#efe!si%e' or 'self"asserti!$' te!#e!y "" the reaso!s for
hoosi!$ this lu'sy ter' )ill be see! later o!( I! the subtler types of hu'our this
te!#e!y is so fai!t a!# #isreet that o!ly areful a!alysis )ill #etet it& like the prese!e of
salt i! a )ell"prepare# #ish "" )hih& ho)e%er& )oul# be tasteless )ithout it(
It is the a$$ressi%e ele'e!t& the #etahe# 'alie of the paro#ist& )hih tur!s pathos i!to
bathos& tra$e#y i!to o'e#y( It 'ay be o'bi!e# )ith affetio!& as i! frie!#ly teasi!$, i!
i%ili+e# hu'our a$$ressio! is subli'ate# a!# ofte! u!o!sious( *ut i! .okes )hih
appeal to hil#re! a!# pri'iti%es& ruelty a!# boastful self"assertio! are 'uh i! e%i#e!e&
a!# the sa'e is true of the historially earlier for's a!# theories of the o'i( 'As lau$hter
e'er$es )ith 'a! fro' the 'ists of a!ti/uity it see's to hol# a #a$$er i! its ha!#( There is
e!ou$h brutal triu'ph& e!ou$h o!te'pt& e!ou$h striki!$ #o)! fro' superiority i! the
reor#s of a!ti/uity a!# its esti'ates of lau$hter to presu'e that ori$i!al lau$hter 'ay ha%e
bee! )holly a!i'osity(' 748 I! the Ol# Testa'e!t there are 1aor#i!$ to >ithell 7982
t)e!ty"!i!e refere!es to lau$hter& out of )hih thirtee! are li!ke# )ith sor!& #erisio!&
'oki!$& or o!te'pt& a!# o!ly t)o are 'bor! out of a .oyful a!# 'erry heart'( A sur%ey
a'o!$ A'eria shoolhil#re! bet)ee! the a$es of ei$ht a!# fiftee! le# to the o!lusio!
1)hih oul# har#ly ha%e surprise# a!ybo#y2 that ''ortifiatio! or #iso'fort or hoa-i!$
of others %ery rea#ily ause# lau$hter& )hile a )itty or fu!!y re'ark ofte! passe#
u!!otie#'( 7A8
A'o!$ the theories of lau$hter that ha%e bee! propose# si!e the #ays of Aristotle& the
'theory of #e$ra#atio!' appears as the 'ost persiste!t( For Aristotle hi'self lau$hter )as
losely relate# to u$li!ess a!# #ebase'e!t, for Ciero 'the pro%i!e of the ri#iulous ( ( (
lies i! a ertai! base!ess a!# #efor'ity', for <esartes lau$hter is a 'a!ifestatio! of .oy
''i-e# )ith surprise or hate or so'eti'es )ith both', i! Fra!is *ao!'s list of lau$hable
ob.ets& the first plae is take! by '#efor'ity'( The esse!e of the 'theory of #e$ra#atio!' is
#efi!e# i! Hobbes's Leviathan0
The passio! of lau$hter is !othi!$ else but su##e! $lory arisi!$ fro' a su##e! o!eptio!
of so'e e'i!e!y i! oursel%es by o'pariso! )ith the i!fir'ity of others& or )ith our o)!
for'erly(
*ai!& o!e of the fou!#ers of 'o#er! psyholo$y& follo)e# o! the )hole the sa'e theory0
'Not i! physial effets alo!e& but i! e%erythi!$ )here a 'a! a! ahie%e a stroke of
superiority& i! surpassi!$ or #iso'forti!$ a ri%al& is the #ispositio! of lau$hter appare!t('
768
For *er$so! lau$hter is the orreti%e pu!ish'e!t i!flite# by soiety upo! the u!soial
i!#i%i#ual0 'I! lau$hter )e al)ays fi!# a! u!a%o)e# i!te!tio! to hu'iliate a!#
o!se/ue!tly to orret our !ei$hbour(' 7I8 >a- *eerboh' fou!# 't)o ele'e!ts i! the
publi's hu'our0 #eli$ht i! sufferi!$& o!te'pt for the u!fa'iliar'( ><ou$all belie%e# that
'lau$hter has bee! e%ol%e# i! the hu'a! rae as a! a!ti#ote to sy'pathy& a proteti%e
reatio! shiel#i!$ us fro' the #epressi%e i!flue!e of the shorto'i!$s of our fello) 'e!('
7@8
Thus o! this o!e poi!t there is a$ree'e!t a'o!$ the theorists& a!ie!t a!# 'o#er!, a!# !ot
o!ly a$ree'e!t but e-a$$eratio!( O!e has o!ly to thi!k of Aristopha!es or Cal#ero!, 3
&idsummer 9ight/s :ream or Chateaubria!#'s &aximes et Pens;es& to reali+e that the
a$$ressi%e har$e #eto!ate# i! lau$hter !ee# !ot be $u!po)#er, a $rai! of Atti salt is
e!ou$h to at as a atalyst( Further'ore& )e 'ust re'e'ber that a$$ressio! a!# self"
#efe!e& ra$e a!# fear& hostility a!# apprehe!sio!& are as pairs of t)i!s i! their psyholo$y
a!# physiolo$y( O!e of the typial situatio!s i! )hih lau$hter ours is the 'o'e!t of the
su##e! essatio! of #a!$er& real or i'a$i!ary, a!# rarely is the harater of lau$hter as a
#ishar$e"'eha!is' for re#u!#a!t te!sio!s 'ore striki!$ly 'a!ifeste# tha! i! the su##e!
ha!$e of e-pressio! o! the s'all hil#'s fae fro' a!-ious apprehe!sio! to the happy
lau$h of relief(
:hate%er the o'positio! of the e'otio!al har$e )hih a !arrati%e arries& it )ill
pro#ue a o'i effet o!ly if a! a$$ressi%e"#efe!si%e te!#e!y& ho)e%er subli'ate#& is
prese!t i! it( Bou 'ay be #eeply 'o%e# by a perso!'s pre#ia'e!t& a!# yet u!able to
suppress a s'ile at its lu#irous aspet, a!# the i'pressio! of the 'lu#irous!ess' of a!other
perso!'s beha%iour al)ays i'plies a! assertio! "" o!sious or u!o!sious "" of your o)!
superiority, you s'ile at his e-pe!se(
The e'otio!s )hih #o'i!ate o! the opposite si#e of the triptyh #o !ot o!er! us as yet,
but I 'ust briefly 'e!tio! the' for the sake of o!trast( =iste!i!$ to >o+art& )athi!$ a
$reat ator's perfor'a!e& bei!$ i! lo%e or so'e other state of $rae& 'ay ause a )elli!$
up of happy e'otio!s )hih 'oiste! the eye or o%erflo) i! tears( Co'passio! a!#
berea%e'e!t 'ay ha%e the sa'e physial effet( The e'otio!s of this lass& )hether .oyous
or sa#& i!lu#e sy'pathy& i#e!tifiatio!& pity& a#'iratio!& a)e& a!# )o!#er( The o''o!
#e!o'i!ator of these hetero$e!eous e'otio!s is a feeli!$ of partiipatio!& i#e!tifiatio!& or
belo!$i!$, i! other )or#s& the self is e-perie!e# as bei!$ a part of a larger whole & a
hi$her u!ity "" )hih 'ay be Nature& ;o#& >a!ki!#& U!i%ersal Or#er& or the 'A!i'a
>u!#i', it 'ay be a! abstrat i#ea& or a hu'a! bo!# )ith perso!s li%i!$& #ea#& or i'a$i!e#(
I propose to all the o''o! ele'e!t i! these e'otio!s the 'partiipatory' or 'self"
tra!se!#i!$' te!#e!ies( This is !ot 'ea!t i! a 'ystial se!se 1thou$h 'ystiis' ertai!ly
belo!$s to this lass of e'otio!2, the ter' is 'erely i!te!#e# to o!%ey that i! these
e'otio!al states the !ee# is felt to beha%e as a part of so'e real or i'a$i!ary e!tity )hih
tra!se!#s& as it )ere& the bou!#aries of the i!#i%i#ual self, )hereas )he! $o%er!e# by the
self"asserti%e lass of e'otio!s the e$o is e-perie!e# as a self"o!tai!e# )hole a!# the
ulti'ate %alue(
As a rule our e'otio!s are o'ple- 'i-tures i! )hih both te!#e!ies partiipate( Thus
the e'otio! alle# 'lo%e' "" )hether se-ual or 'ater!al "" usually o!tai!s a! a$$ressi%e or
possessi%e& self"asserti!$ o'po!e!t& a!# a! i#e!tifiatory or self"tra!se!#i!$ o'po!e!t(
If e'otio!s )ere represe!te# by #iffere!t olours& the! the t)o opposite te!#e!ies )oul#
appear as bri$ht!ess %alues 1blak")hite 'i-tures2 superi'pose# o! the'(
The sub.et )ill be #isusse# i! 'ore #etail later 1Chapters HI"H32, rea#ers irritate# by
these repeate# a!tiipatory e-ursio!s 'ay fi!# so'e e-use for the' i! the o!si#eratio!
that the pai!ful %i%isetio! of the o'i& i! )hih they are aske# to partiipate& is !ot a!
e!# i! itself& but a 'ea!s to u!o%er the patter! )hih u!ites the appare!tly so
hetero$e!eous reati%e ati%ities i! hu'our& art& a!# #iso%ery(
The I!ertia of E'otio!
The first to 'ake the su$$estio! that lau$hter is a #ishar$e 'eha!is' for '!er%ous
e!er$y' see's to ha%e bee! Herbert Spe!er( His essay o! the Physiology of Laughter
14F@C2 starts )ith the propositio!0 'Ner%ous e!er$y al)ays tends to be$et 'usular 'otio!,
a!# )he! it rises to a ertai! i!te!sity al)ays #oes be$et it( ( ( ( E'otio!s a!# se!satio!s
te!# to $e!erate bo#ily 'o%e'e!ts& a!# ( ( ( the 'o%e'e!ts are %iole!t i! proportio! as the
e'otio!s or se!satio!s are i!te!se(' He!e& he o!lu#es& ')he! o!sious!ess is u!a)ares
tra!sferre# fro' $reat thi!$s to s'all' the 'liberate# !er%e fore' )ill e-pe!# itself alo!$ the
ha!!els of least resista!e& )hih are the 'usular 'o%e'e!ts of lau$hter(
The #etails of Spe!er's theory 1parts of )hih Freu# i!orporate# i!to his o)!2 7O8 ha%e
beo'e obsolete, but its basi thesis that 'e'otio! te!#s to be$et bo#ily 'otio!' has !ot
o!ly bee! o!fir'e#& but has beo'e so 'uh of a o''o!plae i! o!te'porary
!europhysiolo$y that the !ee# to /ualify it is ofte! for$otte!( For there e-ist& of ourse&
e'otio!al states "" looki!$ at the sea& or e!$a$i!$ i! reli$ious o!te'platio! "" )hih& o!
the o!trary& te!# to pro'ote rela-atio! a!# bo#ily passi%ity( The title of :alter *(
Ca!!o!'s pio!eer )ork& )hih ha# a #eisi%e i!flue!e o! the 'o#er! approah to the
proble' of e'otio!s "" 7odily hanges in Pain$ Hunger$ 1ear$ and !age "" ou$ht to ha%e
ate# as a )ar!i!$ that the e'otio!s )hih 'obili+e the bo#y i!to atio! all belo!$ to a!
i'porta!t& but !e%ertheless li'ite#& ate$ory "" that )hih e!ters the ser%ie of the self"
asserti%e te!#e!ies( Ca!!o! hi'self )ar!e# "" )ith little suess "" a$ai!st the lu'pi!$
to$ether of all e'otio!s i!to a ki!# of re# ra$ #re!he# )ith a#re!ali!(D Ho)e%er& for the
'o'e!t )e are o!er!e# o!ly )ith preisely this li'ite# ate$ory "" the a$$ressi%e"
#efe!si%e type of e'otio! )hih e!ters i!to the o'i(
:he! the >ar/uis i! the Cha'fort story rushes to the )i!#o)& our i!tellet tur!s a
so'ersault a!# e!ters )ith $usto i!to the !e) $a'e, but the pi/ua!t e-petatio!s )hih the
!arrati%e arrie#& i!lu#i!$ perhaps a! u!o!sious a#'i-ture of sa#is'& a!!ot be
tra!sferre# to the other& the '/ui#"pro"/uo' 'atri-, they are #ispose# of throu$h ha!!els of
least resista!e( :he! Othello& o! the poi!t of stra!$li!$ <es#e'o!a& breaks i!to
hiou$hs a!# is tra!sfor'e# i!to a poor& so##e! ha'& our thou$hts are a$ai! apable of
perfor'i!$ the .u'p fro' o!e assoiati%e o!te-t i!to a!other& but our te!sio!& !o)
#epri%e# of its lo$ial .ustifiatio!& 'ust so'eho) be )orke# off( I! a )or#& lau$hter is
a$$ressio! 1or apprehe!sio!2 robbe# of its lo$ial raison d/<tre, the puffi!$ a)ay of
e'otio! #isar#e# by thou$ht(
To $i%e a!other e-a'ple0 o!e of the popular #e%ies of sustai!e# hu'our is i'perso!atio!(
Chil#re! i'itati!$ a#ults& the o'e#ia! i'perso!ati!$ a publi fi$ure& 'e! #is$uise# as
)o'e! a!# )o'e! as 'e! "" i! all these ases the i'perso!ator is perei%e# as hi'self a!#
so'ebo#y else at the sa'e ti'e( :hile this situatio! lasts& the t)o 'atries are bisoiate#
i! the spetator's 'i!#, a!# )hile his i!tellet is apable of s)iftly osillati!$ fro' o!e
'atri- to the other a!# bak& his e'otio!s are i!apable of follo)i!$ these arobati tur!s,
they are spille# i!to the $utters of lau$hter as soup is spille# o! a roki!$ ship(
:hat these 'etaphors are 'ea!t to o!%ey is that the aggressive%defensive class of
emotions has a greater inertia$ persistence$ or mass momentum than reason ( This
assu'ptio! is taitly share# by 'ost psyholo$ial theories& but it !ee#s to be e-pliitly
state# i! or#er to appreiate its o!se/ue!es( The 'ost i'porta!t a'o!$ these is that /uite
fre/ue!tly our e'otio!s are i!apable of keepi!$ step )ith our reaso! a!# beo'e #i%ore#
fro' reaso!( I! psyhopatholo$y this phe!o'e!o! is take! for $ra!te#& but its si$!ifia!e
i! less e-tre'e situatio!s is $e!erally o%erlooke# "" althou$h both o''o! e-perie!e a!#
!europhysiolo$y ou$ht to 'ake it ob%ious( E'otio!s of the self"asserti!$ type i!%ol%e a
)i#e ra!$e of bo#ily ha!$es& suh as i!rease# seretio! of the a#re!al $la!#s& i!rease of
bloo# su$ar& aeleratio! of heart rate& spee#ier lotti!$ of the bloo#& altere# breathi!$&
i!hibitio! of #i$esti%e ati%ity& ha!$es i! eletri ski! resista!e& s)eati!$& '$oose"pi'ples'
)hih 'ake the hair of the ski! sta!# o! e!#& #ilatio! of the pupils& 'usle te!sio!& a!#
tre'or( The .oi!t effet of these so"alle# e'er$e!y reatio!s is to put the )hole or$a!is'
i!to a state of rea#i!ess for o'e )hat 'ay, s)eati!$& for i!sta!e& #isposes of the heat
$e!erate# by fi$ht or fli$ht& a!# the abu!#a!e of bloo# su$ar i! the irulatio! pro%i#es
the 'usles )ith e-ess e!er$y( He!e the re'arkable feats of fore of )hih people are
apable i! #a!$er, but 'ore i'porta!t fro' our poi!t of %ie) is the lo)eri!$ of the
threshhol# of 'otor respo!ses "" the i!rease# e-itability of the 'usles by !er%ous
i'pulses& a!# the resulti!$ te!#e!y to %iole!t 'o%e'e!t& to ')ork off'& or at least 'shake
off'& the physiolo$ial effets of e'otio!( The hief 'e#iators of this $e!eral 'obili+atio!
of the resoures of the bo#y are the so"alle# sy'patheti #i%isio! of the auto!o'ous
!er%ous syste'& a!# the hor'o!es serete# by the 'e#ulla of the suprare!al $la!#s0
a#re!ali! a!# !or"a#re!ali!& the 'hu'ours' of fear a!# a!$er( Si!e these !er%ous a!#
$la!#ular proesses are i!terrelate#& it is o!%e!ie!t to refer to the' .oi!tly as ati%ities of
the sy'pathio"a#re!al syste'( 1To a%oi# o!fusio!& I 'ust u!#erli!e that the sy'patheti
!er%ous syste' has !othi!$ to #o )ith the frie!#ly e'otio! of sy'pathy, rather& as I ha%e
.ust sai#& )ith its opposites0 ra$e a!# fear( Ho)e%er& by a luky oi!i#e!e the i!itials of
Sy'pathio"A#re!al syste' are the sa'e as those of the Self"Asserti%e e'otio!s )hih are
arouse# by it(2
It follo)s fro' the abo%e that these e'otio!s i!%ol%e i!o'parably hea%ier 'ahi!ery&
ati!$ o! the )hole bo#y& tha! the proess of thi!ki!$ )hih& physiolo$ially speaki!$& is
o!fi!e# to the roof of the brai!( The he'ial a!# %iseral states i!#ue# by the atio! of
the sy'pathio"a#re!al syste' te!# to persist, o!e this 'assi%e apparatus is set i! 'otio!
it a!!ot be alle# off or 'ha!$e its #iretio!' at a 'o'e!t's !otie( Co''o! obser%atio!
pro%i#es #aily& pai!ful o!fir'atio! of this( :e are literally 'poiso!e#' by our a#re!al
hu'ours, reaso! has little po)er o%er irritability or a!-iety, it takes ti'e to talk a perso!
out of a 'oo#& ho)e%er %ali# the ar$u'e!ts, passio! is bli!# to better .u#$e'e!t, a!$er
a!# fear sho) physial after"effets lo!$ after their auses ha%e bee! re'o%e#( If )e oul#
ha!$e our 'oo#s as /uikly as )e .u'p fro' o!e thou$ht to a!other )e )oul# be
arobats of e'otio!(
Thi!ki!$& i! its physiolo$ial aspet& is base# o! eletro"he'ial ati%ities i! the erebral
orte- a!# relate# re$io!s of the brai!& i!%ol%i!$ e!er$y tra!satio!s )hih are 'i!ute
o'pare# to the 'assi%e $la!#ular& %iseral& a!# 'usular ha!$es that our )he!
e'otio!s are arouse#( These ha!$es are $o%er!e# by phylo$e!etially 'uh ol#er parts of
the brai! tha! the roof"strutures )hih e!able 'a! to thi!k i! %erbal sy'bols( *eha%iour
at a!y 'o'e!t is the outo'e of o'ple- proesses )hih operate si'ulta!eously o!
se%eral le%els of the !er%ous syste'& fro' the spi!al or# to our latest a/uisitio!& the
prefro!tal lobes( There is probably !o for'al thi!ki!$ )ithout so'e affeti%e olouri!$,
but it is !e%ertheless le$iti'ate to #isti!$uish bet)ee! for' a!# olour "" i! our ase
bet)ee! the lo$ial patter! of a o'i !arrati%e a!# the e'oti%e har$e )hih it arries(
The sy'pathio"a#re!al syste' 'i$ht be o'pare# to the bo#y of a pia!o )hih $i%es
reso!a!e to the ortial stri!$s of thou$ht( :he! all is )ell the hu$e )oo#e! bo- le!#s
#epth a!# olour a!# )ar'th to the %ibratio!s of the stri!$s( *ut if you play a hu'orous
sher+o )ith full pe#al o!& the reso!ati!$ bo#y is u!able to follo) the s)ift 'o#ulatio!s of
the hor#s "" thou$ht a!# e'otio! ha%e beo'e #issoiate#( It is emotion deserted by
thought )hih is #ishar$e# i! lau$hter( For e'otio!& o)i!$ to its $reater 'ass 'o'e!tu'&
is u!able to follo) the su##e! s)ith of i#eas to a #iffere!t type of lo$i or a !e) rule of
the $a'e, less !i'ble tha! thou$ht& it te!#s to persist i! a strai$ht li!e( Ariel lea#s Caliba!
o! by the !ose0 she .u'ps o! a bra!h& he rashes i!to the tree(
It oul# be ob.ete# that the fai!t e'oti%e har$e of a .oke& the sli$ht 'alie or
salaious!ess )hih it arouses& )oul# !ot be suffiie!t to bri!$ the 'assi%e sy'pathio"
a#re!al 'ahi!ery i!to atio!( The a!s)er lies i! the a!ahro!isti harater of our
auto!o'ous respo!ses to sti'uli )hih arry a! eho& ho)e%er fai!t& of situatio!s that hel#
a threat or pro'ise i! the re'ote past of the speies, )hih o!e )ere biolo$ially rele%a!t&
thou$h they !o lo!$er are( These reatio!s la$ by 'a!y 'ille!!ia behi!# the o!#itio!s i!
)hih )e li%e0 )e .u'p at a su##e! sou!#, )e #e%elop $ooseflesh i! respo!se to a
sreehi!$ !oise& to 'ake our lo!$"lost bo#y hair bristle at the attak of so'e e-ti!t beast,
)e s)eat before a! e-a'i!atio! "" to #ispose of the e-essi%e heat our bo#ies 'i$ht
#e%elop i! the i'pe!#i!$ stru$$le )ith the e-a'i!er( I like to all these i!!ate&
a!ahro!isti respo!ses the over%statements of the body ( O!e of the re'arkable thi!$s
about the' is that they a! be tri$$ere# off by ertai! sti'uli i! 'i!ute& /uasi"ho'eopathi
#oses(
To su' up& the $rai! of salt )hih 'ust be prese!t i! the !arrati%e to 'ake us lau$h tur!s
out to be a #rop of a#re!ali!(
The >eha!is' of =au$hter
I! the first hapter I #isusse# the lo$i of hu'our, i! the pre%ious setio! its e'otio!al
#y!a'is( Fitti!$ the t)o to$ether& )e a! !o) e-pa!# the for'ula o! pa$e AI as follo)s0
The su##e! bisoiatio! of a 'e!tal e%e!t )ith t)o habitually i!o'patible 'atries results
i! a! abrupt tra!sfer of the trai! of thou$ht fro' o!e assoiati%e o!te-t to a!other( The
e'oti%e har$e )hih the !arrati%e arrie# a!!ot be so tra!sferre# o)i!$ to its $reater
i!ertia a!# persiste!e, #isar#e# by reaso!& the te!sio! fi!#s its outlet i! lau$hter(
*ut that still lea%es the /uestio! ope! )hy the e-ess e!er$y shoul# be )orke# off i! the
partiular for' of lau$hter a!# !ot& say& by flappi!$ o!e's ar's or )i$$li!$ o!e's toes( The
so'e)hat te!tati%e a!s)er is that the 'usular o!tratio!s a!# breathi!$ atio!s i!
lau$hter see' to offer !atural ha!!els of least resista!e for the o%erflo)( To /uote Freu#0
Aor#i!$ to the best of 'y k!o)le#$e& the $ri'aes a!# o!tortio!s of the or!ers of the
'outh that harateri+e lau$hter appear first i! the satisfie# a!# o%er"satiate# !ursli!$ )he!
he #ro)sily /uits the breast( ( ( ( They are physial e-pressio!s of the #eter'i!atio! to take
!o 'ore !ourish'e!t& a! 'e!ou$h' so to speak& or rather a ''ore tha! e!ou$h'( ( ( ( This
pri'al se!se of pleasurable saturatio! 'ay ha%e pro%i#e# the li!k bet)ee! the s'ile "" that
basi phe!o'e!o! u!#erlyi!$ lau$hter "" a!# its subse/ue!t o!!etio! )ith other
pleasurable proesses of #e"te!sio!( 7F8
I! other )or#s& the 'usle"o!tratio!s of the s'ile& as the earliest 'a!ifestatio!s of relief
fro' te!sio!& )oul# thereafter beo'e ha!!els of least resista!e(
The peuliar breathi!$ i! lau$hter& )ith its repeate#& e-plosi%e e-halatio!s& see's #esi$!e#
to 'puff a)ay' surplus te!sio! i! a ki!# of respiratory $y'!astis, a!# the %i$orous $estures
a!# slappi!$ of thi$hs ob%iously ser%e the sa'e fu!tio!( Ofte! these 'assi%e reatio!s
see' to be /uite out of proportio! to the feeble sti'uli )hih pro%oke the' "" partiularly
)he! )e #o !ot like the type of .oke )hih auses suh hilarity i! others0
A thousa!# E#i!bur$h shoolhil#re! burst i!to lau$hter )he! <a%i# Oistrakh& the
Russia! %ioli!ist& s!appe# a stri!$ )hile playi!$ Shubert's Fa!tasy i! C >a.or #uri!$ a
reital of a ity housi!$ estate yester#ay( Their stu#ious atte!tio! broke )he! >r( Oistrakh
"" $uest ofho!our at the E#i!bur$h Festi%al "" hel# up the %ioli! a!# looke# )ith
o!ster!atio! at his ao'pa!ist( 758
=et us try to u!#ersta!# )hat those brats fou!# so fu!!y( Firstly& there is the fa'iliar
patter! of the pratial .oke )hih the la)s of physis play o! the artist& su##e!ly re%eali!$
that his 'a$i stri!$s are 'a#e of o''o! at"$ut "" 'I k!o) you fro' a plu'"tree'( The
'o!ster!atio!' o! Oistrakh's fae is the o!ster!atio! of the 'a! slippi!$ o! the ba!a!a
ski!, e-altatio! is #ebu!ke# by the su##e! i'pat of tri%iality( *ut all this #oes !ot aou!t
for that u!e-pete#& barbari outburst of hilarity )hih shool'asters k!o) o!ly too )ell ""
u!less o!e reali+es that )hat I all& so'e)hat abstratly& 'the e'otio!al har$e of the
!arrati%e' o!tai!s here a 'ass of rese!t'e!t& 'ostly perhaps u!o!sious& at ha%i!$ to sit
still a!# liste! ')ith stu#ious atte!tio!' to that Russia! )ith the u!pro!ou!eable !a'e, a
represse# e'otio!& te!#i!$ to be$et fi#$ety 'otio!s& u!til the te!sio! s!aps )ith the stri!$&
releasi!$ the outburst& i!sta!tly tra!sfor'i!$ the hushe# lass i!to a hor#e of sa%a$es(
I! other )or#s& all #isussio!s of the o'i re'ai! bloo#less abstratio!s u!less )e bear
i! 'i!# that lau$hter is a phe!o'e!o! of the tri$$er"release type& )here a 'i!ute ause a!
ope! the tap of surprisi!$ly lar$e stores of e!er$y fro' %arious soures0 represse# sa#is',
represse# se-, represse# fear, e%e! represse# bore#o'( Here is a list of 'oasio!s for
lau$hter' reor#e# by A'eria! u!#er$ra#uates i! reply to a /uestio!!aire0
A pillo) fi$ht i! the #or'itory A $irl frie!# tore her #ress I fell #uri!$ skati!$ A #o$ a'e
i! #uri!$ a leture A 'ispro!ou!e# )or# i! rhetori lass *ei!$ tease# about 'y
orpule!e =i++ie tryi!$ to #o a fairy #a!e >y oppo!e!ts i! a bri#$e $a'e bi##i!$ four
spa#es )he! I hel# t)o aes a!# the ki!$& .ak a!# fi%e of spa#es A! artile by a priest o!
the se- life of H( ;( :ells( 74C8
This ou$ht to be e!ou$h to 'ake o!e reali+e that lau$hter 'ay be e!tirely 'irthless a!#
hu'ourless,D it a! be o!tri%e# as a 'ea!s of soial o''u!iatio! or i! lieu of a ru#e
!oise( It a! also ser%e to o%er up se-ual or sa#isti $loati!$& as i! the fore#& tu'ese!t
lau$hter of the spetators at a strip"tease "" or i! the .olly 'a!ifestatio!s of E!$lish popular
hu'our at publi ha!$i!$s i! the last e!tury(
Surprisi!$ly& *er$so! belie%e# that o!e a! o!ly lau$h i! the prese!e of others ""
presu'ably beause this fitte# his theory of lau$hter as a! at of soial orretio! 1'o!e has
!o taste for the o'i )he! o!e feels isolate#( It see's that lau$hter !ee#s a! eho( Our
lau$hter is al)ays the lau$hter of a $roup('2( 7448 No #oubt& olleti%e $i$$li!$ fits #o our
i! #or'itories at $irls' shools& a!# !o #oubt o!e lau$hs )ith 'ore $usto i! o'pa!y tha!
alo!e( *ut the i!fetious!ess of e'oti%e 'a!ifestatio!s is a )ell"k!o)! phe!o'e!o! i!
$roup beha%iour& )hih e/ually applies to hysteria& pa!i& e%e! to i!fetious ou$hi!$ of
theatre au#ie!es, it is !ot a speifi harateristi of lau$hter& a!# o!tributes !othi!$ to its
e-pla!atio!(
=astly& lau$hter or s'ili!$ fre/ue!tly our i! respo!se to sti'uli )hih i! the'sel%es are
!ot o'i& but 'erely si$!s or sy'bols for o'i sti'uli& or e%e! sy'bols of sy'bols ""
Chapli!'s boots& ;rouho >ar-'s i$ar& ariatures of elebrities re#ue# to a fe) %isual
hi!ts& ath"phrases a!# allusio!s to fa'iliar situatio!s( The a!alysis of these obli/ue ases
ofte! re/uires trai!$ bak a lo!$ a!# i!%ol%e# threa# of assoiatio!s to its soure& )hih is
!ot 'uh fu!, yet the proe#ure is esse!tially the sa'e as the literary riti's or the art
historia!'s )he! they try to a!alyse the e%oati%e po)er of a poeti i'a$e or a la!#sape(
The task is 'a#e 'ore o'pliate# by the fat that the effet of suh o'i sy'bols "" the
si$ht of Colo!el *li'p o! a artoo!& the appeara!e of Falstaff o! the sta$e "" appears to be
i!sta!ta!eous, there see's to be !o ti'e for first au'ulati!$ a!# the! #ishar$i!$
te!sio!( *ut i! these ases 'e'ory ser%es as a! au'ulator& a stora$e battery )hose
eletri har$e a! be sparke# off a!y ti'e0 the s'ile )hih $reets Papa$e!o strutti!$ o! to
the se!e is #eri%e# fro' a 'i-ture of 'e'ories a!# e-petatio!s( All of )hih $oes to
sho) that to fi!# the e-pla!atio! )hy )e lau$h 'ay be a task as #eliate as a!alysi!$ the
he'ial o'positio! of a perfu'e& )ith its 'ultiple i!$re#ie!ts "" so'e of )hih are
!e%er perei%e#& )hile others& s!iffe# i! isolatio!& )oul# 'ake us )i!e(
The I'porta!e of !ot bei!$ Ear!est
<isussi!$ the proble' of 'a!'s i!!ate a$$ressi%e te!#e!ies& Al#ous Hu-ley o!e sai#0
O! the physiolo$ial le%el I suppose the proble' is li!ke# )ith the fat that )e arry
arou!# )ith us a $la!#ular syste' )hih )as a#'irably )ell a#apte# to life i! the
Paleolithi ti'es but is !ot %ery )ell a#apte# to life !o)( Thus )e te!# to pro#ue 'ore
a#re!ali! tha! is $oo# for us& a!# )e either suppress oursel%es a!# tur! #estruti%e e!er$ies
i!)ar#s or else )e #o !ot suppress oursel%es a!# )e start hitti!$ people( 7498
A thir# alter!ati%e& )hih Hu-ley o%erlooke#& is to lau$h at people( There are& of ourse&
other outlets for ta'e a$$ressio!0 sport& politis& book"re%ie)i!$& a!# so forth, but these are
o!sious& %olu!tary ati%ities& )hereas lau$hter is a spo!ta!eous& physiolo$ial refle-& a
$ift of !ature i!lu#e# i! our !ati%e e/uip'e!t as part of the e%olutio!ary paka$e #eal(
Not o!ly the fu!tio!s of our $la!#s& but the )hole auto!o'ous !er%ous syste' a!# the
e'otio!"o!trolli!$ e!tres i! the 'i#"brai!& are 'uh ol#er tha! the Paleolithi A$e& a!#
reflet o!#itio!s at a sta$e of hu'a! e%olutio! )he! the stru$$le for e-iste!e )as 'ore
#ea#ly tha! at prese!t a!# )he! a!y u!usual si$ht or sou!# ha# to be a!s)ere# by
.u'pi!$& bristli!$& fi$ht& or fli$ht( As seurity a!# o'fort i!rease# i! the speies& the
affet"$e!erati!$ e'er$e!y 'eha!is's of the sy'pathio"a#re!al syste' $ra#ually
bea'e a! a!ahro!is'( *ut or$a!s a!# their fu!tio!s #o !ot atrophy at the rate at )hih
they beo'e re#u!#a!t, a!# thus the biolo$ial e%olutio! of ho'o saple!s 1if it has !ot
stoppe# alto$ether2 la$s #a!$erously behi!# his 'e!tal e%olutio!( O!e o!se/ue!e of this
is that our brai!s ha%e beo'e '#i%i#e# houses of faith a!# reaso!'& of thi!ki!$ at o##s )ith
e'otio!s, a!other& that our e'oti%e respo!ses ha%e beo'e 'o%er"state'e!ts of the bo#y'
out of all proportio! )ith the reatio!s biolo$ially re/uire# or soially per'itte# "" a!#
a!!ot be )orke# off throu$h their ori$i!al ha!!els( Fortu!ately& at so'e poi!t alo!$ the
e%olutio!ary li!e& the lu-ury refle-es of lau$hter a!# )eepi!$ e'er$e# as o%erflo)
'eha!is's for the #isposal of at least part of our re#u!#a!t e'otio!s( They are ob%iously
t)i! refle-es0 lau$hter ser%i!$ the #isposal of a$$ressi%e e'otio!s ast off by the i!tellet&
)hile ryi!$ 1to a!tiipate o!e 'ore2 failitates the o%erflo) of partiipatory e'otio!s
aepte# by the i!tellet(
It follo)s that t)o o!#itio!s ha# to be fulfille# before homo ridens& the lau$hi!$ a!i'al&
oul# e'er$e0 first a relati%e seurity of e-iste!e& )hih alle# for !e) outlets for e-ess
e!er$ies, seo!# a!# 'ore i'porta!t& a le%el of e%olutio! ha# to be reahe# )here
reaso!i!$ ha# $ai!e# a ertai! #e$ree of auto!o'y fro' the 'bli!#' ur$es of e'otio!, )here
thou$ht ha# a/uire# that i!#epe!#e!e a!# !i'ble!ess )hih e!able it to #etah itself
fro' feeli!$ "" a!# to o!fro!t its $la!#ular hu'ours )ith a se!se of hu'our( O!ly at this
sta$e of 'ortial e'a!ipatio!' oul# 'a! perei%e his o)! e'otio!s as re#u!#a!t& a!#
'ake the s'ili!$ a#'issio! 'I ha%e bee! foole#'(
*e!eath the hu'a! le%el there is !either the possibility !or the !ee# for lau$hter, it oul#
arise o!ly i! a biolo$ially seure speies )ith re#u!#a!t e'otio!s a!# i!telletual
auto!o'y(D The su##e! reali+atio! that o!e's o)! e-ite'e!t is 'u!reaso!able' heral#s the
e'er$e!e of self"ritiis'& of the ability to see o!e's %ery o)! self from outside , a!# this
bisoiatio! of sub.eti%e e-perie!e )ith a! ob.eti%e fra'e of refere!e is perhaps the
)ittiest #iso%ery of ho'o sapie!s(
Thus lau$hter ri!$s the bell of 'a!'s #eparture fro' the rails of i!sti!t, it si$!als his
rebellio! a$ai!st the si!$le'i!#e#!ess of his biolo$ial ur$es& his refusal to re'ai! a
reature of habit& $o%er!e# by a si!$le set of 'rules of the $a'e'( A!i'als are fa!atis, but
O = How the dear little children laugh = "hen the drums roll and the lovely = Lady is sawn
in half . . . . 74A8
NOTES
To p( I@( Critii+i!$ a paper rea# by a !eurolo$ist to a lear!e# soiety& he re'arke#0 'The
author spoke of e'otio!s i! %ery $e!eral ter's( ( ( ( There are features )hih he 'e!tio!e#
)hih I oul# reo$!i+e as harateristi of 'a.or e'otio!s& as a!$er a!# ra$e, but after all&
lo%e is a! e'otio!( ( ( ( I thi!k that )he! )e #isuss e'otio! )e ou$ht to speify the sorts
of e'otio! )e ha%e i! 'i!#' 1Ca!!o!& 45952(
To p( @4( The artile i! )hih this list appeare# is harateristi of the beha%iourist
approah, it e!!u'erate# three 'basi pri!iples' of lau$hter0 1a2 'as a! e-pressio! of .oy'&
1b2 'lau$hter 'akes for $roup ohesio! throu$h ho'o$e!eity of feeli!$ )ithi! the $roup'&
12 'lau$hi!$ a! be use# as a )eapo! i! o'petiti%e situatio!s'( The )or# 'hu'our' )as !ot
'e!tio!e# i! the artile, lau$hi!$ at '.okes& a!tis& et('& )as 'e!tio!e# o!ly i! passi!$& as
ob%iously !ot a phe!o'e!o! )orthy of the psyholo$ists' atte!tio!(
To p( @A( So'e #o'estiate# a!i'als "" #o$s& hi'pa!+ees "" see' to be apable of a
hu'orous e-pressio! a!# to e!$a$e i! teasi!$ ati%ities( These 'ay be re$ar#e# as
e%olutio!ary foreru!!ers of lau$hter(
III
3ARIETIES OF HU>OUR
The tools ha%e !o) bee! asse'ble# )hih shoul# e!able the rea#er to #isset a!y
spei'e! of hu'our( The proe#ure to be follo)e# is0 first& #eter'i!e the !ature of >4 a!#
>9 i! the #ia$ra's o! pa$es AI a!# AO by #iso%eri!$ the type of lo$i& the rules of the
$a'e& )hih $o%er! eah 'atri-( Ofte! these rules are i'plie#& as hi##e! a-io's& a!#
take! for $ra!te# "" the o#e 'ust be #e"o#e#( The rest is easy0 fi!# the 'li!k' "" the foal
o!ept& )or#& or situatio! )hih is bisoiate# )ith both 'e!tal pla!es, lastly& #efi!e the
harater of the e'oti%e har$e a!# 'ake a $uess re$ar#i!$ the u!o!sious ele'e!ts that
it 'ay o!tai!( I! the setio!s )hih follo) I shall apply this teh!i/ue to %arious types of
hu'our(
Pu! a!# :ittiis'
Our spae'e!& >rs( =a'port fears& are 'hea#i!$ for the Nlu!ar bi!N(' The a$ei!$ liberti!e&
she tells us& 'feels his ol# Krafft Ebbi!$'( The Re%ere!# Spoo!er ha# a $reat affetio!& or so
he sai#& for 'our /ueer ol# #ea!'(
O!e s)allo)& the pro%erb says& #oes !ot 'ake a su''er "" !or /ue!h the thirst( Eli.ah's
ra%e!s& aor#i!$ to >ilto!& )ere 'thou$h ra%e!ous tau$ht to abstai! fro' )hat they
brou$ht'( Not so Napoleo!& )ho& shortly after his oro!atio!& o!fisate# the estates of the
house of OrlTa!s& )hih ause# a o!te'porary to re'ark0 /est le premier vol de l/aigle(
E/ually to the poi!t )as >r( Paul ?e!ki!'s #iso%ery re$ar#i!$ the pros a!# o!s of
*ritai!'s e!try i!to the Co''o! >arket0 'The Co!s )ere pro& )hile =ab has tur!e# o!('
The pu! is the bisoiatio! of a si!$le pho!eti for' )ith t)o 'ea!i!$s "" t)o stri!$s of
thou$ht tie# to$ether by a! aousti k!ot( Its i''e!se popularity )ith hil#re!& its
pre%ale!e i! ertai! for's of 'e!tal #isor#er 1'pu!!i!$ 'a!ia'2& a!# its fre/ue!t
ourre!e i! the #rea'& i!#iate the profou!# u!o!sio!s appeal of assoiatio! base# o!
pure sou!#( Its opposite !u'ber is the rhy'e( I! bet)ee! these t)o& o! the e!tral pa!el&
the bisoiatio! of sou!# a!# se!se assu'es a playful for' i! )or# $a'es like =e-io!&
a!a$ra'& a!# ross)or# pu++le, a!# a serious for' i! o'parati%e philolo$y a!#
paleo$raphy& the #eipheri!$ of a!ie!t i!sriptio!s 1pp( 4F@"O2(
:hether the t)o 'ea!i!$s assoiate# )ith the pu! are #eri%e# fro' the sa'e root as i!
'lu!ar bi!', or are ho'o!y's as vol U fli$ht a!# vol U theft& is irrele%a!t pro%i#e# the t)o
#eri%atio!s ha%e #rifte# apart far e!ou$h to beo'e i!o'patible( I! fat& there is a
o!ti!uous series strethi!$ fro' the pu! throu$h the play of )or#s 15eu de mots2 to the
play of i#eas 15eu d/esprit2( =et 'e /uote a fe) 'ore e-a'ples of the latter(
*he super%ego is that part of the personality which is soluble in alcohol( The o!ept
'soluble' is bisoiate# 1a2 )ith the o!te-t of the he'ial laboratory a!# 1b2 )ith the
1'etaphorial2 #issolutio! of o!e's hi$h pri!iples i! o!e's ups( The first fe) )or#s of the
se!te!e arouse perhaps a 'il# irritatio! )ith the Freu#ia! .ar$o! "" or apprehe!sio!& as the
ase 'ay be, )hih is the! tittere# a)ay throu$h the !o) fa'iliar 'eha!is'(
Here is a!other sa'ple fro' this $a'e of #efi!itio!s0 "hat is a sadist> 3 sadist is a
person who is kind to a masochist. The li!k"o!ept is 'ki!#!ess'& bisoiate# )ith t)o
#ia'etrially oppose# 'ea!i!$s, 'oreo%er the )hole #efi!itio! is ope! to t)o #iffere!t
i!terpretatio!s0
1a2 the sa#ist #oes a ki!#!ess to the 'asohist by torturi!$ hi',
1b2 the sa#ist is torturi!$ the 'asohist by bei!$ ki!# to hi'(
I! both ases the sa#ist 'ust $o a$ai!st his o)! !ature& a!# the #efi!itio! tur!s out to be i!
fat a %aria!t of the lo$ial para#o- about the Creta! )ho asserts that all Creta!s are liars(
*ut )e a! $et arou!# it by #ei#i!$ that i! either i!terpretatio! 'ki!#' shoul# be
u!#erstoo# both literally a!# 'etaphorially at the sa'e ti'e, i! other )or#s& by playi!$
si'ulta!eously t)o $a'es $o%er!e# by opposite rules( :e shall see that suh reversals of
logic play a o!si#erable part i! sie!tifi #iso%ery 1pp( 454"52( They are also a reurre!t
'otif i! poetry a!# literature( O!e of 'y fa%ourite <o!!e /uotatio!s is a li!e fro' the
Holy .onnets0 'For O& for so'e& !ot to be 'artyrs is a 'artyr#o'('
I ha%e $i%e! e-a'ples of the bisoiatio! of professio!al )ith o''o!se!se lo$i& of
'etaphorial )ith literal 'ea!i!$& of o!te-ts li!ke# by sou!# affi!ities& of trai!s of
reaso!i!$ tra%elli!$& happily .oi!e# to$ether& i! opposite #iretio!s( The list oul# be
e-te!#e# beyo!# the li'its of patie!e( I! fat a!y t)o 'atries a! be 'a#e to yiel# a
o'i effet of sorts& by fi!#i!$ a! appropriate li!k bet)ee! the' a!# i!fusi!$ a #rop of
a#re!ali!( Take as a ra!#o' e-a'ple t)o assoiati%e o!te-ts e!tre# o! the u!pro'isi!$
key")or#s 'alliteratio!' a!# 'hy#rotherapy'( 1The e-a'ple atually ori$i!ate# i! a halle!$e
follo)i!$ a #isussio!, I a' 'erely /uoti!$ it& )ith apolo$ies& to sho) that i! pri!iple it
a! be #o!e20
;ossip Colu'! Ite'0 =a#y S'ith"E%erett& reei%i!$ 'e i! her su'ptuous bou#oir&
e-plai!e# that she ha# al)ays suffere# fro' 'the 'ost 'a##e!i!$ rashes' u!til she 'et her
prese!t physiia!& a for'er professor ofpsyho"hy#rotherapy at the U!i%ersity of
*uharest( *y e'ployi!$ a !e) test )hih he i!%e!te#& the Professor #iso%ere# that she
ha# 'a $ra#e 6 aller$y' a$ai!st so.our!i!$ i! spas a!# holi#ay resorts )ith the i!itial letter C(
No 'ore %isits to Capri a!# Carlsba# for =a#y S"E(G
It is !ot e%e! !eessary that the t)o 'atries shoul# be $o%er!e# by i!o'patible o#es(
O!e a! obtai! o'i effets by si'ply o!fro!ti!$ /ua!titati%ely #iffere!t sales of
operatio!& pro%i#e# that they #iffer suffiie!tly i! or#er of 'a$!itu#e for o!e sale to
beo'e !e$li$ible o'pare# )ith the other( The result is the type of .oke 'a#e aor#i!$
to the for'ula0 the 'ou!tai!s laboure#& the birth )as a 'ouse(
:ith a! a##e# t)ist you $et this ki!# of #otty #ialo$ue "" bet)ee! a !er%ous bus"passe!$er
a!# the o!#utor0
:hat's the ti'eE Thurs#ay( ;oo# =or#G I 'ust $et off(
This is a serial affair i! )hih !ot t)o but three 'atries are suessi%ely i!%ol%e#& eah
)ith a #iffere!t sale of 'easure'e!t( >4 has a $ri# of hours a!# 'i!utes, >9 of #ays of
the )eek( The t)o #iffer i! fat o!ly i! /ua!tity but pro%i#e /ualitati%ely #iffere!t fra'es
of refere!e, the thir# 'atri- has spatial i!stea# of te'poral o"or#i!ates "" )here to $et
off& !ot )he!( It )oul# be i'possible to orie!tate o!e's beha%iour )ith refere!e to these
three #iffere!t $ri#s at the sa'e ti'e, yet that is preisely )hat the tri"soiate# passe!$er is
tryi!$ to #o(
=et 'e repeat0 a!y t)o u!i%erses of #isourse a! be use# to fabriate a .oke( =e)is
Carroll se!t the follo)i!$ o!tributio! to a philosophial sy'posiu'0
Bet )hat 'ea! all suh $aieties to 'e :hose life is full of i!#ies a!# sur#sE -V K O- K IA
U --WA'
The u!i%erses of %erbal a!# 'athe'atial sy'bols are li!ke# by pure sou!#"affi!ity ""
)ith rhy'e but )ithout reaso!( :he! T( E( =a)re!e .oi!e# the ra!ks as Pri%ate Sha)&
Noel Co)ar# )rote to hi' that fa'ous letter be$i!!i!$ '<ear AAF4O4 1'ay I all you
AAFE2'(
>a! a!# A!i'al
I! the pre%ious hapter I #isusse# the bisoiatio! of 'a! a!# 'ahi!e, relate# to it is the
hybri# 'a!"a!i'al( <is!ey's reatures beha%e as if they )ere hu'a! )ithout losi!$ their
a!i'al appeara!e& they li%e o! the li!e of i!tersetio! of the t)o pla!es, so #o the
artoo!ist's pi$$y or 'ousy hu'a!s( This #ouble"e-iste!e is o'i& but o!ly so lo!$ as the
o!fro!tatio! has the effet of a sli$htly #e$ra#i!$ e-posure of o!e or the other( If
sy'pathy pre%ails o%er 'alie& e%e! poor <o!al# <uk's 'isfortu!es ease to be
lau$hable, a!# as you 'o%e o%er to the ri$ht"ha!# pa!el of the triptyh& the 'a!"a!i'al
u!#er$oes a series of tra!sfor'atio!s0 fro' the loyi!$ lyriis' of *a'bi to the tra$e#y of
Or)ell's *o-er, fro' the arhetypal 'e!ae of the )ere)olf to the >eta'orphosis of
Kafka's hero i!to a filth"#e%ouri!$ okroah( As for sie!e& the i'porta!e of lear!i!$
about 'a! by the e-peri'e!tal stu#y of a!i'al physiolo$y !ee# !ot be stresse#, i!
psyholo$y it has bee! rather o%erstresse# to the poi!t )here the sali%ary refle-es of #o$s
a'e to be re$ar#e# as para#i$'ati for hu'a! beha%iour(
I'perso!atio!
The %arious ate$ories of the o'i sha#e i!to eah other0 <is!ey's a!i'als ati!$ like
hu'a!s oul# as )ell be lassifie# u!#er the hea#i!$ 'i'itatio!& i'perso!atio!& a!#
#is$uise'( The i'perso!ator is t)o #iffere!t people at o!e ti'e( If the result is #e$ra#i!$&
the spetator )ill lau$h( If he is le# to sy'pathi+e or i#e!tify hi'self )ith the i'perso!ate#
hero& he )ill e-perie!e that state of split"'i!#e#!ess k!o)! as #ra'ati illusio! or the
'a$i of the sta$e( :hih of the t)o possibilities )ill our #epe!#s of ourse partly o!
the ator& but ulti'ately a 5est/s prosperity lies in the ear = Of him that hears it$ never in the
tongue = Of him that makes it.[1] The same 'narrative', a Victorian melodrama or a Chinese
opera, acted in both cases in precisely the same way, will make some spectators giggle,
others weep. The same dramatic devices may serve either a comic or a tragic purpose
!omeo a
"uliet are the victims o# absurd coincidences, $edipus's marriage to his mother is due to
mistaken identity% !osamund in 3s ?ou Like It a!# =eo!ora i! 1idelio are both disguised as
men, yet in one case the result is drama, in another comedy. The techni&ue o# creating
character'types is also shared by both in the classical #orm o# tragedy, whether (reek,
)ndian, or "apanese, characteri*ation is o#ten achieved by standardi*ed masks% in the
comedy, down to +oliXre& by the reatio! of types0 the 'iser& the $lutto!& the hyporite& the
ukol#( I! the e!tre pa!el 1)here i'perso!atio! appears i! the for' of e'pathy& the at
of self"pro.etio! )hih e!ables o!e to u!#ersta!# others& see belo)& pp( 4FO"F2 the
lassifiatio! of harater"types has bee! the ai' of i!essa!t efforts "" fro' the 'four
te'pera'e!ts' of the ;reeks& to Kretsh'er& ?u!$& Shel#o!& a!# so o!(
The Chil#"A#ult
:hy are puppies #rollE Firstly& their helpless!ess& trusti!$!ess& attah'e!t& a!# pu++le#
e-pressio! 'ake the' 'ore 'hu'a!' tha! $ro)!"up #o$s, i! the seo!# plae the feroious
$ro)l of the puppy strikes us as a! i'perso!atio! of a#ult beha%iour 1like the little boy
)ith stuk"o! bear# a!# bo)ler"hat& prete!#i!$ to be the fa'ily #otor2, thir#ly& the
puppy's )a##li!$ a!# tu'bli!$ 'akes it a hoie %iti' of !ature's pratial .okes,
further'ore& its bo#ily #isproportio!s& the hu$e pa##e# pa)s& )ri!kle# bro)& a!#
Falstaffia! belly& $i%e it the appeara!e of a ariature, a!# so o!( The #eli$hte# lau$hter
)hih $reets the puppy's a!tis see's so si'ple to e-plai!, but )he! )e try to a!alyse it
)e fi!# se%eral i!terloki!$ auses, a!# )hile the )or# '#eli$hte#' i!#iates a pure
e'otio!& free fro' the u$ly tai!t of a$$ressi%e!ess& the $rai! of self"satisfie#
o!#ese!sio!& the o!%itio! of our o)! superiority is !e%ertheless prese!t& e%e! if )e are
!ot a)are of it(
A si'ple shift of e'phasis )ill 'o%e the bisoiatio! of hil# a!# a#ult i!to the e!tre
pa!el )here it beo'es a o!er! of pe#a$o$ues a!# psyhiatrists( A further shift to the
ri$ht& a!# the relatio! )ill be re%erse#& the hil# )ill be see! as a! a#ult i! #is$uise&
i''erse# i! the hi##e! tra$e#ies of the !ursery a!# boar#i!$ shool "" a! i!e-haustible
sub.et of the autobio$raphial !o%el(
The Tri%ial a!# the E-alte#
Parody is the 'ost a$$ressi%e for' of i'perso!atio!& #esi$!e# !ot o!ly to #eflate hollo)
prete!e but also to #estroy illusio! i! all its for's, a!# to u!#er'i!e pathos by harpi!$ o!
the tri%ial& all"too"hu'a! aspets of the %iti'( Sta$e props ollapsi!$& )i$s falli!$ off&
publi speakers for$etti!$ their li!es& #ra'ati $estures re'ai!i!$ suspe!#e# i! the air ""
the paro#ist's fa%ourite poi!ts of attak are all situate# o! the li!e of i!tersetio! bet)ee!
t)o pla!es0 the E-alte# a!# the Tri%ial(
The artist re%erses this teh!i/ue by o!ferri!$ o! tri%ial e-perie!es a !e) #i$!ity a!#
)o!#er0 Re'bra!#t pai!ti!$ the arass of a flaye# o-& >a!or his ski!!y& i!sipi# Oly'pia,
He'i!$)ay #ra)i!$ tra$e#y out of the repetiti%e& i!artiulate sta''er of his haraters,
Chekho% foussi!$ the rea#er's atte!tio! o! a fly ra)li!$ o! a lu'p of su$ar )hile
Natasha is o!te'plati!$ suii#e(
:he! 'o!sious!ess is u!a)ares tra!sferre# fro' $reat thi!$s to s'all' "" )hih Spe!er
re$ar#e# as the pri'e ause of lau$hter "" the result )ill be either a o'i or a! aestheti
e-perie!e& #epe!#i!$ o! )hether the perso!'s e'otio!s are of the type apable of
partiipati!$ i! the tra!sfer or !ot( The artist& re%ersi!$ the paro#ist's teh!i/ue& )alks o! a
ti$htrope& as it )ere& alo!$ the li!e )here the e-alte# a!# the tri%ial pla!es 'eet, he sees
with e+ual eye$ as @od of all$ = 3 hero perish or a sparrow fall( The sie!tist's attitu#e is
basially si'ilar i! situatio!s )here he su##e!ly #iso%ers the o!!etio! bet)ee! a ba!al
e%e!t a!# a $e!eral la) of !ature "" Ne)to!'s apple or the boili!$ kettle of ?a'es :att(
:he! F(:(H( >yers bea'e i!tereste# i! people's attitu#es to reli$io! he /uestio!e# a!
el#erly )i#o) o! )hat she thou$ht about the )hereabouts of her #eparte# husba!#'s soul(
She replie#0 'Oh )ell& I suppose he is e!.oyi!$ eter!al bliss& but I )ish you )oul#!'t talk
about suh u!pleasa!t sub.ets(' I )oul# all this a! illustratio! of the peaeful oe-iste!e
of the tra$i a!# tri%ial pla!es i! our hu'ble 'i!#s( E/ually o!%i!i!$ is this state'e!t
'a#e by a shoolboy to his 'athe'atis 'aster0
I!fi!ity is )here thi!$s happe! )hih #o!'t( 798
Cariature a!# Satire
The politial artoo!& at its best& is a tra!slatio! i!to %isual i'a$ery of a )itty topial
o''e!t, at its )orst& a 'a!ipulatio! of sy'bols "" ?oh! *ull& U!le Sa'& the Russia! bear
"" )hih& o!e o'i& ha%e #e$e!erate# i!to %isual lihTs( The sy'bols tri$$er off
'e'ories a!# e-petatio!s, the !arrati%e o!te!t of the artoo! is take! i! by %isual
sa!!i!$& )ith possibly a #elaye#"atio! effet #ue to the ti'e !ee#e# for 'seei!$ the .oke'(
The a!alysis of suh 'i-e# for's is a le!$thy affair(D
The portrait ariature& o! the other ha!#& relies for its effets o! purely %isual 'ea!s( Its
'etho# realls the #istorti!$ 'irrors at fu!"fairs& )hih reflet the hu'a! for' elo!$ate#
i!to a a!#le"shape& or absur#ly o'presse#& or as a %a$ue pha!to' )ith )a%y outli!es( As
a result )e see oursel%es a!# yet so'ethi!$ else, our fa'iliar ahapes bei!$ tra!sfor'e# as
if the bo#y )ere 'erely a! elasti surfae that a! be strethe# i! all #iretio!s(
The 'irror #istorts by e-a$$erati!$ 'eha!ially i! o!e spatial #iretio! at the e-pe!se of
others, the ariaturist #istorts by e-a$$erati!$ features )hih he o!si#ers harateristi of
his %iti''s appeara!e or perso!ality( His seo!# 'ai! trik is o%er"si'plifiatio!0 he
'i!i'i+es or lea%es out features )hih are !ot rele%a!t for his purpose( A pro'i!e!t !ose&
for i!sta!e& suh as ;e!eral #e ;aulle's& a! be e-ploite# to the e-te!t that the rest of the
fae shri!ks to i!si$!ifia!e0 the part has bee! #etahe# fro' the )hole a!# has beo'e a
!ose 'a! sih'( The pro#ut of the le%er ariaturist's #istortio!s is so'ethi!$
physiolo$ially i'possible& yet at the sa'e ti'e %isually o!%i!i!$ "" he has
superi'pose# his fra'e of pereptio! o! our o)!( For a ariature is o'i o!ly if )e
k!o) so'ethi!$ of the %iti'& if )e ha%e a 'e!tal i'a$e& ho)e%er %a$ue& of the perso!& or
type of perso!& at )hih it is ai'e# "" e%e! if it is a! Eski'o& a a%e"'a!& or a >artia!
robot( The u!k!o)! a!!ot be #istorte# or 'isreprese!te#( The ariature of the 'ore
feroious type is the rape of a! i'a$e& a! optial #ebu!ki!$ of the %iti', i! its $e!#er
for'& a se'i"affetio!ate kik at the heel of Ahilles(
Thus the 'aliious pleasure #eri%e# fro' a $oo# ariature ori$i!ates i! the o!fro!tatio!
of a like!ess& #istorte# aor#i!$ to the artist's rules of the $a'e& )ith reality or our i'a$e
thereof( *ut it is a rather har'less for' of 'alie beause )e k!o) that the ariaturist's
'o!ster )ith the uu'ber !ose or e!or'ous belly is a biolo$ial i'possibility& that it is
not real ( Illustratio!s of elepha!tiasis a!# patholo$ial obesity are !ot o'i beause these
#istortio!s of the hu'a! shape are k!o)! to be real& a!# therefore arouse pity( The
k!o)le#$e that the #efor'ities of the ariature are 'erely prete!e a/uits us of all
haritable obli$atio!s a!# allo)s us to lau$h at the %iti''s e-pe!se(
The e-a$$eratio! a!# si'plifiatio! of features selete# aor#i!$ to his .u#$e'e!t of
)hat is to be o!si#ere# rele%a!t is a teh!i/ue share# by both the ariaturist a!# the artist
"" )ho alls it styli+atio!( 1Nee#less to say& a ariature is also a for' of art, but for
o!%e!ie!e' sake I a' usi!$ throu$hout this book the ter' 'art' to refer to its !o!"o'i
%arieties(2 Styli+atio! has bee! arrie# to e-tre'e le!$th i! a !u'ber of a!ie!t a!# 'o#er!
art for's )ithout #estroyi!$ the aestheti effet0 that is to say& )ithout sli#i!$ fro' art i!to
ariature( The elo!$ate# skulls of ertai! E$yptia! sulptures reflet a o!te'porary
pratie of #efor'i!$ the pri!ely babies' hea#s& but they ob%iously e-a$$erate the result(
Ne%ertheless it )oul# har#ly our to o!e to all Tuta!kha'e! a! e$$hea# "" beause o!e
feels that the sulptor e-a$$erate# !ot )ith a hostile but )ith a )orshipful i!te!t& a!# this
attitu#e is o''u!iate# to the spetator( O!e 'ore the polarity bet)ee! o'i a!#
aestheti e-perie!e is see! to #eri%e fro' the polarity bet)ee! the self"asserti%e a!# self"
tra!se!#i!$ te!#e!ies(
This still hol#s true e%e! )he! o''u!iatio! bet)ee! artist a!# spetator breaks #o)!(
I! the eyes of the Philisti!e all e-peri'e!tal art is lu#irous& beause the Philisti!e's attitu#e
is a$$ressi%e"#efe!si%e( :he! Piasso shuffles rou!# the eyes a!# li'bs of his fi$ures i! a
'a!!er )hih is biolo$ially i'possible a!# yet has a %isual lo$i of its o)!& he .u-taposes
the see! a!# the k!o)! "" he is )alki!$& preariously bala!e#& o! the bor#erli!e bet)ee!
t)o u!i%erses of e-perie!e& eah $o%er!e# by a #iffere!t o#e( The o!ser%ati%e"'i!#e#
spetator& u!able to follo)& suspets the artist of pulli!$ his le$ by #eliberately #istorti!$
the hu'a! shape as the ariaturist #oes, a!# so the t)o"fae# )o'a! )ith three breasts
beo'es i! his eyes a ariature( The a'bi$uity is perhaps 'ost striki!$ly illustrate# i!
so'e of the harater"stu#ies by =eo!ar#o& Ho$arth& a!# <au'ier( The passio!s reflete#
i! the' are so %iole!t& the $ri'aes so feroious& that it is i'possible to tell )hether they
)ere 'ea!t as portraits or ariatures& a!# the #isti!tio! beo'es a purely theoretial o!e(
If you feel that suh #istortio!s of the hu'a! fae #o !ot really e-ist& that <au'ier&
#eliberately e-a$$erati!$& 'erely pretended that they e-ist& the! you are absol%e# fro'
horror a!# pity a!# a! lau$h at his $rotes/ues( *ut if you feel that this is i!#ee# )hat
<au'ier sa) i! those #e"hu'a!i+e# faes& the! you are looki!$ at a )ork of art( The
hu'orist thri%es o! #efor'ity, the artist #efor's the )orl# to rereate it i! his o)! i'a$e(
The teh!i/ue of e-a$$erati!$ the rele%a!t a!# si'plifyi!$ or i$!ori!$ the irrele%a!t
aspets of reality is share# !ot o!ly by the artist a!# ariaturist but is e/ually i!#ispe!sable
to the sie!tist( The 'oti%atio!s of eah of the three #iffer& of ourse& a!# )ith the' their
riteria of rele%a!e( The hu'orist's 'oti%es are a$$ressi%e& the artist's partiipatory& the
sie!tist's e-ploratory( The sie!tist's riteria of rele%a!e are 'ob.eti%e' i! the se!se of
bei!$ e'otio!ally !eutral& but they still #epe!# o! the partiular aspet of reality i! )hih
he is i!tereste#( E%ery #ra)i!$ o! the blakboar# "" )hether it is 'ea!t to represe!t the
)iri!$ #ia$ra' of a ra#io set or the irulatio! of the bloo#& the struture of a 'oleule or
the )eather o%er the Atla!ti "" is base# o! the sa'e 'etho# as the artoo!ist's0 seleti%e
e'phasis o! the rele%a!t fators a!# o'issio! of the rest( A 'ap bears the sa'e relatio! to
a la!#sape as a harater"sketh to a fae, e%ery hart& #ia$ra'& or 'o#el& e%ery she'ati
or sy'boli represe!tatio! of physial or 'e!tal proesses& is a! u!e'otio!al ariature of
reality( At least& 'u!e'otio!al' i! the se!se that the bias is !ot of a! ob%ious ki!#, althou$h
so'e 'o#els of the u!i%erse as a ri$i#& 'eha!ial lok)ork )hih& o!e )ou!# up& 'ust
follo) its u!alterable ourse& or of the hu'a! 'i!# as a slot"'ahi!e& ha%e tur!e# out to be
ru#e ariatures i!spire# by u!o!sious bias(
The satire is a %erbal ariature )hih #istorts harateristi features of a! i!#i%i#ual or
soiety by e-a$$eratio! a!# si'plifiatio!( The features pike# out for e!lar$e'e!t by the
satirist are& of ourse& those of )hih he #isappro%es0 'If Nature's i!spiratio! fails'& )rote
?u%e!al& 'i!#i$!atio! )ill be$et the poe'(' The o'i effet of the satire is #eri%e# fro' the
si'ulta!eous prese!e& i! the rea#er's 'i!#& of the soial reality )ith )hih he is fa'iliar&
a!# of its refletio! i! the #istorti!$ 'irror of the satirist( It fousses atte!tio! o! abuses
a!# #efor'ities i! soiety of )hih& blu!te# by habit& )e )ere !o lo!$er a)are, it 'akes us
su##e!ly #iso%er the absur#ity of the fa'iliar a!# the fa'iliarity of the absur#(
The sa'e effet is ahie%e# if& i!stea# of 'a$!ifyi!$ ob.etio!able features i! usto's a!#
i!stitutio!s& the satirist pro.ets the' by 'ea!s of the allegory o!to a #iffere!t bak$rou!#&
suh as a! a!i'al soiety "" e($( Aristopha!es& S)ift& Or)ell( I! either ase )e are 'a#e
su##e!ly o!sious of o!%e!tio!s a!# pre.u#ies )hih )e ha%e u!/uestio!i!$ly
aepte#& )hih )ere taitly i'plie# i! the o#es i! o!trol of our thi!ki!$ a!# beha%iour(
The o!fro!tatio! )ith a! alie! 'atri- re%eals i! a sharp& pitiless li$ht )hat )e faile# to see
i! follo)i!$ our #i' routi!es, the tait assu'ptio!s hi##e! i! the rules of the $a'e are
#ra$$e# i!to the ope!( The bisoiati%e shok shatters the fra'e of o'plae!t habits of
thi!ki!$, the see'i!$ly ob%ious is 'a#e to fiel# its seret(
'I! this )orl# of perfet .ustie& rih a!# poor alike ha%e the ri$ht to sleep u!#er bri#$es('
A!atole Fra!e's lassi epi$ra' is a o!fro!tatio! of abstrat #e'oray )ith the brutal
fats of life, it o!.ures up the i'a$e of a )ell"#resse# bour$eois 'aki!$ use of his
o!stitutio!al ri$hts to #oss #o)!& i! the !a'e of N=ibertT& E$alitT& a!# Frater!itT&N u!#er
the arhes of the Po!t #e la Co!or#e( I! its hi$her reahes the satirist's art 'er$es i!to the
soial sie!tist's /uest for truth, 7rave 9ew "orld a!# 'ABC are e-trapolatio!s of prese!t
tre!#s i!to the future, @ulliver/s *ravels a!# 6rewhon& o! the other ha!#& follo) the
'etho# of the a!thropolo$ist& )ho #eepe!s our u!#ersta!#i!$ of our o)! soiety by
o!fro!ti!$ it )ith the e/ually 'self"e%i#e!t' beliefs a!# usto's of e-oti i%ili+atio!s(
Thus& as )e tra%el aross the triptyh& satire sha#es i!to soial sie!e, a!# this& i! tur!&
bra!hes out i!to the tra$i alle$ory "" Plato's Ca%e a!# Kafka's Castle "" or i!to poeti
Utopia( The artisti ha+ar#s of the latter are perhaps #ue to a o!flit of e'otio!s( :riters
of Utopias are 'oti%ate# by re%ulsio! a$ai!st soiety as it is& or at least by a re.etio! of its
%alues, a!# si!e re%ulsio! a!# re.etio! are a$$ressi%e attitu#es& it o'es 'ore !aturally to
the' to pai!t a piture of soiety )ith a brush #ippe# i! a#re!ali! tha! i! syrup or aspiri!(
He!e the o!trast bet)ee! Hu-ley's brillia!t& bitter 7rave 9ew "orld a!# the $oo#y"
$oo#y bores o! his Island(
The satirist's 'ost effeti%e )eapo! is irony( Its ai' is to #efeat the oppo!e!t o! his o)!
$rou!# by prete!#i!$ to aept his pre'isses& his %alues& his 'etho#s of reaso!i!$& i! or#er
to e-pose their i'pliit absur#ity( 'All a!i'als are e/ual& but so'e are 'ore e/ual tha!
others(' Iro!y purports to take seriously )hat it #oes !ot, it e!ters i!to the spirit of the other
perso!'s $a'e to #e'o!strate that its rules are stupi# or %iious( It is a subtle )eapo!&
beause the perso! )ho )iel#s it 'ust ha%e the i'a$i!ati%e po)er of seei!$ throu$h the
eyes of his oppo!e!t& of pro.eti!$ hi'self i!to the other's 'e!tal )orl#( The psyhiatrist
)ho $oes patie!tly alo!$ )ith the patie!t's fa!tasies& the teaher )ho a#apts his la!$ua$e to
the le%el of o'prehe!sio! of the hil#& the #ra'atist )ho speaks throu$h his haraters'
%oies& e'ploy the sa'e proe#ure )ith the opposite i!te!t a!# effet(
The >isfit
*oth Ciero a!# Fra!is *ao! $a%e #efor'ity a hi$h plae o! their lists of auses for
lau$hter( The pri!es of the Re!aissa!e ollete# 'i#$ets& hu!hbaks& 'o!sters& a!#
*laka'oors for their 'erri'e!t( :e ha%e beo'e too i%ili+e# for that ki!# of thi!$& but
hil#re! still .eer a!# lau$h at people )ith a li'p or a sta''er& at forei$!ers )ith a fu!!y
pro!u!iatio!& at people o##ly #resse# "" at a!y for' of appeara!e or beha%iour )hih
#e%iates fro' the fa'iliar !or'( The 'ore bak)oo#ish a soial $roup& .u%e!ile or a#ult&
the striter its o!eptio! of the !or'al a!# the rea#ier it )ill ri#iule a!y #eparture fro' it(
Co!si#er for a 'o'e!t the urious fat that to a i%ili+e# perso! a stutterer auses
sy'patheti e'barrass'e!t& )hereas a perso! of !or'al speeh $i%i!$ a! i'itatio! of
stutteri!$ 'akes us lau$h( So #oes the you!$ster i! lo%e )ho stutters o!ly u!#er the effet
of a 'o'e!tary sur$e of e'otio!( A$ai!& a perso! )ith a forei$! ae!t is aepte# )ith
tolera!e& but the i'itatio! of a forei$! ae!t is o'i( The e-pla!atio! is that )e k!o)
the i'itator's stutter or 'ispro!o!u!#atio! to be 'ere prete!e, this 'akes sy'pathy both
u!!eessary a!# i'possible& a!# e!ables us to be hil#ishly ruel )ith a lear o!sie!e(
:e ha%e 'et the sa'e phe!o'e!o! 1pa$e O42 i! our attitu#e to)ar#s the bo#ily #efor'ities
i'pute# by the ariaturist to his %iti'(
The tolera!t aepta!e of physial or 'e!tal 'alfor'atio!s i! our fello) reatures&
thou$h of relati%ely ree!t ori$i!& has beo'e #eeply e!$rai!e# i! :ester! soiety, )e are
!o lo!$er a)are of the fat that it re/uires a ertai! i'a$i!atio! a!# a $oo# #eal of e'pathy
to reo$!i+e i! a #)arf& or a 'thik"lippe# *laka'oor'& a hu'a! bei!$ )hih& thou$h
#iffere!t i! appeara!e& e-ists a!# feels as o!eself #oes( I! the s'all hil# this ki!# of
pro.eti%e 'eha!is' is abse!t or ru#i'e!tary( Pia$et& a'o!$ others& has striki!$ly sho)!
ho) late the hil# aor#s to its fello) bei!$s a o!sious e$o like its o)!( The 'ore a
perso! #e%iates fro' the fa'iliar !or' of the hil#'s surrou!#i!$s& the 'ore #iffiult it is
for the hil# to pro.et i!to hi' life a!# feeli!$s& to $ra!t hi' the faulty of ha%i!$
e-perie!es like his o)!( The sa'e applies to the attitu#es sho)! by tribal or parohial
soieties to forei$!ers& sla%es& 'e'bers of the 'lo)er lasses' 1al'ost i!e%itably treate# as
o'i fi$ures i! literature up to a!# i!lu#i!$ <ike!s2, as )ell as to ri'i!al$& the
'e!tally #isor#ere# a!# physially #efor'e#( The reature )ho #oes !ot 'belo!$' to the
tribe& la!& aste& or parish is !ot really hu'a!, he o!ly aspires or prete!#s to be 'like us'( To
i%ili+e# 'a!& a #)arf is o'i o!ly if he struts about prete!#i!$ to be tall& )hih is he !ot,
i! the pri'iti%e's eye the #)arf is o'i beause he prete!#s to be hu'a!& )hih he is !ot(
The ;reek )or# 'barbaria!' 'ea!s both forei$!er a!# stutterer 1bar"bar"ous2, the u!outh&
repetiti%e& barki!$ sou!#s he uttere# )ere a $rotes/ue i'itatio! of true hu'a! speeh(
*o#ily a!# fu!tio!al #efor'ities are lau$hable to the u!outh 'i!# for the sa'e reaso!s
as i'perso!atio! a!# ariature(
The Para#o- of the Ce!tipe#e
Ho)e%er& a! a##itio!al fator e!ters i!to the o'i effet of so'e #isor#ers of beha%iour
suh as stutteri!$& 'ispro!u!iatio!& 'isspelli!$0 o!e 'i$ht all it the bisoiatio! of
struture a!# fu!tio!& or of part a!# )hole( The sta''eri!$ barbaria! )as a o'i fi$ure
to the ;reeks for reaso!s .ust 'e!tio!e#, but the o'e#ia!'s sta$e"stutter is fu!!y i! a
#iffere!t )ay( :he! he stru$$les )ith a o!so!a!t& tryi!$ to take the sa'e hur#le a$ai! a!#
a$ai!& eyes bul$i!$ a!# fae o!%ulse#& )e beo'e su##e!ly a)are of the o'pliate#
'otio!s of lips a!# to!$ue re/uire# to pro#ue the sou!# &, our atte!tio! beo'es
fousse# o! these physiolo$ial #etails tor! fro' their fu!tio!al o!te-t a!# plae# u!#er
a 'a$!ifyi!$ $lass& as it )ere( >uh the sa'e happe!s )he! the $ra'opho!e !ee#le $ets
stuk i! a $roo%e& a!# the sopra!o's %oie keeps repeati!$ the sa'e )or# o! the sa'e
/ua%er( The part has beo'e #etah# fro' the )hole a!# 'o!opoli+es atte!tio! as if it
e-iste# i! its o)! ri$ht& as a! i!#epe!#e!t strutural e!tity& re$ar#less of its fu!tio! i! the
lar$er o!te-t fro' )hih alo!e its 'ea!i!$ is #eri%e#( I! o!e of Silo!e's !o%els a!
i!!oe!t peasa!t boy fro' the Abru++i #rifts i!to a ro)# i! fro!t of >ussoli!i's !e)
foru'& a!# a!!ot u!#ersta!# )hy e%erybo#y keeps ha!ti!$ i! a horus0 'Ce"#u& e"#u&
e"#u& e"#u ( ( (' The isolate# /ua%er or o!so!a!t )hih has 'a#e a #elaratio! of
i!#epe!#e!e& the syllables '#u' a!# 'e' tor! fro' their o!te-t& are e-a'ples of the o!flit
)hih a! arise bet)ee! part a!# )hole& struture a!# fu!tio!& )he! "" to put it i! a
#iffere!t )ay "" the #epe!#e!t part prete!#s to be a! i!#epe!#e!t )hole a!# fores our
atte!tio! to re$ar# it as suh(
:he! )e e-erise a )ell"pratise# skill the parts 'ust fu!tio! s'oothly a!#
auto'atially "" they 'ust !e%er oupy the fous of atte!tio!( This is true )hether the skill
i! /uestio! is ri#i!$ a biyle& playi!$ the %ioli!& e!u!iati!$ the letter && or for'i!$
se!te!es aor#i!$ to the rules of $ra''ar a!# sy!ta-( The o#e )hih o!trols the
perfor'a!e fu!tio!s& as )e repeate#ly sa)& o! a lo)er le%el of o!sious!ess tha! the
perfor'a!e itself "" o! the fri!$es of a)are!ess or& i! o'pletely auto'ati+e# skills& e%e!
beyo!# the fri!$e( The 'o'e!t atte!tio! is fousse# o! a !or'ally auto'ati+e# part"
fu!tio! suh as e!u!iati!$ o!so!a!ts& the 'atri- breaks #o)!& the !ee#le $ets stuk& a!#
the perfor'a!e is paralyse# "" like the e!tipe#e )ho )as aske# i! )hih or#er he 'o%e#
his hu!#re# le$s& a!# oul# )alk !o 'ore(
The para#o- of the e!tipe#e is a o!se/ue!e of the hierarhi or$a!i+atio! of the
!er%ous syste' )hih #e'a!#s that the hi$hest e!tres shoul# be oupie# )ith the task i!
ha!# o!ei%e# as a )hole& a!# lea%e the e-eutio! of the o'po!e!t sub"tasks a!# sub"
sub"tasks to the sub"e!tres& et(& o! lo)er le%els of the !er%ous syste'( A bri$a#ier #oes
!ot $i%e or#ers to& a!# o!e!trate his atte!tio! o!& i!#i%i#ual sol#iers #uri!$ atio!, if he
#oes the atio! $oes hay)ire( The para#o- of the e!tipe#e )ill be see! to play a!
i'porta!t part i! #iso%ery a!# the theory of thi!ki!$ i! $e!eral, i! hu'our& apart fro' the
e-a'ples 'e!tio!e#& it aou!ts for the o'i effet of the 'self"o!sious' 1i! fat& #etail"
o!sious2 beha%iour of the perso! )ho #oes !ot k!o) )hat to #o )ith his ha!#s, a!# also
e-plai!s )hy the o'e#ia!'s lothes& a!# so'e forei$! or by$o!e fashio!s& are fu!!y(
Co!%e!tio!al artiles of apparel are perei%e# as parts of a perso!'s appeara!e as a )hole&
)hereas the o'e#ia!'s heke# trousers a!# the 3itoria! la#y's bustle #isrupt the u!ity
a!# fore atte!tio! o! te-tiles a!# starhe# #raperies lea#i!$ a! i!#epe!#e!t life( E-ept
)he! )e are i! a ro'a!ti 'oo#0 the! a historial ostu'e o! the sta$e is !o lo!$er see!
#etahe# fro' its )earer but attahes hi' to the perio#(
Si!e I 'e!tio!e# 'ispro!u!iatio!& I 'ust a## the ob%ious re'ark that if the 'altreate#
)or# assu'es a #iffere!t 'ea!i!$& )e $et the i!%olu!tary pu!, a!# e%e! if it #oes !ot&
'ispro!u!iatio! a! be fu!!y if it follo)s its o)! lo$i )hih e-poses the absur#ities of
o!%e!tio!al spelli!$( Try o! a! i!!oe!t forei$!er the se/ue!e0 a ou$hi!$ plou$h a!# a
sou$hi!$ trou$h, the! see )hat happe!s(
<isplae'e!t
A ar #ealer is boosti!$ a !e) sports 'o#el to a prospeti%e lie!t0
'Bou $et i!to this ar at 'i#!i$ht a!# at 6 a('( you are i! ;ri'sby(' The usto'er is
i!#i$!a!t0 'A!# )hat a' I to #o i! the 'i##le of the !i$ht i! ;ri'sbyE'
The /uestio! is perfetly lo$ial& but irrele%a!t to the sub.et u!#er #isussio!& )hih is
the spee# of the ar( The li!k"o!ept is ';ri'sby at 6 a('(' "" )hih i! o!e o!te-t plays
the ai#e!tal part of a! i'pro%ise# e-a'ple& i! the seo!# a! esse!tial part( This su##e!
shift of e'phasis "" or #isplae'e!t of atte!tio! "" to a see'i!$ly irrele%a!t aspet of a
bisoiate# o!ept is fre/ue!tly fou!# !ot o!ly i! hu'our& but also i! art a!# #iso%ery
1Chapters 3III& HHIII2( It is relate# to the para#o- of the e!tipe#e& but i!stea# of
#isplai!$ atte!tio! fro' the whole to the part it is #isplae# fro' a #o'i!a!t to a
pre%iously !e$lete# aspet of the )hole& sho)i!$ it i! a !e) li$ht(
I! the N*alla# of Rea#i!$ ;aolN there are t)o u!for$ettable li!es0
Ho) else but throu$h a broke! heart >ay =or# Christ e!ter i!E
The broke! heart has beo'e suh a lihT that its physial i'pliatio!s "" splitti!$ apart
a!# reati!$ a $ap "" are !e%er thou$ht of( :il#e shifts our atte!tio! to that for$otte!
physial i'a$e, he lets sal%atio! e!ter throu$h the ahi!$ $ap& like a thief i! the !i$ht(
:he! the Re# Juee! o'plai!s0 'It's a poor so! of 'e'ory )hih o!ly )orks bak)ar#s&'
she is putti!$ her fi!$er o! a! aspet of reality "" the irre%ersibility of ti'e "" )hih )e
!or'ally take for $ra!te#, her appare!tly silly re'ark arries 'etaphysial i!ti'atio!s& a!#
appeals to our seret year!i!$ for the $ift of prophey "" 'atters )hih )oul# !e%er our
to Alie& that little para$o! of stubbor! o''o! se!se(
Coi!i#e!e
It )as o!e usual to lassify o'e#ies i!to those relyi!$ o! situatio!s& 'a!!ers& or
haraters( I! his #isussio! of the first& *er$so! a'e losest to the esse!e of hu'our0 'A
situatio! is al)ays o'i'& he )rote& 'if it partiipates si'ulta!eously i! t)o series of e%e!ts
)hih are absolutely i!#epe!#e!t of eah other& a!# if it a! be i!terprete# i! t)o /uite
#iffere!t 'ea!i!$s(' O!e feels like ryi!$ 'Fire'& but a ouple of pa$es further o! *er$so!
has #roppe# the lue a!# $o!e bak to his hobby0 the i!terfere!e of t)o i!#epe!#e!t series
i! a $i%e! situatio! is 'erely a further e-a'ple of the ''eha!i+atio! of life'(
I! fat the rossi!$ of t)o i!#epe!#e!t ausal hai!s throu$h oi!i#e!e& 'istake!
i#e!tity& o!fusio! of ti'e a!# oasio!& is the 'ost lea!"ut e-a'ple of bisoiate#
o!te-ts( The ha!e"oi!i#e!e o! )hih they are hi!$e# is the deus ex machina& the
i!ter%e!tio! of pro%i#e!e i! both tra$e#y a!# o'e#y, a!#& !ee#less to say& luky ha+ar#s
play a! e/ually o!spiuous part i! the history of sie!tifi #iso%ery(
No!se!se
O!e type of o'i %erse li%es o! the bisoiatio! of e-alte# for' )ith tri%ial o!te!t(
Certai! 'etri for's& suh as he-a'eter a!# Ale-a!#ri!e& arouse e-petatio!s of pathos& of
the heroi a!# e-alte#, the pouri!$ of ho'ely& tri%ial o!te!ts i!to these epi 'oul#s ""
'beautiful soup& so rih a!# $ree!' "" reates a o'i effet of the sa'e type as the paro#y(
The rolli!$ #atyls of the first li!e of the li'erik& arryi!$& i!stea# of Hetor a!# Ahilles&
a you!$ la#y fro' Stokto! as their passe!$er& 'ake her alrea#y appear ri#iulous&
re$ar#less of the ala'ities )hih are sure to befall her( I! this at'osphere of 'aliious
e-petatio! )hate%er )ittiis' the te-t has to offer )ill ha%e a 'uh e!ha!e# effet(
I!stea# of a! epi 'oul#& a soft& lyrial o!e )ill e/ually #o0
((( A!# )hat oul# be 'oister Tha! tears fro' a! oysterE
A!other %aria!t is )hat o!e 'i$ht all the pseu#o"pro%erb0 'The rule is0 .a' to'orro) a!#
.a' yester#ay "" but !e%er .a' to#ay(' T)o lo$ially i!o'patible state'e!ts ha%e bee!
telesope# i!to a li!e )hose rhyth' a!# sy!ta- $i%es the i'pressio! of bei!$ a popular
a#a$e or $ol#e! rule of life( So'eti'es the trik is #o!e by the substitutio! of a si!$le )or#
i! a fa'iliar te-t0 'O!e shoul# !e%er )ork bet)ee! 'eals(' The ho'ely& a#'o!itory
struture lulls the 'i!# i!to bore# a/uiese!e u!til the preposterous subterfu$e is
#iso%ere#( Osar :il#e )as a 'aster of this for'0 'I! 'arrie# life three is o'pa!y a!#
t)o !o!e', 'the o!ly )ay to $et ri# of a te'ptatio! is to yiel# to it'& et(& et( >y o)!
fa%ourite oi!a$e is0 'O!e shoul# !ot arry 'o#eratio! to e-tre'es('
No!se!se hu'our "" as >a- East'a! has poi!te# out "" is o!ly effeti%e if it prete!#s to
'ake se!se0 It/s a fact the whole world knows = *hat Pobbles are happier without their
toes. E%e! )ith rhy'e# $ibberish the illusio! of 'ea!i!$ is esse!tial( 'The slithy to%es' that
'$yre a!# $i'ble i! the )abe' e%oke sou!# assoiatio!s )hih su$$est so'e ki!# of atio!
e%e! thou$h )e are u!able to say )hat e-atly the atio! is "" perhaps so'e s'all reatures
$yrati!$ a!# $a'bolli!$ o! a brillia!t #ay i! the )eb of so'e flo)ery bush( The 'ea!i!$
%aries )ith the perso! as the i!terpretatio! of the i!k blots i! a Rohrshah test, but )ithout
this illusory 'ea!i!$ pro.ete# i!to the pho!eti patter!& )ithout the si'ulta!eous
k!o)le#$e of bei!$ foole#& a!# of fooli!$ o!eself& there )oul# be !o e!.oy'e!t of the
5abberwock with eyes aflame/ who /came whiffling through the tulgey wood = 3nd burbled
as it came(
Tikli!$
The har'less $a'e of tikli!$ has resiste# all atte'pts to fi!# a u!itary for'ula for the
auses of lau$hter, it has bee! the stu'bli!$ blok )hih 'a#e the theorists of the o'i
$i%e up& or their theories break #o)!(
It )as at o!e ti'e belie%e# that the lau$hter ause# by tikli!$ is a purely 'eha!ial
refle- i! respo!se to a purely physial sti'ulatio!( *ut "" as <ar)i! has poi!te# out "" the
respo!se to tikli!$ is s/uir'i!$& )ri$$li!$& a!# strai!i!$ to )ith#ra) the tikle# part ""
ati%ities )hih 'ay or 'ay !ot be ao'pa!ie# by lau$hter( The s/uir'i!$ respo!se )as
i!terprete# by <ar)i! a!# Crile as a! i!!ate #efe!e 'eha!is' to esape a hostile $rip o!
%ul!erable areas )hih are !ot !or'ally e-pose# to attak0 the soles of the feet& the !ek&
ar'"pits& belly& a!# fla!k( If a fly settles o! the belly of a horse& a ki!# of o!tratile )a%e
'ay pass o%er the ski! "" the e/ui%ale!t of the s/uir'i!$ of the tikle# hil#( *ut the horse
#oes !ot lau$h )he! tikle#& a!# the hil# !ot al)ays( As ;re$ory has put it0
A hil# fi!$ers the pepper"pot& )a%es pepper i!to its !ose& a!# s!ee+es %iole!tly( Touh it
u!#er the ar'"pits& or fi!$er its )aist& a!# it )ri$$les %i$orously( It s!ee+es to #islo#$e the
pepper fro' its !ose& a!# its )ri$$le su$$ests a s!ee+e to relie%e its )hole bo#y( The
%iole!t s/uir' of the tikle# hil# so ob%iously tries to a%oi# the tikli!$ ha!# that& )he!
the truth is perei%e#& it is #iffiult to u!#ersta!# ho) tikli!$ a!# lau$hter oul# e%er be
i#e!tifie# or o!fuse#(7A8
Thus tikli!$ a hil# )ill all out a )ri$$li!$ a!# s/uir'i!$ respo!se( *ut the hil# )ill
lau$h o!ly "" a!# this is the ru- of the 'atter "" if a! a##itio!al o!#itio! is fulfille#0 it
'ust perei%e the tikli!$ as a mock attak& a aress i! a 'il#ly a$$ressi%e #is$uise( This
e-plai!s )hy people lau$h o!ly )he! tikle# by others but !ot )he! they tikle
the'sel%es( 1The /uestio! )hy this shoul# be so )as o!e put to a **C *rai!s Trust
)hih& after so'e hu''i!$& ha)i!$& a!# $i$$li!$& #ei#e# that it )as o!e of the i!soluble
'ysteries of hu'a! !ature(2 Not o!ly 'ust there be a seo!# perso! to #o the tikli!$& but
her e-pressio! a!# attitu#e 'ust be 'ok"a$$ressi%e "" as 'others a!# !urses i!sti!ti%ely
k!o)( *attle ries like 'peekaboo' a!# 'bo)")o)' pay $uara!tee# #i%i#e!#s& like the
o'e#ia!'s i'itatio! of the lio!'s roar( As i! e%ery attak& the ele'e!t of surprise plays a!
i'porta!t part0 the e-pert tikler's tatis !e%er let the %iti' $uess )he! a!# )here the
!e-t pressure or pi!er 'o%e'e!t )ill our( E-peri'e!ts i! tikli!$ o! babies u!#er o!e
year ol# sho)e# that babies lau$he# fiftee! ti'es 'ore ofte! )he! tikle# by their 'others
tha! )he! they )ere tikle# by stra!$ers( For !aturally the 'ok"attak )ill 'ake the baby
lau$h o!ly if it k!o)s that it is a 'ok"attak, a!# )ith stra!$ers o!e !e%er k!o)s( E%e!
)ith its o)! 'other there is a! e%er"so"sli$ht feeli!$ of u!ertai!ty a!# apprehe!sio!& the
e-pressio! of )hih alter!ates )ith lau$hter i! the baby's beha%iour, a!# it is preisely this
ele'e!t of apprehe!sio! bet)ee! t)o tikles )hih is relie%e# i! the lau$hter
ao'pa!yi!$ the s/uir'( The rule of the $a'e is 'let 'e be .ust a little fri$hte!e# so that I
a! e!.oy the relief'(
Thus the 'eha!is' is esse!tially the sa'e as i! o'i i'perso!atio!0 the tikler
i'perso!ates a! a$$ressor& but is si'ulta!eously k!o)! !ot to be o!e( It is probably the
first situatio! e!ou!tere# i! life )hih 'akes the i!fa!t li%e o! t)o pla!es at o!e& the
first #eletable e-perie!e i! bisoiatio! "" a foretaste of pleasures to o'e at the
pa!to'i'e sho)& of beo'i!$ a )illi!$ %iti' to the illusio!s of the sta$e& of bei!$ tikle#
by the horror"thriller(
I! a#olese!e& eroti ele'e!ts e!ter i!to the $a'e& a!# tikli!$ assu'es the role of a
se-ual 'ok"attak "" ak!o)le#$e# )ith $i$$les )hih betray their ori$i! i! i!fa!tile
apprehe!sio!s( So'e ho'ose-uals lai' to be e-tre'ely tiklish a!# #isplay a te!#e!y to
s/uir'i!$ a!# )ri$$li!$ as a! e-pressio! of 'ok"fri$ht( *ut these are seo!#ary
#e%elop'e!ts )hih partly illu'i!ate& partly o!fuse the ori$i!al patter! "" the tikle#
hil#'s lau$hter is a #ishar$e of apprehe!sio!s reo$!i+e# as u!fou!#e# by the i!tellet(
The Clo)!
>ost of the o'i teh!i/ues I ha%e #isusse# a! be fou!# i! the repertory of the irus
lo)! "" the lassi i!ar!atio! of the oarser type of hu'our( His fae is a rihly
e-a$$erate# ariature of stupi#ity& so'eti'es )ith a! i!fetious $ri'ae of lau$hter
pai!te# o! it, i! eah piee of his apparel& for' battles a$ai!st fu!tio!, eah of his
'o%e'e!ts is a paro#y of $rae( He is the %iti' a!# perpetrator of preposterous pratial
.okes, he is both hu'a! a!# i!ert 'atter& for to sur%i%e all the slaps& )haks& a!# raks& his
skull 'ust be 'a#e of ebo!y( He is the i'a$e i! the #istorti!$ 'irror& the lu'sy
i'perso!ator of arobats& ballet #a!ers& a!# fairies0 Caliba! i'itati!$ Ariel( He is a
olletio! of #efor'ities& bo#ily a!# fu!tio!al, he stu'bles o%er obstales a!# )or#s, he
is ti'i#& $auhe& ee!tri& a!# abse!t"'i!#e#( Abo%e all& he is the 'a! of $i$a!ti efforts
a!# #i'i!uti%e ao'plish'e!ts0 the 'i#)ife )ho ai#s the 'ou!tai! to #eli%er the 'ouse(
The lo)!'s #o'ai! is the oarse& rih& o%ert type of hu'our0 he lea%es !othi!$ to be
$uesse#& he piles it o!( A $oo# #eal of the e!.oy'e!t he auses is a 'il# $loati!$& the
#ishar$e of sa#isti& se-ual& satalo$ial i'pulses by )ay of the purifyi!$ ha!!els of
lau$hter( O!e 'ea!s of pro#ui!$ a!# prolo!$i!$ this effet is repetition ( The lo)! a!#
the lo)!i!$ ki!# of 'usi"hall o'e#ia! )ill tell& or at out& a lo!$"#ra)! !arrati%e i!
)hih the sa'e type of flash& the sa'e patter!& the sa'e situatio!& the sa'e key")or#s&
reur a$ai! a!# a$ai!( Althou$h repetitio! #i'i!ishes the effet of surprise& it has a
u'ulati%e effet o! the e'oti%e har$e( The lo$ial patter! is the sa'e i! eah repeat& but
!e) te!sio! is easily #ra)! i!to the fa'iliar ha!!el( It is as if 'ore a!# 'ore li/ui# )ere
bi$ pu'pe# i!to the sa'e pu!ture# pipeli!e(
Ori$i!ality& E'phasis& Eo!o'y
I ha%e #isusse# the lo$i of hu'our a!# its e'oti%e #y!a'is& a!# ha%e trie# to i!#iate
ho) to a!alyse a .oke( *ut !othi!$ has bee! sai# so far about the riteria )hih #ei#e
)hether it is a $oo#& ba#& or i!#iffere!t .oke( These are& of ourse& partly a 'atter of
perso!al taste& partly #epe!#e!t o! the teh!i/ue of the hu'orist, o!ly the seo!# is our
o!er!(
There are& I shall su$$est& three 'ai! riteria of o'i teh!i/ue0 ori$i!ality& e'phasis& a!#
eo!o'y( I! the li$ht of the pre%ious hapters )e shall e-pet the' to play also a
si$!ifia!t part i! the teh!i/ues of sie!tifi theori+i!$ a!# artisti reatio!(
A! art #ealer 1this story is authe!ti2 bou$ht a a!%as si$!e# 'Piasso' a!# tra%elle# all the
)ay to Ca!!es to #iso%er )hether it )as $e!ui!e( Piasso )as )orki!$ i! his stu#io( He
ast a si!$le look at the a!%as a!# sai#0 'It's a fake'( A fe) 'o!ths later the #ealer bou$ht
a!other a!%as si$!e# Piasso( A$ai! he tra%elle# to Ca!!es a!# a$ai! Piasso& after a
si!$le $la!e& $ru!te#0 'It's a fake(' '*ut her 'aYtre&' e-postulate# the #ealer& 'it so happe!s
that I sa) you )ith 'y o)! eyes )orki!$ o! this %ery piture se%eral years a$o(' Piasso
shru$$e#0 'I ofte! pai!t fakes('
O!e 'easure of ori$i!ality is its surprise effet( Piasso's reply "" as the >ar/uis' i! the
Cha'fort story "" is truly u!e-pete#, )ith its per%erse lo$i& it uts throu$h the !arrati%e
like the bla#e of the $uilloti!e(
*ut reati%e ori$i!ality is !ot so ofte! 'et )ith either i! art or i! hu'our( O!e substitute
for it is su$$esti%e!ess throu$h emphasis ( The heap o'e#ia! piles it o!, the o'pete!t
rafts'a! plays i! a subtle )ay o! our 'e'ories a!# habits of thou$ht( :he!e%er i! the
ontes :rolati+ues *al+a i!tro#ues a! abbT or a 'o!k& our assoiatio!s rae ahea# of the
!arrati%e i! the #eletable e-petatio! of so'e %e!al si! to be o''itte#, yet )he! the
poi!t of the story is reahe# )e still s'ile& shari!$ the !arrator's 'ok"i!#i$!atio! a!#
prete!#e# surprise( I! other )or#s& a!tiipatio! of the type of .oke or poi!t to o'e #o !ot
e!tirely #estroy the o'i effet& pro%i#e# that )e #o !ot k!o) )he! a!# ho) e-atly it
)ill strike ho'e( It is rather like a $a'e0 o%er 'y eyes a!# I shall prete!# to be surprise#(
*esi#es& the lau$hter pro%oke# by spiy .okes is& as alrea#y sai#& o!ly partly $e!ui!e& partly
a loak to o%er publily less #e'o!strable e'otio!s "" re$ar#less )hether the story i!
itself is o'i or !ot(
Su$$esti%e teh!i/ues are esse!tial, they reate suspe!se a!# failitate the liste!er's flo)
of assoiatio!s alo!$ habit"for'e# ha!!els( A o'i i#ea of a $i%e! lo$ial patter! a! be
tra!spose# i!to a!y !u'ber of #iffere!t setti!$s, loal olour a!# #ialet help to establish
the at'osphere( The 'ost effeti%e stories are re$io!al0 Sottish& >arseillais& Cok!ey, the
'ere 'e!tio! of 'a 'a! fro' Aber#ee!' establishes the 'atri-& the #esire# fra'e of 'i!#(
Thus su$$esti%e!ess #epe!#s firstly o! the choice of relevant stimuli "" as the biolo$ist
)oul# say( Ne-t& all !o!"esse!tial ele'e!ts shoul# be o'itte#& e%e! at the prie of a ertai!
skethi!ess& other)ise atte!tio! )ill be si#etrake#& the te!sio! frittere# a)ay0 this is the
teh!i/ue of si'plifiatio!( I! the thir# plae the effet is i!rease# by ertai! e'phati
$estures& i!fletio!s& a stress o! #ialet a!# sla!$0 i! a )or#& by e-a$$eratio!( :e ha%e 'et
these three relate# fators0 seletio!& e-a$$eratio!& si'plifiatio!& i! the teh!i/ue of the
ariature 1a!# of the portrait a!# blue"pri!t2, take! to$ether they pro%i#e the 'ea!s of
hi$hli$hti!$ aspets of reality o!si#ere# to be si$!ifia!t( It is !ot surprisi!$ that the sa'e
teh!i/ues e!ter i!to the artist's a!# hu'orist's efforts to o''u!iate )ith his au#ie!e(
Ho)e%er& e-ept i! the oarsest type of hu'our a!# the trashiest for's of art& su$$estio!
throu$h e'phasis is !ot e!ou$h, a!# it a! #efeat its o)! purpose( It 'ust be o'pe!sate#
by the opposite ki!# of %irtue0 the e-erise of economy & or& 'ore preisely0 the teh!i/ue
of implication(
Piasso's 'I ofte! pai!t fakes' is at the sa'e ti'e ori$i!al& e'phati& a!# i'pliit( He #oes
!ot say0 'So'eti'es& like other pai!ters& I #o so'ethi!$ seo!#"rate& repeiti%e& a!
u!i!spire# %ariatio! o! a the'e& )hih after a )hile looks to 'e as if so'ebo#y ha#
i'itate# 'y teh!i/ue( It is true that this so'ebo#y happe!e# to be 'yself& but that 'akes
!o #iffere!e to the /uality of the piture& )hih is !o better tha! if it )ere a fake, i! fat
you oul# all it that "" a! u!i!spire# Piasso apei!$ the style of the true Piasso('
No!e of this )as sai#, all of it )as i'plie#( *ut the liste!er has to )ork out by hi'self
)hat is i'plie# i! the lao!i hi!t, he has to 'ake a! i'a$i!ati%e effort to sol%e the ri##le(
If the a!s)er )ere e-pliitly $i%e!& o! the li!es i!#iate# i! the pre%ious para$raph& the
liste!er )oul# be both spare# the effort a!# #epri%e# of its re)ar#, there )oul# be !o
a!e#ote to tell(
To a sophistiate# au#ie!e a!y .oke sou!#s stale if it is e!tirely e-pliit( If this is the ase
the liste!er's thou$hts )ill 'o%e faster tha! the !arrator's tale or the u!fol#i!$ of the plot,
i!stea# of te!sio! it )ill $e!erate bore#o'( 'Eo!o'y' i! this se!se 'ea!s the use of hi!ts
i! lieu of state'e!ts, i!stea# of 'o%i!$ stea#ily o!& the !arrati%e .u'ps ahea#& lea%i!$
lo$ial $aps )hih the liste!er has to bri#$e by his o)! effort0 he is fore# to o"operate(
The operatio! of bri#$i!$ a lo$ial $ap by i!serti!$ the 'issi!$ li!ks is alle#
interpolation ( The series A& C& E& ( ( ( K& >& O sho)s a $ap )hih is fille# by i!terpolati!$
; a!# I( O! the other ha!#& I a! e-te!# or extrapolate the series by a##i!$ to it R& T& 3&
et( I! the 'ore sophistiate# for's of hu'our the liste!er 'ust al)ays perfor' either or
both of these operatio!s before he a! 'see the .oke'( Take this %e!erable e-a'ple& /uote#
by Freu#0
The Pri!e& tra%elli!$ throu$h his #o'ai!s& !otie# a 'a! i! the heeri!$ ro)# )ho bore
a striki!$ rese'bla!e to hi'self( He beko!e# hi' o%er a!# aske#0 ':as your 'other e%er
e'ploye# i! 'y palaeE' 'No& Sire&' the 'a! replie#( '*ut 'y father )as('
The lo$ial patter! of the story is /uite pri'iti%e( T)o i'plie# o#es of beha%iour are
brou$ht i!to ollisio!0 feu#al lor#s )ere suppose# to ha%e bastar#s, feu#al la#ies )ere !ot
suppose# to ha%e bastar#s, a!# there is a partiularly !eat& /uasi"$eo'etrial li!k pro%i#e#
by the re%ersible sy''etry of the situatio!( The 'il# a'use'e!t )hih the story offers is
partly #eri%e# fro' the 'aliious pleasure )e take i! the Pri!e's #iso'fiture, but 'ai!ly
fro' the fat that it is put i! the for' of a ri##le& of t)o obli/ue hi!ts )hih the liste!er
'ust o'plete u!#er his o)! stea'& as it )ere( The #otte# li!es i! the fi$ure belo)
i!#iate the proess 1the arro) i! >4 'ay be take! to represe!t the Pri!e's /uestio!& the
other arro)& the reply2(


I!i#e!tally& :il#e has oi!e# a terser %ariatio! o! the sa'e the'e0 =or# Illi!$)orth0 'Bou
shoul# stu#y the Peera$e& ;eral#( ( ( ( It is the best thi!$ i! fitio! the E!$lish ha%e e%er
#o!e('
Nearly all the stories that I ha%e /uote# sho) the teh!i/ue of i'pliatio! "" the hi!t& the
obli/ue allusio! "" i! %aryi!$ #e$rees0 the $oo# little boy )ho lo%es his 'a'a, the 'a!
)ho !e%er ai'e# as hi$h as that, the ki!# sa#ist& et( Apart fro' i!ter" a!# e-trapolatio!
1there is !o !ee# for our purposes to 'ake a #isti!tio! bet)ee! the'2 a thir# type of
operatio! is ofte! !ee#e# to e!able o!e to 'see the .oke'0 transformation & or rei!terpretatio!&
of the $i%e! #ata i!to so'e a!alo$ous ter's( These operatio!s o'prise the tra!sfor'atio!
of 'etaphorial i!to literal state'e!ts& of %erbal hi!ts i!to %isual ter's& a!# the
i!terpretatio! of %isual ri##les of the NNe) BorkerN artoo! type( A $oo# e-a'ple 1'$oo#'& I
a' afrai#& o!ly fro' a theoretial poi!t of %ie)2 is pro%i#e# by a!other story& /uote# fro'
Freu#0
T)o sha#y busi!ess 'e! ha%e suee#e# i! 'aki!$ a fortu!e a!# )ere tryi!$ to elbo)
their )ay i!to Soiety( They ha# their portraits pai!te# by a fashio!able artist, fra'e# i!
$ol#& these )ere sho)! at a reeptio! i! the $ra!# style( A'o!$ the $uests )as a )ell"
k!o)! art riti( The bea'i!$ hosts le# hi' to the )all o! )hih the t)o portraits )ere
ha!$i!$ si#e by si#e( The riti looke# at the' for a lo!$ ti'e& the! shook his hea# as if he
)ere 'issi!$ so'ethi!$( At le!$th he poi!te# to the bare spae bet)ee! the pitures a!#
aske#0 'A!# )here is the Sa%iourE' A !ie o'bi!atio! of tra!sfor'atio! )ith i!terpolatio!(
6conomy& i! hu'our as i! art& #oes !ot 'ea! 'eha!ial bre%ity but i'pliit!ess( Implicit
is #eri%e# fro' the =ati! )or# for 'fol#e# i!'( To 'ake a .oke like Piasso's 'u!fol#'& the
liste!er 'ust fill i! the $aps& o'plete the hi!ts& trae the hi##e! a!alo$ies( E%ery $oo#
.oke o!tai!s a! ele'e!t of the ri##le "" it 'ay be hil#ishly si'ple& or subtle a!#
halle!$i!$ "" )hih the liste!er 'ust sol%e( *y #oi!$ so& he is lifte# out of his passi%e role
a!# o'pelle# to o"operate& to repeat to so'e e-te!t the proess of i!%e!ti!$ the .oke& to
re"reate it i! his i'a$i!atio!( The type of e!tertai!'e!t #ishe# out by the 'ass 'e#ia
'akes o!e apt to for$et that true rereatio! is re"reatio!(
6mphasis a!# implication are o'ple'e!tary teh!i/ues( The first bullies the au#ie!e i!to
aepta!e, the seo!# e!ties it i!to 'e!tal ollaboratio!, the first fores the offer #o)!
the o!su'er's throat, the seo!# ta!tali+es& to )het his appetite(
I! fat& both teh!i/ues ha%e their roots i! the basi 'eha!is's of o''u!iati!$
thou$hts by )or# or si$!( =a!$ua$e itself is !e%er o'pletely e-pliit( :or#s ha%e
su$$esti%e& e%oati%e po)ers, but at the sa'e ti'e they are 'erely steppi!$ sto!es for
thou$ht( Eo!o'y 'ea!s spai!$ the' at i!ter%als .ust )i#e e!ou$h to re/uire a si$!ifia!t
effort fro' the reei%er of the 'essa$e, the artist rules his sub.ets by tur!i!$ the' i!to
ao'plies(
NOTE
To p( OC( Cf( the a!alysis of a! Osbert =a!aster artoo! i! Insight and Outlook& p( FC f(
I3
FRO> HU>OUR TO <ISCO3ERB
E-plosio! a!# Catharsis
Pri'iti%e .okes arouse ru#e& a$$ressi%e& or se-ual e'otio!s by 'ea!s of a 'i!i'u' of
i!$e!uity( *ut e%e! the oarse lau$hter i! )hih these e'otio!s are e-plo#e# ofte! o!tai!s
a! a##itio!al ele'e!t of a#'iratio! for the le%er!ess of the .oke "" a!# also of satisfatio!
)ith o!e's o)! le%er!ess i! seei!$ the .oke( =et us all this a##itio!al ele'e!t of
a#'iratio! plus self"o!$ratulatio! the i!telletual $ratifiatio! offere# by the .oke(
Satisfatio! presupposes the e-iste!e of a !ee# or appetite( I!telletual uriosity& the
#esire to u!#ersta!#& is #eri%e# fro' a! ur$e as basi as hu!$er or se-0 the e-ploratory
#ri%e 1see belo)& HI& a!# *ook T)o& 3III2( It is the #ri%i!$ po)er )hih 'akes the rat
lear! to fi!# its )ay throu$h the e-peri'e!tal 'a+e )ithout a!y ob%ious i!e!ti%e bei!$
offere# i! the for' of re)ar# or pu!ish'e!t, a!# also the pri'e"'o%er behi!# hu'a!
e-ploratio! a!# researh( Its '#etahe#' a!#' #isi!tereste#' harater "" the sie!tists' self"
tra!se!#i!$ absorptio! i! the ri##les of !ature "" is& of ourse& ofte! o'bi!e# )ith
a'bitio!& o'petitio!& %a!ity0 *ut these self"asserti%e te!#e!ies 'ust be restrai!e# a!#
hi$hly subli'ate# to fi!# fulfil'e!t i! the 'ostly u!spetaular re)ar#s of his slo) a!#
patie!t labours( There are& after all& 'ore #iret 'etho#s of asserti!$ o!e's e$o tha! the
a!alysis of ribo!ulei ai#s(
:he! I alle# #iso%ery the e'otio!ally '!eutral' art I #i# !ot 'ea! by !eutrality the
abse!e of e'otio! "" )hih )oul# be e/ui%ale!t to apathy " "but that !iely bala!e# a!#
subli'ate# ble!# of 'oti%atio!s& )here self"asserti%e!ess is har!esse# to the task, a!#
)here o! the other ha!# hea#y speulatio!s about the >ysteries of Nature 'ust be
sub'itte# to the ri$ours of ob.eti%e %erifiatio!(
:e shall see that there are t)o si#es to the 'a!ifestatio! of e'otio!s at the 'o'e!t of
#iso%ery& )hih reflet this polarity of 'oti%atio!s( O!e is the triu'pha!t e-plosio! of
te!sio! )hih has su##e!ly beo'e re#u!#a!t si!e the proble' is sol%e# "" so you .u'p
out of your bath a!# ru! throu$h the streets lau$hi!$ a!# shouti!$ EurekaG I! the seo!#
plae there is the slo)ly fa#i!$ after"$lo)& the $ra#ual atharsis of the self"tra!se!#i!$
e'otio!s "" a /uiet& o!te'plati%e #eli$ht i! the truth )hih the #iso%ery re%eale#& losely
relate# to the artist's e-perie!e of beauty( The Eureka ry is the e-plosio! of e!er$ies
)hih 'ust fi!# a! outlet si!e the purpose for )hih they ha%e bee! 'obili+e# !o lo!$er
e-ists, the artharti reatio! is a! i!)ar# u!fol#i!$ of a ki!# of 'oea!i feeli!$'& a!# its
slo) ebbi!$ a)ay( The first is #ue to the fat that 'I' 'a#e a #iso%ery, the seo!# to the
fat that a #iso%ery has bee! 'a#e& a fratio! of the i!fi!ite re%eale#( The first te!#s to
pro#ue a state of physial a$itatio! relate# to lau$hter, the seo!# te!#s to)ar#s /uietu#e&
the 'earthi!$' of e'otio!& so'eti'es a peaeful o%erflo) of tears( The reaso!s for this
o!trast )ill be #isusse# later, for the ti'e bei!$& let us re'e'ber that& physiolo$ially
speaki!$& the self"asserti%e te!#e!ies operate throu$h the 'assi%e sy'pathio"a#re!al
syste' )hih $al%a!i+es the bo#y i!to ati%ity "" )hereas the self"tra!se!#i!$ e'otio!s
ha%e !o o'parable tri$$er"'eha!is' at their #isposal& a!# their bo#ily 'a!ifestatio!s are
i! e%ery respet the opposite of the for'er0 pulse a!# breathi!$ are slo)e# #o)!& the
'usles rela-& the )hole or$a!is' te!#s to)ar#s tra!/uillity a!# atharsis( Aor#i!$ly&
this lass of e'otio!s is #e%oi# of the i!ertial 'o'e!tu' )hih 'akes the ra$e"fear type
of reatio!s so ofte! fall out of step )ith reaso!i!$, the partiipatory e'otio!s #o !ot
beo'e #issoiate# fro' thou$ht( Ra$e is i''u!e to u!#ersta!#i!$, lo%e of the self"
tra!se!#i!$ %ariety is base# o! u!#ersta!#i!$& a!# a!!ot be separate# fro' it(
Thus the i'pat of a su##e!& bisoiati%e surprise )hih 'akes reaso!i!$ perfor' a
so'ersault )ill ha%e a t)ofol# effet0 part of the te!sio! )ill beo'e #etahe# fro' it a!#
e-plo#e# )hile the re'ai!i!$ part )ill slo)ly ebb a)ay( The sy'bols


o! the triptyh are 'ea!t to refer to these t)o 'o#es of the #ishar$e of te!sio!0 the
explosion of the a$$ressi%e"#efe!si%e a!# the $ra#ual atharsis& or 'earthi!$'& of the
partiipatory e'otio!s(
'Seei!$ the ?oke' a!# 'Sol%i!$ the Proble''
The #ual 'a!ifestatio! of e'otio!s at the 'o'e!t of #iso%ery is reflete# o! a 'i!or a!#
tri%ial sale i! our reatio!s to a le%er .oke( The pleasa!t after"$lo) of a#'iratio! a!#
i!telletual satisfatio!& $ra#ually fa#i!$& reflets the atharti reatio!, )hile the self"
o!$ratulatory i'pulse "" a fai!t eho of the Eureka ry "" supplies a##e# %olta$e to the
ori$i!al har$e #eto!ate# i! lau$hter0 that 'su##e! $lory' 1as Hobbes has it2 'arisi!$ out of
our o)! e'i!e!y'(
=et our i'a$i!atio! tra%el o!e 'ore aross the triptyh of reati%e ati%ities& fro' left to
ri$ht& as it )ere( :e a! #o this as )e ha%e see!& by taki!$ a short"ut fro' o!e )i!$ to
a!other& fro' the o'i to the tra$i or subli'e, or alter!ati%ely by follo)i!$ the $ra#ual
tra!sitio!s )hih lea# fro' the left to the e!tre pa!el(
O! the e-tre'e left of the o!ti!uu' "" the i!fra"re# e!# of the e'oti%e spetru' "" )e
fou!# the pratial .oke& the s'utty story& the la%atory hu'our of hil#re!& eah )ith a
hea%y a$$ressi%e or se-ual or satalo$ial loa# 1)hih 'ay be partly u!o!sious2, a!#
)ith a lo$ial struture so ob%ious that it re/uire# o!ly a 'i!i'u' of i!telletual effort to
'see the .oke'( Put i!to a for'ula& )e oul# say that the ratio A0 I "" )here A sta!#s for ru#e
e'otio!& a!# I for i!telletual sti'ulatio! "" is hea%ily loa#e# i! fa%our of the for'er(
As )e 'o%e aross the pa!el to)ar#s the ri$ht& this ratio ha!$es& a!# is ulti'ately
re%erse#( I! the hi$her for's of o'e#y& satire& a!# iro!y the 'essa$e is ouhe# i!
i'pliit a!# obli/ue ter's, the .oke $ra#ually assu'es the harater of a! epi$ra' or
ri##le& the )ittiis' beo'es a halle!$e to our )its0
Psyhoa!alysis is the #isease for )hih it prete!#s to be the ure( Philosophy is the
syste'ati abuse of a ter'i!olo$y speially i!%e!te# for that purpose( Statistis are like a
biki!i( :hat they re%eal is su$$esti%e( :hat they o!eal is %ital(
Or& Hei!e's #esriptio! of a you!$ %ir$i!0
Her fae is like a pali'psest "" be!eath the ;othi letteri!$ of the 'o!k's sare# te-t lurks
the pa$a! poet's half"effae# eroti %erse(
The ru#e a$$ressio! of the pratial .oke has bee! subli'ate# i!to 'aliious i!$e!uity,
$ross se-uality i!to subtle erotiis'( I!i#e!tally& if I ha# !ot 'e!tio!e# that the last
/uotatio! )as by Hei!e& )hose !a'e o'bi!e# )ith '%ir$i!' arouses o'i!ous e-petatio!s&
but ha# prete!#e# i!stea# that it )as fro' a !o%el by <( H( =a)re!e& it )oul# probably
ha%e i'presse# the rea#er as profou!#ly poeti i!stea# of 'aliious "" a short"ut fro'
)i!$ to )i!$& by re%ersal of the har$e fro' 'i!us to plus( A$ai!& i'a$i!e for a 'o'e!t
that the /uotatio! ourre# i! a! essay by a ?u!$ia! psyholo$ist "" a!# it )ill tur! i!to a!
e'otio!ally !eutral illustratio! of 'the i!trusio! of arhetypes i!to pereptio!'(
I! ases like this the )or#i!$ of the !arrati%e 1or the piture o! the a!%as2 a! re'ai!
u!altere#& a!# its tra!sfor'atio! fro' a o'i i!to a poeti or i!telletually e!li$hte!i!$
'essa$e #epe!#s e!tirely o! the sub.eti%e attitu#e of the peripie!t(D Ho)e%er& the li!es
of orrespo!#e!e aross the pa!els are 'ea!t to i!#iate 'ore $e!eral patterns of reati%e
ati%ity( Thus& as )e 'o%e fro' oarse hu'our to)ar#s the !eutral +o!e& )e fi!# the
bisoiatio! of sound and meaning first e-e'plifie# i! the pu!& the! i! )or# $a'es 1ra!$i!$
fro' the ross)or# pu++le to the #eypheri!$ of the Rosetta sto!e2, lastly i! alliteratio!&
aso!a!e& a!# rhy'e( The mind%matter the'e )e fou!# e-presse# i! ou!tless %ariatio!s
o! all three pa!els, a!# eah %ariatio! of it "" the puppet o! stri!$s or ?ak"i!"the"*o- ""
)as a$ai! see! as tri"%ale!t( Impersonation is use# both i! o'e#y a!# tra$e#y, but i!
bet)ee! the' the 'e#ii!e 'a! i! his 'ask& the assoke# priest i! the o!fessio!al& the
psyhiatrist i! the role of the father& eah i'perso!ate a perso! or po)er other tha! hi'self(
The #istorti!$ 'irror& )ith its e'phasis o! o!e si$!ifia!t aspet to the e-lusio! of others&
is use# alike i! the caricature a!# i! the sie!tist's #ia$ra's a!# she'ata, )he! Cla%#ia i!
the &agic &ountain offers her lo%er a! H"ray portrait of her hest as a sou%e!ir )e har#ly
k!o) o! )hih of the three pa!els )e are( Nor a! )e #ra) a sharp li!e bet)ee! soial
satire a!# soiolo$ial #iso%ery0 3nimal 1arm a!# 'ABC tau$ht a )hole $e!eratio! 'ore
about the !ature of totalitaria!is' tha! aa#e'i sie!e #i#( O!e last e-a'ple0
I! 45@C a! a!e#ote i! the for' of a! i'a$i!ary #ialo$ue irulate# i! the satellite
ou!tries of the East0
Tell 'e& Co'ra#e& )hat is apitalis'E The e-ploitatio! of 'a! by 'a!( A!# )hat is
Co''u!is'E The re%erse(
The '#ouble e!te!#re' o! 're%erse' "" it pretends to be the opposite& but it o'es #o)! to the
sa'e& o!ly the e-ploiti!$ is #o!e by a #iffere!t $a!$ ""asts a !e)& sharp li$ht o! a hoary
proble', it has the sa'e po)er of su##e! illu'i!atio! as a! epi$ra' by 3oltaire(
Si'ilar bor#erli!e ases are brai!"t)isters& lo$ial para#o-es& 'athe'atial $a'es( E%e!
hess proble's a! be both ')itty' a!# 'fu!!y' if they o!tai! so'e su##e! re%ersal of lo$i&
a! iro!ial t)ist& or a! affro!t to hess o''o! se!se, the o!!oisseur )ill s'ile& or e%e!
lau$h& )he! he is sho)! the solutio!& a!# the te!sio! su##e!ly s!aps( His lau$hter 'ay
si$!ify 'ho) stupi# of 'e !ot to ha%e see! it' or '!ot to ha%e see! it at o!e' or 'ho) le%er
of 'e'& et( To #isti!$uish bet)ee! these ases )oul# be splitti!$ hairs& for the basi
proess is the sa'e0 the te!sio! has bee! #issoiate# fro' its ori$i!al purpose a!# 'ust
fi!# so'e other outlet( :he! the stri!$ of the $uitar s!aps it $i%es out a t)a!$ "" for
preisely the sa'e reaso!(
*ut this te!sio! is !o lo!$er o'parable to the e'otio!s arouse# i! the $rosser types of
hu'our( The i!telletual halle!$e& )hih i! the oarse .oke playe# suh a subsi#iary part&
!o) #o'i!ates the piture, the A0 I ratio has bee! re%erse#( There 'ay be %a!ity a!#
o'petiti%e!ess i! risi!$ to the halle!$e, but they are subli'ate# a!# hel# i! bala!e by a
self"for$etti!$ absorptio! i! the proble'(
As )e ross the flui# bou!#ary lea#i!$ i!to the e!tral pa!el of the triptyh& the task of
'seei!$ the .oke' beo'es the task of 'sol%i!$ the proble''( A!# )he! )e suee# )e !o
lo!$er roar )ith lau$hter as at the lo)!'s a!tis, lau$hter $ra#ually sha#es i!to a! a'use#&
the! a! a#'iri!$ s'ile "" refleti!$ the har'o!i bala!e of opposites& the su##e! $lory
a!# /uiet $lo) of i!telletual satisfatio!(
The Creatio! of Hu'our
Up to !o) I ha%e bee! #isussi!$ the effets of hu'our o! the au#ie!e0 the rea#er&
liste!er& spetator( =et 'e tur! fro' the o!su'er's reatio!s to the proesses )hih $o i!
o! the 'i!# of the pro#uer "" the i!%e!tor of the .oke& the reator of hu'our(
Hu'our #epe!#s pri'arily o! its surprise effet0 the bisoiati%e shok( To ause surprise
the hu'orist 'ust ha%e a 'o#iu' of ori$i!ality "" the ability to break a)ay fro' the
stereotype# routi!es of thou$ht( Cariaturist& satirist& the )riter of !o!se!se"hu'our& a!#
e%e! the e-pert tikler& eah operates o! 'ore tha! o!e pla!e( :hether his purpose is to
o!%ey a soial 'essa$e& or 'erely to e!tertai!& he 'ust pro%i#e 'e!tal .olts& ause# by the
ollisio! of i!o'patible 'atries( To a!y $i%e! situatio! or sub.et he 'ust o!.ure up a!
appropriate "" or appropriately i!appropriate "" i!tru#er )hih )ill pro%i#e the .olt(
ZZ Steppi!$ bak out of situatio!& o!to ob.eti%e pla!e(
The first shoolboy to ha%e the i#ea of sa)i!$ throu$h the le$s of the 'aster's hair 'ust
ha%e bee! a $e!ius 1suh praties )ere !ot u!o''o! i! 'y shool"#ays i! Hu!$ary2(
His habitual outlets for a$$ressio! bei!$ barre# by the hea%y pe!alties they )oul# e!tail& he
'ust ha%e bee! labouri!$ u!#er a reati%e stress )hih i!itiate# his searh for a! ori$i!al
solutio! of his proble'( A ha!e obser%atio! "" like the fall of Ne)to!'s apple "" 'ay ha%e
pro%i#e# the li!k to a #iffere!t fra'e of refere!e& )here the ob.et of his rese!t'e!t )as
'erely a 'ass sub.et to the pull of $ra%ity( No) all he ha# to #o )as to tra!sfer the se!e
of operatio!s fro' the bloke# 'atri- &' to this au-iliary 'atri- &(( If this sou!#s
faetious let us re'e'ber that *er$so!'s theory of hu'our is base# o! this si!$le faet(
I! all for's of 'aliious )it there is a! a$$ressi%e te!#e!y at )ork )hih& for o!e reaso!
or a!other& a!!ot be satisfie# by the usual 'etho#s of reaso!e# ar$u'e!t& physial
%iole!e& or strai$ht i!%eti%e( I shall all a 'atri- 'bloke#' )he! its 'rules of the $a'e'
pro%e i!appliable to the e-isti!$ situatio! or proble' i! ha!#, )he! !o!e of the %arious
)ays of e-erisi!$ a skill& ho)e%er plasti a!# a#aptable that skill is& lea#s to the #esire#
$oal( The you!$ offier i! the 3ie!!ese a!e#ote& rese!ti!$ the ourtesa!'s prete!tious
reply& is i! the sa'e positio! as the frustrate# shoolboy0 he a!!ot reply0 'Co'e off the
hi$h horse& I k!o) that ash is all that 'atters to you&' )ithout i!urri!$ the pe!alties of
%ul$arity( Cha'fort's >ar/uis a!!ot kill the *ishop "" it )oul# be a! u!par#o!able lak of
sa%oir"faire( Piasso a!!ot tell the #ealer that he is a! i!sufferable bore )ho #oes !ot
k!o) a Kokoshka fro' a Klee, that )oul# be u!ki!#(
*ut ho) #o they #iso%er the i!spire# reposte )hih sa%es the situatio!E It sou!#s a si'ple
/uestio!& but if psyholo$y k!e) the a!s)er to it there )oul# be !o poi!t i! )riti!$ this
book(
As a first step let us !ote a tri%ial fat0 the offier's 'e!tal leap fro' the 'etaphorial to
the literal pla!e i!#iates a phe!o'e!o! alrea#y #isusse#0 the #isplae'e!t of atte!tio! to
a see'i!$ly irrele%a!t feature "" i! this ase fro' the poeti o!!otatio!s of the la#y's heart
to its o!rete spatial loatio!( 1:e re'e'ber that :il#e use# a si'ilar #isplae'e!t effet
for a #iffere!t purpose i! 'Ho) else but throu$h a broke! heart ( ( ('2( The >ar/uis ahie%es
his ai' "" to kill by ri#iule "" by tra!sferri!$ his atte!tio! fro' the $lari!$ly ob%ious
o!si#eratio! that the *ishop is usurpi!$ his privileges & to a! irrele%a!t si#e"li!e "" that he
is #oi!$ a!other 'a!'s 5ob , as if the issue )ere a #e'aratio! #ispute bet)ee! the
*oiler'akers' a!# the Ship)ri$hts' U!io!s o! )ho shoul# #rill the holes(
Thus i! so'e of the ases )e ha%e #isusse#& the solutio! is arri%e# at by a ki!# of
thinking aside& a shift of atte!tio! to so'e feature of the situatio!& or a! aspet of the
proble'& )hih )as pre%iously i$!ore#& or o!ly prese!t o! the fri!$es of a)are!ess( The
hu'orist 'ay stu'ble o! it by ha!e, or& 'ore likely& $ui#e# by so'e i!tuitio! )hih he
is u!able to #efi!e( This $i%es us a first i!ti'atio! of u!o!sious proesses i!ter%e!i!$ i!
the reati%e at( The hu'orist's ahie%e'e!t& represe!te# o! the !eat #ia$ra's i! pre%ious
hapters& appears as a! e-erise i! pure i!tellethal $eo'etry0 'Co!strut t)o pla!es
i!li!e# at a $i%e! a!$le a!# $e!erate t)o ur%es )hih i!terset i! a $i%e! poi!t(' I! atual
fat& ho)e%er& the bisoiati%e at& i! hu'our as i! other bra!hes of reati%ity& #epe!#s i!
%aryi!$ #e$rees o! assista!e fro' fri!$e"o!sious or u!o!sious proesses( Piasso's
illu'i!ati!$ $ru!t )as ertai!ly i!spire# by a proess of this ki!#( O! the other ha!#& the
'e#iore artoo!ist a!# other professio!al rafts'e! of the o'i operate 'ostly )ith the
sa'e fa'iliar 'atries& fi-e# at a $i%e! a!$le& as it )ere& $o%er!e# by fa'iliar rules of the
$a'e, a!# their task is re#ue# to #e%isi!$ !e) li!ks "" pu!s& $a$s& pe$s for paro#y( It is a
'eha!i+e# ki!# of bisoiati%e teh!i/ue& )hih also has its pratitio!ers i! sie!e a!#
art(
Para#o- a!# Sy!thesis
There is a! ob%ious o!trast bet)ee! the e'oti%e reatio!s of reator a!# o!su'er0 the
perso! )ho i!%e!ts the .oke or o'i i#ea sel#o' lau$hs i! the proess( The reati%e stress
u!#er )hih he labours is !ot of the sa'e ki!# as the e'otio!s arouse# i! the au#ie!e( He
is e!$a$e# i! a! i!telletual e-erise& a feat of 'e!tal arobatis, e%e! if 'oti%ate# by
sheer %e!o' it 'ust be #istille# a!# subli'ate#( O!e he has hit o! the i#ea a!# )orke#
out the lo$ial struture& the basi patter! of the .oke& he uses his triks of the tra#e ""
suspe!se& e'phasis& i'pliatio! "" to )ork up the au#ie!e's e'otio!s, a!# to 'ake these
e-plo#e i! lau$hter )he! he spri!$s his surprise"effet o! the'(
No) the hu'orist 'ay also e-perie!e surprise at the 'o'e!t )he! the i#ea hits hi' ""
partiularly if it )as $e!erate# by the u!o!sious( *ut there is a basi #iffere!e bet)ee! a
shok i'pose# fro' outsi#e a!# a /uasi self"a#'i!istere# shok( The hu'orist has sol%e#
his proble' by .oi!i!$ t)o i!o'patible 'atries to$ether i! a para#o-ial sy!thesis( His
au#ie!e& o! the other ha!#& has its e-petatio!s shattere# a!# its reaso! affro!te# by the
i'pat of the seo!# 'atri- o! the first, i!stea# of fusio! there is ollisio!, a!# i! the
'e!tal #isarray )hih e!sues& e'otio!& #eserte# by reaso!& is flushe# out i! lau$hter(
I! the hu'orist's 'i!# !o suh #i%ore ours, he has !othi!$ to lau$h about( At 'ost he
'ay& at the 'o'e!t of i!spiratio!& hit his #esk0 'I ha%e $ot it(' *ut the reati%e stress )hih
is relie%e# i! suh 'i!or $estures& sy'boli of %itory& of oppositio! %a!/uishe#& is of a
subli'ate# !ature "" /uite u!like the 'ore pri'iti%e e'otio!s puffe# a)ay i! the 'assi%e
lau$hter of the au#ie!e( The o!trast is further illustrate# i! situatio!s )here a perso! fails
to fi!# the solutio! of a brai!"teaser "" a!#& o! bei!$ tol# it& starts hitti!$& !ot the #esk& but
his o)! be!i$hte# hea#( The re#u!#a!t te!sio! is )orke# off i! a sy'boli $esture of self"
pu!ish'e!t "" a$ai! a 'ore speifi outlet for e!er$ies har!esse# to i!telletual tasks tha!
the lau$hter"ha!!els of least resista!e(
The less su$$esti%e a!# the 'ore i'pliit the .oke& the 'ore )ill the o!su'er's reatio!s
appro-i'ate the pro#uer's "" )hose 'e!tal effort he is o'pelle# to re"reate( :he! the
)ittiis' is tra!sfor'e# i!to epi$ra'& a!# teasi!$ i!to halle!$e& the o%erflo) refle- for
pri'iti%e e'otio!s is !o lo!$er !ee#e#& a!# #e"te!sio! assu'es 'ore i!#i%i#uali+e# a!#
sophistiate# for's, the roar of Ho'eri lau$hter is superse#e# by Arhi'e#es's pieri!$
ry or Kepler's holy ra%i!$s(
The reati%e at of the hu'orist o!siste# i! bri!$i!$ about a 'o'e!tary fusio! bet)ee!
t)o habitually i!o'patible 'atries( Sie!tifi #iso%ery& as )e shall prese!tly see& a! be
#esribe# i! %ery si'ilar ter's "" as the per'a!e!t fusio! of 'atries of thou$ht pre%iously
belie%e# to be i!o'patible( U!til the se%e!tee!th e!tury the Coper!ia! hypothesis of the
earth's 'otio! )as o!si#ere# as ob%iously i!o'patible )ith o''o!se!se e-perie!e, it
)as aor#i!$ly treate# as a hu$e .oke by the 'a.ority of ;alileo's o!te'poraries( O!e of
the'& a fa'ous )it& )rote0 'The #isputes of Si$!or ;alileo ha%e #issol%e# i!to alhe'ial
s'oke( So here )e are at last& safely bak o! a soli# earth& a!# )e #o !ot ha%e to fly )ith it
as so 'a!y a!ts ra)li!$ arou!# a balloo!(' 748
The history of sie!e abou!#s )ith e-a'ples of #iso%eries $reete# )ith ho)ls of
lau$hter beause they see'e# to be a 'arria$e of i!o'patibles "" u!til the 'arria$e bore
fruit a!# the alle$e# i!o'patibility of the part!ers tur!e# out to #eri%e fro' pre.u#ie( The
hu'orist& o! the other ha!#& #eliberately hooses #isor#a!t o#es of beha%iour or
u!i%erses of #isourse to e-pose their hi##e! i!o!$ruities i! the resulti!$ lash( Co'i
#iso%ery is para#o- state# "" sie!tifi #iso%ery is para#o- resol%e#(
*ut here a$ai! )e fi!#& i!stea# of a lear #i%i#i!$ li!e& o!ti!uous tra!sitio!s( The
para#o-es of Ahilles a!# the Tortoise& or of the Creta! =iar& ha%e& #uri!$ t)o 'ille!!ia&
tikle# philosophers a!# tease# 'athe'atiia!s i!to reati%e efforts, a!# ?u%e!al's si
9atura negat$ facit indignatio versum re'ai!s as true as e%er(
Su''ary
I ha%e starte# this i!/uiry )ith a! a!alysis of hu'our beause it is the o!ly #o'ai! of
reati%e ati%ity )here a o'ple- patter! of i!telletual sti'ulatio! eliits a sharply #efi!e#
respo!se i! the !ature of a physiolo$ial refle-(
The patter! u!#erlyi!$ all %arieties of hu'our is bisociative "" perei%i!$ a situatio! or
e%e!t i! t)o habitually i!o'patible assoiati%e o!te-ts( This auses a! abrupt tra!sfer of
the trai! of thou$ht fro' o!e 'atri- to a!other $o%er!e# by a #iffere!t lo$i or 'rule of the
$a'e'( *ut ertai! e'otio!s& o)i!$ to their $reater i!ertia a!# persiste!e& a!!ot follo)
suh !i'ble .u'ps of thou$ht, #isar#e# by reaso!& they are )orke# off alo!$ ha!!els of
least resista!e i! lau$hter(
The e'otio!s i! /uestio! are those of the self"asserti%e& a$$ressi%e"#efe!si%e type& )hih
are base# o! the sy'pathio"a#re!al syste' a!# te!# to be$et bo#ily ati%ity( Their
ou!ter"parts are the partiipatory or self"tra!se!#i!$ e'otio!s "" o'passio!&
i#e!tifiatio!& rapt!ess "" )hih are 'e#iate# by physiolo$ial proesses of a #iffere!t type&
a!# te!# to #ishar$e !ot i! lau$hter but i! tears( As a rule our e'otio!s are a 'i-ture of
both, but e%e! i! the 'ore subtle or affetio!ate %arieties of hu'our& a! ele'e!t of
a$$ressio! "" a #rop of a#re!ali! "" 'ust be prese!t to tri$$er off the reatio!( =au$hter is a
lu-ury refle- )hih oul# arise o!ly i! a reature )hose reaso! has $ai!e# a #e$ree of
auto!o'y fro' the ur$es of e'otio!& a!# e!ables hi' to perei%e his o)! e'otio!s as
re#u!#a!t "" to reali+e that he has bee! foole#(
After applyi!$ the theory to %arious types of the o'i& I #isusse# the riteria of the
hu'orist's teh!i/ue0 originality or u!e-pete#!ess, emphasis throu$h seletio!&
e-a$$eratio! a!# si'plifiatio!, a!# eo!o'y or implicitness )hih alls for e-trapolatio!&
i!terpolatio! a!# tra!spositio!(
The ter' ''atri-' )as i!tro#ue# to refer to a!y skill or ability& to a!y patter! of ati%ity
$o%er!e# by a set of rules "" its 'o#e'( All or#ere# beha%iour& fro' e'bryo!i #e%elop'e!t
to %erbal thi!ki!$& is o!trolle# by 'rules of the $a'e'& )hih le!# it ohere!e a!# stability&
but lea%e it suffiie!t #e$rees of free#o' for fle-ible strate$ies a#apte# to e!%iro!'e!tal
o!#itio!s( The a'bi$uity of the ter' 'o#e' 1'o#e of la)s' "" 'o#e# 'essa$e'2 is
#eliberate& a!# reflets a harateristi property of the !er%ous syste'0 to o!trol all bo#ily
ati%ities by 'ea!s of o#e# si$!als(
The o!ept of 'atries )ith fi-e# o#es a!# a#aptable strate$ies& propose# as a u!ifyi!$
for'ula& appears to be e/ually appliable to pereptual& o$!iti%e& a!# 'otor skills a!# to
the psyholo$ial strutures %ariously alle# 'fra'es of refere!e'& 'assoiati%e o!te-ts'&
'u!i%erses of #isourse'& 'e!tal 'sets'& or 'she'ata'& et( The %ali#ity of the for'ula )ill be
teste# i! the hapters )hih follo)& o! %arious le%els fro' 'orpho$e!esis to sy'boli
thou$ht(
>atries %ary fro' fully auto'ati+e# skills to those )ith a hi$h #e$ree of plastiity, but
e%e! the latter are o!trolle# by rules of the $a'e )hih fu!tio! belo) the le%el of
a)are!ess( These sile!t o#es a! be re$ar#e# as o!#e!satio!s of lear!i!$ i!to habit(
Habits are the i!#ispe!sable ore of stability a!# or#ere# beha%iour, they also ha%e a
te!#e!y to beo'e 'eha!i+e# a!# to re#ue 'a! to the status of a o!#itio!e#
auto'ato!( The reati%e at& by o!!eti!$ pre%iously u!relate# #i'e!sio!s of e-perie!e&
e!ables hi' to attai! to a hi$her le%el of 'e!tal e%olutio!( It is a! at of liberatio! "" the
#efeat of habit by ori$i!ality(D
NOTES
To p( 5C( This& of ourse& e/ually applies to pitures( The sa'e Rube!s !u#e )ill all forth
#iffere!t respo!ses fro' a shoolboy& a! art riti& a!# a !u!( I! the Natio!al ;allery i!
3ie!!a there )as o!e to be see! a! a#'irable =e#a of the 3e!etia! shool& )hih bore the
i!sriptio!0 9ackend "eib von bDser @ans @ebissen 1Nake# :e!h *itte! by A!$ry
;oose2(
To( p( 5@( As this book )as !eari!$ o'pletio!& Professor *urt ki!#ly brou$ht to 'y
atte!tio! a paper he )rote o! 'The Psyholo$y of =au$hter' for a se'i!ar of his post"
$ra#uate stu#e!ts& i! )hih he ha# o'e to so'e)hat si'ilar o!lusio!s0
=au$hter 'ay be re$ar#e# as pro%i#i!$ a safety"%al%e for the o%erflo) of e'otio!al
e!er$y& i!sti!ti%ely e-ite# by the pereptio! of so'e speifi situatio! )hih
auto'atially te!#s to sti'ulate the i!sti!t& but )hih o! loser e-a'i!atio! is see! !ot to
re/uire e!er$eti atio!( ( ( ( E%ery sti'ulus to lau$hter thus i!%ol%es a #ouble"e!te!#re0
there is first the superfiial or 'a!ifest 'ea!i!$ )hih te!#s to arouse a! e'otio!
appropriate to so'e serious situatio! 1a!# thus 'o'e!tarily #isturbi!$ e/uilibriu'2& a!#
seo!#ly the #eeper or late!t 'ea!i!$ 1)hih o!tra#its the first i'pressio!2, a!# the
outlet of lau$hter is pro%i#e# to $i%e i''e#iate relief to the superfluous e'otio!al
e-ite'e!t( ( ( ( 1*urt& 456I2(
PART T:O
THE SA;E
3
>O>ENTS OF TRUTH
The Chi'pa!+ee a!# the Stik
That a!i'als a! #isplay ori$i!ality a!# i!%e!ti%e!ess has bee! asserte# si!e Aesop& but
e-peri'e!tally #e'o!strate# for the first ti'e by the ;er'a! psyholo$ist :olf$a!$
K[hler( I! 454F K[hler publishe# *he &entality of 3pes& a! aou!t of his e-peri'e!ts
)ith hi'pa!+ees o! Te!eriffe& )hih has si!e beo'e a lassi( Here is a harateristi
#esriptio! of a! a!i'al #iso%eri!$ the use of tools 1'y italis20
Nue%a& a you!$ fe'ale hi'pa!+ee& )as teste# A #ays after her arri%al 144th >arh& 45462(
She ha# !ot yet 'a#e the a/uai!ta!e of the other a!i'als but re'ai!e# isolate# i! a a$e(
A little stik is i!tro#ue# i!to her a$e, she srapes the $rou!# )ith it& pushes the ba!a!a
ski!s to$ether i! a heap& a!# the! arelessly #rops the stik at a #ista!e of about three"
/uarters of a 'etre fro' the bars( Te! 'i!utes later& fruit is plae# outsi#e the a$e beyo!#
her reah( She $rasps at it& %ai!ly of ourse& a!# the! be$i!s the harateristi o'plai!t of
the hi'pa!+ee0 she thrusts both lips "" espeially the lo)er "" for)ar#& for a ouple of
i!hes& $a+es i'plori!$ly at the obser%er& utters )hi'peri!$ sou!#s& a!# fi!ally fli!$s
herself o! to the $rou!# o! her bak "" a $esture 'ost elo/ue!t of #espair& )hih 'ay be
obser%e# o! other oasio!s as )ell( Thus& bet)ee! la'e!tatio!s a!# e!treaties& so'e ti'e
passes& u!til "" about se%e! 'i!utes after the fruit has bee! e-hibite# to her "" she su##e!ly
asts a look at the stik& eases her 'oa!i!$& sei+es the stik& strethes it out of the a$e&
a!# suee#s& thou$h so'e)hat lu'sily& i! #ra)i!$ the ba!a!as )ithi! ar''s le!$th(
>oreo%er& Nue%a at o!e puts the e!# of her stik behi!# a!# beyo!# her ob.eti%e( The
test is repeate# after a! hour's i!ter%al, o! this seo!# oasio!& the a!i'al has reourse to
the stik 'uh soo!er& a!# uses it )ith 'ore skill, a!# at a thir# repetitio!& the stik is use#
i''e#iately& as o! all subse/ue!t oasio!s( 748
It is ob%ious that Nue%a )as !ot le# to her #iso%ery by a!y proess of o!#itio!i!$& or
trial a!# error( Her beha%iour fro' the 'o'e!t )he! her eyes fell o! the stik )as& i!
K[hler's )or#s& 'u!)a%eri!$ly purposeful'0 she sei+e# the stik& arrie# it )ithout hesitatio!
to the bars& strethe# it out of the a$e& a!# plae# it behi!# the ba!a!a "" a s'ooth&
i!te$rate# se/ue!e of atio!s& /uite #iffere!t fro' the errati& hit"a!#"'iss beha%iour of
rats tryi!$ to fi!# their )ay throu$h a 'a+e& or ats tryi!$ to $et out of a pu++le"bo-( It )as
a! ori$i!al& self"tau$ht ao'plish'e!t& )hih ha# !o pree#e!t i! the hi'pa!+ee's past(
The proess )hih le# to her #iso%ery a! be #esribe# as a sy!thesis of t)o pre%iously
u!o!!ete# skills& a/uire# i! earlier life( I! the first plae& Nue%a ha# lear!e# to $et at
ba!a!as outsi#e her a$e by s/uee+i!$ a! ar' or foot throu$h the bars, the e!se'ble of
%ariatio!s of this si'ple skill o!stitutes 'atri- !u'ber o!e( She ha# also a/uire# the
habit "" 'atri- !u'ber t)o "" of srapi!$ the earth )ith a stik a!# of pushi!$ ob.ets about
)ith it( *ut i! this playful ati%ity the stik )as !e%er use# for a!y utilitaria! purpose, to
thro)& push& or roll thi!$s about is a habit o''o! to a %ariety of you!$ a!i'als( Nue%a's
#iso%ery o!siste# i! applyi!$ this playful habit as a! au-iliary 'atri- to $et at the
ba!a!a( The 'o'e!t of truth ourre# )he! Nue%a's $la!e fell o! the stik )hile her
atte!tio! )as set o! the ba!a!a( At that 'o'e!t the t)o pre%iously separate 'atries fuse#
i!to o!e& a!# the 'stik to play )ith' bea'e a 'rake to reah )ith' "" a! i'ple'e!t for
obtai!i!$ other)ise u!obtai!able ob.ets(
=ike 'a!y other #iso%eries& Nue%a's see's a si'ple a!# ob%ious o!e "" but o!ly after the
fat( A #o$& for i!sta!e& )ill arry a stik bet)ee! his teeth& but he )ill !e%er lear! to use
it as a rake( >oreo%er& hi'pa!+ees are !ot the o!ly speies )hih fi!#s it #iffiult to apply
a 'playful' teh!i/ue to a utilitaria! purpose )ith )hih it ha# !ot bee! o!!ete# i!
pre%ious e-perie!e, a !u'ber of #iso%eries i! the history of hu'a! sie!e o!siste# i!
.ust that( ;alileo asto!ishe# the )orl# )he! he tur!e# the telesopi toys& i!%e!te# by
<uth optiia!s& to astro!o'i use, the i!%e!tio! of the stea' e!$i!e as a 'eha!ial toy
by Hero of Ale-a!#ria i! the seo!# e!tury *(C( ha# to )ait t)o thousa!# years before it
)as put to pratial use, the $eo'etry of o!i setio!s )hih Apollo!ius of Per$a ha#
stu#ie# i! the fourth e!tury *(C( .ust for the fu! of it& $a%e Kepler& a$ai! t)o thousa!#
years later& his elliptial orbits of the pla!ets, the passio! for #ie of the Che%alier #e >TrT
'a#e hi' approah Pasal for a#%ie o! a safe $a'bli!$ syste'& a!# thus )as the theory
of probability bor!& that i!#ispe!sable tool of 'o#er! physis a!# biolo$y& !ot to 'e!tio!
the i!sura!e busi!ess( 'It is re'arkable'& )rote =aplae& 'that a sie!e )hih be$a! )ith
o!si#eratio!s of play has rise! to the 'ost i'porta!t ob.ets of hu'a! k!o)le#$e(' Thus
at the %ery start of our i!/uiry )e hit o! a patter! "" the #iso%ery that a playful or l/art
pour l/art teh!i/ue pro%i#es a! u!e-pete# lue to proble's i! a /uite #iffere!t fiel# ""
)hih is o!e of the leit'otifs i! the history of sie!e(
Nue%a's #iso%ery )as the use of tools, the !e-t o!e to be #esribe# is the 'aki!$ of tools(
Its hero is Sulta!& the $e!ius a'o!$ K[hler's hi'pa!+ees0
14O(9(45462 *eyo!# so'e bars& out of ar''s reah& lies a! ob.eti%e 7a ba!a!a8, o! this
si#e& i! the bak$rou!# of the e-peri'e!t roo'& is plae# a sa)!"off astor"oil bush& )hose
bra!hes a! be easily broke! off( It is i'possible to s/uee+e the tree throu$h the raili!$s&
o! aou!t of its a)k)ar# shape, besi#es& o!ly o!e of the bi$$er apes oul# #ra$ it as far as
the bars( Sulta! is let i!& #oes !ot i''e#iately see the ob.eti%e& a!#& looki!$ about hi'
i!#iffere!tly& suks o!e of the bra!hes of the tree( *ut& his atte!tio! ha%i!$ bee! #ra)! to
the ob.eti%e& he approahes the bars& $la!es outsi#e& the !e-t 'o'e!t tur!s rou!#& $oes
strai$ht to the tree& sei+es a thi! sle!#er bra!h& breaks it off )ith a sharp .erk& ru!s bak to
the bars& a!# attai!s the ob.eti%e( Fro' the tur!i!$ rou!# upo! the tree up to the $raspi!$
of the fruit )ith the broke!"off bra!h& is o!e si!$le /uik hai! of atio!& )ithout the least
'hiatus'& a!# )ithout the sli$htest 'o%e'e!t that #oes !ot& ob.eti%ely o!si#ere#& fit i!to
the solutio! #esribe#( 798
Ha# Sulta! k!o)! ;reek he )oul# ertai!ly ha%e shoute# EurekaG
K[hler o''e!ts0
For a#ult 'a! )ith his 'eha!i+e# 'etho#s of solutio!& proof is so'eti'es !ee#e#& as
here& that a! atio! )as a real ahie%e'e!t& !ot so'ethi!$ self"e%i#e!t, that the breaki!$
off a bra!h fro' a )hole tree& for i!sta!e& is a! ahie%e'e!t o%er a!# abo%e the si'ple
use of a stik& is sho)! at o!e by a!i'als less $ifte# tha! Sulta!& e%e! )he! they
u!#ersta!# the use of stiks beforeha!#( 7A8
It has bee! sai# that #iso%ery o!sists i! seei!$ a! a!alo$y )hih !obo#y ha# see!
before( Solo'o! #iso%ere# the a!alo$y bet)ee! the Shula'ite's !ek a!# a to)er of i%ory(
Sulta! #iso%ere# that a t)iste# bra!h o! a tree )ith lea%es o! it ha# so'ethi!$ i!
o''o! )ith a strai$ht& lifeless ba'boo"pole lyi!$ o! the $rou!#( :hat they ha# i!
o''o! )as %ery little0 let us say that both looke# 'har#ish' a!# 'lo!$ish'& but that is all(
The bra!h& )hih pre%iously )as part a!# parel of the tree& )as )re!he# out of its
%isual o!te-t "" both fi$urati%ely a!# literally speaki!$ "" a!# 'a#e i!to a part of a!other&
fu!tio!al& o!te-t(
The !o) fa'iliar shift of a)are!ess to the pre%iously u!i'porta!t 'pole"like' aspet of the
bra!h )as %ery prettily #e'o!strate# by a!other of K[hler's hi'pa!+ees& Koko( It took
Koko 'uh lo!$er to 'ake the sa'e #iso%ery as Sulta!, a!# )he! at last he ha# broke!
off a bra!h fro' the tree to use it as a stik& a!# 'arhe# )ith it to)ar#s the ba!a!a
outsi#e the a$e& he0
ea$erly pike# off o!e leaf after the other& so that o!ly the lo!$& bare ste' )as left ( ( ( The
pulli!$ off of the lea%es is both orret a!# i!orret, i!orret beause it #oes !ot 'ake the
ste' a!y lo!$er& orret beause it 'akes its le!$th sho) up better a!# the ste' thus
beo'es optially 'ore like a stik( ( ( ( There a! be !o #oubt that Koko #i# !ot pull off
the lea%es i! play o!ly, his look a!# his 'o%e'e!ts pro%e #isti!tly that throu$hout the
perfor'a!e his atte!tio! is )holly o!e!trate# o! the ba!a!a, he is 'erely o!er!e#
!o) )ith prepari!$ the i'ple'e!t( Play looks /uite #iffere!t, a!# I ha%e !e%er see! a
hi'pa!+ee play )hile 1like Koko i! this ase2 he )as sho)i!$ hi'self #isti!tly i!te!t
upo! his ulti'ate purpose( 768
*efore the hi'pa!+ee atually broke off the bra!h there 'ust ha%e bee! a 'o'e!t )he!
he perei%e# it as a 'e'ber of both matrices at the same time "" still a part of the tree but
alrea#y a #etahe# tool( Thus o!e oul# say that Sulta! ha# see! a visual pun0 a si!$le for'
1the bra!h2 attahe# to t)o #iffere!t fu!tio!s(
The at of #iso%ery has a #isrupti%e a!# a o!struti%e aspet( It 'ust #isrupt ri$i#
patter!s of 'e!tal or$a!i+atio! to ahie%e the !e) sy!thesis( Sulta!'s habitual )ay of
looki!$ at the tree as a ohere!t& %isual )hole ha# to be shattere#( O!e he ha# #iso%ere#
that bra!hes a! be 'a#e i!to tools he !e%er a$ai! for$ot it& a!# )e 'ay assu'e that a
tree !e%er a$ai! looke# the sa'e to hi' as before( He ha# lost the i!!oe!e of his %isio!&
but fro' this loss he #eri%e# a! i''e!se $ai!0 the pereptio! of 'bra!hes' a!# the
'a!ipulatio! of 'tools' )ere !o) o'bi!e# i!to a si!$le& se!sory"'otor skill, a!# )he! t)o
'atries ha%e beo'e i!te$rate# they a!!ot a$ai! be tor! asu!#er( This is )hy the
#iso%eries of yester#ay are the o''o!plaes of to#ay& a!# )hy )e al)ays 'ar%el ho)
stupi# )e )ere !ot to see )hat post fatu' appears to be so ob%ious(
Arhi'e#es
=et 'e illustrate the last poi!t by a hu'a! #iso%ery )hih has 'uh i! o''o! )ith
Sulta!'s0 the Pri!iple of Arhi'e#es( I 'ust tell the story i! a so'e)hat si'plifie# for'(
Hiero& tyra!t of Syrause a!# protetor of Arhi'e#es& ha# bee! $i%e! a beautiful ro)!&
alle$e#ly of pure $ol#& but he suspete# that it )as a#ulterate# )ith sil%er( He aske#
Arhi'e#es's opi!io!( Arhi'e#es k!e)& of ourse& the speifi )ei$ht of $ol# "" that is to
say& its )ei$ht per %olu'e u!it( If he oul# 'easure the %olu'e of the ro)! he )oul#
k!o) i''e#iately )hether it )as pure $ol# or !ot, but ho) o! earth is o!e to #eter'i!e
the %olu'e of a o'pliate# or!a'e!t )ith all its fili$ree )orkE Ah& if o!ly he oul# 'elt it
#o)! a!# 'easure the li/ui# $ol# by the pi!t& or ha''er it i!to a brik of ho!est
reta!$ular shape& or ( ( ( a!# so o!( At this sta$e he 'ust ha%e felt rather like Nue%a&
fli!$i!$ herself o! her bak a!# utteri!$ )hi'peri!$ sou!#s beause the ba!a!a )as out of
her $rasp a!# the roa# to it bloke#(
*loke# situatio!s i!rease stress( U!#er its pressure the hi'pa!+ee re%erts to errati a!#
repetiti%e& ra!#o' atte'pts, i! Arhi'e#es's ase )e a! i'a$i!e his thou$hts 'o%i!$
rou!# i! irles )ithi! the fra'e of his $eo'etrial k!o)le#$e, a!# fi!#i!$ all approahes
to the tar$et bloke#& retur!i!$ a$ai! a!# a$ai! to the starti!$ poi!t( This frustrati!$
situatio!& fa'iliar to e%erybo#y tryi!$ to sol%e a #iffiult proble'& 'ay be she'ati+e# as
i! the follo)i!$ #ia$ra'& )here 'S' represe!ts the starti!$ poi!t& the loops are trai!s of
thou$ht )ithi! the bloke# 'atri-& a!# 'T' represe!ts the tar$et 1that is0 'a 'etho# of
'easuri!$ the %olu'e of the ro)!'2 "" )hih& u!fortu!ately& is loate# outsi#e the pla!e of
the 'atri-(
O!e #ay& )hile $etti!$ i!to his bath& Arhi'e#es )athe# abse!t"'i!#e#ly the fa'iliar
si$ht of the )ater"le%el risi!$ fro' o!e s'u#$e o! the basi! to the !e-t as a result of the
i''ersio! of his bo#y& a!# it ourre# to hi' i! a flash that the %olu'e of )ater #isplae#
)as e/ual to the %olu'e of the i''erse# parts of his o)! bo#y "" )hih therefore oul#
si'ply be 'easure# by the pi!t( He ha# 'elte# his bo#y #o)!& as it )ere& )ithout har'i!$
it& a!# he oul# #o the sa'e )ith the ro)!(


O!e 'ore& as i! the ase of the hi'pa!+ee& the 'atter is hil#ishly si'ple after the fat ""
but let us try to put oursel%es i! Arhi'e#es's plae( He )as i! the habit of taki!$ a #aily
bath& but the e-perie!es a!# i#eas assoiate# )ith it 'o%e# alo!$ habit"beate! traks0 the
se!satio!s of hot a!# ol#& of fati$ue a!# rela-atio!& a!# a pretty sla%e"$irl to 'assa$e his
li'bs( Neither to Arhi'e#es !or to a!ybo#y else before hi' ha# it e%er ourre# to
o!!et the se!suous a!# tri%ial oupatio! of taki!$ a hot bath )ith the sholarly pursuit
of the 'easure'e!t of soli#s( No #oubt he ha# obser%e# 'a!y ti'es that the le%el of the
)ater rose )he!e%er he $ot i!to it, but this fat& a!# the #ista!e bet)ee! the t)o le%els&
)as totally irrele%a!t to hi' "" u!til it su##e!ly bea'e bisoiate# )ith his proble'( At that
i!sta!t he reali+e# that the a'ou!t of rise of the )ater"le%el )as a si'ple 'easure of the
%olu'e of his o)! o'pliate# bo#y(
The #iso%ery 'ay !o) be she'ati+e# as follo)s 1Fi$ure F20


&' is the sa'e as i! the pree#i!$ #ia$ra'& $o%er!e# by the habitual rules of the $a'e& by
'ea!s of )hih Arhi'e#es ori$i!ally trie# to sol%e the proble', &( is the 'atri- of
assoiatio!s relate# to taki!$ a bath, '9 represe!ts the atual trai! of thou$ht )hih effets
the o!!etio!( The =i!k L 'ay ha%e bee! a verbal o!ept 1for i!sta!e0 'rise of )ater"
le%el e+uals 'elti!$ #o)! of 'y soli# bo#y'2, it 'ay e/ually )ell ha%e bee! a visual
i'pressio! i! )hih the )ater"le%el )as su##e!ly see! to orrespo!# to the %olu'e of the
i''erse# parts of the bo#y a!# he!e to that of the ro)! "" )hose i'a$e )as o!sta!tly
lurki!$ o! the fri!$e of his o!sious!ess( The esse!tial poi!t is& that at the ritial 'o'e!t
both 'atries &' a!# &( )ere si'ulta!eously ati%e i! Arhi'e#es's 'i!# "" thou$h
presu'ably o! #iffere!t le%els of a)are!ess( The reati%e stress resulti!$ fro' the bloke#
situatio! ha# kept the proble' o! the a$e!#a e%e! )hile the bea' of o!sious!ess )as
#rifti!$ alo!$ /uite a!other pla!e( :ithout this o!sta!t pressure& the fa%ourable ha!e"
o!stellatio! )oul# ha%e passe# u!!otie# "" a!# .oi!e# the le$io! of 'a!'s 'isse#
opportu!ities for a reati%e #eparture fro' the stale habits of thou$ht )hih !u'b his
'e!tal po)ers(
The se/uel to the #iso%ery is )ell k!o)!, beause of its pitures/ue appeal I shall
oasio!ally refer to #iso%ery i! its psyholo$ial aspet as the 'Eureka proess' or 'Eureka
at'(
=et us look at Arhi'e#es's #iso%ery fro' a #iffere!t a!$le( :he! o!e li'bs i!to a bath
o!e knows that the )ater"le%el )ill rise o)i!$ to its #isplae'e!t by the bo#y& a!# that
there 'ust be as 'uh )ater #isplae# as there is bo#y i''erse#, 'oreo%er& o!e
'eha!ially esti'ates the a'ou!t of )ater to be let i!to the bath beause of this
e-petatio!( Arhi'e#es& too& 'ust ha%e k!o)! all this "" but he ha# probably !e%er before
%erbali+e#& that is& o!siously for'ulate# that bit of k!o)le#$e( Bet implicitly it )as there
as part of his 'e!tal e/uip'e!t, it )as& so to speak& i!lu#e# i! the o#e of rules of bath"
taki!$ beha%iour( No) )e ha%e see! that the rules )hih $o%er! the 'atri- of a skill
fu!tio! o! a lo)er le%el of a)are!ess tha! the atual perfor'a!e itself "" )hether it is
playi!$ the pia!o& arryi!$ o! a o!%ersatio!& or taki!$ a bath( :e ha%e also see! that the
bisoiati%e shok ofte! has the effet of 'aki!$ suh i'pliit rules e-pliit& of su##e!ly
foussi!$ a)are!ess o! aspets of e-perie!e )hih ha# bee! u!%erbali+e#& u!o!siously
i'plie#& take! for $ra!te#, so that a fa'iliar a!# u!!otie# aspet of a phe!o'e!o! "" like
the rise of the )ater"le%el "" is su##e!ly perei%e# at a! u!fa'iliar a!# si$!ifia!t a!$le(
<iso%ery ofte! 'ea!s si'ply the u!o%eri!$ of so'ethi!$ )hih has al)ays bee! there
but )as hi##e! fro' the eye by the bli!kers of habit(
This e/ually applies to the #iso%eries of the artist )ho 'akes us see fa'iliar ob.ets a!#
e%e!ts i! a stra!$e& !e)& re%eali!$ li$ht "" as if pieri!$ the atarat )hih #i's our %isio!(
Ne)to!'s apple a!# CT+a!!e's apple are #iso%eries 'ore losely relate# tha! they see'(
Cha!e a!# Ripe!ess
Nearly all of K[hler's hi'pa!+ees soo!er or later lear!e# the use of i'ple'e!ts& a!# also
ertai! 'etho#s of 'aki!$ i'ple'e!ts( *ut a #o$& ho)e%er skilful i! arryi!$ a stik or a
basket arou!#& )ill !e%er lear! to use the stik to $et a piee of 'eat plae# outsi#e its
reah( :e 'i$ht say that the hi'pa!+ees )ere ripe to #iso%er the use of tools )he! a
fa%ourable ha!e"opportu!ity prese!te# itself "" suh as a stik lyi!$ arou!# .ust )he!
!ee#e#( The fators )hih 1a'o!$ others2 o!stitute ripe!ess for this type of #iso%ery are
the pri'ates' 'a!ual #e-terity a!# a#%a!e# oulo"'otor o"or#i!atio!& )hih e!able the'
to #e%elop the playful habit of pushi!$ ob.ets about )ith bra!hes a!# stiks( Eah of the
separate skills& )hose sy!thesis o!stitutes the !e) #iso%ery& )as )ell establishe#
pre%iously a!# fre/ue!tly e-erise#( I! a si'ilar )ay Arhi'e#es's 'e!tal skill i!
'a!ipulati!$ abstrat o!epts like %olu'e a!# #e!sity& plus his aute po)ers of
obser%atio!& e%e! of tri%ia& 'a#e hi' 'ripe' for his #iso%ery( I! 'ore $e!eral ter's0 the
statistial probability for a rele%a!t #iso%ery to be 'a#e is the $reater the 'ore fir'ly
establishe# a!# )ell e-erise# eah of the still separate skills& or thou$ht"'atries& are( This
e-plai!s a pu++li!$ but reurre!t phe!o'e!o! i! the history of sie!e0 that the sa'e
#iso%ery is 'a#e& 'ore or less at the sa'e ti'e& by t)o or 'ore people, a!# it 'ay also
help to e-plai! the i!#epe!#e!t #e%elop'e!t of the sa'e teh!i/ues a!# si'ilar styles of
art i! #iffere!t ultures(
Ripe!ess i! this se!se is& of ourse& 'erely a !eessary& !ot a suffiie!t& o!#itio! of
#iso%ery( *ut it is !ot /uite suh a! ob%ious o!ept as it 'i$ht see'( The e'bittere#
o!tro%ersies bet)ee! #iffere!t shools i! e-peri'e!tal psyholo$y about the !ature of
lear!i!$ a!# u!#ersta!#i!$ a! be sho)! to #eri%e to a lar$e e-te!t fro' a refusal to take
the fator of ripe!ess seriously( The propou!#ers of *eha%iouristi psyholo$y )ere )o!t
to set their a!i'als tasks for )hih they )ere biolo$ially ill"fitte#& a!# thus to pro%e that
!e) skills oul# be a/uire# o!ly throu$h o!#itio!i!$& hai!i!$ of refle-es& lear!i!$ by
rote( K[hler a!# the ;estalt shool& o! the other ha!#& set their hi'pa!+ees tasks for
)hih they )ere ripe or al'ost ripe& to pro%e that all lear!i!$ )as base# o! i!si$ht( The
o!tra#itory o!lusio!s at )hih they arri%e# !ee# surprise us !o 'ore tha! the o!trast
bet)ee! the lear!i!$ ahie%e'e!ts of a hil# of si- 'o!ths a!# a hil# of si- years( This is
a !eessarily o%er"si'plifie# #esriptio! 1for a #etaile# treat'e!t see *ook T)o& HII2, the
o!ly poi!t I )ish to 'ake is that the 'ore ripe a situatio! is for the #iso%ery of a !e)
sy!thesis& the less !ee# there is for the helpi!$ ha!# of ha!e(
Arhi'e#es's eyes falli!$ o! the s'u#$e i! the bath& or the hi'pa!+ee's eyes falli!$ upo!
the tree& are ha!e ourre!es of suh hi$h probability that soo!er or later they )ere
bou!# to our, ha!e plays here 'erely the part of tri$$eri!$ off the fusio! bet)ee! t)o
'atries by hitti!$ o! o!e a'o!$ 'a!y possible appropriate li!ks( :e 'ay #isti!$uish
bet)ee! the biological ripeness ofa speies to for' a !e) a#apti%e habit or a/uire a !e)
skill& a!# the ripe!ess of a culture to 'ake a!# to e-ploit a !e) #iso%ery( Hero's stea'
e!$i!e oul# ob%iously be e-ploite# for i!#ustrial purposes o!ly at a sta$e )he! the
teh!olo$ial a!# soial o!#itio!s 'a#e it both possible a!# #esirable( =astly 1or firstly2&
there is the perso!al fator "" the role of the reati%e i!#i%i#ual i! ahie%i!$ a sy!thesis for
)hih the ti'e is 'ore or less ripe(
The e'phasis is o! the ''ore or less'( If ripe!ess )ere all "" as Shakespeare a!# the >ar-ist
theory affir' "" the role of $e!ius i! history )oul# be re#ue# fro' hero to 'i#)ife& )ho
assists the i!e%itable birth, a!# the at of reatio! )oul# be 'erely a o!su''atio! of the
preor#ai!e#( *ut the ol# o!tro%ersy )hether i!#i%i#uals 'ake or are 'a#e by history
a/uires a !e) t)ist i! the 'ore li'ite# fiel# of the history of sie!e( The t)ist is
pro%i#e# by the phe!o'e!o! of 'ultiple #iso%eries( Historial researh i!to this urious
sub.et is of fairly ree!t ori$i!, it a'e as a surprise )he!& i! 4599& O$bur! a!# Tho'as
publishe# so'e hu!#re# a!# fifty e-a'ples of #iso%eries a!# i!%e!tio!s )hih )ere 'a#e
i!#epe!#e!tly by se%eral perso!s, a!#& 'ore ree!tly& >erto! a'e to the see'i!$ly
para#o-ial o!lusio! that 'the patter! of i!#epe!#e!t 'ultiple #iso%eries i! sie!e
is ( ( ( the #o'i!a!t patter! rather tha! a subsi#iary o!e'( 7I8 He /uotes as a! e-a'ple =or#
Kel%i!& )hose publishe# papers o!tai! 'at least thirty"t)o #iso%eries of his o)! )hih he
subse/ue!tly fou!# ha# also bee! 'a#e by others'( The 'others' i!lu#e so'e 'e! of $e!ius
suh as Ca%e!#ish a!# Hel'holt+& but also so'e lesser li$hts(
The e!#less priority #isputes )hih ha%e poiso!e# the suppose#ly sere!e at'osphere of
sie!tifi researh throu$hout the a$es& a!# the u!see'ly haste of 'a!y sie!tists to
establish priority by rushi!$ i!to pri!t "" or& at least& #epositi!$ 'a!usripts i! seale#
e!%elopes )ith so'e lear!e# soiety "" poi!t i! the sa'e #iretio!( So'e "" a'o!$ the'
;alileo a!# Hooke "" e%e! )e!t to the le!$th of publishi!$ half"o'plete# #iso%eries i!
the for' of a!a$ra's& to e!sure priority )ithout letti!$ ri%als i! o! the i#ea( K[hler's
hi'pa!+ees )ere of a 'ore $e!erous #ispositio!(
Thus o!e shoul# !ot u!#eresti'ate ripe!ess as a fator failitati!$ #iso%eries )hih& as
the sayi!$ $oes& are 'i! the air' "" 'ea!i!$& that the %arious o'po!e!ts )hih )ill $o i!to
the !e) sy!thesis are all lyi!$ arou!# a!# o!ly )aiti!$ for the tri$$er"atio! of ha!e& or
the atalysi!$ atio! of a! e-eptio!al brai!& to be asse'ble# a!# )el#e# to$ether( If o!e
opportu!ity is 'isse#& a!other )ill our(
*ut& o! the other ha!#& althou$h the i!fi!itesi'al alulus )as #e%elope# i!#epe!#e!tly by
=eib!i+ a!# by Ne)to!& a!# a lo!$ li!e of preursors ha# pa%e# the )ay for it& it still
re/uire# a Ne)to! or a =eib!i+ to ao'plish the feat, a!# the $reat!ess of this
ao'plish'e!t is har#ly #i'i!ishe# by the fat that t)o a'o!$ 'illio!s& i!stea# of o!e
a'o!$ 'illio!s& ha# the e-eptio!al $e!ius to #o it( :e are o!er!e# )ith the /uestio!
ho) they #i# it "" the !ature of reati%e ori$i!ality "" a!# !ot )ith the u!#e!iable& but tri%ial
o!si#eratio! that if they ha# !ot li%e# so'ebo#y else )oul# ha%e #o!e it so'e ti'e, for
that lea%es the sa'e /uestio! to be a!s)ere#& to )it& ho) that so'eo!e else #i# it( I shall
!ot presu'e to $uess )hether outsta!#i!$ i!#i%i#uals suh as Plato a!# Aristotle& ?esus of
Na+areth a!# Paul of Tarsus& A/ui!as& *ao!& >ar-& Freu#& a!# Ei!stei!& )ere e-pe!#able
i! the abo%e se!se& so that the history of i#eas i! their abse!e )oul# ha%e take! 'uh the
sa'e ourse "" or )hether it is the reati%e $e!ius )ho #eter'i!es the ourse of history( I
'erely )ish to poi!t out that so'e of the 'a.or break"throu$hs i! the history of sie!e
represe!t suh #ra'ati tours #e fore& that 'ripe!ess' see's a %ery la'e e-pla!atio!& a!#
'ha!e' !o e-pla!atio! at all( Ei!stei! #iso%ere# the pri!iple of relati%ity 'u!ai#e# by a!y
obser%atio! that ha# !ot bee! a%ailable for at least fifty years before', 7@8 the plu' )as
o%erripe& yet for half a e!tury !obo#y a'e to pluk it( A less ob%ious e-a'ple is E%erist
;alois& o!e of the 'ost ori$i!al 'athe'atiia!s of all ti'es& )ho )as kille# i! a! absur#
#uel i! 4FA9& at the a$e of t)e!ty( I! the !i$ht before the #uel he re%ise# a paper to the
Aa#T'ie #es Sie!es 1)hih ha# pre%iously re.ete# it as u!i!telli$ible2, the!& i! a letter
to a frie!#& he hurrie#ly put #o)! a !u'ber of other 'athe'atial #iso%eries( 'It )as o!ly
after fiftee! years& that& )ith a#'iratio!& sie!tists bea'e a)are of the 'e'oir )hih the
Aa#e'y ha# re.ete#( It si$!ifies a total tra!sfor'atio! of hi$her al$ebra& pro.eti!$ a full
li$ht o! )hat ha# bee! o!ly $li'pse# thus far by the $reatest 'athe'atiia!s ( ( (' 7O8
Further'ore& i! the letter to his frie!#& ;alois postulate# a theore' )hih oul# !ot ha%e
bee! u!#erstoo# by his o!te'poraries beause it )as base# o! 'athe'atial pri!iples
)hih )ere #iso%ere# o!ly a /uarter e!tury after his #eath( 'It 'ust be a#'itte#&' a!other
$reat 'athe'atiia! o''e!te#& 'first& that ;alois 'ust ha%e o!ei%e# these pri!iples i!
so'e )ay, seo!#& that they 'ust ha%e bee! u!o!sious i! his 'i!# si!e he 'akes !o
allusio! to the'& thou$h they by the'sel%es represe!t a si$!ifia!t #iso%ery2(' 7F8
This lea#s us to the proble' of the part playe# by u!o!sious proesses i! the Eureka at(
Pytha$oras& aor#i!$ to tra#itio!& is suppose# to ha%e #iso%ere# that 'usial pith
#epe!#s o! the ratio bet)ee! the le!$th of %ibrati!$ hor#s "" the starti!$ poi!t of
'athe'atial physis "" by passi!$ i! fro!t of the loal blaks'ith o! his !ati%e isla!# of
Sa'os& a!# !otii!$ that ro#s of iro! of #iffere!t le!$ths $a%e #iffere!t sou!#s u!#er the
blaks'ith's ha''er( I!stea# of asribi!$ it to ha!e& )e suspet that it )as so'e obsure
i!tuitio! )hih 'a#e Pytha$oras stop at the blaks'ith's shop( *ut ho) #oes that ki!# of
i!tuitio! )orkE Here is the ore ofthe proble' of #iso%ery "" both i! sie!e a!# i! art(
=o$i a!# I!tuitio!
I shall briefly #esribe& for the sake of o!trast& t)o elebrate# #iso%eries of e!tirely
#iffere!t ki!#s0 the first appare!tly #ue to o!sious& lo$ial reaso!i!$ ai#e# by ha!e, the
seo!# a lassi ase of the i!ter%e!tio! of the u!o!sious(
Ei$htee! hu!#re# a!# se%e!ty"!i!e )as the birth"year of i''u!olo$y "" the pre%e!tio! of
i!fetious #iseases by i!oulatio!( *y that ti'e =ouis Pasteur ha# alrea#y sho)! that attle
fe%er& rabies& silk)or' #isease& a!# %arious other afflitio!s )ere ause# by 'iro"
or$a!is's& a!# ha# fir'ly establishe# the $er' theory of #isease( I! the spri!$ of 4FO5 ""
he )as fifty"se%e! at that ti'e "" Pasteur )as stu#yi!$ hike! holera( He ha# prepare#
ultures of the baillus& but for so'e reaso! this )ork )as i!terrupte#& a!# the ultures
re'ai!e# #uri!$ the )hole su''er u!atte!#e# i! the laboratory( I! the early autu'!&
ho)e%er& he resu'e# his e-peri'e!ts( He i!.ete# a !u'ber of hike!s )ith the baillus&
but u!e-pete#ly they bea'e o!ly sli$htly ill a!# reo%ere#( He o!lu#e# that the ol#
ultures ha# bee! spoilt& a!# obtai!e# a !e) ulture of %irule!t bailli fro' hike!s
afflite# by a urre!t outbreak of holera( He also bou$ht a !e) bath of hike!s fro' the
'arket a!# i!.ete# both lots& the ol# a!# the !e)& )ith the fresh ulture( The !e)ly bou$ht
hiks all #ie# i! #ue ti'e& but& to his $reat surprise& the ol# hiks& )ho ha# bee! i!.ete#
o!e alrea#y )ith the i!effeti%e ulture& all sur%i%e#( A! eye")it!ess i! the lab #esribe#
the se!e )hih took plae )he! Pasteur )as i!for'e# of this urious #e%elop'e!t( He
re'ai!e# sile!t for a 'i!ute& the! e-lai'e# as if he ha# see! a %isio!0 N<o!'t you see that
these a!i'als ha%e bee! vaccinatedGN
No) I 'ust e-plai! that the )or# '%ai!atio!' )as at that ti'e alrea#y a e!tury ol#( It is
#eri%e# fro' vacca& o)( So'e ti'e i! the 4O@Cs a you!$ 'e#ial stu#e!t& E#)ar# ?e!!er&
)as o!sulte# by a ;louester #airy'ai# )ho felt out of sorts( ?e!!er thou$ht that she
'i$ht be sufferi!$ fro' s'allpo-& but she pro'ptly replie#0 'I a!!ot take the s'allpo-
beause I ha%e ha# the o)"po-(' After !early t)e!ty years of stru$$le a$ai!st the
septiis' a!# i!#iffere!e of the 'e#ial professio!& ?e!!er suee#e# i! pro%i!$ the
popular belief that people )ho ha# o!e au$ht the o)"po- )ere i''u!e a$ai!st
s'allpo-( Thus ori$i!ate# '%ai!atio!' "" the pre%e!ti%e i!oulatio! of hu'a! bei!$s
a$ai!st the #rea#e# a!# 'ur#erous #isease )ith 'aterial take! fro' the ski! sores of
afflite# attle( Althou$h ?e!!er reali+e# that o)"po- a!# s'allpo- )ere esse!tially the
sa'e #isease& )hih bea'e so'eho) 'o#ifie# by the or$a!is' )hih arrie# it& he #i#
!ot #ra) a!y $e!eral o!lusio!s fro' his #iso%ery( '3ai!atio!' soo! sprea# to A'eria
a!# bea'e a 'ore or less $e!eral pratie i! a !u'ber of other ou!tries& yet it re'ai!e#
li'ite# to s'allpo-& a!# the )or# itself retai!e# its e-lusi%ely bo%i!e o!!otatio!s(
The %isio! )hih Pasteur ha# see! at that histori 'o'e!t )as& o!e a$ai!& the #iso%ery
of a hi##e! a!alo$y0 the sur%i%i!$ hiks of the first bath )ere protete# a$ai!st holera
by their i!oulatio! )ith the 'spoilt' ulture as hu'a!s are protete# a$ai!st s'allpo- by
i!oulatio! )ith po- bailli i! a 'o#ifie#& bo%i!e for'(
No) Pasteur )as )ell a/uai!te# )ith ?e!!er's )ork( To /uote o!e of his bio$raphers& <r(
<ubos 1hi'self a! e'i!e!t biolo$ist20 'Soo! after the be$i!!i!$ of his )ork o! i!fetious
#iseases& Pasteur bea'e o!%i!e# that so'ethi!$ si'ilar to N%ai!atio!N )as the best
approah to their o!trol( It )as this o!%itio! that 'a#e hi' perei%e i''e#iately the
'ea!i!$ of the ai#e!tal e-peri'e!t )ith hike!s('
I! other )or#s& he )as 'ripe' for his #iso%ery& a!# thus able to pou!e o! the first
fa%ourable ha!e that offere# itself( As he hi'self sai#0 'Fortu!e fa%ours the prepare#
'i!#(' Put i! this )ay& there see's to be !othi!$ %ery a)e"i!spiri!$ i! Pasteur's #iso%ery(
Bet for about three"/uarters of a e!tury '%ai!atio!' ha# bee! a o''o! pratie i!
Europe a!# A'eria, )hy& the!& #i# !obo#y before Pasteur hit o! the 'ob%ious' i#ea of
e-te!#i!$ %ai!atio! fro' s'allpo- to other #iseasesE :hy #i# !obo#y before hi' put
t)o a!# t)o to$etherE *eause& to a!s)er the /uestio! literally& the first 't)o' a!# the
seo!# 't)o' appertai!e# to different frames of reference( The first )as the teh!i/ue of
%ai!atio!, the seo!# )as the hitherto /uite separate a!# i!#epe!#e!t researh i!to the
)orl# of 'iro"or$a!is's0 fo)l"parasites& silk)or'"bailli& yeasts fer'e!ti!$ i! )i!e"
barrels& i!%isible %iruses i! 'the spittle of rabi# #o$s( Pasteur suee#e# i! o'bi!i!$ these
t)o separate fra'es beause he ha# a! e-eptio!al $rasp of the rules of both& a!# )as thus
prepare# for the 'o'e!t )he! ha!e pro%i#e# a! appropriate li!k(
He k!e) "" )hat ?e!!er k!e) !ot "" that the ati%e a$e!t i! ?e!!er's '%ai!e' )as the
'irobe of the sa'e #isease a$ai!st )hih the sub.et )as to be protete#& but a 'irobe
)hih i! its bo%i!e host ha# u!#er$o!e so'e ki!# of 'atte!uatio!'( A!# he further reali+e#
that the holera bailli left to the'sel%es i! the test"tubes #uri!$ the )hole su''er ha#
u!#er$o!e the sa'e ki!# of 'atte!uatio!' or )eake!i!$& as the po- bailli i! the o)'s bo#y(
This le# to the surprisi!$& al'ost poeti& o!lusio!& that life i!si#e a! aba!#o!e# $lass
tube a! ha%e the sa'e #ebilitati!$ effet o! a bu$ as life i!si#e a o)( Fro' here o! the
i'pliatio!s of the ;louestershire #airy'ai#'s state'e!t bea'e $loriously ob%ious0 'As
atte!uatio! of the baillus ha# ourre# spo!ta!eously i! so'e of his ultures 7.ust as it
ourre# i!si#e the o)8& Pasteur bea'e o!%i!e# that it should be possible to produce
vaccines at will in the laboratory( I!stea# of #epe!#i!$ upo! the ha!e of !aturally
ourri!$ i''u!i+i!$ a$e!ts& as o)"po- )as for s'allpo-& %ai!atio! oul# the!
beo'e a $e!eral teh!i/ue appliable to all i!fetious #iseases(' 758
O!e of the sour$es of hu'a!ity ha# bee! eli'i!ate# "" to be replae# i! #ue ti'e by
a!other( For the story has a se/uel )ith a! iro!i sy'bolis'& )hih& thou$h it #oes !ot
stritly belo!$ to the sub.et& I a!!ot resist telli!$( The 'ost fa'ous a!# #ra'ati
appliatio! of Pasteur's #iso%ery )as his a!ti"rabies %ai!e( It )as trie# for the first ti'e
o! a you!$ Alsatia! boy by !a'e of?osef >eister& )ho ha# bee! sa%a$ely bitte! by a rabi#
#o$ o! his ha!#s& le$s& a!# thi$hs( Si!e the i!ubatio! perio# of rabies is a 'o!th or 'ore&
Pasteur hope# to be able to i''u!i+e the boy a$ai!st the #ea#ly %irus )hih )as alrea#y i!
his bo#y( After t)el%e i!.etio!s )ith rabies %ai!e of i!reasi!$ stre!$th the boy retur!e#
to his !ati%e %illa$e )ithout ha%i!$ suffere# a!y ill effets fro' the bites( The e!# of the
story is tol# by <ubos0 '?osef >eister later bea'e $atekeeper at the Pasteur I!stitute i!
Paris( I! 456C& fifty"fi%e years after the ai#e!t that $a%e hi' a lasti!$ plae i! 'e#ial
history& he o''itte# suii#e rather tha! ope! Pasteur's burial rypt for the ;er'a!
i!%a#ers(' 75a8 He )as e%i#e!tly pre#esti!e# to beo'e a %iti' of o!e for' of rabi#!ess or
a!other(
No) for a #iso%ery of a #ia'etrially opposite ki!#& )here i!tuitio! plays the #o'i!a!t
part( The e-trats )hih follo) are fro' a elebrate# leture by He!ri Poi!arT at the
SoietT #e Psyholo$ie i! Paris& a!# o!er! o!e of his best"k!o)! 'athe'atial
#iso%eries0 the theory of the so"alle# 'Fuhsia! fu!tio!s'( To reassure the rea#er I haste!
to /uote fro' Poi!arT's o)! i!tro#utory re'arks0
I be$ your par#o!, I a' about to use so'e teh!ial e-pressio!s& but they !ee# !ot fri$hte!
you for you are !ot obli$e# to u!#ersta!# the'( I shall say& for e-a'ple& that I ha%e fou!#
the #e'o!stratio! of suh a theore' u!#er suh iru'sta!es( This theore' )ill ha%e a
barbarous !a'e u!fa'iliar to 'a!y& but that is u!i'porta!t, )hat is of i!terest for the
psyholo$ist is !ot the theore' but the iru'sta!es( ( ( (
A!# !o) follo)s o!e of the 'ost lui# i!trospeti%e aou!ts of the Eureka at by a $reat
sie!tist0
For fiftee! #ays I stro%e to pro%e that there oul# !ot be a!y fu!tio!s like those I ha%e
si!e alle# Fuhsia! fu!tio!s( I )as the! %ery i$!ora!t, e%ery #ay I seate# 'yself at 'y
)ork table& staye# a! hour or t)o& trie# a $reat !u'ber of o'bi!atio!s& a!# reahe# !o
results( O!e e%e!i!$& o!trary to 'y usto'& I #ra!k blak offee a!# oul# !ot sleep(
I#eas rose i! ro)#s, I felt the' olli#e u!til pairs i!terloke#& so to speak& 'aki!$ a stable
o'bi!atio!( *y the !e-t 'or!i!$ I ha# establishe# the e-iste!e of a lass of Fuhsia!
fu!tio!s& those )hih o'e fro' the hyper$eo'etri series, I ha# o!ly to )rite out the
results& )hih took but a fe) hours( The! I )a!te# to represe!t these fu!tio!s by the
/uotie!t of t)o series, this i#ea )as perfetly o!sious a!# #eliberate& the a!alo$y )ith
ellipti fu!tio!s $ui#e# 'e( I aske# 'yself )hat properties these series 'ust ha%e if they
e-iste#& a!# I suee#e# )ithout #iffiulty i! for'i!$ the series I ha%e alle# theta"Fuhsia(
?ust at this ti'e I left Cae!& )here I )as the! li%i!$& to $o o! a $eolo$i e-ursio! u!#er
the auspies of the shool of 'i!es( The ha!$es of tra%el 'a#e 'e for$et 'y 'athe'atial
)ork( Ha%i!$ reahe# Couta!es& )e e!tere# a! o'!ibus to $o so'e plae or other( At the
'o'e!t )he! I put 'y foot o! the step the i#ea a'e to 'e& )ithout a!ythi!$ i! 'y
for'er thou$hts see'i!$ to ha%e pa%e# the )ay for it& that the tra!sfor'atio!s I ha# use# to
#efi!e the Fuhsia! fu!tio!s )ere i#e!tial )ith those of !o!"Euli#ea! $eo'etry( I #i#
!ot %erify the i#ea, I shoul# !ot ha%e ha# ti'e& as& upo! taki!$ 'y seat i! the o'!ibus& I
)e!t o! )ith a o!%ersatio! alrea#y o''e!e#& but I felt a perfet ertai!ty( O! 'y retur!
to Cae!& for o!sie!e' sake I %erifie# the result at 'y leisure( The! I tur!e# 'y atte!tio!
to the stu#y of so'e arith'etial /uestio!s appare!tly )ithout 'uh suess a!# )ithout a
suspiio! of a!y o!!etio! )ith 'y pree#i!$ researhes( <is$uste# )ith 'y failure& I
)e!t to spe!# a fe) #ays at the seasi#e& a!# thou$ht of so'ethi!$ else( O!e 'or!i!$&
)alki!$ o! the bluff& the i#ea a'e to 'e& )ith .ust the sa'e harateristis of bre%ity&
su##e!!ess& a!# i''e#iate ertai!ty& that the arith'eti tra!sfor'atio!s of i!#eter'i!ate
ter!ary /ua#rati for's )ere i#e!tial )ith those of !o!"Euli#ea! $eo'etry( Retur!e# to
Cae!& I 'e#itate# o! this result a!# #e#ue# the o!se/ue!es( The e-a'ple of /ua#rati
for's sho)e# 'e that there )ere Fuhsia! $roups other tha! those orrespo!#i!$ to the
hyper"$eo'etri series, I sa) that I oul# apply to the' the theory of theta"Fuhsia! series
a!# that o!se/ue!tly there e-iste# Fuhsia! fu!tio!s other tha! those fro' the
hyper$eo'etri series& the o!es I the! k!e)( Naturally I set 'yself to for' all these
fu!tio!s( I 'a#e a syste'ati attak upo! the' a!# arrie# all the out)orks& o!e after
a!other( There )as o!e& ho)e%er& that still hel# out& )hose fall )oul# i!%ol%e that of the
)hole plae( *ut all 'y efforts o!ly ser%e# at first the better to sho) 'e the #iffiulty&
)hih i!#ee# )as so'ethi!$( All this )ork )as perfetly o!sious( Thereupo! I left for
>o!t"3alTrie!& )here I )as to $o throu$h 'y 'ilitary ser%ie, so I )as %ery #iffere!tly
oupie#( O!e #ay& $oi!$ alo!$ the street& the solutio! of the #iffiulty )hih ha# stoppe#
'e su##e!ly appeare# to 'e( I #i# !ot try to $o #eep i!to it i''e#iately& a!# o!ly after 'y
ser%ie #i# I a$ai! take up the /uestio!( I ha# all the ele'e!ts a!# ha# o!ly to arra!$e the'
a!# put the' to$ether( So I )rote out 'y fi!al 'e'oir at a si!$le stroke a!# )ithout
#iffiulty(
I shall li'it 'yself to this si!$le e-a'ple, it is useless to 'ultiply the'( I! re$ar# to 'y
other researhes I )oul# ha%e to say a!alo$ous thi!$s ( ( (
>ost striki!$ at first is this appeara!e of su##e! illu'i!atio!& a 'a!ifest si$! of lo!$&
u!o!sious prior )ork( The role of this u!o!sious )ork i! 'athe'atial i!%e!tio!
appears to 'e i!o!testable( ( ( ( 74C8
Si'ilar e-perie!es ha%e bee! reporte# by other 'athe'atiia!s( They see' to be the rule
rather tha! the e-eptio!( O!e of the' is ?a/ues Ha#a'ar#0 7448
( ( ( O!e phe!o'e!o! is ertai! a!# I a! %ouh for its absolute ertai!ty0 the su##e! a!#
i''e#iate appeara!e of a solutio! at the %ery 'o'e!t of su##e! a)ake!i!$( O! bei!$
%ery abruptly a)ake!e# by a! e-ter!al !oise& a solutio! lo!$ searhe# for appeare# to 'e at
o!e )ithout the sli$htest i!sta!t of refletio! o! 'y part "" the fat )as re'arkable e!ou$h
to ha%e struk 'e u!for$ettably "" a!# i! a /uite #iffere!t #iretio! fro' a!y of those )hih
I ha# pre%iously trie# to follo)(
A fe) 'ore e-a'ples( A!#rT >arie A'pXre 14OOI"4FA@2& after )ho' the u!it of eletri
urre!t is !a'e#& a $e!ius of hil#like si'pliity& reor#e# i! his #iary the iru'sta!es of
his first 'athe'atial #iso%ery0
O! April 9O& 4FC9& he tells us& I $a%e a shout of .oy ( ( ( It )as se%e! years a$o I propose#
to 'yself a proble' )hih I ha%e !ot bee! able to sol%e #iretly& but for )hih I ha# fou!#
by ha!e a solutio!& a!# k!e) that it )as orret& )ithout bei!$ able to pro%e it( The
'atter ofte! retur!e# to 'y 'i!# a!# I ha# sou$ht t)e!ty ti'es u!suessfully for this
solutio!( For so'e #ays I ha# arrie# the i#ea about )ith 'e o!ti!ually( At last& I #o !ot
k!o) ho)& I fou!# it& to$ether )ith a lar$e !u'ber of urious a!# !e) o!si#eratio!s
o!er!i!$ the theory of probability( As I thi!k there are %ery fe) 'athe'atiia!s i!
Fra!e )ho oul# sol%e this proble' i! less ti'e& I ha%e !o #oubt that its publiatio! i! a
pa'phlet of t)e!ty pa$es is a $oo# 'etho# for obtai!i!$ a hair of 'athe'atis i! a
olle$e( 7498
The 'e'oir #i# i! fat $et hi' a professorship at the =yTe i! =yo!( It )as alle#
onsiderations of the &athematical *heory of @ames of hance& a!# #e'o!strate#& a'o!$
other thi!$s& that habitual $a'blers are& i! the lo!$ ru!& bou!# to lose(
A!other $reat 'athe'atiia!& Karl Frie#rih ;auss& #esribe# i! a letter to a frie!# ho) he
fi!ally pro%e# a theore' o! )hih he ha# )orke# u!suessfully for four years0
At last t)o #ays a$o I suee#e#& !ot by #i!t of pai!ful effort but so to speak by the $rae
of ;o#( As a su##e! flash of li$ht& the e!i$'a )as sol%e#( ( ( ( For 'y part I a' u!able to
!a'e the !ature of the threa# )hih o!!ete# )hat I pre%iously k!e) )ith that )hih
'a#e 'y suess possible( 74A8
O! a!other oasio! ;auss is reporte# to ha%e sai#0 'I ha%e ha# 'y solutio!s for a lo!$
ti'e& but I #o !ot yet k!o) ho) I a' to arri%e at the'(' Paraphrasi!$ hi'& Polya "" a
o!te'porary 'athe'atiia! "" re'arks0 ':lie! you ha%e satisfie# yourself that the
theore' is true& you start pro%i!$ it(' 7468
:e ha%e see! /uite a fe) ats bei!$ let out of the ba$ "" the 'athe'atial 'i!#& )hih is
suppose# to ha%e suh a #ry& lo$ial& ratio!al te-ture( As a last e-a'ple i! this hapter I
shall /uote the #ra'ati ase of Frie#rih Au$ust %o! KekulT& Professor of Che'istry i!
;he!t& )ho& o!e after!oo! i! 4F@I& fell asleep a!# #rea't )hat )as probably the 'ost
i'porta!t #rea' i! history si!e ?oseph's se%e! fat a!# se%e! lea! o)s0
I tur!e# 'y hair to the fire a!# #o+e#& he relates( A$ai! the ato's )ere $a'bolli!$ before
'y eyes( This ti'e the s'aller $roups kept 'o#estly i! the bak$rou!#( >y 'e!tal eye&
re!#ere# 'ore aute by repeate# %isio!s of this ki!#& oul# !o) #isti!$uish lar$er
strutures& of 'a!ifol# o!for'atio!, lo!$ ro)s& so'eti'es 'ore losely fitte# to$ether, all
t)i!i!$ a!# t)isti!$ i! s!akelike 'otio!( *ut lookG :hat )as thatE O!e of the s!akes ha#
sei+e# hol# of its o)! tail& a!# the for' )hirle# 'oki!$ly before 'y eyes( As if by a flash
of li$ht!i!$ I a)oke ( ( ( =et us lear! to #rea'& $e!tle'e!( 74I8
The serpe!t biti!$ its o)! tail $a%e KekulT the lue to a #iso%ery )hih has bee! alle#
'the 'ost brillia!t piee of pre#itio! to be fou!# i! the )hole ra!$e of or$a!i he'istry'
a!# )hih& i! fat& is o!e of the or!ersto!es of 'o#er! sie!e( Put i! a so'e)hat
si'plifie# 'a!!er& it o!siste# i! the re%olutio!ary proposal that the 'oleules of ertai!
i'porta!t or$a!i o'pou!#s are !ot ope! strutures but lose# hai!s or 'ri!$s' "" like the
s!ake s)allo)i!$ its tail(
Su''ary
:he! life prese!ts us )ith a proble' it )ill be attake# i! aor#a!e )ith the o#e of
rules )hih e!able# us to #eal )ith si'ilar proble's i! the past( These rules of the $a'e
ra!$e fro' 'a!ipulati!$ stiks to operati!$ )ith i#eas& %erbal o!epts& %isual for's&
'athe'atial e!tities( :he! the sa'e task is e!ou!tere# u!#er relati%ely u!ha!$i!$
o!#itio!s i! a 'o!oto!ous e!%iro!'e!t& the respo!ses )ill beo'e stereotype#& fle-ible
skills )ill #e$e!erate i!to ri$i# patter!s& a!# the perso! )ill 'ore a!# 'ore rese'ble a!
auto'ato!& $o%er!e# by fi-e# habits& )hose atio!s a!# i#eas 'o%e i! !arro) $roo%es( He
'ay be o'pare# to a! e!$i!e"#ri%er )ho 'ust #ri%e his trai! alo!$ fi-e# rails aor#i!$
to a fi-e# ti'etable(
3ie %ersa& a ha!$i!$& %ariable e!%iro!'e!t )ill te!# to reate fle-ible bha%iour ""
patter!s )ith a hi$h #e$ree of a#aptability to iru'sta!es "" the #ri%er of a 'otor"ar has
'ore #e$rees of free#o' tha! the e!$i!e"#ri%er( *ut !o%elty a! be arrie# to a poi!t "" by
life or i! the laboratory "" )here the situatio! still rese'bles in some respects other
situatio!s e!ou!tere# i! the past& yet o!tai!s !e) features or o'ple-ities )hih 'ake it
i'possible to sol%e the proble' by the sa'e rules of the $a'e )hih )ere applie# to those
past situatio!s( :he! this happe!s )e say that the situatio! is blocked "" thou$h the sub.et
'ay reali+e this fat o!ly after a series of hopeless tales& or !e%er at all( To s/uee+e the last
#rop out of the 'etaphor0 the 'otorist is hea#i!$ for a fro!tier to )hih all approahes are
barre#& a!# all his skill as a #ri%er )ill !ot help hi' "" short of tur!i!$ his ar i!to a
heliopter& that is& playi!$ a #iffere!t ki!# of $a'e(
A bloke# situatio! i!reases the stress of the frustrate# #ri%e( :hat happe!s !e-t is 'uh
the sa'e i! the hi'pari+ee's as i! Arhi'e#es's ase( :he! all hopeful atte'pts at sol%i!$
the proble' by tra#itio!al 'etho#s ha%e bee! e-hauste#& thou$ht ru!s arou!# i! irles i!
the bloke# 'atri- like rats i! a a$e( Ne-t& the 'atri- of or$a!i+e#& purposeful beha%iour
itself see's to $o to piees& a!# ra!#o' trials 'ake their appeara!e& ao'pa!ie# by
ta!tru's a!# attaks of #espair "" or by the #istrate# abse!t"'i!#e#!ess of the reati%e
obsessio!( That abse!t"'i!#e#!ess is& of ourse& i! fat si!$le"'i!#e#!ess, for at this sta$e
"" the 'perio# of i!ubatio!' "" the )hole perso!ality& #o)! to the u!%erbali+e# a!#
u!o!sious layers& has beo'e saturate# )ith the proble'& so that o! so'e le%el of the
'i!# it re'ai!s ati%e& e%e! )hile atte!tio! is oupie# i! a /uite #iffere!t fiel# "" suh as
looki!$ at a tree i! the hi'pa!+ee's ase& or )athi!$ the rise of the )ater"le%el, u!til
either ha!e or i!tuitio! pro%i#es a li!k to a /uite #iffere!t 'atri-& )hih bears #o)!
%ertially& so to speak& o! the proble' bloke# i! its ol# hori+o!tal o!te-t& a!# the t)o
pre%iously separate 'atries fuse( *ut for that fusio! to take plae a o!#itio! 'ust be
fulfille# )hih I alle# 'ripe!ess'(
Co!er!i!$ the psyholo$y of the reati%e at itself& I ha%e 'e!tio!e# the follo)i!$&
i!terrelate# aspets of it0 the #isplae'e!t of atte!tio! to so'ethi!$ !ot pre%iously !ote#&
)hih )as irrele%a!t i! the ol# a!# is rele%a!t i! the !e) o!te-t, the #iso%ery of hi##e!
a!alo$ies as a result of the for'er, the bri!$i!$ i!to o!sious!ess of tait a-io's a!#
habits of thou$ht )hih )ere i'plie# i! the o#e a!# take! for $ra!te#, the u!o%eri!$ of
)hat has al)ays bee! there(
This lea#s to the para#o- that the 'ore ori$i!al a #iso%ery the 'ore ob%ious it see's
after)ar#s( The reati%e at is !ot a! at of reatio! i! the se!se of the Ol# Testa'e!t( It
#oes !ot reate so'ethi!$ out of !othi!$, it u!o%ers& selets& re"shuffles& o'bi!es&
sy!thesi+es alrea#y e-isti!$ fats& i#eas& faulties& skills( The 'ore fa'iliar the parts& the
'ore striki!$ the !e) )hole( >a!'s k!o)le#$e of the ha!$es of the ti#es a!# the phases
of the 'oo! is as ol# as his obser%atio! that apples fall to earth i! the ripe!ess of ti'e( Bet
the o'bi!atio! of these a!# other e/ually fa'iliar #ata i! Ne)to!'s theory of $ra%ity
ha!$e# 'a!ki!#'s outlook o! the )orl#(
'It is ob%ious'& says Ha#a'ar#& 'that i!%e!tio! or #iso%ery& be it i! 'athe'atis or
a!y)here else& takes plae by o'bi!i!$ i#eas( ( ( ( The =ati! %erb cogito for to think
ety'olo$ially 'ea!s Nto shake to$etherN( St( Au$usti!e ha# alrea#y !otie# that a!# also
obser%e# that intelligo 'ea!s to select among('
The 'ripe!ess' of a ulture for a !e) sy!thesis is reflete# i! the reurre!t phe!o'e!o! of
'ultiple #iso%ery& a!# i! the e'er$e!e of si'ilar for's of art& ha!#irafts& a!# soial
i!stitutio!s i! #i%erse ultures( *ut )he! the situatio! is ripe for a $i%e! type of #iso%ery
it still !ee#s the i!tuiti%e po)er of a! e-eptio!al 'i!#& a!# so'eti'es a fa%ourable ha!e
e%e!t& to bri!$ it fro' pote!tial i!to atual e-iste!e( O! the other ha!#& so'e #iso%eries
represe!t striki!$ tours #e fore by i!#i%i#uals )ho see' to be so far ahea# of their ti'e
that their o!te'poraries are u!able to u!#ersta!# the'(
Thus at o!e e!# of the sale )e ha%e #iso%eries )hih see' to be #ue to 'ore or less
o!sious& lo$ial reaso!i!$& a!# at the other e!# su##e! i!si$hts )hih see' to e'er$e
spo!ta!eously fro' the #epth of the u!o!sious( The sa'e polarity of lo$i a!# i!tuitio!
)ill be fou!# to pre%ail i! the 'etho#s a!# teh!i/ues of artisti reatio!( It is su''e# up
by t)o opposite pro!ou!e'e!ts0 *er!ar# Sha)'s 'Ni!ety per e!t perspiratio!& te! per e!t
i!spiratio!'& o! the o!e ha!#& Piasso's 'I #o !ot seek "" I fi!#' 15e ne cherche pas$ 5e trouve2&
o! the other(
3I
THREE I==USTRATIONS
*efore proee#i!$ further& let 'e retur! for a 'o'e!t to the basi& bisoiati%e patter! of
the reati%e sy!thesis0 the su##e! i!terloki!$ of t)o pre%iously u!relate# skills& or
'atries of thou$ht( I shall $i%e three so'e)hat 'ore #etaile# e-a'ples )hih #isplay this
patter! fro' %arious a!$les0 ;ute!ber$'s i!%e!tio! of pri!ti!$ )ith 'o%able types, Kepler's
sy!thesis of astro!o'y a!# physis, <ar)i!'s theory of e%olutio! by !atural seletio!(
4( The Pri!ti!$ Press
At the #a)! of the fiftee!th e!tury pri!ti!$ )as !o lo!$er a !o%elty i! Europe( Pri!ti!$
fro' )oo#e! bloks o! %ellu'& silk& a!# loth appare!tly starte# i! the t)elfth e!tury& a!#
pri!ti!$ o! paper )as )i#ely pratise# i! the seo!# half of the fourtee!th( The bloks
)ere e!$ra%e# i! relief )ith pitures or te-t or both& the! thorou$hly )ette# )ith a bro)!
#iste'per"like substa!e, a sheet of #a'p paper )as lai# o! the blok a!# the bak of the
paper )as rubbe# )ith a so"alle# frotton "" a #abber or bur!isher "" u!til a! i'pressio! of
the ar%e# relief )as tra!sferre# to it( Eah sheet oul# be pri!te# o! o!ly o!e si#e by this
'etho#& but the bla!k baks of the sheets oul# be paste# to$ether '# the! $athere# i!to
/uires a!# bou!# i! the sa'e 'a!!er as 'a!usript"books( These 'blok books' or
-ylo$raphs irulate# alrea#y i! o!si#erable !u'bers #uri!$ ;ute!ber$'s youth(
He )as bor! i! 4A5F at >ai!+ a!# )as really alle# ;e!sfleish& 'ea!i!$ $ooseflesh& but
preferre# to a#opt the !a'e of his 'other's birthplae( The story of his life is obsure&
hi$hli$hte# by a suessio! of la)suits a$ai!st 'o!ey"le!#ers a!# other pri!ters, his lai'
to priority is the sub.et of a e!tury"ol# o!tro%ersy( *ut there e-ists a series of letters to a
orrespo!#e!t& FrXre Cor#elier& )hih has a! authe!ti ri!$ a!# $i%es a $raphi #esriptio!
of the 'a!!er i! )hih ;ute!ber$ arri%e# at his i!%e!tio!( 748 :hether others& suh as
Costa of Haarle'& 'a#e the sa'e i!%e!tio! at the sa'e ti'e or before ;ute!ber$ is& fro'
our poi!t of %ie)& irrele%a!t(
O##ly e!ou$h& the starti!$ poi!t of ;ute!ber$'s i!%e!tio! )as !ot the blok"books "" he
#oes !ot see' to ha%e bee! a/uai!te# )ith the' "" but playi!$"ar#s( I! his first letter to
Cor#elier he )rote0
For a 'o!th 'y hea# has bee! )orki!$, a >i!er%a& fully ar'e#& 'ust issue fro' 'y brai!(
( ( ( Bou ha%e see!& as I ha%e& playi!$"ar#s a!# pitures of sai!ts( ( ( ( These ar#s a!#
pitures are e!$ra%e# o! s'all piees of )oo#& a!# belo) the pitures there are )or#s a!#
e!tire li!es also e!$ra%e#( ( ( ( A thik i!k is applie# to the e!$ra%i!$, a!# upo! this a leaf
of paper& sli$htly #a'p& is plae#, the! this )oo#& this i!k& this paper is rubbe# a!# rubbe#
u!til the bak of the paper is polishe#( This paper is the! take! off a!# you see o! it the
piture .ust as if the #esi$! ha# bee! trae# upo! it& a!# the )or#s as if they ha# bee!
)ritte!, the i!k applie# to the e!$ra%i!$ has beo'e attahe# to the paper& attrate# by its
soft!ess a!# by its 'oisture( ( ( ( :ell& )hat has bee! #o!e for a fe) )or#s& for a fe) li!es&
I 'ust suee# i! #oi!$ for lar$e pa$es of )riti!$& for lar$e lea%es o%ere# e!tirely o! both
si#es& for )hole books& for the first of all books& the *ible( ( ( ( Ho)E It is useless to thi!k of
e!$ra%i!$ o! piees of )oo# the )hole thirtee! hu!#re# pa$es( ( ( ( :hat a' I to #oE I #o
!ot k!o)0 but I k!o) )hat I )a!t to #o0 I )ish to 'a!ifol# the *ible& I )ish to ha%e the
opies rea#y for the pil$ri'a$e to Ai- la Chapelle(
Here& the!& )e ha%e 'atri- or skill No( 40 the pri!ti!$ fro' )oo#"bloks by 'ea!s of
rubbi!$(
I! the letters )hih follo) )e see hi' #esperately searhi!$ for a si'pler 'etho# to
replae the laborious ar%i!$ of letters i! )oo#0
E%ery oi! be$i!s )ith a pu!h( The pu!h is a little ro# of steel& o!e e!# of )hih is
e!$ra%e# )ith the shape of o!e letter& se%eral letters& all the si$!s )hih are see! i! relief
o! a oi!( The pu!h is 'oiste!e# a!# #ri%e! i!to a piee of steel& )hih beo'es the
'hollo)' or 'sta'p'( It is i!to these oi!"sta'ps& 'oiste!e# i! their tur!& that are plae# the
little #iss of $ol#& to be o!%erte# i!to oi!s& by a po)erful blo)(
This is the first i!ti'atio! of the 'etho# of type"asti!$( It lea#s ;ute!ber$& by )ay of
a!alo$y& to the seal 0 ':he! you apply to the %ellu' or paper the seal of your o''u!ity&
e%erythi!$ has bee! sai#& e%erythi!$ is #o!e& e%erythi!$ is there( <o you !ot see that you
a! repeat as 'a!y ti'es as !eessary the seal o%ere# )ith si$!s a!# haratersE'
Bet all this is i!suffiie!t( He 'ay ast letters i! the for' of oi!s& or seals& i!stea# of
e!$ra%i!$ the )oo#& yet they )ill !e%er 'ake a lear pri!t by the lu'sy rubbi!$ 'etho#,
so lo!$ as his searh re'ai!s o!fi!e# to this o!e a!# o!ly tra#itio!al 'etho# of 'aki!$ a!
'i'pri!t'& the proble' re'ai!s bloke#( To sol%e it& a! e!tirely #iffere!t ki!# of skill 'ust
be brou$ht i!( He tries this a!# that, he thi!ks of e%erythi!$ u!#er the su!0 it is the perio#
of i!ubatio!( :he! the fa%ourable opportu!ity at last offers itself he is rea#y for it0
I took part i! the )i!e har%est( I )athe# the )i!e flo)i!$& a!# $oi!$ bak fro' the effet
to the ause& I stu#ie# the po)er of this press )hih !othi!$ a! resist( ( ( (
At this 'o'e!t it ours to hi' that the sa'e& stea#y pressure 'i$ht be applie# by a seal
or oi! "" preferably of lea#& )hih is easy to ast "" o! paper& a!# that o)i!$ to the
pressure& the lea# )oul# lea%e a trae o! the paper "" EurekaG
( ( ( A si'ple substitutio! )hih is a ray of li$ht( ( ( ( To )ork the!G ;o# has re%eale# to 'e
the seret that I #e'a!#e# of Hi'( ( ( ( I ha%e ha# a lar$e /ua!tity of lea# brou$ht to 'y
ho'e a!# that is the pe! )ith )hih I shall )rite(
'The ray of li$ht& )as the bisoiatio! of )i!e"press a!# seal "" )hih& a##e# to$ether&
beo'e the letter"press( The )i!e"press has bee! lifte# out of its o!te-t& the 'ushy pulp&
the flo)i!$ re# li/ui#& the .olly re%elry "" as Sulta!'s bra!h )as )re!he# out of the
o!te-t of the tree "" a!# o!!ete# )ith the sta'pi!$ of %ellu' )ith a seal( Fro' !o)
o!)ar# these separate skills& )hih pre%iously ha# bee! as #iffere!t as the buther's& the
baker's& a!# the a!#lestik"'aker's& )ill appear i!te$rate# i! a si!$le& o'ple- 'atri-0
O!e 'ust strike& ast& 'ake a for' like the seal of your o''u!ity, a 'oul# suh as that
use# for asti!$ your pe)ter ups, letters i! relief like those o! your oi!s& a!# the pu!h
for pro#ui!$ the' like your foot )he! it 'ultiplies its pri!t( There is the *ibleG
9( ;ra%ity a!# the Holy ;host
'If I ha%e bee! able to see farther tha! others&' sai# Ne)to!& 'it )as beause I stoo# o! the
shoul#ers of $ia!ts(' O!e of the $ia!ts )as ?oha!!es Kepler 146O4"4IAC2 )hose three la)s
of pla!etary 'otio! pro%i#e# the fou!#atio! o! )hih the Ne)to!ia! u!i%erse )as built(
They )ere the first '!atural la)s' i! the 'o#er! se!se0 preise& %erifiable state'e!ts
e-presse# i! 'athe'atial ter's, at the sa'e ti'e& they represe!t the first atte'pt at a
sy!thesis of astro!o'y a!# physis )hih& #uri!$ the pree#i!$ t)o thousa!# years& ha#
#e%elope# o! separate li!es(
Astro!o'y before Kepler ha# bee! a purely #esripti%e $eo'etry of the skies( The 'otio!
of stars a!# pla!ets ha# bee! represe!te# by the #e%ie of epiyles a!# ee!tris "" a!
i'a$i!ary lok)ork of irles tur!i!$ o! irles tur!i!$ o! irles( Coper!ius& for
i!sta!e& ha# use# forty"ei$ht )heels to represe!t the 'otio! of the fi%e k!o)! pla!ets
arou!# the su!( These )heels )ere purely fititious& a!# 'ea!t as suh "" they e!able#
astro!o'ers to 'ake 'ore or less preise pre#itio!s& but& abo%e all& they satisfie# the
#o$'a that all hea%e!ly 'otio! 'ust be u!ifor' a!# i! perfet irles( Thou$h the pla!ets
'o%e# !either u!ifor'ly !or i! perfet irles& the i'a$i!ary o$")heels #i#& a!# thereby
'sa%e# the appeara!es'(
Kepler's #iso%eries put a! e!# to this state of affairs( He reo!ile# astro!o'y )ith
physis& a!# substitute# for the fititious lok)ork a u!i%erse of 'aterial bo#ies !ot u!like
the earth& freely floati!$ a!# tur!i!$ i! spae& 'o%e# by fores ati!$ o! the'( His 'ost
i'porta!t book bears the pro%oati%e title0 3 9ew 3stronomy 7ased on ausation Or
Physics of the .ky 14@C52( It o!tai!s the first a!# seo!# of Kepler's three la)s( The first
says that the pla!ets 'o%e arou!# the su! !ot i! ir#es but i! ellipti orbits, the seo!# says
that a pla!et 'o%es i! its orbit !ot at u!ifor' spee# but at a spee# that %aries aor#i!$ to
its positio!& a!# is #efi!e# by a si'ple a!# beautiful la)0 the li!e o!!eti!$ pla!et a!# su!
s)eeps o%er e/ual areas i! e/ual ti'es( The thir# la) establishes a! e/ually ele$a!t
'athe'atial orrelatio! bet)ee! the le!$th of a pla!et's year a!# its 'ea! #ista!e fro'
the su!(
Kepler #i# !ot start his areer as a! astro!o'er& but as a stu#e!t of theolo$y 1at the
=uthera! U!i%ersity of Thuebi!$e!2, yet alrea#y as a stu#e!t he )as attrate# by the
Coper!ia! i#ea of a su!"e!tre# u!i%erse( No) Ca!o! Coper!ius's book& On the
!evolutions of the Heavenly .pheres& ha# bee! publishe# i! the year of his #eath& 4I6A, that
is& fifty years before Kepler first hear# of hi', a!# #uri!$ that half e!tury it ha# attrate#
%ery little atte!tio!( O!e of the reaso!s )as its supre'e u!rea#abillty& )hih 'a#e it i!to
a! all"ti'e )orst"seller0 its first e#itio! of a thousa!# opies )as !e%er sol# out( Kepler )as
the first Co!ti!e!tal astro!o'er to e'brae the Coper!ia! theory( His &ysterium
osmographicum& publishe# i! 4I5O 1fifty"four years after Coper!ius's #eath2& starte# the
$reat o!tro%ersy "" ;alileo e!tere# the se!e fiftee! years later(
The reaso! )hy the i#ea of a su!"e!tre# u!i%erse appeale# to Kepler )as repeate#ly
state# by hi'self0 'I ofte! #efe!#e# the opi!io!s of Coper!ius i! the #isputatio!s of the
a!#i#ates a!# I o'pose# a areful #isputatio! o! the first 'otio! )hih o!sists i! the
rotatio! of the earth, the! I )as a##i!$ to this the 'otio! of the earth arou!# the su! for
physical or$ if you prefer$ metaphysical reasons(' 798 I ha%e e'phasi+e# the last )or#s
beause they o!tai! the leit'otif of Kepler's /uest& a!# beause he use# the sa'e
e-pressio! i! %arious passa$es i! his )orks( No) )hat )ere those 'physial or& if you
prefer& 'etaphysial reaso!s' )hih 'a#e Kepler prefer to put the su! i!to the e!tre of the
u!i%erse i!stea# of the earthE
>y easeless searh o!er!e# pri'arily three proble's& !a'ely& the !u'ber& si+e& a!#
'otio! of the pla!ets "" )hy they are .ust as they are a!# !ot other)ise arra!$e#( I )as
e!oura$e# i! 'y #ari!$ i!/uiry by that beautiful a!alo$y bet)ee! the statio!ary ob.ets&
!a'ely& the su!& the fi-e# stars& a!# the spae bet)ee! the'& )ith ;o# the Father& the So!&
a!# the Holy ;host( I shall pursue this a!alo$y i! 'y future os'o$raphial )ork( 7A8
T)e!ty"fi%e years later& )he! he )as o%er fifty& Kepler repeate# his re#o0 'It is by !o
'ea!s per'issible to treat this a!alo$y as a! e'pty o'pariso!, it 'ust be o!si#ere# by
its Plato!i for' a!# arhetypal /uality as o!e of the pri'ary auses('
He belie%e# i! this to the e!# of his life( Bet $ra#ually the a!alo$y u!#er)e!t a si$!ifia!t
ha!$e0
The su! i! the 'i##le of the 'o%i!$ stars& hi'self at rest a!# yet the soure of 'otio!&
arries the i'a$e of ;o# the Father a!# Creator( He #istributes his 'oti%e fore throu$h a
'e#iu' )hih o!tai!s the 'o%i!$ bo#ies& e%e! as the Father reates throu$h the Holy
;host( 768
Thus the ''o%i!$ bo#ies' "" that is& the pla!ets "" are !o) brou$ht i!to the a!alo$y( The
Holy ;host !o lo!$er 'erely fills the spae bet)ee! the 'otio!less su! a!# the 'otio!less
fi-e# stars( It has beo'e a! ati%e fore& a vis motrix& )hih drives the pla!ets( Nobo#y
before Kepler ha# postulate#& or e%e! suspete#& the e-iste!e of a physial fore ati!$
bet)ee! the su! a!# the pla!ets( Astro!o'y )as !ot o!er!e# )ith physial fores& !or
)ith the auses of the hea%e!ly 'otio!s& 'erely )ith their #esriptio!( The passa$es )hih
I ha%e .ust /uote# are the first i!ti'atio! of the fortho'i!$ 'arria$e bet)ee! physis a!#
astro!o'y "" the at of betrothal& as it )ere( *y looki!$ at the sky& !ot throu$h the eyes of
the $eo'etriia! o!ly& but of the physiist o!er!e# )ith !atural auses& he hit upo! a
/uestio! )hih !obo#y ha# aske# before& The /uestio! )as0 ':hy #o the pla!ets loser to
the su! 'o%e faster tha! those )hih are far a)ayE :hat is the 'athe'atial relatio!
bet)ee! a pla!et's #ista!e fro' the su! a!# the le!$th of its yearE'
These /uestio!s oul# o!ly our to o!e )ho ha# o!ei%e# the re%olutio!ary hypothesis
that the 'otio! of the pla!et "" a!# therefore its %eloity a!# the #uratio! of its year "" )as
$o%er!e# by a physial fore e'a!ati!$ fro' the su!( E%ery astro!o'er k!e)& of ourse&
that the $reater their #ista!e fro' the su! the slo)er the pla!ets 'o%e#( *ut this
phe!o'e!o! )as take! for $ra!te#& .ust as it )as take! for $ra!te# that boys )ill be boys
a!# $irls )ill be $irls& as a! irre#uible fat of reatio!( Nobo#y aske# the ause of it
beause physial auses )ere !ot assu'e# to e!ter i!to the 'otio! of hea%e!ly bo#ies( The
$reat!ess of the philosophers of the sie!tifi re%olutio! o!siste# !ot so 'uh i! fi!#i!$
the ri$ht a!s)ers but i! aski!$ the ri$ht /uestio!s, i! seei!$ a proble' )here !obo#y sa)
o!e before, i! substituti!$ a why for a how(
Kepler's a!s)er to the /uestio! )hy the outer pla!ets 'o%e slo)er tha! the i!!er o!es& a!#
ho) the spee# of their 'otio! is relate# to their #ista!e fro' the su!& )as as follo)s0
There e-ists o!ly o!e 'o%i!$ soul i! the e!tre of all the orbits, that is the su! )hih
#ri%es the pla!ets the 'ore %i$orously the loser the pla!et is& but )hose fore is /uasi"
e-hauste# )he! ati!$ o! the outer pla!ets beause of the lo!$ #ista!e a!# the )eake!i!$
of the fore )hih it e!tails( 7I8
=ater o! he o''e!te#0
If )e substitute for the )or# NsoulN the )or# NforeN& the! )e $et .ust the pri!iple )hih
u!#erlies 'y Physis of the Skies( As I reflete# that this ause of 'otio! #i'i!ishes i!
proportio! to #ista!e .ust as the li$ht of the su! #i'i!ishes i! proportio! to #ista!e fro'
the su!& I a'e to the o!lusio! that this fore 'ust be substa!tial "" Nsubsta!tialN !ot i!
the literal se!se but ( ( ( i! the sa'e 'a!!er as )e say that li$ht is so'ethi!$ substa!tial&
'ea!i!$ by this a! u!substa!tial e!tity e'a!ati!$ fro' a substa!tial bo#y( 7@8
:e !otie that Kepler's a!s)er a'e before the /uestio! "" that it )as the a!s)er that
be$ot the /uestio!( The a!s)er& the starti!$ poi!t& )as the a!alo$y bet)ee! ;o# the Father
a!# the su! "" the for'er ati!$ throu$h the Holy ;host& the latter throu$h a physial fore(
The pla!ets 'ust obey the la) of the su! "" the la) of ;o# "" the 'athe'atial la) of
!ature, a!# the Holy ;host's atio! throu$h e'pty spae #i'i!ishes& as the li$ht e'a!ati!$
fro' the su! #oes& )ith #ista!e( The #e$e!erate& purely #esripti%e astro!o'y )hih
ori$i!ate# i! the perio# of the ;reek #eli!e& a!# o!ti!ue# throu$h the <ark a!# >i##le
A$es u!til Kepler& #i# !ot ask for 'ea!i!$ a!# auses( *ut Kepler )as o!%i!e# that
physial auses operate bet)ee! hea%e!ly& .ust as bet)ee! earthy& bo#ies& a!# 'ore
speifially that the su! e-erts a physial fore o! the pla!ets( It )as this o!%itio! )hih
e!able# hi' to for'ulate his la)s( Physis bea'e the au-iliary 'atri- )hih seure# his
esape fro' the bloke# situatio! i!to )hih astro!o'y ha# 'a!oeu%re# itself(
The bloka$e "" to ut a %ery lo!$ story short "" )as #ue to the fat that Tyho #e *rahe
ha# i'pro%e# the i!stru'e!ts a!# 'etho#s of star"$a+i!$& a!# pro#ue# obser%atio!al #ata
of a hitherto u!e/ualle# abu!#a!e a!# preisio!, a!# the !e) #ata #i# !ot fit i!to the
tra#itio!al she'es( Kepler& )ho ser%e# his appre!tieship u!#er Tyho& )as $i%e! the task
of )orki!$ out the orbit of >ars( He spe!t si- years o! the task a!# o%ere# !i!e thousa!#
folio"sheets )ith alulatio!s i! his s'all ha!#)riti!$ )ithout $etti!$ a!y)here( :he! at
last he belie%e# he ha# suee#e# he fou!# to his #is'ay that ertai! obser%e# positio!s of
>ars #iffere# fro' those )hih his theory #e'a!#e# by 'a$!itu#es up to ei$ht 'i!utes
ar( Ei$ht 'i!utes ar is appro-i'ately o!e"/uarter of the appare!t #ia'eter of the 'oo!(
This )as a atastrophe( Ptole'y& a!# e%e! Coper!ius& oul# affor# to !e$let a #iffere!e
of ei$ht 'i!utes& beause their obser%atio!s )ere aurate o!ly )ithi! a 'ar$i! of te!
'i!utes& a!y)ay( '*ut&' Kepler )rote i! the 9ew 3stronomy& 'but for us& )ho by #i%i!e
ki!#!ess )ere $i%e! a! aurate obser%er suh as Tyho *rahe& for us it is fitti!$ that )e
shoul# ak!o)le#$e this #i%i!e $ift a!# put it to use( ( ( ( He!eforth I shall lea# the )ay
to)ar#s that $oal aor#i!$ to 'y i#eas( For if I ha# belie%e# that )e oul# i$!ore these
ei$ht 'i!utes& I )oul# ha%e pathe# up 'y hypothesis aor#i!$ly( *ut si!e it )as !ot
per'issible to i$!ore the'& those ei$ht 'i!utes poi!t the roa# to a o'plete refor'atio! of
astro!o'y( ( ( (' 7O8
Thus a theory& built o! years of labour a!# tor'e!t& )as i!sta!tly thro)! a)ay beause of
a #isor# of ei$ht 'iserable 'i!utes ar( I!stea# of ursi!$ those ei$ht 'i!utes as a
stu'bli!$ blok& he tra!sfor'e# the' i!to the or!ersto!e of a !e) sie!e( For those ei$ht
'i!utes ar ha# at last 'a#e hi' reali+e that the fiel# of astro!o'y i! its tra#itio!al
fra'e)ork )as )ell a!# truly bloke#(
O!e of the reurre!t frustratio!s a!# tra$e#ies i! the history of thou$ht is ause# by the
u!ertai!ty )hether it is possible to sol%e a $i%e! proble' by tra#itio!al 'etho#s
pre%iously applie# to proble's )hih see' to be of the sa'e !ature( :ho a! say ho)
'a!y li%es )ere )aste# a!# $oo# 'i!#s #estroye# i! futile atte'pts to s/uare the irle& or
to o!strut a Nperpetuu' 'obileNE The proof that these proble's a! i!soluble )as i! eah
ase a! ori$i!al #iso%ery i! itself 1suh as >a-)ell's seo!# la) of ther'o#y!a'is2, a!#
suh proofs oul# o!ly be fou!# by looki!$ at the proble' fro' a poi!t of %ie) outsi#e its
tra#itio!al 'atri-( O! the other ha!#& the 'ere k!o)le#$e that a proble' is soluble 'ea!s
that half the $a'e is alrea#y )o!(
The episo#e of the ei$ht 'i!utes ar ha# o!%i!e# Kepler that his proble' "" the orbit of
>ars "" )as i!soluble so lo!$ as he felt bou!# by the tra#itio!al rules of sky"$eo'etry(
I'plie# i! those rules )as the #o$'a of 'u!ifor' 'otio! i! perfet irles'( U!ifor'
'otio! he ha# alrea#y #isar#e# before the risis, !o) he felt that the e%e! 'ore sare# o!e
of circular 'otio! 'ust also $o( The i'possibility of o!struti!$ a irular orbit )hih
)oul# satisfy all e-isti!$ obser%atio!s su$$este# to hi' that the irle 'ust be replae# by
so'e other ur%e(
The o!lusio! is /uite si'ply that the pla!et's path is !ot a irle "" it ur%es i!)ar# o!
both si#es a!# out)ar# a$ai! at opposite e!#s( Suh a ur%e is alle# a! o%al( The orbit is
!ot a irle but a! o%al fi$ure( 7F8
This o%al orbit )as a )il#& fri$hte!i!$ !e) #eparture for hi'( To be fe# up )ith yles a!#
epiyles& to 'ok the sla%ish i'itators of Aristotle )as o!e thi!$, to assi$! a! e!tirely
!e)& lopsi#e#& i'plausible path for the hea%e!ly bo#ies )as /uite a!other( :hy i!#ee# a!
o%alE There is so'ethi!$ i! the perfet sy''etry of spheres a!# irles )hih has a #eep&
reassuri!$ appeal to the u!o!sious 'i!# "" other)ise it oul# !ot ha%e sur%i%e# t)o
'ille!!ia( The o%al laks that arhetypal appeal( It has a! arbitrary& #istorte# for'( It
#estroye# the #rea' of the 'har'o!y of the spheres'& )hih lay at the ori$i! of the )hole
/uest( At ti'es he felt like a ri'i!al& or )orse0 a fool( All he ha# to say i! his o)! #efe!e
)as0 'I ha%e leare# the Au$ea! stables of astro!o'y of yles a!# spirals& a!# left behi!#
'e o!ly a si!$le artful of #u!$(' 758
That artful of #u!$ "" !o!"u!ifor' 'otio! i! !o!"irular orbits "" oul# o!ly be .ustifie#
a!# e-plai!e# by ar$u'e!ts #eri%e# !ot fro' $eo'etry& but fro' physis( A phrase kept
hu''i!$ i! his ear like a athy tu!e& a!# rops up i! his )riti!$s o%er a!# a$ai!0 there is
a fore i! the su! )hih 'o%es the pla!ets& there is a fore i! the su!( ( ( ( A!# si!e there is
a fore i! the su!& there 'ust e-ist so'e si'ple relatio!ship bet)ee! the pla!et's #ista!e
fro' the su!& a!# its spee#( A li$ht shi!es the bri$hter the !earer o!e is to its soure& a!#
the sa'e 'ust apply to the fore of the su!0 the loser the pla!et to it& the /uiker it )ill
'o%e( This ha# bee! his i!sti!ti%e o!%itio!, but !o) he thou$ht that he ha# fou!# the
proof for it( 'Be physiists& prik your ears& for !o) )e are $oi!$ to i!%a#e your territory('
The !e-t si- hapters i! the 3stronomia 9ova are a report o! that i!%asio! i!to elestial
physis& )hih ha# bee! out of bou!#s for astro!o'y si!e Plato( He ha# fou!# the seo!#
'atri- )hih )oul# u!blok his proble'(
That e-ursio! )as so'ethi!$ of a o'e#y of errors "" )hih !e%ertheless e!#e# )ith
fi!#i!$ the truth( Si!e he ha# !o !otio! of the pri!iple of i!ertia& )hih 'akes a pla!et
persist i! its ta!$e!tial 'otio! u!#er its o)! 'o'e!tu'& a!# ha# o!ly a %a$ue i!tuitio! of
$ra%ity& he ha# to i!%e!t a fore )hih& e'a!ati!$ fro' the su!& s)eeps the pla!et rou!# its
path like a broo'( I! the seo!# plae& to aou!t for the ee!triity of the orbits he ha# to
postulate that the pla!ets )ere 'hu$e rou!# 'a$!ets' )hose poles poi!te# al)ays i! the
sa'e #iretio! so that they )oul# alter!ately be #ra)! loser to a!# be repelle# by the su!(
*ut althou$h to#ay the )hole thi!$ see's okeye#& his i!tuitio! that there are two
antagonistic forces ati!$ o! the pla!ets& $ui#e# hi' i! the ri$ht #iretio!( A si!$le fore&
as pre%iously assu'e# "" the #i%i!e Pri'e >o%er a!# its allie# hierarhy of a!$els "" )oul#
!e%er pro#ue ellipti orbits a!# perio#i ha!$es of spee#( These oul# o!ly be the result
of so'e #y!a'i tu$ of )ar $oi!$ o! i! the sky "" as i!#ee# there is( The o!ept of t)o
a!ta$o!isti fores pro%i#e# rules for a !e) $a'e i! )hih ellipti orbits a!# %eloities
#epe!#i!$ o! solar #ista!e ha# their le$iti'ate plae(
He 'a#e 'a!y 'istakes #uri!$ that )il# fli$ht of thou$ht, but 'as if by 'irale' "" as he
hi'self re'arke# "" the 'istakes a!elle# out( It looks as if at ti'es his o!sious ritial
faulties ha# bee! a!aestheti+e# by the reati%e i'pulse& by the i'patie!e to $et to $rips
)ith the physial fores i! the solar syste'( The proble' of the pla!etary orbits ha# bee!
hopelessly bo$$e# #o)! i! its purely $eo'etrial fra'e of refere!e& a!# )he! he reali+e#
that he oul# !ot $et it u!stuk he tore it out of that fra'e a!# re'o%e# it i!to the fiel# of
physis( That there )ere i!o!siste!ies a!# i'purities i! his 'etho# #i# !ot 'atter to hi'
i! the heat of the 'o'e!t& hopi!$ that so'eho) they )oul# ri$ht the'sel%es later o! "" as
they #i#( This i!spire# heati!$ "" or& rather& borro)i!$ o! re#it "" is a harateristi a!#
reurre!t feature i! the history of sie!e( The latest e-a'ple is sub"ato'i physis& )hih
'ay be sai# to li%e o! re#it "" i! the pious hope that o!e #ay its i!!er o!tra#itio!s a!#
para#o-es )ill so'eho) resol%e the'sel%es(
Kepler's #eter'i!atio! of the orbit of >ars bea'e the u!ifyi!$ li!k bet)ee! the t)o
for'erly separate real's of physis a!# astro!o'y( His )as the first serious atte'pt at
e-plai!i!$ the 'eha!is' of the solar syste' i! ter's of physial fores, a!# o!e the
e-a'ple )as set& physis a!# os'olo$y oul# !e%er a$ai! be #i%ore#(
A( <ar)i! a!# Natural Seletio!
Charles <ar)i! is perhaps the 'ost outsta!#i!$ illustratio! of the thesis that 'reati%e
ori$i!ality' #oes !ot 'ea! reati!$ or ori$i!ati!$ a syste' of i#eas out of !othi!$ but rather
out of the o'bi!atio! of )ell"establishe# patter!s of thou$ht "" by a proess of ross"
fertili+atio!& as it )ere( :ith a pi!h of salt it oul# be sai# that <ar)i!'s esse!tial
ahie%e'e!t )as to o'bi!e the e%olutio!ary philosophy of A!a-i'a!#er& )ho tau$ht that
'a!'s a!estor )as a! a/uati a!i'al a!# that the earth a!# its i!habita!ts )ere #ese!#e#
fro' the sa'e Pri'e >aterial& )ith the philosophy of E'pe#oles )ho tau$ht the sur%i%al
of the fittest a'o!$ the ra!#o' a$$re$atio!s of or$a!i for's( Aristotle the !aturalist
belie%e# that !ature fashio!s or$a!s i! the or#er of their !eessity& )hereas Aristotle the
Plato!ist asserte# that the speies are i''utable a!# #e!ie# the o!ti!uity bet)ee! ho'o
sapie!s a!# the a!i'al ki!$#o'(
Fro' this poi!t o!)ar# t)o basi 'etaphysial #otri!es of opposite !ature a! be 'ore
or less learly #iser!e# throu$hout the history of Europea! thou$ht, o!e 'i$ht all the' ""
pro%i#e# the )or#s are !ot take! too literally""the '#ese!#i!$' a!# 'ase!#i!$' %ie)s of the
u!i%erse( The for'er is represe!te# by Plato& the Neoplato!ists& a!# by the fu!#a'e!talist
tre!# i! Christia!ity fro' the Fathers to the 3itoria!s, it postulates a! absolute at of
reatio!& follo)e# by a descent 1Plato's a%e& the Fall2& follo)e# by a stati& i''utable&
#eep"free+e state of affairs& a 'arki!$ of ti'e u!til the =ast ?u#$e'e!t( The ascending or
e%olutio!ary #otri!e& )hih ha# flourishe# #uri!$ the heroi a$e of ;reek sie!e a!# )as
still partially uphel# by Epiurea!s suh as =uretius& )e!t i!to a lo!$ perio# of
hiber!atio!& but a)oke )ith re!e)e# %i$our at the #a)! of the Sie!tifi Re%olutio!(
Tyho& Kepler& ;alileo& #estroye# the #o$'a of i''utability, Ne)to! i! his Optics
#elare# that !ature )as '#eli$hte# )ith tra!s'utatio!s', a!# fro' there o!)ar# throu$h
=eib!i+& #e >aillet& =oke to Ka!t 1to 'e!tio! o!ly a fe)2& the i#ea of a $ro)i!$ 'Tree of
Nature'& o! )hih the speies bra!he# out fro' a o''o! root& $ai!e# i!reasi!$ support
a'o!$ the lea#i!$ spirits(
The o!flit bet)ee! the t)o #otri!es a'e to a hea# a e!tury before the <ar)i! sa!#al
"" i! the $reat o!tro%ersy bet)ee! =i!!aeus a!# *uffo!& )ho )ere both bor! i! the sa'e
year& 4OCO( Carl %o! =i!!T's publishe# )orks a'ou!t to a hu!#re# a!# ei$hty %olu'es, the
Co'te #e *uffo!'s Histoire 9aturelle ha# forty"four /uarto %olu'es& a!# took fifty years to
publish( =i!!T& )ho lai# #o)! the la)s for #efi!i!$ $e!era a!# speies& a!# )hose syste'
of lassifiatio! sur%i%es to this #ay& starte# as a belie%er i! i''utability, but later i! life he
a#'itte# that !e) speies 'ay arise as '#au$hters of Ti'e'( *uffo! attake# !ot o!ly
=i!!aeus's lassifiatio!& but the pri!iples u!#erlyi!$ it, he #e!ie# the e-iste!e of ri$i#
bou!#aries bet)ee! o!e speies a!# a!other& bet)ee! %e$etable a!# a!i'al& bet)ee!
a!i'al a!# 'a!0 speies arose& tra!sfor'e# the'sel%es& a!# bea'e e-ti!t aor#i!$ to
li'ati a!# other ha!$es i! !ature( ?u#$e# by the for' a!# or$a!i+atio! of its bo#y& he
)rote& 'the ora!$uta!$ )oul# approah !earer to 'a! tha! to a!y other a!i'al'( A e!tury
later <ar)i! a#'itte# that ')hole pa$es 7i! *uffo!8 are lau$hably like 'i!e'(
*y the e!# of the ei$htee!th e!tury the u'ulati%e e%i#e!e fro' 'the $e!eral fats i! the
affi!ities& e'bryolo$y& ru#i'e!tary or$a!s& $eolo$ial history& a!# $eo$raphial
#istributio! of or$a!i bei!$s' 1<ar)i! to Asa ;ray2 74C8 le# to the si'ulta!eous
appeara!e of e%olutio!ary theories i! a !u'ber of Europea! ou!tries( 'It is a rather
si!$ular i!sta!e&' he re'arke# else)here& 'of the 'a!!er i! )hih si'ilar %ie)s arise at
about the sa'e ti'e& that ;oethe i! ;er'a!y& <r( 7Eras'us8 <ar)i! i! E!$la!# a!#
;eoffroy Sai!t"Hilaire i! Fra!e ( ( ( a'e to the sa'e o!lusio! o! the ori$i! of the
speies& i! the years 4O56"5I' 7448 "" that is& fiftee! years before Charles <ar)i! )as bor!(
The seo!# $reat publi o!tro%ersy bet)ee! e%olutio!ists a!# a!ti"e%olutio!ists
ori$i!ate# i! the fateful years 9 a!# A "" aor#i!$ to the ale!#ar of the Fre!h Re%olutio!
"" )he! the three 'ai! prota$o!ists i! the #ra'a )ere all $i%e! hairs at the U!i%ersity of
Paris by the Re%olutio!ary ;o%er!'e!t( They )ere =a'ark& Cu%ier& ;eoffroy Sai!t"
Hilaire( The li'a- a'e i! 4FAC& )he! ;eoffroy& the e%olutio!ist& a!# Cu%ier& )ho #e!ie#
e%olutio!& o!fro!te# eah other i! publi #ebate before the Fre!h Aa#e'y of Sie!es(
Cu%ier )o! the #ebate "" a!# ri$htly so beause ;eoffroy ha# trie# to #e'o!strate a $oo#
ause by a ba#ly hose! e-a'ple "" but the outo'e 'attere# less tha! the #ebate itself&
)hih ;oethe #elare# to be a! e%e!t far 'ore 'e'orable tha! the Fre!h Re%olutio!(
This )as a /uarter of a e!tury before <ar)i! sub'itte# his first paper o! e%olutio! to the
Royal soiety(
A further sa!#al broke i! 4F66 "" still fiftee! years before the publiatio! of *he Origin of
.pecies "" )he! Robert Cha'bers publishe# a!o!y'ously his )estiges of reation& a!
i'passio!ate if #iletta!ti plea for the e%olutio!ary #otri!e( Its i'pat 'ay be $athere#
fro' a se!e i! <israeli's *ancred& i! )hih the heroi!e si!$s the book's praises0 'Bou
k!o)& all is #e%elop'e!t( The pri!iple is perpetually $oi!$ o!( First& there )as !othi!$&
the! there )as so'ethi!$, the! "" I for$et the !e-t "" I thi!k there )ere shells& the! fishes,
the! )e a'e "" let 'e see "" #i# )e o'e !e-tE Ne%er 'i!# that, )e a'e at last( A!# at
the !e-t ha!$e there )ill be so'ethi!$ %ery superior to us "" so'ethi!$ )ith )i!$s( AhG
that's it0 )e )ere fishes& a!# I belie%e )e shall be ro)s( *ut you 'ust rea# it ( ( ( it is all
pro%e#( ( ( ( Bou u!#ersta#& it is all sie!e, it is !ot like those books i! )hih o!e says o!e
thi!$ a!# a!other the o!trary& a!# both 'ay be )ro!$( E%erythi!$ is pro%e# ( ( ( '
The passa$e has that partiular fla%our )hih )e ha%e o'e to assoiate )ith the
<ar)i!ia! o!tro%ersy( E%e! Ta!re#'s re.oi!#er to the e!thusiasti la#y0 'I #o !ot belie%e I
e%er )as a fish&' has the fa'iliar ri!$ of 'usi"hall .okes about ''y $ra!#pa )as a! ape'(
A!# yet& I repeat& all this e-ite'e!t pre#ates the publiatio! of <ar)i!'s first paper by
'ore tha! te! years(
Thus <ar)i! ori$i!ate# !either the i#ea !or the o!tro%ersy about e%olutio!& a!# i! his
early years )as fully a)are of this( :he! he #ei#e# to )rite a book o! the sub.et& he
.otte# #o)! se%eral %ersio!s of a! apolo$eti #islai'er of ori$i!ality for the prefae of the
future )ork0
State broa#ly 7that there is8 sarely a!y !o%elty i! 'y theory ( ( ( The )hole ob.et of the
book is its proof& its e-te!sio!& its a#aptatio! to lassifiatio! a!# affi!ities bet)ee!
speies( Seei!$ )hat %o! *uh 1Hu'bol#t2& ;( H( Hilaire 7si8 a!# =a'ark ha%e )ritte! I
prete!# to !o ori$i!ality of i#ea 1thou$h I arri%e# at the' /uite i!#epe!#e!tly a!# ha%e
rea# the' si!e2( The li!e of proof a!# re#ui!$ fats to la) 7is the8 o!ly 'erit& if 'erit
there be& i! follo)i!$ )ork( 7498
The re'ark that he ha# arri%e# at his i#ea i!#epe!#e!tly fro' his pre#eessors shoul# !ot
perhaps be take! at fae %alue& for <ar)i!'s o)! !otebooks are o!lusi%e proof that he
ha# ertai!ly rea# =a'ark& the $reatest a'o!$ his preursors& a!# a !u'ber of other
)orks o! e%olutio!& before he arri%e# at for'ulati!$ his o)! theory( E%e! so& the i!te!#e#
apolo$y !e%er fou!# its )ay i!to the book )hih it )as 'ea!t to prefae( I! his early
!otebooks& !ot i!te!#e# for publiatio!& <ar)i! pai# $rateful tribute to =a'ark as a
soure of i!spiratio!& 'e!#o)e# )ith the propheti spirit i! sie!e& the hi$hest e!#o)'e!t
of lofty $e!ius'( =ater o! he alle# =a'ark's )ork '%eritable rubbish' )hih #i# the ause
'$reat har'' "" a!# i!siste# that he ha# $ot '!ot a fat or i#ea' fro' =a'ark( 74A8 I! this
respet he rese'ble# Coper!ius a!# ;alileo )ho also e-elle# i! #e!yi!$ re#it )here
re#it )as #ue& a!# other $reat 'e! )ho& at the be$i!!i!$ of their areer& $ratefully
ak!o)le#$e# i!#ebte#!ess to their spiritual forbears& but later o! /uietly for$ot or #e!ie#
the'( I! so'e ases& of )hih ;alileo is a striki!$ e-a'ple& the 'oti%e )as a!
o%er)hel'i!$ %a!ity, i! others& a subtler for' of self"#eeptio! see'e# to operate( O!e
o!e e'braes a! i#ea a!# li%es )ith it #ay a!# !i$ht& o!e a! !o lo!$er bear the thou$ht
that she& the i#ea& has for'erly belo!$e# to so'eo!e else, to possess her o'pletely a!# be
possesse# by her& o!e 'ust e-ti!$uish her past( That see's to ha%e bee! <ar)i!'s ase, for&
throu$hout the #eisi%e te! years i! )hih the battle )as fou$ht& he beha%e# like a .ealous
husba!# about his theory, but o!e the battle )as )o! he rele!te# a!# $a%e others their #ue
"" i!lu#i!$ =a'ark& )hose $host )as !e%er to be e-ori+e# fro' the e#ifie that <ar)i!
built(
O! his o)! aou!t& <ar)i! bea'e a! e%olutio!ist after his %oya$e o! the *ea$le& )hih
e!#e# i! 4FA@& )he! he )as t)e!ty"se%e!, but *he Origin of .pecies )as o!ly publishe#
t)e!ty"three years later( It ope!s )ith the state'e!t0
:he! o! boar# H(>(S( *ea$le as !aturalist& I )as 'uh struk )ith ertai! fats i! the
#istributio! of the or$a!i bei!$s i!habiti!$ South A'eria& a!# i! the $eolo$ial relatio!s
of the prese!t to the past i!habita!ts of that o!ti!e!t( These fats& as )ill be see! i! the
latter hapters of this %olu'e& see'e# to thro) so'e li$ht o! the ori$i! of speies "" that
'ystery of 'ysteries& as it has bee! alle# by o!e of our $reat philosophers( After 'y retur!
to E!$la!# it appeare# to 'e that ( ( ( by olleti!$ all fats )hih bore i! a!y )ay o! the
%ariatio! of a!i'als a!# pla!ts u!#er #o'estiatio! a!# !ature& so'e li$ht 'i$ht perhaps
be thro)! o! the )hole sub.et( >y first !otebook )as ope!e# i! ?uly 4FAO( I )orke# o!
true *ao!ia! pri!iples a!# )ithout a!y theory& ollete# fats o! a )holesale sale ( ( (
After fi%e years' )ork I allo)e# 'yself to speulate o! the sub.et a!# #re) up so'e short
!otes(
As <ar)i!'s o)! !otebooks sho)& the last t)o se!te!es i! this aou!t a$ai! shoul# !ot
be take! at fae %alue "" they are pious lip"ser%ie to thefashio!able i'a$e of the sie!tist
olleti!$ fats ')ith a! u!pre.u#ie# 'i!#'& )ithout per'itti!$ hi'self& ;o# forbi#& to
speulate o! the'( I! reality& as the !otebooks sho)& shortly after his retur! fro' the
%oya$e 1a!# !ot 'fi%e years later'2& <ar)i! bea'e o''itte# to the e%olutio!ary theory ""
a!# the! set out to ollet fats to pro%e it( A 'o!th after publiatio! of *he Origin& i!
<ee'ber 4FI5& he a#'itte# this "" appare!tly for$etti!$ )hat he ha# sai# i! the Prefae ""
i! a letter elo/ue!tly #efe!#i!$ the proe#ure of 'i!%e!ti!$ a theory a!# seei!$ ho) 'a!y
lasses of fats the theory )oul# e-plai!'( 7468 I! a!other letter he re'arks that '!o o!e
oul# be a $oo# obser%er u!less he )as a! ati%e theori+er', a!# a$ai!0 'Ho) o## it is that
a!yo!e shoul# !ot see that all obser%atio! 'ust be for or a$ai!st so'e %ie) if it is to be of
a!y ser%ie(' 74I8 I a' stressi!$ this poi!t beause sie!tists a#heri!$ to the positi%ist
tra#itio! take a per%erse pri#e i! seei!$ the'sel%es i! the role of ra$"pikers i! the #ustbi!
of 'e'pirial #ata' "" u!a)are that e%e! the art of ra$"piki!$ is $ui#e# by i!tuitio!(
Ho)& the!& #i# <ar)i! beo'e a! e%olutio!istE The a!s)er is i! the !otebooks for 4FAO"F&
)ritte! after his retur!( The fi%e years spe!t o! the *ea$le ha# tau$ht hi' a )ealth of
lesso!s about li%i!$ a!# e-ti!t speies& a!# about the $ra#ual sha#i!$ of o!e speies i!to
a!other( :hile the %oya$e laste# he #i# !ot #ra) a!y o!sious o!lusio!s fro' this,
'uh later he )rote that althou$h '%a$ue #oubts oasio!ally flitte#' aross his 'i!#& he
still belie%e#& )hile o! the %oya$e& i! the #otri!e of the i''utability of all speies( 74@8
Bet the rih e-perie!es of those fi%e years 'ust ha%e su!k i!& to$ether )ith the '%a$ue
#oubts'( :he!& o! his retur!& he rea# =a'ark a!# other sta!#ar# )orks o! e%olutio!& the
see#s be$a! to $er'i!ate& the au'ulate# fats be$a! to )hirl throu$h his hea#& the!
arra!$e the'sel%es i!to a 'ea!i!$ful patter!( The !otebooks start )ith the #ra)i!$ of
a!alo$ies bet)ee! i!#i%i#uals a!# )hole speies0
If 7the8 i!#i%i#ual a!!ot propa$ate he has !o issue "" so )ith speies( If speies $e!erate
other speies& their rae is !ot utterly ut off "" other)ise all #ie( Absolute k!o)le#$e that
speies #ie a!# others replae the'( ( ( ( The per'a!e!t %ariatio!s pro#ue# by o!fi!e#
bree#i!$ a!# ha!$i!$ iru'sta!es are o!ti!ue# a!# pro#ue# aor#i!$ to the
a#aptatio! 7to8 suh iru'sta!es a!# therefore ( ( ( #eath of speies is a o!se/ue!e ( ( (
of !o!"a#aptatio! 7to8 iru'sta!es( If )e hoose to let o!.eture ru! )il#& the! a!i'als&
our fello) brethre! i! pai!& #isease& #eath& sufferi!$ a!# fa'i!e "" our sla%es i! the 'ost
laborious )orks& our o'pa!io!s i! our a'use'e!ts "" they 'ay partake our ori$i! i! o!e
o''o! a!estor "" )e 'ay be all 'elte# a)ay( ( ( ( Or$a!i+e# bei!$s represe!t 7a8 tree
irre$ularly bra!he# ( ( ( 7This is probably a! eho of =a'ark's 'bra!hi!$ series
irre$ularly $ra#e#'(8 speies aor#i!$ to =a'ark #isappear as olletio!s 'a#e perfet( If
all 'e! )ere #ea#& the! 'o!keys 'ay 'ake 'e!& 'e! 'ake a!$els( =et 'a! %isit ora!$"
outa!$ i! #o'estiatio!& hear e-pressi%e )hi!e& see its i!telli$e!e )he! spoke!& as if it
u!#erstoo# e%ery )or# ( ( ( see its affetio! to those it k!o)s& see its passio! a!# ra$e&
sulki!ess a!# ( ( ( #espair, let hi' look at sa%a$e& roasti!$ his pare!t& !ake#& artless& !ot
i'pro%i!$ yet i'pro%able, a!# the! let hi' #are to boast of his prou# pre"e'i!e!e( >a!
i! his arro$a!e thi!ks hi'self a $reat )ork& )orthy the i!terpositio! of a #eity( >ore
hu'ble a!# I belie%e true to o!si#er hi' reate# fro' a!i'als(
*y !o) he is fully o''itte#( >oreo%er 1after all& he is o!ly t)e!ty"ei$ht2 he sees hi'self
i! the future role of a hero a!# possible 'artyr0
>e!tio! perseutio! of early astro!o'ers( The! a## hief $oo# of i!#i%i#ual sie!tifi
'e! is to push their sie!e a fe) years i! a#%a!e of their a$e 1#iffere!tly fro' literary
'e!2( >ust re'e'ber that if they belie%e a!# #o !ot ope!ly a%o) their belief& they #o as
'uh to retar#(
That )as easily sai#& but i! fat <ar)i! #i# retar# the publiatio! of his theory by t)e!ty
years& u!til his ha!# )as fore#( The reaso!s )ere hro!i ill!ess& other pressi!$ )ork&
a!#& i! his o)! )or#s0 'I )as so a!-ious to a%oi# pre.u#ie& that I #eter'i!e# !ot for so'e
ti'e to )rite e%e! the briefest sketh of it(' To ou!terat 'pre.u#ie' he ha# to asse'ble a!#
buil# 'assi%e pillars of fat i! support of the sle!#er bri#$e of his theory( For& o!trary to
the pious assertio!s i! the prefae& the bri#$e ha# o'e first a!# the pillars after)ar#s "" as
)as !early al)ays the ase i! the history of sie!tifi thou$ht( The result pro%e# that this
autio! )as .ustifie#( :ithout those pillars& asse'ble# )ith heroi patie!e a!# effort& the
bri#$e )oul# ha%e ollapse# i! the e!sui!$ stor'( Here is o!e of the ases )here the
proess of elaboratio!& %erifiatio!& a!# o!fir'atio! "" the lo!$ #o!key")ork follo)i!$
the brief flash of i!si$ht "" is 'ore #eisi%e tha! the #iso%ery itself( That is )hy <ar)i! is
re'e'bere#& )hereas :allae& )ho 'a#e the sa'e #iso%ery& is all but for$otte!(
;i%e! the lo!$ li!e of e%olutio!ists& fro' A!a-i'a!#er to Charles's o)! $ra!#father
Eras'us& )herei! lies <ar)i!'s $reat!ess& the ori$i!ality of his o!tributio!E I! piki!$ up&
o!e 'i$ht say& the #is.oi!te# threa#s& plaiti!$ the' i!to a brai#& a!# the! )ea%i!$ a!
e!or'ous arpet arou!# it( The 'ai! threa# )as the e%olutio!ist's re#o that the %arious
speies i! the a!i'al a!# %e$etable ki!$#o' 'ha# !ot bee! i!#epe!#e!tly reate#& but ha#
#ese!#e#& like %arieties& fro' other speies'( 74O8 No) this #otri!e #ispose# of the i#ea of
the Creator putti!$ #o)! separately the first serpe!t& $iraffe a!# )alrus as rea#y"'a#e
pro#uts o! the earth, but it $a%e !o e-pla!atio! of the reasons )hih ause# the o''o!
a!estor to tra!sfor' itself $ra#ually i!to serpe!ts& )alruses& a!# $iraffes( O!ly =a'ark
ha# atte'pte# to pro%i#e a o'prehe!si%e reaso! for e%olutio! i! his four 'la)s'( They sai#&
i! esse!e& that a! a!i'al's physial harateristis a!# partiularities of beha%iour are
shape# by its needs& that is& by a#aptatio! to its !atural e!%iro!'e!t, that speiali+e# or$a!s
$ro) a!# #eli!e i! proportio! to their use or #isuse, a!# that these a#apti%e ha!$es )hih
the a!i'al a/uires i! its lifeti'e are inherited by its offspri!$(
Co!trary to popular belief& <ar)i! ha# !o ob.etio! a$ai!st the last poi!t& the 'i!herita!e
of a/uire# harateristis' "" #erie# as a 'ortal heresy by !eo"<ar)i!ia!s( O! the
o!trary& i! his )ariations of 3nimals and Plants under :omestication& a!# i! the later
e#itio!s of the Origin& he $a%e a series of e-a'ples of )hat he belie%e# to be i!herite#
harateristis i! the offspri!$& #ue to a#apti%e ha!$es i! their a!estors( *ut he refuse# to
aept suh #iret a#aptatio!s as the o!ly& or e%e! the 'ai! ause of e%olutio!& beause the
e%i#e!e see'e# to speak a$ai!st it( E%i#e!e sho)e# that a $reat %ariety of speies li%e#
u!#er i#e!tial e!%iro!'e!tal o!#itio!s, a!# %ie %ersa& that the sa'e speies oul# be
fou!# u!#er )i#ely %aryi!$ o!#itio!s( If speies e%ol%e#& as =a'ark's theory propose#&
by #iret a#aptatio!s to the e!%iro!'e!t& the! their %ariety re'ai!e# u!e-plai!e#(
E%olutio! )as a fat, but )hat ause# itE :hat )as the !ature of the fore )hih
tra!sfor'e# a!i'als a!# pla!ts i!to !e) shapesE
The seo!# threa# that he pike# up )as of al'ost as tri%ial a !ature for a ou!try"bre#
E!$lish $e!tle'a! as Arhi'e#es's #aily bath0 #o'esti *ree#i!$( The i'pro%e'e!t of
#o'esti bree#s is ahie%e# by the seleti%e 'ati!$ of fa%ourable %ariatio!s0
It see'e# to 'e probable that a areful stu#y of #o'estiate# a!i'als a!# of ulti%ate#
pla!ts )oul# offer the best ha!e of 'aki!$ out this o'pliate# proble'( Nor ha%e I
bee! #isappoi!te#, i! this a!# i! all other perple-i!$ ases I ha%e i!%ariably fou!# that our
k!o)le#$e& i'perfet thou$h it be& of %ariatio! u!#er #o'estiatio!& affor#e# the best a!#
safest lue( I 'ay %e!ture to e-press 'y o!%itio! of the hi$h %alue of suh stu#ies&
althou$h they ha%e bee! %ery o''o!ly !e$lete# by !aturalists( 74F8 1'y italis2
:e 'i$ht say that <ar)i! ha# #iso%ere# 'e%olutio! throu$h artifiial seletio!'(
I!i#e!tally the #iso%ery is a$ai! !ot /uite as ori$i!al as the last se!te!e 'i$ht su$$est(
<ar)i!'s !otebooks of that perio# sho) that he ha# bee! rea#i!$ a!# po!#eri!$ =a'ark,
a!# t)e!ty years earlier& i! his Philosophie Eoologi+ue& =a'ark ha# )ritte!0
:hat !ature #oes i! the ourse of lo!$ perio#s )e #o e%ery #ay )he! )e su##e!ly ha!$e
the e!%iro!'e!t i! )hih so'e speies of li%i!$ pla!ts is situate# ( ( ( :here i! !ature #o
)e fi!# our abba$es& lettues& et(& i! the sa'e state as i! our kithe! $ar#e!sE A!# is !ot
the ase the sa'e )ith re$ar# to 'a!y a!i'als )hih ha%e bee! altere# or $rea#y 'o#ifie#
by #o'estiatio!E 7458
:hether <ar)i! rea# this passa$e fro' =a'ark& or si'ilar passa$es& )e #o !ot k!o)(
*ut the /uestio! is irrele%a!t e-ept for historia!s )ho speiali+e i! priority lai's( At a!y
rate& <ar)i! !o) set out to ollet fats about #o'esti bree#i!$ 'patie!tly a!#
i!#isri'!ately'& !ot o!ly fro' teh!ial .our!als but fro' 'skilful bree#ers a!# $ar#e!ers'(
A $reat !u'ber of the 'fats' )ere spurious& a!# so'e of his theori+i!$s )ere as )il# a!#
fa!tasti as Kepler's speulatio!s o! the broo'"like s)eepi!$ fore e'a!ati!$ fro' the
su!0
The at ha# its tail ut off at Shre)sbury a!# its kitte!s ha# all short tails, but o!e a little
lo!$er tha! the rest, they all #ie#( She ha# kitte!s before a!# after)ar#s )ith tails( >y
father says o! authority of >r( :y!!e& the bith's offspri!$ is affete# by pre%ious
'arria$es )ith i'pure bree# ( ( ( <r( S'ith says he is ertai! that )he! )hite 'e! a!#
Hotte!tots or Ne$roes ross at Cape of ;oo# Hope& the hil#re! a!!ot be 'a#e
i!ter'e#iate( The first hil#re! partake 'ore of the 'other& the later o!es of the father(
I! his book o! )ariations of 3nimals and Plants under :omestication )e are further
i!for'e# that a o) ha%i!$ lost its hor! o)i!$ to a! i!fete# )ou!#& $a%e birth 'to three
al%es& eah )ith a s'all bo!y lu'p i! plae of a hor!'(
A o!te'porary biolo$ist has o''e!te# o! <ar)i!'s 'a'iable re#ulity'( 79C8 It is a
harater trait )hih he share# )ith Tyho& Kepler& Freu#& Pasteur& a!# a lar$e !u'ber of
other $reat sie!tists( Er!est ?o!es 7948 re'arke# i! a! essay about Freu# that reati%e
$e!ius see's to be a 'i-ture of septiis' a!# !aQ%etT septiis' re$ar#i!$ the #o$'as
i'plie# i! tra#itio!al 'o#es of thou$ht& o'bi!e# )ith the )illi!$!ess of a )i#e"ope!
'i!# to o!si#er far"fethe# theories( <ar)i! hi'self& as o!e of his bio$raphers re'arke#&
')as able to $i%e ulti'ate a!s)ers beause he aske# ulti'ate /uestio!s( His ollea$ues& the
syste'ati+ers& k!e) 'ore tha! he about partiular speies a!# %arieties& o'parati%e
a!ato'y a!# 'orpholo$y( *ut they ha# #eliberately eshe)e# suh ulti'ate /uestio!s as
the patter! of reatio!& or the reaso!s for a!y partiular for'& o! the $rou!#s that these
)ere !ot the proper sub.ets of sie!e( <ar)i!& u!i!hibite# by these restritio!s& oul#
ra!$e 'ore )i#ely a!# #eeply i!to the 'ysteries of Nature( ( ( ( It )as )ith the sharp eyes
of the pri'iti%e& the ope! 'i!# of the i!!oe!t& that he looke# at his sub.et& #ari!$ to ask
/uestio!s that his 'ore lear!e# a!# sophistiate# ollea$ues oul# !ot ha%e thou$ht to ask'
1Hi''elfarb2( 7998
Ho)e%er& the stu#y of #o'esti bree#i!$ le# i!to a!other ul"#e"sa, for& i! the ase of
#o'esti a!i'als& man ats as the a$e!t of seletio!, but )ho or )hat selets the fa%ourable
%ariatio!s for bree#i!$ i! the ase of u!#o'estiate# a!i'als or pla!tsE 'Ho) seletio!
oul# be applie# to or$a!is's li%i!$ i! a state of !ature re'ai!e# for so'e ti'e a 'ystery
to 'e('
The #ea#lok laste# a year a!# three 'o!ths( He trie# a !u'ber of hypotheses& but !o!e of
the' )orke#( He toye# )ith the i#ea of so'e u!i%ersal la)& aor#i!$ to )hih speies
)ere bor!& 'ature#& a!# #ie#& .ust as i!#i%i#uals #o( 'There is !othi!$ stra!$er i! the #eath
of a speies tha! i! the #eath of i!#i%i#uals(' The! he assu'e#& by a per%erse a!alo$y& that
si!e !othi!$ is preser%e# of a! i!#i%i#ual )ho #ies )ithout lea%i!$ offspri!$& so a speies
too )ill #ie out u!less it $i%es rise to a!other speies( *ut they )ere )ro!$ $uesses& a!# his
thou$hts kept ru!!i!$ i! irles i! the bloke# 'atri- "" as Sulta!'s #i# u!til his eyes fell o!
the stik(
I! <ar)i!'s ase the stik )as >althus's NA! Essay o! the Pri!iple of Populatio!(N It ha#
bee! publishe# i! 4O5O "" 'ore tha! forty years earlier( :he! <ar)i! rea# the essay ""
a'o!$ other books )hih he rea# 'for a'use'e!t'& as he sai# "" he sa) i! a flash the
'!atural seletor'& the ausati%e a$e!t of e%olutio!& for )hih he ha# bee! searhi!$0
As 'a!y 'ore i!#i%i#uals of eah speies are bor! tha! a! possibly sur%i%e, a!# as
o!se/ue!tly there is a fre/ue!tly reurri!$ stru$$le for e-iste!e& it follo)s that a!y bei!$&
if it %ary e%er so sli$htly i! a 'a!!er profitable to itself ( ( ( )ill ha%e a better ha!e of
sur%i%al& a!# thus be !aturally selete# 1<ar)i!'s italis2( Thus fa%ourable %ariatio!s )oul#
te!# to be preser%e#& a!# u!fa%ourable o!es to be #estroye#( Here& the!& I ha# at last $ot a
theory by )hih to )ork( 79A8
He ha# fou!# the thir# threa#( No) the patter! of the theory )as o'plete0 )hat re'ai!e#
to be #o!e )as its elaboratio! "" the )ea%i!$ of the hu$e arpet )hih took hi' 'ost of the
rest of his life(
The o## thi!$ about the story is "" as others ha%e poi!te# out "" that <ar)i! ha#
o'pletely 'isu!#erstoo# >althus( The stru$$le for e-iste!e& i! )hih <ar)i! #iso%ere#
the ausati%e 'eha!is' of e%olutio!ary improvement& >althus hi'self ha# re$ar#e# as a
ause of 'isery& frustratio!& a!# decline( The i!rease of populatio! )as for >althus a!
u!'iti$ate# e%il a!# a! obstale to pro$ress( The essay ha# atually bee! )ritte! as a
pole'i a$ai!st Co!#oret a!# ;o#)i!& )ho ha# ar$ue# the perfetability of the hu'a!
speies( <o'esti bree#i!$& >althus retorte#& oul# i'pro%e a!i'als a!# pla!ts o!ly to a
%ery li'ite# #e$ree, but a ar!atio! oul# !e%er be 'a#e to reah the si+e of a abba$e& a!#
si'ilar li'its )ere set to hu'a! pro$ress( Thus the stru$$le for e-iste!e )as for >althus
!ot the )hipha!# of e%olutio!& but a sour$e( :hat <ar)i! fou!# i! >althus's essay he ha#
rea# i!to it hi'self "" as Kepler ha# rea# his broo's a!# pla!etary lo#esto!es i!to the skies(
E%e! o##er is the fat that :allae arri%e# at the sa'e #iso%ery also by )ay of >althus(
Alfre# Russell :allae )as e%e! 'ore $ullible& a!# at the be$i!!i!$ of his areer e%e!
'ore of a #iletta!te tha! the you!$ <ar)i!( He )as fourtee! years you!$er tha! <ar)i!,
he ha# bee! e#uate# at a! i!#iffere!t $ra''ar shool a!# lear!e# the tra#e of la!#"
sur%eyi!$( *efore he took up that oupatio!& he ha# sho)! !o i!terest i! !ature& a!# 'it
took a!other four years for hi' to a#%a!e beyo!# the reo$!itio! of rose a!# butterup&
a!# to lear!& fro' a shilli!$ booklet publishe# by the Soiety for the <iffusio! of Useful
K!o)le#$e& the ele'e!tary lassifiatio!s of bota!y'( 7968
At t)e!ty"o!e he bea'e a shoolteaher of sorts( I! that year he rea#& a'o!$ other books&
<ar)i!'s Fournal of a 9aturalist/s )oyage on the 7eagle a!# >althus's NEssay o!
Populatio!(N *ut his 'i!# #i# !ot lik( He struk up a frie!#ship )ith the e!ty'olo$ist
He!ry :alter *ates a!# bea'e a! e-pert olletor of beetles( This le# hi' to speulate
about 'the al'ost i!fi!ite !u'ber of speifi for's 7a'o!$ beetles8& the e!#less
'o#ifiatio!s of struture& shape& olour& a!# surfae"'arki!$s ( ( ( a!# their i!!u'erable
a#aptatio!s to #i%erse e!%iro!'e!ts', he )as 'bitte! by the passio! for speies' 79I8 a!# the
seret of their ori$i!( =ike <ar)i! he bea'e a! e%olutio!ist by a! at of faith, like <ar)i!
he )as searhi!$ for its ause, like <ar)i! he e'barke# "" )ith his frie!# *ates "" o! a
!aturalist e-pe#itio! to ollet i!sets& shells& bir#s& a!# a!i'als, like <ar)i! he )rote a
book about it 1*ravels on the 3ma0on and !io 9egro2(
The e-pe#itio! laste# four years, t)o years later& i! 4FI6& he publishe# a! artile i! a
sie!tifi .our!al i! )hih he postulate# that 'e%ery speies has o'e i!to e-iste!e
oi!i#e!t both i! spae a!# ti'e )ith a pre"e-isti!$& losely allie# speies', all speies
to$ether thus for'e# a 'bra!hi!$ tree'( *ut& like <ar)i! earlier o!& he #i# !ot k!o) )hat
'a#e the tree $ro)0 'the /uestio! of how ha!$es of speies oul# ha%e bee! brou$ht about
)as rarely out of 'y 'i!#'( <ar)i! rea# the paper a!# )rote to :allae that he a$ree# )ith
'al'ost e%ery )or#' i! it, he a##e# that he hi'self ha# bee! )orki!$ for t)e!ty years o! the
proble' a!# ha# a '#isti!t a!# ta!$ible i#ea of its solutio!'(
O!e year later the sa'e '#isti!t a!# ta!$ible i#ea' a'e to :allae( I! his autobio$raphy
:allae #esribe# ho) he )as 'lyi!$ 'uffle# i! bla!kets i! the ol# fit of a se%ere attak of
i!ter'itte!t fe%er at Ter!ate' 1a! isla!# !ear Ne) ;ui!ea2 )he! he su##e!ly re'e'bere#
>althus's essay o! populatio! )hih he ha# rea# 't)el%e or 'ore years earlier'( 79@8
The effet )as a!alo$ous to that of fritio! upo! the speially prepare# 'ath& pro#ui!$
that flash of i!si$ht )hih le# i''e#iately to the si'ple but u!i%ersal la) of the 'sur%i%al
of the fittest' ( ( ( 'It su##e!ly flashe# upo! 'e that this self"atio! proess 7i(e( the stru$$le
for e-iste!e8 would necessarily improve the race& beause i! e%ery $e!eratio! the i!ferior
)oul# i!e%itably be kille# off a!# the superior )oul# re'ai! "" that is& the fittest would
survive( The 'ore I thou$ht o%er it the 'ore I bea'e o!%i!e# that I ha# at le!$th fou!#
the lo!$"sou$ht"for la) of !ature that sol%e# the proble' of the ori$i! of the speies(' 79O8
I! the ourse of the !e-t t)o e%e!i!$s& 'i! a fe) fe%erish hours'& he put his theory i!to a
paper of four thousa!# )or#s a!# se!t it off to <ar)i!& i! the pleasa!t belief that it )oul#
be a surprise to hi' "" si!e <ar)i! ha# !ot yet publishe# his o)! theory& althou$h he ha#
put it o! paper years earlier i! se%eral %ersio!s a!# sho)! it to his frie!#s(
'I !e%er sa) a 'ore striki!$ oi!i#e!e'& <ar)i! )rote( 'If :allae ha# 'y 'a!usript
sketh )ritte! out i! 4F6A& he oul# !ot ha%e 'a#e a better short abstrat('
=ukily& both :allae a!# <ar)i! ate# )ith a $e!erosity a!# reaso!able!ess rare i! the
a!!als of sie!e, the result )as the prese!tatio! o! 4 ?uly 4F6F of a .oi!t 'e'oir by
<ar)i! a!# :allae to the =i!!ea! Soiety& u!#er the title 'O! the Te!#e!y of speies to
for' 3arieties, a!# o! the Perpetuatio! of 3arieties a!# speies by Natural >ea!s of
Seletio!'( Neither author )as prese!t, :allae )as o%erseas& <ar)i! ill i! be#( :he! the
paper )as rea# out there )as !o #isussio! a!# !o si$! of i!terest( At the e!# of the year
the Presi#e!t of the soiety sai# i! his a!!ual report0 'The year )hih has passe# ( ( ( has
!ot& i!#ee#& bee! 'arke# by a!y of those striki!$ #iso%eries )hih at o!e re%olutio!i+e&
so to speak& the #epart'e!t of sie!e o! )hih they bear(' 79F8 I! No%e'ber !e-t year *he
Origin of .pecies )as publishe#& a!# o!ly the! #i# the stor' break(
Thou$h both 'e! )ere o!sta!tly aili!$ fro' real a!# perhaps also fro' i'a$i!ary
#iseases& <ar)i! li%e# to be se%e!ty"three& a!# :allae !i!ety( Thou$h they #iffere# o!
so'e poi!ts of theory a!# thou$h their oppo!e!ts trie# to play the' out a$ai!st eah other&
they 'a!a$e# to re'ai! life"lo!$ frie!#s, to)ar#s the e!# of his life <ar)i! obtai!e# a
pe!sio! for :allae fro' >r( ;la#sto!e& a!# :allae )as o!e of <ar)i!'s pall"bearers( At
the fiftieth a!!i%ersary& i! 45C5& o''e'orati!$ the .oi!t publiatio! of the <ar)i!"
:allae papers& :allae 'o#estly #elare# that their relati%e o!tributio!s 'oul# be .ustly
esti'ate# as the proportio! of t)e!ty years to o!e )eek' 7958 "" )hih )as a! e-a$$eratio!&
as :allae's later )orks& partiularly the 'Co!tributio!s' a!# '<ar)i!is'' )ere of
o!si#erable i'porta!e(
The psyholo$ially fasi!ati!$ aspet of the story is that the sa'e bisoiati%e proess )as
tri$$ere# off i! <ar)i!'s ase by rea#i!$ >althus& i! :allae's by the burie# 'e'ory of
>althus& )ho' he ha# rea# 'a!y years earlier& poppi!$ i!to o!sious!ess at a fe%erish
'o'e!t( Thus <ar)i!'s #iso%ery strikes o!e as 'ore ratio!al& :allae's as 'ore #ra'ati
a!# bi+arre& a!# this is i! keepi!$ )ith the harater of the t)o 'e!( If <ar)i! ha# 'ore
patie!e a!# larity of 'i!#& :allae ha# 'ore fa!tasy a!# perhaps e%e! 'ore #epth( His
re'ark that seletio! throu$h sur%i%al of the fittest )as a 'self"ati!$ proess' a!tiipate#
the o!ept of !e$ati%e fee#"bak( His o!%itio! that the rise of or$a!i life& the rise of
o!sious!ess& a!# the rise of 'a! represe!t '.u'ps' i! the e%olutio!ary series& #ue to so'e
'u!k!o)! reality' )hih has to be a##e# to the 'eha!ial operatio! of !atural seletio!&
ha# a reli$ious fla%our, yet his o!lusio! that ''a! a!# his rise !o) appear short i! ti'e ""
e-plosi%ely short' has bee! o!fir'e# by o!te'porary a!thropolo$y( If <ar)i! ha# a!
'a'iable re#ulity'& :allae belie%e#& a'o!$ other thi!$s& i! phre!olo$y a!# i! the ru#er
for's of 'es'eris' a!# spiritualis'( No )o!#er he ha# to #i%e i!to the #epths of his
u!o!sious 'i!# to bri!$ up the sa'e trophy )hih <ar)i! spie# #rifti!$ o! the surfae&
a!# seure# )ith a boathook(
That both rea# >althus is !ot 'uh of a oi!i#e!e as his essay )as )ell k!o)! a!#
#isusse# at the ti'e, a!# ha# it !ot bee! >althus& they oul# ha%e e-trate# the sa'e i#ea
fro' other soures "" fro' Eras'us <ar)i!& for i!sta!e& or fro' ertai! passa$es i!
=a'ark( The ti'e )as ripe, 'it )as !ot the oi!i#e!e of #iso%ery that is surprisi!$ but
rather the fat that the oi!i#e!e )as so lo!$ #elaye#'( 7AC8 This re'ark by o!e of
<ar)i!'s bio$rapher's is !ot base# o! hi!#"si$ht& but o! the opi!io! of <ar)i!'s frie!#s a!#
o!te'potaries0
'Ho) e-tre'ely stupi# !ot to ha%e thou$ht of that&' )as Hu-ley's first reatio!& refleti!$
that 'Colu'bus' o'pa!io!s ha# probably felt the sa'e )ay )he! he 'a#e the e$$ sta!#
o! e!#'( The sa'e thou$ht su$$este# itself to the or!itholo$ist Alfre# Ne)to!& )ho #i# !ot
k!o) )hether to be ''ore %e-e# at the solutio! !ot ha%i!$ ourre# to 'e& tha! please#
that it ha# bee! fou!# at all'& partiularly si!e it )as 'a perfetly si'ple solutio!' of the
proble' that ha# bee! pla$ui!$ hi' for 'o!ths( ( ( ( >a!y of <ar)i!'s frie!#s 'ust ha%e
felt as Hu-ley #i# ( ( ( a!# 'a!y of his e!e'ies 'ust ha%e a$ree# )ith Sa'uel *utler0
'*uffo! pla!te#& Eras'us <ar)i! a!# =a'ark )atere#& but it )as >r( <ar)i! )ho sai#
Nthat fruit is ripeN& a!# shook it i!to his lap(' 7A48
3II
THINKIN; ASI<E
=i'its of =o$i
I! a! ol# 3lchemist/s !osarium& )hose author I ha%e for$otte!& I o!e sa) t)o piees of
a#%ie for fi!#i!$ the Philosopher's Sto!e I pri!te# si#e by si#e0
The Sto!e a! o!ly be fou!# )he! the searh lies hea%ily o! the searher( "" Thou seekest
har# a!# fi!#est !ot( Seek !ot a!# thou )ilst fi!#(
The i!trospeti%e reports of artists a!# sie!tists o! their soures of i!spiratio! a!#
'etho#s of )ork ofte! #isplay the sa'e o!tra#itio!( 'Saturate yourself throu$h a!#
throu$h )ith your sub.et ( ( ( a!# )ait' )as =loy# >or$a!'s a#%ie( 'Cha!e o!ly fa%ours
i!%e!tio! for 'i!#s )hih are prepare# for #iso%eries by pate!t stu#y a!# perse%eri!$
efforts(' This )as sai# by Pasteur& a!# his 'ea!i!$ $oes here beyo!# )hat I ha%e alle# the
fator of 'ripe!ess'0 he see's to re$ar# ha!e as a ki!# of le$iti'ate re)ar#& ausally
relate# to the effort "" a! al'ost 'ysti o!eptio!( Souriau's fa'ous 'to i!%e!t you 'ust
thi!k asi#e' "" pour inventer il faut penser 4 cGt; /uote# )ith appro%al by Poi!arT& poi!ts
i! the sa'e #iretio!( The o!se!sus& at least a'o!$ 'athe'atiia!s& see's to be that if
you stri%e har# e!ou$h to $et to I!#ia you are bou!# to $et to so'e A'eria or other( 'O!e
so'eti'es fi!#s&' Fle'i!$ o!e sai#& ')hat o!e is !ot looki!$ for( For i!sta!e& the
teh!iia! )ho set out to fi!# a )ay to sy!hro!i+e the rate of fire of a 'ahi!e"$u! )ith
the re%olutio!s of a! air"sre) #iso%ere# a! e-elle!t )ay of i'itati!$ the lo)i!$ of a
o)('
The history of #iso%ery is full of suh arri%als at u!e-pete# #esti!atio!s& 'a!# arri%als at
the ri$ht #esti!atio! by the )ro!$ boat( Kepler set out to pro%e that the u!i%erse is built o!
si'ple $eo'etrial or 'usial pri!iples "" a!# fou!# that it )as built 'o! a artloa# of
#u!$'0 the ellipti orbits( He ekbrate# his #iso%ery )ith a /uotatio! fro' 3ir$il's
6clogues )here Truth appears as a teasi!$ hussy0 you hase after her u!til you al'ost
ollapse, the! )he! you ha%e $i%e! up she s'ili!$ly surre!#ers(
At ti'es o!e al'ost suspets that all these refere!es to 'ysterious i!spiratio!s a!# su##e!
flashes of i!si$ht& all these protestatio!s about 'I ha%e !o i#ea ho) I #i# it' a!# 5e ne
cherche pas$ 5e trouve& 'ay ste' fro' a! u!o!sious #esire to appear as the pri%ile$e#
'aster of so'e Sorati #e'o!( Bet the e%i#e!e for lar$e hu!ks of irratio!ality
e'be##e# i! the reati%e proess& !ot o!ly i! art 1)here )e are rea#y to aept it2 but i! the
e-at sie!es as )ell& a!!ot be #ispute#, a!# it is partiularly o!spiuous i! the 'ost
ratio!al of all sie!es0 'athe'atis a!# 'athe'atial physis( Fro' Kepler a!# <esartes
to Pla!k a!# #e *ro$lie& the )orki!$ 'etho#s of the $reat pio!eers see' to ha%e bee!
i!spire# by Ei!stei!'s .i!$le& i'pro%ise# for the be!efit of a! u!k!o)! la#y )ho aske# hi'
for a #e#iatio! o! a photo$raph0
A thou$ht that so'eti'es 'akes 'e ha+y0 A' I "" or are the others ra+yE
I! the popular i'a$i!atio! these 'e! of sie!e appear as sober ie"ol# lo$iia!s&
eletro!i brai!s 'ou!te# o! #ry stiks( *ut if o!e )ere sho)! a! a!tholo$y of typial
e-trats fro' their letters a!# autobio$raphies )ith !o !a'es 'e!tio!e#& a!# the! aske# to
$uess their professio!& the likeliest a!s)er )oul# be0 a bu!h of poets or 'usiia!s of a
rather ro'a!tially !aQ%e ki!#( The the'es that re%erberate throu$h their i!ti'ate )riti!$s
are0 the belittli!$ of lo$i a!# #e#uti%e reaso!i!$ 1e-ept for %erifiatio! after the at2,
horror of the o!e"trak 'i!#, #istrust of too 'uh o!siste!y 1'O!e shoul# arry o!e's
theories li$htly'& )rote Tithe!er2, septiis' re$ar#i!$ all"too"o!sious thi!ki!$ 1'It
see's to 'e that )hat you all full o!sious!ess is a li'it ase )hih a! !e%er be fully
ao'plishe#( This see's to 'e o!!ete# )ith the fat alle# the !arro)!ess of
o!sious!ess E!$e #es *e)usstsei!s&' "" Ei!stei!2( This septial reser%e is o'pe!sate#
by trust i! i!tuitio! a!# i! u!o!sious $ui#a!e by /uasi"reli$ious or by aestheti
se!sibilities( 'I Ca!!ot belie%e that ;o# plays #ie )ith the )orl#&' Ei!stei! repeate# o!
se%eral oasio!s& re.eti!$ the te!#e!y i! 'o#er! physis to replae ausality by
statistial probabilities( 'There is a sie!titi taste .ust as there is a literary or artisti o!e'&
)rote Re!a!( Ha#a'ar# e'phasi+e# that the 'athe'atiia! is i! 'ost ases u!able to
foresee )hether a te!tati%e li!e of attak )ill be suessful, but he has a 'se!se of beauty
that a! i!for' us& a!# I a!!ot see a!ythi!$ else allo)i!$ us to foresee( This is
u!#oubte#ly the )ay the ;reek $eo'eters thou$ht )he! they i!%esti$ate# the ellipse&
beause there is !o other o!ei%able )ay(' Poi!arT )as e/ually speifi0 'It 'ay be
surprisi!$ to see e'otio!al se!sibility i!%oke# \ propos of 'athe'atial #e'o!stratio!s
)hih& it )oul# see'& a! i!terest o!ly the i!tellet( This )oul# be to for$et the feeli!$ of
'athe'atial beauty& of the har'o!y of !u'bers a!# for's& of $eo'etri ele$a!e( This is
a true aestheti feeli!$ that all real 'athe'atiia!s k!o)( The useful o'bi!atio!s 7of
i#eas8 are preisely the 'ost beautiful& I 'ea! those best able to har' this speial
se!sibility(' >a- Pla!k& the father of /ua!tu' theory& )rote i! his autobio$raphy that the
pio!eer sie!tist 'ust ha%e 'a %i%i# i!tuiti%e i'a$i!atio! for !e) i#eas !ot $e!erate# by
#e#utio!& but by artistically reati%e i'a$i!atio!'( The /uotatio!s oul# be o!ti!ue#
i!#efi!itely& yet I a!!ot reall a!y e-pliit state'e!t to the o!trary by a!y e'i!e!t
'athe'atiia! or physiist(
Here& the!& is the appare!t para#o-( A bra!h of k!o)le#$e )hih operates pre#o'i!a!tly
)ith abstrat sy'bols& )hose e!tire ratio!ale a!# re#o are ob.eti%ity& %erifiability&
lo$iality& tur!s out to be #epe!#e!t o! 'e!tal proesses )hih are sub.eti%e& irratio!al&
a!# %erifiable o!ly after the e%e!t(
The U!o!sious before Freu#
The appare!t para#o- arises out of ertai! 'iso!eptio!s about the proess of thi!ki!$
a!# about the 'etho#s of sie!e( *oth ori$i!ate# i! the A$e of E!li$hte!'e!t& a!#
har#e!e# i!to a #o$'ati ree# #uri!$ the !i!etee!th e!tury, the rapi# e-pa!sio! of the
area of k!o)le#$e e-ate# its prie i! a te'porary loss of #epth( The #epth"psyholo$ies of
'e! like Niet+she& Freu#& a!# ?u!$ bore throu$h the shallo) rust& but eah #ro%e its
shafts i!to o!e partiular #iretio! i!habite# by #e'o!s of a partiular bree#( The o!ept
of the u!o!sious a/uire# a 'ystial halo a!# a li!ial o#our, it bea'e a ki!# of
Pa!#ora's bo-& )hih septial psyholo$ists asserte# to be e'pty& )hile to others it ser%e#
as a sta$e"'a$iia!'s tru!k& e/uippe# )ith a trap#oor u!#er!eath a!# seret #ra)ers( A
$oo# 'a!y of these %iole!t reatio!s ori$i!ate# i! the 'istake! belief that 'the u!o!sious
'i!#' )as& like the Relati%ity Theory a!# sub"ato'i physis& a! i!%e!tio! of the t)e!tieth
e!tury(
I! fat& ho)e%er& the u!o!sious )as !o 'ore i!%e!te# by Freu# tha! e%olutio! )as
i!%e!te# by <ar)i!& a!# has a! e/ually i'pressi%e pe#i$ree& reahi!$ bak to a!ti/uity, a
brief histori retrospet 'ay help to see it i! a broa#er perspeti%e a!# a 'ore bala!e#
o!te-t( The lar$er part of the /uotatio!s )hih follo) are take! fro' =( =( :hyte's book
o! *he #nconscious 7efore 1reud 145@92 "" a re'arkable o!tributio! to that !e$lete#
bra!h of historio$raphy& the History of I#eas(
I shall !ot bore the rea#er )ith obsure /uotatio!s fro' the Upa!isha#s& or a!ie!t E$ypt
a!# ;reee( At the #a)! of Christia! Europe the #o'i!a!t i!flue!e )ere the
Neoplato!ists, fore'ost a'o!$ the' Ploti!us& )ho took it for $ra!te# that 'feeli!$s a! be
prese!t )ithout a)are!ess of the''& that 'the abse!e of a o!sious pereptio! is !o proof
of the abse!e of 'e!tal ati%ity'& a!# )ho talke# o!fi#e!tly of a ''irror' i! the 'i!#
)hih& )he! orretly ai'e#& reflets the proesses $oi!$ o! i!si#e it& )he! ai'e# i!
a!other #iretio!& fails to #o so "" but the proess $oes o! all the sa'e( Au$usti!e 'ar%elle#
at 'a!'s i''e!se store of u!o!sious 'e'ories "" 'a sprea#i!$& li'itless roo' )ithi! 'e
"" )ho a! reah its li'itless #epthE'
The k!o)le#$e of u!o!sious 'e!tatio! ha# al)ays bee! there& as a! be sho)! by
/uotatio!s fro' theolo$ia!s like St( Tho'as A/ui!as& 'ystis like ?aob *oeh'e&
physiia!s like Paraelsus& astro!o'ers like Kepler& )riters a!# poets as far apart as <a!te&
Cer%a!tes& Shakespeare& a!# >o!tai$!e( This i! itself is i! !o )ay re'arkable, )hat is
re'arkable is that this k!o)le#$e )as lost #uri!$ the sie!tifi re%olutio!& 'ore
partiularly u!#er the i'pat of its 'ost i!flue!tial philosopher& Re!T <esartes& )ho
flourishe# i! the first half of the se%e!tee!th e!tury(
As 'o#er! physis starte# )ith the Ne)to!ia! re%olutio!& so 'o#er! philosophy starts
)ith )hat o!e 'i$ht all the Cartesia! Catastrophe( The atastrophe o!siste# i! the
splitti!$ up of the )orl# i!to the real's of 'atter a!# 'i!#& a!# the i#e!tifiatio! of ''i!#'
)ith o!sious thi!ki!$( The result of this i#e!tifiatio! )as the shallo) ratio!alis' of
Nl'esprit Cartesie!&N a!# a! i'po%erish'e!t of psyholo$y )hih it took three e!turies to
re'e#y e%e! i! part( *ut it also ha# a further& u!e-pete# o!se/ue!e( To /uote :hyte0
Prior to <esartes a!# his sharp #efi!itio! of the #ualis' there )as !o ause to
o!te'plate the possible e-iste!e of u!o!sious 'e!tality as part of a separate real' of
'i!#( >a!y reli$ious a!# speulati%e thi!kers ha# take! for $ra!te# fators lyi!$ outsi#e
but i!flue!i!$ i''e#iate a)are!ess( ( ( ( U!til a! atte'pt ha# bee! 'a#e 1)ith appare!t
suess2 to hoose a)are!ess as the #efi!i!$ harateristi of 'i!#& there )as !o oasio!
to i!%e!t the i#ea of u!o!sious 'i!# ( ( ( It is o!ly after <esartes that )e fi!#& first the
i#ea a!# the! the ter' 'u!o!sious 'i!#' e!teri!$ Europea! thou$ht( 748 O!ly $ra#ually
#i# the reatio! set i! "" the reali+atio! that 'if there are t)o real's& physial a!# 'e!tal&
a)are!ess a!!ot be take! as the riterio! of 'e!tality 7beause8 the spri!$s of hu'a!
!ature lie i! the u!o!sious ( ( ( as the real' )hih li!ks the 'o'e!ts of hu'a! a)are!ess
)ith the bak$rou!# of or$a!i proesses )ithi! )hih they e'er$e'( 798
A'o!$ the first to take up the u#$els a$ai!st <esartes's 'Co$ito er$o su'' )as the
Ca'bri#$e philosopher Cu#)orth0
( ( ( Those philosophers the'sel%es )ho 'a#e the esse!e of the soul to o!sist i!
o$itatio!& a!# a$ai!& the esse!e of o$itatio! i! lear a!# e-press o!sious!ess& a!!ot
re!#er it i! a!y )ay probable& that the souls of 'e! i! all profou!# sleeps& lethar$ies& a!#
apople-ies ( ( ( are !e%er so 'uh as o!e 'o'e!t )ithout e-pressly o!sious o$itatio!s,
)hih& if they )ere& aor#i!$ to the pri!iples of their philosophy& they 'ust& ipso fato&
ease to ha%e a!y bei!$( ( ( ( It is ertai!& that our hu'a! souls the'sel%es are !ot al)ays
o!sious of )hate%er they ha%e i! the', for e%e! the sleepi!$ $eo'etriia! hath& at that
ti'e& all his $eo'etrial theore's so'e )ay i! hi', as also the sleepi!$ 'usiia!& all his
'usial skills a!# so!$s( ( ( ( :e ha%e all e-perie!e of our #oi!$ 'a!y a!i'al atio!s !o!"
atte!#i!$ly& )hih )e reflet upo! after)ar#s, as& also& that )e ofte! o!ti!ue a lo!$ series
of bo#ily 'otio!s& by a 'ere %irtual i!te!tio! of our 'i!#s& a!# as it )ere by half a
o$itatio!( ( ( ( 7A8
?oh! =oke si#e# )ith <esartes& #elari!$ bol#ly0 'It is i'possible to perei%e )ithout
perei%i!$ that he #oes perei%e(' ?oh! Norris 14@IO"4O442 retorte# )ith e/ual bol#!ess0
:e 'ay ha%e i#eas of )hih )e are !ot o!sious( ( ( ( There are i!fi!itely 'ore i#eas
i'presse# o! our 'i!#s tha! )e a! possibly atte!# to or perei%e( ( ( ( There 'ay be a!
i'pressio! of i#eas )ithout a!y atual pereptio! of the'( 768 This )as )ritte! i! 4@5C(
At about the sa'e ti'e the Earl of Shaftesbury )rote0
O!e )oul# thi!k& there )as !othi!$ easier for us& tha! to k!o) our o)! 'i!#s( ( ( ( *ut our
thou$hts ha%e $e!erally suh a! obsure i'pliit la!$ua$e& that it is the har#est thi!$ i! the
)orl# to 'ake the' speak out #isti!tly( 7I8
=eib!i+ "" Ne)to!'s ri%al as a 'athe'atiia!& a!# <esartes's oppo!e!t as a philosopher ""
trie# to #eter'i!e /ua!titati%e threshol#s of a)are!ess( He a'e to the o!lusio!0
Our lear o!epts are like isla!#s )hih arise abo%e the oea! of obsure o!es( 7@8
:e !o) e!ter the ei$htee!th e!tury( =eib!i+'s o!ept of the u!o!sious fou!# 'a!y
follo)ers i! ;e'a!y& a'o!$ the' Christia! :olff0
=et !o"o!e i'a$i!e that I )oul# .oi! the Cartesia!s i! asserti!$ that !othi!$ a! be i! the
'i!# of )hih it is !ot a)are( That is a pre.u#ie )hih i'pe#es the u!#ersta!#i!$ of the
'i!#( 7O8
=ihte!ber$& a hu!h"bake# $e!ius& satirial )riter& a!# professor of physis at ;[tti!$e!&
re$ar#e# #rea's as a 'ea!s to self"k!o)le#$e& a!# thou$hts as pro#uts of the Id0
It thi!ks& o!e ou$ht to say( :e beo'e a)are of ertai! represe!tatio!s )hih #o !ot
#epe!# o! us, others #epe!# o! us& or at least so )e belie%e, )here is the bou!#aryE O!e
shoul# say& it thi!ks& .ust as o!e says& it rai!s( To say 'o$ito' is alrea#y too 'uh if o!e
tra!slates it by 'I thi!k'(
The sa'e protest is ehoe# by =a'arti!e0 'I !e%er thi!k "" 'y thou$hts thi!k for 'e('
Ka!t is probably the #riest a'o!$ the $reat philosophers "" )ho )oul# ha%e suspete# hi'
a'o!$ the foreru!!ers of Freu#E "" 0
The fiel# of our se!se"pereptio!s a!# se!satio!s& of )hih )e are !ot o!sious& thou$h
)e u!#oubte#ly a! i!fer that )e possess the'& that is& the #ark i#eas i! 'a!& is
i''easurable( The lear o!es i! o!trast o%er i!fi!itely fe) poi!ts )hih lie ope! to
o!sious!ess, so that i! fat o! the $reat 'ap of our spirit o!ly a fe) poi!ts are
illu'i!ate#( 7F8
The ;er'a! physiia! a!# philosopher E( Plat!er "" of )ho' I o!fess !e%er to ha%e
hear# before "" )as& aor#i!$ to :hyte& the first to use the ter' #nbewusstsein&
u!o!sious!ess& a!# to assert that thi!ki!$ is a o!sta!t osillatio! bet)ee! o!sious a!#
u!o!sious proesses0
Co!sious!ess is !o esse!tial part of a! i#ea( I#eas )ith o!sious!ess I all appereptio!s
follo)i!$ =eib!i+, i#eas )ithout o!sious!ess pereptio!s& or #ark i'a$es( The life of the
'i!# is a! u!broke! series of atio!s& a o!ti!uous series of i#eas of both ki!#s( For
appereptio!s alter!ate )ith pereptio!s throu$hout life( I#eas )ith o!sious!ess are ofte!
the psyholo$ial results of i#eas )ithout o!sious!ess( 758
As )e approah the !i!etee!th e!tury& the si!$le %oies $ro) i!to a horus i! praise of the
reati%e faulties of the u!o!sious 'i!#( It is perhaps 'ost au#ible i! ;er'a!y, a'o!$
those )ho .oi! i! are& to 'e!tio! o!ly a fe)& Her#er& Shelli!$& He$el& ;oethe& Fihte(
Here& for i!sta!e& is ;oethe0
>a! a!!ot persist lo!$ i! a o!sious state& he 'ust thro) hi'self bak i!to the
U!o!sious& for his root li%es there( ( ( ( Take for e-a'ple a tale!te# 'usiia!& o'posi!$
a! i'porta!t sore0 o!sious!ess a!# u!o!sious!ess )ill be like )arp a!# )eft( 74C8
?ea!"Paul Rihter& a! outsta!#i!$ !o%elist 1u!fortu!ately little k!o)! i! E!$la!#20
The u!o!sious is really the lar$est real' i! our 'i!#s& a!# .ust o! aou!t of this
u!o!sious!ess it is a! i!!er Afria& )hose u!k!o)! bou!#aries 'ay e-te!# far a)ay(
:hy shoul# e%erythi!$ o'e to o!sious!ess that lies i! the 'i!# si!e& for e-a'ple& that
of )hih it has alrea#y bee! a)are& the )hole $reat real' of 'e'ory& o!ly appears to it
illu'i!ate# i! s'all areas )hile the e!tire re'ai!i!$ )orl# stays i!%isible i! the sha#o)sE
A!# 'ay there !ot be a seo!# half )orl# of our 'e!tal 'oo! )hih !e%er tur!s to)ar#s
o!sious!essE The 'ost po)erful thi!$ i! the poet& )hih blo)s the $oo# a!# the e%il
spirit i!to his )orks& is preisely the u!o!sious( ( ( ( 7448
I( H( Fihte 1a psyholo$ist& so! of the philosopher2 postulate# the e-iste!e of pre%
conscious states0
*e!eath ati%e o!sious!ess there 'ust lie o!sious!ess i! a 'erely pote!tial state& that
is a 'i##le o!#itio! of the 'i!#& )hih thou$h !ot yet o!sious& !o!e the less positi%ely
arries the speifi harater of I!telli$e!e, fro' those o!#itio!s of preo!sious
e-iste!e the true o!sious!ess 'ust be e-plai!e# a!# #e%elope# step by step( 7498
I! Fra!e the Cartesia! spirit sur%i%e# lo!$est "" u!til the seo!# half of the !i!etee!th
e!tury i! fat& )he! Charot a!# his ollea$ues re%olutio!i+e# psyhiatry 1Freu#& at o!e
ti'e& ha# stu#ie# u!#er Charot2( *ut i! E!$la!# the o!ept of the u!o!sious ha# a lo!$
a!# #isti!$uishe# li!e of a!estors& so'e of )ho' I ha%e alrea#y /uote#( Here is Abraha'
Tuker& a! i!flue!tial philosopher& )riti!$ arou!# 4OIC0
( ( ( our 'e!tal or$a!s #o !ot sta!# i#le the 'o'e!t )e ease to e'ploy the'& but o!ti!ue
the 'otio!s )e put i!to the' after they ha%e $o!e out of our si$ht& thereby )orki!$
the'sel%es to a $lib!ess a!# s'ooth!ess a!# filli!$ i!to a 'ore re$ular a!# or#erly posture
tha! )e oul# ha%e plae# the' )ith all our skill a!# i!#ustry( 74A8
The ter' 'u!o!sious erebratio!' )as oi!e# by :( *( Carpe!ter& !i!etee!th"e!tury
physiia! a!# !aturalist0
( ( ( That atio! of the brai! )hih& throu$h u!o!sious erebratio!& pro#ues results
)hih 'i$ht !e%er ha%e bee! pro#ue# by thou$ht( 7468
Other harateristi E!$lish oi!a$es are :or#s)orth's 'a%er!s i! the 'i!# )hih su! a!
!e%er pe!etrate'& Coleri#$e's 't)ili$ht real' of o!sious!ess'& :illia' ?a'es's 'fri!$e
o!sious!ess'& a!# >yers's 'subli'i!al self'( I! 4F@C Sir Tho'as =ayok )rote that ""
!o $e!eral fat is so )ell establishe# by the e-perie!e of 'a!ki!# or so u!i%ersally
aepte# as a $ui#e i! the affairs of life& as that of u!o!sious life a!# atio!( 74I8
A!# >au#sley& )riti!$ a fe) years later0
The 'ost i'porta!t part of 'e!tal atio!& the esse!tial proess o! )hih thi!ki!$ #epe!#s&
is u!o!sious 'e!tal ati%ity( 74@8
For the li'a- of this story )e 'ust retur! to ;er'a!y i! the seo!# half of the !i!etee!th
e!tury( The pio!eers of ;er'a! e-peri'e!tal psyholo$y )ere Feh!er 1'Feh!er's la)'2
a!# :ilhel' :u!#t( Feh!er's attitu#e is su''e# up i! his fa'ous 'etaphor of the 'i!#
as a! ieber$& )ith o!ly a fratio! of it abo%e the surfae of o!sious!ess& 'o%e# by the
)i!#s of a)are!ess& but 'ostly by hi##e! u!#er")ater urre!ts( :u!#t o!ti!ue# )here
Feh!er ha# left off0
Our 'i!# is so fortu!ately e/uippe#& that it bri!$s us the 'ost i'porta!t bases for our
thou$hts )ithout our ha%i!$ the least k!o)le#$e of this )ork of elaboratio!( O!ly the
results of it beo'e o!sious( This u!o!sious 'i!# is for us like a! u!k!o)! bei!$ )ho
reates a!# pro#ues for us& a!# fi!ally thro)s the ripe fruits i! our lap( 74O8
At about the sa'e ti'e& i! 4F@F& Erih %o! Hart'a!! publishe# his Philosophy of the
#nconscious& )hih bea'e a best"seller( Fro' a perio# !o%el by the popular Spielha$e!
)e lear! that i! 4FOC t)o 'ai! topis #o'i!ate# o!%ersatio! i! the i!telletual salo!s of
*erli!0 :a$!er a!# the U!o!sious( :e are re'i!#e# of the se!e i! the =o!#o! salo! of
<israeli's play& )here the fashio!able topi of E%olutio! is #isusse# "" fiftee! years before
a!ybo#y ha# hear# the !a'e of <ar)i!( :hyte lists si- philosophial )orks publishe#
)ithi! te! years after %o! Hart'a!!'s )hih arry the )or# 'u!o!sious' i! their titles( I!
the literature of the perio# Niet+she )as the to)eri!$ $ia!t( He took o%er the u!o!sious
Id fro' =ihte!ber$ 1)hih ;ro##ek the! took o%er fro' Niet+she& a!# Freu# fro'
;ro##ek2, it is o!e of the leit'otifs i! Niet+she's )ork0
:here are the !e) #otors of the soulE ( ( ( o!sious!ess is the last a!# latest #e%elop'e!t
of the or$a!i& a!# is o!se/ue!tly the 'ost u!fi!ishe# a!# least po)erful of these
#e%elop'e!ts( E%ery e-te!sio! of k!o)le#$e arises fro' 'aki!$ o!sious the
u!o!sious!ess( The $reat basi ati%ity is u!o!sious( For it is !arro)& this roo' of
hu'a! o!sious!ess(
:hyte o!lu#es0 The $e!eral o!eptio! of u!o!sious 'e!tal proess )as o!ei%able
1i! post"Cartesia! Europe2 arou!# 4OCC& topial arou!# 4FCC& a!# fashio!able arou!# 4FOC
"" 4FFC( ( ( ( It a!!ot be #ispute# that by 4FOC"4FFC the $e!eral o!eptio! of the
u!o!sious 'i!# )as a Europea! o''o!plae a!# that 'a!y speial appliatio!s of this
$e!eral i#ea ha# bee! %i$orously #isusse# for se%eral #ea#es( 74F8
I ha%e o!fi!e# this #i$est to u!o!sious thi!ki!$, there is a! e/ual abu!#a!e i! rele%a!t
/uotatio!s )hih refer to the 'oti%atio!al& affeti%e& a!# patholo$ial aspets of the
u!o!sious& a!# of the #rea'( >y i!te!t )as !ot to belittle either the $reat!ess or the
ori$i!ality of Freu# "" that )oul# be as stupi# as tryi!$ to ru! #o)! Ne)to! beause he ha#
'stoo# o! the shoul#ers of $ia!ts'( *ut )hile Ne)to! )as a)are of this "" the e-pressio! is
his o)! "" Freu#& uriously& )as !ot( He !e%er reali+e# ho) respetable the i#ea )as o!
)hih he built his e#ifie(
The >eha!i+atio! of Habits
The feeli!$ of 'ystery "" or of )ary septiis' "" )hih 'e!tio! of 'the u!o!sious'
e%okes is part of our 'e!tal herita$e& #eri%e# fro' the Cartesia! tra#itio!( The te!aity of
that tra#itio!& #eeply e!$rai!e# i! our thi!ki!$ habits& 'akes us o!sta!tly for$et the
ob%ious fat "" rubbe# i! by e%ery#ay e-perie!e "" that awareness is a matter of degrees(
Co!sious a!# u!o!sious e-perie!es #o !ot belo!$ to #iffere!t o'part'e!ts of the
'i!#, they for' a o!ti!uous sale of $ra#atio!s& of #e$rees of a)are!ess( :e 'ay all& as
=eib!i+ #i#& o!sious e%e!ts 'li$ht'& u!o!sious o!es '#ark' "" pro%i#e# that )e re'e'ber
the i!fi!ite sha#i!$s fro' li$hter to #arker $rey bet)ee! the'( The #ark e!# of the sale
e-te!#s )ell belo) the hu'a! le%el to a! u!k!o)! li'it "" )hih 'ay possibly be so'e
for' of 'protoplas'i o!sious!ess', *er$so! e%e! asserte# that 'the u!o!sious!ess of a
falli!$ sto!e is so'ethi!$ #iffere!t fro' the u!o!sious!ess of a $ro)i!$ abba$e'(
)n human beings we #ind at the bottom o# the scale the sel#'regulating activities which
control the viscera and glands, the circulation o# the blood and other physiological
processes o# which we are normally unaware% yet in their ensemble they may supply that
vegetative or bovine consciousness o# being warmly alive and kicking. ,rom here on the
scale o# awareness ascends to the more or less mechanical '' i.e. less or more conscious ''
e-ercise o# practised skills #rom walking along a road to picking one's way through
puddles in the rain, to c
bing an e-posed rock'#ace% #rom tying one's shoe'strings to knotting a broken shoe'string%
humming a tune absentmindedly '' singing it to an audience% adding up a column o# #igures
mechanically '' checking it, a#ter a mistake has been discovered, with great attention. .t the
top o# the scale we #ind the &uasi'hypnotic state o# utter concentration on a problem, or
absorption in a thriller, blind and dea# to one's surroundin$s(
/&ually continuous gradients o# awareness are #ound in the e-ercise o# perceptual and
cognitive skills, the working o# memory, the ebbs and tides o# emotion. 0e are conscious
only o# a #raction o# the input into our eyes, ears, and skin% yet the intake is registered
nevertheless. 0e are unaware o# the ticking o# the clock, but aware that it has stopped.
0hile reading we are unaware o# the shape o# the letters because the skill o# trans#orming
them into words is #ully automati*ed, and awareness is #ocussed on the meaning behind the
shapes '' a phenomenon known as the 'transparency' o# language. 0e summon memories
asleep in the dormitory o# the mind, while others barge in uninvited. $ddest o# all, we hold
ourselves and others responsible #or #orgetting something which ought to have been
remembered. The schoolboy who has le#t his gym'shoes at home, the maid who has
#orgotten to put sugar on the break#ast tray, are held responsible #or unconscious acts o#
omission.
The $reater 'astery a!# ease )e $ai! i! the e-erise of a skill& the 'ore auto'ati+e# it
)ill te!# to beo'e& beause the o#e of rules )hih o!trols it !o) operates belo) the
threshol# of a)are!ess( *ut the #e$ree of o!sious atte!tio! )hih ao'pa!ies the
perfor'a!e #epe!#s also o! a seo!# fator0 the pre%aili!$ e!%iro!'e!tal o!#itio!s& the
lie of the la!# "" )hether it is fa'iliar& or o!tai!s u!usual features( The i!e-perie!e#
#ri%er 'ust o!e!trate e%e! o! a! e'pty roa#( The e-perie!e# #ri%er fu!tio!s
auto'atially, but he 'ust o!e!trate i! hea%y traffi(
:e 'ay the!& so'e)hat para#o-ially& #esribe a)are!ess as that e-perie!e )hih
#ereases a!# fa#es a)ay )ith our i!reasi!$ 'astery of a skill e-erise# u!#er
'o!oto!ous o!#itio!s( >astery of the o#e a!# stability of e!%iro!'e!t are the t)o
fators )hih lea# to the for'atio! of habit, a!# habit"for'atio! is ao'pa!ie# by a
$ra#ual #i''i!$ a!# #arke!i!$ of the li$hts of a)are!ess( O! the other ha!#& )e 'ay
re$ar# this te!#e!y to)ar#s the pro$ressi%e auto'ati+atio! of skills as a! at of 'e!tal
parsi'o!y, as a ha!#i!$"#o)! of the o!trols to lo)er le%els i! the hierarhy of !er%ous
fu!tio!s& e!abli!$ the hi$her le%els to tur! to 'ore halle!$i!$ tasks( Thus the typist a!
$o o! tra!sribi!$ letters )hile thi!ki!$ of her boy frie!#, a!# the boy frie!# a! #ri%e the
ar )hile #isussi!$ )ith her their )eeke!# pla!s "" tha!ks to the be!e%ole!t )orki!$s of
the pri!iple of parsi'o!y& )hih see's to be a! esse!tial fator i! 'e!tal pro$ress(
To re%ert to a! earlier e-a'ple0 the be$i!!er& hopefully fai!$ a hessboar#& feels u!ertai!
about the 'a!!er i! )hih bishops a!# rooks are per'itte# to 'o%e& a!# has to o!sult his
te-tbook or his teaher( After so'e pratie it beo'es i'possible for hi' to 'o%e a rook
#ia$o!ally )ithout a feeli!$ of aestheti a!# 'oral re%ulsio!& of ha%i!$ o''itte# a!
obse!ity or %iolate# a sare# taboo0 the rules ha%e beo'e auto'ati+e#& e!o#e# i! the
iruitry of his !er%ous syste'( At a still later sta$e he lear!s to apply ertai! strata$e's
.ust as auto'atially0 to a%oi# 'pi!s' a!# 'forks'& !ot to e-pose the ki!$& to seek ope! rook
files& et( I! $a'es si'pler tha! hess the sa'e type of situatio! )ill reur o%er a!# a$ai!&
a!# the appropriate strata$e's )ill be o#ifie# i! their tur!( Co'puter e!$i!eers ha%e
atually built eletro!i brai!s i! )hih both the rules and the strata$e's of si'ple boar#
$a'es& suh as !ou$hts a!# rosses& are built i!to the ''e'ory' of the 'ahi!e( They a!
beat a!y oppo!e!t if he blu!#ers& a!# #ra) if he plays a orret $a'e( The 'ahi!e
illustrates the proess of rele$ati!$ fa'iliar tasks to lo)er le%els of the 'e!tal hierarhy
)hih fu!tio! as u!a)ares "" or !early "" as i!%olu!tary refle-es(
*ut ho) #oes all this relate to 'e!tal reati%ityE O!ly i!#iretly( The i!ter%e!tio! of
u!o!sious proesses i! the reati%e at is a phe!o'e!o! /uite #iffere!t fro' the
auto'ati+atio! of skills, a!# our u!a)are!ess of the soures of i!spiratio! is of a /uite
#iffere!t or#er fro' the u!a)are!ess of )hat )e are #oi!$ )hile )e tie our shoe"stri!$s or
opy a letter o! the type)riter( I! the reati%e at there is a! upward sur$e fro' so'e
u!k!o)!& fertile& u!#er$rou!# layers of the 'i!#, )hereas the proess I ha%e #esribe# is a
downward rele$atio! of the o!trols of skille# teh!i/ues(
I! fat I ha%e so far #isusse# o!ly o!e aspet or #i'e!sio! of o!sious!ess0 let us all it
the li!ear sale& or linear gradient of a)are!ess( At o!e e!# of the sale )e fou!# routi!es
perfor'e# )ithout a)are!ess, at the opposite e!# the si!$le"'i!#e#& hyper"a)ake
o!e!tratio! o! a proble'& )here o!sious!ess is fousse# i!to a !arro) bea' )ith
#ark!ess all rou!#( *ut suh a o!e"#i'e!sio!al i!terpretatio! of the %arieties of
o!sious!ess& as a li!e ru!!i!$ fro' auto'atis' to obsessio!& see's hi$hly
u!satisfatory( Co!sious!ess is a 'ulti"#i'e!sio!al affair& as I hope to sho) i! the pa$es
that follo)( The 'li!ear' $ra#ie!t of a)are!ess )hih I ha%e #isusse# is o!ly o!e of these
#i'e!sio!s "" thou$h !e%ertheless a! i'porta!t o!e( It is alo!$ that $ra#ie!t that lear!i!$ is
tra!sfor'e# i!to habit& that the o!trol of !e) skills& o!e 'astere#& sli#es #o)! u!#er its
o)! $ra%ity as it )ere& i!to the base'e!t& 'aki!$ roo' upstairs for !e) a/uisitio!s(
A pia!ist& after pratisi!$ a piee for so'e ti'e& a! 'reel it off i! his sleep'& as the sayi!$
$oes( The e-at opposite of this proess is illustrate# by the fa'ous ase of Tarti!i
o'posi!$ the :evil/s *rill .onata )hile asleep( The first e-a'ple sho)s the u!o!sious
as a repository of habits )hih !o lo!$er !ee# bei!$ 'atte!#e# to', the seo!#& as a bree#i!$
$rou!# of !o%elties(
It is esse!tial to bear both proesses i! 'i!# "" a!# !ot to o!fuse the'( >ost
*eha%iourists aept o!ly the first0 they re$ar# habit"for'atio! as the esse!e of 'e!tal
pro$ress, ori$i!al i#eas& o! this %ie)& are luky hits a'o!$ ra!#o' tries& retai!e# beause
of their utility %alue "" .ust as biolo$ial e%olutio! is hel# to be the outo'e of ra!#o'
'utatio!s retai!e# beause of their sur%i%al %alue(
A'o!$ those prepare# to aept the positi%e role of the u!o!sious& there is a fre/ue!t
te!#e!y to o!fuse '#o)!)ar#' a!# 'up)ar#' traffi "" to e/uate auto'atis' )ith i!tuitio!(
So'e hi$hly #e%elope#& se'i"auto'ati+e# skills ha%e a $reat a'ou!t of fle-ibility "" the
result of years of har# trai!i!$, but their pratitio!ers are #e%oi# of ori$i!ality( Ti$htrope
)alkers& arobats& !i$ht"lub pia!ists& a!# alulati!$ pro#i$ies #isplay %irtuosity, a
%irtuoso is #efi!e# by the Oxford :ictionary as 'a perso! skille# i! the 'eha!ial part of a
fi!e art'( Nee#less to say& %irtuosity 'ay o'bi!e i! the sa'e perso! )ith reati%ity, but i!
itself it is !o 'ore tha! the hi$hest elaboratio! of a routi!e )ith fi-e#& auto'ati+e# rules of
the $a'e a!# a 'alleable strate$y(
Suh 'eha!ial %irtuosity has probably reahe# its hi$hest #e%elop'e!t i! the ?apa!ese
arts i!spire# by ]e! *u##his'0 s)or#s'a!ship& arhery& ?u#o& alli$raphi pai!ti!$( The
'etho# to reah perfetio! has bee! authoritati%ely #esribe# as 'pratie& repetitio!& a!#
repetitio! of the repeate# )ith e%er"i!reasi!$ i!te!sity'& 7458 u!til the a#ept 'beo'es a
ki!# of auto'ato!& so to speak& as far as his o)! o!sious!ess is o!er!e#'( 79C8D That is
the 'etho# by )hih Professor Ski!!er of Har%ar# U!i%ersity& a lea#er of the *eha%iourist
shool& trai!e# pi$eo!s to perfor' irus ats& i!te!#e# as a! e-pla!atio! of 'e!tal
#e%elop'e!t i! 'a!(
E-plori!$ the Shallo)s
:e ha%e hear# o!sious thou$hts bei!$ o'pare# to ieber$s& or isla!#s i! the oea! of
u!o!sious 'e!tatio!, )e ha%e hear# Ei!stei! affir' that 'full o!sious!ess is a li'it
ase )hih a! !e%er be fully ao'plishe#'( =et 'e proee# fro' these 'etaphors to a
loser a!alo$y& )hih 'ay help to #ispel o''o! illusio!s about the larity of o!sious
thou$ht(
>ost people )ith !or'al eyesi$ht te!# to the flatteri!$ belief that they see the )orl#
arou!# the' at a!y ti'e i! sharp fous, i! fat& ho)e%er& they see a blur( O!ly a 'i!ute
fratio! of the %isual fiel# "" about o!e"thousa!#th of it "" is see! #isti!tly, outsi#e of this
e!tre %isio! beo'es i!reasi!$ly %a$ue a!# ha+y( If you $a+e fi-e#ly at a si!$le )or# i!
the e!tre of the pa$e you are rea#i!$& a!# try to pre%e!t your $a+e fro' strayi!$ alo!$ the
li!e 1)hih is !ot easy beause rea#i!$ is a! auto'ati+e# skill2& you )ill see o!ly about a
ouple of )or#s sharp i! fous& the rest of the li!e o! both si#es trails off i!to a ha+e( A!#
ho) about the )hole pa$e& a!# the rest of the roo' arou!# youE
Foal %isio! subte!#s a! a!$le of o!ly about four #e$rees& less tha! the a!$le at the poi!t
of a pi!& out of a total fiel# of a hu!#re# a!# ei$hty #e$rees( Bet )e are u!a)are of this&
beause )e o!sta!tly sa! the fiel# )ith& 'ostly u!o!sious& 'o%e'e!ts of the eye& to
bri!$ the blurre# periphery i!to the !arro) bea' of foal %isio! "" pi!poi!te# at the fo%ea&
the ti!y spot at the e!tre of the reti!a )hih alo!e o!%eys true a!# #isti!t si$ht(
This 'uh e%ery shoolboy lear!s 1a!# for$ets2, but i! 45@C e-peri'e!ts at >;ill
U!i%ersity le# to the rather surprisi!$ #iso%ery that the u!o!sious 'o%e'e!ts of the eye
are !ot 'erely ai#s to learer %isio!& but a sine +ua non of %isio!( :he! the sub.et's $a+e
re'ai!e# really fi-e# o! a statio!ary ob.et 1by 'ea!s of a 'eha!ial #e%ie& see *ook
T)o& H2& his %isio! )e!t hay)ire& the i'a$e of the ob.et #isi!te$rate# a!# #isappeare# ""
the! reappeare# after a )hile but i! #istorte# shape or i! fra$'e!ts( Stati %isio! #oes !ot
e-ist, there is !o seei!$ )ithout e-plori!$(
:ith #ue autio! )e a! #ra) a li'ite# a!alo$y bet)ee! %isual sa!!i!$ a!# 'e!tal
sa!!i!$ "" bet)ee! the blurre#& peripheral %isio! outsi#e the foal bea'& a!# the ha+y&
half"for'e# !otio!s )hih ao'pa!y thi!ki!$ o! the fri!$es of o!sious!ess( 'E%ery
#efi!ite i'a$e i! the 'i!#'& )rote :illia' ?a'es& 'is steepe# a!# #ye# i! the free )ater that
flo)s rou!# it( :ith it $oes the se!se of its relatio!s& !ear a!# re'ote& the #yi!$ eho of
)he!e it a'e to us& the #a)!i!$ se!se of )hither it is to lea#( The si$!ifia!e& the %alue
of the i'a$e& is all i! this halo or pe!u'bra that surrou!#s a!# esorts it'( 7948
If o!e atte'pts to hol# fast to a 'e!tal i'a$e or o!ept "" to hol# it& i''obile a!#
isolate#& i! the fous of a)are!ess& it )ill #isi!te$rate& like the stati& %isual i'a$e o! the
fo%ea0 a )or#& o!sta!tly repeate#& beo'es 'ea!i!$less, a! i#ea& strippe# of its ha+y
pe!u'bra& %a!ishes like the Cheshire Cat( Thi!ki!$ is !e%er a sharp& !eat& li!ear proess, it
oul# rather be o'pare# to the pro$ress of a boat o! a lake( :he! you #ay"#rea' you #rift
before the )i!#, )he! you rea# or liste! to a !arrati%e you tra%el like a bar$e to)e# by a
tu$( *ut i! eah ase the pro$ress of the boat auses ripples o! the lake& sprea#i!$ i! all
#iretio!s "" 'e'ories& i'a$es& assoiatio!s, so'e of these 'o%e /uiker tha! the boat
itself a!# reate a!tiipatio!s, others pe!etrate i!to the #eep( The boat sy'boli+es foal
a)are!ess& the ripples o! the surfae are the fri!$es of o!sious!ess& a!# you a! fur!ish
the #eeps& aor#i!$ to taste& )ith the !asty e##ies of represse# o'ple-es& the #eep)ater
urre!ts of the olleti%e u!o!sious& or )ith arhetypal oral"reefs( :he! thi!ki!$ is i!
the to) of a !arrati%e& foal a)are!ess 'ust stik to its ourse a!# a!!ot follo) the ripples
o! their .our!ey aross the lake, but it is their prese!e all rou!# the hori+o!& o! the
peripheries of a)are!ess& )hih pro%i#es reso!a!e& olour& a!# #epth& the at'osphere a!#
feel of the story( :he! it o'es to pro#uti%e thi!ki!$& ho)e%er& the 'etaphor breaks
#o)! "" u!less )e e/uip it )ith a! outboar# 'otor& a $yro"o'pass& ser%o"steeri!$& a!#
other parapher!alia(
The e-iste!e of a! i!ter'e#iary re$io! bet)ee! the 'li'it ase' of sharp& !arro) foal
a)are!ess a!# the %ast u!o!sious re$io!s of the 'i!# has bee! reo$!i+e# for a lo!$
ti'e( Fihte 1a!# later Freu#2 alle# it the pre"o!sious 1das )orbewusstsein2& ?a'es alle#
it the fri!$e, Pol\!yi 'subsi#iary a)are!ess', the a!alo$y )ith %isio! yiel#e# 'peripheral
a)are!ess', but si!e a)are!ess is a 'atter of #e$rees& it )oul# be 'istake! to #ra) a sharp
li!e bet)ee! pre" a!# u!o!sious proesses& bet)ee! the shallo)s a!# the #eep( :hat
'atters is the #isti!tio! bet)ee! the si!$le e%e!t 1the perept& or o!ept& or )or#& or
'usle"atio!2 )hih for a fleeti!$ 'o'e!t oupies the fous of atte!tio! "" a!# the
proesses o! the periphery )hih #efi!e the o!te-t& the purpose a!# 'ea!i!$ of the
for'er(
*ut ho) #o they i!teratE Ho) #o pre" or u!o!sious proesses i!flue!e the #iretio! of
thou$ht, ho) #o so'e e!ter foal a)are!ess a!# si!k bak a$ai! i!to t)ili$ht a!# #ark!ess,
ho) #o they assist 'e!tal reati%ityE The a!s)ers )e ha%e hear# up to !o) )ere of a
$e!eral !ature, they all asserte# that suh assista!e )as i!#ispe!sable a!# #i# i! fat
our, but they ha# little to say re$ar#i!$ the o!rete 'eha!is' or proe#ure throu$h
)hih it )as re!#ere#( Perhaps the 'ost luri# atte'pt i! this #iretio! )as 'a#e by that
%ersatile $e!ius Fra!is ;alto! i! a fa'ous a!alo$y0
:he! I a' e!$a$e# i! tryi!$ to thi!k a!ythi!$ out& the proess of #oi!$ so appears to 'e
to be this0 the i#eas that lie at a!y 'o'e!t )ithi! 'y full o!sious!ess see' to attrat of
their o)! aor# the 'ost appropriate out of a !u'ber of other i#eas that are lyi!$ lose at
ha!#& but i'perfetly )ithi! the ra!$e of 'y o!sious!ess( There see's to be a prese!e"
ha'ber i! 'y 'i!# )here full o!sious!ess hol#s ourt& a!# )here t)o or three i#eas are
at the sa'e ti'e i! au#ie!e& a!# a! a!te"ha'ber full of 'ore or less allie# i#eas& )hih is
situate# .ust beyo!# the full ke! of o!sious!ess( Out of this a!te"ha'ber the i#eas 'ost
!early allie# to those i! the prese!e"ha'ber appear to be su''o!e# i! a 'eha!ially
lo$ial )ay& a!# to ha%e their tur! of au#ie!e( 7998
The italis are 'i!e& a!# are 'ea!t to re$ister protest( Assu'i!$ the i#ea i! the prese!e"
ha'ber of 'y 'i!# is& as it happe!s to be& >r( ;alto! hi'self& I a! reall si- #isti!t
oasio!s i! the last fe) 'o!ths )he! I thou$ht of hi'( He helpe# to ease the $loo' of 'y
last birth#ay "" beause ;alto! li%e# to the a$e of ei$hty"!i!e, a!# the i#ea ''ost !early
allie#'& )hih )as su''o!e# fro' the a!te"ha'ber 'i! a 'eha!ially lo$ial )ay'& )as
'>ethuselah'( O! a!other oasio! I rea# about the a/uittal of a )o'a! )ho ha# bee! trie#
for the 'ery"killi!$ of her 'alfor'e# baby, ;alto! )as su''o!e# beause he ha#
i!%e!te# the )or# 'eu$e!is', !e-t a'e& lo$ially& the ''ost !early allie#' i#ea of A#olf
Hi#er& )hose S(S( 'e! pratise# eu$e!is after their o)! fashio!( O! yet a!other oasio!
the losest assoiatio! )as 'olour"bli!#!ess' "" first stu#ie# by <alto! )hih rhy'es )ith
;alto!, a!# so forth( Eah su''o!s i!to the prese!e"ha'ber ha# its o)! ''eha!ial
lo$i'& if you )ish to all it that, a!# the hoie of the ''ost !early allie# i#ea'& the or#er of
pree#e!e i! the a!te"ha'ber& #epe!#e# o! )hat sort of lo$i& or rule of the $a'e& )as at
the ti'e i! o!trol of the 'i!#( ;aito! )as a pio!eer of the e-peri'e!tal 'etho# i! )or#"
assoiatio! tests, but as a follo)er of the E!$lish assoiatio!ist shool& he faile# to reali+e
that assoiatio! is al)ays o!trolle# by a o#e of rules& )hether the sub.et is a)are of it or
!ot, a!# that #iffere!t o#es are ati%e at #iffere!t ti'es(
Thus the fa'ous a!alo$y of the a!te"ha'ber of the 'i!# #oes !ot $et us 'uh further,
but it helps us to larify the proble' by sho)i!$ the pitfalls of the 'eha!isti approah&
a!# lea#i!$ us bak& as it )ere& to our starti!$ poi!t( It )as the o'pariso! bet)ee! the
blurre# periphery of the %isual fiel# a!# the %a$ue i!ti'atio!s )hih pass throu$h the
t)ili$ht of the pre"o!sious( :e a! !o) %e!ture a step further& a!# #ra) a parallel
bet)ee! the part"auto'ati %isual sa!!i!$ of a la!#sape& a!# the 'e!tal sa!!i!$ of a
ki!# of i!!er la!#sape i! purposi%e thi!ki!$( I! both ases& the sa!!i!$ proess is
o!trolle# by a speifi& seleti%e o#e that #eter'i!es )hih features i! the la!#sape are
rele%a!t a!# )hih are !ot( Sa!!i!$ a pa!ora'a throu$h 'y )i!#o) purely for pleasure
orrespo!#s to the ai'less #rift of thou$ht alo!$ the 'ost $ratifyi!$ features "" 'e'ories&
i'a$es& pleasurable a!tiipatio!s "" of the i!!er la!#sape( *ut if I e-plore )ith 'y eyes
the 'ou!tai! before 'e for the safest route to the su''it& or the a'ou!t of ti'ber it )ill
yiel#, for a si$! of e#el)eiss& or a strate$i $u!"site safe fro' air attak& the )hole %isual
fiel# )ill i! eah ase beo'e or$a!i+e# a!# patter!e# i! #iffere!t )ays, a!# the sa!!i!$
'otio!s of 'y eyes& $ui#i!$ the bea' of foal %isio!& )ill auto'atially be $o%er!e# by
ertai! rules )hih I a' u!able to !a'e& a!# by a purposeful strate$y #eter'i!e# by the lie
of the la!#(
I! this e-a'ple %isual e-ploratio! a!# 'e!tal e-ploratio! are atually i!#isti!$uishable,
the obser%atio!al #ata #eri%e# fro' looki!$ at the rok fae& a!# the lesso!s #eri%e# fro'
pre%ious e-perie!e o'bi!e i!to o!e( I! other situatio!s& the e-ploratory proess 'ay be
o!fi!e# to the i!!er la!#sape& to the e-lusio! of all sti'uli fro' the )orl# outsi#e( The
poet's or the 'athe'atiia!'s tra!e"like o!#itio! )hile he o!e!trates o! a proble'& the
%i%i# fa!tasies of the #ay"#rea'er& the #elusio!s of the i!sa!e& the #rea's of the sleeper&
are pro#uts of )i#ely #iffere!t $a'es of the 'i!#, but they all ha%e this i! o''o!& that
the bea' of foal a)are!ess is e-plori!$ the i!!er e!%iro!'e!t& a!# i$!ori!$ the i!put
fro' the se!ses( The features o! )hih the bea' ali$hts are i'a$es of a pitorial or %erbal
!ature& 'e'ories i! abstrate#& o!eptuali+e#& or #istorte# shape, i! a )or#& they are past
e-perie!es i!ter!ali+e#( The i!!er la!#sape 'ay be re$ar#e# as a ki!# of pri%ate&
'i!iature 'o#el "" or ariature "" of the )orl# i! the sub.et's brai!"'i!# 1see *ook T)o2(
Thus the ob5ects of the sa!!i!$ proess are ulti'ately the i!#i%i#ual's past e-perie!es
1i!lu#i!$ his pre!atal past2 i!orporate# i! o!e for' or a!other i!to his 'e!tal la!#sape(
A!# the rules )hih o!trol the sa!!i!$ proess 1the patter! of ''e!tal eye 'otio!s'& as it
)ere2 are also #eri%e# fro' past e-perie!es by abstratio! a!# $e!erali+atio!, they are the
results of lear!i!$ o'presse# i!to the operatio!al o#es of thi!ki!$ skills(
As a! e-a'ple& take the parlour $a'e 'To)!s )ith >' 1see pa$e AF2( The 'o'e!t I start
playi!$ it& a fi-e# o#e takes o!trol of 'y 'e!tal proesses& a!# their free#o' is )hittle#
#o)! to strate$i hoies( These 'ay be base# o! e-plori!$ a! i'a$i!e# $eo$raphial
'ap& or o! the 'tu!i!$"fork' 'etho#( The 'e!tal 'ap is a blurre#& ha+y& a!# #istorte#
repha of )hat I lear!e# i! shool a!# o! tra%els, but as I proee# to sa! it& fro' )est to
east )ith the 'i!#'s eye& !a'e after !a'e e'er$es fro' the 'isty t)ili$ht0 >a!hester&
>u!ih& >oso)& >ur'a!sk& >ihi$a!& et( If& o! the other ha!#& I apply the tu!i!$"fork
'etho#& >a!hester )ill all out >a!!hei'& >a#ri#& >a#ras& a!# so forth( All of these
!a'es )ere lear!e# i! the past, all of the' )ere 'e'bers of the '>' 'atri- 1other)ise they
oul# !ot ha%e bee! su''o!e# o! the ')a%ele!$th' of that partiular o#e2, all of the'
)ere u!o!sious or pre"o!sious the 'o'e!t before the bea' of foal a)are!ess
ali$hte# o! the'( The bea' )as $ui#e# firstly by the rule of the $a'e 1'fi!# towns )ith >&
!ot rivers )ith S'2& a!# seo!#ly by strategy 1''o%e fro' )est to east'2( The rule )as fi-e#&
the strate$y %ariable( A further poi!t to !ote is 1thou$h it #oes !ot o!er! us yet2 that
strate$y operates by a ki!# of feed%back fro' the lie of the la!#0 I )as searhi!$ for to)!s
)ith '>' bet)ee! >u!ih a!# >oso)& but fou!# !o!e0 so I 'o%e# o!( Other fators e!ter0
I 'i$ht ha%e re'e'bere# >a!!hei'& but #i# !ot beause of a! u!pleasa!t e-perie!e
there0 e'otio!al #isturba!es i!terferi!$ )ith ''eha!ial lo$i'( I!i#e!tally& the for'i!$
of a se!te!e i! or#i!ary o!%ersatio! follo)s a si'ilar patter!( I!stea# of sa!!i!$ a 'ap
for to)!s )ith '>'& you 'ust sa! your %oabulary for )or#s )hih )ill fit a $i%e!
'ea!i!$(
Take a! e%e! si'pler pratial e-a'ple( I li%e i! =o!#o! a!# ha%e to spe!# a #ay i! Paris
so'e ti'e !e-t )eek to see 'y Fre!h publisher( If this )ere a pleasure"trip the fri!$es of
'y o!sious!ess )oul# at o!e be ro)#e# )ith half"re'e'bere#& floati!$ i'a$es of
bistros& streets& $alleries& 'Ttro statio!s, but& as it is a busi!ess trip& a #iffere!t o#e e!ters
i!to atio! a!# the 'atri- is luttere# )ith ti'etables& appoi!t'e!t books& $alley proofs&
a!# #usto%ers& )hih strate$i pla!!i!$ 'ust o"or#i!ate i!to the proper se/ue!e(
Purposi%e thi!ki!$& e%e! of this or#i!ary& hu'#ru' ki!#& proee#s i! se%eral steps( First&
the o#e of rules appropriate to the task is 'tu!e# i!' "" by #i!t of a!alo$y )ith si'ilar tasks
e!ou!tere# i! the past( As a result& a 'atri- )ill e'er$e& a ki!# of patter!e# 'e!tal $ri# or
hessboar#& )hih pro%i#es a preli'i!ary seletio! of per'issible 'o%es& a first $ui#a!e
for the e-ploratory proess( Ne-t o'es strate$y& #epe!#e!t upo! the partiulars of the
situatio!(
Eah step i!%ol%es proesses 'ore or less re'o%e# fro' foal a)are!ess( The o#e )hih
$ui#es the foal bea' of o!sious!ess fu!tio!s 'ore or less u!o!siously( 1It oul# !ot
be other)ise& for if the bea' )ere $ui#e# by the bea'& )e )oul# be la!#e# i! the para#o-
of a little 'a! i!si#e the brai! )ith a little 'a! i!si#e his brai!& a!# so forth(2 The o#es of
$ra''ar a!# sy!ta- fu!tio! u!o!siously, the 'ea!i!$ you )ish to e-press pro%i#es the
strate$y for seleti!$ the proper )or#( The )or#s "" .ust like the to)!s )ith '>' "" )ere
lyi!$ i! #ark!ess before the bea' searhe# the' out a!# lit the' up for a fleeti!$ 'o'e!t,
the! they si!k bak i!to #ark!ess a$ai!(
Thus all reaso!i!$& e%e! of a tri%ial or#er& is steepe# i! u!o!sious proesses( *ut )he!
the task is of a 'ore o'ple- or#er& thi!ki!$ 'ay ru! i!to #iffiulty at eah of the steps
)hih I ha%e outli!e#( A situatio! 'ay share ertai! features )ith other situatio!s
e!ou!tere# i! the past& yet the o#e of rules )hih e!able# us to ope )ith the' pro%es
'ysteriously i!a#e/uate i! the !e) situatio!( *lee#i!$ a!# pur$i!$ the patie!t pro%e#
be!efiial i! a !u'ber of ases& so it a'e to be re$ar#e# as a! all"ure, )hy #i# it !ot
)orkE :e a! biset a! a!$le )ith o'pass a!# ruler& so it )as assu'e# that )e a! triset
a!$les by the sa'e 'etho#, but it #i# !ot )ork( Sou!# )a%es are propa$ate# i! thi! air& so
it )as assu'e# that li$ht )a%es are propa$ate# i! a thi! ether, but the a!alo$y pro%i#e# the
)ro!$ 'atri-( Cirles tur!i!$ upo! irles yiel#e# a! a#e/uate #esriptio! of hea%e!ly
'otio!s& u!til Tyho perfete# the 'etho#s of obser%atio!, the !e) #ata #isrupte# the
patter!& a!# the 'atri- )as bloke#(
:he! a situatio! is bloke#& strai$ht thi!ki!$ 'ust be superse#e# by thinking aside "" the
searh for a !e)& au-iliary 'atri- )hih )ill u!blok it& )ithout ha%i!$ e%er before bee!
alle# to perfor' suh a task( The esse!e of #iso%ery is to hit upo! suh a 'atri- "" as
;ute!ber$ hit o! the )i!e"press a!# Kepler o! the su!"fore(
I! the tri%ial routi!es of thi!ki!$& )e are e-plori!$ the shallo)s o! the t)ili$ht periphery
of a)are!ess& $ui#e# by a 'ore or less auto'ati+e# sa!!i!$ proe#ure( I! reati%e
thi!ki!$ )e are e-plori!$ the #eeps& )ithout a!y ob%ious $ui#a!e( Bet so'e $ui#a!e
there 'ust be "" u!less all !o%elty is #ue to ra!#o' hits pro#ue# by the patie!t 'o!key o!
the type)riter(
The 'Hooke# Ato's of Thou$ht'
=et 'e retur! o!e 'ore to He!ri Poi!arT& )ho propose# a theory o!er!i!$ the !ature
of this u!o!sious $ui#a!e( :e ha%e hear# hi' #esribe ho)& o! three #iffere!t
oasio!s& the solutio! of a proble' poppe# up spo!ta!eously a!# rea#y"'a#e& as it )ere&
fro' the #epth of the u!o!sious( Further o! i! that fa'ous leture fro' )hih I ha%e
/uote# 1pp( 446"4@2 he trie# to $i%e a! e-pla!atio! of this phe!o'e!o!( His starti!$ poi!t
)as that 'athe'atial #iso%ery o!sists i! a 'o'bi!atio! of i#eas', a!# his #esriptio! of
this proess stresses the harateristi features of )hat I ha%e alle# the bisoiati%e at0
A'o!$ hose! o'bi!atio!s the 'ost fertile )ill ofte! be those for'e# of ele'e!ts #ra)!
fro' #o'ai!s )hih are far apart( ( ( ( >ost o'bi!atio!s so for'e# )oul# be e!tirely
sterile, but ertai! a'o!$ the'& %ery rare& are the 'ost fruitful of all(
No) these o'bi!atio!s are e!$i!eere# by the u!o!sious or& as he alls it& the
'subli'i!al self', but ho)E There are& he says& t)o possibilities( The first is that the
u!o!sious 'is apable of #iser!'e!t, it has tat& #eliay, it k!o)s ho) to hoose& to
#i%i!e( :hat #o I sayE It k!o)s better ho) to #i%i!e tha! the o!sious self si!e it
suee#s )here that has faile#( I! a )or#& is !ot the subli'i!al self superior to the
o!sious selfE I o!fess that& for 'y part& I shoul# hate to aept this( ( ( ( ' So he re.ets
this first hypothesis i! fa%our of the seo!#0 the u!o!sious is a! auto'ato! )hih
'eha!ially ru!s throu$h all possible o'bi!atio!s0
Fi$ure the future ele'e!ts of our o'bi!atio!s as so'ethi!$ like the hooke# ato's of
Epiurus( <uri!$ the o'plete repose of the 'i!#& these ato's are 'otio!less& they are& so
to speak& hooke# to the )all( <uri!$ a perio# of appare!t rest a!# u!o!sious )ork&
ertai! of the' are #etahe# fro' the )all a!# put i! 'otio!( They flash i! e%ery #iretio!
throu$h the spae ( ( ( as )oul#& for e-a'ple& a s)ar' of $!ats& or if you prefer a 'ore
lear!e# o'pariso!& like the 'oleules of $as i! the ki!e'ati theory of $ases( The! their
'utual i'pats 'ay pro#ue !e) o'bi!atio!s( *ut t)o ob.etio!s o'e to his 'i!#(
Firstly& is !ot the !u'ber of possible o'bi!atio!s i!fi!ite& a!# the ha!e of hitti!$ o! a
fa%ourable o!e i!fi!itesi'alE No& he a!s)ers& beause #uri!$ the o!sious preparatory
)ork )hih pree#e# the perio# of u!o!sious i!ubatio!& a first seletio! )as alrea#y
'a#e of those ato's )hih are to be u!hooke# fro' the )all, a!# althou$h !o satisfatory
o'bi!atio! of the' )as fou!#& 'after this shaki!$ up i'pose# upo! the' by our )ill&
these ato's #o !ot retur! to their pre%ious rest( They freely o!ti!ue to #a!e' "" u!til the
o!e fa%ourable ollisio! i! a 'illio! ours( 1This is rather like sayi!$ that the ha!es of
the 'o!key o! the type)riter hitti!$ o! a Shakespeare so!!et )oul# be o!si#erably
i'pro%e# by buil#i!$ a type)riter )hih uses )hole )or#s as keys i!stea# of letters(2
The seo!# ob.etio! )hih ourre# to Poi!arT is as follo)s0 althou$h ou!tless
o'bi!atio!s are for'e# 'i! o!se/ue!e of the auto'atis' of the subli'i!al self& o!ly the
i!teresti!$ o!es ( ( ( break i!to the #o'ai! of o!sious!ess'( *ut& if so& )hat is the !ature
of the 'ysterious sie%e )hih re.ets the useless o'bi!atio!s a!# allo)s o!ly the luky
hits to pass i!to o!sious!essE Poi!arT's a!s)er is that the seletio! is #o!e by 'the
aestheti se!sibility of the real reator( The useful o'bi!atio!s are preisely the 'ost
beautiful& I 'ea! those best able to har' this speial se!sibility'(
This is ertai!ly a 'ore attrati%e a!s)er tha! Tai!e's& )ho su''o!s i#eas fro' the a!te"
ha'ber 'i! a 'eha!ially lo$ial )ay', yet Poi!arT hi'self felt its u!satisfatori!ess( For
it o'bi!es a 'eha!isti theory about the ra!#o' ollisio! of ato'i i#eas i! the
u!o!sious& )ith a! aestheti se!sibility )hih resi#es i! the o!sious& a!# plays the part
of a deus ex machina( :e #o !ot #oubt that this ki!# of se!sibility is prese!t i! the reati%e
'i!#& a!# to i!/uire i!to its !ature is preisely )hat )e are after, but Poi!arT lets the
'atter rest .ust )here the proble' starts(
Partiularly fasi!ati!$ i! this leture& #eli%ere# i! 45CF& is the fat that Poi!arT& after
ak!o)le#$i!$ his #ebt to the 'subli'i!al self' a!# si!$i!$ its praises& o!fesses that he
)oul# 'hate to aept' that it 'i$ht i! so'e respets be superior to the o!sious self& a!#
rele$ates it to the role of a! auto'ati 'i-i!$ 'ahi!e i! the base'e!t( He )orke# by
i!tuitio!& but for all his 'o#esty a!# ope!"'i!#e#!ess he )as u!able to shake off the
ratio!alist hubris of the !i!etee!th e!tury(D
E-plori!$ the <eeps
All )e ha%e $lea!e# fro' these e-ursio!s i!to the history of our sub.et& fro' Ploti!us to
Poi!ar^& is firstly& a !e$ati%e i!si$ht i!to the !arro) li'itatio!s of o!sious thi!ki!$, a!#
o! the positi%e si#e& affir'atio!s of the superiority of u!o!sious 'e!tatio! at ertai!
sta$es of reati%e )ork( *ut re$ar#i!$ the reaso!s for this superiority& a!# the proess by
)hih it 'a!ifests itself& )e $ot 'erely a fe) %a$ue i!ti'atio!s& or else u!satisfatory
'eha!isti hypotheses suh as ;alto!'s a!# Poi!arT's( Nor& I 'ay a## here& ha# Freu# or
?u!$ 'uh to say about the speifi proble' ho) u!o!sious proesses lea# to !e)
#iso%eries(
=et us at this sta$e follo) the a#%ie )e ha%e so ofte! hear# repeate#& a!# 'thi!k asi#e' ""
by tur!i!$& for a 'o'e!t& fro' sie!tists to poets( If )e )ere to apply Poi!arT's
hypothesis )e )oul# o'e to the o!lusio! that the poet has a o!sious 'i!# e!#o)e#
)ith aestheti se!sibility& a!# a! u!o!sious 'i!# e/uippe# )ith a! auto'ati rhy'e"
o'puter 1built o! the pri!iple of rhy'i!$ le-io!s2& a!# also )ith a! i'a$e o'puter 1a
ki!# of 'a$i la!ter! )ith a! auto'ati sli#e"ha!$er2( Out of the hu!#re#s of rhy'es a!#
si'iles pro#ue# per 'i!ute the %ast 'a.ority )oul#& of ourse& be %alueless& a!# the
aestheti e!sor i! the o!sious 'i!# )oul# ha%e a full"ti'e .ob re.eti!$ the' "" u!til he
)e!t out of his 'i!#(
It see's !either a! eo!o'ial !or a! i!spire# proe#ure( No) let us liste! to Coleri#$e's
elebrate# #esriptio! of the $e!esis of Kubla Kha!( He is speaki!$ of hi'self i! the thir#
perso! si!$ular0
I! the su''er of the year 4O5O& the Author& the! i! ill health& ha# retire# to a lo!ely far'"
house bet)ee! Porlok a!# =i!to!( ( ( ( I! o!se/ue!e of a sli$ht i!#ispositio!& a! a!o#y!e
ha# bee! presribe#& fro' the effets of )hih he fell asleep i! his hair at the 'o'e!t that
he )as rea#i!$ the follo)i!$ se!te!e& or )or#s of the sa'e substa!e& i! Purhas's
Pil$ri'a$e0 Here the Kha! Kubla o''a!#e# a palae to be built& a!# a stately $ar#e!
thereu!to( A!# thus te! 'iles of fertile $rou!# )ere e!lose# )ith a )all( The Author
o!ti!ue# for about three hours i! a profou!# sleep& at least of the e-ter!al se!ses 7si8
#uri!$ )hih ti'e he has the 'ost %i%i# o!fi#e!e& that he oul# !ot ha%e o'pose# less
tha! fro' t)o to three hu!#re# li!es, if that i!#ee# a! be alle# o'positio! i! )hih all
the i'a$es rose up before hi' as thi!$s )ith a parallel pro#utio! of the orrespo!#e!t
e-pressio!s& )ithout a!y se!satio! or o!sious!ess of effort( O! a)ake!i!$ he appeare# to
hi'self to ha%e a #isti!t reolletio! of the )hole& a!# taki!$ his pe!& i!k& a!# paper&
i!sta!tly a!# ea$erly )rote #o)! the li!es that are here preser%e#(
This& of ourse& is a! e-tre'e ase of u!o!sious pro#utio! "" e%e! if& i! all likelihoo#& it
#i# !ot ori$i!ate i! a #rea'& but i! a! i!te!se #ay#rea' or hyp!o$o$i state( 1I! a!other&
a!# probably earlier& state'e!t Coleri#$e $i%es a #iffere!t %ersio!0 'This fra$'e!t )ith a
$oo# #eal 'ore& !ot reo%erable& o'pose# i! a sort of Re%erie brou$ht o! by t)o $rai!s of
Opiu'& take! to hek a #yse!tery(' The 're%erie' %ersio! is stre!$the!e# by the )or#s 'i! a
profou!# sleep& at least of the e-ter!al se!ses' "" )hih poi!t to)ar#s so'e i!ter'e#iary
ki!# of ')aki!$ #rea''(2
*ut )hether he )as asleep or half asleep is u!i'porta!t, the poi!t to !ote is the e'phasis
he puts o! %isual i'a$es ')hih rose up as thi!$s'( U!fortu!ately& !o soo!er ha# he starte#
o! the atual )riti!$ #o)! of the poe' tha! he )as i!terrupte# 'by a perso! o! busi!ess
fro' Porlok& a!# #etai!e# by hi' abo%e a! hour& a!# o! his retur! to his roo'& fou!#& to
his !o s'all surprise a!# 'ortifiatio! ( ( ( that )ith the e-eptio! of so'e ei$ht or te!
sattere# li!es a!# i'a$es& all the rest ha# passe# a)ay like the images on the surface of a
stream into which a stone has been cast'( This i!i#e!tal 'etaphor su##e!ly sets off i! its
author a!other hai! of %isual i'a$ery )hih illustrates ho) the #rea' %ersio! of 'Kubla
Kha!' )as lost& tha!ks to the $e!tle'a! fro' Porlok& but reo!strute# later o! out of the
re'ai!i!$ fra$'e!ts( After the 'sto!e ha# bee! ast'0
( ( ( all the har' Is broke! "" all that pha!to'")orl# so fair 3a!ishes& a!# a thousa!#
irlets sprea#& A!# eah 'isshape the other( Stay a)hile& Poor youthG ( ( ( The strea' )ill
soo! re!e) its s'ooth!ess& soo! The %isio!s )ill retur!G A!# lo& he stays& A!# soo! the
fra$'e!ts #i' of lo%ely for's Co'e tre'bli!$ bak& u!ite& a!# !o) o!e 'ore The pool
beo'es a 'irror(
The )hole poe'& )ith its rather striki!$ alle$ory& $re) out of a hak!eye# 'etaphor&
)hih )as 'ea!t to ser%e o!ly as a %isual illustratio! to a %erbal !arrati%e( *ut all at o!e
the ser%a!t beo'es 'aster& the illustratio! takes o%er fro' the te-t, %isual assoiatio!& the
lo$i of the eye are i! o''a!#& a!# the )or#s 'ust follo) their lea#( ( ( (
:e further !ote that the )hole se/ue!e of '!ot less tha! fro' t)o to three hu!#re# li!es'
of the Kubla Kla! #rea' itself )as tri$$ere# off by a passa$e rea# i! Purchas/s Pilgrimage&
as i!#iffere!t as the si'ile of the sto!e ast i!to the strea'0 'Here the Kha! Kubla
o''a!#e# a palae to be built'& et( *ut at that poi!t his i'a$i!atio! au$ht o!& the opiu'
took effet& %isual thi!ki!$ took o%er& a!# i'a$es 'rose up as thi!$s'(
Thi!ki!$ i! pitures #o'i!ates the 'a!ifestatio!s of the u!o!sious "" the #rea'& the
hyp!o$o$i half"#rea'& the psyhoti's hallui!atio!s& the artist's '%isio!'( 1The '%isio!ary'
prophet see's to ha%e bee! a %isuali+er& a!# !ot a %erbali+er, the hi$hest o'pli'e!t )e
pay to those )ho tra#e i! %erbal urre!y is to all the' '%isio!ary thi!kers'(2
*ut& o! the other ha!#& pitorial thi!ki!$ is a 'ore pri'iti%e for' of 'e!tatio! tha!
o!eptual thi!ki!$& )hih it pree#es i! the 'e!tal e%olutio! of the i!#i%i#ual a!# of the
speies( The la!$ua$e of the pri'iti%e 1a!# of the hil#2 is& to borro) Kretsh'er's si'ile&
'like the u!fol#i!$ of a piture"strip0 eah )or# e-presses a piture& a pitorial i'a$e&
re$ar#less of )hether it si$!ifies a! ob.et or a! atio!'( I! ;ol#i!$'s !o%el *he Inheritors
the Nea!#erthal 'e! al)ays say 'I ha# a piture' )he! they 'ea! 'I thou$ht of so'ethi!$',
a!# a!thropolo$ists a$ree that for o!e a !o%elist $ot the piture ri$ht(
Thus the poet )ho re%erts to the pitorial 'o#e of thou$ht is re$ressi!$ to a! ol#er a!#
lo)er le%el of the 'e!tal hierarhy "" as )e #o e%ery !i$ht )he! )e #rea'& as 'e!tal
patie!ts #o )he! they re$ress to i!fa!tile fa!tasies( *ut the poet& u!like the #rea'er i! his
sleep& alter!ates bet)ee! t)o #iffere!t le%els of the 'e!tal hierarhy, the #rea'er's
a)are!ess fu!tio!s o! o!e o!ly( The poet thi!ks both i! i'a$es a!# %erbal o!epts& at the
sa'e ti'e or i! /uik alter!atio!, eah 'trou%aille'& eah ori$i!al fi!#& bisoiates t)o
'atries( The #rea'er floats a'o!$ the pha!to' shapes of the hoary #eep, the poet is a
ski!#i%er )ith a breathi!$ tube(
Si'ilar o!si#eratio!s apply "" a!# )ill be #isusse# i! Part III "" to rhyth'& 'etre&
alliteratio!& asso!a!e& rhy'e( The rhyth'i beat& ehoi!$ the sha'a!'s to'"to'& a)ake!s
arhai reso!a!es a!# 'lulls the 'i!# i!to a )aki!$ tra!e' 1Beats2( The rhy'e appeals to
the te!#e!y to %oal repetitio! i! the la!$ua$e of pri'iti%es a!# hil#re! 1kala"kala& 'a"
'a2& a!# to the e/ually #eep"roote# te!#e!y to assoiate by sou!# "" pu!!i!$( To o!lu#e
this a!tiipatory e-ursio!0 the reati%e ati%ity of the artist i!%ol%es momentary
regressions to earlier sta$es i! 'e!tal e%olutio!& bri!$i!$ for's of 'e!tatio! i!to play
)hih other)ise 'a!ifest the'sel%es o!ly i! the #rea' or #rea'like states(
The :or# a!# the 3isio!
=et us retur! fro' poets to sie!tists& a!# to the /uestio! )hat $ui#a!e the latter oul#
possibly #eri%e fro' the i!ter%e!tio! of u!o!sious proesses( The a!s)er )hih& by
a!alo$y& !o) su$$ests itself is that the temporary relin+uishing of conscious controls
liberates the mind from certain constraints which are necessary to maintain the disciplined
routines of thoughts but may become an impediment to the creative leapH at the same time
other types of ideation on more primitive levels of mental organi0ation are brought into
activity ( The first part of this se!te!e i!#iates a! at of ab#iatio!& the seo!# a! at of
pro'otio!( It )ill be useful to re'e'ber this #ual aspet of the Eureka at, it )ill be see!&
later o!& to orrespo!# to the #estruti%e"o!struti%e harater of all $reat re%olutio! i! the
history of thou$ht(
The sie!tifi ou!terpart of the Coleri#$e episo#e is the Kekul^ episo#e 1p( 44F2( *ut the
%isio! of the serpe!t biti!$ its tail )as o!ly the last o!e i! a series& )hih e-te!#e# o%er a
perio# of se%e! or ei$ht years( This is ho) KekulT #esribe# o!e of the early but #eisi%e
/uasi"hallui!atio!s& )hih le# to his theory of 'oleular o!stitutio! "" he )as the! li%i!$
i! =o!#o!0
'O!e fi!e su''er e%e!i!$&' he relates& 'I )as retur!i!$ by the last o'!ibus& outsi#e as
usual& throu$h the #eserte# streets of the 'etropolis& )hih are at other ti'es so full of life(
I fell i!to a re%erie& a!# loG the ato's )ere $a'bolli!$ before 'y eyes( :he!e%er& hitherto&
these #i'i!uti%e bei!$s ha# appeare# to 'e& they ha# al)ays bee! i! 'otio!, but up to that
ti'e& I ha# !e%er bee! able to #iser! the !ature of their 'otio!( No)& ho)e%er& I sa) ho)&
fre/ue!tly& t)o s'aller ato's u!ite# to for' a pair, ho) a lar$er o!e e'brae# t)o s'aller
o!es, ho) still lar$er o!es kept hol# of three or e%e! four of the s'aller, )hilst the )hole
kept )hirli!$ i! a $i##y #a!e( I sa) ho) the lar$er o!es for'e# a hai! ( ( ( I spe!t part of
the !i$ht putti!$ o! paper at least skethes of these #rea' for's( 79A8
The )hirli!$& $i##y %isio! re'i!#s o!e of the hallui!atio!s of shi+ophre!is& as pai!te#
or #esribe# by the'( KekulT's ase is rather e-eptio!al& but !e%ertheless harateristi i!
o!e respet0 the su##e! ab#iatio! of o!eptual thou$ht i! fa%our of se'i"o!sious %isual
o!eits(
A!other e-a'ple is >ihael Fara#ay& o!e of the $reatest physiists of all ti'e& )ho also
)as a '%isio!ary' !ot o!ly i! the 'etaphorial but i! the literal se!se( He sa) the stresses
surrou!#i!$ 'a$!ets a!# eletri urre!ts as ur%es i! spae& for )hih he oi!e# the !a'e
'li!es of fores'& a!# )hih& i! his i'a$i!atio!& )ere as real as if they o!siste# of soli#
'atter( He %isuali+e# the u!i%erse patter!e# by these li!es "" or rather by !arro) tubes
throu$h )hih all for's of 'ray"%ibratio!s' or e!er$y"ra#iatio!s are propa$ate#( This %isio!
of ur%e# tubes )hih 'rose up before hi' like thi!$s' pro%e# of al'ost i!re#ible fertility0
it $a%e birth to the #y!a'o a!# the eletri 'otor, it le# Fara#ay to #isar# the ether& a!# to
postulate that li$ht )as eletro"'a$!eti ra#iatio!( Perhaps the 'ost re'arkable fat about
Fa!#ay is that he lake# a!y 'athe'atial e#uatio! or $ift& a!# )as 'i$!ora!t of all but the
'erest ele'e!ts of arith'eti', a!# 'athe'atis is of ourse re$ar#e# as a! i!#ispe!sable
tool of the physiist( I! his Fara#ay 'e'orial leture i! 4FF4& %o! Hel'hol+ "" hi'self o!e
of the $reatest 'athe'atial physiists of the e!tury "" re'arke#0
It is i! the hi$hest #e$ree asto!ishi!$ to see )hat a lar$e !u'ber of $e!eral theore's& the
'etho#ial #e#utio! of )hih re/uires the hi$hest po)ers of 'athe'atial a!alysis& he
fou!# by a ki!# of i!tuitio!& )ith the seurity of i!sti!t& )ithout the help of a si!$le
'athe'atial for'ula( 7968
KekulT's %isio!s rese'ble hallui!atory fli$hts, Fara#ay's& the stable #elusio!al syste's of
para!oia( KekulT's serpe!t re'i!#s o!e of pai!ti!$s by *lake, the ur%es of fore )hih
ro)# Fara#ay's u!i%erse reall the %orties i! 3a! ;o$h's skies(
Arou!# fifty "" like Ne)to!& a!# at the sa'e a$e "" Fara#ay ha# a !er%ous break#o)!( He
ha# al)ays hate# )riti!$ letters a!# ha# stoppe# leturi!$, !o) he see'e# to ha%e
#e%elope# a! abhorre!e of la!$ua$e itself0 'This is to #elare i! the prese!t i!sta!e& )he!
I say I a' !ot able to bear 'uh talki!$& it 'ea!s really& a!# )ithout a!y 'istake& or
e/ui%oatio! or obli/ue 'ea!i!$& or i'pliatio!& or subterfu$e& or o'issio!& that I a' !ot
able& bei!$ at prese!t rather )eak i! the hea# a!# able to )ork !o 'ore(' 79I8 <istrust of
)or#s is a trait ofte! fou!# a'o!$ those )ho reate )ith their eyes(
=et us lea%e the bor#erla!#s of patholo$y( Nobo#y oul# ha%e bee! further re'o%e# fro' it
tha! the 'il#& sober& a!# sai!tly Ei!stei!( Bet )e fi!# i! hi' the sa'e #istrust of o!sious
o!eptual thou$ht& a!# the sa'e relia!e o! %isual i'a$ery( I! 456I a! i!/uiry )as
or$a!i+e# a'o!$ e'i!e!t 'athe'atiia!s i! A'eria to fi!# out their )orki!$ 'etho#s( I!
reply to the /uestio!!aire )hih )as se!t to hi'& Ei!stei! )rote0
The )or#s or the la!$ua$e& as they are )ritte! or spoke!& #o !ot see' to play a!y role i!
'y 'eha!is' of thou$ht( The physial e!tities )hih see' to ser%e as ele'e!ts i!
thou$ht are ertai! si$!s a!# 'ore or less lear i'a$es )hih a! be '%olu!tarily'
repro#ue# a!# o'bi!e#( ( ( ( ( ( ( Take! fro' a psyholo$ial %ie)poi!t& this o'bi!atory
play see's to be the esse!tial feature i! pro#uti%e thou$ht "" before there is a!y
o!!etio! )ith lo$ial o!strutio! i! )or#s or other ki!#s of si$!s )hih a! be
o''u!iate# to others( The abo%e"'e!tio!e# ele'e!ts are& i! a!y ase& of %isual a!#
so'e of 'usular type( Co!%e!tio!al )or#s or other si$!s ha%e to be sou$ht for laboriously
o!ly i! a seo!#ary sta$e& )he! the 'e!tio!e# assoiati%e play is suffiie!tly establishe#
a!# a! be repro#ue# at )ill( Aor#i!$ to )hat has bee! sai#& the play )ith the
'e!tio!e# ele'e!ts is ai'e# to be a!alo$ous to ertai! lo$ial o!!etio!s o!e is
searhi!$ for( I! a sta$e )he! )or#s i!ter%e!e at all& they are& i! 'y ase& purely au#iti%e&
but they i!terfere o!ly i! a seo!#ary sta$e as alrea#y 'e!tio!e#( 79@8
The i!/uiry )as or$a!i+e# by ?a/ues Ha#a'ar#& )ho' I ha%e repeate#ly /uote#& si!e he
is to 'y k!o)le#$e the o!ly 'athe'atiia! )ho has 'a#e a syste'ati researh i!to the
psyholo$y of 'athe'atial reatio!( Of hi'self he sai#0
I #isti!tly belo!$ to the au#itory type, a!# preisely o! that aou!t 'y 'e!tal pitures
are e-lusi%ely %isual( The reaso! for that is /uite lear to 'e0 suh %isual pitures are 'ore
!aturally %a$ue& as )e ha%e see! it to be !eessary i! or#er to lea# 'e )ithout 'islea#i!$
'e(
He su''e# up the results of the i!/uiry as follo)s0
A'o!$ the 'athe'atiia!s bor! or resi#e!t i! A'eria ( ( ( phe!o'e!a are 'ostly
a!alo$ous to those )hih I ha%e !otie# i! 'y o)! ase( Pratially all of the' ( ( ( a%oi#
!ot o!ly the use of 'e!tal )or#s but also& .ust as I #o& the 'e!tal use of al$ebrai or a!y
other preise si$!s, also as i! 'y ase& they use %a$ue i'a$es( ( ( ( D The 'e!tal
pitures ( ( ( are 'ost fre/ue!tly %isual& but they 'ay also be of a!other ki!#& for i!sta!e&
ki!eti( There a! also be au#iti%e o!es& but e%e! these ( ( ( /uite $e!erally keep their %a$ue
harater( 79O8
It rather sou!#s as if 'athe'atial #iso%eries )ere bor! out of the airy !othi!$s of 3
&idsummer 9ight/s :ream0
( ( ( as i'a$i!atio! bo#ies forth The for's of thi!$s u!k!o)!& the poet's pe! Tur!s the' to
shapes& a!# $i%es to airy !othi!$ A loal habitatio! a!# a !a'e(
The i!/uiry brou$ht o!lusi%e proof that a'o!$ 'athe'atiia!s& %erbal thi!ki!$ plays
o!ly a subor#i!ate part i! the #eisi%e phase of the reati%e at, a!# there is a 'ass of
e%i#e!e to sho) that this is also the rule a'o!$ ori$i!al thi!kers i! other bra!hes of
sie!e(
This is a rather startli!$ #iso%ery i! %ie) of the fat that la!$ua$e is the prou#est
possessio! of ho'o sapie!s& a!# the %ery fou!#atio! o! )hih 'e!tal e%olutio! oul#
buil#( '=o$i' #eri%es fro' lo$os& )hih ori$i!ally 'ea!t 'la!$ua$e'& 'thou$ht'& a!# 'reaso!'&
all i! o!e( Thi!ki!$ i! o!epts e'er$e# out of thi!ki!$ i! i'a$es throu$h the slo)
#e%elop'e!t of the po)ers of abstratio! a!# sy'boli+atio!& as the pho!eti sript
e'er$e# by si'ilar proesses out of pitorial sy'bols a!# hiero$lyphs( >ost of us )ere
brou$ht up i! the belief that 'thi!ki!$' is sy!o!y'ous )ith %erbal thi!ki!$& a!#
philosophers fro' Athe!s to O-for# ha%e kept reasserti!$ this belief( The early
*eha%iourists )e!t e%e! further& asserti!$ !ot o!ly that )or#s are i!#ispe!sable to thou$ht&
but also that thi!ki!$ is !othi!$ 'ore tha! the subli'i!al 'o%e'e!ts of the %oal hor#s&
a! i!au#ible )hisperi!$ to o!eself( Bet if all thi!ki!$ )ere %erbal thi!ki!$ Ei!stei! )oul#
!ot /ualify as a thi!ker( I! fat& the )hole e%i#e!e poi!ts i! the opposite #iretio!&
su''e# up i! a si!$le se!te!e i! :oo#)orth's lassi te-tbook of e-peri'e!tal
psyholo$y0 'Ofte! )e ha%e to $et a)ay fro' speeh i! or#er to thi!k learly(' A!# )e
hear# o!e testi'o!y after a!other fro' $reat sie!tists& )hih sho) that i! or#er to reate
they ha# to re$ress at ti'es fro' the )or# to the piture"strip& fro' %erbal sy'bolis' to
%isual sy'bolis' "" so'e& like Ei!stei!& e%e! to the ki!estheti se!satio! of 'usle"
'otio!s( The )or# 're$ressio!' is appropriate& beause the hi$h aestheti %alue )hih )e
put o! %isual i'a$ery shoul# !ot obsure the fat that as %ehiles of thou$ht& pitorial a!#
other !o!"%erbal represe!tatio!s are i!#ee# earlier& both phylo$e!etially a!#
o!to$e!etially ol#er for's of i#eatio!& tha! %erbal thi!ki!$( KekulT's '=et us #rea'&
$e!tle'e!'& is a! i!%itatio! to re$ressio! a!# retreat "" but a re$ressio! )hih prepares the
for)ar# leap& a reculer pour mieux sauter(
The S!ares of =a!$ua$e
The !eessity for this retreat #eri%es fro' the fat that )or#s are a blessi!$ )hih a! tur!
i!to a urse( They rystalli+e thou$ht, they $i%e artiulatio! a!# preisio! to %a$ue i'a$es
a!# ha+y i!tuitio!s( *ut a rystal is !o lo!$er a flui#( '=a!$ua$e is !ot o!ly the fou!#atio!
for the )hole faulty of thi!ki!$& but the e!tral poi!t also fro' )hih proee# the
'isu!#ersta!#i!$s of reaso! by herself(' 79F8 This )as )ritte! by Ha''a!& a ;e'a!
philosopher of the ei$htee!th e!tury& )ho ha# a $reat i!flue!e o! ;oethe( Ro'a!
?akobso!& a o!te'porary li!$uist "" to /uote o!e a'o!$ 'a!y "" %oies the sa'e a!ie!t
#oubt0
Si$!s are a !eessary support of thou$ht( For soiali+e# thou$ht 1sta$e of o''u!iatio!2
a!# for the thou$ht )hih is bei!$ soiali+e# 1sta$e of for'ulatio!2& the 'ost usual syste'
of si$!s is la!$ua$e properly alle#, but i!ter!al thou$ht espeially )he! reati%e& )illi!$ly
uses other syste's of si$!s )hih are 'ore fle-ible& less sta!#ar#i+e# tha! la!$ua$e a!#
lea%e 'ore liberty& 'ore #y!a'is' to reati%e thou$ht( 7958
The %ital i'porta!e of la!$ua$e as a thou$ht"rystalli+er )as perfetly #esribe# by little
Alie )ho& o! bei!$ a#'o!ishe# to thi!k arefully before she spoke& i!#i$!a!tly
e-lai'e#0( 'Ho) a! I k!o) )hat I thi!k till I see )hat I sayE' For it is& of ourse&
u!#e!iable that i! some for's of i!telletual ati%ity la!$ua$e is !ot o!ly a! i!#ispe!sable
tool& but that the strea' of la!$ua$e atually arries the thou$ht& so that the proesses of
i#eatio! a!# %erbal for'ulatio! beo'e i!#isti!$uishable( The sa'e applies to ertai!
phases i! the poet's a!# )riter's )ork, but o!ly to ertai! phases( The ou!terpart to the
little $irl's pre#ia'e!t is the little boy's )ho sai#0 'I see )hat I 'ea! but I #o!'t k!o) ho)
to say it('
Not o!ly sie!tists& pai!ters& a!# 'usiia!s fi!# it ofte! #iffiult to o!%ert their i#eas i!to
%erbal urre!y& but )riters too( E%e! H( ;( :ells la'e!te#0 'The foreps of our 'i!#s are
lu'sy thi!$s a!# rush the truth a little i! the ourse of taki!$ hol# of it(' The !o%elist
suffers "" a'o!$ other thi!$s "" fro' the po%erty of his %oabulary )he! he tries to
#esribe )hat his haraters feel 1as #isti!t fro' )hat they thi!k or #o2( He a! )rite
strea's of )hat $oes o! i! the ra!ial a%ity& but if it is a pai! i! the ab#o'i!al a%ity& all
he a! say is& 'it hurts' "" or use so'e e/ually i!sipi# sy!o!y'( Sufferi!$ is '#u'b', the
$la!#ular a!# %iseral proesses )hih olour e'otio! #o !ot le!# the'sel%es to %erbal
artiulatio!(
The sie!tist's trouble )ith la!$ua$e is of a #iffere!t !ature( He suffers !ot fro' the
po%erty of his %erbal tools but rather fro' their o%er"preisio!& a!# the hi##e! s!ares i!
the'(
Take& for e-a'ple& the #eepti%ely si'ple )or#s 'Spae' a!# 'Ti'e'( *efore the #a)! of the
sie!tifi re%olutio!& 'e#ie%al 'a! li%e# i! a lose# u!i%erse )ith fir' bou!#aries i! spae
a!# ti'e "" a fe) 'illio! 'iles i! #ia'eter& a!# a fe) thousa!# years of #uratio!( Spae
take! i! itself& as a! abstrat o!ept& #i# !ot e-ist, it )as 'erely a! attribute of 'aterial
bo#ies "" their le!$th& )i#th& a!# #epth, e'pty spae )as u!thi!kable& a o!tra#itio! i!
ter's, a!# i!fi!ite spae e%e! 'ore so( Ti'e& si'ilarly& )as si'ply the #uratio! of a!
e%e!t( Nobo#y i! his se!ses )oul# ha%e sai# that thi!$s 'o%e through spae or in ti'e ""
ho) a! a thi!$ 'o%e i! or throu$h a! attribute of itselfE
The o%er"preise 'ea!i!$ )hih these )or#s arrie# ha# e!s!are# sie!tifi thou$ht fro'
Aristotle to the Re!aissa!e( E%e! ;alileo still belie%e# that a hea%e!ly bo#y& left to itself&
)oul# for e%er o!ti!ue to 'o%e i! a irular path& beause a strai$ht li!e )oul# arry it
to)ar#s i!fi!ity "" )hih )as u!thi!kable( A!# )he! he !otie# that t)o polishe# 'arble
slabs stuk to eah other )ith asto!ishi!$ stre!$th& he asribe# this to !ature's horror of
e'pty spae )hih )oul# be reate# at the 'o'e!t of their separatio! "" a!# thus faile# to
#iso%er the phe!o'e!o! of surfae"a#here!e(
The first tha) of these fro+e! )or#"rystals ourre# i! 49OO& )he! a ou!il of
theolo$ia!s i! Paris o!#e'!e# the Aristotelia! #otri!e that e%e! ;o# oul# !ot reate
e'pty or i!fi!ite spae( Thus both e'pty spae a!# i!fi!ite spae bea'e at least thinkable
"" )hih pre%iously they ha# !ot bee!( A fe) u!ortho#o- thi!kers #i# i! fat speulate
about the', yet it took a!other four e!turies u!til Spae a!# Ti'e a/uire# a !e) 'ea!i!$
i! the Ne)to!ia! u!i%erse(
For the !e-t t)o hu!#re# years after Ne)to! Spae 'ea!t the ri$i# three"#i'e!sio!al
fra'e of the u!i%erse& )hih re'ai!e# at rest, so that the 'otio! of a boat saili!$ up a ri%er
)as relative 'easure# a$ai!st the )ater or oast& but absolute 'otio! 'easure# a$ai!st the
fra'e of Spae( Ti'e ha# a! e/ually absolute !ature, a!# that is )hat to 'ost of us the
)or#s Spae a!# Ti'e still 'ea! "" e-ept i! our #rea's& )he! the ri$i#& Ne)to!ia!
fra'e)ork breaks #o)!(
Ei!stei! oul# !e%er ha%e tra!sfor'e# 'a!'s %ie) of the u!i%erse& ha# he aepte# those
t)o )or#s as rea#y"'a#e tools( ':he! I aske# 'yself'& he o!fi#e# to a frie!#& 'ho) it
happe!e# that I i! partiular #iso%ere# the Relati%ity Theory& it see'e# to lie i! the
follo)i!$ iru'sta!e( The !or'al a#ult !e%er bothers his hea# about spae"ti'e
proble's( E%erythi!$ there is to be thou$ht about& i! his opi!io!& has alrea#y bee! #o!e i!
early hil#hoo#( I& o! the o!trary& #e%elope# so slo)ly that I o!ly be$a! to )o!#er about
spae a!# ti'e )he! I )as alrea#y $ro)! up( I! o!se/ue!e I probe# #eeper i!to the
proble' tha! a! or#i!ary hil# )oul# ha%e #o!e(' 7AC8 >o#esty a! har#ly be arrie#
further, !or i!si$ht put i!to si'pler ter's(
'For 'e 7the Relati%ity Theory8 a'e as a tre'e!#ous surprise'& sai# >i!ko%sky& )ho ha#
bee! o!e of Ei!stei!'s teahers& 'for i! his stu#e!t #ays Ei!stei! ha# bee! a la+y #o$( He
!e%er bothere# about 'athe'atis at all( ( ( ( Fro' !o) o! space in itself a!# time in itself
'ust si!k i!to the sha#e a!# o!ly a u!io! of the t)o )ill preser%e i!#epe!#e!e( 7A48
The spelli!$ of the t)o )or#s ha# re'ai!e# the sa'e& but they !o) si$!ifie# so'ethi!$
/uite #iffere!t fro' )hat they ha# si$!ifie# before(
:or#s are esse!tial tools for for'ulati!$ a!# o''u!iati!$ thou$hts& a!# also for putti!$
the' i!to the stora$e of 'e'ory, but )or#s a! also beo'e s!ares& #eoys& or strait"
.akets( A $reat !u'ber of the basi %erbal o!epts of sie!e ha%e tur!e# out at %arious
ti'es to be both tools a!# traps0 for i!sta!e& 'ti'e'& 'spae'& ''ass'& 'fore'& ')ei$ht'& 'ether'&
'orpusle'& ')a%e'& i! the physial sie!es, ' purpose'& ' )ill'& ' se!satio!'& 'o!sious!ess'& '
o!#itio!i!$'& i! psyholo$y, 'li'it'& 'o!ti!uity'& 'ou!tability'& '#i%isibility'& i! 'athe'atis(
For these )ere !ot si'ple %erbal ta$s& as !a'es attahe# to partiular perso!s or ob.ets
are, they )ere artifiial o!struts )hih behi!# a! i!!oe!t faa#e hi# the traes of the
partiular ki!# of lo$i )hih )e!t i!to their 'aki!$( As Si#!ey Hook has put it0 ':he!
Aristotle #re) up his table of ate$ories )hih to hi' represe!te# the $ra''ar of
e-iste!e& he )as really pro.eti!$ the $ra''ar of the ;reek la!$ua$e o! the os'os(' 7A98
That $ra''ar has kept us to this #ay e!s!are# i! its para#o-es0 it 'a#e the $ra!#eur a!#
'isery of t)o 'ille!!ia of Europea! thou$ht( If :ester! philosophy& to /uote Popper&
o!siste# i! a series of foot!otes to Plato& :ester! sie!e took a full t)o thousa!# years to
liberate itself fro' the hyp!oti effet of Aristotle& )hose e!ylopae#i philosophy
pe!etrate# the %ery struture of our la!$ua$e( It #eter'i!e# !ot o!ly )hat )as 'sie!e' but
also )hat )as 'o''o! se!se'( Eah of the 'a.or break"throu$hs i! sie!tifi thou$ht ha#
to be ahie%e# !ot o!ly i! the teeth of Aristotelia!& Plato!i& a!# Christia! #o$'a& but also
i! the teeth of )hat appeare# to be self"e%i#e!t a!# o''o!se!sial "" the i'plie# rules of
the o#e( Eah re%olutio! ha# to 'ake a hole i! the establishe# fabri of o!eptual
thou$ht( Kepler #estroye# the 'self"e%i#e!t' #otri!e of u!ifor' irular 'otio!, ;alileo the
e/ually o''o!se!se !otio! that a!y 'o%i!$ bo#y 'ust ha%e a ''o%er' )hih pulls or
pushes it alo!$( Ne)to!& to his horror& ha# to $o a$ai!st the ob%ious e-perie!e that atio!
is o!ly possible by o!tat, Rutherfor# ha# to o''it the o!tra#itio! i! ter's of
asserti!$ the #i%isibility of the ato'& )hih i! ;reek 'ea!s 'i!#i%isible'( Ei!stei! #estroye#
our belief that loks 'o%e at the sa'e rate a!y)here i! the u!i%erse, /ua!tu' physis has
'a#e the tra#itio!al 'ea!i!$ of )or#s like 'atter& e!er$y& ause a!# effet& e%aporate i!to
thi! air(
'The a)k)ar# fat'& sai# =( =( :hyte& 'that reaso!& as )e k!o) it& is !e%er a)are of its
hi##e! assu'ptio!s "" has bee! too 'uh for so'e philosophers& a!# e%e! 'a!y sie!tists
to a#'it(' 7AA8 O!e of the philosophers )ho sa) this learly )as :itt$e!stei!0 'Propositio!s
a!!ot represe!t the lo$ial for'0 this 'irrors itself i! the propositio!s( That )hih 'irrors
itself i! la!$ua$e& la!$ua$e a!!ot represe!t( That )hih e-presses itself i! la!$ua$e& we
a!!ot represe!t(' 7A68
The pre.u#ies a!# i'purities )hih ha%e beo'e i!orporate# i!to the %erbal o!epts of
a $i%e! 'u!i%erse of #isourse' a!!ot be u!#o!e by a!y a'ou!t of #isourse )ithi! the
fra'e of refere!e of that u!i%erse( The rules of the $a'e& ho)e%er absur#& a!!ot be
altere# by playi!$ that $a'e( A'o!$ all for's of 'e!tatio!& %erbal thi!ki!$ is the 'ost
artiulate& the 'ost o'ple-& a!# the 'ost %ul!erable to i!fetious #iseases( It is liable to
absorb )hispere# su$$estio!s& a!# to i!orporate the' as hi##e! persua#ers i!to the o#e(
=a!$ua$e a! beo'e a sree! )hih sta!#s bet)ee! the thi!ker a!# reality( This is the
reaso! )hy true reati%ity ofte! starts )here la!$ua$e e!#s(
NOTES
To p( 4IO( ]e! philosophy& i! the for' i! )hih it is tau$ht by its o!te'porary
propou!#ers 1fore'ost a'o!$ the' Prof( <( T( Su+uki a!# his :ester! #isiples2& is a
)elter of o!fusio!s& #eri%e# fro' the failure to #isri'i!ate bet)ee! auto'ati+e# skills
a!# reati%e ori$i!ality "" bet)ee! the '#o)!)ar#' a!# the 'up)ar#' traffi to a!# fro' the
u!o!sious( The for'er results i! $etti!$ the 'k!ak' of a skill, the latter i! the su##e!
flash of a !e) i!si$ht 1the 'It'2( The pratitio!er of the %arious applie# ]e! arts )as trai!e#
to at 'spo!ta!eously& u!thi!ki!$ly' "" a!# this le# to the a##e# o!fusio! bet)ee! the
pseu#o"spo!ta!eity #isplaye# by the respo!ses of a )ell"oile# auto'ato!& a!# the $e!ui!e
spo!ta!eity of ori$i!al i!spiratio!( 1Cf( 'The It a!# the K!ak'& pp( 9@C se/(& i! 'y *he
Lotus and the !obot& 45@C2(
To p( 4@@( =ess u!#ersta!#able is the ase of Spear'a!& )ho )rote a book o! the reative
&ind 145AC2 )ith o!ly passi!$ 'e!tio! of u!o!sious proesses& the 'ai! refere!e bei!$
a s!eer at Freu#'s preoupatio! )ith 'subo!sious bestiality'( This )as )ritte! )he!
Spear'a! )as Professor of Psyholo$y at the U!i%ersity of =o!#o!(
To p( 4O9( The e-eptio!s )ere ;( <( *irkhoff& Norbert :ie!er 1)ho sai# that 'he happe!s
to thi!k )ith or )ithout )or#s'2& a!# ;( Polya(
3III
UN<ER;ROUN< ;A>ES
The I'porta!e of <rea'i!$
To reapitulate0 or#ere#& #isipli!e# thou$ht is a skill $o%er!e# by set rules of the $a'e&
so'e of )hih are e-pliitly state#& others i'plie# a!# hi##e! i! the o#e( The reati%e at&
i! so far as it #epe!#s o! u!o!sious resoures& presupposes a rela-i!$ of the o!trols a!#
a re$ressio! to 'o#es of i#eatio! )hih are i!#iffere!t to the rules of %erbal lo$i&
u!perturbe# by o!tra#itio!& u!touhe# by the #o$'as a!# taboos of so"alle# o''o!
se!se( At the #eisi%e sta$e of #iso%ery the o#es of #isipli!e# reaso!i!$ are suspe!#e# ""
as they are i! the #rea'& the re%erie& the 'a!i fli$ht of thou$ht& )he! the strea' of
i#eatio! is free to #rift& by its o)! e'otio!al $ra%ity& as it )ere& i! a! appare!tly 'la)less'
fashio!(
The la)s of #isipli!e# thi!ki!$ #e'a!# that )e shoul# stik to a $i%e! fra'e of refere!e
a!# !ot shift fro' o!e u!i%erse of #isourse to a!other( :he! I a' ar$ui!$ about !ichard
III a!# so'ebo#y /uotes ''y ki!$#o' for a horse' I a' !ot suppose# to shift 'y atte!tio!
to 'y ha!es of #ra)i!$ a )i!!er i! the ;ra!# Natio!al& ho)e%er te'pti!$ it 'ay be( The
strai! of o!e!trati!$ o! a! abstrat sub.et #eri%es 'ai!ly fro' the effort to i!hibit
e'otio!ally 'ore te'pti!$ assoiatio!s outsi#e of its fiel#( *ut )he! o!e!tratio! fla$s
a!# pri'iti%e 'oti%atio!s take o%er& thou$ht )ill shift fro' o!e 'atri- to a!other& like a
ball bou!i!$ #o)! a 'ou!tai! strea'& eah ti'e a! i#ea 1like 'horse' i! the abo%e
e-a'ple2 pro%i#es a li!k to a 'ore attrati%e o!te-t(
:e 'i$ht say that )hile #rea'i!$ we constantly bisociate in a passive way "" by #rift as it
)ere, but )e are& of ourse& u!a)are of it beause the ohere!e of the lo$ial 'atries is
)eake!e#& a!# the o#es )hih $o%er! the' are #or'a!t( He!e& )hile #rea'i!$& )e #o
!ot reali+e their i!o'patability, there is !o si'ulta!eous .u-tapositio! of 'atries& !o
a)are!ess of o!flit a!# i!o!$ruity, that o'es o!ly o! a)ake!i!$( To put it i! a!other
)ay0 the #rea' assoiates by 'etho#s )hih are i'per'issible i! the )aki!$ state "" suh
as affi!ities of sou!# #etahe# fro' 'ea!i!$& a!# si'ilarities of for' re$ar#less of
fu!tio!( It 'akes use of 'li!ks' )hih& )hile a)ake )e ')oul# !ot #rea'' of usi!$ "" e-ept
)here #rea'"lo$i i!tru#es i!to hu'our& #iso%ery& a!# art(
It is !ot surprisi!$& the!& that )e fi!# all the bisoiati%e patter!s that I ha%e #isusse#
pro'i!e!tly #isplaye# i! the #rea'0 the pun0 t)o stri!$s of thou$ht tie# to$ether by a
purely aousti k!ot, the optical pun0 o!e %isual for' bisoiate# )ith t)o fu!tio!al
o!te-ts, the phenomenon of displacement or shift of atte!tio! to a pre%iously u!!otie#
feature, the concreti0ation of abstrat a!# $e!eral i#eas i! a partiular i'a$e, a!# %ie
%ersa& the use of o!rete i'a$es as sy'bols for !ase!t& u!%erbali+e# o!epts, the
condensation i! the sa'e li!k"i#ea of se%eral assoiati%e o!te-ts, the u!earthi!$ of
hidden analogiesH impersonation a!# #ouble i#e!tity "" bei!$ o!eself a!# so'ethi!$ else at
the sa'e ti'e& )here the 'so'ethi!$ else' 'i$ht belo!$ to the a!i'al& %e$etable& or 'i!eral
ki!$#o'( The e!se'ble of these a!# relate# operatio!s o!stitutes the $ra''ar a!# lo$i
of #rea'"o$!itio!( To $o o! )ith the list )oul# be te#ious& the 'ore so as the ate$ories
o%erlap, but o!e 'ore trik ou$ht to be a##e# to the repertory0 the oasio!al re%ersal of
ausal se/ue!es( This& ho)e%er& is putti!$ the phe!o'e!o! i!to o%er"o!rete ter's& si!e
'ausality' 1to$ether )ith spae& ti'e& 'atter& i#e!tity& et(2 appear i! the #rea' i! a se'i"
flui# shape like a half"'elte# s!o)'a!, yet e%e! a s!o)'a! 'ay be sta!#i!$ o! his hea#(
=astly& I 'ust 'e!tio! the ob%ious fat of the #rea'er's e-tre'e $ullibility( Ha'let's lou#
'erely resembles a a'el& )easel& or )hale, to the #rea'er the lou# atually becomes a
a'el& a )easel& or )hale "" )ithout his tur!i!$ a hair(
A hil#& )athi!$ a tele%isio! thriller )ith flushe# fae a!# palpitati!$ heart& prayi!$ that
the hero shoul# reali+e i! ti'e the #ea#ly trap set for hi'& is at the sa'e ti'e a)are that the
hero is a sha#o) o! the sree!( A #ay"#rea'er "" like Thurber's :alter >itty "" is a)are of
the fa!tasies )hih he reates for his o)! be!efit, but also a)are& thou$h less i!te!sely so&
of the fat that he is reati!$ the'( He li%es& like the spetator i! fro!t of the sree!& o! t)o
#iffere!t le%els& si'ulta!eously or i! /uik alter!atio!s "" by 'e!tal /ua!tu'".u'ps& as it
)ere( If he settles for a si!$le le%el the! either the illusio! eases to fu!tio! "" or it $ro)s
i!to hallui!atory #elusio!(
The #rea' oupies a pri%ile$e# positio! a'o!$ these a'bi$uous 'e!tal states,
pri%ile$e#& i! that it is i!lu#e# i! the !or'al #aily yle i! spite of "" or beause of "" its
pro!ou!e# hallui!atory& 'ab!or'al' harater( <rea'i!$ is #isti!$uishe# fro' other
#elusio!ary states by bei!$ tra!sitory& easily i!terrupte#& a!# by bei!$ o!fi!e# to the 'i!!er
la!#sape'& by a 'ore or less o'plete shutteri!$ of the se!ses 1)hereas i! patholo$ial
states the se!ses 'ay o!ti!ue to fu!tio!& but pereptio! 'ay be per%erte#2( O! the other
ha!#& #rea'i!$ is #isti!$uishe# fro' #ay"#rea'i!$ i! that the #rea'er is a)are of the
fa!tasies )hih he reates& but u!a)are of the fat that he is reati!$ the'( He is the
spetator passi%ely )athi!$ the se/ue!e of i'a$es o! o!e le%el& )hih he ati%ely
pro#ues o! a!other, he is the i!e'a operator )ho )orks the pro.etio! 'ahi!e& a!# the
au#ie!e at the sa'e ti'e( *ut )hile the spetale o! the sree! is %isible& the operator is
!ot( He operates i! o'plete #ark!ess& a!# there is a $oo# reaso! for it0 the pro#utio! is
fre/ue!tly hil#ish& obse!e& o!fusi!$& a! affro!t to lo$i a!# o''o! se!se(
There is !o !ee# to e'phasi+e& i! this e!tury of Freu# a!# ?u!$& that the lo$i of the
#rea' is !ot the lo$i of Aristotle, that it #eri%es fro' the 'a$i type of ausatio! fou!# i!
pri'iti%e soieties a!# the fa!tasies of hil#hoo#, that it is i!#iffere!t to the la)s of i#e!tity
a!# o!tra#itio!, that the #rea''s reaso!i!$ is $ui#e# by e'otio!& its 'orality blush"
'aki!$& its sy'bolis' pre"%erbal a!# arhai( If these a!ie!t o#es )hih $o%er! the
$a'es of the #rea'er )ere allo)e# to operate i! the )aki!$ state they )oul# play ha%o
)ith i%ili+e# a#ult beha%iour, they 'ust be kept u!#er$rou!#(
*ut these u!#er$rou!#& i! !or'al states subo!sious& levels or pla!es i! the hierarhy of
'e!tal fu!tio!s 'ust !ot be o!fuse# )ith the linear scale of a)are!ess 1pp( 4I6"O2( The
latter for's a o!ti!uous $ra#ie!t fro' foal a)are!ess& throu$h peripheral a)are!ess to
u!a)are!ess of a $i%e! e%e!t, )hereas the levels of the 'e!tal hierarhy for' /uasi"
parallel 1or o!e!tri2 layers& )hih are #iso!ti!uous& a!# are u!#er !or'al o!#itio!s
kept separate& as )aki!$ is fro' #rea'i!$( The o#es )hih $o%er! or$a!i ati%ities&
auto'ati+e# habits& a!# routi!e skills& fu!tio! u!a)ares beause they are either i!bor! or
ha%e bee! 'astere# by pratie, the 'u!#er$rou!#' o#es fu!tio! u!#er$rou!# beause
they ha%e bee! superse#e# by the o#es of ratio!al thi!ki!$( I! the first ase )e see the
)orki!$ of 'e!tal eo!o'y, i! the seo!#& of 'e!tal e%olutio!( Auto'ati+e# o#es ser%e
the 'ai!te!a!e of !or'al fu!tio!i!$, u!#er$rou!# o#es #isrupt routi!e i! a reati%e or
#estruti%e se!se( :e are o!er!e# )ith the reati%e aspet o!ly, but I shoul# 'e!tio! i!
passi!$ that the u!#er$rou!# layers of the 'e!tal hierarhy 'ust !ot be o!fuse# )ith
'represse# o'ple-es'( The latter for' a speial ate$ory )ithi! the 'uh broa#er real' of
subo!sious phe!o'e!a( Co'ple-es ori$i!ate i! trau'ati e-perie!es, the u!#er$rou!#
$a'es of the 'i!# reflet the fats of 'e!tal e%olutio!(
The levels o# mental organi*ation have been compared to the archaeological strata o#
ancient and prehistoric civili*ations, buried, but n
irretrievably, under our contemporary towns. The analogy is ,reud's [1] but ) would like to
carry it one step #urther. )magine #or a moment that all important written records and
monuments pre'dating the )ndustrial !evolution have been destroyed by some catastrophe
like the burning down o# the library in .le-andria% and that knowledge o# the past could be
obtained only by archaeological e-cavations. 0ithout digging into the undergound strata,
modern society, ignorant o# the culture o# the !enaissance, o# .nti&uity, 1rehistory, and the
.ge o# the 2inosaurs, would be reduced to an unimaginably super#icial, two'dimensional
e-istence a species without a past and probably '' #or lack o# comparative values '' without
much #uture. .n individual deprived o# his dreams, o# irrational impulses, o# any #orm o#
ideation e-cept articulate verbal thought, would be in much the same position. 2reaming, in
the literal and metaphorical sense, seems to be an essential part o# psychic metabolism '' as
essential as its counterpart, the #ormation and automati*ation o# habits. 0ithout this daily
dip into the ancient sources o# mental li#e we would probably all become desiccated
automata. .nd without the more spectacular e-ploratory dives o# the creative individual,
there would be no science and no art.
To sum up, there is a two'way tra##ic between conscious and unconscious. $ne tra##ic
stream continually moves in a downward direction we concentrate on new e-periences,
arrange them into patterns, develop new observational skills, muscular de-terities, verbal
aptitudes% and when these have been mastered by continued practice, the controls are
handed over to a kind o# automation, and the whole assembly is dispatched, along the
gradients o# awareness, out o# sight. The upward tra##ic stream moves in the small
#luctuating pulses #rom the unconscious which sustain the dynamic balance o# the mind ''
and in the rare, sudden surges o# creativity, which may lead to a re'structuring o# the whole
mental landscape.
I ha%e illustrate# this up)ar# traffi by a !u'ber of e-a'ples( I! eah ase the reati%e at
o!siste# i! a !e) sy!thesis of pre%iously u!o!!ete# 'atries of thou$ht, a sy!thesis
arri%e# at by 'thi!ki!$ asi#e'& a te'porary reli!/uishi!$ of the ratio!al o!trols i! fa%our of
the o#es )hih $o%er! the u!#er$rou!# $a'es of the 'i!#( :e ha%e see! that the #rea'
operates )ith a type of lo$i )hih is i!a#'issible i! the )aki!$ state& a!# )hih& for
preisely that reaso!& pro%e# useful i! ritial situatio!s )here the 'atries of o!sious
thou$ht are bloke#( Thus the illo$iality a!# appare!t !aQ%etT of %isual assoiatio!s& or the
i!#iffere!e of the #rea'i!$ 'i!# to o!%e!tio! a!# o''o! se!se& tur!e# out to be of
$reat %alue i! for$i!$ !e) o'bi!atio!s out of see'i!$ly i!o'patible o!te-ts( All the
bisoiati%e 'eha!is's of the o'i )e fou!# i! the #rea' free)heeli!$ as it )ere&
)ithout bei!$ har!esse# to a!y ob%ious ratio!al purpose( *ut )he! the )hole perso!ality&
o! all its le%els& beo'es saturate# )ith the proble' i! ha!# #uri!$ the perio# of
i!ubatio!& the! the free)heeli!$ 'ahi!ery too is 'e!$a$e#' i! its ser%ie a!# $oes i!to
atio! "" !ot !eessarily i! the #rea'& but 'ostly o! so'e i!ter'e#iary& part"o!sious
le%el(
The e-a'ples i! pre%ious hapters ha# bee! 'ea!t to illustrate %arious aspets of
u!o!sious #iso%ery( I! the setio!s )hih follo) I shall try to sho)& a little 'ore
syste'atially& ho) the peuliarities of subo!sious i#eatio!& reflete# i! the #rea'&
failitate the bisoiati%e lik(
Co!reti+atio! a!# Sy'boli+atio!
The sleeper pro#ui!$ a Freu#ia! #rea'& i! )hih a broo'stik represe!ts a phallus& has
'a#e a! optical pun 0 he has o!!ete# a si!$le %isual for' )ith t)o #iffere!t fu!tio!al
o!te-ts( The sa'e teh!i/ue is e'ploye# by the ariaturist )ho e/uates a !ose )ith a
uu'ber& the #iso%erer )ho sees a 'oleule as a s!ake& the poet )ho o'pares a lip to a
oral( :he! ?ea! Coteau u!#er)e!t a #ru$")ith#ra)al ure& he #re) hu'a! fi$ures
o!strute# out of the lo!$& thi! stalks of opiu' pipes( :illia' Har%ey& )athi!$ the
e-pose# heart"%al%e at )ork i! a li%i!$ fish& su##e!ly %isuali+e# it as a pu'p "" but the
a!alo$y bet)ee! the $ory 'ess he atually sa) a!# the !eat 'etalli $a#$et e-iste# i! his
'i!#'s eye o!ly(
These& ho)e%er& are rather #ra'ati e-a'ples( As a rule& %isual i'a$ery #oes !ot )ork i!
suh preise fashio!( The %isuali+er rather feels his )ay arou!# a proble' a!# strokes it
)ith his eye& as it )ere& tryi!$ to fit it i!to so'e o!%i!i!$ or ele$a!t shape, he plays
arou!# )ith his %a$ue for's like the outurier )ith his fabris& #rapi!$ a!# u!#rapi!$ the'
o! the 'o#el( =et 'e all o! Ei!stei! o!e 'ore( :e re'e'ber that he #esribe# the
'physial e!tities )hih see' to ser%e as ele'e!ts i! thou$hts' i! ter's of 'si$!s a!# 'ore
or less lear i'a$es of %isual& a!# so'e of 'usular type'( O! a!other oasio!& he
#esribe# ho) the basi i!si$ht i!to the relati%ity of Ti'e& to )it& 'the k!o)le#$e that the
e%e!ts )hih are si'ulta!eous for o!e obser%er are !ot !eessarily si'ulta!eous for
a!other'& a'e to hi' early o!e 'or!i!$ .ust as he $ot out of be#( *ut that su##e! 'o'e!t
of truth ha# bee! pree#e# 'by te! years of o!te'platio!& of o!si#eri!$ a para#o- )hih
ha# struk 'e at the a$e of si-tee!0 if I pursue a ray of li$ht )ith the spee# "" the spee# of
li$ht i! a %auu'' "" I 'ust aept suh a ray of li$ht as a statio!ary& spatially osillati!$
eletro"'a$!eti fiel#'( 798 I! other )or#s& if you tra%el )ith the spee# of li$ht& you )ill see
!o li$ht "" you )ill be& rou$hly speaki!$& i! the positio! of the surf"ri#er i! )hose eyes the
)a%es arou!# hi' for' a statio!ary patter!( Bet "" 'i!tuiti%ely it see'e# lear to 'e that&
.u#$e# by suh a! obser%er& e%erythi!$ shoul# follo) the sa'e la)s as for a statio!ary
obser%er'( 7A8 I! other )or#s& the tra%eller ou$ht to see the )orl# .ust as the perso! sees it
)ho re'ai!e# at ho'e o! earth(
It is of ourse& !ot e!ou$h to %isuali+e o!eself as a passe!$er ri#i!$ o! a ray of li$ht, a!#
the ri#e laste# te! years& e%e! for Ei!stei!( *ut %isual thi!ki!$ e!able# hi' to esape the
s!ares of %erbal thou$ht& a!# to bra%e the appare!t lo$ial o!tra#itio! that 'at the sa'e
ti'e' for 3 'ay 'ea! 'at #iffere!t ti'es' for 7( This appare!t o!tra#itio! #eri%e# fro' the
a-io' of absolute ti'e& )hih ha# bee! built i!to the o#es of 'ratio!al' "" 'ea!i!$ post"
Ne)to!ia! "" thi!ki!$ about the physial )orl#( I! the pre"ratio!al o#es of the #rea'& ti'e
is #iso!ti!uous& a!# the se/ue!e of e%e!ts a! be re%erse# "" as i! a fil'( Nee#less to say&
the relati%ity of psyholo$ial ti'e has !othi!$ to #o )ith the relati%ity of ti'e i! physis( I
'erely )ishe# to poi!t out that to the %isual thi!ker 'ti'e' loses the a)eso'e& ast"iro!
harater )hih it auto'atially assu'es i! %erbal thou$ht( The Theory of Relati%ity )as
a! affro!t to o!eptuali+e# thi!ki!$& but !ot to %isuali+e# thi!ki!$(
=et 'e take a 'ore tri%ial e-a'ple0 a fa'ous brai!"teaser0
O!e 'or!i!$& e-atly at su!rise& a *u##hist 'o!k be$a! to li'b a tall 'ou!tai!( The
!arro) path& !o 'ore tha! a foot or t)o )i#e& spiralle# arou!# the 'ou!tai! to a $litteri!$
te'ple at the su''it( The 'o!k ase!#e# the path at %aryi!$ rates of spee#& stoppi!$ 'a!y
ti'es alo!$ the )ay to rest a!# to eat the #rie# fruit he arrie# )ith hi'( He reahe# the
te'ple shortly before su!set( After se%eral #ays of fasti!$ a!# 'e#itatio! he be$a! his
.our!ey bak alo!$ the sa'e path& starti!$ at su!rise a!# a$ai! )alki!$ at %ariable spee#s
)ith 'a!y pauses alo!$ the )ay( His a%era$e spee# #ese!#i!$ )as& of ourse& $reater tha!
his a%era$e li'bi!$ spee#( Pro%e that there is a spot alo!$ the path that the 'o!k )ill
oupy o! both trips at preisely the sa'e ti'e of #ay( 768
I use# to a'use 'yself putti!$ this to %arious frie!#s "" sie!tists a!# others( So'e hose a
'athe'atial approah, others trie# to 'reaso! it out' "" a!# a'e to the o!lusio! that it
)oul# be a 'ost u!likely oi!i#e!e for the 'o!k to fi!# hi'self at the sa'e ti'e of #ay&
o! the sa'e spot o! the t)o #iffere!t oasio!s( *ut others "" )ho e%i#e!tly belo!$e# to
the ate$ory of %isuali+ers "" sa) the solutio! i! a 'a!!er for )hih the follo)i!$
#esriptio! of a you!$ )o'a! )ithout a!y sie!titi trai!i!$ is typial0
I trie# this a!# that& u!til I $ot fe# up )ith the )hole thi!$& but the i'a$e of that 'o!k i!
his saffro! robe )alki!$ up the hill kept persisti!$ i! 'y 'i!#( The! a 'o'e!t a'e )he!&
super"i'pose# o! this i'a$e& I sa) a!other& 'ore tra!spare!t o!e& of the 'o!k )alki!$
#o)! the hill& a!# I reali+e# i! a flash that the t)o fi$ures 'ust 'eet at so'e poi!t so'e
ti'e "" re$ar#less at )hat spee# they )alk a!# ho) ofte! eah of the' stops( The! I
reaso!e# out )hat I alrea#y k!e)0 )hether the 'o!k #ese!#s t)o #ays or three #ays later
o'es to the sa'e, so I )as /uite .ustifie# i! letti!$ hi' #ese!# o! the sa'e #ay& i!
#upliate so to speak(
No) it is& of ourse& /uite i'possible for the 'o!k to #upliate hi'self& a!# to be )alki!$
up the 'ou!tai! a!# #o)! the 'ou!tai! at o!e a!# the sa'e ti'e( *ut i! the %isual i'a$e
he #oes, a!# it is preisely this i!#iffere!e to lo$ial o!tra#itio!& the irratio!al& #rea'"
like telesopi!$ of the t)o i'a$es i!to o!e& )hih lea#s to the solutio!(
:e oul# all the #ouble i'a$e of the 'o!k& or Ei!stei!'s tra%eller ri#i!$ o! a!y of li$ht& a
concreti0ation of abstrat proble's as it so'eti'es ours i! #rea's, a!# )e oul# e/ually
)ell all KekulT's serpe!t )hih sei+es its o)! tail 'to )hirl 'oki!$ly before his eyes'& the
sy'boli+atio! of a !ase!t& u!for'ulate# theory, these ate$ories o%erlap( The follo)i!$
e-a'ple illustrates both, it refers to a! i!i#e!t )hih has ree!tly o'e to 'y k!o)le#$e0
<r( H& a biolo$ist& #rea'e# that as he )as )alki!$ ho'e fro' his laboratory he )as .oi!e#
by the )ife a!# t)o hil#re! of his ollea$ue <r( B ""& o!e a boy& the other a! e!ha!ti!$
little $irl( The little $irl see'e# to take a! i''e#iate liki!$ to H, she i!siste# o! his piki!$
her up& a!# $a%e hi' a kiss& or rather a pek& o! the heek( They all )alke# o! )ith a
feeli!$ of frie!#ly elatio!& but o! arri%i!$ at the house )here H li%e# "" it ha#&
u!aou!tably& beo'e a bi$ rail)ay"statio! hotel "" the $irl #elare# pere'ptorily that she
)oul# be stayi!$ )ith hi', a!# as he looke# at her he #iso%ere# that she )as !o lo!$er a
hil# but a! a#olese!t& 'al'ost fully #e%elope#'& )ith a pro%oati%e $li!t i! her eye( <r( B's
)ife $a%e hi' a $la!e )hih sho)e# iro!y but !o surprise, a!# the $irl sai# to hi'
'oki!$ly0 '<o!'t )orry& I a' all brai!s(' He felt both te'pte# a!# terribly e'barrasse#, at
)hih he )oke up( The first thou$ht that flashe# throu$h his 'i!# )as0 'She is B's brai!"
hil#', a!# i''e#iately the 'essa$e of the #rea' )as lear to hi'( So'e ti'e earlier o! B
ha#& i! o!%ersatio!& thro)! out a! i#ea& )hih ha# take! root i! H's 'i!#& a!# ha#
e%e!tually set hi' off o! a li!e of researh( The pek o! his heek ha# bee! 'the kiss of the
'use', but by !o) the i#ea )as 'al'ost fully #e%elope#' "" i! fat& the #ay before the #rea'&
he ha# starte# #rafti!$ a paper o! the preli'i!ary results of his researh( *ut he ha#
postpo!e# telli!$ B about it u!til he ha# so'ethi!$ positi%e to sho), a!# !o) he oul#
!either fae o)!i!$ up to B that he ha# take! up his brai!"hil#& !or oul# he fae steali!$
it 1by o'itti!$ to $i%e B #ue re#it i! the paper2( The o!%ersio! of H's house i!to a
rail)ay hotel i!#iate# that this state of 'i!# oul# !ot be a lasti!$ o!e(
The #rea' sol%e# his #ile''a by pro#ui!$ a biolo$ial a!alo$y for the $ro)th of a
'brai!"hil#' fro' i!fa!y to 'full #e%elop'e!t'( The se'i!al i#ea ha# bee! B's, but it )as H
)ho ha# #o!e the )ork a!# brou$ht it to 'aturatio!, e%ery sie!tist k!o)s that it is /uite a
#iffere!t 'atter to thro) out a asual su$$estio! )hih 'i$ht or 'i$ht !ot lea# so'e)here
"" a!# to follo) it up by 'o!ths of har# )ork i! the laboratory( The #rea' 'a#e hi' see
the situatio! i! its proper perspeti%e, !o) all he ha# to #o )as to tell B the si'ple fats of
the 'atter& a!# to $i%e #ue re#it i! his paper to B's pater!ity(
O! o!e le%el of his 'i!# H ha#& of ourse& k!o)! all this, #iso%ery i! this ase& as i!
'a!y others& o!siste# i! u!o%eri!$ )hat ha# al)ays bee! there( *ut his k!o)le#$e ha#
bee! burie# u!#er the ri$i# rust of a o!%e!tio!al 'atri-& )hih 'a#e his o!sious
thou$hts tur! i! a %iious irle(
Pu!!i!$ for Profit
Charles =a'b o!e re'arke# i! a letter that he )ishe# 'to #ra) his last breath throu$h a
pipe a!# e-hale it i! a pu!'(
The be!efits )hih the hu'orist a!# the poet #eri%e fro' t)o 'ea!i!$s li!ke# to$ether by
o!e sou!# are e%i#e!t, i! the !atural sie!es they are !o!"e-iste!t& for the si'ple reaso!
that %erbal for'ulatio!& the hoie of the partiular )or#s i! )hih a theory is e-presse#& is
to a lar$e e-te!t irrele%a!t to its o!te!t( *ut i! the sie!es o!er!e# )ith la!$ua$e a!#
'ea!i!$& the relatio!s bet)ee! se!se a!# sou!# play a! i'porta!t part( Ho'o!y's a!#
ho'opho!es& sou!# affi!ities a!# tra!sfor'atio!s& are esse!tial poi!ters i! ety'olo$y a!#
o'parati%e philolo$y& i! the stu#y of the struture a!# #e%elop'e!t of la!$ua$e( I ha%e
'e!tio!e# the '#i%i!e pu!' by )hih a#P'& 'a!& )as reate# out of a#a'Ph& earth( E%e's
Hebre) !a'e is Ha%%Ph& life, )hile aha%%ah is lo%e, esh& a sy!o!y' for 'a!& has the sa'e
root as ish& fire, a!# 'ilkha'Ph& )ar& is #eri%e# fro' lekh_'& brea#, so is the %illa$e of
*eth"lehe'0 the House of *rea#(
Afffi!ities of sou!# pro%i#e the threa#s )hih lea# fro' o!te'porary )or#s a!# o!epts
bak to the ;reek a!# Sa!skrit )o'b( The #eipheri!$ of the sripts of a!ie!t la!$ua$es
is ofte! ai#e# by lues suh as the fre/ue!y )ith )hih a ertai! si$! ours& a!# other
'li!ks' bet)ee! si$!& sy'bol& sou!#& a!# se!se( Thus the li!ks )hih& i! 4F94& e!able#
Cha'pollio! to break i!to the seret of hiero$lyphis& )ere the proper !a'es Ptole'y&
Cleopatra& a!# Ale-a!#er& )hih appeare# o! the Rosetta Sto!e 1a!# o! %arious other
#ou'e!ts2 beari!$ parallel i!sriptio!s i! ;reek a!# i! t)o #iffere!t E$yptia! sripts( The
three !a'es& i!sribe# i! o!spiuous artouhes& pro%i#e# Cha'pollio! )ith alto$ether
fourtee! alphabeti si$!s of asertai!e# %alue "" ertai!ly the $reatest ser%ie )hih a!y
Cleopatra has re!#ere# to history(
I! the i!fa!tile a!# pri'iti%e i'a$i!atio!& the ties bet)ee! sou!# a!# 'ea!i!$ are still
%ery i!ti'ate, !a'e a!# ob.et for' a! al'ost i!#i%isible u!ity& sho)! i! the u!i%ersal
praties of )or# 'a$i& i!a!tatio!s& a!# %erbal spells( Relate# to this is the belief that the
letters o!tai!e# i! a )or# for' seret o!!etio!s aor#i!$ to ertai! her'e!eutial rules
"" a belief& share# by ?u#ais'& se%eral other Orie!tal reli$io!s& a!# a#opte# by the Christia!
Fathers( It )as thou$ht& for i!sta!e& that to e-trat their hi##e! 'ea!i!$& ertai! te-ts i!
Hebre) Sriptures shoul# be arra!$e# i! %ertial olu!'s a!# rea# #o)!)ar#s, or that the
first a!# last letter i! eah )or# shoul# be use# to for' !e) )or#s, or that the letters
shoul# be re#ue# to their !u'erial %alue& a!# the su's so obtai!e# shoul# the! be
'a!ipulate# aor#i!$ to the rules of 'ysti !u'berlore( Here )e ha%e the arhai ori$i!s
of the pu!& the ross)or# pu++le& the arosti& a!a$ra'& a!# rypto$ra'& )hih ha%e
al)ays e-erte# suh a urious fasi!atio! i! the 'ost %arie# ultures "" fro' Pytha$oras
a!# =ao"Tse to Cha'pollio! a!# Freu#( The hu'orist's .oke& the li!$uist's #iso%ery& the
poet's eupho!y& all #eri%e fro' that soure(
The *e!efits of I'perso!atio!
'As far as 'y obser%atio!s $o'& )rote C( ;( ?u!$& 'I ha%e !ot #iso%ere# i! the u!o!sious
a!ythi!$ like a perso!ality o'parable to the o!sious e$o( *ut ( ( ( there are at least traes
of perso!alities i! the 'a!ifestatio!s of the u!o!sious( A si'ple e-a'ple is the #rea'& i!
)hih a %ariety of real a!# i'a$i!ery people e!at the #rea' thou$hts( ( ( ( The
u!o!sious personates( 7I8
The bou!#aries of the self are flui# or blurre# i! the #rea'( I 'ay )ath a! e-eutio!& a!#
the !e-t 'o'e!t beo'e the pe!o! to be e-eute#( The ators o! the sta$e are
i!terha!$eable, their ar#s of i#e!tity are ofte! reshuffle#(
To be o!eself a!# so'ebo#y else at the sa'e ti'e is a! e-perie!e share# by the #rea'er&
the Sha'a! i'perso!ati!$ the rai!"$o#& the patie!t possesse# by #e'o!s( The sa'e
pro.eti%e faulty is 'a#e use of by the ator& to reate the illusio! i! the au#ie!e that he is
both hi'self a!# Pri!e Ha'let, by the priest offeri!$ the euharist i! Holy Co''u!io!,
by the healer& )ho pro.ets hi'self i!to the patie!t's plae& a!# at the sa'e ti'e ats as a
father"fi$ure(
The flui# bou!#aries of the self as represe!te# i! the u!o!sious 'i!#& o!fer o! it the
$ift of e'pathy "" Ei!fuehlu!$ ""o f e!teri!$ i!to a ki!# of 'e!tal sy'biosis )ith other
sel%es( E'pathy is a !iely sober& !o!o''ittal ter' for #esi$!ati!$ the rather 'ysterious
proesses )hih e!able o!e to tra!se!# his bou!#aries& to step our of his ski! as it )ere&
a!# put hi'self i!to the plae of a!other( O!e rea#s the 'oo# of the other fro' suh sa!t
a!# ru#e poi!ters as the lifti!$ or lo)eri!$ of the or!ers of the lips& or al'ost
i'pereptible ha!$es i! the 'usles )hih o!trol the eyes, but the i!terpretatio! of these
si$!s is !ot a o!sious at( It belo!$s to the repertory of u!#er$rou!# $a'es(
E'pathy is at the soure of our u!#ersta!#i!$ ho) others thi!k a!# feel, it is the starti!$
poi!t of the art of 'e#ial #ia$!osis a!# of the sie!e of psyholo$y( The 'e#ii!e 'a!&
a!ie!t a!# 'o#er!& has a t)ofol# relatio!ship )ith the patie!t0 he is tryi!$ to feel )hat the
patie!t feels& a!# he is& at the sa'e ti'e& ati!$ a part0 the e-ori+er of e%il spirits hi'self
e!#o)e# )ith #i%i!e po)ers, 'a$iia!& )ith& sai!t& sa$e& hyp!otist& faith"healer&
o!fessor& father( The roles ha%e ha!$e#& but the pri!iple has re'ai!e# the sa'e0 to
i!#ue the patie!t to a! at of faith& to sub'issio!& )orship& tra!sfere!e& atharsis(
Psyhotherapy i! its 'o#er! for' e-presses i! e-pliit ter's the pri!iple of ab"reatio!&
of the 'e!tal pur$e& )hih has al)ays bee! i'plie# i! the a!ie!t atharti teh!i/ues
fro' the <io!ysia! a!# Orphi 'ystery"ults to the rites of baptis' a!# the o!fessio!al(
The psyhoa!alyst i!#ues his patie!ts to reli%e their o!flits i! a! illusio!ary #ra'a&
)here he hi'self i'perso!ates the e!tral fi$ure "" half)ay bet)ee! o'e#ia! a!#
tra$e#ia!( The tra$e#ia! reates illusio!& the o'e#ia! #ebu!ks illusio!, the therapist #oes
both( I! the #rea's of patie!ts u!#er ?u!$ia! therapy& suppose# aspets of their
u!#er$rou!#"perso!ality "" a!i'a& a!i'us a!# 'sha#o)' "" keep appeari!$ u!#er %arious
#is$uises& like ators o! a sta$e( Fi!ally& the teh!i/ue of i'perso!atio! is use# #eliberately
a!# e-pliitly i! the for' of $roup"therapy k!o)! as 'psyho"#ra'a'(
So'e e'i!e!t psyhiatrists "" a'o!$ the' Charot& Freu#& ?u!$& a!# Theo#or Reik "" ha%e
e-presse#& or hi!te# at their belief that !ot o!ly e'pathy& but so'ethi!$ aki! to telepathy
operates bet)ee! #otor a!# patie!t i! the hothouse at'osphere of the a!alytial sessio!(
*ut there is !o !ee# to $o that far i! or#er to reali+e that so'e of the basi i!si$hts of
'e#ii!e a!# psyholo$y are #eri%e# fro' the u!#er$rou!# $a'es )hih per'it us to
tra!se!# the li'its of perso!al i#e!tity )hile )e #rea' "" or stare i!to the footli$hts of the
sta$e(
<isplae'e!t
:e ha%e see! that the su##e! shift of atte!tio! to a see'i!$ly irrele%a!t aspet of a
phe!o'e!o! "" )hih )as pre%iously i$!ore# or take! for $ra!te# "" plays a %ital part i!
hu'our& art& a!# #iso%ery( I! the o'i story& the abrupt #isplae'e!t of e'phasis 1':hat
a' I suppose# to #o at 6 a('( i! @rimsbyE'2 has the sa'e effet as the 'ata#or's !o!hala!t
si#e"steppi!$ )hile the bull har$es at his 'uleta( I! #iso%ery& it 'akes a fa'iliar thi!$ or
i#ea appear u!#er a !e) a!$le& i! a! u!e-pete# li$ht( I! the art of photo$raphy a shift i!
the #iretio! a!# fous of the le!s 'ay tur! a tri%ial ob.et i!to a thi!$ of )o!#er(
I! the )aki!$ state& 'si#e"steppi!$'& 'shift of e'phasis'& a!# relate# e-pressio!s si$!ify a
ha!$e"o%er fro' o!e fra'e of refere!e to a!other( *ut )hile )e #rea'& the ohere!e of
these fra'es is so 'uh loose!e# that the ha!$e is !ot e-perie!e# as suh& a!# si#e"
steppi!$ beo'es al'ost the !or'al )ay of the #rea''s pro$ress( It is by %irtue of its
free#o' fro' restrai!t that the '#rea'y' )ay of thi!ki!$ a! be!efit the reati%e perso! ""
)hether he is Arhi'e#es rela-i!$ i! his bath& or the hi'pa!+ee $a+i!$ abse!t"'i!#e#ly
at a tree(
I! o!e of his e-peri'e!ts& Carl <u!ker "" the psyholo$ist )ho fathere# the *u##hist
'o!k proble' "" set his e-peri'e!tal sub.ets the task of 'aki!$ a pe!#ulu'( The sub.et
)as le# to a table o! )hih ha# bee! plae#& a'o!$ so'e 'isella!eous ob.ets& a or#
)ith a pe!#ulu'")ei$ht attahe# to its e!#& a!# a !ail( All he ha# to #o )as to #ri%e the
!ail i!to the )all a!# ha!$ the or# )ith the pe!#ulu'")ei$ht o! the !ail( *ut there )as !o
ha''er( O!ly fifty per e!t of the e-peri'e!tal sub.ets 1all stu#e!ts2 fou!# the solutio!0
to use the pe!#ulu'")ei$ht as a ha''er(
Ne-t& a!other series of stu#e!ts& of the sa'e a%era$e a$e a!# i!telli$e!e& )ere $i%e! the
sa'e task u!#er sli$htly altere# o!#itio!s( I! the first series the )ei$ht o! the table )as
attahe# to the or#& a!# )as e-pressly #esribe# to the stu#e!ts as a 'pe!#ulu'")ei$ht'( I!
the seo!# series& )ei$ht a!# or# )ere lyi!$ separately o! the table& a!# the )or#
'pe!#ulu'")ei$ht' )as !ot use#( Result0 all stu#e!ts i! the seo!# $roup fou!# the solutio!
)ithout #iffiulty( They took i! the situatio! )ith a! u!pre.u#ie# 'i!#& sa) a !ail a!# a
)ei$ht& a!# ha''ere# the !ail i!& the! tie# the or# to the !ail a!# the )ei$ht to the or#(
*ut i! the 'i!#s of the first $roup the )ei$ht )as fir'ly 'e'be##e#' i!to its role as a
'pe!#ulu'")ei$ht' a!# !othi!$ else& beause it ha# bee! %erbally #esribe# as suh and
beause %isually it for'e# a u!it )ith the or# to )hih it )as attahe#( Thus o!ly half of
the sub.ets )ere able to )re!h it out of that o!te-t "" to perfor' the shift of e'phasis
)hih tra!sfor'e# a 'pe!#ulu'")ei$ht' i!to a 'ha''er' "" as Sulta! tra!sfor'e# a 'bra!h'
i!to a 'stik('
I ha%e /uote# o!ly o!e a'o!$ 'a!y e-peri'e!ts o! si'ilar li!es( The fat that fifty per
e!t of <u!ker's presu'ably bri$ht stu#e!ts faile# at this si'ple task is a! illustratio! of
the stubbor! ohere!e of the pereptual fra'es a!# 'atries of thou$ht i! our 'i!#s( The
%isual $estalt of )ei$ht"attahe#"to"or#& plus the %erbal su$$estio! of their %e!erate#
teaher& 'a#e that pe!#ulu'")ei$ht stik to its 'atri- like a! i!set au$ht i! a'ber(
To u!#o )ro!$ o!!etio!s& faulty i!te$ratio!s& is half the $a'e( To a/uire a !e) habit is
easy& beause o!e 'ai! fu!tio! of the !er%ous syste' is to at as a habit"for'i!$ 'ahi!e,
to break out of a habit is a! al'ost heroi feat of 'i!# or harater( The prere/uisite of
ori$i!ality is the art of for$etti!$& at the proper 'o'e!t& )hat )e k!o)( He!e& o!e 'ore&
the i'porta!e of the U!o!sious "" as a! a!aesthetist& )ho puts reaso! to sleep& a!#
restores& for a tra!sie!t 'o'e!t& the i!!oe!e of %isio!( :ithout the art of for$etti!$& the
'i!# re'ai!s luttere# up )ith rea#y"'a#e a!s)ers& a!# !e%er fi!#s oasio! to ask the
proper /uestio!s(
If for$etti!$ a! be a! art& i$!ora!e a! be bliss "" i! the li'ite# se!se& of ourse& of
prouri!$ for a ertai! type of 'i!# free#o' fro' ertai! types of o!strai!t( To Fara#ay&
his i$!ora!e of 'athe'atis )as a! asset, E#iso! be!efite# fro' his shoki!$ i$!ora!e
of sie!e( As a hil#& 'his #e'a!#s for e-pla!atio!s of )hat see'e# ob%ious to his el#ers
reate# the belief that he )as less tha! !or'ally i!telli$e!t( As his hea# )as ab!or'ally
lar$e& it )as thou$ht that he 'i$ht ha%e a brai! #isease'( 7@8 At a ti'e )he! his i!%e!tio!s
)ere tra!sfor'i!$ the patter! of our i%ili+atio!& 'his i$!ora!e of sie!tifi theory raise#
ritiis' a!# oppositio!& espeially a'o!$ hi$hly trai!e# sie!tists a!# e!$i!eers )ithout
i!%e!ti%e tale!t'( 7O8 He )as sai# to ha%e arrie# the art of for$etti!$ to suh e-tre'es& that
o! o!e oasio!& )he! he ha# to /ueue at Ne) Bork City Hall to pay his ta-es& a!# a!
offiial su##e!ly aske# hi' his !a'e& E#iso! oul# !ot at the 'o'e!t re'e'ber it& a!#
lost his plae i! the /ueue(
=et 'e retur! fro' the laboratory of the Sorerer at >e!lo Park to that blaks'ith's
)orkshop i! Sa'os )hih& aor#i!$ to tra#itio!& )as the birthplae of the first
/ua!titati%e la) i! physis( O!e )oul# e-pet that Pytha$oras& as a! aute a!#
sie!tifially 'i!#e# obser%er& )oul# o!e!trate o! the teh!i/ues the 'e! e'ploye# i!
the e-erise of their raft( I!stea# of this& his atte!tio! shifte# to a phe!o'e!o! that )as
totally irrele%a!t a!# a#%e!titious to that raft "" the fat that u!#er the strokes of the
ha''er& iro! bars of #iffere!t si+e $a%e out #iffere!t sou!#s( The ear"splitti!$ rashes a!#
ba!$s i! the )orkshop& )hih& si!e the *ro!+e A$e ha# yiel#e# to the Iro! A$e& ha# bee!
re$ar#e# by or#i!ary 'ortals as a 'ere !uisa!e& )ere su##e!ly lifte# out of their habitual
o!te-t0 the 'ba!$s' bea'e 'la!$s' of 'usi( I! the teh!ial la!$ua$e of the
o''u!iatio! e!$i!eer& Pytha$oras ha# tur!e# '!oise' i!to 'i!for'atio!'(
'The $reat fiel# for !e) #iso%eries'& )rote :illia' ?a'es& 'is al)ays the u!lassifie#
resi#uu'( Rou!# about the are#ite# a!# or#erly fats of e%ery sie!e there e%er flo)s a
sort of #ust"lou# of e-eptio!al obser%atio!s& of ourre!es 'i!ute a!# irre$ular a!#
sel#o' 'et )ith& )hih it al)ays pro%es 'ore easy to i$!ore tha! to atte!# to(' 7F8 The
$e!ius of Sherlok Hol'es 'a!ifeste# itself i! shifti!$ his atte!tio! to 'i!ute lues )hih
poor :atso! fou!# too ob%ious to be rele%a!t& a!# so easy to i$!ore( The psyhiatrist
obtai!s his lues fro' the asual re'ark& the see'i!$ly irrele%a!t #rift of assoiatio!s, a!#
he has lear!e# to shift the e'phasis fro' the patie!t's 'ea!i!$ful state'e!ts to his
'ea!i!$less slips of the to!$ue& fro' his ratio!al e-perie!es to his irratio!al #rea's( The
=or# Al'i$hty see's to be fo!# of the trik )hih Poe's harater e'ploye# )he! he let
the seret #ou'e!t lie ope! o! his #esk "" )here it )as too ob%ious to be see!(
Sta!#i!$ o! O!e's Hea#
A #rasti for' of #isplae'e!t is the su##e! shift of e'phasis fro' o!e aspet of a
situatio! to its opposite& ao'pa!ie# by a ki!# of 're%ersal of lo$i' 1p( @I2(
'The #rea''& )rote Freu#& '!e$lets i! a 'ost o!spiuous 'a!!er the lo$ial ate$ory of
oppositio! a!# o!tra#itio!( The o!ept NNoN #oes !ot see' to e-ist i! the #rea'( It likes
to o'press opposites i!to a u!ity& or to represe!t the' as o!e( It takes the further liberty of
represe!ti!$ a!y $i%e! e!tity by its e'otio!al opposite& so that a priori o!e !e%er k!o)s
)hether a re%ersible e!tity is thou$ht of i! the #rea' )ith a plus or a 'i!us si$!(' 758 :he!
a patie!t says to the #otor0 'Bou thi!k that I a' !o) $oi!$ to say so'ethi!$ offe!si%e& but
I really ha%e !o i!te!tio! of #oi!$ so&' the!& says Freu#& 'you a! take it for $ra!te# that he
#i# ha%e that i!te!tio!( Or& the patie!t )ill say0 NBou are aski!$ 'e )ho that perso! i! 'y
#rea' oul# be( It is not 'y 'other(N :e the! orret hi'0 NI! other )or#s& it's your
'other(N ( ( ( At ti'es o!e a! obtai! i!for'atio! about u!o!sious represse# proesses by
a %ery easy 'etho#( O!e asks0 N:hat #o you o!si#er to be the 'ost u!likely aspet of that
situatio!E :hat )as it that you least i!te!#e# to #oEN If the patie!t s)allo)s the bait& a!#
tells o!e )hat he a! belie%e least& the! he has al'ost i!%ariably o!e#e# the true a!s)er('
74C8
Freu# see'e# to belie%e 1follo)i!$ *ai! a!# others2 that the reaso! for the u!o!sious
te!#e!y to u!ify opposites is the relati%ity of all sales by )hih attributes are 'easure#0 a
'hot' su''er"#ay i! =o!#o! is 'ol#' to the %isitor fro' the Su#a!& a!# ;ulli%er is a '$ia!t'
or a '#)arf' aor#i!$ to the ou!try he %isits( He further refers to the fat that i! so'e
a!ie!t la!$ua$es pairs of opposites are #esi$!ate# by the sa'e )or#0 thus altus 'ea!s
both 'hi$h' a!# '#eep'& a!# sacer both 'holy' a!# 'aurse#'(
For o!e& ho)e%er& Freu# #i# !ot see' to ha%e probe# #eep e!ou$h, he #i# !ot 'e!tio!
the rites of the Satur!alia a!# other a!ie!t festi%als& i! )hih the roles of sla%es a!#
'asters are re%erse#, !or the o!sta!t affir'atio! of the u!ity of opposites i! 'ost Orie!tal
reli$io!s a!# philosophies( It see's i!#ee# that the te!#e!y to sta!# thi!$s& fro' ti'e to
ti'e& o! their hea#& has its #eep& u!o!sious roots& )hih probably reah #o)! i!to the
physiolo$ial peuliarities of the !er%ous syste'(D O!e of its striki!$ 'a!ifestatio!s is the
re%ersibility of 'fi$ure' a!# 'bak$rou!#' i! %isual pereptio! "" about )hih belo)(
I a' !ot at all sure ho) far these o!si#eratio!s are rele%a!t to a ertai! patter! of
#iso%ery )hih reurs )ith urious i!siste!e i! the biolo$ial sie!es0 )e fi!#& o%er a!#
a$ai!& 'ishaps a!# 'i!or laboratory #isasters )hih tur! out to be blessi!$s i! #is$uise&
a!# spoilt e-peri'e!ts )hih per%ersely yiel# the solutio! "" by brutally shifti!$ the
e-peri'e!ter's atte!tio! fro' a 'plus' to a ''i!us' aspet of the proble'& as it )ere( O!e
'i$ht all this patter! '#iso%ery by 'isa#%e!ture'( A lassi ase is that of the AbbT HaSy
14O6A"4F992& a hu'ble teaher at the olle$e at =e'oi!e& )hose leisure hours )ere #e%ote#
to olleti!$ spei'e!s of pla!ts a!# 'i!erals "" u!til a s'all& e'barrassi!$ ai#e!t
su##e!ly ha!$e# the #iretio! of his i!terests a!# his )hole life0
O!e #ay& )he! e-a'i!i!$ so'e 'i!erals at the house of a frie!#& he )as lu'sy e!ou$h to
allo) a beautiful luster of pris'ati rystals of alareous spar to fall o! the $rou!#( O!e
of the pris's broke i! suh a )ay as to sho) at the frature faes )hih )ere !o less
s'ooth tha! those else)here& but prese!te# the appeara!e of a !e) rystal alto$ether
#iffere!t i! for' fro' the pris'( HaSy pike# up this fra$'e!t a!# e-a'i!e# the faes
)ith their i!li!atious a!# a!$les( To his $reat surprise& he #iso%ere# that they are the
sa'e i! rho'boi#al spar as i! Iela!# spar( He )ishe# to be able to $e!erali+e0 he broke his
o)! little olletio! i!to piees, rystals le!t by his frie!#s )ere broke!, e%ery)here he
fou!# a struture )hih #epe!#e# upo! the sa'e la)s( 7448
The result )as HaSy's *rait; de &ineralogie )hih 'a#e hi' a 'e'ber of the Fre!h
Aa#e'y a!# a pio!eer of the sie!e of rystallo$raphy(
HaSy ha# a fa%ourite pupil& <elafosse& )ho later bea'e Pasteur's teaher at the `ole
Nor'ale i! Paris( U!#er his i!flue!e Pasteur took up the stu#y of rystallo$raphy, it )as
i! this fiel# that he 'a#e his first i'porta!t #iso%eries& )hih o!tai!e# the $er's of all
his later ahie%e'e!ts( The #eisi%e i!i#e!t )as a$ai! a laboratory 'ishap(
Pasteur )as stu#yi!$ his fa%ourite 'i!eral& Para"Tartrate& #eri%e# fro' the re# Tartar
#eposit i! the %ats of fer'e!te# )i!e( O!e #ay o!e of his Tartrate solutio!s bea'e affete#
by a 'oul#& a!# spoile#( This ki!# of thi!$ fre/ue!tly happe!s i! )ar' )eather, the
!or'al reatio! of he'ists is to pour& )ith a $e!tle oath& the turbi# li/ui# #o)! the #rai!(
Pasteur re%erse# the lo$i of the situatio!0 he shifte# his atte!tio! to the ai#e!tal a!#
irrele%a!t 'oul#& a!# tur!e# 'ai#e!t' i!to 'e-peri'e!t' by stu#yi!$ the 'oul#'s atio! o!
the Tartrate( The result )as 'the first li!k i! the hai! of ar$u'e!ts )hih le# hi' i!to the
stu#y of fer'e!tatio!& to the reo$!itio! that 'iro"or$a!is's play a! esse!tial role i! the
eo!o'y of !ature& a!# e%e!tually to his epoh"'aki!$ #iso%eries i! the fiel# of
i!fetious #iseases'(
I! his later life Pasteur perfor'e# the sa'e ki!# of 'e!tal hea#"sta!# o! at least t)o 'ore
'o'e!tous oasio!s( O!e I ha%e alrea#y 'e!tio!e#0 the #iso%ery of i''u!i+atio! by
%ai!es& )hih $re) out of a spoilt ulture of hike! holera( The other )as the
'#o'estiatio!' of 'iro"or$a!is's& their tra!sfor'atio! fro' e!e'ies i!to allies of 'a!&
)hih le# to i!#ustrial 'iro"biolo$y a!#& e%e!tually& to the a!tibiotis0 'irobes
#estroyi!$ 'irobes( 'I! the i!ferior or$a!is's&' he )rote& 'still 'ore tha! i! the bi$ a!i'al
a!# %e$etable speies& life hi!#ers life(' It sou!#s si'ple( *ut )hat a lo!$ )ay it )as fro'
the e!u!iatio! of the pri!iple to the #iso%ery of pe!iilli!G It took 'ore tha! half a
e!tury, a!# it )as a$ai! #ue to a! al'ost lu#irous series of 'isa#%e!tures( They starte#
i! 4599& )he! Ale-a!#er Fle'i!$ au$ht a ol#( A #rip fro' his !ose fell i!to a #ish i! his
laboratory at St( >ary's Hospital, the !asal sli'e kille# off the bailli i! the ulture,
Fle'i!$ isolate# the ati%e a$e!t i! the 'uus& )hih )as also prese!t i! tears& a!# alle#
it lyso+y'e( That )as the first step, but lyso+y'e )as !ot po)erful e!ou$h as a $er'"
killer& a!# a!other se%e! years ha# to pass u!til a $ust of )i!# ble) throu$h the lab
)i!#o) a spore of the 'oul# pe!iilliu' !otatu'& )hih happe!e# to settle i! a ulture
#ish of staphylooi( *ut Fle'i!$ ha# bee! )aiti!$ for that stroke of luk for fiftee!
years, a!# )he! it a'e& he )as rea#y for it( As =e!i! has sai# so'e)here0 'If you thi!k of
Re%olutio!& #rea' of Re%olutio!& sleep )ith Re%olutio! for thirty years& you are bou!# to
ahie%e a Re%olutio! o!e #ay('
I shall ha%e to retur! to Fle'i!$ i! a #iffere!t o!te-t( The e-a'ples of '#iso%ery by
'isa#%e!ture'& )hih I ha%e .ust $i%e!& )ere take! fro' biolo$y, but the sa'e ki!# of
per%erse" or re%erse"lo$i a! also be fou!# operati!$ i! other bra!hes of sie!e a!# art(
I! 4F94 Fara#ay i!%e!te# the eletri 'otor& a!# o!strute# a ru#e 'o#el of it( For 'ore
tha! fifty years !o atte!tio! )as pai# to his i!%e!tio!( I! 4FA4 he also i!%e!te#
1i!#epe!#e!tly fro'& a!# rou$hly si'ulta!eously )ith ?oseph He!ry2 the eletrial
#y!a'o( A 'otor o!%erts eletri urre!t i!to 'eha!ial 'otio!, a #y!a'o o!%erts
'eha!ial 'otio! i!to eletriity( *ut& uriously& the reiproal !ature of the t)o 'ahi!es
)as !ot reali+e# u!til 4FOA( *y that ti'e hu$e #y!a'o 'ahi!es& #ri%e! by stea' po)er&
)ere i! use to $e!erate eletrial urre!t, but Fara#ay's earlier i!%e!tio! ha# bee! for$otte!&
a!# eletri motors #i# !ot e-ist(
I! 4FOA& at a! e-hibitio! i! 3ie!!a& se%eral #y!a'o 'ahi!es of a! i'pro%e# type )ere
#isplaye#( I! the happy"$o"luky 'a!!er of the Austria!s& o!e of the teh!iia!s
'istake!ly o!!ete# a #y!a'o& #ri%e! by a stea'"e!$i!e& )ith a seo!# #y!a'o )hih
)as at rest( The urre!t fe# i!to the resti!$ #y!a'o pro'ptly set it i!to 'otio! "" a!# thus
the eletrial 'otor a'e i!to e-iste!e( Eletri trai!s& the eletrial tra''issio! of
po)er& o!e of the fou!#atio!s of 'o#er! teh!olo$y& ori$i!ates i! the ai#e!tal re%ersal of
the fu!tio! of a si!$le 'ahi!e(
The history of photo$raphy a!# the early history of ra#io$raphy see' to hi!$e o!
fluorese!t sree!s a!# photo$raphi plates )hih sho)e# effets they )ere !ot suppose#
to sho)& a!# %ie %ersa( <a$uerre put a! e-pose# plate i!to a! u!ti#y upboar# full of
%arious bottles of he'ials "" i!lu#i!$ so'e 'erury( The !e-t 'or!i!$ he fou!# to his
surprise that a perfet i'a$e ha# #e%elope# o! the plate( He repeate# the e-peri'e!t&
syste'atially eli'i!ati!$ o!e he'ial after a!other i! the upboar# "" u!til he k!e) that
it )as 'erury %apour )hih ha# #o!e the trik( Prior to the #iso%ery of 'erury as a!
i#eal #e%eloper of late!t i'a$es& <a$uerre ha# )ritte!0 'The ti'e re/uire# to proure a
photo$raphi opy of a la!#sape is fro' se%e! to ei$ht hours, but si!$le 'o!u'e!ts&
)he! stro!$ly li$hte# by the su!& or )hih are the'sel%es %ery bri$ht& a! be take! i!
about three hours(' 7498 After the #iso%ery& the ti'e of e-posure )as shorte!e# to bet)ee!
three a!# thirty 'i!utes(
I! 4F5I :ilhel' Ko!ra# R[!t$e!& Professor of Physis at the U!i%ersity of :Sr+bur$&
!otie# by ai#e!t that a paper"sree! o%ere# )ith bariu' plati!oya!i#e bea'e
fluorese!t )ithout a!y appare!t ause( He ha# at the ti'e a atho#e"ray tube $oi!$ "" a!
apparatus use# to stu#y the o!#utio! of eletriity throu$h $ases "" )hih )as e!lose# i!
a bo- of blak ar#boar#( *ut i! those #ays there )as !o ra#iatio! k!o)! har# e!ou$h to
pe!etrate blak ar#boar#& a!# suh a thi!$ )as i! fat o!si#ere# to be i'possible(
R[!t$e! i''e#iately aepte# the i'possible as true0 the fluorese!t $lo) )hih he sa)
o! the sree! 'ust be ause# by rays of a! u!k!o)! ki!#& e'itte# by the tube& a!# apable
of tra%ersi!$ the blak ar#boar#( :ithi! a fe) )eeks he ha# #e'o!strate# that the rays
)ere e/ually apable of tra%ersi!$ hu'a! flesh a!# sho)i!$ the outli!e of the bo!es as
sha#o)s ast upo! the lu'i!ous sree!( He alle# the' H"rays(
So'e fe) )eeks later& He!ri *e/uerel sa) a #e'o!stratio! of R[!t$e!'s H"rays at a
'eeti!$ of the Fre!h Aa#e'y of Sie!es( *e/uerel's father a!# $ra!#father ha# also
bee! professors of physis a!# 'e'bers of the Aa#e'y, they ha# take! a speial i!terest
i! the fluorese!t $lo) )hih ertai! substa!es "" a'o!$ the' ura!iu' o'pou!#s ""
e'it& )he! e-pose# to li$ht( He therefore i''e#iately for'e# the "" )ro!$ "" theory that
H"rays )ere a !or'al ao'pa!i'e!t of the fluorese!t $lo)& a!# he set out to pro%e this
theory by e-peri'e!t( He )rappe# a photo$raphi plate i!to hea%y blak paper to sree! it
fro' or#i!ary li$ht( O! top of the paper")rappi!$ he lai# so'e rystals of the ura!iu'
o'pou!#, bet)ee! the rystals a!# the )rappi!$ he plae# a bit of 'etal )ith holes i! it(
The! he plae# this )hole arra!$e'e!t outsi#e his )i!#o) so that the su!'s rays shoul# set
the ura!iu' a$lo) )ith fluorese!e& a!# thereby set the H"rays $oi!$ aross the )rapper(
This )orke# a#'irably0 )he! he #e%elope# his plates the rays ha# pe!etrate# the )rappi!$
a!# pro#ue# a photo$raph of the holes i! the 'etal( It )as a )o!#erful e-a'ple of a!
e-peri'e!t o!fir'i!$ a pre#itio! base# o! a false hypothesis(
No soo!er ha# he o''u!iate# his results to the Aa#e'y& )he! the sky lou#e# o%er&
a!# *e/uerel put his plates a!# the ura!iu' i!to a #ark #ra)er( Here the rystals )ere
shut off fro' the su!li$ht, he!e there )as !o fluorese!t $lo), he!e there oul# be !o H"
rays to blake! the photo$raphi plate( *ut )he! he took the' out of the #ra)er& the plates
)ere blake!e# !e%ertheless( O!e 'ore the i'possible ha# happe!e#, a!# o!e 'ore a
re%ersal of lo$i brou$ht the solutio!( The fluorese!t $lo) ha# bee! ause# by the H"rays
"" a!# !ot the other )ay rou!#( *e/uerel !o) trie# !o!"fluorese!t ura!iu' o'pou!#s
a!# fou!# that they& too& pro#ue# rays( He trie# other fluorese!t 'aterials )hih #i# !ot
o!tai! ura!iu'& a!# fou!# that they #i# !ot pro#ue the rays( That li!he# the 'atter0 the
soure of the rays& the ra#io"ati%e a$e!t& )as the ura!iu' itself( It )as fro' here that the
Curies took o%er(
Perhaps the prettiest e-a'ple of reaso!i!$ i! re%erse $ear is the i!%e!tio! of the
pho!o$raph(
As a you!$ 'a! E#iso! )orke# as a tele$raphist( His 'ai! .ob )as the taki!$ of 'essa$es
fro' the >orse"tiker by ear, if the li!e )as ba#& the tiki!$ bea'e blurre#& a!# he ha# to
rely o! $uessi!$( This a!!oye# hi' all the 'ore as& o)i!$ to a! earlier ai#e!t& E#iso!
)as partially #eaf( So the you!$ tele$raphist i!%e!te# a si'ple >orse"si$!al"reor#i!$
apparatus( It o!siste# 'ai!ly of a paper #is& )hih )as 'a#e to rotate like the
$ra'opho!e #is of the future, o! the #is the i!o'i!$ #ots a!# #ashes )ere reor#e# as
i!#e!tatio!s( *ut fro' the tele$raph o'pa!y's poi!t of %ie) tra!sribi!$ fro' the reor#
i!stea# of #oi!$ it #iretly by ear fro' the tiker )as a sheer )aste of ti'e, E#iso!& the!
se%e!tee!& lost his .ob(
Ele%e! years later& i! the first laboratory of his o)!& he )as )orki!$ o! about fifty
i!%e!tio!s si'ulta!eously "" a'o!$ the' the type)riter a!# a! i'pro%e# tele$raph"
reor#er& o! )hih the i!o'i!$ #ots a!# #ashes )ere e'bosse# by a !ee#le( :he! the
'essa$e )as to be se!t o! to a!other statio!& the paper #is )as plae# o! a tra!s'itti!$
'ahi!e )ith a o!tat le%er )hih 'o%e# up a!# #o)! aor#i!$ to the i!#e!tatio!s o!
the #is( It )as a $a#$et )ith the sole purpose of reor#i!$ a!# tra!s'itti!$ eletrial
i'pulses& a!# ha# !othi!$ )hatsoe%er to #o )ith the pro#utio! of sou!#s( Bet it did
pro#ue purely ai#e!tal sou!#s "" beause the le%er& )hile trai!$ the e'bosse# #ots a!#
#ashes& )as apt to rattle, a!# )he! the #is )as rotate# %ery /uikly this rattle bea'e a
hu'& the! so'ethi!$ like a 'usial sou!#( A su##e! re%ersal of lo$i a!# the pho!o$raph
)as bor!(
The rest )as a 'atter of elaboratio!( I!stea# of a paper #is& E#iso! propose# to use a
yli!#er o%ere# )ith soft ti!"foil, i!stea# of attahi!$ the !ee#ie to a >orse"tele$raph& he
attahe# it to a 'e'bra!e set i!to %ibratio! by the )a%es of sou!#( He 'a#e a sketh of the
'ahi!e& a!# $a%e it to o!e of his )ork'e!& a ertai! ?oh! Kruesi( It ost alto$ether
ei$htee! #ollars to buil# it& but Kruesi ha# !o i#ea )hat the o!traptio! )as for( :he! it
)as fi!ishe# E#iso! shoute# at it0 '>ary ha# a little la'b(' The! he tur!e# the ha!#le of the
reor#i!$ yli!#er0
'The 'ahi!e repro#ue# perfetly( E%erybo#y )as asto!ishe#( ( ( ( ' A!# that )as that( To
/uote o!e 'ore the .ar$o! of o''u!iatio! e!$i!eeri!$0 the bak$rou!# '!oise' of the
%ibrati!$ le%er ha# bee! tur!e# i!to 'i!for'atio!'(
:e ha%e 'et the sa'e ki!# of lo$ial 'irror")riti!$ i! hu'our "" 'a sa#ist is a perso! )ho
is ki!# to a 'asohist'& 'operatio! suessful& pate!t #ea#'( All .okes base# o! a tur!i!$"the"
tables teh!i/ue sho) the sa'e patter! 1for i!sta!e& the Pri!e a!# the Retai!er story o! p(
F62(
I! the lassial tra$e#y& o! the other ha!#& it is the $o#s& or the stars& )ho tur! the tables o!
the 'ortal hero& or lure hi' i!to appoi!t'e!ts i! Sa'ara( They partiularly like to use
see'i!$ly har'less oi!i#e!es "" the bli!# $aps i! the 'ea!i!$ful or#er of e%e!ts "" as
le%ers of #esti!y( I! later for's of literature& it is haraters )hih are 'a#e to sta!# o!
their hea#s& or are tur!e# i!si#e out like a $lo%e( Pri!e >ishki!& the 'I#iot'& is re%eale# as a
sa$e i! re%erse, sai!ts are si!!ers& si!!ers are sai!ts& heroes are o)ar#s& a#ults are
hil#re!& a!# e%ery ?ekyll has so'ethi!$ to Hy#e(
I! %isual pereptio! )e fi!# a parallel phe!o'e!o! i! the re%ersible fi$ure"bak$rou!#
relatio!( If o!e stares at the 'osai o! the bathroo' floor& u!o!sious a!# ofte!
u!o!trollable shifts i! pereptio! 'ake the patter! of blak tiles sta!# out at o!e 'o'e!t&
a!# the patter! of )hite tiles at the !e-t( A 'ore #ra'ati illustratio! is the follo)i!$&
fou!# i! 'a!y psyholo$ial te-tbooks0


Ur! or profiles "" )hihe%er is 'aster for a )hile& )ill beo'e sla%e i! tur!& 'fi$ure' )ill
ha!$e i!to '$rou!#'& '!oise' i!to 'i!for'atio!'& i! a ki!# of %isual satur!alia( The t)o
pereptual 'atries are reiproal& a!# their alter!atio! see's to be #eter'i!e# by
u!o!sious physiolo$ial proesses(

So'e of the $reat re%olutio!s i! the history of pai!ti!$ e!taile# al'ost e/ually brutal
re%ersals of %isio!( Up to the late 3e!etia!s& the la!#sape o! the a!%as )as pri'arily
perei%e# as a o!%e!tio!al bak$rou!# a$ai!st )hih hu'a! fi$ures )ere #isplaye#,
rou$hly fro' ;ior$io!e o!)ar# it bea'e possible to pai!t la!#sapes i! )hih the hu'a!
fi$ure playe# a! ai#e!tal part( At #iffere!t sta$es o!e fi!#s si'ilar re%ersals i! the lo$i
of the eye0 fro' or!ate #rapery to perso!al e-pressio!& fro' o!tours to surfaes& fro'
!aturalis' to other is's of pereptio!( At eah of these uphea%als the at )ithout a $ri!
)as superse#e# by the $ri! )ithout a at(

I! the real' of 'usi the relati%ity a!# re%ersibility of 'fi$ure' a!# 'bak$rou!#'
1ao'pa!i'e!t& ou!terpoi!t& fu$ue2 is self"e%i#e!t( It is less ob%ious i! 'o#er!
theoretial physis& althou$h it is i'plie# i! o!e of its basi postulates0 aor#i!$ to Niels
*ohr's NPri!iple of Co!te'ple'e!taryN the ulti'ate o!stitue!ts of the u!i%erse ""
eletro!s& proto!s& photo!s& et( "" beha%e o! so'e oasio!s as if they )ere partiles& that
is& har# lu'ps of 'atter& o! other oasio!s as if they )ere ripples of e!er$y )ithout
#efi!ite loatio!( Althou$h the t)o #esriptio!s are 'utually e-lusi%e i! ter's of
tra#itio!al physis a!# philosophy& the theory )orks re'arkably )ell( As a 'atter of fat&
'ost physiists are !ot 'uh bothere# by the i!here!t o!tra#itio!& a!# are /uite o!te!t
to belie%e that the ')a%iles'& the atual stuff the )orl# is 'a#e of& are at o!e 'o'e!t like
the soli# ur!& a!# the !e-t like the e'pty spae bet)ee! the t)o profiles(

That the 'ost brillia!t sie!tists of this e!tury shoul# be apable of aepti!$ this
para#o- is a rather striki!$ i!#iatio! of the suseptibility of the hu'a! 'i!# for re%ersals
of lo$i& a!# the u!ifiatio! of opposites( The o'ple'e!tarity of e!er$y a!# 'atter i!
/ua!tu'"physis is !ot so far re'o%e# as it )oul# see' fro' the #ualis' of Ba!$ a!# Bi!&
the fe'i!i!e a!# 'asuli!e pri!iples i! Taoist philosophy( I #o !ot 'ea! that =ao"Tse& i!
the si-th e!tury *(C(& foresa) the beha%iour of alpha"partiles i! a :ilso! ha'ber, I
'ea! that it is a ti'eless harateristi of the u!o!sious 'i!# to )ork i! that )ay(


A!alo$y a!# I!tuitio!

The $reat biolo$ist Elie >eh!ikoff felt rather lo!ely o!e after!oo! i! 4F5C ')he! the
)hole fa'ily ha# $o!e to the irus to see so'e e-traor#i!ary perfor'i!$ apes& a!# I
re'ai!e# alo!e )ith 'y 'irosope'( 74A8 The 'irosope )as i! a laboratory of the `ole
Nor'ale )hih Pasteur ha# $i%e! hi', >ehuikoff )as obser%i!$ the life of the 'obile
ells i! the tra!spare!t lar%ae of starfish& a!# i#ly thre) a fe) rose"thor!s a'o!$ the'( The
thor!s )ere pro'ptly surrou!#e# by the lar%ae a!# #issol%e# i!si#e their tra!spare!t bo#ies
"" they ha# bee! $obble# up a!# #i$este#( This re'i!#e# hi' of )hat happe!s )he! a
hu'a! fi!$er is i!fete# by a spli!ter0 it )ill be surrou!#e# by pus )hih& like the starfish
lar%ae& )ill attak a!# try to #i$est the i!tru#er( *y this a!alo$y >eh!ikoff #iso%ere# the
or$a!is's' 'ai! #efe!e 'eha!is' a$ai!st i!%a#i!$ 'irobes0 the 'pha$oytes'& ell"
eate!& a populatio! of 'obile ells a'o!$ the )hite bloo# orpusles(

The starti!$ poi!t of Kepler's #iso%eries )as a suppose# a!alo$y bet)ee! the role of the
Father i! the Tri!ity a!# the role of the Su! i! the U!i%erse( =or# Kel%i! hit o! the i#ea of
the 'irror $al%a!o'eter )he! he !otie# a refletio! of li$ht o! his 'o!ole( Sulta! sa)
that a bra!h )as like a stik, Ne)to! sa) that the 'oo! beha%e# like a! apple( Pasteur
sa) the a!alo$y bet)ee! a spoilt ulture a!# a o)"po- %ai!e, Fle'i!$ sa) the a!alo$y
bet)ee! the atio! of a 'oul# a!# the atio! of a #rip fro' his !ose( Freu#& o! his o)!
aou!t& o!ei%e# the i#ea of the subli'atio! of i!sti!ts by looki!$ at a fu!!y artoo! i!
the 1liegende 7ltter "" the o!e"ti'e ;er'a! e/ui%ale!t of Punch( I! the first piture a
little $irl )as her#i!$ a flok of $osli!$s )ith a stik( I! the seo!# she ha# $ro)! i!to a
$o%er!ess her#i!$ a flok of you!$ la#ies )ith a parasol( 7468

So'e )riters i#e!tify the reati%e at i! its e!tirety )ith the u!earthi!$ of hi##e!
a!alo$ies( 'The #iso%eries of sie!e& the )orks of art are e-ploratio!s "" 'ore& are
e-plosio!s& of a hi##e! like!ess'& *ro!o)ski )rote( 74I8 *ut )here #oes the hi##e!
like!ess hi#e& a!# ho) is it fou!#E Sulta!'s bra!h oul# literally be see! as a stik ""
thou$h e%e! i! this ase& a ha!$e of the pereptual fra'e )as re/uire# to #iso%er the
like!ess( *ut i! 'ost truly ori$i!al ats of #iso%ery the 'seei!$' is i! fat i'a$i!i!$, it is
#o!e i! the 'i!#'s& a!# 'ostly the u!o!sious 'i!#'s eye( The a!alo$y bet)ee! the life of
o!e ki!# of 'irobe i!si#e a o) a!# a!other ki!# of 'irobe i! a for$otte! ulture tube
)as !ot 'hi##e!' a!y)here, it )as 'reate#' by the i'a$i!atio!, a!# o!e a! a!alo$y has
bee! reate#& it is of ourse there for all to see "" .ust as a poeti 'etaphor& o!e reate#&
soo! fa#es i!to a lihT(

A!alo$y& i! lo$i& 'ea!s a proess of 'reaso!i!$ fro' parallel auses', i! o''o! parla!e
it 'ea!s that t)o situatio!s or e%e!ts are si'ilar i! so'e respets& but !ot i! all respets(
The rub is i! the )or#s 'parallel' a!# 'si'ilar', the latter& i! partiular& has be#e%ille#
psyholo$y e%er si!e the ter' 'assoiatio! by si'ilarity' )as i!%e!te# 1by *ai!& I belie%e2
as a! e-pla!atio! of ho) the 'i!# )orks( A Chi!a'a! )ho ollets sta'ps is 'si'ilar' to a
Ne$ro i! that both are 'ales, he is si'ilar to a Chi!ese $irl i! that both are Chi!ese, a!# he
is si'ilar to other sta'p"olletors of a!y !atio!ality( >athe'atis be$a!& )rote *ertra!#
Russell& )he! it )as #iso%ere# that a brae of pheasa!ts a!# a ouple of #ays ha%e
so'ethi!$ i! o''o!0 the !u'ber t)o(

'Si'ilarity' is !ot a thi!$ offere# o! a plate 1or hi##e! i! a upboar#2, it is a relatio!
establishe# i! the 'i!# by a proess of seleti%e e'phasis o! those features )hih o%erlap
i! a ertai! respet "" alo!$ o!e #i'e!sio!al $ra#ie!t "" a!# i$!ori!$ other features( E%e!
suh a see'i!$ly si'ple proess as reo$!i+i!$ the si'ilarity bet)ee! t)o letters a )ritte!
by #iffere!t ha!#s& i!%ol%es proesses of abstratio! a!# $e!erali+atio! i! the !er%ous
syste' )hih are lar$ely u!e-plai!e#(

Thus the real ahie%e'e!t i! #iso%eries of the type 'e!tio!e# i! this setio! is 'seei!$ a!
a!alo$y )here !o o!e sa) o!e before'( The sie!tist )ho sets out to sol%e a proble' looks
at it fro' %arious a!$les& throu$h $lasses of #iffere!t olours& as it )ere "" i! the .ar$o! of
the prese!t theory& he e-peri'e!ts )ith %arious 'atries& hopi!$ that o!e )ill fit( If it is a
routi!e proble' of a fa'iliar type& he )ill soo! #iso%er so'e aspet of it )hih is si'ilar
i! so'e respet to other proble's e!ou!tere# i! the past& a!# thus allo)s hi' to o'e to
$rips )ith it( So'e of the 'e!tal operatio!s i!%ol%e# i! suh routi!e ases )e ha%e alrea#y
e!ou!tere# i! #isussi!$ the sol%i!$ of )itty ri##les 1pp( F6"@20 e-trapolatio!&
i!terpolatio!& tra!spositio!( These are 'rules of the $a'e' )hih e!ter as sub"o#es i!to a!y
o'ple- 'e!tal skill( To put it i! a #iffere!t )ay0 sol%i!$ a proble' 'ea!s bri#$i!$ a $ap,
a!# for routi!e proble's there usually e-ist 'atries "" %arious types of prefabriate#
bri#$es "" )hih )ill #o the .ob, thou$h it 'ay re/uire a ertai! a'ou!t of s)eat to a#.ust
the' to the terrai!(

*ut i! ori$i!al #iso%eries& !o si!$le pre"fabriate# 'atri- is a#e/uate to bri#$e the $ap(
There 'ay be so'e si'ilarities )ith past situatio!s& but these 'ay be 'ore 'islea#i!$ tha!
helpful& a!# lure the %iti' i!to fruitless e-peri'e!tatio! base# o! tra#itio!al rules of the
$a'e( Here the o!ly sal%atio! lies i! hitti!$ o! a! au-iliary 'atri- i! a pre%iously u!relate#
fiel# "" the lar%ae of starfish or the Holy ;host( O!e 'ay all the proess )hih follo)s
after the hit 'reaso!i!$ fro' a parallel ase' "" but the real ahie%e'e!t )as to 'appoi!t'& as it
)ere& the lar%a as a parallel ase to the pus& a!# the atio! of the Holy ;host as 'si'ilar' to
the atio! of $ra%ity( It is a! ahie%e'e!t 'uh loser to the birth of a poeti si'ile tha! to
a lo$ial pro#utio!( After all& the :alrus too )as ar$ui!$ by a!alo$y )he! he talke# Of
shoes %% and ships %% and sealing wax = Of cabbages %% and kings(

The esse!e of #iso%ery is that u!likely 'arria$e of abba$es a!# ki!$s "" of pre%iously
u!relate# fra'es of refere!e or u!i%erses of #isourse "" )hose u!io! )ill sol%e the
pre%iously u!soluble proble'( The searh for the i'probable part!er i!%ol%es lo!$ a!#
ar#uous stri%i!$ "" but the ulti'ate 'ath'aker is the u!o!sious( I ha%e #isusse# se%eral
triks )hih /ualify it for that role0 the $reater flue!y a!# free#o' of u!o!sious
i#eatio!, its 'i!telletual liberti!a$e' "" as o!e 'i$ht all the #rea''s i!#iffere!e to)ar#s
lo$ial !ieties a!# 'e!tal pre.u#ies o!serate# by tra#itio!, its !o!"%erbal& '%isio!ary'
po)ers( To these 'ust be a##e#& i! our prese!t o!te-t& the #rea''s te!#e!y to)ar#s
reati!$ u!usual a!alo$ies( These 'ay be %erbal pu!s& or 'opti pu!s' or %isual sy'bols, but
there is a!other type of %a$ue a!# lou#y a!alo$y $e!erate# i! the #rea' a!# half"#rea'&
)hih #isi!te$rates o! a)ake!i!$ a!# a!!ot be put i!to )or#s "" e-ept by 'utteri!$
'so'ethi!$ re'i!#e# 'e of so'ethi!$& but I #o!'t k!o) )hat re'i!#e# 'e of )hat& a!#
)hy'( So'e #rea's ha%e a )ay of #issol%i!$ i! the )ake!i!$ 'i!# like soli# rystals
'elti!$ i! a li/ui#, a!# if )e re%erse the proess )e $et at least a speulati%e poi!ter to the
'a!!er i! )hih those 'so'ethi!$s' %a$uely re'i!#i!$ 'e of other 'so'ethi!$s' o!#e!se
i!to a !ase!t a!alo$y( This 'ay be a ha+y& te!tati%e affair "" the #a!e of Poi!arT's
u!hooke# ato's, a!# its shape 'ay be ha!$i!$ fro' a'el to )easel& as Ha'let's lou#(
The u!o!sious re$io!s of fertile 'i!#s 'ust be pullulati!$ )ith suh !ase!t a!alo$ies&
hi##e! like!esses& a!# the lou#y for's of thi!$s u!k!o)!( *ut 'ost lou#s for' a!#
#issol%e a$ai!, o!ly a fe) i!tuitio!s reah the sta$e of 'see#i!$ the lou#' )hih results i!
the for'atio! of %erbal #rops, a!# lou#"bursts are a rarity(

T)o fi!al e-a'ples 'ay ser%e to illustrate the atual proess of #iso%eri!$ hi##e!
a!alo$ies( The first is relate# to lou#s i! a literal se!se "" Fra!kli!'s i!%e!tio! of the
li$ht!i!$ o!#utor(

*e!.a'i! Fra!kli! bea'e i!tereste# i! eletriity i! 4O6@ )he! he )as forty& a!# be$a!
playi!$ about )ith =ey#e! .ars "" a ki!# of eletrifie# bottle )hih $a%e o!e fearful shoks(
:ithi! the !e-t three years he re#iso%ere# by hi'self %irtually e%erythi!$ that )as k!o)!
about eletriity to that #ate& a!# a##e# se%eral fu!#a'e!tal #iso%eries of his o)!(

I! 4O65 he !ote# i! his #iary that he thou$ht li$ht!i!$ a!# thu!#er to be eletrial
phe!o'e!a(D He also fou!# that )he! brou$ht !ear to a! eletrifie# bo#y& a poi!te# ob.et&
like a fi!$er& )ill #ra) a 'uh stro!$er spark tha! a blu!t o!e( 'To k!o) this po)er of
poi!ts'& he 'usi!$ly )rote& ''ay possibly be of so'e use to 'a!ki!#& thou$h )e shoul#
!e%er be able to e-plai! it(' He the! #re) a! a!alo$y bet)ee! a lou# a!# a! eletrifie#
bo#y& a!# o!lu#e# that li$ht!i!$ )as a! eletrial #ishar$e phe!o'e!o!( *ut if that )as
the ase& 'a!ki!# oul# protet itself a$ai!st this os'i sour$e0
I say& if these thi!$s are so& 'ay !ot the k!o)le#$e of this po)er of poi!ts be of use to
'a!ki!#& i! preser%i!$ houses& hurhes& ships a o!t( fro' the stroke of li$ht!i!$& by
#ireti!$ us to fi- o! the hi$hest parts of those e#ifies& upri$ht ro#s of iro! 'a#e sharp as
a !ee#le& a!# $ilt to pre%e!t rusti!$& a!# fro' the foot of those ro#s a )ire #o)! o!e of the
shrou#s of a ship& a!# #o)! her si#e till it reahes the )aterE :oul# !ot these poi!te# ro#s
probably #ra) the eletrial fire sile!tly out of a lou# before it a'e !i$h e!ou$h to strike&
a!# thereby seure us fro' that 'ost su##e! a!# terrible 'ishiefE 74@8
Ho)e%er& before he oul# o!%i!e 'a!ki!# to put 'Fra!kli! ro#s' o! their houses he ha#
to pro%e his fa!tastially sou!#i!$ !otio! that thu!#erlou#s )ere i! fat $ia!t =ey#e! .ars
floati!$ i! the air( He )aite# for so'e ti'e hopefully for the eretio! of a tall spire at
Phila#elphia& i!te!#i!$ to fi- a poi!te# ro# o! top of it& a!# so to bri!$ #o)! the eletriity
fro' a passi!$ thu!#erlou#( *ut the #iffiulties of the pro.et pro%e# i!sur'ou!table, it
)as #uri!$ this perio# of i'patie!t )aiti!$ a!# restless searhi!$ for a si'pler 'etho# to
pro%e his theory that he hit o! the fa!tasti yet at the sa'e ti'e asto!ishi!$ly si'ple i#ea
of the kite(
Ho) #i# it happe!E Fra!kli! )as a! e-pert s)i''er( O! his first so.our! i! =o!#o!& at the
a$e of !i!etee!& he s)a' fro' Chelsea to *lakfriars& a #ista!e of three 'iles&
'perfor'i!$ o! the )ay 'a!y feats of ati%ity both upo! a!# u!#er the )ater' "" a!# )as
a#%ise# by so'e E!$lish $e!tle'e!& )ho )athe# hi'& to ope! a s)i''i!$ shool( He #i#
!ot #o that& but he #e%ise# a !e) 'etho# of lear!i!$ to s)i'0 'Choosi!$ a plae )here the
)ater #eepe!s $ra#ually& )alk oolly i!to it till it is up to your breast& the! tur! arou!#&
your fae to the shore& a!# thro) a! e$$ i!to the )ater bet)ee! you a!# the shore(' The
lear!er the! 'ust 'bol#ly retrie%e the e$$' "" a!# i! the at of retrie%i!$ a/uires the art of
s)i''i!$(
E%e! earlier o! he ha# #e%ise# a!other a/uati sport0 as a boy he use# to #rift for hours o!
a lake& floati!$ o! his bak& a!# to)e# by the stri!$ of a kite( He su$$este# that this 'etho#
'i$ht be utili+e# by s)i''ers to ross the Cha!!el fro' <o%er to Calais "" )ith the
.u#iious a##e!#u'0 'The paket"boat& ho)e%er& is still preferable('
It is easy to i'a$i!e ho)& i! a 'o'e!t of )eari!ess a!# 'thi!ki!$ asi#e' fro' that )rethe#
spire i! Phila#elphia& a pleasa!t hil#hoo# 'e'ory rose like a bubble to the surfae of his
o!sious!ess0 #rifti!$ o! the lake attahe# to the kite i! the sky( EurekaG :ith the
e!thusiasti assista!e of his you!$ so!& Fra!kli! fabriate# a kite out of a ross of e#ar
)oo# a!# a silk ha!#kerhief( All he !ee#e# !o) )ere a fe) $oo# thu!#erlou#s "" )hih
o!%e!ie!tly appeare# i! ?u!e 4OI9( Father a!# so! se!t up the kite a!#& )ith #ue
preautio!& #rai!e# the lou#s' eletri har$e i!to a =ey#e! .ar, 'by the eletri fire thus
obtai!e# spirits )ere i!fla'e# a!# other e-peri'e!ts perfor'e#'(
Suh )as the e-ite'e!t ause# all o%er the )orl# that o!e of Fra!kli!'s i'itators& a
ertai! >o!sieur Rieh'a!!& )as kille# i! St( Petersbur$ by the li$ht!i!$ #ishar$e he #re)
fro' a lou#( He )as )orshippe# as a hero a!# fou!# 'a!y )oul#"be i'itators, a'o!$
the' the ;er'a! i!%e!tor Herr *o+e( E%e! ?oseph Priestley& o!e of the $reat *ritish
sie!tists of the e!tury& rhapso#i+e# about 'the se!ti'e!ts of the 'a$!a!i'ous >r( *o+e&
)ho )ith a truly philosophi herois'& )orthy of the re!o)!e# E'pe#oles& sai# he )ishe#
he 'i$ht #ie by the eletri shok& that the aou!t of his #eath 'i$ht fur!ish a! artile for
the 'e'oirs of the Fre!h Aa#e'y of Sie!es( *ut it is !ot $i%e! to e%ery eletriia! to
#ie the #eath of the .ustly e!%ie# Rieh'a!!(' 74O8
There are t)o suessi%e Eureka proesses i!%ol%e# i! this story( I! the first& the
bisoiati%e li!k )as )hat Fra!kli! alle# 'the po)er of poi!ts', it $a%e rise to the a!alo$y0
poi!te# fi!$er #ishar$es =ey#e! .ar& poi!te# ro# #ishar$es lou#( It 'ay ha%e bee!
attai!e# by i#eatio! o! a relati%ely o!sious le%el& probably )ith the ai# of %isual
i'a$i!atio!( The seo!# stroke of $e!ius )as the use of the kite to reah the thu!#erbolt( It
illustrates the ar$u'e!t I ha%e put for)ar# earlier i! this hapter0 o!e a! har#ly say that a
hi##e! a!alo$y )as pre"e-iste!t i! the u!i%erse bet)ee! a kite use# as a sail by a boy
floati!$ o! a lake& a!# a li$ht!i!$ o!#utor( :hat atually happe!e# )as that Fra!kli! )as
#esperately searhi!$ for a 'ea!s to 'ake o!tat )ith a thu!#erlou#& thi!ki!$ i! habitual
ter's of tall spires& lo!$ iro! ro#s& a!# perhaps the To)er of *abel( *ut all these
approahes pro%e# i'pratiable& a!# the 'atri- )as bloke# "" u!til i! a 'o'e!t of
lassitu#e a!# #ay"#rea'i!$ the pre%iously u!relate# 'e'ory"trai! of s)i''i!$& e$$"
retrie%i!$& a!# kite"saili!$ )as brou$ht to bear o! it(
The last e-a'ple that I shall /uote i! this setio! is a partiularly i'pressi%e illustratio! of
the u!o!sious i! the role of 'ath'aker( I a' referri!$ to the #iso%ery& i! 459C& of the
he'ial tra!s'issio! of !er%e"i'pulses by Otto =oe)i( Si!e the 'atter is so'e)hat
teh!ial& I shall $i%e a si'plifie# aou!t of it(
*efore =oe)i's #iso%ery it )as $e!erally belie%e# that !er%ous o!trol of bo#ily fu!tio!s
)as e-erise# by a #iret tra!s'issio! of eletrial i'pulses fro' !er%e"ter'i!al to 'usle
or $la!#( *ut this theory faile# to aou!t for the fat that the sa'e type of eletri i'pulse
tra%elli!$ #o)! a !er%e ha# a! e-itatory effet o! so'e or$a!s& a! i!hibitory effet o!
others( No) ertai! #ru$s )ere k!o)! to ha%e preisely the sa'e effet( I! a #isussio!
)ith a frie!# i! 45CA& it ourre# to =oe)i that the he'ial a$e!ts )hih )ere o!tai!e#
i! these #ru$s 'ay also be prese!t at the !er%e"ter'i!als, the eletri i'pulse )oul# i!itiate
he'ial atio!& )hih i! its tur! )oul# at o! the 'usle or $la!#( *ut =oe)i oul# !ot
thi!k of a! e-peri'e!tal 'etho# to test the i#ea "" a!# for$ot it for the !e-t se%e!tee!
years(
Fiftee! years later& for /uite #iffere!t purposes& he #esi$!e# a! e-peri'e!t( He 'a#e
preparatio!s of t)o fro$s' hearts )hih )ere kept beati!$ i! salt solutio!s to see )hether
their ati%ities $a%e out a!y he'ial substa!e( I! the se/uel he for$ot all about the
e-peri'e!t(
A!other t)o years passe# u!til the ritial e%e!t0
The !i$ht before Easter Su!#ay of that year 7459C8 I a)oke& tur!e# o! the li$ht& a!# .otte#
#o)! a fe) !otes o! a ti!y slip of thi! paper( The! I fell asleep a$ai!( It ourre# to 'e at
si- o'lok i! the 'or!i!$ that #uri!$ the !i$ht I ha# )ritte! #o)! so'ethi!$ 'ost
i'porta!t& but I )as u!able to #eipher the sra)l( The !e-t !i$ht& at three o'lok& the i#ea
retur!e#( It )as the #esi$! of a! e-peri'e!t to #eter'i!e )hether or !ot the hypothesis of
he'ial tra!s'issio! that I ha# uttere# se%e!tee! years a$o )as orret( I $ot up
i''e#iately& )e!t to the laboratory& a!# perfor'e# a si'ple e-peri'e!t o! a fro$ heart
aor#i!$ to the !otur!al #esi$!( ( ( (
No lesser perso! that :alter *( Ca!!o!& the #iso%erer of a#re!ali!& has #esribe# this
!otural #esi$! as 'o!e of the !earest& si'plest& a!# 'ost #efi!ite e-peri'e!ts i! the history
of biolo$y'( =oe)i a$ai! isolate# t)o fro$ hearts& the first )ith its !er%es& the seo!#
)ithout( He sti'ulate# the %a$us !er%e of the first heart for a fe) 'i!utes( The %a$us has
a! i!hibitory effet o! the heart& a!# its beats slo)e# #o)!( =oe)i !o) re'o%e# the salt
solutio! fro' the first heart a!# applie# it to the seo!#( It slo)e# #o)! .ust as if its o)!
1!o lo!$er e-iste!t2 %a$us ha# bee! sti'ulate#( ( ( ( He repeate# the e-peri'e!t& this ti'e
sti'ulati!$ the aelerator !er%e of the first heart( :he! the li/ui# )as tra!sferre# to the
seo!# heart it aelerate#( ( ( ( He o!lu#es0
These results u!e/ui%oally pro%e# that the !er%es #o !ot i!flue!e the heart #iretly but
liberate fro' their ter'i!als speifi he'ial substa!es )hih& i! their tur!& ause the
)ell"k!o)! 'o#ifiatio!s of the fu!tio! of the heart harateristi of the sti'ulatio! of its
!er%es( The story of this #iso%ery sho)s that a! i#ea 'ay sleep for #ea#es i! the
u!o!sious 'i!# a!# the! su##e!ly retur!( Further& it i!#iates that )e shoul# so'eti'es
trust a su##e! i!tuitio! )ithout too 'uh septiis'( If arefully o!si#ere# i! the #ayti'e&
I )oul# u!#oubte#ly ha%e re.ete# the ki!# of e-peri'e!t I perfor'e#( It )oul# ha%e
see'e# likely that a!y tra!s'itti!$ a$e!t release# by a !er%ous i'pulse )oul# be i! a!
a'ou!t .ust suffiie!t to i!flue!e the effetor or$a!( It )oul# see' i'probable that a!
e-ess that oul# be #etete# )oul# esape i!to the flui# )hih fille# the heart( It )as $oo#
fortu!e that at that 'o'e!t of the hu!h I #i# !ot thi!k but ate# i''e#iately(
For 'a!y years this !otur!al e'er$e!e of the #esi$! of the ruial e-peri'e!t to hek
the %ali#ity of a hypothesis uttere# se%e!tee! years earlier )as a o'plete 'ystery( 74F8
I! 45II "" thirty"fi%e years after the #iso%ery& )hih ear!e# hi' the Nobel Pri+e "" =oe)i
ha# to o'pile a biblio$raphy0
I $la!e# o%er all the papers publishe# fro' 'y laboratory( I a'e aross t)o stu#ies
'a#e about t)o years before the arri%al of the !otur!al #esi$! i! )hih& also i! searh of a
substa!e $i%e! off fro' the heart& I ha# applie# the teh!i/ue use# i! 459C( This
e-perie!e& i! 'y opi!io!& )as a! esse!tial preparatio! for the i#ea of the fi!ishe# #esi$!(
I! fat& the !otur!al o!ept represe!te# a su##e! assoiatio! of the hypothesis of 45CA
)ith the 'etho# teste# !ot lo!$ before i! other e-peri'e!ts( >ost so"alle# 'i!tuiti%e'
#iso%eries are suh assoiatio!s su##e!ly 'a#e i! the u!o!sious 'i!#( 7458
=et 'e briefly reapitulate the three sta$es of this #ra'a( The first is the su##e!
e'er$e!e& #uri!$ a o!%ersatio! i! 45CA& of the hu!h that his proble' oul# be sol%e# by
s)ithi!$ fro' a 'spark theory' to a 'soup theory' 1i! !eurolo$ial .ar$o!& 'spark' refers to
eletrial& 'soup' to he'ial tra!s'issio! of !er%e i'pulses2( *ut a hu!h of this ki!# as
ofte! as !ot tur!s out to be a fallaious o%er"si'plifiatio!, so the i#ea )e!t i!to the
i!ubator for the !e-t se%e!tee! years& till 459C(
At T)o( I! 454F& fiftee! years after the hu!h& =oe)i perfor's ertai! e-peri'e!ts for
)hih purpose he has to #esi$! a teh!i/ue for the #etetio! of flui#s serete# by the fro$'s
heart( He the! for$ets all about it(
O! the !i$ht before Easter Su!#ay the t)o pre%iously u!relate# 'e'ories 'eet, but their
'eeti!$ plae is so #eep u!#er$rou!# that the !e-t 'or!i!$ he a! re'e'ber !othi!$& a!#
a!!ot e%e! #eipher his o)! sribble# !ote( He has to )ait u!til the !e-t !i$ht for a!other
u!#er$rou!# e-ursio! "" )hih takes plae at A a('(& follo)e# by the rush to the
laboratory(
After the e%e!t o!e )o!#ers& of ourse& )hy o!e i#ea ha# to )ait for se%e!tee! years& the
seo!# for t)o years& a!# the! hoose suh a seret plae for their fi!al re!#e+%ous that the
i#e!tity of the seo!# )as o!ly re%eale# a!other t)e!ty"fi%e years later( The first )as a
theory of the tra!s'issio! of !er%e i'pulses to or$a!s by a flui#, the seo!# )as a
teh!i/ue for trai!$ flui#s i! a! or$a!, )hat oul# be 'ore lo$ial tha! that the t)ai!
shoul# 'eetE Bet they #i# !ot 'eet throu$h all those years beause 'ortal 'i!#s& e%e!
those of $e!ius& are !ot $o%er!e# by lo$i but by habit& a!# the t)o i#eas )ere e'be##e#
eah i! its o)! habitual o!te-t( :allae& too& ha# bee! thi!ki!$ of e%olutio! for t)o years&
a!# ha# rea# >althus 'a!y years before the t)o fuse# "" #uri!$ a! attak of tropial fe%er(
It see's that e!ou!ters of this ki!# a! our o!ly )he! the !or'al rules of the $a'e are
suspe!#e# a!# the u!o!sious 'ath"'aker e!ters i!to atio!( =oe)i's i!ability to rea# his
o)! !ote& a!# other ases of 's!o)bli!#!ess' )hih I shall 'e!tio!& i!#iate the stubbor!
resista!e of habit a$ai!st suh breahes of the rules a!# illiit liaiso!s(
':e are so'e)hat 'ore tha! oursel%es i! sleep a!# the Slu'ber of the *o#y see's to be
but the :aki!$ of the Soul'& Sir Tho'as *ro)!e )rote three e!turies a$o( Bet it is #iffiult
a!# frustrati!$ to )rite o!siously o! the u!o!sious& ratio!ally o! the irratio!al( It is
rather like praisi!$ the beauties a!# e-pou!#i!$ the $ra''ar of the Sa!skrit la!$ua$e ""
but a Sa!skrit )hih you speak o!ly i! your sleep a!# the o''a!# of )hih you lose
)he! a)ake( O!ly fra$'e!ts of it e'er$e to the surfae "" #is.oi!te# 'e'ories a!# the
testi'o!ies of reati%e 'i!#s( :he! these fra$'e!ts are piee# to$ether& as best )e a!&
they #o !ot for' a ohere!t patter! "" but they #o pro%i#e e%i#e!e that suh a patter!
e-ists(
Su''ary
The i!terloki!$ of t)o pre%iously u!relate# skills or 'atries of thou$ht )as a$ai! see!
to o!stitute the basi patter! of #iso%ery i! the illustrati%e ases of ;ute!ber$& Kepler&
a!# <ar)i!":allae 1Chapter 3I2( ;ute!ber$ o'bi!e# the teh!i/ues of the )i!e"press
a!# the seal, Kepler 'arrie# physis to astro!o'y, <ar)i! o!!ete# biolo$ial e%olutio!
)ith the stru$$le for sur%i%al(
O! the /uestio! ho) the !e) sy!thesis o'es i!to bei!$& the e%i#e!e i!#iates that %erbal
thi!ki!$& a!# o!sious thi!ki!$ i! $e!eral& plays o!ly a subor#i!ate part i! the #eisi%e
phase of the reati%e at( Ha#a'ar#'s i!/uiry a'o!$ lea#i!$ 'athe'atiia!s i! A'eria
re%eale# that 'pratially all of the' ( ( ( a%oi# !ot o!ly the use of 'e!tal )or#s but also ( ( (
the 'e!tal use of al$ebrai or a!y other si$!s'( O! the testi'o!y of those ori$i!al thi!kers
)ho ha%e take! the trouble to reor# their 'etho#s of )ork& this also see's to be the rule i!
other bra!hes of sie!e( Their %irtually u!a!i'ous e'phasis o! spo!ta!eous i!tuitio!s&
u!o!sious $ui#a!e& a!# su##e! leaps of i'a$i!atio! )hih they are at a loss to e-plai!&
su$$ests that the role of stritly ratio!al thou$ht"proesses i! sie!tifi #iso%ery has bee!
%astly o%eresti'ate# si!e the A$e of E!li$hte!'e!t, a!# that& o!trary to the Cartesia!
bias i! our beliefs& 'full o!sious!ess'& i! the )or#s of Ei!stei!& 'is a li'it ase'(
'Full o!sious!ess' 'ust i!#ee# be re$ar#e# as the upper li'it of a o!ti!uous $ra#ie!t
fro' foal a)are!ess throu$h peripheral a)are!ess to total u!a)are!ess of a! e%e!t(
A)are!ess is a 'atter of #e$rees, a!# o!ly a fratio! of our 'ulti"le%elle# ati%ities at a!y
'o'e!t e!ters the bea' of foal o!sious!ess( *ut this reali+atio! i! itself pro%i#es !o
a!s)er to the /uestio! ho) u!o!sious $ui#a!e )orks(
:e ha%e approahe# that /uestio! i! se%eral autious steps( First& I ha%e trie# to sho) that
u!o!sious auto'atis's 'ust !ot be o!fuse#& as they ofte! are& )ith u!o!sious
i!tuitio!s( To be able to reite the li!es of Kubla Kha! 'i! o!e's sleep' is !ot the sa'e thi!$
as o!ei%i!$ the' i! a #rea', it is& i! fat& the result of the opposite proess( The
for'atio! a!# $ra#ual auto'ati+atio! of habits of all ki!#s& of 'usular& pereptual&
thi!ki!$ skills& follo)s the pri!iple of eo!o'y( O!e a !e) skill has bee! 'astere#& the
o!trols be$i! to fu!tio! auto'atially a!# a! be #ispathe# u!#er$rou!#& out of si$ht,
a!# u!#er stable o!#itio!s strate$y too )ill te!# to beo'e stereotype#( I alle# this the
'#o)!)ar#' strea' of 'e!tal traffi(
The !e-t step le# us to i!/uire ho) i! or#i!ary& routi!e thi!ki!$ )e e-plore the 'shallo)s'
of our 'i!#s "" operati!$ o! the t)ili$ht peripheries of a)are!ess& as it )ere( ;alto!'s oft"
/uote# 'etaphor of the a!te"ha'ber& fro' )hih the ''ost losely allie#' i#ea is
su''o!e# to the prese!e"ha'ber of the 'i!# i! a ''eha!ially lo$ial )ay'& pro%e# to
be i!a#e/uate& beause the or#er of pree#e!e )as see! to #epe!# firstly& o! the speifi
rules of the $a'e i! )hih the 'i!# is e!$a$e# at the ti'e& a!# seo!#ly& o! strate$i
o!si#eratio!s #epe!#e!t o! the lie of the la!#( Purposi%e thi!ki!$& the!& 'ay be o'pare#
to the sa!!i!$ of a la!#sape )ith the !arro) bea' of foal %isio! "" )hether it is a
pa!ora'a& a hessboar#& or a! 'i!!er la!#sape'( Those features )hih are rele%a!t to the
purpose of the operatio! )ill sta!# out as ''e'bers' of the 'atri-& )hile the rest si!ks i!to
the bak$rou!#( Thus the first at i! skille# routi!e"thi!ki!$ a!# proble'"sol%i!$ is the
'tu!i!$"i!' of the o#e appropriate to the task& $ui#e# by so'e ob%ious si'ilarity )ith
situatio!s e!ou!tere# i! the past( This lea#s to the e'er$e!e of a 'atri- )hih pro%i#es a
preli'i!ary seletio! of possible 'o%es, the actual 'o%es #epe!# o! strate$y& $ui#e# by
fee#"bak& a!# #istorte# by e'otio!al i!terfere!es(
Ho)e%er& the proble's )hih lea# to ori$i!al #iso%eries are preisely those )hih a!!ot
be sol%e# by a!y fa'iliar rule of the $a'e& beause the 'atries applie# i! the past to
proble's of si'ilar !ature ha%e bee! re!#ere# i!a#e/uate by !e) features or o'ple-ities
i! the situatio!& by !e) obser%atio!al #ata& or a !e) type of /uestio!( The searh for a lue&
for Poi!arT's '$oo# o'bi!atio!' )hih )ill u!lok the bloke# proble'& proee#s o!
se%eral pla!es& i!%ol%i!$ u!o!sious proesses at %arious le%els of #epth(
I! a $e!eral )ay this si'ulta!eous ati%ity o! %arious le%els& #uri!$ the perio# of
i!ubatio!& i! itself reates a state of reepti%ity& a rea#i!ess of the 'prepare# 'i!#' to
pou!e o! fa%ourable ha!e"o!stellatio!s& a!# to profit fro' a!y asual hi!t 1;ute!ber$
a!# the )i!e"press& Arhi'e#es& Pasteur& <ar)i!& Fle'i!$2( I! #iso%eries of this type&
)here both ratio!al thi!ki!$ a!# the tri$$er"atio! of ha!e play a !otieable part& the
fu!tio! of the u!o!sious see's to be 'ai!ly to keep the proble' o!sta!tly o! the
a$e!#a& e%e! )hile o!sious atte!tio! is oupie# else)here( I! this o!te-t the )or#
'u!o!sious' refers pri'arily to proesses 1suh as pereptio!s a!# 'e'ories2 )hih our
fairly lo) #o)! o! the $ra#ie!t of a)are!ess(
*ut i! other types of #iso%ery the u!o!sious plays a 'ore speifi& $ui#i!$ role by
bri!$i!$ for's of i#eatio! i!to play )hih other)ise 'a!ifest the'sel%es o!ly i! #rea'i!$
a!# relate# states( Their o#es fu!tio! 'ore or less per'a!e!tly 'u!#er$rou!#'& beause
they $o%er! the type of thi!ki!$ pre%ale!t i! hil#hoo# a!# i! pri'iti%e soieties& )hih
has bee! superse#e# i! the !or'al a#ult by teh!i/ues of thou$ht )hih are 'ore ratio!al
a!# realisti "" or are o!si#ere# as suh( These a!ie!t& /uasi"arhaeolo$ial layers i! the
'e!tal hierarhy for' a )orl# apart& as it )ere& $li'pses of )hih )e $et i! the #rea',
their e-iste!e is a ki!# of histori reor#& )hih testifies to the fats of 'e!tal e%olutio!,
a!# they 'ust !ot be o!fuse# )ith auto'ati+e# skills )hih& o!e 'astere#& fu!tio!
u!a)ares& for reaso!s of 'e!tal eo!o'y( 1It )oul# perhaps be preferable to all these
'arheolo$ial' strata of the 'i!# the 'sub"o!sious'& to #isti!$uish the' fro' proesses of
)hih )e are 'erely un"o!sious beause they happe! to ra!k lo) o! the li!ear sale of
a)are!ess( *ut the Freu#ia! o!!otatio!s of the )or# subo!sious )oul# probably lea# to
o!fusio! of a #iffere!t ki!#(2
The perio# of i!ubatio! represe!ts a reculer pour mieux sauter( ?ust as i! the #rea' the
o#es of lo$ial reaso!i!$ are suspe!#e#& so 'thi!ki!$ asi#e' is a te'porary liberatio! fro'
the tyra!!y of o%er"preise %erbal o!epts& of the a-io's a!# pre.u#ies e!$rai!e# i! the
%ery te-ture of speiali+e# )ays of thou$ht( It allo)s the 'i!# to #isar# the strait".aket of
habit& to shru$ off appare!t o!tra#itio!s& to u!"lear! a!# for$et "" a!# to a/uire& i!
e-ha!$e& a $reater flui#ity& %ersatility& a!# $ullibility( This rebellio! a$ai!st o!strai!ts
)hih are !eessary to 'ai!tai! the or#er a!# #isipli!e of o!%e!tio!al thou$ht& but a!
i'pe#i'e!t to the reati%e leap& is sy'pto'ati both of the $e!ius a!# the ra!k, )hat
#isti!$uishes the' is the i!tuiti%e $ui#a!e )hih o!ly the for'er e!.oys(
Thou$h Poi!arT )as #oubtless o!e of its be!efiiaries& I ha%e /uote# his hypothesis
re$ar#i!$ the !ature of that $ui#a!e "" the auto'ati 'i-i!$ 'ahi!e i! the base'e!t "" as
a! e-a'ple of a 'eha!isti e-pla!atio!( I! fat& ho)e%er& the u!#er$rou!# $a'es of the
'i!# )ere see! to be of a hi$hly sophistiate#& %isio!ary a!# )itty !ature& althou$h its
rules are !ot those of for'al lo$i( The #rea'er o!sta!tly bisoiates "" i!!oe!tly as it
)ere "" fra'es of refere!e )hih are re$ar#e# as i!o'patible i! the )aki!$ state, he
#rifts effortlessly fro' 'atri- to 'atri-& )ithout bei!$ a)are of it, i! his i!!er la!#sape&
the bisoiati%e teh!i/ues of hu'our a!# #iso%ery are reflete# upsi#e #o)!& like trees i!
a po!#( The 'ost fertile re$io! see's to be the 'arshy shore& the bor#erla!# bet)ee! sleep
a!# full a)ake!i!$ "" )here the 'atries of #isipli!e# thou$ht are alrea#y operati!$ but
ha%e !ot yet suffiie!tly har#e!e# to obstrut the #rea'like flui#ity of i'a$i!atio!(D
I ha%e #isusse# %arious bisoiati%e #e%ies i! )hih the 'ath'aki!$ ati%ities of the
u!o!sious 'a!ifest the'sel%es0 the substitutio! of %a$ue %isual i'a$es for preise %erbal
for'ulatio!s, sy'boli+atio!& o!reti+atio!& a!# i'perso!atio!, 'er$ers of sou!# a!#
se!se& of for' a!# fu!tio!, shifts of e'phasis& a!# reaso!i!$ i! re%erse $ear, $ui#a!e by
!ase!t a!alo$ies( I! #ay"#rea'i!$& a!# i! 'ost #rea's of or#i!ary 'ortals& these
ati%ities are free")heeli!$ or ser%i!$ i!ti'ately perso!al e!#s, i! the i!spire# 'o'e!ts of
artists a!# sie!tists they are har!esse# to the reati%e purpose(
The 'o'e!t of truth& the su##e! e'er$e!e of a !e) i!si$ht& is a! at of i!tuitio!( Suh
i!tuitio!s $i%e the appeara!e of 'iraulous flashes& or short"iruits of reaso!i!$( I! fat
they 'ay be like!e# to a! i''erse# hai!& of )hih o!ly the be$i!!i!$ a!# the e!# are
%isible abo%e the surfae of o!sious!ess( The #i%er %a!ishes at o!e e!# of the hai! a!#
o'es up at the other e!#& $ui#e# by i!%isible li!ks(
Habit a!# ori$i!ality& the!& poi!t i! opposite #iretio!s i! the t)o")ay traffi bet)ee!
o!sious a!# u!o!sious proesses( The o!#e!satio! of lear!i!$ i!to habit& a!# the
auto'ati+atio! of skills o!stitute the #o)!)ar# strea', )hile the up)ar# traffi o!sists
i! the 'i!or& %itali+i!$ pulses fro' the u!#er$rou!#& a!# the rare 'a.or sur$es of reatio!(
NOTES
To p( 459( ?u!$'s e'phasis o! the 'a!#ala as the sy'bol of the coincidencia oppositorum
o!er!s the reo!iliatio! of opposites i! the fully i!te$rate# perso! "" )hih is a!
alto$ether #iffere!t /uestio!(

To p( 9C9( Half a e!tury earlier& the rakli!$s a!# sparks pro#ue# by rubbi!$ a piee of
a'ber ha# bee! o'pare# to li$ht!i!$ a!# thu!#er by :all& a frie!# of *oyle's, but as the
o!te-t sho)s& the o'pariso! )as 'ea!t i! a purely 'etaphorial )ay(

To p( 94C( ' ( ( ( Ei!stei! has reporte# that his profou!# $e!erali+atio! o!!eti!$ spae a!#
ti'e ourre# to hi' )hile he )as sik i! be#( <esartes is sai# to ha%e 'a#e his
#iso%eries )hile lyi!$ i! be# i! the 'or!i!$ a!# both Ca!!o! a!# Poi!arT report ha%i!$
$ot bri$ht i#eas )he! lyi!$ i! be# u!able to sleep "" the o!ly $oo# thi!$ to be sai# for
i!so'!iaG It is sai# that ?a'es *ri!#ley& the $reat e!$i!eer& )he! up a$ai!st a #iffiult
proble'& )oul# $o to be# for se%eral #ays till it )as sol%e#( :alter Sott )rote to a frie!#0

The half"hour bet)ee! )aki!$ a!# risi!$ has all 'y life pro%e# propitious to a!y task
)hih )as e-erisi!$ 'y i!%e!tio!( ( ( ( It )as al)ays )he! I first ope!e# 'y eyes that the
#esire# i#eas thro!$e# upo! 'e( 1*e%eri#$e& :(I(*(& 45IC& pp( OA"62(



IH
THE SPARK AN< THE F=A>E
False I!spiratio!s
I ha%e #isusse# the $e!esis of the Eureka at "" the su##e! shaki!$ to$ether of t)o
pre%iously u!or'ete# 'atries, let us !o) tur! to the after'ath of it(
If all $oes )ell& that si!$le& e-plosi%e o!tat )ill lea# to a lasti!$ fusio! of the t)o
'atries "" a !e) sy!thesis )ill e'er$e& a further a#%a!e i! 'e!tal e%olutio! )ill ha%e
bee! ahie%e#( O! the other ha!#& the i!spiratio! 'ay ha%e bee! a 'ira$e, or pre'ature, or
!ot suffiie!tly i'pressi%e to be belie%e# i!(
A sti'ulati!$ i!/uiry by the A'eria! he'ists Platt a!# *arker sho)e# that a'o!$ those
sie!tists )ho a!s)ere# their /uestio!!aire& ei$hty"three per e!t lai'e# fre/ue!t or
oasio!al assista!e fro' u!o!sious i!tuitio!s( *ut at the sa'e ti'e o!ly se%e! per e!t
a'o!$ the' asserte# that their i!tuitio!s )ere al)ays orret, the re'ai!#er esti'ate# the
pere!ta$e of their 'false i!tuitio!s' %ariously at te! to !i!ety per e!t(
A false i!spiratio! is !ot a! or#i!ary error o''itte# i! the ourse of a routi!e operatio!&
suh as 'aki!$ a 'istake i! ou!ti!$( It is a ki!# of i!spire# blu!#er )hih prese!ts itself
i! the $uise of a! ori$i!al sy!thesis& a!# arries the sa'e sub.eti%e o!%itio! as
Arhi'e#es's ry #i#( =et 'e /uote Poi!arT o!e 'ore0
I ha%e spoke! of the feeli!$ of absolute ertitu#e ao'pa!yi!$ the i!spiratio!, ofte! this
feeli!$ #eei%es us )ithout it bei!$ a!y the less %i%i#( ( ( ( :he! a su##e! illu'i!atio!
sei+es upo! the 'i!# of the 'athe'atiia!& it usually happe!s that it #oes !ot #eei%e hi'&
but it also so'eti'es happe!s& that it #oes !ot sta!# the test of %erifiatio!, )ell& )e al'ost
al)ays !otie that this false i#ea& ha# it bee! true& )oul# ha%e $ratifie# our !atural feeli!$
for 'athe'atial ele$a!e( 748
The pre%ious hapters 'ay ha%e $i%e! the 'istake! i'pressio! that the $e!ius !ee# o!ly
liste! to his Soratia! #e'o! a!# all )ill be )ell( *ut the #e'o! is a $reat hoa-er ""
preisely beause he is !ot bou!# by the o#es of #isipli!e# thou$ht, a!# e%ery ori$i!al
thi!ker )ho relies& as he 'ust& o! his u!o!sious hu!hes& i!urs 'uh $reater risks to his
areer a!# sa!ity tha! his 'ore pe#estria! ollea$ues( 'The )orl# little k!o)s'& )rote
Fara#ay& 'ho) 'a!y of the thou$hts a!# theories )hih ha%e passe# throu$h the 'i!# of a
sie!tifi i!%esti$ator ha%e bee! rushe# i! sile!e a!# serey, that i! the 'ost suessful
i!sta!es !ot a te!th of the su$$estio!s& the hopes& the )ishes& the preli'i!ary o!lusio!s
ha%e bee! reali+e#(' 798 <ar)i!& Hu-ley& a!# Pla!k& a'o!$ 'a!y others& 'a#e si'ilar
o!fessio!s, Ei!stei! lost 't)o years of har# )ork' o)i!$ to a false i!spiratio!( 'The
i'a$i!atio!'& )rote *e%eri#$e& ''erely e!ables us to )a!#er i!to the #ark!ess of the
u!k!o)! )here& by the #i' li$ht of the k!o)le#$e that )e arry& )e 'ay $li'pse
so'ethi!$ that see's of i!terest( *ut )he! )e bri!$ it out a!# e-a'i!e it 'ore losely it
usually pro%es to be o!ly trash )hose $litter ha# au$ht our atte!tio!( I'a$i!atio! is at
o!e the soure of all hope a!# i!spiratio! but also of frustratio!( To for$et this is to ourt
#espair(' 7A8
All throu$h his life Kepler hope# to pro%e that the 'otio!s of the pla!ets rou!# the su!
obeye# ertai! 'usial la)s& the har'o!ies of the spheres( :he! he )as approahi!$ fifty&
he thou$ht he ha# suee#e#( The follo)i!$ is o!e of the rare i!sta!es o! reor# of a
$e!ius #esribi!$ the hea#y effet ofa false i!spiratio! "" Kepler !e%er #iso%ere# that he
)as the %iti' of a #elusio!0
The thi!$ )hih #a)!e# o! 'e t)e!ty"fi%e years a$o before I ha# yet #iso%ere# the fi%e
perfet bo#ies bet)ee! the hea%e!ly orbits, )hih si-tee! years a$o I prolai'e# as the
ulti'ate ai' of all researh, )hih ause# 'e to #e%ote the best years of 'y life to
astro!o'ial stu#ies& to .oi! Tyho *rahe a!# to hoose Pra$ue as 'y resi#e!e "" that I
ha%e& )ith the ai# of ;o#& )ho set 'y e!thusias' o! fire a!# stirre# i! 'e a! irrepressible
#esire& )ho kept 'y life a!# i!telli$e!e alert "" that I ha%e !o) at lo!$ last brou$ht to
li$ht( Ha%i!$ perei%e# the first $li''er of #a)! ei$htee! 'o!ths a$o& the li$ht of #ay
three 'o!ths a$o& but o!ly a fe) #ays a$o the plai! su! of a 'ost )o!#erful %isio! ""
!othi!$ shall !o) hol# 'e bak( Bes& I $i%e 'yself up to holy ra%i!$( If you for$i%e 'e& I
shall re.oie( If you are a!$ry& I shall bear it( *ehol#& I ha%e ast the #ie& a!# I a' )riti!$
a book either for 'y o!te'poraries& or for posterity( It is all the sa'e to 'e( It 'ay )ait a
hu!#re# years for a rea#er& si!e ;o# has also )aite# si- thousa!# years for a )it!ess( 768
T( H( Hu-ley has sai# that the tra$e#ies of sie!e are the slayi!$s of beautiful hypotheses
by u$ly fats( A$ai!st this tra$e#y& at least& the artist see's to be i''u!e( O! the other
ha!#& it is $e!erally belie%e# that the sie!tist a! at least rely o! the %erifiatio! of his
i!tuitio!s by e-peri'e!t& )hereas the artist has !o suh ob.eti%e tests to #ei#e )hether or
!ot he shoul# bur! his 'a!usript& or slash his a!%as to piees(
I! fat& ho)e%er& '%erifiatio! by e-peri'e!t' a! !e%er yiel# absolute ertai!ty& a!# )he!
it o'es to o!tro%ersial issues the #ata a! usually be i!terprete# i! 'ore tha! o!e )ay(
The history of 'e#ii!e is full of ob%ious a!# #istressi!$ e-a'ples of this( I! physis a!#
he'istry too& the best )e a! #o by so"alle# 'ruial e-peri'e!ts' is to o!fir' a
pre#itio! "" but !ot the theory o! )hih the pre#itio! is base# 1see belo)& pp 96C"@2, a!#
sie!tifi o!tro%ersies about the i!terpretatio! of e-peri'e!tal results ha%e bee! .ust as
passio!ate a!# sub.eti%e as o!tro%ersies bet)ee! theolo$ia!s or art ritis( If a hu!h is
#rastially o!tra#ite# by e-peri'e!t& it )ill of ourse be aba!#o!e#( *ut& by a!# lar$e&
sie!tists are i!li!e# to trust their i!tuitio!s, a!# if o!fro!te# )ith e-peri'e!ts )hih
$i%e a'bi$uous or #i%er$e!t results& either to #elare "" as Ei!stei! o!e #i# "" that 'the
fats are )ro!$', or "" as Hobbes #i# "" that 'the i!sta!e is so partiular a!# si!$ular& that
'tis sare )orth our obser%i!$', or to resort to the sta!#ar# phrase that the u!fa%ourable
e-peri'e!tal result is #ue 'to u!k!o)! soures of error' "" hopi!$ that so'e #ay& so'eho)&
it )ill all )ork out( >o#er! theoretial physis li%es to a lar$e e-te!t o! that hope( Thus
%erifiability is a 'atter of #e$rees& a!# !either the artist& !or the sie!tist )ho tries to break
!e) $rou!#& a! hope e%er to ahie%e absolute ertai!ty(


Pre'ature =i!ka$es

I ha%e 'e!tio!e# #iso%eries )hih )ere the happy outo'e of a o'e#y of errors( No
less fre/ue!t are those tra$e#ies i! the history of thou$ht& )here the ri$ht ki!# of i!tuitio!
be$ets )ro!$ results "" faulty i!te$ratio!s& pre'ature births(

The first atte'pt to #esribe physial reality by 'athe'atial relatio!s )as 'a#e i! the
si-th e!tury *(C( by the Pytha$orea! *rotherhoo# "" a reli$ious& sie!tifi& a!# politial
Or#er )hih )iel#e# $reat po)er i! the south of Italy( They suee#e# i! e-plai!i!$
'usial /uality by /ua!titati%e la)s& a!# belie%e# that ulti'ately 'all thi!$s are !u'bers'(


*ut they tra!slate# this propheti i!tuitio! i!to a pre'ature sy!thesis bet)ee! 'thi!$s' a!#
'!u'bers'& base# o! the assu'ptio! that a li!e o!siste# of a #efi!able !u'ber of ti!y #ots&
a pla!e of a #efi!able !u'ber of these li!es& a!# so o!( They soo! #iso%ere#& ho)e%er&
that the le!$th of a li!e suh as the #ia$o!al of a s/uare a!!ot be #efi!e# by a!y ou!table
!u'ber of #ots, o!e a! #ra) the #ia$o!al i! a .iffy& but to )rite #o)! the !u'ber #efi!i!$
its le!$th o!e )oul# ha%e to use a! i!fi!ite series of #ei'als( To 'ake the sa!#al )orse&
!u'bers of this ki!# oul# be sho)! to be !either e%e! !or o## "" or both( Pytha$orea!s
alle# these !u'bers arrhetos& u!speakable 1)e all the'& 'ore politely& irratio!al
!u'bers2& a!# trie# to keep their e-iste!e seret& beause they )ere o!%i!e# that their
assertio! of a har'o!ious 'athe'atial or#er behi!# the u!ti#y )orl# of appeara!es )as
true a!# orret, )he! a 'e'ber of the *rotherhoo#& Hippasos& let the seret leak out& he
)as reporte#ly put to #eath( The failure of this pre'ature atte'pt at a sy!thesis brou$ht the
/ua!titati%e approah to !ature i!to #isre#it( The physis of Aristotle& )hih rule# Europe
for t)o thousa!# years& pai# !o atte!tio! to /ua!tity or 'easure'e!t, physis re'ai!e#
#i%ore# fro' 'athe'atis u!til the sie!tifi re%olutio! i! the se%e!tee!th e!tury A(<(
brou$ht the' to$ether a$ai!(

A!other pre'ature sy!thesis& )hih I ha%e alrea#y 'e!tio!e#& )as the Kepleria!
os'olo$y& i! )hih the su! s)eeps the la+y pla!ets rou!# their orbits )ith i!%isible
hea%e!ly broo's( *ut& i! this ase& the error )as a fertile o!e0 physis a!# astro!o'y& o!e
'shake! to$ether' e%e! thou$h i! the )ro!$ )ay& oul# !e%er a$ai! be separate#( E/ually
fertile )as the alhe'ists' ri$ht i!tuitio!& supporte# by )ro!$ ar$u'e!ts& of the
tra!s'utability of he'ial ele'e!ts( O! the other ha!#& the phre!olo$y of Fra!+ ?osef
;all ha# the opposite effet( ;all thou$ht that e%ery 'e!tal faulty is seate# i! a #efi!ite
re$io! o! the surfae of the brai!& a!# that a perso!'s abilities a!# harater oul# be
assesse# by the bu'ps o! his skull( It )as the first& pre'ature& a!# !aQ%e atte'pt to
orrelate psyholo$y )ith brai!"physiolo$y( Thou$h phre!olo$y )as hi$hly fashio!able
arou!# A(<( 4FCC& it brou$ht suh #isre#it i! its )ake that for a e!tury or 'ore
psyholo$ists )oul# ha%e !othi!$ to #o )ith speulatio!s about the struture a!# fu!tio!
of the brai!(

Thus the pre'ature i!te$ratio! of 'atries )hih are !ot yet suffiie!tly o!soli#ate# has
i! so'e ases a )holeso'e effet& by sti'ulati!$ 'ore 'ature atte'pts i! the sa'e
#iretio!, )hile i! other ases it ats as a #eterre!t a!# arries the sti$'a of superstitio! or
'u!"sie!tifi thi!ki!$'( Take! i! a )i#er se!se& the ate$ory of pre'ature i!tuitio!s
ao''o#ates the )hole bo#y of folk")is#o' "" herbal k!o)le#$e& )eather"lore&
psyhoso'ati heali!$ by hyp!osis& su$$estio!& shok& a!# abreatio! "" #o)! to ?e!!er's
#iary'ai# )ho ')oul# !ot take the po-'( :e ha%e lear!e# to reo$!i+e i! these i!tuiti%e
i!si$hts a!# teh!i/ues the foreru!!ers of our 'ore 'ature #iso%eries a!# re#iso%eries,
a!# )e thus arri%e at a pro$ressio! i! se%eral sta$es( I! the first sta$e the t)o 'atries
)hih )ill partiipate i! the ulti'ate sy!thesis are te!tati%ely a!# i!a#e/uately .oi!e#
to$ether by the lo$i of the u!o!sious( I! the seo!# the hapha+ar# o!!etio! is se%ere#
a$ai!& a!# a reatio! 'ay set i! )hih keeps the' apart for a o!si#erable ti'e( I! the fi!al
sta$e& after the #efi!ite 'er$er& the pre%iously separate 'atries beo'e 'e!tally
i!separable& a!# )e 'ar%el at our for'er bli!#!ess(


S!o)bli!#!ess

'The 'i!#'& )rote :ilfre# Trotter& 'likes a stra!$e i#ea as little as the bo#y likes a stra!$e
protei! a!# resists it )ith si'ilar e!er$y( It )oul# !ot perhaps be too fa!iful to say that a
!e) i#ea is the 'ost /uikly ati!$ a!ti$e! k!o)! to sie!e( If )e )ath oursel%es
ho!estly )e shall ofte! fi!# that )e ha%e be$u! to ar$ue a$ai!st a !e) i#ea e%e! before it
has bee! o'pletely state#(' 7I8

I shall !ot #)ell o! the 'artyrolo$y of $e!ius, the title of this setio! refers to that
re'arkable for' of bli!#!ess )hih ofte! pre%e!ts the ori$i!al thi!ker fro' perei%i!$ the
'ea!i!$ a!# si$!ifia!e of his o)! #iso%ery( ?ealousy apart& the a!ti"bo#y reatio!
#irete# a$ai!st !e) i#eas see's to be 'uh the sa'e )hether the i#ea )as let loose by
others "" or o!eself( The #efe!e 'eha!is's )hih protet habits a$ai!st the i!trusio! of
!o%elty aou!ts both for our 'e!tal i!ertia "" a!# 'e!tal stability(

Coper!ius )as a! ortho#o- belie%er i! the physis of Aristotle& a!# stubbor!ly lu!$ to
the #o$'a that all hea%e!ly bo#ies 'ust 'o%e i! perfet irles at u!ifor' %eloities( I! the
fourth hapter of the Thir# *ook of the !evolutions of the Heavenly .pheres& the ori$i!al
'a!usript of the book o!tai!s the follo)i!$ li!es0
It shoul# be !otie#& by the )ay& that if the t)o irles ha%e #iffere!t #ia'eters& other
o!#itio!s re'ai!i!$ u!ha!$e#& the! the resulti!$ 'o%e'e!t )ill !ot be a strai$ht li!e but
( ( ( )hat 'athe'atiia!s all a! ellipse( 1'y italis2
This is atually !ot true& for the resulti!$ ur%e )ill be a yloi# rese'bli!$ a! ellipse ""
but the o## fat is that Coper!ius ha# hit o! the ellipse )hih is the for' of all pla!etary
orbits "" ha# arri%e# at it for the )ro!$ reaso!s a!# by faulty #e#utio! "" a!# ha%i!$ #o!e
so& pro'ptly #roppe# it0 the passa$e is rosse# out i! the 'a!usript& a!# is !ot o!tai!e#
i! the pri!te# e#itio! of the !evolutions( The history of hu'a! thou$ht is full of triu'pha!t
eurekas, but o!ly rarely #o )e hear of the a!ti"li'a-es& the 'isse# opportu!ities& )hih
lea%e !o trae(

Kepler& too& !early thre) a)ay the ellipti orbits, for al'ost three years he hel# the
solutio! i! his ha!#s "" )ithout seei!$ it( His o!sious 'i!# refuse# to aept the 'artloa#
of #u!$' )hih the u!#er$rou!# ha# ast up( :he! the battle )as o%er& he o!fesse#0 ':hy
shoul# I 'i!e 'y )or#sE The truth of Nature& )hih I ha# re.ete# a!# hase# a)ay&
retur!e# by stealth throu$h the bak#oor& #is$uisi!$ itself to be aepte#( Ah& )hat a
foolish bir# I ha%e bee!G' 7@8

Poor Kepler& he )as e%e! 'ore foolish tha! he thou$ht0 he atually #iso%ere# u!i%ersal
$ra%ity "" the! re.ete# it( I! the Prefae to the 9ew 3stronomy he e-plai!s that the ti#es are
#ue to the attratio! of the 'oo!& a!# #esribes the )orki!$ of $ra%ity "" e%e! that the
attrati!$ fore is proportio!ate to 'ass, but i! the text of that book& a!# of all subse/ue!t
)orks& he has "" i!re#ible as it sou!#s "" o'pletely for$otte! all about it( I ha%e $i%e!
else)here a #etaile# aou!t of this re'arkable ase of s!o)bli!#!ess( 7O8

;alileo re%olutio!i+e# astro!o'y by the use of the telesope, but he refuse# to belie%e i!
the reality of o'ets a!# #elare# the' to be optial illusio!s( For he too belie%e# that
hea%e!ly bo#ies 'ust 'o%e i! perfet irles, a!# si!e o'ets 'o%e# i! %ery elo!$ate#
elliptial orbits& they oul# !ot be hea%e!ly bo#ies(

Freu#'s re%ere# 'aster& Professor *ruke at the 3ie!!a >e#ii!e Faulty& #iso%ere#& i!
4F65& a teh!i/ue to illu'i!ate the reti!a of the eye, but the i#ea of observing the
illu'i!ate# reti!a throu$h a le!s #i# !ot our to hi'G It )as his frie!# Hel'holt+ )ho hit
o! the i#ea "" )hile prepari!$ a leture o! *ruke's )ork "" a!# thus bea'e the i!%e!tor of
the ophthal'osope(

Freu# hi'self ha# t)o !arro) esapes& as it )ere& fro' ahie%i!$ )orl# fa'e i! his
t)e!ties( I! the ourse of his physiolo$ial researhes at *ruke's I!stitute 'he )as
tre'bli!$ o! the %ery bri!k of the i'porta!t !euro!e theory& the basis of 'o#er!
!eurolo$y', but& as Er!est ?o!es sai#& 'i! the e!#ea%our to a/uire N#isipli!eN he ha# !ot
yet perei%e# that i! ori$i!al sie!tifi )ork there is a! e/ually i'porta!t plae for
i'a$i!atio!'( 7F8 It is stra!$e i!#ee# to hear the fou!#er of psyhoa!alysis bei!$ ause# by
his pupil a!# bio$rapher of ha%i!$ i! his early years suffere# fro' lak of i'a$i!atio!, but
there it is "" a!# )orse to o'e(

The fa!tasti harater of the 'Coai!e Episo#e' i! Freu#'s life a! be appreiate# o!ly by
o'pari!$ the sile!es i! Freu#'s autobio$raphy )ith the re%elatio!s i! ?o!es's bio$raphy(
I! the spri!$ of 4FF6& Freu# "" the! t)e!ty"ei$ht "" rea# i! a ;er'a! 'e#ial paper that a!
Ar'y #otor ha# bee! e-peri'e!ti!$ ')ith oai!e& the esse!tial o!stitue!t of oa lea%es
)hih so'e I!#ia! tribes he) to e!able the' to resist pri%atio!s a!# har#ships'( He
or#ere# a s'all /ua!tity of the stuff fro' a phar'aeutial fir'& trie# it o! hi'self& his
sisters& fia!Te& a!# patie!ts& #ei#e# that oai!e )as a ''a$ial #ru$'& )hih proure# 'the
'ost $or$eous e-ite'e!t'& left !o har'ful after"effet& a!# )as !ot habit"for'i!$G I!
se%eral publiatio!s he u!reser%e#ly reo''e!#e# the use of oai!e a$ai!st #epressio!&
i!#i$estio!& 'i! those fu!tio!al states o'prise# u!#er the !a'e of !eurasthe!ia'& a!#
#uri!$ the )ith#ra)al"therapy of 'orphi!e a##its, he e%e! trie# to ure #iabetes )ith it( 'I
a' busy'& he )rote to his future )ife& 'olleti!$ the literature for a so!$ of praise to this
'a$ial substa!e(' O!e is irresistibly re'i!#e# of Al#ous Hu-ley's so!$s of praise to
'esali!e, but Hu-ley )as !either a 'e'ber of the 'e#ial professio! !or the fou!#er of a
!e) shool i! psyhotherapy(

T)o years after the publiatio! of his first paper o! the )o!#er"#ru$& K!app& the $reat
A'eria! ophthal'olo$ist& $reete# Freu# 'as the 'a! )ho ha# i!tro#ue# oai!e to the
)orl#'& a!# o!$ratulate# hi' o! the ahie%e'e!t( I! the sa'e year& 4FF@& ho)e%er& ases
of oai!e a##itio! a!# i!to-iatio! )ere bei!$ reporte# fro' all o%er the )orl#& a!# i!
;er'a!y there )as a $e!eral alar'( ( ( ( 758 The 'a! )ho ha# trie# to be!efit hu'a!ity or
at all e%e!ts to reate a reputatio! by uri!$ N!eurasthe!iaN )as !o) ause# of u!leashi!$
e%il o! the )orl#(' A'o!$ Freu#'s perso!al patie!ts o!e #ie# as a result of a lar$e #ose of
the #ru$, a!other "" his lose frie!# Fleishl "" )ho' he trie# to ure fro' 'orphi!e
a##itio!& bea'e oai!e"a##ite# i!stea#& a!# #e%elope# 'a #eliriu' tre'e!s )ith )hite
s!akes reepi!$ o%er his ski!'( 74C8 A lea#i!$ !eurolo$ist& Erle!'eyer& #esribe# oai!e as
'the thir# sour$e of hu'a!ity' "" the other t)o bei!$ alohol a!# 'orphi!e( 7448

I ha%e sai# e!ou$h about the #isasters of this episo#e( A!# yet Freu#'s #abbli!$ )ith
oai!e bea'e a blessi!$ to hu'a!ity "" but !ot i! the )ay i! )hih he ha# thou$ht of it(
T)o of his ollea$ues at the >e#ial Faulty& Koller a!# Koe!i$stei!& both
ophthal'olo$ists& both of i!o'parably s'aller stature tha! Freu#& rea# his 4FF6 paper&
e-peri'e!te# )ith oai!e& a!# sa) al'ost at o!e )hat Freu#'s s!o)bli!#!ess pre%e!te#
hi' fro' seei!$( Freu# )as !ot i!tereste# i! sur$ery, it #i# !ot e!ter i!to his habits of
thou$ht( He )as fasi!ate# by the possible internal uses of oai!e& a!#& abo%e all& its
effets o! !er%ous #isor#ers( O!ly i! the fi!al para$raph of his paper #i# he asually
'e!tio! so'e possible 'a##itio!al uses' of oai!e as a pai!"#ea#e!er i! loal i!fetio!s, its
uses as a! a!estheti i! 'i!or sur$ery !e%er ourre# to hi'( He a!# Koller both !otie#
that after s)allo)i!$ oai!e their 'ouths a!# lips )e!t !u'b "" the fa'iliar se!satio!
after the #e!tist's i!.etio!( Koller took the hi!t "" Freu# #i# !ot( Freu# su$$este# to
Koe!i$stei! that oai!e oul# be use# to alle%iate the pai! i! ertai! eye"#iseases, but it
)as Koe!i$stei! )ho thou$ht of usi!$ it as a! a!aestheti i! eye"operatio!s( A'o!$ the
first of these& i!i#e!tally& )as a! operatio! o! Freu#'s father for $lauo'a "" arrie# out by
Koe!i$stei!& )ith Koller a#'i!isteri!$ the oai!e& a!# Freu# assisti!$( ( ( (

*ut e%e! at that sta$e Freu# still o!si#ere# the tre'e!#ous be!efits of loal a!aesthetis
as 'erely 'o!e 'ore of the outlyi!$ appliatio!s of )hih his belo%e# #ru$ )as apable( It
took a lo!$ ti'e before he oul# assi'ilate the bitter truth that Koller's use of it )as to
pro%e pratially the o!ly o!e of %alue a!# all the rest #ust a!# ashes(' 7498


Coper!ius& Kepler& ;alileo& Freu# "" I ha%e /uote# o!ly a fe) outsta!#i!$ e-a'ples of
'e!tal eye"atarat( Ho) ofte! #i# Arhi'e#es $et i!to his bath a!# )ath the risi!$
)ater"le%el )hih $a%e a perfet 'easure of the %olu'e of his $!arle# bo#yE :e 'ust
resi$! oursel%es to the fat that s!o)bli!#!ess is i!here!t i! the hu'a! o!#itio!, if it )ere
!ot so& the! e%erythi!$ )e k!o) to#ay about the theory of !u'bers& or a!alytial $eo'etry&
)oul# ha%e bee! #iso%ere# )ithi! a fe) $e!eratio!s after Euli#(


;ra#ual I!te$ratio!s

I! so'e of the #iso%eries )hih I #isusse# earlier o!& a su##e! i!tuitio! sparke# off the
i!sta!t fusio! of pre%iously u!relate# 'atries( I! the ases #esribe# i! the pre%ious
setio! the spark faile# to i$!ite( I! yet other ases it i!itiates the fusio! )ithout o'pleti!$
it( =oe)i oul# !ot #eipher the !ote relati!$ to his #rea'& a!# ha# to #rea' a seo!# ti'e
before he aepte# its 'essa$e( Kepler re.ete# the 'truth of Nature'& a!# o!ly a#'itte# it
)he! it retur!e# 'by the bak#oor'( So'e of K[hler's less $ifte# hi'pa!+ees #iso%ere#&
u!ai#e#& %arious !e) teh!i/ues for 'aki!$ a!# usi!$ tools "" the! see'e# to for$et the'
a$ai!, but o! the !e-t test they re#iso%ere# the' after a 'uh shorter perio# of tryi!$ tha!
the first ti'e 1See *ook T)o& HIII2( The hu'a! e/ui%ale!t of this situatio! is a ry of
#istress0 '*last it& I ha# the solutio!& but !o) I ha%e for$otte! it a$ai!('

Cases of this ki!# 'ake o!e thi!k of a li$hter )hose )ik has starte# to $lo)& )ithout
properly bur!i!$( The stru$$le )ill ha%e to $o o!& a!# 'ore sparks )ill ha%e to be
pro#ue#& before it bursts i!to fla'e( I! other )or#s& i!tuitio! has establishe# so'e
te!tati%e li!k bet)ee! the t)o #ista!t fra'es of refere!e& but that li!k is i!suffiie!t to
o%ero'e resista!es a!# effet their fusio!( It )ill ha%e to be stre!$the!e# by repetitio!
1as i! the ase of =oe)i2 or else a##itio!al li!ks )ill ha%e to be #iso%ere# to preipitate
the i!te$ratio!(


The <a)! of =a!$ua$e

The 'ost o''o! e-a'ple for this type of $ra#ual proess is the )ay i! )hih the hil#
#iso%ers that 'all thi!$s ha%e !a'es'( <uri!$ the first year of its life& the a%era$e baby
pro$resses fro' spo!ta!eous babbli!$ to the i'itati%e repetitio! of syllables a!# )or#s
spoke! by a#ults "" )ith so'e %a$ue i!ti'atio!s that these )or#s are so'eho) o!!ete#
)ith the situatio! i! )hih they are re$ularly use#( It see's that ea$er pare!ts fre/ue!tly
teah their offspri!$ its first )or#s by a proess of repetiti%e 'sta'pi!$ i!'& at a! a$e )he!
the baby is !ot yet ripe to $rasp the pri!iples i!%ol%e#( Thus :atso! o!#itio!e# a! i!fa!t
to say '#a' )he!e%er it )as $i%e! the bottle& starti!$ at fi%e 'o!ths& t)e!ty #ays "" that is&
si- 'o!ths earlier tha! the first )or#s !or'ally appear( The proess took 'ore tha! three
)eeks& at the e!# of )hih the )or# '#a' bea'e the first& 'eha!ially establishe# ll!k
bet)ee! the t)o other)ise still u!relate# 'atries of 'sou!#s' a!# 'thi!$s'(
:ith eah 'o!th that passes& the a/uisitio! of !e) )or#"li!ks beo'es /uiker a!#
easier, the hil# is 'lear!i!$ to lear!', u!til& usually i! the seo!# half of the seo!# year& it
''akes the 'ost i'porta!t #iso%ery of its )hole life "" that everything has a name'( 74A8
As far as o!e a! $e!erali+e fro' the sa!t statistis& the %oabulary of the a%era$e hil# at
the lose of the first year is three )or#s, at ei$htee! 'o!ths t)e!ty"t)o )or#s( This see's
to be the appro-i'ate a$e )he! the '!a'i!$ #iso%ery' is 'a#e& for three 'o!ths later the
a%era$e %oabulary has .u'pe# to a hu!#re# a!# ei$htee!0
S>ITH'S TEST 7468 A%era$e si+e of %oabularies
""""""""""""""""""""""""""""""""""""""""""""""""""""""""""" A$e Nu'ber of ases reporte# Nu'ber of
)or#s """"""""""""""""""""""""""""""""""""""""""""""""""""""""""" "" F 4A C ""4C 4O 4 4""C I9 A 4""A
45 45 4""6 46 99 """" """ 4""5 46 44F 9""C 9I 9O9 9""6 46 66@ A""C 9C F5@ A""@ 9@ 4999 6""C
9@ 4I6C 6""@ A9 4FOC I""C 9C 9CO9 I""@ 9O 99F5 @""C 5 9I@9
bbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbbb
The i!te$ratio! of the 'atries is i!#iate# !ot o!ly by the steep rise of the lear!i!$ ur%e
after the ei$htee!th 'o!th& but by the fat that fro' !o) o! the hil#& of its o)! i!itiati%e&
)ill poi!t at a thi!$ a!# ask to be tol# its !a'e( <eli$hte# )ith its #iso%ery& it so'eti'es
#e%elops a %eritable '!a'i!$ 'a!ia'0 it i!#iates a! ob.et& alls out its !a'e& or& if it has
for$otte! it& i!%e!ts a !a'e of its o)!, for he!eforth a perso! or thi!$ is felt to be
i!o'plete if it has !o !a'e attahe# to it(
Thus the #a)! of sy'bol"o!sious!ess is a $ra#ual& u'ulati%e e%e!t, a ki!# of #ilute#
Eureka proess& sprea# out i! ti'e& beause the fi!al i!te$ratio! a! take plae o!ly )he!
the hil#'s 'e!tal or$a!i+atio! has attai!e# suffiie!t 'aturity( *ut the sa'e proess 'ay
our i! a telesope#& hi$hly #ra'ati+e# for' i! rare ases suh as Hele! Keller's( The
bli!#& #eaf& a!# 'ute little $irl )as !early se%e! )he! >iss Sulli%a! took har$e of her a!#
tau$ht her the first fe) )or#s& "a"k"e& #"o"l"l& et(& by 'ea!s of the 'a!ual alphabet& a ki!#
of 'orse spelt by fi!$er"play( Si!e Hele! )as 'o%erripe' for lear!i!$ a la!$ua$e& she
o%ere#& )ithi! less tha! a 'o!th& the sa'e $rou!# )hih takes a !or'al hil# about t)o
years& fro' the i'itati%e a/uisitio! of the first )or# 1'I #i# !ot k!o) that I )as spelli!$ a
)or# or e%e! that )or#s e-iste#, I )as si'ply 'aki!$ 'y fi!$ers $o i! 'o!key"like
i'itatio!'2 "" to the fi!al #iso%ery0
:e )alke# #o)! the path to the )ell"house& attrate# by the fra$ra!e of the ho!eysukle
)ith )hih it )as o%ere#( So'e o!e )as #ra)i!$ )ater a!# 'y teaher plae# 'y ha!#
u!#er the spout( As the ool strea' $ushe# o%er o!e ha!# she spelle# i!to the other the
)or# ')ater&' first slo)ly& the! rapi#ly( I stoo# still& 'y )hole atte!tio! fi-e# upo! the
'otio!s of her fi!$ers( Su##e!ly I felt a 'isty o!sious!ess as of so'ethi!$ for$otte! "" a
thrill of retur!i!$ thou$ht, a!# so'eho) the 'ystery of la!$ua$e )as re%eale# to 'e( I
k!e) the! that ')"a"t"e"r' 'ea!t the )o!#erful ool so'ethi!$ that )as flo)i!$ o%er 'y
ha!#( That li%i!$ )or# a)ake!e# 'y soul& $a%e it li$ht& .oy& set it freeG ( ( ( I left the )ell"
house ea$er to lear!( E%erythi!$ ha# a !a'e& a!# eah !a'e $a%e birth to a !e) thou$ht(
As )e retur!e# to the house eah ob.et that I touhe# see'e# to /ui%er )ith life( That )as
beause I sa) e%erythi!$ )ith the stra!$e !e) si$ht that ha# o'e to 'e( 74I8
Here )e ha%e the u!#ilute# bisoiati%e at& the su##e! sy!thesis of the u!i%erse of si$!s
a!# the u!i%erse of thi!$s( I! its se/uel eah 'atri- i'parts a !e) si$!ifia!e& a !e)
#i'e!sio! to the other0 the )or#s be$i! to 'li%e'& to '$i%e birth to !e) thou$hts', a!# the
ob.ets be$i! to '/ui%er' u!#er the touh of the 'a$i )a!# of la!$ua$e(
Hele! Keller's #ra'ati 'o'e!t of truth is /uite u!like the $ra#ual #a)! of the !a'e"
relatio! i! !or'al hil#re!& a!# 'uh loser to the su##e! i!si$ht i! #iso%eries of the type
of Pasteur's( The !or'al hil#' s !a'i!$ #iso%ery oul# be like!e# to the proess k!o)! i!
lo$i as empirical induction0 'so'e thi!$s ha%e !a'es er$o I assu'e that all thi!$s ha%e
!a'es'( 1Nee#less to say& I #o !ot 'ea! to i'pute a!y o!sious reaso!i!$ of this ki!# to
the babe i! its ra#le(2 The hik episo#e& o! the other ha!#& )hih 'a#e Pasteur .u'p to
his o!lusio! a!# establish the $e!eral pri!iple of i''u!i+atio!& oul# be alle#
'i!#utio! fro' a si!$le ase' "" a proe#ure usually illustrate# i! pri'ers o! lo$i by the
e-a'ple 'all Fre!h )aiters ha%e re# hair'( For a #etaile# #isussio! of the relatio!s of
$ra#ual lear!i!$ to su##e! #iso%ery I 'ust refer the rea#er to *ook T)o(
Su''ary
Ne) i!te$ratio!s arise by %arious proesses )hih a! be arra!$e# i! a series( It ra!$es
fro' faulty or pre'ature i!te$ratio!s& throu$h partial bli!#!ess to)ar#s the 'ea!i!$ a!#
si$!ifia!e of o!e's o)! #iso%eries& to the $ra#ual ble!#i!$ of 'atries by #i!t of
repetiti%e e-perie!es& )hih i!rease the !u'ber of li!ks bet)ee! the'( Fi!ally& there is
the su##e! illu'i!atio! of 'spo!ta!eous' #iso%eries& sparke# off by a! u!o!sious
i!tuitio!& or a ha!e obser%atio!& or a o'bi!atio! of both(
H
THE E3O=UTION OF I<EAS
There is a theory& put for)ar# by He!ry Sarto!& a!# hel# to be self"e%i#e!t by 'a!y
sie!tists& )hih says& broa#ly speaki!$& that the history of sie!e is the o!ly history
)hih #isplays a u'ulati%e pro$ress of k!o)le#$e, that& aor#i!$ly& the pro$ress of
sie!e is the o!ly yar#stik by )hih )e a! 'easure the pro$ress of 'a!ki!#, a!#
'oreo%er& that the )or# 'pro$ress' itself has !o learly #efi!e# 'ea!i!$ i! a!y fiel# of
ati%ity "" e-ept the fiel# of sie!e(
This is the ki!# of pro!ou!e'e!t )here it is a#%isable to hol# o!e's breath a!# ou!t to
te! before e-pressi!$ i!#i$!a!t protest or s'u$ a$ree'e!t& aor#i!$ to o!e's alle$ia!e to
e$$hea#s or e!$i!eers( Perso!ally I belie%e that there is a $rai! of truth i! Sarto!'s
propositio! "" but !o 'ore tha! that(
Separatio!s a!# Rei!te$ratio!s
There are ertai! a!alo$ies bet)ee! the harateristi sta$es i! the history of a! i!#i%i#ual
#iso%ery& a!# the historial #e%elop'e!t of a bra!h of sie!e as a )hole( Thus a
'bloke# 'atri-' i! the i!#i%i#ual 'i!# reflets so'e ki!# of i'passe i!to )hih a sie!e
has 'a!oeu%re# itself( The 'perio# of i!ubatio!'& )ith its frustratio!s& te!sio!s& ra!#o'
tries& a!# false i!spiratio!s& orrespo!#s to the ritial perio#s of 'fertile a!arhy' )hih
reur& fro' ti'e to ti'e& i! the history of e%ery sie!e( These rises ha%e& as )e sa)& a
#estruti%e a!# a o!struti%e aspet( I! the ase of the i!#i%i#ual sie!tist& they i!%ol%e a
te'porary retreat to so'e 'ore pri'iti%e for' of i#eatio! "" i!!oe!e re$ai!e# throu$h
the sarifie of har#")o! i!telletual positio!s a!# establishe# beliefs, i! the ase of a
bra!h of sie!e take! as a )hole& the risis 'a!ifests itself i! a rela-atio! of the ri$i#
rules of the $a'e& a tha)i!$ of the olleti%e 'atri-& the break#o)! of 'e!tal habits a!#
absolute fro!tiers "" a proess of Nreruler pour 'ieu- sauterN o! a! histori sale( The
Eureka at proper& the 'o'e!t of truth e-perie!e# by the reati%e i!#i%i#ual& is parallale#
o! the olleti%e pla!e by the e'er$e!e& out of the sattere# fra$'e!ts& of a !e) sy!thesis&
brou$ht about by a /uik suessio! of i!#i%i#ual #iso%eries "" )here& harateristially&
the sa'e #iso%ery is ofte! 'a#e by se%eral i!#i%i#uals& at the sa'e ti'e 1f( p( 44C f2(

The last sta$e "" %erifiatio!& elaboratio!& o!soli#atio! "" is by far the least spetaular& the
'ost e-ati!$& a!# oupies the lo!$est perio#s of ti'e both i! the life of the i!#i%i#ual
a!# i! the historial e%olutio! of sie!e( Coper!ius pike# up the a!ie!t Pytha$orea!
teahi!$ of the su! as the e!tre of all pla!etary 'otio!s )he! he )as a stu#e!t i!
Re!aissa!e Italy 1)here the i#ea )as 'uh #isusse# at the 'e2& a!# spe!t the rest of his
life elaborati!$ it i!to a syste'( <ar)i! hit o! the i#ea of e%olutio! by !atural seletio! at
the a$e of t)e!ty"!i!e, the re'ai!i!$ forty"four years of his life )ere #e%ote# to its
orroboratio! a!# e-positio!( Pasteur's life rea#s like a story #i%i#e# i!to se%eral hapters(
Eah hapter represe!ts a perio# )hih he #e%ote# to o!e fiel# of researh, at the be$i!!i!$
of eah perio# sta!#s the publiatio! of a short preli'i!ary !ote )hih o!tai!e# the basi
#iso%ery i! a !utshell, the! follo)e# te! or fiftee! years of elaboratio!& o!soli#atio!&
larifiatio!(

The olleti%e a#%a!es of sie!e as a )hole& a!# of eah of its speiali+e# bra!hes&
sho) the sa'e alter!atio! bet)ee! relati%ely brief eruptio!s )hih lea# to the o!/uest of
!e) fro!tiers& a!# lo!$ perio#s of o!soli#atio!( I! the ase of the i!#i%i#ual& this
protrate# hore has its !atural li'its at three sore years a!# te!& or thereabouts, but o! the
historial sta$e& the assi'ilatio!& o!soli#atio!& i!terpretatio!& a!# elaboratio! of a o!e
re%olutio!ary #iso%ery 'ay $o o! for $e!eratio!s& a!# e%e! e!turies( The !e) territory
ope!e# up by the i'petuous a#%a!e of a fe) $e!iuses& ati!$ as a spearhea#& is
subse/ue!tly oupie# by the soli# phala!-es of 'e#iority, a!# soo! the re%olutio! tur!s
i!to a !e) ortho#o-y& )ith its u!a%oi#able sy'pto's of o!e"si#e#!ess& o%er"speiali+atio!&
loss of o!tat )ith other pro%i!es of k!o)le#$e& a!# ulti'ately& estra!$e'e!t fro'
reality( :e see this happe!i!$ "" u!a%oi#ably& it see's "" at %arious ti'es i! the history of
%arious sie!es( The e'er$e!t ortho#o-y har#e!s i!to a 'lose# syste'' of thou$ht&
u!)illi!$ or u!able to assi'ilate !e) e'pirial #ata or to a#.ust itself to si$!ifia!t
ha!$es i! other fiel#s of k!o)le#$e, soo!er or later the 'atri- is bloke#& a !e) risis
arises& lea#i!$ to a !e) sy!thesis& a!# the yle starts a$ai!(

This #oes !ot 'ea!& of ourse& that sie!e #oes !ot a#%a!e, o!ly that it a#%a!es i! a
.erky& u!pre#itable& 'u!sie!tifi' )ay( Althou$h 'i! the year 4ICC Europe k!e) less tha!
Arhi'e#es )ho #ie# i! the year 949 *(C('&748 it )oul# !e%ertheless be foolish to #e!y that
to#ay )e k!o) o!si#erably 'ore tha! Arhi'e#es( A!# I 'ea! by that !ot o!ly the
fa!tasti a!# threate!i!$ ahie%e'e!ts of applie# sie!e )hih ha%e tra!sfor'e# this
pla!et to a poi!t )here it is beo'i!$ i!reasi!$ly u!i!habitable, but that )e also k!o)
'ore tha! Arhi'e#es i! other& 'ore )orth)hile )ays& by ha%i!$ $ai!e# #eeper i!si$hts
i!to the struture of the u!i%erse& fro' the spiral !ebulae to the ai# 'oleules )hih
$o%er! here#ity(

*ut these i!si$hts )ere !ot $ai!e# by the stea#y a#%a!e of sie!e alo!$ a strai$ht li!e(
>e!tal e%olutio! is a o!ti!uatio! of biolo$ial e%olutio!& a!# i! %arious respets
rese'bles its rooke# )ays(

E%olutio! is k!o)! to be a )asteful& fu'bli!$ proess harateri+e# by su##e! 'utatio!s
of u!k!o)! ause& by the slo) $ri!#i!$ of seletio!& a!# by the #ea#"e!#s of o%er"
speiali+atio! a!# loss of a#aptability( NPro$ressN a! by #efi!itio! !e%er $o )ro!$,
e%olutio! o!sta!tly #oes, a!# so #oes the e%olutio! of i#eas& i!lu#i!$ those of Ne-at
sie!eN( Ne) i#eas are thro)! up spo!ta!eously like 'utatio!s, the %ast 'a.ority of the'
are useless& the e/ui%ale!t of biolo$ial freaks )ithout sur%i%al"%alue( There is a o!sta!t
stru$$le for sur%i%al bet)ee! o'peti!$ theories i! e%ery bra!h of the history of thou$ht(
:he! )e all i#eas NfertileN or NsterileN& )e are u!o!siously $ui#e# by biolo$ial
a!alo$y ( ( (

>oreo%er& there our i! biolo$ial e%olutio! perio#s of risis a!# tra!sitio! )he! there is
a rapi#& al'ost e-plosi%e& bra!hi!$ out i! all #iretio!s& ofte! resulti!$ i! a ra#ial ha!$e
i! the #o'i!a!t tre!# of #e%elop'e!t( After these sta$es of Na#aptati%e ra#iatio!sN& )he!
the speies is plasti a!# 'alleable& there usually follo) perio#s of stabili+atio! a!#
speiali+atio! alo!$ the !e) li!es "" )hih a$ai! ofte! lea# i!to #ea# e!#s of ri$i# o%er"
speiali+atio!( 798

*ut there the a!alo$y e!#s( The bra!hi!$ of the e%olutio!ist's tree of life is a o!e")ay
proess, $iraffes a!# )hales #o !ot bisoiate to $i%e rise to a !e) sy!thesis( The e%olutio!
of i#eas& o! the other ha!#& is a tale of e%er"repeate# #iffere!tiatio!& speiali+atio! a!#
rei!te$ratio!s o! a hi$her le%el, a pro$ressio! fro' pri'or#ial u!ity throu$h %ariety to
'ore o'ple- patter!s of u!ity"i!"%ariety(


T)e!ty"si- Ce!turies of Sie!e

If )e oul# take a ki!# of $ra!#sta!# %ie) of the history of sie!tifi thou$ht )e )oul# at
o!e be struk by its #iso!ti!uity& its abrupt ha!$es of te'po a!# rhyth'( The reor#
starts i! the si-th e!tury *(C( )he! )e fi!# su##e!ly& as if spru!$ fro' !o)here& a $ala-y
of Philosophers of Nature i! >ilos a!# Elea a!# Sa'os& #isussi!$ the ori$i!s a!#
e%olutio! of the u!i%erse& its for' a!# substa!e& its struture a!# la)s& i! ter's )hih
ha%e beo'e fore%er i!orporate# i!to our %oabulary a!# our 'atries of thou$ht( They
)ere searhi!$ for so'e si'ple& ulti'ate pri!iples a!# pri'e%al substa!es u!#erlyi!$ all
#i%ersity0 four ele'e!ts& four hu'ours& ato's of a si!$le ki!#& 'o%i!$ aor#i!$ to fi-e#
la)s( The Pytha$orea!s atte'pte# the first $ra!# sy!thesis0 they trie# to )ea%e the separate
threa#s of reli$io!& 'e#ii!e& astro!o'y& a!# 'usi i!to a si!$le arpet )ith a! austere
$eo'etrial #esi$!( That arpet is still i! the 'aki!$& but its basi patter! )as lai# #o)! i!
the three e!turies of the heroi a$e of ;reek sie!e bet)ee! Thales a!# Aristotle(

After the >ae#o!ia! o!/uest of ;reee there follo)e# a perio# of o!soli#atio!&
ortho#o-y& a!# #eli!e( Aristotle's ate$ories bea'e the $ra''ar of e-iste!e& his a!i'al
spirits rule# the )orl# of physis& e%erythi!$ )orth k!o)i!$ )as alrea#y k!o)!& a!#
e%erythi!$ i!%e!table alrea#y i!%e!te#( The Heroi A$e )as $ui#e# by the e-a'ple of
Pro'etheus steali!$ the fire of the $o#s, the philosophers of the Helle!isti perio# #)elt i!
Plato's a%e& #ra)i!$ epiyles o! the )all& their baks tur!e# to the #ayli$ht of reality(

After that there a'e a perio# of hiber!atio! lasti!$ for fiftee! e!turies( <uri!$ that ti'e
the 'arh of sie!e )as !ot o!ly halte#& but its #iretio! re%erse#( >( Pyke& a
o!te'porary philosopher of sie!e& )rote about 'the i!ability of sie!e to $o bak)ar#s
"" o!e the !eutro! has bee! #iso%ere# it re'ai!s #iso%ere#'( 7A8 <oes itE I! the fifth
e!tury *(C( the e#uate# lasses k!e) that the earth )as a spherial bo#y floati!$ i! spae
a!# spi!!i!$ rou!# its a-is, a thousa!# years later they thou$ht that it )as a flat #is& or a
reta!$le perhaps( Si'ilar& thou$h less #rasti e-a'ples of for$etful!ess a! also be sho)!
to ha%e ourre# i! 'o#er! sie!e(

I! the t)elfth e!tury A(<( )e obser%e the first si$!s of a tha)& a!# #uri!$ the !e-t
hu!#re# years there are hopeful stirri!$s0 it is the e!tury of Ro$er *ao! a!# Peter
Pere$ri!e& of the bu##i!$ u!i%ersities at O-for# a!# Ca'bri#$e& Saler!o& *olo$!a& a!#
Paris( *ut it is also the e!tury of the fatal 'Tsallia!e bet)ee! Aristotelia! physis a!# the
theolo$y of St( Tho'as A/ui!as( :ithi! a fe) $e!eratio!s this 'faulty sy!thesis' )as to
reate a !e) ortho#o-y& )hih le# to a!other three e!turies of sterility a!# sta$!atio!(

The! o'es A(<( 4@CC "" a la!#'ark seo!# i! i'porta!e o!ly to @CC *(C( "" )hih
i!au$urates the seo!# heroi a$e of sie!e0 the e!tury of <r( ;ilbert& Kepler& ;alileo&
Pasal& <esartes& =eib!i+& Huy$he!s& Har%ey& a!# Ne)to!( I! the !e-t e!tury& the
ei$htee!th& the spee# of the a#%a!e is o!si#erably re#ue#0 it is a perio# of assi'ilatio!&
o!soli#atio!& a!# stok"taki!$& the a$e of the populari+ers& lassifiers& a!# syste'ati+ers,
of Fo!ta!elle& =i!!aeus& a!# *uffo!& of the Philosophes a!# E!ylopT#istes( As Ple#$e
has re'arke#0 'A! obser%er bor! early i! the e!tury& a!# 'aki!$ the ;ra!# Tour& )oul#
ha%e bee! a! ol#"'a! before he a'e aross& i! the Paris of =a%oisier& a!yo!e )orthy of
Ne)to!(' 768

Fi!ally& i! the !i!etee!th e!tury a!# i! the first half of the t)e!tieth& )e ha%e a!
e-plosi%e #e%elop'e!t of e%er"i!reasi!$ 'o'e!tu'( The !i!etee!th e!tury )as the a$e
of the 'ost spetaular sy!theses i! the history of thou$ht "" of royal 'arria$es bet)ee!
pre%iously u!relate# a!# ofte! hostile #y!asties( The sie!e of eletriity 'er$e# )ith that
of 'a$!etis'(D The! eletro"'a$!eti ra#iatio!s )ere #iso%ere# to aou!t for li$ht&
olour& ra#ia!t heat& Hert+ia! )a%es( Che'istry )as s)allo)e# up by ato'i physis( The
o!trol of the bo#y by !er%es a!# $la!#s )as see! to rely o! eletro"he'ial proesses(
The pre%iously i!#epe!#e!t 'efflu%ia' or 'po)ers of !ature' )hih ha# bee! k!o)! as 'heat'&
'li$ht'& 'eletri fire'& ''eha!ial 'otio!'& ''a$!eti flu-' )ere reo$!i+e# to be all
o!%ertible o!e i!to a!other& a!# to be 'erely #iffere!t for's of 'e!er$y'& )hose total
a'ou!t o!tai!e# i! the u!i%erse al)ays re'ai!e# the sa'e( Soo! after)ar#s& the %arious
for's of 'atter& the 'ele'e!ts' of he'istry& suffere# the sa'e fate& as they )ere all fou!#
to be o!strute# out of the sa'e buil#i!$ bloks i! #iffere!t o'bi!atio!s( A!# lastly&
these buil#i!$ bloks the'sel%es see'e# to be !othi!$ but parels of o'presse# e!er$y&
pake# a!# patter!e# aor#i!$ to ertai! 'athe'atial for'ulae(
The Pytha$orea! aspiratio!& to re#ue 'all thi!$s to !u'bers'& see'e# to be at last o! the
poi!t of fulfil'e!t( The a#%a!e of sie!e i! the last e!tury offers the pa!ora'a of a
'a.esti ri%er"#elta& )here the %arious bra!hes first separate a!# #i%er$e& the! follo)
'ore or less parallel ourses& i! a o'ple- patter! of ross"o!!etio!s a!# reu!ifiatio!s&
as they approah their ulti'ate o!flue!e i! the sea(
Creati%e A!arhy
E%e! this short a!# breathless $allop throu$h the t)e!ty"si- e!turies si!e the #a)! of
sie!tifi thou$ht& ou$ht to be suffiie!t to sho) that the pro$ress of sie!e is !either
$ra#ual !or o!ti!uous( Eah basi a#%a!e )as effete# by a 'ore or less abrupt a!#
#ra'ati ha!$e0 the breaki!$ #o)! of fro!tiers bet)ee! relate# territories& the
a'al$a'atio! of pre%iously separate fra'es of refere!e or e-peri'e!tal teh!i/ues, the
su##e! falli!$ i!to patter! of pre%iously #is.oi!te# #ata( =et 'e illustrate this proess by a
fe) further e-a'ples "" !o lo!$er of i!#i%i#ual #iso%eries& but of episo#es i! the e%olutio!
of the olleti%e 'atries of sie!e(
I! the reurre!t yle #esribe# i! the pre%ious setio! I 'e!tio!e# perio#s of risis a!#
reati%e a!arhy 1orrespo!#i!$ to the i!#i%i#ual's 'perio# of i!ubatio!'2& )hih pree#e
the !e) sy!thesis( The first suh risis ourre# at the %ery be$i!!i!$ of our story )he! the
rituali+e# )orship of the Oly'pia! $o#s a!# #e'i"$o#s oul# !o lo!$er pro%i#e a!s)ers to
the ulti'ate /uestio!s after the 'ea!i!$ of e-iste!e( >ytholo$y ha# beo'e a 'bloke#
'atri-', fro' the )hi's of 3ula! a!# Posei#o!& 'a!'s i!terest tur!e# to the !ature of fire
a!# )ater, fro' the hariot of Helios to the 'otio!s of the su! alo!$ the elipti, fro' the
a!tis of ]eus a!# Athe!a to the !atural auses of physial e%e!ts( The result )as
i!to-iati!$( To /uote *ur!et0 'No soo!er #i# a! Io!ia! philosopher lear! half a #o+e!
$eo'etrial propositio!s a!# hear that the phe!o'e!a of the hea%e!s reur i! yles tha!
he set to )ork to look for la) e%ery)here i! !ature a!# )ith a! au#aity 'ou!ti!$ to
hubris to o!strut a syste' of the u!i%erse(' 7I8
The sa'e au#aity a!# hubris harateri+e# the early se%e!tee!th e!tury& )he! the
stra!$lehol# of the Aristotelia! Shool'e! )as broke!& a!# the soli#& )alle#"i! u!i%erse of
the >i##le A$es lay i! sha'bles& e-pose# to the speulati%e #epra#atious of hosts of
Paraelsia!s& ;ilbertia!s& Coper!ia!s& a!# ;alilea!s( ' 'Tis all i! piees& all ohesio! $o!e'&
la'e!te# ?oh! <o!!e, it 'ust ha%e bee! a! i!to-iati!$ a$e to li%e i!(
=astly& si!e the #iso%eries of the 459Cs& theoretial physis& a!# )ith it our piture of
sub"ato'i a!# e-tra"$alati reality& of substa!e a!# ausality& ha%e a$ai! re%erte# to a
state of reati%e a!arhy( A!# so the yle keeps repeati!$ itself0
Nature a!# Nature's la)s lay hi# i! !i$ht0 ;o# sai# let Ne)to! be& a!# all )as li$ht ( ( (
*ut alas0
It #i# !ot last0 the <e%il ho)li!$ 'HoG =et Ei!stei! beG' restore# the status /uo(' 7Ia8
'Co!!et& Al)ays Co!!et ((('
Out of the reati%e a!arhy e'er$es the !e) sy!thesis(
I ha%e $i%e! i! pre%ious hapters a series of e-a'ples to sho) ho) !e) sy!theses arise i!
the brai!s of ori$i!al thi!kers throu$h the bisoiatio! of pre%iously u!o!!ete# 'atries(
The parallel proess o! the olleti%e pla!e "" o! the 'ap of history "" is the o!flue!e of
t)o bra!hes of sie!e )hih ha# #e%elope# i!#epe!#e!tly& a!# #i# !ot see' to ha%e
a!ythi!$ i! o''o!( 'The pro$ress of sie!e'& *ro!o)ski )rote& 'is the #iso%ery at eah
step of a !e) or#er )hih $i%es u!ity to )hat ha# lo!$ see'e# u!like('D
The !e) sy!thesis i! the 'i!# of the thi!ker 'ay e'er$e su##e!ly& tri$$ere# by a si!$le
'li!k', or $ra#ually& by a! au'ulatio! of li!ka$es( O! the 'ap of history the 'li!ks' are the
#iso%eries of i!#i%i#uals, a!# here a$ai! the proess of i!te$ratio! 'ay be su##e!& or the
result of a series of #iso%eries by se%eral people( The u!ifiatio! of arith'eti a!#
$eo'etry "" a!alytial $eo'etry "" )as a o!e"'a! sho)& ao'plishe# by the for'i#able
<esartes( The u!ifiatio! of eletriity a!# 'a$!etis'& o! the other ha!#& took a hu!#re#
years "" fro' 4F9C& )he! Ha!s Christia! Oerste# #iso%ere# by ha!e that a! eletri
urre!t flo)i!$ throu$h a )ire #eflete# a o'pass !ee#le )hih happe!e# to lie o! the
table& to 4594& )he! O( :( Rihar#so! e-plai!e# ferro"'a$!etis' i! ter's of eletro!"
spi!, a!# it !ee#e# a )hole series of ori$i!al #iso%eries by A'pere& Fara#ay& >a-)ell&
a!# others to at as li!ks a!# bri!$ the ro)!i!$ sy!thesis about 1see Appe!#i- I2(

All #eisi%e a#%a!es i! the history of sie!tifi thou$ht a! be #esribe# i! ter's of
'e!tal ross"fertili+atio! bet)ee! #iffere!t #isipli!es( So'e of these histori bisoiatious
appear& e%e! i! retrospet& as surprisi!$ a!# far"fethe# as the o'bi!atio! of abba$es a!#
ki!$s( :hat lesso!& for i!sta!e& oul# o!e e-pet !europhysiolo$y to #eri%e fro'
astro!o'yE A!# yet& here it is( I! 4O5@ a 'i!or sa!#al ourre# at the ;ree!)ih
Obser%atory0 >askely!e& the Astro!o'er Royal& #is'isse# o!e of his assista!ts beause the
latter's obser%atio!s #iffere# fro' his o)! by half a seo!# to a )hole seo!#( Te! years
later the ;er'a! astro!o'er *essel rea# about this i!i#e!t i! a history of the ;ree!)ih
Obser%atory( *essel& )ho o'bi!e# a hi$hly ori$i!al 'i!# )ith 'etiulous preisio! i! his
obser%atio!s& )as pu++le# by the fre/ue!t ourre!e of si'ilar ti'i!$ 'istakes by
astro!o'ers( It )as a typial ase of a 'shift of atte!tio!' fro' the !uisa!e aspet of a
tri%ial phe!o'e!o! to the i!%esti$atio! of its auses(

After te! years of o'pari!$ his o)! reor#s )ith those of se%eral other astro!o'ers&
*essel )as able to pro%e that there e-iste# syste'ati a!# o!siste!t #iffere!es bet)ee!
the spee# )ith )hih eah of the' reate# to obser%e# e%e!ts, a!# he also suee#e# i!
establishi!$ the harateristi reatio!"ti'e "" alle# 'the perso!al e/uatio!' "" of se%eral of
his ollea$ues(

These stu#ies )ere o!ti!ue# by other astro!o'ers o%er the !e-t thirty years& i! the ourse
of )hih the #e%elop'e!t of 'ore preise& auto'ati reor#i!$ i!stru'e!ts 'a#e it
possible to arri%e at 'absolute perso!al e/uatio!s'( Fi!ally& fifty years after *essel's
#iso%ery& %o! Hel'holt+ publishe# a paper sho)i!$ that the rate of o!#utio! of
i'pulses i! !er%es )as of a #efi!ite& 'easurable or#er "" a!# !ot& as ha# pre%iously bee!
assu'e#& pratially i!sta!ta!eous( Hel'holt+ )as )ell a/uai!te# )ith the )ork that
astro!o'ers ha# #o!e o! perso!al e/uatio!s& a!# his e-peri'e!ts o! the propa$atio! of
i'pulses i! 'otor a!# se!sory !er%es follo)e# their proe#ure a!# teh!i/ues( Hel'holt+'s
#iso%ery i!au$urate# the era of ''e!tal hro!o'etry'& a!# )as a #eisi%e step i! the
pro$ress of !europhysiolo$y a!# e-peri'e!tal psyholo$y(

I! a si'ilar 'a!!er the basi a#%a!es i! our k!o)le#$e of i!fetious #iseases )ere
'ostly #ue to the i'portatio! of e-peri'e!tal teh!i/ues )hih ha# bee! #e%elope# for
/uite #iffere!t purposes "" suh as the use of filteri!$ proe#ures& 'irosopi teh!i/ues&
tissue"ultures a!# the statistial 'etho#s e'ploye# i! $e!etis(

*artlett& i! *hinking %% 3n 6xperimental and .ocial .tudy 145IF2& $a%e a series of si'ilar
illustratio!s( The o!lusio!s at )hih he arri%e# see' to paraphrase the thesis of the
prese!t theory that bisoiatio! is the esse!e of reati%e ati%ity0
As e-peri'e!tal sie!e has $ai!e# )i#er a!# )i#er fiel#s& a!# )o! i!reasi!$
reo$!itio!& it has ofte! happe!e# that ritial sta$es for a#%a!e are reahe# )he! )hat
has bee! alle# o!e bo#y of k!o)le#$e a! be brou$ht i!to lose a!# effeti%e relatio!ship
)ith )hat has bee! treate# as a #iffere!t& a!# a lar$ely or )holly i!#epe!#e!t& sie!tifi
#isipli!e( ( ( ( The alert e-peri'e!ter is al)ays o! the lookout for poi!ts a!# areas of
o%erlap& bet)ee! thi!$s a!# proesses )hih !atural a!# u!ai#e# obser%atio!s has te!#e#
to treat 'erely& or hiefly& as #iffere!t( ( ( ( O!e of the 'ost i'porta!t features of these
tur!i!$ poi!ts i! e-peri'e!tal #e%elop'e!t is that they %ery ofte! i!tro#ue 'etho#s a!#
i!stru'e!tatio! !e) to the fiel# of researh i!%ol%e#& but alrea#y #e%elope# i! so'e other
re$io! of i!%esti$atio!( ( ( ( The )i!#i!$ pro$ress of a!y bra!h of e-peri'e!tal sie!e is
'a#e up esse!tially by a relati%ely s'all !u'ber of ori$i!al i!/uiries& )hih 'ay be
)i#ely separate#& follo)e#& as a rule& by a %ery lar$e !u'ber of routi!e i!/uiries( The 'ost
i'porta!t feature of ori$i!al e-peri'e!tal thi!ki!$ is the #iso%ery of o%erlap a!#
a$ree'e!t )here for'erly o!ly isolatio! a!# #iffere!e )ere reo$!i+e#( This usually
'ea!s that )he! a!y e-peri'e!tal sie!e is ripe for 'arke# a#%a!e& a 'ass of routi!e
thi!ki!$ belo!$i!$ to a! i''e#iately pree#i!$ phase has o'e !ear to )eari!$ itself out
by e-ploiti!$ a li'ite# ra!$e of teh!i/ues to establish 'ore a!# 'ore 'i!ute a!#
speiali+e# #etail( A sta$e has bee! reahe# i! )hih fi!#i!$ out further #etails a##s little
or !othi!$ to )hat is k!o)! alrea#y( ( ( ( Ho)e%er& at the sa'e ti'e& perhaps i! so'e other
bra!h of sie!e& a!# perhaps i! so'e hitherto #iso!!ete# part of )hat is treate# as the
sa'e bra!h& there are other teh!i/ues $e!erati!$ their o)! proble's& ope!i!$ up their
o)! $aps( A! ori$i!al 'i!#& !e%er )holly o!tai!e# i! a!y o!e o!%e!tio!ally e!lose#
fiel# of i!terest& !o) sei+es upo! the possibility that there 'ay be so'e u!suspete#
o%erlap& takes the risk )hether there is or !ot& a!# $i%es the ol# sub.et"'atter a !e) look(
Routi!e starts a$ai!( ( ( ( The o!#itio!s for ori$i!al thi!ki!$ are )he! t)o or 'ore strea's
of researh be$i! to offer e%i#e!e that they 'ay o!%er$e a!# so i! so'e 'a!!er be
o'bi!e#( It is the o'bi!atio! )hih a! $e!erate !e) #iretio!s of researh& a!# throu$h
these it 'ay be fou!# that basi u!its a!# ati%ities 'ay ha%e properties !ot before
suspete# )hih ope! up a lot of !e) /uestio!s for e-peri'e!tal stu#y( 7@8
*ut I 'ust a## to this a )or# of )ar!i!$( E-ept )he! it is 'erely a 'atter of borro)i!$&
so to speak& a! e-isti!$ teh!i/ue or laboratory e/uip'e!t fro' a !ei$hbouri!$ sie!e 1as
i! 'ost of *artlett's e-a'ples2& the i!te$ratio! of 'atries is !ot a si'ple operatio! of
a##i!$ to$ether( It is a proess of 'utual i!terfere!e a!# ross"fertili+atio!& i! the ourse
of )hih both 'atries are tra!sfor'e# i! %arious )ays a!# #e$rees( Hi##e! a-io's&
i'plie# i! the ol# o#es& su##e!ly sta!# re%eale# a!# are subse/ue!tly #roppe#, the rules
of the $a'e are re%ise# before they e!ter as sub"rules i!to the o'posite $a'e( :he!
Ei!stei! bisoiate# e!er$y a!# 'atter& both a/uire# a !e) look i! the proess(


The Thi!ki!$ Cap

I ha%e repeate#ly 'e!tio!e# 'shifts of atte!tio!' to pre%iously !e$lete# aspets of
e-perie!e )hih 'ake fa'iliar phe!o'e!a appear i! a !e)& re%eali!$ li$ht& see! throu$h
spetales of a #iffere!t olour( At the #eisi%e tur!i!$ poi!ts i! the history of sie!e& all
the #ata i! the fiel#& u!ha!$e# i! the'sel%es& 'ay fall i!to a !e) patter!& a!# be $i%e! a
!e) i!terpretatio!& a !e) theoretial fra'e(

*y stressi!$ the i'porta!e of the interpretation 1or rei!terpretatio!2 of fats& I 'ay ha%e
$i%e! the i'pressio! of u!#eresti'ati!$ the i'porta!e of collecting fats& of ha%i!$
e'phasi+e# the %alue of theory"'aki!$ at the e-pe!se of the e'pirial aspet of sie!e ""
a! u!for$i%able heresy i! the eyes of Positi%ists& *eha%iourists& a!# other theorists of the
a!ti"theory shool( Nee#less to say& o!ly a fool oul# belittle the i'porta!e of obser%atio!
a!# e-peri'e!t "" or )ish to re%ert to Aristotelia! physis )hih )as all speulatio! a!# !o
e-peri'e!t( *ut the olleti!$ of #ata is a #isri'i!ati!$ ati%ity& like the piki!$ of
flo)ers& a!# u!like the atio! of a la)!"'o)er, a!# the seletio! of flo)ers o!si#ere#
)orth piki!$& as )ell as their arra!$e'e!t i!to a bou/uet& are ulti'ately 'atters of
perso!al taste( As T( H( Hu-ley has sai# i! a! oft"/uote# passa$e0
Those )ho refuse to $o beyo!# fat rarely $et as far as fat, a!# a!yo!e )ho has stu#ie#
the history of sie!e k!o)s that al'ost e%ery step therei! has bee! 'a#e by ( ( ( the
i!%e!tio! of a hypothesis )hih& thou$h %erifiable& ofte! ha# little fou!#atio! to start )ith( (
( (
Sir =a)re!e *ra$$ is the o!ly physiist )ho share# a Nobel Pri+e )ith his o)! father ""
for their .oi!t )ork o! a!alysi!$ rystal strutures by 'ea!s of H"rays& #oubtless a!
e'i!e!tly fatual preoupatio!& )hih took t)o lifeti'es( Bet i! his book o! *he History
of .cience he too o!lu#e# that the esse!e of sie!e 'lies !ot i! #iso%eri!$ fats& but i!
#iso%eri!$ !e) )ays of thi!ki!$ about the''( 7O8

Ne) fats #o e'er$e o!sta!tly, but they are fou!# as the result of a searh i! a #efi!ite
#iretio!& base# o! theoretial o!si#eratio!s "" as ;alle #iso%ere# the pla!et Neptu!e&
)hih !obo#y ha# see! before& by #ireti!$ his telesope at the elestial re$io! )hih
=e%errier's alulatio!s ha# i!#iate#(D This is a#'itte#ly a! e-tre'e ase of obser%atio!
$ui#e# by theory, but it re'ai!s !e%ertheless true that it is !ot e!ou$h for the sie!tist to
keep his eyes ope! u!less he has a! i#ea of )hat he is looki!$ for(
The telesope is& of ourse& the supre'e eye"ope!er a!# fat"fi!#er i! astro!o'y, but it is
rarely appreiate# that the Coper!ia! re%olutio! a'e before the i!%e!tio! of the telesope
"" a!# so #i# Kepler's 9ew 3stronomy( The i!stru'e!ts )hih Coper!ius use# for
obser%i!$ the stars )ere less preise tha! those of the Ale-a#ria! astro!o'ers Hypparhus
a!# Ptole'y& o! )hose #ata Coper!ius built his theory, a!# he k!e) !o 'ore about the
atual 'otio!s of stars a!# pla!ets tha! they ha# k!o)!0
I!sofar as atual k!o)le#$e is o!er!e#& Coper!ius )as !o better off& a!# i! so'e
respets )orse off& tha! the ;reek astro!o'ers of Ale-a!#ria )ho li%e# i! the ti'e of ?es!s
Christ( They ha# the sa'e #ata& the sa'e i!stru'e!ts& the sa'e k!o)"ho) i! $eo'etry& as
he #i#( They )ere $ia!ts of 'e-at sie!e', yet they faile# to see )hat Coper!ius sa) after&
a!# Aristarhus ha# see! before the'0 that the pla!ets' 'otio!s )ere ob%iously $o%er!e#
by the su!( 7F8
Si'ilarly& Har%ey's re%olutio!ary #iso%eries )ere 'a#e before the 'irosope )as
#e%elope# i!to a ser%ieable tool, a!# Ei!stei! for'ulate# his 'Speial Theory of Relati%ity'
i! 45CI base# o! #ata )hih& as I ha%e alrea#y sai#& )ere by !o 'ea!s !e)( Poi!arT& for
i!sta!e& Ei!stei!'s se!ior by t)e!ty"fi%e years& ha# hel# all the loose threa#s i! his ha!#s&
a!# the reaso!s for his failure to tie the' to$ether are still a 'atter of speulatio! a'o!$
sie!tists( To /uote Tato!0
Poi!arT& )ho ha# so 'uh )i#er a 'athe'atial bak$rou!# tha! Ei!stei!& the! a you!$
assista!t i! the Fe#eral Pate!ts Offie of *er!e& k!e) all the ele'e!ts re/uire# for suh a
sy!thesis& of )hih he ha# felt the ur$e!t !ee# a!# for )hih he ha# lai# the first
fou!#atio!s( Ne%ertheless& he #i# !ot #are to e-plai! his thou$hts& a!# to #eri%e all the
o!se/ue!es& thus 'issi!$ the #eisi%e step separati!$ hi' fro' the real #iso%ery of the
pri!iple of relati%ity( 758
:ithout the har# little bits of 'arble )hih are alle# 'fats' or '#ata' o!e a!!ot o'pose a
'osai, )hat 'atters& ho)e%er& are !ot so 'uh the i!#i%i#ual bits& but the suessi%e
patter!s i!to )hih you arra!$e the'& the! break the' up a!# rearra!$e the'( ':e shall
fi!#'& )rote *utterfiel# o! the ope!i!$ pa$e of his history of the Sie!tifi Re%olutio!& 'that
i! both elestial a!# terrestrial physis "" )hih hol# the strate$i plae i! the )hole
'o%e'e!t "" ha!$e is brou$ht about& !ot by !e) obser%atio!s or a##itio!al e%i#e!e i!
the first i!sta!e& but by tra!spositio!s that )ere taki!$ plae i!si#e the 'i!#s of the
sie!tists the'sel%es( ( ( ( Of all for's of 'e!tal ati%ity& the 'ost #iffiult to i!#ue e%e!
i! the 'i!#s of the you!$& )ho 'ay be presu'e# !ot to ha%e lost their fle-ibility& is the art
of ha!#li!$ the sa'e bu!#le of #ata as before& but plai!$ the' i! a !e) syste' of
relatio!s )ith o!e a!other by $i%i!$ the' a #iffere!t fra'e)ork& all of )hih %irtually
'ea!s putti!$ o! a #iffere!t ki!# of thi!ki!$"ap for the 'o'e!t( It is easy to teah
a!ybo#y a !e) fat about Rihelieu& but it !ee#s li$ht fro' hea%e! to e!able a teaher to
break the ol# fra'e)ork i! )hih the stu#e!t has bee! austo'e# to seei!$ his Rihelieu('
74C8
O!e 'ore )e are fai!$ the stubbor! po)ers of habit& a!# the a!tithesis of habit a!#
ori$i!ality( Ne) fats alo!e #o !ot 'ake a !e) theory, a!# !e) fats alo!e #o !ot #estroy
a! outli%e# theory( I! both ases it re/uires reati%e ori$i!ality to ahie%e the task( The
fats )hih pro%e# that the pla!etary 'otio!s #epe!#e# o! the su! ha%e bee! stari!$ i!to
the fae of astro!o'ers throu$hout the a$es "" but they preferre# to look a)ay(
The Patholo$y of Thou$ht
I ha%e #isusse# 's!o)bli!#!ess' a!# faulty i!te$ratio!s o! the i!#i%i#ual le%el( I! the
e%olutio! of the olleti%e 'atries of sie!e& si'ilar aberratio!s our o! a! histori
sale& a!# are tra!s'itte# fro' o!e $e!eratio! to the !e-t "" so'eti'es o%er a !u'ber of
e!turies( I!#ee#& so'e of the 'ost i'porta!t #iso%eries o!siste# i! the eli'i!atio! of
psyholo$ial roa#"bloks "" i! u!o%eri!$ )hat ha# al)ays bee! there(
The lassi e-a'ple of a 'e!tal roa#"blok& e-te!#i!$ o%er t)o 'ille!!ia& is o!e to )hih
I ha%e repeate#ly allu#e# before( If o!e ha# to su' up the history of sie!tifi i#eas about
the u!i%erse i! a si!$le se!te!e& o!e oul# o!ly say that up to the se%e!tee!th e!tury our
%isio! )as Aristotelia!& after that Ne)to!ia!( It )oul#& of ourse& be !aQ%e to bla'e the
$ia!t fi$ure of the Sta$yrite for rystalli+i!$ tre!#s i! ;reek thou$ht )hih )ere ori$i!ate#
by others& a!# reflete# the i!telletual 'oo# of ;reee at the #isastrous perio# before a!#
i''e#iately after the >ae#o!ia! o!/uest( The reaso!s )hy his absur# theory of physis
a/uire# suh a fir' hol# o%er 'e#ie%al Europe I ha%e #isusse# else)here, 74Ca8 they #o
!ot e!ter i!to our prese!t o!te-t(
The e!tral postulate of the theory )as that a 'o%i!$ bo#y )ill i''e#iately re%ert to
i''obility )he! it eases to be pushe# or pulle# alo!$ by a seo!# bo#y& its ''o%er'( No)
a! o-"art o! a 'u##y roa# )ill i!#ee# o'e to a halt )he! its 'o%ers& the o-e!& are
u!yoke#( *ut a! arro) )ill fly throu$h the air o!e the i!itial i'pulse has bee! i'parte# to
it "" )hereas& aor#i!$ to Aristotelia! physis& it shoul# ha%e #roppe# to earth the %ery
i!sta!t it parte# fro' the bo)& its 'o%er( The a!s)er to this ob.etio! )as that the i!itial
'otio! of the arro)& )hile still o! the bo)& reate# a #isturba!e i! the air& a ki!# of %orte-&
)hih !o) bea'e the arro)'s ''o%er'& a!# pulle# it alo!$ its ourse( Not before the
fourtee!th e!tury )as the further ob.etio! raise# that if the arro) 1or spear& or atapulte#
sto!e2 )as pulle# by a! air"urre!t& it oul# !e%er fly a$ai!st the )i!#(
This i!ability to perei%e that a 'o%i!$ bo#y te!#s to persist i! its ourse )as the
psyholo$ial roa#"blok )hih pre%e!te# the e'er$e!e of a true sie!e of physis fro'
the fourth e!tury *(C( to the se%e!tee!th e!tury A(<( Bet e%ery sol#ier )ho thre) a spear
felt that the thi!$ ha# a 'o'e!tu' of its o)! "" a!# so& of ourse& #i# the %iti' )ho' it
hit, a!# e%ery tra%eller i! a post"oah )hih a'e to a! abrupt halt& ha# e-perie!e# to his
sorro) that his 'otio! o!ti!ue# after the 'o%er's ha# stoppe#( The e-perie!e& the bo#ily
'feel' of i!ertial 'o'e!tu' is as ol# as 'a!ki!# "" but it )as pre%e!te# fro' beo'i!$
o!sious a!# e-pliit k!o)le#$e by the 'e!tal blok built i!to the olleti%e 'atri-( E%e!
;alileo sa) o!ly part of the truth0 he thou$ht that a 'o%i!$ bo#y& left to itself i! e'pty
spae& )oul# persist !ot i! strai$ht& but i! irular 'otio!( Suh are the #iffiulties of
leari!$ a)ay the 'a!"'a#e heaps of rubble u!#er )hih so'e si'ple truth lies burie#(
The !eessity for e%ery 'o%i!$ bo#y to be o!sta!tly ao'pa!ie# a!# pushe# alo!$ by a
''o%er' also applie# to the stars, it reate# a 'u!i%erse i! )hih u!see! ha!#s ha# to be i!
o!sta!t operatio!'( 7448 The pla!ets ha# to be rolle# alo!$ their orbits& like beer"barrels& by
a host of a!$els, e%e! Kepler !ee#e# a hea%e!ly broo'stik& )iel#e# by the su!& to s)eep
the' rou!# their path( Bet here a$ai!& the k!o)le#$e of e!trifu$al fore has al)ays
e-iste#& e%er si!e hil#re! s)u!$ sto!es rou!# at the e!# of a stri!$, a!# this k!o)le#$e
ha# e%e! bee! e-pliitly for'ulate# i! a!ti/uity( I! his treatise On the 1ace in the :isc of
the &oon& Plutarh& )ho took a $reat i!terest i! sie!e a!# partiularly i! astro!o'y&
)rote that the 'oo! )as of soli# stuff& like the earth, a!# that the reaso! )hy it #i# !ot fall
#o)! o! the earth& i! spite of its )ei$ht& )as as follo)s0
( ( ( The 'oo! has a seurity a$ai!st falli!$ i! her %ery 'otio! a!# the s)i!$ of her
re%olutio!s& .ust as ob.ets put i! sli!$s are pre%e!te# fro' falli!$ by the irular )hirl, for
e%erythi!$ is arrie# alo!$ by the 'otio! !atural to it if it is !ot #eflete# by a!ythi!$ else(
Thus the 'oo! is !ot arrie# #o)! by her )ei$ht beause her !atural te!#e!y is frustrate#
by her re%olutio!( 7498 1'y italis2
The tra!slatio! is by Heath& )ho re'arks0 'This is pratially Ne)to!'s first =a) of
>otio!(' It is urious that this passa$e has arouse# so little o''e!t(
Perhaps the 'ost #isastrous feature of the Aristotelia! syste' )as its #e!ial that the )hole
u!i%erse )as 'a#e out of the sa'e basi stuff 1as Par'e!i#es a!# the Ato'ists ha#
asserte# before hi'2 a!# to split the )orl# i!to t)o parts& #i%i#e# by a ki!# of 'etaphysial
iro! urtai!( The 'sublu!ary' re$io! 1the earth a!# its %ii!ity2 )as 'a#e of four u!stable
ele'e!ts& the skies of a fifth& per'a!e!t ether, the sublu!ary re$io! )as i!fete# )ith the
%ie of ha!$e "" a! abo'i!able slu' )here $e!eratio!& orruptio!& a!# #eay !e%er
stoppe#& )hereas o! the other si#e of the urtai!& fifty"fi%e elestial i!telli$e!es )ere
spi!!i!$ rou!# as 'a!y pure& rystalli!e spheres& arryi!$ the pla!ets a!# stars i! their
u!ha!$i!$ irular orbits(
It )as the 'ost #ra'ati splitti!$ operatio! the )orl# ha# see! si!e =uifer )as e-pelle#
fro' hea%e!, a!# it )as u!a%oi#ably follo)e# by a series of #i%ores a!# re'arria$es
bet)ee! i!o'patible part!ers( Celestial 'eha!is bea'e #issoiate# fro' sublu!ary
physis a!# 'arrie# to theolo$y )he! Aristotle's 'first 'o%er' bea'e i#e!tifie# )ith ;o#&
a!# his star"spi!!i!$ spirits )ith the hierarhy of a!$els( Terrestrial physis& i! its tur!& )as
#i%ore# fro' 'athe'atis& a!# 'arrie# to a!i'is'( The 'ost striki!$ fat about pre"
Re!aissa!e sie!e is i!#ee# its o'plete i!#iffere!e to /ua!titati%e 'easure'e!ts a!#
!u'erial relatio!s "" !ot to 'e!tio! e-peri'e!t a!# obser%atio!, a!# its obsessio! )ith
asribi!$ a!i'ate po)ers to i!a!i'ate ob.ets( Sto!es fell to earth beause it )as their
!atural ho'e& as fla'es rose up)ar# beause their ho'e )as i! the sky, a!# the sto!e
aelerate# its fall beause it )as hurryi!$ ho'e as horses hurry to their stable( All 'otio!&
all ha!$e& )as #ue to a purposeful stri%i!$ of ob.ets to reali+e )hat )as pote!tially
i!here!t i! their !ature& to 'o%e 'fro' pote!y to at' "" a pri!iple #eri%e# by speious
a!alo$y fro' e'bryo!i #e%elop'e!t( It took about three e!turies 1fro' Oa' to
Ne)to!2 to u!#o the ta!$le# 'ess )hih these #i%ores a!# 'Tsallia!es ha# brou$ht
about(
I! the healthy e%olutio! of a sie!e& )e obser%e a bra!hi!$ out of speiali+e#& relati%ely
auto!o'ous li!es of researh, a!# a parallel proess of o!flue!es a!# i!te$ratio!s
'e#iate# by the #iso%ery of u!i%ersal pri!iples u!#erlyi!$ %ariety( *ut )e also fi!#
patholo$ial #e%elop'e!ts of a rather #rasti a!# persiste!t ki!# i! the history of sie!tifi
thou$ht "" olleti%e 'e!tal bloka$es )hih keep apart )hat belo!$s to$ether& a!# lea# to
the se$re$atio! of 'lose# syste's'( The healthy perio#s i! the $ro)th of a sie!e re'i!#
o!e of the #iffere!tiatio! of struture a!# i!te$ratio! of fu!tio! i! or$a!i #e%elop'e!t( I!
the u!healthy perio#s& o! the other ha!#& )e fi!# #issoiatio! i!stea# of #iffere!tiatio!& a!#
faulty i!te$ratio!s(
So'e of the latter )ere the result of shot$u!"'arria$es& as it )ere "" i'pose# fro' outsi#e&
by reli$io!s or politial pressures( >e#ie%al astro!o'y ha# to e'brae theolo$y& So%iet
biolo$y )as )e##e# to a ru#e for' of =a'arkis'( The #e%elop'e!t of sie!e a!!ot be
isolate# fro' its histori o!te-t& fro' the li'ate of a $i%e! a$e or i%ili+atio!, it
i!flue!es a!# is i!flue!e# by its philosophy& reli$io!& art& soial or$a!i+atio!& eo!o'i
!ee#s( *ut sie!tifi thi!ki!$ !e%ertheless e!.oys a o!si#erable a'ou!t of auto!o'y, its
tortuous pro$ress is u!pre#itable& its %itories a!# #efeats are of its o)! 'aki!$( The
reaso! )hy Coper!ius postpo!e# the publiatio! of his theory till the e!# of his life )as
!ot fear of the Catholi Churh 1)hih e!oura$e# a!# protete# hi'2 but the fear of
ri#iule fro' his fello) astro!o'ers( ;alileo's o!flit )ith the Churh oul# ha%e
probably bee! a%oi#e# if he ha# bee! e!#o)e# )ith less passio! a!# 'ore #iplo'ay, but
lo!$ before that o!flit starte#& he ha# i!urre# the i'plaable hostility of the ortho#o-
Aristotelia!s )ho hel# key positio!s at the Italia! u!i%ersities( Reli$ious a!# politial
oppressio! play o!ly a! i!i#e!tal part i! the history of sie!e, its errati ourse a!#
reurre!t rises are ause# by i!ter!al fators( 74A8
O!e of the o!spiuous ha!#iaps is the o!ser%atis' of the sie!tifi 'i!# i! its
orporate aspet( The olleti%e 'atri- of a sie!e at a $i%e! ti'e is #eter'i!e# by a ki!#
of establish'e!t& )hih i!lu#es u!i%ersities& lear!e# soieties& a!#& 'ore ree!tly& the
e#itorial offies of teh!ial .our!als( =ike other establish'e!ts& they are o!siously or
u!o!siously be!t o! preser%i!$ the status /uo "" partly beause u!ortho#o- i!!o%atio!s
are a threat to their authority& but also beause of the #eeper fear that their laboriously
erete# i!telletual e#ifie 'i$ht ollapse u!#er the i'pat( Corporate ortho#o-y has bee!
the urse of $e!ius fro' Aristarhus to ;alileo& to Har%ey& <ar)i!& a!# Freu#, throu$hout
the e!turies its phala!-es ha%e stur#ily #efe!#e# habit a$ai!st ori$i!ality( The uses of
hyp!otis' i! #e!tal sur$ery& hil#"birth& et(& are re$ar#e# as a 'o#er! #iso%ery( I! fat&
Es#aile& )ho li%e# fro' 4FCF to 4FI5& arrie# out three hu!#re# 'a.or operatio!s u!#er
'>es'eri tra!e', but si!e >es'er ha# bee! #elare# a! i'postor& 'e#ial .our!als
refuse# to pri!t Es#aile's papers( I! 4F69 :ar# a'putate# a le$ pai!lessly u!#er hyp!oti
tra!e a!# 'a#e a Report to the Royal >e#ial a!# Chirur$ial soiety( The soiety refuse#
to belie%e hi'( O!e of its 'ost e'i!e!t 'e'bers ar$ue# that the patie!t ha# 'erely
prete!#e# !ot to feel the pai!& a!# the !ote of the paper ha%i!$ bee! rea# )as struk fro'
the 'i!utes of the Soiety(
The 'artyrolo$y of sie!e 'e!tio!s o!ly a fe) o!spiuous ases )hih e!#e# i! publi
tra$e#ies( Robert >ayer& o"#iso%erer of the pri!iple of the Co!ser%atio! of E!er$y& )e!t
i!sa!e beause of lak of reo$!itio! for his )ork( So #i# I$!a+ Se''el)eiss& )ho
#iso%ere#& i! 4F6O& that the ause of hil#be# fe%er )as i!fetio! of the patie!t )ith the
'a#a%eri 'aterial' )hih sur$eo!s a!# stu#e!ts arrie# o! their ha!#s( As a! assista!t at
the ;e!eral Hospital i! 3ie!!a& Se''el)eiss i!tro#ue# the strit rule of )ashi!$ ha!#s i!
hlori!ate# li'e )ater before e!teri!$ the )ar#( *efore this i!!o%atio!& o!e out of e%ery
ei$ht )o'e! i! the )ar# ha# #ie# of puerperal fe%er, i''e#iately after)ar#s 'ortality fell
to o!e i! thirty& a!# the !e-t year to o!e i! a hu!#re#( Se''el)eiss's re)ar# )as to be
hou!#e# out of 3ie!!a by the 'e#ial professio! "" )hih )as 'o%e#& apart fro' stupi#ity&
by rese!t'e!t of the su$$estio! that they 'i$ht be arryi!$ #eath o! their ha!#s( He )e!t
to *u#apest& but 'a#e little hea#)ay )ith his #otri!e& #e!ou!e# his oppo!e!ts as
'ur#erers& bea'e ra%i!$ 'a#& )as put i!to a restrai!i!$ .aket& a!# #ie# i! a 'e!tal
hospital(
Apart fro' a fe) luri# ases of this ki!# )e ha%e !o reor# of the ou!tless lesser
tra$e#ies& !o statistis o! the !u'bers of li%es )aste# i! frustratio! a!# #espair& of
#iso%eries )hih passe# u!!otie#( The history of sie!e has its Pa!theo! of elebrate#
re%olutio!aries "" a!# its atao'bs& )here the u!suessful rebels lie& a!o!y'ous a!#
for$otte!(
=i'its of Co!fir'atio!
Fro' the #ays of ;reee to the prese!t& that history ehoes )ith the sou!# a!# fury of
passio!ate o!tro%ersies( This fat i! itself is suffiie!t proof that the sa'e 'bu!#le of #ata'&
a!# e%e! the sa'e 'ruial e-peri'e!t'& a! be i!terprete# i! 'ore tha! o!e )ay(
To 'e!tio! o!ly a fe) of the 'ore ree!t a'o!$ these histori o!tro%ersies0 the
os'olo$y of Tyho #e *rahe e-plai!e# the fats& as they )ere k!o)! at the ti'e& .ust as
)ell as the syste' of Coper!ius( I! the #ispute bet)ee! ;alileo a!# the ?esuit Father Sarsi
o! the !ature of o'ets& )e !o) k!o) that both )ere )ro!$& a!# that ;alileo )as 'ore
)ro!$ tha! his for$otte! oppo!e!t( Ne)to! uphel# a orpusulary& Huy$he!s a )a%e"
theory of li$ht( I! ertai! types of e-peri'e!t the e%i#e!e fa%oure# Ne)to!& i! other types
Huy$he!s, at prese!t )e te!# to belie%e that both are true( =eib!i+ #eri#e# $ra%ity a!#
ause# Ne)to! of i!tro#uti!$ 'oult /ualities a!# 'irales' i!to sie!e( The theories of
KekulT a!# 3a!'t Hoff o! the struture of or$a!i 'oleules )ere #e!ou!e# by lea#i!$
authorities of the perio# as a 'tissue of fa!ies(' 7468 =iebi$ a!# :[hler "" )ho ha#
sy!thesi+e# urea fro' a!or$a!i 'aterials "" )ere a'o!$ the $reatest he'ists of the
!i!etee!th e!tury, but they poure# sor! o! those of their ollea$ues )ho 'ai!tai!e# that
the yeast )hih ause# aloholi fer'e!tatio! o!siste# of li%i!$ ellular or$a!is's( They
e%e! )e!t so far as to publish& i! 4FA5& a! elaborate skit i! the 3nnalen der hemie& i!
)hih yeast )as #esribe# ')ith a o!si#erable #e$ree of a!ato'ial realis'& as o!sisti!$
of e$$s )hih #e%elope# i!to 'i!ute a!i'als shape# like #istilli!$ apparatus( These
reatures took i! su$ar as foo# a!# #i$este# it i!to arbo!i ai# a!# alohol& )hih )ere
separately e-rete#(' 74I8 The $reat o!tro%ersy o! fer'e!tatio! laste# !early forty years&
a!# o%erlappe# )ith the e%e! 'ore passio!ate #ispute o! 'spo!ta!eous $e!eratio!' "" the
/uestio! )hether li%i!$ or$a!is's oul# be reate# out of #ea# 'atter( I! both Pasteur
fi$ure# pro'i!e!tly, a!# i! both o!tro%ersies the philosophial preo!eptio!s of
'%italists' oppose# to ''eha!ists' playe# a #eisi%e part i! #esi$!i!$ a!# i!terpreti!$ the
e-peri'e!ts "" 'ost of )hih )ere i!o!lusi%e a!# oul# be i!terprete# either )ay(
I ha%e o'pare# the !i!etee!th e!tury to a 'a.esti ri%er"#elta& the $reat o!flue!e of
pre%iously separate bra!hes of k!o)le#$e( This )as the reaso! for its opti'is' "" a!# its
hubris, the $e!eral o!%er$e!e of the %arious sie!es reate# the o!%itio! that )ithi!
the foreseeable future the )hole )orl#& i!lu#i!$ the 'i!# of 'a!& )oul# be 're#uible' to a
fe) basi 'eha!ial la)s( Bet as )e e!ter our prese!t e!tury& )e fi!# that i! spite of this
$reat proess of u!ifiatio!& %irtually e%ery 'ai! pro%i!e of sie!e is tor! by e%e! #eeper
o!tro%ersies tha! before(
Thus& for i!sta!e& the 'ost e-at of the e-at sie!es has bee! split& for the last t)e!ty
years& i!to t)o a'ps0 those )ho assert 1)ith *ohr& Heise!ber$& %o! Neu'a!!2 that strit
physial ausality 'ust be replae# by statistial probability beause subato'i e%e!ts are
i!#eter'i!ate a!# u!pre#itable, a!# those )ho assert 1)ith Ei!stei!& Pla!k& *oh'& a!#
3i$ier2 that there is or#er hi##e! be!eath the appare!t #isor#er, $o%er!e# by as yet
u!#iso%ere# la)s& beause they 'a!!ot belie%e that ;o# plays )ith #ie'( A!other
o!tro%ersy opposes the uphol#ers of the 'bi$"ba!$ theory'& aor#i!$ to )hih the u!i%erse
ori$i!ate# i! the e-plosio! of a si!$le& #e!sely pake# 'ass so'e thirty thousa!# 'illio!
years a$o a!# has bee! e-pa!#i!$ e%er si!e "" a!# the uphol#ers of the 'stea#y"state
theory'& aor#i!$ to )hih 'atter is o!ti!ually bri!$ reate# i! a stable os'os( I!
$e!etis& the !eo"<ar)i!ia! ortho#o-y 'ai!tai!s that e%olutio! is the result of ha!e
'utatio!s& a$ai!st the !eo"=a'arkia! heretis& )ho 'ai!tai! that e%olutio! is !ot a #ie"
$a'e either "" that so'e of the i'pro%e'e!ts #ue to a#apti%e effort a! be tra!s'itte# by
here#ity to suessi%e $e!eratio!s( I! !euro"physiolo$y& o!e shool 'ai!tai!s that there is
ri$i# loali+atio! of fu!tio!s i! the brai!& a!other& that the brai! )orks i! a 'ore fle-ible
'a!!er( I! 'athe'atis& 'i!tuitio!ists' are ali$!e# a$ai!st 'for'alists', i! the 'e#ial
professio!& opi!io!s are #i%i#e# re$ar#i!$ the psyholo$ial or so'atolo$ial ori$i! of a
$reat !u'ber of #iseases, therapeuti 'etho#s %ary aor#i!$ly& a!# eah shool is
sub#i%i#e# i!to fatio!s(
So'e of these o!tro%ersies )ere #ei#e# by u'ulati%e e%i#e!e i! fa%our of o!e of the
o'peti!$ theories( I! other ases the o!tra#itio! bet)ee! thesis a!# a!tithesis )as
resol%e# i! a sy!thesis of a hi$her or#er( *ut )hat )e all 'sie!tifi e%i#e!e' a! !e%er
o!fir' that a theory is true, it a! o!ly o!fir' that it is more true tha! a!other(
I ha%e repeate#ly e'phasi+e# this poi!t "" !ot i! or#er to ru! #o)! sie!e& but to ru!
#o)! the i'a$i!ary barrier )hih separates 'sie!e' fro' 'art' i! the o!te'porary 'i!#(
The 'ai! obstale )hih pre%e!ts us fro' seei!$ that the t)o #o'ai!s for' a si!$le
o!ti!uu' is the belief that the sie!tist& u!like the artist& is i! a positio! to attai! to
'ob.eti%e truth' by sub'itti!$ theories to e-peri'e!tal tests( I! fat& as I ha%e sai# before&
e-peri'e!tal e%i#e!e a! o!fir' ertai! e-petatio!s base# o! a theory& but it a!!ot
o!fir' the theory itself( The astro!o'ers of *abylo! )ere able to 'ake asto!ishi!$ly
preise pre#itio!s0 they alulate# the le!$th of the year )ith a #e%iatio! of o!ly C(CC4 per
e!t fro' the orret %alue, their fi$ures relati!$ to the 'otio!s of su! a!# 'oo!& )hih
for' a o!ti!uous reor# starti!$ )ith the rei$! of Nabo!asser O6O *(C(& )ere the
fou!#atio! o! )hih the Ptole'ai& a!# later the Coper!ia!& syste's )ere built( Theirs
)as ertai!ly a! e-at sie!e& a!# it ')orke#', but that #oes !ot pro%e the truth of their
theories& )hih asserte# that the pla!ets )ere $o#s )hose 'otio!s ha# a #iret i!flue!e o!
the health of 'e! a!# the fortu!es of states( Colu'bus put his theories to a rather
re'arkable e-peri'e!tal test, )hat #i# the e%i#e!e pro%eE He a!# his o!te'poraries
!a%i$ate# )ith the ai# of pla!etary tables& o'pute# by astro!o'ers )ho thou$ht the
pla!ets ra! o! irles& k!e) !othi!$ of $ra%ity a!# ellipti orbits& yet the theory )orke# ""
thou$h they ha# the )ro!$ i#ea why it )orke#( Ti'e a!# a$ai! !e) #ru$s a$ai!st %arious
#iseases )ere trie# i! hospital )ar#s& a!# i'pro%e'e!t i! the patie!ts' o!#itio! )as
o!si#ere# e-peri'e!tal e%i#e!e for the effiaity of the #ru$, u!til the use of #u''y
pills i!#iate# that other e-pla!atio!s )ere e/ually %ali#( Eyse!k has /uestio!e# the %alue
of psyhotherapy i! $e!eral& by su$$esti!$ that the statistial e%i#e!e for suessful ures
shoul# be rei!terprete# i! the li$ht of the orrespo!#i!$ !u'bers of spo!ta!eous reo%eries
of u!treate# patie!ts( His o!lusio!s 'ay be /uite )ro!$, but his 'etho# of ar$u'e!t has
'a!y ho!ourable pree#e!ts i! the history of sie!e( To /uote Pol\!yi0
For 'a!y prehistori e!turies the theories e'bo#ie# i! 'a$i a!# )ithraft appeare# to
be striki!$ly o!fir'e# by e%e!ts i! the eyes of those )ho behe%e# i! 'a$i a!#
)ithraft( ( ( ( The #estrutio! of belief i! )ithraft #uri!$ the si-tee!th a!# se%e!tee!th
e!turies )as ahie%e# i! the fae of a! o%er)hel'i!$& a!# still rapi#ly $ro)i!$ bo#y of
e%i#e!e for its reality( Those )ho #e!ie# that )ithes e-iste# #i# !ot atte'pt to e-plai!
this e%i#e!e at all& but suessfully ur$e# that it be #isre$ar#e#( ;la!%ill& )ho )as o!e of
the fou!#ers of the Royal Soiety& !ot u!reaso!ably #e!ou!e# this proposal as
u!sie!tifi& o! the $rou!# of the professe# e'piriis' of o!te'porary sie!e( So'e of
the u!e-plai!e# e%i#e!e for )ithraft )as i!#ee# burie# for $oo#& a!# o!ly stru$$le#
pai!fully to li$ht t)o e!turies later )he! it )as e%e!tually reo$!i+e# as the 'a!ifestatio!
of hyp!oti po)ers( 74@8
It is $e!erally thou$ht that physial theories are less a'bi$uous tha! 'e#ial a!#
psyholo$ial theories& a!# a! be o!fir'e# or refute# by har#er a!# lea!er e-peri'e!tal
tests( Speaki!$ i! relati%e ter's& this is& of ourse& true, physis is 'uh loser to the 'ultra"
%iolet' tha! to the 'i!fra"re#' e!# of the o!ti!uous spetru' of the sie!es a!# arts( *ut a
last e-a'ple )ill sho) o! )hat shaky 'e'pirial e%i#e!e' a $e!erally aepte# theory a!
rest, a!# i! this ase I a' talki!$ of the or!ersto!e of 'o#er! physis& Ei!stei!'s Theory
of Relati%ity(
Aor#i!$ to the story tol# i! the te-tbooks& the i!itial i'pulse )hih set Ei!stei!'s 'i!#
)orki!$ )as a fa'ous e-peri'e!t arrie# out by >ihelso! a!# >orley i! 4FFO( They
'easure# the spee# of li$ht a!# fou!#& so )e are tol#& that it )as the sa'e )hether the li$ht
tra%elle# i! the #iretio! of the earth or i! the opposite #iretio!, althou$h i! the first ase it
ou$ht to ha%e appeare# slo)er& i! the seo!# faster& beause i! the first ase the earth )as
'athi!$ up' )ith the li$ht"ray& i! the seo!# )as rai!$ a)ay fro' it( This u!e-pete#
result& so the story $oes& o!%i!e# Ei!stei! that it )as !o!se!se to talk of the earth 'o%i!$
throu$h spae )hih )as at rest& as a bo#y 'o%es throu$h a statio!ary li/ui# 1the ether2,
the o!sta!y of the spee# of li$ht pro%e# that Ne)to!'s o!ept of a! absolute fra'e of
spae& )hih allo)e# us to #isti!$uish bet)ee! ''otio!' a!# 'rest'& ha# to be #roppe#(
No) this offiial aou!t of the $e!esis of Relati%ity is !ot fat but fitio!( I! the first
plae& o! Ei!stei!'s o)! testi'o!y the >ihelso!">orley e-peri'e!t 'ha# !o role i! the
fou!#atio! of the theory'( That fou!#atio! )as lai# o! theoretial& i!#ee# speulati%e&
o!si#eratio!s( A!# i! the seo!# plae& the fa'ous e-peri'e!t #i# !ot i! fat o!fir'& but
o!tra#ite# Ei!stei!'s theory( The spee# of li$ht )as !ot at all the sa'e i! all #iretio!s(
=i$ht"si$!als se!t 'ahea#' alo!$ the earth's orbit tra%elle# slo)er tha! si$!als 'left behi!#'( It
is true that the #iffere!e a'ou!te# to o!ly about o!e"fourth of the 'a$!itu#e to be
e-pete# o! the assu'ptio! that the earth )as #rifti!$"throu$h a statio!ary ether( *ut the
'ether"#rift' still a'ou!te# to the respetable %eloity of about fi%e 'iles per seo!#( The
sa'e results )ere obtai!e# by <( C( >iller a!# his ollaborators& )ho repeate# the
>ihelso!">orley e-peri'e!ts& )ith 'ore preise i!stru'e!ts& i! a series of e-peri'e!ts
e-te!#i!$ o%er t)e!ty"fi%e years 145C9 to 459@2( The rest of the story is best tol# by
/uoti!$ Pol\!yi a$ai!0
The lay'a!& tau$ht to re%ere sie!tists for their absolute respet for the obser%e# fats& a!#
for the .u#iiously #etahe# a!# purely pro%isio!al 'a!!er i! )hih they hol# sie!tifi
theories 1al)ays rea#y to aba!#o! a theory at the si$ht of a!y o!tra#itory e%i#e!e2
'i$ht )ell ha%e thou$ht that& at >iller's a!!ou!e'e!t of this o%er)hel'i!$ e%i#e!e of a
'positi%e effet' i! his presi#e!tial a##ress to the A'eria! Physial Soiety o! <ee'ber
95th& 459I& his au#ie!e )oul# ha%e i!sta!tly aba!#o!e# the theory of relati%ity( Or& at the
%ery least& that sie!tists "" )o!t to look #o)! fro' the pi!!ale of their i!telletual
hu'ility upo! the rest of #o$'ati 'a!ki!# "" 'i$ht suspe!# .u#$e'e!t i! this 'atter u!til
>iller's results oul# be aou!te# for )ithout i'pairi!$ the theory of relati%ity( *ut !o0 by
that ti'e they ha# so )ell lose# their 'i!#s to a!y su$$estio! )hih threate!e# the !e)
ratio!ality ahie%e# by Ei!stei!'s )orl#"piture& that it )as al'ost i'possible for the' to
thi!k a$ai! i! #iffere!t ter's( =ittle atte!tio! )as pai# to the e-peri'e!ts& the e%i#e!e
bei!$ set asi#e i! the hope that it )oul# o!e #ay tur! out to be )ro!$( 74O8
So it 'ay( Or it 'ay !ot( >iller #e%ote# his life to #ispro%i!$ Relati%ity "" a!# on face
value& so far as e-peri'e!tal #ata are o!er!e#& he suee#e#(D A )hole $e!eratio! later&
:( Ka!tor of the U(S( Na%y Eletro!is =aboratory repeate# o!e 'ore the 'ruial
e-peri'e!t'( A$ai! his i!stru'e!ts )ere far 'ore aurate tha! >iller's& a!# a$ai! they
see'e# to o!fir' that the spee# of li$ht )as !ot i!#epe!#e!t fro' the 'otio! of the
obser%er "" as Ei!stei!'s theory #e'a!#s( A!# yet the %ast 'a.ority of physiists are
o!%i!e# "" a!# I thi!k ri$htly so "" that Ei!stei!'s u!i%erse is superior to Ne)to!'s( Partly
this trust is base# o! e%i#e!e less o!tro%ersial tha! the 'ruial' e-peri'e!ts that I ha%e
'e!tio!e#, but 'ai!ly o! the i!tuiti%e feeli!$ that the )hole piture 'looks ri$ht'& re$ar#less
of so'e u$ly spots that )ill& )ith ;o#'s help& %a!ish so'e #ay( O!e of the 'ost pro'i!e!t
a'o!$ the'& >a- *or!& )ho i!li!es to a positi%isti philosophy& betraye# his true
feeli!$s& )he! he haile# the a#%e!t of Relati%ity beause it 'a#e the u!i%erse of sie!e
''ore beautiful a!# $ra!#er'(
Paul <ira& u!#oubte#ly the $reatest li%i!$ *ritish physiist& )as e%e! 'ore outspoke! o!
the sub.et( He a!# 'y late frie!# Er)i! Shr[#i!$er share# the Nobel Pri+e i! 45AA as
fou!#i!$ fathers of /ua!tu' 'eha!is( I! a! artile 74Oa8 o! the #e%elop'e!t of 'o#er!
physis& <ira relate# ho) Shr[#i!$er #iso%ere# his fa'ous )a%e e/uatio! of the
eletro!( 'Shr[#i!$er $ot his e/uatio! by pure thou$ht& looki!$ for so'e beautiful
$e!erali+atio! ( ( ( a!# !ot by keepi!$ lose to the e-peri'e!tal #e%elop'e!ts of the
sub.et'& <ira re'arks appro%i!$ly( He the! o!ti!ues to #esribe ho) Shr[#i!$er& )he!
he trie# to apply his e/uatio!& '$ot results that #i# !ot a$ree )ith e-peri'e!t( The
#isa$ree'e!t arose beause at that ti'e it )as !ot k!o)! that the eletro! has a spi!(' This
)as a $reat #isappoi!t'e!t to Shr[#i!$er& a!# i!#ue# hi' to publish& i!stea# of his
ori$i!al for'ula& a! i'perfet 1!o!"relati%isti2 appro-i'atio!( O!ly later o!& by taki!$ the
eletro!'s spi! i!to aou!t& #i# he re%ert to his ori$i!al e/uatio!( <ira o!lu#es0
I thi!k there is a 'oral to this story& !a'ely that it is 'ore i'porta!t to ha%e beauty i!
o!e's e/uatio!s tha! to ha%e the' fit e-peri'e!t( If Shr[#i!$er ha# bee! 'ore o!fi#e!t
of his )ork& he oul# ha%e publishe# it so'e 'o!ths earlier& a!# he oul# ha%e publishe# a
'ore aurate e/uatio! ( ( ( It see's that if o!e is )orki!$ fro' the poi!t of %ie) of $etti!$
beauty i! o!e's e/uatio!s& a!# if o!e has really a sou!# i!si$ht& o!e is o! a sure li!e of
pro$ress( If there is !ot o'plete a$ree'e!t bet)ee! the results of o!e's )ork a!#
e-peri'e!t& o!e shoul# !ot allo) o!eself to be too #isoura$e#& beause the #isrepa!y
'ay )ell be #ue to 'i!or features that are !ot properly take! i!to aou!t a!# that )ill $et
leare# up )ith further #e%elop'e!ts of the theory ( ( (
I! other )or#s& a physiist shoul# !ot allo) his sub.eti%e o!%itio! that he is o! the ri$ht
trak to be shake! by o!trary e-peri'e!tal #ata( A!# %ie %ersa& its appare!t o!fir'atio!
by e-peri'e!tal #ata #oes !ot !eessarily pro%e a theory to be ri$ht( There is a rather
hi#eous trik use# i! 'o#er! /ua!tu' 'eha!is alle# the 're!or'ali+atio! 'etho#'(
<ira's o''e!t o! it is0
I a' i!li!e# to suspet that the re!or'ali+atio! theory is so'ethi!$ that )ill !ot sur%i%e
i! the future& a!# that the re'arkable a$ree'e!t bet)ee! its results a!# e-peri'e!t shoul#
be looke# o! as a fluke ( ( (
I thi!k I ha%e sai# e!ou$h to sho) that 'sie!tifi e%i#e!e' is a rather elasti ter'& a!# that
'%erifiatio!' is al)ays a relati%e affair( The riteria of truth #iffer fro' the riteria of beauty
i! that the for'er refer to o$!iti%e& the latter to e'oti%e proesses, but !either of the' are
absolute( 'The e%i#e!e pro%es' is a state'e!t )hih is suppose# to o!fer o! sie!e a
pri%ile$e# i!ti'ay )ith truth )hih a! a! !e%er hope to attai!( *ut 'the e%i#e!e pro%es'
that the state'e!t i! /uotes is al)ays base# o! a! at of faith( To /uote K( R( Popper0
The ol# sie!tifi i#eal of epist_'_ "" of absolutely ertai!& #e'o!strable k!o)le#$e "" has
pro%e# to be a! i#ol( The #e'a!# for sie!tifi ob.eti%ity 'akes it i!e%itable that e%ery
sie!tifi state'e!t 'ust re'ai! te!tati%e for e%er( It 'ay i!#ee# be orroborate#& but e%ery
orroboratio! is relati%e to other state'e!ts )hih& a$ai!& are te!tati%e( O!ly i! our
sub.eti%e e-perie!es of o!%itio!& i! our sub.eti%e faith& a! )e be 'absolutely ertai!'(
74F8
Fashio!s i! Sie!e
Co!tro%ersy is the yeast )hih keeps sie!e i! li%ely fer'e!tatio!( *ut its pro$ress is also
beset )ith pseu#o"o!tro%ersies )hih appear to reflet #iffere!es of opi!io!& )hereas i!
reality they o!ly reflet #iffere!es of e'phasis o! si!$le aspets of a o'ple- proess at
the e-pe!se of others( Nature a!# !urture are e%i#e!tly o'ple'e!tary fators i! shapi!$
a! i!#i%i#ual's appeara!e a!# harater, yet a )hole library oul# be fille# )ith the
#isputes bet)ee! propo!e!ts of 'here#ity is all' a!# 'e!%iro!'e!t is all'( Jua!titati%e
'easure'e!ts )ere %irtually i$!ore# i! pre"Ne)to!ia! physis, to#ay e%e! psyholo$y is
obsesse# )ith /ua!tity& a!# presu'es to 'easure hu'a! 'i!#s by I(J( rati!$s a!#
harater"para'eters( Ofte! a bra!h of sie!e assu'es a '!e) look' beause its pu!#its
ha%e put o!& !ot a !e) type of thi!ki!$ ap but a fashio!able hat( :e fi!# i! the history of
sie!e as 'a!y fashio!s& ra+es& a!# 'shools' as i! the history of literature or i!terior
#eoratio!( The Io!ia!s lo%e# #isussi!$ )hether the basi stuff of the u!i%erse )as )ater&
air& or fire, the alhe'ists )ere hyp!oti+e# by the properties of sulphur& salt& a!# 'erury,
the i!%e!tio! of the =ey#e! .ar thre) sie!tists all o%er the )orl# i!to suh e-ite'e!t that
to #ie by eletri stroke appeare# a! e!%iable fate( I! 'e#ii!e& fa#s& fashio!s& a!# fa!ies
hase o!e a!other tirelessly& fro' the barber's horror"shop to the sere!e ita#els i! Harley
Street( They ha%e al)ays bee! a! easy tar$et for satire, the #iffiulty i! this #isturbe#
bor#er"pro%i!e is to #isti!$uish bet)ee! the /uak )ho o!siously #elu#es the patie!t&
a!# the si!ere fa!ati )ho #elu#es hi'self i!to belie%i!$ that o!e partiular aspet& or$a!&
or fu!tio! represe!ts the )hole& a!# that a partial re'e#y is a! all"ure(
A 'ore positi%e aspet of the ha!$es of fashio! is that its pe!#ular 'otio!s fro' o!e
e-tre'e to a!other oasio!ally result i! establishi!$ a 'ore bala!e# %ie)( O!e of the
re'arkable ahie%e'e!ts of Pasteur )as that& ha%i!$ establishe# a$ai!st o!si#erable
oppositio! the $er'"theory of #isease a!# 'a#e the 'e#ial professio! ''irobe"
o!sious'& he ha!$e# the e'phasis i! his )riti!$s fro' 'fi$ure' to 'bak$rou!#'& fro' the
'irobe itself to the e!%iro!'e!t i! )hih the 'irobe operates( As <ubos puts it0
Far fro' bei!$ hyp!oti+e# )ith the i#ea that 'iro"or$a!is's are the o!ly fators of
i'porta!e i! 'e#ii!e& Pasteur k!e) that 'e! as )ell as a!i'als& i! health or i! #isease&
'ust al)ays be o!si#ere# as a )hole a!# i! relatio! to their e!%iro!'e!t( ( ( ( I! all his
publiatio!s ( ( ( he repeate#ly state# the thesis "" al'ost as a! obsessio! "" that the
ati%ities of 'iro"or$a!is's a! be o!trolle#& !ot o!ly by ati!$ o! the' #iretly& but
also by 'o#ifyi!$ the e!%iro!'e!t i! )hih they operate( 7458
'E!%iro!'e!t' to Pasteur 'ea!t the )hole ra!$e of o!#itio!s fro' proper sa!itatio!&
throu$h asepti sur$ery& to the patie!t's bo#ily a!# 'e!tal state( >uh of this has beo'e a
fashio!able truis' to#ay& but it )as !ot i! the #ays of 3itoria! 'e#ii!e, a!# e%e! to#ay
the lesso! has !ot su!k i! suffiie!tly& other)ise the 'ass"pro#utio! of 'super"hy$ie!i'
foo# i! sterili+e# )rappi!$s )oul# be reo$!i+e# as #etri'e!tal to 'a!'s i!ter!al
e!%iro!'e!t "" by #epri%i!$ it of the i''u!i+i!$ effet of i!$esti!$ a healthy a'ou!t of
'uk a!# bu$s(
I ha%e talke# 'ore about physis tha! the other sie!es& beause it is re$ar#e# "" both by
its pratitio!ers a!# the a)e"strike! lay publi& as the para$o! of ob.eti%ity( I! the
sie!es of life the sub.eti%e& a!# i!#ee# e'oti%e fator& is of ourse 'uh 'ore i!
e%i#e!e( :he! it o'es to psyholo$y& fashio! see's to be al'ost the #o'i!a!t fator
)hih #eter'i!es i!to )hih ha!!els the researh efforts of thousa!#s of hopeful
$ra#uates i! the u!i%ersities of the )orl# )ill be #irete#( It see's #oubtful )hether the
#otri!es of the hostile shools of a!alytial psyhotherapy #iffer as fu!#a'e!tally as their
pratitio!ers belie%e& or 'ai!ly by ae!t a!# e'phasis, a!# it is beo'i!$ i!reasi!$ly
ob%ious that the therapist's perso!ality is a 'ore #eisi%e fator tha! the shool to )hih he
belo!$s( *ut e%e! o! the appare!tly fir'er $rou!# of E-peri'e!tal Psyholo$y a!#
=ear!i!$ Theory& the history of the last fifty years sho)s a be)il#eri!$ suessio! of
ha!$i!$ fashio!s i! e-peri'e!tal #esi$!& teh!ial .ar$o!& a!# fiel# of i!terest( E!$lish
assoia!is', the :Sr+bur$ shool )ith its e'phasis o! i!trospetio!, :atso!ia!
*eha%iouris' )hih #elare# i!trospetio! a heresy, ;estalt"theory stressi!$ holis' a!#
i!si$ht, Neo"*eha%iouris' i! its 'ore sophistiate# $uise "" !o!e of the' a! lai' to
represe!t a o'prehe!si%e theory of the phe!o'e!o! >a! "" or the phe!o'e!o! Rat& Cat&
Ape& for that 'atter( Rather it looks as if eah shool ha# fousse# its $a+e& or olleti%e
s/ui!t& o! a si!$le aspet or slie of hu'a! !ature& #esi$!e# its e-peri'e!ts a!# for'ulate#
its /uestio!s i! suh a )ay that other aspets !e%er ha# a ha!e to e!ter the piture( If o!e
$oes o! so)i!$ abba$e see#s& o!e a!!ot e-pet the' to $ro) i!to 'i'osas "" but that
har#ly $i%es o!e a ri$ht to #e!ou!e belief i! the e-iste!e of 'i'osas as a superstitio!,
a!# if o!e puts a reature i!to a Ski!!er *o-& it )ill beha%e as o!e e-pets a reature i! a
Ski!!er *o- to beha%e "" )ith ertai! /ua!titati%e %ariatio!s )hih are $ratifyi!$ly
'easurable& but still refer to beha%iour i! a Ski!!er *o-(
*ou!#aries of Sie!e
I ha%e e'phasi+e#& at the risk of repetiti%e!ess& the irratio!al fators i! sie!tifi thou$ht&
first i! their positi%e aspet0 the i!tuiti%e leap& the reculer pour mieux sauter& the! i! their
!e$ati%e aspets0 s!o)bli!#!ess& lose# syste's& faulty i!te$ratio!s(
These features are reflete#& o! a 'a$!ifie# sale& i! the e%olutio! of e%ery sie!e as a
orporate bo#y( Their histories refute the !ai%e belief that pro$ress i! sie!e is a! or#erly&
ratio!al affair& represe!te# by a o!ti!uous ur%e )hih approahes the ulti'ate truth by
e%er loser appro-i'atio!s, or "" as )e are ofte! tol# "" that our )is#o' i!reases i! a
u'ulati%e 'a!!er& like the stea#y rise of the )ater"le%el i! a reser%oir(
I! reality pro$ress is !either o!ti!uous !or u'ulati%e i! the strit se!se( If it )ere
o!ti!uous& there )oul# be !o 're%olutio!ary' #iso%eries& !o #isar#i!$ of #isre#ite#
theories a!# su##e! ha!$es of #iretio! "" a o!ti!uous ur%e has !o abrupt brakes& it is
!ot a +i$"+a$ li!e(
Nor is pro$ress u'ulati%e i! a si'ple a!# #iret )ay( The )alls of the reser%oir "" the
fra'e of refere!e i!to )hih !e) #ata are poure# "" are perio#ially ha!$i!$ their shape0
!arro)i!$& e-pa!#i!$& ur%i!$ this )ay or that, pipes are built to o!!et )ith other
reser%oirs of k!o)le#$e& )hile rusty o!!etio!s are seale# off( >oreo%er& the reser%oir is
leaky a!# )asteful0 $allo!s of k!o)le#$e are for$otte!& #iso%eries 'stillbor! or s'othere#
at birth'(D
It is also asserte# that sie!e 'o%es i! pro$ressi%ely loser appro-i'atio!s to truth& like a
ur%e approahi!$ its asy'ptote& e%e! thou$h it )ill reah it o!ly i! i!fi!ity( *ut this
state'e!t is rather a'bi$uous a!# lea#s to the fre/ue!t o!fusio! bet)ee! pro$ress i!
e-atitu#e of obser%atio!s a!# 'easure'e!ts& )ith pro$ress i! the e-pla!atory po)er of
theories "" )hih is a! alto$ether #iffere!t affair( Tyho #e *rahe's obser%atio!s of the
'otio!s of the pla!ets represe!t a #efi!ite a#%a!e i! so far as preisio! is o!er!e#( Bet
his theory of the solar syste' )as !ot a! a#%a!e& but a retreat fro' Coperuius( Ei!stei!'s
for'ula of $ra%ity looks like a s'all a#.ust'e!t to Ne)to!'s appro-i'atio!& but it i'plies a
ra#ially #iffere!t o!eptio! of the u!i%erse(
The bubble ha'ber is a ki!# of a/uariu' )i!#o) i!to the subato'i )orl#( It pro%i#es
us )ith photo$raphs of the o!#e!satio! trails& like .et trails i! the sky& of )hat )e take to
be the ele'e!tary partiles of 'atter0 eletro!s& !eutro!s& 'eso!s& 'uo!s& et(& of so'e
forty #iffere!t %arieties( *ut the partiles the'sel%es a! of ourse !e%er be see!& their
i!ferre# lifespa! ofte! a'ou!ts to !o 'ore tha! a 'illio!th of a 'illio!th seo!#& they
easelessly tra!sfor' the'sel%es i!to #iffere!t ki!#s of partiles& a!# the physiists ask us
to re!ou!e thi!ki!$ of the' i! ter's of i#e!tity& ausality& ta!$ibility& or shape "" i! a
)or#& to re!ou!e thi!ki!$ i! i!telli$ible ter's& a!# to o!fi!e it to 'athe'atial sy'bols(
The rapi#& o!ti!uous i!rease i! the preisio! a!# po)er of our 'etho#s for e-plori!$ a!#
e-ploiti!$ !ature is so i'pressi%e that )e are apt to for$et the #iso!ti!uity a!# perio#i
uphea%als i! the for'atio! of e-pla!atory theories(
No #oubt the 'o#er! sie!tist k!o)s 'ore tha! Arhi'e#es, a!# !o #oubt the 'o#er!
!o%elist has a )i#er ra!$e of e-perie!e tha! Ho'er& a!# 'ore preise tools to a!alyse
hu'a! thou$hts a!# e'otio!s( *ut !either of the' arri%e# at their prese!t statio! by the
shortest )ay, a!# thou$h both of the' ha%e sol%e# 'a!y ri##les a!# attai!e# to i'porta!t
part"truths& !either of the' is sure )hether the prese!t #iretio! of his +i$"+a$ ourse lea#s
hi' to)ar#s a 'loser appro-i'atio!'( Nor is the sie!tist i! a 'uh better positio! to
asertai! the orret!ess of his ourse( He& too& 'ust ulti'ately rely o! his i!tuitio!s& a!#
the i!terpretatio! )hih he puts o! his bu!#le of #ata )ill re'ai! ope! to o!tro%ersy(
I! the sy'boli year 4F55 the fore'ost ;er'a! biolo$ist Er!st Haekel publishe# a best"
selli!$ book *he !iddles of the #niverse & )hih bea'e the bible of 'y youth( Haekel
)as the first propa$a!#ist of <ar)i! i! ;er'a!y& a!# the first to #ra) up a $e!eolo$ial
tree of the %arious or#ers of a!i'als( =ike Spe!er a!# Hu-ley i! E!$la!#& he )as a typial
represe!tati%e of the buoya!t a!# arro$a!t opti'is' of the !i!etee!th e!tury( His book
e!u'erate# se%e! ;reat Ri##les of the U!i%erse& of )hih si- )ere '#efi!itely sol%e#' ""
i!lu#i!$ the Struture of >atter a!# the Ori$i! of =ife, the se%e!th )as 'a!'s e-perie!e
of free#o' of hoie( Ho)e%er& this )as !ot really a ri##le but 'a pure #o$'a& base# o! a!
illusio! a!# ha%i!$ !o real e-iste!e' "" so there )ere !o 'ore ri##les left( Sie!e )as
'#i++y )ith suess' "" as Stali! has sai# i! a fa'ous speeh alebrati!$ the triu'phs of
rural olleti%i+atio! o! the e%e of the $reat fa'i!e of 45A9(
Other a$es ha%e bee! si'ilarly #i++y )ith suess& o!%i!e# that they stoo# o! the
#oorstep of the Te'ple of Truth( The Pytha$orea!s belie%e# it& before they stu'ble# i!to
the 'U!speakable Nu'bers' a!# the Te'ple %a!ishe# i! the 'ist( A$ai!& i! the se%e!tee!th
e!tury& i!to-iate# by the %ista )hih the sie!tifi Re%olutio! ha# ope!e# up& 'ost of its
pio!eers thou$ht that it )oul# take o!ly o!e or possibly t)o $e!eratio!s u!til they )reste#
its last seret fro' !ature( ';i%e 'e 'atter a!# 'otio!& a!# I )ill o!strut the )orl#'&
)rote <esartes( 'The partiular phe!o'e!a of the arts a!# sie!es are really but a
ha!#ful&' )rote Fra!is *ao!& 'the i!%e!tio! of all auses a!# all sie!es )oul# be a
labour of but a fe) years('
:ithi! a $e!eratio! after Haekel ha# prolai'e# that the Ri##les of the U!i%erse ha#
bee! sol%e#& !early all the solutio!s tur!e# out to be spurious( I! 459I :hitehea# )rote
that the physial theory of 'atter '$ot i!to a state )hih is stro!$ly su$$esti%e of the
epiyles of astro!o'y before Coper!ius', i! the lifeti'e of the !e-t $e!eratio! it bea'e
a )elter of para#o-a& o'pare# to )hih the u!i%erse of rotati!$ rystal spheres ha# bee! a
'o#el of sa!ity(
I ha%e )ritte! else)here about the $reat %a!ishi!$ at )hih ao'pa!ie# the proess of
u!ifiatio! i! sie!e( It starte# )he! ;alileo #isar#e# olour& sou!#& s'ell& a!# taste as
illusio!s of the se!ses )hih oul# all be re#ue# to the 'pri'ary /ualities' of physis& to
'atter a!# 'otio!( *ut o!e after a!other these 'ulti'ate a!# irre#uible' e!tities %a!ishe# to
the tu!e of the 'Te! =ittle Ni$$er *oys'( First the i!#i%isible ato' )e!t up i! fire)orks&
the! the ato'i !uleus& the! the 'ele'e!tary partiles' i! the !uleus, 'atter e%aporate# i!
the physiists' ha!#s& a!# its ulti'ate o!stitue!ts .oi!e# eletriity& 'a$!etis'& a!# $ra%ity
as 'a!ifestatio!s of e-ite# states of 'fiel#s' )hih oul# be #esribe# o!ly i! 'athe'atial
ter's( Theoretial physis is !o lo!$er o!er!e# )ith thi!$s& but )ith the 'athe'atial
relatio!s bet)ee! abstratio!s )hih are the resi#ue of the %a!ishe# thi!$s( To /uote
Russell0 'Physis is 'athe'atial !ot beause )e k!o) so 'uh about the physial )orl#&
but beause )e k!o) so little, it is o!ly its 'athe'atial properties that )e a! #iso%er('
For three e!turies the re#utio! of /ualifies to /ua!tities has bee! spetaularly
suessful& a!# it )as reaso!able to hope that )ithi! a $e!eratio! or t)o the supre'e
sy!thesis )hih )oul# e!able us to re#ue all phe!o'e!a i! the physial )orl# to a fe)
basi 'athe'atial for'ulae "" so'ethi!$ of the !ature of the U!ifie# Fiel# Theory o!
)hih Ei!stei! )orke#& u!suessfully& throu$hout the seo!# half of his life( It is still !ot
u!likely that this hope )as )ell fou!#e#& that i! the foreseeable future subato'i physis
)ill strike rok botto' as it )ere& a!# obtai! the a!s)ers to the /uestio!s it has aske#( *ut
it is beo'i!$ i!reasi!$ly e%i#e!t that both the /uestio!s a!# the a!s)ers of o!te'porary
physis are ouhe# i! a! elusi%e sy'bol"la!$ua$e )hih has o!ly a %ery i!#iret beari!$
o! reality& a!# has little to offer to satisfy 'a!'s ra%i!$ for $li'pses of the ulti'ate truth(
E##i!$to! reali+e# lo!$ a$o that these sy'bols 'ha%e as 'uh rese'bla!e to the real
/ualities of the 'aterial )orl# ( ( ( as a telepho!e !u'ber has to a subsriber'( A!# t)o
e!turies before hi'& i! the .ubila!t #ays )hih follo)e# the u!%eili!$ of Ne)to!'s
u!i%erse& S)ift& the passio!ate septi& ha# this propheti i!tuitio!0
He sai#& that !e) Syste's of Nature )ere but !e) Fashio!s& )hih )oul# %ary i! e%ery
A$e, a!# e%e! those )ho prete!# to #e'o!strate the' fro' >athe'atial Pri!iples&
)oul# flourish but a short Perio# of Ti'e& a!# be out of 3o$ue )he! that )as #eter'i!e#(
79C8
Perhaps that saturatio! poi!t is !ot far a)ay& a!# perhaps sie!e )ill the! start aski!$ a
!e) type of /uestio!( O!e bra!h after a!other of he'istry& physis& a!# os'olo$y has
'er$e# i! the 'a.esti ri%er as it approahes the estuary "" to be s)allo)e# up by the
oea!& lose its i#e!tity& a!# e%aporate i!to the lou#s, the fi!al at of the $reat %a!ishi!$
proess& a!# the be$i!!i!$& o!e hopes& of a !e) yle( It has bee! sai# that )e k!o) 'ore
a!# 'ore about less a!# less( It see's that the 'ore u!i%ersal the 'la)s' )hih )e #iso%er&
the 'ore elusi%e they beo'e& a!# that the ulti'ate o!su''atio! of all ri%ers of
k!o)le#$e is i! the lou# of u!k!o)i!$(
Thus& o!trary to appeara!es a!# beliefs& sie!e& like poetry or arhiteture or pai!ti!$&
has its $e!res& ''o%e'e!ts'& shools& theories )hih it pursues )ith i!reasi!$ perfetio!
u!til the le%el of saturatio! is reahe# )here all is #o!e a!# sai# "" a!# the! e'barks o! a
!e) approah& base# o! a #iffere!t type of uriosity& a #iffere!t sale of %alues( Not o!ly
Ne)to!& but =eo!ar#o& >o+art& a!# Flaubert sa) further beause they too stoo# o! the
shoul#ers of $ia!ts, a!# Ei!stei!'s spae is !o loser to reality tha! 3a! ;o$h's sky( The
$lory of sie!e is !ot i! a truth ''ore absolute' tha! the truth of *ah or Tolstoy& but i! the
at of reatio! itself( The sie!tist's #iso%eries i'pose his o)! or#er o! haos& as the
o'poser or pai!ter i'poses his, a! or#er that al)ays refers to li'ite# aspets of reality&
a!# is biasse# by the obser%er's fra'e of refere!e& )hih #iffers fro' perio# to perio#& as a
Re'bra!#t !u#e #iffers fro' a !u#e by >a!et(
Su''ary
The history of sie!e sho)s reurre!t yles of #iffere!tiatio! a!# speiali+atio! follo)e#
by rei!te$ratio!s o! a hi$her le%el, fro' u!ity to %ariety to 'ore $e!erali+e# patter!s of
u!ity"i!"%ariety( The proess also has ertai! a!alo$ies )ith biolo$ial e%olutio! "" suh as
)asteful!ess& su##e! 'utatio!s& the stru$$le for sur%i%al bet)ee! o'peti!$ theories(
The %arious phases i! the histori yle orrespo!# to the harateristi sta$es of
i!#i%i#ual #iso%ery0 the perio#s of reati%e a!arhy to the perio# of i!ubatio!, the
e'er$e!e of the !e) sy!thesis to the bisoiati%e at( It 'ay e'er$e su##e!ly& sparke# off
by a si!$le i!#i%i#ual #iso%ery, or $ra#ually& as i! the history of eletro"'a$!etis'& )here
a series of i!#i%i#ual #iso%eries ate# as 'li!ks'( Eah re%olutio!ary histori a#%a!e has a
o!struti%e a!# a #estruti%e aspet0 the tha) of ortho#o- #otri!es a!# the resulti!$
fertile haos orrespo!# to the re$ressi%e phase of the i!#i%i#ual reuler"pour"'ieu-"sauter
phe!o'e!o!( =astly& the proess of %erifiatio! a!# elaboratio! of i!#i%i#ual #iso%eries is
reflete# o! the 'ap of history as the o!soli#atio! of the !e) fro!tier "" follo)e# by the
#e%elop'e!t of a !e) ortho#o-y& a har#e!i!$ of the olleti%e 'atri- "" u!til it $ets
bloke# a!# the yle starts a$ai!(
The #eisi%e phase i! the histori yle& the #a)! of the !e) sy!thesis& appears as the
o!flue!e of pre%iously separate bra!hes of sie!e& or a ross"fertili+atio! bet)ee!
#iffere!t 'e!tal #isipli!es or e-peri'e!tal teh!i/ues( The olletio! of !e) e'pirial
#ata is of esse!tial i'porta!e& but both the olletio! a!# i!terpretatio! of the #ata are
seleti%e proesses $ui#e# by theoretial o!si#eratio!s( The history of e%ery sie!e
pro%es that obser%atio!s a!# e-peri'e!ts )hih pri'a faie see' to o!tra#it a theory #o
!ot !eessarily lea# to its aba!#o!'e!t, a!# %ie %ersa& suessful theories 1suh as the
helioe!tri syste' or Speial Relati%ity2 ha%e bee! built o! #ata )hih ha# bee! a%ailable
for a lo!$ ti'e& by rearra!$i!$ the 'osai of har# fats i!to a #iffere!t patter!(
'S!o)bli!#!ess'& faulty i!te$ratio!s& a!# other for's of the i!#i%i#ual patholo$y of
thou$ht& are reflete# o! a %astly 'a$!ifie# sale i! the history of sie!e, a!# the po)er of
habit o%er the i!#i%i#ual 'i!# is reflete# i! the o!ser%atis' of sie!tifi bo#ies a!#
shools "" )hih has i'pe#e# pro$ress for perio#s ra!$i!$ fro' years to e!turies(
Thus the pro$ress of sie!e is !either o!ti!uous& !or u'ulati%e i! the strit se!se( Its
#iso%eries are ofte! for$otte! or i$!ore#& a!# re#iso%ere# later o!( Its history ehoes )ith
o!tro%ersies )hih pro%e that the sa'e bu!#le of 'ob.eti%e #ata' a!# e%e! the sa'e
'ruial e-peri'e!t' a! be i!terprete# i! 'ore tha! o!e )ay( No e-peri'e!tal test a!
pro%i#e the sie!tist )ith absolute ertai!ty, a!# the #iffere!e i! the '%erifiability' bet)ee!
%arious types of sie!tifi a!# artisti state'e!ts is a 'atter of #e$ree 1see also belo)&
Chap( H3II2( So'e sie!tifi o!tro%ersies are #ei#e# by u'ulati%e )ei$ht of e%i#e!e,
others are resol%e# by a sy!thesis e'brai!$ both o'peti!$ theories, but still others are
pseu#o"o!tro%ersies refleti!$ #iffere!es i! e'phasis a!# fashio!s of thou$ht "" a!# the
latter are ofte! as sub.eti%e a!# e'otio!al as fashio!s i! art(

=astly& a #isti!tio! shoul# be 'a#e bet)ee! pro$ress i! the preisio! of sie!tifi
state'e!ts a!# their e-pla!atory po)er( The latter #epe!#s o! the type of /uestio! the
state'e!t is 'ea!t to a!s)er, a!# history sho)s that the /uestio!s ha!$e )ith the
ha!$i!$ %alues i! #iffere!t perio#s a!# ultures(


NOTES

To p( 99F( See Appe!#i- I(

To p( 9AC( *ro!o)ski 145@42& p(9O( Cf( also0 'The 'ost fortu!ate 'o'e!ts i! the history of
k!o)le#$e our )he! fats )hih ha%e bee! as yet !o 'ore tha! speial #ata are su##e!ly
referre# to other appare!tly #ista!t fats& a!# thus appear i! a !e) li$ht' 1:olf$a!$ K[hler&
456C& p(F52(

To p( 9A6( The Fre!h theoretial astro!o'er& =e%errier& ha# pre#ite# the e-iste!e of a!
ei$hth pla!et fro' #isturba!es i! the 'otio! of the se%e!th pla!et& Ura!us( The pla!et )as
#iso%ere# by the ;er'a! astro!o'er ;alle o! 96 Septe'ber 4F6@(

To p( 966( I! his Presi#e!tial A##ress to Setio! 4 of the *ritish Assoiatio!& Ca'bri#$e&
45AF& C( ;( <ar)i! sai# of <( C( >iller's e-peri'e!ts0 ':e a!!ot see a!y reaso! to thi!k
that this )ork )oul# be i!ferior to >ihelso!'s )ork& as he ha# at his #isposal !ot o!ly all
the e-perie!e of >ihelso!'s )ork& but also the %ery $reat teh!ial #e%elop'e!t of the
i!ter%e!i!$ perio#& but i! fat he faile# to %erify the e-at %a!ishi!$ of the aether #rift(
:hat happe!e#E Nobo#y #oubte# relati%ity( There 'ust therefore be so'e u!k!o)! soure
of error )hih ha# upset >iller's )ork('

To p( 965( It took t)o thousa!# years u!til Arhi'e#es a!# Euli# )ere re#iso%ere#( It
took four hu!#re# years u!til the Oa'ites' )ork o! i'petus )as appreiate#( I! the
heti !i!etee!th e!tury& it took thirty"fi%e years u!til the si$!ifia!e of >e!#el's )ork
)as reo$!i+e#( I! 4F6I ?( ?( :atersto! )rote a paper o! the 'oleular theory of $ases )hG
h partly a!tiipate# >a-)ell0 'The referee of the Royal soiety to )ho' the paper )as
sub'itte# sai#0 NThe paper is !othi!$ but !o!se!se&N a!# the )ork lay i! utter obli%io! u!til
e-hu'e# forty"fi%e years later( :atersto! li%e# o!& #isappoi!te# a!# obsure for 'a!y
years a!# the! 'ysteriously #isappeare# lea%i!$ !o si$!( As Trotter re'arks& this story
'ust strike a hill upo! a!yo!e i'patie!t for the a#%a!e'e!t of k!o)le#$e( >a!y
#iso%eries 'ust ha%e thus bee! stillbor! or s'othere# at birth( :e k!o) o!ly those that
sur%i%e#' 1*e%eri#$e& op( it(& p( 4CF2(

There 'ay be thousa!#s of rele%a!t bits of i!for'atio! lyi!$ #or'a!t i! hu!#re#s of
teh!ial .our!als o! #usty library shel%es )hih& if re'e'bere#& )oul# at as Ope!
Sesa'es(




HI
SCIENCE AN< E>OTION
Three Charater"Types
=et 'e re%ert for a 'o'e!t to our starti!$ poi!t& the triptyh of reati%e ati%ities(
I! folklore a!# popular literature the Artist is tra#itio!ally represe!te# as a! i!spire#
#rea'er "" a solitary fi$ure& ee!tri& i'pratial& u!selfish& a!# /ui-oti(
His opposite !u'ber is the earthy a!# y!ial ?ester "" Falstaff or Sa!ho Pa!+a, he spur!s
the #rea'er& refuses to be take! i! by a!y ro'a!ti !o!se!se& is )i#e"a)ake& /uik to see
his a#%a!ta$e a!# to $et the better of his fello)s( His )eapo!s ra!$e fro' the blu#$eo! of
peasa!t u!!i!$ to the rapier of iro!y, he al)ays e-erises his )its at the e-pe!se of others,
he is a$$ressi%e a!# self"asserti!$(
I! bet)ee! these a!ta$o!isti types o!e stoo# the Sa$e )ho o'bi!e# the /ualities of
both0 a sa$aious #rea'er& )ith his hea# i! the lou#s a!# his feet o! the soli# earth( *ut
his 'o#er! i!ar!atio!& the Sie!tist& is !o lo!$er represe!te# by a si!$le fi$ure i! the
)a-)orks of popular i'a$i!atio!, i!stea# of o!e prototype& )e ha# better o'pose three(
The first is the *e!e%ole!t >a$iia!& )hose a!estry #eri%es fro' the rai!"'aki!$
Sha'a!s a!# the ale!#ar"'aki!$ Priest"Astro!o'ers of *abylo!( At the #a)! of ;reek
sie!e )e fi!# hi' assu'i!$ the se'i"'ythial fi$ure of Pytha$oras& the o!ly 'ortal )ho
oul# hear )ith ears of flesh the 'usi 'a#e by the orbiti!$ stars, a!# fro' there o!)ar#&
e%ery e!tury reate# its o)! sa%a!t"sha'a!s )ho' it oul# %e!erate "" e%e! throu$hout
the <ark A$es of sie!e( The first 'ille!!iu' )as see! i! by Syl%ester II& the '>a$iia!
Pope'& )ho rei!state# the belief that the earth )as rou!#( The ?e)s ha# their >ai'o!i#es&
the Arabs their Alkha+e!& Christe!#o' the 3e!erable *e#e& before St( Tho'as A/ui!as a!#
Albert the ;reat re%i%e# the stu#y of !ature( Fro' the Re!aissa!e o! there is a!
u!i!terrupte# proessio! of 'a$iia!s )hose !a'es )ere le$e!#s& a#'ire# a!# )orshippe#
by a publi )hih ha# o!ly the %a$uest !otio! of their ahie%e'e!ts0 Paraelsus& Tyho o!
his Sorerer's Isla!#& ;alileo )ith his telesope& Ne)to! )ho brou$ht the =i$ht& Fra!kli!
)ho ta'e# the thu!#erbolt& >es'er )ho ure# by 'a$!etis', E#iso!& Pasteur& Ei!stei!&
Freu#( The popular i'a$e of the >a$iia! has ertai! features i! o''o! )ith that of the
Artist0 both are u!selfishly #e%ote# to lofty tasks "" )hih fre/ue!tly o%erlappe# i! the
uomo universale of the Re!aissa!e(
The seo!# arhetype is the '>a# Professor' )ho& i! o!trast to the for'er& pratises blak
i!stea# of )hite 'a$i for the sake of his o)! a$$ra!#i+e'e!t a!# po)er( Eu#o-us .u'pe#
i!to the rater of Et!a to $ai! i''ortality, Paraelsus's ri%al& A$rippa& )as allie# to the
#e%il i! the shape of a! e!or'ous blak poo#le, the A!ato'ists )ere allie# to bo#y"
s!athers for their si!ister purposes( The alhe'ists #istille# )ithes' bre)s, eletri rays
bea'e a fa%ourite #elusio! i! perseutio! 'a!ias, %i%isetio!& a!# e%e! o'pulsory
%ai!atio!& bea'e sy'bols of the sie!tist's blasphe'ous presu'ptio! a!# ruelty( The
>a# Professor "" either a sa#ist or obsesse# )ith po)er "" loo's lar$e i! popular fitio!
fro' ?ules 3er!e's Captai! Ne'o a!# H( ;( :ells' <r( >oreau to Cali$ari& Fra!ke!stei!&
a!# the 'o!sters of the horror"o'is( He is a >ephistophelia! harater& e!#o)e# )ith
austi )it, he spouts saras'& a si!ister .ester plotti!$ to o''it so'e 'o!strous pratial
.oke o! hu'a!ity( His plae i! the )a-)orks is !e-t to the 'aliious satirist's& as the
*e!e%ole!t >a$iia!'s is !e-t to the i'a$i!ati%e Artist's(
The last of the three fi$ures i!to )hih the popular i'a$e of the sie!tist has split oupies
the e!tre spae a!# is of relati%ely ree!t ori$i!0 the #ry& #ull& #ili$e!t& pe#a!ti&
u!i!spire#& sholarly book)or' or laboratory )orker( He is aloof a!# #etahe#& !ot
beause he has out$ro)! passio! but beause he is #e%oi# of te'pera'e!t& #esiate#& a!#
har# of heari!$ "" yet pee%ish a!# petula!t a!# .ealous of a!ybo#y )ho #ares to i!terfere
)ith his rabbe# little )orl#( This i'a$i!ary type probably ori$i!ates )ith the Shool'e!
of the perio# of #eli!e& )ho' Eras'us la'poo!e#0 'They s'other 'e be!eath si- hu!#re#
#o$'as, they are surrou!#e# )ith a bo#y$uar# of #efi!itio!s& o!lusio!s& orrolaries&
propositio!s e-pliit a!# propositio!s i'pliit, they are looki!$ i! utter #ark!ess for that
)hih has !o e-iste!e )hatsoe%er('
S)ift satiri+e# the type i! @ulliver in Laputa, the! ;oethe i! his 1amulus :a$!er0 '>it
Eifer hab' ih 'ih #er Stu#ie! beflisse! "" ])ar )eiss ih %iel& #oh '[ht' ih alles
)isse!'( 'Tha!ks to 'y #ili$e!e& 'y )is#o' is $ro)i!$ "" If I but perse%ere I shall be all"
k!o)i!$(' His 'o#er! i!ar!atio!s are the Herr Professor of ;er'a! o'e#y& a!# the
'u''ifie# #o!s of A!$lo"Sa-o! fitio!( At his )orst& he i!ar!ates the patholo$ial
aspets i! the #e%elop'e!t of sie!e0 ri$i#ity& ortho#o-y& s!o)bli!#!ess& #i%ore fro'
reality( *ut the patie!e a!# #o$$e# e!#ura!e of the i!fa!try'e! of sie!e are as
i!#ispe!sable as the $e!iuses )ho for' its spearhea#( 'The pro$ress of sie!e'& Shiller
)rote& 'takes plae throu$h a fe) 'aster"arhitets& or i! a!y ase throu$h a !u'ber of
$ui#i!$ brai!s )hih o!sta!tly set all the i!#ustrious labourers at )ork for #ea#es(' 748
That the i!#ustrious labourers te!# to for' tra#e u!io!s )ith a lose#"shop poliy a!#
restriti%e praties& is a! appare!tly u!a%oi#able #e%elop'e!t( It is !o less o!spiuous i!
the history of the arts0 the u!i!spire# %ersifiers& the rafts'e! of the !o%el a!# the sta$e& the
'e#iorities of aa#e'i pai!ti!$ a!# sulpture& they all ha!$ o! for #ear life to the
pre%aili!$ shool a!# style )hih so'e $e!ius i!itiate#& a!# #efe!# it )ith stubbor!!ess
a!# %e!o' a$ai!st hereti i!!o%ators(
Thus )e !o) ha%e fi%e fi$ures fai!$ us at our alle$orial >a#a'e Tussau#'s( They are
fro' left to ri$ht0 the 'aliious ?ester, the >a# Professor )ith his #elusio!s of $ra!#eur,
the u!i!spire# Pe#a!t, the *e!e%ole!t >a$iia!, a!# the Artist(
At the 'o'e!t o!ly the three fi$ures i! the e!tre o!er! us( If )e strip the' of the $au#y
a#or!'e!ts )hih folklore a!# fitio! besto)e# upo! the'& the fi$ure of the *lak
>a$iia! )ill tur! out to be a! arhetypal sy'bol of the self%assertive element i! the
sie!tist's aspiratio!s( I! 'ytholo$y& this ele'e!t is represe!te# by the Pro'ethea! /uest
for o'!ipote!e a!# i''ortality, i! sie!e"fitio! it is ariature# as a 'o!strous lusti!$
for po)er, i! atual life& it appears as the u!a%oi#able o'po!e!t of o'petiti%e!ess&
.ealousy& a!# self"ri$hteous!ess i! the sie!tist's o'ple- 'oti%atio!al #ri%e( ':ithout
a'bitio! a!# )ithout %a!ity'& )rote the biolo$ist Charles Niolle& '!o o!e )oul# e!ter a
professio! so o!trary to our !atural appetites(' 798 Freu# )as e%e! 'ore outspoke!0 'I a'
!ot really a 'a! of sie!e& !ot a! obser%er& !ot a! e-peri'e!ter& a!# !ot a thi!ker( I a' by
te'pera'e!t !othi!$ but a o!/uista#or ( ( ( )ith the uriosity& the bol#!ess& a!# the
te!aity that belo!$ to that type of perso!(' 7A8
The u!assu'i!$ fi$ure of the Pe#a!t i! the e!tre of the )a-)orks is a! i!#ispe!sable
stabili+i!$ ele'e!t, he ats as a restrai!i!$ i!flue!e o! the self"asserti!$& %ai!$lorious
o!/uista#orial ur$es& but also as a septial riti of the i!spire# #rea'er o! his other si#e(
This last fi$ure& the :hite >a$iia!& sy'boli+es the self%transcending element i! the
sie!tist's 'oti%atio!al #ri%e a!# e'otio!al 'ake"up, his hu'ble i''ersio! i!to the
'ysteries of !ature& his /uest for the har'o!y of the spheres& the ori$i!s of life& the
e/uatio!s of a u!ifie# fiel# theory( The o!/uista#orial ur$e is #eri%e# fro' a se!se of
po)er& the partiipatory ur$e fro' a se!se of oea!i )o!#er( '>e! )ere first le# to the
stu#y of !atural philosophy'& )rote Aristotle& 'as i!#ee# they are to#ay& by )o!#er('768
>a-)ell's earbest 'e'ory )as 'lyi!$ o! the $rass& looki!$ at the su!& a!# wondering'(
Ei!stei! struk the sa'e hor# )he! he )rote that )hoe%er is #e%oi# of the apaity to
)o!#er& ')hoe%er re'ai!s u!'o%e#& )hoe%er a!!ot o!te'plate or k!o) the #eep
shu##er of the soul i! e!ha!t'e!t& 'i$ht .ust as )ell be #ea# for he has alrea#y lose# his
eyes upo! life'( 7I8
This oea!i feeli!$ of )o!#er is the o''o! soure of reli$ious 'ystiis'& of pure
sie!e a!# art for art's sake, it is their o''o! #e!o'i!ator a!# e'otio!al bo!#(
>a$i a!# Subli'atio!
The reati%e sie!tist i! atual life har#ly rese'bles a!y of these si!$le )a-"fi$ures "" the
Co!/uista#or& the Pe#a!t& or the i!spire# <rea'er, he o!tai!s i!$re#ie!ts of all of the' i!
%aryi!$ proportio!s& 'elte# #o)! as it )ere& a!# reast aor#i!$ to a perso!al for'ula( I
ha%e sai# alrea#y 1p( FO f(2 that by alli!$ sie!e the '!eutral art' I #i# !ot 'ea! that the
sie!tist operates '#ispassio!ately' "" as the lihT $oes, but o! the o!trary& that he is
'oti%ate# by a partiular ble!# of passio!s i!to )hih both the self"asserti!$ a!#
partiipatory #ri%es e!ter& but i! a hi$hly subli'ate# state& o'ple'e!ti!$ eah other( A
'o#iu' of a'bitio! or %a!ity or fi!a!ial !ee#& or e%e! a$$ressio!& is i!#ispe!sable to the
'ost '#isi!tereste#' sie!tist or e-plorer "" but the o!/uista#orial appetite 'ust ha%e
u!#er$o!e a $reat a'ou!t of refi!e'e!t if it is to fi!# its satisfatio! i! the publiatio! of a
paper& represe!ti!$ years of labour& i! the olu'!s of a teh!ial .our!al( E-ept for the
hose! fe) )ho attai! popular fa'e& the %ast 'a.ority of sie!tists spe!# their lifeti'e
)orki!$ i! obsurity& a!# for paltry re)ar#s( I! his pri%ate life& the sie!tist a! i!#ul$e his
e$o, but i! his )ork& a'bitio! a!# %a!ity are #e!ie# all but the 'ost i!#iret a!# tortuous
outlets& i! o!for'ity )ith the o'ple- rules of the $a'e( The o'pe!satio! for this
sarifie is i! the $a'e itself "" i! that 'e!ha!t'e!t of the soul' )hih 'akes i!terest
#isi!tereste#& as it )ere(

The subli'atio! of the self"asserti%e& a$$ressi%e"#efe!si%e i'pulses is easily u!#erstoo#&
si!e )e all ha%e to $o throu$h this pai!ful proess& ab#iati!$ the tyra!!i po)ers of
i!fa!y "" i!lu#i!$ the pri'iti%e fa!tasies of o'!ipote!e& fro' )hih the fi$ure of the
*lak >a$iia! is #eri%e# "" a!# aepti!$ the rules of the $a'e of i%ili+e# soiety( *ut
the self"tra!se!#i!$& partiipatory e'otio!s are also sub.et to the proess of subli'atio!&
both i! the history of the i!#i%i#ual a!# i! the e%olutio! of ultures( O!e aspet of the latter
is the subli'atio! of 'a$i i!to art, a!other& of 'a$i i!to sie!e(

I ha%e e-plai!e# earlier o! 1p( I6 f(2 that the ter' 'self"tra!se!#i!$' or 'partiipatory'
te!#e!ies is 'ea!t to refer to those e'otio!al states )here the !ee# is felt to beha%e as a
part of so'e real or i'a$i!ary e!tity )hih tra!se!#s the bou!#aries of the i!#i%i#ual self
1)hereas )he!& $o%er!e# by the self"asserti%e lass of e'otio!& the e$o is e-perie!e# as a
self"o!tai!e# )hole a!# the ulti'ate %alue2( No) ob%iously a perso!'s harater a!#
patter! of beha%iour is to a lar$e e-te!t #epe!#e!t o! the !ature of that hi$her e!tity of
)hih he feels hi'self to be a part( There is of ourse ofte! a 'ultitu#e of suh e!tities&
so'e for'i!$ a hierarhy 1fa'ily& tribe& !atio!2& others ausi!$ ri%al i#e!tifiatio!s, so'e
are of the !ature of soial& others of spiritual or 'ystial bo!#s( It is )ith the latter that )e
are o!er!e#, 'ore preisely )ith the tra!sitio! fro' o!e type of 'ysti partiipatio! i! a
u!i%erse $o%er!e# by sy'patheti 'a$i& to a!other type of 'ysti o''u!io! )ith a
u!i%erse $o%er!e# by a #i%i!e or !atural or#er( That tra!sfor'atio! )as !e%er o'plete#,
but e%e! the partial tra!sitio! )hih the ;reeks ahie%e# ha# a #eisi%e i!flue!e o! the
patter! of :ester! ulture( At the risk ofrepetiti%e!ess I 'ust o!e 'ore 'e!tio! here the
Pytha$orea!s& the hief e!$i!eers of that epoh"'aki!$ ha!$e( I ha%e spoke! i! 'ore
#etail else)here of the i!spire# 'etho#s by )hih& i! their reli$io!s or#er& they tra!sfor'e#
the Orphi 'ystery ult i!to a reli$io! )hih o!si#ere# 'athe'atial a!# astro!o'ial
stu#ies as the 'ai! for's of #i%i!e )orship a!# prayer( The physial i!to-iatio! )hih
ha# ao'pa!ie# the *ahi rites )as superse#e# by the 'e!tal i!to-iatio! #eri%e# fro'
philo%sophia& the lo%e of k!o)le#$e( It )as o!e of the 'a!y key o!epts they oi!e# a!#
)hih are still basi u!its i! our %erbal urre!y( The lihT about the ' mysteries of !ature'
ori$i!ates i! the re%olutio!ary i!!o%atio! of applyi!$ the )or# referri!$ to the seret rites
of the )orshippets of Orpheus& to the #e%otio!s of star$a+i!$( 'Pure sie!e' is a!other of
their oi!a$es, it si$!ifie# !ot 'erely a o!trast to the 'applie#' sie!es& but also that the
o!te'platio! of the !e) 'ysteria )as re$ar#e# as a 'ea!s of purifyi!$ the soul by its
i''ersio! i! the eter!al( Fi!ally& 'theori+i!$' o'es fro' *heoria& a$ai! a )or# of Orphi
ori$i!& 'ea!i!$ a state of fer%e!t o!te'platio! a!# partiipatio! i! the sare# rites 1thea
spetale& theoris spetator& au#ie!e2( Co!te'platio! of the '#i%i!e #a!e of !u'bers'
)hih hel# both the serets of 'usi a!# of the elestial 'otio!s bea'e the li!k i! the
'ysti u!io! bet)ee! hu'a! thou$ht a!# the anima mundi( Its perfet sy'bol )as the
Har'o!y of the Spheres "" the Pytha$orea! Sale& )hose 'usial i!ter%als orrespo!#e# to
the i!ter%als bet)ee! the pla!etary orbits, it )e!t o! re%erberati!$ throu$h 'soft still!ess
a!# the !i$ht' ri$ht i!to the poetry of the Eli+abetha!s& a!# i!to the astro!o'y of Kepler(

It )as i!#ee# this subli'ate# for' of Orphi 'ystiis' )hih& throu$h the Pytha$orea!
re%i%al i! Re!aissa!e Italy& i!spire# the sie!tifi Re%olutio!( ;alileo& <esartes& a!#
Ne)to! all re$ar#e# ;o# as a ki!# of 'hief 'athe'atiia!' of the U!i%erse( ';eo'etry
e-iste# before the Creatio!& is o"eter!al )ith the 'i!# of ;o#& is ;o# hi'self'& 7@8 )rote
Kepler, a!# the other $ia!ts ehoe# his o!%itio!( The 'oea!i feeli!$' of reli$ious
'ystiis' ha# bee! #istille# i!to #iffere!tial e/uatio!s, the 'i!# of the Na!i'a 'u!#iN )as
reflete# i! the rai!bo) olours of the spetrosope& the $hostly spirals of #ista!t $ala-ies&
the har'o!ious patter!s of iro!"fili!$s arou!# a 'a$!et( I! all the '$reat a!# $e!erous
'i!#s'& fro' Niolas of Cusa #o)! to Ei!stei!& )e fi!# this feeli!$ of a)e a!# )o!#er& a!
i!telletual estasy of #isti!tly reli$ious fla%our( E%e! those )ho professe# to be #e%oi# of
it base# their labours o! a! at of faith0 the belief that there is a har'o!y of the spheres ""
that the u!i%erse is !ot a tale tol# by a! i#iot& but $o%er!e# by hi##e! la)s )aiti!$ to be
#iso%ere# a!# uttere#( 'The 'ysti belie%es i! a! u!k!o)! ;o#& the thi!ker a!# sie!tist
i! a! u!k!o)! or#er, it is har# to say )hih surpasses the other i! !o!ratio!al #e%otio!' 1=(
=( :hyte2( 7O8 I! a si'ilar %ei!& *utterfiel# )rote o! the pio!eers of the sie!tifi
re%olutio!0 'The aspiratio! to #e'o!strate that the u!i%erse ra! like a piee of
lok)ork ( ( ( )as itselfi!itially a reli$ious aspiratio!( It )as felt that there )oul# be
so'ethi!$ #efeti%e i! Creatio! itself "" so'ethi!$ !ot /uite )orthy of ;o# "" u!less the
)hole syste' of the u!i%erse oul# be sho)! to be i!terloki!$& so that it arrie# the
pattter! of reaso!able!ess a!# or#erli!ess( Kepler& i!au$urati!$ the sie!tist's /uest for a
'eha!isti u!i%erse i! the se%e!tee!th e!tury& is si$!ifia!t here "" his 'ystiis'& his
'usi of the spheres& his ratio!al #eity #e'a!# a syste' )hih has the beauty of a piee of
'athe'atis(' 7F8

It is the a-io'ati belief that the poi!ters o! his #ials #o !ot 'o%e at ra!#o'& )hih 'akes
the rea#i!$s of his i!stru'e!ts 'ea!i!$ful to the sie!tist( Thou$h E##i!$to! 'ay ha%e
bee! .ustifie# i! sayi!$ that the #ials& i! the prese!t state of physis& ha%e !o 'ore beari!$
o! reality tha! telepho!e !u'bers& this takes !othi!$ a)ay fro' the e-ite'e!t of )athi!$
their 'otio!s( After all& to the )orshipful lo%er e%e! her telepho!e !u'ber a/uires so'e
of the 'a$i attratio! of the belo%e#(

The subli'atio! of the self"tra!se!#i!$ e'otio!s has tra!sfor'e# ''a$i' i!to 'sie!e',
but there is !o har#"a!#"fast bou!#ary bet)ee! the t)o( U!o!sious& pre"ratio!al&
''a$ial' thi!ki!$ e!ters both i!to the reati%e at a!# i!to the beliefs or superstitious of the
sie!tist( As <ubos sai#& 'the alhe'ist !e%er e!tirely ease# to li%e a!# fu!tio! )ithi! the
aa#e'iia!'( Not o!ly Kepler's astro!o'y )as #eri%e# fro' belief i! the Holy Tri!ity a!#
the Har'o!y of the Spheres, 'ost of the $ia!ts of sie!e )ere si'ilarly i!spire# by
reli$ious& 'ystial or tra!se!#e!tal beliefs(

I! Appe!#i- II the rea#er )ill fi!# this $e!erali+atio! e-e'plifie# by a series of short
harater"skethes& fro' Coper!ius a!# ;alileo to Fra!kli!& Fara#ay& >a-)ell& <ar)i!&
a!# Pasteur( I shall lose this setio! )ith three /uotatio!s by 'e! )ho playe# #eisi%e
parts i! shapi!$ the sie!tifi outlook of the t)e!tieth e!tury( The first is =ouis Pasteur&
)ho )as bor! a Ro'a! Catholi a!# re'ai!e# o!e throu$hout his life( At the a$e of si-ty
he )as elete# a 'e'ber of the Aa#T'ie Fra!caise, the )elo'i!$ speeh o! that
ere'o!ial oasio! )as 'a#e& iro!ially& by that $reat a!# )ise a$!osti& Er!est Re!a!( I!
his reply Pasteur e-plai!e# that althou$h a! i!esapable o!lusio! of thi!ki!$& the !otio!
of i!fi!ity is i!o'prehe!sible to hu'a! reaso! "" i!#ee# 'ore i!o'prehe!sible tha! all
the 'irales of reli$io!0 'I see e%ery)here i! the )orl# the i!e%itable e-pressio! of the
o!ept of i!fi!ity( It establishes i! the #epths of our hearts a belief i! the super!atural( The
i#ea of ;o# is !othi!$ 'ore tha! o!e for' of the i#ea of i!fi!ity( So lo!$ as the 'ystery of
the i!fi!ite )ei$hs o! the hu'a! 'i!#& so lo!$ )ill te'ples be raise# to the ult of the
i!fi!ite& )hether ;o# be alle# *rah'ah& Allah& ?eho%ah or ?esus( ( ( ( The ;reeks
u!#erstoo# the 'ysterious po)er of the hi##e! si#e of thi!$s( They be/ueathe# to us o!e of
the 'ost beautiful )or#s i! our la!$ua$e"the )or# 'e!thusias'' "" en theos "" a $o# )ithi!(
The $ra!#eur of hu'a! atio!s is 'easure# by the i!spiratio! fro' )hih they spri!$(
Happy is he )ho bears a $o# )ithi! "" a! i#eal of beauty a!# )ho obeys it& a! i#eal of art&
of sie!e( All are li$hte# by refletio! fro' the i!fi!ite('

The seo!# /uotatio! is fro' Ei!stei! )ho& )he! /uestio!e# about his o)! reli$ious
%ie)s& #esribe# the' as ')hat i! or#i!ary ter's o!e )oul# all pa!theisti'( O! a!other
oasio! he talke# of 'os'i reli$ious!ess'0
( ( ( I 'ai!tai! that os'i reli$ious!ess is the stro!$est a!# 'ost !oble #ri%i!$ fore of
sie!tifi researh( O!ly the 'a! )ho a! o!ei%e the $i$a!ti effort a!# abo%e all the
#e%otio!& )ithout )hih ori$i!al sie!tifi thou$ht a!!ot suee#& a! 'easure the
stre!$th of the feeli!$ fro' )hih alo!e suh )ork ( ( ( a! $ro)( :hat a #eep belief i! the
i!telli$e!e of Creatio! a!# )hat lo!$i!$ for u!#ersta!#i!$& e%e! if o!ly ofa 'ea$re
refletio! i! the re%eale# i!telli$e!e of this )orl#& 'ust ha%e flourishe# i! Kepler a!#
Ne)to!& e!abli!$ the' as lo!ely 'e! to u!ra%el o%er years of )ork the 'eha!is' of
elestial 'eha!is( ( ( ( O!ly the 'a! )ho #e%otes his life to suh $oals has a li%i!$
o!eptio! of )hat i!spire# these 'e! a!# $a%e the' stre!$th to re'ai! stea#fast i! their
ai's i! spite of ou!tless failures( It is os'i reli$ious!ess that besto)s suh stre!$th( A
o!te'porary has sai#& !ot u!ri$htly& that the serious researh sholar i! our $e!erally
'aterialisti a$e is the o!ly #eeply reli$ious hu'a! bei!$( 758
A!# lastly here is *ertra!# Russell& )riti!$ at the a$e of ei$hty"!i!e0
I 'ust& before I #ie& fi!# so'e 'ea!s of sayi!$ the esse!tial thi!$ )hih is i! 'e& )hih I
ha%e !ot yet sai#& a thi!$ )hih is !either lo%e !or hate !or pity !or sor! but the %ery
breath of life& shi!i!$ a!# o'i!$ fro' afar& )hih )ill li!k i!to hu'a! life the i''e!sity&
the fri$hte!i!$& )o!#rous a!# i'plaable fores of the !o!"hu'a!( 74C8
Fro' the Pytha$orea!s o!)ar#& throu$h the Re!aissa!e to our ti'es& the oea!i feeli!$&
the se!se of partiipatio! i! the 'ystery of the i!fi!ite& )as the pri!ipal i!spiratio! of that
)i!$e# a!# flat"foote# reature& the sie!tist(


The *ore#o' of Sie!e
:e ha%e see! earlier o! 1pp( FO"F52 that the e'otio!al reatio! )hih follo)s the at of
#iso%ery is a o'ple- o!e& refleti!$ the o'ple-ity of the 'oti%atio!al #ri%e( There is the
su##e! e-plosio! of te!sio!& )hih has beo'e re#u!#a!t a!# 'ust so'eho) be )orke#
off i! $estures or shouts of .ubilatio! "" a! o%erflo)"reatio! o!ti!uous )ith lau$hter& but
of a 'ore i!#i%i#ual harater beause #eri%e# fro' a 'ore subli'ate# ki!# of e'otio!(
Co!urre!t )ith it& there is pure i!telletual #eli$ht& the peaeful atharsis of the self"
tra!se!#i!$ e'otio!s( The first is #eri%e# fro' the fat that 'I' 'a#e a #iso%ery "" the
seo!# fro' the fat that a #iso%ery has bee! 'a#e& a!other $li'pse of the truth re%eale#(


=et 'e !o) tur! fro' the reati%e perso!'s e'otio!al reatio!s to those of the au#ie!e& to
the 'o!su'er's' poi!t of %ie)( :hether he liste!s to a .oke& or rea#s a sie!tifi )ork& or
%isits a! art $allery& he is suppose# to partiipate i! the i!telletual a!# e'otio!al
e-perie!es of the 'pro#uer' "" to reli%e or re"reate the'( The bo!# bet)ee! the' is the
!ee# for soial o''u!iatio!( The o!su'er hopes that by bei!$ allo)e# to share the
reator's %isio! he )ill $ai! a #eeper a!# broa#er %ie) of reality( The pro#uer has a! ur$e
to share his o)! e-perie!e )ith others "" to )i! ao'plies to his 'alie& part!ers i!
u!#ersta!#i!$& reso!a!e for his e'otio!s( I! or#er to suee#& ho)e%er& he 'ust use
appropriate teh!i/ues( I! Chapter III 1pp( F9"F@2 I ha%e #isusse# ertai! riteria by )hih
to .u#$e the i'pat of o'i i!%e!tio!s "" ori$i!ality& e'phasis& a!# eo!o'y( Are these
riteria of a!y %alue )he! applie# to sie!tifi #iso%eryE

The i'porta!e of originality is self"e%i#e!t( Seleti%e emphasis o! o!e partiular aspet
of reality& )ith its o!o''ita!t e-a$$eratio!s a!# si'plifiatio!s is& as )e sa)& the
esse!e of 'o#el"'aki!$& a!# plays al'ost as $reat a part i! the ha!$i!$ fashio!s a!#
'shools' i! sie!e as i! art( 6conomy e!ters i! %arious )ays "" fro' Oa''s ra+or a!# the
satisfatio! #eri%e# fro' a! 'ele$a!t' solutio! to %arious teh!i/ues of e!tii!$ the au#ie!e
i! the leture"roo' i!to a! i'a$i!ati%e& re"reati%e effort(
It is $e!erally suppose# that i! this respet the reati%e sie!tist a!# his au#ie!e are at a
#isa#%a!ta$e( I! o!trast to the artist& the sie!tist is !ot suppose# to appeal to e'otio!s&
a!# the stu#e!t of sie!e !ot to be $ui#e# by the'( *ut )e ha%e see! that the e/uatio! of
sie!e )ith lo$i a!# reaso!& of art )ith i!tuitio! a!# e'otio!& is a blata!t popular fallay(
No #iso%ery has e%e! bee! 'a#e by lo$ial #e#utio!, !o )ork of art pro#ue# )ithout
alulati!$ rafts'a!ship, the e'oti%e $a'es of the u!o!sious e!ter i!to both(
The aestheti satisfatio! #eri%e# fro' a! ele$a!t 'athe'atial #e'o!stratio!& a
os'olo$ial theory& a 'ap of the hu'a! brai!& or a! i!$e!ious hess proble'& 'ay e/ual
that of a!y artisti e-perie!e "" $i%e! a ertai! o!!oisseurship( *ut o!!oisseurship is
e/ually re/uire# for the true appreiatio! of a!y but the 'ost %ul$ar for's of art, a!#
partiularly for a!ie!t& alie!& a!# ''o#er!' art( Ho)e%er& the absur# #i%isio! of our soiety
i!to 't)o ultures' pro#ue# the para#o-ial phe!o'e!o! that the a%era$e e#uate# perso!
)ill be reluta!t to a#'it that a )ork of art is beyo!# the le%el of his o'prehe!sio!, but he
)ill i! the sa'e breath a!# )ith a ertai! pri#e o!fess his o'plete i$!ora!e of the
pri!iples )hih 'ake his ra#io )ork& the fores )hih 'ake the stars $o rou!#& the fators
)hih #eter'i!e the here#ity of his hil#re!& a!# the loatio! of his o)! %isera a!#
$la!#s(
O!e of the o!se/ue!es of this attitu#e is that he utili+es the pro#uts of sie!e a!#
teh!olo$y i! a purely possessi%e& e-ploiti%e 'a!!er )ithout o'prehe!sio! or feeli!$(
His relatio!ship to the ob.ets of his #aily use& the tap )hih supplies his bath& the pipes
)hih keep hi' )ar'& the s)ith )hih tur!s o! the li$ht "" i! a )or#& to the e!%iro!'e!t
i! )hih he li%es& is i'perso!al a!# possessi%e "" like the apitalist's attitu#e to his ba!k
aou!t& !ot the art olletor's to his treasures )hih he herishes beause he 'u!#ersta!#s'
the'& beause he has a partiipatory relatio!ship to the'( >o#er! 'a! li%es isolate# i! his
artifiial e!%iro!'e!t& !ot beause the artifiial is e%il as suh& but beause of his lak of
o'prehe!sio! of the fores )hih 'ake it )ork "" of the pri!iples )hih relate his
$a#$ets to the fores of !ature& to the u!i%ersal or#er( It is !ot e!tral heati!$ )hih 'akes
his e-iste!e 'u!!atural'& but his refusal to take a! i!terest i! the pri!iples behi!# it( *y
bei!$ e!tirely #epe!#e!t o! sie!e& yet losi!$ his 'i!# to it& he lea#s the life of a! urba!
barbaria!(
The historial auses )hih le# to the split bet)ee! the t)o ultures are outsi#e the sope
of this book, but I 'ust 'e!tio! o!e speifi fator )hih is lar$ely respo!sible for tur!i!$
sie!e i!to a bore& a!# pro%i#i!$ the hu'a!ist )ith a! e-use for tur!i!$ his bak o! it( It
is the aa#e'i a!t& of relati%ely ree!t ori$i!& that a self"respeti!$ sie!tist 'ust be a
bore& that the 'ore #ehy#rate# the style of his )riti!$& a!# the 'ore teh!ial the .ar$o! he
uses& the 'ore respet he )ill o''a!#( I repeat& this is a ree!t fashio!& less tha! a
e!tury ol#& but its effet is #e%astati!$( The pre"Soratis fre/ue!tly )rote their treatises i!
%erse, the a!ie!t Peru%ia! la!$ua$e ha# a si!$le )or# "" hamavec "" for both poet a!#
i!%e!tor( ;alileo's :ialogues a!# pole'ial )riti!$s )ere literary 'asterpiees )hih ha#
a lasti!$ i!flue!e o! the #e%elop'e!t of Italia! #i#ati prose, Kepler's 9ew 3stronomy is
a baro/ue tale of suspe!se, 3esalius' 3natomy )as illustrate# by a pupil of Titia!( E%e! the
abstrat sy'bol la!$ua$e of the 'athe'atiia!s le!t itself to )orks of art( As the $reat
*olt+'a!! )rote0 'A 'athe'atiia! )ill reo$!i+e Cauhy& ;auss& ?aobi& or Hel'holt+&
after rea#i!$ a fe) pa$es& .ust as 'usiia!s reo$!i+e& fro' the first fe) bars& >o+art&
*eetho%e!& or Shubert(' A!# ?ea!s o'pare# >a-)ell's physis )ith a! e!ha!te#
fairyla!# )here !o o!e k!e) )hat )as o'i!$ !e-t(
I ha%e $i%e! sa'ples of Pasteur's a!# Poi!arT's style, Fra!kli! )as a! ao'plishe#
stylist, >a-)ell )rote o''e!#ably fu!!y&D a!# Eras'us <ar)i! u!i!te!tio!ally fu!!y
%erse, as for :illia' ?a'es& I 'ust o!fess that I fi!# his style far 'ore e!.oyable tha! his
brother He!ry's( I! our prese!t e!tury E##i!$to!& ?ea!s& Freu#& Kretsh'er& :hitehea#&
Russell& Shr[#i!$er& to 'e!tio! o!ly a fe)& $a%e o!%i!i!$ proof that )orks o! sie!e
a! at the sa'e ti'e be )orks of literary art( 1O!e oul# also /uote )orks by literary a!#
art ritis as pe#a!ti a!# #esiate# as papers i! a teh!ial .our!al for applie# he'istry(2
Nee#less to say& teh!ial o''u!iatio!s a##resse# to speialists 'ust e'ploy teh!ial
la!$ua$e, but e%e! here the o%erloa#i!$ )ith .ar$o!& the tortuous a!# ra'pe# style& are
lar$ely a 'atter of o!for'i!$ to fashio!(
The sa'e i!hu'a! "" i! fat a!ti"hu'a!isti "" tre!# per%a#es the li'ate i! )hih sie!e
is tau$ht& the lassroo's a!# the te-tbooks( To #eri%e pleasure fro' the art of #iso%ery& as
fro' the other arts& the o!su'er "" i! this ase the stu#e!t "" 'ust be 'a#e to re"li%e& to
so'e e-te!t& the reati%e proess( I! other )or#s& he 'ust be i!#ue#& )ith proper ai# a!#
$ui#a!e& to 'ake so'e of the fu!#a'e!tal #iso%eries of sie!e by hi'self& to
e-perie!e i! his o)! 'i!# so'e of those flashes of i!si$ht )hih ha%e li$hte!e# its path(
This 'ea!s that the history of sie!e ou$ht to be 'a#e a! esse!tial part of the urriulu'&
that sie!e shoul# be represe!te# i! its e%olutio!ary o!te-t "" a!# !ot as a >i!%era bor!
fully ar'e#( It further 'ea!s that the para#o-es& the 'bloke# 'atries' )hih o!fro!te#
Arhi'e#es& Coper!ius& ;alileo& Ne)to!& Har%ey& <ar)i!& Ei!stei! shoul# be
reo!strute# i! their historial setti!$ a!# prese!te# i! the for' of ri##les "" )ith
appropriate hi!ts "" to ea$er you!$ 'i!#s( The 'ost pro#uti%e for' of lear!i!$ is
proble'"sol%i!$ 1*ook T)o& HIII"HIH2( The tra#itio!al 'etho# of o!fro!ti!$ the stu#e!t
!ot )ith the proble' but )ith the fi!ishe# solutio!& 'ea!s #epri%i!$ hi' of all e-ite'e!t&
to shut off the reati%e i'pulse& to re#ue the a#%e!ture of 'a!ki!# to a #usty heap of
theore's(

Art is a for' of o''u!iatio! )hih ai's at eliiti!$ a re"reati%e eho( E#uatio!
shoul# be re$ar#e# as a! art& a!# use the appropriate teh!i/ues of art to all forth that
eho( The !o%ie& )ho has $o!e throu$h so'e of the 'ai! sta$es i! the e%olutio! of the
rae #uri!$ his pre!atal #e%elop'e!t& a!# of the e%olutio! fro' sa%a$e to i%ili+e# soiety
by the ti'e he reahes a#olese!e& shoul# the! be 'a#e to o!ti!ue his urriulu' by re"
apitulati!$ so'e of the #eisi%e episo#es& i'passes& a!# tur!i!$ poi!ts o! the roa# to the
o!/uest of k!o)le#$e( Our te-tbooks a!# 'etho#s of teahi!$ reflet a stati& pre"
e%olutio!ary o!ept of the )orl#( For 'a! a!!ot i!herit the past, he has to re"reate it(


Su''ary

The sie!tist's 'oti%atio!al #ri%e is a ble!# of passio!s i! )hih both the self"asserti!$ a!#
self"tra!se!#i!$ te!#e!ies partiipate "" sy'boli+e# by the >a# Professor a!# the
*e!e%ole!t >a$iia! of folklore( It is& ho)e%er& a ble!# i! )hih both te!#e!ies are
subli'ate# a!# bala!e eah other( This #e%elop'e!t is alrea#y foresha#o)e# i! the
e-ploratory beha%iour of le%er a!i'als( :he! K[hler's hi'pa!+ee Sulta! #iso%ere#&
after 'a!y u!suessful efforts& that he oul# rake the ba!a!a i!to the a$e by fitti!$ t)o
short hollo) stiks i!to eah other& his 'oti%atio! )as ob%iously to $et at the ba!a!a( *ut
his !e) #iso%ery 'please# hi' so i''e!sely' that he kept repeati!$ the trik a!# for$ot to
eat the ba!a!a 1for si'ilar obser%atio!s& see *ook T)o& 3III2( If Arhi'e#es )as ori$i!ally
'oti%ate# by the #esire to obtai! 'o!ey or fa%ours fro' the tyra!t of Syrause& his .ubila!t
shout )as ertai!ly !ot #ue to a!tiipatio! of the re)ar#(

A'bitio!& $ree#& %a!ity a! e!ter the ser%ie of reati%ity o!ly throu$h i!#iret ha!!els,
a!# the self"tra!se!#i!$ e'otio!s 'ust u!#er$o a si'ilar proess of subli'atio! fro'
'ysti i''ersio! i! the har'o!y of the spheres to the srupulous atte!tio! pai# to ei$ht
'i!utes ar( The proess is reflete# i! the $ra#ual tra!sfor'atio! of 'a$i i!to sie!e(

The reati%e ahie%e'e!ts of the sie!tist lak the 'au#ie!e appeal' of the artist's for
se%eral reaso!s briefly 'e!tio!e# "" teh!ial .ar$o!& a!ti/uate# teahi!$ 'etho#s& ultural
pre.u#ie( The bore#o' reate# by these fators has ae!tuate# the artifiial fro!tiers
bet)ee! o!ti!uous #o'ai!s of reati%ity(


NOTE

To pa$e 9@I0 See Appe!#i- II& p( @54(




PART THREE

THE ARTIST


A( THE PARTICIPATORB E>OTIONS

HII
THE =O;IC OF THE >OIST EBE
=au$hter a!# :eepi!$
The lassi respo!ses to o'e#y a!# tra$e#y are lau$hter a!# )eepi!$( *oth are o%erflo)
ha!!els for the #isposal of e'otio!s, lu-ury refle-es )ithout appare!t utility( This 'uh
they ha%e i! o''o!, i! other respets they are #iret opposites(
There is a %ast literature o! the psyholo$y of lau$hter& but har#ly a!y o! the psyholo$y
of )eepi!$(D The theory of the o'i )hih I ha%e propose#& ho)e%er o!tro%ersial& a! at
least be .u#$e# i! the li$ht of earlier theories o! si'ilar or opposite li!es, )here )eepi!$ is
o!er!e# )e are o! %ir$i! territory( This i!#iffere!e to)ar#s the 'a!ifestatio! of
e'otio!s i! )eepi!$ 1)hih is after all !either a! u!o''o! !or a tri%ial phe!o'e!o!2 is
i! itself sy'pto'ati of the o!te'porary tre!# i! psyholo$y "" about )hih later(
:eepi!$ a!# ryi!$ o!fro!t us )ith a! e%e! 'ore o!fusi!$ %ariety of e-pressio!s tha!
lau$hter( There are %ariatio!s i! i!te!sity, i! 'oo#, i! spo!ta!eity( The ba)li!$ of a spoilt
hil#& the o!tri%e# sobs of publi or pri%ate sta$eraft are seo!#ary #eri%ati%es )hih
#istort the ori$i!al patter!, ultural restrai!ts a!# soial i!fetio! are further
superi'positio!s o! it( :e 'ust #isre$ar# these a#%e!titious ele'e!ts a!# o!e!trate o!
spo!ta!eous )eepi!$ i! its pure for'& as a! auto'ati 'refle-' 1see pp( 9F"952(

The first step is to #isti!$uish bet)ee! )eepi!$ a!# ryi!$ "" it is a peuliarity of the
E!$lish la!$ua$e to treat the' as sy!o!y's( :eepi!$ has t)o basi refle-"harateristis
)hih are fou!# i! all its %arieties0 the o%erflo) of the tear"$la!#s a!# a speifi for' of
breathi!$( These %ary i! i!te!sity fro' a 'ere 'oiste!i!$ of the eye a!# 'athi!$ o!e's
breath' 1or feeli!$ 'a lu'p i! the throat'2 to a profusio! of tears ao'pa!ie# by o!%ulsi%e
sobbi!$, .ust as lau$hter %aries i! i!te!sity fro' s'ili!$ to o!%ulsio!s( Cryi!$& o! the
other ha!#& is the e'itti!$ of sou!#s si$!alli!$ #istress& protest& or so'e other e'otio!( It
'ay be o'bi!e# )ith& or alter!ate )ith& )eepi!$( Fre/ue!tly )he! a hil#& or a #epresse#
patie!t& is sai# to be 'ryi!$ his hea# off' his eyes are i! fat #ry0 he is !ot )eepi!$( O! the
other ha!#& )he! your har"la#y has a '$oo# ry' at the 'o%ies& she is!'t ryi!$ at all but
)eepi!$( Cryi!$ is a for' of o''u!iatio! 1e%e! if the au#ie!e is o!ly i'a$i!e#2,
)eepi!$ is !ot(

=et 'e !o) o'pare the e-ter!al 'a!ifestatio!s "" bo#ily ha!$es "" i! )eepi!$ a!# i!
lau$hter( I! )eepi!$& the eyes are 'bli!#e#' by tears0 they lose their fous a!# lustre( The
lau$her's eyes sparkle& the or!ers are )ri!kle#& but bro) a!# heeks are taut a!# s'ooth&
)hih le!#s the fae a! e-pressio! of ra#ia!e, the lips are parte#& the or!ers lifte#( I!
)eepi!$& the features ri!kle a!# ru'ple, e%e! )he! )eepi!$ for .oy or i! aestheti
rapture& the tra!sfi$ure# fae reflets a sere!e la!$ui#!ess(

The breathi!$ patter! i! )eepi!$ is a series of short& #eep& $aspi!$ i!spiratio!s& i(e( sobs&
follo)e# by lo!$& si$hi!$ e-piratio!s& )ith the $lottis partially lose# "" the lu'p i! the
throat( This is the e-at opposite of the breathi!$ patter! of lau$hter )ith its bursts of
expiratory puffs "" sobs i! re%erse& follo)e# by lo!$& #eep intakes "" re%erse# si$hs( A
prolo!$e#& %iole!t fit of lau$hter& ho)e%er& 'ay pro#ue the sobbi!$ type of respiratio! as
a! after"effet "" a phe!o'e!o! )hih stre!$the!s the hypothesis 1see belo)2 that lau$hter
a!# ryi!$ are 'e#iate# by ri%al bra!hes of the auto!o'ous !er%ous syste' "" the first
bei!$ sy'pathioto!i& the seo!# %a$oto!i(

The thir# o!trast is bet)ee! bo#ily postures a!# 'otio!s( The perso! )ho lau$hs te!#s to
thro) his hea# bak by a %i$orous o!tratio! of the ele%ators i! the !ek, the perso! )ho
)eeps 'lets the hea# #roop' 1i!to the ha!#s& o! the table& or o! so'ebo#y's shoul#er2(
=au$hter o!trats the 'usles a!# thro)s the bo#y i!to %iole!t 'otio! "" ba!$i!$ the table
or slappi!$ o!e's k!ees, i! )eepi!$& the 'usles $o flabby& the shoul#ers slu'p for)ar#&
the )hole posture reflets a 'breaki!$ #o)!'& a 'letti!$ $o'(

I! the fourth plae& %oali+atio! i! lau$hter "" roari!$& $i$$li!$& hukli!$& et( "" is
e-pressi%e of .oie #e %i%re )ith a$$ressi%e o%erto!es, but if )eepi!$ is ao'pa!ie# by
ryi!$& the sou!#s e-press la'e!t& appeals for sy'pathy(

Fi!ally& i! lau$hter te!sio! is su##e!ly e-plo#e#& e'otio! #ebu!ke#, i! )eepi!$ it is
#rai!e# a)ay i! a $ra#ual proess which does not break the continuity of mood, there is !o
#is"o)!i!$ of e'otio! "" thou$ht a!# se!ti'e!t re'ai! u!ite# to the e!#( >oreo%er& the
$ra#ual relief i! )eepi!$ #oes !ot pre%e!t the si'ulta!eous $e!eratio! of 'ore e'otio! of
the sa'e type& so that the i!flu- 'ay bala!e the o%erflo)& a!# relief is i!o'plete& or !ot
e%e! e-perie!e# as suh(


:hy #o )e :eepE

=et 'e #isuss a fe) typial situatio!s )hih 'ay ause the she##i!$ of tears(


A( Rapt!ess( =iste!i!$ to the or$a! i! a athe#ral& looki!$ at a 'a.esti la!#sape fro' the
top of a 'ou!tai!& obser%i!$ a! i!fa!t hesita!tly retur!i!$ a s'ile& bei!$ i! lo%e "" a!y of
these e-perie!es 'ay ause a )elli!$"up of e'otio!s& a 'oiste!i!$ or o%erflo)i!$ of the
eyes& )hile the bo#y is beal'e# a!# #rai!e# of its te!sio!s( A fe) steps hi$her o! the
i!te!sity"sale& a!# the NIN see's !o lo!$er to e-ist& to #issol%e i! the e-perie!e like a
$rai! of salt i! )ater, a)are!ess beo'es #e"perso!ali+e# a!# e-pa!#s i!to 'the oea!i
feeli!$ of li'itless e-te!sio! a!# o!e!ess )ith the u!i%erse'(D
Here& the!& )e see the self"tra!se!#i!$ e'otio!s #isplaye# i! their purest for'( O!e you
start fo!#li!$ the s'ili!$ baby a!# 'aki!$ a fuss of it& a! ati%e& possessi%e ele'e!t e!ters
i!to the situatio! a!# the spell is broke!( The purely self%transcending emotions do not tend
towards action$ but towards +uiescence$ tran+uillity$ and catharsis( Respiratio! a!# pulse"
rate are slo)e# #o)!& 'usle"to!e is lo)ere#, 'e!tra!e'e!t' is a step to)ar#s the tra!e"
like states i!#ue# by the o!te'plati%e teh!i/ues of Easter! 'ystiis' a!# by ertai!
#ru$s( The e-perie!e of 'the ble!#i!$ of the fi!ite )ith the i!fi!ite' a! beo'e so i!te!se
that it e%okes Faust's prayer0 O 3ugenblick verweile "" let this 'o'e!t last for eter!ity& let
'e #ie( *ut there is !othi!$ 'orbi# i! this, it is a year!i!$ for a! e%e! 'ore o'plete
o''u!io!& the ulti'ate atharsis or samadhi(
The reaso! for their passi%e& /uietisti !ature is that the self"tra!se!#i!$ e'otio!s cannot
be consummated by any specific voluntary action( Bou a!!ot take the 'ou!tai! pa!ora'a
ho'e )ith you, the surest 'etho# to break the har' is liki!$ your a'era( Bou a!!ot
'er$e )ith the i!fi!ite or #issol%e i! the u!i%erse by a!y e-ertio! of the bo#y, a!# e%e! i!
the 'ost selfless for's of lo%e a!# o''u!io! eah i!#i%i#ual re'ai!s a! isla!#( To be
'o%er)hel'e#' by lo%e& )o!#er& #e%otio!& 'e!rapture#' by a s'ile& 'e!tra!e#' by beauty ""
eah %erb e-presses a passi%e state& a surre!#er, the surplus of e'otio! a!!ot be )orke#
off i! atio! "" it a! be o'u''ate# o!ly i! internal& %iseral a!# $la!#ular& proesses(
These obser%atio!s are a$ai! i! keepi!$ )ith the harater of the t)o #i%isio!s of the
auto!o'ous !er%ous syste'( :e ha%e see! that the self"asserti%e e'otio!s operate throu$h
the po)erful a#re!al"sy'pathio syste' )hih $al%a!i+es the bo#y i!to atio! u!#er the
stress of hu!$er& pai!& ra$e& a!# fear( The parasy'patheti #i%isio!& o! the other ha!#&
!e%er $oes i!to atio! as a o'pat u!it, it #oes !ot #ispose of a po)erful pep"hor'o!e
like a#re!ali!& ati!$ #iretly o! the bo#y as a )hole( The sy'patheti #i%isio! has bee!
o'pare# to the pe#als of a pia!o& )hih affet all the !otes sou!#e#, the parasy'patheti
to the separate keys )hih at loally o! %arious or$a!s( I! the 'ai!& its fu!tio! is to
ou!terat a!# to o'ple'e!t sy'pathio"a#re!al e-itatio!0 to lo)er bloo#"pressure a!#
pulse"rate& !eutrali+e e-esses of bloo#"su$ar a!# ai#ity& to failitate #i$estio! a!# the
#isposal of bo#y")astes& to ati%ate the flo) of tears& et( I! other )or#s& the $e!eral atio!
of the para"sy'patheti syste' is inward%directed$ calming$ and cathartic( All this& a!#
other ar$u'e!ts of a 'ore teh!ial !ature& poi!t to the orrelatio! of the partiipatory
e'otio!s )ith the parasy'patheti syste'(D
*( >our!i!$( A )o'a! is !otifie# of the su##e! #eath of her husba!#( At first she is
stu!!e#& u!able to belie%e the !e)s, the! she fi!#s so'e relief i! tears(
A$ai!& it is a situatio! i! )hih !othi!$ purposeful a! be #o!e& )hih #oes !ot be$et
atio!& but passi%e surre!#er "" '$i%i!$ i! to $rief'( A!#& a$ai!& the e'otio! ori$i!ates i! the
e-perie!e of 'belo!$i!$ to'& 'belo!$i!$ to$ether'& of a o''u!io! )hih tra!se!#s the
bou!#aries of the self( Rese!t'e!t& $uilt& u!o!sious $ratifiatio!& 'ay& of ourse& e!ter
i!to the )i#o)'s 'i-e# feeli!$s& but )e are o!er!e# at the 'o'e!t o!ly )ith her
e-perie!e of i#e!tifiatio! a!# belo!$i!$( That e-perie!e& a!# the e'otio!s $e!erate# by
it& ha%e !ot o'e to a! e!# )ith the husba!#'s #eath, o! the o!trary& they ha%e at the sa'e
ti'e beo'e 'ore i!te!se a!# frustrate#( The o%erflo) of tears is i!suffiie!t to relie%e her
fro' this surplus of e'otio!s, she )eeps 'i! $rief'& )hereas the euphori e-perie!es of the
pre%ious setio! ause# ')eepi!$ i! .oy'(
*ut the #iffere!e is i! fat a 'atter of #e$rees( The 'oist eyes i! the tra!sfi$ure# fae of
the you!$ 'other also reflet a! e'otio! )hih a!!ot be o'pletely o!su''ate#& li%e#
out, the ur$e to tra!se!# the self's bou!#aries& to break out of its i!sulatio! al)ays arries
a ertai! a'ou!t of frustratio!( Sai!ts a!# 'ystis spe!# their li%es tryi!$ to esape the
priso! of the flesh, He'i!$)ay& )ho )as !ot a sai!t& )rote of the 'heart"breaki!$ profile' of
his you!$ 3e!etia! o!tessa, a!# to be o%er)hel'e# by beauty 'ay i!#ee# be as 'heart"
breaki!$' as a )i#o)'s tears s)eete!e# by self"pity( A lo!$& e!fore# separatio! 'ay be as
pai!ful as a fi!al o!e, a!# there are ases of 'our!i!$ )here )orship of the #ea# part!er&
)ith or )ithout hope for a reu!io! i! after"life& reates a 'ore har'o!ious& if i'a$i!ary&
o''u!io! tha! the atual part!ership e%er #i#(
These o!ti!uous tra!sitio!s bet)ee! ')eepi!$ i! .oy' a!# ')eepi!$ i! sorro)' reflet the
relati%e !ature of 'pleasure' a!# 'u!pleasure' 1#nlust& #isphoria& as #isti!t fro' physial
pai!2( E'otio!s ha%e bee! alle# 'o%erheate# #ri%es'( A #ri%e beo'es 'o%erheate#' )he! it
has !o i''e#iate outlet, or )he! its i!te!sity is so i!rease# that the !or'al outlets are
i!suffiie!t, or for both reaso!s( A 'o#erate a'ou!t of o%erheati!$ 'ay be e-perie!e# as
a pleasurable arousal& thrill& e-ite'e!t& or appetite "" )hile a!tiipati!$ 1or i'a$i!i!$2 the
o!su''atory at( E%e! physial #iso'fort a!# pai! are rea#ily tolerate# 1for i!sta!e& i!
'ou!tai!"li'bi!$ or trout"fishi!$ o! a! iy 'or!i!$2 i! the pleasurable a!tiipatio! of the
re)ar#( *ut )he! the 'o%erheati!$' e-ee#s a ritial le%el it is e-perie!e# as te!sio!&
stress& frustratio!& sufferi!$( Ho)e%er& the pleasure"u!pleasure to!e is #eter'i!e# !ot o!ly
by the intensity of e'oti%e pressure, it also #epe!#s o! )hether the pressure is increasing
or decreasing( I!te!se frustratio! ha!$es i!to i!ipie!t relief the 'o'e!t the
o!su''atory atio! has starte# "" or has 'erely o'e i!to si$ht( <erease of te!sio! is
pleasurable "" up to a poi!t( If the )ater"le%el& so to speak& falls below a ritial poi!t& there
is a se!satio! of #ryi!$"up& of bore#o' a!# restless!ess( At this sta$e i!reases of e'otio!
are i!#ue# by %arious 'etho#s of seeki!$ out thrills "" fro' )il#"$a'e hu!ti!$ to horror
o'is a!# other for's of )hat o!e 'i$ht all 'e'otio!al )i!#o)"shoppi!$'0 the %iarious
satisfatio!s #eri%e# fro' rea#i!$ the soial $ossip olu'!s or )athi!$ a strip"tease( I!
these ases the pleasurable e-perie!e is #eri%e# !ot fro' a!tiipati!$& but fro' imagining
the re)ar#, a!# the satisfatio! obtai!e# "" suh as it is "" o!sists i! the 'i!ter!al
o!su''atio!' of those o'po!e!ts i! the o'ple- #ri%e )hih a! be li%e# out i! fa!tasy(
Thus pleasure"u!pleasure for' a o!ti!uous sale of 'feeli!$"to!es' )hih ao'pa!y
e'otio!0 the for'er i!#iati!$ the pro$ress 1real& a!tiipate#& or i'a$i!e#2 of a #ri%e
to)ar#s its o!su''atio!& the latter i!#iati!$ its frustratio!(
This lea#s us to a /uasi three"#i'e!sio!al theory of e'otio!s 1)hih sou!#s i!%ol%e#& but
is probably still a )oeful o%er"si'plifiatio!2( I! the first plae& )e 'ust ob%iously
#iffere!tiate bet)ee! the %arious e'otio!s aor#i!$ to the nature of the drive& ori$i!ati!$
i! %arious physiolo$ial& soial& or 'psyho$e!i' 748 !ee#s a!# ur$es "" hu!$er& se-&
protetio! of offspri!$& uriosity 1the 'e-ploratory #ri%e'2& o!%i%iality& et( To use a oarse
but o'fortable a!alo$y& let eah of these be represe!te# by a #iffere!t tap i! a saloo!"bar&
)hih is tur!e# o! as the #e'a!# arises& eah ser%i!$ a be%era$e )ith a #iffere!t fla%our( I!
the seo!# plae& )e ha%e the pleasure%unpleasure sale& orrespo!#i!$ to the pressure i!
the tap "" )hether the li/ui# flo)s s'oothly& or $ur$les a!# splutters beause of air"loks or
e-ess pressure( I! the thir# plae& )e ha%e the polarity bet)ee! the self%assertive and
participatory te!#e!ies )hih e!ter i!to eah e'otio! 1for i!sta!e& possessi%e!ess %ersus
i#e!tifiatio! i! 'ater!al lo%e2, this oul# be represe!te# by the relati%e proportio! of
alohol a!# )ater i! the li/ui#( :e a! thus #isti!$uish bet)ee! three %ariables or
'para'eters' i! e%ery e'otio!al e-perie!e0 'fla%our' 1hu!$er& lo%e& uriosity2, 'pressure'&
pleasa!t or u!pleasa!t, a!# 'alohol"o!te!t'0 to-i& i(e( a$$ressi%e"#efe!si%e& or soothi!$
a!# atharti(
C( Relief( A )o'a! )hose so! has bee! reporte# by the :ar Offie as 'issi!$ su##e!ly
sees hi' )alki!$ i!to her roo'& safe a!# sou!#( A$ai! the first reatio! is shok a!#
ri$i#ity, the! she fli!$s herself i!to his ar's& alternately laughing and weeping(
Ob%iously there are t)o proesses i!%ol%e# here( The first is the su##e!& #ra'ati relief
fro' a!-iety, the other a! o%er)hel'i!$ .oy& lo%e& te!#er!ess( So'e )riters o! the sub.et
are apt to o!fuse these t)o reatio!s "" to re$ar# all .oyous e'otio! as #ue to relief fro'
a!-ious te!sio!( *ut learly a te!#er reatio! )oul# be e-pete# i! a!y ase fro' the
'other o! her so!'s retur! "" e%e! if he )ere 'erely retur!i!$ fro' a #ay at shool& a!#
there ha# bee! !o pre%ious a!-iety( 3ie %ersa& relief fro' a!-iety i! itself& thou$h al)ays
pleasa!t& #oes !ot reate te!#er feeli!$s o%erflo)i!$ i! tears( :hat happe!e# i! the prese!t
ase is that the a$o!y the )o'a! e!#ure# ha# i!rease# the i!te!sity of her year!i!$ a!#
lo%e, a!# that relief fro' a!-iety ha# i!rease# out of all propo!io! the $ratifiatio! she
)oul# ha%e felt o! his retur! after a! abse!e u!#er !or'al iru'sta!es(
=et 'e be a little 'ore e-pliit "" for the situatio! has& as )e shall see& a #iret beari!$ o!
the e'otio!al reatio!s i!#ue# by )orks of #ra'ati art( The 'other's su##e! relief fro'
a!-iety oul# be %erbali+e# as 'tha!k ;o# you are !ot #ea#'( Up to that 'o'e!t she ha#
trie# to o!trol her fears& to ba!ish fro' o!sious!ess the terrible i'a$es of )hat 'ay
ha%e bee! happe!i!$ to her boy( No) she a! let herself $o& allo) her e'otio!s a free
outlet( He!e the 'a!i #isplay of hu$$i!$& bustli!$& lau$hi!$& alli!$ i! the !ei$hbours&
a!# upsetti!$ the tea kettle0 she is )orki!$ off the a#re!ali! of all that pe!t"up a!#
su##e!ly release# a!-iety( *ut i! the 'i##le of these heti ati%ities there are 'o'e!ts
)he! she $la!es at the e'barrasse# pro#i$al )ith a ki!# of i!re#ulous& rapt e-pressio!
a!# her eyes a$ai! o%erflo) )ith soothi!$& peaeful tears( The alter!atio! a!# o%erlappi!$
of the t)o patter!s "" o!e erupti%e a!# a$itate#& the other $ra#ual a!# atharti "" i!#iate
the !o) fa'iliar t)o proesses a!# the !ature of the e'otio!s ate# out(
These beo'e e%e! 'ore e%i#e!t i! e-la'atio!s suh as 'Ho) silly of 'e to ry'&
follo)e# by 'ore bustli!$ a!# 'erri'e!t( The u!e-pete# retur! of the boy )as like a the
'bolt out of the blue' )hih ut short the te!se !arrati%e of her a!-ious fa!tasies, the te!sio!
has su##e!ly beo'e re#u!#a!t& a!# is #iso)!e# by reaso!( At other 'o'e!ts she is still
u!able 'to belie%e her eyes' a!# e'otio! )ells up a$ai!( This 'ay e%e! i!lu#e so'e
u!o!sious rese!t'e!t a$ai!st the ause of so 'uh !ee#less )orry& )ho sta!#s i! her
roo'& su!bur!t a!# $ri!!i!$& u!a)are of the sufferi!$ he has ause#0 ':hat a fool I ha%e
bee! to )orry so 'uh' 'ay be tra!slate# as ':hat a fool you ha%e 'a#e of 'e'(
'=au$hi!$ throu$h o!e's tears' is ause# by /uikly osillati!$ 'e!tal states& )here reaso!
a!# e'otio! are alter!ately u!ite# a!# #issoiate#( A su##e! shok )hih #e'a!#s a 'a.or
e'otio!al rea#.ust'e!t is ofte! follo)e# by suh osillatory phases i! )hih the sub.et
alter!ately belie%es a!# #isbelie%es her eyes& u!til a full $rasp of reality is reahe# o! all
le%els( If i!stea# of the happy e!#i!$& there ha# bee! a tra$i o!e "" a tele$ra' i!for'i!$
the )o'a! of her boy's #eath "" the!& i!stea# of #isbelie%i!$ her eyes& she )oul# ha%e bee!
te'pte# to #isbelie%e the !e)s, a!# )hile the happy 'other beha%es at 'o'e!ts as if the
boy )ere still i! #a!$er& the berea%e# 'other 'ay beha%e at ti'es as if he )ere still ali%e(
I! the for'er ase& the suessi%e flashes of reality )hih #isrupt the )eb of illusio! bri!$
happy relief, i! the latter& eah flash bri!$s re!e)e# #espair( A perso! )ith psyhoti
#ispositio!s 'ay& ho)e%er& li!$ to the illusio!& a!# it )ill be the 'atri- of reality )hih
#isi!te$rates i!stea#( The 'hollo)' lau$hter i! ertai! for's of i!sa!ity see's to eho the
effort of re%ersi!$ the proess of a#.ust'e!t "" the effort of $oi!$ 'a# i! the teeth of a
)orl# that is sa!e(
I! the 'il#er for's of para!oia i!#ue# by the sta$e a!# sree!& the osillatio!s bet)ee!
illusio! a!# reality are #eliberately reate# a!# prolo!$e#( The atharti effet of the
a!ti/ue 'ysteries a!# of the 'o#er! #ra'a alike are #eri%e# fro' 'a!'s u!i/ue faulty of
belie%i!$ a!# #isbelie%i!$ his eyes i! the sa'e bli!k(
<( :he! a )o'a! )eeps i! sympathy )ith a!other perso!'s sorro) 1or .oy2& she partially
i#e!tifies herself )ith that perso! by a! at of pro.etio!& i!tro.etio!& or e'pathy ""
)hate%er you like to all it( The sa'e is true )he! the 'other perso!' is a heroi!e o! the
sree! or i! the pa$es of a !o%el( *ut it is esse!tial to #isti!$uish here bet)ee! t)o
e'otio!al proesses "" althou$h they are e-perie!e# si'ulta!eously a!# 'i-e# to$ether(
The first is the at of i#e!tifiatio! itself "" the fat that the sub.et has for the 'o'e!t
'ore or less for$otte! her o)! e-iste!e a!# partiipates i! the e-iste!e of a!other& at
a!other plae a!# ti'e( This i! itself is a self"tra!se!#i!$& $ratifyi!$ a!# 'e!!obli!$'
e-perie!e for the si'ple reaso! that )hile it lasts& the sub.et& >rs( S'ith& is pre%e!te#
fro' thi!ki!$ of her o)! a!-ieties& a'bitio!s& a!# $ru#$es a$ai!st >r( S'ith( I! other
)or#s& the at of i#e!tifiatio! te'porarily inhibits the self"asserti!$ te!#e!ies(
The seo!# proess is 'e#iate# by the first0 the at of i#e!tifiatio! lea#s to the
e-perie!i!$ of %iarious e'otio!s( :he! >rs( S'ith is 'shari!$ >rs( *ro)!'s sorro)'
there is i! the first plae the sharing& a!# i! the seo!#& the sorrow( The first is a! u!selfish
partiipatory e-perie!e )hih 'akes her feel '$oo#' "" i! the literal& !ot i! the heap se!se
1)he! self"o!$ratulatory or $loati!$ se!ti'e!ts are prese!t& there is !o true i#e!tifiatio!2(
The seo!# is the sorro) "" a %iarious e-perie!e& but $e!ui!ely felt( It 'ay of ourse be
.oy or a!-iety i!stea#( The tears of >rs( S'ith at the happy e!#i!$ )he! the lo%ers o! the
sree! are reu!ite# or the baby's life is sa%e# i! the !ik of ti'e& are release# by the sa'e
proess as the tears of the )o'a! )hose so! has su##e!ly retur!e#0 relief fro' a!-iety& a!#
a hot sur$e of .oy(
The a!-iety )hih $rips the spetator of a thriller"fil'& thou$h %iarious& is !e%ertheless
real, it is reflete# i! the fa'iliar physial sy'pto's "" palpitatio!s& te!se# 'usles& su##e!
'.u'ps' of alar'( The sa'e applies to the a!$er felt at the 'ahi!atio!s of the perfi#ious
%illai! o! the sree!& )ho' >e-ia! au#ie!es ha%e bee! k!o)! to ri##le )ith bullets(
This lea#s us to a! appare!t para#o- )hih is basi to the u!#ersta!#i!$ of all #ra'ati art
for's( :e ha%e see! that o! the o!e ha!# the self"tra!se!#i!$ e'otio!s "" partiipatio!&
pro.etio!& i#e!tifiatio! "" inhibit the self"asserti!$ te!#e!ies0 they soothe& al'&
eli'i!ate )orry a!# #esire& pur$e bo#y a!# 'i!# of its te!sio!s( O! the other ha!#& the at
of self"tra!se!#i!$ i#e!tifiatio! 'ay stimulate the sur$e of a!$er& fear& ruelty& )hih&
althou$h e-perie!e# o! behalf of so'ebo#y else& !e%ertheless belo!$ to the self"asserti%e&
a$$ressi%e"#efe!si%e lass a!# #isplay all their bo#ily sy'pto's( The 'other's bustli!$&
lau$hter& a$itatio! o! her so!'s retur!& sho)s the lassi 'a#re!o"to-i' patter!& harateristi
of the self"asserti%e e'otio!s "" althou$h her a!-iety )as e!tre# !ot o! herself& but
e-perie!e# o! behalf of her so!( A!$er& fear& a!# the relate# 'e'er$e!y"reatio!s' use the
sa'e physiolo$ial 'eha!is' )hether the threat is #irete# at o!e's o)! perso!& or the
perso! )ith )ho' o!e has i#e!tifie# o!eself( They are al)ays 'self"asserti%e' "" althou$h
the 'self' has 'o'e!tarily ha!$e# its a##ress "" by bei!$& for i!sta!e& pro.ete# i!to the
ha!#so'e a!# $uileless heroi!e o! the sree!( Ri$hteous i!#i$!atio! about i!.usties
i!flite# o! others a! $e!erate beha%iour .ust as fa!atial as the sti!$ of a perso!al i!sult(
Self"sarifii!$ #e%otio! to a ree# bre# ruthless i!/uisitors "" 'the )orst of 'a#'e! is a
sai!t ru! 'a#'(
The $lory a!# the tra$e#y of the hu'a! o!#itio! are losely relate# to the fat that u!#er
ertai! iru'sta!es the partiipatory te!#e!ies 'ay ser%e as 'e#iators or %ehiles for
e'otio!s belo!$i!$ to the opposite lass, )hereas u!#er #iffere!t iru'sta!es the t)o
te!#e!ies ou!terat a!# har'o!iously bala!e eah other( :e shall retur! to this sub.et&
fro' a #iffere!t a!$le& i! the !e-t setio!, but let 'e !ote i! passi!$ that the pree#i!$
re'arks o! the %arious )ays i! )hih the t)o te!#e!ies i!terat o! the psyholo$ial le%el
are a$ai! i! keepi!$ )ith the fats 1as far as k!o)!2 about the #iffere!t 'o#es of
i!teratio! bet)ee! the t)o #i%isio!s of the auto!o'ous !er%ous syste'& )hih 'ay be
a!ta$o!isti& o'pe!satory& atharti& or atalyti& aor#i!$ to o!#itio!s( 798
D D D
E( Self"Pity( A little boy is beate! up by a $a!$ of bullies( For a )hile he tries to fi$ht bak&
to hit& srath& a!# kik& but his tor'e!tors i''obili+e hi'& a!# at last he be$i!s to ry i!
'i'pote!t ra$e'(
*ut the e-pressio! is 'islea#i!$( A!ybo#y )ho has )athe# hil#re! fi$ht k!o)s that
)eepi!$ )ill start o!ly after the %iti' has $i%e! up stru$$li!$ a!# )ri$$li!$ a!# aepte#
#efeat( After a )hile !e) outbursts of ra$e 'ay re!e) the stru$$le& but& eah ti'e this
happe!s& )eepi!$ is i!terrupte#( It is !ot a! e-pressio! of ra$e 1althou$h the t)o 'ay
o%erlap2 but a! e-pressio! of helpless!ess after ra$e has bee! e-hauste# a!# a feeli!$ of
bei!$ aba!#o!e# has set i! "" a year!i!$ for lo%e& sy'pathy& o!solatio!( I! other )or#s&
the tears o!e 'ore si$!ify a frustratio! of the partiipatory e'otio!s, a!# if !o sy'pathy
is fortho'i!$& self"pity )ill pro%i#e a substitute "" a 'il# #issoiatio! of the perso!ality& i!
)hih the self is e-perie!e# al'ost as a! alie! ob.et of lo%i!$ o''iseratio!(
Si'ilar o!si#eratio!s apply to so"alle# 'ryi!$ i! pai!'( I! states of %iole!t physial pai!&
as i! aute states of ra$e& the or$a!is' is fully oupie# opi!$ )ith the e'er$e!y a!# has
!o ti'e for tears(
';reat pai!'& )rote <ar)i!& 'ur$es all a!i'als& a!# has ur$e# the' #uri!$ e!#less
$e!eratio!s& to 'ake the 'ost %iole!t a!# #i%ersifie# efforts to esape fro' the ause of
sufferi!$s( E%e! )he! a li'b or other separate part of the bo#y is hurt& )e ofte! see a
te!#e!y to shake it as if to shake off the ause& thou$h this ob%iously be i'possible( Thus
a habit of e-erti!$ )ith the ut'ost fore all the 'usles )ill ha%e bee! establishe#
)he!e%er $reat sufferi!$ is e-perie!e#(' 7A8
Ca!!o! has sho)! that the 7odily hanges in Pain$ Hunger$ 1ear$ and !age 1the title of
his lassi )ork2 all follo) the sa'e basi patter!& that they are e'er$e!y respo!ses of the
sy'pathio"a#re!al syste'( 3iole!t pai! see's to be e-perie!e# by the u!o!sious 'i!#
as a! a$$ressio!& )hether it is i!flite# by a! outsi#e a$e!t or !ot( :he! the a$$ressor is a
tooth or a ra'p i! the sto'ah )e are apt to say 'it hurts'& as if the offe!#i!$ or$a! )ere
!ot part of o!eself& a!# )e try to shake the a$$ressor off& as a!i'als #o& by )rithi!$& or
pressi!$ a$ai!st it( O!ly )he! the pai! has abate# to a tolerably stea#y& '#ull' le%el #o )e
aept it as part of oursel%es "" )e 'ha%e' a hea#ahe or 'are' u!#er the )eather "" at the
sa'e ti'e a#'itti!$ that !othi!$ a! be #o!e about it, )rithi!$ a!# stru$$li!$ ease i! the
a#'issio! of #efeat& as i! the ase of the hil# i! the $rip of its tor'e!tors( ':eepi!$ i!
pai!' starts o!ly )he! the speifi pai!"beha%iour stops& as ')eepi!$ )ith ra$e' starts )he!
ra$e"beha%iour stops& a!# for preisely the sa'e reaso!s0 it is a! aba!#o!i!$ of #efe!es&
a! e-pressio! of helpless!ess& a ra%i!$ for sy'pathy& a!# "" if ao'pa!ie# by %oal ries
"" a! appeal for help(
A!other 'iso!eptio! is that hil#re! 'ry )ith fear'& if 'ryi!$' is use# as a sy!o!y' for
)eepi!$( A hil# 'ay ry out& i! the literal se!se& )he! su##e!ly fri$hte!e#, it 'ay ru!
a)ay& a!# if it a!!ot& strai! a)ay fro' the threate!i!$ apparitio!& lift his ha!#s i!
protetio!& a!# #istort his fae i!to a 'ask of terror( O!e 'ore& the tears )ill o'e o!ly
after the aute fri$ht a!# the speifi strai!e# fri$ht"reatio!s ha%e ease#, they #o !ot
'ea! 'I am fri$hte!e#' but 'I was so fri$hte!e#& a!# 'aybe still a' a little& a!# !o) I )a!t
to be o'forte#('
Co!si#er )hat happe!s )he! a little boy& ru!!i!$ alo!$ a $ra%el path& su##e!ly stu'bles
a!# falls( The fri$ht"reatio! o!sists i! the proteti%e outstrethi!$ of ha!#s& a!# relate#
'usle"refle-es( O!e the o!tat )ith the earth is 'a#e a!# the first shok o%ero'e& the
aute sare ebbs a)ay& the 'usles rela- i! surre!#er& the faial e-pressio! ha!$es fro'
fear to the sy'pathy"be$$i!$ $ri'ae of i!ipie!t )eepi!$( If there is !o )it!ess to the
#ra'a& self"pity )ill a$ai! pro%i#e the o%erflo)( If it is )it!esse# by the 'other& )ho
'akes a fuss a!# betrays her a!-iety& this )ill i!rease the hil#'s ra%i!$ for te!#er!ess
a!# its tears )ill ask for 'ore( If& o! the other ha!#& she $e!tly but fir'ly #ebu!ks the
#ra'a& the!& after a 'o'e!t of pu++le'e!t& the hil# 'ay break i!to rather hesita!t
lau$hter "" the resi#ue of the sare& a!# e%e! the sli$ht pai!& are #e!ie# by reaso! a!#
)orke# off& )hile at the sa'e ti'e the sy'pathy"ra%i!$ e'otio!s are !ippe# i! the bu# by
the 'other's 'atter"of"fat attitu#e(
=astly& 'ryi!$ i! hu!$er'( A baby !e%er )eeps fro' hu!$er "" it ries to si$!al hu!$er( The
proof is that ryi!$ i!sta!ta!eously stops )he! the bottle or breast is offere#& before hu!$er
a! ha%e ease#, further'ore& o!e the hil# is )ea!e# fro' breast a!# bottle& hu!$er
eases to be e-presse# by ryi!$ or )eepi!$( 768
Nee#less to say& )he! a baby ries to attrat atte!tio!& to si$!al that it is hu!$ry or i!
#istress& if ofte! breaks i!to tears at the sa'e ti'e( Bet i! suh situatio!s )e say 'the baby is
ryi!$'& !ot 'the baby is )eepi!$'& beause the esse!e of the perfor'a!e is the %oal
protest or appeal for help, the she##i!$ of tears is 'erely a! ao'pa!i'e!t( The baby's
ba)li!$& kiki!$& a!# tossi!$ is a typial a!# i'pressi%e e'er$e!y"reatio! i! 'pai!&
hu!$er& fear& a!# ra$e' of a #ra'atially self"asserti!$ ki!#( The si'ulta!eous o%erflo) of
the tear"$la!#s 'ay be '$e!ui!e' )eepi!$ "" lo!$i!$ for affetio! a!# te!#er!ess "" as a!
ao'pa!i'e!t to the ba)li!$, it 'ay also be #ue to physiolo$ial auses( :ateri!$ of the
eyes a! be i!#ue# as a purely physiolo$ial #efe!e refle- a$ai!st the i!trusio! of a
forei$! bo#y "" a piee of $rit or the 'oleules )hih arry the s'ell of o!io!s(
1=ahry'atio! ause# by suh loal irritatio! is& by the )ay& u!ilateral "" it ours i!itially
i! the affete# eye o!ly2( 7I8 It a! also be ause# by ou$hi!$& s!ee+i!$& %o'iti!$& a!#
after prolo!$e# fits of lau$hter( The physiolo$ial 'eha!is' is still so'e)hat obsure&
e-ept that all these %iole!t e-ertio!s affet the 'uous 'e'bra!es of the !ose a!# throat&
a!# te!# to #ry the', the lahry'al $la!#s 'ay ha%e the fu!tio! of restori!$ lubriatio!
throu$h tears e!teri!$ the !ose( 7@8 :he! o!e sees a baby ry its hea# off )ith #ry eyes
u!til it $ets hoarse& o!e i!tuiti%ely feels that tears )oul# be a relief "" both psyholo$ially
a!# physiolo$ially( The sa'e applies to a#ults i! situatio!s of e-tre'e #istress(
Ho'e they brou$ht the )arrior #ea#, She !or s)oo!e# !or uttere# ry( All her 'ai#s&
)athi!$ sai#& 'She 'ust )eep or she )ill #ie'( 1Te!!yso!& The Pri!ess2
=astly& )eepi!$ 'ay start i! the hil# as a $e!ui!e& spo!ta!eous o%erflo)"refle-& but o!e
the po)er of tears has bee! o!siously or u!o!siously reo$!i+e#& the flo) 'ay be
i!itiate# auto'atially& or e%e! %olu!tarily& as a )eapo! 'ore subtle a!# 'ore effeti%e
tha! 'ere ries of o'plai!t or protest(D ':e see' to a/uire speifi %iseral habits .ust as
)e pik up harateristi %erbal a!# 'a!ual habits&' Kli!$ has re'arke#& 7O8 a!# )e ou$ht
to i!lu#e i! '%iseral habits' the e-erise of the lahry'al $la!#s( :eepi!$ 'ay be
reruite# i!to the ser%ie of hysteria& e'otio!al blak'ail& a!# e%e! ourtly beha%iour 1as a
proof of se!sibility less stre!uous tha! s)oo!i!$2, it 'ay be assoiate# )ith o!%ulsio!s&
shrieks& a!# a$itate# #isplay, but its true harater is 'a!ifeste# by the perso! )ho )eeps
alo!e "" helpless i! her surre!#er to a! e'otio! )hih& by its !ature& a! fi!# !o other
outlet& )hether it is ause# by the thu!#er of a hurh or$a!& or the fall of a sparro)(
NOTES
To p( 9O4( So sa!t are the refere!es of a!y si$!ifia!e to the sub.et i! the teh!ial
literature& that I thou$ht it )oul# be useful to future stu#e!ts to list )hat I oul# fi!# u!#er
a separate hea#i!$ at the e!# of the biblio$raphy( >y i!#ebte#!ess to those )ho helpe# i!
this is ak!o)le#$e# i! the Prefae(

To p( 9OA( Ro'ai! Rolla!# #esribi!$ the harater of reli$ious e-perie!e i! a letter to
Freu# "" )ho re$retfully professe# !e%er to ha%e felt a!ythi!$ of the sort(

To p( 9O6( 'The harateristi a!ato'ial or$a!i+atio! of the parasy'patheti is orrelate#
)ith abse!e of u!itary atio! i! this syste'( It is !ot surprisi!$ therefore that the a#re!al
'e#ulla ( ( ( has !o ou!terpart i! the parasy'patheti syste'& a!# that !o
parasy'pathio'i'eti hor'o!e apable of ati!$ e-te!si%ely upo! or$a!s i!!er%ate# by
this syste' is liberate# i! the bo#y(' 1>aleo#& e#( *ar#& 4564 e#(2 ' ( ( ( I! o!trast to the
sy'patho'i'eti hor'o!es& the %a$us substa!e is rapi#ly #estroye#& a!# therefore
pro#ues %ery loali+e# respo!se( These effets are i! li!e )ith the $e!eral beha%iour of the
sy'patheti a!# parasy'patheti syste's of !er%es(' 1:hite a!# S'ith)ik& 4564& 9!#(
e#(2

'All the %isera a! be i!flue!e# simultaneously i! o!e #iretio! or the other by %aryi!$&
up or #o)!& the ( ( ( to!i ati%ity of the sy'patheti #i%isio!( A!# a!y speial %isus a!
be separately i!flue!e# ( ( ( by %aryi!$ ( ( ( the to!i ati%ity of the speial !er%e of the
oppose# ra!ial or saral 7parasy'patheti8 #i%isio!( ( ( ( The sy'patheti is like the lou#
a!# soft pe#als& 'o#ulati!$ all the !otes to$ether, the ra!ial a!# saral 7parasy'patheti8
i!!er%atio!s are like the separate keys(' 1Ca!!o!& 4595& 9!#( e#(2

I! the years si!e this has bee! )ritte!& the si$!ifia!e for psyholo$y of the a!ato'ial
a!# physiolo$ial o!trast bet)ee! the t)o bra!hes of the auto!o'i !er%ous syste' has
beo'e 'ore e%i#e!t& to the e-te!t that 'ra$e is alle# the 'ost a#re!er$i& a!# lo%e the
'ost holi!er$i reatio!' 1Cobb& 45IC2( A further orrespo!#e!e bet)ee! patter!s of
e'oti%e beha%iour a!# 'o#es of i!teratio! bet)ee! the t)o bra!hes of the auto!o'i
!er%ous syste' e'er$e# )he! it )as sho)! that the %a$oi!suli! syste' 'ay at& i!
#iffere!t iru'sta!es& as a! i!hibitory or a atalyti a$e!t i! the $luose"utili+atio!
proess a!# 'ay also pro#ue o%ero'pe!satory after effets 1;ellhor!& 456A& a!# 45IO2(
Hebb 145652 su$$este# that a #isti!tio! shoul# be 'a#e bet)ee! t)o ate$ories of
e'otio!s& 'those i! )hih the te!#e!y is to 'ai!tai! or i!rease the ori$i!al sti'ulati!$
o!#itio!s 1pleasurable or i!te$rati%e e'otio!s2' a!# 'those i! )hih the te!#e!y is to
abolish or #erease the sti'ulus 1ra$e& fear& #is$ust2'( :hereas the latter ha%e a #isrupti%e
effet o! ortial beha%iour& the for'er ha%e !ot( A fe) years later& Ol#s 145I5 a!# 45@C2
a!# others #e'o!strate# the e-iste!e of 'positi%e' a!# '!e$ati%e' e'oti%e syste's by
eletri sti'ulatio!& a!# further sho)e# that they )ere ati%ate# respeti%ely by the
parasy'patheti a!# sy'patheti e!tres i! the hypothala'us(

These hi!ts all see' to poi!t i! the sa'e #iretio!& but i! fair!ess to the $e!eral rea#er I
ou$ht to poi!t out that& )hile there is a'ple e-peri'e!tal proof that the hu!$er"ra$e"fear
e'otio!s are 'e#iate# by the sy'pathio"a#re!al #i%isio!& there is !o #iret e%i#e!e for
the sy''etrial orrelatio! propose# here( Suh proof a! be fortho'i!$ o!ly )he!
e'otio!s outsi#e the hu!$er"ra$e"fear lass )ill be reo$!i+e# as a )orth)hile ob.et of
stu#y by e-peri'e!tal psyholo$y "" )hih at prese!t is !ot the ase(

To p( 9F9( A psyhoa!alyst frie!# of 'i!e& after rea#i!$ the 'a!usript of the pree#i!$
setio!& ob.ete# that his patie!ts fre/ue!tly )eep #uri!$ the a!alytial hour 'i! a!$er a!#
frustratio!'( *ut he a$ree# that a!$er alo!e )oul# !ot ha%e pro#ue# the tears& a!# that the
frustratio! )as #ue& 'etaphorially speaki!$& to the a!alyst's refusal 'to $i%e the patie!t the
breast a!# si!$ a lullaby'(




HIII
PARTNESS AN< :HO=ENESS
Stephil#re! of Psyholo$y
The self"tra!se!#i!$ e'otio!sD are the stephil#re! of o!te'porary psyholo$y( O!e of
the reaso!s is perhaps that they #o !ot te!# to)ar#s obser%able 'usular ati%ity but
to)ar#s /uietu#e, $rief& lo!$i!$& )orship& rapt!ess& aestheti pleasure are e'otio!s
o!su''ate# !ot i! o%ert but i! internali0ed& %iseral beha%iour& )ith )eepi!$ as its
e-tre'e 'a!ifestatio!( *ut e%e! the she##i!$ of tears is !ot so 'uh a! ati%ity but rather
a 'passi%ity'(
The )or# 'e'otio!' is #eri%e# fro' ''otio!', a!# a! e'otio! )hih te!#s to al' #o)!
'otio! see's to be a o!tra#itio! i! ter's( Bet the aestheti or reli$ious e-perie!es
)hih )e all ''o%i!$' are preisely those )hih i!#ue passi%e o!te'platio!& sile!t
e!.oy'e!t( :he! the e-peri'e!tal psyholo$ist talks of 'e'oti%e beha%iour'& ho)e%er& he
!early al)ays refers to ra$e& fear& se-& a!# hu!$er& )hereas e'otio!s )hih #o !ot be$et
o%ert ati%ity are slurre# o%er as ''oo#s' or se!ti'e!ts "" )ith the i'pliatio! that they are
a suspet ate$ory of pseu#o"e'otio!s u!)orthy of the sie!tist's atte!tio!( This is
probably a ha!$o%er of the $reat i#eolo$ial urre!ts of the !i!etee!th( e!tury stressi!$
the biolo$ial stru$$le for e-iste!e& the sur%i%al of the fittest& the a/uisiti%e a!#
o'petiti%e aspets of soial beha%iour( The a'bia!e of this '<ar)i!isti psyholo$y' is
reflete# i! passa$es like the follo)i!$& fro' Crile's *he Origin and 9ature of the
6motions& publishe# i! 454I0
:he! the busi!ess 'a! is o!#uti!$ a stru$$le for e-iste!e a$ai!st his ri%als& a!# )he!
the o!test is at its hei$ht& he 'ay le!h his fists& pou!# the table& perhaps sho) his teeth&
a!# e-hibit e%ery e-pressio! of physial o'bat( Fi-i!$ the .a) a!# sho)i!$ the teeth i!
a!$er 'erely e'phasi+e the re'arkable te!aity of philo$e!y ( ( (
It 'ust be a#'itte#& thou$h& that the soial li'ate of the !i!etee!th e!tury #i# !ot fa%our
the o!te'plati%e life& !or the arousal of $e!ui!e self"tra!se!#i!$ e'otio!s( The 3itoria!
%ersio!s of reli$io!& patriotis'& a!# lo%e )ere so thorou$hly i'pre$!ate# )ith pru#ery a!#
hyporisy that the e-peri'e!tal psyholo$ist& #e%ote# to 'easuri!$ se!sory threshhol#s
a!# 'usle t)ithes oul# har#ly be e-pete# to take suh attitu#es seriously& a!# to put
the' o! a par )ith the se- a!# hu!$er #ri%es( Arou!# the tur! of the e!tury& the so"alle#
?a'es"=a!$e theory of e'otio!s e'phasi+e# the i'porta!e of %iseral proesses& but it
)as !e%ertheless take! for $ra!te# that the 'true' or ''a.or' e'otio!s )ere harateri+e# by
i'pulses to 'usular atio! "" 'ai!ly to hit& ru!& or rape( :he! Ca!!o! sho)e# that
hu!$er& pai!& ra$e& a!# fear )ere& so to speak& %ariatio!s o! a si!$le the'e& it )as taitly
take! for $ra!te# that all e'otio!s )orthy of that !a'e )ere of the ati%e& a#re!o"to-i&
hit"ru!"'ate"#e%our ki!#( =au$hter a!# tears& a)e a!# )o!#er& reli$ious a!# aestheti
feeli!$& the )hole '%iolet' si#e of the rai!bo) of e'otio!s )as left to the poets to )orry
about, the so"alle# beha%ioural sie!es ha# !o roo' for the'( He!e the pauity of the
literature o! )eepi!$ for i!sta!e "" althou$h it is ertai!ly a! obser%able beha%ioural
phe!o'e!o!(
The e'otio!s of the !e$lete# half of the spetru' are as real as ra$e a!# fear, that 'uh
)e k!o) for ertai! fro' e%ery#ay e-perie!e( The theory )hih I ha%e propose# assu'es
that they for' a lass& harateri+e# by ertai! share# basi features( These are partly
!e$ati%e0 the abse!e of a#re!o"sy'patheti e-itatio! alo!e puts the' i! a ate$ory apart
fro' the e'er$e!y respo!ses( O! the positi%e si#e& e'otio!al states as #iffere!t as
'our!i!$ a!# aestheti e!ha!t'e!t share the lo$i of the 'oist eye0 they are passi%e&
atharti& #o'i!ate# by parasy'patheti reatio!s( Fro' the psyholo$ial poi!t of %ie)&
the self"asserti!$ e'otio!s& #eri%e# fro' e'er$e!y reatio!s& i!%ol%e a narrowing of
o!sious!ess, the partiipatory e'otio!s a! expansion of o!sious!ess by i#e!tifiatory
proesses of %arious ki!#s(
There e-ist& ho)e%er& o!si#eratio!s of a 'ore preise a!# at the sa'e ti'e& 'ore $e!eral
!ature o! )hih this theory of the e'otio!s is base#( These are #isusse# i! *ook T)o& but
I 'ust briefly allu#e to the'( I! that )i#er o!te-t& the polarity bet)ee! the self"asserti!$
a!# partiipatory te!#e!ies tur!s out to be 'erely a partiular i!sta!e of a $e!eral
phe!o'e!o!0 !a'ely& that e%ery 'e'ber of a li%i!$ or$a!is' or soial bo#y has the #ual
attributes of ')hole!ess' a!# 'part!ess'( It ats as a! auto!o'ous& self"$o%er!i!$ )hole o!
its o)! subor#i!ate parts o! lo)er le%els of the or$a!i or soial hierarhy, but it is
subser%ie!t to the o"or#i!ati!$ e!tre o! the !e-t hi$her le%el( I! other )or#s it #isplays
both self"asserti%e a!# partiipatory te!#e!ies(
The Co!ept of Hierarhy
The )or# 'hierarhy' is use# here i! a speial se!se( It #oes !ot 'ea! si'ply 'or#er of ra!k'
1as i! the 'peki!$ hierarhy' of the far'yar#2, it 'ea!s a speial type of or$a!i+atio! 1suh
as a 'ilitary hierarhy2 i! )hih the o%erall o!trol is e!trali+e# at the ape- of a ki!# of
$e!ealo$ial tree& )hih bra!hes out #o)!)ar#( At the first bra!hi!$"out& the
o''a!#ers of the la!#"& sea"& a!# air"fores )oul# orrespo!# to the oor#i!ati!$ e!tres
of& say& the #i$esti%e& respiratory& a!# repro#uti%e or$a!"syste's, eah of these is
sub#i%i#e# i!to u!its or or$a!s o! lo)er le%els of the hierarhy )ith their o)! oor#i!ati!$
e!tres& C(O(s a!# N(C(O(s, the or$a!s i! tur! are sub#i%i#e# i!to or$a!"parts, a!# so the
bra!hi!$"proess $oes o! #o)! to the ellular le%el a!# beyo!#(
*ut eah sub"or$a!i+atio!& re$ar#less o! )hat le%el& retai!s a ertai! a'ou!t of autonomy
or self"$o%er!'e!t( :ithout this #ele$atio! of po)ers& the or$a!i+atio! oul# !ot fu!tio!
effeti%ely0 the supre'e o''a!#er a!!ot #eal )ith i!#i%i#ual pri%ates, he 'ust tra!s'it
strate$ial or#ers throu$h 're$ulatio! ha!!els'& )hih at eah le%el are tra!slate# i!to
tatial a!# sub"tatial 'o%es( I! the sa'e )ay& i!for'atio! o! )hat is happe!i!$ i! the
%arious fiel#s of operatio! 1the se!sory i!put2 is seleti%ely filtere# o! eah le%el before
bei!$ tra!s'itte# to the hi$her ehelo!s( A li%i!$ or$a!is' or soial bo#y is !ot a!
a$$re$atio! of ele'e!tary parts or ele'e!tary proesses, it is a! i!te$rate# hierarhy of
se'i"auto!o'ous sub")holes& o!sisti!$ of sub"sub")holes& a!# so o!( Thus the fu!tio!al
u!its o! e%ery le%el of the hierarhy are #ouble"fae# as it )ere0 they at as )holes )he!
fai!$ #o)!)ar#s& as parts )he! fai!$ up)ar#s(
O! the upper li'it of the or$a!i hierarhy& )e fi!# the sa'e #ouble"aspet0 the i!#i%i#ual
a!i'al or 'a! is a )hole relati%e to the parts of his bo#y& but a part relati%e to the soial
or$a!i+atio! to )hih he belo!$s( All a#%a!e# for's of soial or$a!i+atio! are a$ai!
hierarhi0 the i!#i%i#ual is part of the fa'ily& )hih is part of the la!& )hih is part of the
tribe& et(, but i!stea# of 'part' )e ou$ht i! eah ase to say 'sub")hole' to o!%ey the se'i"
auto!o'ous harater a!# self"asserti%e te!#e!y of eah fu!tio!al u!it(
I! the li%i!$ or$a!is'& too& eah part 'ust assert its i!#i%i#uality& for other)ise the
or$a!is' )oul# lose its artiulatio! a!# effiie!y "" but at the sa'e ti'e the part 'ust
re'ai! subor#i!ate to the #e'a!#s of the )hole( =et 'e $i%e a fe) e-a'ples( The heart as
a! or$a! e!.oys& of ourse& a! a#%a!e# for' of self"$o%er!'e!t0 it has its o)!
'pae'akers' )hih re$ulate its rhyth', if o!e is k!oke# out a seo!# auto'atially takes
o%er( *ut the ki#!eys& i!testi!es& a!# sto'ah also ha%e their auto!o'ous& self"re$ulati!$
#e%ies( >usles& e%e! si!$le 'usle ells& isolate# fro' the bo#y& )ill o!trat i! respo!se
to appropriate sti'ulatio!( A!y strip of tissue fro' a! a!i'al's heart )ill $o o! beati!$ i!
%itro i! its o)!& i!tri!si rhyth'( Eah of these or$a!s a!# or$a!"parts has a #e$ree of self"
suffiie!y& a speifi rhyth' or patter! of ati%ity& $o%er!e# by a built"i!& or$a!i 'o#e'(
E%e! a si!$le ell has its 'or$a!elles' )hih i!#epe!#e!tly look after its $ro)th& 'otio!&
repro#utio!& o''u!iatio!& e!er$y"supply& et(, eah aor#i!$ to its o)! sub"o#e of
'ore or less fi-e# 'rules of the $a'e'( O! the other ha!#& of ourse& these auto!o'ous
atio!"patter!s of the part are ati%ate#& i!hibite# or 'o#ifie# by o!trols o! hi$her le%els
of the hierarhy( The pae'aker"syste' of the heart& for i!sta!e& is o!trolle# by the
auto!o'ous !er%ous syste' a!# by hor'o!es, these i! tur! #epe!# o! or#ers fro' e!tres
i! the brai!( ;e!erally speaki!$& eah or$a!"'atri- 1e($( a ell"or$a!elle2 has its i!tri!si
o#e )hih #eter'i!es the fi-e#& i!%aria!t patter! of its fu!tio!i!$, but it is at the sa'e
ti'e a 'e'ber of a 'atri- o! a hi$her le%el 1e($( the ell2& )hih i! tur! is a 'e'ber of a!
or$a! or tissue& a!# so forth( Thus the t)o o'ple'e!tary pairs0 'atri- a!# o#e& self"
asserti!$ a!# partiipatory te!#e!ies& are both #eri%e# fro' the hierarhi struture of
or$a!i life(
Co'ple- skills& too& ha%e a hierarhi struture( Ho)e%er 'uh you try to #is$uise your
ha!#)riti!$& the e-pert )ill fi!# you out by so'e harateristi )ay of for'i!$ or
o!!eti!$ ertai! $roups of letters "" the patter! has beo'e a! auto'ati+e# a!#
auto!o'ous fu!tio!al sub")hole )hih asserts itself a$ai!st atte'pts of o!sious
i!terfere!e( People )hose ri$ht ha!# has bee! i!.ure# a!# )ho lear! to )rite )ith the left
soo! #e%elop a si$!ature )hih is i!#isti!$uishable fro' the pre%ious ri$ht"ha!#e# o!e ""
'the si$!ature is i! the brai!'& as a !eurolo$ist has sai#( 748 A$ai!& touh"typi!$ is a
hierarhially or#ere# skill& )here the 'letter habits' 1fi!#i!$ the ri$ht key )ithout looki!$2
e!ter as 'e'bers i!to ')or#"habits' 1a!to'ati+e# 'o%e'e!t"se/ue!es& eah )ith a 'feel' of
its o)!& )hih are tri$$ere# off as )holes& f( *ook T)o& HII2( Ask a skille# typist to
'isspell the )or# 'the' as 'hte' eah ti'e it ours "" a!# )ath ho) the o#e of the orret
se/ue!e asserts its auto!o'y( Fu!tio!al habits 'ust ha%e so'e ki!# of strutural
represe!tatio! i! the !euro!"'atries of the brai!, a!# these patter!e# iruits 'ust be
hierarhiaUy or$a!i+e# "" as or$a!"syste's are "" to aou!t for suh o'ple- a!# fle-ible
skills as& for i!sta!e& tra!sposi!$ a tu!e fro' o!e key i!to a!other(
U!#er !or'al o!#itio!s& the %arious parts of a! or$a!is' "" !er%es& %isera& li'bs ""
perfor' their se'i"auto!o'ous fu!tio!s as sub")holes& )hile at the sa'e ti'e sub'itti!$
to the re$ulati%e o!trol of the hi$her e!tres( *ut u!#er o!#itio!s of stress the part alle#
o! to ope )ith the #isturba!e 'ay beo'e o%er"e-ite# a!# $et 'out of o!trol'( The sa'e
'ay happe! if the or$a!is''s po)ers of o!trol are i'paire# "" by se!ese!e& for i!sta!e&
or by a physiolo$ial bloka$e( I! both ases the self"asserti%e te!#e!ies of the part&
isolate# a!# release# fro' the restrai!i!$ i!flue!e of the )hole& )ill e-press the'sel%es i!
#eleterious )ays, these ra!$e fro' the re'orseless proliferatio! of a!er ells to the
obsessio!s a!# #elusio!s& beyo!# ratio!al o!trol& i! 'e!tal #isor#er 1f( *ook T)o& III&
I32(

The si!$le i!#i%i#ual represe!ts the top"le%el of the or$a!is'i hierarhy a!# at the sa'e
ti'e the lo)est u!it of the soial hierarhy( It is o! this bou!#ary li!e bet)ee!
physiolo$ial a!# soial or$a!i+atio! that the t)o a!ta$o!isti te!#e!ies& )hih are at
)ork o! e%ery le%el& e%e! i! a si!$le ell& 'a!ifest the'sel%es i! the for' of 'e'oti%e
beha%iour'( U!#er !or'al o!#itio!s the self"asserti!$ te!#e!ies of the i!#i%i#ual are
#y!a'ially bala!e# by his #epe!#e!e o! a!# partiipatio! i! the life of the o''u!ity
to )hih he belo!$s( I! the bo#y soial physiolo$ial o!trols are of ourse superse#e# by
i!stitutio!al o!trols& )hih restrai!& sti'ulate& or 'o#ify the auto!o'ous patter!s of
ati%ity of its soial sub")holes o! all le%els& #o)! to the i!#i%i#ual( :he! te!sio!s arise&
or o!trol is i'paire#& a soial 'or$a!' 1the baro!s& or the 'ilitary& or the 'i!ers2 'ay $et
o%er"e-ite# a!# out of o!trol, the i!#i%i#ual& for the sa'e reaso!s& 'ay $i%e u!restrai!e#
e-pressio! to ra$e& pa!i& or lust& a!# ease to obey the rules of the $a'e i'pose# by the
soial )hole of )hih he is part(

The partiipatory te!#e!ies are as fir'ly a!hore# i! the or$a!i hierarhy as are their
oppo!e!ts( Fro' the $e!eti poi!t of %ie)& the #uality is reflete# i! the o'ple'e!tary
proesses of #iffere!tiatio! of struture a!# i!te$ratio! of fu!tio!( :e 'ay e-te!# the
sope of the i!/uiry e%e! further #o)!)ar#& fro' a!i'al to %e$etable a!# 'i!eral& a!#
#iso%er a!alo$ous pairs of self"asserti!$ a!# partiipatory fores i! i!a!i'ate !ature(
Fro' the partiles i! a! ato' to the pla!ets irli!$ the su!& )e fi!# relati%ely stable
#y!a'i syste's& i! )hih the #isrupti%e& e!trifu$al fores are bala!e# by bi!#i!$ fores
)hih hol# the syste' to$ether as a )hole( The 'etaphors )e o''o!ly use reflet a!
i!tuiti%e a)are!ess that the pairs of opposites o! %arious le%els for' a o!ti!uous series0
)he! i! ra$e& ')e fly off at a ta!$e!t' as if arrie# a)ay by a e!trifu$al fore, a!#
o!trari)ise& )e speak of soial 'ohesio!'& perso!al 'affi!ities'& a!# the 'attratio!' e-erte#
by a! i#ea( These are !o 'ore tha! a!alo$ies, the 'attratio!' bet)ee! t)o people of
opposite se- #oes !ot obey the i!%erse s/uare la) a!# is by !o 'ea!s proportio!ate to their
'ass, yet it re'ai!s !e%ertheless true that o! e%ery le%el of the e%olutio!ary hierarhy&
stability is 'ai!tai!e# by the e/uilibratio! of fores pulli!$ i! opposite #iretio!s0
e!trifu$al a!# e!tripetal& the for'er asserti!$ the part's i!#epe!#e!e& auto!o'y&
i!#i%i#uality& the seo!# keepi!$ it i! its plae as a #epe!#e!t part i! the )hole( Kepler
kept affir'i!$ that his o'pariso! bet)ee! the 'o%i!$ fore that e'a!ates fro' the su!
a!# the Holy ;host )as 'ore tha! a! a!alo$y, the ohesio! bet)ee! the free"floati!$
bo#ies i! the solar syste' 'ust ha%e a #i%i!e ause( Ne)to! hi'self toye# )ith si'ilar
i#eas(D
I 'ust apolo$i+e for the see'i!$ly s)eepi!$ $e!erali+atio!s i! the pree#i!$ setio!, the
rea#er )ill fi!# the' substa!tiate# i! so'e #etail i! the biolo$ial hapters of *ook T)o(
For the ti'e bei!$& I o!ly 'ea!t to $i%e so'e i!#iatio! of the broa#er theoretial
o!si#eratio!s o! )hih the propose# lassifiatio! of e'otio!s is base# "" !a'ely& that
'part"beha%iour' a!# ')hole"beha%iour' are opposite te!#e!ies i! #y!a'i e/uilibriu' o!
e%ery le%el of a li%i!$ or$a!is'& a!# a! be e-trapolate# by )ay of a!alo$y& both up)ar#s
i!to the hierarhies of the bo#y soial& a!# #o)!)ar# i!to stable a!or$a!i syste's(
Suh a! approah #oes !ot i'ply a!y philosophial #ualis', it is i! fat !o 'ore #ualisti
tha! Ne)to!'s la) of atio! a!# reatio!& or the o!%e!tio!al 'etho# of 'thi!ki!$ i!
opposites'( The hoie of 'ulti'ate' a!# 'irre#uible' pri!iples 1suh as Freu#'s Eros a!#
Ta!atos2 is al)ays lar$ely a 'atter of taste, 'part!ess' a!# ')hole!ess' reo''e!#
the'sel%es as a ser%ieable pair of o'ple'e!tary o!epts beause they are #eri%e# fro'
the ubi/uitously hierarhi or$a!i+atio! of all li%i!$ 'atter( They also e!able us to #isuss
the basi features of biolo$ial& soial& a!# 'e!tal e%olutio! i! u!ifor' ter's as the
e'er$e!e of 'ore #iffere!tiate# a!# speiali+e# strutures& bala!e# by 'ore o'ple-
a!# #eliate i!te$ratio!s of fu!tio!(
=astly& i!rease# o'ple-ity 'ea!s i!rease# risks of break#o)!s& )hih a! o!ly be
repaire# by proesses of the re$e!erati%e& reuler"pour"'ieu-"sauter type that I ha%e
'e!tio!e# before a!# )hih )ill oupy us a$ai!( I shall try to sho) that see! i! the li$ht
of the relatio! of part to )hole& these proesses assu'e a !e) si$!ifia!e as ai#s to the
u!#ersta!#i!$ of the reati%e 'i!#(
NOTES
To p( 9FI( I a' usi!$ 'self"tra!se!#i!$ e'otio!s' as a short"ha!# e-pressio! for
'e'otio!al states i! )hih the self"tra!se!#i!$ te!#e!ies #o'i!ate'(

To p( 95C( I! the o!ly e-ursio! i!to sie!e fitio! of )hih I a' $uilty& I 'a#e a %isiti!$
'ai#e! fro' a! alie! pla!et e-plai! the basi #otri!e of its /uasi"Kepleria! reli$io!0
'( ( ( :e )orship $ra%itatio!( It is the o!ly fore )hih #oes !ot tra%el throu$h spae i! a
rush, it is e%ery)here i! repose( It keeps the stars i! their orbits a!# our feet o! our earth( It
is Nature's fear of lo!eli!ess& the earth's lo!$i!$ for the 'oo!, it is lo%e i! its pure&
i!or$a!i for'(' 1T)ili$ht *ar& 456I2




HI3

ON IS=AN<S AN< :ATER:ABS

I! the hapter o! the '=o$i of the >oist Eye' I ha%e #isusse# )eepi!$ as a 'a!ifestatio!
of frustrated partiipatory e'otio!s( =et 'e !o) briefly o!si#er the normal 'a!ifestatio!s
of this lass of e'otio!s i! hil#hoo# a!# a#ult life(

As Freu#& Pia$et& a!# others ha%e sho)!& the %ery you!$ hil# #oes !ot #iffere!tiate
bet)ee! e$o a!# e!%iro!'e!t( The 'other's breast see's to it a 'ore i!ti'ate possessio!
tha! the toes o! its o)! bo#y( It is a)are of e%e!ts& but !ot for a lo!$ ti'e of itself as a
separate e!tity( It li%es i! a state of 'e!tal sy'biosis )ith the outer )orl#& a o!ti!uatio! of
the biolo$ial sy'biosis i! the )o'b& a state )hih Pia$et alls 'protoplas'i
o!sious!ess'( 748 The u!i%erse is fousse# o! the self& a!# the self is the u!i%erse, the
outer e!%iro!'e!t is o!ly a ki!# of seo!# )o'b(

Fro' this ori$i!al state of protoplas'i or sy'bioti o!sious!ess& the #e%elop'e!t
to)ar#s auto!o'ous i!#i%i#uatio! is slo)& $ra#ual& a!# )ill !e%er be e!tirely o'plete#(
The i!itial state of o!sious!ess 'ay be like!e# to a li/ui#& flui# u!i%erse tra%erse# by
#y!a'i urre!ts& by the rhyth'i rise a!# fall of physiolo$ial !ee#s& ausi!$ 'i!or
stor's )hih o'e a!# $o )ithout lea%i!$ a!y soli# traes( ;ra#ually the floo#s ree#e
a!# the first isla!#s of ob.eti%e reality e'er$e, their o!tours $ro) fir'er a!# sharper a!#
are set off a$ai!st the u!#iffere!tiate# flu-( The isla!#s are follo)e# by o!ti!e!ts& the #ry
territories of reality are 'appe# out, but si#e by si#e )ith the' the li/ui# )orl# o"e-ists&
surrou!#i!$ it& i!terpe!etrati!$ it by a!als a!# i!la!# lakes& the relis of the erst)hile
oea!i o''u!io!( I! the )or#s of Freu#0
Ori$i!ally the e$o i!lu#es e%erythi!$& later it #etahes fro' itself the e-ter!al )orl#( The
e$o"feeli!$ )e are a)are of !o) is thus o!ly a shru!ke! %esti$e of a far 'ore e-te!si%e
feeli!$ "" a feeli!$ )hih e'brae# the u!i%erse a!# e-presse# a! i!separable o!!etio!
of the e$o )ith the e-ter!al )orl#( If )e 'ay suppose that this pri'ary e$o"feeli!$ has
bee! preser%e# i! the 'i!#s of 'a!y people& to a $reater or lesser e-te!t& it )oul# o"e-ist
like a sort of ou!terpart )ith the !arro)er a!# 'ore sharply outli!e# e$o"feeli!$ of
'aturity& a!# the i#eatio!al o!te!t belo!$i!$ to it )oul# be preisely the !otio! of
li'itless e-te!sio! a!# o!e!ess )ith the u!i%erse( 798
It is this 'oea!i feeli!$' )hih 'ystis a!# artists stri%e to reapture o! a hi$her le%el of
#e%elop'e!t "" at a hi$her tur! of the spiral(

U!til the e!# of the seo!# or thir# year& )hile the separatio! of e$o a!# !o!"e$o is as yet
i!o'plete& the hil# te!#s to o!fuse the sub.eti%e a!# the ob.eti%e& #rea' a!# reality&
the perei%e# a!# the i'a$i!e#& its thou$hts a!# the thi!$s thou$ht about( Chil#re! a!#
pri'iti%es !ot o!ly belie%e i! the 'a$ial tra!sfor'atio!s )hih our i! 'yths a!# fairy
tales& but also belie%e the'sel%es apable of perfor'i!$ the'( The hil# at play beo'es at
)ill tra!sfor'e# i!to a horse& the #otor& a bur$lar& or a loo'oti%e( So'e pri'iti%es
belie%e that they ha!$e at !i$ht i!to ertai! a!i'als, if the a!i'al is kille#& they ha%e to
#ie( >a$i ausatio! pree#es physial ausatio!, to )ish for a! e%e!t is al'ost the sa'e as
pro#ui!$ it, hil#re! are $reat belie%ers i! the o'!ipote!e of thou$ht( As thou$ht
beo'es i!reasi!$ly e!tre# i! %erbal a!# %isual sy'bols& these beo'e i!stru'e!ts of
)ishful e%oatio! "" of )or#"'a$i a!# sy'bol"'a$i(

This erst)hile 'etho# of establishi!$ 'a$i o!!etio!s bet)ee! e%e!ts "" re$ar#less of
#ista!e i! spae& suessio! i! ti'e& or physial i!ter'e#iaries& is a basi feature of
pri'iti%e& but also of so'e hi$hly #e%elope# soieties& partiularly i! the East( =T%y"*ruhl
"" a! a!thropolo$ist !o) so'e)hat out of fashio! )ho $reatly i!flue!e# Freu#& Pia$et&
a!# ?u!$ "" ha# alle# this phe!o'e!o! 'partiipatio! 'ysti/ue' or the '=a) of
Partiipatio!'( 7A8 It is reflete# i! i!!u'erable rites a!# obser%a!es, i! the i!#i%i#ual's
e-perie!e of a /uasi"sy'bioti o''u!io! bet)ee! hi'self& his tribe& a!# his tote',
bet)ee! a 'a! a!# his !a'e& a 'a! a!# his portrait& a 'a! a!# his sha#o), bet)ee! the
#eity a!# its sy'bol, bet)ee! a #esire# e%e!t "" rai!& or a suessful hu!t "" a!# its
sy'boli e!at'e!t i! #a!e& ritual play& or pitorial represe!tatio!( Here is the a!ie!t&
u!itary soure out of )hih the #a!e a!# the so!$& the 'ystery plays of the Ahae!s& the
ale!#ars of the *abylo!ia! priest"astro!o'ers& a!# the a%e"pai!ti!$s of Alta'ira )ere to
bra!h out later o! "" a 'a$i soure )hih& ho)e%er $reat the #ista!e tra%elle#& still
pro%i#es artist a!# e-plorer )ith his basi !ourish'e!t(

At a! e%e! earlier sta$e of soial e%olutio!& 'a$i partiipatio! oul# be ahie%e# by still
'ore #iret 'etho#s0 the physial pro)ess of a!i'als& the oura$e a!# )is#o' of other
'e!& the bo#y a!# bloo# of the sarifie# $o#& oul# be a/uire# a!# share# by the si'ple
'ea!s of eati!$ the'(D The sara'e!t of Holy Co''u!io! reflets& i! a sy'boli a!#
subli'ate# for'& the estasies of the <io!ysia! a!# Orphi 'ystery"rites0 the #e%ouri!$ of
the tor! $o#( The partiipatory 'a$i of tra!s"substa!tiatio! operates here !ot o!ly bet)ee!
the o''u!ia!t a!# his $o#& but also bet)ee! all those )ho ha%e partake! i! the rite& a!#
i!orporate# the sa'e substa!e i!to the'sel%es( A $hastly #e$e!eratio! of this ritual )as
re%eale# )he! the iru'sta!es of taki!$ the >au">au oath bea'e k!o)!( A 'ore
har'less for' of it is the 'bloo#"brother' ere'o!y a'o!$ Arab tribes& perfor'e# by
#ri!ki!$ a fe) #rops of the elete# brother's bloo#, a soially %aluable sur%i%al of it are the
rites of o!%i%iality "" fro' the sy'boli shari!$ of brea# a!# salt& to the ere'o!ial
ba!/ueti!$ of the Che%aliers #u Taste"3i!( The e'otio!s #eri%e# fro' the fee#i!$"#ri%e
see' to be of the purely self"asserti%e type, i! fat& o''e!sality& )ith its arhetypal
ehoes& i!%ests the' )ith a 'ore or less pro!ou!e# partiipatory harater(
The pro$ress fro' the historially earlier& or i!fa!tile for's of sy'bioti o!sious!ess
to)ar#s %olu!tary self"tra!se!#e!e throu$h artisti& reli$ious or soial o''u!io!&
reflets the subli'atio! of the partiipatory te!#e!ies "" e'er$i!$ at the other e!# of the
tu!!el& as it )ere( Nee#less to say& the ulture i! )hih )e li%e is !ot %ery fa%ourable to
this pro$ress, the 'a.ority of our o!te'poraries !e%er e'er$e fro' the tu!!el& a!# $et
o!ly oasio!al i!ti'atio!s of a #ista!t pi!poi!t of li$ht( The fores )hih effet the
$ra#ual replae'e!t of the hil#'s sub.eti%e by ob.eti%e reality arise throu$h o!ti!uous
fritio! bet)ee! self a!# e!%iro!'e!t( Har# fats e'er$e beause ob.ets are har#& a!#
hurt if o!e ba!$s a$ai!st the', )ishes #o !ot #isplae 'ou!tai!s& !ot e%e! roki!$ horses(
A seo!# type of fritio!& bet)ee! the self a!# other sel%es& #ri%es ho'e the fat that these
latter too e-ist i! their o)! ri$ht( *iolo$ial o''u!io! )ith the 'other is #issol%e# by a
suessio! of separati%e ats0 e-pulsio! fro' the )o'b& )ea!i!$ fro' the breast& the
essatio! of fo!#li!$ a!# petti!$& :ester! 'a!'s 'taboo o! te!#er!ess'( Thi!$s a!# people
)a$e a o!ti!uous )ar of attritio! o! the 'a$i for's of partiipatio! "" u!til the floo#s
ree#e& a!# the )ater)ays #ry up( Sy'bioti o!sious!ess )a!es )ith 'aturatio!& as it
'ust, but 'o#er! e#uatio! pro%i#es har#ly a!y sti'uli for a)ake!i!$ os'i
o!sious!ess to replae it( The hil# is tau$ht petitio!ary prayer i!stea# of 'e#itatio!&
reli$ious #o$'a i!stea# of o!te'platio! of the i!fi!ite, the 'ysteries of !ature are
#ru''e# i!to his hea# as if they )ere para$raphs i! the pe!al o#e( I! tribal soieties
puberty is a si$!al for sole'! a!# se%ere i!itiatio! rites& to i'press upo! the i!#i%i#ual his
olleti%e ties& before he is aepte# as a part i! the soial )hole( 3esti$es of these rites still
sur%i%e i! i!stitutio!s suh as the Churh a!# the Ar'y, yet the 'a.ority of i!#i%i#uals take
their plae i! the bo#y soial !ot by a proess of i!te$ratio!& but as a result of ra!#o'
iru'sta!es a!# pressures( The ro'a!ti bursts of e!thusias' i! a#olese!e are like a
last& euphori fliker of the self"tra!se!#i!$ e'otio!s before they sub'it to atrophy a!#
be$i! to shri%el a)ay(
*ut they are !e%er o'pletely #efeate#( For o!e thi!$& the attriti%e fores of the soial
e!%iro!'e!t affet #iffere!t strata of the perso!ality i! #iffere!t )ays( The 'ost affete#
are the o!sious& ratio!al surfae"layers #iretly e-pose# to o!tat, )hereas the !o!"
soiali+e#& !o!"%erbali+e# strata beo'e the !atural refu$e of the th)arte# partiipatory
te!#e!ies( The 'ore re'ote fro' the surfae& the less sharp the bou!#aries bet)ee! the
self a!# !o!"self, i! those #epths the sy'bioti ha!!els still re'ai! !a%i$able i! the #rea'
a!# other $a'es of the u!#er$rou!#& fro' )hih 'ystiis'& #iso%ery& a!# art #ra) their
i!tuitio!s(
There e-ists& ho)e%er& a )hole ra!$e of 'ore or#i!ary phe!o'e!a throu$h )hih the self"
tra!se!#i!$ e'otio!s 'a!ifest the'sel%es i! e%ery#ay life& a!# )hih I 'ust briefly
'e!tio!( The 'ost ba!al of these is perceptual pro5ection& )hih #oes !ot properly belo!$
i! this o!te-t "" e-ept i! so far as it #e'o!strates that the bou!#aries of the self i! our
sub.eti%e e-perie!es are !ot as lear"ut as )e are )o!t to belie%e( 'Pro.etio!' i! this
teh!ial se!se 'ea!s that the proesses )hih take plae i! the reti!a a!# the brai! are
e-perie!e# as taki!$ plae !ot )here they atually #o take plae& but yar#s or 'iles a)ay(
1This beo'es at o!e ob%ious )he! o!e re'e'bers that %ery lo)"pithe# sou!#s are
e-perie!e# "" orretly "" as re%erberatio!s inside the ear& a!# #a++li!$ flashes& a$ai!
orretly& as ourri!$ i! the retina(2 Si'ilarly& )he! you #ri%e a !ail i!to the )all you are
a)are& !ot that the ha!#le has struk your pal'& but that its hea# has struk the !ail& as if
the ha''er ha# beo'e part of your bo#y( 768 These are !ot i!%e!tio!s of psyholo$ists to
'ake the si'ple appear as o'pliate#& but e-a'ples of our te!#e!y to o!fuse )hat
happe!s i! the self )ith )hat happe!s outsi#e it "" a ki!# of 'pereptual sy'biosis' bet)ee!
e$o a!# e!%iro!'e!t(
Pro5ective empathy "" a$ai! i! a teh!ial se!se "" is base# o! a si'ilar o!fusio!0 a!
arro) #ra)! o! paper is felt to 'a!ifest a #y!a'i te!#e!y to 'o%e 1probably a
o!se/ue!e of our o)! u!o!sious eye"'o%e'e!ts2, a hurh spire see's to 'soar'
up)ar#s& a piture has ''o%e'e!t' a!# 'bala!e'& a!# so o!( Not o!ly 'otio!s& but e'otio!s
too are pro.ete# fro' the self i!to lifeless ob.ets, 'y ar& li'bi!$ a hill& '$roa!s' a!#
'pa!ts' u!#er its 'effort', the )eepi!$ )illo) )eeps& the thu!#er $ro)ls( The te!#e!y to
a!i'is'& to pro.et u!o!siously life a!# feeli!$ i!to i!a!i'ate bo#ies& is )ell"!i$h
irresistible "" )it!ess the t)o 'iller'ia of Aristotelia! physis, )e a! o!ly o!lu#e that it
is a basi feature of our psyhi 'ake"up(
E/ually i!%eterate is the te!#e!y to pro.et our o)! e'otio!s i!to other li%i!$ bei!$s ""
a!i'als a!# people( The first lea#s to a!thropo'orphis' "" asribi!$ to our pet #o$s&
horses& a!# a!aries reaso!i!$ proesses 'o#elle# o! our o)!, the seo!# to )hat o!e
'i$ht all 'e$o'orphis'' "" the illusio! that others must feel o! a!y sub.et e-atly as I #o(
A 'ore o'pliate# pro.eti%e tra!satio! is transference "" )here A pro.ets his feeli!$s&
ori$i!ally ai'e# at *& o! to a substitute& C0 a father fi$ure& sister fi$ure& or )hat ha%e you&
eah further tra!sferable to <& E& et( The :ho's :ho of the subo!sious see's to be
pri!te# )ith oloure# i!ks o! blotti!$ paper(
Intro5ection is 'ea!t to si$!ify the re%erse of pro.etio!& thou$h the t)o phe!o'e!a are
ofte! i!#isti!$uishable fro' eah other(D :he! so'ebo#y ba!$s his hea# o! the #oorpost&
I )i!e, )he! a for)ar# i! a soer $a'e has a fa%ourable opportu!ity to shoot& I kik 'y
!ei$hbour's shi!( A#olese!ts u!o!siously ape their hero's 'a!!eris's, our super"e$os
)ere suppose#ly 'oul#e# by our pare!ts at a ti'e )he! the self )as still i! a flui# state(
Throu$hout his life& the i!#i%i#ual keeps i!tro.eti!$ hu!ks a!# patter!s of other people's
e-iste!e i!to his o)!, he suffers a!# e!.oys %iariously the e'otio!s of those )ith )ho'
be beo'es e!ta!$le# i! i#e!tifiatory rapports( So'e of these perso!ality"tra!satio!s
ha%e lasti!$ effets, others are 'ore tra!sitory& but at the sa'e ti'e 'ore #ra'ati(
=au$hter a!# ya)!i!$ ha%e a! i!sta!tly i!fetious effet, so ha%e ruelty& hysteria&
hallui!atio!s& reli$ious tra!es( I! the hypnotic state 'the fu!tio!s of the e$o see' to be
suspe!#e#& e-ept those )hih o''u!iate )ith the hyp!oti+er as thou$h throu$h a
!arro) slit i! a sree!' 1Kretsh'er2, the perso!ality of the hyp!oti+er has bee! substitute#
for the #or'a!t parts of the e$o, the 'slit' ats as a $ap i! the fro!tier bet)ee! the self a!#
!o!"self& letti!$ i! the o!traba!#(
Freu#& thou$h #isappoi!te# at a! early sta$e )ith hyp!o"therapy& kept stressi!$ the
affi!ities bet)ee! hyp!osis a!# lo%e o! the o!e ha!#& hyp!osis a!# 'ass"beha%iour o! the
other( I! states of e-tre'e e!a'oure#!ess 1the ;er'a! teh!ial ter' is HDrigkeit ""
bo!#a$e& ser%itu#e& sub.etio!2 its ob.et replaes the super"e$o or the hyp!otist( The
poetry "" or patholo$y "" of the o!#itio! lies i! the total fasi!atio! of the bo!#s'a! by the
bo!#& a! atte!uate# but protrate# %aria!t of the hyp!oti rapport( A)are!ess is fousse# o!
the ob.et of )orship& the rest of the )orl# is blurre# or sree!e#( The perfet sy'bol of the
hyp!oti effet is i! Ste!#hal's NCharterhouse of Par'aN0 you!$ Fabrie& i! his priso! ell&
stares for hours o! e!# throu$h a !arro) slit i! the sree! o%eri!$ his )i!#o)& at the
fi$ure of Clelia aross the street(
The 'hyp!oti effet' of politial #e'a$o$ues has beo'e a lihT& but o!e aspet of 'ass"
psyholo$y 'ust be briefly 'e!tio!e#( The type of ro)# or 'ob to )hih =e *o!'s lassi
#esriptio!s still apply& is fa!atial a!# 'si!$le"'i!#e#' beause the subtler i!#i%i#ual
#iffere!es bet)ee! its 'e'bers are te'porarily suspe!#e#, the )hole 'ass is thus
intellectually a#.uste# to its lo)est o''o! #e!o'i!ator&D but i! ter's of #y!a'i action
it has a hi$h effiaity& beause the i'pulses of its 'e'bers are ali$!e# throu$h !arro)
slits "" or bli!kers "" all poi!ti!$ i! the sa'e #iretio!, he!e their e-perie!e of bei!$ parts
of a! irresistible po)er( This e-perie!e of part!ess )ithi! a #y!a'i )hole lea#s to a
te'porary suspe!sio! of i!#i%i#ual respo!sibility "" )hih is replae# by u!o!#itio!al
subor#i!atio! to the 'o!trolli!$ e!tre'& the lea#er of the ro)#( It further e!tails the
te'porary effae'e!t of all self"asserti%e te!#e!ies0 the total surre!#er of the i!#i%i#ual to
the olleti%ity is 'a!ifeste# i! altruisti& heroi& self"sarifii!$ ats "" a!# at the sa'e
ti'e i! bestial ruelty to)ar#s the e!e'y or %iti' of the olleti%e )hole( This is a further
e-a'ple of the self"tra!se!#i!$ e'otio!s ser%i!$ as atalysts or tri$$ers for their
oppo!e!ts( *ut let us !ote that the brutality or herois' #isplaye# by a fa!atii+e# ro)# is
/uasi"i'perso!al& a!# u!selfish, it is e-erise# i! the i!terest& or suppose# i!terest& of the
)hole( The sa'e S(S( #etah'e!ts )hih 'o)e# #o)! the )hole 'ale populatio! of
=i#ie )ere apable of #yi!$ at Ora#ur like the #efe!#ers of Ther'opylae( The self"
asserti%e beha%iour of a 'ass is base# o! the partiipatory beha%iour of the i!#i%i#ual&
)hih ofte! e!tails sarifie of his perso!al i!terest a!# e%e! his life( Theories of ethis
base# o! e!li$hte!e# self"i!terest fail to pro%i#e a! a!s)er )hy a 'a! shoul# sarifie his
life i! the #efe!e of his fa'ily "" !ot to 'e!tio! ou!try& liberty& beliefs( The fat that 'e!
ha%e al)ays bee! prepare# to #ie for 1$oo#& ba#& or futile2 auses& pro%es that the self"
tra!se!#i!$ te!#e!ies are as basi to his 'e!tal or$a!i+atio! as the others( A!# si!e the
i!#i%i#ual a!!ot sur%i%e )ithout so'e for' of soial i!te$ratio!& self"preser%atio! itself
al)ays i'plies a o'po!e!t of self"tra!se!#e!e(
E-epti!$ sai!ts a!# 'a!ias& our e'otio!s !early al)ays o!sist of 'i-e# feeli!$s& )here
both te!#e!ies 1a!# both bra!hes of the auto!o'ous !er%ous syste'2 partiipate i! the
'i-ture( =o%e& of ourse& is a 'a!y"sple!#oure# thi!$& both )ith re$ar# to its %ariety
1se-ual& plato!i& pare!tal& oe#ipal& !arissisti& patrioti& a!i!e"#irete#& or feli!e"orie!te#
as the teh!iia!s )oul# say2& a!# also )ith re$ar# to the e-traor#i!ary oktail of
e'otio!s )hih eah %ariety represe!ts( >uh less ob%ious is the fat& that e%e! suh a
si'ple a!# sie!tifially respetable #ri%e as hu!$er shoul# $i%e rise to 'i-e# e'otio!s( If
I 'ay retur! to the sub.et 1p( 9562 for a 'o'e!t0 o! the o!e ha!#& foo# is 'attake#', it is
')olfe#', o!e 'puts o!e's teeth i!to it', biti!$ a!# suppi!$ are the %ery prototypes of
a$$ressio!( O! the other ha!#& the 'fee#i!$ #ri%e' is sti'ulate# or i!hibite# by the o'pa!y
partiipati!$ i! the 'eal, a!# the sare# ele'e!t i! the rituals of 'e!sality 1still sur%i%i!$&
for i!sta!e& i! the fu!eral a!# )e##i!$ feasts2 I ha%e alrea#y 'e!tio!e#( The teeth are
tools of a$$ressio!& but the 'outh is a prefere!tial +o!e of affetio!ate bo#ily o!tat i!
billi!$ a!# kissi!$( The ;er'a! i#io' Ich habe dich 0um 1ressen gerne "" I lo%e you so
'uh I oul# eat you "" a!# the E!$lish '#e%ouri!$ lo%e' are sy'boli+e# by the beha%iour
of you!$ 'others 'ok"#e%ouri!$ the baby's fi!$ers a!# toes, it 'ay be a #ista!t eho of
the $e!tle a!!ibal( I!i#e!tally& )e are tol# that a'o!$ ertai! tribes pratisi!$ ritual
a!!ibalis'& to be eate! is re$ar#e# as a $reat o'pli'e!t, perhaps the 'ale of the prayi!$
'a!tis feels the sa'e )ay(

=astly& the see'i!$ly 'ost altruisti soial beha%iour 'ay ha%e a! a#'i-ture of o!sious
or u!o!sious self"assertio!( Professio!al #o"$oo#ers& harity ti$resses& hospital 'atro!s&
priso! %isitors& 'issio!aries& a!# soial )orkers are i!#ispe!sable to soiety& a!# #o a!
a#'irable a'ou!t of $oo#, to pry i!to their 'oti%es& ofte! hi##e! to the'sel%es& )oul# be
u!$rateful a!# hurlish(


Su''ary

:eepi!$ is a! o%erflo) refle- for a! e-ess of the partiipatory e'otio!s& as lau$hter is for
the self"asserti!$ e'otio!s( Its !er%ous 'eha!is' a!# bo#ily 'a!ifestatio!s are the
opposites of those of lau$hter )ith re$ar# to faial e-pressio!& respiratory patter!& bo#ily
posture( I! lau$hter te!sio! is e-plo#e#& e'otio! #e!ie#, i! )eepi!$ it is $ra#ually #rai!e#
a)ay )ithout break i! the o!ti!uity of 'oo#, thou$ht a!# e'otio! re'ai! u!ite#( The
self"asserti!$ e'otio!s )orke# off i! lau$hter #epe!# o! the sy'pathio"a#re!al syste'&
)hih $al%a!i+es the bo#y i!to ati%ity, lahry'atio! is o!trolle# by the parasy'patheti
#i%isio! )hose atio! is i!)ar#"#irete# a!# atharti( The self"tra!se!#i!$ e'otio!s
)hih o%erflo) i! tears a!!ot be satisfie# by a!y speifi 'usular ati%ity, they te!#
to)ar#s passi%ity a!# self"aba!#o!'e!t& a!# are o!su''ate# i! $la!#ular a!# %iseral
reatio!s(

The %arious auses of )eepi!$ )hih ha%e bee! #isusse# "" rapt!ess& )eepi!$ i! sorro)&
i! .oy& i! sy'pathy& or i! self"pity "" all ha%e a basi ele'e!t i! o''o!0 a ra%i!$ to
tra!se!# the isla!# bou!#aries of the i!#i%i#ual& to e!ter i!to a sy'bioti o''u!io! )ith
a hu'a! bei!$ or so'e hi$her e!tity& real or i'a$i!ary& of )hih the self is felt to be a part(
O)i!$ to the peuliarities of our ultural li'ate& the partiipatory e'otio!s ha%e bee!
%irtually i$!ore# by o!te'porary psyholo$y& althou$h they are as real a!# obser%able i!
their 'a!ifestatio!s as hu!$er& ra$e& a!# fear( They are $rou!#e# i! the hierarhi or#er of
life )here e%ery e!tity has the #ual attributes of part!ess a!# )hole!ess& a!# the #ual
pote!tialities of beha%i!$ as a! auto!o'ous )hole or a #epe!#e!t part( The lassifiatio!
of e'otio!s )hih I ha%e propose# is base# o! this $e!eral pri!iple of polarity& to be
fou!# o! e%ery le%el of the or$a!i a!# soial heirarhies 1f( *ook T)o2( The #ual o!ept
of a#aptable 'atries )ith fi-e# i!%aria!t o#es is #eri%e# fro' the sa'e pri!iple(

I! the #e%elop'e!t of the i!#i%i#ual& as i! the e%olutio! of ultures& the 'a!ifestatio!s of
the partiipatory te!#e!ies sho) a pro$ressio!& o'parable to that of the a$$ressi%e"
#efe!si%e e'otio!s fro' pri'iti%e a!# i!fa!tile to a#ult for's( The 'sy'bioti
o!sious!ess' of i!fa!y& )ith its flui# e$o bou!#aries& is partly rele$ate# to the
subo!sious strata "" fro' )hih the artist a!# the 'ysti #ra) their i!spiratio!s, partly
superse#e# by the phe!o'e!a of pro.etio! a!# i!tro.etio!& e'pathy a!# i#e!tifiatio!&
tra!sfere!e a!# hyp!osis( Si'ilarly& the partiipatory bo!#s of pri'iti%e 'a$i are
$ra#ually tra!sfor'e# i!to sy'boli rituals& 'ytholo$ial epis& a!# 'ystery plays0 i!to the
'a$i of illusio!( The sha#o)s i! Plato's a%e are sy'bols of 'a!'s lo!eli!ess, the
pai!ti!$s i! the =asau- a%es are sy'bols of his 'a$i po)ers(

The partiipatory e'otio!s& like their opposites& a! be ao'pa!ie# by feeli!$s of
pleasure or u!"pleasure )hih for' a o!ti!uous sale& a!# a## a thir# #i'e!sio! to
e'otio!al e-perie!e( =astly& i#e!tifiatio!& i! itself a self"tra!se!#i!$ e-perie!e& a!
ser%e as a %ehile 1or tri$$er2 for %iarious e'otio!s of a!$er a!# fear(


NOTES

To p( 956( The poi!t has bee! sui!tly( 'a#e by :alter #e la >are0
It's a %ery o## thi!$ "" As o## as a! be "" That )hate%er >iss T( eats Tur!s i!to >iss T(
To p( 95@( 'I! relatio! to the #issolutio! of the e$o o'ple-& i#e!tifiatio! a! reei%e a
so'e)hat #iffere!t i!terpretatio! aor#i!$ as e$o"o'po!e!ts are pro.ete# i!to the
outsi#e )orl# or as ele'e!ts fro' the outsi#e )orl# are i!orporate# i!to the perso!ality(
I! %ery flui# #rea' proesses suh a #isti!tio! a!!ot usually be %ery aurately #ra)!,
but i! shi+ophre!ia& for e-a'ple& both possibilities a! be 'ost learly e-perie!e#('
1Kretsh'er& 45I6& p( 5A(2

To p( 95O( The e-pressio! 'lowest o''o! #e!o'i!ator' is 'athe'atially !o!se!sial, it
shoul#& of ourse& be 'hi$hest'( *ut the 'hi$hest o''o! #e!o'i!ator' i! a ro)# of lar$e
!u'ber is still pretty lo), thus the faulty i#io' o!%eys the ri$ht i#ea& a!# the orret
e-pressio! )oul# o!ly reate o!fusio!(




*( 3ER*A= CREATION

H3
I==USION
The Po)er of Illusio!
=iterature be$i!s )ith the telli!$ of a tale( The tale represe!ts e%e!ts by 'ea!s of au#itory
a!# %isual si$!s( The e%e!ts thus represe!te# are 'e!tal e%e!ts i! the !arrator's 'i!#( His
'oti%e is the ur$e to o''u!iate these e%e!ts to others& to 'ake the' reli%e his thou$hts
a!# e'otio!s, the ur$e to share( The au#ie!e 'ay be physially prese!t& or a! i'a$i!e#
o!e, the !arrator 'ay a##ress hi'self to a si!$le perso! or to his $o# alo!e& but his basi
!ee# re'ai!s the sa'e0 he 'ust share his e-perie!es& 'ake others partiipate i! the'& a!#
thus o%ero'e the isolatio! of the self(
To ahie%e this ai'& the !arrator 'ust pro%i#e patter!s of sti'uli as substitutes for the
ori$i!al sti'uli )hih ause# the e-perie!e to our( This& ob%iously& is !ot a! easy task&
for he is aski!$ his au#ie!e to reat to thi!$s )hih are !ot there& suh as the s'ell of
$rass o! a su''er 'or!i!$( Si!e the #a)! of i%ili+atio!& bar#s a!# story"tellers ha%e
pro#ue# ba$s of triks to pro%i#e suh Ersat+"sti'uli( The su' of these triks is alle# the
art of literature(
The ol#est a!# 'ost fu!#a'e!tal of all triks is to #is$uise people i! ostu'es a!# to put
the' o! a sta$e )ith 'asks or pai!t o! their faes, the au#ie!e is thereby $i%e! the
i'pressio! that the e%e!ts represe!te# are happe!i!$ here a!# !o)& re$ar#less of ho)
#ista!t they really are i! spae a!# ti'e( The effet of this proe#ure is to i!#ue a %ery
li%ely bisoiate# o!#itio! i! the 'i!#s of the au#ie!e( The spetator k!o)s& i! o!e
o'part'e!t of his 'i!#& that the people o! the sta$e are ators& )hose !a'es are fa'iliar
to hi', a!# he k!o)s that they are 'ati!$' for the e-press purpose of reati!$ a! illusio! i!
hi'& the spetator( Bet i! a!other o'part'e!t of his 'i!# he e-perie!es fear& hope& pity&
ao'pa!ie# by palpitatio!s& arreste# breathi!$& or tears "" all i!#ue# by e%e!ts )hih he
k!o)s to be pure 'ake"belie%e( It is i!#ee# a re'arkable phe!o'e!o! that a $ro)!"up
perso!& k!o)i!$ all the ti'e that he faes a sree! o!to )hih sha#o)s are pro.ete# by a
'ahi!e& a!# k!o)i!$ further'ore /uite )ell )hat is $oi!$ to happe! at the e!# "" for
i!sta!e& that the polie )ill arri%e .ust i! the !ik of ti'e to sa%e the hero "" shoul#
!e%ertheless $o throu$h a$o!ies of suspe!se& a!# #isplay the orrespo!#i!$ bo#ily
sy'pto's( It is e%e! 'ore re'arkable that this apaity for li%i!$ i! t)o u!i%erses at o!e&
o!e real& o!e i'a$i!ary& shoul# be aepte# )ithout )o!#er as a o''o!plae
phe!o'e!o!( The follo)i!$ e-trat fro' a =o!#o! !e)spaper report 'ay help to restore
our se!se of )o!#er0 748
T)ie a )eek& )ith a hau!ti!$& tru'pete# si$!ature tu!e a!# a %ie) of terrae# roofs
strethi!$ a)ay i!to i!fi!ity& NCoro!atio! StreetN& ;ra!a#a Tele%isio!'s serial of North
Cou!try life& $oes o! the air( It has !o) ha# 9CC issues a!# is o'i!$ up to its seo!#
birth#ay !e-t )eek( It is o!e of *ritai!'s 'ost popular tele%isio! pro$ra''es( E!thusiasts
all it a 'a.or soiolo$ial phe!o'e!o!( I! fat all 'aratho! T3 serials )ith fi-e# setti!$s
a!# re$ular haraters are u!!i!$ly #esi$!e# to tur! the %ie)er i!to a! a##it( Coro!atio!
Street eshe)s $la'our a!# se!satio!al urtai!s a!# o!e!trates o! trappi!$ the ru$$e#
s'u$ a'bie!e o! North Cou!try )orki!$ a!# lo)er 'i##le"lass life( It )ill follo) a
loal e%e!t like a ou!il eletio! or a! a'ateur theatrial throu$h i!stal'e!t after
i!stal'e!t )ith the te!aity of a parish 'a$a+i!e( Its haraters pro%i#e parts that ators
a! si!k their teeth i!to a!# #i$est a!# assi'ilate( They ha%e beo'e #eeply pla!te#& like
the per'a!e!t set of se%e! terrae# houses& the shop o! the or!er& the >issio! Hall& a!#
the pub( The haraters ha%e #e%otees )ho i!sist o! belie%i!$ i! their reality( :he! the
bu-o' Elsie Ta!!er )as i!%ol%e# )ith a sailor )ho& u!k!o)! to her& )as 'arrie#& she $ot
sores of letters )ar!i!$ her of the #a!$er( ?ak :atso!& the ator )ho playe# the sailor&
)as stoppe# outsi#e the stu#io by o!e $alla!t 'eha!i )ho threate!e# to $i%e hi' a
hi#i!$ if he #i#!'t lea%e Elsie alo!e( The stro!$est perso!ality of the' all& the stur#y ol#
bull#o$ bith& E!a Sharples& has a hu$e follo)i!$( :he! she )as sake# fro' the >issio!
Hall of )hih she )as aretaker& %ie)ers fro' all o%er the ou!try )rote offeri!$ her .obs(
:he! she )as i! hospital te'porarily bereft of speeh& a fi$ht broke out i! Salfor# bet)ee!
a $a!$ of her fa!s a!# a! Irish #etrator )ho sai# he hope# the ol# ba$ )oul# stay #u'b
till Ki!$#o' o'e( >oreo%er& )he! o!e of the se%e! houses o! the set bea'e '%aa!t'
beause its o)!er )as sai# to ha%e 'o%e# "" i! fat beause the ator i! /uestio! ha# bee!
#roppe# fro' the pro$ra''e "" there )ere se%eral appliatio!s for re!ti!$ the house, a!#
)he! at a #ra'ati 'o'e!t of the serial the bar'ai# i! the 'Ro%er's Retur!' s'ashe# a!
or!a'e!tal plate& se%eral %ie)ers se!t i! replae'e!ts to o'fort her(
Of ourse& these people k!o) that they are )athi!$ ators( <o they !e%ertheless belie%e
that the haraters are realE The a!s)er is !either yes !or !o& but yes a!# !o( The so"alle#
la) of o!tra#itio! i! lo$i "" that a thi!$ is either A or !ot"A but a!!ot be both "" is a late
a/uisitio! i! the $ro)th of i!#i%i#uals a!# ultures 1*ook T)o& H32( The u!o!sious
'i!#& the 'i!# of the hil# a!# the pri'iti%e& are i!#iffere!t to it( So are the Easter!
philosophies )hih teah the u!ity of opposites& as )ell as :ester! theolo$ia!s a!#
/ua!tu' physiists( The a##its of oronation .treet )ho i!sist o! behe%i!$ i! the reality
of E!a Sharples ha%e 'erely arrie# o!e step further the 'o'e!tary split"'i!#e#!ess
e-perie!e# by a sophistiate# 'o%ie"au#ie!e at the li'a- of a Hithok thriller, they
li%e i! a 'ore or less per'a!e!tly bisoiate# )orl#(


The 3alue of Illusio!

*ut )here #oes beauty& aestheti %alue& or 'art' e!ter i!to the proessE The a!s)er re/uires
se%eral steps( The first is to reo$!i+e the i!tri!si %alue of illusio! i! itself( It #eri%es fro'
the tra!sfer of atte!tio! fro' the 'No) a!# Here' to the 'The! a!# There' "" that is& to a
pla!e re'ote fro' self"i!terest( Self"asserti%e beha%iour is fousse# o! the Here a!# No),
the tra!sfer of i!terest a!# e'otio! to a #iffere!t ti'e a!# loatio! is i! itself a! at of self"
tra!se!#e!e i! the literal se!se( It is ahie%e# throu$h the lure of heroes a!# %iti's o!
the sta$e )ho attrat the spetator's sy'pathy& )ith )ho' he partially i#e!tifies hi'self&
a!# for )hose sake he te'porarily re!ou!es his preoupatio!s )ith his o)! )orries a!#
#esires( Thus the at of partiipati!$ i! a! illusio! has a! i!hibiti!$ effet o! the self"
asserti!$ te!#e!ies& a!# failitates the u!fol#i!$ of the self"tra!se!#i!$ te!#e!ies( I!
other )or#s illusio! has a atharti effet "" as all a!ie!t a!# 'o#er! i%ili+atio!s
reo$!i+e# by i!orporati!$ %arious for's of 'a$i i!to their purifiatio!"rites a!#
abreatio! therapies(

It is true that illusio!& fro' ;reek tra$e#y to horror o'is& is also apable of $e!erati!$
fear a!# a!$er& palpitatio!s a!# ol# s)eat& )hih see's to o!tra#it its atharti fu!tio!(
*ut the e'otio!s thus $e!erate# are vicarious e'otio!s #eri%e# fro' the spetator's
partiipatio! i! a!other perso!'s e-iste!e& )hih is a self"tra!se!#i!$ at 1f( pp( 9OF"52(
Co!se/ue!tly& ho)e%er e-iti!$ the atio! o! the sta$e& the a!$er or fear )hih it $e!erates
)ill al)ays arry a o'po!e!t of sy'pathy& a! irra#iatio! of u!selfish $e!erosity& )hih
failitates atharsis "" .ust as a %aryi!$ 'ou!t of hi$h"%olta$e urre!t is al)ays tra!sfor'e#
i!to heat( At a later sta$e& )he! the li'a- of the #ra'a is passe#& a!# the te!sio! ebbs
a)ay& the )hole 'ou!t of the urre!t is o!su'e# i! a $e!tle i!!er $lo)(


The <y!a'is of Illusio!

I! the o'e#y& the au'ulatio! of suspe!se& a!# its subse/ue!t a!!ihilatio! i! lau$hter
take plae at #isti!tly separate sta$es 1althou$h the t)o 'ay o%erlap i! the s'ili!$&
a!tiipate# pleasure of the .oke to o'e2( I! the tra$e#y& o! the other ha!#& e-altatio! a!#
atharsis are o!ti!uous( =au$hter e-plo#es e'otio!, )eepi!$ is its $e!tle o%erflo), there
is !o break i! the o!ti!uity of 'oo#& a!# !o separatio! of e'otio! fro' reaso!( The hero&
)ith )ho' the spetator has i#e!tifie# hi'self& a!!ot be #ebu!ke# by slippi!$ o! a
ba!a!a"ski! or by a!y su##e! i!o!$ruity i! his beha%iour( The $o#s of the ;reek a!#
Hi!#u pa!theo! 'i$ht ha!$e i!to a!y shape "" a s)a!& a bull& a 'o!key& a sho)er of oi!s
"" a!# yet their para'ours )oul# lo%i!$ly surre!#er to the'( O! the bas"reliefs of I!#ia!
te'ples& Shi%a is ofte! see! 'aki!$ lo%e to Par%ati )hile sta!#i!$ o! his hea#& )ithout
appeari!$ ri#iulous( :he! the e%e!ts i! epi or #ra'a take a! u!e-pete# tur! ""
O#ysseus's o'pa!io!s tra!sfor'e# i!to s)i!e or haste Ophelia si!$i!$ obse!e so!$s ""
e'otio!& if a$$ressi%ely tai!te#& refuses to perfor' the .u'p a!# e-plo#es i! lau$hter, if
sy'patheti& it )ill follo) the hero throu$h all %isissitu#es( The abrupt ha!$e of situatio!
)hih re/uire# a! e/ually /uik reorie!tie!tatio! of the 'i!# to a #iffere!t assoiati%e
o!te-t& le# i! the first ase to a rupture bet)ee! e'otio! a!# reaso!& i! the seo!# to a
tra!sfer of e'otio! to the !e) o!te-t )hereby its har'o!ious o"or#i!atio! )ith reaso! is
preser%e#(

Thus i!o!$ruity "" the o!fro!tatio! of i!o'patible 'atries "" )ill be e-perie!e# as
ri#iulous& patheti& or i!telletually halle!$i!$& aor#i!$ to )hether a$$ressio!&
i#e!tifiatio!& or the )ell"bala!e# ble!# of sie!tifi uriosity pre%ails i! the spetator's
'i!#( <o! Jui-ote is a o'i or a tra$i fi$ure& or a ase"history of i!ipie!t para!oia&
#epe!#i!$ o! the pa!el of the tryptih i! )hih he is plae#( I! all three ases the 'atries
of reality a!# #elusio! "" of )i!#'ills a!# pha!to'"k!i$hts "" o!fro!t eah other i! the
rea#er's 'i!#( I! the first ase they olli#e& a!# 'alie is spille# i! lau$hter( I! the seo!#&
the t)o u!i%erses re'ai! .u-tapose#& reaso! osillates to a!# fro bet)ee! the'&
o'passio! re'ai!s attahe# to it a!# is easily tra!sferre# fro' o!e 'atri- to the other( I!
the thir# ase& the t)o 'er$e i! a sy!thesis0 the 1e'otio!ally '!eutral'2 #ia$!osis of the
li!iia!(

Thus o'passio!& a!# the other %arieties of the partiipatory e'otio!s& attah the'sel%es
to the !arrati%e tol# o! the sta$e or i! pri!t& like faithful #o$s& a!# follo) it )hate%er the
surprises& t)ists& a!# i!o!$ruities the !arrator has i! store for the'( *y o!trast& hostility&
'alie& a!# o!te'pt te!# to persist i! a strai$ht ourse& i'per%ious to the subtleties of
i!tellet, to the' a spa#e is a spa#e& a )i!#'ill a )i!#'ill& a!# a Piasso !u#e )ith three
breasts a! ob.et to leer at( The self"tra!se!#i!$ e'otio!s see' to be $ui#e# by the 'a-i'
Ntout o'pre!#re 'est tout par#o!!erN, the self"asserti!$ e'otio!s are #esi$!e# for
assertio!& !ot o'prehe!sio!( He!e& )he! atte!tio! is su##e!ly #isplae# fro' o!e fra'e
of refere!e to a!other& the self"asserti!$ i'pulses& #epri%e# of their raiso! #'_tre& are
spille# i! the proess& )hereas the partiipatory e'otio!s are tra!sferre# to the !e) 'atri-(


The physiolo$ial o!si#eratio!s )hih le!# support to this %ie) I ha%e alrea#y #isusse#
1pp( I@ ff, 9O6& 9FA2( A!$er a!# fear o)e their persiste!e a!# 'o'e!tu' to the
sy'pathio"a#re!al 'ahi!ery& )hih auses the' to beo'e oasio!ally #issoiate#
fro' reaso!i!$( The self"tra!se!#i!$ e'otio!s& o! the other ha!#& are ao'pa!ie# by
parasy'patheti reatio!s )hih are i! e%ery respet the opposite of the for'er, si!e they
are #e%oi# of 'assi%e!ess a!# 'o'e!tu'& there is !o ause for their falli!$ out of step
)ith the hi$her 'e!tal ati%ities& a!# the !or'al o"or#i!atio! of thou$ht a!# e'otio! )ill
pre%ail( If your 'i!# has the !i'ble!ess of 'i$rati!$& at a 'o'e!t's !otie& i!to Ro'eo's
i! si-tee!th"e!tury 3ero!a& the! you )ill also be apable of she##i!$ tears at ?uliet's
#eath(

:e 'ust re'e'ber& ho)e%er& that e'otio!s are o'ple- 'i-tures, our a'use'e!t at
Charlie Chapli!'s a#%e!tures is full of o'passio!( All that is re/uire# for a 'il#ly o'i
effet is that a! a$$ressi%e fator shoul# be prese!t of suffiie!t stre!$th to pro%i#e a
ertai! i!ertia of feeli!$ "" or a!aesthesia of the heart(


Esapis' a!# Catharsis

Illusio!& the!& is the si'ulta!eous prese!e a!# i!teratio! i! the 'i!# of t)o u!i%erses&
o!e real& o!e i'a$i!ary( It tra!sports the spetator fro' the tri%ial prese!t to a pla!e re'ote
fro' self"i!terest a!# 'akes hi' for$et his o)! preoupatio!s a!# a!-ieties, i! other
)or#s& it failitates the u!fol#i!$ of his partiipatory e'otio!s& a!# i!hibits or !eutrali+es
his self"asserti!$ te!#e!ies(

This sou!#s like a! esapist theory of art, a!# i! spite of its #ero$atory o!!otatio!s& the
e-pressio! o!tai!s a $rai! of truth "" thou$h !o 'ore tha! a $rai!( The a!alysis of a!y
aestheti e-perie!e re/uires& as sai# before& a series of steps, a!# the esape offere# by
tra!sporti!$ the spetator fro' his be#"sitter i! *ays)ater to the Castle of Elsi!ore is
'erely the botto' step of the la##er( *ut& !e%ertheless& it shoul# !ot be u!#er"esti'ate#( I!
the first plae& if illusio! offers esape it is esape of a partiular ki!#& sharply
#isti!$uishe# fro' other #istratio!s suh as playi!$ te!!is or bi!$o( It teahes us to li%e o!
t)o pla!es at o!e( Chil#re! a!# pri'iti%e au#ie!es )ho& for$etti!$ the prese!t&
o'pletely aept the reality of the e%e!ts o! the sta$e& are e-perie!i!$ !ot a! aestheti
thrill& but a ki!# of hyp!oti tra!e, a!# a##itio! to it 'ay lea# to %arious #e$rees of
estra!$e'e!t fro' reality( The aestheti e-perie!e #epe!#s o! that #eliate bala!e arisi!$
fro' the prese!e of both 'atries i! the 'i!#, o! perei%i!$ the hero as =aure!e Oli%ier
a!# Pri!e Ha'let of <e!'ark at o!e a!# the sa'e ti'e, o! the li$ht!i!$ osillatio!s of
atte!tio! fro' o!e to the other& like sparks bet)ee! har$e# eletro#es( It is this prearious
suspe!sio! of a)are!ess bet)ee! the t)o pla!es )hih failitates the o!ti!uous flu- of
e'otio! fro' the No) a!# Here to the re'oter )orl#s of The! a!# There& a!# the atharti
effets resulti!$ fro' it( For )he! i!terest is #eflete# fro' the self it )ill attah itself to
so'ethi!$ else, )he! the le%el of self"asserti%e te!sio! falls& the self"tra!se!#i!$ i'pulses
beo'e al'ost auto'atially #o'i!a!t( Thus the reatio! of illusio! is i! itself of atharti
%alue "" e%e! if the pro#ut& .u#$e# by 'ore sophistiate# sta!#ar#s& is of heap /uality, for
it helps the sub.et to atuali+e his pote!tial of self"tra!se!#i!$ e'otio!s th)arte# by the
#reary routi!es of e-iste!e( =iberate# fro' his frustratio!s a!# a!-ieties& 'a! a! tur!
i!to a rather !ie a!# #rea'y reature, )he! he ha!$es i!to a #ark suit a!# sits i! a
theatre& he at o!e sho)s hi'self apable of taki!$ a stro!$ a!# e!tirely u!selfish i!terest
i! the #esti!ies of the perso!ae o! the sta$e( He partiipates i! their hopes a!# sufferi!$s,
his frustrate# ra%i!$s for o''u!io! fi!# their pri'e%al outlet i! the 'a$i of
i#e!tifiatio!(

To re%ert to Aristotle& the atharti fu!tio! of the tra$e#y is 'throu$h i!i#e!ts arousi!$
horror a!# pity to ao'plish the pur$atio! of suh e'otio!s'( I! ru#er ter's& a $oo# ry&
like a $oo# lau$h& has a 'ore lasti!$ after"effet tha! the oasio! see's to )arra!t( Taki!$
the Aristotelia! #efi!itio! at fae %alue& it )oul# see' that the aestheti e-perie!e oul#
pur$e the 'i!# o!ly of those e'otio!s )hih the sta$e"play has reate#, that it )oul#
'erely take out of the !er%ous syste' )hat it has .ust put i!& lea%i!$ the 'i!# i! the sa'e
state as before( *ut this is !ot so( The e'otio! is !ot reate#& but 'erely sti'ulate# by the
ators, it 'ust be ')orke# up' by the spetator( The )ork of art #oes !ot pro%i#e the urre!t&
like a! eletriity o'pa!y& but 'erely the i!stallatio!s, the urre!t has to be $e!erate# by
the o!su'er( Althou$h this is ob%ious o!e )e re'e'ber it& )e te!# to fall i!to the
'istake of taki!$ a 'etaphor at fae %alue a!# belie%i!$ that the sta$e 'pro%i#es' us )ith a
thrill a$ai!st ash pay'e!t for a seat i! the stalls( :hat )e buy& ho)e%er& is !ot e'otio!&
but a se/ue!e of sti'uli u!!i!$ly #esi$!e# to tri$$er off our late!t partiipatory e'otio!s
)hih other)ise )oul# re'ai! frustrate# or look for oarser outlets& a!# to assure their
ulti'ate o!su''atio!( =ife o!sta!tly $e!erates te!sio!s )hih ru! throu$h the 'i!# like
stray e##ies a!# errati urre!ts( The aestheti e-perie!e i!hibits so'e& a!ali+es others&
but abo%e all& it #ra)s o! u!o!sious soures of e'otio! )hih other)ise are o!ly ati%e
i! the $a'es of the u!#er$rou!#(

Thus the o!ept of atharsis assu'es a t)ofol# 'ea!i!$( Firstly& it si$!ifies that
o!e!tratio! o! the illusory e%e!ts o! the sta$e ri#s the 'i!# of the #ross of its self"
e!tre# tri%ial preoupatio!s, i! the seo!# plae it arouses its #or'a!t self"tra!se!#e!t
pote!tials a!# pro%i#es the' )ith a! outlet& u!til they peaefully ebb a)ay( Peaeful& of
ourse& #oes !ot !eessarily 'ea! a happy e!#i!$( It 'ay 'ea! the 'earthi!$' of a!
i!#i%i#ual tra$e#y i! the u!i%ersal tra$e#y of the hu'a! o!#itio! "" as the sie!tist
resol%es a proble' by sho)i!$ that a partiular phe!o'e!o! is a! i!sta!e of a $e!eral
la)( It 'ay #issol%e the bitter!ess of perso!al sorro) i! the %ast!ess of the oea!i feeli!$,
a!# re#ee' horror by pity( Tra$e#y& i! the ;reek se!se& is the shool of self"tra!se!#e!e(



I#e!tifiatio! a!# >a$i

The pro.etio!s of a si!$le i!e"a'era )ith its rotati!$ >altese ross arouse a!$er& terror&
a!# ri$hteous i!#i$!atio! i! up to fi%e suessi%e au#ie!es o! a si!$le #ay& as if it )ere a
'ahi!e #esi$!e# for the )holesale 'a!ufature of a#re!ali!( Bet the e'otio!s arouse#
e%e! by a heap thriller"fil' are %iarious e'otio!s #eri%e# fro' o!e of the pri'or#ial
$a'es of the u!#er$rou!#0 the tra!sfor'atio! of o!e perso! or ob.et i!to a!other 1Chapter
3III& p( 4FO f2( The fear a!# a!$er e-perie!e# by the au#ie!e is e-perie!e# o! behalf of
a!other perso!, the a#re!ali! serete# i!to their bloo#strea' is serete# to pro%i#e a!other
perso! )ith e-ess e!er$y for fi$ht or fli$ht, the 'a$i of i#e!tifiatio! is at )ork(

It e!ters i!to illusio! i! t)o sta$es( The first is the partial i#e!tifiatio!& i! the spetator's
'i!#& of the ator )ith the harater he is 'ea!t to represe!t, the seo!# is the partial
i#e!tifiatio! of the spetator )ith o!e or se%eral of the haraters( I! both ases the
i#e!tifiatio! is o!ly partial& but !e%ertheless the 'a$i is po)erful e!ou$h to pro%i#e the
palpitatio!s a!# ati%ate the supra"re!al $la!#s( A!# )he! I speak of 'a$i& I a' !ot
speaki!$ 'etaphorially, the ''a$i of the sta$e' is a lihT )hih ori$i!ates i! the
sy'patheti 'a$i pratise# by all pri'iti%e a!# !ot"so"pri'iti%e ultures& roote# i! the
belief i! the substa!tial i#e!tity of the 'aske# #a!er )ith the #e'o! he 'i'es, of the
i'perso!ator )ith the po)er he i'perso!ates( The u!o!sious self& 'a!ifeste# i! the
beliefs of the hil# a!# the #rea's of the a#ult& is& as )e sa)& i''u!e to o!tra#itio!&
u!sure of its i#e!tity& a!# pro!e to 'er$i!$ it )ith others'( 'I! the olleti%e represe!tatio!s
of pri'iti%e 'e!tality& ob.ets& bei!$s& e%e!ts a! be& thou$h i! a )ay i!o'prehe!sible to
us& both the'sel%es a!# so'ethi!$ other tha! the'sel%es(' 798 This #esriptio! of tribal
'e!tality by a 3itoria! a!thropolo$ist oul# be applie# al'ost )ithout /ualifiatio!s to
the au#ie!es of oronation .treet(

I ha%e take! a short"ut fro' pri'iti%e to o!te'porary 'a$i& but the #e%elop'e!t is i!
fat historially o!ti!uous0 the latter is a #iret #ese!#a!t of the for'er( <ra'ati art has
its ori$i! i! ere'o!ial rites "" #a!es& so!$s& a!# 'i'e "" )hih e!ate# i'porta!t past or
#esire# future e%e!ts0 rai!& a suessful hu!t& a! abu!#a!t har%est( The $o#s& #e'o!s&
a!estors a!# a!i'als partiipari!$ i! the e%e!t )ere i'perso!ate# )ith the ai# of 'asks&
ostu'es& tattooi!$s a!# 'ake"up( The sha'a! )ho #a!e# the part of the rai!"$o# was the
rai!"$o#& a!# yet re'ai!e# the sha'a! at the sa'e ti'e( Fro' the sta$ #a!es of the
Huihol I!#ia!s or the serpe!t #a!es of the ]u!i& there is o!ly o!e step to the $oat #a!e
of the Ahea!s& the preursor of ;reek #ra'a( 'Tra$e#y' 'ea!s '$oat"so!$' 1tragos "" he
$oat& oide "" so!$2, it probably ori$i!ate# i! the ere'o!ial rites i! ho!our of <yo!ysius&
)here the perfor'ers )ere #is$uise# i! $oat"ski!s as satyrs& a!# i! the relate# ere'o!ies
i! ho!our of Apollo a!# <e'eter( I!#ia! a!# Chi!ese sta$e raft ha%e si'ilarly reli$ious
ori$i!s( Etrusa! #ra'a #eri%e# fro' fu!eral rites, 'o#er! Europea! #ra'a e%ol%e# fro'
the 'e#ie%al 'ystery plays perfor'e# o! the oasio! of the 'ai! hurh festi%als( *ut
thou$h the 'o#er! theatre har#ly betrays its reli$ious a!estry& the 'a$i of illusio! still
ser%es esse!tially the sa'e e'otio!al !ee#s0 it e!ables the spetator to tra!se!# the
!arro) o!fi!es of his perso!al i#e!tity& a!# to partiipate i! other for's of e-iste!e( For
"" to /uote for a last ti'e the u!fashio!able =T%y"*ruhl& to )ho' Freu#& ?u!$& a!# others
o)e so 'uh0
The !ee# of partiipatio! re'ai!s so'ethi!$ 'ore i'perious a!# i!te!se& e%e! a'o!$
people like oursel%es& tha! the thirst for k!o)le#$e a!# the #esire for o!for'ity )ith the
lai's of reaso!( It lies #eeper i! us a!# its soure is 'ore re'ote( <uri!$ the lo!$
prehistori a$es& )he! the lai's of reaso! )ere sarely reali+e# or e%e! perei%e#& it )as
!o #oubt all"po)erful i! all hu'a! a$$re$ates( E%e! to#ay the 'e!tal ati%ity )hih& by
%irtue of a! i!ti'ate partiipatio!& possesses its ob.et& $i%es it life a!# li%es throu$h it ""
fi!#s e!tire satisfatio! i! this possessio!( 7A8
The <a)! of =iterature

The #a)! of literature& too& )as bathe# i! the t)ili$ht of 'ystiis' a!# 'ytholo$y( 'The
reitatio! of the Ho'eri poe's o! the Pa!atha!aea orrespo!#s to the reitatio! else)here
of the sare# te-ts i! the te'ple, the state'e!t of Phe'ios that a $o# i!spire# his soul )ith
all the %arie# )ays of so!$ e-presses the or#i!ary belief of early historial ti'es(' 768 *ut
the earliest literati "" priests& prophets& rhapso#es& bar#s "" ha# less #iret 'ea!s to i'press
their au#ie!es tha! their ol#er ollea$ues& the 'aske# a!# pai!te# illusio!"'o!$ers( They
ha# to '#ra'ati+e' their tales& by teh!i/ues )hih )e a! o!ly i!fer fro' hi!ts( The
#ra'ati+atio! of a! epi reital ai's& like sta$e"raft fro' )hih it is #eri%e#& at reati!$&
to so'e e-te!t at least& the illusio! that the e%e!ts tol# are happe!i!$ !o) a!# here(
Perhaps the ol#est of these teh!i/ues is the use of #iret speeh& to 'ake the au#ie!e
belie%e that it is liste!i!$ !ot to the !arrator but to the haraters the'sel%es, its use is still
as fre/ue!t i! the 'o#er! !o%el as it )as i! the Ho'eri epos( I! the a!ie!t for's of oral
reital it )as supple'e!te# by i'itatio! of %oie a!# $esture "" a!other tra#itio! still ali%e
i! the !ursery roo'( The 'i!strels a!# trouba#ours& the .oulators or .u$$lers& the scGps
a!# the chansonniers de geste& )ere #iret #ese!#a!ts of the Ro'a! 'i'es "" ators )ho&
ha%i!$ lost their li%elihoo# )he! the Ro'a! theatre #eaye#& bea'e %a$abo!#s a!#
#i%erte# their patro!s )ith #a!i!$& tu'bli!$& .u$$li!$ a!# reitals as 'uh ate# as tol#(
The early 'i!strels )ere alle# histriones& sta$e"players, the bar# Taillefer& )ho sa!$ the
hanson de !oland #uri!$ the battle of Hasti!$s& is #esribe# as a histrion or mimus(

There is har#ly a !o%elist )ho ha# !ot )ishe# at ti'es that he )ere a histrion& a!# oul#
o!%ey by #iret %oie& $ri'ae& a!# $esture )hat his haraters look like a!# feel( *ut
)riters ha%e e%ol%e# other teh!i/ues to reate the illusio! that their haraters are ali%e&
a!# to 'ake their au#ie!e fall i! lo%e )ith a heroi!e )ho e-ists o!ly as pri!ter's i!k o!
paper( The real tears she# o%er A!!a Kare!i!a or E''a *o%ary are the ulti'ate triu'ph of
sy'patheti 'a$i(




H3I

RHBTH> AN< RHB>E
Pulsatio!

The effet of the rhyth' of a poe'& )rote I( A( Rihar#s& 'is !ot #ue to our perei%i!$
patter! i! so'ethi!$ outsi#e us& but to our beo'i!$ patter!e# oursel%es'( 748 Rhyth'i
perio#iity is a fu!#a'e!tal harateristi of life( All auto'ati fu!tio!s of the bo#y are
patter!e# by rhyth'i pulsatio!s0 heart"beat& respiratio!& peristalsis& brai!")a%es are 'erely
the 'ost ob%ious o!es( For there is also a! i!here!t te!#e!y i! so'e parts of the !er%ous
syste'& partiularly o! its phylo$e!etially ol#er le%els& to burst i!to spo!ta!eous ati%ity
)he! release# fro' the i!hibitory o!trol of the hi$her e!tres by brai!"#a'a$e& to-i
states& or by patter!s of sti'uli ati!$ as tri$$ers(

Perhaps the 'ost striki!$ e-a'ple of suh a tri$$er"effet is the e-peri'e!tal i!#utio! of
fits i! epilepti patie!ts by shi!i!$ a bri$ht flikeri!$ li$ht i!to their eyes& )here the
fre/ue!y of the fliker is 'a#e to orrespo!# to a harateristi fre/ue!y i! the patie!t's
eletro"e!ephalo$ra'( This& of ourse& is a! e-tre'e e-a'ple of a tri$$er"effet by #iret
physiolo$ial sti'ulatio!, 'oreo%er& the i!o'i!$ rhyth' is sy!hro!i+e# )ith a! i!!er
rhyth' to pro#ue a! u!holy reso!a!e effet( The o!%ulsio!s of %oo#oo"#a!ers& o! the
other ha!#& )hih ha%e bee! o'pare# to epilepti fits& are ertai!ly !ot ause# by the
rhyth'i beat of the to'"to' alo!e, other fators& of a psyholo$ial !ature& 'ust be
prese!t to pro#ue the effet( *ut it is !e%ertheless true that our re'arkable respo!si%e!ess
to rhyth'ially patter!e# sti'uli a!# our rea#i!ess 'to beo'e patter!e# oursel%es' arises
fro' the #epths of the !er%ous syste'& fro' those arhai strata of the u!o!sious )hih
re%erberate to the sha'a!'s #ru'(

Nee#less to say& e%e! the o!te'porary Rok"'!'"Roll or T)ist are restrai!e# a!#
subli'ate# #isplays o'pare# to the St( 3itus's #a!e )hih sprea# as a! i!fetious for' of
hysteria throu$h 'e#ie%al Europe( =ike)ise& if rhyth' i! poetry is 'ea!t& as Beats sai#& 'to
lull the 'i!# i!to a )aki!$ tra!e'& that e!tra!e'e!t arries o!ly a fai!t& re'ote eho of
the i!a!tati%e po)er of the 'ue++i!'s all& or of the reitatio! of the Ho'eri poe's o!
the Pa!atha!aea( O! the other ha!#& )e #o e-perie!e a o''o! ki!# of ')aki!$ tra!e'
)he! )e keep repeati!$ a silly phrase to the rhyth' of the )heels of a rail)ay arria$e,
hyp!otists use# to rely o! 'etro!o'es& flikeri!$ a!#les& 'o!oto!ously repeate# or#ers or
passes, a!# the roki!$ 'otio!s ao'pa!yi!$ the prayers of Orie!tal reli$io!s a!# 'ysti
sets ser%e the sa'e purpose( Thus e-perie!e& both of the e-alte# a!# tri%ial ki!#&
i!#iates that the 'i!# is partiularly reepti%e to a!# su$$estible by 'essa$es )hih arri%e
i! a rhyth'i patter!& or ao'pa!ie# by a rhyth'i patter!(

This is true e%e! o! the ele'e!tary le%els of pereptio!( :e are 'ore suseptible to
'usial to!es tha! to !oises& beause the for'er o!sist of perio#ial& the latter of a"
perio#ial air")a%es( Si'ilar o!si#eratio!s apply to pure olours, or to the sy''etry a!#
bala!e )hih le!# a #esi$! its 'u!ity i! #i%ersity'( Plato #eree# that all hea%e!ly 'otio!s
'ust take plae i! perfet irles at u!ifor' spee#& beause o!ly suh re$ular perio#iity
oul# assure the stea#y& eter!al pulsatio!s of the u!i%erse( Perhaps the o'pulsi%e patter!"
)alki!$ ritual of ertai! !eurotis& )ho 'ust al)ays step i!to the e!tre of pa%e'e!t"
sto!es& is 'oti%ate# by the sa'e u!o!sious ra%i!$ for or#er a!# re$ularity as a
protetio! a$ai!st the a!-iety"arousi!$ threat of ha!$e(


>easure a!# >ea!i!$

'The superi'positio! of t)o syste's0 thou$ht a!# 'etre&' )rote Proust& 'is a pri'ary
ele'e!t of or#ere# o'ple-ity& that is to say& of beauty(' 798 *ut this superi'positio! "" i!
our .ar$o!& the bisoiatio! of rhyth' a!# 'ea!i!$ "" is a$ai! tri%ale!t0 it a! be put to
poeti& sie!tifi& or o'i use( :he! rhyth' assu'es a ri$i#ly repetiti%e for'& it !o lo!$er
realls the pulsatio! of life& but the 'otio!s of a! auto'ato!, its superi'positio! o! hu'a!
beha%iour is #e$ra#i!$& a!# yiel#s *er$so!'s for'ula of the o'i0 the 'eha!ial
e!ruste# o! the li%i!$( *ut here a$ai!& all #epe!#s o! o!e's e'otio!al attitu#e0 pre)ar
fil's of ;er'a! sol#iers 'arhi!$ the $oose"step "" or if it o'es to that& the ha!$i!$ of
the ;uar# at *uki!$ha' Palae "" )ill strike o!e spetator as o'i& a!# appeal to the
tribal& or ro'a!ti& e'otio!s of a!other( O!e o!e is i! a 'arhi!$ olu'!& it is e-tre'ely
#iffiult to keep out of step, o!e has beo'e patter!e# by the rhyth'i 'otio! i! )hih o!e
partiipates( *ut the o'e#ia! as a! ar'y reruit falli!$ hro!ially out of step is o'i&
for ob%ious reaso!s(

I! the !atural sie!es& the a!alysis of rhyth'i perio#iities "" the !u'erial patter!s
u!#erlyi!$ the phe!o'e!a of !aQ%e e-perie!e "" play a #o'i!a!t part( The Pytha$orea!s
re$ar#e# the u!i%erse as a lar$e 'usial bo-& the or$a!is' as a )ell"te'pere# i!stru'e!t&
a!# all 'aterial phe!o'e!a as a #a!e of !u'bers( The 'etre of the poet& the 'etro!o'e
of the 'usiia!& the e!ti'etre of the 'athe'atiia!& are all #eri%e# fro' the sa'e root&
N'etro!N0 'easure& 'easure'e!t( Bet the /ua!titati%e patter!s i! the'sel%es )oul# be
'ea!i!$less to us if they )ere !ot ao'pa!ie# by the se!sory /ualities of olour& sou!#&
heat& taste& te-ture& a!# so o!, a!# the rhyth's of our brai!")a%es o! the eletro"
e!ephalo$ra' )oul# be 'ea!i!$less if )e )ere !ot o!sious of thi!ki!$( The sie!tist
takes a 'bi"foal' %ie) of life, a!# so #oes the rea#er )hose atte!tio! is fousse#
si'ulta!eously both o! the 'easure a!# the 'essa$e of the poe'(

:ithout the 'essa$e& the rhyth' is of ourse 'ea!i!$less& i! poetry as i! sie!e( A
'o!oto!ous rhyth'& for i!sta!e& a! be either sleepy"'aki!$ or e-iti!$& aor#i!$ to the
'essa$e )hih it arries( Rhyth'i stroki!$ of the ski! 'ay be soothi!$ or se-ually
e-iti!$ "" it #epe!#s o! the 'essa$e( The rhyth'i rattle of the )heels o! a trai! .our!ey
)ill lull o!e to sleep& as a superior for' of ou!ti!$ sheep& if o!e is i! a rela-e# 'oo#, but I
a! re'e'ber at least o!e $hastly .our!ey& )he! I fou!# 'yself i! a pre#ia'e!t of 'y
o)! 'aki!$& a!# the )heels kept repeati!$& 'I told you so& I told you so& I told you so' )ith
suh haUui!atory larity a!# i!siste!e that I fou!# it #iffiult to o!%i!e 'yself that the
other passe!$ers i! the o'part'e!t #i# !ot hear it( Rhyth' pe!etrates so #eeply i!to the
u!o!sious strata that it 'akes us su$$estible e%e! to self"a##resse# 'essa$es "" fro' the
Bo$i reitatio! of 'a!tras to CouT's 'e%ery #ay i! e%ery )ay ( ( ( '(


Ho)e%er& u!like the beat of the to'"to'& or the rattle of the arria$e )heels& a strophe of
%erse #oes !ot o!sist i! a si'ple repetiti%e rhyth'& but i! o'ple- patter!s of short a!#
lo!$& stresse# a!# li$ht syllables& further o'pliate# by super"i'pose# patter!s of
asso!a!e or rhy'e( As 'usi has e%ol%e# a lo!$ )ay fro' the si'ple& repetiti%e fi$ures of
'o!ohor#s a!# #ru's& so the %arious 'etri for's i! poetry o!tai! their substruture of
rhyth'i pulsatio! i! a! implied& a!# !o lo!$er i! a! e-pliit for'( I! free %erse& the
rhyth'i substruture has beo'e so i'pliit& as to $o so'eti'es u!!otie#(

This #e%elop'e!t fro' the e-pliit to the i'pliit& fro' the #iret state'e!t to the %eile#
hi!t& is a phe!o'e!o! )hih )e ha%e alrea#y 'et 1pp F6 ff(2& a!# shall 'eet a$ai! i! other
pro%i!es of art& as a harateristi fator i! the e%olutio! of reati%e teh!i/ues i! $e!eral(



Repetitio! a!# Affi!ity

The rhy'e is a relati%ely late offspri!$ of rhyth'( *oth )or#s are #eri%e# fro' the sa'e
;reek root& Nrhut'osN, up to the si-tee!th e!tury they )ere treate# as pratially
sy!o!y'ous( >etri patter!s base# e-lusi%ely o! the re$ular suessio! of ups a!# #o)!s
of i!to!atio! "" the o!ly for' of %erse i! ;reek a!# =ati! poetry "" )ere later o'bi!e#
)ith patter!s base# o! the repetitio! of si!$le o!so!a!ts a!# %o)els, a!# thus& %ia
alliteratio! a!# asso!a!e& the rhy'e a'e i!to bei!$ "" as 'elo#y )as bor! out of
ori$i!ally u!'o#ulate#& rhyth'i beats(

*ut althou$h o!sious rhy'i!$ )as o!ly a#'itte# i!to for'al literature i! the >i##le
A$es 1at first as the i!ter!al rhy'e i! =eo!i!e %erse2& it has& like rhyth'& its pri'or#ial
roots i! the u!o!sious( The repetition of syllables is a o!spiuous phe!o'e!o! at the
%ery ori$i!s of la!$ua$e( I! the early sta$es of lear!i!$ to speak& hil#re! see' to ha%e a!
irresistible i'pulse to .abber repetiti%e %ariatio!s of sou!# patter!s "" fro' 'a"'a a!# pa"
pa to obble"$obble& 'i!ky"pi!ky a!# so o! a# i!fi!itu', $ibble"$abble )as the 3itoria!
)or# for it( Si'ilarly& i! 'a!y pri'iti%e la!$ua$es as far apart as Poly!esia! a!# *a!tu&
)or#s like Kala"Kala or >oku">oku abou!#, a!# )hy #oes the !a'e Hu'pty"<u'pty
hol# suh a har' for hil# a!# a#ult alikeE

Ne-t to repetitio!& association by sound affinity "" pu!!i!$ "" is o!e of the !otorious $a'es
of the u!#er$rou!#& 'a!ifeste# i! #rea's& i! the pu!!i!$ 'a!ia of hil#re!& a!# i! 'e!tal
#isor#ers( The rhy'e is !othi!$ but a $lorifie# pu! "" t)o stri!$s of i#eas tie# i! a!
aousti k!ot( I! !or'al& ratio!ally o!trolle# speeh& assoiatio! by pure sou!# is
prohibite#& for& if $i%e! free rei!& it )oul# #estroy ohere!e a!# 'ea!i!$( Thus& o! re"
rea#i!$ the pre%ious se!te!e& it ours to 'e that '#es"troy' le!#s itself to a pu! 1Hele! )as
fate# to #estroy Troy2, o!e o!e 'tu!es i!' to the 'atri- of sou!#"assoiatio!s& a !u'ber of
/uite i#ioti pu!s a!# rhy'es )ill i!%a#e the 'i!#( No effort is re/uire# to pro#ue the',
o! the o!trary& )he! o!e!tratio! fla$s& a!# the ratio!al o!trols are rela-e#& thi!ki!$ has
a te!#e!y to re%ert& by its o)! $ra%ity as it )ere& to 'atries $o%er!e# by 'ore pri'iti%e
rules of the $a'e( A'o!$ these& assoiatio! by sou!#"affi!ities plays a pro'i!e!t part, the
free assoiatio!s of the patie!t o! the a!alyst's ouh belo!$ as ofte! as !ot to this ate$ory(
=et us also re'e'ber 1pp( 4F@ f(2 that other $a'es base# o! sou!#"affi!ity ha%e e-erise# a
pere!!ial attratio! o! the 'ost %arie# ultures, a!a$ra's& arostis& a!#")or#"pu++les,
i!a!tatio!s a!# %erbal spells, her'e!eutis a!# Cabala& )hih i!terprete# the Sriptures as
a olletio! of the Al'i$hty's hi##e! pu!s& o'bi!i!$ letter"lore )ith !u'ber"lore(

Thus rhyth' a!# asso!a!e& pu! a!# rhy'e are !ot artifiially reate# or!a'e!ts of
speeh, the )hole e%i#e!e i!#iates that their ori$i!s $o bak to pri'iti%e "" a!# i!fa!tile
"" for's of thou$ht a!# uttera!e& i! )hih sou!# a!# 'ea!i!$ are 'a$ially i!ter)o%e!&
a!# assoiatio! by sou!# "" affi!ities is as le$iti'ate as assoiatio! base# o! other
si'ilarities( Ratio!ality #e'a!#s that these 'atries shoul# be rele$ate# u!#er$rou!#& but
they 'ake their prese!e felt i! sleep a!# sleeplike states& i! 'e!tal ill!ess a!# i! the
te'porary re$ressio! "" the reuler"pour"'ieu-"sauter "" of poeti i!spiratio!( *ut before
)e o'e to that& let 'e o!e 'ore /uote a##itio!al e%i#e!e fro' !eurolo$y& 'ore
preisely& fro' brai! sur$ery "" a fiel# rarely bisoiate# )ith the poeti faulty(


Co'pulsi%e Pu!!i!$

The phe!o'e!o! to be #esribe# is k!o)! as 'F[rster's sy!#ro'e'( It )as first obser%e# by
F[rster& a ;er'a! sur$eo!& i! 4595& )he! he )as operati!$ o! a patie!t sufferi!$ fro' a
tu'our i! the thir# %e!trile "" a s'all a%ity #eep #o)! i! the phylo$e!etially a!ie!t
re$io!s of the 'i#"brai!& a#.ae!t to strutures i!ti'ately o!er!e# )ith the arousal of
e'otio!s( :he! the sur$eo! be$a! to 'a!ipulate the tu'our& affeti!$ those se!siti%e
strutures& the 1o!sious2 patie!t burst i!to a 'a!i fli$ht of speeh& '/uoti!$ passa$es i!
=ati!& ;reek& a!# Hebre)( He e-hibite# typial sou!# assoiatio!s& a!# )ith e%ery )or# of
the operator broke i!to a fli$ht of i#eas( Thus& o! heari!$ the operator ask for a *upfer
7ta'po!8 he burst i!to *upfer . . . *upfer$ Hupfer$ H2pfer$ h2pfen$ .ie mal . . . O! heari!$
the )or# &esser& he burst i!to &esser$ messer$ &et0er$ .ie sind ein &et0el$ das ist 5a ein
@emet0el$ met0eln .ie doch nicht so messen .ie doch .ie messen 5a nicht Herr Professor$
profiteor$ professus sum$ profiteri( These 'a!i respo!ses )ere #epe!#e!t o! 'a!ipulatio!
of the tu'our a!# oul# be eliite# o!ly fro' the floor of the thir# %e!trile(' 7A8

F[rster's patie!t ope!e# up a urious i!si$ht i!to the proesses i! the poet's brai! "" i! a!
u!e-pete#ly literal se!se of the )or#( The first fli$ht of i#eas& *upfer$ Hupfer& et( ""
'ta'po!& .u'per& $o a!# .u'p i!to the air' "" has a $rueso'e ki!# of hu'our o'i!$ fro' a
'a! tie# fae #o)! to the operati!$ table )ith his skull ope!( The seo!# fli$ht& tra!slate#&
ru!s as follo)s0 &esser$ &et0er& et( "" 'K!ife& buther& you are a buther i! a buthery,
truly this is a 'assare 7@emet0el8, #o!'t $o o! butheri!$ 7met0eln8& take 'easure'e!ts
7messen8, )hy #o!'t you 'easure& Herr Professor& profiteor$ professus sum&' a!# so o!(

Thus the patie!t's appare!tly #elirious pu!!i!$ a!# babbli!$ o!%ey a 'ea!i!$ful 'essa$e
to the sur$eo! "" his fear of bei!$ buthere#& a!# his e!treaty that the sur$eo! shoul#
proee# by areful 'easure'e!ts& that is& i! a 'ore autious& iru'spet )ay( His trai! of
thou$ht see's to 'o%e u!#er #ual o!trol( It is o!trolle# by alliteratio! a!# asso!a!e ""
for he has re$resse# to the le%el of sou!#"assoiatio! a!# 'ust abi#e by its rules( *ut it is
also o!trolle# by his i!ter'itte!t& ratio!al a)are!ess of his situatio! o! the operati!$ table(
:ithout this& his fli$ht of )or#s )oul# beo'e 'ea!i!$less 1a!# #oes so at ti'es2( :ithout
the tyra!!y of the other o#e& he )oul# a##ress the sur$eo! i! si'ple& se!sible prose( As it
is& he 'ust ser%e both 'asters at the sa'e ti'e(D
=et us take a blasphe'ous short"ut fro' patie!t to poet( :e ha%e see! that the reati%e at
al)ays i!%ol%es a re$ressio! to earlier& 'ore pri'iti%e le%els i! the 'e!tal hierarhy& )hile
other proesses o!ti!ue si'ulta!eously o! the ratio!al surfae "" a o!#itio! that re'i!#s
o!e of a ski!"#i%er )ith a breathi!$"tube( 1Nee#less to say& the e-erise has its #a!$ers0
ski!"#i%ers are pro!e to fall %iti's to the 'rapture of the #eep' a!# tear their breathi!$"
tubes off "" the reculer sans sauter of :illia' *lake a!# so 'a!y others( A less fatal
professio!al #isease is the *e!#s& a pu!ish'e!t for atte'pti!$ to li%e o! t)o #iffere!t
le%els at o!e(2
Coa-i!$ the U!o!sious
The apaity to re$ress& 'ore or less at )ill& to the $a'es of the u!#er$rou!#& )ithout
losi!$ o!tat )ith the surfae& see's to be the esse!e of the poeti& a!# of a!y other for'
of reati%ity( ';o# $uar# 'e fro' those thou$hts 'e! thi!k W I! the 'i!# alo!e& W He that
si!$s a lasti!$ so!$ W Thi!ks i! a 'arro) bo!e' 1Beats2, or& to /uote A( E( Hous'a!0
( ( ( I oul# !o 'ore #efi!e poetry tha! a terrier a! #efi!e a rat& but )e both reo$!i+e the
ob.et by the sy'pto's )hih it pro%okes i! us( O!e of these sy'pto's )as #esribe# i!
o!!etio! )ith a!other ob.et by Elipha+ the Te'a!ite0 'A spirit passe# before 'y fae0
the hair of 'y flesh stoo# up(' E-perie!e has tau$ht 'e& )he! I a' sha%i!$ of a 'or!i!$&
to keep )ath o%er 'y thou$hts& beause& if a li!e of poetry strays i!to 'y 'e'ory& 'y
ski! bristles so that the ra+or eases to at( This partiular sy'pto' is ao'pa!ie# by a
shi%er #o)! the spi!e( ( ( ( I thi!k that the pro#utio! of poetry& i! its first sta$e& is less a!
ati%e tha! a passi%e a!# i!%olu!tary proess, a!# if I )ere obli$e#& !ot to #efi!e poetry&
but to !a'e the lass of thi!$s to )hih it belo!$s& I shoul# all it a seretio!, )hether a
!atural seretio!& like turpe!ti!e i! the fir& or a 'orbi# seretio!& like the pearl i! the oyster(
I ha%e sel#o' )ritte! poetry u!less I )as rather out of health& a!# the e-perie!e& thou$h
pleasurable& )as $e!erally a$itati!$ a!# e-hausti!$( 768
The !e-t /uotatio!& i! a 'ore aa#e'i %ei!& is fro' Paul 3alTry's 3 ourse in Poetics
1the italis are i! the ori$i!al20
:he! the 'i!# is i! /uestio!& e%erythi!$ is i! /uestio!, all is #isor#er& a!# e%ery reatio!
a$ai!st that #isor#er is of the sa'e ki!# as itself( For the fat is that #isor#er is the
o!#itio! of the 'i!#'s fertility( ( ( ( ( ( ( The o!stitutio! of poetry ( ( ( is rather 'ysterious(
It is stra!$e that o!e shoul# e-ert hi'self to for'ulate a #isourse )hih 'ust
si'ulta!eously obey perfetly i!o!$ruous o!#itio!s0 'usial& ratio!al& si$!ifia!t& a!#
su$$esti%e, o!#itio!s )hih re/uire a o!ti!uous a!# repeate# o!!etio! bet)ee! rhyth'
a!# sy!ta-& bet)ee! sou!# a!# se!se( ( ( ( ( ( ( There is a poeti la!$ua$e i! )hih )or#s are
!o lo!$er the )or#s of free pratial usa$e( They are !o lo!$er hel# to$ether by the sa'e
attratio!s, they are har$e# )ith t)o #iffere!t %alues operati!$ si'ulta!eously a!# of
e/ui%ale!t i'porta!e0 their sou!# a!# their i!sta!ta!eous psyhi effet( They re'i!# us
the! of those o'ple- !u'bers i! $eo'etry, the oupli!$ of the pho!eti %ariable )ith the
se'a!ti %ariable reates proble's of e-te!sio! a!# o!%er$e!e )hih poets sol%e
bli!#fol# but they sol%e the' 1a!# that is the esse!tial thi!$2& fro' ti'e to ti'e( 7I8
The septial rea#er 'ay ob.et that all these 'etaphors about the bli!#fol# poet thi!ki!$
i! his 'arro)"bo!es )hile sereti!$ pearls like a! oyster& reflet a too ro'a!ti %ie) of the
professio!, a!# that I ha%e put alto$ether too 'uh e'phasis o! the role of the
u!o!sious( The a!s)er is partly to be fou!# i! the hapter o! 'Thi!ki!$ Asi#e'& )hih
sho)s that the u!o!sious is !either a ro'a!ti !or a 'ysti fa!y& but a )orki!$ o!ept
i! the abse!e of )hih !early e%ery e%e!t of 'e!tal life )oul# ha%e to be re$ar#e# as a
'irale( There is !othi!$ %ery ro'a!ti about the )heels of the rail)ay arria$e srea'i!$
'I tol# you so', it is si'ply a! obser%e# fat(
I! the seo!# plae& thou$h u!o!sious proesses a!!ot be $o%er!e# by o!sious
%olitio!& they a! at least be oa-e# i!to ati%ity by ertai! triks a/uire# at the prie of a
little patie!e( Frie#rih Shiller lear!e# to $et hi'self i!to a reati%e fra'e of 'i!# by
s'elli!$ rotte! apples& Tur$e!e% by keepi!$ his feet i! a buket of hot )ater& *al+a by
#ri!ki!$ poiso!ous /ua!tities of blak offee, for lesser 'ortals e%e! a pipe or pai!$ up
a!# #o)! i! the stu#y 'i$ht #o(
A!# lastly& there is the lo!$ proess of o!sious elaboratio! "" of utti!$& $ri!#i!$&
polishi!$ the rou$h sto!e )hih i!spiratio! has u!earthe#( Here the ra!$e of %ariatio!s
fro' o!e )riter to a!other "" a!# fro' o!e )ork to a!other by the sa'e )riter "" is as
e!or'ous as )ith the elaboratio! a!# for'ulatio! of a '!ulear #iso%ery' i! sie!e( A!
e-elle!t aou!t of this proess is to be fou!# i! a! essay& far too little k!o)!& by A( E(
Hous'a! fro' )hih I ha%e alrea#y /uote#0
Ha%i!$ #ru!k a pi!t of beer at lu!heo! "" beer is a se#ati%e to the brai!& a!# 'y
after!oo!s are the least i!telletual portio! of 'y life "" I )oul# $o out for a )alk of t)o or
three hours( As I )e!t alo!$& thi!ki!$ of !othi!$ i! partiular& o!ly looki!$ at thi!$s
arou!# 'e a!# follo)i!$ the pro$ress of the seaso!s& there )oul# flo) i!to 'y 'i!#& )ith
su##e! a!# u!aou!table e'otio!& so'eti'es a li!e or t)o of %erse& so'eti'es a )hole
sta!+a at o!e& ao'pa!ie#& !ot pree#e#& by a %a$ue !otio! of the poe' )hih they )ere
#esfi!e# to for' part of( The! there )oul# usually be a lull of a! hour or so& the! perhaps
the spri!$ )oul# bubble up a$ai!( I say bubble up& beause& so far as I oul# 'ake out& the
soure of the su$$estio!s thus proffere# to the brai! )as a! abyss )hih I ha%e alrea#y ha#
oasio! to 'e!tio!& the pit of the sto'ah( :he! I $ot ho'e I )rote the' #o)!& lea%i!$
$aps& a!# hopi!$ that further i!spiratio! 'i$ht be fortho'i!$ a!other #ay( So'eti'es it
)as& if I took 'y )alks i! a reepti%e a!# e-peta!t fra'e of 'i!#, but so'eti'es the
poe' ha# to be take! i! ha!# a!# o'plete# by the brai!& )hih )as apt to be a 'atter of
trouble a!# a!-iety& i!%ol%i!$ trial a!# #isappoi!t'e!t& a!# so'eti'es e!#i!$ i! failure( I
happe! to re'e'ber #isti!tly the $e!esis of the piee )hih sta!#s last i! 'y first %olu'e(
T)o of the sta!+as& I #o !ot say )hih& a'e i!to 'y hea#& .ust as they are pri!te#& )hile I
)as rossi!$ the or!er of Ha'pstea# Heath bet)ee! the Spa!iar#'s I!! a!# the footpath to
Te'ple Fortu!e( A thir# sta!+a a'e )ith a little oa-i!$ after tea( O!e 'ore )as !ee#e#&
but it #i# !ot o'e0 I ha# to tur! to a!# o'pose it 'yself& a!# that )as a laborious
busi!ess( I )rote it thirtee! ti'es& a!# it )as 'ore tha! a t)el%e'o!th before I $ot it ri$ht(
NOTE
To p( A4@( =ess #ra'ati tha! F[rster's sy!#ro'e but e/ually o!%i!i!$ )ere e-peri'e!ts
by =uria a!# 3i!a$ra#o%a& )hih #e'o!strate# that sub.ets )ho !or'ally assoiate#
)or#s by their 'ea!i!$ re$resse# to assoiatio! by sou!# )he! they )ere 'a#e #ro)sy by
horal hy#rate 17r. F. of Psychol.& >ay& 45I52(




H3II
I>A;E
The Hi##e! A!alo$y
I! Chapters 3II"3III I ha%e spoke! at le!$th of the lose relate#!ess bet)ee! the sie!tist
seei!$ a! a!alo$y )here !obo#y sa) o!e before& a!# the poet's #iso%ery of a! ori$i!al
'etaphor or si'ile( *oth rely o! the 'e#iatio! of u!o!sious proesses to pro%i#e the
a!alo$y( I! the sie!tist's Eureka proess t)o pre%iously u!o!!ete# fra'es of refere!e
are 'a#e to i!terset& but the sa'e #esriptio! 'ay be applie# to the poet's trouvaille "" the
#iso%ery of a feliitous poeti o'pariso!( The #iffere!e bet)ee! the' is i! the harater
of the 'fra'es of refere!e'& )hih i! the first ase are of a 'ore abstrat& i! the seo!# of a
'ore se!suous !ature, a!# the riteria of their %ali#ity #iffer aor#i!$ly( *ut the
#iffere!e& as )e ha%e see!& is a 'atter of #e$rees, a!# ofte! the t)o o%erlap( The
#iso%ery of perspeti%e a!# fore"shorte!i!$& for i!sta!e& belo!$s to both $eo'etrial
sie!e a!# represe!tati%e art, it establishes for'al a!alo$ies bet)ee! t)o"#i'e!sio!al a!#
three"#i'e!sio!al spae& but at the sa'e ti'e has a #iret se!sory i'pat(
Here is a!other e-a'ple )hih I ha%e alrea#y 'e!tio!e# "" the aou!t& by o!e of Freu#'s
earlier bio$raphers& of ho) the 'aster su##e!ly hit upo! the i#ea of the subli'atio! of
i!sti!t0
It happe!e# )hile he )as looki!$ at a artoo! i! a hu'orous perio#ial )hih sho)e# the
areer of a you!$ $irl i! t)o subse/ue!t sta$es( I! the first she )as her#i!$ a flok of
you!$ $eese )ith a stik& i! the seo!# she )as sho)! as a $o%er!ess #ireti!$ a $roup of
you!$ $irls )ith her parasol( The $irls i! the seo!# piture )ere arra!$e# e-atly i! the
sa'e $roups as the $osli!$s i! the first( 748
The t)o artoo!s pro%i#e# the hi##e! 1thou$h !ot all to #eeply hi##e!2 a!alo$y for the
Eureka proess( *ut %ie %ersa& the t)o artoo!s 'ay be re$ar#e# as a 'etaphorial
illustratio! of it( The sa'e re%ersibility applies to KekulT's s!ake a!# Fara#ay's os'i
li!es of fore( =astly& o! the thir# pa!el of the triptyh& the $o%er!ess or the s!ake a! be
tur!e# i!to a .oke "" as )as atually #o!e by 'aliious o!te'poraries(
E'oti%e Pote!tials
A'o!$ the si'plest 'etaphors are ross"refere!es fro' o!e of the se!ses to a!other0 a
')ar'' olour& a 's)eet' %oie& a 'sharp' li$ht, the 'bli!# lips' of S)i!bur!e& the 'bli!# ha!#s'
of *lake( Suh o'bi!atio!s of #iffere!t se!sory 'atries le!# a !e) rih!ess or
'ulti#i'e!sio!ality to e-perie!e so that& a$ai! )ith S)i!bur!e& 'li$ht is hear# as 'usi&
'usi see! as li$ht'(
The aestheti satisfatio! #eri%e# fro' 'etaphor& i'a$ery& a!# relate# teh!i/ues 1)hih I
shall treat as a si!$le ate$ory2 #epe!#s o! the emotive potential of the 'atries )hih
e!ter i!to the $a'e( *y e'oti%e pote!tial I 'ea! the apaity of a 'atri- to $e!erate a!#
satisfy partiipatory e'otio!s( This #epe!#s of ourse partly o! i!#i%i#ual fators& partly o!
the olleti%e attitu#es of #iffere!t ultures& but also o! ob.eti%e fators0 o! the i!tri!si
'alory %alue'& as it )ere& of so'e assoiati%e o!te-ts "" 'e!tal #iets the i!$re#ie!ts of
)hih ha%e& for i!sta!e& a reli$ious or 'ytholo$ial fla%our(
O! the si'plest a!# 'ost $e!eral le%el& the e'oti%e pote!tials of the se!se"'o#alities ""
si$ht& sou!#& o#our& touh "" #iffer )i#ely )ith #iffere!t people( Robert ;ra%es 798 has
o!fesse# that his fa%ourite poe's ha%e ')ithout e-eptio!' a tatile /uality( He /uote# as
a! e-a'ple for it the Early E!$lish0
Col# blo)s the )i!# o! 'y true lo%e A!# a fe) s'all #rops of rai! ""
')here'& he o''e!ts& 'I feel the rai! o! 'y ha!#s a!# hair rather tha! see it(' He $oes o!
to say that he al)ays like# Keats a!# #islike# Shelley beause 'the harateristi of Keats
is& I fi!#& his o!sta!t appeal to the se!se of touh& )hile Shelley's appeal is as o!sta!tly to
the se!se of 'o%e'e!t'( ;ra%es's sti'ulati!$ essay 1publishe# i! 459I2 e!#e# )ith the
su$$estio! that psyholo$ists shoul# e!$a$e i! 'i!te!se researh' o! this /uestio!, it is a
pity that it has !ot bee! follo)e# up( 1>y $uess )oul# be that 'ore people tha! o!e
suspets a! smell poetry "" but that& !ee#less to say& is a $e!erali+atio! base# o! perso!al
e-perie!e& for I a! al)ays s'ell the #ust"lou# raise# by the $allopi!$ horses i! a
:ester! fil', a!# the li!es 'Col# blo)s the )i!#' o!%ey to 'e 'ai!ly the fresh s'ell of
the rai!y )i!# a!# of True =o%e's )et hair(2
Ho)e%er& $ra!te# suh perso!al i#iosy!rasies& 'a! li%es pri'arily by his eyes a!# ears(
The e'oti%e pote!tials of patter!e# sou!# I ha%e alrea#y #isusse#, it a##s to the %irtues of
la!$ua$e the #y!a'is' of the #a!e& the 'elo#y of the so!$& a!# the 'a$i of i!a!tatio!(
It 'ay e%e! happe! that the 'a$i 'akes us for$et the 'essa$e "" as )he! 1/uoti!$
;ra%es2 'people rea# S)i!bur!e for the 'ere $lorious rush of his %erse& )ithout a!y 'ore
re$ar# for the )or#s tha! )ill help to a %a$ue se!i bak$rou!#', a!# )ith *lake o!e ofte!
feels that the e'oti%e alories $e!erate# by the 'atri- ha%e bur!t up the 'ea!i!$(
The Piture"strip
>uh the sa'e oul# be sai# of the e'oti%e po)er of so'e %isual i'a$ery "" i!lu#i!$
*lake's o)!( :e ha%e see! 1Chapter 3II2 that 'thi!ki!$ i! pitures' #o'i!ates the
'a!ifestatio!s of the u!o!sious i! the #rea'& i! hallui!atory states& but also i! the
reati%e )ork of sie!tists( I! fat& the 'a.ority of 'athe'atiia!s a!# physiists tur!e# out
to be '%isio!aries' i! the literal se!se "" that is& %isual& !ot %erbal thi!kers(

*ut )e ha%e also see! that pitorial thi!ki!$ is a! earlier a!# 'ore pri'iti%e for' of
'e!tatio! tha! o!eptual thi!ki!$ "" i! the e%olutio! of the i!#i%i#ual as i! that of the
speies( The la!$ua$e of hil#re! is 'pitures/ue' "" a$ai! i! the literal se!se of the )or#,
a!# the la!$au$e of pri'iti%es is 'like the u!fol#i!$ of a piture strip& )here eah )or#
e-presses a pitorial i'a$e& re$ar#less as to )hether the piture si$!ifies a! ob.et& a!
atio!& or a /uality( Thus Nto strikeN a!# Na blo)N are e-presse# by the sa'e )or#( These
la!$ua$es are !ot 'erely #efiie!t i! the 'ore abstrat type of i'a$ery& but i! pratially
all hi$her $ra''atial o!strutio!' 1Kretsh'er2( 7A8

=et 'e $i%e a o!rete e-a'ple fro' Kretsh'er's te-tbook& follo)e# by the o''e!ts of
that e-elle!t ;er'a! psyhiatrist "" )hose )ork& o'parable i! i'porta!e to ?u!$'s& is
far too little k!o)! to the E!$lish"speaki!$ publi( The e-a'ple is a si'ple story tol# i!
the *ush'a! la!$ua$e( It is about a *ush'a! )ho )orke# as a shepher# for a )hite 'a!
u!til the latter ill"treate# hi', )hereupo! the *ush'a! ra! a)ay& a!# the )hite 'a!
e!$a$e# a!other *ush'a!& to )ho' the sa'e thi!$ happe!e#( Tra!slate# i!to *ush'a!
la!$ua$e& this story is pituri+e# as follo)s0
*ush'a!"there"$o& here"ru!"to":hites& :hite"$i%e"tobao& *ush'a!"$o"s'oke& $o"fill"
tobao sak& :hite"$i%e"'eat"*ush'a!& *ush'a!"$o"eat"'eat& $et"up"$o"ho'e& $o"
'erry& $o"sit& $ra+e"sheep :hites& :hite"$o"strike"*ush'a!& *ush'a!"ry"'uh"pai!&
*ush'a!"$o"ru!"a)ay":hites& :hite"ru!"after"*ush'a!& *ush'a!"there"other"this"$ra+e"
sheep& *ush'a!"all"a)ay(
Kretsh'er o''e!ts0
The thou$ht of pri'iti%e peoples allo)s of but little arra!$e'e!t a!# o!#e!satio! of
separate i'a$es i!to abstrat ate$ories, but the se!sory pereptio!s the'sel%es& retai!e#
#iretly as suh i! 'e'ory& u!)i!# the'sel%es before us u!ha!$e#& like a lo!$ piture
roll( The #isrete %isual i'a$e #o'i!ates the se!e throu$hout& )hilst the relatio! bet)ee!
the separate pitures is barely i!#iate#( =o$ial o!!etio!s are as yet /uite te!uous a!#
loose( If )e )ish to o!ei%e of speeh at a sli$htly lo)er le%el still& )e shall ha%e to
#ispe!se )ith e%e! those sli$ht hi!ts of a sy!ta- )hih are prese!t, )e shall the! fi!# that
the thou$ht"proesses of a people usi!$ suh a la!$ua$e )oul# o!sist e!tirely of a!
asy!tatial series of pitures(
So'e passa$es i! the Ol# Testa'e!t see' to reflet the tra!sitio! fro' pre#o'i!a!tly
pitorial to abstrat thou$ht0
I retur!e#& a!# sa) u!#er the su!& that the rae is !ot to the s)ift& !or the battle to the
stro!$& !either yet brea# to the )ise& !or yet rihes to 'e! of u!#ersta!#i!$& !or yet fa%our
to 'e! of skill, but ti'e a!# ha!e happe!eth to the' all( 1Elesiastes(2
The te!#e!y to stik to o!rete %isual i'a$es is still e%i#e!t, but the haraters i! the
piture"strip !o lo!$er represe!t i!#i%i#uals "" the s)ift& the stro!$& the )ise are olleti%e
!ou!s& abstrate# u!i%ersals( I!i#e!tally& ;eor$e Or)ell o!e )rote a paro#y of this
passa$e i! 'o#er! aa#e'i .ar$o! to hi$hli$ht the o!trast bet)ee! %i%i# i'a$ery a!#
#esiate# abstratio!0
Ob.eti%e o!si#eratio! of o!te'porary phe!o'e!a o'pels the o!lusio! that suess
or failure i! o'petiti%e ati%ities e-hibits !o te!#e!y to be o''e!surate )ith i!!ate
apaity& but that a o!si#erable ele'e!t of the u!pre#itable 'ust i!%ariably be take! i!to
aou!t(
:hile #rea'i!$& e%e! a para$o! of !or'ality re$resses i! ti'e !ot 'erely to Elesiastes&
but to the earlier 'ytholo$ial reatio!s of the *abylo!ia!s a!# the %isual o!rete!ess of
the *ush'a!'s state'e!ts( *ut o! a)ake!i!$ 'all the har' is broke!& all that pha!to'
)orl# so fair& %a!ishes' "" as at the all of the $e!tle'a! fro' Porlok( It 'ay be .ust as
)ell "" the /uik effae'e!t fro' 'e'ory of the 'a.ority of our #rea's 'ay be a !or'al
proteti%e #e%ie of the 'i!# 1as #isti!t fro' patholo$ial repressio!2( I! the hallui!atory
psyhoses& ho)e%er& the re$ressio!s are 'ore i!te!se& realisti& e!#uri!$& a!# u!for$ettable
i! a pai!ful se!se, he!e the re'arkable affi!ities bet)ee! the pai!ti!$s of shi+ophre!is
a!# pri'iti%e art( To /uote Kretsh'er a$ai!0 'Shi+ophre!i sy'bols& like pri'iti%e a!#
#rea' sy'bols& are the pitorial a!tee#e!ts of o!epts a!# are !ot #e%elope# beyo!# that
sta$e(' He the! relates the ase of o!e of his patie!ts& a $ifte# you!$ 'a! )ho& bet)ee!
perio#s of !or'ality a!# ab!or'ality& li%e# throu$h a prolo!$e# tra!sitio!al phase&
e!li%e!e# by )hat he alle# his 'piture sho)'0
I! these phases he passi%ely e-perie!es the outroppi!$ of a 'ass of i'a$es )hih arise
fro' abstrat o!epts& or )hih appear to e-ist i! o!rete ob.ets( The i'a$es ofte!
'rese'ble ol# Norse or!a'e!ts or Ro'a! sulptures', so'eti'es they are $rotes/ue fi$ures&
so'eti'es se!sible fil'"like se!es of k!i$hts a!# sol#iers )ho oupy a real ol# astle
)hih lies i! the %alley( >ost i!teresti!$ are the i'a$es )hih arise #iretly out of abstrat
thou$ht( For e-a'ple& he is rea#i!$ a philosophial )ork of Ka!t& a!# as he rea#s& the
abstrat thou$hts are o!ti!uously o!%erte# i!to i'a$ery( :hilst rea#i!$ Ka!t o! the
/uestio! of the i!fi!ity of spae he ha# the follo)i!$ e-perie!e0 'The pitures ro)#e# o!
'e "" to)ers& irles behi!# irles& a yli!#er )hih thrust itself obli/uely i!to the )hole
piture( E%erythi!$ is sho)i!$ 'o%e'e!t a!# $ro)th, the irle a/uires #epth a!# thus
beo'es yli!#rial, the to)ers beo'e hi$her a!# hi$her, e%erythi!$ is arbitrary as i! a!
e-peri'e!tal piture or a #rea'('
I! ase"histories like this )e see the e-tre'e #e%elop'e!t of te!#e!ies )hih o! a
'o#erate sale are prese!t i! the !or'al i'a$i!ati%e perso!, .ust as )e sa) i! the pu!!i!$
a!# rhy'i!$ patie!t o! the operati!$ table the patholo$ial e-tre'e of the poet's ur$e to
o!%ey his 'ea!i!$ i! rhyth'i patter!s( A!# .ust as rhyth' is !ot a! artifiial
e'bellish'e!t of la!$ua$e but a for' of e-pressio! )hih pre#ates la!$ua$e& so %isual
i'a$es a!# sy'bols are !ot fa!iful e'broi#eries of o!epts& but preursors of o!eptual
thou$ht( The artist #oes !ot li'b a la##er to stik or!a'e!ts o! a faca#e of i#eas "" he is
'ore like a pot"holer i! searh of u!#er$rou!# ri%ers( To /uote Kretsh'er for the last
ti'e0
Suh reati%e pro#uts of the artisti i'a$i!atio! te!# to e'er$e fro' a psyhi t)ili$ht& a
state of lesse!e# o!sious!ess a!# #i'i!ishe# atte!ti%ity to e-ter!al sti'uli( Further& the
o!#itio! is 'o!e of Nabse!t"'i!#e#!essN )ith hyp!oi#al o%er"o!e!tratio! o! a si!$le
fous& pro%i#i!$ a! e!tirely passi%e e-perie!e& fre/ue!tly of a %isual harater& #i%ore#
fro' the ate$ories of spae a!# ti'e& a!# reaso! a!# )ill( These #rea'like phases of
artisti reatio! e%oke pri'iti%e phylo$e!eti te!#e!ies to)ar#s rhyth' a!# styli+atio!
)ith ele'e!tal %iole!e, a!# the e'er$e!t i'a$es thus a/uire i! the %ery at of birth
re$ular for' a!# sy''etry('

O! =a) a!# Or#er

So'e i'a$es see' to appeal 'ore to the i!tellet tha! to e'otio! beause of their lo$ial
a!# #i#ati harater "" but !e%ertheless e%oke a! e'oti%e respo!se0
A!# ho) #ieth the )ise 'a!E as the fool 1Elesiastes2 ;ol#e! la#s a!# $irls all 'ust& As
hi'!ey"s)eepers& o'e to #ust( 1Cy'beli!e2 :he! A#a' #ol%e a!# E%e spa!& :ho )as
the! a $e!tle'a!E 1?oh! *allE2
Eah of these /uotes 'ay be #esribe# as a partiular illustratio! of a $e!eral truth0 the
first a!# seo!# affir' that all 'e! 'ust #ie& the thir# prolai's that all 'e! are e/ual( If
)e )ish to be pe#a!ti& )e a! e!u'erate the %arious bisoiati%e teh!i/ues )hih e!ter
i!to the'0 se!se a!# sou!# i! the last t)o, or i! the first t)o& the .oi!i!$ of habitually
i!o'patible opposites i! the foal o!epts '#yi!$' a!# '#ust'( :e 'ay further !ote the
arhai& or arhetypal& reso!a!es of A#a'& E%e& the sa$e& the fool& a!# the $ol#e! la#s(
Fi!ally& the teh!i/ue of o!#e!satio! a!# i'pliatio! i! the thir# /uote poses a ki!# of
!aQ%e ri##le )hih e!ha!es its effet( *ut )he! all these poi!ts are 'a#e& the 'ai! feature
)hih the three /uotes share re'ai!s their #i#ati i!te!t of #ri%i!$ ho'e a 'essa$e& of
#e'o!strati!$ a u!i%ersal la) by 'ea!s of o!rete i'a$ery(

No) suh re#utio!s of partiular i!sta!es to u!i%ersal auses or abstrat la)s are
suppose# to represe!t a purely i!telletual pasti'e )hih has !othi!$ to #o )ith art a!#
e'otio!, i! fat& ho)e%er& they $i%e rise to the 'ost po)erful e'otio!al release( :he!
?oh! *all e-horte# the peasa!ts at *lakheath to rise a$ai!st their =or#s& he a#%erte!tly
hose ':he! A#a' #ol%e' as his te-t& beause it e!able# hi' to pro%e that their partiular
$rie%a!es )ere base# o! a =a) or#ai!e# by the Creator0 that there shoul# be !o pri%ile$e
of birth( It is si$!ifia!t that this sa'e te-t& )ith its i!#iret affir'atio! i'plie# i! a ri##le&
shoul# ha%e suh a! e-plosi%e effet "" !ot o!ly i! E!$la!#& but also #uri!$ the peasa!t
risi!$s i! ;er'a!y& )here it bea'e the 'arhi!$ so!$ of the rebels 13ls 3dam grub und
6va spann$ %% "o war da der 6delmann>2( *lake's
There a'e a %oie )ithout reply "" 'Tis 'a!'s per#itio! to be safe& :he! for the truth he
ou$ht to #ie&
'i$ht ser%e as a 'otto for all appeals to the e'otio!s )hih are e-plai!e# a!# .ustifie# by
refere!e to #i%i!e la) "" the 3oie :ithout Reply(

The :ill of ;o#& or the =a)s of Nature& as the or$a!i+i!$ a!# har'o!i+i!$ pri!iple of the
u!i%erse is o!e of the 'ost po)erful arhetypes of hu'a! e-perie!e( No #oubt it
ori$i!ates to a lar$e part i! feeli!$s of i!seurity& of os'i a!-iety& the !ee# for protetio!
"" he!e the reassura!e a!# relief )hih are felt )he!e%er a threate!i!$ or 'erely pu++li!$
phe!o'e!o! a! be 'e-plai!e#' as a 'a!ifestatio! of so'e u!i%ersal la) or #i%i!e or#er(
For the opposite of or#er is haos "" )hih 'ea!s u!pre#itability of e%e!ts& abse!e of
protetio!& e-posure to the )hi's of i!o'prehe!sible fores( The e'er$e!e of or#er
fro' haos is a leit'otif of all 'ytholo$ies, e%e! the bloo#thirsty $o##esses of the Hi!#us
a!# the holeri #eities of the Pa!theo! pro%i#e# a 'easure of reassura!e& beause they
)ere 'o%e# by hu'a! passio!s )hih oul# be o'prehe!#e# by the 'i!#, so that
e%erythi!$ that befell o!e )as satisfatorily e-plai!e#(

Thus %irtually a!y e-pla!atio! "" %ali# or !ot "" )hih o''a!#s belief has a al'i!$ a!#
atharti effet( It a! be obser%e# o! e%ery le%el0 fro' the su##e!& s'ili!$ relief of the
s'all hil# )he! so'e startli!$ appeara!e is sho)! to be relate# to so'ethi!$ fa'iliar&
a!# reo$!i+e# as part of the $e!eral or#er of thi!$s "" to the euphoria of the sie!tist& )ho
has sol%e# his proble'( E%e! pai!ful e-perie!es are te'pere# )ith relief o!e they are
reo$!i+e# as partiular i!sta!es of a $e!eral la)( To lose a relati%e by a 'stupi# ai#e!t'
is 'ore pai!ful tha! to lose o!e 'la)fully'& throu$h ol# a$e or i!urable ill!ess( The o!ly
effeti%e o!solatio! i! the fae of #eath is that it is part of the os'i or#er, if
hi'!eys)eepers )ere e-e'pte# fro' it& )e shoul# rese!t it %ery 'uh i!#ee#( The i#ea
of 'bli!# ha!e' #ei#i!$ our fate is i!tolerable, the 'i!# abhors $aps i! the la)ful or#er as
!ature abhors the %auu'(


O! Truth a!# *eauty

Ho)e%er& the re#utio! of the u!a!!y a!# %e-i!$ to the or#erly a!# fa'iliar& of the
rustli!$ of lea%es i! the #ark forest to the )hisper of fairies or the %ibratio!s of o'presse#
air "" both e/ually reassuri!$ "" is 'erely the !e$ati%e aspet of the po)er of e-pla!atio!0
relief fro' a!-iety( Its positi%e aspet is epito'i+e# i! the Pytha$orea! belief that 'usial
har'o!ies $o%er! the 'otio! of the stars( The 'yth of reatio! appeals !ot o!ly to 'a!'s
abhorre!e of haos& but also to his se!se of )o!#er at the os'i or#er0 li$ht is 'ore tha!
the abse!e of #ark!ess& a!# la) 'ore tha! the abse!e of #isor#er( I ha%e spoke!
repeate#ly of that se!se of 'oea!i )o!#er' "" the 'ost subli'ate# e-pressio! of the self"
tra!se!#i!$ e'otio!s "" )hih is at the root of the sie!tist's /uest for ulti'ate auses& a!#
the artist's /uest for the ulti'ate realities of e-perie!e( The se!satio! of ''ar%ellous
larity' )hih e!rapture# Kepler )he! he #iso%ere# his seo!# la) is share# by e%ery
artist )he! a strophe su##e!ly falls i!to )hat see's to be its pre#esti!e# patter!& or )he!
the feliitous i'a$e u!fol#s i! the 'i!# "" the o!ly o!e )hih a! 'e-plai!' by sy'bols the
ratio!ally u!e-plai!able "" a!# e-press the i!e-pressible(

E-perie!es of this ki!#& )he! so'ethi!$ pre%iously turbi# beo'es su##e!ly tra!spare!t
a!# per'eate# by li$ht& are al)ays ao'pa!ie# by the su##e! e-pa!sio! a!# subse/ue!t
atharsis of the self"tra!se!#i!$ e'otio!s( I ha%e alle# this the 'earthi!$' of e'otio!& o!
the a!alo$y of earthi!$ 1or '$rou!#i!$'2 a! eletrially har$e# bo#y& so that its te!sio!s are
#rai!e# by the i''e!se urre!t"absorbi!$ apaity of ''other earth'( The sie!tist attai!s
atharsis throu$h the re#utio! of phe!o'e!a to their pri'ary auses, a #isturbi!$
partiular proble' is 'e!tally 'earthe#' i!to the u!i%ersal or#er( The sa'e #esriptio!
applies to the artist& e-ept that his 'pri'ary auses' a!# 'la)s of or#er' are #iffere!tly
o!stitute#( They #eri%e fro' 'ytholo$y a!# 'a$i& fro' the o'pulsi%e po)ers of
rhyth' a!# for'& fro' arhetypal sy'bols )hih arouse u!o!sious reso!a!es( *ut their
'e-pla!atory po)er'& thou$h !ot of a ratio!al or#er& is e'otio!ally as satisfyi!$ as that of
the sie!tist's e-pla!atio!s, both 'e#iate the 'earthi!$' of partiular e-perie!es i!to a
u!i%ersal fra'e, a!# the atharsis )hih follo)s sie!tifi #iso%ery or artisti Ntrou%ailleN
has the sa'e 'oea!i' /uality( The 'ela!holy har' of the $ol#e! la#s )ho o'e to #ust
beause that is the o!#itio! of 'a!& is #ue to the 'earthi!$' of our perso!al pre#ia'e!ts i!
a u!i%ersal pre#ia'e!t( Art& like reli$io!& is a shool of self"tra!se!#e!e, it e-pa!#s
i!#i%i#ual a)are!ess i!to os'i a)are!ess& as sie!e teahes us to re#ue a!y partiular
pu++le to the $reat u!i%ersal pu++le(

:he! Re'bra!#t ha# the au#aity to pai!t the arass of a flaye# o-& he tau$ht his publi
to see a!# aept behi!# the repulsi%e partiular ob.et the ti'eless patter!s of li$ht&
sha#o)& a!# olour( :e ha%e see! that the #iso%eries of art #eri%e fro' the su##e! tra!sfer
of atte!tio! fro' o!e 'atri- to a!other )ith a hi$her e'oti%e pote!tial( The intellectual
aspect of this Eureka proess is losely aki! to the sie!tist's "" or the 'ysti's ""
'spo!ta!eous illu'i!atio!'0 the pereptio! of a fa'iliar ob.et or e%e!t i! a !e)& si$!ifia!t&
li$ht, its emotive aspect is the rapt still!ess of oea!i )o!#er( The t)o to$ether ""
i!telletual illu'i!atio! a!# e'otio!al atharsis "" are the esse!e of the aestheti
e-perie!e( The first o!stitutes the 'o'e!t of truth, the seo!# pro%i#es the e-perie!e of
beauty( The t)o are o'ple'e!tary aspets of a! i!#i%isible proess "" that 'earthi!$'
proess )here 'the i!fi!ite is 'a#e to ble!# itself )ith the fi!ite& to sta!# %isible& as it )ere&
attai!able there' 1Carlyle2(

E%ery sie!tifi #iso%ery $i%es rise& i! the o!!oisseur& to the e-perie!e of beauty&
beause the solutio! of the proble' reates har'o!y out of #isso!a!e, a!# %ie %ersa& the
e-perie!e of beauty a! our o!ly if the i!tellet e!#orses the %ali#ity of the operatio! ""
)hate%er its !ature "" #esi$!e# to eliit the e-perie!e( A %ir$i! by *ottielli& a!# a
'athe'atial theore' by Poi!arT& #o !ot betray a!y si'ilarity bet)ee! the 'oti%atio!s or
aspiratio!s of their respeti%e reators, the first see'e# to ai' at 'beauty'& the seo!# at
'truth'( *ut it )as Poi!arT )ho )rote that )hat $ui#e# hi' i! his u!o!sious $ropi!$s
to)ar#s the 'happy o'bi!atio!s' )hih fiel# !e) #iso%eries )as 'the feeli!$ of
'athe'atial beauty& of the har'o!y of !u'ber& of for's& of $eo'etri ele$a!e( This is a
true aestheti feeli!$ that all 'athe'atiia!s k!o)(' The $reatest a'o!$ 'athe'atiia!s
a!# sie!tists& fro' Kepler to Ei!stei!& 'a#e si'ilar o!fessio!s( '*eauty is the first test,
there is !o per'a!e!t plae i! the )orl# for u$ly 'athe'atis'& )rote ;( H( Har#y i! his
lassi& 3 &athematician/s 3pology( ?a/ues Ha#a'ar#& )hose pio!eer )ork o! the
psyholo$y of i!%e!tio! I ha%e /uote#& #re) the fi!al o!lusio!0 'The se!se of beauty as a
N#ri%eN for #iso%ery i! our 'athe'atial fiel#& see's to be al'ost the o!ly o!e(' A!# the
lao!i pro!ou!e'e!t of <ira& a##resse# to his fello)"physiists& bears repeati!$0 'It is
'ore i'porta!t to ha%e beauty i! o!e's e/uatio!s tha! to ha%e the' fit e-peri'e!t('

If )e !o) tur! to the opposite a'p& )e fi!# that pai!ters a!# sulptors& !ot to 'e!tio!
arhitets& ha%e al)ays bee! $ui#e#& a!# ofte! obsesse#& by sie!tifi a!# pseu#o"sie!tifi
theories "" the $ol#e! setio!& the serets of perspeti%e& <Srer's a!# =eo!ar#o's 'ulti'ate
la)s' of proportio!&D CT+a!!e's #otri!e 'e%erythi!$ i! !ature is 'o#elle# o! the sphere& the
o!e a!# the yli!#er', *ra/ue's substitutio! of ubes for spheres, the elaborate theori+i!$s
of the !eo"i'pressio!ists, =e Corbusier's 'o#ulator theory base# o! the so"alle#
Fibo!ai se/ue!e of !u'bers "" the list oul# be o!ti!ue# e!#lessly( The ou!terpart to
3 &athematician/s 3pology& )hih puts beauty before ratio!al 'etho#& is Seurat's
pro!ou!e'e!t 1i! a letter to a frie!#20 'They see poetry i! )hat I ha%e #o!e( No& I apply
'y 'etho#& a!# that is all there is to it('
*oth si#es see' to be lea!i!$ o%er bak)ar#s0 the artist to ratio!ali+e his reati%e
proesses& the sie!tist to irratio!ali+e the'& so to speak( *ut this fat i! itself is si$!ifia!t(
The sie!tist feels the ur$e to o!fess his i!#ebte#!ess to u!o!sious i!tuitio!s )hih
$ui#e his theori+i!$, the artist %alues& or o%er"%alues& the theoretial #isipli!e )hih
o!trols his i!tuitio!( The t)o fators are o'ple'e!tary, the proportio!s i! )hih they
o'bi!e #epe!# "" other thi!$s bei!$ e/ual "" fore'ost o! the medium i! )hih the
reati%e #ri%e fi!#s its e-pressio!, a!# they sha#e i!to eah other like the olours of the
rai!bo)(
The at of reatio! itself& as )e ha%e see!& is base# o! esse!tially the sa'e u!#erlyi!$
patter! i! all ra!$es of the o!ti!uous rai!bo) spetru'( *ut the riteria for .u#$i!$ the
fi!ishe# pro#ut #iffer of ourse fro' o!e 'e#iu' to a!other( Thou$h the psyholo$ial
proesses )hih le# to the reatio! of Poi!arT's theore' a!# of *ottielli's %ir$i! lie !ot as
far apart as o''o!ly assu'e#& the first a! be ri$orously %erifie# by lo$ial operatio!s&
the seo!# !ot( There see's to be a rak i! Keats's ;reia! ur!& a!# its 'essa$e to sou!#
rather hollo), but if )e reall t)o esse!tial poi!ts 'a#e earlier o!& the rak )ill heal(
The first is that %erifiatio! o'es o!ly postfatu'& )he! the reati%e at is o'plete#, the
at itself is al)ays a leap i!to the #ark& a #i%e i!to the #eeps& a!# the #i%er is 'ore likely to
o'e up )ith a ha!#ful of 'u# tha! )ith a oral( False i!spiratio!s a!# freak theories are
as abu!#a!t i! the history of sie!e as ba# )orks of art, yet they o''a!# i! the %iti''s
'i!# the sa'e foreful o!%itio!& the sa'e euphoria& atharsis& a!# e-perie!e of beauty
as those happy fi!#s )hih are postfatu' pro%e! ri$ht( Truth& as Kepler sai#& is a! elusi%e
hussy "" )ho fre/ue!tly 'a!a$e# to fool e%e! ;alileo& <esartes& =eib!i+& Pasteur& a!#
Ei!stei!& to 'e!tio! o!ly a fe)( I! this respet& the!& Poi!arT is i! !o better positio! tha!
*ottielli0 )hile i! the throes of the reati%e proess& $ui#a!e by truth is as u!ertai! a!#
sub.eti%e as $ui#a!e by beauty(
The seo!# poi!t refers to the %erifiability of the pro#ut after the at, )e ha%e see! that
e%e! i! this respet the o!trast is !ot absolute& but a 'atter of #e$rees 1Chapter H2( A
physial theory is far 'ore ope! to %erifiatio! tha! a )ork of art, but e-peri'e!ts& e%e!
so"alle# ruial e-peri'e!ts& are sub.et to i!terpretatio!, a!# the history of sie!e is to a
lar$e part a history of o!tro%ersies& beause the i!terpretatio! of fats to 'o!fir'' or
'refute' a theory al)ays o!tai!s a sub.eti%e fator& #epe!#e!t o! the sie!tifi fashio!s
a!# pre.u#ies of the perio#( There )ere i!#ee# ti'es i! the history of 'ost sie!es )he!
the i!terpretatio!s of e'pirial #ata assu'e# a #e$ree of sub.eti%ity a!# arbitrari!ess
o'pare# to )hih literary ritiis' appeare# al'ost to be a! 'e-at sie!e'(

I #o !ot )ish to e-a$$erate, there is ertai!ly a ortsi#erable #iffere!e& i! preisio! a!#
ob.eti%ity& bet)ee! the 'etho#s of .u#$i!$ a theore' i! physis a!# a )ork of art( *ut I
)ish to stress o!e 'ore that there are o!ti!uous tra!sitio!s bet)ee! the t)o( The #ia$ra'
o! p( AA9 sho)s o!e a'o!$ 'a!y suh o!ti!uous series( E%e! pure 'athe'atis at the top
of the series ha# its lo$ial fou!#atio!s shake! by para#o-es like ;[#el's theore', or
earlier o! by Ca!tor's theory of i!fi!ite a$$re$ates 1as a result of )hih Ca!tor )as barre#
fro' pro'otio! i! all ;er'a! u!i%ersities& a!# the 'athe'atial .our!als refuse# to
publish his papers2( Thus e%e! i! 'athe'atis 'ob.eti%e truth' a!# 'lo$ial %erifiability' are
far fro' absolute( As )e #ese!# to ato'i physis& the o!tra#itio!s a!# o!tro%ersial
i!terpretatio! of #ata i!rease rapi#ly, a!# as )e 'o%e further #o)! the slope& throu$h
suh hybri# #o'ai!s as psyhiatry& historio$raphy& a!# bio$raphy& fro' the )orl# of
Poi!arT to)ar#s that of *ottielli& the riteria of truth $ra#ually ha!$e i! harater&
beo'e 'ore a%o)e#ly sub.eti%e& 'ore o%ertly #epe!#e!t o! the fashio!s of the ti'e&
a!#& abo%e all& less a'e!able to abstrat& %erbal for'ulatio!( *ut !e%ertheless the
e-perie!e of truth& ho)e%er sub.eti%e& 'ust be prese!t for the e-perie!e of beauty to
arise, a!# %ie %ersa& the solutio! of a!y of '!ature's ri##les'& ho)e%er abstrat& 'akes o!e
e-lai' 'ho) beautiful'(

Thus& to heal the rak i! the ;reia! ur! a!# to 'ake it aeptable i! this o'puter a$e
)e )oul# ha%e to i'pro%e o! its )or#i!$ 1as Or)ell #i# o! Elesiastes20 *eauty is a
fu!tio! of truth& truth a fu!tio! of beauty( They a! be separate# by a!alysis& but i! the
li%e# e-perie!e of the reati%e at "" a!# of its re"reati%e eho i! the behol#er "" they are
i!separable as thou$ht is i!separable fro!t e'otio!( They si$!al& o!e i! the la!$ua$e of the
brai!& the other of the bo)els& the 'o'e!t of the Eureka ry& )he! 'the i!fi!ite is 'a#e to
ble!# itself )ith the fi!ite' "" )he! eter!ity is looki!$ throu$h the )i!#o) of ti'e( :hether
it is a 'e#ie%al stai!e#"$lass )i!#o) or Ne)to!'s e/uatio! of u!i%ersal $ra%ity is a 'atter
of upbri!$i!$ a!# ha!e, both are tra!spare!t to the u!pre.u#ie# eye(


NOTES

To p( A95(
PROPORTIONS OF THE HU>AN FI;URE Fro' the hi! to the starti!$ of the hair is a
te!th part of the fi$ure( Fro' the hi! to the top of the hea# is a! ei$hth part( A!# fro' the
hi! to the !ostrils is a thir# part of the fae( A!# the sa'e fro' the !ostrils to the
eyebro)s& a!# fro' the eyebro)s to the starti!$ of the hair( If you set your le$s so far apart
as to take a fourtee!th part fro' your hei$ht& a!# you ope! a!# raise your ar's u!til you
touh the li!e of the ro)! of the hea# )ith your 'i##le fi!$ers& you 'ust k!o) that the
e!tre of the irle for'e# by the e-tre'ities of the outstrethe# li'bs )ill be the !a%el&
a!# the spae bet)ee! the le$s )ill for' a! e/uilateral tria!$le( The spa! of a 'a!'s
outstrethe# ar's is e/ual to his hei$ht( 1Fro' =eo!ar#o's Notebooks& /uote# by R(
;ol#)ater a!# >( Tre%es& e#s(& 456O& p( I4(2


H3III
INFO=<IN;
=et 'e retur! o!e 'ore to the three 'ai! riteria of the teh!ial e-elle!e of a o'i
)ork0 its ori$i!ality& e'phasis& a!# eo!o'y, a!# let us see hod far they are appliable to
other for's of art(
Ori$i!ality a!# E'phasis
Fro' a!ti/uity u!til )ell i!to the Re!aissa!e artists thou$ht& or professe# to thi!k& that
they )ere opyi!$ !ature, e%e! =eo!ar#o )rote i!to his !otebook 'that pai!ti!$ is 'ost
praise)orthy )hih is 'ost like the thi!$ represe!te#'( Of ourse& they )ere #oi!$ !othi!$
of the sort( They )ere reati!$& as Plato ha# reproahe# the'& ''a!"'a#e #rea's for those
)ho are a)ake'( The thi!$ represe!te# ha# to pass throu$h t)o #istorti!$ le!ses0 the artist's
'i!#& a!# his 'e#iu' of e-pressio!& before it e'er$e# as a 'a!"'a#e #rea' "" the t)o& of
ourse& bei!$ i!ti'ately o!!ete# a!# i!terati!$ )ith eah other(
To start )ith the 'e#iu'0 the spae of the pai!ter's a!%as is s'aller tha! the la!#sape to
be opie#& a!# his pi$'e!t is #iffere!t fro' the olours he sees, the )riter's i!k a!!ot
re!#er a %oie !or e-hale the s'ell of a rose( The !ature of the 'e#iu' al)ays e-lu#es
#iret i'itatio!( So'e aspets of e-perie!e a!!ot be repro#ue# at all, so'e o!ly by
$ross o%ersi'plifiatio! or #istortio!, a!# so'e o!ly at the prie of sarifii!$ others( The
li'itatio!s a!# peuliarities of his 'e#iu' fore the artist at eah step to 'ake hoies&
o!siously or u!o!siously, to selet for represe!tatio! those features or aspets )hih he
o!si#ers to be rele%a!t& a!# to #isar# those )hih he o!si#ers irrele%a!t( Thus )e 'eet
a$ai! the tri!ity of selection$ exaggeration$ and simplification )hih I ha%e #isusse#
before 1pp( F9"@, 9@A f(2 E%e! the 'ost !aturalisti piture& hro!ile& or !o%el& )hose
'aker !ai%ely hopes to opy reality& o!tai!s a! u!a%oi#able ele'e!t of bias& of seleti%e
e'phasis( Its #iretio! #epe!#s o! the #istorti!$ le!ses i! the artist's 'i!# "" the pereptual
a!# o!eptual 'atries )hih patter! his e-perie!e& a!# #eter'i!e )hih aspets of it
shoul# be re$ar#e# as rele%a!t& )hih !ot( This part"auto'ati& part"o!sious proessi!$
of the e-perie!e& o%er )hih the 'e#iu' e-erises a ki!# of 'fee#"bak"o!trol'&
#eter'i!es to a lar$e e-te!t )hat )e all a! artist's i!#i%i#ual style(

Theoretially& the ra!$e of hoie before hi' is e!or'ous( I! pratie& it is !arro)e# #o)!
o!si#erably by the o!%e!tio!s of his perio# or shool( They are i'pose# o! hi' !ot o!ly
by e-ter!al pressures "" the publi's taste a!# the ritis' e!sure "" but 'ai!ly fro' i!si#e(
The o!trols of skille# ati%ities fu!tio!& as )e sa)& belo) the le%el of a)are!ess o!
)hih that ati%ity takes plae "" )hether it o!sists i! ri#i!$ a biyle or 'taki!$ i!' a
la!#sape( The o#es )hih $o%er! the 'atries of pereptio! are hi##e! persua#ers, their
i!flue!e per'eates the )hole perso!ality& shapes his patter! of %isio!& #eter'i!es )hih
aspets of reality shoul# be o!si#ere# si$!ifia!t& )hile others are i$!ore#& like the tiki!$
of o!e's )ath( For e!turies pai!ters #i# !ot see' to ha%e !otie# that sha#o)s ha%e
olours& !or the flui#ity of o!tours i! ha+y air, a!# if )e )ere to a## up those aspets of
e-iste!e )hih literature has i$!ore# at o!e ti'e or a!other& they )oul# o%er pratially
the )hole ra!$e of hu'a! e-perie!e( Co!%ersely& e%ery perio# o%er"e'phasi+es so'e
partiular aspets of e-perie!e a!# pro#ues its speial bra!# of 'styli+atio!' a!#
o'pulsi%e 'a!!eris's "" ob%ious to all but itself( For i!sta!e& the e'phasis o! o!tour i!
lassial pai!ti!$ is still so fir'ly e'be##e# i! our fra'es of pereptio! that )e are
u!a)are of the i'possibility of seei!$ fore$rou!# fi$ure a!# bak$rou!# la!#sape
si'ulta!eously i! sharp fous( *ut )e are a)are of the abse!e of sha#o)s i! Chi!ese
pai!ti!$ "" or the abse!e of se- i! 3itoria! fitio!(

The 'easure of a! artist's ori$i!ality& put i!to the si'plest ter's& is the e-te!t to )hih his
seleti%e e'phasis #e%iates fro' the o!%e!tio!al !or' a!# establishes !e) sta!#ar#s of
rele%a!e( All $reat i!!o%atio!s& )hih i!au$urate a !e) era& 'o%e'e!t& or shool& o!sist
i! suh su##e! shifts of atte!tio! a!# #isplae'e!ts of e'phasis o!to so'e pre%iously
!e$lete# aspet of e-perie!e& so'e blake#"out ra!$e of the e-iste!tial spetru'( The
#eisi%e tur!i!$ poi!ts i! the history of e%ery art"for' are #iso%eries )hih sho) the
harateristi features alrea#y #isusse#0 they u!o%er )hat has al)ays bee! there, they are
're%olutio!ary'& that is& #estruti%e a!# o!struti%e, they o'pel us to re%alue our %alues
a!# i'pose a !e) set of rules o! the eter!al $a'e(

>ost of the $e!eral o!si#eratio!s i! the hapter o! 'The E%olutio! of I#eas' e/ually apply
to the e%olutio! of art( I! both fiel#s the truly ori$i!al $e!iuses are rare o'pare# )ith the
e!or'ous !u'ber of tale!te# p!titio!ers, the for'er ati!$ as spearhea#s& ope!i!$ up !e)
territories& )hih the latter )ill the! #ili$e!tly ulti%ate( I! both fiel#s there are perio#s of
risis& of 'reati%e a!arhy'& lea#i!$ to a break"throu$h to !e) fro!tiers "" follo)e# by
#ea#es& or e!turies of o!soli#atio!& ortho#o-y& sta$!atio!& a!# #ea#e!e "" u!til a !e)
risis arises& a holy #iso!te!t& )hih starts the yle a$ai!( Other parallels oul# be #ra)!0
''ultiple #iso%eries' "" the si'ulta!eous e'er$e!e of a !e) style& for )hih the ti'e is
ripe& i!#epe!#e!tly i! se%eral plaes, 'olleti%e #iso%eries' ori$i!ati!$ i! a losely k!it
$roup& li/ue& shool& or tea', 're#iso%eries' "" the perio#i re%i%als of past a!# for$otte!
for's of art, lastly 'ross"fertili+atio!s' bet)ee! see'i!$ly #ista!t pro%i!es of sie!e a!#
art( To /uote a si!$le e-a'ple0 the re#iso%ery of the treatise o! o!i setio!s by
Apollo!ius of Per$a& #ati!$ fro' the fourth e!tury *(C(& $a%e the ellipse to Kepler )ho
built o! it a !e) astro!o'y "" a!# to ;uari!i& )ho i!tro#ue# !e) %istas i!to arhiteture(



Eo!o'y

Bester#ay's #iso%eries are to#ay's o''o!plaes, a #ari!$ly fresh i'a$e soo! beo'es
stale by repetitio!& #e$e!erates i!to a lihT& a!# loses its e'oti%e appeal( The !e)bor! #ay
or the pieri!$ ry are !o lo!$er e%e! perei%e# as 'etaphorial0 the o!e separate o!te-ts
of birth a!# #a)! ha%e 'er$e#& there is !o .u-tapositio! "" re%erti!$ to .ar$o!& bisoiati%e
#y!a'is' has bee! o!%erte# i!to assoiati%e routi!e(

The reurre!t yles of sta$!atio!& risis& a!# !e) #eparture i! the arts are to a lar$e e-te!t
ause# by the $ra#ual saturatio! )hih a!y partiular i!%e!tio! or teh!i/ue pro#ues i!
artist a!# au#ie!e( A hil# or a sa%a$e& )ho is take! to the i!e'a for the first ti'e&
#eri%es )o!#er a!# #eli$ht !ot so 'uh fro' the o!te-t of the fil' as fro' the 'a$i of
illusio! as suh( I! the sophistiate# theatre"$oer's 'i!#& illusio! i! itself plays a relati%ely
subor#i!ate part "" e-ept )he!& )athi!$ a thriller& he re$resses to i!fa!y, the t)o
'atries ha%e beo'e %irtually i!te$rate# i!to o!e& so that he is apable of thi!ki!$
ritially of the /uality of the ati!$ a!# of appreiati!$ at the sa'e ti'e the 'erits of the
play( *ut to reapture the erst)hile 'a$i& i! all its fresh!ess& he 'ust tur! to so'ethi!$
!e)0 e-peri'e!tal theatre& a%a!t"$ar#e fil's& or ?apa!ese Kabuki& perhaps, !o%el
e-perie!es )hih o'pel hi' to strai! his i'a$i!atio!& i! or#er to 'ake se!se of the
see'i!$ly absur# "" to partiipate& a!# re"reate(

:he! the styles a!# teh!i/ues of a! art ha%e beo'e o!%e!tio!ali+e# a!# sta$!a!t& the
au#ie!e is e-e'pte# fro' the !eessity to e-ert its i!telli$e!e a!# i'a$i!atio! "" a!#
#epri%e# of its re)ar#( The 'o!su'er' rea#s the o!%e!tio!al !o%el& looks at the
o!%e!tio!al la!#sape& a!# )athes the o!%e!tio!al play )ith perfet ease a!# self"
assura!e "" a!# a o'plete abse!e of a)e a!# )o!#er( He prefers the fa'iliar to the
u!fa'iliar& beause it prese!ts !o halle!$e a!# #e'a!#s !o reati%e effort( Art beo'es a
'il#ly pleasa!t pasti'e a!# loses its e'oti%e i'pat& its tra!se!#e!tal appeal a!# atharti
effet( The artist& i! $ro)i!$ frustratio!& se!ses that the o!%e!tio!al teh!i/ues ha%e
beo'e 'stale'& that they ha%e lost their po)er o%er the au#ie!e& a!# beo'e i!a#e/uate as
'ea!s of o''u!iatio! a!# self"e-pressio!( Of ourse the teh!i/ue itself a!!ot beo'e
'stale'0 bla!k %erse has the sa'e rhyth'i /ualities to#ay as it ha# three e!turies a$o,
Fra$o!ar#'s !y'phs a!# shepher#s are as #eli$htful as e%er& but they #a!e !o 'ore( :e
ha%e beo'e i''u!i+e# a$ai!st their e'otio!al appeal "" at least for the ti'e bei!$( :e
'ay a$ai! beo'e suseptible to the' at the !e-t ro'a!ti re%i%al& at so'e future tur! of
the spiral(

The history of art oul# be )ritte! i! ter's of the artist's stru$$le a$ai!st the #ea#e!i!$
u'ulati%e effet of saturatio!( The )ay out of the ul"#e"sa is either a re%olutio!ary
#eparture to)ar#s !e) hori+o!s& or the re#iso%ery of past teh!i/ues& or a o'bi!atio! of
both( 1E$yptia! art )e!t throu$h a re%i%al of arhai styles u!#er the t)e!ty"si-th #y!asty&
i! the se%e!th e!tury *(C(, Ro'e ha# a Re!aissa!e of sorts i! the seo!# e!tury A(<(
)he! Ha#ria! built his Athe!aeu', a!# so o! to the pre"Raphaelites a!# the relati%ely
ree!t re#iso%ery of pri'iti%e art(2

*ut i! bet)ee! these #ra'ati tur!i!$ poi!ts o!e a! obser%e a 'ore $ra#ual e%olutio! of
styles )hih see's to proee# i! t)o opposite #iretio!s "" both i!te!#e# to ou!terat
saturatio!( O!e is a tre!# to)ar#s 'ore poi!te# emphasis, the other to)ar#s 'ore eo!o'y
or implicitness( The first stri%es to reapture the artist's )a!i!$ 'astery o%er the au#ie!e
by pro%i#i!$ a spiier fare for .a#e# appetites0 e-a$$erate# 'a!!eris's& frills&
fla'boya!e& a! o%erly e-pliit appeal to the e'otio!s& 'rubbi!$ it i!' "" sy'pto's of
#ea#e!e a!# i'pote!e& )hih !ee# !ot o!er! us further( The opposite tre!# is to)ar#s
eo!o'y a!# i'pliit!ess i! the se!se pre%iously #efi!e# 1p(F9 et se/(2, it has bee!
elo/ue!tly #esribe# by >allar'T i! a passa$e )hih outli!e# the pro$ra''e of the
Fre!h sy'bolist 'o%e'e!t0
?e pe!se /u'il faut /u'il !'y ait /u'allusio!( =a o!te'platio! #es ob.ets& l'i'a$e s'e!%ola!t
#es r_%eries suitTes par eu-& so!t le ha!t0 les Par!assie!s& eu-& pre!!e!t la hose
e!tiXre'e!t et la 'o!tre!t, par l\ il 'a!/ue!t #e 'ystXre, ils retire!t au- esprits ette .oie
#Tliieuse #e roire /u'ils rTe!t( No''er u! ob.et& 'est suppri'er les trois /uarts #e la
.ouissa!e #u poX'e& /ui est fait #u bo!heur #e #e%i!er peu \ peu0 le su$$Trer& %oil\ le
r_%e( C'est le parfait usa$e #e e 'ystXre /ui o!stitue le sy'bol0 T%o/uer petit \ petit u!
ob.et pour 'o!trer u! Ttat #'e'e& ou& i!%erse'e!t& hoisir u! ob.et et e! #T$a$er u! Ttat
#'e'e& par u!e sTrie #e #Thiffre'e!ts( ( ( ( 1E!/uTte sur l'`%olutio! =ittXraire2 1It see's to
'e that there shoul# be o!ly allusio!s( The o!te'platio! of ob.ets& the %olatile i'a$e of
the #rea's they e%oke& these 'ake the so!$0 the Par!assia!s 7the lassiist 'o%e'e!t of
=eo!te #e =isle& Here#ia& et(8 )ho 'ake a o'plete #e'o!stratio! of the ob.et thereby
lak 'ystery, they #epri%e the 7rea#er's8 'i!# of that #eliious .oy of i'a$i!i!$ that it
reates( To !a'e the thi!$ 'ea!s forsaki!$ three /uarters of a poe''s e!.oy'e!t "" )hih
is #eri%e# fro' u!ra%elli!$ it $ra#ually& by happy $uess)ork0 to su$$est the thi!$ reates
the #rea'( Sy'bols are for'e# )he! this seret is use# to perfetio!0 to e%oke little by
little& the i'a$e of a! ob.et i! or#er to #e'o!strate a 'oo#, or& o!%ersely& to hoose a!
ob.et a!# to e-trat fro' it a 'oo#& by a series of #eipheri!$s(2
Ho)e%er& it )as !ot the Fre!h sy'bolists )ho i!%e!te# the tre!# fro' the e-pliit
state'e!t to the i'pliit hi!t& fro' the ob%ious to the allusi%e a!# obli/ue, it is as ol# as art
itself( All 'ytholo$y is stu##e# )ith sy'bols& %eile# i! alle$ory, the parables of Christ
pose ri##les )hih the au#ie!e 'ust sol%e( The i!te!tio! is !ot to obsure the 'essa$e&
but to 'ake it 'ore lu'i!ous by o'pelli!$ the reipie!t to )ork it out by hi'self "" to re"
reate it( He!e the 'essa$e 'ust be ha!#e# to hi' i! i'plie# for' "" a!# i'plie# 'ea!s
'fol#e# i!'( To 'ake it u!fol#& he 'ust fill i! the $aps& o'plete the hi!t& see throu$h the
sy'boli #is$uise( *ut the au#ie!e has a te!#e!y to beo'e 'ore sophistiate# )ith
ti'e, o!e it has 'astere# all the triks& the e-ite'e!t $oes out of the $a'e, so the
'essa$e 'ust be 'a#e 'ore i'pliit& 'ore ti$htly fol#e#( I belie%e that this #e%elop'e!t
to)ar#s $reater eo!o'y 1'ea!i!$ !ot bre%ity& but i'pliit!ess2 a! be trae# i! %irtually
all perio#s a!# for's of art( To i!#ul$e i! a little la)'aki!$& let 'e all it the 'la) of
i!fol#i!$'( It is the a!ti#ote to the la) of #i'i!ishi!$ retur!s i! the #o'ai! of the e'otio!s(


;reek tra$e#y& as far as )e a! tell& starts )ith the '$oat so!$'& #eri%e# fro' the )orshipful
ere'o!ies i! ho!our of *ahus"<io!ysius( These i! tur! ori$i!ate e%e! further bak i!
the past& i! rituals ao'pa!ie# by hu'a! sarifie& )hih the *aha!tae e!ate# i!
sy'boli )ays& that is& by i'pliatio!, their traes a! still be fou!# i! Euripi#es( At so'e
sta$e& the epi reital of e%e!ts bra!he# off fro' their #iret represe!tatio! by ators i!
#is$uise( The early bar#s )ere probably still i'perso!ati!$ their heroes by %oie a!#
$esture& as the mimes a!# histriones #i# i! 'e#ie%al #ays, but eo!o'y #e'a!#e# that
histrio!is be ba!!e# fro' reitatio! "" it is pratise# !o) 'ai!ly by artistially 'i!#e#
!a!!ies& a!# o! the *(*(C( hil#re!'s hour( A!# e%e! le$iti'ate histrio!is& the art of
ati!$& sho)s a tre!# to)ar#s less e'phasis& 'ore eo!o'y( Not o!ly #o 3itoria!
'elo#ra'atis strike o!e as $rotes/ue, but e%e! fil's !o 'ore tha! t)e!ty years ol#& a!#
hi$hly %alue# at the ti'e& appear surprisi!$ly #ate# "" o%er#o!e& ob%ious& o%er"e-pliit(

So'e)here arou!# @CC *(C( the Ho'eri epis )ere o!soli#ate# i! their fi!al %ersio!&
#is$uise# i! )ritte! sy'bols& a!# fol#e# i!to parh'e!t( The ator i! his 'ask
i'perso!ate# the hero, the bar# i'itate# his %oie, the pri!te# book e%okes the illusio! that
so'ebo#y is talki!$ by a pair of i!%erte# o''as "" yet )e a! al'ost hear Kare!i!a's
)hisper or Uriah Heap's i!$ratiati!$ )hi!e(

:e ha%e $o!e a lo!$ )ay i! lear!i!$ to reate 'a$i by the 'ost fru$al 'ea!s( O!ly a
hu!#re# years a$o the a%era$e 3itoria! !o%elist #i# !ot shri!k fro' ru#e 'etho#s of
#ra'ati+atio!0 pri!te# illustratio!s& the use of the histori prese!t& i!%itatio!s a##resse# to
the $e!tle rea#er to follo) the !arrator to a ertai! house i! a ertai! to)! o! a )i!ter
e%e!i!$ of the year 4FA ( ( (& a!# peep throu$h the )i!#o)( Here& as i! pre"Raphaelite
pai!ti!$& )e fi!# e'phasis sa!s eo!o'y at )ork "" a safe riterio! of ba# art(

O!e 'etho# of eo!o'y is 'lea%i!$ out' "" firstly& e%erythi!$ that by the )riter's sta!#ar#s
is irrele%a!t& i! the seo!# plae e%erythi!$ that is ob%ious& i(e( )hih the rea#er a! a!#
shoul# supply out of his o)! i'a$i!atio!( 'The 'ore bloo#y $oo# stuff you ut out the
'ore bloo#y $oo# your !o%el )ill be&' He'i!$)ay a#%ise# a you!$ )riter( >o#er! prose
ha# to aelerate its pae& !ot beause trai!s ru! faster tha! 'ailoahes& but beause the
trai!s of thou$ht ru! faster tha! a e!tury a$o& o! traks beate! s'ooth by popular
psyholo$y& the 'ass"'e#ia& a!# torre!ts of pri!t( The !o%elist !o lo!$er !ee#s to ra!k up
the rea#er's i'a$i!atio! as if it )ere a 'o#el"T ar, he pushes the butto! of the self"starter
a!# lea%es the rest to the battery( A $la!e at the ope!i!$ li!es of &ountains like "hite
6lephants& or at in the !ain& )ill sho) that the o'pariso! is har#ly e-a$$erate#(

*ut there e-ist other& #iffere!t& 'etho#s of i!fol#i!$ "" obli/uity& o'pressio!& a!# the
Se%e! Types of A'bi$uity "" a 'o#est esti'ate of E'pso!'s( The later ?oye& for i!sta!e&
'akes o!e reali+e )hy the ;er'a! )or# for )riti!$ poetry is '#ihte!' "" to o!#e!se
1ertai!ly 'ore poetial tha! 'o'posi!$'& i(e( 'putti!$ to$ether', but perhaps less poetial
tha! the Hu!$aria! kDlteni "" to hath2( Freu# atually belie%e# that to o!#e!se or
o'press se%eral 'ea!i!$s or allusio!s i!to a )or# or phrase )as the esse!e of poetry( It
is ertai!ly a! esse!tial i!$re#ie!t )ith ?oye, al'ost e%ery )or# i! the $reat 'o!olo$ues
i! 1innegans "ake is o%erhar$e# )ith allusio!s a!# i'pliatio!s( To re%ert to a! earlier
'etaphor& eo!o'y #e'a!#s that the steppi!$"sto!es of the !arrati%e shoul# be spae#
)i#e e!ou$h apart to re/uire a si$!ifia!t effort fro' the rea#er, ?oye 'akes hi' feel like
a ru!!er i! a 'aratho! rae )ith hur#les e%ery other step a!# a$$ra%ate# by a 'ile"lo!$
ro) of hiero$lyphs )hih he 'ust #eipher( ?oye )oul# perhaps be the perfet )riter "" if
the perfet rea#er e-iste#(

E%i#e!tly& if the i!fol#i!$ teh!i/ue is pushe# too far& obsurity results& as )it!esse# by
'uh o!te'porary poetry( It 'ay be o!ly a passi!$ effet& #ue to a ti'e"la$ bet)ee! the
artist's a!# his publi's 'aturity a!# ra!$e of pereptio!, it 'ay also be a o!sious or half"
o!sious #eeptio!& pratise# by the artist o! his publi "" i!lu#i!$ hi'self( To #ei#e
)hih of these alter!ati%es applies to a #iffiult )ork of art is o!e of the trikiest proble's
for the riti, here& as a )ar!i!$ e-a'ple& is Tolstoy's assess'e!t of the Fre!h sy'bolists0
748
The pro#utio!s of a!other elebrity& 3erlai!e& are !ot less affete# a!# u!i!telli$ible( ( ( ( I
'ust pause to !ote the a'a+i!$ elebrity of these t)o %ersifiers& *au#elaire a!# 3erlai!e( ( (
( Ho) the Fre!h ( ( ( oul# attribute suh i'porta!e to these %ersifiers )ho )ere far fro'
skilful i! for' a!# 'ost o!te'ptible i! sub.et"'atter& is to 'e i!o'prehe!sible(

The =ast 3eil

:e ha%e see! the =a) of I!fol#i!$ at )ork i! the e%olutio! of hu'our "" fro' the oarse
o'e#ia!'s rubbi!$ i! of the .oke to the 'ere hi!t& the 9ew ?orker type of ri##le( The
comic simile starts )ith o'pari!$ a 'a! to a pi$ or a! ass 1!either of the' o'i a!y
lo!$er& but si'ply a ollo/uial a#.eti%e2 "" a!# pro$resses to Hei!e's esoteri o'pariso!
of a $irl's fae to a pali'psest( A si'ilar pro$ressio! oul# be sho)! to)ar#s 'ore obli/ue
or o!#e!se# for's of metaphor a!# poeti i'a$ery& replai!$ e-pliit a!alo$ies )hih&
throu$h )ear a!# tear& ha%e shri%elle# to e'pty lihTs( =o!$ before the Sy'bolists& *lake
reali+e# the #ra)baks of tryi!$ to 'ake 'a o'plete #e'o!stratio! of the ob.et' a!#
thereby #epri%i!$ it of its 'ystery0
The %isio! of Christ that thou #oest see Is 'y %isio!'s $reatest e!e'y( Thi!e has a $reat
hook !ose like thi!e >i!e has a s!ub !ose like to 'i!e(
Rhyth' has u!#er$o!e a si'ilar e%olutio!( U!like the beat of the to'"to' or the rattli!$
of the arria$e )heels& 'etre #oes !ot o!sist of si'ple repetitio!s& but of i!triate patter!s
of short a!# lo!$ stresse# a!# li$ht syllables& o! )hih patter!s of asso!a!e a!#
alliteratio! ha%e further bee! superi'pose#( As 'usi has tra%elle# a lo!$ )ay fro' the
si'ple repetiti%e fi$ures perfor'e# o! 'o!ohor#s a!# other pri'iti%e si!$le"to!e
i!stru'e!ts& so has 'etre( Its ori$i!al& si'ple pulse is o!ly preser%e# i! its sub"struture ""
i'plie#& but !o lo!$er pou!#e# out(

I! his a!alysis of 'etri for'& I( A( Rihar#s 798 alls its effet 'patter!e# e-peta!y'0
Rhyth' a!# its speiali+e# for'& 'etre& #epe!# upo! repetitio!& a!# e-peta!y( E/ually
)here )hat is e-pete# reurs a!# )here it fails& all rhyth'ial a!# 'etrial effets spri!$
fro' a!tiipatio!( As a rule this a!tiipatio! is u!o!sious( ( ( ( The 'i!#& after rea#i!$ a
li!e or t)o of %erse ( ( ( prepares itself for a!y o!e of a !u'ber of possible se/ue!es& at the
sa'e ti'e !e$ati%ely i!apaitati!$ itself for others( The effet pro#ue# by )hat atually
follo)s #epe!#s %ery losely upo! this u!o!sious preparatio! a!# o!sists lar$ely of the
further t)ist )hih it $i%es to e-peta!y( It is i! ter's of the %ariatio! i! these t)ists that
rhyth' is to be #esribe#( ( ( ( This te-ture of e-petatious& satisfatio!s& #isappoi!t'e!ts&
surprisals& )hih the se/ue!e of syllables bri!$s about& is rhyth'( ( ( ( E%i#e!tly there a!
be !o surprise a!# !o #isappoi!t'e!t u!less there is e-petatio!( ( ( ( He!e the rapi#ity
)ith )hih too si'ple rhyth's& those )hih are too easily 'see! throu$h'& $ro) loyi!$ or
i!spi#(
If the 'i!# is to e-perie!e the ')aki!$ tra!e' )hih Beats pro'ise# as poetry's re)ar#& it
'ust ati%ely o"operate by filli!$ i! the 'issi!$ beats a!# e-te!#i!$ the se/ue!e i!to the
future( The )ith"#otor hyp!oti+es his au#ie!e )ith the 'o!oto!ous rhyth' of his #ru',
the poet 'erely pro%i#es the au#ie!e )ith the 'ea!s to hyp!oti+e itself(

:hile elaborate 'etri for's i'pose a strai! o! our patter!e# e-petatio!& the rhyme is its
su##e! a!# full re)ar#, it has the sa'e atharti effet as the har'o!ious resolutio! of a
'usial phrase( It is $loriously e-pliit i! its affir'atio! of u!ity i! %ariety, of the 'a$i
o!!etio! bet)ee! se!se a!# sou!#, of the o$$ly"$obbly #eli$hts of sheer repetitio!( That
is ob%iously the reaso! for its u!popularity )ith o!te'porary poets, it offe!#s a$ai!st the
aseti #iet i'pose# by the la) of i!fol#i!$( I a' ol#"fashio!e# e!ou$h to re$ret its
passi!$& as I re$ret the passi!$ of the barrel"or$a!(

6mphasis #eri%es fro' the seletio!& e-a$$eratio!& a!# si'plifiatio! of those ele'e!ts
)hih the artist hooses to re$ar# as si$!ifia!t, it is a 'ea!s to impose his %isio! o! his
au#ie!e( 6conomy is a teh!i/ue #esi$!e# to e!tie the au#ie!e i!to ati%e o"operatio!&
to 'ake the' re"reate the artist's %isio!( To #o so the au#ie!e 'ust #eipher the i'plie#
'essa$e, put i!to teh!ial ter's& he 'ust 1f( pp( F6"@2 intrapolate 1fill i! the $aps
bet)ee! the 'steppi!$ sto!es'2, extrapolate 1o'plete the hi!t2, a!# transform or rei!terpret
the sy'bols& i'a$es& a!# a!alo$ies, u!)rap the %eile# alle$ory( No) these operatio!s
)hih the au#ie!e 'ust perfor' 1i!terpolatio!& e-trapolatio!& tra!sfor'atio!2 to $et the
artist's i'plie# 'essa$e& orrespo!# "" like 'irror i'a$es& as it )ere "" to the #e%ies for
le!#i!$ a 'essa$e e'phasis0 e-a$$eratio!& si'plifiatio!& seletio!( The artist& i!te!t o!
#ri%i!$ ho'e his 'essa$e& e-a$$erates a!# si'plifies "" the au#ie!e o"operates by filli!$
i! the $aps a!# e-te!#i!$ the ra!$e of the o''u!iatio!( He hooses )hat he o!si#ers to
be the si$!ifia!t aspet a'o!$ other aspets of a $i%e! e-perie!e "" the au#ie!e
#iso%ers the si$!ifia!e by rei!terpreti!$ the 'essa$e( All this 'ay sou!# a little abstrat&
but it lea#s to a si'ple o!lusio!0 e-pliit )orks of art )ith a! e'phati& poi!te# 'essa$e
o!tai! all the ele'e!ts i! rea#y"'a#e for' )hih other)ise the au#ie!e )oul# ha%e to
o!tribute( The surest sy'pto' of #ea#e!t art is that it lea%es !othi!$ to the i'a$i!atio!,
the 'use has bare# her flabby boso' like a too obli$i!$ harlot "" there is !o %eile# pro'ise&
!o 'ystery& !othi!$ to #i%i!e(

The la) of i!fol#i!$ affets sie!e too& thou$h i! a #iffere!t )ay( Aristotle ha# thou$ht
that !early e%erythi!$ )orth #iso%eri!$ about the )ays of the u!i%erse ha# alrea#y bee!
#iso%ere#, Fra!is *ao! a!# <esartes belie%e# that to o'plete the e#ifie of sie!e
)oul# take but a $e!eratio! or t)o, Haekel prolai'e# that all the se%e! ri##les of the
u!i%erse ha# bee! sol%e#( The i#ea of pro$ress 1i! sie!e a!# a!y other fiel#2 is o!ly
about three e!turies ol#, a!# o!ly si!e the ollapse of 'eha!isti sie!e arou!# the tur!
of the last e!tury #i# it be$i! to #a)! o! the 'ore far"si$hte# a'o!$ sie!tists& that the
u!fol#i!$ of the serets of !ature )as ao'pa!ie# by a parallel proess of i!fol#i!$ "" that
)e )ere lear!i!$ 'ore a!# 'ore about less a!# less( The 'ore preise k!o)le#$e the
physiist a/uire#& the 'ore a'bi$uous a!# obli/ue sy'bols he ha# to use to e-press it, he
oul# !o lo!$er 'ake a! i!telli$ible 'o#el of sub"ato'i reality& he oul# o!ly allu#e to it
by for'al e/uatio!s )hih ha%e as 'uh rese'bla!e to reality 'as a telepho!e !u'ber has
to the subsriber'( O!e 'i$ht al'ost thi!k that physial sie!e is #eter'i!e# to i'ple'e!t
the pro$ra''e of the Fre!h sy'bolists(

It 'ay see' that I ha%e lai# too 'uh stress o! the la) of i!fol#i!$( *ut /uite ob%iously it
plays a! esse!tial role i! the pro$ress of art a!# u!#ersta!#i!$, a!# it is i! fat a
harateristi of the hu'a! o!#itio!( For 'a! is a sy'bol"'aki!$ a!i'al( He o!struts a
sy'boli 'o#el of outer reality i! his brai!& a!# e-presses it by a seo!# set of sy'bols i!
ter's of )or#s& e/uatio!s& pi$'e!t& or sto!e( All he k!o)s #iretly are bo#ily se!satio!s&
a!# all he a! #iretly #o is to perfor' bo#ily 'otio!s, the rest of his k!o)le#$e a!#
'ea!s of e-pressio! is sy'bolial( To use a phrase oi!e# by ?( Cohe! 7A8& 'a! has a
'eraphorial o!sious!ess( A!y atte'pt to $et a #iret $rasp at !ake# reality is self"
#efeati!$, Ura!ia& too& like the other 'uses& al)ays has a last %eil left to fol# i!(


Su''ary

Art ori$i!ates i! sy'patheti 'a$i, i! the illusio!s of sta$eraft its ori$i! is #iretly
reflete#( I! the 'i!# of !aQ%e au#ie!es& the i'perso!ator beo'es i#e!tifie# )ith the
harater i'perso!ate#& as i! a!ie!t #ays the 'aske# #a!er bea'e i#e!tifie# )ith the
rai!"$o#( O! the other ha!#& sophistiate# au#ie!es are o!sious a!# ritial of the ators'
perfor'a!e& but are !e%ertheless au$ht by the illusio! to the e-te!t of pro#ui!$ the
physial sy'pto's of i!te!se e'otio!, their a)are!ess suspe!#e# bet)ee! t)o pla!es of
e-perie!e& they e-e'plify the bisoiati%e proess i! its purest for'(

The esapist harater of illusio! failitates the u!fol#i!$ of the partiipatory e'otio!s a!#
i!hibits the self"asserti!$ e'otio!s& e-ept those of a %iarious harater, it #ra)s o!
u!tappe# resoures of e'otio! a!# lea#s the' to atharsis(

Rhyth' a!# rhy'e& asso!a!e a!# pu! are !ot artifiial reatio!s& but %esti$ial ehoes of
pri'iti%e phases i! the #e%elop'e!t of la!$ua$e& a!# of the e%e! 'ore pri'iti%e pulsatio!s
of li%i!$ 'atter, he!e our partiular reepti%e!ess for 'essa$es )hih arri%e i! a rhyth'i
patter!& a!# their hyp!oti effet( Assoiatio! by sou!# affi!ity is still e'ploye# i!
subo!sious 'e!tatio!, it is 'a!ifeste# i! the pu!!i!$ 'a!ia of hil#re!& i! sleep& fati$ue
a!# 'e!tal #isor#er( The poet reates by bisoiati!$ sou!# a!# se!se& 'etre a!# 'ea!i!$,
his %oie is bi"%oal "" so to speak(

>etaphor a!# i'a$ery o'e i!to e-iste!e by a proess& fa'iliar fro' sie!tifi
#iso%ery& of seei!$ a! a!alo$y )here !obo#y sa) o!e before( The aestheti satisfatio!
#eri%e# fro' the a!alo$y #epe!#s o! the e'oti%e pote!tial of the 'atries )hih
partiipate i! it( Sy!estheti ross"refere!es fro' si$ht to touh& for i!sta!e& 'ay e!rih
the e-perie!e& #epe!#i!$ o! perso!al prefere!es( 3isual i'a$ery& #eri%e# fro' the 'ost
i'porta!t se!se or$a!& arries a speial e'oti%e appeal, the 'piture"strip' la!$ua$e of
o!rete i'a$ery pre#ates o!eptuali+e# thou$ht( The hi$hest e'oti%e pote!tial is fou!#
i! i'a$es )hih e%oke arhetypal sy'bols a!# arouse u!o!sious reso!a!es( They lea#
to the 'earthi!$' of e'otio! by relati!$ partiular e-perie!es to a u!i%ersal fra'e& the
te'poral to the eter!al "" as the sie!tist relates partiular phe!o'e!a to $e!eral la)s a!#
ulti'ate auses( I! both ases the flash of spo!ta!eous illu'i!atio! is follo)e# by
e'otio!al atharsis, 'truth' a!# 'beauty' appear as o'ple'e!tary aspets of the i!#i%isible
e-perie!e( The #iffere!e bet)ee! the t)o i! ob.eti%e %erifiability is a 'atter of #e$rees&
a!# arises o!ly after the at, the at itself is i! both ases a leap i!to the #ark& )here
sie!tist a!# artist are e/ually #epe!#e!t o! their fallible i!tuitio!s(

Ori$i!ality& seleti%e e'phasis& a!# eo!o'y are ertai!ly !ot the o!ly riteria of literary
e-elle!e& but they pro%e# to be a ki!# of ha!#y 'ari!er's o'pass for the riti at sea,
a!# the 'la) of i!fol#i!$' appears to be e/ually %ali# "" a!# ta!tali+i!$ "" i! sie!e as i! art(





HIH
CHARACTER AN< P=OT
I#e!tifiatio!
I! his 'o!olo$ue i! At II& after the First Player's #ra'ati reital& Ha'let asks a perti!e!t
/uestio!0
Is it !ot 'o!strous that this player here& *ut i! a fitio!& i! a #rea' of passio!& Coul# fore
his soul so to his o)! o!eit That fro' her )orki!$ all the %isa$e )a!!'#& Tears i! his
eyes& #istratio! i! 's aspet& A broke! %oie ( ( ( ( ( ( a!# all for !othi!$& For HeubaG :hat's
Heuba to hi'& or he to Heuba& That he shoul# )eep for herE
The a!s)er to Ha'let's /uestio! )as $i%e! by Flaubert0 6mma 7ovary$ c/est moi(
The 'a$i tie is i#e!tifiatio!( :ithout it& )hy i!#ee# shoul# our tear"$la!#s beo'e
ati%e o! Heuba's behalfE ;oethe's early !o%el& *he .orrows of ?oung "erther& u!leashe#
a! epi#e'i of suii#e i! ;er'a!y, e%ery ro'a!ti you!$ 'a! felt that he )as :erther(
The e-te!t to )hih a harater i! a !o%el 'li%es' #epe!#s o! the i!te!sity of the rea#er's
partiipatory ties )ith hi'( To k!o) )hat Ha'let feels )hile liste!i!$ to the $host& is the
sa'e thi!$ as to k!o) ho) it re#s to be Ha'let( I 'ust pro.et part of 'yself i!to Ha'let&
or Ha'let i!to 'yself "" 'pro.etio!' a!# 'i!tro.etio!' are 'etaphors referri!$ to the partial
break#o)! of the rust of perso!al i#e!tity( This re'ai!s true& re$ar#less )hether the
rea#er a#'ires& #espises& hates& or lo%es the fitio!al harater( I! or#er to lo%e or hate
so'ethi!$ )hih e-ists o!ly as a series of si$!s 'a#e )ith pri!ter's i!k& the rea#er 'ust
e!#o) it )ith a pha!to' life& a! e'a!atio! fro' his o!sious or u!o!sious self( The
'a.or o!tributio! )ill probably o'e fro' the u!o!sious& )hih takes pha!to's for
$ra!te# a!# is apt to o!fuse perso!al i#e!tities(
Thus the fi$'e!ts of *o%ary& little =or# Fau!tleroy& a!# Alyosha Kara'a+o% )hih float
arou!# us i! the air& are pro.etio!s )hih bo#y forth fro' our i!ti'ate sel%es& like the
'e#iu''s etoplas'( The author has reate# the prototype"pha!to's& a!# the rea#er reates
out of hi'self a opy& )hih he assu'es to be like the ori$i!al& thou$h this is !ot
!eessarily the ase( :hether the Eli+abetha!s sa) Shylok i! a tra$i or $rotes/ue li$ht&
'y o)! Shylok is a tra$i fi$ure "" he has a $reat hook !ose like 'i!e& !ot a s!ub !ose
like to thi!e(
So'e !o%elists $i%e 'etiulous #esriptio!s of the %isual appeara!es of their haraters,
others $i%e little or !o!e( Here a$ai! the $e!eral tre!# is a)ay fro' the o%er"e-pliit
state'e!t to)ar#s the su$$esti%e hi!t )hih e!ties the rea#er to buil# up his o)! i'a$e of
the harater( I a' al)ays a!!oye# )he! the author i!for's 'e that Sally A!!e has aubur!
hair a!# $ree! eyes( I #o!'t partiularly like the o'bi!atio!& a!# )oul# ha%e $o!e alo!$
'ore )illi!$ly )ith the author's i!te!tio! that I shoul# fall i! lo%e )ith Sally A!!e if he
ha# left the olour"she'e to 'e( There is a 'isplae# o!rete!ess )hih $ets i! the )ay
of the i'a$i!atio!( It is hiefly #ue to the 'iso!eptio! that 'i'a$i!atio!' 'ea!s literally
seei!$ i'a$es i! the 'i!#'s eye, a!# o!se/ue!tly that& for a harater to o'e ali%e& I
'ust arry a o'plete piture of it i! 'y 'i!#( No) this is a! ol# fallay )hih affets the
sub.et )e are #isussi!$ o!ly i!#iretly& but has a #iret beari!$ o! ertai! basi
assu'ptio!s about the !ature of pereptio! a!# 'e'ory& o! )hih the prese!t theory rests(
These are #isusse# i! *ook T)o& )hih also o!tai!s the #etaile# e%i#e!e for the rather
su''ary re'arks )hih follo)(
Pha!to's a!# I'a$es
I! the first plae& the e%i#e!e sho)s that there are people e!#o)e# )ith the faulty of so"
alle# ei#eti i'a$ery "" that is& of really seei!$ 'e!tal i'a$es )ith #rea'"like&
hallui!atory %i%i#!ess, but this faulty& thou$h relati%ely fre/ue!t i! hil#re!& is rare i!
a#ults( The a%era$e a#ult #oes !ot really see a!ythi!$ approahi!$ a o'plete a!# sharp
i'a$e )he! he realls a 'e'ory "" for i!sta!e& the fae of a frie!# "" thou$h he 'ay
#eei%e hi'self i!to belie%i!$ that he #oes( Ho) #o )e k!o) that he is #eei%i!$ hi'selfE
Here is o!e )ay of pro%i!$ it "" a'o!$ 'a!y others( The e-peri'e!ter lets the sub.et look
at a s/uare of& say& four ro)s of four letters 1)hih #o !ot for' a!y 'ea!i!$ful se/ue!es2
u!til the sub.et thi!ks he a! see the' i! his 'i!#'s eye( He a!& i! fat& flue!tly 'rea#'
the' out after the s/uare has bee! take! a)ay "" or so he belie%es( For )he! he is aske# to
rea# the s/uare bak)ar#s& or #ia$o!ally& his flue!y is $o!e( He has& i! fat& lear!e# the
se/ue!e by rote )ithout reali+i!$ it "" )hih is /uite a #iffere!t 'atter fro' for'i!$ a
%isual i'a$e( If he oul# really see the s/uare& he oul# rea# it i! all #iretio!s )ith the
sa'e ease a!# spee#(
The or#i!ary iti+e!& )ho #oes !ot happe! to be a pai!ter& or a polie'a!& or of a
partiularly obser%a!t type& )oul# be at a loss to $i%e a! e-at %isual #esriptio! e%e! of
people )ho' he k!o)s /uite )ell( :hat )e #o re'e'ber of a perso! is a o'bi!atio! of
1a2 ertai! %i%i# #etails& a!# 1b2 )hat )e all '$e!eral i'pressio!s'( The '%i%i# #etail' 'ay
be a $esture& a! i!to!atio!& a! outsta!#i!$ %isual feature "" the 'ole o! ;ra!!y's hi! ""
)hih& for o!e reaso! or a!other& has stuk i! o!e's 'e'ory& like a fra$'e!t fro' a piture"
strip& a!# )hih fu!tio!s pars pro toto "" as a part& or si$! #eputi+i!$ for the )hole(
The '$e!eral i'pressio!' o! the other ha!#& is base# o! the opposite 'etho# of 'e'ory"
for'atio!0 it is a she'ati+e#& skethy& /uasi 'skeleto!i+e#' outli!e of a )hole
o!fi$uratio!& re$ar#less of #etail( A )o'a! 'ay say to a 'a!& 'I ha%e!'t see! you )eari!$
that tie before' "" thou$h she has !ot the fai!test reolletio! of a!y of the ties he has )or!
i! the past( She recogni0es a #e%iatio! fro' 'e'ories )hih she is u!able to recall( The
e-pla!atio! of the para#o- is that althou$h she a!!ot re'e'ber the olour or patter! of
a!y si!$le tie )hih that 'a! )ore i! the past& she #oes re'e'ber that they )ere $e!erally
sub#ue# a!# #isreet& )hih the !e) tie is !ot( It #e%iates !ot fro' a!y partiular past
e-perie!e& but fro' the $e!eral o#e& fro' a! abstrate# %isual /uality that these past
e-perie!es ha# i! o''o!( Suh pereptual o#es fu!tio! as seleti%e filters& as it )ere,
the filter re.ets as ')ro!$' a!ythi!$ )hih #oes !ot fit its ''esh', a!# aepts or 'reo$!i+es'
a!ythi!$ that fits it& i(e( )hih $i%es the sa'e '$e!eral i'pressio!'( The $e!tle'a! )ith the
!e) tie& for i!sta!e& a! $et his o)! bak )ith the re'ark& 'Bou ha%e #o!e so'ethi!$ to
your hair& ha%e!'t youE' He has !e%er !otie# her pre%ious hair"#os at all& but be #oes !otie
that the prese!t o!e .ust #oes!'t $o )ith her 'ousy appeara!e( Here the o#e is ''ousi!ess'
)hih& like all %isual she'ati+atio!s& is #iffiult to #esribe i! )or#s& but i!sta!tly
reo$!i+e# by the eye( :e talk of a! 'i!!oe!t' or 'lasi%ious' e-pressio!& of 'se!siti%e' or
'brutal' features "" harateristis )hih #efy %erbal #esriptio!& but )hih a! be skethe#
)ith a fe) li!es "" as e'otio!s a! be i!#iate# by a fe) basi strokes i!#iati!$ the sla!t
of 'outh a!# eyes( Other o#es of reo$!itio! 'ay o'bi!e for' a!# 'otio!& or %isio!
a!# heari!$0 a harateristi $ait& the ti'bre of a %oie(
Thus reo$!i+i!$ a perso! #oes !ot 'ea! 'athi!$ a reti!al i'a$e a$ai!st a 'e'ory
i'a$e of photo$raphi"like!ess( >y 'e'ory of ?oh! *ro)! is !ot a photo$raphi reor#, it
o!sists of se%eral& si'plifie# a!# she'ati+e# '$e!eral i'pressio!s' )hose o'bi!atio!&
plus a fe) '%i%i# #etails'& e!able 'e to reo$!i+e hi' )he! )e 'eet& or to re'e'ber hi' i!
his abse!e( *ut that re'e'bra!e is o!ly partly of a pitorial !ature& a!# 'uh less so
tha! I belie%e it to be "" see the e-peri'e!t )ith the letter"s/uare( The reaso! for this self"
#eeptio! is that the proess of o'bi!i!$ those si'plifie# %isual a!# other she'ata a!#
a#or!i!$ the' )ith a fe) $e!ui!e 'photo$raphi' fra$'e!ts& is u!o!sious a!#
i!sta!ta!eous( The pereptual o#es fu!tio! belo) the le%el of a)are!ess, )e are playi!$
a $a'e )ithout bei!$ a)are of the rules( :e o%eresti'ate the preisio! of our i'a$ery& as
)e o%eresti'ate the preisio! of our %erbal thi!ki!$ 1/uite ofte! )e thi!k 'that )e ha%e
u!#erstoo# the 'ea!i!$ of a #iffiult te-t a!# #iso%er later that )e ha%e!'t really2 beause
)e are u!a)are of the $aps bet)ee! the )or#s a!# bet)ee! the skethy o!tours of the
she'ata( All i!trospeti%e '%isual' thi!kers& fro' Ei!stei! #o)!)ar#& e'phasi+e# the
%a$ue!ess& ha+i!ess& a!# abstrat harater of their o!sious %isual i'a$ery( True piture"
strip thi!ki!$ is o!fi!e# to the #rea'& a!# other 'a!ifestatio!s of the subo!sious(
The poi!t of this appare!t #i$ressio! )as to sho) that if the abo%e is true re$ar#i!$ our
'e!tal i'a$es of real people )ho' )e k!o)& it 'ust be all the 'ore true re$ar#i!$ our
i'a$es of fitio!al haraters )hih lak a!y se!sory basis( A harater 'ay i!#ee# be
'ali%e' )ith the ut'ost %i%i#!ess i! the rea#er's 'i!#& but this %i%i#!ess !ee# !ot be of a
%isual !ature( The rea#er 'ay fall i! lo%e )ith Kare!i!a& #espair )he! she thro)s herself
u!#er the trai!& 'our! her #eath "" a!# yet be u!able to %isuali+e her i! his 'i!#'s eye or
$i%e a #etaile# #esriptio! of her appeara!e( Her 'li%i!$ i'a$e' i! the rea#er is !ot a
photo$raphi i'a$e& but a 'ulti"#i'e!sio!al o!strut of a %ariety of aspets of her $e!eral
appeara!e& her $estures a!# %oie& her patter!s of thi!ki!$ a!# beha%i!$( It is a
o'bi!atio! of %arious '$e!eral i'pressio!s' a!# '%i%i# #etails' "" that is& constructed on
much the same principles as images of real people(
I! fat& there is !o sharp #i%i#i!$ li!e bet)ee! our i'a$es of people )ho' )e ha%e 'et i!
the flesh& a!# those )ho' )e k!o) o!ly fro' #esriptio!s "" )hether fatual or fitio!al
1or a o'bi!atio! of both2( The #rea' k!o)s !o #isti!tio! bet)ee! fatual a!# fititious
haraters& a!# hil#re! as )ell as pri'iti%es are apt to o!fuse the t)o(
Thus the pha!to's of *o%ary a!# Kare!i!a )hih float arou!# us are !ot so %ery #iffere!t
fro' our appare!tly soli# 'e'ories of ?oe S'ith a!# Peter *ro)!, both %arieties are 'a#e
of the sa'e stuff( I! o!e of >uriel Spark's !o%els& a )ise ol# bir# asks his )o'a! frie!#0
'<o you thi!k& ?ea!& that other people e-istE ( ( ( I 'ea!& #o you o!si#er that people "" the
people arou!# us "" are real or illusoryE Surely you see that here is a respetable /uestio!(
;i%e! that you belie%e i! your o)! e-iste!e as self"e%i#e!t& #o you belie%e i! that of
othersE <o you belie%e that I for i!sta!e& at this 'o'e!t e-istE' 748
The o!ly ertai!ty that other people e-ist& !ot 'erely as physial shapes& but as se!tie!t
bei!$s& is #eri%e# fro' partly o!sious& but 'ostly u!o!sious& i!fere!e& i(e( e'pathy(
:e auto'atially i!fer fro' 'i!ute poi!ters i! a perso!'s fae or $estures "" )hih )e
'ostly #o !ot e%e! re$ister o!siously "" his harater& 'oo#& ho) he )ill beha%e i! a!
e'er$e!y& a!# a lot of other thi!$s( :ithout this faulty of pro.eti!$ part of o!e's o)!
se!tie!t perso!ality i!to the other perso!'s shell& )hih e!ables us to say 'I know ho) you
feel'& the poi!ters )oul# be 'ea!i!$less( =ore!+ has sho)! that the %arious postures a!#
fle-io!s of the )olf's tail are i!#iati%e of at least te! #iffere!t 'oo#s( As )e ha%e lost our
tails )e a!!ot e'pathi+e )ith these 'oo#s "" but si!e our labial 'usles are !ot %ery
#iffere!t& )e feel at o!e the si$!ifia!e of bare# teeth(
The se'i"abstrat she'ati+atio!s )hih )e all '$e!eral i'pressio!s' of appeara!e&
harater& a!# perso!ality& are i!tuiti%e poi!ter"rea#i!$s base# o! e'pathy( It is by this
'ea!s that )e assi$! reality a!# se!tie!e to other people( O!e 'ore& the proess #iffers
fro' bri!$i!$ a fitio!al harater ali%e i! our 'i!#s 'ai!ly by the !ature of the poi!ters(
A bla!# fae at a oktail party utteri!$ the o!%e!tio!al type of re'ark 'ay pro%i#e less
poi!ters for e'pathy a!# i'a$i!atio! tha! the u!!i!$ly pla!te# hi!ts of the !o%elist&
speially #esi$!e# to pro#ue positi%e or !e$ati%e i#e!tifiatio!s( So'e pha!to's a! be
'ore real to the 'i!# tha! 'a!y a bore 'a#e of soli# flesh( The #isti!tio! bet)ee! fat
a!# fitio! is a late a/uisitio! of ratio!al thou$ht "" u!k!o)! to the u!o!sious& a!#
lar$ely i$!ore# by the e'otio!s(
Co!flit
<ra'a stri%es o! o!flit& a!# so #oes the !o%el( The !ature of the o!flit 'ay be
e-pliitly state# or 'erely i'plie#, but a! ele'e!t of it 'ust be prese!t& other)ise the
haraters )oul# be $li#i!$ throu$h a fritio!less u!i%erse(
The o!flit 'ay be fou$ht i! the #i%i#e# heart of a si!$le harater, or bet)ee! t)o or
'ore perso!s, or bet)ee! 'a! a!# his #esti!y( The o!flit bet)ee! perso!alities 'ay be
#ue to a lash of i#eas or te'pera'e!ts& to i!o'patible o#es of beha%iour or sales of
%alue( *ut )hate%er its 'otif& a /uarrel )ill assu'e the #i$!ity of #ra'a o!ly if the
au#ie!e is le# to aept the attitu#e of both si#es as %ali#& eah )ithi! its o)! fra'e of
refere!e( If the author suee#s i! this& the o!flit )ill be pro.ete# i!to the spetator's or
rea#er's 'i!#& a!# e-perie!e# as a lash bet)ee! t)o si'ulta!eous a!# i!o'patible
i#e!tifiatio!s( ':e 'ake out of our /uarrels )ith others rhetori& but of our /uarrels )ith
oursel%es poetry&' sai# Beats(
<ra'ati o!flit thus al)ays re%eals so'e para#o- )hih is late!t i! the 'i!#( It reflets
both si#es of the 'e#al )hereas i! our pratial pursuits )e see o!ly o!e at a ti'e( The
para#o- 'ay be see'i!$ly superfiial& as )he! our sy'pathies are #i%i#e# bet)ee! Ha'let
a!# =aertes& t)o e/ually )orthy o!testa!ts& )ith the resulti!$ #esire to help both& that is to
har' both( *ut at least the #ouble o'pliity i! the #ouble slau$hter is pro'pte# !ot by
hate but lo%e& a!# )e are 'a#e to reali+e that it )as #esti!y& !ot their o)! %olitio!& )hih
'a#e the' #estroy eah other, the para#o- is 'earthe#' i! the hu'a! o!#itio!(
Thus the artist o'pels his au#ie!e to li%e o! se%eral pla!es at o!e( He i#e!tifies hi'self
)ith se%eral haraters i! tur! "" Caesar& *rutus& A!to!y& pro.eti!$ so'e aspet of hi'self
i!to eah of the'& a!# speaki!$ throu$h their 'ouths, or i!tro.eti!$ the'& if you like& a!#
le!#i!$ the' his %oie( He prese!ts *rutus a!# Caesar alter!ately i! situatio!s )here they
o''a!# sy'pathy a!# i'pose their patter!s of reaso!i!$& their sales of %alue& u!til eah
has establishe# his o)! i!#epe!#e!t 'atri- i! the spetator's 'i!#( Ha%i!$ a/uire# these
'ultiple i#e!tities& the spetator is le# to a po)erful li'a-& )here he is both 'ur#erer a!#
%iti', a!# the!e to atharsis( I! the 7hagavid @ita the =or# Krish!a appears o! the
battlefiel# i! the role of harioteer to his #isiple Ar.u!a& )ho' he ures of his paifist
sruples by e-plai!i!$ that the slayer a!# the slai! are O!e& beause both are e'bo#i'e!ts
of the i!#estrutible At'a, therefore 'the truly )ise 'our! !either for the li%i!$ !or for the
#ea#(' I #oubt )hether this #otri!e& take! literally& ha# a be!efiial effet o! the ethis of
Hi!#uis'&D but to be both Caesar a!# *rutus i! o!e's i'a$i!atio! has a profou!# atharti
effet& a!# is o!e )ay of approahi!$ Nir%a!a(
*rutus is a! ho!ourable 'a!, so is Caesar, but )hat about Ia$oE Throu$h pityi!$
<es#e'o!a& a!# shari!$ Othello's #espair& )e are o'pelle# to hate Ia$o, but )e a! hate
Ia$o o!ly if he has o'e to life for us a!# i! us, a!# he has o'e to life i! us beause he
too o''a!#s our u!#ersta!#i!$ a!#& at 'o'e!ts& our sy'pathy "" the reso!a!e of our
o)! frustrate# a'bitio!s a!# .ealousies( :ithout this u!a%o)e# feeli!$ of o'pliity& he
)oul# be a 'ere sta$e"prop& a!# )e oul# hate hi' !o 'ore tha! a piee of ar#boar#(
Ia$o& Rihar# II& Sta%ro$i!& the $reat %illai!s of literature& ha%e a! irresistible appeal to
so'e o''o!& represse# %illai!ous!ess i! oursel%es& a!# $i%e us a )o!#erfully purifyi!$
opportu!ity to #iso%er )hat it feels like to be fra!kly a %illai!(
*ut true"blak %illai!s are li'it ases, the 'ore e%e!ly our sy'pathies are #istribute#
a'o!$ the a!ta$o!ists& the 'ore suessfully the )ork )ill atuali+e late!t aspets of our
perso!alities( Caliba! a!# Prospero& Faust a!# >ephisto& <o! Jui-ote a!# Sa!ho Pa!+a&
Christ a!# the ;reat I!/uisitor "" eah pair is loke# i! a! e%erlasti!$ #uel i! )hih )e at
as seo!#s for both( I! eah of these o!flits t)o self"o!tai!e# fra'es of refere!e& t)o
sets of %alues& t)o u!i%erses of #isourse olli#e( All $reat )orks of literature o!tai!
%ariatio!s a!# o'bi!atio!s& o%ert or i'plie#& of suh arhetypal o!flits i!here!t i! the
o!#itio! of 'a!& )hih first our i! the sy'bols of 'ytholo$y& a!# are restate# i! the
partiular i#io' of eah ulture a!# perio#( All literature& )rote ;erhart Haupt'a!!& is 'the
#ista!t eho of the pri'iti%e )or# behi!# the %eil of )or#s', a!# the atio! of a #ra'a or
!o%el is al)ays the #ista!t eho of so'e a!estral atio! behi!# the %eil of the perio#'s
ostu'es a!# o!%e!tio!s( There are !o !e) the'es i! literature& as there are !o !e)
hu'a! i!sti!ts, but e%ery a$e pro%i#es !e) %ariatio!s a!# subli'atio!s& !e) setti!$s a!#
a #iffere!t set of rules for fi$hti!$ the ol# battles all o%er a$ai!( To /uote ;( :( *ra!#t0
'There is basially o!ly a li'ite# !u'ber of plots, they a! be see!& i! #iffere!t $uises&
reurri!$ #o)! the a$es( The reaso! is i! life itself( Hu'a! relatio!ships& )hilst i!fi!itely
%arie# i! #etail& re%eal "" strippe# #o)! to fu!#a'e!tals "" a !u'ber of repetiti%e patter!s(
:riters strai!i!$ to i!%e!t a plot e!tirely fresh ha%e k!o)! this for a lo!$ ti'e( ;oethe
/uote# ;o++i's opi!io! that there )ere o!ly thirty"si- tra$i situatio!s "" a!# he a##e# that
Shiller& )ho belie%e# that there )ere 'ore& ha# !ot e%e! suee#e# i! fi!#i!$ as 'a!y as
that(' 798
I!te$ratio!s a!# Co!fro!tatio!s
If the i!#i%i#ual at of #iso%ery #isplays esse!tially the sa'e psyholo$ial patter! i!
sie!e a!# i! art& their olleti%e pro$ress #iffers i! o!e i'porta!t respet( :e ha%e see!
1Chapter H2 that the e%olutio! of sie!e is !either o!ti!uous !or u'ulati%e i! a strit
se!se, but it is !e%ertheless 'ore so tha! the e%olutio! of art(

I! the #iso%eries of sie!e& the bisoiate# 'atries 'er$e i! a !e) sy!thesis& )hih i!
tur! 'er$es )ith others o! a hi$her le%el of the hierarhy, it is a proess of suessi%e
o!flue!es to)ar#s u!itary& u!i%ersal la)s 1at least& this applies to a $i%e! pro%i!e of
sie!e i! a $i%e! perio# or yle2( The pro$ress of art #oes !ot #isplay this o%erall 'ri%er"
#elta' patter!( The 'atries )ith )hih the artist operates are hose! for their se!sory
/ualities a!# e'oti%e pote!tial, his bisoiati%e at is a 5uxtaposition of these pla!es or
aspets of e-perie!e& !ot their fusion i! a! i!telletual sy!thesis "" to )hih& by their %ery
!ature& they #o !ot le!# the'sel%es( This #iffere!e is reflete# i! the /uasi"li!ear
pro$ressio! of sie!e& o'pare# )ith the /uasi"ti'eless harater of art& its o!ti!ual re"
state'e!ts of basi patter!s of e-perie!e i! ha!$i!$ i#io's( If the e-pla!atio!s of sie!e
are like strea's .oi!i!$ ri%ers& ri%ers 'o%i!$ to)ar#s the u!ifyi!$ oea!& the e-pla!atio!s
of art 'ay be o'pare# to the trai!$ bak of a ripple i! the strea' to its soure i! a #ista!t
'ou!tai!"spri!$(

*ut I 'ust o!e 'ore repeat& at the risk of bei!$ te#ious& that i! all #o'ai!s of reati%e
ati%ity i!telletual a!# aestheti e-perie!e are both prese!t i! %arious 'i-tures, that
'sie!e' a!# 'art' for' a o!ti!uu', that ha!$es of fashio! are o''o! i! the +i$"+a$
ourse of sie!e& )hile o! the other ha!#& #e%elop'e!t of a $i%e! art"for' o%er a perio#
ofte! sho)s a #isti!t 'ri%er"#elta' patter!(D The 'o#er! ato'"physiist k!o)s 'ore tha!
<e'oritus& but the! ?oye's #lysses also k!o)s 'ore tha! Ho'er's Odysseus, a!# i! so'e
respets this pro$ress i! k!o)le#$e& too& is of a u'ulati%e or#er(
Al)ays beari!$ these /ualifiatio!s i! 'i!#& )e 'i$ht spi! out the 'etaphor0 if the $reat
o!flue!e to)ar#s )hih sie!e stri%es is the u!i%ersal logos& the ulti'ate spri!$ of
aestheti e-perie!e is the archetypos( The literal 'ea!i!$ of the )or# is 'i'pla!te#' 1typos
U sta'p2 'fro' the be$i!!i!$'( ?u!$ #esribe# arhetypes as 'the psyhi resi#ua of
!u'berless e-perie!es of the sa'e type' e!ou!tere# by our a!estors& a!# sta'pe# i!to
the 'e'ory of the rae "" it is& i!to the #eep layers of the 'olleti%e u!o!ious' belo) the
le%el of perso!al 'e'ories( He!e& )he!e%er so'e arhetypal 'otif is sou!#e#& the
respo!se is 'uh stro!$er tha! )arra!te# by its fae %alue "" the 'i!# respo!#s like a
tu!i!$ fork to a pure to!e(
O!e !ee# !ot be a follo)er of ?u!$ to reo$!i+e the sa'e arhetypal e-perie!es
rystalli+e# i!to sy'bols i! the 'ytholo$ies of ultures )i#ely separate i! spae a!# ti'e(
E-a'ples of suh reurre!t patter!s are the #eath"a!#"resurretio! 'otif, the e-te!sio! of
the se-ual #uality i!to the 'etaphysial polarities of 'asuli!e lo$i a!# fe'i!i!e
i!tuitio!& 'other earth a!# hea%e!ly father& et(, the strife bet)ee! $e!eratio!s "" a!# its
ou!terpoi!t& the taboo o! i!est, the Pro'ethea! stru$$le to )rest po)er fro' the $o#s ""
a!# the i'perati%e !ee# to plaate the' by sarifie, the ur$e to pe!etrate to the ulti'ate
'ystery "" a!# the resi$!e# a#'issio! that reality is beyo!# the 'i!#'s $rasp& hi##e! by the
%eil of >aya& re#ue# to sha#o)s i! Plato's a%e( These pere!!ial patter!s of %itory a!#
#efeat reur i! e%er"ha!$i!$ %ariatio!s throu$hout the a$es& beause they #eri%e fro' the
%ery esse!e of the hu'a! o!#itio! "" its para#o-es a!# pre#ia'e!ts( They play a! all"
i'porta!t part i! literature& fro' ;reek tra$e#y #o)! to the prese!t& per'eati!$ both the
)hole a!# the part0 the plot& a!# the i'a$es e'ploye# i! it( The poeti i'a$e attai!s its
hi$hest %ibratio!al i!te!sity as it )ere& )he! it strikes arhetypal hor#s "" )he! eter!ity
looks throu$h the )i!#o) of ti'e(
:illia' E'pso! 7A8 has $i%e! a o!%i!i!$ a!alysis of the arhetypal i'a$ery i! Nash's
fa'ous li!es "" )hih& ho)e%er ofte! /uote#& !e%er lose their po)er0
*ri$ht!ess falls fro' the air( Juee!s ha%e #ie# you!$ a!# fair( <ust hath lose# Hele!'s
eye( I a' sik& I 'ust #ie( =or# ha%e 'ery upo! us(
'If #eath #i# !ot e-ist'& )rote Shope!hauer& 'there )oul# be !o philosophy "" !or )oul#
there be poetry(' That #oes !ot 'ea! that either philosophy& or art& 'ust be obsessi%ely
preoupie# )ith #eath, 'erely& that $reat )orks of art are al)ays tra!spare!t to so'e #i'
outli!e of the ulti'ate e-perie!e& the arhetypal i'a$e( It !ee# !ot ha%e a tra$i shape&
a!# it 'ay be !o 'ore tha! the i!#iret refletio! of a refletio!& the eho of a! eho( *ut
'etaphor a!# i'a$ery yiel# aestheti %alue o!ly if the t)o o!te-ts )hih are i!%ol%e# i!
the o'pariso! for' a! ase!#i!$ $ra#ie!t "" if o!e of the' is felt to be !earer to the
soure of the strea'( >utatis 'uta!#u'& a sie!tifi theory !ee# !ot be #iretly o!er!e#
)ith the ulti'ate seret of the u!i%erse& but it 'ust poi!t to)ar#s it by bri!$i!$ or#er a!#
har'o!y i!to so'e obsure or!er( To li!h the ar$u'e!t& I 'ust /uote o!e 'ore
Hous'a!'s essay o! *he 9ame and 9ature of Poetry0
I! these si- si'ple )or#s of >ilto! "" Ny'phs a!# shepher#s& #a!e !o 'ore "" )hat is it
that a! #ra) tears& as I k!o) it a!& to the eyes ( ( ( E :hat i! the )orl# is there to ry
aboutE :hy ha%e the 'ere )or#s the physial effet of pathos )he! the se!se of the
passa$e is blithe a!# $ayE I a! o!ly say& beause they are poetry& a!# fi!# their )ay to
so'ethi!$ i! 'a! )hih is obsure a!# late!t& so'ethi!$ ol#er tha! the prese!t
or$a!i+atio! of his !ature& like the pathes of fe! )hih still li!$er here a!# there i! the
#rai!e# la!#s of Ca'bri#$eshire(
Catalo$ui!$ Plots
=et 'e 'e!tio! a fe) e-a'pks of arhetypal patter!s i! literature "" )ithout a!y atte'pt at
atalo$ui!$ ;oethe's thirty"si- basi plots(
The Pro'ethea! stri%i!$ for o'!ipote!e a!# o'!isie!e is sy'boli+e# i! ?aob's
stru$$le )ith the a!$el& the To)er of *abel& the fli$ht of Iarus& the Faustus le$e!#& a!# so
o! throu$h 3oltaire's andide& #o)! to the broke! Pro'ethea! heroes of H( ;( :ells 1<r(
>oreau2 or <ostoye%ski 1Sta%ro$i! i! *he Possessed2( I! the 'o#er! #e%elop'e!t of the
the'e& it is of ourse treate# i! a 'ore allusi%e& i'pliit 'a!!er, but i! the 'ass 'e#ia a!#
pulp 'a$a+i!es& Super'e!& Spae Ca#ets& a!# *lak >a$iia!s are all happily ru!!i!$ true
to arhetype(
The !e-t atalo$ue"hea#i!$ )oul# be 'I!#i%i#ual a$ai!st Soiety'& )ith se%eral
subhea#i!$s& suh as 'fro' Oe#ipus to Sh'oe#ipus& or shall )e lo%e 'a''aE' Ne-t
)oul# o'e 'poly$o!al patter!s of libi#i!ous relatio!s' 1tria!$les& /ua#ra!$les& et(2, a title
I ha%e atually borro)e# fro' a lear!e# publiatio! by a fiel#"a!thropolo$ist, it sho)s that
if you ollet arhetypes 'etho#ially& they ru'ble to #ust( Bet u!#er this hea#i!$ belo!$s
at least half the total bulk of )orl# literature& fro' the 3ula!"3e!us">ars tria!$le o!)ar#(
Ne-t 'i$ht o'e the :ar of the Se-es "" fro' the A'a+o! 'yths throu$h =ysistrata to 3nn
)eronica a!# Si'o!e #e *eau%oir, !e-t& lo%e triu'pha!t& or #efeate# "" the So!$ of So!$s
alter!ati!$ )ith Isol#e's Liebestod( =astly& the Co!/uest of the Flesh& fro' the *u##ha to
Al#ous Hu-ley(
Still u!#er the hea#i!$ '>a! a!# Soiety' )oul# o'e the subhea#i!$s0 the hubris of
Po)er, the hubris of Cle%er!ess, the hubris of the I%ory To)er a!#& less ob%ious& the hubris
of Sa!tity( The last is either a! offe!e to ;o# 1?ob, the te! ri$hteous 'e! )ho fi!# less
fa%our tha! the o!e repe!ta!t si!!er2 or to soiety& beause the hero's perso!al sales of
%alue #e%iate fro' the o!%e!tio!al( He 'ust therefore either be a! i!spire# fool& or play
the fool to esape sa!tio!& or suffer 'artyr#o' "" 'The ti'e is out of .oi!t, O urse# spite& W
That e%er I )as bor! to set it ri$htG' E-a'ples ra!$e fro' the Pere%al le$e!# a!# *he Lay
of the @reat 1ool& throu$h <o! Jui-ote& Eule!spie$el a!# The ;oo# Sol#ier Sh)eik to
Pri!e >ishki! i! <ostoye%ski's *he Idiot& a!# Ca'us' L/Itranger(
U!#er the hea#i!$ 'The <i%i#e# Heart' )oul# fall& as sub"ate$ories& o!flits bet)ee!
=o%e a!# <uty, bet)ee! Self"Preser%atio! a!# Self"Sarifie, bet)ee! E!#s a!# >ea!s,
a!# bet)ee! Faith a!# Reaso!(
Puppets a!# Stri!$s
To e!# this pe#a!ti "" a!# yet %ery i!o'plete "" atalo$ue& I 'ust 'e!tio! o!e of the
'ost po)erful arhetypes& )hih appears i! ou!tless %ariatio!s i! the history of literature0
the Puppet o! Stri!$s& or 3olitio! a$ai!st Fate( I! Oedipus !ex fate appears i! the shape of
'ale%ole!t po)ers )ho trap the Ki!$ i!to perfor'i!$ his #isastrous #ee#s appare!tly out
of his o)! free )ill( I! all plots of the NAppoi!t'e!t i! Sa'araN type& appare!t
oi!i#e!es are the 'ea!s by )hih #esti!y #efeats the )ill of 'a! 1f( oi!i#e!e i!
o'e#y& p( OF2( I! Christia! theolo$y& the )ays of ;o# beo'e less arbitrary& but 'ore
i!srutable, 'a! proposes& ;o# #isposes, ori$i!al si! hokes his #esi$!s( I! the Easter!
reli$io!s he is tie# to the )heel of rebirth, i! Isla' he arries his fate faste!e# rou!# his
!ek( The $reat theolo$ial #isputes bet)ee! Cal%i!ists a!# =uthera!s& ?a!se!ites a!#
?esuits tur!e# 'ai!ly o! the /uestio! of pre#esti!atio!& or 'ore preisely& o! the le!$th of
the rope left to 'a! to ha!$ hi'self(

:ith the rise of Natural Philosophy& a ha!$e i! the harater of #esti!y be$a! to take
shape( Ro'eo a!# ?uliet still #ie as a result of fatal 'isu!#ersta!#i!$s 1'O!e )rit )ith 'e
i! sour 'isfortu!e's book'2( *ut i! Shakespeare's later )orks& #esti!y ats !o lo!$er o!ly
fro' outsi#e but also fro' i!si#e the perso!ae, they are %iti's !ot so 'uh of bli!# fate&
but of their bli!# passio!s0 'the fault& #ear *rutus& is !ot i! our stars& but i! oursel%es'( These
are $reat& bra%e )or#s, but they #i# !ot sol%e the #ile''a& they 'erely polishe# its hor!s(
<i%i!e pre#esti!atio! )as tra!sfor'e# i!to sie!tifi #eter'i!is'& )hih left 'a! e%e!
less sope tha! before for e-erisi!$ his )ill a!# 'aki!$ free hoies( The hairshirt of the
pe!ite!t ha# allo)e# hi' so'e free#o' of 'o%e'e!t& but the la)s of here#ity a!#
e!%iro!'e!t )o%e a strait".aket so ti$ht that it bea'e i!#isti!$uishable fro' his li%i!$
ski!( E%e! the )or# '%olitio!' )as ba!!e# fro' psyholo$y as e'pty of 'ea!i!$(
Chro'oso'es a!# $la!#ular seretio!s took o%er fro' the $o#s i! #ei#i!$ a 'a!'s fate(
He re'ai!e# a 'ario!ette o! stri!$s& )ith the o!ly #iffere!e that he )as !o) suspe!#e#
o! the !ulei ai# hai!s #eter'i!i!$ his here#ity& a!# the o!#itio!e#"refle- hai!s
for$e# by the e!%iro!'e!t(

The 'ost e-pliit a#optio! of this she'a for literary uses is fou!# i! the !aturalist
'o%e'e!t of the !i!etee!th e!tury( Its pro$ra''e )as for'ulate# i! ]ola's Le !oman
6xperimental& i!spire# by the Introduction 4 l/;tude de la m;dicine experimentale by the
$reat Clau#e *er!ar# 1)ho #iso%ere# the %aso'otor syste' of !er%es& a!# the $luose"
pro#ui!$ fu!tio! of the li%er2( ]ola ur$e# his fello) )riters to take a 'physiolo$ial %ie)'
of 'a! as a pro#ut of !ature #e%oi# of free )ill a!# sub.et to the la)s of here#ity a!#
e!%iro!'e!t( Fortu!ately& i! spite of the !aturalist %o$ue i! ;er'a!y& Russia& a!#
Sa!#i!a%ia& )riters aepte# his %ie)s i! theory o!ly "" as they are )o!t to #o( The
reati%e 'i!# k!o)s ho) to #ra) o! arhetypal sy'bols )ithout #e$ra#i!$ the' by
'isplae# o!rete!ess(

Bou a! 'ake a! H"ray photo$raph of a fae& but you a!!ot 'ake a fae fro' a! H"ray
photo$raph( Bou a! sho) that u!#erlyi!$ the subtle a!# o'ple- atio! of a !o%el there is
a pri'iti%e skeleto!& )ithout o''itti!$ lXse 'a.estT& or foolishly assu'i!$ that the plot
'akes the !o%el( There is o!ly a li'ite# !u'ber of plots& reurri!$ #o)! the a$es& #eri%e#
fro' a! e%e! 'ore li'ite# !u'ber of basi patter!s "" the o!flits& para#o-es& a!#
pre#ia'e!ts i!here!t i! 'a!'s o!#itio!( A!# if )e o!ti!ue the strippi!$ $a'e& )e fi!#
that all these para#o-es a!# pre#ia'e!ts arise fro' o!flits bet)ee! i!o'patible fra'es
of e-perie!e or sales of %alue& illu'i!ate# i! o!sious!ess by the bisoiati%e at( I! this
fi!al illu'i!atio! Aristotle sa) 'the hi$hest for' of lear!i!$' beause it sho)s us that )e
are ''e!& !ot $o#s', a!# he alle# tra$e#y 'the !oblest for' of literature' beause it pur$es
sufferi!$ fro' its petti!ess by sho)i!$ that its auses lie i! the i!esapable pre#ia'e!ts of
e-iste!e(D
NOTES
To p( AI4( Hi!#u apolo$ists )oul# ha%e us take Krish!a's e-hortatio!s to belli$ere!e as
alle$orial refere!es to )ars fou$ht i!si#e the hu'a! soul( The ar$u'e!t is as far"fethe#
as the Christia! apolo$ists' atte'pts to represe!t the So!$ of So!$s as a! alle$ory of
Christ's lo%e for His Churh(

To p( AI9( Eri Ne)to! 13n Introduction to 6uropean Painting2 atually uses the sa'e
'etaphor(

To p( AIO( At least this see's the 'ost plausible e-pla!atio! of the rypti re'ark i! the
Poetics that )e take pleasure i! tra$e#y beause lear!i!$ is pleasurable& a!# tra$e#y
i!%ol%es lear!i!$(




HH
THE *E==B OF THE :HA=E
The Ni$ht ?our!ey
O!e arhetype re'ai!s to be #isusse#& )hih is of speial si$!ifia!e for the at of
reatio!( It is %ariously k!o)! as the Ni$ht ?our!ey& or the <eath"a!#"Rebirth 'otif, but
o!e 'i$ht as )ell all it the 'eeti!$ of the Tra$i a!# the Tri%ial Pla!es( It appears i!
ou!tless $uises, its basi patter! a! be rou$hly #esribe# as follo)s( U!#er the effet of
so'e o%er)hel'i!$ e-perie!e& the hero is 'a#e to reali+e the shallo)!ess of his life& the
futility a!# fri%olity of the #aily pursuits of 'a! i! the tri%ial routi!es of e-iste!e( This
reali+atio! 'ay o'e to hi' as a su##e! shok ause# by so'e atastrophi e%e!t& or as
the u'ulati%e effet of a slo) i!!er #e%elop'e!t& or throu$h the tri$$er atio! of so'e
appare!tly ba!al e-perie!e )hih assu'es a! u!e-pete# si$!ifia!e( The hero the!
suffers a risis )hih i!%ol%es the %ery fou!#atio!s of his bei!$, he e'barks o! the Ni$ht
?our!ey& is su##e!ly tra!sferre# to the Tra$i Pla!e "" fro' )hih he e'er$es purifie#&
e!rihe# by !e) i!si$ht& re$e!erate# o! a hi$her le%el of i!te$ratio!(
The sy'boli e-pressio!s of this patter! are as ol# as hu'a!ity( 748 The risis or Ni$ht
?our!ey 'ay take the for' of a %isit to the u!#er)orl# 1Orpheus& O#ysseus2, or the hero is
ast to the botto' of a )ell 1?oseph2& burie# i! a $ra%e 1?esus2& s)allo)e# by a fish 1?o!ah2,
or he retires alo!e i!to the #esert& as *u##ha& >aho'et& Christ& a!# other prophets a!#
fou!#ers of reli$io!s #i# at the ruial tur! i! their li%es(
I )e!t #o)! to the botto's of the 'ou!tai!s0 the earth )ith her bars )as about 'e for
e%er(
The .our!ey al)ays represe!ts a plu!$e #o)!)ar# a!# bak)ar# to the soures a!# tra$i
u!#erurre!ts of e-iste!e& i!to the flui# 'a$'a& of )hih the Tri%ial Pla!e of e%ery#ay
life is 'erely the thi! rust( I! 'ost tribal soieties& the plu!$e is sy'bolially e!ate# i!
the i!itiatio!"rites )hih pree#e the tur!i!$ poi!ts i! the life of the i!#i%i#ual& suh as
puberty or 'arria$e( He is 'a#e to u!#ertake a 'i!or Ni$ht ?our!ey0 se$re$ate# fro' the
o''u!ity& he 'ust fast& e!#ure physial har#ships a!# %arious or#eals& so that he 'ay
e-perie!e the esse!tial solitu#e of 'a!& a!# establish o!tat )ith the Tra$i Pla!e( A
si'ilar purpose is ser%e# by the sy'boli #ro)!i!$ a!# rebirth of baptis', the i!stitutio!
of perio#s of retreat fou!# i! 'ost reli$ious, i! fasts a!# other purifiatio! rituals, i! the
i!itiatio! ere'o!ies of reli$ious or 'aso!i or#ers& e%e! of u!i%ersity soieties(
Illu'i!atio! 'ust be pree#e# by the or#eals of i!ubatio!(
Freu#ia!s a!# ?u!$ia!s alike e'phasi+e the i!ti'ate relatio! bet)ee! the sy'bolis' of
the Ni$ht ?our!ey& a!# the u!o!sious ra%i!$ for a retur! to the )o'b( The o!!etio! is
!o 'ore far"fethe# tha! our refere!es to ''other earth'& ''other oea!'& or ''other
hurh'(
Not o!ly #o )e speak of'>other Churh'& but e%e! of the ')o'b of the Churh'& a!# i! the
ere'o!y of the 'be!e#itio fo!tis' of the Catholi Churh the baptis'al fo!t is e%e! alle#
the 'i''aulatus #i%i!i fo!tis uterus' 1the i''aulate uteri!e fo!t of #i%i!ity2( ( ( ( 798
The 'ater!al aspet of the hurh is i'perso!ate# i! the 3ir$i! >ary( I! <o!!e's
'A!!u!iatio!'& the A!$el $reets her )ith0
That All& )hih al)ayes is All e%ery )here& :hih a!!ot si!!e& a!# yet all si!!es 'ust
beare& :hih a!!ot #ie& yet a!!ot huse but #ie& =oe& faithfull 3ir$i!& yeel#s hi'selfe to
lye I! priso!& i! thy )o'be, ( ( ( ( ( ( yea thou art !o) Thy >akers 'aker& a!# thy Fathers
'other, Thou 'hast li$ht i! #arke, a!# shutst i! little roo'e& I''e!sity loystere# i! thy
#eare )o'be(
The ra%i!$ for the )o'b& for the #issolutio! of the self i! a lost& %e$etati%e o!e!ess ""
Freu#'s Nir%a!a pri!iple "" is further sy'boli+e# i! the i'a$e of 'other oea! i! )hose
al' #epths all life ori$i!ates( >ytholo$y is full of these sy'bols "" the 'etaphors of the
olleti%e u!o!sious( Ho)e%er be)il#eri!$ they 'ay appear to the )aki!$ 'i!#& they are
fa'iliar to the #rea'er& a!# reur o!sta!tly i! the sleep of people )ho ha%e !othi!$ else i!
o''o!( The Ni$ht ?our!ey is the a!tipo#e of Pro'ethea! stri%i!$( O!e e!#ea%ours to
steal the bri$ht fire fro' the $o#s, the other is a sli#i!$ bak to)ar#s the pulsati!$
#ark!ess& o!e a!# u!#i%i#e#& of )hih )e )ere part before our separate e$os )ere for'e#(
Thus the Ni$ht ?our!ey is a re$ressio! of the partiipatory te!#e!ies& a risis i! )hih
o!sious!ess beo'es u!bor! "" to beo'e rebor! i! a hi$her for' of sy!thesis( It is o!e
'ore the proess of reculer pour mieux sauter, the reati%e i'pulse& ha%i!$ lost its beari!$
i! tri%ial e!ta!$le'e!ts& 'ust effet a retreat to reo%er its %i$our(
:ithout our re$ular& 'i!or !i$ht .our!eys i! sleep )e )oul# soo! beo'e %iti's of
'e!tal #esiatio!( <rea'i!$ is for the aesthetially u!#erpri%ile$e# the e/ui%ale!t of
artisti e-perie!e& his o!ly 'ea!s of self"tra!se!#e!e& of breaki!$ a)ay fro' the tri%ial
pla!e a!# reati!$ his o)! 'ytholo$y(
The ;uilt of ?o!ah
A'o!$ the 'a!y %ariatio!s of the Ni$ht ?our!ey i! 'yth a!# folklore& o!e of the 'ost
foreful is the s)ry of ?o!ah a!# the )hale "" perhaps beause i! !o a!ie!t i%ili+atio!
)as the te!sio! bet)ee! the Tra$i a!# Tri%ial pla!es 'ore i!te!sely felt tha! by the
Hebre)s( The first )as represe!te# by the e!#less suessio! of i!%asio!s a!# atastrophes&
the e-ati!$ prese!e of ?eho%ah a!# of his apoalypti prophets, the seo!# by the rare
perio#s of relati%ely !or'al life& )hih the o%er"stru!$ spiritual lea#ers of the tribe
o!#e'!e# as ab.et( ?o!ah ha# o''itte# !o ri'e )hih )oul# )arra!t his #rea#ful
pu!ish'e!t, he is #esribe# as a /uite or#i!ary a!# #ee!t fello) )ith .ust a streak of
!or'al %a!ity "" for he is& .ustifiably& '%ery a!$ry' )he!& i! the e!#& ;o# #oes !ot ra+e
Ni!e%eh as ?o!ah ha# prophesie# at His bi##i!$& a!# thus 'akes ?o!ah appear a! i'postor
or fool(
No) this %ery or#i!ary perso! reei%es at the be$i!!i!$ of the story ;o#'s su##e! or#er to
'$o to Ni!e%eh& that $reat ity& a!# ry a$ai!st it' "" )hih is a rather tall or#er& for ?o!ah is
!o professio!al priest or prophet( It is /uite u!#ersta!#able that he prefers to $o o! lea#i!$
his happy a!# tri%ial life( So& i!stea# of respo!#i!$ to the all fro' the Tra$i Pla!e& he
buys a passa$e o! a ship to Tarshish, a!# he has suh a lea! o!sie!e about it& that )hile
the stor' ra$es a!# the sailors ry 'e%ery 'a! u!to his $o#' a!# thro) the ar$o i!to the
sea& ?o!ah hi'self is fast asleep( A!# therei! "" i! his !or'ality& o'plae!y& i! his thik"
ski!!e# tri%iality a!# refusal to fae the stor'& a!# ;o#& a!# the orruptio! of Ni!e%eh, i!
his tur!i!$ his bak o! the tra$i esse!e of life "" preisely therei! lies his si!& )hih lea#s
to the risis& to the Ni$ht ?our!ey i! the belly of the )hale& i! 'the belly of hell'(
The )aters o'passe# 'e about& e%e! to the soul0 the #epth lose# 'e rou!# about& the
)ee#s )ere )rappe# about 'y hea# ( ( ( yet hast thou brou$ht up 'y life fro' orruptio!&
O =or# 'y ;o#( :he! 'y soul fai!te# )ithi! 'e I re'e'bere# the =or#0 a!# 'y prayer
a'e i! u!to thee( ( ( ( They that obser%e lyi!$ %a!ities forsake their o)! 'ery(
The story sou!#s i! fat like a! alle$ory of a !er%ous break#o)! a!# subse/ue!t spiritual
o!%ersio!( ?o!ah 'i$ht ser%e as a sy'bol for <i'itri Kara'a+o%& or a!y of the ou!tless
heroes of fitio! )ho pro$ress throu$h risis to a)ake!i!$( For I 'ust repeat that ?o!ah's
o!ly ri'e )as to li!$ to the Tri%ial Pla!e a!# to ulti%ate his little $ar#e!& tryi!$ to
i$!ore the u!o'fortable& u!.ust& terrible %oie fro' the other pla!e( >el%ille u!#erstoo#
this )he!& i! the $reat ser'o! i! N>oby <ik&N he 'a#e his preaher su' up the lesso! of
?o!ah a!# the )hale i! this u!ortho#o- 'oral0
:oe to hi' )ho seeks to pour oil upo! the )aters )he! ;o# has bre)e# the' i!to a $aleG
:oe to hi' )ho seeks to please rather tha! to appalG :oe to hi' )hose $oo# !a'e is 'ore
to hi' tha! $oo#!essG :oe to hi' )ho& i! this )orl#& ourts !ot #isho!ourG
A!# the author of the ?o!ah story hi'self 'ust ha%e bee! a)are of its %ast i'pliatio!s& of
the i'possibility of treati!$ all 'e! )ho lea# a! or#i!ary life as harshly as ?o!ah "" for the
story e!#s )ith a! u!usual at of le'e!y by the other)ise so %e!$eful #esert"$o#& )hih
o'es as a urious a!tili'a- full of iro!ial tolera!e for the i!a#e/uay of 'a!0
The! sai# the =or#( ( ( ( A!# shoul# I !ot spare Ni!e%eh& that $reat ity& )herei! are 'ore
tha! si- sore thousa!# perso!s that a!!ot #iser! bet)ee! their ri$ht ha!# a!# their left
ha!#0 a!# also 'uh attleE
The Root a!# the Flo)er
?ust as there is !o 'ytholo$y )ithout so'e 'e!tio! of the #eath a!# rebirth 'otif, so there
is har#ly a!y epoh i! )orl# literature )ithout so'e %ariatio! of it( >au# *o#ki! 7A8 has
'a#e a! e-hausti%e stu#y of its ourre!e i! )orks as )i#e apart as NThe A!ie!t
>ari!er&N >or$a!'s NThe Fou!tai!&N Eliot's NThe :aste =a!#&N a!# <( H( =a)re!e's *he
Plumed .erpent a!# *he &an "ho :ied( E%e! suh a! urba!e !o%elist as E( >( Forster has
i! eah of his fi%e !o%els o!e e!tral episo#e i! )hih the hero or heroi!e& )ho pre%iously
)alke# )ith self"assura!e o! the s'ooth surfae& see's to fall i!to a 'a!hole )ith its li#
off& a!# re"e'er$e as a ha!$e# harater "" like >rs( >oore& after her %isit to the pri'e%al
>arabar a%es( :ith the $reat Russia! !o%elists& risis a!# o!%ersio! is a e!tral the'e, i!
;er'a! literature o!e a! trae it fro' 1aust II to *he &agic &ountain( It pops up i! suh
u!e-pete# plaes as *he .hort Happy Life of 1rancis &acomber& or the last pa$e of *o
Have or Have 9ot, a!# it )as ele%ate# to a philosophy i! Kierke$aar#'s 1ear and
*rembling a!# i! Sartre's e-iste!tialist re#o0 'a! is )hat he 'akes out of his a!$uish& he
beo'es 'free' throu$h the reali+atio! of his !othi!$!ess(
Nee#less to say& !ot all $reat !o%els are "" or shoul# be "" 'proble' !o%els' ai'i!$ at us a
o!sta!t hea%y barra$e of the tra$i a!# the arhetypal, if they )ere& literature )oul# be
%ery 'o!oto!ous i!#ee#( *ut i!#iretly a!# i'pliitly e%ery $reat )ork of art has so'e
beari!$ o! 'a!'s ulti'ate proble's( Beats ha# a loathi!$ for 'those lear!e# 'e! )ho are a
terror to hil#re! a!# a! i$!o'i!ious si$ht i! lo%ers' eyes', beause 'Art bi#s us to touh
a!# taste a!# hear a!# see the )orl#& a!# shri!ks fro' )hat *lake alls 'athe'atial for'&
fro' e%ery abstrat thi!$(' A!# yet he k!e) better "" )he!& for i!sta!e& he e%oke# the
purely se!sual #eli$ht of Cleopatra #a!i!$ alo!e u!#er her 'topless to)ers'0
She thi!ks& part )o'a!& three parts a hil#& That !obo#y looks0 her feet Pratise a ti!ker's
shuffle Pike# up o! a street( =ike a lo!$"le$$e# fly upo! the strea' Her 'i!# 'o%es upo!
sile!e(
The refrai!& reurri!$ after eah of the three sta!+as of the poe'& o!!ets 1as the o!te-t
learly i!#iates2 Cleopatra's 'e#itatio!s #uri!$ her hil#ish #a!e )ith the 'o!u'e!tal
arhetype of the spirit of ;o# 'o%i!$ upo! the fae of the )aters(
A flo)er& e%e! if it is o!ly a #aisy& 'ust ha%e a root, a!# a )ork of art& ho)e%er $ay&
preious& or sere!e& is i! the last i!sta!e fe#& ho)e%er i!#iretly& i!%isibly& throu$h #eliate
apillary tubes& fro' the a!ie!t substrata of e-perie!e( If it has a hu'orous 'essa$e& it
pro#ues a s'ile "" a sub#ue# lau$h or sous%rire, if it is tra$i& it pro#ues a sous%pleurer&
that rapt still!ess a!# o%erflo)i!$ of e'otio! )here& to /uote <o!!e a$ai!& N)ith a stro!$&
sober thirst& 'y soule atte!#s(N
The Ti$htrope
The or#i!ary 'ortal i! our urba! i%ili+atio! 'o%es %irtually all his life o! the Tri%ial
Pla!e, o!ly o! a fe) #ra'ati oasio!s "" #uri!$ the stor's of puberty& )he! he is i! lo%e
or i! the prese!e of #eath "" #oes he fall su##e!ly throu$h the 'a!hole& a!# is tra!sferre#
to the Tra$i Pla!e( The! all at o!e the pursuits of his #aily routi!es appear as shallo)&
trifli!$ %a!ities, but o!e safely bak o! the Tri%ial Pla!e& he #is'isses the realities of the
other as the pro#uts of o%erstru!$ !er%es or a#olese!t effusio!s( Su##e! atastrophes ""
fa'i!es& )ars& a!# pla$ues "" 'ay shift a )hole populatio! fro' the Tri%ial to the Tra$i
Pla!e, but they soo! suee# i! ba!ali+i!$ e%e! tra$e#y itself& a!# arry o! busi!ess as
usual a'o!$ the sha'bles( <uri!$ the Spa!ish Ci%il :ar& o!e of 'y fello) priso!ers& a
youth o!#e'!e# to #eath by shooti!$& a!# sufferi!$ fro' appe!#iitis& )as put o! a 'ilk
#iet t)o #ays before his e-eutio!(
The fore of habit& the $rip of o!%e!tio!& hol# us #o)! o! the Tri%ial Pla!e, )e are
u!a)are of our bo!#a$e beause the bo!#s are i!%isible& their restrai!ts ati!$ belo) the
le%el of a)are!ess( They are the olleti%e sta!#ar#s of %alue& o#es of beha%iour& 'atries
)ith built"i! a-io's& )hih #eter'i!e the rules of the $a'e& a!# 'ake 'ost of us ru!& 'ost
of the ti'e& i! the $roo%es of habit "" re#ui!$ us to the status of skille# auto'ata )hih
*eha%iouris' prolai's to be the o!ly o!#itio! of 'a!( :hat *er$so! alle# 'the
'eha!ial e!ruste# o! the li%i!$' is the result of protrate# o!fi!e'e!t to the Tri%ial
Pla!e(
*ut& $lory be& 'a! is !ot a flat"earth #)eller all the ti'e "" o!ly 'ost of the ti'e( =ike the
u!i%erse i! )hih he li%es& he is i! a state of o!ti!uous reatio!( The e-ploratory #ri%e is
as fu!#a'e!tal to his !ature as the pri!iple of parsi'o!y )hih te!#s to)ar# the
auto'ati+atio! of skille# routi!es, his !ee# for self"tra!se!#e!e as basi as the !eessity
of self"assertio!, lastly& )e shall see that the reculer pour mieux sauter of the reati%e at
itself has its e%olutio!ary pree#e!ts i! the phe!o'e!a of or$a!i re$e!eratio! a!# i! the
'ori$i!al a#aptatio!s' of )hih a!i'als are apable i! a risis(
=ife o! the Tri%ial Pla!e is a state of u!!otie# o!fi!e'e!t "" but also a o!#itio! of
soial a!# i!telletual stability( The belly of the )hale a!!ot be 'a#e i!to a per'a!e!t
resi#e!e( Neither e'otio!ally& !or i!telletually& a! )e affor# to li%e for 'ore tha! brief
tra!sitio! perio#s o! the Tra$i Pla!e& surrou!#e# by arhetypes a!# Ulti'ates(
E'otio!ally& it )oul# 'ea! the .our!ey of !o retur! of *lake "" or of the Bo$i e!teri!$ i!to
fi!al sa'a#hi( I!telletually& it )oul# 'ea! the ab#iatio! of reaso!( For the e!tities
e!ou!tere# o! that pla!e& the 'e'bers of its 'atri- "" eter!ity& i!fi!ity& ulti'ate auses&
arhetypal para#o-es "" are irre#uible absolutes )hih #o !ot le!# the'sel%es to lo$ial
'a!ipulatio!( They #isrupt all ratio!al operatio!s& as the 'athe'atial sy'bols for !ou$ht
a!# the i!fi!ite #o if i!tro#ue# i!to a fi!ite e/uatio!( >alrau-'s 'u!e %ie !e %aut rie! ""
'ais rie! !e %aut u!e %ie' is a perfet e-pressio! of this( The physiist a! #eal )ith i!fi!ite
spae i! a! abstrat sy'bol"la!$ua$e& but i! or#i!ary e-perie!e it is .ust the i!fi!ite& a
thi!$ that passeth u!#ersta!#i!$& a!# there the 'atter e!#s(
Absolutes are too i!hu'a! a!# elusi%e to ope )ith& u!less they are o!!ete# )ith so'e
e-perie!e i! the ta!$ible )orl# of the fi!ite( I! fat& eter!ity is a pretty 'ea!i!$less !otio!
"" u!less it is 'a#e to look throu$h the )i!#o) of ti'e( 'I''e!sity' is a bore "" u!less it is
'loystere# i! thy #eare )o'be'( The absolute beo'es e'otio!ally effeti%e o!ly if it is
bisoiate# )ith so'ethi!$ o!rete "" #o%etaile#& as it )ere& i!to the fa'iliar( The rai! of
'a!!a o! the hil#re! of Israel )hih laste# forty years )as a! at of i!o'prehe!sible
#i%i!e lar$esse )hih& as )e lear! fro' E-o#us& #i# !ot partiularly i'press the', the
'irale of the loa%es a!# fishes )as a true 'irale(
:here the Tra$i a!# Tri%ial Pla!es 'eet& the Absolute beo'es hu'a!i+e#& #ra)! i!to
the orbit of 'a!& )hile the ba!al ob.ets of #aily e-perie!e are tra!sfi$ure#& surrou!#e# by
a halo as it )ere( The 'eeti!$ 'ay ha%e the 'a.esty of a! i!ar!atio! )here the lo$os
beo'es flesh, or the har' of Krish!a's #ese!t to #ally )ith the shepher#esses( O! a less
a)e"i'piri!$ sale& the tra$i a!# the tri%ial 'ay 'eet i! $ol#e! la#s a!# hi'!ey"s)eeps,
i! the petrifie# boot )hih the Po'peia! boot"'e!#er hol#s i! his petrifie# ha!#, i! the
slie of pi$'s ki#!ey )hih *loo' fi!$ers i! his poket #uri!$ the fu!eral ser%ie( =aplae
re$ar#e# it as the ulti'ate ai' of sie!e to #e'o!strate fro' a si!$le $rai! of sa!# the
''eha!is of the )hole u!i%erse'(
The locus in +uo of hu'a! reati%ity is al)ays o! the li!e of i!tersetio! bet)ee! t)o
pla!es, a!# i! the hi$hest for's of reati%ity bet)ee! the Tra$i or Absolute& a!# the
Tri%ial Pla!e( The sie!tist #iso%ers the )orki!$ of eter!al la)s i! the ephe'eral $rai! of
sa!#& or i! the o!tratio!s of a #ea# fro$'s le$ ha!$i!$ o! a )ashi!$"li!e( The artist ar%es
out the i'a$e of the $o# )hih he sa) hi##e! i! a piee of )oo#( The o'e#ia! #iso%ers
that he has k!o)! the $o# fro' a plu'"tree(
This i!terlai!$ of the t)o pla!es is fou!# i! all $reat )orks of art& a!# at the ori$i! of all
$reat #iso%eries of sie!e( The artist a!# sie!tist are o!#e'!e# "" or pri%ile$e# "" to
)alk o! the li!e of i!tersetio! as o! a ti$htrope( At his best 'o'e!ts& 'a! is 'that $reat
a!# true a'phibiu'& )hose !ature is #ispose# to li%e& !ot o!ly like other reatures i! #i%ers
ele'e!ts& but i! #i%i#e# a!# #isti!$uishe# )orl#s'(
C( 3ISUA= ;REATION
HHI
>OTIF AN< >E<IU>
=ooki!$ at Nature
Kepler& o!te'plati!$ a s!o)"rystal 'elti!$ o! his al)ays s)eaty pal'& sa) i! it the
har'o!y of the spheres reflete# 'i!iature( =et a less ro'a!tially #ispose# perso! look
for the first ti'e at a s!o)flake u!#er a 'irosope0 he )ill ath his breath a!# )a-
e/ually lyrial0 'Ho) stra!$e "" ho) beautiful "" ho) le%er is !ature'& et etera( Bet the
sy''etrial patter! of he-a$o!s thus 'ar%ellously re%eale#& loses all its 'a$i )he!
#ra)! o! a #ra)i!$"boar#( It beo'es aesthetially !eutral for lak of a seo!# o!te-t ""
the fa'iliar si$ht of the feathery s!o)flake( It is the superi'positio! of the t)o 'atries ""
the tri%ial ob.et re%eali!$ the 'athe'atial re$ularity of its 'iro"os'i arhiteture ""
)hih reates the i'pat& a!# $i%es rise to the aestheti e-perie!e(
:hether O#ysseus sa) i! the sky at #a)! 'rosy"fi!$ere# Athe!e lift her $ol#e! ray'& or
)hether you share the sorro) of the )eepi!$ )illo)& there is i!e%itably a seo!# fra'e of
refere!e superi'pose# o! the piture( >a! al)ays looks at !ature throu$h oloure#
$lasses "" throu$h 'ytholo$ial& a!thropo'orphi& or o!eptual 'atries "" e%e! )he! he
is !ot o!sious of it a!# belie%es that he is e!$a$e# i! 'pure %isio!'& u!sullie# by a!y
'ea!i!$( The 'i!!oe!t eye' is a fitio!& base# o! the absur# !otio! that )hat )e perei%e
i! the prese!t a! be isolate# i! the 'i!# fro' the i!flue!e of past e-perie!e( There is !o
pereptio! of 'pure for'' but 'ea!i!$ seeps i!& a!# settles o! the i'a$e 1thou$h the
'ea!i!$ !ee# !ot be e-presse# i! %erbal la!$ua$e& about )hih 'ore later2(
The i#ea that looki!$ at !ature is self"re)ar#i!$& a!# that la!#sapes #e%oi# of atio! a!
$i%e rise to aestheti e-perie!es& is of relati%ely ree!t ori$i!, so is la!#sape pai!ti!$(D
<r( ?oh!so! re$ar#e# 'ou!tai!s as 'rather u!outh ob.ets', i! the literature of the
ei$htee!th e!tury preipies )ere bra!#e# as 'fro)!i!$' a!# 'horri#'( 748 The further )e $o
bak i! ti'e the less appreiatio! )e fi!# of the purely %isual aspets of for' a!# olour i!
i!a!i'ate !ature0
Co!si#eri!$ the bulk a!# %alue of ;reek literature& a!# the artisti brillia!e of Athe!s& the
feeli!$ for !ature ( ( ( )as but poorly #e%elope# a'o!$ a people )hose ahie%e'e!t i! the
#ra'ati a!# sulptural arts has bee! u!surpasse#, it is seriously laki!$ i! Ho'er& e%e!
)he! he refers to the sea or to the fa'ous $ar#e! of Ali!ous& a!# it a! har#ly be sai# to
e!ter ;reek #ra'a sa%e i! the Oedipus at olonnus a!# i! so'e of the lyrial horuses of
Euripi#es( I!#ee#& the o!ti!e!t of !ature ha# to )ait for a thorou$h a!# 'i!ute e-ploratio!
u!til the ro'a!ti 'o%e'e!t of the !i!etee!th e!tury0 *yro!& Shelley& :or#s)orth&
;oethe& first brou$ht the oea!& the ri%ers& a!# the 'ou!tai! ra!$es i!to their o)!( ( ( ( For
pri'iti%e 'a! earth a!# sea are si'ply the pere!!ial soure of those 'aterial $oo#s o!
)hih life #epe!#s& a!# 'ou!tai! peaks are u!i!teresti!$ a!# u!attrati%e beause they are
barre! a!# bleak 1=isto)el2( 798
The sa'e oul# be sai# about the u!#erpri%ile$e# lasses a!# !atio!s i! our o)! ti'e( The
peasa!ts i! the alpi!e %illa$e )here I li%e i! su''er !e%er ease to 'ar%el at the silli!ess
of tourists )ho talk about the 'beauty' of the 'ou!tai!s "" )hih to the' 'ea!s so 'uh
ti'ber& pasture& a!# hay( Tra%elli!$ i! I!#ia o!e is a'a+e# by the i!#iffere!e& e%e! a'o!$
the e#uate# lasses& to)ar#s la!#sape a!# se!ery& bir#s a!# pla!ts(
All this #oes !ot 'ea! that earlier i%ili+atio!s #eri%e# !o e'otio!al e-perie!es fro'
!ature( *ut they )ere #eri%e# fro' #iffere!t soures0 the super!atural po)ers a!# 'a$i
fores )hih a!i'ate# the %isible )orl#( The *abylo!ia!s populate# the starry hea%e!s
)ith lio!s& %ir$i!s& a!# sorpio!s( The Siilia! straits )ere to the ;reeks !ot a la!#sape
but the seats of Sylla a!# Charyb#is( To Ho'er& a stor' at sea si$!ifie# the a!$er of
Posei#o!, to >r( *abitt it si$!ifies the 'a.esty of !ature& a %a$uely perso!ali+e# Po)er
'a!ifeste# i! the spetale before his eyes( *here is always a second matrix active behind$
or superimposed upon$ the visual appearance. The behol#er 'ay be o!%i!e# that he is
si'ply perei%i!$ i'a$es o! his reti!a& but he is i! fat perei%i!$ )ith the )hole of his
brai!, a!# )hat he sees is 'o#ifie# by the pereptual o#es )hih operate i! it& reso!a!es
of his raial a!# perso!al past& floati!$ i'a$es of touh a!# s'ell& e%e! ki!estheti
se!satio!s or i!ipie!t 'usular stresses( :he! a! appeara!e $i%es rise to a! aestheti
e-perie!e& it al)ays represe!ts or sy'boli+es or e-presses so'ethi!$ behi!# a!# beyo!#
its reti!al i'a$e "" e-atly as the pi$'e!t o! a a!%as al)ays refers to so'ethi!$ beyo!#
its fra'e(
A hu'a! fae is also a! ob.et of !ature& a la!#sape of li%e tissue( To e%oke aestheti
feeli!$& it 'ust poi!t at so'ethi!$ beyo!# itself i! the behol#er's 'i!#( The a!alo$ue of the
s!o)"rystal is here that saffol#i!$ of perfet sy''etry a!# proportio!s& )hose
$eo'etrial la)s the pai!ters of ;reee a!# the Re!aissa!e tirelessly pursue#( The $ol#e!
setio! a!# other basi proportio!s )ere thou$ht to be the ulti'ate o!stitue!ts of or$a!i
for' "" as the Pytha$orea! sale of 'usi )as thou$ht to re$ulate the hea%e!ly 'otio!s&
a!# as si'ple $eo'etrial u!its& the arhitet's ele'e!tary ''o#ules'& o'bi!e# to 'ake
;othi athe#rals( The philosophers of lassiis'& fro' Pli!y to =eo!ar#o a!# <Srer& sa)
beauty )here%er 'ortal flesh testifie# to the i''ortal a-io's of Euli#ea! $eo'etry(
Ho)e%er& the i#eal to )hih the bloate# 3e!us of :ille!#off testities )ith her pe!#ulous
breasts a!# e!or'ous hips& is !ot Euli#& but the $o##ess of Fertility( Our )hole 'a!!er of
perei%i!$ the hu'a! fra'e #epe!#s o! our i#eas about its purpose or fu!tio! "" o! the
seleti%e o#e )hih #eter'i!es our riteria of si$!ifia!e a!# patter!s our %isio!( I a'
usi!$ here the )or# 'fu!tio!' i! the #itio!ary se!se& as referri!$ to a ''o#e of atio! by
)hih 7a thi!$8 fulfils its purpose'( The #efi!itio!& of ourse& takes it for $ra!te# that )e
k!o) )hat the purpose of the thi!$ i! /uestio! is( No) if the thi!$ is a rail)ay e!$i!e& the
a!s)er is lear, but the purpose of the thi!$ alle# a hu'a! bo#y is ope! to %arious
i!terpretatio!s( A!# aor#i!$ to the i!terpretatio! of hu'a! purpose )hih )e aept& our
i#eas )ill ha!$e& a!# our 'a!!er of seei!$ the hu'a! bo#y i! its fu!tio!al aspet )ill
ha!$e aor#i!$ly( I! the #ra)i!$s of so'e lu!atis& a#olese!ts& la%atory artists& a!#
tribes'e!& the #o'i!a!t fu!tio!al aspet is sho)! by a hu$e $e!ital part& )hile the
re'ai!#er of the bo#y is o!ly i!#iate# by a skethy outli!e( O! E$yptia! )all"pai!ti!$s
a!# reliefs& o!%e!tio!ali+e# a!# she'ati+e# fi$ures are sho)! fu!tio!i!$ as fisher'e!&
hu!ters& buil#ers& ser%a!ts& or parts of a state proessio!( The si+e of the fi$ures is usually
proportio!ate to their ra!k "" !ot to bo#ily but to soial stature, 'ale ski! is pai!te# #ark
bro)!& fe'ale ski! pale yello), the o#e )hih pro%i#es the riteria of rele%a!e is !ot
%isual but o!eptual( For three thousa!# years the sulptors a!# pai!ters of E$ypt
pro#ue# !o ori$i!al #iso%eries i! the teh!i/ue of %isual represe!tatio!( They ha# !o
%isual uriosity( I! its i!#iffere!e to olour& 'o%e'e!t& hu'a! a!ato'y& E$yptia! pai!ti!$
)as 'ore si!$le"'i!#e#ly fu!tio!al tha! a!y before or after, but 'fu!tio!' )as #efi!e# as
soial fu!tio!& a perso!'s ra!k a!# oupatio! i! the soial hierarhy( Apart fro' that&
i!#i%i#uals are i!terha!$eable& )ithout perso!al i#e!tity& a!# their appeara!e #e%oi# of
i!terest(
I! the $ol#e! a$e of ;reek art& the hu'a! bo#y )as see! i! a totally #iffere!t aspet& that
of its physical fu!tio!0 i! thro)i!$ a #is& tyi!$ a sa!#al& or si'ply lifti!$ a! ar', %isio!
is attu!e# to $eo'etrial proportio!& to the play a!# o"or#i!atio! of 'usles a!# .oi!ts,
a!# by the riterio! of a perfet physi/ue& )ith faial e-pressio!s li'ite# to types& the ur%e
of the buttoks beo'es as i'porta!t a!# e-pressi%e as the ur%e of the bro)( A$ai!& i!
*y+a!ti!e pai!ti!$ the hu'a! bo#y fu!tio!s as a! i!#iffere!t& a!# ofte! a)k)ar#& shell of
the spirit, a!# if the spirit o''a!#s the sai!t to be!# his hea# bak a!# $a+e rapturously
i!to the sky& the artist has !o /ual's i! breaki!$ his !ek a!# letti!$ the bo#y float up)ar#
)ith all li'bs out of .oi!t( The Re!aissa!e o!e 'ore $a%e the bo#y its #ue, a!# i! the
e!turies that follo)e# it bea'e the arrier of a! i!#i%i#ual hea#& a!# he!e of a!
e-pressio! a!# 'oo#( For the ourtiers of =ouis H3& the pri!ipal fu!tio! of hu'a! bo#ies
)as to play& suitably o%ere# a!# u!o%ere#& hi#e"a!#"seek bet)ee! trees a!# bos/uets&
a!# to fall i!to eah other's ar's( For the i'pressio!ist pai!ter& the fu!tio! of the bo#y is
to #e'o!strate the i'per'a!e!e of appeara!es i! the lu'i!ous blur of olours, for the
ubist& to pro%e ;o#'s prefere!e for ubes, a!# so o!(
:hih aspets of reality #o'i!ate the %isual 'atri- of a ulture or $roup #epe!#s
ulti'ately o! its o!eptio! of the purpose a!# 'ea!i!$ of e-iste!e( Aor#i!$ly& its
!or's of beauty )ill al)ays reflet the arhetype of so'e ki!# of fu!tio!al perfetio!0 the
ri$i# #i$!ity of Pharaoh& throu$h )hose eyes eter!ity looks i! sto!y sile!e at ti'e, the
play of 'usles i! the ;reek a#olese!t's perfet a!ato'y, the spirituality i! the
tra!sfi$ure# fae of the *y+a!ti!e 'a#o!!a, the har'o!ious resolutio! of the bo#y i!to
Euli#ea! for's& or a path)ork of oloure# blobs( :hihe%er aspet is #o'i!a!t& its
'atri- ats as a ki!# of optial polarisope& throu$h )hih the partiular appeara!e is see!
as a thi!$ of $e!eral si$!ifia!e& a! e'bo#i'e!t of so'e u!i%ersal la) or 'ea!i!$(
Pi$'e!t a!# >ea!i!$
Abstrat pai!ti!$ is a 'is!o'er& a o!tra#itio! i! ter's as 'pitorial philosophy' )oul# be(
The o!ept of .ustie is a! abstratio!( The o!ept of a s/uare is a! abstratio!( A piture
of Solo'o! 'eti!$ out .ustie is o!rete( *ut the piture of a blue s/uare o! a yello)
$rou!# is e/ually o!rete(
'No!"represe!tatio!al art' a!# 'e-pressio!ist art' are ser%ieable labels for ertai! styles of
pai!ti!$, but if they are suppose# to #esribe a philosophy or a pro$ra''e& they are
e/ually 'islea#i!$ a!# a! reate o!ly o!fusio!( A patter! of pi$'e!t o! a!%as al)ays
'ea!s& or e-presses& or represe!ts so'ethi!$ )hih is !ot the a!%as plus pi$'e!t(
Ho)e%er& it #oes !ot represe!t ob.ets or e%e!ts& but the artist's 'e!tal e-perie!es or
i'a$i!i!$s of the !ature& auses& shape& a!# olour of ob.ets a!# e%e!ts( It #oes !ot
represe!t a 'o#el& but the artist's %isio! of the 'o#el, !ot a you!$ la#y alle# =isa& but the
)ay =eo!ar#o sa) his =isa( It i!%ites the spetator to share a! e-perie!e )hih the artist
ha#, it pro%i#es hi' )ith a! illusio! "" !ot the illusio! of seei!$ a thi!$& but the illusio! of
seei!$ throu$h the artist's eyes( :ithout that illusio! there )ill be !o respo!se& a!# the
spetator )ill behol# the a!%as throu$h the eyes of a #ea# fish(
Art )as al)ays 'e-pressio!ist' i! the le$iti'ate se!se of the )or#0 it e-presse# a sub.eti%e&
biasse# %isio! "" e%e! if the artist #elu#e# hi'self i!to belie%i!$ that he )as 'opyi!$
!ature'( A!# pi$'e!t o! a!%as al)ays 'represe!ts' so'ethi!$ outsi#e its fra'e "" for
i!sta!e the i'pat of a $ree! arro) o! the blue s/uare )he! plae# !e-t to it o! the
yello) $rou!#( That i'pat #oes !ot take plae o! the a!%as& but i! the artist's 'i!#& a!#
i! the behol#er's 'i!#( The pi$'e!t of the blue s/uare re'ai!e# stati a!# u!ha!$e#( *ut
i! the behol#er's eye its olour& shape& a!# )ei$ht ha%e u!#er$o!e a #y!a'i ha!$e( To
pro#ue this illusio!ary ha!$e )as the artist's i!te!tio!, it is as if he )ere sayi!$0 =ook
)hat 'y $ree! arro) a! #o to 'y blue s/uare( The a!%as e-presses or represe!ts a! i#ea
i! the artist's hea#& a!# if all $oes )ell it )ill ause a si'ilar e-perie!e to our i! the
behol#er's hea#0 he )ill rea# so'ethi!$ i! the piture )hih stritly speaki!$ is !ot there(
Apolo$ies for the pe#a!ti #e'o'tratio!& but o!e has to re%ert to ele'e!tary issues to
esape the 'u##le reate# by the )riti!$s of so'e e-pressio!ists a!# a!ti"
represe!tatio!alists(
>uh of this o!fusio! 1as i! other i'passio!e# o!tro%ersies i! the past2 is #ue to the fat
that %isual e-perie!es a!!ot be tra#ue# i!to %erbal state'e!ts )ithout sufferi!$ 'a.or
i'po%erish'e!t a!# #istortio!( All %erbal a!alysis te!#s to 'ake i'pliit& part"o!sious
e-perie!es e-pliit a!# fully o!sious "" a!# to #estroy the' i! the proess( There see's
to e-ist a ki!# of biolo$ial ri%alry bet)ee! the eye a!# the %oal or#s& epito'i+e# by the
pai!ter puffi!$ at his pipe i! o!te'ptuous sile!e )hile the $arrulous art"riti is hol#i!$
forth( :e al)ays see a )ork of !ature or art 'i! ter's of' a seleti%e 'atri- $o%er!e# by this
or that riterio! of si$!ifia!e, but these 'ter's' are !ot %erbal ter's& a!# if )e atte'pt to
%erbali+e the' the result is u!a%oi#ably a $ross 'lu'sifiatio!' "" a 'e#ley of lihTs a!#
psyholo$ial .ar$o!( The 'atri- 'ay arry e'oti%e ehoes of so'e arhetypal e-perie!e&
but our %oabulary is e-tre'ely poor )here e'otio!s are o!er!e#( If )e say that it
respo!#s to the si$ht of the oea! )ith assoiatio!s of 'eter!ity'& 'i!fi!ity'& a!# so forth& this
sou!#s as if )e )ere referri!$ to verbal assoiatio!s( Suh )or#s may prese!t the'sel%es
to the 'i!#& but )or#s are the least i'porta!t part of the e-perie!e& a!# #etrat fro' rather
tha! a## to its %alue( :e a!!ot help usi!$ )or#s i! referri!$ to proesses )hih i! the
liste!er's 'i!# are !ot rystalli+e# i!to )or#s( The alter!ati%e is to say a rose is a rose is a
rose& a!# lea%e it at that(
A!other #iffiulty is that at 'o'e!ts of i!te!se aestheti e-perie!e )e see !ot o!ly )ith
our eyes but )ith the )hole bo#y( The eyes sa!& the orte- thi!ks& there are 'usular
stresses& i!!er%atio!s of the or$a!s of touh& se!satio!s of )ei$ht a!# te'perature& %iseral
reatio!s& feeli!$s of rhyth' a!# 'otio! "" all suke# i!to o!e i!te$rate# %orte-( A literary
!arrati%e or a piee of 'usi u!fol#s i! sta$es& but i! a still"life ti'e is fore"shorte!e# as it
)ere& a!# by taki!$ it i! )ith a si!$le s)eep of the eye 1or so it see's2 this 'ultitu#e of
e-perie!es ble!#s i!to o!e !ear"si'ulta!eous proess& so that it is e-tre'ely #iffiult to
sort out the %arious ele'e!ts )hih )e!t i!to its 'aki!$( The trouble )ith e-plai!i!$
%isual beauty& a!# also its fasi!atio!& is that so 'uh is happe!i!$ at the sa'e ti'e(
The T)o E!%iro!'e!ts
:hat is happe!i!$ is& put i!to our .ar$o!& a series of bisoiati%e proesses i!%ol%i!$ the
partiipatory e'otio!s(
At the base of the series )e a$ai! fi!# illusion "" the 'a$i tra!sfor'atio! of the ar%e#
tree i!to a $o#( The pai!te# 'ask& the ar%e# i#ol& are perei%e# at the sa'e ti'e as )hat
they are a!# )hat they represe!t( The )ith"#otor )orks his e%il spell by stiki!$ a !ee#le
i!to the ra$"#oll represe!ti!$ the %iti', the a%e"artist of Alta'ira 'a#e sure of a ple!tiful
supply of 'eat by populati!$ the rok )ith pai!te# biso! a!# )il# horses(
To those )ith !aQ%e tastes& illusio! i! itself is suffiie!t to e%oke aestheti e-perie!e& a!#
'life"like!ess' is re$ar#e# as the supre'e riterio! of art( As 'e!tio!e# before& e%e!
=eo!ar#o )rote 'that pai!ti!$ is 'ost praise)orthy )hih is 'ost like the thi!$
represe!te#'( Ho)e%er& the ''ost like' has a! i!fi!ite !u'ber of i!terpretatio!s "" a!# that
for t)o soli# reaso!s0 the limitations of the medium a!# the pre.u#ies of %isio! ( The ra!$e
of lu'i!osity i! the pai!ter's pi$'e!t is o!ly a fratio! of that of !atural olours, the area
o! the a!%as o!ly a fratio! of the %isual fiel#, its oarse $rai! a! ao''o#ate o!ly a
fratio! of fi!e #etail, it laks the #i'e!sio! of #epth i! spae& a!# 'otio! i! ti'e( 1E%e! a
photo$raph is far fro' bei!$ a true like!ess, apart fro' its ob%ious li'itatio!s of olour
a!# li$ht"se!siti%ity& it i!reases the ratio of foal to peripheral %isio! about a hu!#re#fol#
"" )hih 'ay be o!e of the reaso!s )hy !ature is so 'uh prettifie# o! piture postar#s(2
He!e the pai!ter is fore# to heat& to i!%e!t triks& to e-a$$erate& si'plify& a!# #istort i!
or#er to orret the #istorti!$ effets of the 'e#iu'( The )ay he heats& the triks he uses&
are partly #eter'i!e# by the re/uire'e!ts of the 'e#iu' itself "" he 'ust thi!k 'i! ter's of'
sto!e& )oo#& pi$'e!t& or $ouahe "" but 'ai!ly by the i#iosy!rasies of his %isio!0 the
o#es )hih $o%er! the 'atries of his pereptio!( :hether >a!et's i'pressio! of 'The
Raes of =o!$ha'p' looks 'ore 'life"like' tha! Frith's aa#e'ially 'etiulous '<erby
<ay' #epe!#s e!tirely o! the behol#er's spetales( A! artist a! opy i! plaster& up to a
poi!t& a Ro'a! opy of a ;reek bro!+e hea#, he a!!ot 'opy' o! a!%as a ru!!i!$ horse(
He a! o!ly reate a! appeara!e )hih& see! i! a ertai! li$ht& at a ertai! #ista!e& i! a
ertai! 'oo#& )ill su##e!ly a/uire a life of its o)!( It is !ot a opy& but a 'etaphor( The
horse )as !ot a model& but a motif for his reatio! "" i! the se!se i! )hih the la!#sape
pai!ter looks for a ro'a!ti or pastoral 'otif(
I! the ter'i!olo$y of beha%iourist psyholo$y )e )oul# ha%e to say that looki!$ at the
'o#el o!stitutes the 'sti'ulus'& a!# putti!$ a #ab of pai!t o! the a!%as the 'respo!se' ""
a!# that is all there is to it( *ut the t)o ati%ities take plae o! t)o #iffere!t pla!es( The
sti'ulus o'es fro' o!e e!%iro!'e!t "" the outer )orl#0 the respo!se ats o! a #iffere!t
e!%iro!'e!t0 a s/uare surfae( The t)o e!%iro!'e!ts obey t)o #iffere!t sets of la)s( A!
isolate# brush"stroke #oes !ot represe!t a! isolate# #etail( There are !o poi!t"to"poi!t
orrespo!#e!es bet)ee! the t)o pla!es of the 'otif a!# the 'e#iu', they are bisoiate#
as )holes i! the artist's 'i!#(
3isual I!fere!es
O!e the artist has a/uire# suffiie!t teh!ial skill to #o )ith his 'aterial 'ore or less
)hat he likes& the /uestio! )hat he likes& i(e( )hat aspets of reality he o!si#ers rele%a!t&
beo'es all"i'porta!t( I! other )or#s& of the t)o %ariables I 'e!tio!e# "" the li'itatio!s of
the 'e#iu'& a!# the pre.u#ie# eye behol#i!$ the 'otif& the first a! be re$ar#e#& )ithi! a
$i%e! shool& as relati%ely stable& a!# )e a! o!e!trate our atte!tio! o! the seo!#( There
a! be !o u!pre.u#ie# eye for the si'ple reaso! that %isio! is full of a'bi$uities& a!# all
pereptio!& as )e sa)& is a! i!fere!tial o!strutio! )hih proee#s o! %arious le%els& a!#
'ost of it u!o!siously 1f( pp( AF"662( The visual constancies 1p( 6A2 )hih e!able us to
perei%e ob.ets as stable i! shape& si+e& olour& et(& i! spite of their u!stable& e%er"
ha!$i!$ appeara!es are a first step i! the i!terpretatio! of our o!fusi!$& a'bi$uous
reti!al i'a$es( They are auto'ati skills& partly i!!ate& 'ostly lear!e# i! early hil#hoo#(
The proess is re%erse# i! so'e of the so"alle# optial illusio!s )here the u!o!sious
o#e $o%er!i!$ preeptio! #ra)s the )ro!$ i!fere!es i! a! u!usual situatio!( *ut e%e!
these pri'iti%e 'eha!is's& )hih !or'ally fu!tio! belo) the le%el of a)are!ess& a!
su##e!ly beo'e a proble' i! i!terpretatio! for the pai!ter( I ha%e 'e!tio!e# 1p( 6A2 that
o)i!$ to the 'eha!is' of bri$ht!ess"o!sta!y a blak $lo%e looks as blak i! su!li$ht as
i! the sha#e "" u!til you look at it throu$h a re#utio! sree! i! the e-peri'e!tal laboratory
or throu$h the i'pressio!ist pai!ter's rooke# i!#e-"fi!$er( The %arious o!sta!ies are
u!o!sious i!fere!es )e #ra) to 'ake se!se of our se!satio!s& to le!# stability to the
u!stable flu- of appeara!es( They tra!sfor' )hat the eye sees so as to suit the
re/uire'e!ts of reaso!& of )hat )e k!o) about the e-ter!al )orl#( *et)ee! the reti!a a!#
the hi$her e!tres of the orte- the i!!oe!e of %isio! is irretrie%ably lost "" it has
suu'be# to the su$$estio! of a )hole series of hi##e! persua#ers(

Perceptual pro5ection& )hih I ha%e alrea#y 'e!tio!e# 1p( 95I2& is o!e of the'0 the
u!o!sious 'eha!is' )hih 'akes us pro.et e%e!ts& loate# i! the brai!& i!to a #ista!e
of yar#s or 'iles 1as oppose# to the #a++li!$ flashes )hih are 'orretly' loate# o! the
reti!a2( 1oreshortening a!# perspective are o!siously a##e# t)ists to u!o!sious
pro.etio! "" like se!satio!s i! a pha!to'"li'b0 the flat a!%as is the a'putatio! stu'p(
1The a!alo$y is atually /uite preise0 pai!& too& is loate# i! the brai!& but pro.ete# to the
lous of the i!.ury, the phe!o'e!o! of the pha!to'"li'b is a seo!#ary pro.etio!(2

Pro5ective empathy is a!other hi##e! persua#er )hih I ha%e briefly 'e!tio!e# before 1p(
95@2( 3er!o! =ee 7A8 re$ar#e# aestheti e-perie!e as pri'arily #eri%e# fro' 'the
attributio! of our o)! 'oo#s of #y!a'i e-perie!e& 'otor i#eas& to shapes( :e attribute
to li!es !ot o!ly bala!e& #iretio!& %eloity& but also thrust& strai!& feeli!$& i!te!tio!& a!#
harater(' ?ae!sh has bee! able to #e'o!strate i! a fasi!ati!$ series of e-peri'e!ts that
the ei#eti i'a$e 1p( A6@2 of a strai$ht hori+o!tal li!e )ill e-pa!# o!si#erably i! le!$th ifa
pull is e-erte# o! the hori+o!tally outstrethe# ar's of the sub.et( 768 A!# %ie %ersa& the
se!satio! of the sa!!i!$ 'otio!s perfor'e# by the eye& a!# of other subli'i!al 'usle"
i'pulses a!# stresses "" !ot to 'e!tio! *ere!so!'s 'tatile %alues'& the 'feel' of te-ture "" all
i!terfere )ith pereptio!(

A$ai!& the pai!ter a! o!siously e-ploit these u!o!sious proesses& a!# $i%e the' a!
a##e# t)ist( I! Seurat's '#i%isio!ist' theory& hori+o!tal a!# '$e!tly' ase!#i!$ li!es& as )ell
as 'ool' olours o!%ey a 'oo# of al' a!# o!te!t& 's)ift' a!# 'a!i'ate#' li!es a!# ')ar''
olours 'ake for $aiety& a!# so o!( 1The a#.eti%es i! /uotes ha%e beo'e so urre!t that
)e te!# to o%erlook their sy!estheti ori$i!2( ?ua! ;ris& thou$h ertai!ly far re'o%e# fro'
Seurat's !eo"i'pressio!is'& talke# i! the sa'e %ei! of 'e-pa!si%e' a!# 'o!tratile' for's&
of the physiolo$ial effets of %arious types of sy''etry( 7I8 The theori+i!$s of the
'abstrats' are !ot at all !e)( =i!ear rhyth'& hro'ati har'o!ies& a!# their o'bi!e#
effets ha%e al)ays playe#& o!siously or u!o!siously& a! i'porta!t part( I! !o!"
fi$urati%e pai!ti!$ the 'otifs are& i!stea# of a la!#sape a!# a hu'a! bo#y& say blue
s/uares a!# $ree! arro)s( *ut ulti'ately these too are #eri%e# fro' !ature "" the blue a!#
the $ree!& the s/uare a!# the arro)( =et 'e i!%oke the authority of the $reatest a!# 'ost
eleti pai!ter of our ti'e0
There is !o abstrat art( Bou 'ust al)ays start )ith so'ethi!$( After)ar#s you a! re'o%e
all traes of reality( There's !o #a!$er the! a!y)ay& beause the i#ea of the ob.et )ill ha%e
left a! i!#elible 'ark( It is )hat starte# the artist off& e-alte# his i#eas& a!# stirre# up his
e'otio!s( ( ( ( :he! I pai!t a piture I a' !ot o!er!e# )ith the fat that t)o people 'ay
be represe!te# i! it( Those t)o people o!e e-iste# for 'e but they e-ist !o lo!$er( >y
%isio! of the' $a%e 'e a! i!itial e'otio!& the! little by little their prese!e bea'e
blurre#, they bea'e for 'e a fitio!& a!# the! they #isappeare# alto$ether& or rather they
)ere tra!sfor'e# i!to all ki!#s of proble's& so that they bea'e for 'e !o lo!$er t)o
people but for's a!# olours "" for's a!# olours )hih !e%ertheless resu'e a!
e-perie!e of t)o people& a!# preser%e the %ibratio! of their life( 7@8
I 'ust a## a )or# o! a 'ore pri'iti%e ki!# of attitu#e to olour( So'e reatio!s to the
'te'perature"%alues' of olours see's to be o''o! to 'ost people )ithi! the sa'e ulture
irle, Ri'bau# e%e! trie# to o"or#i!ate eah %o)el )ith a #iffere!t olour( *ut the
e'oti%e assoiatio!s of speifi olours %ary fro' perso! to perso!& a!# a! be %ery stro!$(
:ollber$ 7O8 ha# a shi+oi# patie!t )ho reate# to re# )ith i!te!se a!-iety& to blue )ith a
feeli!$ of elatio!, yet u!#er #eep hyp!osis& :ollber$ re%erse# these reatio!s( 3ale!ti!es
/uotes the ase of a patie!t bor! bli!# )ho& after a suessful operatio!& felt i!te!se
pleasure at his first si$ht of re#& a!# )as physially sik at the first si$ht of yello)( >a! !ot
o!ly 'thi!ks )ith his ha!#s'& he /uite ofte! sees )ith his bo)els(

The %isual o!sta!ies a!# illusio!s& pereptual pro.etio!& e'pathy a!# sy!esthesia for'
a! ase!#i!$ series of i!fere!tial proesses( O!e step hi$her i! the series )e o'e to the
phe!o'e!o! of the 'fae hi##e! i! the tree'& the 'i'a$e i! the lou#'& the Rohrshah"blot0
the pro.etio! of 'ea!i!$ i!to the a'bi$uous 'otif( O!e 'ore )e ha%e here a!
u!o!sious proess )hih has bee! o!siously e-ploite# fro' a!ti/uity to the
e-pressio!ists( Pli!y reou!te# the a!e#ote of a! artist )ho trie# i! %ai! to pai!t the foa'
at a #o$'s 'outh u!til& i! e-asperatio!& he thre) a spo!$eful of pai!t at his a!%as "" a!#
there )as the foa'( The story reappears i! =eo!ar#o's *reatise on Paintings "" )here he
'akes 'our *ottielli' say that if you .ust thro) a spo!$e at a )all it )ill 'lea%e a blot )here
o!e sees a fi!e la!#sape'( There is a! oft"/uote# passa$e i! that lassi treatise )hih bears
bei!$ /uote# o!e 'ore0
Bou shoul# look at ertai! )alls stai!e# )ith #a'p& or at sto!es of u!e%e! olour( If you
ha%e to i!%e!t so'e bak$rou!#s you )ill be able to see i! these the like!ess of #i%i!e
la!#sapes& a#or!e# )ith 'ou!tai!s& rui!s& roks& )oo#s& $reat plai!s& hills a!# %alleys i!
$reat %ariety, a!# the! a$ai! you )ill see there battles a!# stra!$e fi$ures i! %iole!t atio!&
e-pressio!s of faes a!# lothes a!# a! i!fi!ity of thi!$s )hih you )ill be able to re#ue
to their o'plete a!# proper for's( I! suh )alls the sa'e thi!$ happe!s as i! the sou!# of
bells& i! )hose stroke you 'ay fi!# e%ery !a'e# )or# )hih you a! i'a$i!e( 758
This passa$e i!spire# the ei$htee!th"e!tury E!$lish la!#sape pai!ter Ale-a!#er Co+e!s
to publish a book 74C8 reo''e!#i!$ the use of ra!#o' i!k"blots 'fro' )hih i#eas are
prese!te# to the 'i!#'& to ser%e as la!#sape 'otifs( It see's that Rohrshah's 'etho# of
psyholo$ial testi!$ by i!%iti!$ sub.ets to i!terpret a'bi$uous blot"shapes )as #eri%e#
fro' Co+e!s "" a!# thus fro' =eo!ar#o& a!# thus fro' Pli!y( Si'ilar 'etho#s )ere use#
by Chi!ese artists fro' the ele%e!th e!tury o!)ar#s( The bisoiatio!s of for' a!#
'ea!i!$ are i!e-haustible(

I! these ases the 'otif 1the lou#& the patter!e# )allpaper& or the i!k"blot2 a!# also the
'ea!i!$ rea# i!to it& are both of a %isual !ature( *ut the 'atri- )hih pro%i#es the 'ea!i!$
a! also be $o%er!e# by !o!"%isual o!eptual o#es "" for i!sta!e& a %erbal su$$estio!
suh as Ha'let uses o! Polo!ius to 'ake the lou# ha!$e fro' )easel to )hale, or by the
%arious !otio!s e!tertai!e# by E$yptia!& ;reek& a!# *y+a!ti!e artists o! the fu!tio! a!#
purpose of the hu'a! bo#y( I! so'e for's of i!sa!ity& a!# i! the e-peri'e!tal psyhoses
i!#ue# by #ru$s& the patie!t sees serpe!ts& $e!itals& arhai reatures bu##i!$ out of e%ery
ur%e of a! or!a'e!tal #esi$!( The ubist's %oabulary o!sists of yli!#ers a!# ubes, the
poi!tillist's of #aubs, lassial o'positio! obeye# the $ra''ar of har'o!y a!# bala!e,
the E$yptia! pai!ter sa) i! stereotype# lihTs, so #oes the ?apa!ese ]e! artist(


Co#es of Pereptio!

This lea#s us to the 'ost po)erful si!$le fator a'o!$ the 'a!y fators )hih e!ter i!to
the proessi!$ of the %isual i!put0 the po)er of o!%e!tio! as a hi##e! persua#er 1p( 69 f(2(
Pereptio! is a part"i!!ate& part"a/uire# skill of tra!sfor'i!$ the ra)"'aterial of %isio!
i!to the 'fi!ishe# pro#ut', a!# e%ery perio# has its o!%e!tio!al for'ulae a!# 'etho#s of
i!terpretatio! for #oi!$ this( The or#i!ary 'ortal thi!ks 'ost of the ti'e i! lihTs "" a!#
sees 'ost of the ti'e i! lihTs( His %isual she'ata are prefabriate# for hi', he looks at
the )or# throu$h o!tat"le!ses )ithout bei!$ a)are of it(

The e-tre'e e-a'ple is a!ie!t E$ypt "" but 'erely beause it laste# so lo!$,
o!te'porary ]e! pai!ti!$ a!# alli$raphy& as alrea#y sai#& obeys al'ost as ri$i# rules of
the $a'e( The E$yptia! pai!ter u!%aryi!$ly represe!te# the hu'a! fi$ure )ith hea# i!
profile& eye fro!tally& le$s i! profile& hest fro!tally& a!# so o!& sho)i!$ eah part i! its
'ost harateristi aspet( :hether the or#i!ary E$yptia! perei%e# his fello) reatures
this )ay )e a!!ot tell& a!# "" re'e'beri!$ that )e perei%e a tilte# oi! still as a irle&
a!# !ot foreshorte!e# i!to a! ellipse "" he probably oul# !ot tell either( *ut )e #o k!o)
that the 'o'e!t he tra!slate# 'otif i!to 'e#iu'& his %isio! bea'e stereotype#( It is
hi$hly i'probable that o!for'ity )as e!fore# o! artists a$ai!st their )ill for a full three
thousa!# years( There e-ist e-eptio!s to the rule& relief fi$ures #ati!$ as far bak as 96CC
*(C(& 7448 )hih sho) foreshorte!i!$ a!# #y!a'i 'otio!, if there ha# bee! a taboo o!
suh i!!o%atio!s& they )oul# har#ly ha%e bee! preser%e#( *ut the e-eptio!s bea'e less&
!ot 'ore fre/ue!t as ti'e )e!t by, for reaso!s beyo!# our u!#ersta!#i!$& E$yptia! art& as
E$yptia! soiety& re'ai!e# stati& a!# habit pre%aile# o%er ori$i!ality(

;reek art& bet)ee! the si-th a!# fourth e!tury *(C( )as& o'pare# )ith E$ypt& i! a state
of per'a!e!t re%olutio!& )hih arrie# it )ithi! !o 'ore tha! si- or se%e! $e!eratio!s
fro' the arhai style to the tro'pe l'oeil( Bet& althou$h ori$i!ality a!# i!!o%atio! )ere
%alue# as !e%er before& it oul# !ot a%oi# #e%elopi!$ its o)! lihTs( 'After all&' )rote
;o'brih& ';reek art of the lassial perio# o!e!trate# o! the i'a$e of 'a! al'ost to the
e-lusio! of other 'otifs& a!# e%e! i! the portrayal of 'a! it re'ai!e# )e##e# to types(
This #oes !ot apply o!ly to the i#eali+e# type of physi/ue )hih )e all assoiate )ith
;reek art( E%e! i! the re!#eri!$ of 'o%e'e!t a!# #rapery the repertoire of ;reek sulpture
a!# pai!ti!$ has tur!e# out to be stra!$ely li'ite#( There are a restrite# !u'ber of
for'ulas for the re!#eri!$ of fi$ures sta!#i!$& ru!!i!$& fi$hti!$& or falli!$& )hih ;reek
artists repeate# )ith relati%ely sli$ht %ariatio!s o%er a lo!$ perio# of ti'e( Perhaps if a
e!sus of suh 'otifs )ere take!& the ;reek %oabulary )oul# be fou!# to be !ot 'uh
lar$er tha! the E$yptia!( 7498

That %oabulary "" a!# its Euli#ea! $ra''ar of proportio! "" re'ai!e# as i!#elibly
pri!te# o! Europea! art as the ate$ories of Aristotle o! Europea! philosophy( The
*y+a!ti!e pai!ter a!# 'osai 'aker ha# $i%e! up the aspiratio! to opy !ature& but he use#
the appro%e# ;reek stok"for'ulae to represe!t faes& ha!#s& $estures& a!# #raperies(
:arbur$ 74A8 has sho)! that the artists of the Re!aissa!e )ere pro!e to fall bak o!
;reek 'o#els )he!e%er they )a!te# to i!#iate e'otio! by a $esture or attitu#e0 he alle#
these e'oti%e lihTs Pathosformeln(D
'E%e! <uth $e!re pai!ti!$s that appear to 'irror life i! all its bustle a!# %ariety )ill tur!
out to be reate# fro' a li'ite# !u'ber of types a!# $estures' "" if for i!sta!e& o!e
o'pares the' )ith !e)spaper"photo$raphs of ro)# se!es( The /uotatio! is a$ai! fro'
Professor ;o'brih& 7468 )hose 3rt and Illusion pro%e# a! i!%aluable soure of illustrati%e
e-a'ples(
Skille# routi!e i! perei%i!$ as i! thi!ki!$& has its positi%e a!# !e$ati%e si#e( :ithout
ertai! o!%e!tio!al rules of the $a'e& )hih )ere a/uire# by lear!i!$ but fu!tio!
u!a)ares& )e oul# !ot 'ake 'uh se!se either of !ature or of art( 'The art of seei!$
!ature'& Co!stable )rote& 'is a thi!$ al'ost as 'uh to be a/uire# as the art of rea#i!$
E$yptia! hiero$lyphs(' 74I8 O! the other ha!#& o!%e!tio!s te!# to har#e! i!to ri$i#
for'ulae "" the 'atri- free+es up& a!# 'akes us i$!ore those aspets of reality )hih #o !ot
fit i!to the she'a( The ;reek sulptor is i!#iffere!t to i!#i%i#ual e-pressio!& the
*y+a!ti!e pai!ter to a!ato'y& the Chi!ese to sha#o)s& a!# so o!( *ut there e-ist far 'ore
striki!$ e-a'ples of the si!$le"'i!#e# !e$let by the eye of a!ythi!$ )hih the 'i!# #oes
!ot o!si#er rele%a!t( They are e!$ra%i!$s #ati!$ fro' the si-tee!th to the !i!etee!th
e!tury& )hih sho) that e%e! artists repute# for their 'etiulous!ess a! be i!#iffere!t or
bli!# to features )hih are o!si#ere# irrele%a!t or offe!si%e to the o!%e!tio!al rules of
the $a'e( O!e of the' )as >eria!& a! e-tre'ely skilful illustrator )ho ob%iously trie#
har# to 'ake a faithful 'opy' "" it looks atually like a! arhitet's #ra)i!$ "" of the
Cathe#ral of Notre"<a'e( A!# )hat happe!e#E ' ( ( ( As a hil# of the se%e!tee!th e!tury&
his !otio! of a hurh is that of a lofty sy''etrial buil#i!$ )ith lar$e& rou!#e# )i!#o)s&
a!# that is ho) he #esi$!s Notre"<a'e( He plaes the tra!sept i! the e!tre )ith four lar$e&
rou!#e# )i!#o)s o! either si#e& )hile the atual %ie) sho)s se%e! !arro)& poi!te# ;othi
)i!#o)s to the )est a!# si- i! the hoir(' 74@8 He oul# !ot $o a$ai!st the o#e )hih
$o%er!e# his %isual pereptio!(
Nor oul# those 'e#ie%al artists& )ho #re) lio!s& elepha!ts& a!# other e-oti a!i'als 'fro'
life'& but& i!apable of %isually #i$esti!$ the startli!$ appeara!e& pro#ue# 'o!strosities
re'i!#i!$ o!e of ;reek hi'eras "" reatures o'pou!#e# of a lio!'s hea#& a $oat's bo#y
a!# a serpe!t's tail( The reaso! is si'ple( The o#ifiatio! of e-perie!e i!to 'rules of the
$a'e' is as i!#ispe!sable i! pereptual skills as i! 'a!ual or reaso!i!$ skills( The lear!i!$
proess starts i! the ot a!# e!#s o!ly )he! the artist has lear!e# to for$et )hat he has
lear!e# "" but that is o!ly for the hose! fe)( The 'e#ie%al artist "" like the o!te'porary
a'ateur taki!$ a orrespo!#e!e ourse i! #rafts'a!ship "" #i# !ot start by #ra)i!$ fro'
!ature& but by lear!i!$& fro' #ra)i!$"books& the triks a!# for'ulae of ho) to #ra) hea#s&
ha!#s& a!# feet& bir#s& sta$s& trees& a!# lou#s( There )ere hu!#re#s of suh )orks
publishe#& fro' 3illar# #e Ho!eourt's 3lbum of Patterns i! the first half of the thirtee!th
e!tury to #ate "" i!lu#i!$ suh lassis as <Srer's :resden .ketchbook or Fialetti's *he
*rue &ethod and Order to :raw 3ll Parts and Limbs of the Human 7ody "" )hih see's to
o!tai! e%ery o!ei%able shape a!# 'isshape of ears& eyes& a!# !oses u!#er the su!( To
suee# i! #ra)i!$ a! ear )ith a! u!tutore# eye re/uires $e!ius, e%e! <Srer& so )e are
tol#& $ot the a!ato'y of the hu'a! eye )ro!$(
To /uote Co!stable a$ai!0 a! artist )ho is self"tau$ht is tau$ht by a %ery i$!ora!t perso!
i!#ee#( He 'ust a/uire a %oabulary "" !ot o!ly to e-press hi'self& but to rea# 'ea!i!$
i!to appeara!es( The sa'e 3illar# #e Ho!eourt )hose albu' of patter!s o!tai!s the
'ost a#'irably she'ati+e# s)a!s& horses& ostrihes& a!# bear#e# hea#s #re) a lio! 'fro'
life'& as he assures us "" a!# pro#ue# a hi'era( :e #o !ot k!o) for ho) lo!$ he ha# the
ha!e of looki!$ at the lio! or ho) ohere!t his sketh )as( *ut it is e%i#e!t that )here he
ha# to fill i! features fro' 'e'ory& he oul# o!ly #o so by suppla!ti!$ the for$otte! #etails
of the stra!$e reature by parts of 'ore fa'iliar a!i'als( He ha# ertai!ly !ot i!te!#e# to
falsify #eliberately "" a!y 'ore tha! >eria! #i# i! his #ra)i!$s of Notre"<a'e( *ut !either
of the' oul# #i$est the u!fa'iliar 'otif beause it oul# !ot be resol%e# i!to fa'iliar
she'ata& pi$eo!hole#, labelle#& a!# o!fi!e# to 'e'ory "" or .otte# #o)! i! shortha!#& as
it )ere& by 'ea!s of a rea#y"'a#e for'ula( They )ere i! the sa'e positio! as the sub.ets
i! the psyholo$ial laboratory )ho are 'a#e to )it!ess a! u!e-pete# se/ue!e of e%e!ts
"" a!#& )he! aske# to relate )hat happe!e#& $i%e !otoriously #i%er$e!t& u!reliable
aou!ts( Their %erbal repro#utio! is .u'ble#& !ot beause they lak the skill to e-press
the'sel%es& but beause they )ere u!able to take i! a se/ue!e of e%e!ts )hih #i# !ot fit
their she'e of thi!$s(
Not o!ly the 'e#ie%al artist use# for'ulae like reipes fro' a ookery"book( Ca'per& a!
ei$htee!th"e!tury a!ato'ist& )rote a book o! *he onnection 7etween the .cience of
3natomy and the 3rts of :rawing$ Painting$ .tatuary$ etc.& i! )hih he #esribe# the
sta!#ar# proe#ures of portraiture i! his ti'e0 'The portrait pai!ters of the prese!t #ay
$e!erally #esribe a! o%al upo! their pa!el before the perso! to be pai!te# sits to be #ra)!&
'ake a ross i! the o%al& )hih they #i%i#e i!to the le!$th of four !oses a!# the brea#th of
fi%e eyes, a!# they pai!t the fae aor#i!$ to these #i%isio!s to )hih it 'ust be
ao''o#ate#& let the proportio!s the'sel%es be e%er so 'uh at %aria!e(' 74O8 The o%al
)ith its sub#i%isio!s represe!te# the 'atri- )ith its fi-e# o#e, the filli!$"i! of #etails )as
a 'atter of elasti strate$y(
Co!%e!tio! a!# Creatio!
Re$ar#less of the perio# at )hih )e look& e%ery )ork of art betrays the pre.u#ie# eye&
$o%er!e# by seleti%e o#es )hih le!# ohere!e to the artist's %isio!& a!# at the sa'e
ti'e restrit his free#o'( The e!se'ble of these o#es pro%i#es the 'rules of the $a'e'& the
routi!e aspet of his )ork, )hile his 'strate$y' 'ust be a#apte# to the #ouble e!%iro!'e!t
of 'otif a!# 'e#iu'( The $reat!ess of a! artist rests i! reati!$ a !e)& perso!al i#io' "" a!
i!#i%i#ual o#e )hih #e%iates fro' the o!%e!tio!al rules( O!e the !e) i#io' "" a !e)
)ay of bisoiati!$ 'otif a!# 'e#iu' "" is establishe#& a )hole host of pupils a!# i'itators
a! operate it )ith %aryi!$ #e$rees of strate$i skill(
It #oes !ot 'ea! belittli!$ the reati%e 'i!# to poi!t out that e%ery artist has his ookery
reipes for the basi i!$re#ie!ts of the #ishes he ser%es( *ut )e 'ust #isti!$uish bet)ee!
true reati%ity "" the i!%e!tio! of a !e) reipe& o! the o!e ha!#& a!# the skille# routi!e of
pro%i#i!$ %ariatio!s of it( The )hole& %e-e# /uestio! of the artisti %alue of brillia!t
for$eries a!# opies hi!$es o! this #isti!tio! 1see Chapter HHI32(

*ut )hether the rules of the $a'e )ere i'pose# by o!%e!tio! or ori$i!ally #esi$!e# by
the artist& they ha%e a! e/ual s)ay o%er hi'( Rube!s' puttis so'eti'es look 'ass"
pro#ue#& a!# e%e! so'e of the portraits of his hil#re! see' to obey the sa'e for'ula,
si'ilar blasphe'ies oul# be uttere# about Re!oir's p!eu'ati !u#es& He!ry >oore's
o!%e-ities a!# o!a%ities")ith"a"hole& or *er!ar# *uffet's obsessi%e a!$ularities( O!e
a!!ot help feeli!$ that artists )ho spe!# the rest of their li%es e-plori!$ the possibilities of
a si!$le for'ula )hih they #iso%ere# i! their truly reati%e perio#& rese'ble the 'o!e"
i#ea"'e!' i! the history of sie!e( The #iffere!e is that the o!rete la!$ua$e of the
pai!ter's brush per'its e!#less %ariatio!s o! a si!$le the'e )ithout losi!$ i! e!ha!t'e!t
"" )hih the abstrat sy'bol"la!$ua$e of sie!e #oes !ot(

The rea#er 'ay ha%e felt& i! follo)i!$ the last fe) pa$es& a! u!easy suspiio! that I )as
#eliberately o!fusi!$ the triks a!# for'ulae for #ra)i!$ a pussyat )ith the artist's %isio!
of the pussyat& a!# the history of pai!ti!$ )ith a history of seei!$( *ut i! fat the t)o
i!terat so i!ti'ately i! the artist's 'i!# 1a!# i! the respo!si%e behol#er's 'i!#2 that they
a!!ot be separate#( Take seei!$ first, alrea#y Pli!y k!e) 1)hat *eha%iourist psyholo$y
'a!a$e# to for$et2 that 'the 'i!# is the real i!stru'e!t of si$ht a!# obser%atio!' a!# the
eyes 'erely at 'as a ki!# of %ehile& reei%i!$ a!# tra!s'itti!$ the %isual portio! of
o!sious!ess'( 74F8 *ut the 'i!# is also the real i!stru'e!t of 'a!ual #e-terity& i! a 'uh
#eeper se!se tha! )e $e!erally reali+e& i!lu#i!$ those /uirks of 'a!!er a!# style )hih
a! be 'left to the 'usles' to be take! are of( Re!oir& )he! his fi!$ers bea'e ripple#
)ith arthritis& pai!te# )ith a brush attahe# to his forear'& yet his style re'ai!e#
u!ha!$e#( It )oul# be psyholo$ially .ust as absur# to assu'e the re%erse "" that a
patter! of e-pressio! so #eeply i!$rai!e# shoul# ha%e ha# !o effet o! his patter! of
pereptio!& as it )oul# be to assu'e that his pereptio! ha# !o i!flue!e o! )hat his ha!#
)as #oi!$( The t)o ati%ities are bisoiate#, i! the ter'i!olo$y of the o''u!iatio!
e!$i!eer& the 'e#iu' 'i! ter's of' )hih the artist 'ust thi!k& i!flue!es by fee#"bak his
patter! of %isio!(

A! ob%ious e-a'ple is pro%i#e# by the )ay i! )hih the stu#y of a!ato'y "" e%e! if
'erely #e'o!strate# by a lay"fi$ure "" tra!sfor's the artist's pereptio! of the hu'a! bo#y(
A less ob%ious e-a'ple is the follo)i!$ "" )hih I a$ai! o)e to ;o'brih( Co+e!s& the
ei$htee!th"e!tury pai!ter )ho a#%oate# the i!k"blot teh!i/ue to i!spire his pupils to
pai!t 'Rohrshah' la!#sapes& also #re) for their be!efit a series of she'ata of %arious
types of lou#"for'atio! "" as ;ueri!o ha# $i%e! reipes for #ra)i!$ %arious types of
ears( Co!stable stu#ie# a!# faithfully opie# these ru#e she'ati+atio!s of 'streaky lou#s
at the top of the sky' or 'botto' of the sky' or lou#s '#arker at the top tha! the botto''( *y
lear!i!$ to #isti!$uish #iffere!t types of lou#"for'atio! "" a/uiri!$ a! artiulate lou#"
%oabulary as it )ere "" he )as able to perei%e lou#s& a!# to pai!t lou#s& as !obo#y ha#
#o!e before& His brush& like the poet's pe!& 'tur!e# the' i!to shapes& a!# $a%e to airy
!othi!$ a loal habitatio! a!# a !a'e'( The result is that Co!stable a##its see real lou#s
i! Co!stable's ter's& as 3a! ;o$h a##its see the fiel#s of Pro%e!e i! 3a! ;o$h's ter's ""
a!# i! either ase 'uh to their be!efit( So'e Fre!h authors "" =alo& I belie%e )as the
first& a!# a'o!$ o!te'poraries& >alrau- "" ha%e propose# that our aestheti appreiatio!
of !ature is #eri%e# fro' ha%i!$ see! la!#sapes i! pai!t( That 'ay be the ase )ith 'a!y
of us& but it o!ly 'ea!s "" as su$$este# alrea#y at the be$i!i!$ of this hapter "" that 'a!
has al)ays looke# at !ature throu$h a fra'e( Throu$h the pai!ter's fra'e& or the fra'e of
'ytholo$y& or the fra'e of sie!e, throu$h half"lose# eyes or eye $lue# to the le!s of the
telesope( Co!stable alle# la!#sape pai!ti!$ a! i!/uiry i!to the la)s of !ature, a!#
Rihar#so!& #iso%eri!$ that the #iffiulties of his pupils )ere ause# as 'uh by their
u!skille# eye as by their u!skille# fi!$ers& #re) the o!lusio!0
For it is a ertai! 'a-i'& !o 'a! sees )hat thi!$s are& that k!o)s !ot )hat they ou$ht to
be( That this 'a-i' is true& )ill appear by a! aa#e'y fi$ure #ra)! by o!e i$!ora!t i! the
struture& a!# k!itti!$ of the bo!es& a!# a!ato'y& o'pare# )ith a!other )ho u!#ersta!#s
these thorou$hly ( ( ( both see the sa'e life& but )ith #iffere!t eyes( 7458

NOTES

To p( A@@( I a' speaki!$ of Europe0 la!#sape pai!ti!$ i! Chi!a has a 'uh ol#er
tra#itio!(

To p( AOF( I!i#e!tally& there is a bri#$e )aiti!$ to be built bet)ee! a! ritiis' a!# the
physiolo$y of $esture( To $i%e a! e-a'ple0 the !eurolo$ist Kurt ;ol#stei! 1456O2 has 'a#e
a stu#y of the )ay i! )hih people poi!t )ith their ar's at a! ob.et( If the ob.et is to the
fro!t a!# to the ri$ht& the perso! )ill poi!t )ith the e-te!#e# ar'& )hih )ill for' )ith the
fro!tal pla!e of the bo#y a! a!$le of appro-i'ately forty"fi%e #e$rees( If the ob.et is
'o%e# further to the ri$ht& the perso! )ill start tur!i!$ his tru!k to the ri$ht& so that the
a!$le bet)ee! bo#y a!# ar' re'ai!s 6I #e$rees( *ut if the ob.et is plae# strai$ht i! fro!t
of hi'& he )ill tur! his bo#y to the left a!# the a!$le )ill still be the sa'e( There are
ob%ious a!ato'ial reaso!s for this( *ut if you 'ake your fi$ure poi!t a! accusing fi!$er
strai$ht ahea#( fully fai!$ his a#%ersary& you $et a 'pathos"for'ula'(




HHII

I>A;E AN< E>OTION

The trouble )ith putti!$ i!to )or#s the aestheti e-perie!e arouse# by a piture is& as )e
sa)& that so 'uh is happe!i!$ at the sa'e ti'e, that o!ly a fratio! of it beo'es
o!sious& a!# a! e%e! s'aller fratio! %erbali+e#( 'The foreps of our 'i!#s'& to /uote H(
;( :ells a$ai!& 'are lu'sy thi!$s& a!# rush the truth a little i! the ourse of taki!$ hol# of
it(' :ells )as talki!$ of the #iffiulties of putti!$ i#eas i!to )or#s, )he! it o'es to putti!$
aestheti e-perie!es i!to )or#s& !othi!$ short of a aesaria! )ill help( The sur$ial tool
that I propose# )as 'bisoiatio!', a!# the operatio! o!siste# i! #ise!ta!$li!$ the %arious
bisoiati%e& or bifoal& proesses )hih o'bi!e i! the e-perie!e( I ha%e 'e!tio!e# a
!u'ber of these, I shall ha%e to 'e!tio! o!e or t)o 'ore& a!# #isuss briefly the e'otio!al
reatio!s )hih they all forth(


3irtues of the Piture Postar#

The esse!e of the aestheti e-perie!e o!sists& as I ha%e trie# to sho)& i! intellectual
illumination "" seei!$ so'ethi!$ fa'iliar i! a !e)& si$!ifia!t li$ht, follo)e# by emotional
catharsis "" the rise& e-pa!sio!& a!# ebbi!$ a)ay of the self"tra!se!#i!$ e'otio!s( *ut this
a! happe! o!ly if the 'atri- )hih pro%i#es the '!e) li$ht' has a hi$her e'oti%e pote!tial
or 'alory %alue' 1pp( A94"A42, i! other )or#s& the t)o 'atries 'ust lie o! a! ase!#i!$
$ra#ie!t(

=et us see i! )hat 'a!!er the %arious bisoiati%e patter!s 'e!tio!e# earlier o! fulfil this
re/uire'e!t( Take illusio! o!e 'ore& )hih e!ters art i! a %ariety of $uises a!# #is$uises&
o! its 'ost !ai%e le%el0 the #iso%ery that so'ethi!$ a! be itself a!# so'ethi!$ else at the
sa'e ti'e( A s'all hil#& fasi!ate# by #a#'s a'ateur efforts as a #rafts'a!& )ill be$ '
make 'e a #o!key'& 'make 'e a! elepha!t'& thus u!o!siously e%oki!$ Py$'alio!'s po)er(
I shall !ot hark bak to Alta'ira a!# the )ith"#otor "" 'erely #ot 'y i's by poi!ti!$ out
that the $ra#ie!t lea#s i! that #iretio!(

Or take the si'plest illusio! of spae0 the #eli$hte# shok of looki!$ for the first ti'e
throu$h fiel#$lasses& a!# seei!$ the #ista!t hurh"spire leap to )ithi! $rasp( Here a$ai!
u!o!sious a!alo$ies& ehoes of sorery e!ter i!to play0 the po)er to be i! t)o plaes at
o!e, the o!/uest of spae by 'a$i arpet, atio!"at"a"#ista!e( The re%erse e-perie!e is
the illusio! #eri%e# fro' a perspeti%e la!#sape "" or a Chi!ese silk pai!ti!$ )hih& )ith a
fe) brushstrokes& 'akes the hori+o! ree#e i!to i!fi!ity( To all perspeti%e a!# tro'pe
l'oeil ''a$i' is a lihT& beause their $e!ui!e 'a$i has suu'be# to the la) of
#i'i!ishi!$ retur!s, but to the u!sophistiate# eye the hole i! the )all throu$h )hih it
looks i!to a #iffere!t )orl# has the #rea'"like /uality of Alie steppi!$ throu$h the
looki!$"$lass, #rea'"like& beause the reatio! a!# a!!ihilatio! of spae is a fa%oure#
$a'e of the u!#er$rou!#(

I ha%e 'a#e a sli$hti!$ 'e!tio! of the 'prettifiatio!' of !ature o! piture postar#s& )hih
bri!$ the )hole se!ery )ithi! the ra!$e of foal %isio!( *ut there is a $e!ui!e appeal to
the e'otio!s i! the fat that a la!#sape pai!ti!$ a! be take! i! al'ost at a $la!e& )ithout
the half"o!sious& o!sta!t sa!!i!$ )hih the real se!ery re/uires( To ha%e it all there
si'ulta!eously lai# out before his %ie)& $i%es the behol#er a ki!# of !aQ%e Oly'pia!
feeli!$& a se!se of po)er e!tirely har'less& si!e his o!ly ai' is passi%e o!te'platio!,
e!ha!e# by the iru'sta!e "" a!# here the !e-t bisoiatio! e!ters i!to the proess "" that
he is looki!$ at the se!ery !ot throu$h his o)!& but throu$h Clau#e's or Courbet's eyes(

A!other faet "" or pair of faets "" of the 'a!y"si#e# e-perie!e of looki!$ at a piture is
sy!esthesia 1p( A942( *ere!so!'s #itu' 'the pai!ter a! ao'plish his task o!ly by $i%i!$
tatile %alues to reti!al i'pressio!s' #oes !ot o!ly 'ea! that the bisoiatio! of %isio! )ith
touh le!#s a! a##e# #i'e!sio! to e-perie!e a!# 'ore soli#ity to illusio!( *ere!so!'s
e'phasis o! tatile %alues also i!#iates that the se!se of touh ha# a speial appeal to hi'
"" as it ha# to Keats 1p( A942( *ut !either of the' )as e-eptio!al i! this respet, after all&
the a#.eti%e 'touhi!$' "" that is& e'otio!ally 'o%i!$ "" is #eri%e# fro' touh, a!#
'touhi!$' i! the %erbal se!se is a pri'ary i'pulse !ot o!ly a'o!$ lo%ers, the te-ture of silk
or polishe# sto!e also pro%i#es 'i!or pleasures( The broa#e fi!eries of 3a! Eyk's fi$ures
ha%e a stro!$ tatile appeal, the i'pat of the $a!$re!e# flesh of Christ i! ;rS!e)al#'s
Ise!hei' altar is o!e of horror re#ee'e# by pity( It is perhaps o!ly 'athe# i! po)er by
Flaubert's re!#eri!$ of the le$e!# of St( ?ulia! shari!$ his be# )ith the leper(


Taste a!# <istaste

This bri!$s us to a sub.et )hih I ha%e !ot 'e!tio!e# so far& althou$h it use# to play a!
i'porta!t part i! aestheti theories of the he#o!isti type& a!# )as a )o!#erful soure of
o!fusio!0 I 'ea! the polarity of a$reeable a!# #isa$reeable& attrati%e a!# repelle!t se!se"
i'pressio!s(

The first !eessity& if )e )ish to a%oi# si'ilar o!fusio!& is to 'ake a lear #isti!tio!
bet)ee! tastes a!# #istastes #iretly affeti!$ the senses 1the to!$ue& the !ose& the ear2,
a!# the pleasure"u!pleasure to!e of o'ple- emotional states 'e#iate# by the auto!o'ous
!er%ous syste'( The #isti!tio! 'ay see' pe#a!ti& a!# a sharp li!e a!!ot al)ays be
#ra)!& beause the #iffere!t le%els i! the !er%ous syste' i!terat )ith eah other, the
palate a! be 'e#uate#' to #eli$ht i! rotte! Chi!ese e$$s& a!# the s'ell of ho!eysukle a!
beo'e !auseati!$ to the re.ete# lo%er( :hether the seleti%e o#es )hih $o%er! our
spo!ta!eous reatio!s of taste a!# #istaste are i!bor! or a/uire# i! early hil#hoo# is
irrele%a!t i! this o!te-t, a!# the fat that these reatio!s a! be altere# i! later life #oes
!ot affet the ar$u'e!t( :hat 'atters is to #isti!$uish bet)ee! the aestheti e-perie!e ""
or the e-perie!e of beauty if you like "" o! the o!e ha!#& a!# se!sory $ratifiatio! o! the
other, a!# to $et a)ay fro' suh #efi!itio!s as the NCo!ise O-for#'sN of beauty0
'Co'bi!atio! of /ualities ( ( ( that #eli$hts the si$ht, o'bi!e# /ualities #eli$hti!$ the other
se!ses'& et( E%i#e!tly& by these riteria !ot o!ly ;rS!e)al#& but the %ast 'a.ority of )orks
of art )oul# be beyo!# the pale of beauty a!# oul# !e%er $i%e rise to aestheti e-perie!e
"" #efi!e# by the NCo!ise O-for# <itio!aryN as 'the appreiatio! of the beautiful'(

I #o !ot 'ea! to flo$ the #ea# horse of he#o!ist aesthetis but to e'phasi+e the #iffere!e
bet)ee! se!sory $ratifiatio! a!# aestheti satisfatio! "" a #iffere!e of le%els #eri%i!$
fro' the hierarhi or$a!i+atio! of the !er%ous syste' 1Chapter HIII a!# *ook T)o2( Take
a! ob%ious e-a'ple fro' 'usi( Perio#i sou!#s "" 'usial to!es "" are 'ore pleasi!$ to
the ear tha! a"perio#i !oises, a!# so'e sreehi!$ !oises "" rubbi!$ a blakboar# )ith a
#ry spo!$e for i!sta!e "" are so offe!si%e that they $i%e $ooseflesh to so'e people( A$ai!&
a'o!$ 'usial hor#s& the ota%e& fifth& a!# 'a.or thir# are 'ore a$reeable to the
Europea! ear tha! others, a!# so'e #isso!a!es& hear# i! isolatio!& a! put o!e o! e#$e(
*ut the flattery or offe!si%e!ess of i!#i%i#ual hor#s has o!ly a! i!#iret beari!$ o! the
e'otio!al effet of a stri!$ /uartet as a )hole( There is !o !u'erial relatio! bet)ee! the
!u'ber of o!so!a!es a!# our aestheti appreiatio!( The patter! of alter!atio! bet)ee!
s)eet a!# bitter sou!#s is 'erely o!e a'o!$ se%eral rele%a!t patter!s i!terati!$ )ith eah
other i! the 'ulti"#i'e!sio!al e-perie!e(

Se!sory prefere!es "" the #isri'i!atio! bet)ee! se!sory sti'ulatio!s )hih 'a$ree'& a!#
those )hih '#isa$ree' )ith our i!!ate or a/uire# #ispositio!s "" #o !ot pro%i#e the lue to
the !ature of aestheti e-perie!e& but they pro%i#e o!e of the lues0 partiularly those
prefere!es )hih are part of the hu'a! herita$e& a!# share# by all( The Chi!ese taste for
'usi #iffers fro' ours o!si#erably, but all 'e! are sub.et to the pull of $ra%ity a!#
prefer keepi!$ their bala!e to losi!$ it( A lea!i!$ to)er& or a bi$ hea# o! a thi! !ek $i%e
rise to #isa$reeable se!satio!s 'e#iate# by pro.eti%e e'pathy 1p( 95@2( *ut this a$ai! is
o!ly part of the story( I!%erte#& tophea%y& #isturbi!$ for's 'ay o'bi!e i! the piture )ith
for's i! repose& reati!$ a total patter! )ith a bala!e of a hi$her or#er "" i! )hih the
parts )ith positi%e a!# !e$ati%e bala!e play the sa'e role as o!so!a!t a!# #isso!a!t
hor#s& or beats a!# 'isse# beats i! a 'etri sta!+a(

O!e of the 'ost hau!ti!$ pitures i! this partiular respet is Pollaiulo's '>artyr#o' of St(
Sebastia!' 1i! the =o!#o! Natio!al ;allery2( The sai!t sta!#s )ith his !ake# feet o! the
sa)!"off stu'ps ot t)o bra!hes of a #ea# tree& his ha!#s tie# behi!# his bak& looki!$ as
if he )ere bou!# to topple o%er a!y 'o'e!t( He is hel# up by a!other& har#ly %isible&
bra!h of a tree )hih rises behi!# hi'& a!# to )hih his ha!#s are presu'ably tie#, but
e%e! so he is bou!# to fall( :hat pre%e!ts hi'& i! the behol#er's eye& fro' falli!$ is a trik
i! the o'positio! of the piture0 the fi$ure of the sai!t for's the ape- of a soli#& )ell"
bala!e# tria!$le( The si#es of the tria!$le are si- fi$ures i! sy''etrial poses& perfor'i!$
sy''etrial $estures( The i'bala!e of the part is re#ee'e# by the bala!e of the )hole&
by the tria!$le )hih le!#s u!ity to #i%ersity( The fat that the fi$ures are the sai!t's
e-eutio!ers& shooti!$ their 'ur#erous arro)s i!to hi'& belo!$s to a #iffere!t le%el of
a)are!ess(

E'pathy pro.ets our o)! #y!a'i e-perie!es of $ra%ity& bala!e& stress& a!# stri%i!$
i!to the pi$'e!t o! the a!%as represe!ti!$ hu'a! fi$ures or i!ert shapes( Thus %ertial
a!# hori+o!tal li!es a/uire a speial e'i!e!e, a %ertial li!e looks lo!$er tha! a tilte# li!e
of the sa'e le!$th& a!# ri$ht a!$les are so 'uh si!$le# out& that a! a!$le of& say& !i!ety"
fi%e #e$rees is see! as a! i'perfet& 'ba#' a!$le of !i!ety #e$rees( Patie!ts )ith brai!
lesio!s so'eti'es $i%e freer rei! tha! !or'al people to the he#o!isti bias of their eyes&
a!# #o !ot !otie #e%iatio!s up to te! #e$rees fro' the hori+o!tal or %ertial( They i!#ul$e
i! ')ishful seei!$' as others i! )ishful thi!ki!$( A!# to a lesser e-te!t that is true of all of
us( ;oethe k!e) that after"i'a$es )hih appear o! the reti!a te!# to re#ue irre$ularities
a!# asy''etries& a!# to tra!sfor' s/uares i!to irles( The ;estalt shool has sho)! that
the ra) 'aterial of the %isual i!put is sub.ete# to yet other ki!#s of proessi!$ tha! those I
ha%e 'e!tio!e#0 the 'losure pri!iple' 'akes us auto'atially fill i! the $aps i! a broke!
outli!e, Prgnan0 1o!ise!ess2& '$oo# o!ti!uatio!'& sy''etry& si'pliity are further built"
i! riteria of e-elle!e )hih pre.u#ie our pereptio!s( *ut o!e a$ai!& it a! har#ly be
'ai!tai!e# that the #eli$hts of looki!$ at a perfet irle )ith a lose# iru'fere!e& a!#
the #is$ust )ith irles 'arre# by a bul$e& e!ter #iretly i!to the aestheti e-perie!e( If
that )ere the ase& the perfet piture )oul# be a perfet irle )ith a %ertial a!# a
hori+o!tal li!e i!terseti!$ i! its e!tre, all he#o!isti pri!iples a!# ;estalt"riteria )oul#
be satisfie# by it( The i!!ate bias i! our taste"bu#s i! fa%our of s)eet o'pare# )ith ai#
sti'uli is a fat )hih e%ery theory of uli!ary aesthetis 'ust take i!to aou!t, but it #oes
!ot 'ake syrup the i#eal of uli!ary perfetio!( Sy''etry a!# asy''etry& losure a!# $ap&
o!ti!uity a!# o!trast& 'ust o'bi!e& like o!so!a!es a!# #isso!a!es& i!to a patter! o!
a hi$her le%el of the pereptual hierarhy "" as far re'o%e# fro' Freu#'s pleasure"pri!iple
as fro' the Oxford :ictionary/s #efi!itio! of beauty(


>otio! a!# Rest

That patter! is i! fat our ol# frie!#& u!ity"i!"#i%ersity, or rather u!ity implied i! #i%ersity&
for here the 'la) of i!fol#i!$' asserts itself )ith a %e!$ea!e( If a )ork of art strikes o!e as
hopelessly #ate#& it is !ot beause its partiular i#io' #ates fro' a re'ote perio#& but
beause it is spelt out i! a too ob%ious& e-pliit 'a!!er( The =aooo! $roup is 'ore #ate#
tha! the arhai Appollo of Te!ea i! spite of the %astly superior represe!tatio!al skill of the
Helle!isti perio# "" )hih the sulptor #isplays )ith suh self"#efeati!$ oste!tatio!(
Pollaiulo's #eli$ht i! the ree!tly #iso%ere# la)s of perspeti%e& a!# the resulti!$ o%er"
e'phasis o! $eo'etrial struture has a so'e)hat hilli!$ effet, the sa'e oul# be sai# of
Uello's 'The Rout of Sa! Ro'a!o'( A$ai! 1as Eri Ne)to! has poi!te# out2& the tria!$ular
saffol#i!$ i! Raphael's treat'e!t of the >a#o!!a a!# Chil# the'e is a sha#e too ob%ious(
To #iso%er the pri!iple of u!ity hi##e! i! %ariety 'ust be left to the behol#er's
i'a$i!atio!( =eo!ar#o has $i%e! a 'for'ula' ho) to #ra) trees0 if you #ra) a irle rou!#
the ro)! of a tree& the setio!s of all the t)i$s 'ust a## up to the thik!ess of the ste',
the bi$$er the ra#ius of the irle& the 'ore t)i$s it )ill ut& but beause the setio!s $et
thi!!er& the result is the sa'e( Thou$h the la) is !ot e-at& it hol#s the seret )hih le!#s
u!ity to the tree #ra)! i! its full folia$e& a!# i'plie# sy''etry to its irre$ularly shape#
bra!hes a!# t)i$s(

U!ity"i!"%ariety a! be #ebase# to a for'ula0 the portrait pai!ter #ra)i!$ his o%al a!#
#i%i#i!$ it i!to the le!$th of four !oses, it a! also be a peephole to eter!ity( '>otio! or
ha!$e&' )rote E'erso!& 'a!# i#e!tity or rest& are the first a!# seo!# serets of !ature0
>otio! a!# Rest( The )hole o#e of her la)s 'ay be )ritte! o! the thu'b!ail or the si$!et
of a ri!$( The )hirli!$ bubble o! the surfae of a brook& a#'its us to the serets of the
'eha!is of the sky( E%ery shell o! the beah is a key to it( A little )ater 'a#e to rotate i!
a up e-plai!s the for'atio! of the si'pler shells, the a##itio! of 'atter fro' year to year&
arri%es at last at the 'ost o'ple- for', a!# yet so poor is !ature )ith all her raft& that&
fro' the be$i!!i!$ to the e!# of the u!i%erse& she has but o!e stuff "" but o!e stuff )ith its
t)o e!#s& to ser%e up her #rea'"like %ariety( Co'pou!# it ho) she )ill& star& sa!#& fire&
)ater& tree& 'a!& it is still o!e stuff& a!# betrays the sa'e properties('

I o)e this /uotatio! fro' E'erso!'s essay o! 'Nature' to ;( Kepes' *he 9ew Landscape ""
o!e of the 'ost re'arkable books o! art i! ree!t years( It ope!s up a )orl# as u!attai!able
to the li'ite# ra!$e of our se!ses "" the '!arro) biolo$ial filter of pereptio!' "" as li$ht
a!# olour are u!attai!able to the bli!#( 'Of the total sti'uli floo#i!$ the )orl# )ith
pote!tial 'essa$es& the %isible a!# a!#ible ra!$es aessible to our bo#ies represe!t a ti!y
se$'e!t(' 748 *ut it has !o) beo'e possible to #eipher these si$!als a!# bri!$ their
'essa$e i!to %isible fous by i!stru'e!ts )hih e-pa!# a!# o'press e%e!ts i! ti'e&
pe!etrate spae !ear to the bor#er )here $ra!ules of 'atter are re%eale# as patter!s of
o!e!trate# e!er$y& a!# e!able the eye to see 'i! ter's of' ultra"%iolet a!# i!fra"re#
ra#iatio!s( All of us ha%e see! a! oasio!al photo$raph of a spiral !ebula or a s!o)"
rystal& but these are like early #a$uerreotypes o'pare# )ith the !e) la!#sapes see!
throu$h the eletro!"'irosope( They sho) the ultra"struture of the )orl# "" eletri
#ishar$es i! a hi$h %olta$e ar )hih look like the 'ost elaborate *russels lae& s'oke
'oleules of 'a$!esiu' o-i#e like a o'positio! by >o!#ria!& !er%e"sy!apses i!si#e a
'usle suspe!#e# like al$ae& pha!to'"fi$ures of s)irli!$ heate# air& i!k 'oleules
tra%elli!$ throu$h )ater& rystals like Persia! arpets& a!# $hostly 'ou!tai!s i!si#e the
'iro"struture of pure Haf!iu'& like a! illustratio! to <a!te's Pur$atorio( :hat strikes o!e
is that these la!#sapes& #ra)! as it )ere i! i!%isible i!k& possess $reat i!tri!si beauty of
for'( The aestheti e-perie!e #eri%e# fro' the' see's to be #iretly relate# to )hat
E'erso! alle# the first a!# seo!# serets of !ature0 '>otio! or ha!$e& a!# i#e!tity or
rest' "" a!# also to the fat that' the u!i%erse is 'a#e of o!ly o!e stuff )ith a fi!ite set of
basi $eo'etrial patter!s i! a! i!fi!ite !u'ber of #y!a'i %ariatio!s(

'There are t)o basi 'orpholo$ial arhetypes&' )rote Kepes& 'e-pressio! of or#er&
ohere!e& #isipli!e& stability o! the o!e ha!#, e-pressio! of haos& 'o%e'e!t& %itality&
ha!$e o! the other( Co''o! to the 'orpholo$y of outer a!# i!!er proesses& these are
basi polarities reurri!$ i! physial phe!o'e!a& i! the or$a!i )orl# a!# i! hu'a!
e-perie!e(' They are 'the #y!a'i substa!e of our u!i%erse& )ritte! i! e%ery or!er of
!ature'( ( ( ( ':here%er )e look& )e fi!# o!fi$uratio!s that are either to be u!#erstoo# as
patter!s of or#er& of losure& of a te!#e!y to)ar#s a e!tre& ohesio! a!# bala!e& or as
patter!s of 'obility& free#o'& ha!$e& or ope!i!$( :e reo$!i+e the' i! e%ery %isible
patter!, )e respo!# to their e-pressio! i! !ature's o!fi$uratio!s a!# i! hu'a! uttera!es&
$estures& a!# ats( Cos'os a!# haos ( ( ( the Apollo!ia! spirit of 'easure a!# the
<io!ysia! pri!iple of haoti life& or$a!i+atio! a!# ra!#o'!ess& stasis a!# ki!esis ( ( ( all
these are #iffere!t aspets of the sa'e polarity of o!fi$uratio!(' 798

Thus the lihT about u!ity"i!"%ariety represe!ts o!e of the 'ost po)erful arhetypes of
hu'a! e-perie!e "" os'os arisi!$ out of haos( :e ha%e see! it at )ork i! the sie!tist's
searh for u!i%ersal la), a!# )he! )e see it reflete# i! a )ork of art& or i! a!y or!er of
!ature& ho)e%er i!#iretly& )e ath a fai!t eho of it(


Ase!#i!$ ;ra#ie!ts

:he! I o'pare# the la!#sape of the s'oke 'iro$raph to a >o!#ria! o'positio!& I
)as !ot 'erely i!#ul$i!$ the 'etaphori o!sious!ess, for a!other stra!$e thi!$ about
these shapes !ot 'ea!t for the hu'a! eye is that they all look like something else( *ut !ot
i! the sa'e )ay as the i!k"blot )hih ser%es as a passi%e reeptale for our pro.etio!s,
they are so preise a!# )ell"#efi!e# that they see' to ask for a! e/ually #efi!ite 'ea!i!$(
The eletri #ishar$e does look u!'istakably like lae")ork& the %arious u!e-pete#
shapes )hih a )ater"#rop assu'es #uri!$ its fall throu$h the air look u!e/ui%oally like a
hai! of se'i"preious sto!es, a!# )he! !o o!rete i!terpretatio! prese!ts itself& so'e
pai!ter's )ork o'es to 'i!#( To be tol# that the *russels lae is atually the 'portrait of a!
alter!ati!$ urre!t re%ersi!$ its #iretio! a hu!#re# a!# t)e!ty ti'es per seo!#' pro%i#es
a! a##itio!al shok0 the su##e! substitutio! of a !e) 'atri-& a #iffere!t o!tat"le!s has
the effet of a su##e! illu'i!atio!( The sparkli!$ eletri #ishar$e still looks like
lae)ork& a!# the Haf!iu' rystal still looks like a 'ou!tai! i! Ha#es& but the ori$i!al
i!terpretatio! has !o) beo'e a 'etaphor& )hih supplies a! a##itio!al #i'e!sio!& a!#
fee#s 'ore alories to the e-perie!e(

The 'i!# is i!satiable for 'ea!i!$& #ra)! fro'& or pro.ete# i!to& the )orl# of
appeara!es& for u!earthi!$ hi##e! a!alo$ies )hih o!!et the u!k!o)! )ith the fa'iliar&
a!# sho) the fa'iliar i! a! u!e-pete# li$ht( It )ea%es the ra) 'aterial of e-perie!e i!to
patter!s& a!# o!!ets the' )ith other patter!s, the fat that so'ethi!$ re'i!#s 'e of
so'ethi!$ else a! itself beo'e a pote!t soure of e'otio!( ;irls fall i! lo%e )ith 'e!
)ho re'i!# the' of father, 'e! $et i!fatuate# )ith a refletio! of *ottielli i! a %auous
profile, e%ery fae is a pali'psest( The )illo)'s shoul#ers #roop& li'p like a 'our!i!$
)i#o)'s, the ripples o! the lake reflet the Pytha$orea! har'o!ies, the )hirlpool o! the
surfae of the brook 'a#'its us to the 'eha!is of the sky'( :he! a pai!ti!$ is sai# to
represe!t !othi!$ but 'si$!ifia!t for'' "" to arry !o 'ea!i!$& !o assoiati%e o!!etio!s&
!o refere!e to a!ythi!$ beyo!# itself "" )e a! be o!fi#e!t that the speaker #oes !ot
k!o) )hat he is talki!$ about( Neither the artist& !or the behol#er of his )ork& a! slie his
'i!# i!to setio!s& separate se!satio! fro' pereptio!& pereptio! fro' 'ea!i!$& si$! fro'
sy'bol(

The #iffiulty of a!alysi!$ the aestheti e-perie!e is !ot #ue to its irre#uible /uality& but
to the )ealth& the u!o!sious a!# !o!"%erbal harater of the 'atries )hih i!terlae i!
it& alo!$ ase!#i!$ $ra#ie!ts i! %arious #i'e!sio!s( :hether the $ra#ie!t is as steep a!#
#ra'ati as i! a ;rS!e)al# or El ;reo& or $e!tly ase!#i!$ throu$h $ree! pastures& it
al)ays poi!ts to)ar#s a peak "" !ot of teh!ial perfetio!& but of so'e arhetypal for' of
e-perie!e( :e thus arri%e at the sa'e o!lusio! as i! our #isussio! of literature0 a )ork
of art is al)ays tra!spare!t to so'e #i' outli!e of ulti'ate e-perie!e "" e%e! if it is !o
'ore tha! the i!#iret refletio! of a refletio!& the eho of a! eho( Those a'o!$ the $reat
pai!ters )ho ha# a taste for %erbal theori+i!$& a!# the artiulate!ess of tra!slati!$ their
%isio! i!to )or#s& al'ost i!%ariably e%oke# absolutes a!# ulti'ates "" the tra$e#y& or $lory
of 'a!'s o!#itio!& the )rath or 'ery of #i%i!ity& the u!i%ersal la)s of for' a!# olour
har'o!y& the !or's of beauty hi##e! i! the 'ysteries of the $ol#e! setio! or a!hore# i!
Euli#'s a!-io's( 'E%erythi!$ has t)o aspets&' )rote Chirio& 'the urre!t aspet& )hih )e
see !early al)ays a!# )hih or#i!ary 'e! see& a!# the $hostly a!# 'etaphysial aspet&
)hih o!ly rare i!#i%i#uals 'ay see i! 'o'e!ts of lair%oya!e a!# 'etaphysial
abstratio!( A )ork of art 'ust !arrate so'ethi!$ that #oes !ot appear )ithi! its outli!e('

Re$ar#less of the site )e hoose for our e-a%atio!& )e shall al)ays hit at the sa'e
a!ie!t u!#er$rou!# ri%er )hih fee#s the spri!$s of all art a!# #iso%ery(


Su''ary

The aestheti e-perie!e arouse# by a )ork of art is #eri%e# fro' a series of bisoiati%e
proesses )hih happe! %irtually at o!e a!# a!!ot be re!#ere# i! %erbal la!$ua$e
)ithout sufferi!$ i'po%erish'e!t a!# #istortio!( At the base of the series )e o!e 'ore
fi!# illusio!( *ut 'life"like!ess' is a 'atter of i!terpretatio!& #epe!#e!t o! the li'itatio!s of
the 'e#iu' a!# the pre.u#ies of %isio!( Pereptio! is loa#e# )ith u!o!sious i!fere!es&
fro' the %isual o!sta!ies& throu$h spaial pro.etio!& e'pathy& a!# sy!esthesia& to the
pro.etio! of 'ea!irt$ i!to the Rohrshah blot& a!# the assi$!i!$ of purpose a!# fu!tio!
to the hu'a! shape( The artist e-ploits these u!o!sious proesses by the a##e# t)ists of
perspeti%e& rhyth' a!# bala!e& o!trast& 'tatile %alues'& et( The o!%e!tio!s of a perio#
or shool le!# ohere!e to its %isio!& but also te!# to rystalli+e "" as i! all #o'ai!s of
sie!e a!# art "" i!to fi-e# 'rules of the $a'e'0 i!to for'ulae& stereotypes& %isual lihTs,
these 'ay be so fir'ly establishe# that the artist beo'es s!o)bli!# to aspets of reality
)hih #o !ot fit i!to the'( The ori$i!ality of $e!ius& here as else)here& o!sists i! shifts of
atte!tio! to aspets pre%iously i$!ore#, i! seei!$ appeara!es i! a !e) li$ht, i! #iso%eri!$
!e) relatio!s a!# orrespo!#e!es bet)ee! 'otif a!# 'e#iu'(

Tastes a!# #istastes o! the se!sory le%el play& like o!so!a!es a!# #isso!a!es& o!ly a
subor#i!ate role i! the aestheti e-perie!e& as o!e a'o!$ 'a!y patter!s of u!ity"i!"
%ariety( The pre"o!#itio! of the e-perie!e to our is o!e 'ore that the e'oti%e
pote!tials of the 'atries partiipati!$ i! it shoul# for' a! ase!#i!$ $ra#ie!t& a!# pro%i#e
a hi!t& ho)e%er te!tati%e or teasi!$& of so'e hi##e! reality i! the play of for's a!# olours(





HHIII
ART AN< PRO;RESS
I! the #isussio! )hih follo)e# a leture at a! A'eria! u!i%ersity o! the sub.et of this
book& o!e of the 'resi#e!t pai!ters' I re'arke# a!$rily0
'I #o !ot NbisoiateN( I sit #o)!& look at the 'o#el& a!# pai!t it(' I! a se!se he )as ri$ht( He
ha# fou!# his 'style'& his %isual %oabulary& so'e years earlier a!# )as /uite o!te!t to use
it& )ith suitable %ariatio!s& to e-press e%erythi!$ he ha# to say( The t)o pla!es of 'otif a!#
'e#iu' ha# beo'e fir'ly )el#e# to$ether at a fi-e# a!$le& a!# the ori$i!al bisoiati%e
at ha# beo'e stabili+e# i!to a skille# routi!e "" hi$hly fle-ible& but $o%er!e# by a fi-e#
o#e( It )oul# be %ery foolish to u!#eresti'ate the ahie%e'e!ts of )hih skille# routi!e is
apable( *y )orki!$ tirelessly to i'pro%e his teh!i/ue& the pupil or i'itator 'ay "" as the
history of #oubtful attributio!s a!# outri$ht for$eries pro%es "" e/ual a!# so'eti'es
surpass the 'aster i! teh!ial perfetio!( *ut teh!ial %irtuosity is o!e thi!$& reati%e
ori$i!ality a!other(
Cu'ulati%e Perio#s
Ori$i!al #iso%eries are as rare i! art as i! sie!e( They o!sist i! fi!#i!$ !e) )ays of
bisoiati!$ 'otif a!# 'e#iu'( Art historia!s )ho li%e# i! perio#s of rapi# tra!sitio!&
o!si#ere# 'pro$ress' i! ter's of #iso%eries of !e) teh!i/ues0 Pli!y alle# eah i!!o%ator
a heuretes "" a 'fi!#er' e!title# to utter Arhi'e#es' triu'pha!t shout( The i!!o%atio!s
)hih he a!# Jui!tilia! liste# as /uasi"sie!tifi #iso%eries )ere feats suh as re!#eri!$
#iffiult& o!torte# 'otio!s, 'aki!$ the first statue )ith a! ope! 'outh, sho)i!$ the
ourse of the %ei!s, payi!$ atte!tio! to li$ht a!# sha#o)( They re$ar#e# eah #iso%ery as
a la!#'ark o! the roa# to)ar#s the 'astery of reality, a!# #uri!$ the seo!# $reat
a)ake!i!$& the Re!aissa!e& 3asari& =eo!ar#o& a!# <Srer took a si'ilar attitu#e( 3asari
#esribe# the triu'pha!t a#%a!e of pai!ti!$ fro' ;iotto to the si-tee!th"e!tury 'asters
i! ter's al'ost o'parable to a history of sea"farers& )here eah of the $reat aptai!s puts
a !e) o!ti!e!t o! the 'ap( =eo!ar#o thou$ht i! all serious!ess that it )as 'a )rethe#
pupil )ho #i# !ot surpass his 'aster', a!# if )e reall that less tha! t)o e!turies& or si-
$e!eratio!s& separate ;iotto a!# <uio o! the o!e ha!#& fro' Raphael a!# Titia! o! the
other& )e a! appreiate his poi!t of %ie)( ;reek sulpture& fro' Poly'e#es of Ar$os to
Pra-iteles 1also a spa! of about si- $e!eratio!s2& a!# Italia! art fro' the early fourtee!th to
the early si-tee!th e!tury& a#%a!e# i!#ee# i! a u'ulati%e )ay "" eah $e!ius 'stoo# o!
the shoul#ers of $ia!ts' a!# oul# look a little further tha! his pre#eessors(
*ut here a #a!$erous 'isu!#ersta!#i!$ 'i$ht arise( 'Cu'ulati%e pro$ress' 'ea!s i! this
o!te-t 'erely that eah pai!ter oul# 'ake use of the #iso%eries of his pre#eessors
)ithout ha%i!$ to 'ake the' a$ai!( Foreshorte!i!$& perspeti%e& a!ato'y& a )hole series
of steps i! the re!#eri!$ of li$ht a!# olour& of te-tures& 'o%e'e!ts& e-pressio!s, these a!#
'a!y other i!!o%atio!s i! the treat'e!t of the 'e#iu' a!# the pereptio! of reality& o!e
'a#e& oul# be easily absorbe# by pupils a!# i'itators( :he! =eo!ar#o spoke of the
pupil's #uty to 'surpass' his 'aster& he 'ea!t o!ly this "" that the pupil )as free to
i!orporate at his ease the #iso%eries of his el#ers i!to his repertory a!# to look for !e)
pastures( *ut !either he !or 3asari 'ea!t that those )ho a'e later )ere better pai!ters i!
a! absolute se!se tha! those o! )hose shoul#ers they stoo#( >oreo%er& =eo!ar#o k!e) that
the pupil )as free !ot o!ly to aept& but also to re.et the #iso%eries of his el#ers( The
#eliberate #istortio!s a!# asy''etries i! the fae of >o!a =isa& a!# the e/ually #eliberate
a'bi$uities of o!tour i! the or!ers of 'outh a!# eyes& are #e%iatio!s fro' the a!o!, but
they )ere base# o! a k!o)i!$ re.etio! of ertai! aspets of 'sie!tifi realis'' i! pai!ti!$
"" !ot o! !ai%e i$!ora!e( I! this se!se the ahie%e'e!ts of art are i!#ee# u'ulati%e a!#
irre%ersible& as those of sie!e are( The artist a! #ei#e to $o a$ai!st the'& but he a!!ot
i$!ore the'(
'Flore!ti!e pai!ti!$'& )rote Eri Ne)to!& 748 'starts& like a spri!t& )ith a pistol shot& I! 49FC
it har#ly e-ists( *y 4ACC it is rai!$ ahea#(' Juite a !u'ber of 'o#er! art"historia!s share&
)ith Pli!y a!# 3asari& a belief i! u'ulati%e pro$ress of art( Ruski! a!# Ro$er Fry thou$ht
the history of pai!ti!$ fro' a!ie!t #ays )as a pro$ressi%e she##i!$ of pre.u#ies a!# the
reo%ery of our lost 'i!!oe!e of the eye'( 'It has take! fro' Neolithi ti'es till the
!i!etee!th e!tury to perfet this #iso%ery&' )rote Fry& 'Europea! art fro' the ti'e of
;iotto pro$resse# 'ore or less o!ti!uously i! this #iretio!& i! )hih the #iso%ery of
li!ear perspeti%e 'arks a! i'porta!t sta$e& )hilst the full e-ploratio! of at'ospheri
olour a!# olour perspeti%e ha# to a)ait the )ork of the Fre!h i'pressio!ists(' 798 Eri
Ne)to! sees the #e%elop'e!t of Europea! art 'as a $reat ri%er syste' i! )hih 'a!y
tributaries are $ra#ually #ra)! to$ether', 7A8 a!# his #ia$ra' of the outsta!#i!$ artists a!#
tre!#s fro' 4ACC to 456C is a 'ap of bra!hes a!# o!flue!es represe!ti!$ 'the yle of
realis' that ha# be$u! )ith ;iotto a!# e!#e# )ith CT+a!!e'( =astly ;o'brih& thou$h
pu++le# by the represe!tatio!al skill of the prehistori a%e"pai!ters& a$rees that 'all
represe!tatio!s a! be so'eho) arra!$e# alo!$ a sale )hih e-te!#s fro' the she'ati
to the i'pressio!ist'(
Sta$!atio! a!# Cross"Fertili+atio!
O! the other ha!#& it is easy to 'ath& i! the history of e%ery ulture or ou!try& the
relati%ely brief perio#s of rapi# u'ulati%e a#%a!es )ith 'uh lo!$er perio#s of
sta$!atio!& o!esi#e#!ess& 'a!!eris' a!# estra!$e'e!t fro' reality( The parallel bet)ee!
the #i++y +i$"+a$ ur%es i! the #e%elop'e!t of the sie!es a!# arts is ob%ious, a!# so is
the ki!ship bet)ee! the #efe!#ers of sie!tifi a!# of artisti ortho#o-y "" the phala!-es of
i!ertia( 'The 'ore )e beo'e a)are of the e!or'ous pull i! 'a! to repeat )hat he has
lear!e#& the $reater )ill be our a#'iratio! for these e-eptio!al bei!$s )ho oul# break
this spell a!# 'ake a si$!ifia!t a#%a!e o! )hih others oul# buil#(' 768
*eause %isual #iso%eries are so #iffiult to %erbali+e& )e ha%e har#ly a!y i!trospeti%e
reor#s of the pai!ter's ''o'e!t of truth' )hih oul# be o'pare# to the aou!ts left by
sie!tists, )e #o !ot k!o) ho) the $a'es of the u!#er$rou!# e!ter i!to the piture( *ut if
)e o!si#er the history of art as a )hole "" i! its aspet of a olleti%e e!terprise& as 3asari
sa) it "" )e shall fi!# that the $reat i!!o%ators all sta!# at #rau$hty or!ers of )orl#"
history& )here air"urre!ts fro' #iffere!t ulture"li'ates 'eet& 'i-& a!# i!te$rate( The
;reek a)ake!i!$ i! the si-th e!tury *(C( probably starte# u!#er the i'pat of the
see'i!$ly i!o'patible E$yptia!& Orie!tal& a!# Creta! art for's o! the tribes of !orther!
ori$i! "" )he! they bea'e suffiie!tly settle# to take a! i!terest i! these 'atters( =ater
Ale-a!#er re%erse# the proess0 i! the )ake of his o!/uests& Helle!isti art i!%a#e# E$ypt&
the >i##le East& a!# I!#ia, e%e! the *u##ha )as 'a#e to put o! a ;reek s'ile( ;othi art
ori$i!ates i! the partiularly #rau$hty li'ate of the 'i$ratio!s a!# i!ursio!s fro' the
!orth& a!# le# to the i!te$ratio! of pa$a! a!# Ro'a!"Christia! tra#itio!s( A!other $reat
sy!thesis& of the *y+a!ti!e a!# the ;othi& starte# the hai!"reatio! i! Sie!!a a!#
Flore!e, the re#iso%ery of ;reek statuary $a%e it a further boost( *ru!elleshi 'arrie# the
;othi i!%e!tio! of %aults arrie# by pillars a!# ribs )ith the olu'!s a!# pillasters of
lassi Ro'a! arhiteture "" a!# reate# that )o!#erful hybri#& the Re!aissa!e style( A!#
so it $oes o! "" to Chi!ese Chippe!#ale& the i'pat of ?apa!ese olour"pri!ts o! >a!et a!#
<e$as& a!# of pri'iti%e Afria! sulpture o! the 'o#er!s( E/ually i'porta!t )ere ross"
i!flue!es fro' !ot #iretly relate# fiel#s0 the #iso%ery of the la)s of perspeti%e& a!# the
re#iso%ery of Apollo!ius' )ork o! o!i setio!s, the re%i%al of a!ato'y 1=eo!ar#o
hi'self #issete# 'ore tha! thirty orpses2, the i!%e!tio! of oil"pai!t& of the )oo#ut& of
litho$raphy& a!# photo$raphy, the e%olutio! of olour"theory i! physis(
To su' up0 it see's to be u!#e!iably true& as Pli!y )as the first to su$$est& that art
e%ol%es& like sie!e& i! a u'ulati%e 'a!!er "" but o!ly for a )hile& a!# )ithi! li'its& u!til
all that a! be #o!e has bee! #o!e alo!$ that partiular li!e, at the $reat tur!i!$ poi!ts&
ho)e%er& )hih i!itiate a !e) #eparture alo!$ a !e) li!e& )e fi!# bisoiatio!s i! the $ra!#
style "" ross"fertili+atio! bet)ee! #iffere!t perio#s& ultures& a!# pro%i!es of k!o)le#$e(
State'e!t a!# I'pliatio!
I ha%e o'pare# 1p( O9 f(2 the artoo!ist's teh!i/ue of re#ui!$ a fae to its bare
esse!tials& to the sie!tist's teh!i/ue of represe!ti!$ a proess by a #ia$ra'& she'a& 'ap&
or 'o#el( I! the thir# pa!el of our tryptih& the artist applies si'ilar teh!i/ues( He too is
e!$a$e# i! 'aki!$ 'o#els of phe!o'e!a i! his partiular 'e#iu'& usi!$ a partiular set of
for'ulae& a!# o!e!trati!$ o! those aspets of reality& to the #etri'e!t of others& )hih
are si$!ifia!t to hi'& or to the fashio!s a!# o!%e!tio!s of his ti'e( 1=et 'e repeat&
thou$h& that the reality )hih he represe!ts !ee# !ot be a ta!$ible ob.et i! three"
#i'e!sio!al spae a!y 'ore tha! the elusi%e 'ob.ets' represe!te# i! the physiist's
e/uatio!s(2 Thus u!a%oi#ably& artist& sie!tist& a!# ariaturist alike 'ust use the teh!i/ues
of selective emphasis& e-a$$eratio!& a!# si'plifiatio!& to u!#erli!e those aspets or
features )hih see' rele%a!t to the'(

They 'ust also obser%e the rules of eo!o'y( As the la)s of physis beo'e 'ore
u!i%ersal i! harater& the sy'bols )hih represe!t the' beo'e 'ore elusi%e a!# i'pliit(
I! the history of art )e a! trae the effets of the 'la) of i!fol#i!$' i! e%ery perio#( O!
E$yptia! to'b"pai!ti!$s& eah part of the bo#y is still sho)! e-pliitly& i! its 'ost
harateristi aspet, but the you!$ $irl piki!$ flo)ers o! a fa'ous )all"pai!ti!$ i!
Stabiae i'perti!e!tly tur!s her bak o! us( :hat )e see of her fae is o!ly the 'erest hi!t
of a profile& lea%i!$ it to us to e-trapolate her lo%ely features( The #eliberate retur! of
*y+a!ti!e art to pre"Helle!isti ri$i#ity a!# '!ai%ety'& e-presse# a re.etio! of )orl#ly
realis' i! fa%our of a 'ore i'pliit 'a!!er of o!%eyi!$ its 'essa$e( >uh the sa'e
oul# be sai# of the #eliberate si'pliity a!# #isreet& al'ost apolo$eti& use of perspeti%e
by Fra A!$elio, a!# of all the later& u!easi!$ atte'pts by artists to esape saturatio!&
e%a#e the ob%ious& a!# appeal to the behol#er's i'a$i!atio!( It )as =eo!ar#o )ho i!%e!te#
Nsfu'atoN "" the s'oke"sree! of a'bi$uous sha#o)s& the blurre# o!tours at the or!ers
of >o!a =isa's eyes& )hih kept people $uessi!$ throu$h four e!turies, a!# it )as Titia!
)ho i! his later years i!%e!te# the teh!i/ue of the bol# a!# 'rou$h' brushstroke& those
'ru#ely #aube# strokes a!# blobs' "" as 3asari a#'iri!$ly #esribe# the' "" )hih& looke#
at fro' lose /uarters& 'ake !o se!se at all( A si'ilar pro$ressio! fro' the !eat a!#
'etiulous to the loose a!# e%oati%e brush a! be see! i! Re'bra!#t's re!#eri!$ of
te-tiles a!# e'broi#eries0 the la) of i!fol#i!$ asserts itself both i! the e%olutio! of
i!#i%i#ual artists a!# i! the histori #e%elop'e!t of a!y partiular for' of art( A striki!$
e-a'ple of the latter are the t)o %ie)s of the sa'e 3e!etia! 'otif 1the Ca'po Sa!
]a!ipolo2 by Ca!aletto i! 4O6C& a!# by ;uar#i i! 4OF9 "" the first !eat a!# e-pliit like a
photo$raph& the seo!# su$$esti%e& i'pressio!isti& a!# ''o#er!'(

O!e a! har#ly ause Rey!ol#s of e-a$$erate# 'o#er!is', so'e of his !ie little $irls
hu$$i!$ their !ie little #o$$ies ha%e preisely that s)eet"a!#"stiky /uality )hih& by its
o%er"e-pliit attak o! the e'otio!s& #efeats its o)! purpose( *ut as he )as a!
ao'plishe# 'aster of his raft& he )as apable of seei!$ the re%erse of the 'e#al, a!# i!
his '<isourse' o''e'orati!$ the )ork of ;ai!sborou$h& there is a surprisi!$ passa$e0 'I
ha%e ofte! i'a$i!e# that this u!fi!ishe# 'a!!er o!tribute# e%e! to that striki!$
rese'bla!e for )hih his portraits are so re'arkable( Thou$h this opi!io! 'ay be
o!si#ere# as fa!iful& yet I thi!k a plausible reaso! 'ay be $i%e!& )hy suh a 'o#e of
pai!ti!$ shoul# ha%e suh a! effet( It is presuppose# that i! this u!#eter'i!e# 'a!!er
there is the $e!eral effet, e!ou$h to re'i!# the spetator of the ori$i!al, the i'a$i!atio!
supplies the rest& a!# perhaps 'ore satisfatorily to hi'self& if !ot 'ore e-atly& tha! the
artist& )ith all his are& oul# possibly ha%e #o!e('

Fro' the 'i##le of the !i!etee!th e!tury o!)ar#s& the tre!# to)ar#s the i'pliit& the
obli/ue hi!t& the state'e!t #is$uise# as a ri##le kept $atheri!$ spee# a!# 'o'e!tu' "" so
'uh so that it so'eti'es $a%e the i'pressio! of art !ot 'erely 'fol#i!$ i!' but fol#i!$ up(
I! i'pressio!ist pai!ti!$& ;o'brih re'arke#& 'the #iretio! of the brushstroke is !o lo!$er
a! ai# to the rea#i!$ of for's( It is )ithout a!y support fro' struture that the behol#er
'ust 'obili+e his 'e'ory of the %isible )orl# a!# pro.et it i!to the 'osai of strokes a!#
#abs o! the a!%as before hi'( The i'a$e& it 'i$ht be sai#& has !o fir' a!hora$e left o!
the a!%as "" it is o!ly 'o!.ure# up i! our 'i!#s(' 7I8 Fro' here it )as o!ly a step to utti!$
the a!hor a!# #oi!$ a)ay )ith illusio! as so'ethi!$ alto$ether too ob%ious( Piasso's
)o'e! sho)! part en face a!# part i! profile& so'eti'es )ith a thir# eye or li'bs shuffle#
arou!#& rely o! the behol#er's k!o)le#$e of the fe'ale for' a!# o! his )illi!$!ess to
partiipate i! the 'aster's e-peri'e!ts )ith it, like =eo!ar#o's e-peri'e!ts )ith his
hi'eras& they are a halle!$e a!# a! i!%itatio! to e-plore the possible )orl#s i'plie# i!
the %isible )orl#( At the opposite e-tre'e of the sale )e fi!# the 'etiulous realis' of a
series of $reat portrait pai!ters "" fro' Holbei! to& say& Fa!ti! =atour( Fro' a purely optial
poi!t of %ie) they see' to be o'pletely e-pliit state'e!ts, a!# yet they o!tai! a
'ystery i! a!other #i'e!sio! "" the 'ystery of harater a!# perso!ality su''e# up i! a
si!$le e-pressio!& breathi!$ throu$h the pi$'e!t of the a!%as( A photo$raph a! o!%ey
the truth of a 'o'e!t, a portrait a! i!ti'ate the truth of a )hole life(

Thus there e-ist %arious #i'e!sio!s of i!fol#i!$ "" %arious #iretio!s i! )hih the
behol#er 'ust e-ert his i'a$i!atio! a!# o'plete the hi!t( O!e is reflete# i! the
#e%elop'e!t )hih starte# )ith the %eile# sfumato a!# the loose& e%oati%e brush "" )ith
Eastlake's '.u#iious u!fi!ish of the o!su''ate )ork'a!' "" a!# e!#s& for the ti'e bei!$&
)ith the baffli!$ halle!$es offere# by o!te'porary art( A!other is the a%oi#a!e of a!y
too o%ert appeal to the e'otio!s "" )hether i! a hu'a! fae or i! a Neopolita! su!set( The
less there is left to #i%i!e& the /uiker the proess of saturatio! sets i!& )hih re.ets a!y
further offer of the 'i-ture as before as se!ti'e!tal& 'elo#ra'ati& por!o$raphi& or .ust
slushy kitsh( Re'bra!#t's fa'ous )ar!i!$ to the spetator to keep his #ista!e "" '#o!'t
poke your !ose i!to 'y pitures& the s'ell of pai!t )ill poiso! you' "" oul# be re%erse#0
'#o!'t tur! your a!%as i!to flypaper to ath 'y e'otio!s& I a!' t bear the feel of it(' E%e!
patter!s of u!ity"i!"#i%ersity& for all their arhetypal ehoes& beo'e bori!$ if they are too
ob%ious "" as rhyth' beo'es 'o!oto!ous u!less its pulsatio! is perei%e# be!eath the
surfae o!ly of a o'ple- 'usial or 'etri patter!(

The ?apa!ese ha%e a )or# for it0 shibuyi( The olour"she'e of a ki'o!o so #isreet&
sub#ue#& a!# appare!tly #ull that there see's to be !o she'e at all& is shibuyi( A statue
)hose $rae is hi##e! by a rou$h& u!polishe#& see'i!$ly u!fi!ishe# surfae& is shibuyi( So
is the #eliious taste of ra) fish& o!e the ari# ta!$ )hih hi#es it is o%ero'e( The
Chi!ese& ho)e%er& #iso%ere# the la) of i!fol#i!$ 'uh earlier o!( A se%e!tee!th"e!tury
'a!ual of pai!ti!$ a#%oates the teh!i/ue of 'lea%i!$ out'& illustrate# by #ra)i!$s of the
fa'iliar ki!# )here the si'ple outli!e of a fae& 'i!us features& ser%es as a surprisi!$ly
e-pressi%e for'ula0 'Fi$ures& e%e! thou$h pai!te# )ithout eyes& 'ust see' to look, )ithout
ears& 'ust see' to liste!( There are thi!$s )hih te! hu!#re# brushstrokes a!!ot #epit
but )hih a! be apture# by a fe) si'ple strokes if they are ri$ht( That is truly $i%i!$
e-pressio! to the i!%isible(' 7@8

*ut eo!o'y of 'ea!s a!# a%oi#a!e of the ob%ious shoul# !ot be 'isi!terprete# as lak
of spo!ta!eity or a te!#e!y to)ar#s 'o#eratio!( Sesshu& perhaps the $reatest of ?apa!ese
pai!ters 1a o!te'porary of =eo!ar#o's2& )as a 'aster of the lea%i!$"out teh!i/ue, yet he
use# !ot o!ly his brush& but fisffuls of stra) #ippe# i! i!k to i'part to his la!#sapes their
po)erful a!# %iole!t se!se of 'otio!( ;oya's '<isasters' o'bi!e a 'a-i'u' of eo!o'y
)ith a 'a-i'u' of horror( O! the other ha!#& Royal Aa#e'y portraits i! the appro%e#
tra#itio! #isplay all the %irtues of 'o#eratio!& yet i! their pe#estria! e-pliit!ess '#epri%e
the 'i!#'& to /uote >allar'T o!e 'ore& 'of that #elirious .oy of i'a$i!i!$ that it reates'(


The artist's ai'& )e sa) at the be$i!!i!$ of this book& is to tur! his au#ie!e i!to his
ao'plies( Co'pliity #oes !ot e-lu#e %iole!e "" but it 'ust be base# o! a share#
seret(




HHI3
CONFUSION AN< STERI=ITB
The Aesthetis of S!obbery 748
I! 456F& a ;er'a! art restorer !a'e# <ietrih Fey& e!$a$e# i! reo!strutio! )ork o!
=Sbek's a!ie!t St( >arie! Churh& state# that his )ork'e! ha# #iso%ere# traes of
;othi )all"pai!ti!$s #ati!$ bak to the thirtee!th e!tury& u!#er a oati!$ of halk o! the
hurh )alls( The restoratio! of the pai!ti!$s )as e!truste# to Fey's assista!t& =othar
>alskat& )ho fi!ishe# the .ob t)o years later( I! 45IC Cha!ellor A#e!auer presi#e# o%er
the ere'o!ies 'arki!$ the o'pletio! of the restoratio! )ork& i! the prese!e of art
e-perts fro' all parts of Europe( Their u!a!i'ous opi!io!& %oie# by Cha!ellor A#e!auer&
)as that the t)e!ty"o!e thirtee!th"e!tury ;othi sai!ts o! the hurh )alls )ere 'a
%aluable treasure a!# a fabulous #iso%ery of lost 'asterpiees'(
No!e of the e-perts o! that or a!y later oasio! e-presse# #oubt as to the authe!tiity of
the fresoes( It )as Herr >alskat hi'self )ho& t)o years later& #islose# the frau#( He
prese!te# hi'self o! his o)! i!itiati%e at =Sbek polie hea#/uarters& )here he state# that
the fresoes )ere e!tirely his o)! )ork u!#ertake! by or#er of his boss& Herr Fey, a!# he
aske# to be trie# for for$ery( The lea#i!$ ;er'a! art e-perts& ho)e%er& stuk to their
opi!io!, the fresoes& they sai#& )ere )ithout #oubt $e!ui!e& a!# Herr >alskat )as 'erely
seeki!$ heap publiity( A! offiial *oar# of I!%esti$atio! )as appoi!te#& a!# a'e to the
o!lusio! that the restoratio! of the )all"pai!ti!$s )as a hoa- "" but o!ly after Herr
>alskat ha# o!fesse# that he ha# also 'a!ufature# hu!#re#s of Re'bra!#ts& :atteaus&
Toulouse"=autres& Piassos& He!ri Rousseaus& Corots& Cha$alls& 3la'i!ks& a!# other
'asters& a!# sol# the' as ori$i!als "" so'e of )hih )ere atually fou!# by the polie i!
Herr Fey's house( :ithout this orpus #eliti& it is #oubtful )hether the ;er'a! e-perts
)oul# e%er ha%e a#'itte# ha%i!$ bee! foole#(
>y poi!t is !ot the fallibility of the e-perts( Herr >alskat's e-ploit is 'erely o!e of a
!u'ber of si'ilarly suessful hoa-es a!# for$eries "" of )hih the 'ost fabulous )ere
probably %a! >e$eere!'s fake# 3er'eers( The #isturbi!$ /uestio! )hih they raise is
)hether the =Sbek sai!ts are less beautiful& a!# ha%e ease# to be 'a %aluable treasure of
'asterpiees'& si'ply beause they ha# bee! pai!te# by Herr >alskat a!# !ot by so'ebo#y
elseE A!# further'ore& if %a! >e$eere! a! pai!t 3er'eers as $oo# as 3er'eer hi'self&
)hy shoul# they be take! off the )alls of the <uth a!# other Natio!al ;alleriesE If e%e!
the e-perts )ere u!able to #etet the #iffere!e& the! surely the false 3er'eers 'ust
proure as 'uh aestheti pleasure to the o''o! ru! of >useu' %isitors as the authe!ti
o!es( All the urators )oul# ha%e to #o is to ha!$e the !a'e o! the atalo$ue fro'
3er'eer to %a! >e$eere!(
There are se%eral a!s)ers to this li!e of ar$u'e!t& but before $oi!$ i!to the' I )a!t to
o!ti!ue i! the part of the #e%il's a#%oate by o!si#eri!$ a! e-a'ple of a for$ery i! a
#iffere!t fiel#0 >apherso!'s Ossian( The ase is so !otorious that the fats !ee# o!ly be
briefly 'e!tio!e#( ?a'es >apherso! 14OA@"4O5@2& a Sottish poet a!# a#%e!turer& alle$e#
that i! the ourse of his )a!#eri!$s i! the Hi$hla!#s he ha# #iso%ere# so'e a!ie!t
;aeli 'a!usripts( E!thusiasti Sottish littTrateurs put up a subsriptio! to e!able
>apherso! to pursue his researhes& a!# i! 4O@4 he publishe# 1ingal$ an ancient 6pic
Poem in .ix 7ooks$ together with several other poems composed by Ossian$ the .on of
1ingal( Ossia! is the le$e!#ary thir#"e!tury hero a!# bar# of Celti literature( NFi!$alN
)as soo! follo)e# by the publiatio! of a still lar$er Ossia!i epi alle# *emora& a!# this
by a ollete# e#itio!& *he "orks of Ossian( The authe!tiity of >apherso!'s te-t )as at
o!e /uestio!e# i! E!$la!#& partiularly by <r( ?oh!so! 1)ho' >apherso! a!s)ere# by
se!#i!$ hi' a halle!$e to a #uel2& a!# to his #eath >apherso! refuse#& u!#er %arious
u!o!%i!i!$ prete-ts& to publish his alle$e# ;aeli ori$i!als( *y the tur! of the e!tury the
o!tro%ersy )as settle#, it )as establishe# that )hile >apherso! ha# use# fra$'e!ts of
a!ie!t Celti lore& 'ost of the 'Ossia!i te-ts' )ere of his o)! 'aki!$(
Bet here a$ai! the /uestio! arises )hether the poeti /uality of the )ork itself is altere# by
the fat that it )as )ritte! !ot by Ossia! the so! of Fi!$al& but by ?a'es >apherso!E The
'Ossia!i' te-ts )ere tra!slate# i!to 'a!y la!$ua$es& a!# ha# a o!si#erable i!flue!e o!
the literature a!# ultural li'ate of Europe i! the late ei$htee!th a!# early !i!etee!th
e!turies( This is ho) the 6ncyclopedia 7ritannica su's up its e%aluatio! of >apherso!
1'y italis20
The %arie# soures of his )ork a!# its )orthless!ess as a tra!sript of atual Celti poe's
#o !ot alter the fat that he pro#ue# a )ork of art )hih ( ( ( #i# 'ore tha! a!y si!$le )ork
to bri!$ about the ro'a!ti 'o%e'e!t i! Europea!& a!# espeially i! ;er'a!& literature ( ( (
Her#er a!# ;oethe ( ( ( )ere a'o!$ its profou!# a#'irers(
These e-a'ples oul# be o!ti!ue# i!#efi!itely( A!ti/ue fur!iture& ;reek ta!a$ra fi$ures&
;othi 'a#o!!as& ol# a!# 'o#er! 'asters are bei!$ for$e#& opie#& ou!terfeite# all the
ti'e& a!# the %alue )e set o! the ob.et is !ot #eter'i!e# by aestheti appreiatio! a!#
pleasure to the eye& but by the prearious a!# fallible .u#$e'e!t of e-perts( A!# it )ill
al)ays be fallible for the $oo# a!# si'ple reaso! that $e!ius o!sists !ot i! the perfet
e-erise of a teh!i/ue& but i! its i!%e!tio!, o!e the teh!i/ue is establishe#& #ili$e!t
pupils a!# i'itators a! pro#ue )orks i! the 'aster's i#io' )hih are ofte!
i!#isti!$uishable& a!# so'eti'es teh!ially 'ore ao'plishe# tha! his(
So'e years a$o& at a fa!y"#ress ball "" i! >o!te Carlo& I belie%e "" a o'petitio! )as hel#
to #ei#e )hih a'o!$ the #o+e! or so $uests 'as/uera#i!$ as Charlie Chapli! a'e
!earest to the ori$i!al( Chapli! hi'self happe!e# to be a'o!$ the' "" a!# $ot o!ly the
thir# pri+e( I! 45@9& the Fo$$ 'useu' of Har%ar# arra!$e# a pri%ate e-hibitio! for
o!!oisseurs& )here so'e of the e-hibits )ere fakes& others $e!ui!e, the $uests )ere to
#ei#e )hih )as )hih( I!lu#e# )ere& a'o!$ other ite's& a! ori$i!al portrait by
A!!ibale Carrai& o!e of the 'ost i!flue!tial pai!ters of the Italia! baro/ue& a!# a
o!te'porary opy thereof, also a! ori$i!al Piasso #ra)i!$ of a >other a!# Chil#& a!#
t)o for$eries thereof( The result )as si'ilar to that of the Chapli! o'petitio!, a'o!$
those )ho plu'pe# for o!e of the for$eries )ere the hair'a! of Pri!eto!'s Art
<epart'e!t a!# the Seretary of the Fo$$, the #iretor of the >etropolita! >useu'
refuse# to sub'it to the test& )hile other e-perts 'sore# the'sel%es o! sheets of paper&
o'pare# their %er#its )ith the offiially a!!ou!e# fats& a!# /uietly ru'ple# their
papers'( 798
=et 'e repeat0 the pri!ipal 'ark of $e!ius is !ot perfetio!& but originality& the ope!i!$ of
!e) fro!tiers, o!e this is #o!e& the o!/uere# territory beo'es o''o! property( The
fat that e%e! professio!al e-perts are u!able to poi!t out the #iffere!e i! artisti 'erit
bet)ee! the true a!# the false Piasso& Carai& or 3er'eer& is o!lusi%e proof that !o suh
#iffere!e a! he re$istere# by the lay'a!'s eye( Are )e& the!& all s!obs to )ho' a
si$!ature& a! e-pert testi'o!y base# o! H"ray photo$raphy& or the post'ark of a perio# is
'ore i'porta!t tha! the i!tri!si beauty of the ob.et itselfE A!# )hat about the o!teste#
)orks of Shakespeare a!# ?oha!! Sebastia! *ahE Are their #ra'ati a!# poeti a!#
har'o!i /ualities #epe!#e!t o! the teh!ial o!tro%ersies bet)ee! speialistsE
The a!s)er& I belie%e& a! be su''e# up i! a si!$le se!te!e0 our appraisal of a )ork of
art or literature is har#ly e%er a u!itary at& a!# 'ostly the result of t)o or 'ore
i!#epe!#e!t a!# si'ulta!eous proesses )hih i!terfere )ith a!# te!# to #istort eah other(
=et 'e illustrate this by a story )hih I ha%e tol# else)here at $reater le!$th( 7A8
A frie!# of 'i!e& )ho' I shall all Catheri!e& )as $i%e! as a prese!t by a! u!obtrusi%e
a#'irer a #ra)i!$ fro' Piasso's lassial perio#, she took it to be a repro#utio! a!# hu!$
it i! her stairase( O! 'y !e-t %isit to her house& it )as ha!$i!$ o%er the 'a!telpiee i! the
#ra)i!$"roo'0 the suppose# repro#utio! ha# tur!e# out to be a! ori$i!al( *ut as it )as a
li!e"#ra)i!$ i! i!k& blak o!tour o! )hite paper& it !ee#e# a! e-pert& or at least a $oo#
'a$!ifyi!$ le!s& to sho) that it )as the ori$i!al a!# !ot a litho$raph or repro#utio!(
Neither Catheri!e& !or a!y of her frie!#s& oul# tell the #iffere!e( Bet her appreiatio! of it
ha# o'pletely ha!$e#& as the pro'otio! fro' stairase to #ra)i!$"roo' sho)e#( I aske#
her to e-plai! the reaso! for her ha!$e of attitu#e to the thi!$ o! the )all )hih i! itself
ha# !ot ha!$e# at all, she a!s)ere#& surprise# at 'y stupi#ity& that of ourse the thi!$ ha#
!ot ha!$e#& but that she sa) it #iffere!tly si!e she k!e) that it )as #o!e by Piasso
hi'self a!# '!ot .ust a repro#utio!'( I the! aske# )hat o!si#eratio!s #eter'i!e# her
attitu#e to pitures i! $e!eral a!# she replie# )ith e/ual si!erity that they )ere& of ourse&
o!si#eratio!s of aestheti /uality "" 'o'positio!& olour& har'o!y& po)er& )hat ha%e you'(
She ho!estly belie%e# to be $ui#e# by purely aestheti %alue".u#$e'e!ts base# o! those
/ualities, but if that )as the ase& si!e the /ualities of the piture ha# !ot ha!$e#& ho)
oul# her attitu#e to it ha%e ha!$e#E
I )as labouri!$ a see'i!$ly ob%ious poi!t& yet she )as u!able to see that she )as
o!tra#iti!$ herself( It pro%e# /uite useless repeati!$ to her that the ori$i! a!# rarity"%alue
of the ob.et #i# !ot alter its /ualities "" a!#& aor#i!$ly& shoul# !ot ha%e altere# her
appreiatio! of it& if it ha# really bee! base# o! purely aestheti riteria as she belie%e# it to
be( I! reality& of ourse& her attitu#e )as #eter'i!e# !ot by those riteria& but by a!
ai#e!tal bit of i!for'atio! "" )hih 'i$ht be ri$ht or )ro!$& a!# )as e!tirely e-tra!eous
to the /uestio! of aestheti %alue( Bet she )as by !o 'ea!s stupi#, i! fat there is
so'ethi!$ of her o!fusio! i! all of us( :e all te!# to belie%e that our attitu#e to a! ob.et
of art is #eter'i!e# by aestheti o!si#eratio!s alo!e& )hereas it is #eisi%ely i!flue!e# by
fators of a /uite #iffere!t or#er( :e are u!able to see a )ork of a! isolate# fro' the
o!te-t of its ori$i! or history, a!# if Catheri!e )ere to lear! that her Piasso )as after all a
repro#utio!& her attitu#e )oul# a$ai! ha!$e aor#i!$ to the ha!$e# o!te-t( >oreo%er&
'ost people $et /uite i!#i$!a!t )he! o!e su$$ests to the' that the ori$i! of a piture has
!othi!$ to #o )ith its aestheti %alue as suh( For& i! our 'i!#s& the /uestio! of perio#&
authorship& a!# authe!tiity& though in itself extraneous to aesthetic value& is so i!ti'ately
'i-e# up )ith it& that )e fi!# it )ell"!i$h i'possible to u!sra'ble the'( The
phe!o'e!o! of s!obbery& i! all its ru#e a!# subtle %aria!ts& a! al)ays be trae# bak to
so'e o!fusio! of this type(
Thus Catheri!e )oul# !ot be a s!ob if she ha# sai#0 'A repro#utio! of this li!e"#ra)i!$ is
to all pratial purposes i!#isti!$uishable fro' the ori$i!al& a!# therefore .ust as beautiful
as the ori$i!al( Ne%ertheless& o!e $i%es 'e a $reater thrill tha! the other& for reaso!s )hih
ha%e !othi!$ to #o )ith beauty(' *ut alas& she is i!apable of #ise!ta!$li!$ the t)o #iffere!t
ele'e!ts )hih #eter'i!e her reatio!s& a!# to a $reater or lesser e-te!t )e are all %iti's
of the sa'e o!fusio!( The ha!$e i! our attitu#e& a!# i! the a! #ealer's prie& )he! it is
#iso%ere# that a rake# a!# blake!e# piee of la!#sape #isplayi!$ three sheep a!# a
)i!#'ill& bears the si$!ature of *roeke!#ael the El#er& has !othi!$ to #o )ith beauty&
aesthetis& or )hat ha%e you( A!# yet& ;o# help us& the sheep a!# the 'ill a!# the brook #o
su##e!ly look #iffere!t a!# 'ore attrati%e "" e%e! to the har#"boile# #ealer( :hat
happe!e# )as that a bit of i!i#e!tal i!for'atio! ast a ray of $ol#e! su!li$ht o! those
'iserable sheep, a ray e'itte# !ot by the pi$'e!t but by the erebral orte- of the art"s!ob(
The Perso!al E'a!atio!
=et 'e !o) prese!t the ase for the #efe!e( The appraisal of a )ork of art is $e!erally the
result of t)o or 'ore i!#epe!#e!t proesses )hih i!terat )ith eah other( O!e o'ple-
proess o!stitutes the aestheti e-perie!e as suh& )hih has bee! #isusse# i! pre%ious
hapters, it i'plies a syste' of %alues& a!# ertai! riteria of e-elle!e& o! )hih )e
belie%e our .u#$e'e!t to be base#( *ut other proesses i!terfere )ith it& )ith their #iffere!t
syste's of %alues& a!# #istort our .u#$e'e!ts( I shall 'e!tio! t)o types of suh i!terferi!$
syste's(
The first is su''e# up i! the state'e!t of a little $irl of t)el%e& the #au$hter of a frie!#&
)ho )as take! to the ;ree!)ih >useu'& a!# )he! aske# to !a'e the 'ost beautiful
thi!$ she ha# see! there& #elare# )ithout hesitatio!0 'Nelso!'s shirt(' :he! aske# )hat )as
so beautiful about it& she e-plai!e#0 'That shirt )ith bloo# o! it )as .olly !ie( Fa!y real
bloo# o! a real shirt )hih belo!$e# to so'ebo#y really histori('
Her se!se of %alues& u!like Catheri!e's& )as still u!spoilt( The e'otio! that she ha#
e-perie!e# )as #eri%e# fro' the sa'e ki!# of 'a$i that e'a!ates fro' Napoleo!'s
i!kpot& the reli of the sai!t arrie# i! the a!!ual proessio!& the rope by )hih a fa'ous
'ur#erer )as ha!$e#& the $alley"proof orrete# by Tolstoy's ha!#( Our forbears belie%e#
that a! ob.et )hih ha# bee! i! the possessio! of a perso! bea'e i'bue# )ith his
e'a!atio!s& a!# i! tur! e'a!ate# so'ethi!$ of his substa!e( 'There is& I a' sure&' a
olu'!ist )rote i! the N<aily E-pressN& 'for 'ost of us a speial pleasure i! si!ki!$ your
teeth i!to a peah pro#ue# o! the estate of a! Earl )ho is relate# to the Royal Fa'ily(' 768
Bou 'i$ht e%e! o'e to feel that you are a 'e'ber of the fa'ily if you persist lo!$
e!ou$h i! this so'e)hat i!#iret 'etho# of tra!substa!tiatio!(
:e a! !o 'ore esape the pull of 'a$i i!si#e us tha! the pull of $ra%ity( Its
'a!ifestatio!s 'ay take a 'ore or less #i$!ifie# for', but the %alue )e set o! the peah
fro' the Earl's estate or the spli!ter fro' the sai!t's bo!e& o! <ike!s's /uill or ;alileo's
telesope& is #eri%e# fro' the sa'e soure of sy'patheti 'a$i( It is& as the little $irl sai#&
.olly !ie to behol# a fra$'e!t of a 'arble by Pra-iteles "" althou$h it has bee! battere# out
of hu'a! shape& )ith a leper's !ose a!# broke! ears( The o!tat )ith the 'aster's ha!# has
i'bue# it )ith a ki!# of efflu%iu' )hih has li!$ere# o!& a!# e'a!ates the sa'e thrill as
the real bloo# o! Nelso!'s shirt "" or the real i!k fro' Piasso's pe!(
The i!or#i!ate i'porta!e that )e attribute to the ori$i!al a!# authe!tiate#& e%e! i! those
bor#erli!e ases )here o!ly the e-pert a! #ei#e o! /uestio!s of authe!tiity& has its
u!o!sious roots i! this partiular ki!# of fetish")orship( He!e its o'pelli!$ po)er ""
)ho )oul# !ot herish a lok fro' a! E$yptia! 'u''y's hea#E Bet& as e%ery ho!est art
#ealer )ill a#'it& bor#erli!e ases are so fre/ue!t as to be al'ost the rule( I a' !o lo!$er
referri!$ to for$eries& but to the lassial pratie of the 'aster letti!$ his pupils&
appre!tie# to his )orkshop& assist i! the e-eutio! of lar$er u!#ertaki!$s, a!# 'assista!e'
oul# 'ea! a!ythi!$ fro' the filli!$ i! of bak$rou!# a!# 'i!or #etails& to the pai!ti!$ of
a )hole piture after the 'aster's sketh( :e are 'a#e to reali+e ho) o''o! this pratie
)as by the e'phasis )hih >ihela!$elo's a#'iri!$ o!te'poraries put o! the fat that he
pai!te# the eili!$ of the Sisti!e Chapel 'alo!e a!# u!ai#e#'( If )e re'e'ber that e%e! the
e-perts )ere at a loss to tell the Carai portrait fro' its o!te'porary opy "" probably by
a pupil "" )e 'ust o!lu#e that for the $reat 'a.ority of 'ortals& i!lu#i!$ o!!oisseurs&
the #iffere!e bet)ee! a! authe!tiate# 'asterpiee& a #oubtful attributio!& a!# a )ork
'fro' the shool of'& is i! 'ost ases !ot #iser!ible( *ut the fat re'ai!s that a!
'attributio!'& perfet i! its $e!re but !ot authe!tiate#& is hel# i! lo)er estee' tha! a )ork
of lesser perfetio!& $uara!tee# to ha%e o'e fro' the a$ei!$ 'aster's ha!#( It is !ot the
eye that $ui#es the 'useu' %isitor& but the 'a$i of !a'es( The E!$lish !atio! forke# out
a 'illio! pou!#s to pre%e!t the sale to A'eria of a =eo!ar#o sketh to )hih it ha# !e%er
pai# a!y atte!tio!, a!# the hu!#re#s of thousa!#s of $oo# iti+e!s )ho /ueue# to see it
oul# !ot ha%e tol# it fro' a pa$e i! a! art"stu#e!t's skethbook, they )e!t to see Nelso!'s
shirt(
The A!ti/uaria! Fallay
The seo!# 'i!terferi!$ syste'' is perio# o!sious!ess( A *y+a!ti!e io!& or a Po'peia!
freso is !ot e!.oye# at its fae %alue& but by a part"o!sious attu!e'e!t of the 'i!# to the
%alues a!# teh!i/ues of the ti'e( E%e! i! pai!ti!$s fro' perio#s )hose i#io' is 'uh
loser to ours "" a Holbei! portrait& for i!sta!e "" suh e-ter!als as ostu'e a!# hea##ress
#ri%e it 'erilessly ho'e to us that the 'a! )ith the u!for$ettable& ti'eless fae belo!$e#
to the ourt of He!ry 3III( The arhetypal /uality is there& but perio#"o!sious!ess
i!tru#es, a!# the #a!$er is that it 'ay #o'i!ate the fiel#(
Thus )e look at a! ol# piture throu$h a #ouble fra'e0 the soli# $ilt fra'e )hih isolates
it fro' its surrou!#i!$s a!# reates for it a hole i! spae, a!# the perio#"fra'e i! our 'i!#s
)hih reates for it a hole i! ti'e& a!# assi$!s its plae o! the sta$e of history( Eah ti'e
)e thi!k )e are 'aki!$ a purely aestheti .u#$e'erit aor#i!$ to our li$hts& the sta$e"
li$hts i!terfere( :he! )e o!te'plate the ;othi )all"pai!ti!$s o! the hurh i! =Sbek
for the first ti'e& belie%i!$ the' to be authe!ti& a!# the! a seo!# ti'e& k!o)i!$ that they
)ere 'a#e by Herr >alskat& our e-perie!e )ill i!#ee# be o'pletely ha!$e#& althou$h
the fresoes are the sa'e as at the ti'e )he! they )ere haile# as 'asterpiees( The perio#"
fra'e has bee! ha!$e#& a!# )ith it the sta$e"li$hts(
Apart fro' bei!$ u!a%oi#able& this relati%is' of aestheti .u#$e'e!t has its positi%e si#es0
by e!teri!$ i!to the spirit a!# li'ate of the perio#& )e auto'atially 'ake allo)a!es for
its ru#ities of teh!i/ue& for its o!%e!tio!s a!# bli!# spots, )e be!# o%er the past )ith a
te!#er a!ti/uaria! stoop( *ut this $esture #e$e!erates i!to a!ti/uaria! s!obbery at the poi!t
)here the perio#"fra'e beo'es 'ore i'porta!t tha! the piture& a!# per%erts our sale of
%alues( The sy'pto's are all too fa'iliar0 i!#isri'i!ate re%ere!e for a!ythi!$ lassifie#
as Italia! Pri'iti%e or Austria! *aro/ue 1i!lu#i!$ its 'ass"pro#ue# puffy& hubby&
)i!$e# little horrors2, olleti%e shifts of perio#"o!sious!ess 1fro' a!ti"3itoria! to pro"
3itoria! i! ree!t years2, the i!a!ities of fashio! 1Fra A!$elio is 'i!'& *ottielli is 'out'2(
The Co'forts of Sterility&
The 'eha!is' respo!sible for these per%ersio!s is the sa'e as #isusse# pre%iously& a!#
pro%i#es us )ith a ha!#y #efi!itio!0 Ns!obbery is the result of a 'i-"up bet)ee! t)o fra'es
of refere!e& A a!# *& )ith #iffere!t sta!#ar#s of %alue, a!# the o!se/ue!t 'isappliatio!
of sta!#ar# A to %alue".u#$e'e!ts referri!$ to *N( The art"s!ob's pleasures are #eri%e# !ot
fro' the piture& but fro' the atalo$ue, a!# the soial s!ob's hoie of o'pa!y is !ot
$ui#e# by hu'a! %alue& but by ra!k or elebrity %alue atalo$ue# i! the pa$es of "ho/s
"ho( The o!fusio! 'ay e%e! affet his biolo$ial #ri%es "" his taste a!# s'ell prefere!es&
his se-ual i!li!atio!s( A hu!#re# years a$o& )he! oysters )ere the #iet of the poor& the
s!ob's taste"bu#s fu!tio!e# i! a #iffere!t 'a!!er( I! the #ays before Hitler there )as a
you!$ )o'a! i! *erli! )ho )orke# for a publisher a!# )as )ell k!o)! i! the literary
)orl# for a ertai! peuliarity0 she ha# arrie# o! a !u'ber of affairs )ith authors&
re$ar#less of a$e or se- "" but o!ly )ith those )hose books ha# sol# 'ore tha! 9C&CCC
opies( Her o)! e-pla!atio! )as that )ith less suessful authors she )as u!able to obtai!
physial satisfatio!(
It is a #epressi!$ a!e#ote beause it has a ri!$ of li!ial authe!tiity, at the sa'e ti'e it
#isplays the fa'iliar patter! of the o'i0 the lash of t)o i!o'patible o!te-ts( *ut to the
poor heroi!e of the story it )as !o .oke& beause she oul# !ot see their i!o'patibility, the
-ama .utra a!# the best"seller list )ere hopelessly 'i-e# up i! her 'i!#( The rea#er 'ay
ha%e )o!#ere# )hy I ha%e #e%ote# a )hole hapter of this book o! hu'a! reati%ity to the
see'i!$ly tri%ial sub.et of s!obbery( The a!s)er is i! the /uestio!0 s!obbery is& I belie%e&
by !o 'ea!s a tri%ial phe!o'e!o!& but a o!fusio! of %alues )hih& i! %arious for's&
per'eates all strata of i%ili+e# soieties& prese!t a!# past 1see& for i!sta!e& Petro!ius's
7an+uet of *rimalchio2, a!# it is i! 'a!y respets a !e$atio! of the pri!iple of reati%ity(
:e ha%e see! ho) lau$hter is sparke# off by the ollisio! of 'atries, #iso%ery& by their
i!te$ratio!, aestheti e-perie!e by their .u-tapositio!( S!obbery follo)s !either of these
patter!s, it is a hothpoth of 'atries& the appliatio! of the rules of o!e $a'e to a!other
$a'e( It uses a lok to 'easure )ei$ht& a!# a ther'o'eter to 'easure #ista!e( The
reati%e 'i!# perei%es thi!$s i! a !e) li$ht& the s!ob i! a borro)e# li$ht, his pursuits are
sterile& a!# his satisfatio!s of a %iarious !ature( He #oes !ot ai' at po)er, he 'erely
)a!ts to rub shoul#ers )ith those )ho )iel# po)er& a!# bask i! their reflete# $lory( He
)oul# rather be a tolerate# ha!$er"o! of a! e!%ie# set tha! a popular 'e'ber of o!e to
)hih by !ature he belo!$s( :hat he a#'ires i! publi )oul# bore hi' )he! alo!e& but he
is u!a)are of it( :he! he rea#s Kirke$aar#& he is !ot 'o%e# by )hat he rea#s& he is 'o%e#
by hi'self rea#i!$ Kirke$aar# "" but he is blissfully u!a)are of it( His 'otio!s #o !ot
#eri%e fro' the ob.et& but fro' e-tra!eous soures assoiate# )ith it, his satisfatio!s are
pseu#o"satisfatio!s& his triu'phs self"#elusio!s( He has !e%er tra%elle# i! the belly of the
)hale, he has opte# for the o'forts of sterility a$ai!st the pa!$s of reati%ity(
O!e a!!ot #isuss the at of reatio! )ithout #e%oti!$ at least a fe) pa$es to the at of
#eseratio!( S!obbery is a poor )or# )ith too speifially 'o#er! o!!otatio!s for that
be!i$hte#!ess& #ue to the o!fusio! of %alues& )hih is o!e of the leit'otifs of the history
of 'a!, he al)ays see's to be $ropi!$ his )ay throu$h a labyri!thi!e )orl#& ar'e# )ith a
o'pass )hih al)ays poi!ts i! the )ro!$ #iretio!( The sy'bol of reati%ity is the 'a$i
)a!# )hih >oses use# to 'ake )ater o'e out of the rok, its re%erse is the faulty
yar#stik )hih tur!s e%erythi!$ it touhes i!to #ust(
*OOK T:O
HA*IT AN< ORI;INA=ITB
INTRO<UCTION
So far I ha%e #isusse# reati%ity i! sie!e a!# art& that is to say& the hi$hest for's of
'e!tal ati%ity& )ith o!ly oasio!al refere!es to the hu'bler routi!es of e-iste!e( I
starte# at the roof& as it )ere "" )hat re'ai!s to be #o!e is to buil# up the )alls )hih
support it(
The 'ai! purpose of this so'e)hat per%erse proe#ure )as to #eal first )ith those
sub.ets )hih are of pri'ary i!terest to the $e!eral rea#er a!# to establish a )i#er
theoretial fra'e)ork after)ar#s( *ut there e-ist a##itio!al o!si#eratio!s to .ustify this
re%ersal of or#er( At the Hi-o! Sy'posiu' i! 456F K( S( =ashley /uote# )ith appro%al a
Fre!h author )riti!$ i! 4FFO( 'The stu#y of o'parati%e $ra''ar&' =ashley sai#& 'is !ot the
'ost #iret approah to the physiolo$y of the erebral orte-& yet Four!iT has )ritte!&
NSpeeh is the o!ly )i!#o) throu$h )hih the physiolo$ist a! %ie) the erebral life(N ' 748
The )or# 'o!ly' is& of ourse& a! u!)arra!te# e-a$$eratio!& but perhaps !o 'ore
u!)arra!te# tha! the opposite lai'& that the 'o!ly' le$iti'ate )i!#o) is that throu$h
)hih )e )ath the )orki!$s of the sali%ary refle- i! #o$s or the beha%iour of rats i!
'a+es( To repeat a! ar$u'e!t fro' the Prefae to *ook O!e0 i! the history of 'ost
sie!es )e fi!# alter!atio!s bet)ee! the #o)!)ar# approah fro' roof to base'e!t& fro'
the o'ple- to the ele'e!tary& a!# the up)ar# approah fro' the ele'e!tary to the
o'ple-, u!til the t)o fi!ally 'er$e( It )as the stu#y of o'ple- eletro"'a$!eti
phe!o'e!a )hih pro%i#e# the #ue to sub"ato'i strutures( Tor! out of the lar$er o!te-t
i! )hih the 'ele'e!tary part' fu!tio!s& it eases to be a true ele'e!tary part "" )hether )e
speak of eletro!s& tissue"ells& or 'ele'e!ts of beha%iour'( ;e!etis starte# )ith
'orpholo$ial lassifiatio!s a!# o'pariso!s of )hole or$a!is's lo!$ before a!ythi!$
)as k!o)! about hro'oso'es& $e!es& a!# !ulei a##s( The use of u!#efi!e#& '#irty'
o!epts as blak bo-es i! theory"'aki!$ has le# i!to 'a!y ul"#e"sas i! the history of
sie!e& but )as !e%ertheless i!#ispe!sable for its pro$ress(

I! e-peri'e!tal psyholo$y the pe!#ulu' osillate# i! the ourse of the last e!tury
bet)ee! the 'up)ar#' a!# the '#o)!)ar#' approah0 fro' the ato'is' of the E!$lish
assoiatio!ists to the i!trospetio!is' of the :Sr+bur$ shool, fro' the hai!"refle- theory
of :atso!ia! beha%iouris' to the Holis' of ;estalt& a!# bak a$ai! to the 'ore
sophistiate# beha%iouris' of the forties a!# fifties( *ut there are si$!s )hih i!#iate that
the o!tro%ersies bet)ee! 'o$!iti%e' %ersus 'sti'ulus"respo!se' theories of beha%iour ha%e
beo'e sterile& a!# that a !e) sy!thesis is i! the 'aki!$(

So 'uh by )ay of .ustifiatio! for the or#er of the t)o parts of this book( The
'etho#olo$ial approah of the seo!# is 'ea!t to be the re%erse of the first( It starts 'fro'
the botto'' )ith so'e ele'e!tary o!si#eratio!s )hih are !o!"o!tro%ersial( Bet
$ra#ually& I hope& a struture )ill e'er$e )hih 'akes o!tat )ith a!# le!#s support to
the o!tro%ersial theories of reati%e ati%ity outli!e# i! *ook O!e(


I

PRENATA= SKI==S

Or$a!i life& i! all its 'a!ifestatio!s& fro' e'bryo!i #e%elop'e!t to sy'boli thou$ht& is
$o%er!e# by 'rules of the $a'e' )hih le!# it ohere!e& stability& a!# a! appeara!e of
purpose 1or '$oal"#irete#!ess' if you prefer that ter'2( These rules or o#es& )hether
phylo$e!etially or o!to$e!etially a/uire#& fu!tio! o! all le%els of the hierarhy& fro'
the hro'oso'es to the !euro!"iruits respo!sible for %erbal thi!ki!$( Eah o#e
represe!ts the fi-e#& i!%aria!t aspet of a! a#aptable skill or 'atri- of beha%iour( I shall
take the stylisti lie!ee of usi!$ the )or# 'skill' i! a broa# se!se& as a sy!o!y' for ''atri-'&
a!# shall speak of the 'orpho$e!eti skills )hih e!able the e$$ to $ro) i!to a he!& of the
%e$etati%e skills of 'ai!tai!i!$ ho'eostasis& of pereptual& loo'oti%e& a!# %erbal skills(


:e shall fi!# as a fu!#a'e!tal harateristi of o#es o! all le%els that they fu!tio! o!
the tri$$er"release pri!iple& so that a relati%ely si'ple si$!al releases pre"set& o'ple-
atio! patter!s( The si$!al 'ay be 'eha!ial& as i! artifiial parthe!o$e!esis i!#ue# by a
pi!"prik, he'ial 1e($( i!#uers a!# e%oator substa!es2, or !eural 1Ti!ber$e! a!#
=ore!+'s I!ter!al Releasi%e >eha!is's2( *ut the pre"set atio! patter! ati%ate# by the
o#e is $e!erally a! elasti patter!& !ot a ri$i# auto'atis' 1suh as su$$este#& for i!sta!e&
i! Ti!ber$e!'s she'a2( Skills ha%e %aryi!$ #e$rees of fle-ibility( The restrai!ts i'pose# by
the o#e #o !ot e-haust the #e$rees of free#o' possesse# by the 'atri-, there are usually
%arious alter!ati%e hoies left to pro%i#e for a fle-ible strate$y aor#i!$ to the 'lie of the
la!#' "" i(e( $ui#e# by fee#bak fro' the e!%iro!'e!t( >atries thus fu!tio! u!#er the #ual
o!trol of a! i!%aria!t o#e a!# a %ariable e!%iro!'e!t( These t)o fators .oi!tly
#eter'i!e )hih 'e'bers of the 'atri- shoul# e!ter i!to atio! a!# i! )hat or#er(

The 'e'bers of the 'atri- are sub"'atries $o%er!e# by their sub"o#es( Fai!$ 'up)ar#'
a!# 'i!)ar#' i! the or$a!is'i hierarhy& they at as #epe!#e!t parts, fai!$ '#o)!)ar#' a!#
'out)ar#'& they at as relati%ely auto!o'ous sub")holes( O! e%ery le%el of struture a!#
fu!tio! i! the li%i!$ or$a!is' )e fi!# the sa'e phe!o'e!o! of ?a!us"fae# e!tities )hih
beha%e partly as )holes& yet )holly as parts& as it )ere( The 'irre#uible& ele'e!tary
partile' has tur!e# out to be a )ill"o'"the")isp& e%e! i! i!or$a!i he'istry, i! the
or$a!is'& the firi!$ of a si!$le !er%e"ell tur!s out to be !ot a! e%e!t& but a o'ple-&
auto!o'ous patter! of e%e!ts(


Struture a!# Fu!tio!

I shall take as 'y starti!$ poi!t t)o o'ple'e!tary aspets of the e%olutio!ary proess0
#iffere!tiatio! of struture a!# i!te$ratio! of fu!tio!( Re$ar#less of )hat ausal theory
o!e a#opts to aou!t for the e%olutio! of hi$her for's of life& the means by )hih
pro$ress is ahie%e# is the #e%elop'e!t of 'ore o'ple- a!# speiali+e# bo#ily strutures
a!# of 'ore elaborate )ays of oor#i!ati!$ their fu!tio!( These are t)o aspects of a
u!itary proess& !ot t)o proesses( I! fat both ter's& 'struture' a!# 'fu!tio!'& are
abstratio!s #eri%e# fro' i'a$i!ary ross"setio!s alo!$ the spatial or te'poral a-is of
i!#i%isible spatio"te'poral e%e!ts(

Struture is a stati o!ept of a proess fro+e! i! the speious prese!t( 'A!ato'y abstrats
fro' ti'e( It stu#ies the or$a!is' o!ei%e# Nat a! i!sta!tN(' 748 A ki#!ey& or a si!$le
ki#!ey ell& )hih has stoppe# fu!tio!i!$ !o lo!$er has the sa'e spatial struture as
before, a!# )hile it is still fu!tio!i!$ its struture is ha!$i!$ at e%ery 'o'e!t( All li%i!$
'atter o!ti!uously alters its shape a!# o'positio!, it a! be sai# to preser%e its i#e!tity
o!ly if both struture a!# fu!tio! are take! i!to o!si#eratio!( 3ie %ersa& fu!tio!
#etahe# fro' struture is the $ri! #etahe# fro' the at( Physiolo$ial proesses& u!like
'eha!ial auto'ata& are 'ope! syste's', Ost)al# o'pare# the' to the fla'e of a $as"
bur!er( The fla'e is a relati%ely stable phe!o'e!o!, but ho) is o!e to #isti!$uish bet)ee!
its struture a!# fu!tio!& bet)ee! o'bustible a!# o'bustio!E

>ost of the ti'e it is both o!%e!ie!t a!# !eessary for the biolo$ist a!# physiia! to
for$et that )he! he is speaki!$ of 'struture' a!# 'fu!tio!' he is usi!$ '#irty o!epts' ""
other)ise his )ork )oul# o'e to a sta!#still( Ho)e%er& )e shall soo! o'e aross
proble's )here the tait i'pliatio!s of both ter's )ill beo'e rele%a!t(

A seo!# ath is the se'a!ti a'bi$uity of the )or# 'fu!tio!'( It a! either 'ea! the role
or part )hih 'y li%er ought to play to keep 'e i! $oo# health& or it a! refer )ith heartless
'atter"of"fat!ess to )hat is i! fat happening i! 'y li%er& i(e( !ot to its fu!tio! i! the first
se!se but to its atual 'fu!tio!i!$'( I! the first ase& the or$a! is o!si#ere# as part of the
or$a!is', i! the seo!# ase it is treate#& pri'a faie& as a! i!#epe!#e!t )hole( :he!e%er
a #isti!tio! is i!#iate#& I shall use the )or# 'fu!tio!' i! the first se!se& a!# 'fu!tio!i!$'
i! the seo!#(


The o'ple'e!tary aspets of strutural #iffere!tiatio! a!# fu!tio!al i!te$ratio! are
reflete# at e%ery step i! the proess of 'orpho$e!esis(

The $ia!t 'oleules of <NA 1#io-yribo!ulei ai#2 i! the hro'oso'es of the fertili+e#
e$$ are sai# to represe!t the blue"pri!t of the future or$a!is'( =et us o!si#er for a 'o'e!t
this first o#e )hih )e 'eet at the base of the hierarhy( It is a 'o#e' i! the t)ofol#
'ea!i!$ i! )hih I ha%e use# that ter'0 a a!o! of rules for 'aki!$ a! or$a!is'&
represe!te# i! a 'o#e#'& o'presse# la!$ua$e( The )ay i! )hih the o#i!$ is #o!e
#eser%es so'e atte!tio!( Eah <NA 'oleule is suppose# to be apable of stori!$
so'ethi!$ of the or#er of 4CL4C bits of i!for'atio!( 798 Aor#i!$ to the :atso!"Crik
'o#el& the 'oleule has the shape of a la##er t)iste# i!to a #ouble heli-( The t)o si#es of
the la##er o!sist of u!ifor'& li!ear hai!s of su$ar $roups alter!ati!$ )ith phosphate
li!ks( The ru!$s of the la##er are pairs of !itro$e!ous bases attahe# o! eah si#e to the
su$ar $roups i! the #ouble heli-( There are four of these bases0 a#e!i!e& $ua!i!e& ytosi!e&
a!# thy'i!e& or A& ;& C& T for short( A is al)ays paire# )ith T& a!# ; al)ays )ith C& so
that the t)o si#es of the la##er are o'ple'e!tary( The se/ue!e of bases as rea# #o)!
alo!$ o!e si#e of the la##er is the $e!eti o#e& )ritte! i! the four"letter alphabet& 'A'& ';'&
'C'& 'T'( Here& the!& floati!$ i! the !ulear sap& is the o#e )hih $o%er!s the skill of
reati!$ a si-"foot #ru' 'a.or )ith a sli$ht s/ui!t a!# #i'ple# heeks& out of a! e$$ )ith a
#ia'eter of a fe) 'iro!s(

The o#e's re'arkably o'ple- ati%ities are set off by a relati%ely si'ple si$!al0 the
i'pat of the fertili+i!$ a$e!t( The pri!iple i!%ol%e# 'ust i!#ee# be relati%ely si'ple&
beause i! %irtually all 'ai! $roups of a!i'als& i!lu#i!$ rabbits a!# sheep& !or'al
#e%elop'e!t of the e$$ a! be i!#ue# by sti'ulatio! )ith !o!"speifi& physial& or
he'ial a$e!ts0 heat or ol#& sali!ity& ultra"%iolet rays& $al%a!i urre!ts& or pu!ture )ith
a fi!e !ee#le( Thou$h it 'ay be hurtful to the 'ale's pri#e& his see# see's to be a
#ispe!sable o''o#ity( Its pri'ary fu!tio! is to tri$$er off the e$$, but "" )ith fro$s at
least "" a plati!u' !ee#le )ill #o .ust as )ell(D
The 'ai! task of the $ro)i!$ ell is the 'a!ufature of protei!s )hih o!stitute the basi
stuffs of the bo#y& a!# of protei!"e!+y'es& )hih o!trol all its biohe'ial ati%ities( The
$ro)i!$ ell is pri'arily a protei!"pro#ui!$ fatory& or rather a $roup of speiali+e#
pla!ts& eah e!$a$e# i! sy!thesi+i!$ o!e %ariety at a ti'e a'o!$ the thousa!#s of #iffere!t
types of protei!"'oleules( The or#er a!# /ua!tity i! )hih eah substa!e is pro#ue# is
re$ulate# by the $e!eti o#e( The key"substa!es are the e!+y'es& )hih a! be re$ar#e#
as strutural e'bo#i'e!ts of the $e!eti i!strutio!s o#e# i! the <NA hai!s( Eah
#isrete set of i!strutio!s "" a o#e")or# o'pose# of se%eral hu!#re# o#e"letters ""
o!tai!s the reipe& as it )ere& for a speifi e!+y'e( It is usual to all these sets of
i!strutio!s '$e!es' 1althou$h the 'ea!i!$ of this tra#itio!al ter' has beo'e so'e)hat
blurre# a!# so'e $e!etiists prefer 'ore !o!"o''ittal )or#s2( Eah o#e")or# is
o'pose# of sub")holes0 three"letter syllables like CTA& AA;& et( Eah of these sub"u!its
i! the o#e"se/ue!e is apable of 'reo$!i+i!$' a!# tra!sporti!$ o!e partiular ki!# of sub"
u!it )hih $oes i!to the 'aki!$ of protei!s( These sub"u!its or 'buil#i!$"bloks' are the
a'i!o a##s, there are t)e!ty o''o! %arieties of the'( A protei! usually o!tai!s all or
'ost of the t)e!ty %arieties of a'i!o"ai# u!its& stru!$ to$ether i!to a hai! of t)o
hu!#re# or 'ore i! a speifi se/ue!e( The !u'ber of per'utatio!s of t)e!ty u!its i! a
se/ue!e of se%eral hu!#re# li!ks is of ourse e!or'ous& a!# aou!ts for the i'pressi%e
%ariety of protei!s a!# protei!"e!+y'es )hih $o i!to the 'aki!$ of our all"too"soli# flesh(
Thus the 'ai! proess i! 'orpho$e!esis see's to o!sist i! tra!sribi!$ the i'pliit&
'fu!tio!al' four"letter alphabet of the o#e i!to the e-pliit 'strutural' t)e!ty"letter
alphabet of protei!s(
The #etails of the proess are o!ly be$i!!i!$ to be k!o)! at the ti'e of )riti!$, a!#
pro$ress has beo'e so aelerate# i! this partiular fiel# that by the ti'e these pa$es
appear i! pri!t 'uh i! the' )ill be out#ate#( *roa#ly speaki!$& )e k!o) at prese!t of
t)o ki!#s of i!strutio!"arriers bet)ee! the $e!es a!# the protei!"pla!ts of the ell( The
first is ''esse!$er RNA'( The he'ial struture of RNA "" ribo!uli ai# "" is losely
relate# to that of <NA( The <NA hai! appare!tly 'a!ufatures ''esse!$er RNA' hai!s
by the sa'e proess of base"pari!$ by )hih it repliates itself( Eah 'esse!$er is
suppose# to o!tai! the 'reipe' of o!e speifi e!+y'e& a!# to arry it to the protei!"pla!t&
the riboso'e( A seo!# type of 'esse!$er is 'tra!sfer RNA'( Eah %ariety of it is a 'uh
shorter hai!& suppose# to represe!t a triplet of o#e"letters orrespo!#i!$ to a partiular
%ariety of a'i!o a##s( :he! a tra!sfer RNA u!it 'eets a! a'i!o u!it of the proper type i!
the proper o!#itio!& it )ill attah itself to the u!it like a sort of loo'oti%e& #ra$ it to the
riboso'e pla!t& a!# shu!t it i!to its proper plae i! the !ase!t protei! hai!& aor#i!$ to
the i!strutio!s of its bi$$er ollea$ue& the ''esse!$er RNA'(
This& i! broa# outli!es& is the piture to #ate "" i! the year after the Crik":atso!":ilki!s
tea' reei%e# the Nobel pri+e for 'breaki!$ the $e!eti o#e'( It is to a lar$e e-te!t #eri%e#
fro' )ork o! the $e!etis of 'iro"or$a!is's suh as the olo! baillus& a!# there are
reaso!s to belie%e that so'ethi!$ esse!tial is still 'issi!$ fro' the piture(D *ut )e !ee#
!ot be o!er!e# )ith these !ieties( :hat 'atters is that )e fi!#& literally ab ovo& fi-e#&
i!%aria!t o#es i! o!trol of the %ariable ell 'atri-( The or#er i! )hih the %arious sub"
o#es "" the $e!es "" beo'e ati%e a!# e!$a$e i! pro#ui!$ their speifi %arieties of
'esse!$er RNA is suppose# to #epe!# o! the pre"set ati%ities of 'operators' a!#
'repressors' i! the hro'oso'es& a!# perhaps o! so'e a##itio!al biolo$ial loks( *ut it
'ust also #epe!# to so'e e-te!t o! fee#bak si$!als fro' the ytoplas'& i!lu#i!$ si$!als
fro' !ei$hbouri!$ tissues )hih reah the ell throu$h its se!siti%e 'e'bra!es( Fi!ally&
ree!t e-peri'e!ts by Hy#e! 79a8 ha%e sho)! that i! the !er%e"ells of the 'ature
or$a!is' e-perie!es retai!e# i! lear!i!$ lea# to 'ore or less lasti!$ alteratio!s i! the
he'ial o'positio! of the ell's RNA o!te!t0 a fat of $reat si$!ifia!e for the proble'
of 'e'ory(
The Cell">atri-
The $ro)i!$ ell illustrates the relati%ity& or o'ple'e!tary !ature& of suh ter's as part
a!# )hole& or struture a!# fu!tio!( ':hat are alle# strutures are slo) proesses of lo!$
#uratio!& fu!tio!s are /uik proesses of short #uratio!( If )e say that a fu!tio! suh as
the o!tratio! of a 'usle is perfor'e# by a struture& it 'ea!s that a /uik a!# short
proess")a%e is superi'pose# o! a lo!$"lasti!$ a!# slo)ly ru!!i!$ )a%e' 1*ertala!ffy2( 7A8
The sa'e o!si#eratio!s apply to the relatio!s bet)ee! the $e!eti o#e a!# the ell"
'atri-( The latter is of ourse a %ery o'ple- struture& e/uippe# )ith a! a!i'al a!# a
%e$etal pole& )ith he'ial a!# 'orpho$e!eti $ra#ie!ts& a!# )ith a %ariety of or$a!elles
"" these& i! their e!se'ble& are the 'e'bers of the 'atri-( Eah 'e'ber is a sub")hole
$o%er!e# by its sub"o#e )hih a! be tur!e# o! a!# off by or#ers 'fro' abo%e'& but o!e
tri$$ere# i!to atio! follo)s its auto!o'ous fu!tio!al patter!( The centrosomes a!#
kinetosomes& for i!sta!e& are or$a!elles of appare!tly si'ilar struture but %astly #iffere!t
fu!tio!s( *oth possess the pri%ile$e of self"repliatio! )he! the ell #i%i#es, both ha%e a
yli!#rial shape a!# are 'a#e up& it see's& of ele%e! fibres "" t)o i! the e!tre& !i!e
outsi#e( *ut these #eepti%ely si'ple strutures re%eale# by the eletro!"'irosope are
o'plete biohe'ial 'ahi!es i! 'i!iature( The ki!etoso'es are attahe# to the ilia or
fla$ella of 'otile ells a!# tri$$er off their ati%ities( The e!troso'es pro%i#e the poles of
the spi!#le apparatus& )hih effets ell #i%isio!, they establish o!!etio!s )ith the
hro'oso'es i! the #ista!t !uleus& tear the pairs of #upliate# hro'oso'es apart as it
)ere& a!# #iret the' to)ar#s their !e) loatio!s i! the e!tres of the t)o !ase!t #au$hter
ells(
To take a!other e-a'ple& let us ast a /uik $la!e at the 'ost $lorious of or$a!elles& the
'itoho!#ria( There are fifty to fi%e thousa!# of the' aor#i!$ to the type of ell a!#
1to$ether )ith the hloroplasts of $ree!"leafe# pla!t"ells2 they are 'the po)er pla!ts of all
life o! earth'( As a physiist has sai#& )a-i!$ lyrial o! a biolo$ial pea#illo& they 'fee#
o! !e$ati%e e!tropy a!# #ri!k or#erli!ess fro' the e!%iro!'e!t'( 768 The hloroplasts #o it
by photosy!thesis& the 'itoho!#ria by e-trati!$ a %ery speial for' of e!er$y fro' the
he'ial bo!#s i! $luose& fat& a!# protei!s( The e!# pro#ut is ATP "" a#e!osi!e"
triphosphate "" the u!i%ersal arrier use# by the or$a!is' to supply the e!er$y !ee#e# for
the o!tratio! of 'usles& the tra!s'issio! of !er%e i'pulses& the 'a!ufature of protei!s&
a!# so o!( The sy!thesi+i!$ of ATP is arrie# out i! three 'ai! sta$es 1$lyolysis& Krebs
yle o-i#atio!& a!# 'respiratio!'D2 i!%ol%i!$ about fifty #iffere!t suessi%e reatio!s& eah
of the' ataly+e# by a speifi e!+y'e syste'( A si!$le 'itoho!#rio! 'ay possess up to
forty thousa!# of suh e!+y'e syste's, their asse'blies are arra!$e# i! the 'e'bra!e of
the or$a!elle i! patter!s )hih ha%e bee! #esribe# as ')iri!$ #ia$ra's'( They represe!t the
sub"o#es )hih $o%er! the operatio!s of the e!er$y pla!t( It also has a o'ple- fee#bak
syste'0 i! the prese!e of a! e-ess of ATP& for i!sta!e& the or$a!elle )ill o!trat(
E%e! this %ery skethy outli!e i!#iates the hierarhi or$a!i+atio! of the li%i!$ ell "
"o!e o!si#ere# the ulti'ate 'ato'' of life( The $e!eti o#e is blue"pri!te# i! the
hro'oso'es, but the hro'oso'es #o !ot #eal #iretly )ith the sub"'atries o! lo)er
le%els of the hierarhy( They #o !ot i!terfere )ith the step)ise operatio!s of breaki!$ #o)!
$luose i!to phospho$lyerate& i!to latate& i!to pyru%ate& i!to itrate& a!# so forth, these
operatio!s& .ust as those of the spi!#le apparatus of the e!troso'es& are $o%er!e# by their
o)! sub"o#es( Eah or$a!elle is a hi$hly i!te$rate# struture a!# e!.oys a o!si#erable
a'ou!t of fu!tio!al auto!o'y( Its operatio!s are s)ithe# o! or off by si$!als fro' the
hi$her ehelo!s, but these si$!als are a##resse#& as it )ere& to the o#e )hih $o%er!s the
atio!"patter! of the )hole or$a!elle& a!# !ot to its subor#i!ate parts( ;e!erally speaki!$&
)e shall see that a matrix on any level of the hierarchy is represented on the next%higher
level by its code( Or& to put it the other )ay rou!#0 the 'e'bers of a 'atri- are sub"
'atries )hih respo!# as fu!tio!al u!its to si$!als ati%ati!$ their o#es(
Nuleus a!# Cytoplas'
The fertili+e# e$$ o!tai!s the total patter! of the u!bor! i!#i%i#ual( This pri%ile$e#
positio! of a si!$le ell represe!ti!$ the )hole is of short #uratio!0 after the first fe)
lea%a$es& the #au$hter ells be$i! to #iffere!tiate, they lose their pote!tial apaity of
reo!struti!$ the )hole i!#i%i#ual& a!# are re#ue# to bei!$ parts of the $ro)i!$ e'bryo(
The proess i!%ol%es both the !uleus a!# the ytoplas'& but i! #iffere!t )ays( The
harateristis of #iffere!t types of ells& tissues& or$a!s& are esse!tially the harateristis
of their ytoplasti struture& )hih %ary fro' type to type( The !ulei )hih 1.oi!tly )ith
the ell's e!%iro!'e!t2 #eter'i!e that struture also #iffer aor#i!$ to ell"type& but i! a
subtler& 'ore 'fu!tio!al' tha! 'strutural' )ay( It is $e!erally assu'e# that eah ell i! the
'ature or$a!is' i!herits a o'plete set of the $e!eti blue"pri!t i! the <NA hai!s of its
hro'oso'es, but o!ly a fratio! of the set re'ai!s ati%e "" i(e( those $e!es )hih $o%er!
the ell's speiali+e# fu!tio!s, the re'ai!#er is per'a!e!tly 's)ithe# off'( As 'e!tio!e#
before& the ati%ity of the e!+y'e"pro#ui!$ $e!es is suppose# to be o!trolle# by
'operators' a!# 'repressors' built i!to the hro'oso'es, a!# these re$ulators i! tur! are
o!trolle# by fee#bak fro' the ytoplasti e!%iro!'e!t( 7I8 Thus the ha!$es i! the
!uleus oul# be #esribe# as functional speciali0ation0 o!ly ertai! sub"o#es "" fratio!s
of the o'plete o#e "" re'ai! operati%e, )hereas the ha!$es i! the ytoplas' of
suessi%e $e!eratio!s a'ou!t to structural individuation(
The !ulear ha!$es a! atually be obser%e# u!#er the 'irosope( The sali%ary $la!#
ells of 'i#$e lar%ae for i!sta!e possess lar$e bu!#les of hro'oso'es& )hih are see! as
sausa$e"like strutures& )ith oasio!al s)elli!$s or puffs "" the so"alle# *albia!i ri!$s(
The puffs are the sites of i!te!se RNA pro#utio!, it is therefore assu'e# that they i!#iate
ati%e $e!es( The patter! of these s)elli!$s ha!$es aor#i!$ to the a$e of the lar%a a!#
the type of ell(D
The atio! of the ytoplas' o! the !uleus has also bee! #iretly #e'o!strate#( :he! the
!uleus fro' the sali%ary $la!# ell of a #rosophila lar%a is tra!spla!te# i!to the
ytoplas'i e!%iro!'e!t of a ell at a! earlier sta$e of #e%elop'e!t& the hro'oso'es
a$ai! u!#er$o %ery 'arke# ha!$es0 ertai! s)elli!$s #isappear a!# others appear i! their
plae( This learly i!#iates the e-iste!e of a fee#bak 'eha!is' )hereby the
#e%elop'e!t of the ytoplas' as a result of $e!e ati%ity i! its tur! alls forth the ati%ity
of partiular $e!es( 7@8
The re%erse type of e-peri'e!t #e'o!strates the atio! of !ulei of #iffere!t a$es o! the
sa'e ytoplas'i e!%iro!'e!t( The !uleus of a! u!fertili+e# fro$"e$$ is re'o%e#& a!#
replae# by a !uleus fro' a #e%elopi!$ fro$"e'bryo( If the tra!spla!t !uleus )as take!
fro' a! e'bryo i! the early blastular sta$e& the result )ill be a lo!e of !or'al ta#poles, if
it )as obtai!e# fro' e'bryos i! later sta$es of #e%elop'e!t& it )ill pro#ue ab!or'al
for's(
These e-peri'e!ts i!#iate !ot o!ly that the !ulei u!#er$o ha!$es i! the ourse of
#iffere!tiatio!& but also that i! the ourse of these ha!$es they pro$ressi%ely lose their
erst)hile 'totipote!tiality'( The 'ore the ell speiali+es i! the role of a part& the less it is
apable of reati!$ a !e) )hole(
This #oes !ot 'ea! that the <NA hai!s )hih o!tai! the $e!eti o#e of the )hole
or$a!is' are lost i! the #iffere!tiate# ell "" it o!ly 'ea!s that as #iffere!tiatio! pro$resses&
'ore a!# 'ore $e!es are #ebarre# fro' ati%ity( Those )hih re'ai! ati%e are $e!eti
sub"o#es& $o%er!i!$ the partiular sub"skills )hih the speiali+e# ell is alle# o! to
perfor'( O!ly the future $er'"ells& se$re$ate# a!# protete# fro' the be$i!!i!$& retai!
their total reati%e pote!tial to o!ti!ue the $e!eti li!e "" they speiali+e i! i''ortality as
it )ere( .peciali0ation$ in morphogenesis as in other fields$ exacts its price in creativity.
The tra!spla!t e-peri'e!ts )hih I ha%e briefly 'e!tio!e#& a!# other e%i#e!e learly
sho) that )hile o! the o!e ha!# the !ulear o#e $o%er!s the ati%ities of the ell"'atri-&
the ytoplas'& o! the other ha!#& is i! o''u!iatio! )ith the ells' outer e!%iro!'e!t&
a!# by fee#i!$ i!for'atio! o! the total state of affairs bak to the !uleus& o"#eter'i!es
)hih sub"o#e shoul# be s)ithe# o! !e-t( The o#e as a )hole is u!alterable, but the
hoie of the sub"o#es to be ati%ate# #epe!#s o! the 'lie of the la!#'& as i! other skills(
The #esti!y of a ell #epe!#s o! the o'positio! of the ytoplas' )hih it i!herite# fro'
its 'other ell 1e($( 'ore a!i'al or %e$etal stuff2 a!# o! its spatial positio! i! the $ro)i!$
e'bryo(D :e ha%e here the e/ui%ale!t of a fle-ible strate$y i! 'orpho$e!esis0 the
#e%elop'e!t of the i!#i%i#ual ell is #eter'i!e# by its i!%aria!t o#e a!# by the ha+ar#s of
e!%iro!'e!t( The o#e represe!ts the fi-e# rules of the $a'e0 if you $et i!to the eto#er'&
you 'ust #o this, if i!to the e!#o#er'& you 'ust #o that( *oth the fi-ity of the o#e a!# the
fle-ibility of strate$y beo'e 'ore e%i#e!t as )e tur! to later sta$es of #e%elop'e!t "" the
'atries of 'orpho$e!eti fiel#s& )hih #iffere!tiate& i! hierarhi or#er& i!to or$a!"
syste's& or$a!s& a!# or$a!"parts(
Re$ulati%e a!# >osai <e%elop'e!t
I! the fi%e"#ay"ol# sala'a!#er e'bryo& )hose #e%elop'e!t is fairly typial for %ertebrates
i! $e!eral& tra!spla!tatio! e-peri'e!ts 'ake it possible to #isti!$uish )ell"#efi!e# areas
)hih )ill $i%e rise to the eye& $ill& li'bs& ki#!ey& et(& althou$h !ot the fai!test i!#iatio!
of these or$a!s is as yet %isible( At this sta$e& the tissue of a li'b"area tra!spla!te# i!to a
#iffere!t positio! o! the e'bryo& or o! a!other e'bryo& )ill for' a o'plete li'b, e%e! a
heart a! be for'e# o! a! e'bryo's fla!k& Suh auto!o'ous& 'self"#eter'i!i!$' tissue"areas
are alle# morphogenetic fields( If half of the heart& li'b& or eye area is ut a)ay& the
re'ai!#er of the fiel# )ill for' !ot half a! or$a!& but a o'plete heart& li'b or eye "" .ust
as& at the earlier& lea%a$e state& eah half of a fro$"e$$& 'eha!ially broke! up& )ill for'
a o'plete fro$( >oreo%er& if the tissue of& say& the ki#!ey area is 1by e!trifu$i!$2
o'pletely #isi!te$rate# i!to freely floati!$ separate ells #istribute# at ra!#o'& these
ells& suspe!#e# i! a proper 'e#iu'& )ill i! #ue ti'e pro#ue ru#i'e!tary ki#!eys "" .ust
as the #issoiate# ells of a li%i!$ spo!$e& )hih has bee! broke! up by strai!i!$ throu$h a
filter& )ill start to for' !e) ell a$$re$ates a!# e!# up by for'i!$ a o'plete& !or'al
spo!$e( 7O8
Thus a 'orpho$e!eti fiel# beha%es 'as a u!it or a )hole a!# !ot 'erely the su' of the
ellular 'aterials of )hih it is o'pose#( The fiel# )ith its or$a!i+i!$ apaities re'ai!s
u!#isturbe# if the ellular 'aterial )hih it o!trols u!#er !or'al iru'sta!es is
#i'i!ishe# or e!lar$e#( The u!it harater of the fiel# fi!#s its learest 'a!ifestatio! i!
these re$ulati%e properties(' 1Ha'bur$er( 7F82
The %arious fiel#s of the future or$a!s a!# li'bs for' a 'osai i! the e'bryo as a )hole,
at the sa'e ti'e they #isplay re'arkable re$ulati%e properties to)ar#s their o)! parts, ""
they are a$ai! ?a!us"fae# e!tities( Eah or$a! pri'or#iu' is& )he! 'looki!$ up)ar#'& a
'e'ber of the total 'atri-, )he! 'looki!$ #o)!)ar#'& a self"$o%er!i!$& auto!o'ous sub"
)hole( Althou$h the future of the fiel# i! its e!tirety is learly pre#eter'i!e# o! the 'osai
pri!iple& the future of its parts is still #epe!#e!t o! re$ulati%e fators( The ell"populatio!s
)hih o!stitute a! or$a!"pri'or#iu' ha%e lost their $e!eti totipote!tiality& but they still
possess a suffiie!t a'ou!t of 'ulti"pote!tiality to keep the 'atri- of the fiel# fle-ible( The
shape of the future or$a! is fi-e#& but the part )hih a $i%e! ell"$roup or si!$le ell )ill
play i! it is a$ai! #epe!#e!t o! biohe'ial $ra#ie!ts a!# i!#uers i! the e!%iro!'e!t&
)hih )ill tri$$er off the appropriate $e!es i! the ells' $e!eti o#e(
The #iffere!tiatio! of or$a! syste's& or$a! parts& et(& is a step)ise affair )hih has bee!
o'pare# to the )ay a sulptor ar%es a statue out of a blok of )oo#( :ith eah step i!
#e%elop'e!t& the fu!tio!s assi$!e# to eah $roup of ells beo'e 'ore preise& a!# 'ore
of its $e!eti pote!tial is suppresse# "" u!til i! the e!# 'ost ells lose e%e! their basi
free#o' to #i%i#e( *y the ti'e the fertili+e# o%u' has #e%elope# i!to a! a#ult or$a!is'&
the i!#i%i#ual ell has bee! re#ue# fro' totipote!tiality to al'ost !ullipote!tiality( It still
arries the o#e# blue"pri!t of the )hole or$a!is' i! its hro'oso'es& but all& e-ept that
ti!y fratio! of the o#e )hih re$ulates its speiali+e# ati%ities& has bee! per'a!e!tly
s)ithe# off(
Or$a!i+ers a!# I!#uers
The e'bryo $ro)s, the a#ult beha%es( ;ro)th is o!trolle# by the $e!eti o#e, a#ult
beha%iour by the !er%ous 1a!# hor'o!al2 syste's(D *ut i! bet)ee! the i!itial a!# the fi!al
sta$e there are so'e tra!sie!t o!trolli!$ a$e!ies at )ork& )hih ataly+e #e%elop'e!t by
a 'eha!is' as yet i!o'pletely u!#erstoo#0 the or$a!i+ers or e%oators(
<uri!$ the earliest sta$es of #e%elop'e!t the $ro)th of the e'bryo takes plae i! a fairly
stable e!%iro!'e!t& so that fee#bak"o!trols play a relati%ely 'i!or part( *ut )ith the
be$i!!i!$ of $astrulatio! the situatio! ha!$es0 fro' !o) o! eah #iffere!tiati!$ tissue ats
as 'e!%iro!'e!t' o! a#.ae!t tissues, the %arious types of ell"populatio! i!terat )ithi! the
e'bryo(
A partiularly i'porta!t ell"populatio! ori$i!ates i! the $rey rese!t of the +y$ote,
reappears as a! a!alo$ous rese!t o! the blastula, $i%es rise to the #orsal lip& 'i$rates i!to
the i!ter!al a%ity of the $astru8a& )here it ties its plae i! the hor#a'eso#er'& a!#
beo'es the so"alle# 'pri'ary or$a!i+er' of the e'bryo& speifially o!er!e# )ith
i!itiati!$ its !er%ous syste' "" to )hih it )ill e%e!tually ha!# o%er o!trol The tissue i!
the eto#er' )hih lies #iretly abo%e it is #esti!e# to beo'e the !eural plate "" but o!ly
if it re'ai!s i! physial o!tat )ith the or$a!i+er( If that o!tat is pre%e!te#& the
eto#er' )ill !ot for' a !eural plate a!# there )ill be !o !er%ous syste'( If& o! the other
ha!#& or$a!i+er tissue fro' the #orsal lip is $rafte# o! to the fla!k of a!other sala'a!#er
e'bryo )hih is i! the proess of $astrulatio!& it )ill i!%a#e the host a!# pro#ue a
o'plete Sia'ese t)i!& o'pose# partly of the i!%a#er's tissue a!# partly of host tissue( It
)as this re'arkable e-peri'e!t& first perfor'e# by Spe'a!! a!# Hil#e >a!$ol# i! 459I&
)hih ear!e# the pri%ile$e# re$io! of the #orsal lip i! the $astrula the !a'e of 'pri'ary
or$a!i+er'(
At a later sta$e& the or$a!i+er tissue see's to #iffere!tiate i!to hea#"& tru!k"& a!# tail"
or$a!i+ers, a!# )ith the appeara!e of or$a! pri'or#ia& its i!#uti%e fu!tio!s are further
#i%i#e# up a!# ha!#e# o%er to e!tres loate# i! the or$a!s the'sel%es( A lassi e-a'ple
of i!#utio! is the for'atio! of the %ertebrate eye( The ru#i'e!tary brai! has t)o sas& or
%esiles& attahe# to it0 the future eyes( The brai! a!# its eye pri'or#ia ori$i!ate as
thike!i!$s of the surfae area )hih& after the i!"fol#i!$ of the !eural tube& o'e to lie
under the surfae( So the eye %esiles 'ust !o) 'o%e out)ar# a$ai! to 'ake o!tat )ith
the surfae& but at the sa'e ti'e re'ai! attahe# to the brai! by the opti stalks 1)hih )ill
#e%elop i!to the opti !er%es2( I! the proess& the %esiles assu'e the shape of o!a%e
sauers& the opti ups( :he! these 'ake o!tat )ith the surfae& the ski! areas o%erlayi!$
the o!tat areas fol# !eatly i!to the hollo) ups& thike!& #etah the'sel%es fro' the
surfae& a!# e%e!tually beo'e the tra!spare!t le!ses( It a! be sho)! that it is the opti
up )hih i!#ues the ski! to 'ake a le!s& for if the up of a fro$ e'bryo is re'o%e#& !o
le!s )ill for', a!# %ie %ersa& if the eye %esile is $rafte# u!#er the e'bryo's belly& the
belly ski! )ill for' a le!s(
Ho)e%er& the #oility of e'bryo!i tissue has its li'its( The tissue 'ust be 'o'pete!t' 758
to reat to the i!#utor, a!# 'o'pete!e' is #eter'i!e# by the #e$ree of #iffere!tiatio! the
tissue has reahe# "" or& put i! a!other )ay& by the a'ou!t of $e!eti 'ultipote!tial )hih
it still retai!s( A! i!#utor 'a!!ot 'ake a!y ell pro#ue a!y speifi respo!se u!less the
ell is i!tri!sially prepare# to #o so'( 74C8 A $i%e! re$io! of the eto#er' at a $i%e! sta$e
of #iffere!tiatio! 'ay retai! e!ou$h $e!eti fle-ibility to beo'e either a le!s or ski!"
tissue, it )ill !ot be prepare# to for' a ki#!ey( I! the e-peri'e!tal laboratory& a
tra!spla!te# eye"%esile a! be use# to i!#ue a le!s o! the sala'a!#er's belly( *ut u!#er
!or'al o!#itio!s the i!#utor's fu!tio! is to ataly+e or 'e%oate' the atuali+atio! of the
$e!eti pote!tials prese!t i! the appropriate tissue( He!e the ter' 'e%oator"substa!e' for
the he'ial a$e!t respo!sible for i!#utio!(
A urious fat about i!#utors is that they see' to be or$a!"speifi but !ot speies"
speifi( The opti up of a fro$ tra!spla!te# u!#er a sala'a!#er e'bryo's ski! )ill ause it
to pro#ue a le!s, the pri'ary or$a!i+er of the sala'a#er )ill i!#ue brai! strutures !ot
o!ly i! fro$s but e%e! i! fish, 7448 a!# the or$a!i+er of a fro$& e%e! of a fish& a! i!#ue
seo!#ary e'bryos i! the obli$i!$ sala'a!#er( *ut the i!#ue# e'bryo )ill be a
sala'a!#er& !ot a fro$ or a fish, a!# the fro$"ski! tra!spla!te# o! to the sala'a!#er's hea#
)ill for' a fro$"'outh& !ot a sala'a!#er"'outh( I! this respet& too the e%oator see's to
at 'erely as a tri$$er"releaser o! the $e!eti pote!tial of the ell(
This assu'ptio! )as o!fir'e# )he! Holtfreter& ?( Nee#ha'& a!# others #iso%ere# that
ru#i'e!tary !er%ous syste's oul# be i!#ute# i! sala'a!#er e'bryos by a $reat %ariety
of li%i!$ or #ea# or$a!i+ers( These i!lu#e 'ost tissues of the a#ult sala'a!#er itself,
'ouse"li%er a!# i!set or$a!s& 'olluss& ai#ifie# salt solutio!s& sterols& a!# #ye stuffs(
>oreo%er& it )as fou!# that so'e tissues 1suh as e'bryo!i ski! a!# i!testi!e2 )hih
a!!ot at as i!#utors )he! ali%e a! #o so )he! kille# 1i! alohol or by heati!$2( All this
poi!ts to the o!lusio! that the e%oator of the !er%ous syste' is a !o!"speifi he'ial
a$e!t )hose fu!tio! is 'erely 'to release the true ati%e substa!e fro' !ei$hbouri!$
ytoly+i!$ ells', 7498 a!# that the substa!e thus release# is RNA& the arrier of the ell's
$e!eti i!strutio!s( It has i!#ee# bee! sho)! that there e-ist #isti!t RNA $ra#ie!ts i! the
i!#ute# tissues& a!# that the hi$hest RNA o!e!tratio!s are fou!# i! !er%ous"syste's
i!#utio!( Si!e the e%oator substa!es& u!like hor'o!es& at o!ly by #iret o!tat& i(e(
by #iffusio! fro' ell to ell& it see's that their fu!tio! is 'erely to activate those !93
sub%codes which will specify the tissues/ destiny( This is i! keepi!$ )ith Ha'bur$er's
#efi!itio! of e'bryo!i i!#utio! as 'a proess i! )hih o!e #e%elopi!$ struture& the
inductor& sti'ulates a! a#.ae!t struture to u!#er$o a speifi #iffere!tiatio!'( 74A8
Artifiial i!#utio! throu$h tra!spla!t e-peri'e!ts )oul# the! a'ou!t to #rasti ha!$es i!
the e!%iro!'e!t of a ell"populatio!& )hih i!terfere )ith its biolo$ial ti'e"loks 1the
pre"set se/ue!e of $e!e"ati%ities2, .ust as the tra!spla!tatio! of a !uleus i!to a #iffere!t
ytoplas'i e!%iro!'e!t auses a ha!$e i! the patter! of its hro'oso'e"puffs(
I!#utio! is a tra!sie!t 'etho# of re$ulati!$ #e%elop'e!t& )here the $e!eti pote!tials of
ertai! ell"populatio!s& or 'orpho$e!eti fiel#s& are ati%ate# by he'ial a$e!ies
#iffuse# i! their i''e#iate e!%iro!'e!t( Althou$h the he'istry of i!#utio! is still a
proble'ati affair& it see's safe to assu'e& as >ittash has poi!te# out& that 'or$a!i
ataly+ers also sho) a ra!k or#er0 be$i!!i!$ )ith the e!+y'es& )hih are a#.uste# 'ost
speifially to arry throu$h a si!$le reatio!& to bioataly+ers suh as the ( ( ( or$a!i+er
substa!es i! a!i'als )hih re$ulate 'ore or less )i#e o'ple-es of proesses& a!# up to
#ireti!$ bioataly+ers& suh as 'a!y hor'o!es& that i!flue!e to a lar$e e-te!t the )hole
or$a!is' psyhophysially(' 7468
Past the early a!# tra!sitory phase of i!#utio!& 'ore a#%a!e# 'etho#s of o"or#i!atio!
a!# o!trol 'ake their appeara!e( I! the hu'a! e'bryo the' heart be$i!s to beat at the e!#
of the thir# )eek& o!trolle# by its o)! pae"'aker& )he! the )hole reature is less tha! a
fifth of a! i!h lo!$( >usle o!tratio!s i! respo!se to e-ter!al sti'uli a! be eliite#
after the ei$hth )eek& a!# spo!ta!eous 'o%e'e!ts 'ay be$i! i! the te!th )eek( They are
'yo$e!i reatio!s of the 'usle tissue to #iret loal sti'ulatio!& )hile the !er%ous
syste' is still i! the 'aki!$( *ut the o!spiuous rea#i!ess of the !eural plate to start
$ro)i!$ i! respo!se to !o!"speifi 'e%oators' #esi$!ates it& as it )ere& as the heir appare!t
to the earlier for's of i!te$ratio!(
To su' up0 at %arious sta$es of e'bryo!i #e%elop'e!t& a!# at %arious strutural le%els&
)e fi!# #iffere!t biohe'ial 'eha!is's& but a!alo$ue pri!iples at )ork( At e%ery sta$e
a!# le%el the $a'e is playe# aor#i!$ to fi-e# rules but )ith fle-ible strate$ies 1althou$h
their fle-ibility is !or'ally hi##e! fro' the eye a!# re%eale# o!ly by the tra!spla!tatio!
a!# $rafti!$ teh!i/ues of e-peri'e!tal e'bryolo$y2( The o%erall rules of the $a'e are lai#
#o)! i! the o'plete set of i!strutio!s of the $e!eti o#e, but the partiular set of
i!strutio!s operati%e at a!y le%el at a!y ti'e is tri$$ere# off by 'essa$es fro' the i!ter"
a!# e-tra"ellular e!%iro!'e!t& )hih %ary i! harater aor#i!$ to strutural le%el a!#
#e%elop'e!tal sta$e0 fertili+i!$ a$e!ts& ytoplas'i fee#baks& #iret"o!tat e%oators&
hor'o!es& a!# other atalysts(
O! the le%el of the +y$ote& the ell"'atri- o!sists of biohe'ial $ra#ie!ts a!#
or$a!elles, it is a strutural 'osai e/uippe# )ith a-ial polarity )hih u!#er !or'al
o!#itio!s pre#eter'i!es the hea# a!# tail re$io!& the blastopores& et(& of the e'bryo, but
it also has striki!$ re$ulati%e properties re%eale# by e-peri'e!tal 'a!ipulatio!( :ith
pro$ressi%e #iffere!tiatio! the re$ulati%e properties of the ell #i'i!ish& a!# its #e$rees of
'$e!eti free#o'' free+e up( O! the le%el of the 'orpho$e!eti fiel# )e a$ai! fi!# self"
re$ulati!$ properties "" half the fiel# )ill still for' a o'plete li'b "" a!# a 'osai"'atri-
of ell"populatio!s( The auto!o'ous& self"asserti%e harater of 'orpho$e!eti fiel#s is
'a!ifeste# i! $rafti!$ a!# e!trifu$i!$ e-peri'e!ts, their #epe!#e!t& or part harater by
the tri%ial fat that they are kept i! their proper si+e a!# plae i! the !or'ally $ro)i!$
or$a!is'( This )ill sou!# less of a truis' )he! )e tur! to the phe!o'e!a of re$e!eratio!
1Chapter III2( :e shall fi!# re$ulati%e harater a!# 'osai harater& auto!o'y a!#
subser%ie!e& the self"assertio! of the part a!# its #epe!#e!e o! the )hole to be
o'ple'e!tary aspets o! e%ery le%el of the hierarhy i! !or'al #e%elop'e!t a!#
beha%iour, but also& that u!#er ab!or'al o!#itio!s this eases to be the ase& a!# that the
part 'ay the! assert itself at the e-pe!se of the )hole& )ith so'eti'es be!efiial& 'ostly
#estruti%e& effets(D
NOTES
To p( 64F( This is& of ourre& !ot 'ea!t to belittle the e!or'ous a#%a!ta$es of se-ual o%er
ase-ual repro#utio!(

To p( 645( The three"letter '#itio!ary'& for i!sta!e& is partly a #itio!ary of sy!o!y's0
there are 6LA U @6 triplets& but o!ly 9C ar!i!o ai#s& a!# 'a!y of the latter are represe!te#
by 'ore tha! o!e o#e syllable(

To p( 69C( 'Respiratio!' is a! appro-i'ate ter'( The proess is i! fat o-i#ati%e
phosphorylatio!(

To p( 699( I! so'e& probably e-tre'e ases& the !ulear ha!$es are e%e! 'ore #rasti(
The !uleus of the fertili+e# e$$ of the $all"'i#$e o!tai!s forty hro'oso'es& a!# i! the
ourse of the first fe) #i%isio!s these are faithfully #upliate#( *ut i! the fifth #i%isio!&
o!ly ei$ht sets of hro'oso'es i! the so'a ells #upliate i! the ortho#o- 'a!!er, the
other thirty"t)o fail to #o so a!# $ra#ually #issol%e i! the ytoplas'( The future $er' alls&
ho)e%er& )hih ha%e pre%iously bee! se$re$ate# fro' the rest of the e$$s& #o !ot
partiipate i! the fateful fifth #i%isio! a!# preser%e their hro'oso'e o'ple'e!t i!tat(
Thus the !ulei of all speiali+e# bo#y ells ha%e o!ly ei$ht hro'oso'es& )hereas the
$er' ells ha%e forty( Cf( Fishber$& >( a!# *lakler& A( :( 145@42(

To p( 69A( I! a paper rea# at the *ritish Assoiatio! >eeti!$ i! Au$ust 45@9& =( :olpert
su$$este# that #iffere!tiatio! resulte# fro' the si!$le ell's te!#e!y to stik o! to that part
of the $astrula )all best suite# for it 1the i#ea see's to ha%e bee! ori$i!ate# by T(
;usthafso!2( At the sa'e 'eeti!$ E( N( :ill'er sho)e# that ha!$es i! the salt bala!e of
the surrou!#i!$ 'e#iu' 'a#e a'oebae ha!$e fro' a'oeboi# to fla$ellate for'&
re%ersibly "" the i'pliatio! bei!$ that he'ial $ra#ie!ts playe# a! i'porta!t part i! the
early sta$es of #iffere!tiatio! 19ew .cientist& No ACA& @(5(45@9& p( 6592(

To p( 69I( <uri!$ 'aturatio! i! the hi$her speies& the t)o types of o!trol o%erlap, a!#
pre"set biolo$ial ti'e"loks see' to e-erise so'e i!flue!e throu$hout a#ult life(

To p( 69F( I! this !eessarily si'plifie# #isussio! of 'orpho$e!eti proesses I ha%e
'a#e !o 'e!tio! of ytoplas'i i!herita!e a!# other o'pliati!$ fators& )hih #o !ot
affet the basi ar$u'e!t of this book(




II

THE U*IJUITOUS HIERARCHB
<e%elop'e!t of the Ner%ous Syste'

The pio!eer )ork o! the #e%elop'e!t of the !er%ous syste' i! %ertebrate e'bryos is ;( E(
Co$hill's 'o!u'e!tal stu#y of ambystoma& a lar%al for' of sala'a!#er2( 748 Co$hill
publishe# his results i! a series of papers sprea# o%er a perio# of t)e!ty"fi%e years& 4546"
A5( Si!e they are surprisi!$ly sel#o' /uote# outsi#e the teh!ial literature "" presu'ably
beause they ra! a$ai!st the beha%iourist ]eit$eist "" I 'ust briefly su''ari+e his
o!lusio!s(

The tra#itio!al assu'ptio! about the #e%elop'e!t of the !er%ous syste' )as that
ele'e!tary& loal refle-es arise first& a!# are hai!e# to$ether at a later sta$e( Thus the
se$'e!tal refle- ars of the earth)or' )oul# #e%elop first& as i!#epe!#e!t u!its ali$!e# i!
a series perpe!#iular to its a-is& a!# o!ly later o! )oul# they beo'e o!!ete#& like ri!$s
ha!$i!$ fro' a festoo! stri!$& by the spi!al or#( Co$hill's )ork sho)e# that the opposite
is true( I! the sala'a!#er& #e%elop'e!t starts )ith the $ro)th of the 'otor"trats of the
or# a-ially fro' hea# to tail, the! this e!tral bu!#le se!#s out ollateral bra!hes i!to the
se$'e!tal 'usles& oor#i!ati!$ their atio!s i! pri'iti%e& u!itary patter!s, the se!sory
!euro!s beo'e fu!tio!al o!ly at a later sta$e& a!# the loal refle-"ars o'e last& as
se$re$atio!s of 'partial patter!s' out of the 'total patter!' )hih pree#e# the'( The )hole
#e%elop'e!t is e!trifu$al0 the ste' pree#es the bra!hes& spo!ta!eous u!#iffere!tiate#
'o%e'e!ts i!%ol%i!$ the )hole !euro"'usular apparatus pree#e #iffere!tiate#
'o%e'e!t& total respo!ses pree#e speiali+e# loal respo!ses( To $i%e a! e-a'ple0 )he!
the li'bs #e%elop& their first 'o%e'e!ts are e!tirely #epe!#e!t o! a!# sy!hro!i+e# )ith
the 'o%e'e!ts of the tru!k( O!ly later o! #o the li'bs be$i! to 'o%e i!#epe!#e!tly, the
sa'e applies to the 'otio!s of hea#& 'outh& et( The $ro)th of the !er%ous syste' fro'
be$i!!i!$ to e!# is #o'i!ate# by 'a totally i!te$rate# 'atri-& a!# !ot a pro$ressi%e
i!te$ratio! of pri'arily i!#i%i#uate# u!its'( The or$a!is' is !ot a su' of its refle-es& but o!
the o!trary 'the 'eha!is' of the total patter! is a! esse!tial o'po!e!t of the
perfor'a!e of the part& i(e( the refle-'( The sti'ulus"respo!se she'e a!!ot e-plai! e%e!
e'bryo!i beha%iour& beause 'o%e'e!ts appear lo!$ before the 'otor !euro!s of the
refle- ar are o!!ete# )ith the se!sory !euro!s( This e!trifu$al 'o#e of #e%elop'e!t
'ea!s that the i!#i%i#ual ats o! its e!%iro!'e!t before it reats to its e!%iro!'e!t(

'I! so far as the orrelatio! of !er%ous struture a!# fu!tio! i! the #e%elop'e!t of the
i!#i%i#ual has bee! arrie#& strutural pro%isio! has bee! fou!# for the perpetuatio! of
spo!ta!eity& auto!o'y& or i!itiati%e as a fator i! its beha%iour( A!y theory of 'oti%atio!&
therefore& that attributes this fu!tio! )holly to the e!%iro!'e!t& is $rossly i!a#e/uate(' The
i#ea that i!sti!ts are hai!e# refle-es 'ust be aba!#o!e#, i!sti!ts represe!t 'total atio!
patter!s i! respo!se to relati%ely $e!eral situatio!s'( Co'pari!$ the e'bryo!i
#e%elop'e!t of a'bysto'a )ith that of the hu'a! foetus& Co$hill su's up0
I! o!lusio! I a' o!%i!e# by a stu#y of all a%ailable reor#s of 'o%e'e!t i! hu'a!
foetuses #uri!$ the first si- 'o!ths& that beha%iour #e%elops i! 'a! as it #oes i!
a'bysto'a by the e-pa!sio! of a total patter! that is i!te$rate# as a )hole fro' the
be$i!!i!$& a!# by i!#i%i#uatio! of partial patter!s 1refle-es2 )ithi! the u!itary )hole(D
:e thus fi!# i! the #e%elop'e!t of the !er%ous syste' the sa'e pri!iples at )ork )hih
)e ha%e #isusse# before( The !eural plate starts as a pri'or#iu' )ith 'ultipote!tial ell"
populatio!s )hih #iffere!tiate i! a series of steps i!to the brai!& the spi!al or#& a!# its
substrutures( The ')iri!$ #ia$ra'' of the or$a!is' has a sta!#ar#i+e# patter! "" a!
i!%aria!t o#e, but tra!spla!t e-peri'e!ts a$ai! sho) the $reat fle-ibility of the
'!euro$e!eti skill' )hih reali+es that patter!( If a li'b"bu# fro' a sala'a!#er e'bryo is
tra!spla!te# to a!other e'bryo's fla!k& out$ro)i!$ !er%e"fibres loate the bu# a!#
establish a !or'al !er%e patter!( The bulb"shape# tips of the out$ro)i!$ !er%es are
appare!tly $ui#e# by sub'irosopi strutures i! the ell"'atri- of the $ro)i!$ bu# "" at
least aor#i!$ to the urre!t 'o!tat $ui#a!e' theory(
I ha%e alle# #iffere!tiatio! of struture a!# i!te$ratio! of fu!tio! o'ple'e!tary aspets
of a u!itary proess( *ut the 'fu!tio!s' of the $ro)i!$ e'bryo are #iffere!t fro' the
'fu!tio!s' of the a#ult( It has bee! sho)! that the li'b"bu#s a!# )i!$ bu#s of hik
e'bryos #e%elop i!to al'ost !or'al le$s a!# )i!$s if !er%es are pre%e!te# fro' e!teri!$
the'( This #oes !ot 'ea!& of ourse& that #iffere!tiatio! of struture o'es first& a!#
i!te$ratio! of fu!tio! later o!& as a separate at( For the fu!tio! of the le$"bu# is to $ro)
"" !ot to )alk( ;ro)th is a fu!tio! o!trolle# by the $e!eti o#e, )he! $ro)th is
o'plete# a!# the ti'e has o'e to )alk& the !er%ous syste' takes o%er o!trol, a!# if it
fails to #o so& the 'usle tissues )ill #e$e!erate& as #e!er%ate# a#ult 'usles #o(D
=oo'otor Hierarhies
':hate%er the !ature of or$a!i+i!$ relatio!s 'ay be&' ?( Nee#ha' )rote i! 45A9& 'they for'
the e!tral proble' of biolo$y& a!# biolo$y )ill be fruitful i! the future o!ly if this is
reo$!i+e#( The hierarhy of relatio!s& fro' the 'oleular struture of arbo! o'pou!#s
to the e/uilibriu' of speies a!# eolo$ial )holes& )ill perhaps be the lea#i!$ i#ea of the
future(' 798
This prophey has !ot o'e true( The ;estalt shool's o%er"e'phasis o! ')hole!ess'& a!#
the beha%iourists' o%er"e'phasis o! 'si'ple ele'e!tary proesses' "" the so"alle# S("R(
1sti'ulus"respo!se2 she'e "" reate# a o!tro%ersy base# o! a fallaious alter!ati%e& a!#
pre%e!te# a true appreiatio! of the 'ulti"layere# hierarhi or#er to be fou!# i! all
'a!ifestatio!s of life(
Bet the i#ea is of ourse by !o 'ea!s !e), hierarhies i! !er%ous fu!tio! )ere propose#
by Herbert Spe!er i! the 4FOCs& a!# elaborate# by Hu$hli!$s ?akso!& Sherri!$to!& a!#
others( 7A8 The hierarhial harater of skills )as #e'o!strate# i! $reat #etail by *rya!
a!# Harter i! their stu#y of tele$raphy a!# i! *ook's stu#y of touh"typi!$ 1see belo)& pp(
I66 ff(2 at the tur! of the e!tury& but !either S"R psyholo$ists !or ;estaltists pai#
atte!tio! to the'( :oo#$er 145952 atte'pte# a for'ali+atio!& by 'ea!s of sy'boli lo$i&
of ertai! types of hierarhies 1'#i%isio!al hierarhies'& 'spatial hierarhies'& '$e!eti
hierarhies'& et(2 )hih are of so'e)hat abstrat i!terest( Hei#e!hai! 1459A2 768 propose#
a hierarhy of 'histo"syste's' )hih are 'e!apsulate#' i!to o!e a!other 1e($( !euro"fibriles&
!euro!s& !er%e fibres2( *ertala!ffy 145I92 trie# to 'ake a #isti!tio! bet)ee! 'hierarhies
of parts'& 'hierarhies of proesses'& 'hierarhies of e!trali+atio!'& et( Ti!ber$e! #efi!e#
i!sti!t as a hierarhially or$a!i+e# !er%ous 'eha!is' "" but his 'eha!is' is fi-e# a!#
ri$i# 1see belo) p( 6OF2( A sti'ulati!$ #isussio! of the sub.et a! be fou!# i! >iller&
;ala!ter& a!# Pribra''s re'arkable essay o! 'Pla!s a!# the Struture of *eha%iour' 145@C2(


The )or# 'hierarhy' a! be use# to 'ea! si'ply ra!k"or#er( Hull's fa'ous 'habit fa'ily
hierarhy'& for i!sta!e& 'ea!s .ust that 1the or#eri!$ of a $roup of i!terha!$eable
respo!ses aor#i!$ to their stre!$th2& a!# is !ot a hierarhy at all i! the se!se i! )hih the
ter' is use# i! this book( I ha%e su''ari+e# )hat I 'ea!t by it i! the hapter 'Part!ess a!#
:hole!ess' 1*ook O!e& Chapter HIII2( A hierarhy& i! this se!se& is !ot like a ro) of or$a!
pipes, it is like a tree& arbori+i!$ #o)!)ar#( The strutural or fu!tio!al e!tities o! eah
le%el are auto!o'ous sub")holes of o'ple- patter!& but are represe!te# o! the !e-t hi$her
le%el as u!its( I! e%ery or$a!i hierarhy& to paraphrase ;ertru#e Stei!'s state'e!t about the
rose& 'a part is a )hole is a part is a )hole'(



Perhaps the 'ost satisfatory theoretial treat'e!t of the o!ept of hierarhi or#er )as
$i%e! by Paul :eiss "" )hose e-peri'e!tal )ork )as a 'a.or o!tributio! to)ar#s
pro%i#i!$ the o!ept )ith a fir' e'pirial basis( The /uotatio! )hih follo)s is fro' the
elebrate# Hi-o! Sy'posiu', its %i%ikss is e!ha!e# by the fat that it is take! fro' a! e-
te'pore o!tributio! by :eiss to the #isussio! of =ashley's paper o! 'The Proble' of
Serial Or#er i! *eha%iour'D 1'y italis20
:hile the physiolo$ist a!# psyholo$ist #eal )ith the rea#y"'a#e 'ahi!e of the !er%ous
syste' a!# a! a## to it as 'a!y properties as he thi!ks !eessary& the e'bryolo$ist 'ust
e-plai! .ust ho) suh a! i''e!sely i!triate& yet or#erly& thi!$ a! #e%elop( These stu#ies
are still i! their i!fa!y& but a fe) thi!$s ha%e alrea#y o'e out ( ( ( for i!sta!e& the
relati%e auto!o'y of struture# patter!s of ati%ity& a!# the hierarhial pri!iple of their
or$a!i+atio! ( ( ( ( The !er%ous syste' is !ot o!e bi$ 'o!oto!i pool )hose ele'e!ts a!
be freely reo'bi!e# i! a!y !u'ber of $roupi!$s& thereby $i%i!$ a! i!fi!ite %ariety of
!er%ous respo!ses( This use# to be the ol# i#ea of the assoiatio!ists& a!# it is utterly
i!o'patible )ith )hat )e ha%e lear!e# about the #e%elop'e!t of the !er%ous syste' a!#
its fu!tio! i! a!i'als( The )orki!$ of the e!tral !er%ous syste' is a hierarhi affair i!
)hih fu!tio!s at the hi$her le%els #o !ot #eal #iretly )ith the ulti'ate strutural u!its&
suh as !euro!s or 'otor u!its& but operate by ati%ati!$ lo)er patter!s that ha%e their o)!
relati%ely auto!o'ous strutural u!ity( The sa'e is true for the se!sory i!put )hih ( ( (
operates by affeti!$& #istorti!$& a!# so'eho) 'o#ifyi!$ the pre"e-isti!$& prefor'e#
patter!s of e!tral o"or#i!atio!( ( ( ( The fi!al output is the! the outo'e of this
hierarhial passi!$ #o)! of #istortio!s a!# 'o#ifiatio!s of i!tri!sially prefor'e#
patter!s of e-itatio!& )hih are i! !o )ay replias of the i!put( The struture of the i!put
#oes !ot pro#ue the struture of the output& but 'erely 'o#ifies i!tri!si !er%ous ati%ities
that ha%e a strutural or$a!i+atio! of their o)!( This has bee! pro%e# by obser%atio! a!#
e-peri'e!t( Co$hill has sho)! that the 'otor patter!s of the a!i'al #e%elop prior to the
#e%elop'e!t of se!sory i!!er%atio!( I ha%e sho)!& as others ha%e& that the re'o%al of the
se!sory i!!er%atio! #oes !ot abolish the o"or#i!atio! of 'otor ati%ities( >oreo%er&
oor#i!ate# 'otor fu!tio!s of li'bs a!# other parts #e%elop e%e! if these parts ha%e bee!
e-peri'e!tally pre%e!te# fro' e%er beo'i!$ i!!er%ate# by se!sory fibres( Therefore& the
se!sory path)ay a! ha%e !othi!$ to #o )ith the struture of the 'otor respo!se( There are
still so'e authors )ho try to sa%e the ol# assoiatio!ist i#ea that atually the i!put shapes
the struture of the output( I thi!k that they are fi$hti!$ a losi!$ fi$ht& a!# I thi!k that
to#ay's #isussio! ou$ht to ha%e $i%e! the' the oup #e $ree( I!tri!si auto'ati rhyth's
ha%e bee! sho)!& for i!sta!e& by A#ria! i! the brai! ste' of the $ol#fish a!# i! i!set
$a!$lia& by Prosser i! other arthropo#s& by *re'er a!# by %o! Holst i! the spi!al or#& a!#
by *ethe i! .ellyfish( I ha%e sho)! e-peri'e!tally that a!y $roup of bulbar or spi!al !er%e
ells take! fro' %ertebrates& if #epri%e# of their strutural bo!#s of restrai!i!$ i!flue!es
a!# allo)e# to u!#er$o a ertai! #e$ree of #e$ra#atio!& )ill #isplay per'a!e!t auto'ati&
rhyth'i& sy!hro!i+e# ati%ity of re'arkable re$ularity( Rhyth'i ati%ity& therefore&
see's a basi property of pools of !er%ous ele'e!ts ( ( ( ( The rhyth' is !ot so'ethi!$
$e!erate# throu$h a! i!put rhyth', but is itself a pri'ary rhyth' )hih 'ay be release#
a!# e%e! spee#e# up or retar#e# by the i!put& but is !ot #eri%e# fro' the i!put( So )e ha%e
e-peri'e!tal e%i#e!e that rhyth'i auto'atis'& auto!o'y of patter!& a!# hierarhial
or$a!i+atio! are pri'ary attributes of e%e! the si'plest !er%ous syste's & a!# I thi!k that
this u!ifies our %ie) of the !er%ous syste'( 7I8
=et 'e e!lar$e o! so'e of these poi!ts a!# a## a fe) fats )hih ha%e e'er$e# si!e(
I! the first plae it has bee! fou!# that i!tri!si& rhyth'i ati%ity of a! auto!o'ous
harater is !ot o!fi!e# to 'otor !er%es& but that 'reeptors also are spo!ta!eously ati%e
e%e! i! the abse!e of sti'ulatio! fro' e!%iro!'e!t(' 7@8 This spo!ta!eous reeptor
ati%ity& )hile 'o#ifie# by e!%iro!'e!tal e%e!ts& is u!#er effere!t o!trol fro' the e!tral
!er%ous syste'( The e!tral o!trol 1both of the spo!ta!eous reeptor ati%ity a!# of the
i!put2 is& as )e shall see& pri'arily of a restrai!i!$& i!hibitory !ature( *ut for the ti'e bei!$
let us o!fi!e oursel%es to 'otor or$a!i+atio!(
I! a! earlier paper 14564 a& p( 9A2 :eiss #isti!$uishe# the follo)i!$ le%els of the
hierarhy0
4( The le%el of the i!#i%i#ual 'otor u!it( 9( All the 'otor u!its belo!$i!$ to o!e 'usle( A(
Co"or#i!ate# fu!tio!s of 'usular o'ple-es relati!$ to a si!$le .oi!t( 6( Coor#i!ate#
'o%e'e!ts of a li'b as a )hole( I( Coor#i!ate# 'o%e'e!ts of a !u'ber of loo'otor
or$a!s resulti!$ i! loo'otio!( @( NThe hi$hest le%el o''o! to all a!i'alsN& the
'o%e'e!ts of Nthe a!i'al as a )holeN(
This is as far as the she'a propose# by :eiss $oes( No) let 'e e-te!# it o!e step further
#o)!)ar# i! the hierarhy( E%e! the lo)est a'o!$ the si- le%els is a %ery o'ple- affair(
The i!#i%i#ual 'usle ell of a stripe# 'usle "" usually alle# a 'usle fibre "" is a lo!$&
yli!#rial struture surrou!#e# by a 'e'bra!e( Its pri!ipal fu!tio!s are0 1a2 to ser%e as a
reeptor for !er%e i'pulses )hih reah it at the sy!apse throu$h a he'ial tra!s'itter,
1b2 to re"o#e this 'essa$e i!to a! eletro"he'ial e-itatio! sprea#i!$ alo!$ its surfae,
12 to relay it to the atual o!tratile struture& a!# to pro%i#e the e!er$y for the
o!tratio! i! the ell's i!ter!al e!er$y urre!y "" ATP, 1#2 to o!trat(D This i!%ol%es at
least three #isti!t proesses 1aetylholi!e tra!s'issio!, so#iu'"potassiu' atio!
pote!tials, ati%atio! by ATP2 e!teri!$ suessi%ely i!to atio! bet)ee! the sy!apti a!#
the fila'e!t le%els& )ith 'eha!ial o!tratio! as the e!# pro#ut( Thus the ulti'ate
''otor u!it' at the base of the hierarhy is !ot the ell itself& but the apparatus )ithi! it
)hih pro%i#es the o!tratio!(
That apparatus is& broa#ly speaki!$& a ki!# of yli!#rial able& the fibre& o'pose# of a
bu!#le of fibrils& eah i! tur! o'pose# of bu!#les of fila'e!ts( The fila'e!ts are of t)o
%arieties& a thik a!# a thi! o!e& the for'er suppose# to be o!sisti!$ of 'oleular threa#s
of ati!& the seo!# of 'yosi!( The o'bi!atio! of these t)o protei!s "" ato"'yosi! "" is a
substa!e )hih o!trats )he! ati%ate# by the e!er$y arrier of the ell& ATP( The
'eha!is' of the o!tratio! is presu'e# to be a telesopi!$ i!to eah other of the thik
a!# fi!e bu!#les of fila'e!ts( 7OD8
It is assu'e#& the!& that 'usle 'o%e'e!t is #ue to the he'ial atio! of ATP o!
o!tratile protei!s, a!# 'oreo%er that esse!tially the sa'e proess is respo!sible for the
strea'i!$ 'otio! of a'oeba& the ro)i!$ 'otio! of ilia& a!# the tail"stroke 'otio! of
fla$ella( A'oeba& as I ha%e 'e!tio!e# before 1!ote to p( 69A& pre%ious hapter2 are apable
of ha!$i!$ fro' a'oeboi# to fla$ellate for' "" a!# bak( Thus at the %ery botto' of the
hierarhy )e fi!# the sa'e basi& u!i%ersal 'eha!is' "" the arhetype of or$a!i 'otility
as it )ere "" throu$hout the )hole a!i'al ki!$#o' fro' a'oeba to 'a!, a!# )ithi! 'a!&
)e a$ai! see it at )ork& ser%i!$ suh %arie# fu!tio!s as the s)i''i!$ of his sper'ato+oa&
the bristli!$ of his hair& a!# the fle-i!$ of his 'usles i! a te!!is"stroke( It is a 'eha!is'
or apparatus )ith a hi$h #e$ree of auto!o'y "" a!# it re'i!#s o!e of the e/ually
auto!o'ous fu!tio!i!$ a!# u!i%ersal ourre!e of the po)er"pla!t"or$a!elle& the
'itoho!#ria(
Ho)e%er lose )e see' to $et to rok"botto' i! the or$a!i hierarhy& )e fi!# o'ple-&
i!te$rate# sub")holes lea#i!$ a relati%ely auto!o'ous e-iste!e( 3iruses ha%e bee!
o'pare# to '!o'a#i' $e!es 1thou$h 'freela!i!$' $e!es 'i$ht be a 'ore appropriate
#esriptio!2(
E%e! a #ea# 'usle ell 1#issete# a!# soake# i! a ol# $lyeri!e solutio! for 'o!ths&
)hih 'akes it %ery #ea# i!#ee#2 )ill o!trat )he! e-pose# to the he'ial tri$$er"atio!
of ATP( The $lyeri!e #estroys ell"o'po!e!ts ser%i!$ its hi$her fu!tio!s& but the
esse!tial struture of the fibrils "" the strutural 'atri- of the basi 'otor u!it "" re'ai!s
i!tat, a!# it is still apable of fu!tio!i!$ aor#i!$ to its built"i! o#e( This fu!tio! is of
ourse a fi-e# reatio!& as o!e )oul# e-pet o! the lo)est le%el of the hierarhy, it is
ati%ate# by the tri$$er"atio! of ATP o! the ato"'yosi!( The e!%iro!'e!t of this 'atri-
is represe!te# by the te'perature& o-y$e! supply& #e$ree of fati$ue i! the ell& but the
#e$rees of free#o' of the fibre to a#.ust to these o!#itio!s boil #o)! to a! 'all"or"!othi!$'
strate$y0 the alter!ati%e is to t)ith or !ot to t)ith(
O! the hi$her le%els of the hierarhy& the auto!o'ous fu!tio!"patter!s of 'usles a!#
'usle"o'ple-es are e%e! 'ore i! e%i#e!e, at the sa'e ti'e the #e$rees of free#o' i!
the 'atri- allo)i!$ for a#aptable perfor'a!e i!rease )ith eah le%el( >usles #issete#
fro' the bo#y a!# put i!to Ri!$er solutio! )ill o!trat !or'ally for hours( Pratially a!y
part of a! a!i'al's heart& a 'usular strip& a!# e%e! a si!$le 'usle ell $ro)! o! a bloo#
#ot& )ill o!ti!ue to $o o! beati!$ i! its o)! i!tri!si rhyth'( The heart of the hik
e'bryo starts beati!$ before a!y !er%e ells ha%e $ro)! i!to it& a!# the hearts of fro$s a!#
tortoises )ill $o o! beati!$ !or'ally if the !er%e supply is ut( So'e s'ooth 'usles
e/ually sho) a rhyth' of their o)!(
*ut o'ple'e!tary to this 6igenfunktion& or fu!tio!al auto!o'y& is o!trol by a e!tre or
syste' o! the !e-t hi$her le%el( The heart has its o)! pae'aker"syste' )hih is i! itself a
threefol# hierarhy, u!#er !or'al o!#itio!s& the si!o"auriular !o#e& the fastest part& ats
as a pae'aker, but if it is pre%e!te# fro' #oi!$ so& the auro"%e!triular !o#e )ill take
o%er& a!# as a last resort 1i! e-peri'e!ts arrie# out o! fro$ a!# tortoise2 yet a thir# e!tre
'ay e!ter i!to atio!( The pae'aker"syste' is& i! its tur!& sub.et to re$ulatory o!trol by
sy'patheti a!# parasy'patheti !er%es a!# by hor'o!es& )hih )ill spee# up or slo)
#o)! the rate of beat by or#er of e!tres i! the hypothala'us( Other or$a!s "" ki#!ey&
i!testi!e& sto'ah "" also ha%e their self"re$ulati!$& i!tri!si o#es )hih assure their status
as auto!o'ous sub)holes& )hile at the sa'e ti'e they fu!tio! as parts i! a 'ulti"le%elle#
hierarhy( E%e! the 'i#"brai! e!tres )hih o!trol te'perature& 'etabolis'& foo# a!#
li/ui# i!take& respiratio!& et( "" e%e! these ho'eostati o!trols respo!sible for
'ai!tai!i!$ the e/uilibriu' of the milieu int;rieur& tur! out to be sub.et to the o!trol of
still hi$her le%els( They are 'biasse# ho'eostats' )hih a! be 'set'& as a ther'ostat is 'set'
by the te!a!t to keep a hi$her or lo)er roo' te'perature( 7F8 A!# so the top of the
hierarhy )hih o!trols the o!trols ree#es i!to a lou# "" .ust as its base is e'be##e# i!
the 'urky proble' of )hat o!stitutes li%i!$ 'atter "" a!# ulti'ately #issol%es i!to $e!eti
'utatio!s )ith threshol#s o! the /ua!tu' le%el(
The ;ol#fish a!# the Crab
;etti!$ bak to earth& that is& to the 'e#iu' le%els of the hierarhy "" the le%els A& 6& a!# I
i! :eiss's she'a "" )e fi!#& fortu!ately& 'ore preise i!#iatio!s about its 'a!!er of
)orki!$(
3o! Holst's stu#y of the s)i''i!$ 'otio!s of fish re%eale# a #isti!t three"step hierarhy0
1a2 the 'otio!s of the rays )ithi! a si!$le fi!& #ue to the alter!ati%e o!tratio!s of t)o
a!ta$o!isti pairs of 'usles, 1b2 the 'otio!s of the fi! as a )hole, a!# 12 the o"
or#i!atio! of the 'otio!s of all the fi!s( I! the a!aestheti+e# $ol#fish& the s)i!$i!$ 'otio!s
of eah i!#i%i#ual ray re'ai! perfetly re$ular& but their o"or#i!atio! )ithi! the fi! is
#isturbe#0 they flutter i! #isor#er( The a!aesthesia e%i#e!tly #oes !ot affet the i!te$rati%e
e!tres o! the lo)est 1a2 le%el& but puts the hi$her !er%ous e!tres o! the 1b2 le%el out of
atio!( O! the !e-t hi$her& 12 le%el& the petoral fi! ats as a ki!# of pae'aker by
i'posi!$& or superi'posi!$& its o)! rhyth' o! the au#al fi!s "" the so"alle# ''a$!et
effet'( This )hole loo'otor hierarhy is relati%ely i!#epe!#e!t of se!sory sti'uli& for
fishes a!# ta#poles $o o! s)i''i!$ i! perfet o"or#i!atio! if they ha%e bee!
#isaffere!tate#& i(e( if all the 'ai! se!sory o!!etio!s ha%e bee! se%ere#( 3o! Hoist
o!lu#es that the sti'ulus"respo!se she'a #oes !ot apply to the auto!o'ous loo'oti%e
hierarhy& a!# that 'the refle- is !ot the pri'ary ele'e!t of beha%iour but a #e%ie for
a#apti!$ the pri'ary auto'atis' to ha!$i!$ peripheral o!#itio!s'( 758
Hi$her up o! the e%olutio!ary la##er )e fi!# i!reasi!$ fle-ibility of 'otor skills( I! a
series of fa'ous e-peri'e!ts& %o! *u##e!brook a!# *ethe ha%e sho)! that the re'o%al of
o!e or se%eral le$s fro' e!tipe#es& spi#ers& a!# other i!sets #oes !ot lea# to
#isor$a!i+atio!& but to a spo!ta!eous rearra!$e'e!t of the )hole patter! of loo'otio!
)hih is i!sta!ta!eous a!# !ot pree#e# by trial"a!#"error lear!i!$( The !or'al pro$ress of
a! i!set or rab is the so"alle# 'ross"a'ble'( If '=' a!# 'R' sta!# for left a!# ri$ht& a!# the
i!#e- !u'bers sta!# for the or#er of le$s fro' fro!t to rear& the rab's loo'oti%e o#e is as
follo)s0 R4& =9& RA& =6& RI& et(& are steppi!$ si'ulta!eously, the! =4& R9& =A& R6& =I ""
are steppi!$ si'ulta!eously, a!# so o!( If& !o)& the left fro!t le$ is re'o%e#& the patter!
ha!$es i!sta!ta!eously to0 R4& =A& RA& =I& et(, follo)e# by =9& R9& =6& R6& =@& et( The
rab's pro$ress before a!# after loss of the left fro!t le$0


This tra!sfor'atio! i!#iates that the fro!t le$s at as 'pae'akers', this 'akes it
i'possible for the a!i'al to a#opt the si'pler solutio! of preser%i!$ the ori$i!al patter!
'i!us =40 for i! this ase R9 )oul# beo'e the seo!# pae'aker a!# both pae'akers
)oul# be o! the ri$ht si#e of the a!i'al( The rab's beha%iour pro%i#es us )ith a rather
ele$a!t e-a'ple ho) a 'otor skill a! be a#apte# to ha!$e# o!#itio!s )hile preser%i!$
the basi patter! lai# #o)! i! its o#e( I ha%e 'e!tio!e# other e-a'ples earlier o! "" fro'
the spi#er's !et to the pia!ist )ho tra!sposes a tu!e fro' o!e key to a!other( The
e-peri'e!ts to be #esribe# prese!tly illustrate the halle!$i!$ !ature of the proble'(
Shuffli!$ the Sala'a!#er's =i'bs
:eiss's tra!spla!tatio! e-peri'e!ts #ate bak to the 459Cs a!# pro%e# to be& as o!e author
sai#& 'of i''easurable positi%e si$!ifia!e for the appraisal of e!tro"peripheral o"
or#i!atio! i! !er%ous fu!tio!'( 74C8
:eiss $rafte# fully #e%elope# li'bs of sala'a!#er as super"!u'eraries o! to !or'al
a!i'als )hih thus ha# fi%e li'bs i!stea# of four( The a##itio!al li'b )as al)ays $rafte#
!e-t to a !or'al o!e& a!# i! the proess so'e of the !er%e"fibres supplyi!$ the !or'al li'b
)ere se%ere#( At first the tra!spla!t li'b hu!$ i!ertly fro' the bo#y as a 'ere appe!#a$e ""
the fifth )heel of the art( Ho)e%er& after a fe) )eeks& it be$a! to $i%e si$!s of 'o%e'e!t&
a!# )ithi! a short ti'e it fu!tio!e# i! o'plete sy!hro!iity )ith the a#.ae!t !or'al
li'b& as its e/ual i! %i$our a!# o"or#i!atio!(
The i'pliatio!s of this phe!o'e!o! )ere #esribe# by :eiss as follo)s 1italis i! the
ori$i!al20
As oul# be i!o!tro%ertibly $athere# fro' the 'irosopial 1post"'orte'2 i!%esti$atio!
a!# reo!strutio! of the ourse of the !er%es i! the ori$i!al li'b a!# i! the tra!spla!te#
li'b& this is )hat took plae( The se%ere# !er%e fibres ha# %i$orously split up i! the sar at
the plae of $rafti!$( The bra!hes ha# presse# for)ar#& a!# so'e of the' ha# e%e!tually
'et the #e$e!erate# !er%e paths of the tra!spla!te# li'b( As fortuitously as they )ere
loate# a!# #istribute#& they ha# pe!etrate# i!to these a!# so ha# reahe# the 'usles ( ( (
i! the 'ost e-traor#i!ary a!# i!#isri'i!ate ta!$le( ( ( ( >oreo%er& those fe) paths
belo!$i!$ to the !or'al e-tre'ity )hih ha# also bee! pre%iously ut 1i! or#er to obtai!
se%ere# !er%e stu'ps apable of re$e!eratio! for the supply of the $rafte# li'b2 these too
)ere fille# )ith fresh !er%es( I! the e!#& therefore& the relati%ely s'all !u'ber of $a!$lio!
ells& )hih ori$i!ally le# to a s'all& li'ite# setio! of the 'usulature of the !or'al
e-tre'ity )ere !o) !ot o!ly o!!ete# )ith this %ery setio! of 'usle a$ai!& but i!
a##itio! )ith the e!tire 'usulature of the $rafte# li'b( ( ( ( Thus !ot o!ly ha%e the
$a!$lio! ells i!%ol%e# to ser%e a ter'i!al area se%eral ti'es as lar$e as before, a!# !ot
o!ly ha%e they to ser%e 'usles alto$ether #iffere!t fro'( the pre%ious o!es ( ( ( but abo%e
all the pre%ious rule& that o!e $a!$lio! ell ha# o!!etio!s )ith o!ly o!e 'usle& !o)
beo'es the e-eptio!( I!stea# the rule is !o) a bou!#less o!fusio! of o!#utio! paths(
7448


Assu'i!$ <C a!# EC to be a pair of a!ta$o!isti 'usles "" ho) a! they properly
fu!tio! if both !o) #epe!# o! the sa'e !er%e supplyE A!# )hat about At& *t& CtE Bet this
'bou!#less o!fusio! of o!#utio! paths' !e%ertheless pro#ues perfetly oor#i!ate#
'o%e'e!t( :eiss o!lu#es that it is !ot the topo$raphial layout of the path)ays )hih
'atters& but the speifi properties of the e-itatio! tra!s'itte# by the', i! other )or#s&
that althou$h eah 'usle of the a##e# li'b )ill reei%e a haoti 'e#ley of e-itatio!s& it
)ill respo!# seleti%ely to suh e-itatio!s o!ly )hih are appropriate to it0
The 'ea!s by )hih the e!tral !er%ous syste' 'ai!tai!s o!or# )ith eah 'usle
i!#i%i#ually& #oes !ot o!sist i! separate o!#utio! paths( ( ( ( If o!e a!# the sa'e !er%e
ell has to supply e-itatio! to se%eral or$a!s si'ulta!eously& but if u!#er these
iru'sta!es o!ly o!e si!$le route o''o! to all these e!#"or$a!s is at its #isposal ( ( (
the! it is lo$ial to assu'e that the periphery is so o!stitute# that a o!trol of its
fu!tio!i!$ i! a oor#i!ate# 'a!!er i!heres i! itself( ( ( ( :e re/uire ( ( ( a 'eha!is' of
positi%e seleti%ity i! the e!# or$a!& )hih 'ust e-plai! us )hy& )he! t)o 'usles i! the
sa'e state are $i%e!& o!e of the' e!ters i!to fu!tio! a!# the other #oes !ot& althou$h both&
bei!$ o!!ete# )ith the sa'e !er%e ell& reei%e e-itatio! e/ually( ( ( ( The !ature of
e%ery 'usle is suh that it #oes !ot reat to e%ery e-itatio! fro' the e!tre& but o!ly to
e-itatio! of a /uite #efi!ite for' )hih is harateristi for it( 7498
To aou!t for the speifi seleti%ity of 'usle respo!se& :eiss uses the a!alo$y of
seleti%e reso!a!e i! a broa# se!se( The aousti a!alysers of the ear eah respo!# to o!e
partiular pith a!# to o!e o!ly& thus a!alysi!$ a o'ple- la!$ i!to i! har'o!i ele'e!ts(
>utatis 'uta!#is& :eiss assu'es that0
( ( ( the total i'pulse flo)i!$ to)ar#s a partiular peripheral re$io! fro' the e!tral
!er%ous syste' a!& 'etaphorially speaki!$& forth)ith be #esi$!ate# as a! Ne-itatio!
la!$N( The Ne-itatio! la!$N is o'pose# of Ne-itatio! to!esN for the %aryi!$ 'usles
)hih are to be ati%ate# at a $i%e! 'o'e!t& a!# he!e is o!sta!tly flutuati!$ i! its
o'positio!( ( ( ( The proess !o) is as follo)s0 at the %ery sa'e ti'e& the sa'e Ne-itatio!
la!$N flo)s throu$h all the 'otor root fibres 1at least all those supplyi!$ a $i%e! fu!tio!al
area of o!si#erable e-te!t2 to)ar#s the periphery( It flo)s e/ually throu$h all the fibres as
if it ha# bee! i!#isri'i!ately poure# i!to a a!al syste' a!# )ere floo#i!$ all the
ha!!els( Thus it arri%es at all the 'usles )hih are i! a!y )ay )hate%er o!!ete# )ith
the e!tre( *ut )he! it $ets to this poi!t it is a!alyse#( E%ery 'usle& i! aor#a!e )ith its
o!stitutio!& selets the o'po!e!ts appropriate to it fro' those e%e!tually arri%i!$& a!#
ats as if these o'po!e!ts alo!e ha# arri%e#( A!# thus& althou$h the %ery sa'e i'pulse
strea's to all the 'usles a!# aross e%ery a%ailable route& o!ly that o'bi!atio! of
'usles o'es i!to atio! "" as is !o) i!telli$ible "" )hih the e!tral !er%ous syste' has
pro%i#e# for( 74A8
He the! proee#s to sho) that the theory of seleti%e respo!se is !ot o!tra#ite# by the
i!#isri'i!ate respo!ses of 'usles to eletro"$al%a!i sti'ulatio!( The latter is a!
artifiial& $ross sti'ulatio! )hih o'pares to !atural sti'ulatio! like a %iole!t a"perio#i
blast to a speifi la!$( '?ust as& both )ith the la!$ a!# )ith the blast& the substratu'
arryi!$ the 'o%e'e!t is al)ays the sa'e& i(e( the air& so ob%iously the 'e#iu' i! )hih
both the or$a!i+e# a!# the u!or$a!i+e# !er%e i'pulse ru! their ourse is al)ays the sa'e&
i(e( the o!#uti%e substa!e of the !er%e fibre( *ut .ust as the la!$ sets a #efi!ite seletio!
of reso!ators %ibrati!$& )hereas a !oise or blast auses the' to resou!# all at o!e a!#
)ithout a! e-eptio!, so also o!ly the or$a!i+e# i'pulse& built up of speifi i'pulse"
to!es& is apable of bri!$i!$ the oor#i!ate# seletio! of 'usles i!to ati%ity& )hile 'the
artifiially i!#ue#& u!or$a!i+e# i'pulse& by o!trast& fores e%ery 'usle )hatsoe%er
)hih it reahes i!to fu!tio!(' 7468
=et 'e tra!slate the piture that e'er$es fro' the e-peri'e!tal e%i#e!e i!to the ter's of
the prese!t theory( The loo'otor matrix o! le%el 6 of the hierarhy 1p( 6AI2 is represe!te#
by the 'usular struture of the li'b& plus the 'a!al"syste'' of !er%ous path)ays lea#i!$
i!to it& a!# i!lu#es the apparatus "" )hate%er its !ature "" )hih aou!ts for the seleti%ity
of the respo!se by e!abli!$ 'usles to a!alyse i!o'i!$ i'pulses( The code is the
se/ue!e of e-itatio!"la!$s )hih alls forth o!e o'plete 'otio! "" say& o!e step of the
li'b( >e'bers of the 'atri- are the se%eral .oi!ts o! the !e-t"lo)er le%el No( A& )hih are
tri$$ere# off i! a pre"set or#er by their sub"o#es& i(e( by the appropriate o'po!e!ts of the
e-itatio!"la!$( :e 'ay re'e'ber by )ay of a!alo$y& ho) part"se/ue!es of the $e!eti
o#e are tri$$ere# i!to atio! i! a pro"set or#er(

The ''otor u!it' at the botto' of the hierarhy respo!#s aor#i!$ to the all"or"!othi!$
rule& but the 'usulature of a .oi!t is apable of $ra#e# respo!ses& a!# the 'otio!s of the
)hole li'b follo) a fle-ible strate$y "" shorter or lo!$er step& s)ift or $ropi!$ "" #epe!#e!t
o! the i!put fro' the e!%iro!'e!t( :eiss aou!te# for these %ariatio!s by proposi!$ that
the e-itatio!"la!$ 'is o!sta!tly flutuati!$ i! its o'positio!'& a!# thus #eter'i!es )hih
si!$le 'usle shoul# be ati%ate# at a!y $i%e! 'o'e!t( *ut this o!eptio! #oes !ot see'
to a$ree )ell )ith the basi pri!iple that e!tres o! hi$h le%els #o !ot #eal #iretly )ith
u!its o! lo) le%els of the hierarhy( A )ay out of this #iffiulty is to be fou!# i!
su$$estio!s by Ruh 145I42 a!# >iller et al( 145@C2& aor#i!$ to )hih pre"set patter!s of
skille# 'o%e'e!ts are tri$$ere# off as u!its by the brai!, but the si$!al "" i(e( the 'e-itatio!
la!$' "" )oul# 'erely 'rou$h i!' the se/ue!e of 'o%e'e!ts 'a!# thus re#ue the
troubleso'e tra!sie!ts i!%ol%e# i! the orretio! of 'o%e'e!t by output"i!for'e#
fee#baks'( 74I8 Si!e fee#bak iruits 'ust be assu'e# to operate o! e%ery le%el& #o)!
to the si!$le ell& the a#.ust'e!t of the #etails of the 'rou$he#"i!' 'o%e'e!t oul# be
ha!#e# o%er to lo)er le%els( >iller et al( ha%e 'a#e the further su$$estio! that this
ha!#i!$"#o)! proe#ure 'ay be the e/ui%ale!t of o!%erti!$ a! or#er o#e# i! a '#i$ital'
la!$ua$e& i!to a $ra#e#& 'a!alo$ue' output( The e-itatio!"la!$ oul# thus o!sist i! a
series of 'o!'& 'off' si$!als like the #ots a!# #ashes of the >orse o#e, but eah sub"u!it
oul# respo!# to its speifi 'o!' si$!al by a ''ore' or 'less' i!te!se ati%ity& #epe!#e!t o!
loal o!#itio!s 1see also belo)& pp( I@5 ff(2( These are speulatio!s& a!# offere# by their
authors as suh, but there are %arious alter!ati%e possibilities to aou!t for the 'filli!$ i!' of
#etails )hih )ere left ope! i! the $e!erali+e# e-itatio! patter!& by fee#bak #e%ies o!
suessi%ely lo)er le%els(


=i'its of Co!trol

I! the e-peri'e!ts pre%iously #isusse#& a super"!u'erary li'b )as $rafte# !e-t to a
!or'al o!e& fai!$ i! the sa'e #iretio!( I! a!other series of e-peri'e!ts :eiss e-ha!$e#
a!# re%erse# the positio! of the li'bs of !e)ts( The result is a$ai! best #esribe# i! his
o)! )or#s0
The esse!tial i!#epe!#e!e of the struture of 'otor ati%ity is #ra'atially #e'o!strate#
)he! o!e e-ha!$es a!# re%erses the li'bs of a!i'als a!# the! fi!#s the' ra)li!$
bak)ar#s )he!e%er they ai' to ra)l for)ar#s a!# %ie %ersa( ( ( ( This has bee! #o!e i!
the #e%elope# a!i'al& but the sa'e operatio!s ha%e bee! #o!e i! e'bryos& a!# these
a!i'als ha%e the! fu!tio!e# i! re%erse fro' the %ery be$i!!i!$( :hat 'ore spetaular
e-pressio! a! there be of the i!tri!si pri'ay of the 'otor patter!s of beha%iour for
)hih the e-ter!al i!put ats o!ly as a seleti%e tri$$erE 74@8
I! other tra!spla!t e-peri'e!ts& o!ly the positio! of the t)o fore"li'bs )as i!terha!$e#
a!# re%erse#0 The $rafte# li'bs 'o%e# .ust as they )oul# ha%e #o!e ha# they bee! left i!
their ori$i!al positio!& ausi!$ bak)ar# 'otio! )he! the rest of the a!i'al )as tryi!$ to
'o%e for)ar#& a!# for)ar# 'otio! )he! the rest of the a!i'al )as tryi!$& for e-a'ple& to
a%oi# a !o-ious sti'ulus prese!te# i! fro!t of it( A year's e-perie!e #i# !ot ha!$e this
re%erse# 'o%e'e!t of the $rafte# le$s( 74O8
The e-peri'e!t beautifully illustrates the auto!o'y of the li'b"'atri-( As i! the fifth"li'b
e-peri'e!t& the !er%es $ro)i!$ out of the stu'p reahe# the 'usles of the $rafte# li'b i!
a ra!#o' 'a!!er( O!e 'ore& the $raft"li'b ahie%e# perfetly oor#i!ate# 'otio!& tha!ks
1)e assu'e2 to the a!alyser #e%ies i! the 'usles )hih respo!# to o!e o'po!e!t i! the
la!$ si$!al o!ly( *ut si!e the li'b )as $rafte# i! re%erse& it has to step i! re%erse( No
#oubt the poor reature se!ses that so'ethi!$ is )ro!$ if its fore"li'bs 'o%e bak)ar# a!#
the bak li'bs 'o%e for)ar#( *ut o)i!$ to the pri!iples Of hierarhi or#er& the e!tre
)hih o"or#i!ates the 'o%e'e!ts of the a!i'al as a )hole "" le%el I i! :eiss's she'a ""
a!!ot i!terfere )ith the fu!tio!i!$ of the a!alyser #e%ies o! le%el 9& to re%erse their
respo!ses( It appare!tly a!!ot e%e! pre%e!t e-itatio!"la!$s bei!$ tri$$ere# off
auto'atially by le%el 6 to the useless li'bs( A!# )he! the e-itatio! reahes the latter&
they respo!# as they 'ust( :e ha%e here a first& artifiially pro#ue# e-a'ple of 'faulty
i!te$ratio!s' )hih )ill oupy our atte!tio! later o!(

The e-a'ple further illustrates a poi!t 'e!tio!e# before0 a matrix on the n%level is
represented on the nJ' level by its code( There is& u!#er !or'al o!#itio!s& !o #iret
o''ere bet)ee! its 'e'bers o! the !"4 le%el& a!# the o"or#i!ati!$ a$e!y o! the !K4
le%el( If the latter i!terferes #iretly )ith the for'er& routi!es beo'e #isor$a!i+e#& a!# )e
$et the 'para#o- of the e!tipe#e'( =oss of #iret o!trol o%er auto'ati+e# proesses o!
lo)er le%els of the bo#y hierarhy is part of the prie pai# for #iffere!tiatio! a!#
speiali+atio!( The prie is of ourse )orth payi!$ so lo!$ as the speies li%es i! a!
e!%iro!'e!t that is fairly stable( It is after all !ot part of the !or'al #esti!y of the
sala'a!#er to e!ou!ter <r( Paul :eiss(


NOTES

To p( 6A4( The %ali#ity of Co$hill's fi!#i!$s for a )hole ra!$e of other speies "" at& bir#&
'a! "" )as #e'o!strate# i! a $e!eral )ay by authors like Coro!ios 145AA2& Herrik 145952&
Kuo 145A92( Ho)e%er& so'e $e!etiists 1e($( :i!#le a!# his assoiates2 ha%e 'ai!tai!e#
that fu!tio!al o"or#i!atio! i! hi$her speies is the result of a##iti%e hai!i!$ of
speiali+e# loal refle-es( As a$ai!st this& Hooker 145IC2 has poi!te# out the u!#ispute#
fat that 'otor !er%es are fu!tio!al before the se!sory !er%es& a!# that the se!sory a!#
i!terallate# !euro!s i! the refle- ar are the last to beo'e fu!tio!al& )hih a'ou!ts to
a! i!#iret refutatio! of the refle- su''atio! %ie)( For a su''ary of this o!tro%ersy see
Thorpe 145I@2 pp( 9C ff( a!# p( 6I, also *arto! 145IC2 a!# Hooker 145IC2(

O! the other ha!#& Ti!ber$e! has sho)! that i! so'e patter!s of o'ple- i!sti!t
beha%iour 1e($( !est buil#i!$& Kortla!#t& 456C2& the part"perfor'a!es )hih $o i!to the
total patter! e'er$e at #iffere!t ti'es& follo)i!$ 'a fi-e# ti'e patter! .ust as )ith $ro)i!$
'orpholo$ial strutures' 1Ti!ber$e!& 45I4& p( 4A@2( Thus& for i!sta!e& faste!i!$ of t)i$s
i! the !est pree#es searhi!$ for t)i$s( The e-iste!e of 'i!ter!al loks' )hih re$ulate
the serial ati%atio! of the %arious sub"o#es of the i!te$rate# perfor'a!e is e!tirely i!
keepi!$ )ith the total patter! %ie)( Thorpe o!lu#es0 'E'bryolo$ial stu#ies !o) su$$est
that o!to$e!etially& o'ple- 'usle o"or#i!atio!s rese'bli!$ fi-e# atio! patter!s 7see
belo)8 pree#e respo!ses of the si'ple refle- type i! 'a''als(' Cf( !e-t !ote(


To p( 6A9( This o!fusio! 'ay ha%e bee! a o!tributi!$ fator i! the o!tro%ersy
'e!tio!e# i! the pre%ious !ote( Si!e 'yo$e!i 'usle o!tratio!s a! be pro#ue# i!
e'bryos by eletrial or 'eha!ial sti'ulatio! before !euro"'usular i!te$ratio! is
establishe#& the 'isolate# refle-"shool' assu'e# suh pseu#o"refle-es to be true refle-es
a!# the pri'ary ele'e!ts of a#ult beha%iour( See& e($( Thorpe& lo( it(


To p( 6A6( The Hi-o! Sy'posiu' )as o!e of the 'ost fertile e-ha!$es e%er hel# bet)ee!
lea#i!$ e-perts i! %arious #isipli!es( A'o!$ its partialpa!ts )ere H( Klu%er& :olf$a!$
K[hler& K( S( =ashley& :( S( >Culloh& ?oh! 3( Neu'a!!& R( :( ;erar#& =ore!te #e Nf&
Paul :eiss& =i!us Pauli!$& et(& to 'e!tio! o!ly a fe)( No )o!#er that :eiss& arrie# a)ay
by e!thusias' after heari!$ =ashley's brillia!t paper o! 'The Proble' of Serial Or#er i!
*eha%iour'& o!lu#e# )ith e-pressi!$ his hope that to#ay's '#isussio! )ill 'ark a tur!i!$
poi!t i! the buil#i!$ of !eurolo$ial theories'(

To p( 6A@( To 'ake 'atters a little 'ore o'pliate#& )e 'ay re'i!# oursel%es i! passi!$
that 'usle"o!tratio!s ser%e !ot o!ly 'otility but also 'ai!te!a!e of to!e a!#
te'perature i! the or$a!is', so'eti'es they ser%e o!ly the last fu!tio! alo!e 1i!
shi%eri!$2 si!e 'usle is a 'ai! soure of a!i'al heat(

To p( 6A@( At the ti'e of )riti!$ this theory still has ertai! #iffiulties to o%ero'e,
a'o!$ the' the fat that the e!er$y supply of the fibre #epe!#s !ot o!ly o! ATP itself but
also o! reati! phosphate(




III
<BNA>IC EJUI=I*RIU> AN< RE;ENERATI3E POTENTIA=
Ati!$ a!# Reati!$
'The or$a!is''& to /uote Co$hill o!e 'ore& 'ats o! the e!%iro!'e!t before it reats to the
e!%iro!'e!t(' This state'e!t see's to apply to e%ery le%el a!# e%ery aspet of or$a!i life(
The lo)liest reature a!# the hi$hest& the 'o'e!t it is hathe# or bor!& lashes out at the
e!%iro!'e!t& be it li/ui# or soli#& )ith ilia& fla$ellae& or o!tratile 'usle fibre, it ra)ls&
s)i's& $li#es& pulsates, it kiks& yells& breathes& fee#s& a!# suks !e$ati%e e!tropy fro' its
surrou!#i!$s for all it's )orth(
The patter!s of these built"i! 'otor ati%ities )e sa) to be to a lar$e e-te!t auto!o'ous,
'the struture of the i!put #oes !ot pro#ue the struture of the output& but 'erely 'o#ifies
it(' >oreo%er& the i!put itself is ati%ely o!trolle# a!# 'o#ifie# by the e!tral !er%ous
syste' fro' the 'o'e!t it i'pi!$es o! the peripheral reeptor or$a!s, a!# ree!t
#e%elop'e!ts ha%e ause#& at least a'o!$ a! u!ortho#o- 'i!ority of psyholo$ists& a
#isti!t 'shift fro' the !otio! that a! or$a!is' is a relati%ely passi%e& protoplas'i 'ass
)hose respo!ses are o!trolle# by the arra!$e'e!t of e!%iro!'e!tal sti'uli to a
o!eptio! of a! or$a!is' that has o!si#erable o!trol o%er )hat )ill o!stitute
sti'ulatio!(' 748
E%e! belo) the le%el of the si!$le ell& or$a!elles suh as the 'itoho!#ria a!#
ki!etoso'es arry o! their auto!o'ous ati%ities, their sha#o)y patter!s u!#er the
eletro!"'irosope are a re'i!#er that the e'er$e!e of life 'ea!s the e'er$e!e of
spo!ta!eous& or$a!i+e# e-ertio! to 'ai!tai! a!# repro#ue ori$i!ally u!stable for's of
e/uilibriu' i! a statistially i'probable syste' i! the teeth of a! e!%iro!'e!t $o%er!e# by
the la)s of probability( The li%e or$a!is' suee#s i! this by reati!$ a! i!!er e!%iro!'e!t
)ith )hih to o!fro!t the outer e!%iro!'e!t "" a!# i! )hih the la) of e!tropy see's to
be re%erse#& biolo$ial loks replae astro!o'ial loks& a!# hierarhi or#er rei$!s
supre'e(
A! or$a!is' is sai# to be ')ell bala!e#' or ')ell a#apte#' or 'i! #y!a'i e/uilibriu'' if it
has establishe# a 'o#us %i%e!#i bet)ee! its i!ter!al a!# e-ter!al e!%iro!'e!t( This& of
ourse& is a 'ore o'ple- for' of bala!e tha! 'eha!ial or he'ial e/uilibriu', it
i'plies 'etaboli proesses re/uire# for the 'ai!te!a!e of for' a!# fu!tio! i! a! ope!
syste' i! perpetual flu- "" *ertala!ffy's 145642 1liessgleichgewicht, it i'plies self"
re$ulati!$ #e%ies )hih keep irritability a!# 'otility )ithi! a safe sta!#ar# ra!$e, a!# it
also i'plies the slo)& yli ha!$es of 'orpho$e!esis& 'aturatio!& a!# repro#utio!&
re$ulate# by biolo$ial loks( If all these proesses are to be lu'pe# to$ether u!#er the
port'a!teau )or# 'a#aptatio!'& the! )e 'ust all it a#aptatio! of a speial ki!#& o! the
or$a!is''s o)! ter's, after all& the perfet a#aptatio! of a! or$a!is' to the te'perature
a!# he'istry of the e!%iro!'e!t is to #ie( I! fat& the a!i'al #oes !ot 'erely a#apt to the
e!%iro!'e!t& but o!sta!tly a#apts the e!%iro!'e!t to itself( It eats e!%iro!'e!t& #ri!ks
e!%iro!'e!t& fi$hts a!# 'ates e!%iro!'e!t& burro)s a!# buil#s i! the e!%iro!'e!t, a!#
e%e! i! obser%i!$ e!%iro!'e!t& it 'o#ifies& #is'a!tles& a!alyses& a!# reasse'bles it after
its o)! fashio!& o!%erti!$ '!oise' i!to 'i!for'atio!'( 'Pereptio!'& :oo#)orth )rote& 'is
al)ays #ri%e! by a #iret& i!here!t 'oti%e )hih 'i$ht be alle# the will to perceive('
Thus the ter's 'a#aptatio!'& 'e!%iro!'e!t'& 'e/uilibriu'' )ill be use# i! the follo)i!$ pa$es
!ot i! their usual passi%e o!!otatio!s& but )ith ati%e o%erto!es& as it )ere( I!stea# of
treati!$ a! a!i'al as a 'relati%ely passi%e& protoplas'i 'ass )hose respo!ses are
o!trolle# by the arra!$e'e!t of e!%iro!'e!tal sti'uli' "" a Pa%lo%"#o$ i! its restrai!i!$
har!ess "" )e shall re$ar# it as a relati%ely self"o!tai!e# or$a!is'& #eployi!$ spo!ta!eous
ati%ities si'ulta!eously o! %arious le%els of its o!stitue!t fu!tio!al hierarhies ""
ati%ities )hih are tri$$ere# a!# 'o#ifie#& but !ot reate# by the e!%iro!'e!t(
:hat is E/uilibriu'E
A! or$a!is' a! be sai# to fu!tio! !or'ally so lo!$ as the stresses bet)ee! i!ter!al a!#
e-ter!al 'ilieu #o !ot e-ee# a ertai! sta!#ar# ra!$e( To si'plify the ar$u'e!t& let the
ter' 'i!ter!al 'ilieu' e'brae all proesses )ithi! the or$a!is'& a!# let us lu'p to$ether
the !ature& i!te!sity& a!# #uratio! of e!%iro!'e!tal e-itatio!s i! a si!$le %ariable( :e shall
the! be able to #isti!$uish bet)ee! 1a2 '!or'al'& 1b2 'para!or'al' or 'trau'ati'& a!# 12
#estruti%e e!%iro!'e!tal o!#itio!s "" thou$h& !ee#less to say& the bou!#aries bet)ee!
the' a!!ot be sharply #efi!e#(
The ter' '#y!a'i e/uilibriu'' shall apply o!ly to a !or'al or$a!is' fu!tio!i!$ u!#er
'!or'al' o!#itio!s( U!#er these o!#itio!s the or$a!"syste's& or$a!s& a!# or$a!"parts of
the a!i'al perfor' their speifi& auto!o'ous fu!tio!s as sub")holes& at the sa'e ti'e
sub'itti!$ to the re$ulati%e o!trol i'pose# by the hi$her e!tres( The o!trol is e-erise#
by e-itatory a!# i!hibitory proesses& but the latter play a %astly $reater part( Fro' the
'o'e!t of o!eptio!& the $e!eti pote!tials of the i!#i%i#ual ell are further restrai!e#
)ith e%ery step i! #iffere!tiatio!, a!# o! e%ery le%el of the $ro)i!$ a!# 'ature or$a!is'
i!hibitory bloks& !e$ati%e fee#baks& $ro)th"i!hibiti!$ hor'o!es are at )ork( I! the
!er%ous syste'& i! partiular& there is e!sorship at e%ery step "" to pre%e!t o%erloa#i!$ of
the i!for'atio! ha!!els a!# o%ershooti!$ of respo!ses( :ithout this hierarhy of
restrai!ts& the or$a!is' )oul# i!sta!tly blo) its fuses i! a ki!# of #eliriu' a$ita!s a!# the!
ollapse(
U!#er !or'al o!#itio!s the part )ill !ot te!# to esape the restrai!i!$ i!flue!e of the
)hole( U!#er para!or'al o!#itio!s the bala!e is upset( Thus the ter' 'bala!e' or
'e/uilibriu'' takes o! a speial 'ea!i!$ i! the o!te-t of a! or$a!i hierarhy0 it is !ot
'ea!t to refer to relatio!s bet)ee! parts o! the sa'e le%el of the hierarhy& but to the
relatio! of a part to its o!trolli!$ e!tre o! the !e-t hi$her le%el( The stresses arise !ot
bet)ee! i!puts 'o'peti!$ for the fi!al o''o! path&' as the e-pressio! $oes& !ot bet)ee!
'a!ta$o!isti #ri%es' or 'o!fliti!$ i'pulses' 1)hih #o !ot #iretly o''u!iate )ith eah
other a!# a!!ot 'fi$ht it out a'o!$ the'sel%es'2 "" but bet)ee! the e-ite# part a!# the
)hole& )hose atte!tio! it is tryi!$ to 'o!opoli+e0 i! other )or#s& between the self%assertive
tendencies of the part and the restraints imposed by the controlling centre( E/uilibriu' is
'ai!tai!e# i! the or$a!is' by rules o'parable to the proe#ure i! a la) ourt )here the
opposi!$ parties a##ress the'sel%es !ot to eah other& but to the .u#$e(
This i!terpretatio! of e/uilibriu' i! a hierarhy )as su$$este# i! 'y Insight and Outlook
1p( 4A5 se/(2& a!# i!#epe!#e!tly propose# by Ti!ber$e!( I! #isussi!$ the o'petitio!
bet)ee! %arious 'fi-e# respo!se patter!s' i! i!!ate beha%iour& Ti!ber$e! )rote0 'It shoul# be
e'phasi+e# that it is /uite possible that these i!tero!!etio!s 7bet)ee! the o'peti!$
e!tres8 #o !ot i! reality ru! #iretly fro' o!e e!tre to the other& but $o by )ay of the
superor#i!ate# e!tre(' 798 Thorpe has e-presse# si'ilar i#eas( 7A8
Super"Elastiity a!# Re$e!erati%e Spa!
A! or$a!is' li%es by o!sta!t tra!satio!s )ith the e!%iro!'e!t( As a result& stresses are
set up i! the parts or or$a!s )hih ha%e bee! arouse# to arry out the tra!satio!( The
e-ite# part 'ay te!# to '$et out of o!trol'& i(e( to assert its auto!o'y a$ai!st the restrai!ts
i'pose# o! it, it 'ay te!# to at to the #etri'e!t of the )hole( I! a '!or'al' e!%iro!'e!t&
these te!sio!s bet)ee! part a!# )hole are of a tra!sitory !ature& a!# e/uilibriu' is restore#
)ith the o'pletio! of the tra!satio!( U!#er para!or'al o!#itio!s "" trau'ati halle!$es
"" this is !ot the ase& a!# o!ly )hat o!e 'i$ht all 'a#aptatio!s of the seo!# or#er' a!
restore the bala!e( The a!i'al's apaity to reo%er fro' suh trau'ati halle!$es is its
re$e!erati%e pote!tial(
A stable& 'o!oto!ous e!%iro!'e!t te!#s to pro#ue stereotype# a!# auto'ati+e# reatio!"
patter!s( A %ariable e!%iro!'e!t alls for fle-ible strate$ies& for beha%ioural 'atries )ith
suffiie!t #e$rees of free#o' to ope )ith the ha!$i!$ o!#itio!s( Para!or'al halle!$es
all for a ki!# of super"fle-ibility& for a#aptatio!s of a seo!# or#er )hih e!able the
a!i'al to arry out 'a.or reor$a!i+atio!s o! se%eral le%els of its strutural or fu!tio!al
hierarhies( The ra!$e of this ability o!stitutes the a!i'al's 're$e!erati%e spa!'(
The re$e!erati%e spa! of a speies thus pro%i#es it )ith a! a##itio!al safety #e%ie i! the
ser%ie of sur%i%al& )hih e!ters i!to atio! )he! the li'its of #y!a'i e/uilibriu' are
e-ee#e# "" as the shok"absorbers of a 'otor"ar take o%er )he! the ra!$e of elastiity of
the suspe!sio! spri!$s is e-ee#e#( *ut it is 'ore tha! a safety #e%ie( Re$e!eratio! has
bee! #esribe# as 'o!e of the 'ore spetaular piees of 'a$i i! the repertoire of li%i!$
or$a!is's'( 768 That 'ay be the reaso! )hy it is so #iffiult to fi!# a satisfatory #efi!itio!
)hih )oul# e'brae the )hole ra!$e of phe!o'e!a to )hih the ter' is applie#(
These i!lu#e 1a2 the repliatio! of e!tire i!#i%i#uals by ase-ual repro#utio! 1fissio! a!#
bu##i!$2, 1b2 the reo!stitutio! of a )hole or$a!is' fro' its broke!"up fra$'e!ts& or fro'
a si!$le fra$'e!t( Spo!$es a!# hy#ra a! be #isi!te$rate# i!to s'all lu'ps or e%e! si!$le
ells by fori!$ the' throu$h a fi!e filter 'esh& yet )ill reor$a!i+e the'sel%es i!to !or'al&
o'plete i!#i%i#uals( A si!$le te!tale of a s)eet")ater polyp is apable of re$e!erati!$ a
o'plete i!#i%i#ual, a!# tra!s%erse slies of a flat)or'& take! fro' a!y part of its bo#y&
)ill re$e!erate the )hole a!i'al "" i!lu#i!$& brai!s& eyes& $e!italia& a!# other o'ple-
or$a!s )hih the se$'e!t #i# !ot o!tai!( 12 A'o!$ the hi$her a!i'als& rustaea!s are
apable of re$e!erati!$ si!$le or$a!s e-pose# to ai#e!tal #a'a$e 1a!te!!ae& stalk"eyes&
et(2, a'o!$ %ertebrates& sala'a!#ers a!# !e)ts are apable of re$e!erati!$ li'bs& eyes&
tails& a!# so'e i!!er or$a!s 1lu!$s a!# $o!a#s2, the proess i! these ases follo)s losely
the proesses of e'bryo!i #e%elop'e!t( 1#2 E/uippe# )ith hi$h re$e!erati%e po)ers&
so'e a!i'als pratise autoto'y "" the self"a'putatio! of a! e-pose# struture i! the $rasp
of a! e!e'y& )hih is subse/ue!tly replae#( =i+ar#s let $o of their tails, rabs& i!sets& a!#
spi#ers of their le$s or a!te!!ae& starfish ast off a! ar'( Self"a'putatio! is failitate# by a
'breaki!$ pla!e' of )eake!e# struture so'e)here !ear the base of the e-pe!#able
appe!#a$e "" rather like the perforatio!s bet)ee! sta'ps( 1e2 A'o!$ 'a''alia&
re$e!eratio! is $e!erally li'ite# to the repair of #a'a$e# bo!e& 'usle& ski!& a!#
peripheral !er%es( 1f2 =astly& the ter' 'physiolo$ial re$e!eratio!' is use# for the routi!e
replae'e!t of tissues use# up by or#i!ary )ear a!# tear(
Thus re$e!eratio! appears to ser%e t)o #iffere!t fu!tio!s0 o! the o!e ha!# !or'al&
ase-ual repro#utio!& o! the other& the restoratio! of or$a!s a!# strutures lost by
ai#e!tal 'utilatio! or by )ear a!# tear( *ut the t)o fu!tio!s are i! fat o!ti!uous, they
sha#e i!to eah other& a!# are ofte! u!#isti!$uishable( If a flat)or' spo!tta!eously she#s
its tail& the! $ro)s a !e) tail a!# the she# tail $ro)s a !e) hea#& this is alle# ase-ual
repro#utio!, if it is slie# i!to t)o i! the laboratory it is alle# re$e!eratio!, a!# the sa'e
$oes for bu##i!$& )hih is the !atural )ay of repro#utio! of so'e 'ari!e oele!terates&
but a! be artifiially i!#ue# by laeratio! of the bo#y )all( The 're$e!erati%e fiel#' i! the
sala'a!#er's a'putate# le$"stu'p obeys the sa'e type of o#e as the 'orpho$e!eti fiel#
of e'bryo!i pri'or#ia( A!# %ie %ersa0 the #e%elop'e!t of t)i!s or triplets follo)i!$
ai#e!tal fra$'e!tatio! 'i$ht as )ell be alle# a re$e!erati%e proess( He!e& o!to$e!esis
'ay be #esribe# as the re$e!eratio! of a o'plete i!#i%i#ual fro' a fra$'e!t speially set
asi#e for that purpose( *ut this 'setti!$ apart' of u!#iffere!tiate# e'bryo!i ells )hih
'speiali+e i! !o!"speiali+atio!' ours i! re$e!erati%e proesses too "" for i!sta!e& i!
a!!eli#s& hy#ra& a!# flat)or's& )hih store 'reser%e ells' or 're$e!eratio! ells' i! %arious
parts of their bo#ies a!# 'obili+e the' )he! the !ee# arises( Se-ual repro#utio! thus
appears 'erely as a! a##e# t)ist to ase-ual re$e!eratio! "" thou$h a t)ist )ith 'o'e!tous
o!se/ue!es( I!stea# of repliati!$ a si!$le $e!eti o#e a# i!fi!itu'& the bisoiatio! of
t)o $e!eti o#es is the basi 'o#el of the reati%e at(
Althou$h losely relate# speies o! the sa'e le%el of the e%olutio!ary hierarhy 'ay #iffer
)i#ely i! their re$e!erati%e po)er& it is !e%ertheless true that& i! a $e!eral )ay& this po)er
#ereases as )e proee# fro' lo)er to hi$her or$a!is's( The esse!e of or$a!i
re$e!eratio! is a release of $e!eti ell pote!tials )hih are !or'ally i!hibite# i! a#ult
tissue(
Physiolo$ial Isolatio!
These $e!eti pote!tials are the resi#ues of the ell's erst)hile totipote!tiality before
#iffere!tiatio! set i! "" its ori$i!al po)er to reate a )hole !e) or$a!is'( So'e of that
po)er is reati%ate# )he! the re$e!eratio! tissue "" the part #esi$!e# to replae the lost
or$a! or li'b "" is release# fro' the o!trols )hih u!#er !or'al o!#itio!s keep it u!#er
restrai!t( For this partial or total seessio! of the part fro' the )hole& C( >( Chil# oi!e#
the useful o!ept of 'physiolo$ial isolatio!'( 7I8
Physiolo$ial isolatio! 'ay be re$ar#e# as a #rasti for' of #ise/uilibriu' bet)ee! the
part a!# the )hole( Its o!se/ue!es 'ay be be!efiial or #eleterious( Chil# #isti!$uishes
four auses for it( 1a2 ;ro)th of the )hole beyo!# a ritial li'it 'ay 'ake it
u!$o%er!able so that parts of it fi!# the'sel%es outsi#e the ra!$e of e!tral #o'i!a!e a!#
o!trol( This 'ay lea# i! lo)er or$a!is's to repro#utio! by fissio! or bu##i!$0 the
isolate# part is either she# 1as& for i!sta!e& the pla!aria!'s tail2 to for' a !e) or$a!is'& or
it 'ay #e"#iffere!tiate a!# rei!te$rate i!to a o'plete or$a!is' by bu##i!$( 1b2 <eli!e of
the or$a!is''s po)ers of o!trol 1throu$h se!ese!e& 'etaboli or hor'o!al #isor#ers2
'ay& i! o'bi!atio! )ith other auses& lea# to a patholo$ial re$ressio! of ells a!# tissues
)ith u!tra'elle# proliferatio! a!# )ithout rei!te$ratio!& resulti!$ i! 'ali$!a!t $ro)ths( 12
Partial obstrutio! or total bloka$e of 1!er%ous a!# he'ial2 o''u!iatio!s& a!# 1#2
persiste!t loal e-itatio! beyo!# a ritial li'it& 'ay release the part fro' its !or'al
o!trols a!# ati%ate& for better or )orse& its late!t pote!tialities(
:e shall see that Chil#'s 'isolatio!' o!ept has a )i#e ra!$e of appliability( I! all ases&
isolatio! of the part fro' the )hole lea#s to #e"#iffere!tiatio! or other for's of re$ressio!,
i! so'e ases this is follo)e# by re"#iffere!tiatio! a!# rei!te$ratio!( Isolatio! lea#i!$ to
re$ressio! of a! irre%ersible ki!# plays a o!si#erable part i! patholo$y& psyho"patholo$y&
a!# soial patholo$y(D O! the other ha!#& re$ressio! follo)e# by a pro$ressi%e rebou!#
releases reati%e pote!tials )hih are !or'ally u!#er restrai!t( Its 'a$i a! be obser%e#
o! e%ery le%el0 fro' ase-ual repro#utio! to the repair of strutural #a'a$e a!# fu!tio!al
#isor#er& a!# further up to psyhotherapy& sie!tifi #iso%ery& a!# artisti reatio!( I! the
hapter )hih follo)s I shall briefly #isuss the 'a!ifestatio!s of 'super"fle-ibility "" of
reculer pour mieux sauter "" o! these %arious le%els(
NOTE
To p( 6IA( Thus& for i!sta!e& S'ithers i! 3 linical Prospect of the ancer Problem
145@C2 stresses the #eisi%e i!flue!e )hih Chil#'s NPhysiolo$ial Fou!#atio!s of
*eha%iourN ha# o! the #e%elop'e!t of his i#eas(




I3
RECU=ER POUR >IEUH SAUTER
Strutural Re$e!eratio!s
I! primitive or$a!is's suh as the flat)or'& a!# i! the early e'bryo!i sta$es of hi$her
or$a!is's& a physiolo$ially isolate# part te!#s i! $e!eral 'to lose its harateristis as a
part a!# to beo'e or approah the o!#itio! of a !e) )hole i!#i%i#ual'( 748 =iberatio! of
the part's pre%iously restrai!e# $e!eti pote!tial 'i!%ol%es a ha!$e i! beha%iour a!#
struture fro' that of a part to)ar#s that of a )hole or$a!is''( 798 Suh or$a!is's oul# be
sai# to li%e !ot o!ly i! #y!a'i e/uilibriu' )ith their e!%iro!'e!t& but i! a ki!# of
're$e!erati%e e/uilibriu'' )hih e!ables the' to rise to %irtually a!y halle!$e by 'ea!s of
these seo!#ary a#aptatio!s(
So'e higher animals are still apable of re$e!erati!$ lost or$a!s or li'bs( =et us ha%e a
loser look ho) it is #o!e( :he! a sala'a!#er's le$ has bee! a'putate#& the tissues !ear
the )ou!# surfae #e"#iffere!tiate a!# the ells a/uire a! e'bryo!i appeara!e( This is
the re$ressi%e or 'ataboli' phase( Arou!# the fourth #ay be$i!s the for'atio! of the
blaste'a "" the re$e!eratio! bu#, a!# fro' here o! throu$hout the 'a!aboli' or sy!theti
phase the proess follo)s losely the for'atio! of li'bs i! !or'al e'bryo!i
#e%elop'e!t(D The blaste'a elo!$ates i!to a o!e a!# #e%elops a-ially& the toes at its tip
appeari!$ first& a!# the rest of the li'b $ra#ually taki!$ shape as it $ro)s i! le!$th( :he!
the or$a! is o'plete#& e!tral o!trol is take! o%er by the !er%ous syste'& .ust as i! the
ase of the e'bryo( The !er%ous syste'& ho)e%er& also plays a! i!#ispe!sable part i!
i!itiati!$ the first& ataboli phase( If !o peripheral !er%es are prese!t i! the a'putatio!
stu'p& re$e!eratio! #oes !ot our(DD
The 'isolate# part' i! this ase is the a'putatio! stu'p( The blaste'a has i! the be$i!!i!$
the 'ulti"pote!tial harateristis of the or$a! pri'or#ia& a!# its re"#iffere!tiatio! a$ai!
proee#s step)ise0 if the fiel# is split i! half& eah half $i%es rise to a )hole or$a!, if o!e
half is re'o%e#& the re'ai!i!$ half )ill still #e%elop i!to a o'plete li'b(
Althou$h the isolate# part& tra!sfor'e# i!to a !e) or$a! pri'or#iu' 1or its lose
e/ui%ale!t2& e!.oys a hi$h #e$ree of i!#epe!#e!e a!# o!trols the for'atio! of the !e)
li'b& its ties )ith the hi$her le%els of the hierarhy are !ot o'pletely se%ere#( Its fu!tio!
i! the )hole has ha!$e#, its !or'al o!trols 1throu$h the !er%ous syste' a!# loal
he'ial $ra#ie!ts2 are out of atio! or e%e! re%erse#, but the or$a!is' as a )hole
!e%ertheless assists the re$e!erati!$ part by ertai! e'er$e!y 'easures "" a '$e!eral alar'
reatio!' follo)e# by a '$e!eral a#aptatio! sy!#ro'e'& eah sta$e i!#iate# by 'etaboli
ha!$es a!# by the appeara!e of speifi protei!s a!# hor'o!es i! the irulatory syste'(
Thus the isolatio! of the part is o!ly te'porary a!# relati%e, a!# )he! the proess is
o'plete#& the re$e!erate# li'b assu'es its !or'al fu!tio! i! the )hole( The e!tire
re$ressire"pro$ressi%e se/ue!e is the 'ea!s by )hih the a!i'al's 're$e!erati%e
e/uilibriu'' e!ables it to a#.ust to trau'ati e-perie!es fro' the e!%iro!'e!t(
=ooke# at fro' a #iffere!t a!$le& o!e 'i$ht say that the )hole proess is #esi$!e# to
pre%e!t or orret 'alfor'atio!s& i(e( faulty i!te$ratio!s( :ithout the i!itial !er%e supply&
the re$ressi!$ a'putatio! stu'p )oul# be resorbe#& the sar tissue )oul# lose o%er it& a!#
the a!i'al )oul# ahie%e a 'o#us %i%e!#i as a ripple "" a faulty i!te$ratio!( O! the other
ha!#& a fro$ )hih )ill !ot !or'ally re$e!erate a lost li'b )ill #o so if the !er%e supply to
the stu'p is artifiially au$'e!te#& pro%i#i!$ the i!itial sti'ulus to start the proess(
Trau'ati halle!$es a! o!ly be 'et by the liberatio! of the or$a!is''s late!t po)ers "" a
te'porary retur! to a 'ore youthful or pri'iti%e o!#itio!(
Re%erse# ;ra#ie!ts
A! i'porta!t part i! re$e!eratio!& as i! 'orpho$e!esis& is playe# by axial gradients( The
apial or 'hea#' e!# of the fertili+e# e$$& the $ro)i!$ e'bryo& or the re$e!erati!$ li'b& are
e-pose# to the hi$hest #e$ree of sti'ulatio! a!# sho) the hi$hest rate of 'etabolis'&
protei! sy!thesis& a!# RNA ati%ity( Thus the a!terior e!# beo'es the #o'i!a!t re$io!&
the 'hea#' i! the literal a!# 'etaphorial se!se& a!# e-erises a restrai!i!$ i!flue!e o! the
$e!eti pote!tials alo!$ the a-ial $ra#ie!t "" so that ati%ity is hi$hest at the fro!t a!#
lo)est at the tail e!# 1hi$her or$a!is's ha%e of ourse a o'ple- patter! of i!terati!$
$ra#ie!ts& so'e a-ial& so'e ra#ial2( *ut physial isolatio! by bloka$e or hyper"e-itatio!
1Chil#'s thir# a!# fourth ause2 of parts i! pre%iously subor#i!ate positio!s a! be sho)! to
alter or reverse the $ra#ie!t( I! pla!ts& )here the #o'i!a!t re$io! is the $ro)i!$ tip of the
shoot& pru!i!$ 'akes pre%iously subor#i!ate parts burst i!to ati%ity( If i! the 'ari!e
polyp& tubularia& a piee of the ste' is ut out& the fro!tal e!# of the fra$'e!t )ill !or'ally
re$e!erate the hy#ra!t )hih is its 'hea#', but if a li$ature is applie# to isolate the fro!t e!#
of the fra$'e!t& the $ra#ie!t is re%erse# a!# the tail e!#& !o) the re$io! of 'a-i'u'
e-itatio!& beo'es #o'i!a!t a!# $ro)s a hea#( Si'ilarly& short piees of pla!aria
so'eti'es re$e!erate o!e hea# at the fro!t a!# a!other at the tail e!#& if the 'etabolis' of
both ut surfaes is e/ually hi$h(
The <a!$ers of Re$ressio!
T)o 'ore phe!o'e!a 'ust be 'e!tio!e# i! this o!te-t0 the first illustrates the fle-ibility&
the seo!# the %ul!erability of re$e!erati%e proesses(
If the rystalli!e le!s of a sala'a!#er"eye is re'o%e#& part of the iris #e"#iffere!tiates&
for's a %esile& e!ters the a%ity throu$h the pupil& re"#iffere!tiates& a!# for's a !or'al
le!s "" )hereas i! e'bryo!i #e%elop'e!t the le!s is for'e# by the epi#er'is o%erlayi!$
the eye"up& )ithout partiipatio! of the iris( Thus the 'orpho$e!eti skill of 'aki!$ a le!s
a! 'ake use of either of t)o #iffere!t 'aterials, the o#e is a$ai! i!%aria!t& the strate$y
a#aptable(D
O! the other ha!#& the fators )hih& i! a hi$her or$a!is'& #eter'i!e )hether a $i%e!
trau'a )ill lea# to re$e!erati%e or patholo$ial ha!$es are of a! e-tre'ely #eliate !ature(
Thus S'ithers 7A8 )rites0
The type of struture re$e!erate#& or the ki!# of !eoplas' for'e#& )ill #epe!# o! the le%el
of the o!trolli!$ fiel#"$ra#ie!t a$ai!st )hih it is e-erti!$ itself& a!# the steep!ess of the
$ra#ie!t it a! itself establish a!# pro'ote as sho)! by its te!#e!y to)ar#s
u!#iffere!tiate# ell"repro#utio!( The part )hih is physiolo$ially isolate# the! pro#ues
a! i'perfet portio! of a !e) )hole& $i%i!$ rise to )hate%er tissues it is apable of for'i!$
u!#er the iru'sta!es pertai!i!$( This 'ay result i! 'alfor'atio!s of all #e$rees& fro'
si'ple o%er$ro)th of a#ult tissues& throu$h irre$ular 'i-tures of reo$!i+able& )ell"
#iffere!tiate# ells& to the 'ost rapi#ly $ro)i!$& u!#iffere!tiate# tu'ors(
Patho$e!i re$ulatory respo!ses are reatio!s to sti'ulatio!s )hih are 'outsi#e the
sta!#ar#i+e# ra!$e of !or'al e-perie!e of the speies #uri!$ its #e%elop'e!tal peak
perio#( They #o !ot #iffer fro' the !or'al re$ulatory respo!ses& ho)e%er& i! a!y
fu!#a'e!tal partiular( ( ( ( Tissue o%er$ro)th as a respo!se to a lo!$"o!ti!ue# e-ter!al
irrita!t& is of the sa'e or#er as heat re$ulatio!& )ou!#"heali!$ or latatio!( ( ( ( Useless or
har'ful re$ulati!$ 'eha!is's a!# tissue respo!ses to isolatio!& i!.ury& or sti'ulatio! are
!ot fu!#a'e!tally #iffere!t i! ki!# fro' those fa%ourable o!es )hih ha%e beo'e
i!orporate# i!to the i!herita!e of the speies beause they pro'ote# sur%i%al throu$h the
perio# of repro#uti%e ati%ity( ( ( ( The tissues 'ost ofte! alle# o! for re$e!eratio! a!#
repair& or 'ost liable to reurre!t sti'ulatio! i!to speiali+e# ati%ity& are those 'ost pro!e
to tu'our for'atio!(' 768
'Routi!e Re$e!eratio!s'
The last se!te!e that I ha%e /uote# lea#s i!to the bor#erla!# bet)ee! re$e!erati%e a!#
'!or'al' proesses0 !a'ely routi!e replae'e!ts( They ra!$e fro' the perio#i 'oulti!$ of
feathers a!# she##i!$ of the a!tlers& to the replae'e!t of the )hole hu'a! epi#er'is
about o!e a 'o!th o)i!$ to )ear a!# tear& a!# the replae'e!t of re# bloo# ells at the
rate of A - 4CL44 per #ay, !ot to 'e!tio! the 'etaboli tur!o%er o! the 'oleular le%el
)hih o!su'es about thirty per e!t of our total protei! i!take( This type of routi!e 1or so"
alle# 'physiolo$ial'2 re$e!eratio! )hih $oes o! all the ti'e is so'eti'es #esribe# as a
o!sta!t 're!e)al' or 're.u%e!atio!' of the bo#y( It is ofte! i'possible to 'ake a lear
#isti!tio! bet)ee! ')ear' a!# 'tear' "" for i!sta!e i! 'i!or abrasio!s of the ski!( The
#iffere!tial fator is ob%iously the #e$ree of stress& )hih& past a ritial threshol#& )ill
bri!$ $e!eral alar' reatio!s a!# 'a#aptatio!s of the seo!# or#er' i!to play(
Reor$a!i+atio!s of Fu!tio!
The tra!spla!te# sala'a!#er li'b )hih fu!tio!s !or'ally i! spite of its ra!#o'i+e#
!er%ous o!!etio!s a! be re$ar#e# as a! e-a'ple of both re$e!eratio! of struture a!#
reor$a!i+atio! of fu!tio!( The path)ays lea#i!$ i!to the li'b all see' to be e/uipote!tial
i! their apaity as o!#utors of the e-itatio!"la!$( :ithout e!teri!$ the ol# o!tro%ersy
about e/uipote!tiality %ersus loali+atio! of fu!tio!s i! !er%ous tissues& it see's to be safe
to say that i! repetiti%e routi!es a!# loal refle-es& e/uipote!tiality has 'fro+e! up' i!to fi-e#
loal arra!$e'e!ts, )hereas i! ase of i!.ury to the path)ays i! /uestio!& the
e/uipote!tiality 1or rather& 'ulti"pote!tiality2 of alter!ati%e 'a!al"syste's' is re%i%e#& a!#
they take o%er the fu!tio! of the i!.ure# syste'( To /uote =ashley0 'The results i!#iate
that )he! habitually use# 'otor or$a!s are re!#ere# !o!"fu!tio!al by re'o%al or
paralysis& there is a! i''e#iate& spo!ta!eous use of other 'otor syste's )hih ha# !ot
pre%iously bee! assoiate# )ith& or use# i!& the perfor'a!e of the ati%ity(' 7I8 Nearly a
e!tury earlier PflS$er ha# sho)! that e%e! the spi!al refle-es of a fro$ are apable of
'risis a#aptatio!s'( If a #rop of ai# is plae# o! the bak of the left fro!t li'b of a
#eapitate# fro$& it )ill atte'pt to )ipe it a)ay )ith the left hi!# li'b, but if pre%e!te#
fro' #oi!$ so it )ill use the ri$ht hi!# li'b "" )hih it !or'ally !e%er #oes i! the e-erise
of the )ipi!$ refle-(
Tur!i!$ fro' the spi!al le%el to the brai!& =ashley's elebrate# 'a+e e-peri'e!ts ha%e
sho)! )hat asto!ishi!$ re$e!erati%e a#aptatio!s the erebral orte- is apable of( If a rat is
trai!e# to hoose bet)ee! t)o #oors the o!e )here a bri$hter li$ht is sho)!& this habit 1or
at least part of it2 'ust be loali+e# i! its optial orte-& for if this is e-tirpate#& the habit is
lost( *ut a rat )ith its optial orte- ut out a! still be tau$ht or re"tau$ht the sa'e skill(
This 'ea!s that so'e other ortial area has take! o%er the lear!i!$ fu!tio! after
e-tirpatio! of the proper area "" .ust as i! the 'orpho$e!eti fiel# i!tat tissue )ill #eputi+e
for lost tissue( >oreo%er& if a rat has lear!e# to ru! a ertai! 'a+e& !o 'atter )hat parts of
its 'otor orte- are i!.ure#& it )ill follo) its path "" e%e! if it has to roll the )hole )ay
)ith paralyse# le$s, a!# if the i!.ury 'akes it i!apable of e-euti!$ a ri$ht tur!& it )ill
ahie%e its ai' by a three"/uarter tur! to the left( The rat 'ay be bli!#e#& #epri%e# of its
s'ell& partially paralyse# i! %arious )ays "" eah of )hih )oul# thro) the hai!"refle-
auto'ato!& )hih the rat )as suppose# to be& o'pletely out of $ear( Bet0 'O!e #ra$s
hi'self throu$h 7the 'a+e8 )ith his forepa)s, a!other falls at e%ery step but $ets throu$h
by a series of lu!$es, a thir# rolls o%er o'pletely i! 'aki!$ eah tur!& yet a%oi#s rolli!$
i!to a ul"#e"sa a!# 'akes a! errorless ru!( The beha%iour prese!ts e-atly the sa'e
proble' of #iret a#aptatio! of a!y 'otor or$a!s to the attai!'e!t of a $i%e! e!# )hih
)as outsta!#i!$ i! 'y earlier obser%atio!s o! 'o!keys after #estrutio! of the pre"e!tral
$yri( If the usto'ary se/ue!e of 'o%e'e!ts e'ploye# i! reahi!$ the foo# is re!#ere#
i'possible& a!other set& !ot pre%iously use# i! the habit& a!# o!stituti!$ a! e!tirely
#iffere!t 'otor patter!& 'ay be #iretly a!# e%i#e!tly substitute# )ithout a!y ra!#o'
ati%ity(' 7@8
I! hu'a! bei!$s& strutural re$e!eratio! "" of ski!& bo!e& 'usle& a!# peripheral !er%es ""
is o!fi!e# to tissue"out$ro)th0 that is to say& the !e) strutures are #eri%e# fro' ells of
their o)! ki!#& !ot fro' #e"#iffere!tiati!$ tissues( *ut thou$h )e ha%e lost the a'phibia!'s
e!%iable po)ers of replai!$ a lost li'b& )e ha%e $ai!e# a u!i/ue super"fle-ibility of
fu!tio!s i! our !er%ous syste'(
O! its lo)est le%el it is 'a!ifeste# i! ertai! seo!#ary or risis"a#aptatio!s of !euro"
'usular 'eha!is's( The artifiial li'bs i!%e!te# by the Austria! sur$eo! Sauerbruh are
fle-e# by 'usles i! the stu'p )hih for'erly ate# as e-te!sors& a!# e-te!#e# by fle-ors(
7O8 Other re%ersals of fu!tio! are obtai!e# by $rafti!$ operatio!s( :he! the 'usulo"
spiral !er%e )hih ati%ates the e-te!sors of )rist a!# fi!$ers is se%ere# )ith resulti!$
paralysis& the #a'a$e a! be repaire# by $rafti!$ o!e of the fle-or"te!#o!s fro' the i!!er
si#e of the )rist o! to the e-te!sor"'usle( After a )hile the fle-or )ill #eputi+e for his
for'er a!ta$o!ist& althou$h it re'ai!s attahe# to the ')ro!$' 1'e#ia!2 !er%e "" )hih thus
arries opposite or#ers to the re'ai!i!$ fle-ors a!# to the tra!spla!te# o!e& alo!$ the sa'e
o''o! path(D 7F8
I! these a!# si'ilar $rafti!$ operatio!s the first step is the u!#oi!$ of a fi-e# !euro"
'usular o!!etio!, thereby the !er%e to be $rafte# beo'es '#e"speiali+e#' as it )ere ""
the fu!tio!al a!alo$ue to the #e"#iffere!tiatio! of strutures "" a!# re$ai!s its 'ulti"
pote!tiality to fu!tio! i! 'ore tha! o!e )ay( The seo!# step& )he! the $rafti!$ operatio!
is o'plete#& is 're"speiali+atio!' of the !er%e i! its !e) role& a!# the rei!te$ratio! of the
!e) !euro"'usular u!it i!to the )hole( Si'ilar o!si#eratio!s apply to =ashley's rats or
*ethe's i!sets "" e-ept& of ourse& that i! their ase& the reor$a!i+atio! of fu!tio!s is
spo!ta!eous(
Thus there is a lose parallel bet)ee! the re$e!eratio! of strutures a!# the reor$a!i+atio!
of fu!tio!s after trau'ati halle!$es, a!# both are o!ti!uous )ith the re$ulati%e
pri!iple i! 'orpho$e!esis( The a!tithesis bet)ee! 'loali+atio! of fu!tio!s& fi-e#
path)ays' o! the o!e ha!#& a!# ''ulitpote!tial path)ays& seleti%e respo!ses' o! the other&
reflets the earlier a!tithesis bet)ee! the 'osai harater a!# the re$ulati%e harater i!
e'bryo!i #e%elop'e!t( *ut the see'i!$ly opposite pri!iples tur! out to be i! fat
o'ple'e!tary aspets of #e%elop'e!t( :ith eah suessi%e step i! the #iffere!tiatio! of
the e'bryo& of the !er%ous syste'& a!# of a#ult beha%iour"patter!s& the re$ulati%e po)ers
#erease& a!# the 'osai"harater of strutures a!# fu!tio!s i!reases0 tissues beo'e
speiali+e#& respo!ses loali+e#& habits auto'ati+e# "" up to a poi!t( For all 'atries of
struture a!# beha%iour #isplay %aryi!$ a'ou!ts of fle-ibility e%e! )hile the or$a!is'
li%es i! #y!a!ti e/uilibriu' )ith its e!%iro!'e!t, but the ofte! u!suspete# a'ou!t of its
re$e!erati%e pote!tial beo'es o!ly 'a!ifest )he! a se%ere halle!$e i!#ues it to retrae
its steps o! the $e!eti $ra#ie!t& as it )ere& a!# 'ake a fresh start(
!eculer sans .auter
Hyper"e-ite# or$a!s or or$a!"syste's te!# to $et out of o!trol( <uri!$ the repair of
physial i!.uries& the i!.ure# part te!#s to 'o!opoli+e the atte!tio! of the )hole or$a!is',
i! perio#s of star%atio!& the #i$esti%e syste' asserts itself to the #etri'e!t of other parts, i!
ra$e a!# pa!i& the sy'pathio"a#re!al apparatus tyra!!i+es the )hole, a!# )he! se- is
arouse#& reaso! 1as the Austria! pro%erb has it2 '#ese!#s i!to the testes'( The o%er"e-ite#
part beha%es as if it )ere i! a te'porary state of 'physiolo$ial isolatio!' 1pp( 6I9 f(2&
release# fro' its restrai!ts, it asserts its auto!o'y a!# so'eti'es te!#s to usurp the
fu!tio!s of the )hole(

A!alo$ous situatio!s our o! the o$!iti%e le%el& )here the 'hyper"e-ite# part' appears i!
the $uise of the id;e fixe& or a 'lose# syste'' of beliefs( *oth the ahie%e'e!ts a!#
aberratio!s of hu'a! thou$ht are to a lar$e e-te!t #ue to obsessio!al preoupatio!s )ith
reli$ious a!# sie!tifi theories& or politial i#eolo$ies& 'ore or less losely k!itte# arou!#
so'e e!tral i#ea& arou!# a part"truth usurpi!$ the role of the )hole truth(

:e ha%e see! i! the pre%ious %olu'e ho) a! obsessio!al preoupatio! a! fore the
)hole 'e!tal or$a!i+atio! i!to its ser%ie #uri!$ the perio# of i!ubatio!& a!# $i%e birth to
a !e) syste' of thou$ht( *ut these are the $lorious e-eptio!s, i! the %ast 'a.ority of
ases& the 'o%er"%alue# i#ea' 1to use Kretsh'er's 758 ter'2 )ill beo'e se$re$ate# fro' the
rest of the 'e!tal fiel#& a!# assert itself i! har'ful )ays( The results are all too fa'iliar0
perso!alities )hose )hole outlook is #o'i!ate# by pre.u#ie a!# biasse# %alues, the
o'pulsi%e rituals of !eurotis, the #e%ouri!$ obsessio! of the ra!k, a!# so o! to the
'a.or psyhoses i! )hih lar$e hu!ks of the perso!ality ha%e bee! 'split off' a!# beo'e
per'a!e!tly isolate# fro' the rest( The i!trusio! of 'a$i ausatio!, i!ability to
#isti!$uish bet)ee! fat a!# fa!tasy, #elusio!s of $ra!#eur& or perseutio! by i!%isible
po)ers& are sy'pto's of re$ressio! to earlier le%els& of the #e"#iffere!tiatio! of thou$ht"
'atries "" of reculer sans sauter(


Re$e!eratio! a!# Psyhotherapy

=ess e-tre'e ases are !eurotis )ho reat to their trau'ati e-perie!es by elaborati!$
#efe!e syste's )hih e!able the' to fi!# so'e ki!# of 'o#us %i%e!#i )ith the )orl#(
O!e 'ay all suh beha%iour"patter!s 'faulty i!te$ratio!s' "" like the !e)t's )hose forele$s
'o%e bak)ar#s( Psyhotherapy ai's at u!#oi!$ faulty i!te$ratio!s by i!#ui!$ a
te'porary re$ressio! of the patie!t to a! earlier le%el& i! the hope that he )ill e%e!tually
rei!te$rate i!to a 'ore stable patter!( Neuro"sur$ery& shok"therapy& a!# relate# 'etho#s
ai' at releasi!$ philo$e!etially ol#er e!tres of the brai! fro' ortial restrai!ts( I! a less
#rasti for'& Freu#ia!s& ?u!$ia!s& et(& try to 'ake the patie!t re%ert to u!o!sious a!#
i!fa!tile pla!es of e-perie!e& a!# to re$e!erate& as it )ere& i!to a 'ore or less !e)"bor!
perso!(

Thus psyhotherapy 'ay be alle# a! e-peri'e!t i! artifiially i!#ue# re$e!eratio!( It
relies o! the sa'e basi proess of reculer pour mieux sauter& )hih )e see operati!$ o!
e%ery le%el0 fro' the flat)or' )hih replaes a lost hea#& throu$h the rab )hih a#.usts
its $ait to the loss of a le$& to the rat )hih& u!able to tur! to the ri$ht& 'akes a three"
/uarter tur! to the left( :e fou!# the sa'e patter! repeate# o! the le%el of hu'a!
reati%ity0 the sie!tist& fae# by a perple-i!$ situatio! "" Kepler's #isrepa!t ei$ht 'i!utes'
ar& Ei!stei!'s li$ht"tra%eller para#o- "" 'ust plu!$e i!to a '#ark !i$ht of the soul' before he
a! re"e'er$e i!to the li$ht( The history of the sie!es a!# arts is a tale of reurre!t rises&
of trau'ati halle!$es& )hih e!tail a te'porary #isi!te$ratio! of the tra#itio!al for's of
reaso!i!$ a!# pereptio!0 a #e"#iffere!tiatio! of thou$ht"'atries& a #is'a!tli!$ of its
a-io's& a !e) i!!oe!e of the eye, follo)e# by the liberatio! fro' restrai!t of reati%e
pote!tials& a!# their rei!te$ratio! i! a !e) sy!thesis(


The Routi!e of <rea'i!$

There is also a 'e!tal e/ui%ale!t for the less spetaular routi!e re$e!eratio! of tissues&
#esi$!e# to o'pe!sate for )ear a!# tear( The a!alo$ue proess is the 'ai!te!a!e of
''e!tal tissues' e-pose# to the )ear a!# tear of #iur!al stresses& by the re$e!erati%e effet
of !otur!al re$ressio!s to the pri'iti%e le%els of the #rea'( E-peri'e!tal e%i#e!e see's
to i!#iate that the restorati%e po)ers of sleep are pri'arily #eri%e# fro' the proess of
#rea'i!$( E-peri'e!tal sub.ets )ho )ere )oke! up eah ti'e their EE; )a%es i!#iate#
the o!set of #rea'i!$& #isplaye# sy'pto's of fati$ue a!# !er%ous #isor#er, lo!$ perio#s of
#rea'less sleep oul# !ot o'pe!sate for #rea'"#epri%atio!( '>a! a!!ot persist lo!$ i! a
o!sious state&' )rote ;oethe& 'he 'ust thro) hi'self bak i!to the u!o!sious& for his
root li%es there('

:e ha%e see! 1*ook O!e& 3II& 3III2 that these perio#i plu!$es i!to the u!o!sious are
ao'pa!ie# by the te'porary #isi!te$ratio! of 'atries of lo$ial thou$ht( *ut they also
e!tail a partial loss of i#e!tity& a #e"#iffere!tiatio! of the perso!ality "" as i!#iate# by the
re'arkable #e$ree of u!ifor'ity i! the o!te!ts of #rea's share# by people of %ery
#iffere!t harater& a!# by the relate#!ess of these o!te!ts to 'ytholo$ial the'es a!#
sy'bols( These share# patter!s le# ?u!$ to postulate a 'olleti%e' "" that is& i!#i%i#ually
u!#iffere!tiate# "" le%el of the u!o!sious( O! that le%el& 'e'bers of the sa'e ulture
see' to share so'e #e$ree of psyhi e/uipote!tiality e-presse# i! 'arhetypal sy'bols'(
These are suppose# to be o!#e!satio!s of basi e-perie!es of the rae i! the #ista!t past,
he!e their $reat e'otio!"rousi!$ pote!tial(

To reapitulate0 the fat that art a!# #iso%ery #ra) o! u!o!sious soures i!#iates that
o!e aspet of all reati%e ati%ity is a re$ressio! to o!to$e!etially or philo$e!etially
earlier le%els& a! esape fro' the restrai!ts of the o!sious 'i!#& )ith the subse/ue!t
release of reati%e pote!tials "" a proess parallele# o! lo)er le%els by the liberatio! fro'
restrai!t of $e!eti pote!tials or !eural e/uipote!tiality i! the re$e!eratio! of strutures a!#
fu!tio!s( The sie!tist& trau'ati+e# by #isor#a!t fats& the artist by the pressures of
se!sibility& a!# the rat by sur$ial i!ter%e!tio!& share& o! #iffere!t le%els& the sa'e super"
fle-ibility e!abli!$ the' to perfor' 'a#aptatio!s of a seo!# or#er'& rarely fou!# i! the
or#i!ary routi!es of life( ggg Cf( =ear!i!$ III ggg

Re$e!eratio! a!# Creati%ity

I 'ust e!lar$e a little o! this see'i!$ly s)eepi!$ a!alo$y& a!# try to sho) that it is i! fat
base# o! ho'olo$ous pri!iples& traeable o! all le%els of the hierarhy& a!# preser%i!$
their basi patter! throu$hout the'(

<iffere!tiatio! a!# speiali+atio! of the parts are !eessary for the !or'al fu!tio!i!$ of
the )hole, ab!or'al o!#itio!s all for ra#ial 'easures )hih 'ay i!lu#e a retreat of the
o%er"e-erte# part to a struturally less #iffere!tiate#& fu!tio!ally less speiali+e# sta$e& if
the )hole is to sur%i%e( The 'part' 'ay be the !e)t's a'putatio! stu'p& or the u!sol%e#
proble' i! the sie!tist's 'i!# )hih tortures a!# obsesses hi'( :e ha%e see! that suh
re$ressio!s are 'ostly patho$e!i& but u!#er fa%ourable o!#itio!s they 'ay re#ress the
situatio! by re"ati%ati!$ pote!tials )hih ha# bee! operati%e i! the past but are i!hibite# i!
the a#ult "" suh as the re$ulati%e po)ers of the e'bryo i! the )o'b or the u!#iffere!tiate#
total"patter!"respo!ses of its !er%ous syste'( The perio# of i!ubatio! is a si'ilar retreat& if
!ot i!to the )o'b& at least i!to lo!$"out$ro)! for's of i#eatio!& i!to the pre"%erbal& pre"
ratio!al $a'es of the u!o!sious& the )o!#erla!#"lo$i of the #rea'( The halle!$e )hih
sets the proess $oi!$ is i! all ases a trau'ati e-perie!e0 physial 'utilatio! or 'e!tal
laeratio! "" by #ata )hih #o !ot fit& obser%atio!s )hih o!tra#it eah other& e'otio!s
)hih #isrupt appro%e# styles i! art0 e-perie!es )hih reate 'e!tal o!flit& #isso!a!e&
perple-ity( The 'reati%e stress' of the artist or sie!tist orrespo!#s to the '$e!eral alar'
reatio!' of the trau'ati+e# a!i'al, the a!aboli"ataboli se/ue!e of #e"#iffere!tiatio!
a!# rei!te$ratio! orrespo!#s to the #estruti%e"o!struti%e se/ue!e i! the reati%e at(
The 'physiolo$ial isolatio!' of the o%er"e-ite# part )hih te!#s to #o'i!ate& orrespo!#s
to the si!$le"'i!#e# a!# obsessi%e preoupatio! )ith the id;e fixe "" Kretsh'er's 'o%er"
%alue# i#ea'& Kepler's pursuit of a hi'era "" )hih 'o!opoli+es the )hole 'i!#, it )ill
either lea# to its reor$a!i+atio! by $i%i!$ birth to a !e) syste'& or to the a!erous
proliferatio! of a #e$e!erate tissue of i#eas(

O%er"e-itatio! of a! or$a! or part is o!e of the four auses of 'physiolo$ial isolatio!'(
The other three )ere0 $ro)th of the )hole beyo!# a ritial li'it, se!ese!e, a!# 1partial2
bloka$e of o''u!iatio! 1pp( 6I9 f(2( Eah situatio! has its parallels o! the 'e!tal pla!e
"" of the i!#i%i#ual& or the history of thou$ht( The u!'a!a$eable si+e of the total bo#y of
hu'a! k!o)le#$e "" or e%e! a si!$le pro%i!e thereof "" reate# that #issoiate#
phe!o'e!o!& the speialist 'i!#, se!ese!t ultures pro#ue #e$e!erate art"for's, bloke#
o''u!iatio!s bet)ee! Ptole'ai astro!o'y a!# the 'ai! bo#y of the physial sie!es
le# to the u!tra'elle# proliferatio! of epiyles i! a lose# syste'& #i%ore# fro' reality(


'It is )o!#erful to see ho) a!alo$ies a! blosso' )he! they are $i%e! a little affetio!'&
)rote the authors of a book I ha%e repeate#ly /uote#( 74C8 Partiularly& o!e 'i$ht a##& if
they ha%e soli# roots i! the earth( So let 'e arry a!alo$y o!e step further( I! *ook O!e
1Chapters 3"3III2 I ha%e #esribe# %arious aspets of the Eureka proess, eah of these re"
struturi!$s of thou$ht has its ob%ious orrelate i! re$e!erati%e proesses o! lo)er le%els(
The '#isplae'e!t of e'phasis' to a pre%iously irrele%a!t part or aspet of e-perie!e
orrespo!#s to the su##e! #o'i!a!e of a hitherto subor#i!ate part of a! or$a!is' "" suh
as the rab's seo!# le$ )hih beo'es a pae'aker( The 're%ersal of lo$i' 1or of the
fi$ure"bak$rou!# relatio!2 has its parallel i! the re%ersal of physiolo$ial $ra#ie!ts #uri!$
re$e!eratio!( :he! psyholo$ial te-tbooks #esribe <u!ker's e-peri'e!ts as '#etahi!$'
part of a %isual perept fro' the o!te-t i! )hih it is 'e'be##e#'& a!# 'attahi!$' it to the
!e) o!te-t of the proble' to be sol%e# 1pp( 4F5 f(2 this #esriptio! itself is base# o!
a!alo$ies fro' physiolo$ial proesses( <uri!$ i!ubatio!& the i!tuiti%e $ropi!$ of i#eas
to)ar#s the '$oo# o'bi!atio!'& a!# their $ui#a!e by '$ra#ie!ts i! the u!o!sious'&
re'i!#s o!e of the biohe'ial $ra#ie!ts i! 'orpho$e!esis& or the 'o!tat"$ui#a!e' of
out"$ro)i!$ !er%e"proesses to)ar#s their e!#"or$a!( =astly a '!ase!t'& u!%erbali+e#
a!alo$y 'ay be o'pare# to a! u!artiulate# or$a!"pri'or#iu'(

*ut these $e!eti skills operate o!ly i! the e'bryo!i sta$e of #e%elop'e!t, i! the a#ult
they are superse#e# by the i!te$rati%e atio! of the !er%ous syste' "" u!less the e'bryo!i
pote!tials are reati%ate# by re$e!erati%e !ee#s( Si'ilarly& the a#ult's 'e!tal o"or#i!atio!
relies o! o!sious& %erbali+e#& 'lo$ial' o#es, !ot o! the /uasi 'e'bryo!i' 1i!fa!tile& pre"
ausal2 pote!tials of the u!o!sious, a$ai! u!less these are re%i%e# u!#er the reati%e
stress( Physial re$e!eratio!s strike us as 'spetaular piees of 'a$i' beause they #eri%e
fro' pre!atal skills, a!# reati%e i!spiratio!s are e/ually 'ysterious beause they #eri%e
fro' le%els )hih pre#ate the o!sious 'i!#( As Pol\!yi )rote 1i! a #iffere!t o!te-t20
'The hi$hest for's of ori$i!ality are far 'ore losely aki! to the lo)est bioti perfor'a!es
tha! the e-ter!al iru'sta!es )oul# i!#iate(' 7448


Re$e!eratio! a!# E%olutio!



These rather fa!y #ia$ra's are solely 'ea!t to i!#iate i! a ru#e )ay the
o'ple'e!tary fators i! the reculer pour mieux sauter phe!o'e!o!( I! A& i!rease i!
tissue"#iffere!tiatio! e!tails a reiproal #erease of $e!eti 'ultipote!tiality( I! *& a!
a!alo$ous reiproity pre%ails bet)ee! u!o!sious i!tuitio!s a!# auto'ati+e# routi!es ""
or& if you like& bet)ee! flui# i'a$ery a!# ''isplae# o!rete!ess'( R i!#iates the
're$e!erati%e spa!'( 1The ur%e i! A shoul# of ourse ha%e breaks a!# a series of #isrete
steps(2
It oul# be ob.ete# that strutural re$e!eratio!s 'erely restore the status +uo ante
)hereas 'e!tal reor$a!i+atio! lea#s to a! a#%a!e( *ut i! the first plae this is !ot al)ays
the ase( Psyhotherapy ai's at orreti!$ 'faulty i!te$ratio!s' ause# by trau'ati
e-perie!es "" at restori!$ !or'ality( I! the seo!# plae the biolo$ial e%olutio! of the
speies )ith )hih )e are o!er!e# has to all i!te!ts a!# purposes o'e to a sta!#still&
)hereas 'e!tal e%olutio! o!ti!ues& a!# its %ehile is preisely the reati%e i!#i%i#ual( The
Eureka proess is a 'e!tal 'utatio!& perpetuate# by soial i!herita!e( Its biolo$ial
e/ui%ale!t are the $e!eti 'utatio!s )hih arrie# the e-isti!$ speies up the e%olutio!ary
la##er( No) a 'utatio! "" )hate%er its u!k!o)! ause "" is !o #oubt a re"'oul#i!$ of
pre%ious strutures& base# o! a #e"#iffere!tiatio! a!# rei!te$ratio! of the other)ise ri$i#
$e!eti o#e( The tra!sfor'atio!s of fi!s i!to le$s& le$s i!to ar's& ar's i!to )i!$s& $ills
i!to lu!$s& sales i!to feathers& et(& )hile preser%i!$ ertai! basi strutural patter!s 1see&
for i!sta!e& #'Ary Tho'pso!'s On @rowth and 1orm2 )ere e'i!e!tly ')itty' a!s)ers to
the halle!$es of e!%iro!'e!t( It see's ob%ious that the #ra'ati release& at perio#s of
a#aptati%e ra#iatio!s& of u!e-plore# 'orpho$e!eti pote!tials by a re"shuffli!$ of
'oleules i! the $e!eti o#e& resulti!$ i! the #e"#iffere!tiatio! a!# rei!te$ratio! of
strutures like li'bs i!to )i!$s& is of the %ery esse!e of the e%olutio!ary proess( After all&
'o!to$e!esis a!# re$e!esis are o'po!e!ts of a o''o! 'eha!is''& 7498 )hih 'ust ha%e
a phylo$e!eti ori$i!(
I! *ook O!e& Chapter HH& I ha%e 'e!tio!e# the pere!!ial 'yth of the prophet's a!# hero's
te'porary isolatio! a!# retreat fro' hu'a! soiety "" follo)e# by his triu'pha!t retur!
e!#o)e# )ith !e) po)ers( *u##ha a!# >oha'e# $o out i!to the #esert, ?oseph is thro)!
i!to the )ell, ?esus is resurrete# fro' the to'b( ?u!$'s '#eath a!# rebirth' 'otif& Toy!bee's
')ith#ra)al a!# retur!' reflet the sa'e arhetypal 'otif( It see's that reculer pour mieux
sauter is a pri!iple of u!i%ersal %ali#ity i! the e%olutio! of speies& ultures& a!#
i!#i%i#uals& $ui#i!$ their pro$ressio! by fee#bak fro' the past(


NOTES

To p( 6I6( It is still a! ope! /uestio!& ho)e%er& )hether or ho) 'uh u!#iffere!tiate#
'reser%e ells' 1as i! lo)er a!i'als2 o!tribute 'aterial to the blaste'a(

To p( 6I6( It see's that the i!itial role of the !er%ous syste' is to #eter'i!e the 'ai! a-is
of the re$e!erate "" that it ats& !ot as a! i!#utor& but as a trophi a$e!t( At the later&
a!aboli sta$es of the proess !o !er%e supply is !ee#e# "" as #e!er%atio! e-peri'e!ts
sho)(

To p( 6I@( This& atually& is the o!ly learly #e'o!strate# ase of 'etaplasia a'o!$ hi$her
a!i'als(

To p( 6I5( About the )ays ho) this is ahie%e#& f( >Culloh i! the Hi-o! Sy'posiu'&
p( I@(




3

PRINCIP=ES OF OR;ANI]ATION

*efore )e tur! to a#ult beha%iour& a pause for stoktaki!$ 'ay be i! or#er(

I! a four"#i'e!sio!al o!ti!uu'& e'bryo!i #e%elop'e!t )oul# be represe!te# by a!
ase!#i!$ hierarhy of spatial le%els perpe!#iular to the ti'e a-is( I! spite of the
perple-i!$ #i%ersity of phe!o'e!a o! #iffere!t le%els "" lea%a$e& $astrulatio!& i!#utio!&
!euro"$e!esis "" ertai! basi pri!iples )ere see! to operate o! e%ery le%el throu$hout the
hierarhy( Pri!iples 1or 'la)s of !ature'2 a! o!ly be #esribe# i! sy'boli la!$ua$e of o!e
ki!# or a!other( The la!$ua$e use# i! the prese!t theory is base# o! four key"o!epts0
'oti%atio!& o#e& 'atri-& a!# e!%iro!'e!t( Si!e these are assu'e# to operate i! a
hierarhi fra'e)ork& the #ihoto'y of self"asserti!$ a!# partiipatory te!#e!ies of
beha%iour o! all le%els !ee# !ot be separately postulate#& but #eri%es lo$ially& as it )ere&
fro' the #ual harater of e%ery sub")hole as a sub"or#i!ate a!# supra"or#i!ate e!tity( =et
'e !o) reapitulate so'e of the 'ai! poi!ts )hih ha%e e'er$e# fro' the pre%ious
hapters& take! i! o!.u!tio! )ith *ook O!e0

4( >oti%atio! i! e'bryo!i #e%elop'e!t is a sub.et for the 'etaphysiia!( ?( Nee#ha''s
to!$ue"i!"the"heek phrase about 'the stri%i!$ of the blastula to $ro) i!to a hike!'
i!#iates the #ireti%e!ess of the 'orpho$e!eti proess a!# its e/uifi!al& re$ulati%e
properties& )hih beo'e partiularly e%i#e!t u!#er a#%erse o!#itio!s( These properties
represe!t the $e!eti preursors of the 'oti%atio!al #ri%es& !ee#s& a!# $oal"#irete#!ess of
the a#ult a!i'al, #uri!$ 'aturatio!& the for'er sha#e i!to the latter& a!# there is !o sharp
#i%i#i!$ li!e bet)ee! the'(

9( 'A part is a )hole is a part'( Eah sub")hole is both a 'sub' a!# a ')hole'( Fai!$
#o)!)ar# or out)ar# i! the hierarhy& it beha%es as a! auto!o'ous )hole, fai!$ up)ar#
or i!)ar#& it beha%es as a #epe!#e!t part )hih is i!hibite# or tri$$ere# i!to atio! by
hi$her o!trols( O!e 'i$ht all this the '?a!us pri!iple' i! or$a!i 1a!# soial2 hierarhies(


A( The ')hole'"aspet of the sub")hole is 'a!ifeste# i! its autonomous a!# spontaneous
ati%ities( The pri!iple of auto!o'y is asserte# o! e%ery le%el, fro' ell"or$a!elles
fu!tio!i!$ as po)er pla!ts or 'otor u!its& throu$h the self"#iffere!tiati!$ ati%ities of the
'orpho$e!eti fiel#& to the auto!o'ous re$ulatio!s of or$a!s a!# or$a! syste'( I! the
'otor hierarhy& it is reflete# at e%ery sta$e& fro' the 'usle's seleti%e respo!se to
speifi e-itatio!"patter!s& throu$h the stubbor! beha%iour of the re%erse# !e)t li'b& to
the u!alterable features i! a perso!'s $ait or ha!#)riti!$( I ha%e briefly 'e!tio!e# 1*ook
O!e& Chapters HIII& HHI2& a!# shall #isuss i! 'ore #etail later& auto!o'ous 'eha!is' i!
pereptual or$a!i+atio! "" %isual o!sta!ies& the auto'ati filteri!$& a!alysi!$&
$e!erali+i!$ of the i!put( =astly& thi!ki!$ a!# o''u!iati!$ are base# o! hierarhially
or#ere#& auto!o'ous patter!s of e!u!iatio!& $ra''ar& lo$i& 'athe'atial operatio!s&
u!i%erses of #isourse(

The dynamic aspet of the part's auto!o'y is 'a!ifeste# i! its appare!tly spo!ta!eous&
u!pro%oke# rhyth'i ati%ities )hih are ''o#ifie# but !ot reate# by the e!%iro!'e!tal
i!put' "" a state'e!t )hih e/ually applies to 'orpho$e!esis& to i!tri!si 'otor patter!s& to
the spo!ta!eous #ishar$es of u!sti'ulate# se!sory reeptors& the eletri pulses of the
u!sti'ulate# brai!& to #ri%es i! the abse!e of e-ter!al sti'uli or to o''u!iatio!s
a##resse# to i'a$i!ary au#ie!es(

Auto!o'y a!# spo!ta!eity take! to$ether o!stitute )hat I ha%e alle# the 'self"asserti%e'
aspet of part"beha%iour(

6( The opposite aspet is the part's #epe!#e!e o! supra"or#i!ate o!trols )hih 'ay be
sai# to represe!t the i!terests of the )hole %is"\"%is the part i! /uestio!( The o!trols are
lar$ely of a! i!hibitory or restrai!i!$ harater& to pre%e!t o%erloa#i!$ of i!for'atio!
ha!!els& o%er"shooti!$ of respo!ses& o!fusio! a!# re#u!#a!y i! $e!eral, )hile the
ati%atio! of the part is effete# by si$!als of the tri$$er"release type( <uri!$
'orpho$e!esis& o!trol is e-erise# by the suppressio! of u!re/uire#& a!# the release of
re/uire# $e!eti pote!tials, i! the 'ature or$a!is' by i!terlai!$ 'ultiple hierarhies of
!er%ous a!# irulatory proesses& a!# biohe'ial $ra#ie!ts(

I( Sub")holes o! a!y le%el of the hierarhy fu!tio! 1a2 auto!o'ously i! supra"or#i!atio!
to their o)! parts& 1b2 i! sub"or#i!atio! to their o!trolli!$ a$e!y& a!# 12 i! o"or#i!atio!
)ith their e!%iro!'e!t(

'E!%iro!'e!t' is a relati%e ter'( O! the le%el of the si!$le ell& the e!%iro!'e!t of the
!uleus is ytoplas', o! the le%el of the 'orpho$e!eti fiel#& the e!%iro!'e!t of o!e ell"
populatio! is a!other ell"populatio!, eah or$a! i! the a#ult a!i'al is bathe# i! bo#y"
flui#s )hih o!stitute its e!%iro!'e!t( The struture a!# fu!tio! of a!y sub")hole is
determined by 1a2 a!# 1b2 "" its i!tri!si patter! a!# its o!trols i! the '%ertial' hierarhy to
)hih it belo!$s, but it is also affected by i!puts a!# fee#baks fro' its 'hori+o!tal'
e!%iro!'e!t& as it )ere "" the lie of the la!#( The #iffere!e bet)ee! 1a2 a!# 1b2 o! the o!e
ha!#& a!# 12 o! the other is that the for'er #eter'i!e the i!%aria!t patter! of the operatio!&
12 o!ly its %ariable #etails( To 'e!tio! a fe) e-a'ples0 fee#bak fro' the ytoplas' to
the $e!eti blue"pri!t o"#eter'i!es i!to )hih %ariety of speiali+e# ell that partiular
u!it )ill #e%elop, but it #oes !ot alter the blue"pri!t itself( I!#utor substa!es i! the
i''e#iate e!%iro!'e!t of a tissue )ill pro'ote its #iffere!tiatio! i!to a! or$a! "" but o!ly
)ithi! the li'its of the tissue's 'o'pete!e'( E!%iro!'e!tal ha+ar#s #ei#e the !euro"
'usular o!!etio!s i! the $rafte# sala'a!#er"li'b& but its fu!tio!al o"or#i!atio!
re'ai!s u!affete# by it0 it is o!trolle# by its '%ertial' hierarhy& a!# the lie of the la!# i!
the sar"tissue #eter'i!es o!ly the loal 'tatis' of the out$ro)i!$ !er%e"fila'e!ts(

Thus the fu!tio! of e%ery o'po!e!t i! the or$a!is' is #eter'i!e# by t)o types of
'i!put'( The first o!sists of speifi tri$$er si$!als fro' its superior o!trols i! the
hierarhy, the seo!# are i!puts a!# fee#baks fro' 'ore or less ra!#o' e%e!ts i! its
e!%iro!'e!t( *ut I 'ust stress a$ai! that the 'ea!i!$ of the )or# 'e!%iro!'e!t' #epe!#s
o! the hierarhi le%el to )hih it is applie#( The e!%iro!'e!t of ?oh! #ri%i!$ his ar is the
traffi strea' arou!# hi'( The e!%iro!'e!t of ?oh!'s ri$ht foot is the brake"pe#al o! )hih
it rests( =et us all the for'er a! e!%iro!'e!t o! the t"le%el& )here t sta!#s for the top of
the hierarhy o!trolli!$ the %arious se!sory& 'otor& a!# o$!iti%e proesses )hih
o!stitute the skill of #ri%i!$, the! the brake"pe#al )ill be a! e!%iro!'e!t o! the& say& t"
'i!us"6 le%el( No) ?oh! approahes a si$! )hih rea#s 'Halt "" Roa# :orks Ahea#'( This
i!put is a!alyse# a!# relaye# by %arious statio!s of the pereptual a!# o$!iti%e hierarhy&
a!# is e%e!tually re"o#e# i!to a 'si$! releaser' )hih tri$$ers off the pre"set patter!s of
slo)"#o)!"to"a"halt beha%iour o! lo)er ehelo!s of the 'otor hierarhy( Thus a!
environmental i!put o! the t"le%el has bee! tra!sfor'e# i!to a speifi tri$$er si$!al i! a
'%ertial' hierarhy, i! other )or#s a 'ate$ory ' i!put o! a hi$her le%el has bee! tra!slate#
i!to a 'ate$ory b' i!put o! a lo)er le%el& ati%ati!$ the auto!o'ous patter! of the slo)i!$"
#o)! skill( This o!sists i! se%eral sub"skills0 braki!$& stea#yi!$ the )heel& $oi!$ i!to
!eutral $ear at the proper 'o'e!t( The foot o! the brake"pe#al is !ot respo!#i!$ to the
'Halt' si$!al fro' the e!%iro!'e!t, it is respo!#i!$ to a speifi 'e-itatio!"la!$' tra%elli!$
#o)! ?oh!'s spi!al or#( *ut the foot's pre"set respo!se is 'o#ifie# by fee#bak fro' the
e!%iro!'e!t o! its o)! le%el0 the 'feel' of the pe#al's elasti resista!e $o%er!s the 'strate$y'
of braki!$ "" !either too abruptly !or too softly( Si'ilar fee#baks i!flue!e the
auto'ati+e# 'otio!s of the ha!#s o! the )heel& et(

:e 'ay perhaps speulate that the #i$itally o#e# si$!als0 'brake'& 'stea#y )heel' ha%e bee!
o!%erte# i!to a!alo$ue"o'puti!$ ser%o"'eha!is's( *ut speulatio!s apart& )e a!
o!fi#e!tly say that a! atio!"patter! of a $e!eral !ature has bee! i!itiate# o! the top le%el&
a!# that the #etails )ere suessi%ely fille# i! by fee#baks fro' 'ore a!# 'ore restrite#
loal e!%iro!'e!ts o! the lo)er ehelo!s( Si'ilarly& the future a#ult is 'rou$he# i!' i! a
su''ary )ay i! the 'orpho$e!eti $ra#ie!ts of the +y$ote& the! 'skethe# i!' i! the or$a!"
A!la$e of the u!outh e'bryo& a!# so o!& u!til the last #etail is elaborate# by the .oi!t
atio! of a ell"$roup's self"#iffere!tiatio! pote!tial a!# its loal e!%iro!'e!t( The
perfor'a!e of a skill 'ea!s e-euti!$ a $e!eral or#er by a series of pro$ressi%ely
#iffere!tiate# atio!"patter!s& eah o!trolle# fro' abo%e& a!# a#.uste# by loal
fee#baks(D
:e thus arri%e at a sy!thesis bet)ee! the pri!iples of hierarhi or$a!i+atio! a!#
fee#bak a#.ust'e!t( To the hierarhy of auto!o'ous sub")holes 'ust be a##e# the
o'ple'e!tary 'hierarhy of e!%iro!'e!ts' a!# 'hierarhy of fee#baks' "" of loops")ithi!"
loops& fro' those e'brai!$ the perso!ality as a )hole i! the 'total fiel#'& #o)! to the
'oleular le%el( A! ele'e!tary but e!$a$i!$ 'o#el for a hierarhy of ser%o"'eha!is's is
the 'TOTE u!it' propose# by Pribra'( 748
=et 'e #ot 'y i's o! this rather i'porta!t poi!t by a 'artial a!alo$y( The o''a!#er of
the N'th Ar'y has #ei#e#& taki!$ i!to aou!t all a%ailable i!telli$e!e reports o! the
e!e'y's #ispositio!s& to apture to'orro) at #a)! the %ital hill No( @CO( He se!#s his
or#ers to his si- #i%isio!al o'a!#ers& broa#ly outli!i!$ their tasks( The o''a!#er of the
Ar# #i%isio! is assi$!e# the task of oupyi!$ ha'let H( There are se%eral approahes to the
ha'let, to #ei#e )hih is best& he se!#s out so'e reo!!aissa!e airraft )hih fee#
i!for'tio! to hi'( He the! o''u!iates his or#ers to his battalio! o''a!#ers( Eah of
these )ill se!# out patrols to $et the lie of the la!# allotte# to the' before $i%i!$ or#ers to
his o'pa!y o''a!#ers, a!# i! the e!# eah i!#i%i#ual sol#ier )ill ha%e to 'ake the best
of his o)! s'all e!%iro!'e!t of proteti%e he#$es a!# #ithes as he 'o%es for)ar# i!
obe#ie!e to the ser$ea!t's or#ers(
@( It ou$ht to be e%i#e!t by !o) that the ter's ''atri-' a!# 'o#e' are !ot 'ea!t to refer to
separate e!tities& but 1like 'struture' a!# 'fu!tio!'2 to o'ple'e!tary aspets of a u!itary
proess( The o#e is the i!%aria!t patter! of the proess, it is !ot affete# by e!%iro!'e!tal
i!put( The 'atri- is the e!se'ble of part"proesses& or ''e'bers' pote!tially apable of
bei!$ ati%ate# by the o#e, it thus represe!ts the total repertory of alter!ati%e
1e/uipote!tial or e/uifi!al2 %ariatio!s i! arryi!$ out the proess& aor#i!$ to fee#baks
fro' the e!%iro!'e!t( The o#e is the fi-e#& the 'atri- the a#aptable si#e of the proess,
the for'er #eter'i!es the rules of the $a'e& the latter the atual ourse of the $a'e( The
'atri-& therefore& represe!ts the 'ore 'alert' or 'artiulate' or 'e-pliit' si#e of the u!itary
proess "" the si#e tur!e# to)ar#s the e!%iro!'e!t The t)e!ty"letter alphabet of protei!"
sy!thesis i! the ell"'atri- is 'ore e-pliit tha! the three"letter alphabet of the $e!eti
o#e, it 'spells out' )hat the latter i'plie#( The artiulate# 'otio!s of the li'b spell out the
o'presse# 'essa$e of the e-itatio!"la!$& as the pia!ist's fi!$ers spell out the tu!e( I!
the pereptual a!# o$!iti%e hierarhies& the o#es )hih $o%er! perfor'a!e 1e($(
$ra''ar a!# sy!ta-2 fu!tio! o! lo)er le%els of a)are!ess tha! the perfor'a!e itself(
O( The o!trol of the )hole o%er the parts is e-erise#& as i! our 'ilitary hierarhy& throu$h
're$ulatio! ha!!els'( The $e!eti o#e #oes !ot i!terfere )ith the #etails of ATP sy!thesis0
it ati%ates the sub"o#e of the 'itoho!#ria( The e!tre oor#i!ati!$ the 'otio! of the
li'bs "" i! !e)t or 'a! "" #oes !ot #eal #iretly )ith i!#i%i#ual 'usles, it ati%ates the
proper sub"e!tres( The battalio! o''a!#er #oes !ot issue or#ers to i!#i%i#ual sol#iers& or
e%e! s/ua#s, he si$!als to Co'pa!y hea#/uarters0 '< Co'pa!y )ill a#%a!e at 4FCC
hours(' The Co'pa!y& the li'b& the 'itoho!#ria are o'ple- sub")holes, but they are
ati%ate# fro' the !e-t"hi$her le%el as u!its& throu$h their o#es, a!# they i! tur! ati%ate
their 'e'bers as units throu$h their sub"o#es(
To put it i! a #iffere!t )ay0 eah part"proess is a patter! of relations, but it is
'a!ipulate# fro' the !e-t"hi$her le%el as a u!it "" a relatum ( :e shall see that as a $e!eral
rule& )he! )e ase!# i! a!y hierarhy& relatio!s tur! i!to relata& )hih e!ter i!to !e)
relatio!s& a!# so o!( The o#e a! be sai# to represe!t the i!%aria!t patter! of a relatio!, the
'atri- the e!se'ble of the relata( *ut o!e step up& a!# the o#e itself beo'es a relatu',
o!e step #o)!& a!# the 'e'bers of the 'atri- are see! as o'ple- relatio!s( :e 'ay thus
a## o!e 'ore pair of o'ple'e!tary ter's to harateri+e the ?a!us"fae# e!tities i! the
#e%elop'e!tal hierarhy0 part )hole, struture fu!tio!& re$ulati%e 'osai& auto!o'ous
#epe!#e!t& relatio! relatu'& 'atri- o#e(
F( The stresses set up bet)ee! the or$a!is''s i!!er a!# outer e!%iro!'e!t are 'athe# by
ati%e a#aptatio!s o! %arious sales( The ter' '#y!a'i e/uilibriu'' i!#iates a#aptati%e
proesses )hih #o !ot e!tail 'a.or ha!$es i! the patter! of the )hole, 're$e!erati%e spa!'
refers to the or$a!is''s apaity for 'a#aptatio!s of the seo!# or#er' to halle!$es )hih
a! be 'et o!ly by a reshapi!$ of strutures or a reor$a!i+atio! of fu!tio!s, )hile 'routi!e
re$e!eratio!s' oupy a! i!ter'e#iary positio!& a!# o%erlap )ith both(
'E/uilibriu'' i! this o!te-t refers !ot to relatio!s bet)ee! parts& but bet)ee! the e-ite#
part a!# the o!trols )hih represe!t the )hole( U!#er o!#itio!s of #y!a'i e/uilibriu'&
the stresses bet)ee! the self"asserti%e te!#e!ies of the e-ite# part a!# its i!te$rati%e
o!trols are of a tra!sitory harater( Para!or'al halle!$es 'ay lea# to the phe!o'e!o!
of'physiolo$ial isolatio!'& o)i!$ to o%er"sti'ulatio! of the part or bloka$e of
o''u!iatio! )ith its !or'al o!trols( I! lo)er or$a!is's& the isolate# part te!#s to
#e%elop i!to a !e) )hole( If it )as se$re$ate# ab o%o& as se- ells a!# re$e!eratio! ells
are& this #e%elop'e!t follo)s a strai$ht ourse, if isolatio! ours at later sta$es& as i!
fissure& bu##i!$& a!# or$a!"re$e!eratio!& it i!%ol%es a te'porary re$ressio! of the part to
a! e'bryo!i or 'ore .u%e!ile phase of #e%elop'e!t& a!# the liberatio! of $e!eti
pote!tials )hih are !or'ally u!#er restrai!t( It is a safety #e%ie )hih e!ables the
or$a!is' to ope )ith trau'ati halle!$es& a!# orret faulty i!te$ratio!s, it further'ore
o!fers o! it a super"fle-ibility )hih plays a! i'porta!t part i! biolo$ial a!# 'e!tal
e%olutio!(
O! hi$her le%els of the e%olutio!ary sale& re$e!erati%e proesses are pre#o'i!a!tly
reor$a!i+atio!s of functions( These ra!$e fro' the repair of !euro"'usular o"or#i!atio!
to the o'pe!satio! of ortial #a'a$es& a!# to the re"struturi!$ of pereptual a!#
o!eptual patter!s i! the reculer pour mieux sauter of the reati%e proess(
<uri!$ the re$ressi%e& ataboli phase& the part te!#s to #o'i!ate the )hole throu$h the
re%ersal of a-ial $ra#ie!ts a!# hierarhi o!trols( This 'ay lea# to irre%ersible ha!$es of
a patholo$ial !ature 1'ali$!a!t $ro)ths& id;e fixe2( To a%oi# s!appi!$ of the loose!e# ties&
the isolatio! of the part 'ust be te'porary a!# !ot o'plete0 after the routi!e"o!trols ha%e
$o!e out of atio!& the or$a!is' as a )hole 'ust assist the re$e!erati%e proess(
'Routi!e repairs' )ere see! to ra!$e fro' the re$e!eratio! of tissues lost throu$h )ear a!#
tear& to the restorati%e effets of sleep( <rea'i!$ oul# be #esribe# as a #e"#iffere!tiatio!
of reaso!i!$"'atries a!# e%e!& up to a poi!t& of perso!al i#e!tity(
5( These perio#i flutuatio!s fro' the hi$hest le%el of i!te$ratio! #o)! to earlier or 'ore
pri'iti%e le%els a!# up a$ai! to a !e)& 'o#ifie# patter!& see' to play a 'a.or part i!
biolo$ial a!# 'e!tal e%olutio!( Their u!i%ersality is reflete# i! the 'yths of #eath a!#
rebirth& the '#ark !i$ht of the soul'& et( The ''a$i' of or$a!"re$e!eratio!s& a!# of
u!o!sious $ui#a!e i! reati%ity& both o)e their striki!$ harater to the su##e! re"
ati%atio! of 1'orpho$e!eti or psyho$e!eti2 pote!tials )hih are !or'ally u!#er
restrai!t i! the a#ult i!#i%i#ual( The perio# of i!ubatio! 'ay be o'pare# to the ataboli
phase i! or$a!"re$e!eratio!0 the for'er releases pre"o!eptual& i!tuiti%e 'o#es of i#eatio!
fro' the e!sorship i'pose# by the o!sious 'i!#, the latter tri$$ers off e'bryo!i
$ro)th"proesses e/ually i!hibite# by the 'ature or$a!is'( The o!tat"$ui#a!e of !er%es
to)ar#s their e!#"or$a!s a!# the re%i%al of other pre"!atal skills& pro%i#e e!tii!$ parallels
to the u!o!sious $ra#ie!ts a!# a!ie!t ')ater)ays' )hih 'e#iate the u!#er$rou!#
re!#e+%ous of i#eas(
Su''ary
To the hierarhy of sub")holes i! the #e%elop'e!t a!# beha%iour of or$a!is's& )e ha%e
!o) a##e# a o'ple'e!tary 'hierarhy of e!%iro!'e!ts'& a!# a thir# hierarhy of
1e-teroepti%e a!# proprioepti%e2 fee#baks "" of loops")ithi!"loops )hih o!!et the
first a!# the seo!# o! e%ery le%el( Certai! ho'olo$ue pri!iples of or$a!i+atio!( )ere
see! to operate o! all le%els& suh as0 1a2 the #ihoto'y of self"asserti%e a!# partiipatory
te!#e!ies #eri%e# fro' the #ual harater of eah part as a 'sub' a!# a ')hole', a!# the
relate# o'ple'e!tarity of re$ulati%e a!# 'osai #e%elop'e!t& of e/uipote!tiality a!#
fi-e# path)ay& of relatio!s a!# relata( 1b2 Co!trol )ithi! the or$a!i hierarhy is e-erise#
by 're$ulatio! ha!!els'& i(e( hi$h e!tres #o !ot !or'ally ha%e #iret #eali!$s )ith lo)ly
o!es& a!# %ie %ersa( 12 Tri$$er"releaser #e%ies see' to be the $e!eral rule i! the
ati%atio! of pre"set& auto!o'ous patter!s( 1#2 The releaser si$!als 1e-itatio!"la!$s&
fre/ue!y"'o#ulatio! se/ue!esE2 fro' hi$her ehelo!s )ere fou!# to be of a 'ore
i'pliit& $e!erali+e# or#er tha! the atual perfor'a!e 'spelle# out' by the a##ressee( 1e2
The patter! of the perfor'a!e is #eter'i!e# by its i!%aria!t o#e& but sub")holes ha%e
%aryi!$ #e$rees of free#o' for a#aptable strate$ies 1e/uipote!tial %ariatio!s2 #epe!#e!t o!
fee#bak fro' their loal e!%iro!'e!t( 1f2 U!#er !or'al o!#itio!s these fle-ible strate$ies
are suffiie!t to restore #y!a'i e/uilibriu' bet)ee! the )hole a!# its e-ite# parts( 1$2
Trau'ati e-perie!es 'ay ause irre%ersible& #e$e!erati%e ha!$es i! the e-pose# part&
but u!#er fa%ourable o!#itio!s 'ay i!itiate superfle-ible a#aptatio!s of a seo!# or#er ""
re$e!eratio!s of struture or reor$a!i+atio!s of fu!tio!& )hih are apable of re#ressi!$
faulty i!te$ratio!& a!# also play a! i'porta!t part i! biolo$ial a!# 'e!tal #e%elop'e!t(
The rea#er 'ay o!si#er so'e of these o!lusio!s tri%ial& others perhaps as rash
$e!erali+atio!s( I! the follo)i!$ hapters their %ali#ity )ill be teste# i! the li$ht of i!sti!t"
beha%iour& lear!i!$& a!# proble'"sol%i!$(
NOTE
To p( 6OC( 'Fee#bak' is use# here i! a broa# se!se& to i!lu#e all e-teroepti%e a!#
proprioepti%e i!puts rele%a!t to the o!$oi!$ ati%ity(




3I

CO<ES OF INSTINCT *EHA3IOUR
The ;e!etis of *eha%iour

The phylo$e!eti ori$i!s of i!sti!t"beha%iour are a'o!$ the blakest blak bo-es fou!#
i! the sie!es of life( The ausati%e 'eha!is' respo!sible for the e%olutio! of speies i!
their 'orpholo$ial aspet is perple-i!$ e!ou$h, re$ar#i!$ the ori$i! of speifi beha%iour"
patter!s& the #ark!ess is al'ost o'plete( As o!e e'i!e!t etholo$ist la'e!ts0 'The
bak)ar# positio! of etholo$y is striki!$( O)i!$ to the #iffiulty of trai!$ $e!etially
#eter'i!e# beha%iour o'po!e!ts& $e!etiists ha%e !early al)ays use# 'orpholo$ial
haraters as i!#iators of $e!e"fu!tio!( ( ( ( A $e!etis of beha%iour still has to be
#e%elope#(' 748

E%olutio!ary $e!etis lies outsi#e the sope of this book& but a brief re'ark i! passi!$ 'ay
be e-use#( If& apart fro' a fe) te!tati%e stu#ies& 798 the $e!etis of beha%iour is still a!
u!harte# territory& the reaso! 'ay perhaps be a! u!o!sious reluta!e to put the alrea#y
strai!e# theoretial fra'e)ork of !eo"<ar)i!ia! $e!etis to a! a##itio!al test( To /uote a
%ery tri%ial e-a'ple0 a! i!#i%i#ual so!$bir# or .ak#a) or sparro)& o! spotti!$ a pre#ator&
)ill $i%e a! alar' all& )ar!i!$ the )hole flok( 'These alar' alls'& Ti!ber$e! poi!ts out&
'are a lear e-a'ple of a! ati%ity )hih ser%es the $roup but e!#a!$ers the i!#i%i#ual(' 7A8
Are )e really to assu'e that the oulo"%oal ')iri!$ #ia$ra'' i! the sparro)'s !er%ous
syste' )hih releases the alar' all i! respo!se to a si$!";estalt sti'ulus of pre#atory
shape& arose by ra!#o' 'utatio!s a!# )as perpetuate# by !atural seletio! i! spite of its
!e$ati%e sur%i%al %alue for the 'uta!tE The sa'e /uestio! oul# be aske# o!er!i!$ the
phylo$e!eti ori$i! of the rituali+e# tour!a'e!t fi$hts i! suh %arious a!i'als as a!tlers&
i$ua!a& )ol%es& a!# fish( :ol%es spra)l o! their baks as a toke! of #efeat a!# surre!#er&
e-posi!$ their %ul!erable bellies to the %itor's fa!$s( O!e is i!li!e# to all this a rather
risky attitu#e, a!# )hat is the individual sur%i%al %alue of not hitti!$ 1or biti!$& $ori!$2
belo) the beltE Or if it o'es to that& of the #i$$er")asps' !er%e"raki!$ 'ater!al
ati%itiesE
A fe'ale of this speies& )he! about to lay a! e$$& #i$s a hole& kills or paralyses a
aterpillar& a!# arries it to the hole& )here she sto)s it a)ay after ha%i!$ #eposite# a! e$$
o! it 1phase a2( This #o!e& she #i$s a!other hole& i! )hih a! e$$ is lai# o! a !e)
aterpillar( I! the 'ea!ti'e& the first e$$ has hathe# a!# the lar%a has be$u! to o!su'e
its store of foo#( The 'other )asp !o) tur!s her atte!tio! a$ai! to the first hole 1phase b2&
to )hih she bri!$s so'e 'ore 'oth lar%ae, the! she #oes the sa'e i! the seo!# hole( She
retur!s to the first hole for the thir# ti'e to bri!$ a fi!al bath of si- or se%e! aterpillars
1phase 2& after )hih she loses the hole a!# lea%es it for e%er( I! this )ay she )orks i!
tur! at t)o or e%e! three holes& eah i! a #iffere!t phase of #e%elop'e!t( *aere!#s
i!%esti$ate# the 'ea!s by )hih the )asp brou$ht the ri$ht a'ou!t of foo# to eah hole(
He fou!# that the )asp %isite# all the holes eah 'or!i!$ before lea%i!$ for the hu!ti!$
$rou!#s( *y ha!$i!$ the o!te!ts of the hole a!# )athi!$ the subse/ue!t beha%iour of
the )asp& he fou!# that 142 by robbi!$ a hole he oul# fore the )asp to bri!$ far 'ore
foo# tha! usual, a!# 192 by a##i!$ lar%ae to the hole's o!te!ts he oul# fore her to bri!$
less foo# tha! usual( 768
=et 'e repeat0 the reaso! )hy 'a $e!etis of beha%iour still has to be #e%elope#' see's to
be that it a!!ot be #e%elope# )ith the e-isti!$ theoretial tools )ithout re#ui!$ the )hole
atte'pt to absur#ity( It 'ay still be possible& a!# e%e! respetable to#ay for a $e!etiist to
state that0 'The hoary ob.etio! of the i'probability of a! eye or a ha!# or a brai! bei!$
e%ol%e# Nby bli!# ha!eN has lost its fore(' 7I8 *ut are )e also to assu'e that the
beha%iour"patter!s of the #i$$er")asp& or of the ourtship a!# fi$hti!$ rituals of %arious
speies ha%e all e%ol%e# 'by pure ha!e'E This assu'ptio! is i'plie# i! the #otri!e of
o!te'porary $e!etis "" thou$h rarely state# i! e-pliit for'( Si'ilar assu'ptio!s ha%e
bee! 'a#e by e-tre'e beha%iourists i! the fiel# of lear!i!$ theory, there is& i! fat& a #iret
o!ti!uity bet)ee! the #otri!e of !atural seletio! operati!$ o! ra!#o' 'utatio!s& a!#
rei!fore'e!t operati!$ o! ra!#o' trials( *oth $re) out of the sa'e philosophial li'ate(
*ut )hile lear!i!$ theory is i! full retreat fro' that e-tre'e positio!& a!# has a %ariety of
alter!ati%e su$$estio!s to offer& !othi!$ the like is i! si$ht i! the $e!etis of i!sti!t"
beha%iour(


I!sti!t a!# =ear!i!$

=ear!t beha%iour is built o! the fou!#atio!s of i!!ate beha%iour& thou$h it is ofte! #iffiult&
if !ot i'possible& to tell )here the 'fou!#atio!' e!#s a!# the 'buil#i!$' starts( *ut the
abse!e of fool"proof #eli!eatio!s bet)ee! 'i!herita!e'& ''aturatio!'& a!# 'lear!i!$' !ee#
!ot pre%e!t us fro' reo$!i+i!$ the e-iste!e of #isti!t patter!s of a!i'al beha%iour
)hih are 1a2 stereotype#& 1b2 speies"speifi& 12 u!lear!t i! the se!se that they a! be
sho)! to appear& 'ore or less o'pletely& i! a!i'als raise# i! isolatio!( It has bee!
ob.ete# a$ai!st this %ie) that 'i!!ate' beha%iour& e($( the peki!$ of hiks& 'ay partly be
#ue to pre!atal i!flue!es& 7@8 that 'isolatio!' is !e%er absolute& 7O8 a!# that lear!i!$ 'ay be
pratially i!sta!ta!eous 1as i! i'pri!ti!$2( Suh ar$u'e!ts are %aluable i! sho)i!$ that
pure here#ity sa!s e!%iro!'e!t is a! abstratio!, but they #o !ot alter the fat that eah
a!i'al is bor! )ith a here#itary pote!tial to fee#& hoar#& ourt& !est& fi$ht& a!# are for its
you!$ i! ertai! speifi a!# hi$hly harateristi )ays )hih are as 'uh part of its !ati%e
e/uip'e!t as its 'orpholo$ial features& a!# )hih a! be 'o#ifie# by& but are !ot #eri%e#
fro'& i'itatio! a!# lear!i!$( O!ly the u!bala!e# lai's of so'e e-tre'e beha%iourists
oul# te'porarily obsure the ob%ious fat that 'if the physial 'ahi!ery for beha%iour
#e%elops u!#er $e!eti o!trol& the! the beha%iour it 'e#iates a! sarely be re$ar#e# as
i!#epe!#e!t of i!herita!e'( 7F8

=ear!i!$ appears the! as the a#aptatio! of the i!!ate pote!tial to li%e# e-perie!e( To
/uote the o!%er$e!t #efi!itio!s of o!e etholo$ist a!# o!e psyholo$ist0 '=ear!i!$ is a
e!tral !er%ous proess ausi!$ 'ore or less lasti!$ ha!$es i! the i!!ate beha%ioural
'eha!is's u!#er the i!flue!e of the outer )orl#( ( ( (' 758 '=ear!i!$ is a proess by )hih
a! ati%ity ori$i!ates or is ha!$e# throu$h reati!$ to a! e!ou!tere# situatio!& pro%i#e#
that the harateristis of the ha!$e i! ati%ity a!!ot be e-plai!e# o! the basis of !ati%e
respo!se te!#e!ies& 'aturatio!& or te'porary states of the or$a!is' 1fati$ue& #ru$s& et(2('
74C8

It 'ust be repeate#& ho)e%er& that outsi#e the e-peri'e!tal laboratory it is %irtually
i'possible to #ra) a preise #isti!tio! bet)ee! the 'i!!ate' a!# 'a/uire#' aspets or
o'po!e!ts i! the a#ult a!i'al's beha%iour( E%e! the #isri'i!atio! of biolo$ially
rele%a!t si$!";estalte! i! the e!%iro!'e!t see's to re/uire a 'i!i'u' of e-perie!e, a!#
o!e 'ust o!lu#e& )ith Thorpe& that 'si!e o'pariso! i!%ol%es lear!i!$& a! ele'e!t of
lear!i!$ e!ters i!to all orie!tatio! a!# all pereptio!( Aor#i!$ly it is su$$este# that the
#iffere!e bet)ee! i!bor! a!# a/uire# beha%iour is of #e$ree rather tha! ki!#, it beo'es&
i! fat& a #iffere!e hiefly of #e$ree of ri$i#ity a!# plastiity(' 7448 I! the ter's of our
she'a& )hat is i!herite# is the speifi a!# i!%aria!t fator i! the !ati%e skill "" its o#e(
Its 'ore or less fle-ible 'atri- #e%elops throu$h lear!i!$ fro' e-perie!e( To /uote
Thorpe a$ai!0
I! eah e-a'ple of true i!sti!ti%e beha%iour there is a har# ore of absolutely fi-e# a!#
relati%ely o'ple- auto'atis' "" a! i!bor! 'o%e'e!t for'( This restrite# o!ept is the
esse!e of the i!sti!t itself( =ore!+ ori$i!ally alle# it Erbkoor#i!atio! or Nfi-e# atio!
patter!N( Suh atio! patter!s are ite's of beha%iour i! e%ery )ay as o!sta!t as a!ato'ial
strutures& a!# are pote!tially .ust as %aluable for syste'ati& philo$e!eti stu#ies( E%ery
syste'atist )orki!$ )ith suh $roups as bir#s or hi$her i!sets )ill be able to reall
e-a'ples of the %alue of suh fi-e# beha%iour patter!s i! lassifiatio!( 7498

Ti!ber$e!'s Hierarhy

Thus o! the le%el of i!sti!t"beha%iour& 'o#es' appear i! the $uise of fi-e# atio!"patter!s&
)hih i!orporate the rules of the $a'e of ourti!$& !est"buil#i!$& #uelli!$& et( Eah of
these ati%ities is a$ai! a hierarhy of auto!o'ous sub"skills( These te!# to be 'ore
fle-ible o! the hi$her le%els )hih o"or#i!ate the #ri%e& a!# 'ore ri$i# o! the lo)er
le%els( The auto!o'ous sub"o#es are restrai!e# fro' spo!ta!eous ati%ity by 'i!hibitory
bloks'& a!# tri$$ere# i!to ati%ity by patter!e# i'pulses fro' hi$her ehelo!s( This
tri$$er"se!siti%e apparatus is alle#& after =ore!+& the Ni!!ate releasi!$ 'eha!is'N "" or
I(R(>( for short0
I! all the ha!!els )hih flo) #o)!)ar# fro' the e!tre 7of a $i%e! #ri%e8& there is
suppose# to e-ist a physiolo$ial 'eha!is' )hih effeti%ely pre%e!ts all #ishar$e of
ati%ity u!less the a!i'al e!ou!ters the ri$ht e!%iro!'e!tal situatio! a!# sti'uli to
re'o%e or release this blok( Thus there is a! i!!ate releasi!$ 'eha!is' 1I(R(>(2 ( ( (
)hih is i! so'e )ay attu!e# to the biolo$ially ri$ht sti'ulus i! the e!%iro!'e!t ( ( ( a!#
)hih is& as it )ere& u!loke# by the appropriate releaser& thus allo)i!$ beha%iour to
proee# to the !e-t lo)er le%el( These i! their tur! i!orporate bloks a!#& so lo!$ as these
re'ai!& atio! of these lo)er e!tres a!!ot proee#(' 74A8

Ti!ber$e!'s fa'ous e-a'ple of the hierarhi o!trol of i!sti!t"ati%ity is the
repro#uti%e beha%iour of the 'ale stiklebak& )hih I shall #esribe i! the ter'i!olo$y of
the prese!t theory(



I! spri!$ the le!$the!i!$ of #ays tri$$ers off the s'all fish's ''i$rati!$ o#e'& )hile
hor'o!al ati%ities pro%i#e the #ri%e or 'oti%atio!( The fish the! 'i$rates i!to shallo)
)ater a!# s)i's arou!# u!til a ertai! e!%iro!'e!tal o!fi$uratio! 1rise of te'perature&
o'bi!e# )ith $ree! %e$etatio!& et(2 strikes the 'ri$ht !ote'& i(e( releases a! effere!t
i'pulse& )hih i! tur! tri$$ers off the sub"o#e of the !est"buil#i!$ ati%ity( This ati%ity is
a$ai! sub#i%i#e# i!to #i$$i!$& $luei!$& et(& eah of these skills $o%er!e# by its
auto!o'ous sub"o#e( The latter are ati%ate# by tri$$er releasers, the or#er of operatio!s
is #eter'i!e# by i!puts fro' the e!%iro!'e!t a!# proprioepti%e fee#baks( The hierarhy
of 'ati!$ beha%iour re'ai!s bloke# u!til !est"buil#i!$ is o'plete, but the 'fi$hti!$'
hierarhy 1)ith its fi%e #iffere!t sub"o#es2 'ay be alle# at a!y 'o'e!t i!to atio! by a
tri$$er 'eha!is' se!siti%e to a speifi si$!";estalt i!put0 're# 'ale e!teri!$ territory'( I!
this ase the fi$hti!$ o#e #o'i!ates the a!i'al's e!tire beha%iour& a!# !est"buil#i!$ as
)ell as other ati%ities are i!hibite# )hile the e'er$e!y lasts0 the 1fu!tio!al2 part
'o!opoli+es the atte!tio! of the )hole(
The sub"u!its of the beha%iour"patter! te!# to beo'e 'ore speifi re$ar#i!$ i!put a!#
'ore stereotype# i! output o! the lo)er le%els of the hierarhy( ':hih o!e of the fi%e
'otor respo!ses belo!$i!$ to the fi$hti!$ patter! )ill be sho)! #epe!#s o! si$! sti'uli
that are still 'ore restrite# i! effet(' 7468 The !uptial olours of the fish are shi!i!$ blue
eyes a!# a re# u!#erbelly( Aor#i!$ly& a!y ru#e 'o#el )hih is re# u!#er!eath )ill
release a! attak& re$ar#less of shape a!# si+e "" )hereas a perfetly shape# 'o#el )ithout
!uptial olouri!$ )ill !ot #o so( Apart fro' olour& beha%iour also ats as a releaser( ':he!
the stra!$er bites& the o)!er of the territory )ill bite i! retur!( :he! the stra!$er threate!s&
the o)!er )ill threate! bak, )he! the stra!$er flees& the o)!er )ill hase it, a!# so o!( ( ( (
74I8 *ut fi$hti!$ is rarer tha! threat( The threat"beha%iour of 'ale stiklebaks is peuliar(
Not o!ly #o they #art to)ar#s the oppo!e!t )ith raise# #orsal spi!es a!# ope! 'outh&
rea#y to bite& but& )he! the oppo!e!t #oes !ot flee at o!e but resists& the o)!er of the
territory #oes !ot atually bite but poi!ts its hea# #o)! a!#& sta!#i!$ %ertially i! the
)ater& 'akes so'e .erky 'o%e'e!ts as if it )ere $oi!$ to bore its s!out i!to the sa!#( 74@8
This of ourse is a! e-eptio!al e-a'ple "" !est"buil#i!$ is a rarity a'o!$ fish( *ut the
ri$i#ity of fi-e# atio! patter!s i! ertai! lasses "" suh as bir#s a!# i!sets "" re'ai!s
!e%ertheless a striki!$ phe!o'e!o!( The rituali+e# rules of the $a'e of ourtship a!#
#isplay& of threat a!# #a!$er si$!als& of tour!a'e!t fi$hti!$ a!# soial beha%iour&
so'eti'es re'i!#s o!e of the ere'o!ious obser%a!es at *y+a!ti!e ourts& at other ti'es
of the obsessi%e rituals of o'pulsio!"!eurotis( A!# the proess of 'rituali+atio!' #oes
i!#ee# su$$est the 'e'a!ipatio!' "" or isolatio! "" of a beha%iour"patter! fro' its ori$i!al
o!te-t& ao'pa!ie# by i!te!sifiatio!& stabili+atio!& a!# rhyth'i repetiti%e!ess of the
patter!, the reaso!s are as yet har#ly u!#erstoo#( 74O8
Appetiti%e *eha%iour a!# Co!su''atory At
I! spite of the relati%ely stereotype# !ature of fi-e# atio!"patter!s "" of )hih rituali+atio!
is a! e-tre'e e-a'ple "" it )oul# be e!tirely )ro!$ to re$ar# the hierarhy of i!sti!t
beha%iour as a o!e")ay affair& i! )hih a plasti& $e!eral #ri%e 1the 'appetiti%e beha%iour'2
#ishar$es #o)!)ar# alo!$ pre"for'e# a!# #isrete alter!ati%e ha!!els i!to the
o'pletely ri$i# a!# 'eha!ial& fi-e#"atio!"patter!s of the 'o!su''atory at'( This
o!eptio! of the or$a!is' as a! auto'ato! )hose 'a#aptability' is re#ue# to that of a ki!#
of auto'ati reor#"ha!$er or .ukebo-& )ith a hoie bet)ee! a fe) #o+e! fi-e# reor#s
appropriate to the oasio!& see's to ha%e ori$i!ate# i! a 'isu!#ersta!#i!$ of the
#isti!tio! 'a#e by :allae Crai$ bet)ee! 'appetiti%e beha%iour' a!# 'o!su''atory at'(
This poi!t 'ust be briefly #isusse# as it is of so'e i'porta!e for the setio!s )hih
follo)(
Appetite 1or 'appeta!e'2 )as #efi!e# by Crai$ 1454F2 as a 'state of a$itatio!'& a stri%i!$ for
a! abse!t 'appete#' sti'ulus 1o!%ersely& a stri%i!$ to esape fro' a !o-ious or #isturbi!$
sti'ulus2, )hereas the 'ousu''atory at' )as 'ea!t to bri!$ the ati%ity to a lose by
attai!i!$ 1or esapi!$ fro'2 the appetiti%e sti'ulus& 'after )hih the appetiti%e beha%iour
eases a!# is suee#e# by a state of relati%e rest'( 74F8 >ore $e!erally& 'the ter' appetiti%e
beha%iour is use# by prese!t"#ay )riters o! etholo$y to 'ea! the fle-ible or %ariable
i!tro#utory phase of a! i!sti!ti%e beha%iour patter! or se/ue!e'( 7458
Thus 'appetiti%e beha%iour' bea'e a 'ore refi!e# a!# !o!o''ittal !a'e for the ol#&
shop"soile# o!epts of '!ee#'& '#ri%e'& 'i!sti!t'& a!# 'purpose'(D So far all )as )ell, it )as
the 'o!su''atory at'& )hih le# i!sti!t"theory i!to a ul"#e"sa( The trouble starte#&
rather i!o!spiuously& )he! first :oo#)orth 79C8 the!& i!#epe!#e!tly fro' eah other& K(
S( =ashley a!# Ko!ra# =ore!+ bea'e i'presse# )ith the stereotype# harater of ertai!
'o!su''atory ats' 1a!i'al rituals a!# auto'ati+e# habits i! hu'a!s2& as o'pare# )ith
the 'ore $e!eral 'appetiti%e beha%iour' or #ri%e(DD E%e!tually the foussi!$ of atte!tio! o!
suh fi-e# patter!s of beha%iour le# to a #istortio! of the )hole piture0 =ore!+ a!#
Ti!ber$e! 'a#e a ri$i# #isti!tio! bet)ee! appetiti%e beha%iour )hih )as suppose# to be
fle-ible& a!# o!su''atory ats )hih )ere suppose# to be o'pletely fi-e# a!#
auto'ati( Thus Ti!ber$e!0
It )ill be lear& therefore& that this #isti!tio! bet)ee! appetiti%e beha%iour a!#
o!su''atory at separates the beha%iour as a )hole i!to t)o o'po!e!ts of e!tirely
#iffere!t harater( The o!su''atory at is relati%ely si'ple, at its 'ost o'ple- it is a
hai! of reatio!s( ( ( ( *ut appetiti%e beha%iour is a true purposi%e ati%ity& offeri!$ all the
proble's of plastiity& a#apti%e!ess& a!# of o'ple- i!te$ratio! that baffle the sie!tist i!
his stu#y of beha%iour as a )hole( ( ( ( =ore!+ has poi!te# out ( ( ( that purposi%e!ess& the
stri%i!$ to)ar#s a! e!#& is typial o!ly of appetiti%e beha%iour a!# !ot of o!su''atory
atio!s( ( ( ( :hereas the o!su''atory at see's to be #epe!#e!t o! the e!tres of the
lo)est le%el of i!sti!ti%e beha%iour& appetiti%e beha%iour 'ay be ati%ate# by e!tres of
all the le%els abo%e that of the o!su''atory at( ( ( ( 7948 The e!tres of the hi$her le%els
#o o!trol purposi%e beha%iour )hih is a#apti%e )ith re$ar# to the 'eha!is's it e'ploys
to attai! the e!#( The lo)er le%els& ho)e%er& $i%e rise to i!reasi!$ly si'ple a!# 'ore
stereotype# 'o%e'e!ts& u!til at the le%el of the o!su''atory at )e ha%e to #o )ith a!
e!tirely ri$i# o'po!e!t& the ta-is& the %ariability of )hih& ho)e%er& is e!tirely #epe!#e!t
o! ha!$es i! the outer )orl#( This see's to settle the o!tro%ersy, the o!su''atory at
is ri$i#& the hi$her patter!s are purposi%e a!# a#apti%e( 7998
*ut )hat e-atly& o!e 'i$ht ask& o!stitutes a 'o!su''atory at'E A $la!e at Ti!ber$e!'s
#ia$ra' o! pa$e 6O5& for i!sta!e& )ill sho) that all atual 'a!ifestatio!s of the
repro#uti%e i!sti!t are lassifie# as 'o!su''atory ats'& )hereas 'buil#i!$'& 'fi$hti!$'&
et(& are 'erely abstrat& lassifiatory ter's i! )hih lo!$er se/ue!es of o!su''atory
ats are brakete# to$ether( :here& the!& is the 'appetiti%e beha%iour'E I! the stiklebak's
spri!$ 'i$ratio! i! searh of a !esti!$ siteE *ut that atio!"patter! )as& .u#$e# by its
#epe!#e!e o! speifi releasers 1te'perature& %er#a!t %e$etatio!& et(2 o! the sa'e
'o!su''atory' le%el as& for i!sta!e& 'testi!$ of 'aterials'( The !earest Ti!ber$e! $ets to a
#efi!itio! of the o!su''atory at is i! the follo)i!$ passa$e0
The ati%atio! of a e!tre of the lo)est le%el usually& perhaps al)ays& results i! a relati%ely
si'ple 'otor respo!se0 biti!$& hasi!$& threate!i!$& et(& i! the ase of fi$hti!$( ( ( ( atual
eati!$& atual esape& atual oitio!& et(& i! other i!sti!ts( ( ( ( These relati%ely si'ple
respo!ses are& usually& the e!# of a bout of prolo!$e# ati%ity& a!# their perfor'a!e see's
to NsatisfyN the a!i'al& that is to say& to bri!$ about a su##e! #rop of 'oti%atio!( This
'ea!s that suh a! e!#"respo!se o!su'es the speifi i'pulses respo!sible for its
ati%atio!( Fi$hti!$& eati!$& 'ati!$& Nplayi!$ the broke! )i!$N et(& are& as a rule& Nself"
e-hausti!$N( 79A8
Ho)e%er& !either '#i$$i!$' !or 'lea#i!$ fe'ale to !est' is a! e!#"respo!se& or self"
e-hausti!$& or lea#s to a '#rop i! 'oti%atio!'( 'Testi!$ of 'aterials' is !ot a o!su''atio!&
but a part"ati%ity i! the fle-ible& i(e( 'appetiti%e'& patter! of buil#i!$( A!# the buil#i!$
ati%ity is !ot a o!e")ay affair i! the se!se of hi$her le%els i! the hierarhy #ishar$i!$
alo!$ fi-e# o!#uits i!to the lo)er le%el of o!su''atory ats& alo!$ irre%ersible
$ra#ie!ts( O! the o!trary& the o!trol of operatio!s osillates all the ti'e bet)ee! #iffere!t
le%els, the operatio!al u!its respo!sible for o!e ki!# of 'e!#"respo!se' arry o! u!til a
e!tre o! a hi$her le%el& i!for'e# by fee#bak& s)ithes to so'e other 'o!su''atory at'(
It is at this poi!t that the o!epts of 'hierarhies of e!%iro!'e!t' a!# 'hierarhies of
fee#bak' beo'e i'porta!t( I! a o'ple- ati%ity like !est"buil#i!$& e%e! the relati%ely
stereotype# operatio!s o! subor#i!ate le%els are u!#er the #ual o!trol of their fi-e# o#es
a!# %ariable e!%iro!'e!t, a!# further'ore& i!for'atio! about their ati%ities is o!sta!tly
fe# bak 1by proprioepti%e a!# e-teroepti%e ha!!els2 to hi$her e!tres& so that the )hole
al)ays re'ai!s i! hierarhi o!trol 'throu$h re$ulatio! ha!!els' of all of its parts(
Ti!ber$e!'s she'a #oes !ot really represe!t a! or$a!is'i hierarhy& but a 'eha!ial o!e
"" rather like a! auto'ati+e# telepho!e !et")ork )here the subsriber 'aki!$ a tru!k all
first #ials the o#e"!u'ber of the )hole to)! 1'appetiti%e beha%iour'2& the! the o#e of his
fia!Te's loal e-ha!$e 1se'i"appetiti%e& se'i"o!su''atoryE2& a!# lastly her perso!al
!u'ber 1o!su''atory at2(

Thorpe& ar$ui!$ o! si'ilar li!es& has $i%e! a! i!%e!tory& )hih fills t)o pri!te# pa$es& of
the ei$htee! releasers a!# fourtee! #isti!t atio!"patter!s i! the =o!$taile# Tits'
'o!su''atory ats' of buil#i!$ a !est "" e!#i!$ )ith the e-la'atio!0 'So 'uh for
si'pliityG' He o!lu#es0
It see's& the!& that i! 'uh of appetiti%e beha%iour the a!i'al's o)! ati%ities ( ( ( 'ust be
self"re)ar#i!$ a!# self"sti'ulati!$( ( ( ( I! other )or#s& 'uh appetiti%e beha%iour is also
i! a se!se the o!su''atory at( ( ( ( 7968 Hi!#e o!lu#es that appetiti%e beha%iour a!#
o!su''atory at #iffer o!ly i! #e$ree& a!# that !o absolute #isti!tio! a! be 'a#e
bet)ee! the'( *oth are to so'e e-te!t Nspo!ta!eousN i! that they sho) e%i#e!e of
e-ter!al ati%atio!& a!# both are stereotype# to so'e #e$ree a!# sho) so'e ri$i#ity( Thus
the lassi e-a'ples of appetiti%e"beha%iour a!# o!su''atory at a! be re$ar#e# as the
t)o e!#s of a series ra!$i!$ fro' e-tre'e %ariability a!# plastiity o! the o!e ha!# to
al'ost o'plete fi-ity o! the other( 79I8
>a!y patter!s of i!sti!t"beha%iour are of ourse yli0 hunting %%%K capturing %%%K
ingesting %%%K digesting %%%K hunting& et(, a!# all o!e a! say about the sub"ati%ities i! the
yle is that they are both 'appetiti%e' a!# 'o!su''atory'& but that so'e are 'ore
appetiti%e a!# so'e 'ore o!su''atory tha! others(

:hat really 'atters i! our o!te-t is the o!ti!uous sale of $ra#atio!s bet)ee! ri$i# a!#
fle-ible atio!"patter!s( So'e)here !ear the 'i##le of the sale )e fi!# the o''o!
spi#er& )hose )eb"'aki!$ I ha%e alrea#y use# as a para#i$' for a! i!%aria!t yet a#aptable
built"i! o#e 1*ook O!e& p( AF2( It )ill suspe!# its fa'iliar !et fro' three& four& or 'ore
poi!ts of attah'e!t& aor#i!$ to the lie of the la!#, yet the e!tre of the poly$o!al )eb
)ill al)ays oi!i#e )ith its e!tre of $ra%ity a!# the ra#ial threa#s )ill al)ays i!terset
the lateral threa#s at e/ual a!$les( :e thus ha%e a si'ple fi-e# o#e& yet a hi$hly fle-ible
strate$y( >oreo%er& if so'e of the $ar#e! spi#er's le$s a!# la)s are a'putate#& it )ill still
o!strut a 'ore or less !or'al !et "" the o#e re'ai!s u!affete# by the eli'i!atio! of
so'e 'e'bers of the 'atri-(


Leerlauf a!# <isplae'e!t

To)ar#s the 'ri$i#' e!# of the sale )e fi!# refle-"like 'atries& e-e'plifie# i! the so"
alle# Leerlauf ati%ities( This ter'& too& )as oi!e# by =ore!+, the urre!t E!$lish
tra!slatio! is '%auu' ati%ity' "" but 'free)heeli!$' )oul# perhaps be 'ore appropriate(
Sea$ulls& reare# i! isolatio!& )ill perfor' o! the sto!e floor of the laboratory their
harateristi 'tap"#a!e' )hih& u!#er !or'al iru'sta!es& )oul# ser%e to bri!$ s'all
a!i'als to the surfae of the ti#al 'u#( Cats )ill $o throu$h the 'otio! of buryi!$ their
faees o! the kithe! tiles, a!# ha!#"reare# you!$ flyi!$"s/uirrels ')he! $i%e! !uts& )oul#
$o throu$h all the 'otio!s of buryi!$ the' i! the botto' of the )ire"a$e& a!# the! $o
a)ay o!te!te#& e%e! thou$h the !uts )ere e-pose# to full %ie)'( 79@8 The sa'e author
#esribes the beha%iour of ha!#"reare# ta)!y o)ls ')hih& after bei!$ fe#& )oul# at as if
pou!i!$ upo! li%i!$ prey thou$h it ha# !e%er ha# the e-perie!e of #eali!$ )ith a li%i!$
'ouse'( 79O8

Suh e-a'ples of 'stupi#'& auto'ato!"like beha%iour are the stro!$est e%i#e!e for i!!ate
o#es of atio!( At the sa'e ti'e they are also a##itio!al e%i#e!e a$ai!st the hai!"refle-
theory of i!sti!t"beha%iour0 the o)l& )hih has !e%er see! a 'ouse& pou!es after bei!$
fe#& a!# )ithout a!y %isual sti'ulus, i! the $ull's ase& the har# floor of the laboratory is a
sti'ulus /uite #iffere!t fro' the soft 'u# "" he!e the 'hai!"reatio!' ou$ht !e%er to start&
or to break off after the first u!suessful atte'pt at '#i$$i!$' the tiles& I!sti!ts are
purposi%e a!# fle-ible& but their fle-ibility is li'ite# to o!#itio!s 'ore or less )ithi! the
e-perie!e of the rae( I! a rassly u!!atural e!%iro!'e!t the perfor'a!e #e$e!erates i!to
'free)heeli!$' a!# loses its purposi%e aspet(

Aor#i!$ to =ore!+'s rather o!tro%ersial theory& the 'oti%atio! of Leerlauf ati%ity is
#eri%e# fro' a '#a''i!$ up' of the a!i'al's 'speifi atio! pote!tial' 1SAP2 )hih lo)ers
the threshhol# of the i!!ate releasi!$ 'eha!is' so that the atio! )ill $o off e%e! i! the
abse!e of appropriate sti'uli( He!e also the ter' 'o%erflo) ati%ity'(

A!other #istortio! of i!sti!t"beha%iour are the so"alle# N#isplae'e!t ati%itiesN )hih
o%erlap )ith Leerlauf 1a!# also )ith play2( '<isplae'e!t is the perfor'a!e of a beha%iour
patter! out of the partiular fu!tio!al o!te-t of beha%iour to )hih it is !or'ally relate#(
It see's to appear )he! the har$e 1SAP2 attahe# to o!e i!sti!t is #e!ie# opportu!ity for
a#e/uate #ishar$e throu$h its o)! o!su''atory at or ats a!# i!stea# sparks over to set
$oi!$ the o'u''atory at of a!other i!sti!t'( 79F8 A #o$ i! its restrai!i!$ har!ess i! a
Pa%lo%"type laboratory& )hile e-peti!$ the fall of foo# fro' the o!tai!er& )ill sta'p&
ya)!& a!# pa!t "" ati%ities )hih #o !ot belo!$ to his !or'al fee#i!$ beha%iour, but )hat
else& o!e 'ay irre%ere!tly ask& a! the poor e-ite# reature #oE Pail"fe# al%es )ill suk
the ears or !a%els of their o'pa!io!s& as i!fa!ts suk their thu'bs( So'e bir#s play
elaborate $a'es& thro)i!$ up a!# athi!$ stiks, so #o puppies, kitte!s )ill 'prete!#' that a
ball of )ool is a 'ouse( Leerlauf a!# '#isplae'e!t' thus o'prise a broa# ra!$e of
ati%ities )hih our i! the abse!e of the proper sti'ulus or i! the prese!e of !or'ally
i!a#e/uate ersat+ sti'uli, or )he! the proper respo!se is for so'e reaso! bloke#( Its
hu'a! e/ui%ale!ts ra!$e fro' playful ati%ities to repetitio! o'pulsio!s a!# the
for'atio! of !euroti ersat+ sy'pto's(


I!sti!t a!# Ori$i!ality

At the opposite e!# of the ri$i#ity"fle-ibility sale )e fi!# a#aptatio!s of i!sti!t"base#
beha%iour"patter!s )hih $i%e the i'pressio! of ori$i!al i'pro%isatio!( E%e! the ritual"
bou!# stiklebak& that stikler for eti/uette& is apable of the'0 'If the !or'al beha%iour"
patter! is o!ti!ually i!terfere# )ith& /uite lar$e 'o#ifiatio!s i! the !or'al i!sti!ti%e
orie!tatio! of the !est"buil#i!$ 'o%e'e!ts 'ay be 'a#e(' 7958

Thus the #e!ial of !or'al outlets a! lea# either to the 'eha!ial reeli!$"off of the built"
i! patter! i! free)heeli!$ or #isplae'e!t ati%ity, or to ori$i!al re"a#aptatio!s of the
patter!( :hih of these alter!ati%e possibilities )ill our #epe!#s o! the !ature of the
halle!$e& a!# the a!i'al's 'ripe!ess' to ope )ith it( :hat solutio!& after all& oul# e%e! a
$e!ius at fi!# to o'ply )ith its o#e of hy$ie!e o! the kithe! tilesE :hat reati%e outlet
is left to the s/uirrel to sol%e his !ut"hi#i!$ proble'E

O! the other ha!#& etholo$ists ha%e pro#ue# 'a!y striki!$ e-a'ples of i!$e!ious
i!sti!t"base# beha%iour i! the fae of a#%ersity( The fe'ale of a ertai! )asp& 6umenes
conica& buil#s lusters of lay"ells or pots& #eposits a! e$$ i! eah& pro%isio!s it )ith
aterpillars for foo#& the! loses the ells )ith lay li#s( If !o) a! artifiial hole is 'a#e i!
a ell& the )asp )ill first stuff the aterpillars )hih ha%e falle! out bak throu$h the hole&
the! 'e!# the hole )ith a pellet of lay "" operatio!s )hih are /uite #iffere!t fro' her
!or'al buil#i!$ routi!es( Hi!$sto! 7AC8 has #esribe# i! #etail the atio!s of a!other )asp
"" !hynchium nitiderium "" i! repairi!$ a 'a!"'a#e hole i! a lay"pot( O! o!e oasio! the
fe'ale trie# for t)o hours to 'e!# the hole )ith bits of 'aterial take! fro' the )all of the
pot( The! !i$ht a'e a!# she ha# to $i%e up( Ne-t 'or!i!$ she fle) strai$ht to the
#a'a$e# spot a!# set about repairi!$ it by a #iffere!t strate$y( I! the !or'al ourse of
e%e!ts the )asp )orks fro' outsi#e( *ut !o)& i! or#er to repair the hole& 'she e-a'i!es it
fro' both si#es a!# the!& ha%i!$ 'a#e a hoie& elets to #o the repair fro' )ithi!'( 7A48

E/ually surprisi!$ is the i!$e!uity& of the a##is"fly lar%a( If a $roup of lar%ae are e.ete#
fro' the tubular 'houses' )hih they built& a!# are the! allo)e# to retur!& they ofte! $et
'i-e# up a!# e!ter the )ro!$ 'house' )hih is either too bi$ or too s'all( The lar%a the!
sets about to ut off parts of the tube or to a## to it& u!til it fits it e-atly( A$ai! the
'o!su''atory ats' i! these ati%ities are /uite #iffere!t fro' those i! !or'al buil#i!$(

>a!y bir#s& too& are apable of suh 'super"fle-ible' beha%iour i! e'er$e!ies( If their
broo# is take! a)ay& they )ill re"start their se-ual yle& ourt a!# 'ate out of seaso!& a!#
$et a !e) fa'ily $oi!$( I! so'e speies& i! the abse!e of the fe'ale& the 'ale bir# takes
o%er her #uties i! fee#i!$ the you!$ "" )hih !e%er happe!s u!#er !or'al o!#itio!s(

=astly& a brief 'e!tio! 'ust be 'a#e of 'supra"i!#i%i#ual o#es' "" suh as those )hih
re$ulate ati%ities i! the ho!ey"bee hi%e( =i!#auer& a'o!$ others& has sho)! that 'the
pro$ra''e of )ork arrie# out by the i!#i%i#ual is !ot #eter'i!e# by the physiolo$ial
state of the i!set but is #itate# by the !ee#s of the olo!y as a )hole'( 7A98 A! i!#i%i#ual
)orker"bee har#ly e%er buil#s a o'plete ell( She 'ay start the ell& )ith )a- fro' her
o)! $la!#s& the! o'plete a!other ell& starte# by a ollea$ue& usi!$ her o)! )a- or that
of a!other bee "" )hihe%er happe!s to be o!%e!ie!t( ;e!erally& there is ri$i# #i%isio! of
labour aor#i!$ to a$e $roups0 eah )orker has to perfor' a #iffere!t ki!# of 'Natio!al
Ser%ie' i! #iffere!t perio#s of its life( <uri!$ her first three #ays& she )orks as a ell"
lea!er( For the !e-t three #ays she fee#s the ol#er lar%ae )ith ho!ey a!# polle! fro' the
stores( The! she fee#s the you!$er lar%ae& )ho $et a! a##itio!al #iet "" a li/ui# serete#
fro' $la!#s o! the )orker's hea#( At the a$e of te! #ays she is e!$a$e# i! o'ple-
househol# hores a!# buil#i!$ ati%ities( At t)e!ty #ays she takes o%er $uar# #uties at the
e!tra!e of the hi%e, a!# fi!ally& she beo'es a fora$er a!# re'ai!s o!e u!til the e!# of her
life( *ut e%e! a'o!$ the fora$ers there is further speiali+atio! of labour0 so'e of the'
beo'e 'souts'& )hose task it is to #iso%er !e) soures of foo#& a!# to o''u!iate& o!
their retur!& the !ature a!# loatio! of it& i! their #a!e"la!$ua$e& to the hi%e( 7AA8

*ut this is !ot all( If o!e of the speiali+e# a$e"$roups is artifiially eli'i!ate# fro' the
olo!y& a ki!# of olleti%e super"fle-ibility 'a!ifests itself i! the hi%e0 other a$e"$roups
#eputi+e for the %a!ishe# $roup 'a!# thus sa%e the superor$a!is'( :he!& for i!sta!e& all
polle!"a!#"ho!ey fora$ers are take! a)ay "" usually bees of t)e!ty #ays or o%er "" you!$
bees of sarely si- #ays ol#& )ho !or'ally fee# the lar%ae& fly out a!# beo'e fora$ers( If
all buil#i!$ )orkers are take! a)ay "" those bet)ee! ei$htee! a!# t)e!ty #ays ol# "" their
task is take! o! by ol#er bees )ho ha# alrea#y bee! buil#ers before& but )ho ha# $o!e o!
to the sta$e of fora$er( To this e!# they !ot o!ly ha!$e their beha%iour& but also re$e!erate
the )a-"$la!#s( The 'eha!is's of these re$ulatio!s are !ot k!o)!(' 7A68


Thus at o!e e!# of the sale )e fi!# rituals& fi-e# atio!"patter!s& %auu' a!#
#isplae'e!t ati%ities "" ri$i#& auto'ati+e#& a!# o'pulsi%e& petrifie# habits of u!k!o)!
phylo$e!eti ori$i!( At the other e-tre'e )e fi!# supra"i!#i%i#ual o#es )hih $o%er!
beha%iour of re'arkable fle-ibility& a!# ori$i!al a#aptatio!s )hih lie outsi#e the a!i'al's
!or'al skills a!# habit repertory( I! all for's of soial or$a!i+atio! "" fro' ourtship&
'ati!$& a!# fi$hti!$ rituals& throu$h territorial #e'aratio!s& up to the o'ple- i!set state&
)e fi!# a! i!terloki!$ of i!#i%i#ual beha%iour"patter!s i!to a olleti%e super"o#e )hih
asts the i!#i%i#ual bir# or bee i!to the role of a part i! the soial )hole( Thus )e see the
hierarhi part")hole relatio!ship repeate# o! the le%el of soial or$a!i+atio!& )here the
i!te$rati%e fu!tio!s of ataly+ers& i!#utors& a!# !er%e i'pulses are superse#e# by
i!terlai!$ syste's of soial releasers& i!lu#i!$ o''u!iatio! by si$!s a!# sy'bol ""
fro' #isplay& throu$h bir#"so!$& to the #a!e"la!$ua$e of the ho!ey"bee(


NOTES

To p( 6F4( The e/ui%ale!t of the ter' 'appetiti%e beha%iour' i! A'eria! beha%iourist
theory are Hull's #ri%e"sti'ulus 1S#2, a!# his 'fratio!al a!te#ati!$ $oal"sti'uli a!#
respo!ses' 1S$R$2(

To p( 6F4( Out of this $re) the theory that the fi-e# patter! of the o!su''atory at "" a!#
!ot the 'appete# sti'ulus' "" is the $oal of the a!i'al's stri%i!$ a!# the soure of the 'atio!"
speifi e!er$y' of the #ri%e, but the sub.et is outsi#e the sope of this book(




3II

I>PRINTIN; AN< I>ITATION

So far )e ha%e #isusse# the o#es of 'orpho$e!esis a!# i!!ate beha%iour& )hih e'er$e
rea#y"'a#e fro' the blak bo-es of e%olutio!' "" like All *aba's thie%es& poppi!$ out of the
ur!s i! )hih they )ere hi#i!$(

I! the hapters )hih follo) )e shall #isuss the o!to$e!esis of beha%ioural o#es "" the
a/uisitio! of habits& k!o)le#$e& skills& by the proesses' of lear!i!$ fro' e-perie!e(


The 'Follo)i!$"respo!se'

The tra!sitio! fro' i!!ate to lear!t beha%iour is sharply hi$hli$hte# i! the phe!o'e!a of
i'pri!ti!$( The follo)"the"lea#er respo!se of the $osli!$ is $o%er!e# by a! i!!ate o#e, it
'ust stik to the 'other"$oose or perish( *ut like 'a!y phylo$e!etially a/uire# o#es it
see's to ha%e bee! for'e# aor#i!$ to the pri!iple of parsi'o!y( It a! be tri$$ere# off
by a!y releaser )hih satisfies %ery broa# ;estalt riteria of '$oose"like!ess' "" i!lu#i!$
;er'a! etholo$ists a!# e%e! i!a!i'ate 'o%i!$ ob.ets of a ertai! si+e( I! a !or'al
e!%iro!'e!t this )oul# i!#ee# be suffiie!t to e!sure the $osli!$'s sur%i%al& si!e the first
si+eable 'o%i!$ reature see! )oul# be the 'other"$oose( Aor#i!$ly& a you!$ $oose&
reare# fro' the e$$ i! isolatio! 1or i! the i!ubator2 )ill aept "" #uri!$ the brief ritial
perio# of 'aturatio! )he! i'pri!ti!$ ours "" its hu'a! keeper as its ''other'& a!# follo)
hi' arou!#( O!e this has happe!e# the proess beo'es 'ore or less irre%ersible0 the
'i'pri!te#' bir# )ill re.et the o'pa!y of other $eese a!# attah itself o!ly to 'e'ebers of
the hu'a! speies "" treati!$ the' as pare!ts& o'pa!io!s& a!# later o! as ob.ets of se-ual
a#%a!es( >a!y other bir#s& a!# possibly also so'e fish a!# i!sets& sho) the phe!o'e!a
of i'pri!ti!$ i! %aryi!$ #e$rees(

Here& the!& )e ha%e a pre$!a!t e-a'ple of the $e!esis of a 'atri- throu$h the i!te$ratio!
of i!!ate a!# a/uire# beha%iour"patter!s( The built"i! 'follo)i!$ respo!se' has the
harateristi auto!o'y of 'otor"patter!s )hih )e ha%e 'et before0 it is tri$$ere# off a!#
'o#ifie#& but !ot reate# by the e!%iro!'e!tal i!put( The first step i! the #e%elop'e!t of
the 'atri- is the at of i'pri!ti!$ itself, it 'ust our& as alrea#y 'e!tio!e#& #uri!$ the
ritial phase )he! the you!$ bir# is suseptible for it 1i! #uks& for i!sta!e& bet)ee!
ele%e! a!# ei$htee! hours after birth& )ith a poi!te# peak i! the suseptibility ur%e at
si-tee! hours2( 748 The i!put )hih tri$$ers off the follo)i!$"respo!se is at this sta$e a!
u!#iffere!tiate# a!# pri'iti%e si$!"releaser0 '=ar$e 'o%i!$ ob.et' "" 'uh si'pler i!
harater tha! the 'ore speifi ;estalt sti'uli )hih release the fi$hti!$ or 'ati!$ i!sti!t
i! the stiklebak 1're# belly'& 's)olle! belly'2 or the be$$i!$ respo!se of the herri!$"$ull
hik 1're# spot o! beak'2(

The !e-t sta$e is o!e of perceptual learning( After a fe) hours& e%e! a fe) 'i!utes& of
follo)i!$ a hu'a! bei!$& the $osli!$ )ill follo) o!ly hu'a! bei!$s "" it has so'eho)
lear!e# to 'abstrat'& or 'e!o#e' i! its 'e'ory so'e speifi ;estalt"harateristis of ho'o
saple!s )hih #isti!$uish it fro' other 'shapes that 'o%e'( O! the other ha!#& at this sta$e
all hu'a! bei!$s are still 'e/uipote!tial' 'e'bers of the e'er$e!t pereptual 'atri-( At a
still later sta$e& the $oose 'ay beo'e attahe# to o!e or 'ore si!$le i!#i%i#uals& that is to
say& it lear!s to #isri'i!ate i!#i%i#uals )ithi! the speies "" as& %ie %ersa& a!i'al bree#ers
lear! to sharpe! their pereptio! a!# to #isti!$uish o!e sheep or $oose fro' a!other(
:e thus 'eet& alrea#y o! this le%el& the t)i! phe!o'e!a i!%ol%e# i! all lear!i!$ proesses0
generali0ation 1'tra!sfer'& 'abstratio!'2 a!# discrimination 1se$re$atio! of patter!& seleti%e
i!hibitio! of respo!ses to !o!"speifi sti'uli2( These basi proesses )ill be #isusse#
later 1Chapter H2, i! the 'ea!ti'e& let us !ote that the i!!ate& pri'iti%e 'rule of the $a'e'
)hih 'a#e the !e)"bor! a!i'al respo!# to 'thi!$s"that"'o%e'& has bee! sharpe!e# a!#
elaborate# i!to a 'ore o'ple- set of rules by a series of 'steps( Eah of these steps
i!%ol%e# a restruturi!$ of the pereptual 'atri- by suessi%e $e!erali+atio!s a!#
#isri'i!atio!s "" )hih )e 'ay re$ar# as /uasi"e-te!sio!s of fu!tio!al i!te$ratio! a!#
strutural #iffere!tiatio! i!to the lear!i!$ proess( >orpho$e!esis a!# lear!i!$ for'
o!ti!uous series )hih o%erlap #uri!$ 'aturatio!, a!# the 'atries of i!!ate a!# a/uire#
beha%iour for' a! e/ually o!ti!uous hierarhy(


*ir#"so!$ a!# Parrot"talk

There are !o sharply #efi!e# bou!#aries bet)ee! i'pri!ti!$ a!# lear!i!$ by i'itatio!& or
by trial a!# error( The )or# 'i'pri!ti!$' itself is a tra!slatio! of Hei!roth's Prgung& 798 by
)hih he 'ea!t to i!#iate the #ra'ati for' of lear!i!$ i! bir#s )hih )e ha%e .ust
#isusse#( Its hief harateristis are0 it is speies"speifi a!# #iretly #epe!#e!t o!
i!!ate or$a!i+atio!, /uasi"i!sta!ta!eous, a!# li'ite# to a relati%ely brief perio# i! the
a!i'al's life( *y applyi!$ these riteria& Thorpe has e-te!#e# the o!ept of i'pri!ti!$ to
i!lu#e 'a bir#'s i!sta!ta!eous attah'e!t to territory& its oasio!al attah'e!t !ot o!ly to
hu'a!s but also to other a!i'als a!# e%e! i!a!i'ate ob.ets, a!# lastly& the so!$"bir#'s
)ay of lear!i!$ its speies"harateristi so!$'( 7A8

Appare!tly i! so'e bir#s suh as thrushes& )arblers& pippits& the )hole so!$ is $e!etially
'built i!' a!# a! be but sli$htly 'o#ifie# by lear!i!$, )hile i! others& for i!sta!e the
skylark& it is 'ai!ly lear!e#( I! haffi!hes Thorpe has sho)! that ')hile the basi patter!
of the so!$ is i!!ate& all the fi!er #etail a!# 'uh of the pith a!# rhyth' ha%e to be
a/uire# by lear!i!$('D :e ha%e here a!other e-a'ple of a 'rou$he#"i!' patter! 1p( 6OC2
)hose #etails are fille# i! later by that partiular type of 'fee#bak' proess )hih
o!stitutes lear!i!$(

:he! )e tur! to imitative bir#"so!$ a!# parrot"talk& the part playe# by i!!ate or$a!i+atio!
is ob%iously less speifi a!# the part playe# by lear!i!$ 'uh $reater, yet the #iffere!e is
a$ai! o!e of #e$ree( I! fat& Prgung 'ea!s sta'pi!$ 1a oi!2& )hih 'akes the o!ti!uity
bet)ee! i'pri!ti!$ a!# 'sta'pe#"i! lear!i!$' e%e! 'ore ob%ious(DD =ess ob%ious&
ho)e%er& is the biolo$ial purpose or a#apti%e %alue of the striki!$ apaity of parrots&
'oki!$"bir#s& starli!$s& et(& to i'itate the so!$s of e!tirely alie! speies "" i!lu#i!$ ';o#
Sa%e the Ki!$'( 768 No) parrots li%i!$ i! free#o' i! their !atural e!%iro!'e!t utter o!ly a
fe) fi-e#& si'ple types of ries, yet folklore apart& )e ha%e !o lesser authority tha! =ashley
#esribi!$ a apti%e parrot )ith a '%oabulary' of bet)ee! fifty a!# a hu!#re# )or#s, a!#
there is reliable e%i#e!es that both parrots a!# robi!s a! lear! to utter ertai! )or#s
'ea!i!$fully( ;ra!te# that %oal i'itatio!& as ><ou$all has poi!te# out 7@8& is a speial
ase o)i!$ to the lose i!te$ratio! of au#itory"%oal patter!s& o!e 'ust !e%ertheless a#'it
that suh i'itati%e ability is 'a further e-a'ple of pre"a#aptatio! for appare!tly re'ote a!#
u!likely o!ti!$e!ies& speiali+atio! $oi!$ i! a#%a!e of i''e#iate a#apti%e re/uire'e!t&
a!# as suh o! a par )ith the asto!ishi!$ !u'ber"se!se )hih a! be #e%elope# i! 'a!y
speies by areful trai!i!$( Suh a ou!ti!$ ability see's to offer e%e! less pratial
a#%a!ta$e for a )il# bir# tha! the features )e ha%e bee! o!si#eri!$, all are as yet
so'e)hat 'ysterious(' 7O8 1The ou!ti!$ ability of bir#s )as re%eale# i! Otto Koehler's
fa'ous e-peri'e!ts& to be #isusse# later(2 Etholo$ists suh as Koehler 1!ot to be o!fuse#
)ith :olf$a!$ K[hler2& =ore!+& Crai$& a!# Thorpe all a$ree that the to!al purity& the
'i!%e!ti%e!ess' a!# i'pro%isatio! i! the a#%a!e# for's of bir#"so!$ shoul# be re$ar#e# as
'the first steps i! both 'usi a!# speeh'( 7F8

To 'e!tio! o!e e-a'ple a'o!$ 'a!y0 :aite& at the >useu' i! Sy#!ey& o)!e# a!
Australia! 'a$pie )ho' he tau$ht by playi!$ o! the flute 'a fiftee!"!ote 'elo#y i! t)o
#isti!t phrases'( So'e years later he $ot a seo!# 'a$pie )hih lear!e# the tu!e fro' the
first( The t)o bir#s the! #e%elope# the habit of si!$i!$ it a!tipho!ally& the first si!$i!$ the
first phrase& a!# the seo!# o!ly the seo!#( '=ater the seo!#& you!$er& bir# #ie#
)hereupo! the first resu'e# its perfor'a!e of the )hole'( 758

E-a'ples like this sho) !ot o!ly the $reat fle-ibility of these au#itory"%oal 'atries(
They also sho) that the total patter! "" the ru#i'e!tary o#e of the ha!#"reare# haffi!h ""
#e%elops first& a!# that lear!i!$ the so!$ #oes !ot o!sist i! the hai!i!$ of i!#i%i#ual !otes
aor#i!$ to the S("R( she'e& but i! the elaboratio! a!# %ariatio! of the patter!( :e
further !ote that ori$i!ality or 'i!%e!ti%e!ess' 'ake their appeara!e at o!ly a fe) re'o%es
fro' i!!ate a!# i'pri!te# beha%iour( =astly& the striki!$ lear!i!$ abilities of so'e bir#s&
)hih are o!ly re%eale# u!#er the ab!or'al o!#itio!s of apti%ity "" these e-a'ples of
'pre"a#aptatio!s for re'ote a!# u!likely o!ti!$e!ies' re'i!# us of re$e!erati%e pote!tials
'a!ifeste# i! respo!se to trau'ati halle!$es(


U!tappe# Resoures

:e ha%e see! e%i#e!e of this late!t super"fle-ibility "" of '#oi!$ )o!#ers' i! a#%ersity ""
o! e%ery le%el0 fro' the restoratio! of loo'oti%e patter!s i! 'utiliate# i!sets a!# rats&
throu$h the e'er$e!y re#istributio! oflabour i! the beehi%e& up to the solutio! of bloke#
proble's by 'thi!ki!$ asi#e'( I! ree!t years& u!suspete# lear!i!$ abilities )ere re%eale# i!
suh )i#ely #iffere!t lasses as fiat)or's& #olphi!s& a!# seals "" the latter& appare!tly& a!
e%e! be tau$ht to obey %isual si$!"o''a!#s pri!te# o! ar#s( Bet the e%i#e!e for a
surplus& or reser%e& of lear!i!$ pote!tials far surpassi!$ i''e#iate a#apti%e !ee#s has
al)ays bee! there i! our o)! speies0 te! thousa!# years a$o our a!estors fou$ht )ith
lubs a!# arro)s& but the struture of their brai!s )as the sa'e as ours& a!# therefore
pote!tially .ust as apable of lear!i!$ *oolea! =o$is or the pri!iples of 'aki!$ a !ulear
bo'b( E%e! the #u'b fish ha%e bee! sho)! to ha%e optial apaities for for' a!# olour
#isri'i!atio! far i! a#%a!e of their !ee#s u!#er !atural o!#itio!s( Thorpe o''e!ts0 'It
#oes i!#ee# see' to be a $e!eral feature of a!i'al life that the preisio! a!# se!siti%ity of
se!se or$a!s is hi$her tha! the e!%iro!'e!t )oul# appear to .ustify( This fat poses a
serious proble' for stu#e!ts of e%olutio!& si!e it is !ot easy to aou!t for suh perfetio!
o! the basis of !atural seletio! alo!e'(D
It see's that this overshooting of the 'ark& this $i%i!$ 'ore tha! )as aske# for& is a!
i!here!t harateristi of the 'eha!is' of e%olutio!( I! ho'o sapie!s the 'o%ershooti!$' is
#e'o!strate# by the fat that 'e!tal e%olutio! "" lear!i!$ to e-ploit the surplus pote!tials
i! his brai! "" has bee! $oi!$ o! for a! astro!o'ial perio#& a!# )ith !o e!# i! si$ht( The
proble' is !ot so 'uh )hy 'e!tal e%olutio! ours i! 'a!& but )hy !o si'ilar
phe!o'e!o! "" lear!i!$ to use their !ati%e e/uip'e!t to 'a-i'u' apaity "" see's to
ha%e ourre# i! a!y other speies& althou$h 'a!y a!i'als #e'o!strate the e-iste!e of
their u!tappe# resoures i! apti%ity( 1A!i'als& it is true& keep !o )ritte! reor#s of their
#iso%eries& but these oul# ha%e bee! tra!s'itte# by i'itati%e lear!i!$(2 All this is a !ie
sub.et for speulatio!s o! a rai!y #ay, the i'porta!t poi!t i! our o!te-t is the har# ore
of e%i#e!e to sho) that %arious a!i'als re%eal i! apti%ity %arious #e$rees of ori$i!ality
a!# resoureful!ess )hih are !ot #isplaye# u!#er !atural o!#itio!s( >ost a!i'als see'
to ha%e 'ore se!siti%e or$a!s tha! they !ee#& a!# 'ore late!t apabilities tha! they e%er
lear! to atuali+e& e-ept )he! halle!$e# u!#er propitious iru'sta!es( That bar"
pressi!$ e-peri'e!ts )ith rats are !ot the type of halle!$e #esi$!e# to eliit ori$i!al
respo!ses& !ee# !ot be e'phasi+e#& a!# it is !ot surprisi!$& therefore& that lea#i!$
*eha%iourists ha%e either #e!ie# the ourre!e of ori$i!al respo!ses or put the' #o)! to
ha!e( :e shall retur! to the sub.et i! later hapters(
NOTES
To p( 654( The haffi!h so!$ o!sists of three #isti!t a!# )ell"artiulate# phrases( Ha!#"
reare# haffi!hes pro#ue a 'uh si'plifie#& ru#i'e!tary %aria!t of the so!$& )here the
first a!# seo!# phrase are ofte! i!separable& a!# the thir# partly or )holly 'issi!$( *ut ""
a!# this is the ele$a!t poi!t of the e-peri'e!t "" if the you!$ bir# is left to be reare# by its
pare!ts& the! take! a)ay a!# isolate# i! Septe'ber& that is to say& lo!$ before it starts
si!$i!$& it )ill !e%ertheless burst i!to !or'al so!$ !e-t spri!$, Appare!tly 'these bir#s
ha%e by their first Septe'ber lear!e# that the so!$ should be i! three phrases a!# that the
ter'i!al phrase shoul# o!tai! a 'ore or less elaborate flourish'( Thus 'o! the pereptory
si#e the proess of reo$!i+i!$ a!# aepti!$ the speifi so!$ as he!eforth the normal for
the i!#i%i#ual 1as #isti!t fro' the a/uisitio! of the !e) 'otor habits i!%ol%e# i!
perfor'i!$ the so!$2 see's to rese'ble the ori$i!al e-a'ples of i'pri!ti!$ 7the follo)i!$
respo!se8 suffiie!tly lose to )arra!t o!si#eri!$ the' to$ether' 1Thorpe& 45I@& p( AOI2(

To p( 654( I! the hu'a! hil#& proesses a!alo$ous to Prgung 'ay perhaps be respo!sible
for pro#ui!$ i!fa!tile fi-atio!s a!# fetishisti rituals( The ases of boot"fetishis'& for
i!sta!e& fre/ue!tly reporte# i! )orks o! se-ual patholo$y re'i!# o!e of i'pri!ti!$ by
i!a!i'ate ob.ets "" suh as a $a!#er's se%e!"year fi-atio! o! a! oil#ru'& reporte# by
Thorpe 1p( A@I2( A further a!alo$y 'ay be fou!# bet)ee! ;estalt"si$! releasers& base# o!
the %ital statistis of fil'"stars& a!# Ti!ber$e!'s si'plifie# laboratory 'o#els of the
pre$!a!t stiklebak(

To p( 65A( Thorpe o!ti!ues0 'Ho)e%er& the a!s)er 'ay be that the !ature of se!sory
!er%ous 'eha!is's is suh that to ahie%e full effiie!y at the !or'al le%el of
sti'ulatio!& the threshol# 'ust be 'uh lo)er(' 1Thorpe& 45I@& p( 9FA2( *ut other passa$es
)hih I ha%e /uote# sho) that he #oes !ot re$ar# this e-pla!atio! as satisfatory(




3III
>OTI3ATION
Retrospet
Future historia!s )ill probably re$ar# it as si$!ifia!t that throu$hout the first half of the
t)e!tieth e!tury the #o'i!a!t shools of psyholo$y "" e%e! shools as far apart as
beha%iouris' a!# psyhoa!alysis "" reo$!i+e# o!ly o!e basi type of 'oti%atio!& a!# that
a !e$ati%e o!e0 the re#utio! of biolo$ial !ee#s a!# #ri%es& the #i'i!utio! of te!sio!&
esape fro' a!-iety( 'At the le%el of e$o"psyholo$y'& )rote >o)rer i! his sur%ey o!
'>oti%atio!' i! the 3nnual !eview for 45I9& 748 'there 'ay be sai# to be o!ly o!e 'aster
'oti%e0 a!-iety('
The tre!# see's to ha%e ori$i!ate# i! the li'ate of the <ar)i!ia! re%olutio!
i!#epe!#e!tly i! ;er'a!y a!# A'eria& )ith Feh!er's 14FOA2 'Te!#e!+ +ur Stabilitht' a!#
Thor!#ike's 14F5F2 '=a) of Effet'( Freu# 1459C2& ak!o)le#$i!$ his i!#ebte#!ess to
Feh!er& postulate# his o)! Pri!iple of Parsi'o!y& aor#i!$ to )hih 'the ourse of
'e!tal e%e!ts is i!%ariably set i! 'otio! by a! u!pleasurable te!sio!& a!# it takes a
#iretio! suh that its fi!al outo'e oi!i#es )ith a lo)eri!$ of that te!sio!'( Thus
pleasure is #eri%e# fro' 'the #i'i!utio!& lo)eri!$& or e-ti!tio! of psyhi e-itatio!' a!#
'u!"pleasure 7#nlust& #ysphoria& as #isti!t fro' physial pai!8 fro' a! i!rease of it'( The
or$a!is' te!#s to)ar#s stability "" a ki!# of ho'eostasis& applie# !ot o!ly to auto!o'i
re$ulatio!s but also to %olu!tary beha%iour, it is $ui#e# by 'the stri%i!$ of the 'e!tal
apparatus to keep the /ua!tity of e-itatio!s prese!t i! it as lo) as possible or at least
o!sta!t( Aor#i!$ly& e%erythi!$ that te!#s to i!rease the /ua!tity of e-itatio!& 'ust be
re$ar#e# as a#%erse to this te!#e!y& that is to say& as u!pleasurable'( 798
No) this is of ourse true& i! a broa# se!se& i! so far as the frustratio! or satisfatio! of
pri'ary biolo$ial !ee#s is o!er!e#( *ut it passes i! sile!e a )hole lass of e-perie!es
to )hih )e o''o!ly refer as 'pleasurable e-ite'e!t'( The preli'i!aries of lo%e"'aki!$
ause a! i!rease i! se-ual te!sio! a!# shoul#& aor#i!$ to the theory& be u!pleasa!t ""
)hih they are #ei#e#ly !ot( It is urious that i! the )orks of Freu# there is !o a!s)er to
be fou!# to this e'barrassi!$ly ba!al ob.etio!( The se-"#ri%e i! the Freu#ia! syste' is
esse!tially so'ethi!$ to be #ispose# of "" throu$h the proper ha!!els or by subli'atio!,
pleasure is #eri%e# !ot fro' its pursuit& but fro' $etti!$ ri# of it( O!e 'i$ht ar$ue that i!
Freu#'s u!i%erse there is !o plae for a'orous lo%e"play beause Freu#& like <( H(
=a)re!e& )as basially a purita! )ith a horror of fri%olity& )ho treate# se- mit tierischem
6rnst(D *ut ar$u'e!ts a# ho'i!e' #o !ot e-plai! the $e!eral tre!# i! the first half of the
e!tury to i!terpret 'oti%atio! as so'ethi!$ !e$ati%e( As Hil$ar# ruefully re'arke#& 7A8 the
']eit$eist fa%oure# our seei!$ i!e!ti%es !ot as pro%i#i!$ so'ethi!$ sou$ht after for )hat
)as i!here!t i! the i!e!ti%e& but so'ethi!$ pro%i#i!$ relief( The i!e!ti%e )as see! as a!
a%e!ue of esape fro' pai!& a!-iety& te!sio!(' ?ust as Freu#'s libi#o"theory ha# !o roo' for
#allia!e& so lear!i!$"theory ha# !o roo' for uriosity or lear!i!$"by"play(
Thor!#ike's '=a) of Effet' )as esse!tially a stik"a!#"arrot theory, the re)ar# 1a!# to a
lesser #e$ree& pu!ish'e!t2 is the fator )hih sta'ps i! the orret respo!ses i! lear!i!$&
a!# sta'ps out the i!orret o!es( I! the e-tre'e beha%iourist syste's of :atso! a!#
;uthrie& the 'eha!i+atio! of the li%i!$ or$a!is' is o'plete0 o!ti$uity is the basi fator
i! pro#ui!$ assoiati%e S("R( bo!#s& a!# 'oti%atio! has %irtually #isappeare# fro' the
piture( Nor is a!y theory of 'oti%atio! allo)e# to e!ter i!to Ski!!er's o!ept of 'opera!t
beha%iour'( His syste' is by pro$ra''e o!fi!e# to the #esriptio! of e-peri'e!tal
operatio!s& preferably i! /ua!titati%e ter's( The effets of #iffere!t rates a!# se/ue!es of
positi%e a!# !e$ati%e rei!forers are ou!te# a!# plotte#, the e!tity o! )hih they at is the
'opera!t stre!$th'& )hih i! tur! is 'easure# by the rate a!# !u'ber of respo!ses #uri!$
e-ti!tio!, but the 'oti%atio! of the a!i'al is represe!te# by a si!$le& ru#e %ariable0 the
!u'ber of hours i! )hih the rat ha# bee! #epri%e# of foo#( Opti'u' lear!i!$ results fro'
the o'bi!atio! of the appropriate !u'ber of hours of #epri%atio! )ith the appropriate rate
of applyi!$ positi%e rei!forers& i(e( sti'uli of the type& o!e 'i$ht say& )hih are apt to
#epri%e the or$a!is' of its #epri%atio!( <iffere!es bet)ee! the lear!i!$ abilities of
%arious speies& or of a$e $roups )ithi! a speies& are !ot o!si#ere# to be rele%a!t to this
type of 'fu!tio!al a!alysis' of beha%iour( *y the sa'e 'etho# of seleti%e rei!fore'e!t&
by 'baiti!$' eah step i! a series of steps& pi$eo!s a! be trai!e# to #esribe a fi$ure"ei$ht
)ith their hea#s hel# hi$h& a!# stu#e!ts a! be trai!e# to selet the ri$ht a!s)er a'o!$
se%eral alter!ati%es a!# to pu!h it i!to the tape of the lear!i!$ 'ahi!e "" the
rei!fore'e!t i! this ase bei!$ that the tape 'o%es o! to the !e-t /uestio!( Si!e eah
rei!forer is a #ri%e"re#uer& lear!i!$ beo'es a proess of pro$ressi%e #e"'oti%atio!(
Hull #i# !ot share Ski!!er's ri$i#ly positi%isti& hypotheses%non%fingo attitu#e( He kept
elaborati!$ a!# 'o#ifyi!$ his theory u!til his #eath i! 45I4, the syste' has bee! #esribe#
as the last a!# 'ost i'pressi%e atte'pt to buil# a! e#ifie o! S("R( fou!#atio!s( His
e'phasis $ra#ually shifte# fro' pri'ary to seo!#ary #ri%es a!# seo!#ary re)ar#s, a!#
fro' !ee#"re#utio! to #ri%e"sti'ulus re#utio! 1eati!$ eli'i!ates the stimulus of the
hu!$er #ri%e but !ot the biolo$ial need "" )hih )ill be satisfie# o!ly later by #i$estio!2(
This 'a#e the syste' 'ore elasti& yet i! spite of these refi!e'e!ts& the pri'iti%e #ri%es of
hu!$er& se-& a%oi#a!e of pai!& )ere o!si#ere# to be the o!ly 'oti%atio!al fators i!
lear!i!$( To /uote Hebb's 145652 su''i!$ up of Hull's theory0 'Its )eakest poi!t& a!#
learest #eparture fro' the fats& is i! the treat'e!t of 'oti%atio! as biolo$ial !ee#(
Aor#i!$ to the theory& the rat i! the 'a+e shoul# lear! !othi!$ about it u!til o!e of his
respo!ses is ao'pa!ie# by a #erease of hu!$er or thirst& or esape fro' eletri shok&
or so'e si'ilar re)ar#( I! atual fat& )he! he is allo)e# to ru! i! the 'a+e )ithout
re)ar# or pu!ish'e!t& the rat lear!s a $oo# #eal about it( It is lear of ourse that the
pri'iti%e #ri%es of pai!& hu!$er& a!# se- are ofte! of o%er)hel'i!$ i'porta!e( :e !ee#
a! approah to 'oti%atio! that !either 'i!i'i+es these thi!$s !or fails to pro%i#e for the
u!re)ar#e# lear!i!$ that also ours )he! the a!i'al's belly is full a!# his se- #ri%e
satisfie#(' 768
If )e tur! to the opposite a'p "" Tol'a! a!# the ;estalt psyholo$ists "" the e'phasis
shifts fro' the !ee#"re#ui!$ to the $oal"seeki!$ aspets of beha%iour( I! lassial ;estalt
theory& 'oti%atio! by re)ar#s& usually i! the for' of ba!a!as& is take! for $ra!te#, it #oes
!ot /uestio! the effet of re)ar# o! lear!i!$& the #ispute is about )hether this effet is
ahie%e# by sta'pi!$ i! or by i!si$ht( Si'ilar o!si#eratio!s apply to Tol'a!'s si$!"
lear!i!$ theory& althou$h he has pro$resse# a o!si#erable step further by his e-pliit
re.etio! of rei!fore'e!t theories& by his e'phasis o! 'e-peta!y' a!# 'purposi%e!ess'& o!
late!t lear!i!$ a!# 'reati%e i!stability'( =astly& Kurt =e)i!'s 'psyholo$ial fiel# theory'&
)ith its o'ple- a!# ha!$i!$ 'oti%atio!& its o!epts of 'e$o"i!%ol%e'e!t' a!# 'le%els of
aspiratio!', abo%e all )ith its !otio! of stri%i!$ after 'suess' 1)hih is sub.eti%e a!#
relati%e i! o!trast to rei!fore'e!t by ta!$ible re)ar#s2& playe# a! i'porta!t part i!
pro'oti!$ that ha!$e of li'ate )hih has bee! i!reasi!$ly !otieable si!e about 45IC(
<eli!e of the Refle-
This !e) orie!tatio! see's to be the u'ulati%e effet of i!#epe!#e!t #e%elop'e!ts i!
se%eral fiel#s& suh as0 1a2 #isillusio!'e!t re$ar#i!$ the utility of the refle-"for'ula both i!
!eurolo$y"a!# psyholo$y, 1b2 re#iso%ery of the fat that or$a!is's are !ot passi%e
'asses of soft)are reati!$ to e!%iro!'e!t& but 'ope! syste's'& fee#i!$ o! '!e$ati%e
e!tropy'& e!$a$e# i! spo!ta!eous ati%ities o! all le%els& a!# 12 that a!i'als are apable of
'late!t' lear!i!$ i! the abse!e of ta!$ible re)ar#s& 'oti%ate# solely by their e-ploratory
#ri%e(
1a2 The physiological o!ept of the refle- ar& )hih e%e! Sherri!$to! o!si#ere# as !o
'ore tha! a 'useful fitio!'& has beo'e a! a!ahro!is'(D The Pa%lo%ia! o!#itio!e# refle-
)as a!other useful fitio! )hih e-erise# at first a sti'ulati!$& the! a paralysi!$ effet "" a
phe!o'e!o! fre/ue!tly 'et i! the history of sie!e( I! Hebb's )or#s0 'Pa%lo% has
#eser%e#ly ha# a $reat i!flue!e o! psyholo$y& a!# his theory has !ot bee! re.ete#
beause it is too physiolo$ial but beause it #oes !ot a$ree )ith e-peri'e!t(' There is !o
!ee# to reapitulate the e%i#e!e )hih has le# to this re.etio!( 7I8 'Co!#itio!i!$' is still a
useful ter' )he! applie# to i!#ue# ha!$es i! $la!#ular a!# %iseral reatio!s& but lea#s
to o!fusio! )he! use# i! a loose& a!alo$ial )ay for other types of lear!i!$(
The last blo) to the refle-"ar o!ept a'e )ith the #iso%ery that it )as i'possible to
'ake a preise #isti!tio! bet)ee! 'sti'uli' a!# 'respo!ses'( As alrea#y 'e!tio!e# 1p( 6AI2
!ot o!ly 'otor u!its& but also se!sory reeptors #isplay o!sta!t spo!ta!eous ati%ity i! the
abse!e of e-ter!al sti'ulatio!( 7@8 E-ter!al e%e!ts alter the patter! of this spo!ta!eous
ati%ity& but this i! itself #oes !ot yet o!stitute a sti'ulus( The reeptors are u!#er effere!t
o!trol fro' hi$her le%els of the e!tral !er%ous syste', the aepta!e& suppressio!& or
'o#ifiatio! of the i!put starts o! the periphery& a!# the e!tre #ei#es )hat shall
o!stitute a sti'ulus a!# )hat shall !ot( E%e! the streth"se!siti%e reeptors i! 'usle
spi!#les are o!trolle# by effere!t fibres fro' the e!tre( I! other )or#s& 'sti'uli' a!#
'respo!ses' are !ot o!e")ay proesses& a!# a!!ot be isolate#0 'beause sti'ulus a!#
respo!se are orrelati%e a!# o!te'pora!eous& the sti'ulus proesses 'ust be thou$ht of
!ot as pree#i!$ the respo!se but rather as $ui#i!$ it to a suessful eli'i!atio! of the
i!o!$ruity( That is to say& sti'ulus a!# respo!se 'ust be o!si#ere# as aspets of a
fee#bak loop( ( ( ( 7O8 These properties are a far ry fro' the ubi/uitous S("R( refle- ar
#ia$ra's that $rae 1'ore appropriately o!e )a!ts to say N#is$raeN2 to#ay's te-ts'
1Pribra'2( 7F8

It is historially i!teresti!$ that a! i!#epe!#e!t but parallel softe!i!$"up proess of the
har# a!# fast S("R( o!ept took plae at the sa'e ti'e i! psyholo$y& e($( i! Ski!!er's a!#
Hull's syste's( Ski!!er )as areful to state that he use# the )or# 'refle-' !ot i! a!
a!ato'ial or !eurolo$ial se!se but as a purely psyholo$ial& #esripti%e ter' for the
'u!it of beha%iour'( *ut his #efi!itio! of the u!it )as o!sta!tly shifti!$ a!# ha!$i!$( 'A
refle- is !ot& of ourse& a theory( It is a fat( It is a! a!alytial u!it& )hih 'akes the
i!%esti$atio! of beha%iour possible( 758 The appeara!e of s'ooth ur%es i! #y!a'i
proesses 'arks a u!i/ue poi!t i! the pro$ressi%e restritio! of a preparatio!& a!# it is to
this u!i/uely #eter'i!e# e!tity that the ter' Nrefle-N 'ay be assi$!e#(' 74C8

As >iller et al )ere to o''e!t& to #efi!e the refle- i! ter's of the s'ooth!ess of ur%es
is a 'so'e)hat o## approah'( 7448 Bet e%e! so it #i# !ot )ork0 'Ski!!er's Nu!it appropriate
for e-peri'e!tal stu#yN tur!s out& i! fat& to ha%e a 'easure of arbitrari!ess about it( ( ( (
So'eti'es the fu!tio!al u!it is a si'ple respo!se& so'eti'es a o'ple- at& so'eti'es a
rate of respo!#i!$( The u!it !o lo!$er has the lea! #i'e!sio!s of a orrelatio! bet)ee! a
lass of sti'uli a!# a lass of respo!ses as i'plie# i! the ori$i!al o!ept of a refle-( The
ato' of beha%iour pro%es to be e%asi%e(' 7498 I! the later %ersio!s of Ski!!er's syste' the
sti'ulus !o lo!$er e%e! pree#es the respo!se0 i! opera!t beha%iour the or$a!is' e'its
respo!ses i! searh of a sti'ulus as it )ere( The refle- as a u!it of beha%iour has
e%aporate# like the physiist's har# little lu'ps of 'atter(

Ski!!er's e-peri'e!tal )ork ha# so'e lasti!$ 'erits( He )as a'o!$ the first to
#e'o!strate that 'i!ter'itte!t rei!fore'e!t' "" )here o!ly so'e orret respo!ses are
re)ar#e# "" a! be as effeti%e as the o!siste!t re)ar#i!$ of all orret respo!ses(
Hu'phreys 74A8 the! sho)e# that ra!#o' re)ar#s are atually a superior 1'ore e-ti!tio!"
resista!t2 for' of trai!i!$ "" the rat thus trai!e# is less #isoura$e# )he! the re)ar# is
)ithhel#& tha! the rat trai!e# by the o!siste!t"re)ar# 'etho#( Fro' this there )as o!ly
o!e lo$ial step to Tol'a!'s theory of 'oti%atio! by e-peta!y "" a step )hih Ski!!er
!e%er took(

I! Hull's ase the 'softe!i!$"up' proess took a #iffere!t ourse( I! his later years& Hull's
atte!tio! shifte# 'ore a!# 'ore fro' pri'ary biolo$ial #ri%es to seo!#ary #ri%es 1fro'
the '!ee#' to the 'taste' or 'appetite'2( These seo!#ary #ri%es he sa) 'a!ifeste# i!
a!tiipatory e%e!ts "" 'fratio!al a!te#ati!$ $oal"respo!ses R$'& a!# 'fratio!al a!te#ati!$
$oal"sti'uli S$( 'The fratio!al a!te#ati!$ reatio! 1R$2 )ith its proprioepti%e sti'ulus
orrelate 1S$2& pro%i#es for the Nauto'ati 1sti'ulus2 $ui#a!e of or$a!is'i beha%iour to
$oalsN(' The $reat i'porta!e Hull attahe# to this postulate is illustrate# by his o''e!t0
'Further stu#y of this 'a.or auto'ati #e%ie presu'ably )ill lea# to the #etaile#
beha%ioural u!#ersta!#i!$ of thou$ht a!# reaso!i!$& )hih o!stitutes the hi$hest
attai!'e!t of or$a!i e%olutio!( I!#ee# the !g %%K.g 'eha!is' lea#s i! a stritly lo$ial
'a!!er i!to )hat )as for'erly re$ar#e# as the %ery heart of the psyhi0 i!terest& pla!!i!$&
foresi$ht& forek!o)le#$e& e-peta!y& purpose& a!# so o!(' 7468

Fro' a stritly lo$ial poi!t of %ie)& the postulate 'akes !o se!se "" as Hil$ar# has poi!te#
out i! a areful a!alysis "" beause S$ ats at the sa'e ti'e as a producer of the seo!#ary
#ri%e S# a!# as a seo!#ary rei!forer )hih reduces S#( 74I8 Hil$ar# put #o)! this
o!fusio! as a si$! of lo$ial )eak!ess i! Hull,D yet he #i# !ot see' to reali+e that Hull
)as i!tuiti%ely o! the ri$ht trak& that the o!tra#itio! is 'erely a! appare!t o!e& a!#
%a!ishes if o!e stops thi!ki!$ i! ter's of !ee#"re#ui!$ 'oti%atio!( 'That sti'ulus
assoiate# )ith rei!fore'e!t oul# beo'e at o!e both a #ri%e a!# a rei!fori!$ a$e!t'
sounds like a o!tra#itio!& but 'akes e'i!e!t se!se if& $etti!$ ri# of the #rea#ful
ter'i!olo$y& )e tra!slate it as follo)s0 'A re)ar#i!$ e-perie!e a! at the sa'e ti'e be
both a! i!e!ti%e a!# a re)ar#', or e%e! si'pler0 'So'e pursuits are self"re)ar#i!$'( That is
the i'plie# o!lusio! of Hull's ei$hth a!# last postulate )hih he re$ar#e# as the
ro)!i!$ ahie%e'e!t of his syste'( That he hi'self #i# !ot reali+e this i'pliatio! o!ly
sho)s that the o!e useful S("R( for'ula ha# by that ti'e beo'e a strait".aket to thou$ht(
Hu!$er& Fear& a!# Curiosity
It took !atural philosophy !early a thousa!# years to re#iso%er that the earth is rou!#, it
took e-peri'e!tal psyholo$y !early fifty years to re#iso%er& after its <ark A$es of !ee#"
re#ui!$ S("R( theories& that rats a!# 'e! are pleasure"seeki!$ reatures& that so'e
ati%ities are pleasurably self"re)ar#i!$& a!# that e-plori!$ the e!%iro!'e!t& sol%i!$ a
hess proble'& or lear!i!$ to play the $uitar are a'o!$ these ati%ities(
A! i!teresti!$ refletio! o! the spirit of the ti'es )as the lo!$& i'passio!e# o!tro%ersy
)hih follo)e# the earth"shaki!$ #iso%ery that rats )ho )ere allo)e# to fa'iliari+e
the'sel%es )ith the 'a+e by ru!!i!$ arou!# i! it )ithout re)ar#& $ot /uiker to the foo#"
bo- )he! this )as e%e!tually put i! tha! the o!trol rats )ho ra! the 'a+e for the first
ti'e( Ho) oul# the rat profit fro' its pre%ious e-perie!e i! the 'a+e )ithout bei!$
re)ar#e# by foo# or pu!ishe# by eletri shokE As *erly!e put it0 'There are ple!ty of
e-peri'e!ts to sho) that late!t 'a+e"lear!i!$ a! our i! the rat& )hih is e'barrassi!$
for those )hose theories are !ot built to assi!tilate it( ( ( ( :here #oes the rei!fore'e!t for
these respo!ses o'e fro'E Se%eral )riters ha%e o!si#ere# the possibility that it o'es
fro' the re#utio! of uriosity(' 74@8 Other )riters su$$este# that it a'e fro' the #ri%e"
re#ui!$ #i'i!utio! of bore#o'( O!e 'i$ht as )ell say that o'posi!$ a so!$ is a sile!e"
re#ui!$ ati%ity(
There ha%e bee! throu$hout these <ark A$es '%oies ryi!$ i! the )il#er!ess'& but they
)ere #is'isse# as ol#"fashio!e#( Thus ><ou$all 1459A2 kept reaffir'i!$ that the earth
)as rou!# a!# that stri%i!$ to)ar#s a $oal )as ofte! 'ore satisfatory tha! reahi!$ it(
Allport hel# that ati%ities ori$i!ally #eri%e# fro' biolo$ial !ee#s 'ay beo'e
auto!o'ous a!# self"re)ar#i!$0 'The harateristi feature of suh stri%i!$ is its resista!e
to e/uilibriu'0 te!sio! is 'ai!tai!e# rather tha! re#ue#(' 74O8 ;ol#stei! e'phasi+e# the
te!#e!y of or$a!is's to)ar#s 'self"atuali+atio!' 74F8 *ut the re%i%al of a #y!a'i
psyholo$y )hih rei!state# the aa#e'i respetability of suh ter's as uriosity&
e-ploratory #ri%e& purpose& o!ly a'e about )he! e-peri'e!tal e%i#e!e sho)e# that e%e!
i! the rat the ur$e to e-plore 'ay pre%ail o%er hu!$er a!# fear(
The e-peri'e!ts of Harlo)& >o!t$o'ery& *utler& Hu#so!& et(& o! rats a!# 'o!keys
sho)e# "" )hat !aturalists ha# al)ays k!o)! "" that a!i'als are i!/uisiti%e& that they ha%e
a! ur$e to 'a!ipulate& e-plore& to 'look )hat's i!si#e'& )hih is i!#epe!#e!t fro' suh
biolo$ial #ri%es as hu!$er& se-& a!# fear "" or& rather& that the e-ploratory #ri%e itself ste's
fro' a pri'ary biolo$ial !ee#( They sho)e# that e-ploratory beha%iour 'ay o'bi!e
)ith& or e!ter the ser%ie of& hu!$er or fear& but that it 'ay also o'pete )ith a!#
so'eti'es assert itself a$ai!st the', a!# that !o%elty& surprisi!$!ess& or pu++le'e!t are as
real i!e!ti%es to lear!i!$ as pellets of foo# #roppe# i!to the Ski!!er bo-( 7458
As far bak as 45AC Nisse! ha# fou!# that rats )oul# ross a! eletrifie# $rill to reah a
'a+e )hih o!tai!e# !othi!$ but so'e u!usual ob.ets, he o!lu#e# that a! e-ploratory
ur$e #i# e-ist "" 'a bio$e!i #ri%e to e-plore& perei%e& to k!o)'( 79C8 E-peri'e!ts by
Hu#so!& *erly!e& a!# :alley& i! )hih rats )ere pu!ishe# for approahi!$ so'e !o%el
%isual patter!& le# the' to o!lu#e that 'ob.ets that ha%e beo'e assoiate# )ith #a!$er
are ofte! e-plore# before they are shu!!e#'( 7948 Carr a!# :illia's 7998 sho)e# that the
e-ploratory #ri%e %aries )ith here#ity a!# e!%iro!'e!t0 hoo#e# rats e-plore 'ore tha!
blak rats& a!# blak rats 'ore tha! Albi!o rats( >o!t$o'ery a!# *ar!ett 79A8 sho)e# that
)il# rats are 'ore fri$hte!e#& ta'e rats 'ore attrate# by !o%elty, Tho'pso! a!# Hero!
7968 that you!$ a!i'als are 'ore urious tha! ol# o!es& a!# "" as o!e )oul# e-pet "" that
fe'ale rats are 'ore i!/uisiti%e tha! 'ales( 79I8 Co!fro!te# )ith !o%el situatio!s& hu!$ry
rats i!terrupt their fee#i!$ to e-plore their surrou!#i!$s, 79@8 but rats )hose erebral orte-
has bee! re'o%e# i! part& )hile still apable of lear!i!$ to ru! a 'a+e to $et at foo#& sho)
a #i'i!ishe# te!#e!y to e-ploratio!( They '#o !ot e%i!e the prefere!e for a %ariable path
o%er a sta!#ar#i+e# path that is harateristi of a !or'al rat& e-ept )he! the %ariable path
is the shorter( *rai!"#a'a$e# rats like)ise sho) less %ariability of route i! a <ashiell
'a+e(' 79O8 Bet& as =ashley's rats ha%e sho)!& e%e! #epri%i!$ the reature of substa!tial
portio!s of its brai! #oes !ot 'ake it o!for' to the S("R( i#eal(
O! hi$her le%els of the a!i'al ki!$#o' the e%i#e!e beo'es less 'o!oto!ous a!#
#epressi!$( :hat a relief to $et out of the Ski!!er bo- a!# to rea# =ore!+'s #esriptio! of
uriosity battli!$ )ith fear i! o!e of his bir#s0 79F8
A you!$ ra%e!& o!fro!te# )ith a !e) ob.et& )hih 'ay be a a'era& a! ol# bottle& a
stuffe# poleat& or a!ythi!$ else first reats )ith esape respo!ses( He )ill fly up to a!
ele%ate# perh a!#& fro' this poi!t of %a!ta$e& stare at the ob.et literally for hours( After
this& he )ill be$i! to approah the ob.et %ery $ra#ually& 'ai!tai!i!$ all the )hile a
'a-i'u' of autio! a!# the e-pressi%e attitu#e of i!te!se fear( He )ill o%er the last
#ista!e fro' the ob.et hoppi!$ si#e)ays )ith half"raise# )i!$s& i! the ut'ost rea#i!ess
to flee( At last& he )ill '#eli%er a si!$le fearful blo) )ith his po)erful beak at the ob.et
a!# forth)ith fly bak to his safe perh( ( ( (' I! the e!# 'he )ill $rab 7the ob.et8 )ith o!e
foot& pek at it& try to tear 'off piees& i!sert his bill i!to a!y e-isti!$ left a!# the! pry apart
his 'a!#ibles )ith o!si#erable fore( Fi!ally& if the ob.et is !ot too bi$ the ra%e! )ill
arry it a)ay& push it i!to a o!%e!ie!t hole a!# o%er it )ith so'e i!o!spiuous 'aterial(
As for pri'ates& )e a! o'fortably fall bak o! <ar)i!'s :escent of &an0
All a!i'als feel :o!#er& a!# 'a!y e-hibit Curiosity( They so'eti'es suffer fro' this
latter /uality& as )he! the hu!ter plays a!tis a!# thus attrats the', I ha%e )it!esse# this
)ith #eer& a!# so it is )ith the )ary ha'ois& a!# )ith so'e ki!#s of )il#"#uks( *reh'
$i%es a urious aou!t of the i!sti!ti%e #rea#& )hih his 'o!keys e-hibite#& for s!akes,
but their uriosity )as so $reat that they oul# !ot #esist fro' oasio!ally satiati!$ their
horror i! a 'ost hu'a! fashio!& by lifti!$ up the li# of the bo- i! )hih the s!akes )ere
kept(
<ar)i! )as 'so 'uh surprise# at this aou!t' that he proee#e# to the 'o!key"house at
the ]oolo$ial ;ar#e!s ar'e# )ith a stuffe# s!ake& a #ea# fish& a 'ouse& a!# a li%e turtle0
The e-ite'e!t thus ause# )as o!e of the 'ost urious spetales )hih I e%er behel#('
The $reatest suess )as the turtle( The 'o!keys 'sho)e# u!bou!#e# asto!ish'e!t& as )ell
as so'e fear( ( ( ( This )as #isplaye# by their re'ai!i!$ 'otio!less& stari!$ i!te!tly )ith
)i#ely ope!e# eyes& their eyebro)s bei!$ ofte! 'o%e# up a!# #o)!( Their faes see'e#
so'e)hat le!$the!e#( They oasio!ally raise# the'sel%es o! their hi!#le$s to $et a better
%ie)( They ofte! retreate# a fe) feet& a!# the! tur!i!$ their hea#s o%er o!e shoul#er& a$ai!
stare# i!te!tly( ( ( ( I! the ourse of a fe) 'i!utes so'e of the 'o!keys %e!ture# to
approah a!# touh the turtle( ( ( ( I the! plae# a li%e s!ake i! a paper ba$& )ith the 'outh
loosely lose#& i! o!e of the lar$er o'part'e!ts( O!e of the 'o!keys i''e#iately
approahe#& autiously ope!e# the ba$ a little& peepe# i!& a!# i!sta!tly #ashe# a)ay( The! I
)it!esse# )hat *reh' has #esribe#& for 'o!key after 'o!key& )ith hea# raise# hi$h a!#
tur!e# o! o!e si#e& oul# !ot resist taki!$ a 'o'e!tary peep i!to the upri$ht ba$& at the
#rea#ful ob.et lyi!$ /uietly at the botto'( 7958
This )as )ritte! half a e!tury before K[hler's &entality of 3pes )as tra!slate# i!to
E!$lish "" )ith a #elay of ei$ht years after the appeara!e of the ;er'a! ori$i!al( 7AC8 It
ha# the effet of so'ethi!$ like a bo'bshell o! A'eria! psyholo$y& i! )hih Pa%lo% a!#
:atso! )ere all the ra$e( Bet e%e! K[hler& thou$h he attake# Thor!#ike& re'ai!e#
esse!tially o!ser%ati%e as far as 'oti%atio! is o!er!e#, it took a!other /uarter"e!tury
for a !e) rop of e-peri'e!talists to #iso%er& i! the 45ICs& that the e-ploratio! of !o%elty&
the 'a!ipulatio! of ob.ets& the #is'a!tli!$ a!# reasse'bli!$ of o'ple- 'a!ual pu++les&
a!# e%e! sribbli!$ a!# #ra)i!$ )ere self"re)ar#i!$ a!# self"arousi!$ ati%ities(
'Those )ho ha%e ha# opportu!ities to obser%e 'o!keys a!# apes at lose ha!# for
prolo!$e# perio#s i!%ariably #)ell o! their a##itio! to looki!$& 'auli!$& pro##i!$&
liki!$& a!# $e!erally s/uee+i!$ e%ery #rop of possible e!tertai!'e!t fro' )hate%er
rosses their path(' 7A48 Partiularly re%eali!$ is the fat that Rhesus 'o!keys )ho ha%e
lear!e# to #is'a!tle a o'ple- 'a!ual pu++le of i!terloki!$ piees perfor'e# better )he!
there )as !o foo# re)ar# put i!si#e the pu++le tha! )he! they k!e) that there )as o!e( I!
the seo!# ase they $ot i'patie!t a!# trie# short"uts, i! the first ase they pratise#
#isi!tereste#ly& /l/art pour l/art/( 7A98
The E-ploratory <ri%e
The u'ulati%e e%i#e!e of these a!# si'ilar e-peri'e!ts le# Harlo) to the o!lusio!0
There are lo$ial reaso!s )hy a #ri%e"re#utio! theory of lear!i!$& a theory )hih
e'phasi+es the role of i!ter!al& physiolo$ial"state 'oti%atio! is e!tirely u!te!able as a
'oti%atio!al theory of lear!i!$( The o!#itio! of stro!$ #ri%e is i!i'ial to all but %ery
li'ite# aspets of lear!i!$ "" the lear!i!$ the )ays to re#ue te!sio!( ( ( ( The hu!$ry hil#
is a 'ost u!urious hil#& but after he has eate! a!# beo'e thorou$hly sate#& his uriosity
a!# all the lear!e# respo!ses assoiate# )ith his uriosity take plae( 7AA8
>o!t$o'ery a'e to si'ilar o!lusio!s& )hih he put i!to the lao!i for'ula0
'E-ploratory beha%iour is 'oti%ate# by the e-ploratory #ri%e('
These lario! alls of a !e) $e!eratio! of e-peri'e!talists i! fat ehoe# the earher
'%oies i! the )il#er!ess' "" suh as :oo#)orth's0 'To see& to hear "" to see learly& to hear
#isti!tly "" 'o'e!t by 'o'e!t& suh o!rete& i''e#iate 'oti%es #o'i!ate the life of
relatio! )ith the e!%iro!'e!t(' 7A68 I! the 'ea!ti'e& ho)e%er& these 'ol#"fashio!e#' %ie)s
ha# reei%e# a##e#& po)erful support fro' !europhysiolo$y( =i!#sley 145I42& Hebb 145II2
a!# others ha%e shifte# their atte!tio! fro' te!sio!"re#ui!$& stabili+i!$ proesses i! the
!er%ous syste' to the suppose#ly arousi!$& atte!tio!"sharpe!i!$ fu!tio!s of ertai!
strutures i! the 'i#brai! "" the so"alle# 'retiular ati%ati!$ syste''& RAS( Althou$h these
theories are still o!tro%ersial& parallel stu#ies o! se!sory #epri%atio! ha%e #ra'atially
re%eale# the #eleterious effets of protrate# sti'ulus"star%atio!& a!# the or$a!is''s !ee#
for 'ore or less o!sta!t sti'ulatio!& or at least a stea#y i!flo) of i!for'atio! "" a hu!$er
for e-perie!e a!# thirst for e-itatio! probably as basi as hu!$er a!# thirst the'sel%es(
I!stea# of respo!#i!$ passi%ely to the e!%iro!'e!t& 'hu'a! bei!$s a!# hi$her a!i'als
spe!# 'ost of their ti'e i! a state of relati%ely hi$h arousal a!# ( ( ( e-pose the'sel%es to
arousi!$ sti'ulus situatio!s )ith $reat ea$er!ess'( 7AI8 T)o thousa!# years a$o ?u%e!al
ha# sai# 'uh the sa'e0 '<uas ta!tu' res a!-ius optat& W Pa!e' et ire!ses('
*erly!e 7A@8 has 'a#e a syste'ati sur%ey of the 'a!ifestatio!s of the e-ploratory #ri%e
o! %arious le%els "" fro' orie!tatio! refle-es to artisti a!# sie!tifi uriosity( At the
botto' of the la##er )e ha%e Pa%lo%'s 'i!%esti$atory' or ')hat is itE' refle-( 'It is this refle-'&
Pa%lo% )rote i! a fa'ous passa$e& ')hih bri!$s about the i''e#iate respo!se i! 'e! a!#
a!i'als to the sli$htest ha!$es i! the )orl# arou!# the'& so that they i''e#iately
orie!tate their appropriate reeptor"or$a! i! aor#a!e )ith the pereptible /uality i! the
a$e!t bri!$i!$ about the ha!$e& 'aki!$ full i!%esti$atio! of it(' 7AO8 Fro' true refle-es
suh as #ilatatio! of the pupil a!# auto'ati sa!!i!$& )e ase!# to oulo"'otor respo!ses&
'o%e'e!ts of the hea# or the )hole bo#y to)ar#s the sti'ulati!$ phe!o'e!o!0 a!i'als
prik their ears& te!se their 'usles& s!iff the air ''usi!$ly'( Ne-t o'es 'loo'otor
e-ploratio!' )hih 'appears to be u!i%ersal a'o!$ hi$her %ertebrates a!# prese!t to so'e
#e$ree i! other bra!hes of the a!i'al ki!$#o'', yet& as *erly!e ruefully re'arks0 'It has
bee! stu#ie# syste'atially i! rather fe) speies( *y far the $reater part of the rele%a!t
literature is o!er!e# )ith the rat(' Aor#i!$ to <arhe! 7AF8& e%e! the okroah is
apable of #isi!tereste# late!t lear!i!$& pro'pte# by sheer uriosity, )hile kitte!s& puppies&
a!# you!$ hi'ps see' to spe!# a 'a.or portio! of their ti'e i! 'loo'oti%e e-ploratio!'(
=astly& )e o'e to 'i!%esti$atory' or 'i!/uisiti%e' beha%iour& ra!$i!$ fro' <ar)i!'s 'o!key
)ho a!!ot refrai! fro' peepi!$ i!to the s!ake"i!feste# Pa!#ora's bo-& to the 'i!satiable
uriosity' of the artist a!# e-plorer(
Thus !euro"physiolo$ial o!si#eratio!s& laboratory )ork )ith a!i'als& a!# the
obser%atio!s of etholo$ists of the =ore!+"Ti!ber$e! shool& all see' to o!%er$e i! the
sa'e #iretio!( E%e! the e'bryolo$ial stu#ies of Co$hill 1pp( 6AC ff(2 a!# :eiss 1p( 6A6
se/(2& )ith their e'phasis o! spo!ta!eous& i!tri!si ati%ities o! all le%els of the or$a!i
hierarhy& le!# i!#iret support to the pri'ay of the e-ploratory #ri%e( The lesso! of fifty
years of rats"i!"'a+es has bee! su''e# up& e($( by Thaker i! the state'e!t that
''oti%atio! for lear!i!$ is e!tral a!# !eural ( ( ( or$a!i+e# a!# proliferate# o$!iti%e
struture itself is the $oal to)ar#s )hih lear!i!$ 'o%es'( 7A58
I! other )or#s& the motivation for learning is to learn(
Thorpe& for all his habitual autio!& has $o!e e%e! further( He starts )ith a rhetorial
/uestio!0 'A!# so it beo'es i'porta!t to o!si#er ho) far there is e%i#e!e of lear!i!$
'oti%ate# by a $e!eral #ri%e /uite i!#epe!#e!t of the 'oti%atio! of partiular i!sti!ts',
76C8 a!# he o!lu#es that 'there is !o) substa!tial a!# preise e%i#e!e for a $e!eral #ri%e
i! a !u'ber of a!i'als& a!# this a! be looke# upo! as a! i!#iatio! of a pri'ary
'oti%atio! )hih to so'e e-te!t& ho)e%er sli$ht& is superior to the $o%er!i!$ e!tres of
a!y of the i!sti!ts or of their o'bi!atio!s& a!# fi!#s its 'ost harateristi e-pressio! i!
e-ploratory beha%iour i! all its %arious for's'( 7648
I! his 'o!o$raph o! NThe Nature of E-pla!atio!N 1456A2& )hih has i!spire# a $reat 'a!y
!eurolo$ists a!# o'puter"theorists& the Ca'bri#$e psyholo$ist K( ?( Craik put for)ar#
the i#ea that the fu!tio! of the or$a!is''s !er%ous syste' is to set up a sy'boli 'o#el of
the e-ter!al )orl#0 'The brai! ( ( ( i'itates or 'o#els e-ter!al proesses( The fu!tio! of
suh sy'boli+atio! is plai!( If the or$a!is' arries a Ns'all"sale 'o#elN of e-ter!al reality
a!# of its o)! possible atio!s )ithi! its hea#& it is able to try out %arious alter!ati%es&
o!lu#e )hih is the best of the'& reat to future situatio!s before they arise& utili+e the
k!o)le#$e of past e%e!ts i! #eali!$ )ith the prese!t a!# future& a!# e%ery )ay to reat i! a
'uh fuller& safer& a!# 'ore o'pete!t 'a!!er to the e'er$e!ies )hih fae it(' 7698
To e-trat i!for'atio! fro' the haoti e!%iro!'e!t is as %ital to the or$a!is' as it is
esse!tial for it to e-trat speifi for's of e!er$y fro' su!li$ht a!# foo#( If )e assu'e this
to be a! i!here!t te!#e!y of all li%i!$ or$a!is's& the! )e 'ust also assu'e the e-iste!e
of a! i!here!t pri'ary #ri%e to e-plore the e!%iro!'e!t for rele%a!t i!for'atio!(
Thus the or$a!is' fu!tio!s !ot 'erely by respo!#i!$ to the e!%iro!'e!t& but by aski!$ it
/uestio!s( The 'ai! i!e!ti%e to its e-ploratory ati%ities are !o%elty& surprise& o!flit&
u!ertai!ty(D The e-ploratory #ri%e 'ay o'bi!e )ith& or be i!stru'e!tal to& other #ri%es ""
se-& !utritio!& a!-iety( *ut i! its purest for' "" i! play& late!t lear!i!$& u!re)ar#e#
proble'"sol%i!$ "" 'sti'uli' a!# 'respo!ses' are u!#isti!$uishable parts of the sa'e fee#bak
loop alo!$ )hih e-itatio! is ru!!i!$ i! a irle like a kitte! hasi!$ its tail( 'The sie!tist'&
)rote Allport& 'by the %ery !ature of his o''it'e!t& reates 'ore a!# 'ore /uestio!s&
!e%er fe)er( I!#ee# the 'easure of our i!telletual 'aturity& o!e philosopher su$$ests& is
our apaity to feel less a!# less satisfie# )ith our a!s)ers to better proble's(' 76A8
:e ha%e thus establishe# a broa#er base for the sie!tist's 'oti%atio! as #isusse# earlier
o! 1*ook O!e& HI2( The e-ploratory #ri%e 'ay o'bi!e )ith the self"tra!se!#i!$
'ystiis' of a Kepler or )ith the self"asserti!$ %a!ity of a ;alileo( Eah ori$i!al artist has
a! ele'e!t of the e-plorer i! hi'0 the poet #oes !ot ''a!ipulate )or#s' as :atso! thou$ht&
he e-plores the e'oti%e a!# #esripti%e pote!tialities of la!$ua$e, the pai!ter is e!$a$e#&
throu$hout his life& i! lear!i!$ to see(


NOTES

To p( 65@( Er!est ?o!es says i! his bio$raphy0 'Freu# partook i! 'uh of the pru#ish!ess of
his ti'e& )he! allusio!s to lo)er li'bs )ere i'proper'( He the! $i%es se%eral e-a'ples ""
suh as Freu# 'ster!ly forbi##i!$' his fia!Te to stay ')ith a! ol# frie!#& ree!tly 'arrie#&
)ho& as she #eliately put it& Nha# 'arrie# before her )e##i!$N ' 1?o!es& 45IA& 3ol( I& p(
4692(

To p( 65F( 'The si'ple refle- is probably a purely abstrat o!eptio!& beause all parts of
the !er%ous syste' are o!!ete# to$ether a!# !o part of it is probably e%er apable of
reatio! )ithout affeti!$ a!# bei!$ affete# by %arious other parts ( ( ( the si'ple refle- is
a o!%e!ie!t& if !ot a probable& fitio!' 1Sherri!$to!& 45C@& p( F2(

To p( ICC( 'His thi!ki!$ )as partiular& !ot $e!eral( :he! he thou$ht of seo!#ary #ri%e&
he thou$ht of ( ( ( fear or a!-iety( :he! he thou$ht of seo!#ary rei!fore'e!t& he thou$ht
of suh thi!$s as ( ( ( toke!s substituti!$ for foo#' 1Hil$ar#& 45IF& p( 4OO2(

To p( ICO( U!ertai!ty is 'ore arousi!$ tha! ertai!ty "" as )it!esse# by the u!i%ersal
passio! for $a'bli!$ )hih oi!i#e# )ith the o!soli#atio! of the *ritish :elfare State(
Its ru#i'e!ts a! be fou!# e%e! i! the rat a!# pi$eo! "" as Ski!!er hi'self poi!te# out ""
)he! re)ar#s are $i%e! rarely a!# irre$ularly, this treat'e!t i!#ues the reature to $o o!
tryi!$ for a! asto!ishi!$ly lo!$ ti'e )ithout a si!$le re)ar# "" .ust as *rito!s )ill fill i!
)eek after )eek their football oupo!s(




IH
P=ABIN; AN< PRETEN<IN;
=o$ially e%ery book o! lear!i!$ theory ou$ht to ha%e bet)ee! the setio!s o! 'i!!ate
beha%iour' a!# 'a/uire# beha%iour' a hapter o! 'lear!i!$ throu$h play' "" or& at least& o!
'lu#i beha%iour' 1fro' ludere& to play2 "" a ter' oi!e# by *erly!e& presu'ably to 'ake
the sub.et sou!# 'ore respetable( The role of play i! the lear!i!$ a!# pratie of skills is
too ob%ious to !aturalists a!# pe#a$o$ues to !ee# stressi!$, yet play )as a!other stephil#
of the Psyholo$y of the <ark A$es( Its o!!otatio!s of uriosity& e-ploratio!& fri%olous!ess
a!# .oie #e %i%re #i# !ot appeal to the spirit of the ti'es, its u!pre#itability #i# !ot fit the
S("R( she'a, abo%e all& its self"rei!fori!$ 'oti%atio!& #issoiate# fro' the pri'ary
physiolo$ial !ee#s& stoo# i! fla$ra!t o!tra#itio! to a!y #ri%e"re#ui!$ theory( Thus the
o!ept of 'lu#i beha%iour' )as ob.etio!able o! the sa'e $rou!#s as the o!ept of the
e-ploratory #ri%e, the for'er appears i! fat to be the purest 'a!ifestatio! of the latter(
<iffiulties of <efi!itio!
A further reaso! for this !e$let 'ay ha%e bee! the #iffiulty of #efi!i!$ 'play'D )ithout
'aki!$ the #efi!itio! irular( *y )ay of eli'i!atio!& let us try to #isti!$uish bet)ee! true
play a!# %auu' ati%ities #uri!$ 'aturatio!( A you!$ bir# toys )ith stra)s a!# feathers
'ai'lessly' before the other atio!"patter!s of the !est"buil#i!$ i!sti!t ha%e 'ature#,
#isplays of fra$'e!tary 'ati!$ beha%iour before se-ual 'aturity fall i!to the sa'e
ate$ory( So'e of these ati%ities look playful i! the se!se of ser%i!$ !o appare!t purpose
1althou$h i! fat they 'ay be useful as 'pratie ru!s' i! #e%elop i!$ a skill2, yet they a!
har#ly be re$ar#e# as true play beause they #isplay all the ri$i#ity of fi-e# atio!"patter!s(
They are perfor'a!es of isolate# bits of the a!i'al's built"i! repertory& a!# thus o!trary
to appeara!es& i! the #iret ser%ie of 'pri'ary biolo$ial !ee#s' i! the lassi se!se( This
i'plies that 'true play' is #issoiate# fro' those !ee#s, that 'it #oes !ot ha%e a biolo$ial
fu!tio! that )e easily reo$!i+e'( 748 *ut preisely at this poi!t the #a!$er of irular
#efi!itio!s o'es i!0 to say that play #oes !ot ser%e a pri'ary !ee# reope!s the )hole
/uestio! of )hat !ee#s& #ri%es& 'oti%atio!s& shoul# be alle# 'pri'ary'( Thus& for i!sta!e&
i! <re%er's :ictionary of Psychology play is #efi!e# as a! 'ati%ity& )hih 'ay be physial
or 'e!tal& e-isti!$ appare!tly for its o)! sake& or ha%i!$ for the i!#i%i#ual as its 'ai! ai'
the pleasure )hih the ati%ity itself yiel#s, usually involving also a detachment from
serious aims and ends( ( (' If )e the! ask ':hat are serious ai's a!# e!#sE' the a!s)er is
ob%iously0 those )hih are !ot playful( The )ay out of the %iious irle is to 'take play
seriously'& as a! ati%ity )ith a #efi!ite 'pri'ary biolo$ial fu!tio!' "" %i+( to $i%e free rei!
to the e-ploratory #ri%e( *ut suh a %ie) a! o!ly be hel# o!e it is reo$!i+e# that the
e-ploratory #ri%e itself ori$i!ates i! a 'pri'ary !ee#' e/ual i! i'porta!e to the others(
It see's to be )ro!$& ho)e%er& to $o to the opposite e-tre'e a!# streth the 'ea!i!$ of
the )or# 'play' so as to o%er all 'a!ifestatio!s of the e-ploratory #ri%e "" as *erly!e see's
to #o )he! he says that 'i! hu'a! bei!$s& lu#i beha%iour i!lu#es e%erythi!$ that is
lassifie# as rereatio!& e!tertai!'e!t& or Ni#le uriosityN& as )ell as art& philosophy& a!#
pure 1as #isti!t fro' applie#2 sie!e( ( ( ( ' 798 This& of ourse& is a 'atter of #efi!itio!s&
but I thi!k it 'ore e-pe#ie!t to use the )or# play i! a 'ore preise a!# restrite# se!se&
)hih is loser to its ollo/uial usa$e( A s'all hil#& kiki!$ a ball about& plays, a
professio!al football 'player' )orks har# for a li%i!$( :he! the 'o!key takes the pu++le
apart a!# puts it to$ether a$ai!& he 'plays', )he! there is foo# i!si#e the pu++le he 'stri%es'(
T)o hess 'asters 'ay play a frie!#ly afT $a'e, i! a tour!a'e!t they compete( The
e-a'ples sho) ho) flui# the bor#erli!es are& yet the pri!iple is lear0 the degree of
/playfulness/ in an action decreases in proportion as the exploratory drive is adulterated by
other drives, or& to put it #iffere!tly0 as the self"arousi!$ a!# self"re)ar#i!$ !ature of the
ati%ity& harateristi of the e-ploratory #ri%e& yiel#s to stri%i!$ for speifi re)ar#s( This
foresha#o)s a si'ilarly o!ti!uous& $ra#e# relatio!ship bet)ee! the #y!a'is of late!t a!#
rei!fore# lear!i!$& to be #isusse# later(
The =u#i a!# the =u#irous
It follo)s fro' the abo%e that play a! o!ly arise at a! e%olutio!ary le%el or i! suh speial
situatio!s& )here the or$a!is' has bee! partially liberate# fro' the tyra!!y of 'pri'ary
!ee#s' i! the tra#itio!al se!se& a!# a! affor# to 'take ti'e off' to play( This happe!s a'o!$
a!i'als )here the you!$ 'ature slo)ly a!# e!.oy prolo!$e# pare!tal protetio! a!# are,
u!#er the sheltere# o!#itio!s of #o'estiatio! a!# apti%ity, a!# i! hu'a! history& of
ourse& )ith the i!rease of seurity a$ai!st the ha+ar#s of the !atural a!# soial
e!%iro!'e!t( To /uote Thorpe a$ai!0 'The prolo!$e# hil#hoo# of the hu'a! speies 7has8
bee! of pri'e i'porta!e i! the proess of freei!$ appetiti%e beha%iour fro' the pri'ary
!ee#s( This a!# 'a!'s $ro)i!$ 'astery of his e!%iro!'e!t ha%e bee! the esse!tial first
steps !ot o!ly for play but for all those ati%ities )hih tra!se!# 'ere 'ai!te!a!e a!#
)hih u!#erlie the 'e!tal a!# spiritual #e%elop'e!t of 'a!, ati%ities )hih& thou$h
ori$i!ati!$ i! NplayN& ha%e pro#ue# real a#%a!ta$es i! k!o)le#$e a!# o'prehe!sio!& of
the she'e of thi!$s( ( ( (' 7A8
A relate# proess of e'a!ipatio!& !a'ely the #etah'e!t of reaso!i!$ fro' e'otio!&
$a%e rise& as )e sa)& to hu'our( >a!'s e'er$e!t ability to perei%e a thi!$ or e%e!t
si'ulta!eously i! t)o i!o'patible 'e!tal o!te-ts e!able# hi' to take the step fro' the
'lu#i' to the 'lu#irous'( The histori li!k bet)ee! the t)o is probably reflete# i! the )or#
'lu#iru'' "" sta$e play( The ator's or bar#'s prete!e of bei!$ hi'self a!# so'ebo#y else
at the sa'e ti'e )as at the ori$i! of tra$e#y a!# epi, a si'ilar at of 'a$i "" ar%i!$ or
pai!ti!$ a thi!$ )hih is 'ea!t to be so'ethi!$ else "" )as the ori$i! ofreprese!tatio!al
art( These& of ourse& are ati%ities o! a! i!o'parably hi$her le%el tha! the play of kitte!s
a!# bir#s, yet as =ore!+ has poi!te# out& both i'itatio! a!# prete!e our alrea#y o! the
a!i'al le%el( :he! puppies fi$ht i! play& they #o !ot hurt eah other or their 'asters, they
o!for' to ertai! 'rules of the $a'e'( :hether these ha%e their phylo$e!etial ori$i! i! the
rituali+e# fi$hts of their )il# a!estors or )hether they are a/uire# by soial lear!i!$& the
fat re'ai!s that suh fi$hts are '!ot i! ear!est' a!# !eessitate 'bri!$i!$ i! the higher or
'ore psyholo$ial o!ept of pretence(' 768
E/ually su$$esti%e is the so"alle# 'sub"so!$' of bir#s( As #isti!t fro' the true or full so!$
)hih is fi-e# a!# speies"speifi& the sub"so!$ is 'a so'e)hat a'orphous& ra'bli!$
uttera!e'( 7I8 *ir#s i!#ul$e i! it )he! their 'pri'ary !ee#s' are !ot pressi!$ "" before the
'ati!$ seaso! or i! apti%ity "" as a ki!# of %oal play )hih 'i$ht either represe!t
pratie for the true so!$& or else a for' of 'prete!#i!$'0 so'e bir#s )hih !e%er i'itate
alie! speies i! their true so!$ #o so i! their sub"so!$( Thorpe o'pares this %oal
i'itatio! to the proess by )hih hu'a! i!fa!ts lear! to speak "" fro' 'a'orphous'
babbli!$s to the i'itatio! of sou!#s pro#ue# by their el#ers 1eholalia2( Thus i'itatio!&
prete!e& as )ell as art& see' to ha%e their preursors i! the playful ati%ities of the hi$her
'a''alia a!# bir#s(
To su' up0 'e-ploratory beha%iour is 'oti%ate# by the e-ploratory #ri%e'( I! play& its purest
for'& it is $e!erali+e#& !o!"speifi& a!# i!#isri'i!ate "" a puppy let i!to a! u!fa'iliar
roo' rushes to a!# fro& s!iffs at e%ery or!er& piks up a!y ob.et& besi#e itself )ith
e-ite'e!t u!#er the i!e!ti%e of !o%elty( O! the other ha!#& )he! the e-ploratory #ri%e is
a!ali+e# to)ar#s 'ore speifi tar$ets& it results i! late!t lear!i!$ a!#& still hi$her up& i!
proble'"sol%i!$( :hile play is self"re)ar#i!$& i! proble'"sol%i!$ the searh itself 'ay
also be self"re)ar#i!$ to %aryi!$ #e$rees& but the pri!ipal re)ar# is fi!#i!$ the solutio!(
I! this broa#er se!se& of ourse& the la) of effet re'ai!s %ali#, but the re)ar#& the pleasure
#eri%e# fro' suess& is speifi to the e-ploratory #ri%e "" its 'o!su''atory at' as it )ere
"" a!# !ot a pre'iu' e-tra!eous to its !ature( If the proble' )as a! easy o!e& the solutio!
'ay be both a re)ar# a!# a! i!e!ti%e to ha%e a $o at a!other proble' at o!e, if the #ri%e
)as obstrute#& i!%ol%i!$ stress& the solutio! is te!sio!"re#ui!$( A!#& of ourse& the
solutio! 'ay arry supple'e!tary re)ar#s "" the arrot of satisfie# a'bitio!& for i!sta!e(
I! laboratory e-peri'e!ts the a!i'al's e-ploratory possibilities are restrite#& a!# artifiial
'oti%atio!s replae the #ri%e as it operates i! free#o'( At the sa'e ti'e& a!i'als i! the
laboratory are i!#ue# to pay atte!tio! to& a!# #isri'i!ate bet)ee!& sti'uli )hih u!#er
!or'al iru'sta!es )oul# be biolo$ially irrele%a!t to the', or else to perfor' 'otor
atio!s 1e($( Ski!!er's pi!$"po!$ playi!$ pi$eo!s2 )hih are outsi#e their !atural repertory(
Triks of this ki!# a! be tau$ht o!ly by sta'pi!$ i!, a!# atte'pts to buil# a u!i%ersal
theory of lear!i!$ o! suh 'etho#s arry the #a!$er of o!fusi!$ a tra%elli!$ irus )ith
Plato's Aa#e'y(
NOTE
To p( IC5( The oncise Oxford :ictionary $i%es !o less tha! thirty"four 'ea!i!$s of the
)or#(




H
PERCEPTION AN< >E>ORB
I 'ust !o) s)ith fro' a!i'al to 'a!& a!# later bak a$ai!( The 'a!!er i! )hih a!i'als
lear! hol#s i'porta!t lesso!s for 'a!, but i! or#er to i!terpret the #ata the e-peri'e!ter
'ust 'ake ertai! 'i!i'u' assu'ptio!s re$ar#i!$ the a!i'als' e-perie!es, a!#& )hether
he is a)are of it or !ot& these assu'ptio!s are base# o! his o)! hu'a! e-perie!e( :e talk
about the a!i'al's pai!"reatio! or fear"reatio! beause )e ha%e e-perie!e# pai! a!#
fear, )e i!terpret ertai! si$!s as 'ea!i!$ that the a!i'al is alert or apprehe!si%e by
i!fere!es )hih are ofte! u!o!sious a!# o!tai! a! u!a%oi#ably a!thropo'orphi
ele'e!t( E%e! =loy# >or$a!'s a!o! ak!o)le#$e# this, it 'erely sai# that o!e shoul# !ot
be 'ore a!thropo'orphi tha! o!e oul# help(D
No)& lear!i!$ i!%ol%es pereptio! a!# 'e'ory, a!# si!e )e k!o) i!o'parably 'ore
about both i! 'a! tha! i! ats or rats& )e 'ust #isuss so'e aspets of 'a!'s pereptual
a!# se!sory"'otor skills before )e tur! to lear!i!$ i! a!i'als( I!stea# of the o%er")orke#
pro%i!e of %isual pereptio!& I shall start& for a ha!$e& o! heari!$(
Sree!i!$ the I!put
It has bee! sai# that %isitors to Stali! ha# to $o throu$h se%e!tee! suessi%e sree!i!$s0 at
the outer $ate of the Kre'li! o'pou!#& at se%eral i!!er $ates& a!# so forth& u!til the last
orri#or a!# the last #oor lea#i!$ to the i!!er sa!tu'( 'I!puts' )hih aspire to beo'e
'sti'uli' appare!tly suffer a si'ilar fate( :here heari!$ is o!er!e#& the brai!'s sti'ulus"
sree!i!$ ati%ity starts i! the ear( Effere!t& i!hibitory fibres fro' hi$her e!tres to the
ohlea of the at )ere #iso%ere# by ;ala'bos i! 45I@( I! a series of re'arkable
e-peri'e!ts 748 the at's au#itory !er%e )as tappe# a!# )ire# to a! a'plifier& so that
i'pulses passi!$ fro' ear to brai! )ere #iretly reor#e#( The i'pulses )ere ause# by the
liki!$ of a 'etro!o'e( *ut the 'o'e!t a 'ouse i! a $lass .ar )as sho)! to the at the
firi!$s i! the au#itory !er%e )ere #i'i!ishe# or ease# alto$ether0 the at )as tur!i!$ a
'#eaf ear' o! the 'etro!o'e( The poi!t of the e-peri'e!t )as to sho) that the proess of
sti'ulus"seletio! is e!trally o!trolle#& but sets i! at the periphery "" the outer $ate of the
Kre'li! o'pou!#(
Attitu#e a!# e-petatio! "" the patter! of the beha%ioural 'atri- to )hih the or$a!is' is
attu!e# at the ti'e "" #eter'i!e )hat shall o!stitute a sti'ulus a!# )hat shall !ot( O! a
happy fa'ily e%e!i!$& )he! people are talki!$ )hile the ra#io is playi!$& .u!ior is ryi!$&
a!# the #o$ is be$$i!$ to be let out& eah of these si'ulta!eous i!puts 'ay be perei%e# as
'si$!al' a!# the rest as '!oise'( I! au#itio!& at least& the 'fi$ure"bak$rou!# relatio!' see's to
be 'ore o'pliate# tha! the ;estalt shool su$$ests, it is !ot so'ethi!$ i!!ate i!
pereptual or$a!i+atio!& but #epe!#e!t o! past e-perie!e a!# prese!t state of 'i!#(
:o'e! )ere k!o)! to sleep sou!#ly throu$h a! air"rai# but to a)ake at the sli$htest ry of
their babies, people #eeply asleep sho) sharp EE; reatio!s )he! their o)! !a'e& or the
!a'e of a $irlfrie!#& is rea# out i! a list of other 'bak$rou!#' !a'es( 798
The poi!t has also a! i!#iret beari!$ o! the o!tro%ersy )hether #isri'i!atio! is base#
o! the 'absolute' or relatio!al properties of sti'uli( 7A8 The a!s)er see's to be& briefly& that
absolute sti'uli #o !ot e-ist "" short of stiki!$ a k!ife i!to so'ebo#y( Bet e%e! o! the
pri'iti%e le%el of pai!& the 'atri- i!flue!es pereptio! "" as )it!esse# by the ;e!eral i!
the A'eria! Ci%il :ar )ho& i! the heat of battle& #i# !ot !otie that his 'i##le fi!$er )as
shot a)ay, !ot to 'e!tio! a!aesthesia by hyp!osis i! #e!tistry a!# hil#"birth "" or the e%e!
'ore re'arkable phe!o'e!a of hysterial o!%ersio! bli!#!ess(
Thus the hi$her e!tres e-erise a seleti%e i!flue!e o! se!satio! a!# pereptio!, those
aspets of the i!put )hih are irrele%a!t )ill be treate# as !oise& a!# for$otte! ')ithout
lea%i!$ a trae'( *ut the riteria of rele%a!e #epe!# o! the 'rules of the $a'e' )hih the
or$a!is' is playi!$ at the ti'e(
Strippi!$ the I!put
Seleti%e o!trol of the i!put is the first sta$e i! the proess of e-trati!$ i!for'atio! fro'
the haoti !oises a!# other se!satio!s )hih bo'bar# the or$a!is''s reeptors, )ithout it&
the 'i!# )oul# be i! a ki!# of *ro)!ia! 'otio!( This first sta$e is follo)e# by the
proessi!$ of the i!put i! a series of relayi!$ operatio!s& eah of the' #esi$!e# to strip the
i!put of )hat appears to be irrele%a!t "" aor#i!$ to the riteria of rele%a!e )hih operate
alo!$ that i!put"ha!!el( O!e 'i$ht all this a proess of N#e"partiulari+atio!N( It is a
lu'sy )or#& but it o!%eys )hat is really i'plie# i! the ter's '$e!erali+atio!' or
'abstratio!'& )ith their 'ultiple o!!otatio!s(
The 'ost fa'iliar e-a'ples of '#e"partiulari+atio!' are& of ourse& the %isual o!sta!ies(
The tria!$le& or the letter ':'& is strippe# of the irrele%a!ies of reti!al positio!& si+e& et(
Tha!ks to olour o!sta!y the ai#e!ts of li$ht a!# sha#o) are #isar#e#, tha!ks to si+e
o!sta!y& 'y 'o%i!$ ha!# #oes !ot see' to shri!k or $ro) "" ha!$es i! perspeti%e si+e
are '#is"re$ar#e#' by the re$ar#( Bet the riteria of rele%a!e a!# irrele%a!e #epe!#& e%e! i!
these ases of appare!tly spo!ta!eous pereptio!& to a o!si#erable #e$ree o! i!terpretati%e
fra'es "" o! pereptual 'atries a/uire# by past e-perie!e( :he! a! ob.et of the
appeara!e of a te!!is ball is i!flate# a$ai!st a ho'o$e!eous bak$rou!#& it )ill be see! as
if it )ere retai!i!$ its si+e a!# approahi!$ the obser%er( 768 This is #iffere!t fro' si+e
o!sta!y beause i! this ase the obser%er has to ao''o#ate his eyes a!# 'ake the'
o!%er$e at a loser ra!$e so that the ball $ets out of fous a!# shoul# be see! as a blurre#
#ouble i'a$e( Bet the k!o)le#$e that te!!is balls beha%e reaso!ably a!# #o !ot $ro) i!to
footballs so'eho) 'a!a$es to o'pe!sate for this& a!# to #isar# the a!o'alies i! the
situatio! as irrele%a!t !oise( To /uote *artlett o!e 'ore0 'E%e! the 'ost ele'e!tary
pereptio!s ha%e the harater of i!fere!tial o!strutio!s(' The *ao!ia! i#eal of
obser%atio! )ithout theori+i!$ is u!#er'i!e# by the 'eha!is' of obser%atio! itself(
Pereptio! is pollute# by i'plie# hypotheses( To look& to liste!& to taste& 'ea!s to ask
/uestio!s, a!# 'ostly they are lea#i!$ /uestio!s(
To obtai! a 'ore #etahe# %ie) of the li%i!$ or$a!is''s 'etho#s of o#i!$ a!# stori!$ its
e-perie!es& let 'e 'ake a !aQ%e o'pariso! )ith a typial' e!$i!eeri!$ proe#ure(
E-a'i!i!$ a 'o#er! $ra'opho!e reor# )ith a 'a$!ifyi!$ $lass& you see a spiral ur%e
)ith lateral osillatio!s of %aryi!$ a'plitu#e a!# spai!$ "" a ur%e )here the absissa
represe!ts ti'e& a!# the or#i!ate the a'plitu#e of the !ee#le's osillatio!s( A!# yet this
t)o"#i'e!sio!al ur%e& )ith a si!$le i!#epe!#e!t %ariable& a! repro#ue a!y se/ue!e of
sou!#s& fro' the Ser'o! o! the >ou!t to the Ni!th Sy'pho!y perfor'e# by orhestra a!#
hoir& i!lu#i!$ the bu++i!$ of a fly a!# a ou$h i! the au#ie!e( I! fat the e!tire ra!$e of
hu'a! k!o)le#$e a!# e-perie!e oul# be e-presse# by the fu!tio! of this o!e
i!#epe!#e!t %ariable& so that o!e is te'pte# to ask )hy the !er%ous syste' #oes !ot
pro#ue e!$ra's i! this si'ple type of o#e& i!stea# of the i!o'parably 'ore o'pliate#
'etho#s it uses( The a!s)er is& that a 'li!ear' 'e'ory trae of this type )oul# be
o'pletely useless for the purposes of a!alysi!$& reo$!i+i!$& a!# 'athi!$ !e) i!puts&
a!# for )orki!$ out the appropriate respo!ses( It )oul# 'erely represe!t the 'bloo'i!$&
bu++i!$ o!fusio! of pure se!satio! sa!s or$a!i+atio!' )hih& i! the )or#s of :illia'
?a'es& is the !e)"bor! i!fa!t's )orl#( *efore it a! be 'ore or less per'a!e!tly store#& the
i!put 'ust be proesse#& #is'a!tle#& a!# reasse'ble# i! %arious )ays& )hih the follo)i!$
e-a'ples 'ay ser%e to illustrate(
<is'a!tli!$ a!# Reasse'bli!$
=et the i!put be fifty i!stru'e!ts a!# fifty %oies perfor'i!$ a horal part of *eetho%e!'s
Ni!th( O! the $ra'opho!e reor#& a!# i! the air")a%es )hih 'ake the ear"#ru' %ibrate&
the pith& ti'bre& a!# lou#!ess of the i!#i%i#ual %oies a!# i!stru'e!ts ha%e all bee!
superi'pose# o! eah other "" sra'ble# to$ether i!to a si!$le %ariable pulse( The
i!#i%i#uality of sopra!o& flute& %iola& is lost i! the proess, it re/uires a hu'a! !er%ous
syste' to reo!stitute it(
The pulse is tra!s'itte# a!# a'plifie# by the bo!es of the 'i##le ear a!# e!ters throu$h
the o%al )i!#o) i!to the ohlea( Here the basilar 'e'bra!e& base# i! %isous flui#& starts
the proess of u!sra'bli!$ the aousti o'elette( This is #o!e& partly at least& by a ki!# of
Fourier"a!alysis of the osillatory ur%e& )hih breaks it #o)! i!to its spetru' of basi
fre/ue!ies(D The parallel fibres of the basilar 'e'bra!e for' a ki!# of spiral harp, eah
fibre respo!#s to a speifi fre/ue!y( This a!alysi!$ 'eha!is' operates o%er a ra!$e of
t)e!ty to t)e!ty thousa!# yles per seo!#& a!# au#itory #isri'i!atio! %aries fro' about
C(CI at lo) fre/ue!ies to C(C9I at 9&CCC Ws 1Piolo flute2( Eah fre/ue!y has its separate
'plae' o! the spiral 'e'bra!e( Eah 'plae' is presu'e# to be o!!ete# by a separate
$roup of fibres& ru!!i!$ throu$h se%eral relay statio!s& to a presu'ably fi-e# loatio! i! the
pri'ary reeptio! area i! the au#itory orte- "" area 99(
*ut this 'eha!is' of tra!s'issio! by fi-e# path)ays a!# !o!"speifi i'pulses is o!ly
half of the story, the other half is tra!s'issio! of the lo)er fre/ue!ies by '%olleys' i! a
bu!#le of fibres firi!$ i! tur! at the speifi fre/ue!y of the i!put( 7I8 The #etails of both
theories are still o!tro%ersial& but the a%ailable e%i#e!e i!#iates that they o'ple'e!t
eah other( :e ha%e& the!& here o!e 'ore i!sta!e of the o'ple'e!tary harater of t)o
types of !er%ous fu!tio!0 o!#utio! by speifi path)ays& a!# o!#utio! by speifi
si$!als o%er e/uipote!tial path)ays(
:e !o) ha%e our fifty si!$ers a!# fifty i!stru'e!ts #eo'pose# i!to a o!sta!tly
ha!$i!$ 'osai patter! of e-itatio!s i! area 99 )here eah poi!t 1or re$io! or iruit2 7@8
represe!ts the fre/ue!y of o!e pure to!e& a!# i! so'e for' also its i!te!sity "" regardless
of the instrument or voice in which it originated( This state of affairs bears !o rese'bla!e
to a!y o!ei%able !eural 'o#el base# o! S("R( theory "" or o! the ;estalt physiolo$y of
K[hler a!# Koffka(D I! fat the )hole physiolo$ial theory of ;estalt& a!# 'a!y of its
psyholo$ial postulates& break #o)! )he! )e o'e to au#itio!( This is !ot surprisi!$
si!e K[hler o!e!trate# e!tirely o! %isual pereptio!, a!# i! the se%e! hu!#re#"o##
pa$es of Koffka's NPri!iples of ;estalt Psyholo$yN e-atly o!e pa$e 1p( 9CC2 is #e%ote#
to 'other 1tha! %isual2 se!ses'( E%e! o! this o!e pa$e& the o!ly refere!e to au#itio! is the
state'e!t that 'sou!#' a!# 'still!ess' ha%e a re%ersible fi$ure"bak$rou!# relatio!(
At the au#itory pro.etio! area )e 'ust assu'e the #is'a!tli!$ proess to e!# a!# the
reasse'bli!$ to start( :he! )e liste! to the sy'pho!y )e #o !ot hear a! e!se'ble of the
pure to!es i!to )hih it has bee! broke! up i! the ohlea& but a! e!se'ble of i!#i%i#ual
i!stru'e!ts a!# %oies0 that is& of or$a!i+e# sub")holes( The i!#i%i#ual ti'bre of a!
i!stru'e!t is #eter'i!e# by its o%erto!es "" the series of partials )hih ao'pa!y the
fu!#a'e!tal& a!# the e!er$y"#istributio! of the'( *y superi'positio! of the si!e ur%es of
the partials& )e obtai! the perio#i ur%e harateristi for eah i!stru'e!t( :he! )e
i#e!tify the sou!# of a %ioli! or flute by piki!$ out a!# braketi!$ to$ether its partials ""
)hih )ere '#ro)!e#' a'o!$ thousa!#s of other partials i! the air"pressure )a%e "" )e
ha%e ahie%e# 'ti'bre o!sta!y'& o'parable to %isual fi$ure o!sta!y( This& of ourse& is
base# o! past e-perie!e a!# i!%ol%es a! at of reo$!itio! by the 'trai!e# ear' of
i!stru'e!ts pre%iously hear# i! isolatio!(
'Coloure# Filters'
Si!e all but the 'ost ele'e!tary pereptio!s i!terat )ith past e-perie!e& it see's a
rather u!sou!# proe#ure to #isuss pereptio! #i%ore# fro' the proble' of 'e'ory( The
/uestio!& the!& is ho) the 'trae' )as ori$i!ally a/uire# )hih e!ables 'e to reo$!i+e a!
i!stru'e!t or %oie o! subse/ue!t oasio!s( =et us assu'e that I a' heari!$ a! e-oti
i!stru'e!t for the first ti'e& a!# that I a' i!tereste# at the 'o'e!t o!ly i! its ti'bre& !ot i!
the 'elo#y playe# o! it 1)hih& i! the ase of a ?apa!ese koto or sa'ise!& )oul# be abo%e
'y hea# a!y)ay2( As I a' liste!i!$& the 'athe'atial relatio!s bet)ee! the partials re'ai!
o!sta!t a!# e!#uri!$& )hereas their pith a!# lou#!ess are ha!$i!$ all the ti'e( This
stable a!# e!#uri!$ relatio!"patter! 1the fi-e# ratios bet)ee! the part"fre/ue!ies2 )ill be
treate# by 'y !er%ous syste'& )hih is proessi!$ the i!put& as rele%a!t& )hereas the
ha!$es i! the relata 1the absolute fre/ue!ies2 are #isar#e# as irrele%a!t( :he! this
filteri!$"out proess is o'plete#& the i!put )ill ha%e bee! fi!ally strippe# of all irrele%a!t
#etail& aor#i!$ to the #e'a!#s of parsi'o!y& a!# re#ue# to its i!%aria!t patter! "" to
'i!for'atio!' purifie# of '!oise'( If a! i!put has u!#er$o!e these tra!sfor'atio!s a!# )as
per'itte# to pro$ress this far )ithout bei!$ bloke# so'e)here o! its )ay 1as& for i!sta!e&
the %oies of irrele%a!t stra!$ers at a oktail party are2 the! it )ill te!# to lea%e a lasti!$
'trae' "" )hih )ill e!able the !er%ous syste' to reo$!i+e i! future the sa'e %oie or
i!stru'e!t(
:e ha%e )it!esse#& as it )ere& the for'atio! of the o#e of a !e) pereptual skill( The
or$a!is' fee#s o! !e$ati%e e!tropy, i! o''u!iatio! theory& 'e!tropy' beo'es '!oise'(
The se!soriu' abstrats i!for'atio! fro' the haoti e!%iro!'e!t as the 'itoho!#ria
e-trat& by a series of #is'a!tli!$ a!# reasse'bli!$ proesses& a speifi for' of e!er$y
fro' foo#( The abstrati!$ a!# reor#i!$ of i!for'atio! i!%ol%es& as )e ha%e .ust see!& the
sarifie of #etails )hih are filtere# out as irrele%a!t i! a $i%e! o!te-t( *ut )hat is
o!si#ere# as irrele%a!t i! o!e o!te-t& 'ay be rele%a!t i! a!other, a!# %ie %ersa( :e a!
reo$!i+e a! i!stru'e!t re$ar#less of the tu!e playe# o! it, but )e a! also reo$!i+e a
tu!e re$ar#less of the i!stru'e!t o! )hih it is playe#( The tu!e is abstrate# a!# reor#e#
i! a 'e'ory"trae #e"partiulari+e# of ti'bre, ti'bre is reor#e# #e"partiulari+e# of tu!e(
Thus the filteri!$"out of re#u!#a!ies as the i!put is relaye# fro' periphery to e!tre #oes
!ot proee# alo!$ a si!$le ha!!el& but alo!$ se%eral ha!!els& eah )ith its series of filters
of #iffere!t olour& as it )ere( The #iffere!t olours represe!t the riteria of rele%a!e i!
#iffere!t pereptual hierarhies( Eah hierarhy a!alyses the i!put aor#i!$ to its o)!
riteria of rele%a!e, but the loss of #etail i!urre# i! the proess of 'e'ory"for'atio!
alo!$ a si!$le ha!!el is partly ou!terate# by the fat that i!for'atio! re.ete# as
irrele%a!t by its oloure# filters 'ay be a#'itte# as rele%a!t by a!other ha!!el belo!$i!$
to a #iffere!t hierarhy( :e shall see that this pri!iple of 'ulti"#i'e!sio!al a!alysis is of
basi i'porta!e i! the phe!o'e!a of reo$!itio! a!# reall(
A <i$ressio! o! E!$ra's
The !europhysiolo$ial proble's of 'e'ory are beyo!# the sope of this book& but the
follo)i!$ re'arks 'ay help to forestall possible 'isu!#ersta!#i!$s( Pereptual o#es of
the type )hih e!ables us to reo$!i+e a! i!stru'e!t are #e%ies )hih a!alyse o'ple-
aousti i!puts by so'e u!k!o)! proess of ''athi!$' or 'reso!a!e'( The /uotes i!#iate
that these )or#s are use# as 'etaphors o!ly, the proess 'ust of ourse be i!o'parably
'ore o'pliate# tha! aousti or eletri reso!a!e( :hat 'atters is that a 'e'ory"trae
a!!ot be %isuali+e# as a 'eha!ial reor# like a $ra'opho!e $roo%e& 'sta'pe#' i!to the
brai! a!# ati%ate# by speifi path)ays( Suh a! arra!$e'e!t )oul# be as useless for
purposes of au#itory a!alysis as it )oul# be useless for the %isual reo$!itio! of shapes to
ha%e a! arhi%e of photo$raphi e!$ra's( I!stea# of this& )e 'ust hypothesi+e so'e ki!#
of 'attu!e'e!t' of a luster or lusters of !euro!s& )ith a hierarhi o$ra!i+atio! a!#
o!tai!i!$ sub")holes )hih are e/uipote!tial i! their respo!se to o!e speifi patter! of
e-itatio! a!# to that patter! o!ly( Pri!$le 7O8 assu'e# that 'e'ory"traes fu!tio! like
'ouple# reso!ators', Hy#e!'s 7F8 theory of RNA ha!$es )hih #eter'i!e seleti%e
respo!si%e!ess to fre/ue!y"'o#ulatio! se/ue!es of e-itatio! see's 'ore plausible(
:hate%er the 'eha!is' is& it 'ust 'o'bi!e the pri!iple of fi-e# but partly e/uipote!tial
spatial o!!etio!s& )ith seleti%e respo!ses to speifi e-itatio! patter!s& to aou!t for
the hierarhi or$a!i+atio! of pereptual& o!eptual& a!# 'otor skills( :eiss' e-itatio!
la!$ )as a! approah i! that #iretio!( Hebb's phase se/ue!es i! !euro! asse'blies )as
a!other( The Pitt">Cullou$h 'o#el of a sa!!i!$ a!alyser to aou!t for fi$ure
o!sta!ies shoul# sho) that basially si'ilar pri!iples a! be applie# i! %isio! as i!
au#itio! to the proble' of a!alysi!$ a!# 'athi!$ the i!put(
The 'atri- of a o'ple- skill "" suh as the 'a+e"ru!!i!$ skill of =ashley's rats "" 'ay be
!o 'ore 'loali+e#' tha! the pro$ra''e of a politial party is loali+e# by the a##resses of
all 'e'bers )ho a#here to it( If so'e 'e'bers or $roups of 'e'bers are eli'i!ate#& other
$roups 'ay take o%er( Si'pler a!# 'ore pri'iti%e 'atries& ho)e%er& are perhaps rather
like the professio!al $uil#s of rafts'e! o!e!trate# i! o!e area of a 'e#ie%al to)!, if
that area is #estroye#& the skill is lost(
Trai!$ a >elo#y
:e ha%e see! that reo$!itio! of a %oie or i!stru'e!t is base# o! a! i!%aria!t relatio!
1the fi-e# ratios bet)ee! partials or for'a!ts2 )hih has bee! e-trate# fro' the %ariable
relata( O!e the i!stru'e!t is perei%e# as a reo$!i+able )hole& the relatio! beo'es a
relatu' "" e($( 'a %ioli!' "" re$ar#less )hether a %erbal sy'bol is attahe# to it or !ot( This
relatu' the! e!ters i!to relatio!s )ith the sou!# of other i!stru'e!ts& )hih are a!alyse#
o! hi$her le%els aor#i!$ to the riteria of 'ore o'ple- rules of the $a'e "" har'o!y&
'elo#i& a!# o!trapu!tal for' "" i! )hih se%eral pereptual hierarhies partiipate(
A tune is #efi!e# by rhyth' a!# pith( Rhyth' #eri%es fro' the hierarhi or$a!i+atio! of
beat"u'"ae!t i!to 'easure& 'easure i!to phrase( To /ualify as a tu!e& the pith"%ariatio!
se/ue!e 'ust o!for' to ertai! o#es of 'o#ality& key& har'o!y( These o#es 'ust also
be represe!te# i! the liste!er's pereptual or$a!i+atio!& other)ise there )oul# be !o
'usial e-perie!e& o!ly the se!satio! of a 'e#ley of sou!#s "" as )he! a Europea! liste!s
for the first ti'e to Chi!ese opera( The 'elo#y itself has the strutural ohere!e of a
lose# fi$ure as #isti!t fro' a! ope!& li!ear hai!( It is either 'take! i!' as a )hole i! the
speious prese!t& or lear!e# by the i!te$ratio! of sub")holes& that is of e!tire phrases "" but
!e%er by hai!i!$ !ote to !ote i! the 'a!!er of lear!i!$ !o!se!se"syllables 1thou$h e%e!
these te!# to for' patter!s2( A hai! of !otes oul# !ot be tra!spose# fro' o!e key or
i!stru'e!t to a!other, !or reo$!i+e# after tra!spositio!(
A tu!e is a' te'poral patter! of !otes i! a $i%e! sale( The !otes are the relata, by hu''i!$
it i! a #iffere!t key& or playi!$ it o! a #iffere!t i!stru'e!t& the relata are ha!$e# but the
relatio! re'ai!s i!%aria!t i! all tra!sfor'atio!s( O! a hi$her le%el& the tu!e as a )hole
a$ai! beo'es a relatu' )hih e!ters i!to relatio!s )ith other to!al patter!s, or )ith itself
i! sy''etrial re%ersal, or o!trapu!tally )ith other the'es(
>ost people are apable of lear!i!$ a!# reo$!i+i!$ si'ple 'elo#ies& a!# e/ually apable
of reo$!i+i!$ the sou!# of %arious i!stru'e!ts "" but fe) 'ortals share the pri%ile$e of
'absolute pith'& of bei!$ able to i#e!tify si!$le !otes( I! other )or#s& rete!tio! of a patter!
of sti'uli is the rule& rete!tio! of a! isolate# sti'ulus the e-eptio!( If the patter! is
relati%ely si'ple& it is 'take i! at a $la!e'& as a )hole0 as a rule& liste!i!$ to the first t)o
tra!sie!ts is suffiie!t to i#e!tify a! i!stru'e!t( 758 *ut the 'ore o'ple- the patter!& the
'ore #iffiult it beo'es to 'take the )hole i! at a $la!e'& a!# it a! be retai!e# o!ly by
#i!t of a ertai! a'ou!t of rote lear!i!$(
Co!#itio!i!$ a!# I!si$ht i! Pereptio!
O!e 'ore& ho)e%er& the ite's 'e'ori+e# are !ot #isrete bits& but or$a!i+e# sub")holes,
a!# they are !ot su''ate# i! a! ope! hai! but i!terrelate# i! a lose# fi$ure( Thus the
first 'o%e'e!t of a so!ata )ill fall i!to three sub")holes0 state'e!t of the'es&
#e%elop'e!t& reapitulatio!, a!# the first of these is usually sub#i%i#e# i!to the e-positio!
of t)o the'es i! the or#er 3%7%3, )hile i! the ro!#o )e usually ha%e 3 7 3 3(
Si'ilar o!si#eratio!s apply& for i!sta!e& to the lear!i!$ of a poe'( Rhyth'& rhy'e&
$ra''ar& a!# 'ea!i!$ pro%i#e patter!s or '$ri#s' superi'pose# o! eah other "" 'atries
$o%er!e# by alrea#y establishe# o#es, a!# the 'e'ori+i!$ that re'ai!s to be #o!e is !ot
so 'uh a 'sta'pi!$ 'i!' but a 'filli!$ of $aps'( This is sho)! by the typial )ay of' $etti!$
stuk' i! reiti!$ a poe', e($(0
' . . . annon to left of them = annon in front of them = L%% %%M and thundered'( A )or# has
falle! out like a piee fro' a .i$sa) pu++le "" but it 'erely lea%es a $ap, it #oes !ot break
the 'hai!'( The ol#"fashio!e# 'etho# of teahi!$ history by rei$!s a!# battles is a! ob%ious
e-a'ple of sta'pi!$ i!( E%e! so& the #ata ofte! sho) so'e ru#i'e!tary or$a!i+atio! i!to
rhyth'i or %isual patter'& a/uire# spo!ta!eously or by so'e 'e'ori+i!$ trik suh as
rhy'i!$ .i!$les( Calulati!$ pro#i$ies 'e'ori+e lo!$ series of !u'bers& !ot by hai!i!$
but by or#eri!$ the' i!to fa'iliar sub"$roups( No!se!se syllables are easier retai!e# by
t)isti!$ the' i!to a se'bla!e of )or#s& a!# )ea%i!$ these i!to a story( 74C8 The positio!
of thirty 'e! o! a hessboar# is easier retai!e# tha! of fi%e hess'e! lyi!$ i! a heap o! the
floor(
Ho) #o )e reo$!i+e o'ple- patter!sE Take a professio!al 'usiia! )ho has tur!e# o!
his ra#io i! the 'i##le of a pro$ra''e0 'It's a stri!$ /uartet( ( ( ( So'ethi!$ by *eetho%e!( (
( ( It's a /uartet of the 'i##le perio#( ( ( ( It's the seo!# Rasou'o%sky( ( ( ( It is probably
playe# by the A'a#eus Juartet( ( ( (' The i!put has bee! 'athe# i! rapi# suessio!
a$ai!st the %ery o'ple- o#e# o!sta!ies i! se%eral i!terloki!$ hierarhies "" ti'bre&
'elo#y& rhyth'& ae!t& phrasi!$& %olu'e& #e!sity& et( "" u!til the last #rop of 'i!for'atio!'
has bee! e-trate# fro' it( Eah i!#epe!#e!t hierarhy of 'oloure# filters' ati%ate# by the
i!put a##s a! a##itio!al #i'e!sio! to u!#ersta!#i!$(
Pereptio! a!!ot be #i%ore# fro' past e-perie!e( :hat I ha%e sai# so far alrea#y
foresha#o)s a o!ti!uous sale of $ra#atio!s bet)ee! opposite 'etho#s of pereptual
lear!i!$( At o!e e!#& i! lassial o!#itio!i!$& )e shall fi!# sta'pi!$"i!& u!#er artifiial
o!#itio!s& of e-itatio!"patter!s )hih outsi#e the laboratory )oul# be treate# as
biolo$ially irrele%a!t a!# )oul# aor#i!$ly lea%e !o trae( Outsi#e the laboratory& e#ible
thi!$s #o !ot e'it si$!als by 'etro!o'e"liks& or by #isplayi!$ the fi$ure of a! ellipse o!
a ar#boar#( The #o$'s pereptual or$a!i+atio! is !ot 'attu!e#' to this ki!# of i!put"si$!al, it
lies outsi#e all reo$!i+e# rules of the $a'e, a!# there )ill be !o i!here!t te!#e!y i! the
!aQ%e #o$ to abstrat i!for'atio! fro' the rate of 'etro!o'e"liks( Ho)e%er 1see belo)&
Chapter HII2& e%e! the artifiial sta'pi!$"i! of a trae i! this type of e-peri'e!t is !ot
purely 'eha!ial& a!# !ot o'parable to the atio! of the reor#i!$ !ee#le o! the
$ra'opho!e #is(

I! the i!ter'e#iary ra!$es of the sale )e fi!# ble!#s of %aryi!$ proportio!s bet)ee! 'bit
lear!i!$' a!# ')hole' or patter!"lear!i!$, a!# lastly& at the opposite e!#& the i!put is
a!alyse# i! all its rele%a!t aspets by the %arious 'o'pete!t' pereptual hierarhies& u!til it
is saturate#& as it )ere& )ith 'ea!i!$( This& I shall su$$est& is )hat )e 'ea! by 'i!si$ht"
lear!i!$'( I!si$ht thus beo'es a 'atter of #e$rees "" a!# !ot& as the ;estalt shool see'e#
to hol#& a! all"or"!othi!$ proess(

The key")or# i! the pre%ious para$raph )as 'o'pete!t'( The a'ou!t of 'sta'pi!$ i!'
!ee#e#& a!# the type of lear!i!$ )hih )ill our& #epe!#s o! the a!i'al's 1!ati%e a!#
a/uire#2 pereptual or$a!i+atio! "" i! other )or#s& o! its 'ripe!ess' for that partiular ki!#
of task( If this sou!#s like a truis'& o!e still )o!#ers ho) o!#itio!i!$ "" 'lassial' or
'opera!t' "" oul# e%er ha%e bee! re$ar#e# as the para#i$' of all lear!i!$(


Abstrat a!# Piture"strip

>e'ory of a sort is fou!# o! e%ery or$a!i le%el& fro' proto+oa up)ar#s( The hu'a!
!er%ous syste' )e assu'e to be e/uippe# )ith a hierarhy of 'e'ory"syste's operati!$
o! %arious le%els0 fro' short"li%e#& u!stable 'o#ifiatio!s i! the reeptor or$a!s& to stable
a!# e!#uri!$ e!tral 'e!$ra's' a!# the o#es of o'ple- skills( Si!e pereptio! a!#
'e'ory"for'atio! proee# i! a o!ti!uous series& a!# si!e pereptio! filters the i!put& )e
are le# to the appare!tly para#o-ial o!lusio! that the 'ost e!#uri!$ 'e'ory"traes 'ust
be those )hih ha%e bee! 'ost thorou$hly #e"partiulari+e# "" it is to say& i'po%erishe#(
This see's i!#ee# to be the ase at least i! so far as o!e i'porta!t ate$ory of hierarhies
is o!er!e#0 the abstrati%e ate$ory(

:he! o!e is )athi!$ a play at the theatre the suessi%e sou!#s e'itte# by the ators
'ust be retai!e# by short"ter' 'e'ory u!til they a! be brakete# to$ether i!to )or#s or
lar$er sy!tati sub")holes( The psyholo$ial prese!t e'braes %arious"si+e# hu!ks of
the i''e#iate past 1by 'ea!s of a '!'e'i after$lo)'& of re%erberati!$ iruits& or )hat"
ha%e"you2( *y the ti'e the ator utters his !e-t li!e& the pereptual relata "" the speeh"u!its
"" of the pre%ious li!e ha%e alrea#y bee! for$otte!& a!# o!ly the )or#i!$ is still retai!e#( A
fe) li!es further the e-at )or#i!$ of the first phrase is also )ipe# off the 'e'ory slate&
a!# o!ly its o!te!t is still store# o! so'e hi$her le%el of the hierarhy( The !e-t #ay o!e
still has a fairly #etaile# reolletio! of the atual se/ue!e of se!es i! the play, a fe)
'o!ths later o!ly a! outli!e of the plot as a )hole re'ai!s i! the 'store'( Parsi'o!y i!
'e'ory"for'atio! #e'a!#s that o!ly a 'ere skeleto! of the o'ple- ori$i!al e-perie!e
shoul# be retai!e# o! the hi$hest le%el of a $i%e! hierarhy, a!# %ie %ersa& that the trae
)hih a! i!put lea%es shall be the 'ore e!#uri!$& the hi$her the le%el to )hih it has
attai!e# by suessi%e sta$es of #e"partiulari+atio! a!# re"o#i!$(

The e-a'ple I #esribe# )as of a! abstrati%e hierarhy $o%er!e# e-lusi%ely by lo$ial
a!alysis( A o'puter built o! these li!es& after bei!$ fe# a !u'ber of :est E!# plays&
)oul# probably filter #o)! all that it fou!# )orth retai!i!$& to a for'ula suh as0 isoseles
'arria$e tria!$le )ith pet"#o$ at e!tre of $ra%ity& or0 )ho#u!it )ith fi%e i!#epe!#e!t
%ariables 1suspets2(

=et us assu'e that at eah sta$e of this serial abstrati%e proess& the i!put ati%ates so'e
partiular sa!!i!$" or filteri!$"#e%ie )hih is 'attu!e#' to that partiular i!put( The
reei%i!$ e!# of that #e%ie orrespo!#s to its ''atri-' aspet0 it is pote!tially respo!si%e to
a $reat 'a!y i!puts )hih ha%e o!e speifi feature or patter! i! o''o!& a!# are thus
e/uipote!tial i! that respet( :he! a! i!put is 'reo$!i+e#' by the 'atri- as o!for'i!$ to
that patter!& it )ill e'it a o#e"si$!al to the hi$her ehelo!s( *ut )hile the 'atri- is
'attu!e#' to a $reat !u'ber of %ariatio!s i! the i!put patter!& the o#e 'erely si$!als the
i!%aria!t aspet of it& e($( 'a tria!$le'& 'a! ota%e'& 'a fly'& 'a #e!ial'( The si+e a!# positio! of
the tria!$le& the partiulars of the fly& the )or#i!$ of the #e!ial are lost i! the o#i!$& a!#
a!!ot be retrie%e# by re%ersi!$ the proess )ithi! that partiular hierarhy 1thou$h it 'ay
ha%e bee! preser%e# by a!other2(

Thus the a!alysi!$"#e%ies beha%e' like a!alo$ue"to"#i$ital o'puters& a!# i! other
respets& too& the or#er of e%e!ts is the e-at re%erse "" as o!e )oul# e-pet "" of the
proesses )e ha%e obser%e# i! 'otor"hierarhies( :he! a! a!i'al e!$a$es i! so'e skille#
atio!& the oor#i!ati!$ e!tre ati%ates a 'atri- of e/ui"fi!al 'otor patter!s, )hih
partiular sub"skill )ill be alle# i!to ati%ity #epe!#s o! iru'sta!es( Thus the
'rou$he#"i!' atio!"pro$ra''e beo'es 'ore a!# 'ore partiulari+e# i! the ourse of its
#ese!t to the periphery "" )hile o!trari)ise& the peripheral i!put is 'ore a!# 'ore #e"
partiulari+e# or 'skeleto!i+e#' i! its ase!t to)ar#s the e!tre( The first is a proess of
pro$ressi%ely spelli!$ out i'pliit or#ers, the seo!# a! e/ually step)ise proess of
abstrati!$ the 'ea!i!$ i'plie# i! the 'osai of se!satio!s( *oth proesses are
irre%ersible0 the e-at )or#s of the ators i! the play a!!ot be retrie%e#(

It a! also happe!& ho)e%er& that o!e has /uite for$otte! )hat that play& see! years a$o&
)as about "" e-ept for o!e partiular #etail& a! i!fletio! of %oie& a! i'plori!$ $esture of
the heroi!e )hih& tor! fro' its o!te-t& re'ai!s e!$ra%e# o! o!e's 'e'ory( There e-ists&
i!#ee#& a 'etho# of rete!tio! )hih see's to be the #iret opposite of 'e'ory"for'atio!
i! abstrati%e hierarhies( It is harateri+e# by the preser%atio! of %i%i# #etails& )hih&
fro' a purely lo$ial poi!t of %ie)& are ofte! /uite irrele%a!t, a!# yet these /uasi"
i!e'ato$raphi #etails or 'lose"ups'& )hih see' to o!tra#it the #e'a!#s of parsi'o!y&
are both e!#uri!$& striki!$ly sharp& a!# a## te-ture a!# fla%our to 'e'ory(

*artlett& i! a lassi e-peri'e!t& 'a#e his sub.ets rea# a! I!#ia! le$e!# a!# the!
repro#ue it o! repeate# oasio!s at i!ter%als of i!reasi!$ le!$th "" ra!$i!$ fro' fiftee!
'i!utes after the first rea#i!$ to se%eral 'o!ths or years( The story )as about thirty li!es
lo!$, it o!er!e# a you!$ I!#ia! )ho $ot i!%ol%e# i! the ':ar of the ;hosts'& a!# )as
)ou!#e# i! the proess( The last para$raph rea#0
He tol# it all& a!# the! bea'e /uiet( :he! the su! rose he fell #o)!( So'ethi!$ blak
a'e out of his 'outh( His fae bea'e o!torte#( The people .u'pe# up a!# rie#( He
)as #ea#( 74Ca8
T)e!ty sub.ets )ere teste#( Their )ritte! reolletio! of the story shra!k )ith the passa$e
of ti'e to a fe) li!es )hih& i! 'ost ases& #istorte# its o!te!t al'ost 'beyo!#
reo$!itio!'( *ut& )ith o!e e-eptio!& all the spae#"out %ersio!s of all sub.ets& e%e! after
se%eral years& o!tai!e# the li!es0 'So'ethi!$ blak a'e out 1or Nissue#N or Nrushe#N or
N.u'pe# outN2 of his 'outh(' The o!e e-eptio! )rote 1after four 'o!ths20 '>y
re'e'bra!e )as i! %isual ter's ( ( ( of breath so'eho) 'ateriali+i!$ i!to a $host('

Fitio! a!# autobio$raphy abou!# )ith e-a'ples of suh '%i%i#"fra$'e!t"'e'ories'0 the
'ole o! ;ra!!y's hi!& the fly ra)li!$ o%er the lu'p of su$ar at the 'o'e!t of the
#ra'ati li'a-( =et us all this the 'piture strip' type of 'e'ory "" althou$h& of ourse&
the '%i%i# fra$'e!t' 'ay be au#itory or olfatory& or e%e! a )hole 'i!e'ato$raphi
se/ue!e' "" like the #etaile#& au#itory"%isual se/ue!es )hih Pe!fiel# e%oke# i! his
patie!ts throu$h eletri sti'ulatio! of their e-pose# te'poral lobes 1see belo)2(

Ob%iously the for'atio! of suh 'piture"strip traes' 'ust also be pree#e# by so'e
filteri!$ proess, but i! this ase the riteria of rele%a!e a!# parsi'o!y are #iffere!t& a!#
ofte! #iretly oppose# to those of the abstrati%e hierarhies( The %i%i# #etail is usually
#esribe# as 'striki!$'& 'attrati%e'& 'e%oati%e'& '!ostal$i'& 'fri$hte!i!$', it al)ays has so'e
emotional si$!ifia!e( It is 'ostly o! a pre"%erbal le%el, but e%e! %erbal fra$'e!ts "" of a
poe'& of a hill )ar!i!$ or )hispere# e!#ear'e!t "" are retai!e# beause of their affeti%e
/uality( The filter"'atries that operate i! these hierarhies 'ust be e'otio!ally 'attu!e#' ""
let us say to so'e hypothala'i o!trols( :e 'ay further assu'e that suh piture"strip
'e'ories are for'e# o! lo)er 1pre"o!eptual2 le%els tha! 'e'ories of the abstrati%e
ki!#, they 'ay be sy'boli& but their sy'bolis' too is ofte! pre"%erbal& a!# perhaps
relate# to the sy'bolis' of the #rea', they 'ay e%e! obey their o)! speial bra!# of
parsi'o!y( :e ha%e see! that oasio!al re$ressio! to lo)er le%els of the hierarhy is a
o!#itio si!e /ua !o! of reati%e!ess, the o'bi!atio! of the abstrati%e a!# piture"strip
type of 'e'ory 'ay ser%e the sa'e purpose "" vide Coleri#$e a!# KekulT(

:e are thus le# to assu'e the e-iste!e of %arious hierarhies i! pereptio! a!# o$!itio!&
)hose riteria of rele%a!e are #eter'i!e# by the attitu#es& #ri%es& e'otio!s& )hih they
ser%e, they i!terlae )ith eah other o! e%ery le%el& a!# thereby pro%i#e the 'ulti"
#i'e!sio!ality "" or 'ulti"olouratio! "" of e-perie!e, at the sa'e ti'e they also
o'pe!sate for the i'po%erish'e!t of e-perie!e i! the proess of 'e'ory for'atio!( The
outsta!#i!$ 'e'ory )hih so'e $e!iuses are sai# to ha%e possesse# 'ay possibly be #ue
to their 'a!y"#i'e!sio!al )ays of a!alysi!$ a!# stori!$ e-perie!es(


=ear!i!$ to See
=et us tur! to %isio!(

I!!ate pereptual or$a!i+atio! pro%i#es !o 'ore tha! the pri'iti%e fou!#atio! o! )hih
lear!i!$ a! buil#( The lo!$ o!tro%ersy bet)ee! *eha%iourists a!# the !ati%istially
i!li!e# ;estalt shool )hether pereptual or$a!i+atio! is i!!ate or lear!e# has fi!ally bee!
superse#e# by the 'ore realisti /uestio! how much is i!!ate a!# ho) 'uh a/uire# by
early lear!i!$( The o!se!sus see's to be that olour a!# bri$ht!ess o!sta!y& a!# the
reo$!itio! of li!e& a!$le& a!# te-ture are i!!ate i! rats as )ell as 'e!( 7448 So is 'pri'iti%e
u!ity' 1Hebb2 "" the se$re$atio! of si'ple fi$ures as ohere!t e!tities fro' the bak$rou!#
1for i!sta!e& a blak splash o! a )hite ar#2( *ut )he! it o'es to 'ore o'ple- fi$ures
)here the o!trast is less 'arke#& e%e! the fi$ure"$rou!# relatio! is stro!$ly i!flue!e# by
lear!i!$ a!# e-peta!y( I ha%e /uote# e-a'ples fro' the !e$lete# fiel# of au#itory
pereptio! )here the relati%ity of fi$ural u!ity is ob%ious( The ra#iolo$ist )ho' e-perie!e
has tau$ht to see a pepti uler or a lesio! of the lu!$& treats the 'uh sharper o!tours of
the ribs as 'bak$rou!#'( :he! you hu!t for a ollar"stu# i! a #ra)erful of 'isella!eous
ob.ets& that s'all& i!sipi# for'& poor i! ;estalt Prgnan0& )ill 'stik out a 'ile', the
re'ai!i!$ o!te!ts of the #ra)er are 'bak$rou!#'(

Thus e%e! fi$ural ohere!e is i!flue!e# by past e-perie!e a!# prese!t attitu#e( :he! it
o'es to the identification a!# reo$!itio! of %isual ;estalte!& it has bee! sho)! that e%e!
the si'plest of the' "" tria!$les& s/uares "" re/uire a! ele'e!t of lear!i!$( The beha%iour
of hi'pa!+ees reare# )ithout patter! %isio!& of hu'a! bei!$s )ith o!$e!ital atarat
)ho ha# to 'lear! to see' after they )ere operate# o!& a!# the u'ulati%e e%i#e!e fro'
other e-peri'e!ts i!#iate& i! Hebb's )or#s& 'that the !or'al hu'a! i!fa!t $oes throu$h the
sa'e proess& a!# that )e are able to see a s/uare as suh i! a si!$le $la!e o!ly as the
result of o'ple- lear!i!$'( 7498 The lear!i!$ proess see's to #epe!# 'ai!ly o! %isual
e-ploratio!0 a t)o"year"ol# hil# )ill reo$!i+e a tria!$le that has bee! rotate# by 49C
#e$rees o!ly after rotati!$ its o)! hea#, 74A8 but e%e! i! the a#ult& pereptio! is bou!# up
)ith e-ploratory 'otio!s of the eyes& fro' o!sious 'o%e'e!ts to the i!%olu!tary& 'i!ute
'otio!s 1'#rift'& 'flik'& 'tre'or'2 )hih 'o%e the i'a$e aross the fo%ea )he! the eye see's
'fi-e#' o! a statio!ary ob.et( I#e!tifiatio! of a tria!$le or s/uare see's to #epe!# o! serial
sa!!i!$ of its o!tours( 7468 :ith pratie& the sa!!i!$ 'otio!s 'ay beo'e su''ary or
subli'i!al, but )he! sa!!i!$ is artifiially eli'i!ate# by a 'eha!ial #e%ie& the i'a$e
#isi!te$rates i!to fra$'e!ts( '"ir tasten mit unserem 7lick das .ehfeld ab'& E-!er )rote i!
4F54 74I8 1:e fi!$er o%er the %isual fiel# )ith our $a+e2(

Thus )ith the e-eptio! of bri$ht!ess a!# olour o!sta!y& a!# a fe) other pri'iti%e
'i!!ate skills'& %isual pereptio! is i!e-triably bou!# up )ith lear!i!$& i(e( )ith 'e'ory(
:hat )e perei%e i! au#itio! is !ot the li!ear pulse of pressure"%ariatio!s arri%i!$ at the
ear#ru'& but a! 'i!fere!tial o!strut' of i!#i%i#ual %oies& i!stru'e!ts& 'usial or %erbal
phrases, a!# )hat )e perei%e i! %isio! is !ot the a'era"i'a$e o! the reti!a but the
'i!fere!tial o!strut' of people a!# ob.ets )hih preser%e their o!sta!t shape a!# si+e&
re$ar#less of a!$le a!# #ista!e( The eye 'ay be a a'era& but i''e#iately behi!# its le!s
there is a series of o'pe!sati!$& orreti!$& a!# retouhi!$ #e%ies "" the pereptual
'atries of skille# %isio!(


K!o)i!$ a!# Seei!$

The best"k!o)! a'o!$ these are the 'atries respo!sible for the %isual o!sta!ies a!#
illusio!s )hih are fou!# i! e%ery ele'e!tary te-tbook( =ess atte!tio! has bee! pai# to the
'o#ifiatio! of auto'atially fu!tio!i!$ pereptual 'atries by %erbal lea!i!$ a!# %erbal
su$$estio!s& by attitu#e a!# e-petatio!( 74@8 >itsherlih& a! outsta!#i!$ obser%er& ha#
#e!ie# that there e-iste# a!y strutural #iffere!e bet)ee! the t)o types of tartari ai# of
opposite optial ati%ity( Pasteur& usi!$ the sa'e apparatus& sa) at o!e the asy''etri
faets o! the tartar rystals beause his hypothesis o! 'oleular struture #e'a!#e# that
they shoul# be there( 74O8

Pereptual 'atries fu!tio! !ot o!ly auto!o'ously& but #isplay o!si#erable 'self"
assertio!'( This is sho)! i! a si'ple but #rasti 'a!!er by the #iffiulty of breaki!$ the
arro) illusio!0

a U b

A!other e-a'ple of 'self"assertio!' is the tireso'e i!siste!e )ith )hih a tu!e )ill $o
rou!# a!# rou!# i! your hea#, or the i!furiati!$ 'essa$es "" 'I tol# you so' "" 'I tol# you so'
rappe# out at the rate of o!e per seo!# by the )heels of your rail)ay"arria$e( A 'ore
a#%a!e# but e/ually typial illustratio! for 'k!o)i!$ is seei!$' is this /uote fro' *abba$e0
'I )ill prepare the apparatus& a!# put you i! suh a positio! that 7Frau!hofer's #ark li!es8
shall be %isible& a!# yet you shall look for the' a!# !ot fi!# the'0 after )hih& )hile you
re'ai! i! the sa'e positio!& I )ill i!strut you how to see them& a!# you shall see the'&
a!# !ot 'erely )o!#er you #i# !ot see the' before& but you shall fi!# it i'possible to look
at the spetru' )ithout seei!$ the'(' 74F8

A pretty illustratio! of pereptio! i'pre$!ate# by pre%ious k!o)le#$e is i! the #ra)i!$
opposite(

The bear li'bi!$ o! the other si#e of the tree is purely i!fere!tial( Bet you see the se'i"
irles plus four strokes as his pa)s(



=e%els of >e'ory
Pereptio! a!# 'e'ory a!!ot be u!"sra'ble#( =et us o!si#er briefly a fe) types of
''!e'i' proesses )hih i!ter%e!e o! %arious le%els of the hierarhy(
O! the lo)est& peripheral le%el )e fi!# auto'atis's #esi$!e# to re#ue re#u!#a!y a!# to
'o'press' the i!put( It )oul# be u!eo!o'ial if eah reeptor i! the reti!a )oul# si$!al to
report sti'ulatio! fro' a u!ifor'ly illu'i!ate# area, he!e lateral i!hibitio! bet)ee!
!ei$hbouri!$ reeptor u!its& o'bi!e# )ith li$ht"a#aptatio!& )ill filter #o)! the i!put to
si$!als )hih report o!ly the rele%a!t spatial differences i! illu'i!atio! "" i(e( the o!tours
of the illu'i!ate# area( 7458 =ike)ise& the eye a#apts to u!ifor' 'otio! "" as see! i! the
illusio! of re%erse 'o%e'e!t )he! the real 'o%e'e!t stops 1the ')aterfall"illusio!'2( These
auto'atis's oul# be alle# 'e'ory proesses o!fi!e# to the psyholo$ial prese!t 1i!
the broa# se!se of ''e'ory U 'o#ifiatio! of respo!si%e!ess by e-perie!e'2(
>ore lasti!$ are after"i'a$es "" o!e re$ar#e# as the prototypes of 'photo$raphi' 'e'ory(
I! fat& ho)e%er& the after"i'a$e 'i'pro%es' o! the ori$i!al by ahie%i!$ $reater re$ularity
a!# si'pliity( ;oethe )as the first to obser%e that the after"i'a$e of a s/uare )ill
$ra#ually beo'e tra!sfor'e# i!to it irle "" a fi$ure of $reater sy''etry( Rothshil#'s
79C8 e-peri'e!ts sho)e# that o!ly re$ular fi$ures )ith '$oo#' o!tour pro#ue stable after"
i'a$es, that fi$ures )ith $aps i! their o!tours appear 'lose#' i! the after"i'a$e, that s'all
irre$ularities #isappear& a!# ele'e!ts )hih '#o !ot belo!$' to a fi$ure& suh as a s/ui$$le
or tail attahe# to a s/uare& beo'e #etahe# fro' it a!# o'e a!# $o as i!#epe!#e!t u!its(
Thus the repro#utio! is far fro' 'eha!ial& a!# is o!trolle# both by i!tri!si o#es a!#
fro' hi$her e!tres( 7948
There are so'e si$!ifia!t parallels bet)ee! after"i'a$es a!# i'a$es )hih ha%e bee!
artifiially stabili+e# o! the reti!a( The latter are obtai!e# by a ti!y pro.etor& 'ou!te# o! a
o!tat"le!s )or! by the sub.et( The illu'i!ate# tar$et"fi$ure is fi-e# at the other e!# of
the pro.etor, it 'o%es )ith the i!%olu!tary sa!!i!$ 'otio!s of the eyeball& a!# its
pro.etio! re'ai!s thus fi-e# o! the sa'e spot of the reti!a "" subte!#i!$ a %isual a!$le of
t)o #e$rees i! a path of li$ht of fi%e #e$rees& )ith #ark!ess all rou!#( U!#er these
o!#itio!s the perei%e# i'a$e )ill %a!ish a!# reappear 'uh as after"i'a$es #o "" either
as a )hole& or it )ill #isi!te$rate i!to parts( If the latter is the ase& the fra$'e!ts )ill be
'ea!i!$ful i! o!e )ay or the other0 a hu'a! fae )ill break up i!to its speifi features or
$roups of features "" profile or top of the hea#, a!# a o'posite 'o!o$ra' )ill break up
i!to the i!#i%i#ual letters a!# !u'bers )hih )ere hi##e! i! it( Co!%ersely& the ele'e!ts i!
a 'ea!i!$less patter! of urlie)s )ill at first fa#e a!# reappear i! %ario!s o'bi!atio!s,
but after a )hile they )ill or$a!i+e the'sel%es i!to stable sub")holes( Ce!tral proesses
frau$ht )ith past e-perie!e e-ert a! ob%ious i!flue!e o! these phe!o'e!a, a!# so #oes
the sub.et's attitu#e(
The !e-t step lea#s to eidetic images( These oupy a! i!ter'e#iate plae i! the 'e'ory
hierarhy bet)ee! after"i'a$es a!# the 'piture"strip' type of reall( I! their #iret se!sory
i'pat they are o'parable to hyp!a$o$i i'a$es a!# lose to hallui!atio!s( The
e-peri'e!ter #irets the sub.et to i!spet a piture for about thirty seo!#s )ithout stari!$
1to eli'i!ate after"i'a$es2& the! to look at a $rey sree!( The a%era$e perso! sees !othi!$,
the ei#eti 'pro.ets' the i'a$e o!to the sree! a!# beha%es as if the piture )ere atually
there( He a! fous o! a #etail& poi!t out its e-at positio! o! the sree!& ou!t the butto!s
o! a oat& the !u'ber of spokes o! a )heel& a!# 'rea#' the letters i! a forei$!"la!$ua$e te-t
for)ar# or bak)ar#( 7998 It see's& therefore& that ei#eti i'a$es 'are see! i! the literal
se!se of the )or#'( 79A8 Ei#eti reall 'ay be li'ite# to a short i!ter%al after i!speti!$ a!
ob.et or piture& or e-te!# to ''i!utes& #ays& years'( 7968 A!alo$ous phe!o'e!a see' to
e-ist i! other se!se"'o#alities0 *eetho%e!& >o+art& :a$!er& a!# El$ar )ere suppose# to be
able to 'hear at )ill the full te-ture of a! orhestra'( 79I8
Ei#eti 'e'ory& thou$h rare i! a#ults& see's to be /uite o''o! i! hil#re! before
puberty, 'i! ertai! re$io!s&' aor#i!$ to Klue%er& 'ei$hty to a hu!#re# per e!t of the
hil#re! are reporte# ei#eleti'( 79@8 This is a striki!$ o!fir'atio! of the o''o!plae that
the hil# li%es i! a )orl# of i'a$es of $reat %i%i#!ess& )hereas the a%era$e a#ult's i'a$es
are $rey sha#o)s( The ei#eti type of 'e'ory see's to be irretrie%ably lost& i! all but
e-eptio!al ases& )ith the tra!sitio! fro' the pereptual a!# affeti%e to the o!eptual
a!# sy'boli 'e!tality( Pitorial 'e'ory& as )e sa)& belo!$s to a phylo$e!etially a!#
o!to$e!etially earlier le%el of the '!e'i hierarhy(
Bet if )e e-pet the ei#eti i'a$e to be a true photo$raphi reor#& )e shall a$ai! be
#isappoi!te#( All reports a$ree that the #e%elop'e!t of the i'a$e o! the sree! #epe!#s o!
the hil#'s i!terest i! the piture as a )hole& a!# i! its #etails( E-iti!$ #etails o'e out
sharply& )hile a#.ae!t parts 'ay re'ai! bla!k& blurre#& or e%e! appear i! o'ple'e!tary
olours( Pitures )hih ha%e !o 'ea!i!$ for the hil# #o !ot appear o! the sree!( 79O8 The
ob.ets i! the i'a$e a! be 'o%e# about& a!# their olour a!# si+e a! be ha!$e# at )ill&
or i! respo!se to %erbal su$$estio!s( Sy!aestheti phe!o'e!a also e!ter0 if the sub.et's
ar's are pulle# )hile he is i!speti!$ a hori+o!tal li!e& the ei#eti i'a$e of the li!e )ill be
le!$the!e#, i'a$es of the >ueller"=yer illusio! 'ay be le!$the!e# 'by as 'uh as t)o
yar#s'( 79F8
I'a$e a!# >ea!i!$
A further step up)ar# i! the hierarhy lea#s to )hat I ha%e alle# the 'piture"strip' ki!# of
'e'ory )ith e'oti%e si$!ifia!e, a!# lastly )e arri%e at the phe!o'e!a referre# to as
''e'ory i'a$es' i! or#i!ary parla!e(
A! i'a$e is #efi!e# i! :rever/s :ictionary as 'a re%i%e# se!se e-perie!e& i! the abse!e
of the se!sory sti'ulatio!'( *ut si!e 'ost of the se!sory sti'ulatio! has bee! irretrie%ably
lost i! the filteri!$"proesses of 'e'ory for'atio!& o!ly so'e e-eptio!ally sharp& %i%i#
#etails are perhaps apable of bei!$ 're%i%e#' or 'repro#ue#', the re'ai!#er of the
e-perie!e 'ust be 'reo!strute#'( It has bee! k!o)! for a lo!$ ti'e that i!trospeti%e
reports o! '%isual 'e'ory i'a$es' are lar$ely base# o! self"#eeptio!( 3isual reall "" as
Se'o! o!e )rote "" 're!#ers o!ly the stro!$est li$hts a!# sha#o)s', 7958 but stritly
speaki!$& e%e! sha#o)s are abse!t fro' %isual i'a$es "" as they are fro' Chi!ese
pai!ti!$s, a!# so are& as a rule& all but the ru#est sha#es of olour( The !or'al a#ult's
'e'ory"i'a$es are 'uh %a$uer& skethier i! outli!e tha! he is )o!t to belie%e, i! 'ost
ases )he! he belie%es that he possesses a %isual i'a$e of a thi!$& he is really referri!$ to
a$$re$ates of si'plifie# pereptual she'ata& hel# to$ether by o!eptual li!ks(
This has bee! a'ply #e'o!strate# 1f( *ook O!e& pp( A6@ se/(2 I! the *i!et">ueller test
7AC8 the sub.et is #irete# to 'e'ori+e a letter s/uare 1o'prisi!$ si-tee! or t)e!ty"fi%e
letters i! ra!#o' #istributio!2 u!til he thi!ks that he has for'e# a %isual i'a$e of it& a!#
a! 'see' it i! his 'i!#'s eye( *ut )he! he is aske# to rea# the letters i! his i'a$e i!
bak)ar# or#er or #ia$o!ally& he )ill take up to te! ti'es lo!$er tha! )he! reiti!$ the'
i! their proper serial or#er fro' left to ri$ht(

A!other lassi test is the #ra)i!$ of elepha!ts by patie!ts sufferi!$ fro' a for' of
aphasia )hih i'pairs sy'boli thou$ht but lea%es pereptual faulties i!tat "" a test first
use# by Pierre >arie& a!# later by He!ry Hea#0 7A48
Case No( F 1'se'a!ti' asphasia20 Aske# to #ra) a! elepha!t& he 'o%e# his pe!il about
ai'lessly& sayi!$ 'I a!'t $et the i#ea'( The! he su##e!ly #re) the outli!e of the hea#& bak
a!# belly& a##i!$ the four le$s a!# a! eye, the tusks )ere i!#iate# but he o'itte# the
tru!k( I aske# ':hat is the harateristi of a! elepha!tE' To this he replie#& 'Its tru!k, I see I
ha%e o'itte# to put i! his tru!k'( Case No( 44 ( ( ( 'a#e a! i!o'plete #ra)i!$ of a!
elepha!t to or#er( Aske# if he ha# left out a!ythi!$& he replie# 'His ear'& a!# 'a#e a 'ark
o! the si#e of the hea#( :he! I i!/uire# 'Has a! elepha!t $ot a!ythi!$ elseE'& he a!s)ere#
'Tru!k& eye& tail& toes'& 'arki!$ i! eah ob.et i! tur! as he !a'e# it, but he for$ot the tusks(
Case No( 94 1a )o'a! of hi$h i!telli$e!e )ith so'e se'a!ti #isor#er20 :he! I re/ueste#
her to #ra) a! elepha!t she pro#ue# a piture #isti!tly rese'bli!$ this a!i'al& e-ept
that she $a%e it a bushy tail a!# for$ot the tusks( After she ha# fi!ishe# she e-lai'e# 'I
ha%e!'t put the tusks i!( I a!'t re'e'ber )here they o'e( They o'e fro' .ust belo) the
eye& I thi!k, but I #o!'t k!o)( I belie%e they are teeth a!# shoul# o'e out of the top of the
.a) really('
The /uotatio!s sho) that the %isual i'a$e of the elepha!t )as !ot i! fat a 'pereptual
)hole' but a 'Tla!$e of pereptual and o!eptual e!tities, the $lue )hih hel# the %isual
parts to$ether )as meaning( Thus i! a !u'ber of #ra)i!$s the tusks at first appeare# o! top
of the elepha!t's hea# as if they ha# bee! hor!s, a!# o!ly )he! their fu!tio! )as
re'e'bere# )ere they put i! their orret plae(

:e ha%e !o) reahe# the bou!#ary bet)ee! the pereptual a!# sy'boli hierarhies "" the
hi$hest le%el of pereptual i!te$ratio!& )here sy'boli o#i!$ 'ust take o%er if further
pro$ress i! lear!i!$ is to be ahie%e#( The she'ati+e# %isual for's of tru!k& le$s& tusks&
see' to be the upper li'it of the patie!t's apability of for'i!$ true pereptual ;estalt"
traes( :he! it o'es to repro#ui!$ the 'i'a$e' of the o'plete elepha!t& the visual
pattern of the tusk is 'a!ipulate# as a symbolic unit& labelle# a 'tusk'( It is& o!e 'ore& a
#ouble"fae# e!tity0 o!e si#e is a o'ple- a!# fle-ible pereptual )hole& the other is a
se'a!ti u!it )hih si$!als the )or# 'tusk' a!# is ati%ate# by the sa'e si$!al(


Kla!$bil# a!# :ortshat+

A si'ilar fro!tier is fou!# i! au#itio!& )here pereptio! of sou!# patter!s tur!s i!to
i!terpretatio! of la!$ua$e( Here o!e fae of the e!tities )hih pass the fro!tier is a
-langbild& the other belo!$s to the "ortschat0 "" a #isti!tio! bet)ee! 'sou!#"piture' a!#
')or#"treasure' 1i(e( %oabulary2 "" )hih :er!ike 'a#e i! 4FO6( 7A98
There is o!si#erable #oubt )hether the #isrete ele'e!ts or 'se$'e!ts' of speeh are
pho!e'es& syllables& or e%e! lar$er u!its( =et us assu'e for ar$u'e!t's sake that the
se$'e!ts are harateristi %o)el"o!so!a!t o'bi!atio!s "" #i$ra's or tri$ra'sD a!# all
these the perceptual units 1the 'sou!#"pitures' of speeh2( I! )hate%er )ay you #efi!e your
u!it& )he! it o'es to the tra!sitio! fro' perei%i!$ the sou!#"piture to i!terpreti!$ its
speech%value& a o!si#erable #e$ree of a'bi$uity reeps i!( Thus the speeh"%alue of a
%o)el 1the o"!ess of a! o2 is i!#epe!#e!t of the fre/ue!y of its fu!#a'e!tal& a!# #epe!#s
o! the harateristi fre/ue!y"ra!$es of its t)o for'a!ts 1its #o'i!a!t partials2( *ut these
for'a!t"ra!$es o%erlap, a!# aor#i!$ly 'a sou!# )ith a partiular spetru' )ill be
reo$!i+e# as WYW o! o!e oasio! a!# W_W o! a!other'( 7AA8 >ost o!so!a!ts& o! the other
ha!#& %ary their pith aor#i!$ to the %o)el )ith )hih they are assoiate#& a!# are
harateri+e# !ot o!ly by pith but also by the ha!$e& a!# rate of ha!$e of pith( 7A68
Thus the i#e!tifiatio! of la!$ua$e u!its #epe!#s to a o!si#erable e-te!t o! their 'ea!i!$"
o!te-t, e-peri'e!tal sub.ets o!fuse ' a!# ! i! !o!se!se syllables 'ore fre/ue!tly tha!
)he! liste!i!$ to 'ea!i!$ful speeh, a!# the a'bi$uity of the i!put a! o!ly be resol%e#
)ith refere!e to the pree#i!$ a!# follo)i!$ i!puts i! the psyholo$ial prese!t( I!
#isussi!$ the pratial feasibility of robots for tra!slati!$ speeh i!to typesript& Fry a!#
<e!es o!lu#e#0 'It is u!likely that the 'eha!ial speeh"reo$!i+er )ill be suessful
)ithout the use of so'e for' of li!$uisti i!for'atio!(' 7AI8 It is the sa'e as )ith
a'bi$uous %isual sti'uli& )hether they are ri##les of the fae"hi##e!"i!"the"tree ki!#& or
Fraue!hofer"li!es i! the spetrosope( 'Es h[rt #oh .e#er !ur )as er %ersteht'& ;oethe
!ote# i! his &aximen(
If sa!!i!$ is a! ai# to %isio!& artiulatio! is a! ai# to heari!$( :he! )e try to re'e'ber a
tu!e& )e hu' it( The #eisi%e fator i! the e'er$e!e of hu'a! speeh )as !ot the
#e%elop'e!t of the ear& but of the %oal or$a!s a!# of the speeh area i! the 'otor orte-(
The 'ultiple fee#baks of au#itory"%oal o"or#i!atio! e-ee# e%e! those of oulo"'otor
o"operatio!( The hil# lear!s )or#s by artiulati!$ the', a#ults lear!i!$ a forei$!
la!$ua$e follo) a si'ilar proe#ure( Rea#i!$ is 'ore ofte! ao'pa!ie# by sub"%oal
artiulatio! tha! by i'a$es i! the ear 1e-ept if you k!o) i!ti'ately the author of )hat you
are rea#i!$2( The a!alysis of speeh"sou!#s by 'athi!$ the' a$ai!st i!!er%atio!"patter!s
of the %oal trats is a 'uh si'pler proe#ure tha! the aousti a!alysis of the a'bi$uous
sou!# spetra( Ho)e%er o'ple- a!# %ariable the )a%e for' of a %o)el )hih reahes the
ear& its i#e!tity as a la!$ua$e u!it #epe!#s o! its t)o for'a!ts& )hih i! tur! #epe!# o!ly
o! the reso!a!e effets pro#ue# by the alteratio!s of shape of t)o %oal a%ities& 'outh
a!# phary!-( Pa$et 7A@8 propose# that 'i! reo$!i+i!$ speeh sou!#s the hu'a! ear is ( ( (
liste!i!$ ( ( ( to i!#iatio!s& #ue to reso!a!e& of the positio! a!# $estures of the or$a!s of
artiulatio!'( >ore ree!tly a tea' of A'eria! e-peri'e!talists i! the Haski!s
=aboratories ha%e o'e to the sa'e o!lusio! that 'speeh is perei%e# by refere!e to
artiulatio! "" that is& that the artiulatory 'o%e'e!ts a!# their se!sory 7proprioepti%e8
effets 'e#iate bet)ee! the aousti sti'ulus a!# the e%e!t )e all pereptio!'( 7AO8 =astly&
=a)re!e 145I52 has #esribe# a 'etho# of speeh"a!alysis )hih speifies suh #etails as
the fre/ue!ies of reso!a!e of the %oal trat a!# the %ibratio! fre/ue!ies of the %oal
hor#s "" a 'etho# of a!alysis ')hih preser%es all pereptually %aluable features& but is
%astly si'pler tha! the aousti )a%e for'( Fro' a! i!for'atio! theory poi!t of %ie) it is a
tre'e!#ous re#utio! i! the bit rate "" it is a re#utio! of the or#er of thirty to o!e( It 'ay
)ell be that speeh is hel# i! the short"ter' 'e'ory i! a for' like this(' 7AF8
O!e a$ai! )e fi!# o!fir'e# that pereptio! is 'so'ethi!$ the or$a!is' #oes& !ot
so'ethi!$ )hih happe!s to the or$a!is'' 7A58, that respo!ses e!ter at e%ery le%el of the
hierarhy i!to the proessi!$ of sti'uli, a!# that 'otor ati%ities i!ter%e!e to a!alyse the
i!put lo!$ before it has ahie%e# its full status as a 'sti'ulus' "" before it has& for i!sta!e&
beo'e a 'ea!i!$ful )or# apable of sti'ulati!$ the e!tral proess )hih is to 'e#iate
the 'respo!se'( As <re%er& ?r(& has so !iely put it0 'Assoiatio!ist lear!i!$ theory& )here it
has trie# to hol# to a strit S ""Z R patter!& appears to be lapsi!$ i!to a! esoteri
sholastiis'( :here it has aba!#o!e# S ""Z R i! fa%our of S ""Z H ""Z R& there are
o'plai!ts that it is stru$$li!$ to say thi!$s )hih 'ust be sai#& but #oi!$ so i! a la!$ua$e
)hih is !o lo!$er appropriate( 76C8
Pereptual a!# Co!eptual Abstratio!
O!e last e-a'ple of a fro!tier )here pereptual or$a!i+atio! a! #o !o 'ore for you& a!#
sy'boli thou$ht has to take o%er(
:he! a !u'ber of ob.ets is pro.ete# by la!ter! sli#e o! a sree! .ust lo!$ e!ou$h to be
fully see! but !ot lo!$ e!ou$h to be ou!te#& fe) people a! orretly tell ho) 'a!y
ob.ets they ha%e see! if the !u'ber e-ee#s se%e!, a!# 'a!y reah their li'it of '!u'ber
pereptio!' at fi%e( 7648 Surprisi!$ly e!ou$h& the re'arkable e-peri'e!ts of Otto Koehler
re%eale# that pi$eo!s& .ak#a)s& paro/uets& a!# bu#$eri$ars a! #o as )ell& a!# that
speially $ifte# .ak#a)s ha%e a '!u'ber se!se' )ith the upper li'it ei$ht "" .ust as the 'ost
$ifte# hu'a!s(
The e-peri'e!tal proe#ure o!sists& briefly& i! trai!i!$ bir#s to ope! that bo- a'o!$
se%eral other bo-es )hose li# sho)s the sa'e !u'ber of spots as the !u'ber of ob.ets
sho)! to the bir# o! a ue ar#( The si+es a!# spatial arra!$e'e!ts of the spots o! the li#
a!# of the ob.ets o! the ar# are !ot relate# i! a!y )ay, a!# the ri$orous e-peri'e!tal
o!#itio!s a!# o!trols see' to ha%e establishe# beyo!# #oubt that bir#s ha%e a
'preli!$uisti !u'ber se!se', that they 'are able to abstrat the concept of !u'erial i#e!tity
fro' $roups of up to se%e! ob.ets of totally #iffere!t a!# u!fa'iliar appeara!e'( 7698
A'o!$ 'a''als& s/uirrels ha%e bee! sho)! to ha%e the sa'e ability( 76A8 The e%i#e!e
su$$ests 'that 'e! a!# a!i'als 'ay ha%e a preli!$uisti counting ability of about the sa'e
#e$ree& but that 'a!'s superiority i! #eali!$ )ith !u'bers lies i! his ability to use& as
sy'bols for !u'bers& )or#s a!# fi$ures )hih ha%e !ot the sa'e& or i!#ee# a!y& !u'erial
attributes(' 7668 The sy'boli o#i!$ of '!u'ber ;estalte!' see's i!#ee# a #eisi%e step
to)ar#s the for'atio! of ar#i!al !u'bers, I shall retur! to the sub.et later 1Chapter H32(


Sou!#"pitures& pri!te# letters of the alphabet& !u'ber"o!fi$uratio!s& are all o'ple-
pereptual )holes& a!# at the sa'e ti'e ele'e!tary parts of sy'boli thou$ht0 o!e 'i$ht
all the' 1to ha!$e the 'etaphor2 'a'phibia!' e!tities( They si$!al the tra!sitio!& i!
'e!tal e%olutio!& fro' the 'a/uati' )orl# of pereptio! )hih keeps the or$a!is'
sub'er$e# i! a flui# e!%iro!'e!t of sou!#s& shapes& a!# s'ells& to the #ry la!# of
o!eptuali+e# thi!ki!$( The hi$hest for's of purely pereptual abstratio! o! the pre"
%erbal le%el are like bubbles of air )hih a/uati reatures e-trat fro' the )ater,
o!eptuali+e# thou$ht is #ry a!# i!e-haustible& like the at'osphere(

This is !ot 'ea!t of ourse to belittle the for'i#able po)ers of pereptual abstratio!
fou!# i! so'e a!i'als( The i!!ate 1or i'pri!te#2 releasi%e 'eha!is's& for i!sta!e& 'ay
be re$ar#e# as phylo$e!etially a/uire# skill& )hih e!able the a!i'al to o'bi!e the
olour& shape& a!# 'o%e'e!t of the sti'ulus"patter! i!to a si!$le 'o!sta!y'( The rat lear!s
to 'ake a ''e!tal 'ap' of the 'a+e i! its hea# 1Chapter HII2, a!# it has al)ays bee! a
'ystery to 'e ho) 'y #o$ reo$!i+es a!other #o$ o! the opposite si#e)alk at si$ht
)ithout usi!$ his se!se of s'ell "" for the typial reatio!s of stari!$& strai!i!$ at the leash&
)hi!i!$& ours at the %ery i!sta!t of athi!$ si$ht( The other #o$ 'ay be a 'i!iature
Peke& a #olle#"up Poo#le& or a ;reat <a!e, ho) #oes 'y #o$ i#e!tify that apparitio! as a
ki!s'a! "" ho) #i# he abstrat the u!i%ersal '<o$'E Perhaps at a #ista!e he 'erely reats
to four le$s a!# o!e or t)o other ;estalt harateristis o''o! to all a!i!es& )hih
aou!t for their '#o$$i!ess' "" thou$h )e )oul# be at a loss to #efi!e the'(


;e!erali+atio!& <isri'i!atio!& a!# Assoiatio!

:e ha%e #isusse# %arious for's of 'filteri!$' o#es& both i!!ate a!# a/uire#& )hih #e"
partiulari+e or strip the i!put for purposes of reo$!itio! a!# stora$e aor#i!$ to the
riteria of rele%a!e i! a $i%e! hierarhy( The i!o'i!$ patter! is thus sub.ete# to
'$e!erali+atio!' a!# #isri'i!atio! at the sa'e ti'e, the t)o are o'pk'e!tary aspets of
the sa'e proess( 1The )or# '$e!erali+atio!' is ofte! use# i! t)o #iffere!t se!ses0 1a2
e-trati!$ i!%aria!t features fro' a %ariety of e-perie!es& 1b2 the 'sprea#i!$' of respo!ses(
I a' usi!$ it i! the first se!se(2

Nati%e e/uip'e!t a!# early lear!i!$ pro%i#e the basi fou!#atio!s o! )hih the #iffere!t
hierarhies are built& #esi$!e# to filter out 'ore a!# 'ore sharply #efi!e# features( The
oarse"'eshe# 'pereptual sie%es' of the tyro a/uire fi!e"'eshe# sub"a!alysers0 pereptual
lear!i!$ pro$resses 'fro' the seei!$ of $ross #iffere!es to the seei!$ of fi!e #iffere!es'
1pp( 65C f(2( All o!!oisseurship "" fro' the hike!"se-er's to the ha!#)riti!$ e-pert's&
fro' the )i!e"taster's to the art historia!'s& #epe!#s o! the hierarhi buil#"up of a!alysi!$&
'athi!$& sa!!i!$ o#es )hih e-trat subtle si'ilarities a!# 'ake preise
#isri'i!atio!s(

This lea#s to the hoary proble' of the !ature of 'si'ilarity'( The si'plest a!s)er )oul# be
to eli'i!ate it alto$ether fro' the %oabulary of psyholo$y a!# to substitute
'e/uipote!tiality' for it( T)o perepts are e/uipote!tial if both a! pass a $i%e! filter i! a
$i%e! hierarhy "" if they satisfy its riteria aor#i!$ to the rules of the $a'e that is playe#
at the ti'e, i! other )or#s& if 'for one i!te!t a!# purpose' 1but !ot 'for all i!te!ts a!#
purposes'2 they are the sa'e thi!$( Sulta! #iso%ere# the 'si'ilarity' bet)ee! a bra!h o!
the astor"oil bush a!# a stik beause they )ere e/uipote!tial for his purpose( A paperlip
is 'si'ilar' to a hair"pi! )he! I ha%e to 'e!# a blo)! fuse( The a!s)er to the ol# lassroo'
/uestio! )hether a re# irle is 'ore si'ilar to a $ree! irle tha! to a re# tria!$le& #epe!#s
o! )hether I a' teahi!$ $eo'etry or olour"theory( I! the first ase& the t)o irles are for
'y purpose 'the sa'e thi!$', i! the seo!#& the t)o olours are 'the sa'e thi!$('D
The )i#th of the spa! )ithi! )hih t)o sti'uli are perei%e# as 'the sa'e thi!$' #epe!#s
o! the preisio! of the a!alyser "" the $au$e of the sie%e throu$h )hih they 'ust pass( To
talk of the 'sprea#i!$' of respo!se 1'$e!erali+atio!' i! se!se 1b22 is o!fusi!$, the
e/uipote!tiality of irle a!# ellipse to the !aQ%e Pa%lo% #o$ is !ot #ue to a!y spreading of
reatio!s fro' irle to ellipse& but to the absence of discrimination bet)ee! t)o fi$ures
)hih for the 'i!te!ts a!# purposes' of the u!trai!e# a!i'al are the sa'e "" as for 'y i!te!ts
a!# purposes o!e sheep is the sa'e as a!other( Si'ilar o!si#eratio!s apply to 'tra!sfer'
1Chapter H32(

'Assoiatio! by si'ilarity' of pereptio!s )oul# aor#i!$ly 'ea! that a! i!put"patter! A
at so'e sta$e of its ase!t i! the !er%ous syste' i!itiates the reall of so'e past e-perie!e
* )hih is e/uipote!tial to A )ith respet to the sa!!i!$ proess at that partiular sta$e&
but !ot i! other respets( :e 'i$ht say that A a!# * ha%e o!e 'partial' i! o''o! )hih
auses * to 'reso!ate'(

Assoiatio! by sou!# a!# %isual for' plays& as )e ha%e see!& a! i'porta!t part i! the
#rea' a!# i! subo!sious proesses )hih e!ter i!to reati%ity( *ut i! the or#i!ary
routi!es of life& assoiatio! of se!sory perepts u!o!ta'i!ate# by o!eptual thi!ki!$
see's to he rare& a!# )hether it ours at all is a!ybo#y's i!trospeti%e $uess( I! the
Rohrshah test %isual assoiatio! #epe!#s o! pro.eti%e #y!a'is i'bue# )ith 'ea!i!$(
3erbal su$$estio!s i!flue!e the %isual 'atri- a!# #istort e%e! the ei#eti i'a$e, the
a'bi$uities of the sou!#"piture a! o!ly be #ispelle# by refere!e to %oabulary, hil#re!
a!# aphasi patie!ts ofte! o!fuse p a!# /& or )rite s a!# e as 'irror i'a$es& beause the
o$!iti%e $lue )hih hol#s the true pereptual u!its to$ether 1%ertials& loops& et(2 has !ot
yet har#e!e# or has alrea#y #eaye# "" like the a$$re$ate of %isual a!# o$!iti%e ele'e!ts
)hih o!stitutes the i'a$e of the elepha!t( Thus heari!$ is i!e-triably bou!# up )ith
i!terpreti!$& seei!$ )ith k!o)i!$& perei%i!$ )ith !a'i!$( *y these 'etho#s the or$a!is'
is e!able# to buil# a 'o#el of the e-ter!al )orl# i!to its o)! !er%ous syste'& )ithout
ha%i!$ to store la!ter!"sli#es a!# $ra'opho!e reor#s of o'ple- pereptual for's ""
a!i'al& %e$etable a!# 'i!eral "" )hih )oul# !ot )ork a!y)ay( All that the 'o#el !ee#s i!
the )ay of pereptual 'traes' is a 'o#est i!%e!tory of ele'e!tary root"for's "" 'uh like
the ubist pai!ter's austere repertory )hih CT+a!!e reo''e!#e#0 'E%erythi!$ i! !ature is
'o#elle# o! the sphere& the o!e a!# the yli!#er( O!e 'ust teah o!eself to base o!e's
pai!ti!$ o! these si'ple fi$ures "" the! o!e a! ao'plish a!ythi!$ o!e likes(' 76I8

:hat )e all our %isual or au#itory 'e'ory probably o!sists of a li'ite# !u'ber of suh
'root traes' or 'pereptual ele'e!ts' 1i! Hebb's se!se2( These alo!e 'ay ha%e 'real for'' as
pereptual )holes& a!# at the sa'e ti'e e!ter as parts i!to the o'ple-& a$$re$ate 'pseu#o"
i'a$es'& hel# to$ether by 'ea!i!$ful assoiatio!( If it see's to us that suh o'ple-
a$$re$ates a! be 'take! i!' a!# 'reo$!i+e# at a $la!e' )ithout sa!!i!$ a!# e-ploratio!&
this is perhaps beause )e o''o!ly u!#eresti'ate the spa! of the psyholo$ial prese!t(
I! his re%ie) of the literature o! the psyholo$ial prese!t& :oo#ro) fou!# that its
'a-i'u' spa! is esti'ate# to lie bet)ee! 9(A a!# 49 seo!#s( 76@8 No )o!#er there is
o!si#erable #isa$ree'e!t about the si+e of the '#isrete u!its of speeh' i! pereptio! ""
)hether the u!it is the pho!e'e& syllable& )or#& or a )hole se!te!eG A fe) seo!#s are
a'ple ti'e for those partly or )holly u!o!sious operatio!s )hih 'ake our pereptio!s
i!to i!fere!tial o!strutio!s( If the psyholo$ial prese!t WPW be re$ar#e# as a! ele'e!tary
/ua!tu' of o!sious e-perie!e& the! the proesses )hih $o o! )ithi! WPW a! ex
hypothesi !ot be o! a o!sious le%el, they 'ust re'ai! a! u!a!alysable a!#
u!o'pressible blur(


Reo$!itio! a!# Reall

:hile !e) 'atries are for'e# by lear!i!$& others 'ay #eay throu$h #isuse like ol#
)ater)ays o%er$ro)! by )ee#s( Apart fro' $e!eratio! a!# #eay& the traes left by past
e%e!ts i! the !er%ous syste' also u!#er$o #y!a'i ha!$es "" si'plifiatio!& o!#e!satio!&
#istortio! o! the o!e ha!#, elaboratio! a!# e!rih'e!t throu$h the a##itio! of e-tra!eous
'aterial o! the other( The 'she'ata' of 'e'ory& as *artlett alle# the'& are 'li%i!$&
o!sta!tly #e%elopi!$& affete# by e%ery bit of i!o'i!$ se!satio!al e-perie!e of a $i%e!
ki!#'( 76O8 I! other )or#s& the past is o!sta!tly bei!$ re"'a#e by the prese!t(D To /uote
*artlett a$ai!0
Re'e'beri!$ is !ot re"e-itatio! of i!!u'erable& fi-e#& lifeless a!# fra$'e!tary traes( It
is a! i'a$i!ati%e reo!strutio!& or o!strutio!& built out of the relatio! of our attitu#e
to)ar#s a )hole ati%e 'ass of or$a!i+e# past reatio!s or e-perie!e& a!# to a little
outsta!#i!$ #etail )hih o''o!ly appears i! i'a$e or i! la!$ua$e for'( It is thus har#ly
e%er really e-at& e%e! i! the 'ost ru#i'e!tary ases of rote"reapitulatio!& a!# it is !ot at
all i'porta!t that it shoul# be so( 76F8
True reall by i'a$ery )oul# be possible o!ly if the #e"partiulari+e# 'e'ory oul# be re"
partiulari+e#& the irre%ersible proess re%erse#( O!e 'ay be able to 'hear' "" )hile sha%i!$&
for i!sta!e "" the fai!t& pale $host of a %oie fro' the past si!$i!$ a si'ple so!$( To 'ake
this possible& at least three #iffere!t syste's of 'oloure# filters'& o!er!e# )ith 'elo#y&
ti'bre& a!# )or#i!$& 'ust eah ha%e preser%e# o!e aspet of the ori$i!al e-perie!e( O!e
'ay also reall& 'ore or less #isti!tly& harateristi o'bi!atio!s of for' a!# 'otio!0 the
stri#e of a perso!& the roll of a boat& the )a##le of a tortoise( *ut the a%era$e perso!'s
abilities of pereptual i'a$i!$ are li'ite# to this ki!# of pro#utio!( He!e the para#o- of
)hat o!e 'i$ht all '!e$ati%e reo$!itio!'0 I %isit a frie!# )ho' I ha%e !ot see! for so'e
ti'e& look rou!# a!# say0 'So'ethi!$ is ha!$e# i! this roo'' "" )ithout bei!$ able to say
what has bee! ha!$e#( I a! o!ly assu'e that 'y 'e'ory of the roo' )as #eter'i!e# by
se%eral o'ple'e!tary 'atries "" skethy& part %erbal& part %isual she'ata& suh as
'Re$e!y fur!iture'& '="shape# pla!'& 'sub#ue# olour she'e'& et( "" plus o!e or t)o '%i%i#
#etails'0 a piture& a flo)er"%ase( A $oo# 'a!y ha!$es oul# be 'a#e i! the roo' )hih I
)oul# !ot !otie so lo!$ as they satisfy these riteria as 'e/uipote!tial %ariatio!s', o!ly
ha!$es )hih offe!# a$ai!st o!e of the o#es )ill 'ake 'e re$ister that 'so'ethi!$ is
)ro!$'( >y i!ability to !a'e that 'so'ethi!$' i!#iates that the o#e )as fu!tio!i!$ belo)
the le%el of o!sious a)are!ess 1Cf( *ook O!e& HIH2(D

The a#.eti%es use# to #esribe a fae "" 'soft'& 'bo!y'& 'pi!he#'& 'hu'orous'& et( "" refer to
part %isual& part %erbal she'ata& so'e of )hih 'ay be as si'plifie# as the surprisi!$ly
fe) li!ear ele'e!ts )hih suffie to i!#iate e'otio!al e-pressio! by the posture a!# sla!t
of 'outh a!# eyes( The ariaturist a! e%oke a fae by a fe) strokes )hih she'ati+e a
total i'pressio! 1Hitler's 'oustahe a!# lok2& or he a! pik out a #etail )hih ats as a
'si$!"releaser' 1Churhill's i$ar2( It is ofte! easier to re'e'ber a fae k!o)! o!ly fro'
illustratio!s "" Napoleo! or >o!a =isa "" tha! faes of li%i!$ perso!s, perhaps beause half
of the o'pressi!$ a!# o#i!$ of the %isual i!for'atio! has alrea#y bee! #o!e by the artist(
E/ually re%eali!$ is the polie 'etho# of reo!struti!$ the like!ess of a ri'i!al by the
I#e!ti"Kit 'etho#( This is base# o! 'a sli#e"file of fi%e hu!#re# a!# fifty faial
harateristis o!tai!i!$& a'o!$ other thi!$s& a hu!#re# a!# t)o sets of eyes ra!$i!$ fro'
pop to s/ui!ti!$& thirty"three sets of lips fro' thi! to se!suous& fifty"t)o hi!s& fro' )eak
to .utti!$& a!# e%e! t)e!ty"fi%e sets of )ri!kles( :it!esses pik the i!#i%i#ual features that
'ost losely rese'ble their i#ea of the ri'i!al's look( Fro' their seletio!s a o'posite
piture of all the features is the! asse'ble#(' 7658
If i! the proess of 'e'ory"for'atio! the i!put is strippe# #o)! to bare esse!tials& reall
re/uires #ressi!$ it up a$ai!( This see's to be #o!e by so'e su''ary #rapi!$s& pathe#
out )ith sur%i%i!$ fra$'e!ts of piture"strip& plus so'e fitti!$ $ar'e!ts borro)e# fro'
else)here "" )e all k!o) ho) ofte! '%i%i# #etails' are i!orporate# i!to the reall of
e-perie!es to )hih they #o !ot belo!$( I'a$i!$ i!%ol%es i'a$i!i!$& )hih is a fle-ible
skill( It is tri$$ere#"off by a! i'pulse of e!tral ori$i! "" a ki!# of 'e-itatio!"la!$' )hih
u!loks ''e'ory releasers' a!# sets off the fee#bak"iruits of 'i!fere!tial reo!strutio!',
as )ith other plasti skills& t)o perfor'a!es are !e%er /uite the sa'e(
Su''ary
I ha%e treate# pereptio!& reo$!itio!& a!# 'e'ory"for'atio! as a o!ti!uous series( The
se!sory i!put is sree!e#& #is'a!tle#& reasse'ble#& a!alyse#& i!terprete#& a!# store# alo!$
a %ariety of ha!!els belo!$i!$ to #iffere!t hierarhies )ith #iffere!t riteria of rele%a!e(
A tu!e a! be store# strippe# of ti'bre& a!# %ie %ersa( The #e"partiulari+atio! of
e-perie!e i! the proess of 'e'ory"for'atio! is o'pe!sate# to so'e e-te!t by the
'ultipliity of abstrati%e hierarhies )hih partiipate i! the proess& a!# by the rete!tio!
of 'piture"strips' "" %i%i# fra$'e!ts of e'oti%e or sy'boli si$!ifia!e(
Ce!tral o!trols a!# 'otor ati%ities partiipate at %arious sta$es i! the proessi!$ of the
i!put, fro' sti'ulus"seletio! i! the e!#"or$a! a!# %isual sa!!i!$& throu$h reso!a!es
fro' the %oal trat& to the i!terpretatio! of Kla!$bil# by :ortshat+& a!# of the see! by the
k!o)!( No)here are 'sti'uli' a!# 'respo!ses' !eatly separable, they for' hierarhies of
loops )ithi! loops( The 'eha!is's respo!sible for the proessi!$ are partly i!bor!&
'ostly a/uire#, their o#es ha%e a hi$h #e$ree of auto!o'y a!# sho) their 'self"asserti!$'
te!#e!ies i! the te!aity of optial illusio!s a!# of 'seei!$ i! ter's of'(
The $e!erali+atio! a!# rete!tio! of pereptual for's has a! upper li'it )here sy'boli
o#i!$ 'ust take o%er to 'ake further pro$ress i! lear!i!$ possible( The ability of 'a! to
for' '!u'ber perepts' is !ot si$!ifia!tly superior to that of so'e bir#s, 'e'ory i'a$es
are a$$re$ates of relati%ely si'ple she'ati+e# for's& i(e( of true pereptual ele'e!ts& hel#
to$ether by o$!iti%e li!ka$es& as the 'sou!#"pitures' of speeh are $i%e! ohere!e by
their 'ea!i!$( They are #ouble"fae# e!tities0 o'ple- pereptual ;estalt")holes )hih
e!ter as u!its i!to the sy'boli hierarhy( :e 'ust assu'e that there are a!alysi!$ #e%ies
of this ki!# ati%e i! the !er%ous syste'& 'reso!ators' )hih are 'attu!e#' to a ertai!
o!fi$uratio! i! the pereptual i!put& a!# respo!# to it by si$!als i! sy'boli o#i!$
a##resse# to the hi$her ehelo!s( All i!puts )hih are e/uipote!tial )ith respet to that
o!fi$uratio! "" e($( 'tria!$ularity' "" are re$ar#e# by the a!alyser as 'the sa'e thi!$'& a!#
reporte# by the sa'e si$!al( The proess is thus the re%erse of the 'spelli!$ out' ati%ites of
the 'otor hierarhy "" )hih is i! so'e respets o'parable to the u!loki!$ of 'e'ory"
releasers i! reall(
';e!erali+atio!' a!# '#isri'i!atio!' are o'ple'e!tary aspets of the sa'e proess& a!#
)ill be #isusse#& to$ether )ith the a'bi$uities of 'sprea#i!$' a!# 'tra!sfer'& i! later
hapters(
NOTES
To p( I4A( Cf( Pol\!yi& 45IF& p( A@60 '*eha%iourists teah that i! obser%i!$ a! a!i'al )e
'ust refrai! abo%e all fro' tryi!$ to i'a$i!e )hat )e )oul# #o if plae# i! the a!i'al's
positio!( I su$$est& o! the o!trary& that !othi!$ at all oul# be k!o)! about a! a!i'al that
)oul# be of the sli$htest i!terest to physiolo$y& a!# still less to psyholo$y& e-ept by
follo)i!$ the opposite 'a-i'( ( ( (

To p( I4@( This respo!se is 'e#iate# either by reso!a!e 1Hel'hol+'s theory2 or& 'ore
likely& by the lous of 'a-i'u' hy#rauli pressure i! the 'tra%elli!$ )a%e'(

To p( I4O( The latter assu'es that i! %isual pereptio! a spatial 'piture' is pro.ete# o! to
the pri'ary optial orte-& )hih repro#ues the reti!al i'a$e( *ut the e-itatio!"patter! i!
the au#itory orte- has !o 'o!tours' separati!$ fi$ure a!# bak$rou!#& a!# it )oul# be
#iffiult to i'a$i!e 'fiel# urre!ts' reate# by the'(

To p( IAA( There are stro!$ ar$u'e!ts a$ai!st the se$'e!tatio! of la!$ua$e aor#i!$ to
the letters of the )ritte! alphabet 1f( e($( Pa$et 45AC, =a#efo$e# i! &echani0ation of
*hought Processes& 45I52(

To p( IAO( There e-ist of ourse both i!!ate a!# a/uire# prefere!es for hoosi!$ o!e
syste' of 'oloure# filters' rather tha! a!other as a riterio! of e/uipote!tiality( T)o !otes
a! ota%e apart sou!# 'ore 'si'ilar' to 'a! a!# rat tha! t)o !otes lose to$ether( E%i#e!tly
the !er%ous syste' fi!#s it for its o)! 'i!te!ts a!# purposes' 'ore o!%e!ie!t to re$ar# t)o
fre/ue!ies of the ratio 9p0p as 'ore si'ilar tha! t)o fre/ue!ies of the ratio p01p " r2(

To p( IA5( The protrate# o!tro%ersy about the e-iste!e of pro$ressi%e& syste'ati
ha!$es i! pereptual traes 1'le%elli!$' a!# 'sharpe!i!$'2 )as u!fortu!ately restrite# to
o!e type of ha!$e o!ly "" the re#utio! of '#y!a'i stress' i! the physial trae& pre#ite#
by ;estalt physiolo$y "" see :ulf& /uote# by Koffka 145AI2, Hebb a!# Foor# 145I62( No
psyholo$ist )oul# #are to #e!y that ''e'ory plays us false', but its o!fi#e!e"triks are
e%i#e!tly !ot of the $rossly 'eha!ial type& #i%ore# fro' the sub.et's li%i!$ e-perie!e&
)hih K[hler's theory of ortial fiel#"proesses #e'a!#e#(

To p( I6C( 'Ne$ati%e reo$!itio!' oul# be alle# the unconscious %ariety of :oo#)orth's
145AF2 'she'a )ith orretio!'(




HI
>OTOR SKI==S
I! the proess of beo'i!$ a! e-pert typist& the stu#e!t 'ust $o throu$h the )hole ra!$e
of lear!i!$ proesses %ariously lassifie# as as i!stru'e!tal o!#itio!i!$& si$!"lear!i!$&
trial a!# error& rote a!# plae lear!i!$& i!si$ht( He is& of ourse& /uite u!a)are of these
ate$ories "" )hih& i! fat& o%erlap at al'ost e%ery sta$e( The esse!e of the proess is the
step")ise i!te$ratio! of relati%ely si'ple o#es of beha%iour i!to o'ple- a!# fle-ible
o#es )ith a hierarhi struture( This o!lusio! )as atually reahe# 1althou$h e-presse#
i! #iffere!t )or#s2 i! the 4F5Cs by *rya! a!# Harter 748 "" the! burie# a!# for$otte! for
!early half a e!tury( :oo#)orth )as o!e of the fe) e-peri'e!tal psyholo$ists )ho kept
harki!$ bak to the sub.et( The follo)i!$ is take! fro' his su''ary of *rya! a!# Harter's
.tudies on the *elegraphic Language. *he 3c+uisition of a Hierarchy of Habits( 798
The be$i!!er first lear!s the alphabet of #ots a!# #ashes( Eah letter is a little patter! of
fi!$er 'o%e'e!ts i! se!#i!$& a little patter! of liks i! reei%i!$( It is so'ethi!$ of a!
ahie%e'e!t to 'aster these 'otor a!# au#itory letter habits( At this sta$e the lear!er spells
the )or#s i! se!#i!$ or reei%i!$( :ith further pratie he beo'es fa'iliar )ith )or#"
patter!s a!# #oes !ot spell out the o''o! )or#s( The tra!sitio! fro' the letter habit to
the )or#"habit sta$e e-te!#s o%er a lo!$ perio# of pratie& a!# before this sta$e is fully
reahe# a still 'ore sy!theti for' of reatio! be$i!s to appear( NThe fair operator is !ot
hel# so losely to )or#s( He a! take i! se%eral )or#s at a 'outhful& a phrase or e%e! a
short se!te!e(N I! se!#i!$ he a!tiipates& as i! other 'otor perfor'a!es, but i! reei%i!$&
he lear!s to Nopy behi!#N& letti!$ t)o or three )or#s o'e fro' the sou!#er before he
starts to opy( Keepi!$ a fe) )or#s behi!# the sou!#er allo)s ti'e for $etti!$ the se!se of
the 'essa$e(
=et us all these three sta$es of habit"for'atio! the 'letter'& ')or#'& a!# 'o!te-t' le%els( The
letter habit is a/uire# by 'serial lear!i!$'( *ut !o hai!"respo!se theory a! aou!t e%e!
for this first step i! a/uiri!$ the skill "" for the si'ple reaso! that the ho'o$e!eous #ots
a!# the ho'o$e!eous #ashes of the >orse se/ue!e offer !o #isti!$uishable harateristis
for the for'i!$ of speifi S("R( o!!etio!s( The letter 'u' is tra!s'itte# by #ot"#ot"#ash,
the letter ')' by #ot"#ash"#ash( I! ter's of S("R( theory& the fi!$er"'o%e'e!t 'a#e i!
se!#i!$ the first #ot is the i!itial part"respo!se )hih tri$$ers the hai!& its ki!aestheti
se!satio! ati!$ as a sti'ulus )hih alls out the !e-t respo!se( *ut the orret respo!se to
the same sti'ulus )ill be either #ot or #ash, !othi!$ i! the !ature of the sti'ulus itself
i!#iates )hat the !e-t respo!se shoul# be, the respo!se is #eter'i!e# at this a!# eah
follo)i!$ step !ot by the pree#i!$ sti'ulus but by the total patter!( The habit a!!ot be
represe!te# by a li!ear series0 ( "" "" Z "" "" "" Z ( "" ( it a! o!ly be represe!te# as a t)o"tire#
hierarhi struture0


The relate# skill of touh"typi!$ )as stu#ie# by *ook 7A8& )ho )ire# his 'ahi!es to ti'e
e%ery 'o%e 'a#e by the e-peri'e!tal sub.ets( I! this ase the letter habit is a/uire# by
'plae"lear!i!$' "" the keyboar# is hi##e! fro' the stu#e!t by a sree!& a!# he is re/uire# to
for' a ''ap' of its layout i! his hea#( This 'ap& o!e supposes& is struture# by a si'ple o"
or#i!ate"syste'0 the fi-e# resti!$ positio! of the te! fi!$ers o! the thir# ro) of the
keyboar#, the result is a ki!# of si'ple ''a+e' )ith %ariable tar$et positio!s( *ut )he!&
after a ertai! a'ou!t of hit a!# 'iss& the letter habit ha# bee! 'astere#0
further pratie $a%e results u!e-pete# by the lear!er( He fou!# hi'self a!tiipati!$ the
se/ue!e of fi!$er 'o%e'e!ts i! a short& fa'iliar )or#( Habits )ere #e%elopi!$ for $roups
of letters suh as prefi-es& suffi-es& a!# short )or#s( ( ( ( 'A )or# si'ply 'ea!s a $roup of
'o%e'e!ts )hih I atte!# to as a )hole( I see' to $et beforeha!# a sort of feel of the
)hole $roup'( ( ( ( The si!$le letters )ere !o lo!$er thou$ht of a!# eah )or# bea'e a!
auto'ati se/ue!e( ( ( ( Fa'iliar phrases )ere si'ilarly or$a!i+e#& the thou$ht of the
phrase alli!$ out the )hole series of o!!ete# 'o%e'e!ts( 768
Bet e%e! phrases e!#i!$ )ith a full stop #i# !ot pro%e to be the hi$hest u!its( The reor#s
sho)e# '!o pauses bet)ee! phrases' but a! e%e! flo), a!# here& too& 'the eyes 7o! the te-t
to be opie#8 )ere )ell ahea# of the ha!#s' "" to e!able the typist to take i! the 'ea!i!$(
As a thir# e-a'ple let us o!si#er lear!i!$ to play the pia!o 1thou$h I oul# fi!# !o
te-tbook refere!es to this !ot alto$ether u!usual hu'a! oupatio!2( The 'letter habit' here
beo'es a '!ote habit' "" hitti!$ the i!te!#e# blak or )hite key, for ')or#' rea# 'bar' or
''usial phrase', a!# so o! to 'ore o'ple- i!te$rate# patter!s( I! this ase& ho)e%er& e%e!
the lo)est u!it of the skill "" hitti!$ the ri$ht key "" #isplays o!si#erable fle-ibility( There
is !o lo!$er& as o! the type)riter& a ri$i# attributio! of eah key to o!e fi!$er, o! the pia!o
keyboar# al'ost a!y fi!$er a! be use#& aor#i!$ to iru'sta!es& to hit a!y key, se%eral
keys 'ay be hit a!# hel# at the sa'e ti'e, a!# a har# or soft touh 'akes all the #iffere!e
to 'usial /uality( 1Nee#less to say& e%e! the typist's 'otio!"patter!s 'ust be a#aptable to
s'all portables a!# lar$e offie 'ahi!es& a!# the starti!$ positio! of the fi!$er %aries
aor#i!$ to the pree#i!$ stroke( Fle-ibility is a 'atter of #e$rees, a o'pletely fi-e#
respo!se is& like the refle- ar& a! abstratio!(2
The skill of hitti!$ the orret pia!o"key is !ot a/uire# by establishi!$ poi!t"to"poi!t
orrespo!#e!es& but pri'arily by pratisi!$ the %arious sales, these superi'pose& as it
)ere& struture# 'otio!s o! to the keyboar#& sub"struture# i!to tria#s& septi's& et( At a!
a#%a!e# sta$e& )he! i'pro%i+atio! has beo'e possible& the left ha!# )ill lear! to
ao'pa!y the ri$ht& )hih ats as a 'pae"'aker' "" a $lorifie# for' of the 'a$!et effet i!
the $ol#"fish 1p( 6AF2, but the left a! also at i! relati%e i!#epe!#e!e& aor#i!$ to the
o''a!#s of the sore( At this le%el )e ha%e appro-i'ately the follo)i!$ state of affairs0
the %isual i!put o!sists i! t)o $roups of parallel ro)s 1sta%es2 of o#e# si$!als& of )hih
the upper series 'ust be referre# to the ri$ht& the lo)er to the left ha!#( I! the ourse of this
proe#ure both ro)s of si$!als 'ust be #e"o#e# a!# re"o#e#( The sy'bols o! the t)o
ro)s are usually i! #iffere!t parallel o#es 1'%ioli! lef' for the ri$ht& 'bass lef' for the left2(
>oreo%er& there are 'key si$!atures' "" sharp a!# flat si$!s "" at the be$i!!i!$ of a setio!&
)hih 'o#ify the 'fae %alue' of the !otes, there are sy'bols )hih i!#iate the ti'i!$ a!#
#uratio! of !otes, a!# o%erall i!strutio!s re$ar#i!$ lou#!ess& te'po a!# 'oo#( All these
part"#epe!#e!t& part"i!#epe!#e!t #e" a!# re"o#i!$ operatio!s for both ha!#s 'ust proee#
si'ulta!eously& i! the psyholo$ial prese!t& a!# 'ore or less auto'atially(
O! a! e%er hi$her le%el& the o!ert pia!ist #e%elops a repertory of oeu%res that he a!
'tri$$er off' as u!its a!# play by heart "" thou$h so'e of these u!its 'ay be a! hour lo!$(
O!e a$ai! )e 'ust assu'e that this is #o!e by a o'bi!atio! of se%eral i!terloki!$
hierarhies& eah artiulate# i!to sub")holes a!# the sub")holes thereof(
The! there is i'pro%isatio!( It !ee# !ot be reati%e, the bar"pia!ist )ho& half asleep&
sy!opates Chopi! a!# trails off i!to so'e %ariatio! of his o)!& is !ot a o'poser, but he
has $ai!e# a##itio!al fle-ibility "" 'ore #e$rees of free#o' "" i! the pratie of his skill(
A!# fi!ally there is the reati%e at0 the o'poser )ho )ea%es his threa#s i!to !e)
patter!s& a!# the i!terpreter )ho she#s !e) li$ht o! e-isti!$ patter!s(
The lear!i!$ proess is& so'e)hat para#o-ially& easiest to %isuali+e as a re%ersal of the
hierarhi se/ue!e of operatio!s )hih )ill harateri+e perfor'a!e )he! lear!i!$ is
o'plete#( :he! the typist opies a #ou'e!t& the se/ue!e of operatio!s is i!itiate# o!
the se'a!ti le%el& the! bra!hes #o)! i!to suessi%e lo)er le%els )ith i!reasi!$ly
speifi 'fi-e# atio!"patter!s' "" ')or#"habits' a!# 'letter"habits ', ter'i!ati!$ i! the
'o!su''atory at' of the fi!$er 'usles( The i'pulses arbori+e #o)!)ar#s a!# out)ar#s&
)hereas lear!i!$ proee#s i! the re%erse #iretio!0 the tips of the t)i$s of the future tree
are the first to o'e i!to e-iste!e, the t)i$s the! $ro) to$ether e!tripetally i!to
bra!hes& the bra!hes 'er$e i!to the tru!k( It strikes o!e as a %ery artifiial proe#ure, but
the type of 'eha!ial lear!i!$ )e ha%e #isusse#& )here the #isrete base"u!its 'ust be
sta'pe# i! bit by bit& is i!#ee# a! artifiial proe#ure( The #iffere!e bet)ee! this 'etho#
of lear!i!$ throu$h trial a!# error a!# lear!i!$ 'by i!si$ht' beo'es $lari!$ly ob%ious if
you o'pare )hat happe!s #uri!$ a! ele'e!tary %ioli! lesso! a!# a! e/ually ele'e!tary
si!$i!$ lesso!( The hoir boy a! rely o! his i!!ate& 'ultiple au#itory"%oal fee#baks ""
operati!$ throu$h the air& throu$h his bo!es& a!# throu$h proprioepti%e se!satio!s fro'
his %oal trat "" to o!trol his %oie( *ut there e-ist !o i!!ate fee#baks bet)ee! the %ioli!
stu#e!t's ohlea a!# fi!$er"'usles& to o!trol their 'otio!s( No a'ou!t of theoretial
i!si$ht i!to the )orki!$ of the i!stru'e!t a! replae this ha!#iap, it a! o!ly be
o%ero'e by supple'e!ti!$ i!si$ht )ith trial a!# error( I! other )or#s& hu'a! bei!$s are
biolo$ially less 'ripe' for lear!i!$ the %ioli! tha! for lear!i!$ to si!$( If e%olutio! )ere to
pro#ue a super"riket or ia#a sapie!s& the opposite 'ay be true(
To put it i! a #iffere!t )ay0 the built"i! fee#baks of the au#itory"%oal apparatus pro%i#e a
direct insight i!to the ri$ht!ess or )ro!$!ess 1si!$i!$ out of tu!e2 of the respo!se, they
per'it a! i''e#iate 'pereptio! of relatio!s' "" )hih is Thorpe's #efi!itio! of i!si$ht( *ut
o!e 'ore& this i!si$ht is far fro' absolute0 )he! it o'es to professio!al si!$i!$& a heart"
breaki!$ a'ou!t of #rill is re/uire#( The pupil is ofte! tau$ht the proper teh!i/ues of
breathi!$ )ith his ha!# o! the teaher's sto'ah "" beause his i!si$ht i!to& a!# o!trol of&
his o)! physiolo$ial fu!tio!s is li'ite#( 3erbal i!strutio!s are of little help& a!# are
so'eti'es a hi!#ra!e& i! the a/uisitio! of 'usle skills, to beo'e le%er )ith o!e's
ha!#s& or o!e's feet i! #a!i!$& re/uires a ki!# of 'usle trai!i!$ )hih #efies
lassifiatio! as either i!si$htful or trial"a!#"error lear!i!$(
I ha%e repeate#ly 'e!tio!e# the 'ysteries of ri#i!$ a biyle0 !obo#y /uite k!o)s ho) it
is #o!e& a!# a!y o'pete!t physiist )oul# be i!li!#e# to #e!y a priori that it a! be
#o!e( Ho)e%er& as a t)o"le$$e# pri'ate& 'a! has a! i!!ate 'ripe!ess' for the a/uisitio! of
all ki!#s of postural a!# bala!i!$ skills suh as skati!$& rok"li'bi!$& or )alki!$ the
ti$ht"rope, aor#i!$ly& the hierarhy of lear!i!$ proesses i! the ase of the ylist starts
o! a hi$her le%el of alrea#y i!te$rate# sub"skills& tha! i! the e-a'ples pre%iously
#isusse#( *roa#ly speaki!$& the pupil 'ust tur! the ha!#le"bar i! the #iretio! he is
falli!$& )hih )ill 'ake hi' te!# to fall i! the opposite #iretio!& a!# so forth& u!til he
$ra#ually '$ets the feel' of the a'ou!t of orretio! re/uire#( This is ertai!ly trial"a!#"
error lear!i!$ i! the se!se that errors are pu!ishe# by a fall, but the trials are by !o 'ea!s
ra!#o'& a!# the errors are all i! the ri$ht #iretio! "" they 'erely o%er" or u!#er"shoot she
'ark( The o#e )hih is for'e# by suessi%e a#.us'e!ts of the !eural 'ser%o"'eha!is''
is presu'ably of the a!alo$ue"o'puter type "" a!# the sa'e applies probably to #a!i!$&
skati!$& or te!!is"playi!$(
*ut o!e the skill has bee! 'astere# a!# for'e# i!to a habit& its i!te$rate# patter! is
represe!te# as a u!it o! the !e-t"hi$her le%el i! the hierarhy& a!# a! be tri$$ere# off by a
si!$le 1%erbal or !o!%erbal2 o''a!#( To take a 'ore o'pliate# e-a'ple0 the soer"
player 'ust a/uire a %ariety of basi routi!es of taki!$ o''a!# of the ball "" 'stoppi!$' it
)ith foot& thi$h& hest& or hea#, %olleyi!$ it i! fli$ht )ithout stoppi!$, kiki!$ it )ith the
i!step& the i!!er or outer si#e")all of the boot, #ribbli!$& passi!$& a!# shooti!$ at the $oal&
et( :he! these ele'e!tary& yet %ery o'ple-& teh!i/ues ha%e bee! 'astere#& eah of
the' )ill beo'e a self"o!tai!e# sub"skill i! his repertory& a!# he )ill be able to #ei#e&
i! a split seo!#& )hih of the' to e'ploy aor#i!$ to the layout of the fiel#( The #eisio!
)hether to shoot or pass is base# o! #isrete yes"!o alter!ati%es of the #i$ital type, but the
e-eutio! of the atual 'o%e "" shooti!$& passi!$& et( "" see's to re/uire a! a!alo$ue"
o'puter type of o#e( A further step #o)! the 'a!alo$ue' proess of fle-i!$ the le$"
'usles for a pass of appropriate le!$th is a$ai! o!%erte# i!to the #i$ital o!"off proesses
i! i!#i%i#ual 'otor u!its, )hile o! the top le%el a flui# strate$y is o!%erte# i!to #isrete
tatial #eisio!s(
It )oul# see' that beha%ioural 'atries o! e%ery le%el of a $i%e! hierarhy are tri$$ere#
off by #i$ital"type all"or"!othi!$ i'pulses, if the 'atri- is fle-ible it )ill fu!tio! as a
#i$ital"to"a!alo$ue o!%erter, a!# )ill i! its tur! tri$$er off sub"o#es at ertai! ritial
li'its as a!alo$ue"to"#i$ital o!%erters( *ut theori+i!$ about the !er%ous syste' i! ter's
of o'puter 'o#els is a risky affair& a!# 'ay yet lure psyholo$y i!to a ul"#e"sa "" as the
telepho!e"e-ha!$e 'o#el #i# half a e!tury a$o(D
Su''ary0 Ri$i#ity a!# Free#o'
=et 'e reapitulate so'e poi!ts )hih e'er$e )he! the obser%atio!s i! the prese!t
hapter are take! i! o!.u!tio! )ith the broa#er issues #isusse# i! *ook O!e(
O! the ele'e!tary le%els of lear!i!$ a skill a %aryi!$ a'ou!t of sta'pi!$"i! is re/uire#&
#epe!#i!$ o! she or$a!is''s 'ripe!ess' for the task, or& to put it the other )ay rou!#&
#epe!#i!$ o! the '!atural!ess' of the task relati%e to the or$a!is''s e-isti!$ skills( =ear!i!$
to type re/uires 'ore sta'pi!$"i! tha! lear!i!$ to ri#e a biyle, the for'er is o'parable
to the bli!#fol# 'e'ori+i!$ of a 'a+e& the latter to the $ra#ual a#.ust'e!t of %arious
i!terloki!$ ser%o"'eha!is's( I! both ases the lear!i!$ proess o!sists i! the
i!te$ratio! of ele'e!tary skills "" the 'e'bers of the !ase!t 'atri- "" i!to a si!$le patter!
)hih a! be ati%ate# as a u!it( *ut e%e! i! a/uiri!$ a 'eha!ial skill like typi!$& bit"
by"bit lear!i!$ plays i! fat a lesser part tha! see's to be the ase( The typist's 'e!tal 'ap
of the keyboar# is' !ot si'ply a rote"lear!e# a$$re$atio! of t)e!ty"si- letters 1plus !u'bers
a!# si$!s2 #istribute# at ra!#o', it is a 'o#e#' 'ap& struture# by a syste' of o"or#i!ates
"" the resti!$ positio! of the fi!$ers "" a!# by the fre/ue!y"rati!$ of letters& syllables& et(
These patter!s& superi'pose# o! the keyboar# 'ap& oul# be o'pare# to the '!e'o!i
ai#s use# i! the lear!i!$ of !o!se!se syllables( :hole"lear!i!$ i!%a#es bit"lear!i!$ at
e%ery opportu!ity, if the 'ea!i!$less is to be retai!e#& the 'i!# 'ust s'u$$le 'ea!i!$
i!to it(
O!e a skill has bee! 'astere# so that it a! be ati%ate# as a trait it fu!tio!s 'ore or less
auto!o'ously a!# auto'atially( This applies to both pereptual a!# 'otor skills& fro' the
pereptual o!sta!ies a!# 'otor refle-es up)ar#s( =ear!i!$ to fi!# the ri$ht key o! the
keyboar# re/uires o!e!tratio!& foal a)are!ess, but )he! the letter"habit has bee!
a/uire# it beo'es 'i!sti!ti%e'& u!o!sious, atte!tio! is free# to o!e!trate o! 'ea!i!$&
a!# a! 'let the fi!$ers take are of the'sel%es', their o!trol is rele$ate# to lo)er le%els of
a)are!ess a!#& i! all likelihoo#& to lo)er le%els i! the !er%ous syste'( Thus the )ork of
;astaut a!# *ek learly su$$ests that 'o!e )e ha%e lear!e# so'ethi!$ )e !o lo!$er rely
so 'uh o! our orte- a!# retiular for'atio!( Those thi!$s )e #o without thinking ( ( (
'ay #epe!# 'ore o! the ol#er pri'iti%e parts of the !er%ous syste' suh as the li'bi
strutures& thus releasi!$ hi$her e!tres suh as the orte- for other tasks( ( ( ( Co''o!
se!se i!#iates suh a possibility(, eletro"physiolo$y su$$ests it( ( ( (' 7I8D
The sa'e skille# atio! "" #ri%i!$ a 'otor"ar or playi!$ a !otur!e by heart "" a! be
perfor'e# auto'atially& or i! se'i"o!sious abse!t"'i!#e#!ess& or )ith full
o!e!tratio!( *ut the 'otorist )ho o!e!trates o! #ri%i!$ fast alo!$ a ro)#e# roa# has
his atte!tio! fousse# o! 'atters of $e!eral strate$y "" e($( )hether it is safe to o%ertake or
!ot& )hereas the atual 'a!ipulatio! of the )heel a!# pe#als are still arrie# out
auto'atially, a!# the pia!ist tryi!$ to $i%e his best& still fi!#s the keys auto'atially( :e
a$ai! fi!# o!fir'e# that the o#e )hih o!trols skille# beha%iour al)ays operates
throu$h sub"o#es )hih fu!tio! o! lo)er le%els of a)are!ess( Shifti!$ the fous of
atte!tio! to these sub"o#es pro#ues the fa'iliar 'para#o- of the e!tipe#e'( Its e/ui%ale!t
i! pereptio! is the loss of 'ea!i!$ )hih results )he! a )or# is repeate# 'o!oto!ously
a!# atte!tio! beo'es fousse# o! the -langbild 1f( 'e"#u& e"#u& e"#u'& *ook O!e& p( OI
f(, e%e! 'ore pai!ful is the se'a!ti paralysis )hih so'eti'es befalls a )riter )hile
orreti!$ the proofs of a fortho'i!$ book(

The lo)er )e #ese!# i! the hierarhy the 'ore stereotype#& refle-"like ati%ities )e fi!#,
a!# %ie %ersa& fle-ibility i!reases )ith eah step up)ar#( The 'ore o'ple- the skill& the
'ore alter!ati%e %ariatio!s it offers for a#aptable strate$ies0 a 'atri- o! the !K4 le%el has
'ore #e$rees of free#o' tha! a 'atri- o! the ! le%el( *ut )hether they )ill be utili+e# a!#
pro#ue %arie# perfor'a!e& #epe!#s o! the e!%iro!'e!t( >o!oto!ous e!%iro!'e!ts
i!#ue repetiti%e& stereotype# habits, the #e$rees of free#o' i! the 'atri- free+e up(
'O%erlear!i!$' is the fi-atio!& throu$h repetitio! i! u!%aryi!$ o!#itio!s& of o!e a'o!$
'a!y possible %ariatio!s i! the e-erise of a skill at the e-pe!se of all others( Thus habits
beo'e auto'ati+e# 1a2 beause they operate o! the lo)er strata of the hierarhy )ith fe)
#e$rees of free#o'& like hitti!$ a type)riter key or #epressi!$ the aelerator pe#al, 1b2
)he! a o'ple- skill is re#ue# throu$h e!%iro!'e!tal 'o!oto!y to a si!$le"trak habit(
'>o!oto!y' is of ourse a sub.eti%e ter' referri!$ to lak of ha!$e i! those features of the
e!%iro!'e!t )hih are rele%a!t to the sub.et's i!terests( For all )e k!o) the streets of
Koe!i$sber$ throu$h )hih E''a!uel Ka!t took his fi-e# )alk at a fi-e# hour for forty
years 'i$ht ha%e bee! )il#ly e-iti!$ to a!other perso!(

The i!te$ratio! of 'otor"patter!s i!to lar$er a!# 'ore o'ple- skills i! the proess of
lear!i!$ is parallele# by a si'ilar pro$ressio! o! the pereptual si#e( The tele$raphist )ho
has a#%a!e# fro' 'letter"habits' throu$h ')or#"habits' to 'phrase"habits' i! his se!#i!$
teh!i/ue& has at the sa'e ti'e lear!e# to take i! se%eral )or#s a!# e%e! phrases 'at a
'outhful'( The pia!ist takes i! a )hole 'usial phrase fro' the sore at a $la!e, both
i!put a!# output are !o lo!$er 'easure# i! bits but i! hu!ks(D The 'ore o'ple- the skill&
the bi$$er the hu!ks i! spae or ti'e )hih 'ust be take! i!to aou!t( The skille# soer
player keeps his eye o! the ball& but is at the sa'e ti'e a)are of the positio!s a!#
peuliarities of the other players o! the fiel#( The 'otorist& #ri%i!$ to his offie& hooses
the least o!$este# roa# a'o!$ se%eral alter!ati%es by o!sulti!$ the 'e!tal 'ap i! his
hea#( The typist& )ho #eliberately la$s a phrase or t)o behi!# #itatio!& e-pa!#s the
#uratio! of the psyholo$ial prese!t to take i! a bi$$er hu!k of 'ea!i!$( :hile liste!i!$
to speeh or 'usi )e #o the sa'e, )hile talki!$ )e tri$$er off lo!$ se/ue!es of 'usular
patter!s as a )hole( As )e beo'e 'ore profiie!t i! a!y skille# ati%ity& )e lear! 'to put
fee#bak loops arou!# lar$er a!# lar$er se$'e!ts of our beha%iour'( 7@8
Thou$h 'otor lear!i!$ proee#s& $e!erally speaki!$& fro' lo)er to hi$her le%els& a!#
perfor'a!e i! the re%erse #iretio!& this #oes !ot 'ea! that i! perfor'i!$ )e ru! throu$h
the )hole $a'ut of the lear!i!$ proess i! re%erse $ear( As o!e lear!s to play a so!ata by
heart& o!e !ee#s less a!# less ofte! to o!sult the sore& a!# i! the e!# the %isual fee#bak
)hih )as i!#ispe!sable #uri!$ lear!i!$ a! be #ispe!se# )ith e!tirely, the habit !o)
fu!tio!s auto!o'ously( The skille# pia!ist a! play bli!#fol#& a 'a! a! k!ot his tie
)ithout looki!$ i!to the 'irror& the physiia! a! tell the patie!t's pulse )ithout looki!$ at
his )ath& the a#ult rea#s )ithout spelli!$ out the letters( :he! the skill has bee! 'astere#&
the props )hih ser%e# the lear!i!$ proess are kike# a)ay "" as >a-)ell kike# a)ay the
saffol#i!$ of his 'eha!ial 'o#el )he! he arri%e# at his e/uatio!s 1see Appe!#i- I2( I!
this respet& too& the lear!i!$ proess is irre%ersible(
The autonomy of the o#es )hih patter! beha%iour is a phe!o'e!o! )hih )e ha%e 'et
o! all le%els "" fro' the self"re$ulatory ati%ities of the 'orpho$e!eti fiel#& throu$h the
fi-e# atio!"patter!s of i!sti!t beha%iour& to the pereptual fra'es respo!sible for
o!sta!ies& illusio!s& a!# our )ays of seei!$ the )orl# throu$h oloure# filters& as it )ere(
*ut o! the le%el of o'ple- skills& the 'self"asserti%e' te!#e!ies of a/uire# 'otor"patter!s
are partiularly striki!$( To repeat a! ob%ious e-a'ple& o!e a!!ot #is$uise o!e's
ha!#)riti!$ suffiie!tly to fool the e-pert, e%e! the skille# bur$lar has his i!#i%i#ual style
i! safe"breaki!$ )hih $i%es hi' a)ay( Auto!o'y a!# self"$o%er!'e!t are basi pri!iples
i! the hierarhy of skills( Thus 'the perfor'a!e 'of %ery /uik 'o%e'e!ts '& =ashley
obser%e#& 'i!#iates their i!#epe!#e!e of urre!t o!trol( N:hips!appi!$N 'o%e'e!ts of
the ha!# a! be re$ulate# i! e-te!t& yet the e!tire 'o%e'e!t& fro' i!itiatio! to o'pletio!
re/uires less tha! the reatio! ti'e for a tatile or ki!aestheti sti'ulatio! of the ar'&
)hih is about o!e"ei$hth of a seo!#& e%e! )he! !o #isri'i!atio! is i!%ol%e#( ( ( ( The
fi!$er"strokes of a 'usiia! 'ay reah si-tee! per seo!# i! passa$es )hih all for a
#efi!ite a!# ha!$i!$ or#er of suessi%e fi!$er"'o%e'e!ts( The suessio! of 'o%e'e!ts
is too /uik e%e! for %isual reatio! ti'e( ( ( ( Se!sory o!trol of 'o%e'e!t see's to be
rule# out i! suh ats(' 7O8
Si'ilar o!lusio!s )ere reahe#& as alrea#y 'e!tio!e#& by Ruh& o!er!i!$ %olu!tary
'o%e'e!t i! $e!eral( I! %ie) of the rapi#ity of skille# 'o%e'e!ts )hih are too fast to
lea%e roo' for %isual or proprioepti%e fee#bak o!trol& Ruh& like =ashley& assu'e# the
operatio! of pre"set ti'e"te!sio! patter!s of 'usle o!tratio! i! the !er%ous syste'0 'The
erebral"erebellar iruit 'ay represe!t !ot so 'uh a! error"orreti!$ #e%ie as a part of
a 'eha!is' by )hih a! i!sta!ta!eous or#er a! be e-te!#e# i! ti'e ( ( ( a!# thus re#ue
the troubleso'e tra!sie!ts i!%ol%e# i! the orretio! of 'o%e'e!t by output"i!for'e#
fee#baks(' 7F8
The te!#e!y to re#ue those 'troubleso'e' fee#baks to a 'i!i'u' is the esse!e of
habit"for'atio! a!# auto'ati+atio!( It follo)s the pri!iple of parsi'o!y, if )e ha# to
o!e!trate o! eah 'o%e'e!t )e 'a#e& there )oul# be !o roo' for thou$ht( O! the other
ha!#& this i!here!t te!#e!y to for' !eural or$a!i+atio!s )hih& o!e 'i$ht say& .ealously
#efe!# their auto!o'y a$ai!st i!terfere!e fro' a ha!$i!$ outsi#e )orl#& 'akes us all& i!
%aryi!$ #e$rees& the sla%es of habit( :e 'ay re#ue the #e$ree of e!sla%e'e!t& but the
basi pre#ia'e!t is i!here!t i! the hierarhi struture or !er%ous or$a!i+atio!& )here 'the
struture of the i!put #oes !ot pro#ue the struture of the output& but 'erely 'o#ifies
i!tri!si !er%ous ati%ities that ha%e a strutural or$a!i+atio! of their o)!'( The /uotatio!
1repeate# fro' p( 6A62 referre# to i!sti!t beha%iour a!# the lo)er 'otor fu!tio!s& but it is
e/ually appliable& as )e ha%e see!& to o'ple-& a/uire# skills( These 'ay ha%e a hi$h
#e$ree of fle-ibility& but they !e%ertheless operate throu$h auto'ati+e# sub"skills o! the
lo)er ra!$es of the hierarhy& )hih 'a!ifest the'sel%es i! the i!#i%i#ual 'touh' of the
pia!ist& the 'style' of the te!!is"player& the fi-e# 'a!!eris's& /uirks& i#iosy!rasies& a!#
u!o!sious rituals )hih are our perso!al hall'arks(

Ho) 'uh of his pote!tial free#o' a perso! puts to ati%e use #epe!#s partly o!
e!%iro!'e!tal fators "" the !o%elty& i!te!sity& %e-atious!ess& et(& of the sti'uli to )hih
he is e-pose#( *ut the !ature a!# a'ou!t of sti'utatio! #eri%e# fro' a $i%e! i!put
#epe!#s& of ourse& o! perso!ality striture( O!e type of i!#i%i#ual )ill respo!# to
'o!oto!ous situatio!s )ith stereotype# reatio!s, a!other type )ill fi!# 'o!oto!y
%e-atious& that is to say& stimulating( 'Ati%e bore#o''& as this ki!# of reatio! 'ay be
alle#& a! pro%i#e alter!ati%es to habituatio!, the sub.et 'ay e-perie!e the %ery abse!e
of ha!$e as a !o%elty "" as priso! is a !o%elty to the first offe!#er, a!# si!e the
e!%iro!'e!t refuses to offer %ariety& he )ill %ary his o)! perfor'a!e to pro%i#e it( He!e
the appare!tly spo!ta!eous ha!$es i! fashio!s a!# ra+es& !ot o!ly i! hu'a! soiety but
also i! olo!ies of apti%e hi'pa!+ees(

If& o! the other ha!#& the halle!$e fro' the e!%iro'!e!t e-ee#s a ritial li'it&
beha%iour )ill either beo'e #isti!te$rate#& or the halle!$e )ill be 'et by a! ori$i!al&
'super"fle-ible' respo!se "" a restruturi!$ of the patter! of the skill( :e ha%e 'et e-a'ples
of this o! all le%els& fro' the 'pre!atal skills' of 'orpho$e!esis& throu$h *ethe's 'utilate#
i!sets to =ashley's rats a!# K[hler's hi'pa!+ees( The o'ple-& a/uire# 'otor"skills&
)hih )e #isusse# i! this hapter& are apable of e/ually i'pressi%e e'er$e!y"
reor$a!i+atio!s( The first airrafts'a! )ho& )he! his brakes refuse# to fu!tio! o! la!#i!$&
sa%e# his pla!e by ope!i!$ his parahute throu$h the rear")i!#o)& ahie%e# a true
bisoiatio! of t)o u!o!!ete# skills( The %ioli!ist )ho fi!ishes his piee i! spite of a
broke! E stri!$, the typist 'a!a$i!$ o! a half"broke! 'ahi!e, the seret tu!!el"buil#ers i!
priso!er"of")ar a'ps, the le$less )ar pilot )i!!i!$ a 3itoria Cross, Re!oir& ripple# )ith
arthritis& o!ti!ui!$ to pai!t )ith a brush fi-e# to his forear' "" they all $a%e proof of a!
u!e-pete#& reati%e surplus"pote!tial i! the !er%ous syste'( Suh ao'plish'e!ts are
'ore i'pressi%e tha! the /uasi"'iraulous feats perfor'e# i! pa!i or ra$e "" the latter are
of a /ua!titati%e or#er a!# #o !ot i!%ol%e the reor$a!i+atio! of patter!(

The ho'olo$ous !ature of the basi pri!iples )hih operate o! #iffere!t le%els of the
hierarhy beo'es e%i#e!t )he! )e re'e'ber the o!lusio!s )hih e'er$e# fro' the
#isussio! of i!sti!t beha%iour0 'At o!e e!# of the sale )e fi!# rituals& fi-e# atio!"
patter!s& %auu' a!# #isplae'e!t ati%ities "" ri$i#& auto'ati+e#& a!# o'pulsi%e&
petrifie# habits( At the other e-tre'e )e fi!# ( ( ( o#es )hih $o%er! beha%iour of
re'arkable fle-ibility& a!# ori$i!al a#aptatio!s )hih lie outsi#e the a!i'al's !or'al skills
a!# habit repertory( 74C8


NOTES

To p( I65( See& for i!sta!e& the rather #esperate foot!ote o! p( 45O of >iller et al 145@C20
'O!e reaso! for 'uh of the trouble o! reahi!$ a! a$ree'e!t about the )ay the brai!
)orks )as that t)o of the authors stubbor!ly persiste# i! tryi!$ to talk about it i! ter's
appropriate to the #ry har#)are of 'o#er! #i$ital o'puters& )hereas the thir# )as e/ually
persiste!t i! usi!$ la!$ua$e appropriate to the )et soft)are that li%es i!si#e the skull( After
a #ea#e of yber!etis you 'i$ht thi!k the tra!slatio! fro' o!e of these la!$ua$es i!to the
other )oul# be fairly si'ple& but that )as !ot the ase( The relatio! bet)ee! o'puters a!#
brai!s )as a battle the authors fou$ht )ith o!e a!other u!til the e-asperatio! bea'e
u!bearable('

To p( IIC( E-peri'e!ts by S( >( E%a!s 19ew .cientist& 9 >ay& 45@A2 ha%e sho)! that the
supraoesopha$eal $a!$lia of the ri!$")or' 1its 'brai!'2 are esse!tial for lear!i!$ but !ot for
'e'ory stora$e si!e lear!e# habits )ill be retai!e# after re'o%al of the 'brai!'( O!e the
habit is a/uire#& it is appare!tly tra!sferre# 'to a stora$e e!tre )hih is presu'ably
so'e)here else i! the !er%ous syste''(

To( p( II4( Cf( also0 'i! rapi# si$ht rea#i!$ it is i'possible to rea# the i!#i%i#ual !otes of
a! arpe$$io( The !otes 'ust be see! i! $roups& a!# it is atually easier to rea# hor#s see!
si'ulta!eously a!# to tra!slate the' i!to te'poral se/ue!e tha! to rea# suessi%e !otes
i! the arpe$$io as usually )ritte!' 1=ashley i! the Hi-o! Sy'posiu'& p( 49A2(




HII
THE PITFA==S OF =EARNIN; THEORB
A ;la!e i! Retrospet
I! the ourse of the past fifty years& lear!i!$ theory has bee! o!e of the e!tral battlefiel#s
of psyholo$y( 'O!e 'ay say broa#ly'& *ertra!# Russell )rote i! 459O& 'that all the a!i'als
that ha%e bee! arefully obser%e# ha%e beha%e# so as to o!fir' the philosophy i! )hih
the obser%er belie%e# before his obser%atio!s be$a!( Nay& 'ore& they ha%e all #isplaye# the
!atio!al harateristis of the obser%er( A!i'als stu#ie# by A'eria!s rush about
fra!tially& )ith a! i!re#ible #isplay of hustle a!# pep& a!# at last ahie%e the #esire#
result by ha!e( A!i'als obser%e# by ;er'a!s sit still a!# thi!k& a!# at last e%ol%e the
situatio! out of their i!!er o!sious!ess( To the plai! 'a!& suh as the prese!t )riter& this
situatio! is #isoura$i!$( I obser%e& ho)e%er& that the type of proble' )hih a 'a!
!aturally sets to a! a!i'al #epe!#s upo! his o)! philosophy& a!# that this probably
aou!ts for the #iffere!es i! the results(' 748
Russell's re'arks re'ai! true& e%e! thou$h so'e e'i!e!t psyholo$ists #e!y that they
ha%e a philosophy at all a!# hol# all theory"'aki!$ to be ')asteful a!# 'islea#i!$'( 798 Not
o!ly the hoie of proble'& but also the hoie of a!i'als is harateristi of the
e-peri'e!ter's bias( K[hler& #esirous to pro%e i!si$ht a!# i!telli$e!e& o!e!trate# 'ai!ly
o! hi'pa!+ees( Ski!!er's best"k!o)! books are alle# *he 7ehaviour of Organisms
145AF2 a!# .cience and Human 7ehaviour 145IA2, but "" as Hil$ar# sai# "" '!either title
betrays that the preise #ata )ere #eri%e# lar$ely fro' e-peri'e!ts o! rats a!# pi$eo!s( It
is so'e)hat a!o'alous that a syste'atist )ho refuses to pre#it )hat a rat or pi$eo! )ill
#o "" beause suh pre#itio! #oes !ot belo!$ i! a sie!tifi stu#y of beha%iour "" is )illi!$
to 'ake o!fi#e!t assertio!s about the 'ost o'ple- for's of hu'a! beha%iour& eo!o'i&
politial& reli$ious'( 7A8
Hull's atte'pt to reate a! all"e'brai!$ theory of beha%iour )as al'ost e!tirely base# o!
the bar"pressi!$ ati%ities of rats( This )as o!si#ere# by Hull a!# his shool as a
suffiie!tly soli# basis to #eri%e fro' the' 'the basi la)s of beha%iour ( ( ( i!lu#i!$ the
soial beha%iour of 'a!'( 768
=astly& the ;er'a! shool of etholo$ists "" =ore!+& Ti!ber$e!& et( "" o!e!trate# 'ai!ly
o! hi$hly rituali+e# for's of a!i'al life i! bir#s a!# i!sets( Thus eah shool #e%elope#
its speial u!i%erse of #isourse& 'o%i!$ i! a lose# syste'& o!e!trati!$ o! their
fa%ourite a!i'als i! their fa%ourite e-peri'e!tal situatio!s "" #o$s #rippi!$ sali%a throu$li
fistulae& ats ra$i!$ i! pu++le"bo-es& rats ru!!i!$ throu$h 'a+es& $eese bei!$ 'i'pri!te#' by
<r( =ore!+ a'bli!$ o! all"fours(
*ut the #ata fro' these hi$hly speiali+e#& e-peri'e!tal tre!#s #i# !ot a## up to a
ohere!t piture& a!# eah shool ha# a te!#e!y to i$!ore )hat the others )ere #oi!$(
Thus& for i!sta!e& i! Ski!!er's NSie!e a!# Hu'a! *eha%iourN& )hih )as i!te!#e# as a
te-tbook& the i!#e- o!tai!s !either the )or# 'i!si$ht'& !or the !a'es of K[hler& Koffka&
=e)i!& Tol'a!& Hull& =ashley& or =ore!+, o!ly Thor!#ike a!# Pa%lo% are 'e!tio!e# by
!a'e as theorists of lear!i!$ )ith so'e 'erit( A!# %ie %ersa& I ha%e searhe# i! %ai! for
the !a'e of Pa%lo% i! the i!#ies of K[hler's a!# Koffka's books( 7I8 Thus 'uh of the
o!tro%ersies i! lear!i!$ theory rese'ble# less a battle tha! a $a'e of bli!# 'a!'s buff(
Ho)& .ust at a ti'e )he! the 'eha!isti o!eptio!s of the !i!etee!th e!tury ha# bee!
aba!#o!e# i! all bra!hes of sie!e& fro' physis to e'bryolo$y, ho) .ust at that ti'e& i!
the 459Cs& the o!ept of 'a! as a ri$i# 'eha!is' of hai!e# refle-es oul# beo'e
fashio!able i! ultures as #iffere!t as the U!ite# States a!# the So%iet U!io! is a
fasi!ati!$ proble' for the historia! of sie!e( The Pa%lo%ia! shool i! Russia& a!# the
:atso!ia! bra!# of *eha%iouris' i! A'eria& )ere the t)e!tieth"e!tury postsript to the
!i!etee!th e!tury's 'eha!isti 'aterialis'& its belate# a!# 'ost o!siste!t atte'pt to
#esribe li%i!$ or$a!is's i! ter's of 'ahi!e theory(
The <e!ial of Crea%itity
Nearly half a e!tury has passe# si!e the publiatio! of :atso!'s Psychology from the
.tandpoint of a 7ehaviourist 145452& a!# fe) stu#e!ts to#ay re'e'ber its o!te!ts or e%e!
its basi postulates( I! :atso!'s seo!# book 145962 there is a hapter e!title#0 'Talki!$ a!#
Thi!ki!$ "" :hih& :he! Ri$htly U!#erstoo#& ;o Far i! *reaki!$ <o)! the Fitio! That
There Is A!y Suh Thi!$ As N>e!talN =ife(' I! this hapter& the beha%iouristi %ie) o! the
reati%e ati%ities of 'a! is set #o)! i! a si'ple a!# striki!$ )ay 1all italis are :atso!'s20
Ho) the !e) o'es i!to bei!$0 O!e !atural /uestio! ofte! raise# is0 Ho) #o )e e%er $et
!e) %erbal reatio!s suh as a poe' or a brillia!t essayE The a!s)er is that )e $et the' by
'a!ipulati!$ )or#s& shifti!$ the' about u!til a !e) patter! is hit upo!( ( ( ( It )ill help us
to $o to 'a!ual beha%iour( Ho) #o you suppose Patou buil#s a !e) $o)!E Has he a!y
'piture i! his 'i!#' of )hat the $o)! is to look like )he! it is fi!ishe#E He has !ot( ( ( ( He
alls his 'o#el i!& piks up a !e) piee of silk& thro)s it arou!# her, he pulls it i! here& he
pulls it out there& 'akes it ti$ht or loose at the )aist& hi$h or lo)& he 'akes the skirt short
or lo!$( He 'a!ipulates the 'aterial u!til it takes o! the se'bla!e of a #ress( ( ( ( The
pai!ter plies his tra#e i! the sa'e )ay& !or a! the poet boast of a!y other 'etho#( 7@8
The key )or# is ''a!ipulatio!'& #efi!e# by :atso! as a! 'i!sti!ti%e te!#e!y so'eti'es
e-alte# by alli!$ it o!struti%e!ess( That there is a! ori$i!al te!#e!y to reah out for
ob.ets& to srape the' alo!$ the floor& to pik the' up& put the' i!to the 'outh& to thro)
the' upo! the floor& to 'o%e bak a!# forth a!y parts )hih a! be 'o%e#& is o!e of the
best $rou!#e# a!# best obser%e# of the i!sti!ts(' 7O8 That is all )e lear! about
'a!ipulatio!( It is a ra!#o' ati%ity& )hih& throu$h eli'i!atio! of useless 'o%e'e!ts by
the trial"a!#"error 'etho#& $ra#ually #e%elops i!to or#ere# habits( The rat& put i!to a!
u!k!o)! 'a+e& $oes o! 'a!ipulati!$ its 'otor"or$a!s at ra!#o' u!til it hits upo! the foo#
i! the sa'e )ay as 1the o'pariso! is :atso!'s o)! 7F82( Patou 'a!ipulates the piee of
silk u!til he hits upo! a !e) 'o#el, like)ise& the poet or essayist 'shifts about' )or#s 'u!til
a !e) patter! is hit upo!'( It is e-pressly #e!ie# that Patou& the poet& or pai!ter has a!y
'piture i! his 'i!#' of the ki!# of thi!$ he is pla!!i!$, he si'ply $oes o! 'a!ipulati!$ his
u!its u!til the 'o#el& poe'& or #ra'a is 'hit upo!'( At that 'o'e!t the sti'ulus 'to arouse
a#'iratio! a!# o!#e'!atio!' eases to be ati%e& a!# 'a!ipulatio! stops "" 'the e/ui%ale!t
of the rat's fi!#i!$ foo#'( 758
Ob%iously& %ie)e# fro' this a!$le& psyholo$y prese!ts !o proble's( Bet the 'atter is of
'ore tha! historial i!terest& beause& althou$h the ru#er absur#ities of :atso!ia!
beha%iouris' are for$otte!& it ha# lai# the fou!#atio!s o! )hih the later& 'ore refi!e#
beha%iouristi syste's )ere built, the #o'i!a!t tre!# i! A'eria! a!# Russia! psyholo$y
i! the $e!eratio! that follo)e# ha# a #isti!tly Pa%lo%":atso!is' fla%our( 'Eah of these
syste's'& Hil$ar# )rote 1referri!$ to the i''e!sely i!flue!tial shools of ;uthrie& Hull&
a!# Ski!!erD2 'represe!ts i! its o)! )ay a fulfil'e!t of the beha%iouristi pro$ra''e
ori$i!ally propose# by :atso!(' 74C8 The 'etho#s bea'e 'ore sophistiate#& but the
philosophy behi!# the' re'ai!e# the sa'e( Ori$i!ality a!# reati%e!ess ha%e !o plae i!
it(
For ;uthrie& the ori$i!al solutio! of a proble' ''ust be i! the ate$ory of luk& a!# he!e
lie outsi#e of sie!e'( 7448 I! Ski!!er's )orks& as I ha%e .ust sai#& the )or# 'i!si$ht' #oes
!ot our, a!# the teh!i/ue of proble'"sol%i!$ is& i! Ski!!er's %ie) as i! :atso!'s&
''erely that of 'a!ipulati!$ %ariables )hih 'ay lea# to the e'issio! of the respo!se( No
!e) fator of ori$i!ality is i!%ol%e#(' 7498 Hull e-pressly postulate# that the #iffere!es i!
the lear!i!$ proesses of 'a! a!# rat are of a 'erely /ua!titati%e& !ot of a /ualitati%e or#er0
The !atural"sie!e theory of beha%iour bei!$ #e%elope# by the prese!t author a!# his
assoiates assu'es that all beha%iour of the i!#i%i#uals of a $i%e! speies a!# that of all
speies of 'a''als& i!lu#i!$ 'a!& ours aor#i!$ to the sa'e set of pri'ary la)s(' 74A8
The %erbal a!# 'athe'atial sy'bolis' of 'a!& %erbal o''u!iatio! a!# )ritte!
reor#s& )ere o!si#ere# to #iffer o!ly i! #e$ree& !ot i! ki!#& fro' the lear!i!$
ahie%e'e!ts of the lo)er a!i'als& epito'i+e# i! the bar"pressi!$ ati%ities of the rat( 'Hull
#i# !ot i!te!# 'erely to syste'ati+e the aou!t of rat le%er"pressi!$& fro' )hih 'ost of
the #ata for his later set of postulates #eri%e#( He i!te!#e# to arri%e at the basi la)s of
beha%iour& at least the la)s of the beha%iour of 'a''alia! or$a!is's& i!lu#i!$ the soial
beha%iour of 'a!( 7468 DD
The state of affairs i! that perio# has bee! sui!tly su''e# up by Os$oo#0
=loy# >or$a!'s a!o! "" that the beha%iour of a!i'als shoul# !ot be e-plai!e# i! ter's of
hu'a! attributes if it a! be e-plai!e# o! a lo)er le%el "" )as #esi$!e# to ou!terat the
o''o! te!#e!y to put o!eself i! a! a!i'al's plae a!# e-plai! its atio!s i! ter's of
)hat )e )oul# #o i! that situatio!( ( ( ( It is i!teresti!$ that throu$h the beha%iouristi
phase i! )hih A'eria! psyholo$y has bee! 'o%i!$& =loy# >or$a!'s a!o! has bee!
subtly i!%erte#( >a!y prese!t"#ay psyholo$ists are loath to attribute to hu'a!s a!y
harateristis that a!!ot be #e'o!strate# i! lo)er a!i'als( 74I8
I! other )or#s& for the a!thropo'orphi %ie) of the rat& A'eria! psyholo$y substitute#
a ratto'orphi %ie) of 'a!(
The A#%e!t of ;estalt
A tur!i!$ poi!t see'e# to ha%e bee! reahe# )ith the publiatio! of K[hler's &entality of
3pes i! 459I( The ;estalt shool ha# bee! stea#ily $ro)i!$ i! ;er'a!y si!e :erthei'er's
first papers i! 4549( As alrea#y 'e!tio!e#& the ;er'a! e#itio! of K[hler's ape book
appeare# i! 454O& but the first A'eria! tra!slatio! o!ly ei$ht years later( I'a$i!e
Ei!stei!'s ;e!eral Relati%ity theory& also publishe# i! 454O& reahi!$ A'eria )ith a! ei$ht
years' #elayG Bet physiists are suppose# to ha%e a li'ite#& psyholo$ists a broa# a!# ope!"
'i!#e#& outlook(
The historial 'erit of the ;estalt shool )as& besi#e its o!rete #iso%eries about
pereptual or$a!i+atio!& to rystalli+e the o!%er$e!t tre!#s to)ar#s a !e)& #y!a'i
o!eptio! of the or$a!is' as a li%i!$ )hole "" a!# !ot 'erely as the su' of its parts( Suh
tre!#s ha# bee! #e%elopi!$ si!e the be$i!!i!$ of the e!tury& i!#epe!#e!tly fro' o!e
a!other& i! biolo$y& e'bryolo$y& !euro"physiolo$y& a!# i! psyholo$y itself( *ut o!ly )he!
the !e) ter's ';estalt'& 'o!fi$uratio!'& a!# 'fu!tio!al )hole' bea'e fashio!able slo$a!s
o'parable to Relati%ity a!# the Oe#ipus Co'ple- "" #i# this sile!t re%olutio! pe!etrate
i!to the broa#er publi's 'i!# a!# o!%ey so'e %a$ue i#ea of a !e) orie!tatio! to)ar#s
the proble's of or$a!i life a!# the hu'a! i!tellet(
Ho)e%er& the $reat e-petatio!s )hih ;estalt arouse# )ere o!ly partly fulfille#, a!# its
li'itatio!s soo! bea'e appare!t( ;estalt"e-pla!atio!s see'e# to flourish o!ly i! the area
of their ori$i!& %isual pereptio!, )he! it )as atte'pte# to tra!spla!t the' i!to the fiel#s of
o$!itio!& 'e'ory& !euro"physiolo$y& e%e! the other se!se"'o#alities& they see'e# to )ilt
a)ay( So'e of these li'itatio!s I ha%e alrea#y 'e!tio!e# i! pre%ious hapters, the
a'bi$uities of the e!tral o!ept of 'i!si$ht' )ill be #isusse# i! the !e-t o!e( The result
)as a ki!# of aborti%e Re!aissa!e& follo)e# by a beha%iourist Cou!ter"Refor'atio!( The
!eo"*eha%iourists& ha%i!$ i!orporate# so'e of the ;estalt fi!#i!$s i!to their theories& ha#
i!#ee# a re'arkable o'e"bak, the ;estaltists re'ai!e# 'ore or less fir'ly e!tre!he# i!
their positio!s )hih #isplaye# '$oo# losure' all rou!#( The e-peri'e!tal e%i#e!e )as
'ostly i!o!lusi%e, so'e of it pro%e# #a'a$i!$ to o!e shool& but )ithout #iretly
o!fir'i!$ the o!te!tio!s of the other( Eah a'p )as #i%i#e# i! itself, a!# 1apart fro'
the 'lo!e %oies' of the el#er $e!eratio!2 a 'thir# fore' be$a! to 'ake itself i!reasi!$ly felt&
o'prisi!$ suh outsta!#i!$ freela!es as Tol'a! a!# Hebb& )ho stoo# )ith o!e foot i!
eah a'p& as it )ere( Hebb has o'pare# the situatio! to 'the ru!!i!$ battle bet)ee! the
=eft a!# Ri$ht' 74@8 )here eah party& )hile shouti!$ its o)! slo$a'& taitly keeps
a#opti!$ i#eas ori$i!ally a#%a!e# by its oppo!e!ts( All this& of ourse& refers to the
A'eria! se!e, but i! E!$la!#& at least& #e%elop'e!ts follo)e# si'ilar li!es(
I! spite of this rapprohe'e!t& a!# the !e) outlook of a you!$er $e!eratio! 1f( the
hapter o! >oti%atio!2& so'e basi #iffere!es still #i%i#e lear!i!$ theory i!to t)o broa#ly
outli!e# a'ps "" #iffere!es !ot o! poi!ts of fat& but o! their i!terpretatio!s "" o!
e-pliitly state# or taitly i'plie# a-io's& $e!eral outlook a!# seleti%e e'phasis( These
a! be briefly she'ati+e# as follo)s0
S("R( Theories o!tra Co$!iti%e Theories bbbbbbbbbbbbbb bbbbbbbbbbbbbbbbbb
Co!#itio!i!$ I!si$ht Chai!e# respo!ses& Patter!e#& fle-ible respo!ses sta'pe# i! bit by bit
a#apte# to the total situatio! ;ra#ual lear!i!$ by Su##e! lear!i!$ a!# trial a!# error
proble'"sol%i!$ throu$h i!si$ht( A/uisitio! of habits a!# A/uisitio! of k!o)le#$e skills
throu$h rei!fore'e!t 1'o$!iti%e strutures'2 throu$h late!t lear!i!$ E'phasis o!
peripheral& E'phasis o! e!tral se!sory 'otor ati%ity o$!iti%e proesses E'phasis o!
#isrete E'phasis o! relatio!"patter!s& sti'uli& o! parts a!# )holes& pereptual ;estalte!
pereptual ele'e!ts >oti%atio! U rei!fore'e!t >oti%atio! by e-ploratory by !ee#" or
#ri%e"re#utio!& #ri%e& or its o'bi!atio! or a!tiipatio! thereof )ith other pri'ary #ri%es
Co!ti!uous li!ear $ra#ie!t Hierarhi le%els of or$a!i+atio! lea#i!$ fro' rat to 'a!
This she'a follo)s 1e-ept for the last t)o poi!ts2 by a!# lar$e Hil$ar#'s lassifiatio! of
'issues o! )hih lear!i!$ theories #i%i#e'( 74O8 O!ly a fe) pro'i!e!t psyholo$ists )oul#
subsribe to all the pri!iples liste# i! either of the t)o olu'!s, but a 'a.ority of the'
)oul# probably subsribe to the 'a.ority of the pri!iples i! a si!$le olu'!(
The ore of the o!tro%ersy oul# be su''e# up i! shortha!# as '#rill' %ersus 'i!si$ht'( The
a!s)er& alrea#y su$$este#& see's to be that the %arious 'etho#s of lear!i!$ for' a
o!ti!uu' e-te!#i!$ fro' lassial o!#itio!i!$ at o!e e!# to spo!ta!eous& i!telli$e!t
proble'"sol%i!$ at the other& )hile i! the i!ter'e#iary ra!$es )e fi!# %arious
o'bi!atio!s bet)ee! #rille#"i! a!# i!si$htful lear!i!$& #epe!#i!$ o! the a!i'al's ripe!ess
for the task to be lear!e#( This approah& )hih ai's at sy!thesis& !ot o'pro'ise& is of
ourse by !o 'ea!s ori$i!al, it is share# "" thou$h for so'e)hat #iffere!t reaso!s "" by
'fu!tio!alists' like :oo#)orth& beha%iourists like Hebb& a!# etholo$ists like Thorpe( Thus
Hil$ar# )rote o! the 'fu!tio!alist outlook'0 '=ear!i!$ is !ot bli!# o! the o!e ha!# a!#
i!si$htful o! the other, there are #e$rees of u!#ersta!#i!$ i!%ol%e# fro' a 'i!i'u' at o!e
e-tre'e to a 'a-i'u' at the other& )ith 'ost ases falli!$ bet)ee! these e-tre'es(' 74F8
Ho)e%er& the #efi!itio!s of 'i!si$ht' a!# 'u!#ersta!#i!$' %ary& )hih lea%es us )ith the
sa'e proble'& o!ly i! a #iffere!t for'ulatio!( =et us try to $et loser to it by o!si#eri!$
so'e typial e-a'ples of a!i'al lear!i!$(
Co!#itio!i!$ a!# E'pirial I!#utio!
A !e)ly hathe# hik )ill pek at $rai!s& )or's& aterpillars i! its !ei$hbourhoo#( If a
so"alle# i!!abar aterpillar is !o) plae# before the hik& of )hih speies it has !o
pre%ious e-perie!e& it )ill pek at it as at a!y other s'all ob.et& but re.et it at o!e )ith
si$!s of #istaste( :ith the 'a.ority of hiks o!e si!$le e-perie!e is e!ou$h to 'ake it i!
the future a%oi# aterpillars by sight( 1The i!!abar aterpillar has a #isti!t blak a!# $ol#
olouri!$& a %isual patter! easy to retai!(2 Thus the hik has a/uire# a !e) skill& the
a%oi#a!e of aterpillars& after a si!$le e-perie!e 1or o!e repetitio! i! the ase of less
$ifte# hiks2, a!# 'oreo%er& that skill& or 'o$!iti%e struture'& or k!o)le#$e& or )hate%er
you all it& is a orret replia& i! the hik's !er%ous syste'& of the relatio! bet)ee! the
%isual appeara!e a!# #is$usti!$ !ature of aterpillars( >ust )e asribe i!si$ht to the
hik, or shall )e a#opt the opposite %ie)poi!t& aor#i!$ to )hih the si!$le try )as
suffiie!t to eli'i!ate the error of peki!$ at aterpillars a!# to establish the a%oi#a!e
reatio!, a!# are )e fae# )ith a real alter!ati%e or 'erely a %erbal /uibbleE =et us& for the
ti'e bei!$& lea%e the /uestio! ope!(
A #o$ is a! a!i'al of 'uh $reater i!tel.i$e!e tha! a hik& a!# yet i! Pa%lo%'s laboratory
#o$s re/uire lo!$ series of repeate# e-perie!es for lear!i!$ to relate ertai! pereptual
si$!als to the i''i!e!e of foo#( :eeks of sta'pi!$"i! are ofte! !eessary to 'ake the
#o$ #iffere!tiate bet)ee! the foo#"si$!al %alues of a irle a!# a! o%al& )hereas a si!$le
e-perie!e is suffiie!t to 'ake the hik #iffere!tiate bet)ee! the si$!al %alues i! the
appeara!es of a )or' a!# a aterpillar(
The reaso! for this o!trast has alrea#y bee! #isusse# 1Chapter H2( Caterpillars belo!$ to
the !atural e!%iro!'e!t of the hik, the pereptio! of the stripe# reature is a biolo$ially
rele%a!t i!put )hile the hik is e!$a$e# i! peki!$, its horri# taste 'akes it e%e! 'ore
rele%a!t, the %isual i!put )ill aor#i!$ly be allo)e# to pass throu$h the filters of the
'e'ory hierarhy& )here it )ill be e!o#e# a!# ser%e as a! a!alyser"#e%ie for future
i!puts( O! the other ha!#& $o!$s& bells& 'etro!o'es& tu!i!$ forks& ar#boar# fi$ures& re#
li$hts& a!# eletri shoks ha%e !o biolo$ial rele%a!e to the speies #o$& !or to the
i!#i%i#ual #o$ outsi#e the laboratory( I! its !atural e!%iro!'e!t the #o$ )oul# pay !o
atte!tio! to the'& but pursue so'e e-iti!$ se!t, the ar#boar# ellipse )oul# !e%er ha%e a
ha!e to for' a stable trae i! the #o$'s pereptual or$a!i+atio!(

Ho) shoul# o!e e-plai!& the!& that the e-peri'e!ter !e%ertheless suee#s i! sta'pi!$ i!
the respo!seE I! the first plae& a Pa%lo% #o$ i! its restrai!i!$ har!ess is !ot a #o$& but a
preparatio!& )hih a! o!ly be fou!# Ni! laboratorioN( It is i''obili+e# o! the
e-peri'e!tal platfor'& i! a sou!#proof laboratory& alo!e& ut off fro' all !atural sti'uli
a!# habitual ati%ities, it is& so to speak& isolate# u!#er a $lass bell( This state reates a
partiular stress i! the a!i'al& alle# the #o$'s 'laboratory attitu#e'& )hih is sharply
#isti!$uishe# fro' its beha%iour outsi#e the lab( <epri%e# of all other sti'uli a!# ati%ities&
the tiki!$ of the 'etro!o'e or the fi$ure o! the ar#boar# are the o!ly e%e!ts o! )hih
the #o$'s atte!tio! a! fous, there is !o o'petitio! bet)ee! #iffere!t i!puts, a!# thus the
ori$i!ally irrele%a!t sti'uli are $ra#ually tra!sfor'e# i!to rele%a!t sti'uli a!# e!o#e# i!
stable traes( Rele%a!t to )hatE To the o!ly biolo$ially i'porta!t e%e!ts )hih are
allo)e# to our u!#er the $lass bell0 the perio#i appeara!e of 'eat"po)#er by re'ote
o!trol( The #o$'s laboratory attitu#e is #o'i!ate# by this perio#ially repeate# e%e!t, a!#
as his pereptual hierarhy beo'es slo)ly rea#apte# to pay atte!tio!& i! the abse!e of
other sti'uli& to the irrele%a!t sou!# of the bell& the !ase!t trae of the bell"sou!# )ill
beo'e i!orporate# i!to the fee#i!$ hierarhy( If the sou!# of the bell al)ays o%erlaps
)ith the appeara!e of the 'eat"po)#er& the! the sou!# )ill e%e!tually tri$$er off the
fee#i!$ o#e& as the first t)o bars of the >arseillaise )ill tri$$er off the follo)i!$ bars, the
#o$ )ill be$i! to sali%ate( *ut sali%atio! is 'erely the first& a!tiipatory at of its fee#i!$
beha%iour& a!# if !o 'eat"po)#er is atually prese!te#& it )ill stop there, the #o$ )ill !ot
he) a!# s!ap at !othi!$( I! the abse!e of foo#& the fee#i!$ habit $ets !o 'e!%iro!'e!tal
fee#bak'& a!# the ati%ity o'es to a halt at the e-peta!t& sali%atory sta$e( It is /uite
u!true& therefore& to say that the 'o!#itio!e# sti'ulus'& e($( the bell& has bee! 'substitute#'
for the 'u!o!#itio!e# sti'ulus'& the 'eat"po)#er( :hat happe!e# )as that the #o$ has
lear!e#& by the u'ulati%e effet of its past e-perie!e& to expect the appeara!e of the
'eat"po)#er after the bell& beause that is the 'rule of the $a'e'( He sali%ates& not beause
he o!fuses the bell )ith foo#& but beause he e-pets the foo#& si$!alle# by the bell( :e
a! say& )ith Pol\!yi 7458& that the #o$ has arri%e# at a orret e'pirial i!#utio!, or )ith
Craik& that the #o$'s !er%ous syste' is !o) fu!tio!i!$ 'as a alulati!$ 'ahi!e apable of
'o#elli!$ or parallelli!$ e-ter!al e%e!ts' )hih is 'the basi feature of thou$ht a!# of
e-pla!atio!' 79C8, or i! our o)! ter's& that the i!%aria!t fator i! a repeate# se/ue!e or
e-perie!es has bee! e!o#e# i! the #o$'s brai!(

All this is a far ry fro' the o!eptio! of refle- ars i! )hih USs& CSs& URs& a!# CRs
are 'eha!ially ouple# to$ether or substitute# for eah other like rail)ay arria$es i! a
shu!ti!$ yar#( I! fat& the #o$'s beha%iour i! the stra!$e& artifiial u!i%erse )here re# li$hts
porte!# foo# a!# 'etro!o'es eletri shoks& is e'i!e!tly 'lo$ial', a!# the reaso! )hy it
takes so lo!$ to sta'p i! the lesso! is that the #o$ 'ust rea#apt its e!tire attitu#e a!#
hierarhy of %alues "" of )hat is i'porta!t i! life a!# )hat is !ot "" to that u!i%erse& )here
!atural la) is replae# by Pa%lo%'s la), a ki!# of Niet+shea! NU')ertu!$ aller :erteN(
Perhaps the hi$hest ahie%e'e!t of the #o$ is lear!i!$ to #isri'i!ate bet)ee! 'ore or less
flatte!e# ellipses "" for u!like its sharp pith"#isri'i!atio!& base# o! !ati%e e/uip'e!t&
$eo'etrial for's 'ust represe!t the hei$ht of irrele%a!e i! a!i!e eyes( Bet o!e
rele%a!e has bee! re%alue#& a!# the pereptual a!alyser"#e%ies ha%e bee! establishe#& the
#e%elop'e!t of sharper sub"a!alysers or #isri'i!atory filters 'ust follo) the sta$es
outli!e# i! Chapter H(D

I! a see'i!$ly asual asi#e& Hebb has re'arke# that 'the harateristi a#ult lear!i!$
1outsi#e of psyholo$ial laboratories2 is lear!i!$ that takes plae i! a fe) trials& or i! o!e
o!ly'( 7948 The i'pliatio! is that the sta'pi!$"i! of respo!ses u!#er artifiial o!#itio!s i!
#o$s& ats& or rats is /uite u!harateristi of the !or'al lear!i!$ proess( To try to base a
hu'a! psyholo$y o! these proe#ures )as a rather per%erse approah(


<o I!sets ha%e I!si$htE

The )ork of *aere!#s& #e Kruyt& Ti!ber$e!& a!# Thorpe )as rarely 'e!tio!e# i! the
o!tro%ersies to )hih I ha%e referre#& as if )asps& bees& fishes& a!# bir#s belo!$e# to the
fau!a of a!other pla!et( As Thorpe re'arke# )istfully0 'Perhaps the ar$u'e!ts as to
)hether ertai! perfor'a!es' of rats i! 'a+es represe!t i!si$ht or trial"a!#"error lear!i!$
)oul# ha%e bee! so'e)hat less prolo!$e# if the abilities of so'e of the Nlo)er a!i'alsN&
suh as i!sets& ha# bee! k!o)!( ( ( ( :hile it surprises !o o!e that so'ethi!$ like late!t
lear!i!$ shoul# be #isplaye# by 'a''als a!# by bir#s )ith their pro%erbial po)ers of
orie!tatio!& it 'ay o'e as so'ethi!$ of a shok to o'parati%e psyholo$ists )ho )ork
pri'arily )ith 'a''als to fi!# lear!i!$ of this ki!# #isplaye# at a hi$h le%el a'o!$
i!%ertebrates( It is true that& )ith the o!fir'atio! of the )ork of %o! Frish o! the
orie!tatio! of the hi%e"bee& )e are !o) prepare# to belie%e al'ost a!ythi!$ of bees& but
there are ertai!ly 'a!y i!sets other tha! bees& a!# 'a!y i!%ertebrates other tha! i!sets&
i! )hih late!t lear!i!$ a!# si'ilar perfor'a!es a! be #iser!e#( The !e$let of the
stu#y of i!%ertebrate beha%iour has $i%e! the i'pressio! that i!si$ht"lear!i!$ is a
harateristially hu'a! faulty har#ly to be e-pete# i! a sub"pri'ate 'a''al a!#& of
ourse& out of the /uestio! i! a! arthropo#( :e !o) see )hat a! asto!ishi!$ 'iso!eptio!
this is(' 7998

:hile beha%iourists #e!ie# the rat the apability to a/uire a 'e!tal 'ap of a 'a+e& the
etholo$ists ha%e sho)! that this is preisely )hat i!sets #o( Their )ork 'erits
o!si#eratio! i! so'e #etail "" )hih is #o!e best by te-tual /uotatio!( Ti!ber$e! a!# #e
Kruyt ha%e trai!e# )asps to fi!# their )ay to the !est by a o!fi$uratio! of ertai!
la!#'arks 1suh as fir"o!es a!# t)i$s2( :he! these trai!i!$ 'arks )ere 'o%e#& a!# the
)asp 'i$ht ha%e bee! e-pete# to sho) o'plete #isorie!tatio!& it ')ill su##e!ly utili+e
!e) la!#'arks o'pletely u!relate# to the pre%ious orie!tatio! 'arks o! )hih it ha#
appare!tly bee! trai!e# "" a result )hih has i!teresti!$ a!# su$$esti%e si'ilarity to
Krehe%sky's )ork o! hypotheses i! 'a+e"lear!i!$( >a!y suh e-a'ples lea# us
i'pereptibly to )hat )e 'ay o!si#er as i!si$ht"lear!i!$( A''ophila hu!ts aterpillars
)hih are too hea%y to be brou$ht bak o! the )i!$& a!# )hih 'ay thus ha%e to be
#ra$$e# for a hu!#re# yar#s or 'ore aross a!# throu$h e%ery i'a$i!able !atural obstale(
Here the ori$i!al lear!i!$ of the territory has probably bee! i! the 'ai! affete# by
obser%atio! fro' the air& a!# yet the retur! has to be 'a#e o! foot( Althou$h the i!set 'ay
fro' ti'e to ti'e lea%e her prey a!# take short sur%ey fli$hts& this is by !o 'ea!s
i!%ariable ( ( ( a!# /uite ofte! the )asp see's able to 'ai!tai! orie!tatio! )hile o! the
$rou!# as a result of earlier aerial reo!!aissa!e(' 79A8 :he! lar$e obstales 1'etal
sree!s IC by 49C e!ti'etres2 )ere plae# i! its path& 'the i!set #i%er$e# .ust e!ou$h to
arry it rou!# the obstale o! a perfetly s'ooth& e%e! ourse of 'a-i'u' eo!o'y of
effort( O! o!e partiular oasio! the e-peri'e!t )as i''e#iately repeate# t)ie )ith the
sa'e results& but the thir# ti'e the i!set )alke# strai$ht at the sree!& li'be# )ith perfet
ease to the top a!#& )ithout e%er letti!$ $o of its aterpillar& fle) #o)! to the $rou!# o! the
other si#e a!# o!ti!ue# its .our!ey( O! subse/ue!t oasio!s this i!set )oul# a#opt !o)
o!e type of beha%iour& !o) a!other& but i! !o i!sta!e #i# she e%er sho) trial a!# error(
The solutio! to the proble' )as al)ays s'ooth& u!hesitati!$& a!# eo!o'ial(
This a!# other i!#i%i#uals )hih beha%e# i! the sa'e )ay )ere the! au$ht a!#
tra!sporte# i! a #ark bo- to a !e) site& a proess taki!$ less tha! a 'i!ute( O! release the
i!set 'i$ht ha%e bee! e-pete# to be at least 'o'e!tarily #isorie!tate#( O! the o!trary& it
appeare# /uite u!perturbe# a!# )ithout a!y orie!tatio! fli$ht set out at o!e o! its !e)
ourse( It )as a$ai! $i%e! the #etour test three ti'es o! its !e) ourse& but it reate# as
effiie!tly as before a!# )ithi! a fe) 'i!utes ha# arri%e# e-atly o! its !est( Althou$h the
i!set too& o! oasio!& sho)s so'e e%i#e!e of #isorie!tatio!& !e%ertheless the
o%er)hel'i!$ i'pressio! $i%e! 1as also reor#e# by *aere!#s 145642 a!# other )orkers2
)as o!e of al'ost u!a!!y k!o)le#$e of the #etails of the terrai!(' 7968 Thorpe o!lu#es0
'I! so'e i!sta!es it is possible that the ho'i!$ faulty #epe!#s o! !o 'ore elaborate
se!sory 'eha!is' tha! that i!%ol%e# i! si'ple ta-es or li$ht"o'pass reatio!s(
Ne%ertheless& it is ertai! that i! a lar$e !u'ber of e-a'ples this is i!a#e/uate a!# that )e
ha%e a true plae 'e'ory( 79I8
I! the ase of at least the ho!ey"bee& the 'e'ory is o''u!iable( The orie!tatio! #a!e
of the bee is ertai!ly as striki!$ a! e-a'ple as o!e oul# )ish for& of plae"lear!i!$
e!o#e# a!# re"o#e# i!to a sy'boli 'otor"patter!( Bet a$ai! the /uestio! arises0 if&
follo)i!$ Thorpe& )e all the beha%iour of these i!sets 'i!si$htful'& ha%e )e !ot strethe#
the )or# i!to a ki!# of rubber o!eptE A!# o!e 'ore the o!ly #esriptio! )hih i'plies
!either too 'uh !or too little see's to be that the or$a!is' has o!tri%e# to buil# a o#e#
'o#el of the i!%aria!t a!# si$!ifia!t aspets of the territorial e!%iro!'e!t i!to its !er%ous
syste'(


The Co!tro%ersial Rat

>u!!'s Handbook of Psychological !esearch on the !at& publishe# i! 45IC& o!tai!s a
biblio$raphial list of o%er t)o thousa!# fi%e hu!#re# titles, its rate of $ro)th si!e the! is
a!ybo#y's $uess( A o!si#erable portio! of this researh )as #e%ote# to 'a+e stu#ies( Not
e%e! Ne)to!& as *ertra!# Russell re'arke# 79@8& oul# lear! a 'a+e by a!y 'etho# other
tha! trial a!# error, yet )hat the rat lear!s is !ot a hai! of respo!ses& but the patter! of the
'a+e as a )hole "" as sho)! by the e-peri'e!ts )ith 'utilate# rats& a!# i! others )here
the rat takes pro'pt a#%a!ta$e of short"uts )he! a )all is re'o%e#& a!# a%oi#s !e)ly
reate# ul"#e"sas( The e%i#e!e is e/ually o!lusi%e that the rat is apable of late!t
lear!i!$ a!# of for'i!$ 'hypotheses' by 'pro%isio!al tries'( Bet the ;reat Rat Co!tro%ersy
)as kept $oi!$ "" partly beause S("R( theorists kept o'i!$ up )ith i!$e!ious alter!ati%e
i!terpretatio!s of the e%i#e!e& a!# partly beause of the )ei$hte# harater of 'uh of the
e-peri'e!tal proe#ure itself( A $oo# illustratio! for this )as the 'o!ti!uity %ersus !o!"
o!ti!uity' #ispute& )here Spe!e a!# others represe!te# the beha%iourist %ie) a$ai!st
Kreh& =ashley& et( The results oul# be i!terprete# either or !either )ay, but "" as Os$oo#
)rote& i! su''i!$ up the o!tro%ersy0 'It is si$!ifia!t )ith respet to 'etho#olo$y i!
psyholo$ial e-peri'e!tatio! that& al'ost )ithout e-eptio!& the stu#ies supporti!$ the
=ashley %ie) ha%e use# the .u'pi!$ sta!#& )hile those supporti!$ the o!ti!uity %ie) ha%e
use# a Berkes"type #isri'i!atio! bo-(' 79O8

Not o!ly the e-peri'e!tal o!#itio!s& but the e-peri'e!ters' sub.eti%e attitu#es see'e# to
e-ert their i!flue!e o! the #ata obtai!e#( I! this respet Rose!thal's 'e-peri'e!t o!
e-peri'e!ters' 'ust ha%e o'e as a shok to stu#e!ts )ho ha# take! at least the 'har# a!#
fast' /ua!titati%e #ata 1if !ot the i!terpretatio!s2 of !early half a e!tury of rat e-peri'e!ts
for $ra!te#( Rose!thal $a%e o!e $roup of his researh )orkers rats )hih& he e-plai!e#&
)ere '$e!iuses' speially bre# fro' a stok )ith e-eptio!ally $oo# 'a+e"lear!i!$ reor#s(
To a seo!# $roup of researhers he $a%e )hat he e-plai!e# )ere 'stupi# rats'( I! fat& all
rats )ere of the sa'e o''o!"or"$ar#e! bree#, yet the sore"sheets of the '$e!ius rats'
sho)e# u!'istakably that they lear!e# to ru! the 'a+e 'uh faster tha! the 'stupi# rats'(
79F8 The o!ly e-pla!atio! Rose!thal oul# offer )as that the bias i! the researh")orkers'
'i!#s ha# so'eho) bee! tra!s'itte# to the rats "" .ust ho) this )as #o!e he o!fesse# !ot
to k!o)( These a!# other e-peri'e!ts by Rose!thal ause# o!e sie!e e#itor to o''e!t0
'The results thro) a pall o%er the e!tire ra!$e of psyholo$ial tests as reporte# by the
psyholo$ists o%er the last fifty years(' 7958

Thus I shall ha%e little 'ore to say about the bar"pressi!$ a!# 'a+e"ru!!i!$ e-peri'e!ts
)ith rats( I! spite of the i'pressi%e 'athe'atial apparatus& a!# the pai!staki!$
'easure'e!ts of 'rates of respo!se'& 'habit"stre!$th'& 'fratio!al a!tiipatory $oal"respo!ses'&
a!# the rest& rarely i! the history of sie!e has a 'ore a'bitious theory bee! built o!
shakier fou!#atio!s(


The Cat i! the *o-

The at i! the pu++le bo-& i! Thor!#ike's lassi e-peri'e!ts& is also put i!to a situatio! so
#esi$!e# that it a! be sol%e# o!ly by trial a!# error( The bo- is e/uippe# )ith o!tri%a!es
suh as ri!$s& loops& tur!i!$ bolts& pe#al boar#s& et(& a!# )ith a #oor )hih ope!s&
aor#i!$ to the e-peri'e!t& )he! the a!i'al operates o!e of these o!tri%a!es& or se%eral
of the' i! a $i%e! or#er( Thus the at 'ay ha%e to tur! bolt * )hih& ho)e%er& beo'es
loose o!ly after bolt A has alrea#y bee! tur!e#, or it 'ay ha%e to pull a stri!$& or a loop& i!
or#er to free itself( :he! the at is put i!to the bo-& it 'tries to s/uee+e throu$h a!y
ope!i!$, it la)s or bites at the bars or )ire, it thrusts its pa)s out throu$h a!y ope!i!$&
a!# la)s at e%erythi!$ it reahes, it o!ti!ues its efforts )he! it strikes a!ythi!$ loose a!#
shaky, it 'ay la) at thi!$s )ithi! the bo-( It #oes !ot pay %ery 'uh atte!tio! to the foo#
outsi#e& but see's si'ply to stri%e i!sti!ti%ely to esape fro' o!fi!e'e!t( The %i$our
)ith )hih it stru$$les is e-traor#i!ary( For ei$ht or te! 'i!utes it )ill la) a!# bite a!#
s/uee+e i!essa!tly(' 7AC8

The at's beha%iour is typial of that phase i! a 'bloke#' situatio!& )here or$a!i+e#
beha%iour #isi!te$rates a!# yiel#s to 'ore or less ra!#o' trials( The solutio! "" pushi!$ a
bolt or pulli!$ a loop or e%e! liki!$ itself "" )ill be first hit upo! by ha!e& a!# after a
!u'ber of repetitio!s& it )ill be retai!e#, the lear!i!$ ur%e )ill be 'ore or less o!ti!uous
or it 'ay sho) a su##e!& sharp #rop( The ob.etio!s a$ai!st this ki!# of e-peri'e!tal
#esi$! are esse!tially the sa'e as a$ai!st lassial o!#itio!i!$0 they reate a! artifiial
u!i%erse( 'The solutio! of Thor!#ike's proble's #e'a!#e# beha%iours that )ere /uite
beyo!# the a!i'al's !or'al repertoire( Cats #o !ot $et out of bo-es by pressi!$ butto!s or
by )ashi!$ the'sel%es, rather they try to s/uee+e throu$h !arro) ope!i!$s or srath at the
barriers& a!# Thor!#ike's a!i'als )ere obser%e# atte'pti!$ .ust suh solutio!s as part of
their early trial a!# error( I! other )or#s& the orret respo!se i! a situatio! like Thor!#ike's
oul# o!ly be hit upo! by sheer& bli!# ha!e(' 7A48

The o!lusio! )hih Thor!#ike a!# his follo)ers #re) fro' these e-peri'e!ts "" 'that
a!i'als are i!apable of hi$her 'e!tal proesses suh as reaso!i!$ a!# i!si$ht "" that they
are li'ite# to the stamping%in a!# stamping%out 'o#e of trial a!# error' "" is o!e of the 'ost
asto!ishi!$ e-a'ples of /uestio!"be$$i!$ i! the history of 'o#er! sie!e( O!e 'i$ht .ust
as )ell a#apt Thor!#ike's 'etho# of reaso!i!$ to hu'a! e#uatio!& teah hil#re!
!o!se!se syllables )hih a! o!ly be lear!e# by rote& a!# the! o!lu#e that hil#re! are
o!ly apable of lear!i!$ by rote( A!# yet& to /uote Hil$ar#0 'for !early half a e!tury o!e
lear!i!$ theory #o'i!ate# all others i! A'eria& #espite !u'erous attaks upo! it a!# the
rise of its 'a!y ri%als( It is the theory of E#)ar# =( Thor!#ike(' 7A98 Tol'a!& )riti!$ forty
years after the publiatio! of Thor!#ike's 3nimal Intelligence& )e!t e%e! further0
The psyholo$y of a!i'al lear!i!$ "" !ot to 'e!tio! that of hil#"lear!i!$ "" has bee! a!#
still is pri'arily a 'atter of a$reei!$ or #isa$reei!$ )ith Thor!#ike& or tryi!$ i! 'i!or
)ays to i'pro%e upo! hi'( ;estalt psyholo$ists& o!#itio!e#"refle- psyholo$ists& si$!"
;estalt psyholo$ists "" all of us here i! A'eria see' to ha%e take! Thor!#ike& o%ertly or
o%ertly& as our starti!$ poi!t( 7A9a8
Cat e-peri'e!ts of a type #ia'etrially oppose# to Thor!#ike's )ere arrie# out by
A#a's( It is a'usi!$ to o'pare the #esriptio! of the beha%iour of Thor!#ike's ats )hih
I ha%e .ust /uote#& )ith the beha%iour of A#a's' ats0
A piee of li%er is suspe!#e# fro' the top of a )ire"a$e& so that the li%er rests o! the floor
i!si#e the a$e& loosely hel# by the threa#( A hu!$ry at i! the roo' )ith the a$e& but
outsi#e it& sees the li%er a!# )alks o%er to the a$e( It hesitates for a ti'e a!# its hea#
'o%es up a!# #o)! as thou$h it is stu#yi!$ the stri!$( The! it .u'ps o! top of the a$e&
athes the stri!$ i! its 'outh& raises the li%er by .oi!t use of 'outh a!# pa)& a!# leaps
#o)! )ith the stik at the e!# of the stri!$ i! its 'outh( 7AA8
The beha%iour of A#a's' at& first 'thi!ki!$ out' the solutio! of the proble'& the! ati!$ it
out i! a! u!hesitati!$& s'ooth& purposeful 'a!!er& is of the sa'e ki!# as K[hler's
hi'pa!+ees'( The o!trast bet)ee! this type of i!telli$e!t proble'"sol%i!$& a!#
Thor!#ike's sta'pi!$"i! proess see's to be o'plete( Bet the at's lear!i!$ i! the bo- is
by !o 'ea!s the bli!#& ra!#o' proess )hih Thor!#ike a!# his follo)ers rea# i!to it( I!
the first plae )e 'ust reali+e that the at's ha!#iap lies !ot o!ly& as i! lassial
o!#itio!i!$& i! the irrelevance of the lues )hih i! its !atural e!%iro!'e!t the at )oul#
i$!ore, but also i! the fat that the lue "" say& a loop ha!$i!$ fro' the eili!$ "" is hi##e!
or '#ro)!e#' a'o!$ other e/ually irrele%a!t lues "" lathes& bolts& et( The u!!atural!ess of
the tasks set i! these e-peri'e!ts is illustrate# by the 'lik"yourself"to"esape' type of rule(
Bet e%e! i! this surrealisti u!i%erse& the at's beha%iour testifies to a re'arkably hi$h I(J(
After the i!itial be)il#er'e!t& as a#.ust'e!t to the laboratory situatio! pro$resses& the
ra!$e of the at's tries )ill be !arro)e# #o)!& a!# loops& bolts& et(& )ill be pai# a!
i!reasi!$ 'ou!t of atte!tio!& as 'e'bers of the !ase!t 'atri-( The at #e%elops& like
Pa%lo%'s #o$s& a! attitu#e of e-peta!y& of '>ea!s"E!# Rea#i!ess' 1Tol'a!2, it be$i!s to
for' 'hypotheses'( 7A68 Thus& )he! the at has lear!e# to $et out of the bo- by la)i!$ at a
loop& a!# the loop is the! #isplae# fro' the fro!t to the rear )all of the bo-& it )ill lear! to
free itself 'uh /uiker tha! before it ha# abstrate# the loop";estalt fro' other lues( If&
ho)e%er& the loop is replae# by a s'all )oo#e! platfor' hu!$ i! the sa'e plae )hih the
loop oupie# before& the a!i'al )ill free itself after a short )hile by striki!$ at the
platfor', i! this ase& the loatio! is the lue( Thus the 'loop hypothesis' a! e-ist si#e by
si#e )ith the 'plae hypothesis' "" .ust as Krehe%sky's rats& )ho ha# to $uess )hether the
foo# )as hi##e! by a #oor of a $i%e! olour& or of a $i%e! loatio!& for'e# first a olour
hypothesis& the! a plae hypothesis( 7AI8

At this sta$e& the at's beha%iour a! be #esribe# as a series of 'pro%isio!al tries'( 7A@8
These tries& far fro' bei!$ $o%er!e# by ha!e& sho) $reat plastiity0 if the at has lear!e#
to esape by puRRi!$ a stri!$ )ith its foot& it 'ay o! the !e-t oasio! free itself by pulli!$
the stri!$ )ith its teeth& )hih re/uires a! e!tirely #iffere!t se/ue!e of 'otio!s( E%e!
)here the 'orret' respo!se )as the per%erse atio! of liki!$ its o)! fur& the at is re#ue#
i! the fi!al trials 'to a 'ere sy'boli %esti$e(' 7AO8
:hihe%er )ay )e look at it& the at's beha%iour is 'ost fitti!$ly "" if so'e)hat
'etaphorially "" #esribe# as lear!i!$ the rules of Thor!#ike's $a'e by a proess of
eli'i!atio! a!# e'pirial i!#utio!( The lear!i!$ ur%e is a fu!tio! of se%eral %ariables0 it
)ill sho) $ra#ual or su##e! pro$ress& o!ti!uity a!# #iso!ti!uity& aor#i!$ to the
e-peri'e!tal o!#itio!s& i!#i%i#ual lear!i!$ apaity& fati$ue& a!# ha!e(
NOTES
To p( II5( Hil$ar# alls Hull's syste' 'the 'ost i!flue!tial of the theories bet)ee! 45AC
a!# 45IC& .u#$i!$ fro' the e-peri'e!tal a!# theoretial stu#ies e!$e!#ere# by it& )hether
i! its #efe!e& its a'e!#'e!t or its refutatio!' 1Hil$ar#& 45IF& p( 4592(

To p( II5( The ob.etio! to this is !ot that Hull postulate# a o!ti!uous series li!ki!$ rat to
'a!& but that his 'pri'ary la)s' are epito'i+e# by the bar"pressi!$ at of the rat& )hih he
re$ar#e# as the ato'i u!it of beha%iour( The fallay of this reaso!i!$ see's to be #eri%e#
fro' Hull's i'plie# !otio! of 'e!tal pro$ress fro' rat to 'a! as a li!ear $ra#ie!t( Theories
of this ki!# fail to take i!to aou!t the hierarhi pri!iple i! 'e!tal e%olutio! "" reflete#
i! the hierarhy of le%els i! the !er%ous syste'( If i!stea# of li!ear $ra#ie!ts& )e thi!k i!
ter's of le%els of i!reasi!$ o'ple-ity& the! a #iffere!e i! #e$rees #oes beo'e a
#iffere!e i! ki!#( Si!e the basi 'eha!is's of se-ual repro#utio! are o''o! to all
'a''alia! speies& Hull's postulate see's to i'ply that #etaile# stu#y of se-ual beha%iour
i! the rat )oul# e%e!tually yiel# the 'pri'ary la)s' u!#erlyi!$ the Ki!sey reports o! the
se-ual beha%iour of the A'eria! 'ale a!# fe'ale( Ho'olo$ue pri!iples 1suh as the
part")hole relatio!& or o!trol by fee#bak2 #o operate o! all le%els& but they are $e!eral
pri!iples& !ot speifi 'u!its' or 'ato's' of beha%iour(

To p( I@I( Co#i!$ is a! irre%ersible at& a!# o!e the o#e is establishe#& it )ill be
relati%ely per'a!e!t "" u!til it #eays( If& ho)e%er& the #o$ is foole# repeate#ly a!# i!
/uik suessio! 1''asse# pratie'2& i(e( foo# is )ithhel# after the bu++er has sou!#e#& a
!e$ati%e o#e )ill superi'pose itself o! the pre%ious o!e( The first fe) ti'es the respo!se
)ill stop at sali%atio! short of he)i!$, but soo! it )ill stop short of sali%atio!( After a fe)
hours' rest& ho)e%er& sali%atio! is restore# by 'spo!ta!eous reo%ery' "" a para#o- )hih has
be#e%ille# lear!i!$ theory for a lo!$ ti'e( Perhaps the e-pla!atio! 'ay be sou$ht o! the
follo)i!$ li!es( The )hole attitu#e of the #o$& as it has beo'e a#apte# to the laboratory
situatio!& is base# o! the e-petatio! that all sti'uli are e%e!ts rele%a!t to foo#, a!# that the
!e$ati%e o#e 1bu++er "" Z !o foo#2& if it has bee! /uikly superi'pose# o! the positi%e o!e
1bu++er "" Z foo#2& is of a 'ore te'porary a!# brittle !ature tha! its oppo!e!t( If& ho)e%er&
the u!re)ar#e# si$!als are spae# out o%er a $reater le!$th of ti'e& i(e( if the e-ti!tio!"
#rill appro-i'ates i! thorou$h!ess the ori$i!al #rill& e-ti!tio! beo'es fi!al 1Cf( e($(
Hebb& 45IF& pp( 4A6"I& 46O2(




HIII
THE PITFA==S OF ;ESTA=T
>ore about Chi'pa!+ees
If the S("R( theorist's 'etho# of #esi$!i!$ e-peri'e!ts see's to be ai'e# at pri!ti!$ a
)iri!$ iruit i!to the a!i'al's !er%ous syste'& K[hler's 'etho# )as to pro%i#e it )ith a
#o"it"yourself kit( The 'ai! task of the e-peri'e!ter& as K[her sa) it& )as to arra!$e for
his hi'pa!+ees o!#itio!s )hih fa%our ori$i!al #iso%ery by plai!$ the !eessary
parapher!alia i! their a$e "" soli# a!# hollo) stiks& rates& et(, a!# to 'ake the task .ust
#iffiult e!ou$h to e-ee#& by a fratio! as it )ere& the li'it of the a!i'al's repertory of
skills(
I ha%e 'e!tio!e# a fe) typial e-a'ples of the hi'pa!+ees' ahie%e'e!ts i! *ook O!e
1Chapter 32( I! the use of tools the #eisi%e fator )as the #iso%ery that a pre%iously
a/uire# playful teh!i/ue >4 oul# be applie# as a 'e#iati!$ perfor'a!e to sol%e a
proble' i! the bloke# 'atri- >9( Nue%a applie# her stik "" )hih pre%iously she ha#
use# o!ly for pushi!$ thi!$s about i! play "" to rake i! a ba!a!a plae# beyo!# her reah
outsi#e the a$e( I! si'ilar )ays& the hi'pa!+ees use# stiks as .u'pi!$ poles to $et at
fruit hu!$ hi$h fro' the eili!$, as i'ple'e!ts to 'ake holes i! the )ire"!etti!$ of the
a$e& to #i$ up roots i! the earth or to prise ope! the li# of a )ater"ta!k, they use# stiks as
traps to apture ro)#s of suule!t a!ts& a!# as )eapo!s for stabbi!$ at fo)ls a!# killi!$
li+ar#s( Eah of these !e) ahie%e'e!ts )as base# o! the o'bi!atio! of t)o or 'ore
alrea#y e-isti!$ skills& a!# so'e of the' o! serial se/ue!es of 'Eureka proesses'0 )he! a
hi'p ha# #iso%ere# the use of a stik as a rake& a short stik )as the! use# to rake i! a
lo!$er stik to rake i! the ba!a!as(

I! the making of tools )e sa) si'ilar bisoiati%e proesses at )ork( Sulta!'s star
ahie%e'e!t )as the fitti!$ of t)o hollo) ba'boo"ro#s to$ether i!to o!e lo!$ ro#& by
pushi!$ the e!# of the thi!!er ro# i!to the ope!i!$ of the other( =et 'e #esribe this
e-peri'e!t i! so'e #etail0
Sulta! is $i%e! the t)o stiks& a!# the ba!a!a is plae# at a #ista!e fro' the bar $reater
tha! the le!$th of eah si!$le stik( For /uite a )hile he tries to reah the ba!a!a )ith o!e
stik or the other 1>4 obstrute#& ra!#o' trials2( He the! pulls a )oo#e! bo-& )hih has
bee! use# i! a #iffere!t type of e-peri'e!t& to the bar 1fu'bli!$ for so'e >9 to pro%i#e
the ''e#iati!$ perfor'a!e'2( He pushes the useless bo- a)ay a$ai!& pushes o!e stik
outsi#e the bar o! the $rou!# as far as it )ill $o a!# pro#s it )ith the seo!# stik to)ar#s
the ba!a!a 1>A0 Sulta! lear!e# lo!$ a$o to push a lo!$er stik about )ith a shorter o!e2(
He suee#s i! pushi!$ the first stik i!to o!tat )ith the ba!a!a& but ob%iously a!!ot
pull the ba!a!a i!( Ne%ertheless& he repeats the proe#ure0 )he! he has pushe# o!e stik
out of his reah a!# it is $i%e! bak to hi'& he starts o!e 'ore( '*ut althou$h& i! tryi!$ to
steer it autiously& he puts the stik i! his ha!# e-atly to the ut 1i(e( the ope!i!$2 of the
stik o! the $rou!#& a!# althou$h o!e 'i$ht thi!k that #oi!$ so )oul# su$$est the
possibility of pushi!$ o!e stik i!to the other& there is !o i!#iatio! )hate%er of suh a
pratially %aluable solutio! 7!o Ni!si$htN8( Fi!ally& the obser%er 7i(e( K[hler8 $i%es the
a!i'al so'e help by putti!$ o!e fi!$er i!to the ope!i!$ u!#er the a!i'al's !ose 1)ithout
poi!ti!$ to the other stik at all2( This has !o effet 7still !o i!si$ht8, Sulta!& as before&
pushe# o!e stik )ith the other to)ar#s the ob.eti%e( ( ( (
He fi!ally aba!#o!s the atte'pt alto$ether( These tries ha%e laste# o%er a! hour( The hi'p
)as the! left i! the keeper's are& )ho reporte# later o!0
Sulta! first of all s/uats i!#iffere!tly o! the bo-& )hih has bee! left sta!#i!$ a little bak
fro' the raili!$s, the! he $ets up& piks up the t)o stiks& sits #o)! a$ai! o! the bo- a!#
plays arelessly )ith the'( :hile #oi!$ this& it happe!s that he fi!#s hi'self hol#i!$ o!e
ro# i! either ha!# i! suh a )ay that they lie i! a strai$ht li!e, he pushes the thi!!er o!e a
little )ay i!to the ope!i!$ of the thiker& .u'ps up a!# is alrea#y o! the ru! to)ar#s the
raili!$s& to )hih he has up to !o) half tur!e# his bak& a!# be$i!s to #ra) a ba!a!a
to)ar#s hi' )ith the #ouble stik( I all the 'aster0 'ea!)hile& o!e of the a!i'al's ro#s
has falle! out of the other& as he has pushe# o!e of the' o!ly a little )ay i!to the other,
)hereupo! he o!!ets the' a$ai!( 748
He!eforth Sulta! !e%er ha# a!y #iffiulty i! o!!eti!$ t)o ro#s, a!# later o! e%e! three(


At first si$ht& Sulta!'s ahie%e'e!t appears !ot as a! i!te$ratio! of e-isti!$ skills& but as
the i!%e!tio! of a totally !e) o!e( Ho)e%er& o''e!ti!$ o! the keeper's report& K[hler
says0 1'y italis2 'The keeper e'phasi+e# the fat that Sulta! ha# first of all connected the
sticks in play and without considering the ob5ective 7the ba!a!a8( The a!i'als are
o!sta!tly poki!$ about )ith stra)s a!# s'all stiks i! holes a!# raks i! their play& so
that it )oul# be 'ore asto!ishi!$ if Sulta! ha# !e%er #o!e this 7i(e( poki!$ the thi!!er ro#
i!to the hole of the other8& )hile playi!$ about )ith the t)o stiks(' 798

Thus the #iso%ery a$ai! follo)e# the fa'iliar patter! of a playful habit bei!$ o!!ete#
)ith a bloke# 'atri-& )ith ha!e ati!$ as a tri$$er( =ater o!& a thir# 'atri- )as a##e#0
Sulta! ha# lear!e# lo!$ a$o to sharpe! stiks by biti!$ off spli!ters& so that they oul# be
use# to poke i! keyholes, !o) this skill )as use# to 'ake t)o stiks fit to$ether(
Ob%iously& Sulta! )oul# !e%er ha%e i!%e!te# this sophistiate# 'etho# of tool"'aki!$ if
eah of the three o'po!e!t skills 1raki!$& poki!$& sharpe!i!$2 ha# !ot bee! pre"e-isti!$
ite's of his habit"repertory( The 'ore fa'iliar a!# )ell e-erise# eah of the 'atries& the
'ore likely it is that the a!i'al )ill sol%e the proble' a!#& other thi!$s bei!$ e/ual& the
less it )ill #epe!# o! the helpi!$ ha!# of ha!e( 1I! the ase of the t)o ba'boo ro#s
)hih 'happe!e#' to fit eah other "" a ha!e )hih the a!i'al )ill rarely e!ou!ter i! the
)oo#s "" )e ha%e a! e-a'ple of '$ui#e# lear!i!$'0 the e-peri'e!ter ser%es as a 'ath"
'aker i! lieu of the fa%ourable ha!e e%e!t, the rest is up to the pupil(2


U!ifor' Fators i! =ear!i!$

Sulta!'s ori$i!al ahie%e'e!ts a!!ot be e-plai!e# either by sta'pi!$"i!& or by
spo!ta!eous i!spiratio! out of the blue, they are i!te$ratio!s of e-isti!$& fle-ible skills& of
pre%iously u!o!!ete# o#es of beha%iour i!to 'ore o'ple- o#es of a hi$her or#er( I!
o!#itio!i!$ a!# rote"lear!i!$& the !e) o#e has to be for'e# 'ore or less fro' srath&
'ore or less bit by bit( This '#rilli!$ i!' is a $ra#ual& u'ulati%e proess, )hereas the
bisoiatio! of t)o 'atries appears as a su##e! fusio!( *ut i! bet)ee! these opposite
e-tre'es )e fi!# a $ra#e# series of lear!i!$ 'etho#s& )ith ertai! basi features o''o!
to all( =et 'e e!u'erate a fe) of these o''o! features(

The hi'pa!+ee& strai!i!$ to reah a ba!a!a behi!# the bus& remembers the stik lyi!$ out
of si$ht, he ru!s to $et it a!# uses it as a rake( This has bee! 'e!tio!e# i! the early ;estalt
literature as o!e of the riteria of i!si$ht lear!i!$( *ut 'e'ory e!ters i!to all lear!i!$
proesses( Thus rete!tio! i! #elaye# reatio! tests has bee! sho)! to last i! ats fro' three
to thirtee! hours& i! hi'pa!+ees up to forty"ei$ht hours( 7A8 A!other feature )hih )e fi!#
i! all types of o!#itio!i!$ a!# lear!i!$& fro' Pa%lo% up)ar#& is expectancy and
anticipatory behaviour( O!e the sta$e of i!itial be)il#er'e!t or frustrate# ra$e is passe#&
a!# the a!i'al has e'barke# o! 'lear!i!$ to lear!'& ra!#o' trials are superse#e# by less
ra!#o' 'fu'bli!$ tries', a!# these i! tur! by hypotheses( At the 'fu'bli!$' sta$e& Sulta!'s
beha%iour i! the stik"o!!eti!$ e-peri'e!t sho)s !o 'ore i!si$ht tha! the at's0 his
fethi!$ of the )oo#e! bo- a!# atte'pts to push o!e stik )ith the seo!#& )ere /uite
i!appropriate( O! the other ha!#& ho)e%er& )e ha%e 'et )ith ple!ty of e-a'ples of
o'parable fu'bli!$s a'o!$ hu'a! $e!iuses "" of )il# $uesses a!# i!appropriate tries
pree#i!$ the at of #iso%ery( If )e re'e'ber that Kepler spe!t se%e! years of trial a!#
error& pursui!$ false i!spiratio!s a!# )ro!$ hypotheses before the #iso%ery of his First
a!# Seo!# =a)s& )e are le# to reali+e the subtleties a!# )i#e appliatio!s of the try"
'etho# "" a!# ho) o'pletely )ro!$ it is to e/uate it )ith bli!# ra!#o' beha%iour( The
ra!$e of lear!i!$ by trial a!# error e-te!#s fro' relati%ely hapha+ar# tries throu$h the
)hole $ra#e# series& to the relati%e ertai!ty of i!#uti%e i!fere!e( O! the lo)er reahes
the trials are e-pliit a!# ofte! te'pera'e!tal& like the fra!ti atte'pts of Thor!#ike's ats
to $et out of the bo-, o! the hi$her reahes& they assu'e 'ore a!# 'ore the harater of
i'pliit hypothesis "" A#a's' at 'o%i!$ its hea# up a!# #o)! as it ')orks out' the 'ea!s
of $etti!$ at the li%er suspe!#e# fro' the stri!$( =astly& at the top of the series& the i!%e!tor
toys )ith a! i#ea i! his hea# before taki!$ the 'ore e-pliit step of tryi!$ out se%eral
alter!ati%e skethes o! paper, after )hih he 'ay proee# to 'aki!$ a rou$h 'o#el "" a!
e%e! 'ore e-pliit& but !e%ertheless 'erely sy'boli try( The )riter& $ropi!$ for the ri$ht
a#.eti%e& )ill sa'ple se%eral )ith his literary taste"bu#s, e%e! the =or# Al'i$hty&
aor#i!$ to ;e!esis& proee#e# by trial a!# error& as )it!esse# by the pai!ful episo#e of
the Floo#(


Criteria of I!si$ht =ear!i!$

So far& the!& )e ha%e a o!ti!uous series of lear!i!$ 'etho#s& )here the a'ou!t of
re/uire# sta'pi!$"i! #ereases i! proportio! to the a!i'al's ripe!ess for the e-peri'e!tal
task( *ut& aor#i!$ to the o!te!tio!s of the ;estalt shool& there is a #eisi%e break i! the
o!ti!uity of the series )hih puts i!si$htful lear!i!$ i!to a ate$ory apart fro' other
'etho#s of lear!i!$, a!# this break is sai# to be reflete# i! the a!i'al's harateristi
beha%iour at the 'o'e!t the true i!si$htful solutio! ours( I! this %ie)& Sulta!'s trial"a!#"
error beha%iour )as 'erely a preliminary to the true solutio!& )hih e'er$es )ith #ra'ati
su##e!!ess a!# all i! a piee, )hereas i! trial"a!#"error lear!i!$ it e'er$es $ra#ually(

The hief #esripti%e harateristis of 'i!si$ht' )hih ha%e bee! propose# by %arious
authors are as follo)s0 1a2 #ra'ati su##e!!ess, 1b2 'the appeara!e of a o'plete solutio!
)ith refere!e to the )hole layout of the fiel#' 768, 12 the s'ooth& u!hesitati!$ 'a!!er i!
)hih the solutio! is 'su##e!ly& #iretly a!# #efi!itely' 7I8 arrie# out, 1#2 the solutio! of
the proble' pree#es the atual e-eutio! of it 7@8, 1e2 the solutio! is retai!e# after a si!$le
perfor'a!e, 1f2 !o%elty of the solutio!( 7O8 It is further'ore $e!erally assu'e# that
'i!si$ht' is losely relate# to& if !ot sy!o!y'ous )ith& i!telli$e!e a!# u!#ersta!#i!$ a!#&
by i'pliatio!& that trial"a!#"error lear!i!$ is !ot so or to a lesser #e$ree so( This last poi!t&
ho)e%er& I shall #isuss later, first let us tur! to the purely descriptive aspets of 'i!si$ht
lear!i!$'(

:he! K[hler's e-peri'e!ts are #isusse#& the authors usually selet the star perfor'a!es
of Sulta!& a!# it is ofte! o%erlooke# that these )ere rather i! the !ature of rare li'it ases(
I! the e-peri'e!t I a' $oi!$ to #esribe& a you!$ hi'pa!+ee& Koko& )as fae# )ith the
proble' ho) to $et a ba!a!a hu!$ hi$h fro' the )all( The o!ly solutio! )as to push a
)oo#e! bo- u!#er!eath the ba!a!a a!# to li'b o! the bo-( Thou$h Koko is #esribe# by
K[hler as '.ust as $ifte# as Sulta!'& it took hi' !o less tha! !i!etee! #ays to lear! this ""
)hereas he ha# lear!e# to rake i! a ba!a!a )ith a stik i! a fe) 'i!utes( The use of stiks
is part of the hi'pa!+ee's repertory of habits "" but there are !o )oo#e! bo-es lyi!$ about
i! the forest( Ho)e%er& before the e-peri'e!t )as starte#& Koko )as $i%e! a s'all )oo#e!
bo- as a toy, 'he pushe# it about a!# sat o! it for a 'o'e!t'( He )as the! re'o%e# to
a!other a$e a!# i! his abse!e the ba!a!a )as suspe!#e# fro' the )all& three or four
yar#s a)ay fro' the )oo#e! bo- 1the italis are K[hler's0 by 'ob.eti%e' he 'ea!s ba!a!a20

Koko ( ( ( first .u'pe# strai$ht up)ar#s se%eral ti'es to)ar#s the ob.eti%e& the! took his
rope i! his ha!#& a!# trie# to lasso the pri+e )ith a loop of it& oul# !ot reah so far& a!#
the! tur!e# a)ay fro' the )all& after a %ariety of suh atte'pts& but )ithout !otii!$ the
bo-( He appeare# to ha%e $i%e! up his efforts& but al)ays retur!e# to the' fro' ti'e to
ti'e( After so'e ti'e& o! tur!i!$ a)ay fro' the )all& his eye fell o! the bo-0 he
approahe# it& looke# strai$ht to)ar#s the ob.eti%e& a!# $a%e the bo- a sli$ht push& )hih
#i# !ot& ho)e%er& 'o%e it, his 'o%e'e!ts ha# $ro)! 'uh slo)er, he left the bo-& took a
fe) paes a)ay fro' it& but at o!e retur!e#& a!# pushe# it a$ai! a!# a$ai! )ith his eyes
o! the ob.eti%e& but /uite $e!tly& a!# !ot as thou$h he really i!te!#e# to alter its positio!(
He tur!e# a)ay a$ai!& tur!e# bak at o!e& a!# $a%e the bo- a thir# te!tati%e sho%e& after
)hih he a$ai! 'o%e# slo)ly about( The bo- ha# !o) bee! 'o%e# 4C e!ti'etres i! the
#iretio! of the fruit( The ob.eti%e )as re!#ere# 'ore te'pti!$ by the a##itio! of a piee
of ora!$e 1the !o! plus ultra of #eli$htG2& a!# i! a fe) seo!#s Koko )as o!e 'ore at the
bo-& sei+e# it& #ra$$e# it i! o!e 'o%e'e!t up to a poi!t al'ost #iretly be!eath the
ob.eti%e 1that is& he 'o%e# it a #ista!e of at least three 'etres2& 'ou!te# it a!# tore #o)!
the fruit( A bare /uarter of a! hour ha# elapse# si!e the be$i!!i!$ of the test( 7F8
All's )ell that e!#s )ell( *ut it #oes !ot( A fe) 'i!utes later the e-peri'e!t )as repeate#
"" after the ba!a!a ha# bee! 'o%e# about three yar#s fro' its for'er positio!& )hile the
bo- )as left sta!#i!$ )here Koko ha# #ra$$e# it( :he! Koko )as le# bak o!to the sta$e0

he spra!$ at the !e) ba!a!a i! the sa'e 'a!!er as before& but )ith so'e)hat less
ea$er!ess, at first he i$!ore# the bo-( After a ti'e he su##e!ly approahe# it& sei+e# a!#
#ra$$e# it the $reater part of the #ista!e to)ar#s the !e) ba!a!a& but at a #ista!e of a
/uarter of a 'etre he stoppe#& $a+e# at the ba!a!a& a!# stoo# as if /uite pu++le# a!#
o!fuse#( A!# !o) be$a! a tale of )oe for both Koko a!# the bo-( :he! he a$ai! set
hi'self i! 'otio! it )as )ith e%ery si$! of ra$e& as he k!oke# the bo- this )ay a!# that&
but a'e !o !earer to the ob.eti%e( After )aiti!$ a little the e-peri'e!t )as broke! off( 758

This tale of )oe o!ti!ue# for !i!etee! #ays #uri!$ )hih the e-peri'e!t )as repeate# at
%aryi!$ i!ter%als, a!# e%e! after)ar#s& )he! the !e) skill )as fir'ly establishe# at last& its
perfor'a!e still alter!ate# for a )hile )ith ra!#o' trials(

<oes Koko's beha%iour satisfy the #esripti%e riteria of i!si$ht lear!i!$E

1a2 .uddenness( Bes& it #oes "" beause at the li'ati 'o'e!t of the first e-peri'e!t& the
solutio! #i# appear su##e!ly a!# all of a piee( No& it #oes !ot "" beause prior to it Koko
ha# 'a#e se%eral half"hearte# atte'pts at the orret solutio! a!# yet aba!#o!e# the'( 1b2
'Co'plete solutio! )ith refere!e to the )hole lyout to the fiel#'( The a!s)er is& No( 12
'S'ooth& u!hesitati!$& #iret a!# #efi!iti%e' "" o! o!e oasio!& Bes& o! the others& No( 1#2
'Solutio! pree#es e-eutio! of solutio!' "" yes a!# !o( 1e2 'Solutio! retai!e# after a si!$le
perfor'a!e' "" #efi!itely No( 1f2 No%elty "" yes(

K[hler's o)! o''e!ts o! this e-peri'e!t are re%eali!$( Althou$h i! *he &entality of
3pes he stresses that the $ulf bet)ee! Trial"a!#"Error a!# I!si$ht is u!bri#$eable 1'the
o!trast is absolute' 74C82& his o''e!t o! Koko's i!itial hesitatio!s a!# fu'bli!$s )ith the
bo- is0 'there is o!ly o!e e-pressio! that really fits his beha%iour at that .u!ture0 it's
be$i!!i!$ to #a)! o! hi'G' 7448 =et us !ote that for about te! #ays after that first suess&
Koko kept 'a!ipulati!$ the bo-& so'eti'es ai'lessly& so'eti'es a!$rily& a!# #uri!$ this
)hole perio# '!o trae of a solutio! appeare#& e-ept a! e/ui%ale!t of the )or#s0 Nthere's
so'ethi!$ about that bo-N(' 7498 I! a!other passa$e K[hler says 1italis K[hler's20 'It 'ay
happe! that the a!i'al )ill atte'pt a solutio! )hih& )hile it 'ay !ot result i! suess& yet
has so'e 'ea!i!$ i! re$ar# to the situatio!( *rying around the! o!sists i! atte'pts at
solutio! i! the half%understood situatio!(' 74A8


Preo!#itio!s of I!si$ht

No 'ore !ee# be sai# to pro%e that if )e apply the #esripti%e riteria )hih I ha%e
e!u'erate#& )e fi!# a $ra#e# series fro' 'tryi!$ arou!#'& throu$h the '#a)!i!$' of the
solutio!& to the li'it ase of the su##e! solutio!( *ut li'it ases at the e!# of a $ra#e#
series #o !ot re/uire a separate set of postulates to e-plai! the'( The break i! atual
beha%iour& the #isrete a!# u!itary harater of the solutio! i! these ases a! be e-plai!e#
i! ter's )hih are also appliable to other for's of lear!i!$( Thus )ith re$ar# to riterio!
1a2 )e a! say that the su##e!!ess of the solutio! is #ue to the tri$$er atio! of ha!e i! a
situatio! )hih )as ripe for solutio! "" that is to say& )here the a!i'al's repertory
o'prises all the re/uisite si!$le skills& a!# )here all that is !ee#e# is a li!k to o'bi!e
the' i!to a o'ple- skill "" e($( Sulta! ai#e!tally pushi!$ o!e ro# i!to the ope!i!$ of the
other( I! other ases "" Sulta! tur!i!$ rou!# to pik up the re'e'bere# stik "" )here
ha!e plays !o part& 'e'ory pro%i#es the li!k, but 'e'ory e!ters i!to all for's of
lear!i!$( Re$ar#i!$ 12 a!# 1#2 1s'ooth& u!itary e-eutio! of the at& i!#iati!$ that it has
bee! thou$ht out before bei!$ ate# out2& )e 'ay say that the a!i'al has for'e# a
hypothesis& or arrie# out a! i'pliit try& follo)e# by e-pliit perfor'a!es of the at( Rats&
ats& a!# #o$s also sho) this brief suspe!sio! of ati%ity& this 'attitu#e of o!e!trate#
atte!tio!' 7468 before they at out a hypothesis "" )hih 'ay or 'ay !ot be the orret o!e(
1e2 Rete!tio! after a si!$le perfor'a!e a! be i!terprete# as 'i!#utio! base# o! a si!$le
ase' "" as the hik& fro' a si!$le e-perie!e& #ra)s the orret e'pirial i!fere!e that all
i!!abar aterpillars are to be a%oi#e#( =astly& 1f2& novelty is of ourse also ahie%e# )he!
the at lear!s the ope!"sesa'e trik i! the pu++le"bo-( To ar$ue that the at's !o%el
respo!se )as a/uire# by Trial a!# Error& the hi'p's by I!si$ht& is to ar$ue i! a irle&
si!e !o%elty itself is suppose# to ser%e as a #iffere!tial riterio!(

Thus Sulta!'s Eureka proesses& once we have got rid of thinking in ..%!. schemata& are
i!terpretable i! ter's of the sa'e theory )hih o%ers all lo)er for's of lear!i!$( They
'ake a spetaular i'pressio!& beause 1si!e the separate skills )hih ha# to be i!te$rate#
i!to the !e) skill )ere )ell"e-erise# ite's i! his repertory of habits2& the proble' to be
sol%e# )as .ust o!e step beyo!# the li'its of that repertory& a!# all )as set for a si!$le
spark to tri$$er off the fusio!(

At the opposite e!# of the lear!i!$ sale& the #o$ i! Pa%lo%'s laboratory is !ot e/uippe#
)ith pre"e-iste!t rules of the $a'e )hih oul# be o'bi!e# )ith eah other, it 'ust
construct a new code of rules& starti!$ 'ore or less fro' srath( Therei! lies the 'ai!
#iffere!e( The #o$ 'ust start )ith a! a$o!i+e# reappraisal of )hih e!%iro!'e!tal e%e!ts
are rele%a!t a!# )hih are !ot, the! e-trat a!# o#ify the reurre!t i!%aria!t features fro'
the sti'uli pro'ote# to si$!ifia!e, the! #isri'i!ate bet)ee! fi!er features )ithi! those
features( The rat 'ust piee to$ether& bit by bit& his o$!iti%e 'ap of the 'a+e, the at 'ust
$ra#ually e-trat& by e'pirial i!#utio!& the rules of Thor!#ike's $a'e fro' a surrealisti
u!i%erse(

The ''issi!$ li!k' i! bet)ee! the at a!# Sulta! is pro%i#e# by Koko( He #oes !ot ha%e to
start fro' srath, he has alrea#y playe# )ith the bo-, he has sat o! it a!# pushe# it about(
:as his first suessful solutio! of the proble' a ra!#o' tryE Certai!ly !ot( It ha# all the
'#ra'ati su##e!!ess& s'ooth!ess& #iret!ess a!# #efi!ite!ess' that o!e a! )ish for( It )as
'ore tha! a 'pro%isio!al try'& rather like a hypothesis )hih arrie# i'pliit o!%itio!, yet
o! the other ha!#& it ha# bee! pree#e# by hesita!t atio! alo!$ the orret li!es )hih )as
aba!#o!e#, a!# it )as suee#e# by for$etti!$ all but a fra$'e!t of the suessful solutio!
"" the fra$'e!t 'there is so'ethi!$ about that bo-'(

The reaso! for this para#o-ial beha%iour is e%i#e!t( Koko ha# to o'bi!e t)o skills, the
reahi!$".u'pi!$"li'bi!$ skill >4& a!# #isplai!$ the bo- to ser%e as a platfor'& >9( *ut
>9 is !ot part of the hi'p's habit"repertory, i! all K[hler's e-peri'e!ts )ith 'a!ipulati!$
bo-es a!# putti!$ the' o! top of eah other& his hi'ps pro%e# surprisi!$ly stupi#(D Thus
the skill of 'a!ipulati!$ bo-es is !ot a )ell"e-erise#& 'rea#y"'a#e' ite' i! Koko's
repertory, a!# Koko is !ot really ripe for the task set for hi'& beause >9 is still too
te!tati%e a!# u!stable to beo'e fir'ly attahe# to >4, li!ki!$ #i# our i! a luky
'o'e!t& but the li!k broke a$ai!( This #esriptio! presupposes that the bo-"'a!ipulati!$
skill )as #e%elopi!$ i!#epe!#e!tly fro' ba!a!a"olleti!$& as a purely playful oupatio!
"" as it #i# i! fat )he! Koko )as 'a#e to play )ith the bo- before the e-peri'e!t starte#(
A!# it further presupposes that if Koko ha# bee! $i%e! suffiie!t ti'e to beo'e profiie!t
i! that playful skill& the! he )oul# ha%e beo'e ripe for a true bisoiati%e at( I!stea# of
this& ho)e%er& he )as le# to for' a 'pre'ature li!ka$e' bet)ee! bo-es a!# ba!a!as 1f(
*ook O!e& IH2(

This i!terpretatio! #iffers fro' K[hler's 'appeara!e of a o'plete solutio! )ith refere!e
to the )hole layout of the fiel#', or rather& it speifies the o!#itio! u!#er )hih suh a
'o'plete solutio!' has a ha!e to our( *ut our i!terpretatio! is bor!e out by later
e-peri'e!ts by others& i! )hih hi'pa!+ees )ere $i%e! the sa'e raki!$ task as set by
K[hler( O!e hi'pa!+ee out of si- ha# pre%iously use# stiks i! play, this a!i'al )as the
o!ly o!e )hih ha# the 'i!si$ht' to rake i! the foo# plae# outsi#e the a$e, the other fi%e
faile#& althou$h the stik )as lyi!$ i! plai! %ie)( For the !e-t three #ays all si- hi'ps
)ere $i%e! stiks to play )ith( They use# the stiks& as usual& to push a!# poke& but !e%er
as a rake( The! the e-peri'e!t )as repeate# "" a!# all si- stiks tur!e# i!to rakes i!sta!tly(
74I8 E-peri'e!ts )ith #o$s reare# i! isolatio! a!# the! set 'i!si$ht situatio!' tasks& $a%e
si'ilar results( 74@8

It 'ay see' pe#a!ti to lay so 'uh stress o! the i!#epe!#e!t pri'ary #e%elop'e!t of
skills )hih are later o'bi!e#' i! the ''o'e!t of truth'( *ut the poi!t #oes beo'e
rele%a!t o! hi$her le%els( The e-peri'e!tal sie!es of eletriity a!# 'a$!etis'
#e%elope# i!#epe!#e!tly& a!# the #iso%ery of eletro"'a$!eti i!#utio! )as a truly
bisoiati%e at, i! o'pariso! to it the subse/ue!t i'pro%e'e!ts of eletro'a$!ets )ere a
pe#estria! proe#ure( The pre%ious i!#epe!#e!e of the o$!iti%e strutures )hih are
'a#e to fuse i! the reati%e at is& as )e sa) before& o!e of the riteria of ori$i!ality, I shall
retur! to the sub.et i! the fi!al hapter(


The A'bi$uities of ;estalt

The ;estalt theory )as #e%elope# i! ;er'a!y& before :erthei'er& K[hler& a!# Koffka
settle# i! A'eria, a!# the ori$i!al ;er'a! ter' for i!si$ht )as 'Ei!siht'( I! a foot!ote o!
pa$e 954 of the E!$lish tra!slatio! of *he &entality of 3pes )e rea# 1'y italis20 'The
;er'a! )or# 6insicht is re!#ere# by both NintelligenceN and NinsightN throu$hout this
book( The lak of a! a#.eti%e #eri%e# fro' the !ou! Ni!si$htN& apart fro' other
o!si#eratio!s& 'akes this proe#ure !eessary(

I! this asual foot!ote )e fi!# the lue to the sa# o!fusio! )hih has be#e%ille# the
o!tro%ersy fro' its be$i!!i!$0 ;estalt theorists use# the )or# 'i!si$ht' i!#isri'i!ately to
'ea! either 1A2 i!telli$e!e& u!#ersta!#i!$& .u#$e'e!t& k!o)le#$e i! $e!eral& or 1*2
speifially the a/uisitio! of !e) u!#ersta!#i!$ a!# k!o)le#$e u!#er the su##e! a!#
#ra'ati iru'sta!es speifie# i! the pre%ious setio!( *y e/uati!$ 1A2 )ith 1*2& the
;estaltists )ere le# to re$ar# 1*2 as the o!ly type of 'i!telli$e!t' lear!i!$& e%erythi!$ else as
'bli!#' lear!i!$, a!# their e-pla!atio!s of )hy a!# ho) lear!i!$ of type 1*2 ours beo'e
u!a%oi#ably tautolo$ial( Thus K[hler )rites0
:e a!& i! our o)! e-perie!e& #isti!$uish sharply bet)ee! the ki!# of beha%iour )hih
fro' the %ery be$i!!i!$ arises out of a o!si#eratio! of the struture of a situatio!& a!# o!e
that #oes !ot( O!ly i! the for'er ase #o )e speak of i!si$ht& a!# o!ly that beha%iour of
a!i'als #efi!itely appears to us i!telli$e!t )hih takes aou!t fro' the be$i!!i!$ of the
lay of the la!#& a!# proee#s to #eal )ith it i! a si!$le& o!ti!uous& a!# #efi!ite ourse(
He!e follo)s this 'riterio! of i!si$ht0 the appeara!e of a o'plete solutio! )ith refre!e
to the )hole layout of the fiel#( 74O8 1K[hler's italis2(
*ut a fe) pa$es further )e rea#0 'trying around o!sists i! atte'pts at solutio! i! the half%
understood situatio!, a!# the real solutio! 'ay easily arise by so'e ha!e outo'e of it&
i(e( it )ill !ot arise fro' ha!e i'pulses& but fro' atio!s& )hih& beause they are au
fond se!sible& are $reat ai#s to ha!e'( 74F8 K[hler further speaks of the '#a)!i!$' of the
solutio! a!# of '$oo# errors' "" that is& tries i! the ri$ht #iretio! %a$uely se!se#( Thus
K[hler a#'its that i!si$ht i! the se!se 1*2 is a 'atter of appro-i'atio!& a!# 'ay be
ahie%e# i! se%eral steps& o!sisti!$ of 'ore or less 'se!sible' hypotheses a!# tries, yet i!
other passa$es he asserte# the e-at opposite& !a'ely that the riterio! of i!si$ht )as 'the
appeara!e of a o'plete solutio! ( ( ( i! a si!$le o!ti!uous a!# #efi!ite ourse'(

To $et out of this o!fusio!& let 'e #isti!$uish bet)ee! t)o proble's, firstly& )hat
o!stitutes u!#ersta!#i!$ or I!si$ht A, a!# i! the seo!# plae& ho) !e) u!#ersta!#i!$ or
I!si$ht * is a/uire#( Re$ar#i!$ the seo!# proble'& )e ha%e see! that the #ra'ati
Eureka proess is !ot the rule& but rather a! e-eptio!al li'it ase, a!# that u!#ersta!#i!$
or I!si$ht A e!ters to %aryi!$ #e$rees i!to all for's of lear!i!$(

=et us e-a'i!e for a 'o'e!t the ;estalt shool's a!s)er to the first proble'0 the !ature of
u!#ersta!#i!$ or I!si$ht A( O! pa$e 945 of *he &entality of 3pes )e rea# that it is base#
'o! the $rasp of a 'aterial& i!!er relatio! of t)o thi!$s to eah other ( ( (', 'relatio!' bei!$
further #efi!e# as a! 'i!tero!!etio! base# o! the properties of these thi!$s the'sel%es&
!ot a fre+uent following each other or occurring together'( The 'ea!i!$ of these
for'ulatio!s beo'es learer i! K[hler's later book 145652( There this ''aterial' 'i!!er'
relatio! bet)ee! t)o thi!$s is e-presse# as 'our feeli!$ of so'ethi!$ !aturally #epe!#i!$
o! so'ethi!$ else'( 7458 '*et)ee! the attitu#e a!# its se!sory basis )e e-perie!e )hat i!
;er'a! is alle# ihr sahliher ]usa''e!ha!$ ( ( (', a!# sachlicher Eusammenhang is
tra!slate#& )ith so'e hesitatio!& as 'i!tri!si o!!etio!'( This a$ai! is use# sy!o!y'ously
)ith 'e-perie!e# #eter'i!atio!' suh as that pre%aili!$ 'bet)ee! a #isease a!# its $er''(
79C8 A$ai!0 'Here !ot o!ly the result is e-perie!e#& but also %ery 'uh of its why a!# how
is felt i! .ust the atual o!te-t( :here%er this is the ase )e apply the ter' insight(' *ut
'%ery 'uh' is a relati%e ter'& a!# its use as a! all"or"!o!e riterio! "" ')here%er this is the
ase' "" a$ai! o!fuses the issue( Tur!i!$ to Koffka& )e fi!# that he e-plai!s the #iffiulties
o!fro!ti!$ the at i! the proble'"bo- by the fat that the atio!s )hih it 'ust perfor' to
$ai! release are to the at 'ob.eti%ely 'ea!i!$less'& that they ha%e '!o sort of i!ter!al
o!!etio! )ith release'& that they ha%e !o ''aterial relatio!' or 'i!tri!si relatio!' )ith the
ope!i!$ of #oors& a!# so o!(

It shoul# be lear by !o) that all these so'e)hat obsure ter's are sha'efae# refere!es
to physical causality& a!# that the positio! of the ;estalt shool boils #o)! to the tautolo$y
that the a!i'al's beha%iour is the 'ore i!telli$e!t the 'ore i!si$ht it has i!to ausal
relatio!s( Nobo#y )ill /uarrel )ith this state'e!t, but it e!tirely be$s the e!tral /uestio!
of lear!i!$ theory0 !a'ely& by )hat proesses a!# 'etho#s that i!si$ht i!to ausal relatio!s
is ac+uired( The loop i! the pu++le"bo-& at the be$i!!i!$ of its trai!i!$& 'ea!s !othi!$ to
the at, at the e!# of its trai!i!$ it 'ea!s esape( Ho) is this 'ea!i!$ a/uire#E Throu$h
trial"a!#"error lear!i!$& hypotheses& et( The proble' a! !o) be re"for'ulate# as follo)s0
a! lear!i!$ by trial a!# error result i! '$e!ui!e' solutio!s& a! it pro%i#e a orret& or true&
or 'ea!i!$ful represe!tatio! of the ausal o!!etio! bet)ee! loop a!# #oorE :e a! e%e!
$o o!e step further a!# ask the sa'e /uestio! )ith re$ar# to lassial o!#itio!i!$( If the
#o$ oul# e-press itself i! K[hler's ter'i!olo$y& it )oul# !o #oubt a!s)er that the sou!# of
the $o!$ 'si$!als' or ''ea!s' foo#& that a! 'ob.eti%ely 'ea!i!$ful o!!etio!'& a! 'i!tri!si
o!!etio!' or sachlicher Eusammenhang& e-ists bet)ee! the t)o( A!# this state'e!t
)oul# e!tirely orrespo!# to fat& beause i! the laboratory u!i%erse this se/ue!e is
!atural la)( Of ourse so'e o!!eti!$ li!ks are 'issi!$ i! the #o$'s i!!er 'o#el of that
la)0 the i!te!tio!s of ;o# Pa%lo% )ho has #eree# it are u!k!o)! to the #o$( *ut suh
$aps our o! all le%els of o$!iti%e proesses( :he! the a%era$e iti+e! tur!s o! his ra#io
he has about as 'uh i!si$ht i!to the 'i!tri!si o!!etio!s' bet)ee! the k!ob a!# the
sou!#& the ')hys' a!# 'ho)s'& the 'i!tero!!etio!s base# o! the properties of the thi!$s
the'sel%es'& the 'total layout of the fiel#' as Pa%lo%'s #o$s ha%e(

U!#ersta!#i!$ is a 'atter of appro-i'atio!( If )e hol#& )ith Craik& that the basi
ahie%e'e!t of the !er%ous syste' is #eri%e# fro' its po)er to parallel or 'o#el e-ter!al
e%e!ts 7948& the! the at )hih has lear!e# to ope! the #oor by tu$$i!$ at the loop a! be
sai# to ha%e 'a#e a orret& if ru#e& 'o#el of a ausal se/ue!e( The ru#e!ess of the
'o#el is 'ai!ly #ue to the fat that the rope o!!eti!$ the loop a!# the #oor is hi##e!
fro' the at's si$ht "" )hereas u!#er !or'al o!#itio!s the at a! 'see )hat it is #oi!$'(
*ut this #iffere!e is o!e of #e$ree !ot of ki!#, a!# it is !ot .ustifiable to ar$ue "" as ;estalt
theorists ha%e oasio!ally #o!e "" that beause the at a!!ot see the o!!etio!& it has !o
'i!si$ht'( *eause si$ht is our 'ai! se!se or$a!& )e ha%e o'e to use the )or#s 'I see' as
sy!o!y'ous )ith 'I u!#ersta!#'( The ;estalt shool )ith its stro!$ e'phasis o! %isual
pereptio! has arrie# this te!#e!y to e-tre'es& a!# thus a'e to belie%e that to ha%e all
rele%a!t fats of a situatio! or proble' lai# out before o!e's eyes is both !eessary a!#
suffiie!t for its u!#ersta!#i!$( 7998 I! fat& of ourse& it is !either( Rats lear! to k!o) a
'a+e& a!# to for' a 'e!tal 'ap of it "" )hih a'ou!ts to as o'plete a! u!#ersta!#i!$ of
the situatio! as o!e oul# )ish for "" )ithout ha%i!$ bee! offere# a bir#'s eye %ie) of it(
Nor is seei!$ a sufficient o!#itio! for k!o)i!$ i! hi'pa!+ees or hu'a!s& e%e! if the
')hole fiel#' o!tai!i!$ all the !eessary lues is lai# out i! full %ie)( Thus Sulta!
establishes a %isual o!!etio! )ith the ba!a!a outsi#e the a$e by pushi!$ o!e stik
to)ar#s it )ith a seo!# stik& but that proe#ure #oes !ot testify to 'uh i!si$ht( I! other
e-peri'e!ts& )here a stri!$ is attahe# to the ba!a!a a!# o!e or 'ore stri!$s are lai# out i!
the %ii!ity& Sulta! )ill pull at ra!#o' at a!y of the stri!$s& althou$h he a! learly see
)hih stri!$ is o!!ete# to the ba!a!a& )hih is !ot(D The you!$ hil# beha%es i! si'ilar
)ays, Pia$et has alle# this phe!o'e!o! 'optial realis''( It 'o!sists i! o!si#eri!$ thi!$s
as bei!$ )hat they appear to be i! i''e#iate pereptio! a!# !ot )hat they )ill beo'e
o!e they ha%e bee! i!serte# i! a syste' of ratio!al relatio!s tra!se!#i!$ the %isual fiel#(
Thus the hil# i'a$i!es that a stik a! #ra) a! ob.et beause it is besi#e it or touhes it&
as thou$h optial o!tat )ere e/ui%ale!t to a ausal li!k( 7998
A#ults are also /uite ofte! u!able to u!#ersta!# ho) a si'ple 'eha!is' )orks althou$h
it is lai# bare before their eyes( The %isual o!urre!e of all ele'e!ts )hih belo!$ to the
proble' failitates u!#ersta!#i!$ 1i! %arious #e$rees aor#i!$ to speies& see pre%ious
!ote2& but #oes !ot $uara!tee or i'ply it, it #oes !ot pro%i#e a '#iret a!# o'plete' i!si$ht
i!to the ausal o!!etio!s of the situatio!& !or& e-ept i! ertai! ases& #oes it oasio! a
'o'plete a!s)er aor#i!$ to the total layout of the fiel#'( E%e! i! relati%ely si'ple
situatio!s there are al)ays $aps i! u!#ersta!#i!$ the 'i!tri!si 'aterial relatio!s' bet)ee!
thi!$s( :hy a! I pull but !ot push a! ob.et )ith a stri!$E :hat are the )hys a!# ho)s of
ri$i#ity& fle-ibility& ohesio!& et(E :hy is a he'p"or# stro!$er tha! a paper"or#& a!# less
elasti tha! a rubber"or#E Our i!si$ht i!to the 'i!!er 'aterial relatio! of phe!o'e!a' is full
of 'issi!$ li!ks& so to speak, the 'o#el of the outsi#e )orl# )hih )e for' i! the 'atri-
of our 'i!#s represe!ts& by the %ery !ature of that 'atri-& !ot a poi!t"to"poi!t
orrespo!#e!e but a poi!t"to"blur orrespo!#e!e& a 'ore or less rou$h appro-i'atio!(
Not o!ly this blurre# 'irostruture& but e%e! the 'arostruture of the u!i%erse& a!# the
la)s )hih $o%er! it& put us i!to 'uh the sa'e perple-e# o!#itio! as the at )hih has to
i!fer& by e'pirial i!#utio!& the la)s )hih Thor!#ike 'a#e i! his )is#o'( A!# the at's
beha%iour i! the bo- is& i! fat& a first appro-i'atio! to the 'etho#olo$y of e-at sie!e as
for'ulate# by Craik0 'i!#utio! supporte# by e-peri'e!ts to test hypotheses'( 7968
It is !eessary to re'i!# oursel%es of these truis's& beause the o!tro%ersies i! lear!i!$
theory ha%e al'ost 'a#e us lose the' fro' si$ht( The e-tre'e )i!$ of the *eha%iourists
has trie# to ba!ish the o!epts of u!#ersta!#i!$& 'e'ory& purpose& o!sious!ess&
hypothesis& fro' the $ro%es of Aa#e'e& to i!terpret trial a!# error as a ra!#o' proess&
a!# hu'a! i!#utio! as a! e/ually 'eha!ial affair( Classial ;estalt theory si!!e# i! the
opposite #iretio!, its attitu#e is epito'i+e#& e($( i! the passa$es fro' K[hler alrea#y
/uote#0 aor#i!$ to )hih true u!#ersta!#i!$ a! be #eri%e# o!ly fro' 'a! i!tero!!etio!
base# o! the properties of the thi!$s the'sel%es& not a fre+uent following each other or
occurring together(' To pay atte!tio! to the 'fre/ue!t follo)i!$ eah other' or 'ourri!$
to$ether' of t)o e%e!ts& )hih is so o!te'ptuously #is'isse# here is the %ery esse!e of
i!#uti%e i!fere!e( To /uote Russell a$ai!0 '=et there be t)o ki!#s of e%e!ts& 1a2 a!# 1b2
1e($( li$ht!i!$ a!# thu!#er2& a!# let 'a!y i!sta!es be k!o)! i! )hih a! e%e!t of the ki!#
1a2 has bee! /uikly follo)e# by o!e of the ki!# 1b2& a!# !o i!sta!es of the o!trary( The!
either a suffiie!t !u'ber of i!sta!es of this se/ue!e& or i!sta!es of suitable ki!#s& )ill
'ake it i!reasi!$ly probable that 1a2 is al)ays follo)e# by 1b2& a!# i! ti'es the
probability a! be 'a#e to approah ertai!ty )ithout li'it( ( ( (' 79I8 I!sta!es of a %ery
suitable& lear"ut ki!# "" that is to say& situatio!s for )hih the a!i'al is 'ripe'& 'ay the!
lea# to i!#uti%e ertai!ty #eri%e# fro' a si!$le ourre!e "" the hik i!ferri!$ that all
aterpillars of appeara!e 1a2 are ao'pa!ie# by a #is$usti!$ taste 1b2(
The 'istake of the lassial ;estalt shool )as to identify trial%and%error learning with
chain%reflex theory "" a historially u!#ersta!#able 'istake si!e the t)o )ere lu'pe#
to$ether i! the S("R( she'ata of Thor!#ike& Pa%lo%& :atso!& ;uthrie& et( Bet the history of
sie!e abou!#s )ith e-a'ples of brillia!t #iso%eries )hih )ere pree#e# by lo!$
perio#s of 'ore or less fu'bli!$ tries i! half"u!#erstoo# situatio!s( To try is to a#%e!ture,
a!# to /uote Russell o!e 'ore0 'If a! i!#utio! is )orth 'aki!$& it 'ay be )ro!$(' 79@8
The sa'e ki!# of bias le# to the ;estalt shool's u!o'pro'isi!$ re.etio! of a!y
assoiatio!ist theory of lear!i!$( A$ai! this ra#ial attitu#e is historially u!#ersta!#able as
a reatio! a$ai!st 'eha!isti i!terpretatio!s of assoiatio!s as ri$i# !eural o!!etio!s&
fi-e# path)ays& o!#itio!e# refle- ars a!# the rest( *ut the ;estalt shool #i# !ot suee#
i! offeri!$ a!y %ali# alter!ati%e of its o)! for assoiati%e 'e'ory( K[hler's trae theory&
elaborate# by Koffka& #oes !ot $i%e e%e! a re'ote lue as to ho) a %isual perept "" say a
ariature of Nelso!& )hih is 'piture#' by a! eletrolyti fiel#"urre!t i! the optial orte-
"" )ill ati%ate& 'by si'ilarity' the au#itory trae of the )or# 'Trafal$ar'( The i!flue!e of
past e-perie!e o! the prese!t is 'i!i'i+e# by K[hler )here%er possible& a!# lear!i!$ is
%irtually re#ue# to spo!ta!eous 'I!si$ht *'& )here !e) k!o)le#$e e'er$es all i! a piee
like >i!er%a i! full ar'our fro' ?upiter's hea#(
Aor#i!$ to K[hler& assoiatio! has to be '$i%e! up as a speial a!# i!#epe!#e!t
theoretial o!ept( It is !ot 'ore tha! a !a'e for the fat that or$a!i+e# proesses lea%e a
trae pituri!$ their or$a!i+atio! a!# that i! o!se/ue!e of it repro#utio!s are
possible( ( ( ( Our o!lusio! is& that assoiatio! #epe!#s upo! or$a!i+atio! beause
assoiatio! is .ust a! after"effet of a! or$a!i+e# proess(' 79O8 'Or$a!i+atio!' i! this o!te-t
'ea!s pereptual or$a!i+atio! "" that is to say& the a!i'al's i!!ate faulty to or#er its
pereptio!s i!to ;estalt"o!fi$uratio!s )hih arise spo!ta!eously as the 'e-perie!e# #iret
#eter'i!atio!' of 'ob.eti%ely 'ea!i!$ful i!tri!si o!!etio!s' base# o! the ')hys a!#
ho)s of the i!teratio! of the properties of the thi!$s the'sel%es' "" a!# so o!( ;estalt has
beo'e the ulti'ate pa!aea( As o!e riti re'arke#0 'The ;estalte! thus beo'e pri'ary
realities& e-iste!tial ulti'ates& i! ter's of )hih all e%e!ts shoul# be o'prehe!#e#(' 79F8
As so fre/ue!tly i! the history of sie!e& a shool of outsta!#i!$ ahie%e'e!ts has
suu'be# to the 'a$i po)er of a u!ifyi!$ for'ula( That for'ula& i! its tur!& is base# o!
a 'etaphysial assu'ptio!0 the e-iste!e of a! a priori orrespo!#e!e& or oor#i!atio!&
bet)ee! the physio"he'ial proesses i! the !er%ous syste' a!# the e%e!ts i! the outsi#e
)orl#( O)i!$ to K[hler's theory of 'psyho"physial iso'orphis''& the si$ht of a s/uare
$i%es rise to a fiel# urre!t i! the orte-& a!# 'this ortial proess 'ust ha%e the strutural
harateristis of the s/uare(' 7958 The 'i!tri!si'& ''aterial'& or ausal relatio!s i! the outer
)orl# are auto'atially 'irrore# by iso'orph eletro"he'ial ;estalt proesses i! the
brai!& a!# /insight/ turns out to mean the spontaneous operation of the isomorph faculty(
Thus the or$a!is' #oes !ot ha%e to buil# a sy'boli 'o#el of reality i! the !er%ous syste'
by the proesses of lear!i!$ "" suh as sa!!i!$& o#i!$& abstratio!& $ra#ual appro-i'atio!
throu$h i!#uti%e hypotheses, the iso'orph 'o#el i! the hea# is prefi$ure#& pote!tially
$i%e! i! its !ati%e pereptual or$a!i+atio!& a!# !ee# o!ly be activated by 'spo!ta!eous
i!si$ht'( To /uote Pol\!yi0
Fro' this pri!iple 1iso'orphis'2 it )oul# follo) that the )hole of 'athe'atis ""
)hether k!o)! or yet to be #iso%ere# "" is late!t i! the !eural traes arisi!$ i! a 'a!'s
brai! )he! he looks at the a-io's of Pri!ipia >athe'atia& a!# that the physio"he'ial
e/uilibratio! of these traes shoul# be apable of pro#ui!$ a erebral ou!terpart 1a o#e#
sript2 o'prisi!$ the e!tire bo#y of 'athe'atis( 7AC8
Thus the 'etaphysial assu'ptio!s of ;estalt psyholo$y lea# us 1as Koffka so'e)hat
reluta!tly a#'its 7A482 bak to the ki!# of 'faulty psyholo$y' aba!#o!e# about a e!tury
a$o, a!# ulti'ately to Plato, )hereas *eha%iouris' lea#s us ulti'ately bak to the ato'is'
of <e'oritus o'bi!e# )ith the septiis' of Elesiastes( K[hler's hi'ps look at the
)orl# throu$h the 'eyes of the soul', Hull's rats are )ire# 'ario!ettes .erke# about by a !o!"
e-iste!t puppet player(
Putti!$ T)o a!# T)o To$ether
Co!ti$uity is the :eus ex machina of *eha%iourists suh as :atso! a!# ;uthrie& a!# the
b_te !oire of ;estaltists& )ho re.et assoiatio! by o!ti$uity as 'bli!#' a!# ''ea!i!$less'(
'There is !ot a si!$le e-a'ple'& )rites K[hler& 'of a! effet pro#ue# by the i!teratio! of
t)o thi!$s or proesses /uite i!#epe!#e!tly of their properties( Ne%ertheless this is the
harater of the lassial la) of assoiatio! as )e fi!# it state# i! 'ost te-tbooks(' 7A98 I
a!!ot re'e'ber ha%i!$ see! a!y)here the la) state# i! /uite that for'& a!# K[hler's
#esriptio! is ob%iously a ariature, ho) a! t)o thi!$s i!terat 'i!#epe!#e!tly of their
properties'E <oes !ot the ter' 'i!teratio!' i'ply that properties of the i!terati!$ proesses
are i!%ol%e#E Co!ti$uity "" the o%erlappi!$ of t)o e%e!ts i! spaeti'e "" of a re$ular&
reurre!t ki!# is the base o! )hih i!#uti%e i!fere!e a! buil#( This applies& i'partially&
to the #o$ lear!i!$ that the $o!$ is a si$!al for foo#& a!# to Kepler obser%i!$ that the ti#es
follo) the 'oo!( Kepler o!lu#e# that there 'ust be a ausal o!!etio! bet)ee! the
'oo! a!# the ti#es& althou$h his i#eas of $ra%ity )ere of the 'ost errati ki!#, a!# his )as
a orret appro-i'atio!& follo)e# by the loser appro-i'atio!s of Ne)to! a!# Ei!stei! ""
thou$h )e are perhaps as far as e%er fro' '$raspi!$ the i!tri!si& 'aterial relatio!s' bet)ee!
bo#ies ati!$ at a #ista!e( >ore ofte! tha! !ot& the starti!$ poi!t of the sie!tist's i!/uiry
is 'post ho& er$o "" let's hope "" propter ho'( E%e! i! the rare li'it ase of the Eureka
proess& o!ti$uity "" the si'ulta!eous ati%ity i! the 'i!# of the t)o 'atries )hih are to
be i!te$rate# "" pro%i#es the li!k, a!# the pro%i#er 'ay e%e! be 'bli!# ha!e' "" a fu!$us
saili!$ throu$h the )i!#o) i!to Fle'i!$'s laboratory(
=ear!i!$& the!& i! the 'ost $e!eral se!se of the )or#& o!sists i! putti!$ t)o a!# t)o or A
a!# * to$ether( It 'ay be #o!e $ra#ually& by plo##i!$ throu$h hypotheses a!# eli'i!atio!s,
or all of a su##e!& follo)i!$ upo! a si!$le i'pliit try( A a!# * 'ay sta!# for reurre!t
features abstrate# fro' a series of perei%e# e%e!ts, or A 'ay be a si$!al"patter! re/uiri!$
the orret hoie of reatio! * a'o!$ other possible hoies, A a!# * 'ay be o#es of
beha%iour or u!i%erses of #isourse& eah o'plete i! itself a!# a#e/uate for routi!e tasks,
but to sol%e a ertai! !e) task they 'ust be put to$ether( If the sub.et is ripe for the
solutio!& the putti!$ to$ether a! our i! a si!$le flash( *ut let 'e repeat that suh
li$ht!i!$ i!#utio!s base# o! a si!$le ase are possible o!ly if both >4 a!# >9 are )ell"
establishe#& fle-ible 'atries )hih the sub.et k!o)s 'i!si#e out'( O!ly those hi'pa!+ees
#iso%ere# spo!ta!eously the use of a stik as a rake )ho ha# pre%iously playe# )ith
stiks, those )ho ha# !ot& thou$h of e/ual i!telli$e!e& faile# to see the li$ht(
There is a rather striki!$ parallel bet)ee! the prese!t i!terpretatio! of #iso%ery as a
bisoiati%e proess& a!# the o!lusio!s )hih Hebb reahe# re$ar#i!$ the su##e!
appeara!e of !e) i!si$hts0D
The su##e! ati%atio! of a! effeti%e li!k bet)ee! t)o o!epts or perepts& at first
u!relate#& is a si'ple ase of 'i!si$ht' ( ( ( 7AA8 I!si$ht& as a su##e! pereptio! of !e)
relatio!ships& a! result fro' the si'ulta!eous ati%ity of t)o o!eptual yles i! a#ult
lear!i!$( 7A68 The i!si$htful at is a! e-elle!t e-a'ple of so'ethi!$ that is !ot lear!e#&
but still #epe!#s o! lear!i!$( It is !ot lear!e#& si!e it a! be a#e/uately perfor'e# o! its
first ourre!e, it is !ot perfete# throu$h pratie i! the first plae& but appears all at o!e
i! reo$!i+able for' 1further pratie& ho)e%er& 'ay still i'pro%e it2( O! the other ha!#&
the situatio! 'ust !ot be o'pletely stra!$e, the a!i'al 'ust ha%e ha# prior e-perie!e
)ith the o'po!e!t parts of the situatio!& or )ith other situatio!s that ha%e so'e si'ilarity
to it( ( ( ( All our e%i#e!e thus poi!ts to the o!lusio! that a !e) i!si$ht o!sists of a
reo'bi!atio! of pre"e-iste!t 'e#iati!$ proesses& !ot the su##e! appeara!e of a )holly
!e) proess( 7Hebb's italis8 Suh reo'bi!atio!s 'ust be fre/ue!t i! 'a!'s e%ery#ay
li%i!$& a!# i! a theoretial fra'e)ork )e 'ust o!si#er the' to be ori$i!al a!#
reati%e( ( ( ( 7AI8
Hil$ar# 145IF2 a'e to si'ilar o!lusio!s0 '*eause all lear!i!$ is to so'e e-te!t
o$!iti%ely o!trolle#& the #isti!tio! bet)ee! bli!# lear!i!$ a!# lear!i!$ )ith
u!#ersta!#i!$ beo'es o!e of #e$ree(' 7A@8
NOTES
To p( IF4( K[hler 'a#e a #isti!tio! bet)ee! o!e"bo- e-peri'e!ts a!# the buil#i!$ of
t)o" or three"storey strutures( I! the latter a##itio!al #iffiulties arise fro' )hat he alle#
the hi'p's 'lak of a feeli!$ for statis'( This ha!#iap !o #oubt a##s to the a!l'al's
perple-ity, but Koko's a!# Sulta!'s beha%iour i! e-peri'e!ts of this ki!# 1f( pp( 6O& 44F&
499 ff2 i!#iates that !ot o!ly the proble' of bala!e& but the )hole bo-"buil#i!$ busi!ess
$oes a$ai!st the hi'pa!+ee's $rai!(

To p( IFI( The i'porta!e of %isual lues %aries of ourse )ith #iffere!t speies( A#a's'
at i''e#iately sa) that the piee of li%er a! be haule# up by the stri!$ to )hih it )as
attahe#( K[hler trie# a si'ilar e-peri'e!t )ith his #o$0 a basket& o!rai!i!$ foo#& )as
suspe!#e# fro' a rope outsi#e the barre# )i!#o) of the roo' so that the #o$ oul# easily
ha%e hoiste# it up )ith her teeth or pa)s( *ut she '#i# !ot e%e! atte'pt this si'ple 'etho#
of self"help& a!# pai# !o atte!tio! to the stri!$ )hih )as lyi!$ .ust u!#er her !ose "" )hilst
at the sa'e ti'e she sho)e# the li%eIiest i!terest i! the #ista!t basket( <o$s& a!# probably&
for i!sta!e& horses as )ell ( ( ( 'i$ht easily star%e to #eath i! these iru'sta!es )hih
offer har#ly a!y #iffiulty to hu'a! bei!$s "" or to hi'pa!+ees' 1K[hler& 45IO& p( A42( Far
be it fro' 'e to su$$est that ats are 'ore i!telli$e!t tha! #o$s, )hat the e-peri'e!t
sho)s is that ats are phylo$e!etially 'ore ripe for this type of pereptual a!#
'a!ipulati%e skill tha! #o$s(

To p( IF5( Hebb's Organi0ation of 7ehaviour )as publishe# i! the sa'e year as Insight
and Outlook, his 3 *extbook of Psychology i! 45IF(




HI3

=EARNIN; TO SPEAK
I!te!#i!$ a!# Sayi!$
Prepari!$ to say so'ethi!$& )hether it is a si!$le se!te!e or a publi leture& is to set a
hierarhy i! 'otio!(
' ( ( ( A!# has the rea#er !e%er aske# hi'self'& :illia' ?a'es )rote i! 4F5C& ')hat ki!# of a
'e!tal fat is his intention of saying a thing before he has sai# itE It is a! e!tirely #efi!ite
i!te!tio!& #isti!t fro' all other i!te!tio!s& a! absolutely #isti!t state of o!sious!ess&
therefore, a!# yet ho) 'uh of it o!sists of #efi!ite se!sorial i'a$es& either of )or#s or of
thi!$sE Har#ly a!ythi!$G =i!$er& a!# the )or#s a!# thi!$s o'e i!to the 'i!#, the
a!tiipatory i!te!tio!& the #i%i!atio! is there !o 'ore ( ( ( 7The i!te!tio!8 has therefore a
!ature of its o)! of the 'ost positi%e sort& a!# yet )hat a! )e say about it )ithout usi!$
)or#s that belo!$ to the later 'e!tal fats that replae itE The i!te!tio! to say so and so is
the o!ly !a'e it a! reei%e( O!e 'ay a#'it that a $oo# thir# of our psyhi life o!sists i!
these rapi# pre'o!itory perspeti%e %ie)s of she'es of thou$ht !ot yet artiulate(' 748
I! other )or#s& before the %erbal hierarhy is set i!to 'otio!& there is a! i#eatio!al proess
of a hi$hly o!sious harater& a! i!te!tio! or ati%e e-petatio!& )hih itself is !ot yet
%erbali+e#( Co!si#er )hat is i!%ol%e# i! prepari!$ a! e-"te'pore leture( The first step is
to .ot #o)! the pri!ipal ar$u'e!ts or the'es i! key")or#s "" i! 'sy'bols of the seo!#
re'o%e' so to speak( Eah the'e is the! treate# as a sub")hole& a fle-ible 'atri- of i#eas
)ith a! i!%aria!t o#e0 the lo$i of the ar$u'e!t to be o!%eye#( *ut the )ays of putti!$ it
aross are 'a!y0 fatually& )hi'sially& by o!rete e-a'ples( >y strate$ial hoie is
$o%er!e# by the lie of the la!#0 the harater of the au#ie!e, a!# by fee#bak fro'
i'pliit tries0 their a!tiipate# reatio!s( If I ha%e #ei#e# o! o!rete e-a'ples& I 'ust
searh for the' i! 'y 'e'ory& a!# the! a$ai! 'ake strate$ial hoies( The !e-t /uestio!
is )here to start& to #ei#e o! the se/ue!tial or#er& a!# the appro-i'ate ti'e allotte# to
eah of the %arious sub.ets so as to 'ake a bala!e# )hole( I! this /uasi"arhitetural
pla!!i!$& the ar$u'e!ts are still treate# as sub")holes or buil#i!$ bloks& )hose 'o!te!ts
are k!o)! but are prese!t )ithout a#e/uate %erbal #esi$!atio!'( 798 All this is still a lo!$
)ay fro' the hoie of atual )or#s, i! fat the ha+y i!te!tio!al situatio! #esribe# by
?a'es repeats itself o! se%eral le%els(
*ut as )e approah the atual for'atio! of se!te!es& auto'atis's be$i! to i!tru#e&
i!#iati!$ that )e are !eari!$ the botto' of the hierarhy "" the o!su''atory ats of
la!$ua$e )hih ter'i!ate the appeti%e beha%iour of thou$ht( The sub"o#es of $ra''ar
a!# sy!ta-& )hih !o) e!ter i!to atio!& are al'ost )holly auto'ati+e#, a!# )he! )e
fi!ally arri%e at the for'atio! or sy!tati u!its "" i!#i%i#ual )or#s patter!e# i!to phrases ""
there is a $oo# ha!e that these )ill be 'fi-e# atio!"patter!s' "" %erbal for'ulae& lihTs&
'a!!eris's& stereotype# tur!s of phrase& )hih re'i!# o!e of the fi$hti!$ rituals of the
stiklebak 1e($( 'the e%i#e!e te!#s to sho)'& 'as )e ha%e see! before'& ')e 'ust bear i!
'i!#& ho)e%er'& et(2( Teh!ial papers a!# bureaurati uttera!es are o!spiuous by their
!arro)!ess of %oabulary a!# ri$i#ity of phrasi!$( Fortu!ately& there e-ist !o!"abstrati%e
hierarhies )hose riteria of rele%a!e are aestheti or e'otio!al& )hih o"#eter'i!e the
tatis of %erbal hoies a!# ou!terat the te!#e!y to)ar#s auto'ati+atio!(
Ha%i!$ $o!e throu$h all these i'pliit 'otio!s& )e e!# up by spelli!$ out the atual
sou!#s or i!k 'arks& %oal patter!s or type)ritte! letters( Bet e%e! o! this auto'ate# le%el&
hierarhi or$a!i+atio! pre%ails, the pho!eti se/ue!es or 'a!ual patter!s are tri$$ere# off
as )holes a!# perei%e# as )holes, !o)here& i! the ourse of our #ese!t throu$h the
hierarhy& #o )e strike rok"botto'& 'a#e of har# 'ato's of beha%iour'(
Thus '%erbal beha%iour' is i!itiate# by u!%erbali+e# i!te!tio!s at the top of the la!$ua$e
hierarhy& a!# ter'i!ates i! #e%erbali+e# se!sory"'otor ati%ities, at eah le%el it is
$o%er!e# by rules )hih elu#e %erbal #efi!itio!& a!# 'o#ifie# by e-tra!eous fators ati!$
o! the plasti 'atries of la!$ua$e( Eah ti'e )e slie beha%iour '%ertially' "" i!stea# of
hori+o!tally o! a si!$le le%el "" )e arri%e at a series )hih at the top ree#es i!to a! elusi%e
blur a!# at its base %a!ishes i! the t)ili$ht of a)are!ess(
The abo%e #esriptio! 'ay ha%e see'e# u!!eessarily %erbose& si!e the hierarhi
struture of la!$ua$e is so ob%ious that it !ee# !ot be stresse#( After all& !early half a
e!tury has passe# si!e :atso! prolai'e# that speeh o!sists i! the 'a!ipulatio! of
)or#s& a!# thi!ki!$ i! the sub"%oal 'a!ipulatio! of )or#s( Ho)e%er& if the rea#er thi!ks
that the ru#er for's of Paleo"*eha%iouris' are a 'atter of the past& he shoul# tur! to the
first NoteD at the e!# of this hapter 1)hih )ill also pro%i#e so'e li$ht relief2( It is a!
e-erpt fro' a te-tbook for Colle$e stu#e!ts& publishe# i! 45@4& )hih starts )ith the
se!te!e0 'For 'a!y of you& this is your first e!ou!ter )ith psyholo$y as a sie!e(' O!e
)o!#ers )hat this first e!ou!ter )ill #o to the 'i!# of the trusti!$ stu#e!t )ho is here
/uite literally le# to belie%e that hu'a! #isourse o!sists i! the hai!i!$ of S("R( u!its
)hih are best stu#ie# by bar"pressi!$ e-peri'e!ts 'u!#er the 'ore i#eal o!#itio!s i! the
laboratory'(


The <a)! of Sy'bol Co!sious!ess

The pre%ious setio! referre# to speeh as a perfor'a!e( =ear!i!$ to speak proee#s
'ore or less i! the opposite #iretio! "" fro' the botto' to the top of the hierarhy( *ut
o!ly ''ore or less'& beause bit"lear!i!$ plays here a 'uh lesser part tha! i! the a/uisitio!
of 'eha!ial skills like typi!$( =et us take a loser look at a fe) harateristi aspets of
the proess(

The first %oal %e!tures of the hil# o!fir' the !o)"fa'iliar pri!iple 1f( Chapter II2 that
spo!ta!eous 'otor ati%ity pree#es se!sory o!trol( The hil#& too& 'ats o! the
e!%iro!'e!t before it reats to it' "" as pare!ts 'ust lear! i! sleepless !i$hts, ooi!$ a!#
babbli!$ are spo!ta!eous e-pressio!s of 5oie de vivre& i! )hih a surplus of e!er$y is
#ishar$e#& as i! the )a%i!$ of ar's a!# )ri$$li!$ of toes(

At the early sta$es these spo!ta!eous babbli!$ sou!#s are the sa'e )hether they are
pro#ue# by a! A'eria! )hite or a Ne$ro baby 1i(e( the fre/ue!y spetra of the
pho!e'es are pratially i#e!tial2( 7A8 At fi%e to si- 'o!ths& ho)e%er& )he! syllabi&
speeh"like sou!#s beo'e i!reasi!$ly fre/ue!t& the spetru' shifts !otieably to)ar#s
the sou!# patter!s pro#ue# by the a#ults i! the hil#'s e!%iro!'e!t, a!# at t)e!ty"four
'o!ths the rese'bla!e is lose( Thus the ori$i!ally u!#isti!$uishable pho!eti 'atries of
i!fa!ts fro' #iffere!t la!$ua$e"$roups beo'e #iffere!tiate# by the i'itati%e repetitio! of
a#ult sou!#"patter!s( I'itatio! is at first probably auto'ati& the au#itory"%oal fee#bak
apparatus bei!$ e-ite# by the i!put as i! the you!$ si!$i!$ bir#, the! sha#es i!to a 'ore
or less o!sious respo!se "" fro' 'eholalia' to ''etalalia'(

The first orrelatio!s bet)ee! a sou!# patter! a!# a! ob.et or perso! are probably
'sta'pe# i!' by the pare!ts at a! a$e )he! the hil#'s !er%ous syste' is !ot yet 'ature for
the'( I! *ook O!e 1pp( 99C"A2 I ha%e 'e!tio!e# t)o e-a'ples at opposite e-tre'es0
:atso! o!#itio!i!$ a! i!fa!t less tha! si- 'o!ths ol# "" i(e( 'uh too early "" to say da
eah ti'e it )as $i%e! the bottle, a!# Hele! Keller's su##e! a!# #ra'ati #iso%ery& at the
a$e of se%e! "" i(e( )he! she )as o%erripe for it "" that 'e%erythi!$ ha# a !a'e a!# eah
!a'e $a%e birth to a !e) thou$ht'( I! the a%era$e& !or'al hil# the #a)! of sy'bol
o!sious!ess see's to be a $ra#ual& u'ulati%e proess( Fro' appro-i'ately the
ei$htee!th 'o!th o!)ar# there is a sharp i!rease i! the hil#'s %oabulary 1*ook O!e& p(
9942 a!# so'e)here arou!# that ti'e it 'akes that ''ost i'porta!t #iso%ery of its life'&
that %erbal labels a! be attahe# !ot o!ly to partiular thi!$s a!# e%e!ts& but that
e%erythi!$ u!#er the su! has a !a'e( The u!i%erse of )or#s& a!# the u!i%erse of thi!$s&
ha%e beo'e i!te$rate# a!# )ill re'ai! i!separable( He!eforth& e%ery )or# must 'ea!
so'ethi!$ a!# e%erythi!$ must ha%e a !a'e(

:ith the e'er$e!e of la!$ua$e& )e ha%e attai!e# a !e) le%el of the o$!iti%e hierarhy&
)hih represe!ts a sharp break i! the o!ti!uity of lear!i!$ proesses i! a!i'als a!# 'a!(
Ho'olo$ue la)s still operate0 'All thi!$s ha%e !a'es' 'ay be re$ar#e# as yet a!other ase
of e'pirial i!#utio! )hih )e ha%e see! operati!$ o! all le%els, a!# %erbal sy'bolis'
'ay be re$ar#e# as a! e-te!sio! of si$! situatio!s( <olphi!s a! be tau$ht to respo!# to
%erbal or %isual o''a!#s, #o$s a!# hi'ps a! 'ake their )ishes be k!o)! to their
'asters, ats )ill lear! that bolts a!# loops 'ea! esape, bees a! o''u!iate their
e-perie!es by #a!i!$( *ut suh o''u!iatio! by si$!s e-te!#s o!ly to a fe) partiular
situatio!s, it is $e!erali+e# to so'e e-te!t i! the laboratory situatio!& )he! it see's to
#a)! o! the at that 'all these o!traptio!s are 'ea!s of esape'& as it #a)!s o! the hil#
that 'all these )or#s are 'ea!s of $etti!$ o!e's )ay'( *ut at this poi!t the at has reahe#
the li'it of its abstrati%e apabilities& )hereas the hil# has o!ly $ot to its first i!kli!$ of
)hat )or#s a! #o for you(D
Their first& ob%ious a#%a!ta$es to the hil# are that they a! be utili+e# both as labels& a!#
as le%ers )hih 'ake thi!$s happe!& that they ser%e both the pro$ressi%e soiali+atio! a!#
i!ter!ali+atio! of beha%iour "" o''u!iatio! a!# i!!er #isourse( This is )ell"o%ere#
$rou!# )hih !ee#s !o further labouri!$( *ut a!other phe!o'e!o! of early la!$ua$e
beha%iour is rarely e'phasi+e#0 the appeara!e of the !a'i!$ /uestio! or '!a'i!$ 'a!ia'(
The hil# poi!ts at a!ythi!$ it sees& asks 'This "" E' or ':hat thatE'& a!# is %isibly satisfie# to
lear! the a!s)er& )ithout a!y utilitaria! re)ar#( Alter!ati%ely& it poi!ts at thi!$s& alls out
their !a'e or& if it has for$otte! it& i!%e!ts a !e) o!e( Here is a true para#i$' of late!t
lear!i!$& of the e-ploratory #ri%e& or of l/art pour l/art beha%iour "" )hate%er o!e )a!ts to
all it( To /uote Pia$et0 'It is ( ( ( !o e-a$$eratio! to say that se!sory"'otor i!telli$e!e is
li'ite# to #esiri!$ suess or pratial a#aptatio!& )hereas the fu!tio! of %erbal or
o!eptual thou$ht is to k!o) a!# state truth(' 768
*ut there is a!other aspet to the '!a'e"e-petatio!'0 he!eforth the hil#'s o!ept of a
thi!$ or e%e!t )ill be e-perie!e# by it as incomplete if there is !o %erbal label attahe# to
it( The o!ept )ill beha%e like a 'oleule )ith a free %ale!y& as it )ere( :e a! perhaps
reapture a! eho of this )he! )e hu!t for the for$otte! !a'e of a perso!( Also& )he! )e
lear! a !e) la!$ua$e& )e su##e!ly ha%e a )hole lass of free %ale!ies0 )e feel atually
frustrate# )he! )e #iso%er that the Fre!h ha%e !o )or# for 's!obbery' or
'u!#erstate'e!t'& a!# are te'pte# to e-lai' like a hil#0 '*ut surely they must ha%e a !a'e
for itE'
The beha%iour of the rat e-plori!$ a 'a+e or of the 'o!key fearfully peepi!$ i!to the bo-
)ith the s!ake& oul# be #esribe# as i!terro$atory& a!# the sa'e #esriptio! oul# be
applie# to the pu++le# e-pressio!s a!# atio!s of a s'all hil# before it has lear!e# to
speak( *ut its first explicit& %erbal /uestio!s refer to the names of thi!$s& pro'pte# by the
!ee# to 'saturate' the free %ale!ies i! its pre"%erbal ob.et"o!epts( Is it too speulati%e to
assu'e that this ori$i! of the /uestio!i!$ habit 'ust i!flue!e the )hole later #e%elop'e!t
of thou$htE The fat that eah !a'i!$ /uestio! a! be rea#ily a!s)ere# by a#ults& 'ay
i'pla!t the i'pliit belief i!to the hil# that all /uestio!s are both 'ea!i!$ful a!#
a!s)erable, that the !ature of e-pla!atio! is base# o! the sa'e ki!# of si'ple a!# #iret
o!!etio!s as that bet)ee! 'thi!$' a!# '!a'e'( This i'pliit belief see's to ha%e bee! o!e
of the fators respo!sible for the aberratio!s of hu'a! thou$ht(
Co!epts a!# =abels
I ha%e talke# of 1pre"%erbal2 'o!epts' to )hih the %erbal label beo'es attahe#( The
oncise Oxford :ictionary #efi!es a o!ept as a! 'i#ea of a lass of ob.ets, $e!eral
!otio!', :ebster as 'a 'e!tal i'a$e of a thi!$ for'e# by $e!erali+atio! fro' partiulars',
Hil$ar#0 ':he! a sy'bol sta!#s for a lass of ob.ets or e%e!ts )ith o''o! properties&
)e say that it refers to a concept' 7I8, Pia$et 7@8 re$ar#s the #e%elop'e!t of 'ob.et
o!epts' as o!e of the pri!ipal ahie%e'e!ts of the 'se!sory"'otor i!telli$e!e' )hih
pree#es the rise of %erbal i!telli$e!e i! the hil#'s first t)o years( He #isti!$uishes si-
sta$es i! the attai!'e!t of stable ob.et"o!epts& )hih he #efi!es as 'a syste' of
pereptual i'a$es e!#o)e# )ith a o!sta!t spatial for' throu$hout its se/ue!tial
#isplae'e!ts a!# o!stituti!$ a! ite' )hih a! be isolate# i! the ausal series u!fol#i!$
i! ti'e('7O8 It is i!teresti!$ to o'pare Pia$et's rather abstrat for'ulatio!s )ith the luri#
'i!isi%e!ess' of :il#er Pe!fiel# "" a !euro"sur$eo!( He too starts by seuri!$ his fla!ks
)ith /uotes fro' :ebster a!# O-for#, the! he $oes o!0
The o!ept 'ay be a butterfly( It 'ay be a perso! he has k!o)!( It 'ay be a! a!i'al& a
ity& a type of atio!& or a /uality( Eah o!ept alls for a !a'e( These !a'es are )a!te#
for )hat 'ay be a !ou! or a %erb& a! a#.eti%e or a! a#%erb( Co!epts of this type ha%e
bee! for'e# $ra#ually o%er the years fro' hil#hoo# o!( Eah ti'e a thi!$ is see! or hear#
or e-perie!e#& the i!#i%i#ual has a pereptio! of it( A part of that pereptio! o'es fro'
his o)! o!o''itta!t i!terpretatio!( Eah suessi%e pereptio! for's a!# probably
alters the per'a!e!t o!ept( A!# )or#s are a/uire# $ra#ually& also& a!# #eposite#
so'eho) i! the treasure"house of )or# 'e'ory "" the ortio"thala'i speeh
'eha!is's( :or#s are ofte! a/uire# si'ulta!eously )ith the o!epts( ( ( ( A little boy
'ay first see a butterfly flutteri!$ fro' flo)er to flo)er i! a 'ea#o)( =ater he sees the'
o! the )i!$ or i! pitures& 'a!y ti'es( O! eah oasio! he a##s to his o!eptio! of
butterfly( It beo'es a $e!erali+atio! fro' 'a!y partiulars( He buil#s up a o!ept of a
butterfly )hih he a! re'e'ber a!# su''o! at )ill& althou$h )he! he o'es to
'a!hoo#& perhaps& he a! reollet !o!e of the partiular butterflies of past e-perie!e( The
sa'e is true of the se/ue!e of sou!# that 'akes up a 'elo#y( He re'e'bers it after he has
for$otte! eah of the 'a!y ti'es he hear# or perhaps sa!$ or playe# it( The sa'e is true of
olours( He a/uires& /uite /uikly& the o!ept of la%e!#er& althou$h all the ob.ets of
)hih he sa) the olour ha%e fa#e# beyo!# the fro!tier of %olu!tary reall( The sa'e is
true of the $e!erali+atio! he for's of a! a/uai!ta!e( =ater o! he a! su''o! his o!ept
of the i!#i%i#ual )ithout realli!$ their 'a!y 'eeti!$s( 7F8
Thus the pre"%erbal o!epts of the hil# are for'e# by a series of operatio!s o!ti!uous
)ith those #esribe# i! pre%ious hapters0 the #e"partiulari+atio!& filteri!$& a!# o#i!$ of
perepts aor#i!$ to those of their o''o! features )hih are rele%a!t to a $i%e!
o!eptual hierarhy, the for'atio! of olour" shape" a!# ob.et"o!sta!ies, the
#e%elop'e!t of se!sory"'otor skills suh as the $raspi!$ of ob.ets& bri!$i!$ the' lose to
the eye& %isual a!# tatile e-ploratio!& et(, lastly& aor#i!$ to Pia$et's she'a& the
'ob.etifiatio!' of spae a!# ti'e& the $ra#ual separatio! of the self fro' the !o!"self& a!#
the be$i!!i!$s of the tra!sitio! fro' 'a$ial to 'ore ob.etifie# ki!#s of i'plie# ausality(
>ost of these proesses a! be fou!#& to a $reater or lesser #e$ree& i! a!i'al lear!i!$, but
)ith the a##itio! of a %erbal label& the o!ept a/uires a !e) #i'e!sio! as it )ere& a!# the
o!ti!uity of the series of lear!i!$ proesses i! a!i'al a!# 'a! is broke!( No e-trapolatio!
is possible fro' the beha%iour of the rat to that of 'a!(
This a! be #e'o!strate# e%e! i! 'a+e"lear!i!$ e-peri'e!ts )ith hu'a!s& )here the
a#%a!ta$es of %erbali+atio! are !ot at o!e ob%ious( I! a fa'ous e-peri'e!t by :ar#e! 758
forty sub.ets )ere seate# i! fro!t of a table )ith a $roo%e# 'a+e o! it( The 'a+e )as of
the sa'e type as i! rat e-peri'e!ts& )ith %arious ul"#e"sas, the sub.et ha# to threa# his
)ay throu$h it )ith a stylus i! his ha!#& by purely tatile $ui#a!e& for the 'a+e )as
hi##e! fro' his %ie) by a sree!( The !u'ber of trials re/uire# u!til the 'a+e )as
o'pletely lear!e# %arie#& aor#i!$ to sub.et& bet)ee! 4@ a!# 45I 1G2( At the e!# of the
e-peri'e!t eah sub.et ha# to report )hether he ha# 'e'ori+e# the 'a+e by the 'feel' of
it& that is by 'otor"ki!estheti i'a$ery, or by 'aki!$ a '%isual 'ap', or by a %erbal for'ula
"" e($( 'first left& thir# ri$ht& first ri$ht'& et(
The results )ere as follo)s0 out of @C sub.ets& 4O a#opte# the ''otor' 'etho#( These
!ee#e# a! a%era$e of 496 trials 1ra!$i!$ fro' O9 to 45I aor#i!$ to sub.et2 to lear! the
'a+e( Ei$htee! a#opte# the '%isual' 'etho#, a%era$e trials0 @F& ra!$i!$ fro' 64 to 4C6(
T)e!ty"fi%e a#opte# the '%erbal' for'ula, a%era$e trials0 A9& ra!$e0 4@ to @9( Thus& i! rou!#
fi$ures& the %isuali+ers lear!e# t)ie as fast& the %erbali+ers four ti'es as fast as the 'otor
lear!ers(
This re'i!#s o!e of Otto Koehler's e-peri'e!ts 1'e!tio!e# o! p( IAI f(2& )hih sho)e#
that le%er .ak#a)s ha%e a 'pre"li!$uisti !u'ber se!se' al'ost e/ual to 'a!'s a!# are 'able
to abstrat the o!ept of !u'erial i#e!tity fro' $roups of up to se%e! ob.ets', )hih
'su$$ests that 'a!y a!i'als 'ay ha%e a preli!$uisti counting ability of about the sa'e
#e$ree& but that 'a!'s superiority i! #eali!$ )ith !u'bers lies i! his ability to use& as
sy'bols for !u'bers& )or#s a!# fi$ures'( 74C8 The #epe!#e!e of ou!ti!$ a!# alulati!$
abilities o! %erbal proesses is further illustrate# by Pe!fiel#'s stu#ies o! aphasia& about
)hih later(

E%e! %olu!tary 'o%e'e!ts 1as oppose# to auto'ati+e# skills2 see' to be to so'e e-te!t
#epe!#e!t o! $ui#a!e by i!ter!al %erbali+atio!( So'e of Hea#'s patie!ts )ith speeh
#isor#ers #ue to brai! lesio!s )ere u!able to i'itate orretly Hea#'s $estures "" suh as
touhi!$ a! eye or a! ear )ith the left or ri$ht ha!# "" )hile they )ere sitti!$ fae to fae
)ith Hea#, but ha# !o #iffiulty i! #oi!$ so if sta!#i!$ i! fro!t of a 'irror )ith Hea#
sta!#i!$ behi!# the'( I! the 'irror test& of ourse& the task is re#ue# to pure i'itatio!&
)hereas sitti!$ opposite the e-peri'e!ter 'left' a!# 'ri$ht' are re%erse# a!# the patie!t
a!!ot see hi'self0
:he! the patie!t sitti!$ opposite to 'e atte'pts to i'itate 'o%e'e!ts of 'y ri$ht or left
ha!# brou$ht i!to o!tat )ith o!e or other eye or ear& i!ter!al %erbali+atio! ours at a
phase of the !or'al at( No )or# 'ay be uttere#& but the )or#s Nri$htN a!# NleftN& Neye
Na!# NearN& are esse!tial to orret i'itatio! of this ki!#( For the sa'e reaso! these patie!ts
'ay fi!# o!si#erable #iffiulty i! arryi!$ out the ha!#& eye& a!# ear tests )he! the
o''a!# is pitorial 1$i%e! by a #ra)i!$ o! a pri!te# ar#2 althou$h they a! e-eute
the' orretly )he! aske# to #o so by )or# of 'outh 1or e%e! by pri!te# o''a!#2( Their
#iffiulty is i! e%oki!$ the )or#s they re/uire& a!# the %erbal o''a!# supplies the
!eessary )a!t(' 7448
Thus Hea#'s patie!ts& )ith their i'paire# o''a!# of )or#s& )ere %irtually re#ue# fro'
the le%el of the %erbali+ers to that of the 'otor"lear!ers i! :ar#e!'s 'a+e e-peri'e!t( :e
'ust o!lu#e that %erbal sy'bolis' e!ters e%e! i!to the lear!i!$ of o'ple- 'otor skills
"" .ust as it pro%i#es the 'ortar for hol#i!$ to$ether o'ple- %isual pseu#o"i'a$es 1p( IA4
ff(2(


I#eatio! a!# 3erbali+atio!

O)i!$ to the i''e!se be!efits #eri%e# fro' %erbali+atio!& the %erbal sy'bol& )hih at the
#a)! of sy'bol"o!sious!ess )as at first !o 'ore tha! a label attahe# to a pre"e-isti!$
o!eptual she'a& soo! beo'es its foal 'e'ber& its e!tre of $ra%ity& as it )ere( As
)or#s are the 'ost o!%e!ie!t a!# eo!o'ial 'ea!s !ot o!ly of o''u!iatio! but also
of i!ter!al #isourse& they soo! assu'e a e!tral role i! the hil#'s 'e!tal life& )hereas
i'a$es a!# other for's of u!%erbali+e# thou$ht are $ra#ually pushe# to)ar#s the
periphery& the fri!$es of a)are!ess& or si!k slo)ly #o)! belo) its surfae(

This te!#e!y of %erbal thi!ki!$ to #o'i!ate a!# 'o!opoli+e o!sious!ess has its
blessi!$s a!# its urses& thou$h the latter are less ob%ious tha! the for'er( So'e of the
#a!$ers of thou$ht beo'i!$ e!sla%e# to )or#s ha%e bee! #isusse# i! *ook O!e& 3II(
:oo#)orth's re'ark& 'ofte! )e ha%e to $et a)ay fro' speeh i! or#er to thi!k learly' 7498
)as see! to apply to a )i#e ra!$e of reati%e ati%ities "" fro' 'athe'atis a!# physis to
philosophy& a!# there is !o !ee# to labour the poi!t further( :hat !ee#s stressi!$ o!e 'ore
is that )or#s are sy'bols for pereptual a!# o$!iti%e e%e!ts& but they are !ot the e%e!ts(
They are %ehiles of thou$ht& but the %ehile shoul# !ot be o!fuse# )ith the passe!$ers(

=et 'e reapitulate( 142 The hil# has for'e# a %ariety of pre"%erbal o!epts of perso!s&
ob.ets& a!# reurre!t e%e!ts to )hih later %erbal sy'bols beo'e attahe# as labels,
)ithout the pre%iously e-isti!$ perso!"o!ept& the sy'bol '>a'a' )oul# ha%e !othi!$ to
refer to, it )oul# re'ai! 'ea!i!$less "" a! e'pty %ehile )ithout passe!$er( 192 At a later
sta$e& the )or# a!# the o!ept 'ay be a/uire# si'ulta!eously0 '>u''y& )hat #oes
SE<UCTRESS 'ea!E' 'A %ery ba# )o'a! )ho uses too 'uh 'ake"up(' 1A2 The concept
'se#utress' )ill u!#er$o #rasti ha!$es #uri!$ a#olese!e a!# later years, the word
SE<UCTRESS re'ai!s u!ha!$e#( It is a %ehile )ith a fi-e#& i''utable struture,
)hereas the passe!$ers are o!sta!tly ha!$i!$& $etti!$ i! a!# out of the bus( :e 'ay e%e!
#isti!$uish bet)ee! passe!$ers of first a!# seo!# lass0 tri' #e!otatio!s& furti%e
o!!otatio!s& a!# sto)"a)ays hi##e! u!#er the seats( <r( :atso!'s su$$estio! that the
passe!$ers the'sel%es are subli'i!al o'!ibuses )as !ot a helpful o!e( 162 The )or#
SE<UCTRESS refers to #iffere!t o!epts i! #iffere!t people( 1I2 The )or# )hih is
attahe# to a o!ept 'ay beo'e #etahe# fro' it& lea%i!$ the o!ept 'ore or less
u!i'paire#( This last poi!t !ee#s elaboratio!(

O!e 'ay of ourse for$et the !a'e of a perso! )ithout for$etti!$ the perso!& i(e( )ithout
losi!$ o!e's o!ept of hi' or her( *ut #oes the sa'e apply )he! the )or# refers to a!
abstrat o!eptE

A ertai! lass of Hea#'s aphasi patie!ts o!fuse# the !a'es of !u'bers& but !e%ertheless
arrie# out the orret !u'erial operatio!s( The patie!t )oul# all a ar# '!i!e of hearts'
)he! he 'ea!t 'se%e! of hearts'& a!# yet play a orret $a'e( O! #oi!$ a 'ultipliatio! he
)oul# say alou# 'se%e! !i!es are fifty"si-' a!# yet )rite #o)! '@A' orretly( This sho)s that
his !u'ber"o!epts re'ai!e# i!tat& althou$h he attahe# the )ro!$ %erbal labels to the',
he probably atalo$ue# the' by their %isual labels 1the )ritte! fi$ures2& but this #i# !ot
i'pair the effiie!y of his sy'boli operatio!s( The trouble of the .ak#a) is !ot that it
a!!ot attah verbal sy'bols to its !u'ber"o!epts& but that it a!!ot sy'boli+e the' i!
a!y other )ay either( O!e has o!ly to thi!k of #eaf"'utes to re'i!# o!e that a sy'boli
la!$ua$e is !ot !eessarily a! au#itory"%oal la!$ua$e(D
The li!ial phe!o'e!a of aphasia are fre/ue!tly ope! to 'ore tha! o!e i!terpretatio!, but
o! the partiular poi!t u!#er #isussio! this is !ot the ase( After sur%eyi!$ the literature o!
the sub.et& Hu'phreys 74A8 o!lu#e#0 'the $e!eral ar$u'e!t fro' aphasia for the
i!#epe!#e!e of thou$ht a!# la!$ua$e see's& o! rea#i!$ the e%i#e!e& o%er)hel'i!$ly
stro!$'( 1'I!#epe!#e!e' 'a!ifeste# i! patholo$ial ases #oes !ot& of ourse& pre%e!t
i!teratio! u!#er !or'al o!#itio!s(2
>ore ree!tly& Pe!fiel# a!# Roberts& re%ie)i!$ the literature a!# their o)! ase histories&
a'e to the sa'e o!lusio!0 'It is ob%ious that i! 'a!y ases the aphasi patie!t is able to
perei%e aurately( He k!o)s )hat a! ob.et is use# for, he reo$!i+es it( He 'ust&
therefore& be able to #ra) upo! his store of reor#e# e-perie!e( He is still able to reor#
his !e) e-perie!e of thi!$s hear# a!# see!& a!# to o'pare the !e) e-perie!e )ith the
)hole of his past si'ilar e-perie!es( Thus his apairy to perei%e throu$h other ha!!els
tha! the sou!# a!# for' of )or#s is preser%e#(' 7468
Partiularly i'pressi%e is the e%i#e!e fro' te'porary aphasia i!#ue# by eletrial
sti'ulatio! of the ortial speeh areas of the o!sious a!# o!se!ti!$ patie!t( Pe!fiel#'s
usual 'etho# )as to sho) the patie!t a! ob.et pri!te# o! a ar# a!# ask hi' to !a'e it&
)hile the lo)"%olta$e eletro#e )as applie# to %arious poi!ts of the orte-0 'The patie!t
'ay re'ai! sile!t& or he 'ay use )or#s to e-plai! that he a!!ot !a'e the ob.et& or he
'ay 'is!a'e it( He 'ay sho) perse%eratio!(' 74I8
A typial ase is the follo)i!$ 1italis i! the ori$i!al20
:he! the eletro#e )as applie# to the supra'ar$i!al $yrus at poi!t 9O& he sai#0 'I k!o)
)hat it is'& a!# )as sile!t( :he! the eletro#e )as )ith#ra)!& he sai# at o!e& 'tree'& )hih
)as orret( :he! the eletro#e )as applie# to the posterior te'poral re$io! at 9F& he )as
o'pletely sile!t( A little ti'e after the eletro#e )as )ith#ra)!& he e-lai'e# su##e!ly0
'No) I a! talk "" butterfly 7)hih )as orret8( I oul#!'t $et that )or# NbutterflyN a!#
the! I trie# to $et the )or# N'othN( ( ( (' The speeh 'eha!is' )as separately paralyse#&
a!# yet the 'a! oul# u!#ersta!# )hat he sa) a!# oul# substitute the o!ept& 'oth& for
the o!ept butterfly& i! a reaso!e# atte'pt to re$ai! o!trol of the speeh 'eha!is'& by
prese!ti!$ to it a !e) i#ea& 'oth( He oul# also s!ap his fi!$ers 1as he #i#2 i! e-asperatio!
at his failure(
The )or#s of C(H( 7the patie!t8 bri!$ us fae to fae )ith other brain mechanisms( The
concept of a 'oth& as #isti!$uishe# fro' a butterfly& 'ust also #epe!# o! a brai!
'eha!is' "" a 'eha!is' apable of fu!tio!i!$ )he! the speeh 'eha!is' is
seleti%ely paralyse# "" a 'eha!is' that stores so'ethi!$ #eri%e# fro' the past( ( ( ( 74@8
<roppi!$ the ter'i!olo$y of physiolo$y for the 'o'e!t& I 'ay say that the patie!t
prese!te# the o!ept of a 'butterfly' to his speeh 'eha!is'& e-peti!$ that the )or# for
it )oul# be fortho'i!$( :he! the 'eha!is' faile# hi'& he ast about a!# selete# a!
a!alo$ous o!ept fro' his storehouse of o!epts a!# prese!te# that to the speeh
'eha!is'( *ut a$ai! he )as #isappoi!te#& a!# he s!appe# his fi!$ers i! e-asperatio!( He
oul# still e-press hi'self e'otio!ally )ith his fi!$ers i! that )ay& althou$h he )oul#
probably !ot ha%e bee! able to )rite the lost )or#s(D
Pe!fiel# o!lu#es that there e-ists a 'o!eptual 'eha!is'' i! the brai!& a!# a 'speeh
'eha!is'' )hih is struturally separate& a!# fu!tio!ally separable fro' the for'er(
:e ha%e see! that a o!si#erable portio! of 'e!tal ati%ities is of a !o!"%erbal harater ""
i! the !ature of e-perie!es )hih 'a!!ot be put i!to )or#s'& )hih re'ai!
i!o''u!iable a!# i!artiulate& a!# !e%ertheless play a! i'porta!t& so'eti'es e%e! a
#o'i!a!t& part i! a perso!'s life( :e !o) see that e%e! i! artiulate %erbal thi!ki!$& a
#isti!tio! 'ust be #ra)! bet)ee! the i#eatio!al proess a!# its o!%ersio! i!to %erbal
urre!y( I ha%e /uote# so'e of the li!ial e%i#e!e, there is also a %ast bo#y of
e-peri'e!tal e%i#e!e re%ie)e#& e($( by Hu'phrey 145I42( 74O8 A'o!$ the 'ost
o!%i!i!$ results are those )hih e'er$e# fro' fator a!alysis 1*urt& 45652(D
E%ery#ay e-perie!e poi!ts i! the sa'e #iretio!( I! states of fati$ue o!e 'ay rea# e%ery
)or# of a pri!te# para$raph )ithout u!#ersta!#i!$ 'a si!$le )or# of it'( A!# %ie %ersa0
e%ery e-perie!e# leturer k!o)s that o!e's thou$hts 'ay rae ahea#& or $o astray& )hile
o!e $oes o! talki!$ "" as if talki!$ )ere a! auto'ati+e# a!# auto!o'ous skill like the
typist's )ho 'opies behi!#'( >ore preisely& the leturer o!%erts i!to %erbal urre!y
o$!iti%e sub")holes o! lo)er le%els of the hierarhy& )hih ha%e alrea#y bee! portio!e#
out or 'pre"he)e#' by the i#eatio!al proess proee#i!$ o! the hi$her le%el(
:e 'ay safely o!lu#e& the!& )ith Hu'phrey0 ' linical$ experimental$ and factorial
results agree that language cannot be e+uated with thinking. =a!$ua$e is or#i!arily of
$reat assista!e i! thi!ki!$( It 'ay also be a hi!#ra!e('
NOTES
To p( I56( E-erpt fro' the te-tbook Psychology& e#( A( <( Cal%i! 1*osto!& 45@42& Setio!
Four0 '=ear!i!$& Rete!tio! a!# >oti%atio!' by F( ?( >;ui$a!0
The e-peri'e!tal #ata that )e ha%e prese!te# ( ( ( ha%e bee! li'ite# to rather si'ple
respo!ses suh as sali%atio! a!# bar"pressi!$( I! our e%ery#ay life )e sel#o' spe!# 'uh
ti'e i! thi!ki!$ about suh isolate# respo!ses& usually thi!ki!$ of 'ore $ross ati%ities&
suh as lear!i!$ a poe'& arryi!$ o! a o!%ersatio!& sol%i!$ a 'eha!ial pu++le& lear!i!$
our )ay arou!# a !e) ity& to !a'e o!ly a fe)( :hile the psyholo$ist oul# stu#y these
'ore o'pliate# ati%ities& as is #o!e to so'e e-te!t& the $e!eral approah of psyholo$y
is to bri!$ si'pler respo!ses i!to the laboratory for stu#y( O!e the psyholo$ist #iso%ers
the pri!iples of lear!i!$ for si'pler phe!o'e!a u!#er the 'ore i#eal o!#itio!s of the
laboratory 7si8& it is likely that he a! apply these pri!iples to the 'ore o'ple- ati%ities
as they our i! e%ery#ay life( The 'ore o'ple- phe!o'e!a are& after all& !othi!$ but a
series of si'pler respo!ses( Speaki!$ to a frie!# is a $oo# e-a'ple of this( Suppose )e
ha%e a o!%ersatio! suh as the follo)i!$0 He0 ':hat ti'e is itE' She0 'T)el%e o'lok(' He0
'Tha!k you(' She0 '<o!'t 'e!tio! it&' He0 'Ho) about lu!hE' She0 'Fi!e(' No) this
o!%ersatio! a! be a!alyse# i!to separate S("R( u!its( 'He' 'akes the first respo!se& )hih
is e'itte# probably to the sti'ulus of the si$ht of 'She'( :he! 'He' e'its the opera!t& ':hat
ti'e is itE'& the 'usular ati%ity& of ourse& pro#ues a sou!#& )hih also ser%es as a
sti'ulus for 'She'( O! the reeipt of this sti'ulus& she e'its a! opera!t herself0 'T)el%e
o'lok'& )hih i! tur! pro#ues a sti'ulus to 'He'( A!# so o!( ( ( ( I! suh a o'ple-
ati%ity& the!& )e a! see that )hat )e really ha%e is a series of S("R( o!!etio!s( The
phe!o'e!o! of o!!eti!$ a series of suh S("R( u!its is k!o)! as Nhai!i!$N& a proess
that shoul# be appare!t i! a!y o'ple- ati%ity( :e 'i$ht !ote that there are a !u'ber of
soures of rei!fore'e!t throu$hout the hai!i!$ proess& i! this e-a'ple the 'ost ob%ious
bei!$ the rei!fore'e!t of 'She' by reei%i!$ a! i!%itatio! for lu!h a!# of 'He' by ha%i!$
the i!%itatio! aepte#( I! a##itio!& as Keller a!# Shoe!fel# poi!t out& there are suh
soures of rei!fore'e!t as the hearer 'e!oura$i!$' the speaker to o!ti!ue& the use that the
o!%ersatio!alists 'ake of the i!for'atio! reei%e# 1he fi!#s out )hat ti'e it is2& et( This
e-a'ple of the a!alysis of a o'ple- ati%ity is but o!e of !u'erous possibiliti&es that )e
oul# #isuss( Bou shoul# o!ti!ue to thi!k of others yourself a!# try to #ia$ra' the
hai!i!$ proess for the' ( ( ( 1p( AOI2(
To p( I5I( It is i!teresti!$ to !ote that Hebb& a! e!li$hte!e# beha%iourist yet a
beha%iourist& o!si#ers as the hief a#%a!ta$es of la!$ua$e that )or#s a! be use# i!
%aryi!$ o'bi!atio!s0 'I! 'a! ( ( ( )e also ha%e a ki!# of beha%iour& )hih& as far as )e
k!o)& #oes !ot our i! a!y other speies( This is la!$ua$e( It i!lu#es si$! la!$ua$e as
)ell as spoke! a!# )ritte! )or#s, a!# the hief proble' #oes !ot o!er! the ability to
'ake the sou!#s of hu'a! speeh& si!e lo)er a!i'als are !ot apable of si$! la!$ua$e
either( :hat puts la!$ua$e o! a hi$her le%el tha! the purposi%e o''u!iatio! of #o$ or
hi'pa!+ee is the varied combination of the sa'e si$!s 1)or#s& pitures& $estures2 for
#iffere!t purposes( ( ( ( The riteria of la!$ua$e are the!0 142 that it is usually purposi%e
o''u!iatio! 1thou$h a !u'ber of !o!"purposi%e uses is o''o! also& as i! talki!$ to
o!eself2& a!# 192 that t)o or 'ore ite's of the beha%iour are o'bi!e# i! o!e )ay for o!e
purpose a!# reo'bi!e# for other purposes' 1Hebb& 45IF& p( 9C5, his italis2(

Is that allE Or 'ay )e at least a##& )ith Hil$ar#& that ')ithout la!$ua$e it )oul# be )ell"
!i$h i'possible to thi!k of suh abstrat !otio!s as .ustie or reiproal tariffs' 1Hil$ar#&
45IO& p( A4I2(

To p( @C4( I! Hea#'s $esture"i'itatio! e-peri'e!ts& o! the other ha!#& so'e ki!# of
i'pliit %erbal sy'boli+atio! see's to be i!#ispe!sable& beause relia!e o! %isual or
ki!estheti lues lea#s o!ly to the fa'iliar 'irror"o!fusio! "" as a!y !or'al perso! )ill
#iso%er by repeati!$ the e-peri'e!t(

To p( @C9( O!e 'i$ht further speulate that the patie!t's i!ability to !a'e the ob.et sho)!
o! the pri!te# ar#& )hile he is perfetly apable of usi!$ )or#s to e-plai! that he a!!ot
!a'e it& 'ay be #ue to the fat that si!$le ob.et"!a'es like tree& 'oth& et(& ha%e a 'ore
arbitrary harater /ua pho!eti labels lear!t by rote& a!# ha%e 'ore 'brittle' traes& tha!
%erbs a!# propositio!s )hih for' sy!tati sub")holes( A 'tree'& after all& is ori$i!ally a
!o!se!se syllable( O!e of Pe!fiel#'s patie!ts& sho)! a ar# pituri!$ a foot& sai#& 'Oh& I
k!o) )hat it is( That is )hat you put i! your shoes'( After )ith#ra)al of the eletro#e& he
sai# orretly 'foot'( No) )hy shoul# 'foot' be 'ore #iffiult to !a'e tha! 'shoe'E Perhaps
beause the )or# 'shoe' ourre# i! a 'ea!i!$ful o!te-t "" *urt's Fator II of 3erbal
Ability "" )hereas 'foot' ourre# i! a !a'i!$ o!te-t 1Fator I2 )hih )as bloke# 1see
!e-t !ote2( I! other )or#s& the !a'i!$"o#e )as out of atio!& )hile the se'a!ti o#e
o!ti!ue# to fu!tio!(

To p( @CA( *urt #i%i#e# 3erbal Ability i!to a word factor #eali!$ )ith )or#s i! isolatio!
a!# a language factor #eali!$ )ith )or#s i! their o!te-t( The for'er he sub"#i%i#e# i!to a
receptive fator of reo$!i+i!$ a!# u!#ersta!#i!$ )or#s a!# i!to a! executive fator for
fi!#i!$ a!# seleti!$ the ri$ht )or#( The la!$ua$e fator is si'ilarly sub"#i%i#e# i!to a
reepti%e fator for u!#ersta!#i!$ state'e!ts a!# a! e-euti%e fator for literary e-pressio!
a!# %erbal flue!y( *urt's #i%isio!s follo)e# i! broa# outli!e Hea#'s lassifiatio!s of
aphasia a!# substa!tiate# the %ali#ity of the latter& 1*he 7ritish Fournal of 6ducational
Psychology& 3ol( HIH& ?u!e a!# No%e'ber& 45652(




H3
=EARNIN; TO THINK
=et 'e retur! to the early #e%elop'e!t of %erbal 'atries(
Fro' about the ei$htee!th 'o!th o!)ar#& the hil# a/uires !e) )or#s at a faster rate,
about the sa'e ti'e it be$i!s to orrelate si!$le )or#s i!to )or#"se/ue!es& a!# later o!
i!to se!te!es( The earliest )or#"se/ue!es are a$ai! pro#ue# by spo!ta!eous& u!#irete#
%oal ati%ity& i! )hih 'ea!i!$ful )or#s alter!ate )ith stri!$s of !o!se!se syllables a!#
)ith )or#s i'itate# but !ot yet u!#erstoo#( So'e hil#re! ha%e the u!a!!y $ift of
i'itati!$ the pho!eti patter!s of a#ult speeh so )ell that fro' the !e-t roo' their
babbli!$ sou!#s like a 'ea!i!$ful 'o!olo$ue( If )e are to belie%e *ertra!# Russell& his
#au$hter at the a$e of ei$htee! 'o!ths& ')he! suppose# to be sleepi!$& )as o%erhear#
sayi!$ to herself0 N=ast year I use# to #i%e off the #i%i!$"boar#& I did(N Of ourse& Nlast
yearN )as 'erely a phrase repeate# )ithout u!#ersta!#i!$( ( ( (' 748 This philosophial
o''e!t see's to i'ply& o##ly e!ou$h& that the re'ai!#er of the se!te!e )as pro!ou!e#
)ith u!#ersta!#i!$(
Fre/ue!tly the first 'ea!i!$ful stri!$ of )or#s refers to a se/ue!e of e%e!ts( Fe!to!'s
u!usually preoious so!& also at the a$e of ei$htee! 'o!ths& 'uttere# soo! after seei!$ his
father li'b i!to a! auto'obile )ith a!other 'a! a!# #ri%e a)ay& the )or#s& N<a##y&
shool& 'a!& autoN(' 798 This sou!#s e-atly like the 'piture"strip la!$ua$e' of the pri'iti%e
1as Kretsh'er alle# it 7A82 "" the u!rolli!$ of a %isual se/ue!e& )here eah si!$le )or#
sy'boli+es a o'plete e%e!t( 'The speeh u!its of the hil# belo!$ to !o si!$le lass of
)or#s beause they are 1i(e( sta!# for2 !ot si!$le )or#s but se!te!es(' 768 E%e! the first
%erbal labels ha%e a !ot 'erely #e!otati%e& but a! operati%e harater, they #o !ot refer to
ob.ets i! %auo& but to 'atio!"ob.ets' 7I8& that is to say& to the fu!tio!al rele%a!e of the
ob.et to the hil#( 'Cha'berlai!& Tray& <e)ey& *i!et a!# othe! ha%e sho)! that the
hil#'s sy'bols are atio!")or#s& i(e(& their o!te!t is atio!( There is also pratially
u!i%ersal a$ree'e!t o! the fat that the first sy'bols of the hil# are i! reality )or#"
se!te!es #esi$!ati!$ atio! a!# ob.et or sub.et& or all three at o!e(' 7@8
This& of ourse& is a$ai! a far ry fro' a!y S("R( theory of la!$ua$e lear!i!$( The
o''a!# TURN RI;HT is a si'ple a!# #efi!ite %erbal sti'ulus& )hih& o!e )oul# thi!k&
shoul# be easy to assoiate )ith a #efi!ite 'otor respo!se, but 'a!y hil#re! a!# so'e
!or'al a#ults ha%e o!si#erable #iffiulty i! #isti!$uishi!$ bet)ee! ri$ht a!# left( This fat
is use# by Hebb as a! ele$a!t proof that the concept 1of ri$ht" left"si#e#!ess2 pree#es the
word for it0 'The hil# a! %ery rea#ily lear! at the a$e of three that Nri$htN a!# NleftN eah
refers to a si#e of the bo#y "" but ah 'e& )hih o!eE ( ( ( :hat is set up first is a o!eptual
or$a!i+atio!( *y the a$e of si- the )or# Nri$htN learly a!# i''e#iately 'ea!s si#e#!ess to
the hil#( A o!si#erable o!eptual elaboratio! has alrea#y ourre#& a!# the sti'ulus
effeti%ely arouses that struture, but it arouses !o pro'pt& speifi respo!se( ( ( ( :ith suh
fats& it beo'es !o!se!se to e-plai! 'a!'s o!eptual #e%elop'e!t as e-lusi%ely
o!sisti!$ of %erbal assoiatio!s(' 7O8
The poi!t beo'es learer )he! )e reali+e that bet)ee! the a$es of t)o a!# four 'a!y
hil#re! are e/ually o!fuse# about 'up"#o)!'& 'bak"fro!t'& et(, but they o!ly o!fuse
opposites )ith each other& !e%er 'left' )ith 'up' or 'fro!t' )ith '#o)!'( 7F8 This sho)s that the
hil# for's at a! early sta$e se!sory"'otor 'atries of 'up"#o)!!ess'& 'left"ri$ht!ess'& et(,
a!# that the %erbal labels a/uire# later o! 'ay beo'e attahe# to the 'atri- as a )hole&
before #iretio!s )ithi! the 'atri- are %erbally #isri'i!ate#( This #oes !ot 'ea!& of
ourse& that abstratio! pree#e# #isri'i!atio!& si!e both are aspets of the sa'e proess,
it o!ly 'ea!s that there is ofte! #elay a!# o!fusio! i! the %erbal labelli!$ of pre"%erbal
o!epts(
This bri!$s us to the e!tral proble's of the e%olutio! of sy'boli thou$ht0 abstratio!
a!# o!ept"for'atio!(
Abstratio!& <isri'i!atio!& a!# Tra!sfer
I! o''o! usa$e 'abstrat' thou$ht is re$ar#e# as a speifially hu'a! faulty& a!# 'ore
partiularly as a prero$ati%e of the sie!tifi 'i!#( The oncise Oxford #efi!es abstratio!
as 'the proess of strippi!$ a! i#ea of its o!rete ao'pa!i'e!ts'( There are& ho)e%er&
ob%ious a!alo$ies bet)ee! the abstratio! of i#eas "" the for'atio! of o!epts "" a!#
pereptual $e!erali+atio! "" the e-tratio! of i!%aria!t features& strippe# of their ai#e!tal
ao'pa!i'e!ts& fro' %arie# situatio!s( It is therefore fre/ue!tly asserte# or i'plie# that
abstrat thou$ht is 'erely the e-te!sio!& alo!$ a o!ti!uous sale& of seleti%e proesses
)hih operate alrea#y i! the rat a!# e%e! lo)er #o)!( I shall first briefly reapitulate those
aspets of the abstrati%e proess )hih are i!#ee# o!ti!uous )ith a!i'al lear!i!$ "" u!til
)e arri%e at the poi!t )here the li!e a$ai! breaks( I shall a$ai! use the ter' '$e!erali+atio!'
i! the se!se i!#iate# abo%e "" a!# !ot i! the se!se of 'sprea#i!$ of respo!ses' 1see p( IAO
ff(2(

The o!ti!uu' of abstrati%e proesses a! be e-te!#e# #o)! i!to the i!or$a!i #o'ai!(
The $ree!"$roer's bala!e abstrats fro' a pou!# of peahes a!# a pou!# of potatoes the
o!e feature )hih it has bee! pro$ra''e# to reo$!i+e as rele%a!t& their )ei$ht( A
baro'eter& pro$ra''e# to o'pe!sate for %ariatio!s of te'perature& a! be re$ar#e# as a
'o#el for pereptual si+e"o!sta!y "" the apparatus pro$ra''e# to o'pe!sate for
#ista!e( The sa'e baro'eter use# as a! alti'eter 'ay ser%e to illustrate the re%ersible
fi$ure"$rou!# relatio!( Eah of these pro$ra''es is represe!te# by a o#e )hih
#eter'i!es )hih type of sti'ulus shoul# be re$ar#e# as rele%a!t a!# abstrate# fro'
e-perie!e& a!# )hih !ot(

*uilt"i! pereptual a!alysers for the reo$!itio! of speies"speifi si$!"releasers 'ay be
#esribe# as the result of the phylo$e!eti abstratio! of biolo$ially rele%a!t sti'ulus"
patter!s( :e 'ay re$ar# this abstrati%e po)er& )ith =ashley& as 'o!e of the pri'iti%e basi
fu!tio!s of or$a!i+e# !er%ous tissue'( 758

Tur!i!$ to a/uire# beha%iour& )e 'ust #isti!$uish bet)ee! lear!i!$ u!#er !atural a!#
artifiial o!#itio!s( I! both ases the a!i'al 'ust lear! to abstrat rele%a!t patter!s fro'
its e!%iro!'e!t as a conditio sine +ua non of properly reati!$ to the'( :ith a!i'als i!
their !atural habitat this happe!s either #uri!$ 'aturatio!& or& i! a#ult a!i'als& after a fe)
repetitio!s of a ertai! ki!# of e-perie!e( Si!e the a!i'al atte!#s o!ly to sti'uli )hih
are biolo$ially rele%a!t to it "" to )hih its pereptual or$a!i+atio! is 'attu!e#' "" the
lear!i!$ proess o!sists esse!tially i! the sharpe!i!$ a!# 'o#ifiatio! of its built"i!
pereptual a!alysers( I! the laboratory situatio!& ho)e%er& the a!i'al 'ust i! the first plae
rea#.ust to a! artifiial u!i%erse& i! )hih sti'uli )hih it )oul# !or'ally treat as
irrele%a!t& beo'e all"i'porta!t( :he! this re%aluatio! is )ell u!#er )ay& the at i! the
bo- )ill be$i! to abstrat fro' its be)il#eri!$ e!%iroa'e!t the si$!ifia!t patter!s of loops
a!# bolts i! $e!eral& re$ar#less of %ariatio!s i! their positio! a!# shape( *ut this )ill be a
slo)& repetiti%e proess beause abstratio! is a fu!tio! of rele%a!e& a!# rele%a!e i! this
ase 'ust be i!ferre# by i!#utio!, the at is au$ht i! a %iious irle( E%e! so& its po)ers
of abstratio! are o!si#erable "" see the perfu!tory lik re#ue# to a sy'boli
perfor'a!e 1p( IOC2( The rat i! the 'a+e is i! a 'ore fa%ourable positio!0 it likes
e-plori!$ hi$h)ays a!# by)ays, a!# the o$!iti%e 'ap )hih it abstrats fro' a !u'ber of
o!rete tries pro%i#es it )ith a 'atri- of re'arkable plastiity "" see =ashley's e-tirpatio!
e-peri'e!ts& pp( 6IF f(

The hil#'s pre"%erbal o!epts are #eri%e# fro' abstrati%e proesses )hih for' a
o!ti!uous series )ith a!i'al lear!i!$ "" fro' the early #e%elop'e!t of its pereptual
o!sta!ies a!# its 'se!sory"'otor i!telli$e!e' to the rystalli+atio! of 'ob.et o!epts'(
The hil# lear!s to reo$!i+e its 'other before it lear!s the )or# ''a'( U!like the $osli!$
)hose !er%ous syste' is rea#y& a fe) hours after its birth& to reei%e the i'pri!t of the
'other"$oose all i! o!e piee& the helpless i!fa!t 'ust slo)ly& a!# perhaps pai!fully&
abstrat the o!ept of its 'other as a stable& u!%aryi!$ e!tity fro' a series of her %ery
%arie# appeara!es& all #iffere!t i! shape& a!# #iso!!ete# i! ti'e( The breast first& 'ore
tatile tha! %isual& 'o!opoli+i!$ the )hole pereptual fiel#, a fully"la# fi$ure )ith
o!e#e# breasts& sta!#i!$ or be!#i!$ o%er, a series of faes appeari!$ at i!ter%als& !e%er
looki!$ /uite the sa'e "" suh 'ust ha%e bee! the fra$'e!tary& o!rete e-perie!es out of
)hih the u!itary 'other o!ept )as e-trate# i! the first three )eeks of our e-iste!e ""
if o!ly )e oul# re'e'ber(

Ho)e%er& o)i!$ to the !ursi!$ 'other's e-eptio!al i'porta!e to& a!# sustai!e# bo#ily
o!tat )ith the hil#& the for'atio! of the 'other"o!ept 'ust also be re$ar#e# as a!
e-eptio!al proess i! )hih se%eral suessi%e sta$es are telesope# i!to o!e( Other ob.et
a!# atio! o!epts e'er$e 'ore slo)ly a!# hesita!tly& e%e! if the ob.et is a perso!( The
a#ult's a)are!ess of other people's perso!al i#e!tity is base# o! e'pathy "" )hih is a
pro.eti%e phe!o'e!o!& i! so'e respets o'parable to the strobosopi effet( *ut i! the
babe the e-perie!e of its o)! i#e!tity is still ha+y& a!# so is its a)are!ess of the perso!al
i#e!tity of others( :he! a feature F& )hih is i'porta!t to the hil#& is o''o! to se%eral
i!#i%i#uals )hose other attributes are less i'porta!t to it& the! the hil# )ill abstrat&
o!eptuali+e& a!# !a'e that share# feature i! prefere!e to the olletio! of features
)hih o!stitutes eah i!#i%i#ual's perso!al i#e!tity( This a! happe! e%e! if o!e of the
perso!s o!er!e# is the father "" at the sta$e before the father beo'es fu!tio!ally
i'porta!t to the baby( A baby is ofte! tau$ht the )or# '#a"#a' before it has lear!e# to
reo$!i+e its father "" e-ept for so'e %a$ue features suh as lar$e!ess or bulki!ess& )hih
are e/ually fou!# i! other appeara!es( As a result& it applies the label '#a"#a' ')i#ely a!#
ofte! e'barrassi!$ly to lar$e i!#i%i#uals of all shapes& si+es& a$es& a!# olours'( 74C8
Abstratio! a!# #isri'i!atio! are $ui#e# by rele%a!e, a!# the rele%a!t e-perie!e i! this
ase is so'e feature of #a#a"!ess share# by lots of %isitors )ho "" their olour& a$e& et(&
bei!$ as yet irrele%a!t "" are !ot #isri'i!ate# as i!#i%i#uals( It is the sa'e )ith the
$osli!$& )hih i! the first sta$e of i'pri!ti!$ follo)s all hu'a! shapes& a!# o!ly later o!
o!fi!es its atte!tio! to the keeper( <uri!$ the first sta$e i!#i%i#ual #iffere!es i!
appeara!e are see!& but !ot 'take! i!' a!# retai!e#& beause they are !ot yet rele%a!t to the
$osli!$, #uri!$ the seo!# sta$e the #isti!$uishi!$ 'arks beo'e rele%a!t bea'e the
$osli!$ has lear!e# that keepers pro#ue foo#& )hile other hu'a!s #o !ot( Thus the
sharpe!i!$s a!# 'o#ifiatio!s of #isri'i!atory o#es are the result of ha!$es i! the
sales of rele%a!e( I! the first sta$e of #e%elop'e!t& all '#a#a"ish' %isitors to the baby ""
a!# all hu'a! bei!$s to the $osli!$ "" are re$ar#e# as 'for all i!te!ts a!# purposes the sa'e
thi!$', i! the seo!# sta$e they !o lo!$er are& beause the i!te!ts a!# purposes ha%e
ha!$e#(

I ha%e laboure# this poi!t at the risk of repetiti%e!ess beause o!e aepte#& it allo)s us
to #ispe!se )ith ter's like tra!sfer& sprea#i!$& '$e!erali+atio!' 1i! se!se b& f( p( IAO2& a!#
'assoiatio! by si'ilarity' "" a!# to lose the li# of the se'a!ti Pa!#ora bo-( Take& for
i!sta!e& :atso!'s fa'ous e-peri'e!t i!te!#e# to establish a 'o!#itio!e# fear refle-' i! a!
i!fa!t ele%e! 'o!ths of a$e& by striki!$ a! iro! bar )ith a ha''er eah ti'e the hil#
touhe# its pet a!i'al& a )hite rat( After this )as repeate# se%eral ti'es )ithi! the spa! of
a )eek& little Albert respo!#e# )ith fear& ryi!$& et(& )he!e%er the rat )as sho)! to hi'(
*ut he also sho)e# fri$ht"reatio!s i! %aryi!$ #e$rees to rabbits& fur oats& otto! )ool&
a!# hu'a! hair "" !o!e of )hih ha# fri$hte!e# hi' before( :atso! o!lu#e#& a!# a
!u'ber of te-tbooks )ith hi'& that the o!#itio!e# refle- ha# 'sprea#' or bee! 'tra!sferre#'
to all furry thi!$s "" )or#s )hih ha%e the o!!otatio! of 'otio! i! spae& o!%eyi!$ the
i'a$e that the hil# ha# so'eho) lifte# its fear"reatio! fro' the rat a!# put it #o)! o! the
piee of otto! )ool( I! fat the i#ea of the 'sprea#i!$' of the o!#itio!e# respo!se )as
ori$i!ally #eri%e# fro' Pa%lo%'s !otio! of the irra#iatio! of e-itatory proesses sprea#i!$
aross the ortial tissues( This physiolo$ial theory of Pa%lo%'s has lo!$ bee! aba!#o!e#
7448& but its u!o!sious ehoes still hau!t the laboratories( O! a 'etaphorial le%el there is
of ourse !o ob.etio! to sayi!$ that the hil#'s #rea# ha# sprea# fro' rats to otto! )ool&
but o! the teh!ial le%el the o!ept of 'sprea#i!$' has !o e-pla!atory %alue& a!# has bee!
the soure of e!#less o!fusio!( 1The sa'e applies to 'tra!sfer'& a!# to '$e!erali+atio!' use#
as a sy!o!y' for sprea#i!$(2 I!stea# of prete!#i!$ that the hil# has shifte# its respo!se&
alo!$ a so"alle# $e!erali+atio! $ra#ie!t& fro' rat to otto! )ool& )e shoul# say that it has
abstracted the tatile /uality of furri!ess& a!# recogni0ed it i! the otto! )ool( A!# its
reatio! to it )as perfetly lo$ial& beause :atso! ha# tau$ht it that furri!ess al)ays
si$!alle# the #rea#e# ba!$( It )oul# of ourse be !o!se!sial to prete!# that this hil# of
ele%e! 'o!ths )as i!apable of seei!$ the #iffere!e bet)ee! rabbit& otto! )ool& a!#
hu'a! hair( *ut at that ti'e the tatile /uality alo!e )as rele%a!t& a!# )ith re$ar# to that&
rabbit& rat& a!# fur oat )ere all 'the sa'e thi!$' 1f( pp( IAO ff(2(

:e a! obser%e the operatio! of the sa'e pri!iples o! the verbal le%el at a 'ore a#%a!e#
a$e( Ster!'s #au$hter& Hil#a 7498& at the a$e of !i!etee! 'o!ths& ha# bee! i! the habit of
pulli!$ at her pare!ts' !oses, )he! she #iso%ere# that the tips of their shoes 1before ha%i!$
lea!e# the !a'e 'shoe'2 offere# the sa'e satisfatory opportu!ities& she pro'ptly !a'e#
the' '!oses'( A$ai!& i!stea# of speaki!$ of 'tra!sfer'& et(& )e shall say that the hil#
reo$!i+e# a! abstrate# /uality that oul# be fou!# i! %arious ob.ets( Koffka 'e!tio!s a
boy of t)e!ty"si- 'o!ths' to )ho' Nla"laN first 'ea!t so!$ or 'usi, later )he! he hear# a
'ilitary ba!#& it 'ea!t sol#ier& a!# fi!ally all ki!#s of !oises& i!lu#i!$ sou!#s like laps
a!# thu#s( ( ( ( A!other little boy uttere# the )or# NattaN at the e!# of his ele%e!th 'o!th
)he!e%er a!ythi!$ #isappeare# "" )he! a perso! left the roo' or )he! a li$ht )as tur!e#
out(' 74A8

The first ob.et" a!# relatio!"o!epts to be abstrate# a!# !a'e# are those )hih ha%e the
$reatest fu!tio!al rele%a!e to the hil#( At that sta$e !o %erbal #isti!tio!s are 'a#e
bet)ee! ob.ets a!# attributes& bet)ee! /ualities a!# thi!$s i! )hih these /ualities are
%este#& bet)ee! !ou!s& a#.eti%es& a!# %erbs( =ala refers to 'usi, it fu!tio!s as a
olleti%e !a'e for bells& sol#iers& i!stru'e!ts, a!# if )e feel that =ala is a silly !a'e for a
sol#ier& but re$ar# 're#oat' or 'poilu' as reaso!able& the! o!ly beause )eari!$ a re# oat or
bei!$ u!sha%e! appear to us 'ore rele%a!t 'artial /ualities tha! 'aki!$ 'usi( :he! the
hil# lear!s to use )or#s& the fu!tio!ally 'ost i'porta!t aspet of a! as yet u!!a'e#
ob.et or e%e!t )ill pro%i#e its !a'e, the less i'porta!t aspets of seo!#ary /ualities are
the! rele$ate# to the role of '$oi!$ to$ether )ith it' "" its 'attributes' or 'parts' or 'fu!tio!s'(
*ut the riteria of rele%a!e ha!$e )ith a$e, )he! Ster!'s little $irl lear!e# to )alk& shoes
a/uire# a 'ore i'porta!t fu!tio! tha! that )hih they share# )ith !oses, a!# )ith it a
!e) !a'e(

Of ourse the %isual e-perie!e of :atso!'s baby is #iffere!t )he! it touhes a rat a!#
)he! it touhes a fur oat, but it is the touh that 'atters& the %isual aspet is irrele%a!t& a!#
aor#i!$ly& i! its o%ert reatio!s& the baby #oes !ot #isri'i!ate bet)ee! the t)o(
Si'ilarly& the baby 'e!tio!e# by Koffka sa) the #iffere!e bet)ee! the shapes of its
Te##y bear a!# of its stuffe# rabbit, but this #iffere!e is irrele%a!t at the early a$e )he! all
that 'atters is 'a!ipulati!$ a soft toy, he!e the !a'e '#olly' )as suffiie!t to sy'boli+e
the )hole lass& a!# !o 'oti%atio!al !ee# arose for e-pliit %erbal #isri'i!atio!( A#ults
beha%e 'uh the sa'e )ay( The Eski'oes ha%e se%eral )or#s for %arious ki!#s of s!o)
)here )e ha%e o!ly o!e, but >ali!o%ski's sa%a$es ha# o!ly o!e )or#& manna wala& for all
i!sets a!# bir#s "" e-ept those that oul# be eate!( *uil#i!$ )orkers& )ho shift fro' .ob
to .ob& a!!ot be bothere# to lear! o!e a!other's !a'es, all eletriia!s are 'Sparks' a!# all
arpe!ters 'Chippies'( El#erly la#ies a##ite# to ro'a!ti !o%els fro' the le!#i!$ library
feel that the !a'es of authors are irrele%a!t, all that 'atters is that it shoul# be a '!ie
book'(

Thus all alo!$ the li!e )e abstrat a!# #isri'i!ate o!ly /ualities )hih are rele%a!t to us,
a!# !e) #isri'i!atio!s arise as a result of ha!$es i! our riteria of rele%a!e "" )here 'us'
refers to a!i'al a!# 'a!( I! the !or'al #e%elop'e!t of the i!#i%i#ual these ha!$es are
#ue to 'aturatio! a!# $ui#e# lear!i!$( I! the e-peri'e!tal laboratory& as i! refor'atory
shools a!# other brai!)ashi!$ establish'e!ts& re)ar#s a!# pu!ish'e!ts effet the
tra!sfor'atio! of the sub.et's& or %iti''s& sale of %alues( I! lassial o!#itio!i!$ all
tu!i!$ forks are 'the sa'e thi!$' to the #o$ u!til the #iffere!e i! pith is 'a#e si$!ifia!t
by the $i%i!$ or )ithhol#i!$ of foo#( I! $ui#e# lear!i!$& all pa$es i! his al$ebra book look
the sa'e to the shoolboy u!til he lear!s to #isti!$uish li!ear fro' /ua#rati e/uatio!s at a
$la!e(

<isti!tio!s )hih are irrele%a!t to the sub.et )ill either $o e!tirely unnoticed, or they
'ay be perceived but not retained, or they 'ay be retai!e# but !ot verbally #isri'i!ate#(
Thus if )e fail to obser%e #iffere!es& it is either beause )e lak the e/uip'e!t for #oi!$
so 1'lak of #isri'i!atio!' i! the ollo/uial se!se2& or beause the #iffere!es are
'i!#iffere!t' to us& or !ot i'porta!t e!ou$h to $i%e the' %erbal labels 1e($( k!o)i!$ stars by
si$ht but !ot by !a'e2(

I ha%e #)elt at so'e le!$th o! the sub.et of abstratio! a!# #isri'i!atio! beause
althou$h 'ost of )hat I ha%e sai# )oul# see' self"e%i#e!t to the lay'a!& this )oul# !ot be
the ase )ith stu#e!ts of e-peri'e!tal psyholo$y "" or of philosophy& if it o'es to that(
Alrea#y i! the t)elfth e!tury A(<( ?oh! of Salisbury re'arke# that the )orl# ha# $ro)!
ol# #isussi!$ the proble'& a!# that it ha# spe!t 'ore ti'e o! it tha! the Caesars took to
o!/uer the )orl#( *ut Pa%lo%& :atso!& a!# those #iretly or i!#iretly i!flue!e# by the'
ha%e ertai!ly 'a#e o!fusio! )orse o!fou!#e#(D
Fro' the $e!eti poi!t of %ie)& abstratio! a!# #isri'i!atio! appear 1f( pp( @CF f(2 as the
latest e-te!sio!s of the basi pri!iples )hih )e sa) at )ork o! all le%els of the hierarhy&
starti!$ )ith the i!te$ratio! of fu!tio!s a!# #iffere!tiatio! of strutures i! 'orpho$e!esis(
Abstratio!& by reati!$ patter! a!# or#er out of the haoti strea' of e-perie!e&
orrespo!#s to the for'er, #isri'i!atio! i! pereptio! a!# the o!se/ue!t #iffere!tiatio!
of respo!se orrespo!#& as la!$ua$e i!#iates& to the latter( If )e )ish to i!#ul$e i!
a!alo$ies& )e 'i$ht say that the ate$ories of Aristotle ate# as e'bryo!i i!#utors o! the
self"#iffere!tiati!$ 'orpho$e!eti fiel#s of o!eptual thou$ht(


The >a$i of Na'es

:e ha%e so far #isti!$uishe# se%eral sta$es i! the hil#'s pro$ress0 1a2 the abstratio! of
pre"%erbal ob.et o!epts 1a!# atio! o!epts2, 1b2 attahi!$ a %erbal sy'bol& )hih soo!
a/uires e!tral i'porta!e& to the o!ept, 12 the #iso%ery& si$!alle# by the appeara!e
of the !a'i!$ /uestio!& that all thi!$s ha%e !a'es& that the )or#s pre%iously lear!e# are
o!ly partiular i!sta!es of a $e!eral relatio! bet)ee! )or#s a!# thi!$s( The !e-t step
o!sists i! the o!reti+atio! of this relatio! itself i! the o!ept '!a'e'( The hil# has
reali+e# that !ot o!ly ha%e all thi!$s %erbal ha!#les a!# labels attahe# to the'& but that
these labels a!# ha!#les are alle# names(

A harateristi feature of this #e%elop'e!t is that at eah step a relatio! has bee!
abstrate# a!# tur!e# i!to a relatum( At the first step the relatio! bet)ee! the %arie#
partiular appeara!es of the 'other )as tur!e# i!to a si!$le relatu' ''a'a'& )hih !o)
e!ters as a u!it i!to other relatio!s, at the last step the relatio! bet)ee! )or#s a!# thi!$s
)as abstrate# a!# tur!e# i!to the o!eptual e!tity '!a'e'( 'Na'e' is the %erbal sy'bol
attahe# to the relatio! of %erbal sy'bolis', by bei!$ 'a#e e-pliit a!# o!sious the
relatio! is !o) e-perie!e# as a o!rete relatu'(

I! fat& a! o%er"o!rete relatu'( To /uote Pia$et0 'Na'es are& to be$i! )ith& situate# i!
ob.ets( They for' part of thi!$s i! the sa'e )ay as #o olour a!# for'( Thi!$s ha%e
al)ays ha# their !a'es( It has al)ays bee! suffiie!t to look at thi!$s to k!o) their !a'es(
( ( ( To #efor' the !a'e is to #efor' the thi!$(' 7468 :he! a hil# of four a!# a half )as
aske# ho) o!e k!o)s that the su!'s !a'e is 'su!'& it a!s)ere#0 '?ust beause o!e sees it'(
A!# )he! a hil# of !i!e )as aske# )hether o!e oul# ha%e $i%e! a!other !a'e to the su!&
he a!s)ere#0 'No "" beause the su! is .ust the su!'( A!other hil# of si- a!# a half& )he!
presse#& a#'itte# that ;o# oul# ha%e $i%e! the su! a!other !a'e& but i! this ase ';o#
)oul# ha%e #o!e so'ethi!$ )ro!$'( 74@8

:he! Hershel #iso%ere# Ura!us& the ;er'a! !aturalist Sahs re'arke# septially0
':hat $uara!tee ha%e )e that the pla!et fou!# by hi' really is Ura!usE' E/ually i!spire#
)as this philosophi refletio! of a! E!$lish'a!0 'E!$lish is the 'ost lo$ial la!$ua$e, a
k!ife& for i!sta!e& is alle# by the Fre!h couteau& by the ;er'a!s &esser& a!# so o!&
)hereas the E!$lish all it a knife )hih is after all )hat a k!ife really is('

I! the 'e!tality of pri'iti%es& the perso! a!# his !a'e are 'a$ially relate#( I! Easter!
reli$io!s& e%oatio! of the !a'es of #eities "" the reital of 'a!tras "" fulfils a 'a$i
fu!tio!, i! Tibeta! *u##his' the )ork is left to the prayer 'ill( This attitu#e li!$ers o! i!
'e#ie%al philosophy 1Realists %ersus No'i!alists2, i! all for's of 'a$i& a!#& 'ore
o%ertly i! 'o#er! sie!e "" i! the u!o!sious belief that )or#s like $ra%ity& e!telehy& or
eletro"'a$!eti 'fiel#'& et(& so'eho) ha%e a! e-pla!atory %alue an sich 1f( *ook O!e&
3II2( Suh is the po)er of %erbal sy'bols to fous atte!tio! that it o!fers o! ha+y
o!epts i! statu !ase!#i the appeara!e of har#& ta!$ible o!rete!ess& a!# '$i%es to airy
!othi!$ W a loal habitatio! a!# a !a'e'( The !a'e is the! e-perie!e# as a self"e%i#e!t
e-pla!atio!& a saturatio! of free %ale!ies as it )ere(


The Rise of Causality

<uri!$ its first years the hil# #oes !ot #isri'i!ate bet)ee! !o'i!al& attributi%e& a!#
ausal pre#iatio!s "" as earlier it #i# !ot #iffere!tiate )or#s aor#i!$ to $ra''atial
ate$ories(

:he! hil#re! bet)ee! fi%e a!# si- are aske#0 ':hy #oes the su! !ot fall #o)!E'& they )ill
a!s)er0 '*eause it is hot'& '*eause the su! stops there'& '*eause it is yello)'( 74I8 A!# the
'oo! #oes !ot fall #o)! '*eause it is %ery hi$h up'& '*eause the su! is !ot there'& et( The
si$!ifia!t aspets of a! e-perie!e are o!!ete# as '$oi!$ to$ether' i! a! u!#iffere!tiate#
'feeli!$ of relatio!'( 74@8 ;oethe's 'Co!!et& al)ays o!!et' see's to be the 'otto of the
hil# as& out of the flui# ra) 'aterial of its e-perie!es& it selets a!# shapes patter!s a!#
relatio!s "" relatio!s )hih )ill be re"lasse# a!# re"$roupe# later o! aor#i!$ to shifts i!
'oti%atio! a!# i!terest lea#i!$ to the e'er$e!e of !e) riteria of rele%a!e "" u!til the
fi!al& 'ore ri$i# but !ot al)ays 'ore perfet a#ult relatio!"ate$ories e'er$e( The ur$e to
o!!et& to a$$re$ate 'atries of e-perie!e i!to 'ore o'prehe!si%e o!es, the fu'bli!$
for hypotheses about the )ay thi!$s are hel# to$ether& the te!tati%e for'ulatio! of rules of
the $a'e "" i! all these fertile ati%ities )e see the partiipatory te!#e!ies at )ork0
i!ti'atio!s of the fu!#a'e!tal u!ity of all thi!$s( =ater o! they )ill rystalli+e i! 'a$i
ausality& )ith its orrelates0 a!i'is' a!# ''ysti partiipatio!' 1to use a! e-pressio!
oi!e# by =T%y"*ruhl for the 'e!tality of pri'iti%es& a!# applie# by Pia$et to the 'e!tality
of the hil#2( Nee#less to say& the self"asserti!$ te!#e!ies too play their ob%ious part both
i! the hil#'s o%ert beha%iour a!# its fa!tasy )orl#(

It see's that the first relatio!al patter!s )hih are #isri'i!ate# are relati%ely stati for's
of attribution 1of !a'es a!# other properties2& a!# of #y!a'i changes%in%time( The latter
$i%e rise to a %a$ue 'feeli!$ of ausal relatio!s' 79C8 #eri%e# fro' the u'ulati%e e-perie!e
that 'thi!$s 'ake other thi!$s #o thi!$s'( At this sta$e& )or#"lasses be$i! to e'er$e )hih
rou$hly orrespo!# to substa!ti%e"!ou!s& a#.eti%e"attributes& a!# atio!")or#s or %erbs(
*ut these lasses& a!# the types of relatio!s i'plie# i! the'& re'ai! for a lo!$ ti'e flui#(
The hil#'s pro$ress to)ar#s $ra''atially 'ore orret for's of speeh is 'ai!ly #ue to
i'itatio! a!# o!%e!tio!al trai!i!$ "" )hih 'ask the fat that behi!# the i!reasi!$ly
a#ult for's of e-pressio!& 'a$i )ays of thou$ht sur%i%e( They sur%i%e& of ourse& e%e! i!
the a#ult& a!# !e%er %a!ish o'pletely( Thus the stabili+atio! of the o#es of $ra''ar a!#
sy!ta- i! !o )ay orrespo!#s to the #y!a'i e%olutio! of thou$ht& a!# i!fere!es #ra)!
fro' the for'er to the latter ha%e for a lo!$ ti'e 'isle# hil# psyholo$ists( 7948

:ith the 'o'e!tous reali+atio! that 'o!e thi!$ lea#s to a!other'& i!ti'atio!s of ausality
e'er$e fro' the flui# pool of perei%e# 'to$ether!ess' a!# 'relate#!ess'( The Nho'o !o%usN
has !o) set out o! a lo!$ a!# tortuous roa#& )hih has i! fat !o e!#& e-ept )here& of his
o)! hoie& he )ill o'e to rest "" theolo$ial ausality& 'eha!ial ausality& statistial
probability "" $o#s playi!$ billiar#s or thro)i!$ #ie( *ut hil#re! are philosophial
opti'ists& a!# the sa'e proess of e'pirial i!#utio! )hih earlier o! le# to the #iso%ery
that all thi!$s ha%e !a'es& !o) lea#s to the #iso%ery that all thi!$s ha%e 'beauses'( The
se/uel is a fa'iliar o!e0 the !a'i!$ /uestio! is replae# by the ')hy' /uestio! )hih is
'a!y a pare!t's #espair, .ust as a thi!$ )as i!o'plete )ithout a !a'e& so !o) a! e%e!t
has a free %ale!y )hih 'ust be fille# by a 'beause'( The atual o!te!t of the proffere#
e-pla!atio!& the )he!& a!# ho)& a!# ho) 'uh& is as yet of seo!#ary i'porta!e, 'the su!
#oes !ot fall #o)! beause it is yello)' is aepte# as /uite as satisfatory a! a!s)er as 'the
#olly is alle# #olly beause that's her !a'e'( ?ust as& at the earlier sta$e& )he! a !a'e )as
!ot i''e#iately offere#& it )as i!%e!te# to fill the %aa!y& so !o)& )he! !o 'beause' is
proffere# at o!e& a! e-piatio! is pro%i#e# a# ho by the hil# itself( A!# .ust as the
i!%e!tio! of !a'es is $ui#e# by o!o'atopoeia or pri%ate assoiatio!s& so the ausal
e-pla!atio!s of hil#re! are #eri%e# fro' their pri%ate 'atries of thou$ht(

The /uestio!i!$ 'a!ia is rei!fore# by the #esire to attrat atte!tio! a!# to be i! the e!tre
of e%e!ts, it is a typial 'i-ture of partiipatory a!# self"asserti%e 'oti%atio!s( =ori'er
'a#e a reor# of all the )hy's aske# by a hil# of four years& ele%e! 'o!ths& i! the ourse
of four #ays 74O8& )hih is both har'i!$ a!# i!struti%e( 1O!e asterisk si$!ifies that !o
a!s)er )as $i%e!, t)o asterisks0 !o a!s)er $i%e!& /uestio! !ot repeate#20
4( :hy #o you ha%e this bo- for your feetE 9( :hy #i# they bri!$ the be# #o)! fro' the
attiE A( 'Take your #ollies i! !o)& ?oyeG' :hyE 6( 'Fi- the ru$G Bou au$ht your feet u!#er
the e#$e of itG' :hyE :hy #i# IE I( :hy #i# you take t)o ookiesE @( :hy #oes the
)ateri!$"pot ha%e t)o ha!#lesE O( :hy #i# he put the sol#er i! so 'a!y plaesE F( 'The
so!$"sparro) is!'t pretty to look at' "" :hy is!'t he prettyE 5( 'The boboli!k has a bro)!
oat i! )i!ter(' :hyED :hyE 4C( 'It )as areless of you to lose your sho%el(' :hyED :hyE
44( 'This is your ora!$e .uie(' :hyEDD 49( 'Bou are to sit here& i! <a##y's plae(' :hyED ""
Please& >other& tell 'e )hy( 4A( <o )e ha%e ba!$s at the bak of our hea#sE 'NoG' :hyED
:hy& >otherE 46( 'A!# the! he 'a#e a 'ast for his little boat(' :hyE Please tell 'e )hy he
'a#e a 'ast( 4I( :hy #o you )ash the hair off 1the ra+or2E 4@( 1Putti!$ o! bathrobe
)ithout putti!$ her ar's i! the slee%es2 Is this $oo#E 'No(' :hyED "" 1i'patie!tly2 :hyE
Speak outG 1but the! )ithout )aiti!$ for a! a!s)er2 *eause it )oul#!'t stay o!( 'There&
you thou$ht it out for yourself& #i#!'t youE' 4O( :hy #i# you stub your toeE '*eause I
)as!'t )athi!$ out(' :hyE 4F( 'I )ill tell you a story about this )illo) plate' "" :hyEDD
45( 'Please hurry& ?oyeG' :hyED "" *eause you )a!t 'e to )ashED :hy #i#!'t you )ash
firstE *eause you k!e) I )a!te# to $o )ith <a##yE 9C( See the little tea thi!$sG :hy #i#
)e buy the'E ':hy #o you thi!kE' *eause )e 'i$ht use the others all up( 94( :hy #i#
you use both a fork a!# a spoo! i! 'aki!$ that akeE 99( :hy #i# you sit i! that hair&
>otherE 9A( 'Please #o!'t li'b i! that hairG' :hyEDD 96( :hy are you putti!$ up that
sree!EDD 9I( :hy are you ope!i!$ that )i!#o)EDD 9@( :hy #oes the little hike! $ro)
i! the shellE 9O( 'Bou a!'t )i! by .u'pi!$ up a!# #o)!G' :hyE 9F( ?ere'iah& ?ere'iah( He
$ot i!to a pit& #i#!'t heE :hy #i# they put hi' i!to a pitE 95( 'Please be areful !ot to break
the bea!"pla!ts(' :hyE AC( I sa) your blue apro! throu$h a rak i! the #oor( I thou$ht it
)as a spi#er( 'A spi#er is!'t blue& #earG' :hyED "" Please& >other& tell 'e )hy a spi#er is!'t
blue( A4( 'Bou shoul#!'t talk about a %isitor's bear#& ?oye& u!til he has $o!eG' :hyED Please
tell 'e )hy( A9( :hy #o!'t you ha%e a bear#& >otherE AA( I )a!t to ut 'y eyebro)s i!
halfG 'OhG Bou )oul#!'t )a!t to #o thatG' :hyE *eause I )oul# look fu!!yE A6( :hy #o
)e ha%e eyebro)sE AI( :hy 'ust I hurryE A@( :hy shoul# I )ait for a!#y u!til after
supperE AO( :hy #i# you speak to that 'a!E AF( 'Please #o!'t ba!$ the ar"#oorG' :hyED
A5( :hy #i# the hike!s )alk i! fro!t of the arE 6C( 'It is ti'e to $o ho'e for #i!!er
!o)G' :hyED
A ertai! !u'ber of these /uestio!s are ob%iously 'oti%ate# by the #esire to attrat
atte!tio! or i!te!#e# as a protest, others are /uasi"auto'ati e-erises of the /uestio!i!$
habit "" they re'i!# o!e of Leerlauf ati%ities i! %auo( *ut others& suh as Nos( 9& 5& 9@&
A9& are e-pressio!s of $e!ui!e uriosity, =ori'er put thirtee! out of forty /uestio!s i!to
this ate$ory& .u#$i!$ the' by o!te!t a!# the hil#'s e-pressio!( It is uriosity of a !e)
type& !o lo!$er #irete# at the pratial or playful uses of thi!$s o!ly& but at the 'ystery of
their 'beauses'(

The )or# 'beause' !o) plays a si'ilar part to that )hih the )or# '!a'e' #i# before0 a!
abstrate# relatio! has beo'e a relatu'& o!reti+e# i! a %erbal sy'bol( The hil#'s
o!ept of 'beause!ess'& i(e( ausality& )ill u!#er$o a series of ha!$es& but !ot the %erbal
sy'bol )hih refers to it( =ater o!& the ausal relatio! )ill e!ter as a relatu' i!to the
hi$her 'atri- of 'lo$ial ate$ories', a!# e%e! later this lass& i! its tur!& )ill beo'e a
'e'ber of the 'atries of episto'olo$y& psyholo$y& a!# so o!(


E-plai!i!$ a!# U!#ersta!#i!$

This lea#s us to the /uestio! of the !ature of e-pla!atio!(

Earlier o! I /uote# Craik's su$$estio! that the !er%ous syste''s 'ai! fu!tio! is 'to 'o#el
or parallel e-ter!al e%e!ts'& a!# that 'this proess of paralleli!$ is the basi feature of
thou$ht a!# e-pla!atio!'( 74F8 I! ter's of the prese!t theory the ''o#el' o!sists of
hierarhies of fle-ible 'atries )ith fi-e# o#es& abstrate# by the or$a!is' aor#i!$ to
its li$hts( I!si$ht a!# u!#ersta!#i!$ the! beo'e relati%e ter's& the #e$ree of
u!#ersta!#i!$ #epe!#i!$ o! ho) 'a!y #iffere!t aspets of reality ha%e bee! abstrate#&
ho) sharply they are #isri'i!ate#& to )hat e-te!t the abstrat o#es le!# the'sel%es to
e-pliit for'ulatio!s& a!# the #e$ree of preisio! a!# error )hih the 'o#el re%eals )he!
sub.ete# to the test of e'pirial %erifiatio!(

:e ha%e see! that it is !eessary to #isti!$uish bet)ee! progress i! u!#ersta!#i!$ "" the
a/uisitio! of !e) i!si$hts& a!# the exercise of u!#ersta!#i!$ at a!y $i%e! sta$e of
#e%elop'e!t( Progress i! u!#ersta!#i!$ is ahie%e# by the for'ulatio! of !e) o#es
throu$h the 'o#ifiatio! a!# i!te$ratio! of e-isti!$ o#es by 'etho#s alrea#y #isusse#0
e'pirial i!#utio!& abstratio! a!# #isri'i!atio!& bisoiatio!( The exercise or appliatio!
of u!#ersta!#i!$ "" the e-pla!atio! of partiular e%e!ts "" the! beo'es a! at of
subsu'i!$ the partiular e%e!t u!#er the o#es for'e# by past e-perie!e( To say that )e
ha%e u!#erstoo# a phe!o'e!o! 'ea!s that )e ha%e reo$!i+e# o!e or 'ore of its rele%a!t
relatio!al features as partiular i!sta!es of 'ore $e!eral or fa'iliar relatio!s& )hih ha%e
bee! pre%iously abstrate# a!# e!o#e#(

The o!%e!tio!al test of u!#ersta!#i!$ is %erbal e-pla!atio! "" the sub.et is i!%ite# to
!a'e the $e!eral rule of )hih the e%e!t to be e-plai!e# is a partiular i!sta!e( *ut the
a%ailability of suh !eat a!# rea#y e-pla!atio!s is the e-eptio! rather tha! the rule ""
u!less the e-pla!atio! )as lear!e# by rote "" beause& i! the first plae& the o#es )hih
$o%er! pereptio! a!# o$!itio! fu!tio! belo) the le%el of foal a)are!ess, i! the seo!#
plae beause a $reat !u'ber of o#es )hih $o%er! thi!ki!$ are u!%erbali+e# "" i!lu#i!$
the o#es of %erbal thi!ki!$& $ra''ar& a!# sy!ta-, thir#ly beause there are e'er$e!t&
'!ase!t' o#es )hih are still u!stable a!# a!!ot be 'pi!!e# #o)!'& but are so'eti'es
!e%ertheless of #eisi%e help to u!#ersta!#i!$( :e thus arri%e at a )hole series of
$ra#atio!s i! u!#ersta!#i!$ a!# e-pla!atio! "" suh as0

1a2 #nconscious u!#ersta!#i!$ 'e#iate# by the #rea' "" a for' of i!ter!al #isourse i!
)hih speifi e-perie!es are subsu'e# u!#er %ery ol#& e'otio!"har$e# 'atries )ith
pre"%erbal o#es( The tra!sfor'atio!s a!# #is$uises )hih people a!# e%e!ts u!#er$o i!
the #rea' 'ay be #esribe# as ats of reo$!itio! of #iffere!t appeara!es as the 'sa'e
thi!$' o! the sales of sy'boli rele%a!e peuliar to the #rea'( >yth& folklore& fairy"tale&
the fa!tasy )orl# a!# 'a$i ausality of the hil# are 'ai!ly i!spire# by this type of
u!#ersta!#i!$, a!# the e-pla!atio!s offere# by pri'iti%es a!# hil#re! for their beliefs are
true e-pla!atio!s i! the se!se #efi!e#(

1b2 *entative e-pla!atio!s& )hih i!#iate that the 'atri- i!to )hih the e%e!t is to be
i!orporate# is still i! the proess of o!strutio! by trial"a!#"error lear!i!$ a!#
hypothesis"for'atio!(

12 Half%understood e-pla!atio!s referri!$ to 'atries i! Nstatu !ase!#iN )hih& u!like
1b2& are bei!$ for'e# 'ai!ly by u!o!sious $ui#a!e& by u!%erbali+e# a!alo$ies& et(

1#2 E-pla!atio! by e-pliit analogy "" its %ali#ity #epe!#i!$ o! )hether it is arri%e# at by
seleti%e or Prorustea! 'etho#s(

1e2 Implicit u!#ersta!#i!$& )he! the phe!o'e!o! is reo$!i+e# as a! i!sta!e of a relatio!
)hih has bee! abstrate# but a!!ot be 'a#e %erbally e-pliit(

1f2 The sa'e as 1e2 plus a %erbal label( The abstrate# patter! a! !o) be named but !ot
other)ise %erbally #esribe#& 1's)eet'& 'pu!$e!t'& 'beautiful' "" %iseral& ki!estheti& aestheti
e-perie!es2(

1$2 6xplicit verbal e-pla!atio!s a!# #efi!itio!s )hih sou!# preise a!# o!%i!i!$& but
)here the o#es to )hih they refer o!tai! so'e hi##e! a-io'& id;e reOue& u!)arra!te#
assu'ptio!(

1h2 Over%explicit& ri$i# #efi!itio!s )hih e-plai! a)ay proble's as 'ea!i!$less by taki!$
the %erbal o'po!e!ts of the sy'boli 'o#el to piees "" for$etti!$ that the 'e-at' sie!es
ha%e al)ays operate# )ith fu++y o!epts& that $oo# ooks )ork i! #irty kithe!s& a!# that
the sterili+atio! of %erbal o!epts lea#s to sterility(

Other hea#i!$s oul# be i!terpolate# i!to this list( Co'pare# )ith the relati%ely fe) le%els
of u!#ersta!#i!$ i! the rat a!# e%e! the hi'pa!+ee& 'a!'s e-pla!atory hierarhies
represe!t a %eritable to)er of *abel, !ot 'erely beause they reah hi$her& but beause
there are 'ore fi!ely $ra#e# le%els bet)ee! the u!o!sious proesses at the base& a!# the
abstrat sy'bolis' at the top(

Thus i!stea# of talki!$ of i!si$ht a!# u!#ersta!#i!$ as all"or"!othi!$ proesses& a!#
'aki!$ %erbal e-pla!atio! a test for passi!$ shool e-a's& )e shoul# proee# by 'ore
autious state'e!ts& suh as0 ?oh!!ie has !o) u!#erstoo# that a phe!o'e!o! P is a
partiular i!sta!e of a $e!eral relatio! R )hih he a! !a'e, he has also u!#erstoo# that R
is a partiular i!sta!e of S& )hih he a! also !a'e( He 'ay further ha%e $raspe# that S is
a partiular i!sta!e of T )hih he has abstrate# but )hih he a!!ot %erbali+e, or it 'ay
#a)! o! hi' that e-perie!es of the type S ha%e so'ethi!$ i! o''o!& a!# are perhaps
partiular i!sta!es of so'e $e!eral relatio! T& )hih& ho)e%er& he has !ot yet abstrate#(


It follo)s that the #e$ree of larity a!# pe!etratio! of ?oh!!ie's u!#ersta!#i!$ 'ust !ot be
.u#$e# by the 'absolute hei$ht' he has reahe# i! a!y '%ertial' abstrati%e hierarhy& but by
the 'astery he has attai!e# o! his o)! partiular le%el( This #epe!#s o! the fators alrea#y
#isusse#& )here the 'ulti"#i'e!sio!ality of e-perie!e 1the i!tersetio! of se%eral
abstrati%e hierarhies i! it2 )as take! for $ra!te#( Thus a $ara$e 'eha!i 'ay ha%e a
'ore o'plete u!#ersta!#i!$ of the struture a!# fu!tio! of 'otor ars tha! a theoretial
physiist& i! spite of the latter's 'ore e-te!#e# abstrati%e hierarhies, a!# a! e-perie!e#
Na!!y 'ay k!o) 'ore about hil#re! tha! a! e-peri'e!tal psyholo$ist( '3ertial'
pro$ress i! abstratio! is of pri'ary i'porta!e i! the theoretial sie!es o!ly& but !ot i!
other #o'ai!s of e-perie!e )hih are of $reater si$!ifia!e to the 'a.ority( This 'ay be
the reaso! )hy the abstrati%e hierarhies )ere built up so %ery slo)ly i! the lear!i!$
proess of the hu'a! speies "" althou$h the !ati%e e/uip'e!t for it )as $i%e! 'ille!!ia
a$o "" a!# are a/uire# at a! e/ually hesita!t rate by the hil#(

Theoretially the buil#i!$ of the to)er of *abel& of hierarhies of abstratio!s& a! $o o!
i!#efi!itely& or u!til the 'ost $e!eral patter!s of e%e!ts are subsu'e# as partiular
i!sta!es u!#er o!e all"e'brai!$ la) "" a lapis philosophorum& or the u!ifie# fiel#
e/uatio!s )hih Ei!stei! hope# to fi!#( *ut i! fat i!#i%i#uals a!# ultures ha%e their o)!
eili!$s of abstratio!& )here their /uest for ulti'ates reahes saturatio! poi!t "" i! theis'&
pa!theis'& %italis'& 'eha!is'& or He$elia! #ialetis( I! less e-alte# #o'ai!s the eili!$
a! be surprisi!$ly lo)( So'e pri'iti%e la!$ua$es ha%e )or#s for partiular olours but !o
)or# for 'olour' as a lass( The abstratio! of Spae a!# Ti'e as ate$ories i!#epe!#e!t
fro' the ob.ets )hih oupy the' 1i(e( fro' #uratio! a!# e-te!sio!2 is o!ly so'e three
hu!#re# years ol#, so are the o!epts of 'ass& fore& et( The slo)& fu'bli!$ e'er$e!e of
abstrat o!epts )hih i! retrospet appear so self"e%i#e!t& is best illustrate# by the
be$i!!i!$ of 'athe'atis "" a #o'ai! )here pure abstratio! see's to rei$! supre'e(


The <a)! of >athe'atis

To /uote Russell's fa'ous #itu' o!e 'ore& 'it 'ust ha%e re/uire# 'a!y a$es to #iso%er
that a brae of pheasa!ts a!# a ouple of #ays )ere both i!sta!es of the !u'ber t)o'( I!
fat& e%i#e!e i!#iates that the #iso%ery )as !ot 'a#e i! o!e fell s)oop& but i! se%eral
hesita!t steps, a!# )he! it )as ahie%e#& so'e ultures )ere /uite o!te!t to stop there a!#
rest o! their $lories0 Australia! abori$i!es ha%e o!ly three !u'ber")or#s i! their
%oabulary0 o!e& t)o& a!# 'a!y( 7458 >ost Europea! la!$ua$es sho) the traes of this
sta$e of #e%elop'e!t0 the =ati! NterN 'ea!s both 'three ti'es' a!# ''a!y' 1f( 'thrie blest'2(


At the earliest sta$e the !u'ber o!ept is !ot yet abstrate# fro' the ob.ets )hih are
!u'bere#0 't)o"!ess' is a feature situate# i! partiular t)oso'e ob.ets& !ot a $e!eral
relatio!( =a!$ua$e bears )it!ess to this 'e'be##e#!ess'0 a 'brae' of pheasa!ts is !ot a
'pri#e' of lio!s, a 'pair'& )he! 'arrie#& is a 'ouple'& )he! e!$a$e# i! si!$i!$& a '#uo'( I!
so'e pri'iti%e la!$ua$es !ot o!ly the !u'ber t)o but all !u'erals a#here to the type of
ob.et ou!te#, i! the Ti'shia! to!$ue of Ne) ;ui!ea there are se%e! #iffere!t lasses of
!u'ber")or#s referri!$& respeti%ely& to flat ob.ets& rou!# ob.ets& lo!$ ob.ets& people&
a!oes& a!# 'easures, the se%e!th& use# for ou!ti!$ i! $e!eral& )as the latest to #e%elop(
79C8

Chil#re! $o throu$h a si'ilar sta$e, Koffka 'e!tio!s se%eral three"year"ol#s )ho
u!#erstoo# a!# use# the )or#s 't)o apples'& but #i# !ot u!#ersta!# 't)o eyes'& 't)o ears'(
O!e hil#& o%er four& )he! aske# by his $ra!#father& 'Ho) 'a!y fi!$ers ha%e IE'& replie#& 'I
#o!'t k!o), I a! o!ly ou!t 'y o)! fi!$ers(' There is a! ol# .oke about the !e) arith'eti
teaher )ho& )he! he aske# the lass& 'Ho) 'a!y ora!$es )oul# ?oh!!ie ha%e if ( ( ( et('&
reei%e# the i!#i$!a!t reply& 'Please& sir& )e ha%e o!ly lear!e# to ou!t i! apples'( The
!u'ber"'atri-& o!e a#here!t to the ob.et"'atri-& has $ai!e# suh lofty i!#epe!#e!e&
that their re"u!io! is e-perie!e# as a bisoiatio! of i!o'patibles(

The !e-t step is the abstratio! of individual numbers& )hih are !ot yet re$ar#e# as parts
of a o!ti!uous series( The first 'perso!ali+e#' !u'ber"o!ept abstrate# by pri'iti%e a!#
hil# alike is al'ost i!%ariably the !u'ber t)o( Ne-t follo) the o!epts 'o!e' a!# ''a!y'(
So'e ultures& as 'e!tio!e#& stop there, others retai! traes of this sta$e i! their la!$ua$es,
Hebre) a!# ;reek ha%e retai!e# separate $ra''atial for's for the si!$ular& the #ual& a!#
the plural( Koffka 'e!tio!s a hil# )ho playe# )ith o'bi!atio!s of 't)o a!# o!e'& 't)o
a!# t)o'& et(& u!til early i!to its fifth year, o!ly the! #i# the !u'ber")or# 'three' beo'e
fir'ly establishe#(

These first i!#i%i#ual !u'ber"o!epts are o!ly se'i"abstrat, they e'er$e as it )ere
reluta!tly fro' the )o'b& a!# retai! for a lo!$ ti'e the u'bilial or# )hih attahes
the' to o!rete ob.ets or fa%ourite sy'bols( I! so'e pri'iti%e la!$ua$es the )or# for
fi%e is 'ha!#'& for te! 't)o ha!#s'& Eah !u'ber pri'arily refers to so'e suh ''o#el
olletio!' of pratial or 'ystial si$!ifia!e0 the four ar#i!al poi!ts& the Holy Tri!ity&
the 'a$i Pe!ta$ra'& Eah !u'ber has its prefere!tial o!!otatio!& its perso!ality a!#
i!#i%i#ual profile, it is as yet u!relate# to other !u'bers a!# #oes !ot for' a o!ti!uous
series )ith the'& The !u'ber se!se of Otto Koehler's bir#s )ho a! i#e!tify at a $la!e
ob.et"olletio!s up to se%e!& a!# the sa'e faulty of hu'a! sub.ets 1to )ho'
hetero$e!eous ob.ets are sho)! o! a sree! for a ti'e too short for ou!ti!$2 $i%e us so'e
i#ea of the harater of our o)! earliest !u'ber"o!epts& They oul# be #esribe# as
/ualities rather tha! as /ua!tities i! a $ra#e# series, the i#e!tifiatio! of !u'bers i!
e-peri'e!ts )here ou!ti!$ is e-lu#e#& o!sists appare!tly i! reo$!i+i!$ the /uasi"
;estalt /uality of 'fi%e!ess' 1I say '/uasi' beause the ob.ets are #istribute# at ra!#o' a!#
#o !ot pro%i#e ohere!t fi$ural u!ity2( I! other )or#s& eah of the first i!#i%i#ual !u'bers
up to perhaps se%e! or ei$ht& is represe!te# by a separate 'atri- "" its assoiati%e
o!!otatio!s "" a!# a pereptual a!alyser"o#e )hih e!ables us to reo$!i+e 'fi%e!ess'
#iretly& at a $la!e( The a!alyser probably )orks by sa!!i!$& as i! the pereptio! of
tria!$les a!# s/uares, but this proess is auto'ati a!# u!o!sious& as oppose# to
o!sious ou!ti!$(

Thus the first 'perso!ali+e#' !u'ber"o!epts '#o !ot o!stitute a ho'o$e!eous series& a!#
are /uite u!suite# to the si'plest lo$ial or 'athe'atial operatio!'( 7948 Those first
operatio!s are& appare!tly& arrie# out !ot by ou!ti!$& but by matching the olletio! of
ob.ets to be ou!te# a$ai!st ''o#el olletio!s' of pebbles& !othes ut i!to a stik& k!ots
'a#e i! a stri!$& a!# abo%e all the fi!$ers a!# toes( The ''o#el olletio!s' are usually
those to )hih the i!#i%i#ual !u'ber"o!ept ori$i!ally referre#( The earliest 'o#el
olletio!s see' to ha%e bee! pebbles, to alulate' is #eri%e# fro' alulus& 'ea!i!$
pebble, to tally& fro' NtaleaN& utti!$( Relis of other 'o#el"olletio!s abou!# i! our
)ei$hts a!# 'easures0 feet& yar#s& furlo!$s& hai!s& bushels& ro#s( The Ayepo!es i!
Australia hu!t )il# horses, )he! they retur! fro' a! e-ursio! !obo#y asks the' ho)
'a!y horses they ha%e au$ht but 'Ho) 'uh spae )ill they oupyE'( E%e! Her-es
ou!te# his ar'y by this 'etho# "" at least& if )e are to belie%e Hero#otus0
All the fleet& bei!$ !o) arri%e# at <orisus& )as brou$ht by its aptai!s at Her-es'
o''a!# to the beah !ear <orisus ( ( ( a!# haule# up for rest( I! the 'ea!)hile& Her-es
!u'bere# his ar'y at <orisus( :hat the !u'ber of eah part of it )as I a!!ot )ith
e-at!ess say& for there is !o o!e )ho tells us that, but the ou!t of the )hole la!# ar'y
sho)e# it to be a 'illio! a!# se%e! hu!#re# thousa!#( The !u'beri!$ )as #o!e as follo)s0
a 'yria# 74C&CCC8 'e! )ere ollete# i! o!e plae& a!# )he! they )ere pake# to$ether as
losely as 'i$ht be& a li!e )as #ra)! rou!# the', this bei!$ #ra)!& the 'yria# )as se!t
a)ay& a!# a )all of sto!e built o! the li!e reahi!$ up to a 'a!'s !a%el, )hih #o!e& others
)ere brou$ht i!to the )alle# spae& till i! this )ay all )ere ou!te#( 7998
It see's that as a $e!eral rule 'athi!$ pree#es ou!ti!$ i! the 'ost %arie# ultures(

The !e-t $reat a#%a!e )as the i!te$ratio! of i!#i%i#ual !u'bers i!to a ho'o$e!eous
series "" the tra!sitio! fro' ar#i!al to or#i!al !u'bers& fro' 'fi%e!ess' to 'the fifth'( The
ati%ity of ou!ti!$ see's to ori$i!ate i! the spo!ta!eous& rhyth'i 'otor ati%ities of the
s'all hil#0 kiki!$& sta'pi!$& tappi!$& )ith his ha!#s a!# feet, a!# the repetiti%e i'itatio!
of patter!e# series of !o!se!se syllables0 'Ee!y 'ee!y 'i!y 'o' "" a ki!# of pseu#o"
ou!ti!$( E%e! 'ore i'porta!t is perhaps the spo!ta!eous& rhyth'ial strethi!$ of fi!$ers
a!# tappi!$ )ith the fi!$ers( Here )as the i#eal ''o#el olletio!' out of )hih& i! the
ourse of so'ethi!$ like a hu!#re# thousa!# years& the skill of fi!$er"ou!ti!$ 'ust ha%e
e'er$e#( <a!+i$ 79A8 alls atte!tio! to a subtle #isti!tio!0
I! his fi!$ers 'a! possesses a #e%ie )hih per'its hi' to pass i'pereptibly fro'
ar#i!al to or#i!al !u'ber( Shoul# he )a!t to i!#iate that a ertai! olletio! o!tai!s
four ob.ets he )ill raise or tur! #o)! four fi!$ers si'ulta!eously, shoul# he )a!t to ou!t
the sa'e olletio! he )ill raise or tur! #o)! these fi!$ers i! suessio!( I! the first ase
he is usi!$ his fi!$ers as a ar#i!al 'o#el& i! the seo!# as a! or#i!al syste'(
U!'istakable traes of this ori$i! of ou!ti!$ are fou!# i! pratially e%ery pri'iti%e
la!$ua$e(' A fasi!ati!$ aou!t of ou!ti!$ 'etho#s i! pri'iti%e soieties a! be fou!# i!
=T%y"*ruhl& Ho) Nati%es Thi!k 1459@& Chapter 32(
I ha%e trie# to re"trae the first t)o steps at the base of the 'athe'atial hierarhy( The
first )as the slo) a!# hesita!t abstratio! of i!#i%i#ual !u'ber o!epts fro' the o!rete
ob.ets to )hih they relate, the seo!# )as the abstratio! of the se/ue!tial relatio!
bet)ee! !u'bers& )hih establishes the basi rule of the 'athe'atial $a'e0 ou!ti!$( A
posteriori it )oul# see' that the roa# !o) lay ope! to the lo$ial #e#utio! of the )hole
bo#y of the theory of !u'bers, i! fat eah a#%a!e re/uire# the e-erise of reati%e
i'a$i!atio!& .u'pi!$ o%er hur#les& follo)i!$ up ra+y hu!hes& a!# o%ero'i!$ 'e!tal
bloks( Ce!turies of sta$!atio! alter!ate# )ith perio#s of e-plosi%e pro$ress, #iso%eries
)ere for$otte! a!# re"#iso%ere#, )ithi! the sa'e i!#i%i#ual& brillia!t i!si$hts oul# be
follo)e# by protrate# s!o)bli!#!ess( It took se%eral hu!#re# years u!til the Hi!#u
i!%e!tio! of +ero )as aepte# i! Christia! Europe, Kepler #eteste# a!# !e%er aepte# the
'oss' "" i(e( al$ebrai !otatio!, his teaher >aestli! sho)e# the sa'e hostility to)ar#s
Napier's lo$arith's( Pro$ress i! the appare!tly 'ost ratio!al of hu'a! pursuits )as
ahie%e# i! a hi$hly irratio!al 'a!!er& epito'i+e# by ;auss' 'I ha%e ha# 'y solutio!s for a
lo!$ ti'e& but I #o !ot yet k!o) ho) I a' to arri%e at the''( The 'i!#& o)i!$ to its
hierarhi or$a!i+atio!& fu!tio!s o! se%eral le%els at o!e& a!# ofte! o!e le%el #oes !ot
k!o) )hat the other is #oi!$, the esse!e of the reati%e at is bri!$i!$ the' to$ether(


The <a)! of =o$i

=et us tur! to the $e!esis of lo$ial o#es "" a!# take as a! e-a'ple the so"alle# la) of
o!tra#itio! i! its post"Ka!tia! for'ulatio!0 A is !ot !ot"A( To #isre$ar# this la) use# to
be o!si#ere# as a 'ortal si! a$ai!st ratio!ality, hief a'o!$ the si!!ers )ere pri'iti%es
a!# hil#re!& )ith their !otorious i'per%ious!ess to o!tra#itio! "" plus all of us )ho
#rea' at !i$ht bei!$ A a!# !ot"A i! a si!$le breath(

No) i! or#er to tell A fro' !ot"A& I 'ust #isri'i!ate bet)ee! the'( O!e I ha%e
#isri'i!ate# bet)ee! the' 'A is !ot !ot"A' beo'es tautolo$ous& a!# you a!!ot si!
a$ai!st a tautolo$y( *ut #isri'i!atio!& as )e sa)& is a fu!tio! of rele%a!e( Fu!tio!ally
irrele%a!t #iffere!es bet)ee! e-perie!es 'ay $o either e!tirely u!!otie#& or 'ay be
!otie# but !ot retai!e#& or they 'ay be i'pliitly retai!e# )ithout arousi!$ the !ee# for
e-pliit #isri'i!atory respo!ses& %erbal or other)ise(

O!e upo! a ti'e I ha# a sheep far' i! North :ales& a!# 'y Co!ti!e!tal frie!#s kept
a##ressi!$ their letters to0 *)ylh Oy!& *lae!au Ffesti!io$& !ear Pe!rhy!#eu#raeth&
E!$la!#( The post'a!& a ;aeli patriot& )as 'uh a$$rie%e#( Ha# he o!sulte# =or#
Russell 1)ho )as 'y !ei$hbour a!# li%e# i! =la! Ffesti!io$2& he )oul# !o #oubt ha%e
lear!e# that si!e :ales is !ot"E!$la!# a!# Ffesti!io$ is :ales& it follo)e# that forei$!ers
ha# a pre"lo$ial 'e!tality a!# )ere u!able to u!#ersta!# the la) of o!tra#itio!( Thus& if
the riteria of rele%a!e of H& #eter'i!e# by H's patter!s of 'oti%atio!& %alues& a!#
k!o)le#$e& are si$!ifia!tly #iffere!t fro' B's& the! B's beha%iour 'ust !eessarily appear
to H as irratio!al a!# 'i!#iffere!t to o!tra#itio!'( He!e the 'ass of 'isi!terpretatio!s
)hih 'issio!aries ha%e put o! the 'e!tality of pri'iti%es& a!# $ro)!ups o! the 'e!tal
)orl# of the hil#(

To the pri'iti%e 'i!# the 'ost si$!ifia!t relatio!s bet)ee! perso!s& ob.ets& a!# e%e!ts
are of 'a$ial harater, i! tote'isti soieties the e-iste!e of a 'a$i li!k is assu'e#
bet)ee! 'e'bers of the $roup a!# the tote'( The *ororo tribe i! !orther! *ra+il& )hose
tote' a!i'al is the re# arara& a ki!# of parakeet& affir' that they are re# araras( Naturally&
the *ororo a! see the #iffere!e bet)ee! a re# bir# a!# his fello) tribes'a!, but )he!
referri!$ to his o!%itio! that both partiipate i! a 'ysti u!ity& the #iffere!e bet)ee!
the' is treate# as irrele%a!t "" .ust as the hil# )ho alls all poi!te# thi!$s '!ose'& hooses
to i$!ore the #iffere!e bet)ee! !oses a!# shoes as irrele%a!t for its purpose( The
#iffere!e bet)ee! pri'iti%e a!# 'o#er! 'e!tality is !ot that the for'er is i!#iffere!t to
o!tra#itio!& but that state'e!ts )hih appear as o!tra#itory to o!e& #o !ot appear so to
the other& beause eah 'e!tality abstrats a!# #isri'i!ates alo!$ #iffere!t #i'e!sio!s of
e-perie!e or '$ra#ie!ts of rele%a!e'& #eter'i!e# by #iffere!t 'oti%atio!s( This applies !ot
o!ly to so"alle# 'pri'iti%e' ultures 1)hih& of ourse& are ofte! far fro' pri'iti%e2(
Europea! thou$ht i! the >i##le A$es& a!# Aristotelia! physis i! partiular& appear to us
full of $lari!$ly e%i#e!t self"o!tra#itio!s( The sa'e applies to the philosophial syste's
of *u##his' a!# Hi!#uis'& )hih #o !ot #isri'i!ate bet)ee! ob.et a!# sub.et&
perei%er a!# perei%e#& a!# i! )hih the %alue of the #isri'i!atory at itself is
#isre#ite# by the #o$'a of the u!ity of opposites( 7968 3ie %ersa& if )e trie# to see
ou!el%es throu$h the eyes of a *u##hist or 'e#ie%al Christia!& our !otio! that ra!#o'
e%e!ts e-ert a #eisi%e i!flue!e o! a! or#ere# a!# la)ful u!i%erse )oul# appear as self"
o!tra#itory( To the' "" as to the pre"Soratia!s "" appare!t oi!i#e!es )ere the %ital
$aps i! the tri%ial )eb of physial ausatio! throu$h )hih the deus ex machina 'a!ifeste#
its )ill, these $aps ause# a ki!# of porous!ess i! the te-ture of reality throu$h )hih
#esti!y oul# i!filtrate( I! the 'o#er! Europea!'s u!i%erse& our ritis )oul# say& the
fi$ure"bak$rou!# relatio! i! the porous te-ture is re%erse#(

I! the 'a$i )orl# of the hil#& physial ausatio! a!# abstrat ate$ories play a! e/ually
subor#i!ate a!# u!ertai! part& a!# a!!ot be re$ar#e# as a test for o!tra#itio!( :he! a
hil# 'akes o!tra#itory state'e!ts& for i!sta!e& 'the su! is ali%e beause it $i%es li$ht'
a!# 'the su! is !ot ali%e beause it has !o bloo#'& this is si'ply #ue to the fat that the word
'ali%e' )as lear!e# before the concept of ali%e!ess )as for'e#, it is a ase& as so ofte!
fou!# at that a$e& of a symbol in search of a referent( Pia$et& fro' )hose e-peri'e!ts )ith
a hil# of !i!e I ha%e bee! /uoti!$& e'phasi+e# that hil#re! are apt to for$et their pre%ious
.u#$e'e!ts a!# the! $i%e a o!tra#itory o!e( Bet ob%iously the )or# 'ali%e' is use# o!
eah of the t)o oasio!s )ith a #iffere!t 'ea!i!$& base# o! #iffere!t riteria0 i! the first
ase o! the #isri'i!atio! bet)ee! hot a!# ol# bo#ies 1A a!# !ot"A2& i! the seo!#
bet)ee! bo#ies )ith a!# )ithout bloo# 1* a!# !ot"*2( Thus there is !o o!tra#itio!
bet)ee! the t)o state'e!ts& o!ly o!fusio! re$ar#i!$ the 'ea!i!$ of the )or# 'ali%e', )hat
the hil# i!te!#e# to say )as0 'the su! is ali%e i! so far as it is hot& but !ot ali%e i! so far as
it has !o bloo#'( I'pliit #isri'i!atio! bet)ee! o!trasti!$ alter!ati%es is ofte! blurre# i!
the e-pliit state'e!ts of the hil# o)i!$ to its li!$uisti i!e-perie!e(

The hil#'s attitu#e to its e-perie!es is #isri'i!atory )ithi! its fra'e)ork of rele%a!t
relatio!s& a!# its appare!t o!tra#itio!s are #ue partly to the fat that its sales of rele%a!t
%alues are #iffere!t fro' the a#ult's& partly to the i!a#e/uay of its sy'boli e/uip'e!t(
*ut althou$h the hil# experiences ertai! fats a!# relatio!s as 'utually e-lusi%e a!#
reats aor#i!$ly& the relatio!al o!ept of 'o!tra#itio!' itself is o!ly abstrate# at a
'uh later sta$e of #e%elop'e!t, .ust as the hil# uses !a'es before the !a'e"thi!$
relatio! as suh is abstrate#(

There see' to be three sta$es i! the e'er$e!e of the 'la) of o!tra#itio!'( The first is
trai!i!$ the hil# to respo!# to the o''a!#s 'Bes' a!# 'No' a!# their e/ui%ale!ts, the
seo!# is the hil#'s use of these sy'bols as le%ers to o!trol the atio!s of others, the thir#
is the use of 'Bes' a!# 'No' )ith refere!e to verbal ati%ities( Stei!'s #au$hter use# the )or#
'Nei!' at ei$htee! 'o!ths i! a!s)er to the /uestio!& 'Shall )e take Hil#e a)ayE'( *ut )he!
she )as aske# 'Is this a #o$$ieE' )hile the )ro!$ a!i'al )as sho)! her& she re'ai!e#
sile!t& the! ehoe# '#o$$ie'( Four 'o!ths later& ho)e%er& she be$a! to o!tra#it a )ro!$
!a'e by substituti!$ the ri$ht o!e, a!# a!other t)o 'o!ths later "" at t)o years "" she
fir'ly sai# 'No' i! #e!ial of blata!tly false %erbal state'e!ts(

Thus )e see that the pri!iple of o!tra#itio! is applie# to sy'boli ati%ities preisely at
the sta$e )here sy'boli relatio!s as suh beo'e rele%a!t to the hil# a!# all out
#isri'i!atory reatio!s( O!e this sta$e has bee! reahe# the hil# uses 'No' !ot o!ly to
pre%e!t u!#esirable atio!& but to re.et i!orret sy'boli propositio!s( This !e) %erbal
#e%ie is for the hil# a soure of satisfatio! o'parable to the #iso%ery of the !a'i!$
$a'e( It is e-presse# by the fre/ue!t use of a!titheti state'e!ts )hih are harateristi
for this a$e, three"year"ol#s #eli$ht i! phrases )hih sou!# as if they ha# bee! borro)e#
fro' the Pro%erbs of Solo'o!0 'I a' fast ru!!er& !ot slo) ru!!er'& 'I !ot ol# boy& !e) boy'&
et( The use of suh paire# a!titheti state'e!ts 'arks the be$i!!i!$ of the proess of
abstrati!$ the relatio! of 'utual e-lusio! as suh& follo)e# by the other& !o) fa'iliar&
sta$es0 the $ra#ual #o)!i!$ of the $e!erali+e# relatio!, the i'pliit $rasp of the pri!iple,
a!# fi!ally its e-pliit !a'i!$ "" thou$h this last sta$e 'ay !e%er be reahe#( *ut re$ar#less
of )hether or !ot the sub.et is able to $i%e a %erbal #efi!itio! of it& the pri!iple of the
'utual e-lusio! of opposites pre%iously #isri'i!ate# as suh& )ill e!ter as a! i'porta!t
rule of the $a'e i!to all 'atries of ratio!al thou$ht(

Thus the so"alle# 'la)s of thou$ht' i! tra#itio!al lo$i are& fro' the poi!t of %ie) of
#e%elop'e!tal psyholo$y& 'erely the e-pliit for'ulatio!s of i'pliit relatio!s& abstrate#
by the usual proe#ures harateristi for all for's of lear!i!$( :e 'ay say that the
pri!iple of o!tra#itio! e-ists a priori i! the or$a!i+atio! of the !er%ous syste'& beause
the po)er to #isri'i!ate is built i!to that or$a!i+atio!& a!# o!tra#itio! is 'erely a! epi"
phe!o'e!o! of #isri'i!atio!( *ut )e 'ay also say that our .u#$e'e!ts of )hat is a
o!tra#itio! a!# )hat is !ot are e'pirially #eri%e#& beause the $ra#ie!ts of rele%a!e
alo!$ )hih abstratio! a!# #isri'i!atio! proee#& are sub.eti%e a!# #iffer aor#i!$ to
i!#i%i#ual a!# ulture(

*ut this sub.eti%ity #oes !ot #etrat fro' the $reat po)er )hih the pri!iple of
o!tra#itio! e-erises o%er the 'i!#( A!# !ot o!ly o%er the hu'a! 'i!#, the e-peri'e!tal
!euroses )hih Pa%lo% i!#ue# i! his #o$s testifies to it( The #o$ is trai!e# to #isri'i!ate
irles& or !early irular ellipses& fro' flat ellipses& the for'er si$!alli!$ foo#& the latter
'!o foo#'( So lo!$ as the t)o types of si$!als are o'fortably #isti!$uishable fro' eah
other& the #o$ sho)s !o si$! of strai!( *ut )he! i!ter'e#iary for's are sho)! )hih oul#
be i!terprete# as belo!$i!$ to o!e lass or its opposite& e-peri'e!tal !eurosis sets i!0 the
#o$ $oes )il#& the! beo'es apatheti& a!# see's to lose alto$ether its po)er of
#isri'i!atio!, it $oes e'otio!ally a!# i!telletually to piees( O!e 'i$ht say that the #o$
has lost o!fi#e!e i! a )orl# i! )hih the la) of the e-lu#e# 'i##le has ease# to
operate& a!# A is !o lo!$er !ot !ot"A(

It appears that #o$s are !ot o!ly e'otio!ally 'ore stable a!# loyal& but also 'ore ortho#o-
lo$iia!s tha! their 'asters( For the po)ers of #isri'i!atory .u#$e'e!t are 'ore #ilute#
o! the le%el of sy'boli thou$ht tha! i! pereptio!, a!# )he! thou$ht is #o'i!ate# by
e'otio! a!# faith& the Re# Juee! al)ays sores a$ai!st reaso!able Alie& )ho asserts that
'O!e a!'t belie%e i'possible thi!$s', )hereas the Juee!& after a little pratie& 'a!a$e# to
belie%e 'as 'a!y as si- i'possible thi!$s before breakfast'(

:hih is& all thi!$s o!si#ere#& /uite a 'o#est esti'ate(


NOTE

To p( @4A( O!e upo! a ti'e =ashley a!# :a#e 1456@2 trie# to 'ake a #isti!tio! 'bet)ee!
the Nso"alle# $e!erali+atio!N )hih 'ea!s o!ly a failure to obser%e #iffere!es a!# the
$e!erali+atio! )hih i!%ol%es pereptio! of both si'ilarities a!# #iffere!es( The
a'orphous fi$ure& laki!$ i! i#e!tity& is $e!erali+e# i! the first se!se o!ly(' The /uotatio! is
fro' Hebb 14565& p( 9O2& )ho see'e# to share =ashley's %ie)& althou$h =ashley hi'self
later #roppe# the #isti!tio!( The 'a'orphous fi$ure' i! the /uotatio! refers to 'a! irre$ular
'ass of olour or a patter! of i!terseti!$ li!es #ra)! at ra!#o''( *ei!$ a'orphous it #oes
per #efi!itio!e' lak i#e!tity& i(e(& the prere/uisites for the for'atio! of a! ob.et"o!ept,
but it is !e%ertheless see! as so'e ki!# of fi$ure o! a bak$rou!# that is #isri'i!ate#( I!
fat& abstratio! )ithout #isri'i!atio! is a o!tra#itio! i! ter's( The abstrate# /uality ""
)hether '!ose'& '#oily'& or 'sou!# of the tu!i!$ fork' is al)ays #iffere!tiate# fro' !o!"!ose
a!# !o!"#oily a!# !o"sou!#( 1If the sou!# of the tu!i!$ fork is %ery )eak& it )ill approah
the li'e! of !o"sou!#, about the effet of si'ple $ra#ie!ts of i!te!sity& see Hebb 145IF2& p(
4F5, about pith a!# ota%e $ra#ie!ts& see Os$oo#& op( it(& p( A@4( Si!e pereptio! of
i!te!sity& pith& et( is part of the a!i'al's pereptual or$a!i+atio!& they 'ust i!flue!e the
fu!tio!i!$ of the a!alyser"o#es(2




H3I

SO>E ASPECTS OF THINKIN;
>ulti"<i'e!sio!ality
I! the pree#i!$ hapter )e ha%e #isusse# the proesses by )hih the rules of the $a'e of
sy'boli thou$ht are a/uire#, let us !o) tur! to a#ult thi!ki!$ a!# proble'"sol%i!$(
Thi!ki!$ is a 'ulti"#i'e!sio!al affair( The Ster!s reor#e# all the /uestio!s aske# by their
little #au$hter i! the ourse of four #ays, but the reor# $i%es us o!ly the sa!tiest poi!ters
to )hat )e!t o! i! the hil#'s hea#( Perhaps o!e #ay a super"EE; )ill be o!strute#&
)hih )ill reor# all the thou$hts "" or at least all %erbali+e# thou$hts "" )hih the strea'
of o!sious!ess arries throu$h the sub.et's )ire# skull, yet e%e! suh a reor#& far 'ore
o'plete tha! a!ythi!$ ?a'es ?oye oul# #rea' of& )oul# be but a poor poi!ter to the
'ulti"#i'e!sio!al patter!s u!#erlyi!$ the li!ear strea'( The osillati!$ ur%e o! the
$ra'opho!e reor# !ee#s a hu'a! au#itory syste' to yiel# all the i!for'atio! it o!tai!s(
The super"EE; )oul# reor# lar$er u!its of i!for'atio! "" e!tire )or#s, but it )oul# still
!ee# a psyhoa!alyst or a ?oye"i!terpreter to #i%i!e the 'ea!i!$ behi!# the 'ea!i!$0 the
o!!otatio!s of i!#i%i#ual )or#s& their u!o!sious ehoes& the 'oti%atio! behi!# it all& the
rules of the patie!t's $a'e& hi##e! to hi'self& a!# the 'e'ories )hih rop up as
la!#'arks i! his i!ter!al& 'e!tal e!%iro!'e!t(
:e 'ust !e%ertheless try to sort out so'e of the #i'e!sio!al %ariables i! this i''e!sely
o'ple-& 'ulti"#i'e!sio!al ati%ity, these %ariables )ill the! yiel# $ra#ie!ts of #iffere!t
ki!#s, for i!sta!e0
142 <e$rees of o!sious!ess, 192 <e$rees of %erbali+atio!, 1A2 <e$rees of abstratio!, 162
<e$rees of fle-ibility, 1I2 Type a!# i!te!sity of 'oti%atio!, 1@2 Realisti %ersus autisti
thou$ht, 1O2 <o'i!a!e of outer or i!!er e!%iro!'e!t, 1F2 =ear!i!$ a!# perfor'i!$, 152
Routi!e a!# ori$i!ality(
Eah of these hea#i!$s has bee! repeate#ly #isusse# i! %arious o!te-ts i! %arious
hapters( >ost of the' ut aross the o!%e!tio!al lassifiatio!s of thou$ht suh as
'assoiati%e' %ersus '#iretio!al'( All %ariables are i!ter"#epe!#e!t(
No) if %ariables #epe!# o! eah other& there 'ust be a fu!tio! )hih #efi!es their i!ter"
#epe!#e!e "" a rule of the $a'e( The /uestio!0 'If yPfLxM a!# - is O& ho) 'uh is yE' is
'ea!i!$less u!less I #efi!e f( Si'ilarly& if i! the e-peri'e!tal laboratory the sub.et is
$i%e! the sti'ulus )or#0 SU'bi$' a!# is aske# for the 'respo!se'& the /uestio! is 'ea!i!$less
u!less f is #efi!e# as 'sy!o!y's' or 'opposites' or 'rhy'es'& or )hate%er $a'e is to be
playe#(
O!e of the 'ai! o!te!tio!s of this book is that or$a!i life& i! all its 'a!ifestatio!s& fro'
'orpho$e!esis to sy'boli thou$ht& is $o%er!e# by 'rules of the $a'e' )hih le!# it
ohere!e& or#er& a!# u!ity"i!"%ariety, a!# that these rules 1or fu!tio!s i! the
'athe'atial se!se2& )hether i!!ate or a/uire#& are represe!te# i! o#e# for' o! %arious
le%els& fro' the hro'oso'es to the strutures i! the !er%ous syste' respo!sible for
sy'boli thou$ht( The o#es are assu'e# to fu!tio! o! the tri$$er"release pri!iple& so
that a relati%ely si'ple si$!al"patter! releases o'ple-& pre"set atio!"patter!s& as the
referee's )histle i!itiates or stops the ati%ities of the football players( The rules are fi-e#&
but there are e!#less %ariatio!s to eah $a'e& their %ariability i!reasi!$ i! ase!#i!$
or#er, this le!#s elastiity to habit& a!# $i%es rise to the sub.eti%e e-perie!e of free#o' of
hoie bet)ee! alter!ate possibilities of atio!( There is also a! o%erall"rule of the $a'e&
)hih says that !o rule is absolutely fi!al, that u!#er ertai! iru'sta!es they 'ay be
altere# a!# o'bi!e# i!to a 'ore sophistiate# $a'e& )hih pro%i#es a hi$her for' of
u!ity a!# yet i!rease# %ariety, this is alle# the sub.et's reati%e pote!tial(
Fae# )ith the i'a$i!ary EE; reor# of the patie!t's strea' of thou$hts& the o!ly )ay of
i!terpreti!$ it )oul# be to fi!# out )hat $a'e the patie!t is playi!$ at a!y 'o'e!t& a!#
)hy( This atually is the proe#ure of the free"assoiatio! 'etho# i! psyhotherapy0 the
patie!t's )or#s pro%i#e the reor#& a!# his #rea's& it is hope#& )ill pro%i#e the
i!terpretatio! of the u!#erlyi!$ patter!s of his i!#i%i#ual 'atries of thou$ht( :e follo)& as
)e sa) earlier o!& si'ilar 'etho#s i! pereptual a!alysis0 the se/ue!e of pressure"
%ariatio!s reahi!$ the ear"#ru' 'ust be #is'a!tle#& a!alyse#& a!# reasse'ble# if )e )a!t
to $et at the u!#erlyi!$ patter!s of ti'bre& 'elo#y& a!# speeh( The strea' of sou!#s& like
the strea' of thou$hts& yiel#s its 'ea!i!$ o!ly if the peripie!t k!o)s the rules of the
$a'e(
The E-perie!e of Free Choie
=et us o!si#er so'e of the #i'e!sio!s of thi!ki!$ liste# o! pp( @AC"4( Re$ar#i!$
o!sious!ess I propose# to 'ake a #isti!tio! bet)ee! the 'li!ear sale' of a)are!ess o!
the o!e ha!#& a!# hierarhi le%els of o!sious!ess o! the other 1*ook O!e& 3II& 3III2(
The for'er )as to be re$ar#e# as a o!ti!uous $ra#ie!t e-te!#i!$ fro' o'pletely self"
re$ulatory physiolo$ial proesses& throu$h 'ore or less auto'ati+e# skills& to peripheral&
a!# lastly& foal& a)are!ess of e%e!ts, the latter to be represe!te# by /uasi"parallel layers of
'e!tal or$a!i+atio! "" o'parable to $eolo$ial strata "" )hih are #iso!ti!uous a!#
$o%er!e# by o#es for'e# at #iffere!t sta$es of phylo$e!eti a!# o!to$e!eti #e%elop'e!t(
All this has bee! #isusse# at le!$th i! the pre%ious %olu'e& a!# !ee# !ot be reapitulate#,
but I 'ust appe!# t)o a##itio!al poi!ts(

The first o!er!s 'li!ear' a)are!ess( I ha%e #esribe#& so'e)hat per%ersely& a)are!ess as
that #i'e!sio! of e-perie!e )hih #i'i!ishes a!# shri!ks a)ay )ith the pro$ressi%e
auto'ati+atio! of a skill( For 'a)are!ess' is a! irre#uible ter'& a blak bo- like that other
)hih o!tai!s the po)er of or$a!i life to e-trat e!er$y a!# i!for'atio! fro' its
e!%iro!'e!t "" a!#& i! fat& o!ti!uous )ith the latter( O! the other ha!#& the pro$ressi%e
auto'ati+atio! of 'otor skills& pereptual skills& %erbal a!# 'athe'atial skills& is a!
obser%able a!# to so'e e-te!t e%e! 'easurable fator of beha%iour "" epito'i+e# o! its
lo)est le%el by se!sory habituatio!( Thus by e-pressi!$ a)are!ess by the i!%erse ratio of
the auto'ati+atio! of the o!$oi!$ proess& a ertai! strate$i a#%a!ta$e is $ai!e#( Other
thi!$s bei!$ e/ual 1i(e( u!#er stabli+e# e!%iro!'e!tal o!#itio!s2& auto'ati+atio! 'a!ifests
itself i! pre#itable& stereotype# perfor'a!e& )here the 'atri- has !o #e$rees of free#o'
left for strate$i #eisio!s& beause these are 'a#e by pre"set fee#bak o!trols& a!# #o !ot
re/uire the atte!tio! of hi$her e!tres( Co!%ersely& the less auto'ati+e# the skill& the $reater
the free#o' of hoie bet)ee! alter!ati%es& to be #ei#e# o! hi$her le%els aor#i!$ to
'ore o'ple- fee#baks "" 'loops )ithi! loops' "" fro' the outer a!# i!!er e!%iro!'e!t(
Thus the lo$i of the ar$u'e!t le# first to a !e$ati%e riterio! of a)are!ess as the
reiproal of habit"for'atio!& a!# !o) to the positi%e riterio! of a)are!ess as bei!$
#iretly proportio!al to the #e$rees of free#o' of the e!tre o!trolli!$ the ati%ity to 'ake
alter!ati%e hoies& base# o! its esti'ate of the lie of the la!#( :e 'ust assu'e that the
hi$her i! the hierarhy the e!tre is plae#& the 'ore %i%i# )ill be the sub.et's e-perie!e
of his 'free#o' of hoie'( Free#o' of the )ill is a 'etaphysial /uestio! outsi#e the sope
of this book, but o!si#ere# as a sub.eti%e #atu' of e-perie!e& 'free )ill' is the a)are!ess
of alter!ati%e hoies(


<e$rees of Self"A)are!ess

The abo%e )as relate# to #e$rees of a)are!ess o! the o!ti!uous& 'li!ear' $ra#ie!t( The
seo!# a##e!#u' relates to the hierarhi le%els of o!sious!ess( At a!y 'o'e!t of our
e-iste!e& )e arry o! ati%ities o! %arious le%els& si'ulta!eously a!# 'ore or less
i!#epe!#e!tly fro' eah0 )e breathe& 'etaboli+e& #ri%e the ar& a!# talk to the passe!$ers
all at the sa'e ti'e& 'i! parallel' as it )ere(

*ut there are 'o'e!ts )he! a perso! perei%es )hat he is #oi!$ fro' a bir#'s eye %ie) as
it )ere, fro' a 'parallel' le%el of o!sious!ess )hih is !ot at all i!%ol%e# i! the ati%ity i!
ha!#( Take a si'ple e-a'ple0 you are absorbe# i! a $a'e of hess, you o!e!trate o! a
strata$e' to #efeat your oppo!e!t( Bou look up for a 'o'e!t to li$ht a i$arette& a!# at that
'o'e!t your a)are!ess .u'ps to a!other pla!e& as it )ere, you say to yourself ')hat fu! I
a' ha%i!$ playi!$ hess )ith ol# He!ry o! a Su!#ay after!oo!'( The! you $o bak to your
$a'e( It )as a brief break"throu$h fro' the ati%ity i! ha!# to the o!te'platio! of that
ati%ity fro' a! upstairs balo!y "" a %ertial shift of a)are!ess )hih e!able# you to look
#o)! at the top of your o)! hea#( To put it i! a #iffere!t )ay& atte!tio! has bee! #isplae#
fro' the ob.et of the o!$oi!$ ati%ity to the sub.et e!$a$e# i! arryi!$ it out "" that
elusi%e e!tity& the self(

It is a para#o- as ol# as Ahilles a!# the Tortoise& that the sub.et )ho is a)are a! !e%er
beo'e the ob.et of his a)are!ess, at best he a!& if so i!li!e#& ahie%e suessi%e
appro-i'atio!s )hih for' a o!%er$e!t series( O!e 'ay all this the para#o- of the #o$ at
#i!!er( The #o$ is eati!$ his #i!!er, the )a$$i!$ of his tail i!#iates that he is e!.oyi!$
hi'self, but #oes he know that he is e!.oyi!$ hi'selfE ( ( ( A little boy is )athi!$ a
:ester! o! the T3 sree!( He is e!.oyi!$ hi'self( He k!o)s perhaps that he is e!.oyi!$
hi'self( <oes he k!o) that he k!o)sE ( ( ( The philosopher is thi!ki!$ of a proble'( He is
a)are that he is thi!ki!$ of this proble'( Is he a)are that he is a)are& et( ( ( (E The k!o)!
is al)ays o!e step ahea# of the k!o)er& a!# they hase eah other up a spiral stairase& as it
)ere( I! Craik's ter'i!olo$y o!e 'i$ht say that the 'o#el a! !e%er 'ake a o'plete
'o#el of itself(D Re$ar#i!$ verbal 'o#els i! partiular& )e ha%e see! 1pp( I59 ff(2 that
%erbal state'e!ts are i!itiate# by u!%erbali+e# i!te!tio!s o! hi$her le%els& so that )e a$ai!
arri%e at a ree#i!$ series( This see's to i!#iate that the 'i!#"bo#y proble' is !ot
a'e!able to a!y solutio! i! e-pliit& %erbal ter's(

O! the other ha!#& the fat that the sub.et )ho is a)are a! !e%ertheless beo'e& to some
extent& the ob.et of his o)! a)are!ess& is of ourse of outsta!#i!$ i'porta!e i! 'e!tal
life( A!i'als& appare!tly fro' pla!aria o!)ar#s& #isplay atte!tio! a!# e-peta!y )hih
i!#iate %aryi!$ #e$rees of 'li!ear' a)are!ess, pri'ates& as )ell as #o'esti pets& 'ay also
ha%e so'e ru#i'e!ts of self"a)are!ess( *ut the 'a!y"layere# hierarhies of 'a!& a!#
partiularly his sy'boli hierarhies& plae hi' o! a lo!ely peak& a!# i'pose o! hi' the
i'possible o''a!# to 'k!o) thyself'( A)are!ess of a)are!ess is a ta!tali+i!$ $ift, a!# 'I
thi!k therefore I e-ist' is a hopeful be$i!!i!$( *ut the e!#& the i#e!tifiatio! of the k!o)er
a!# the k!o)!& )hih alo!e )oul# o!stitute o'plete o!sio!s!ess of e-iste!e& thou$h
al)ays i! si$ht& is !e%er ahie%e#( The suessi%e for's of self"i#e!tifiatio!& starti!$ fro'
the hil#'s flui# )orl# of e-perie!e )hih k!o)s as yet !o fir' bou!#ary bet)ee! self a!#
!ot"self& a! be like!e# to a 'athe'atial series o!%er$i!$ to)ar#s u!ity& or to a spiral
ur%e o!%er$i!$ to)ar#s a e!tre )hih it )ill o!ly reah after a! i!fi!ite !u'ber of
i!%olutio!s(

The ai' of ertai! 'ysti praties "" suh as Hatha Bo$a "" is to per'eate the self )ith
a)are!ess of itself by $ai!i!$ %olu!tary o!trol o%er %iseral proesses a!# isolate#
'usles( It )oul# see' that this foussi!$ of o!sious!ess o! the self& the i!)ar# ore of
the o!trati!$ spiral& is the #iret opposite of the self"tra!se!#i!$ aspiratio!s of other
shools of 'ystiis' "" the e-pa!sio! of o!sious!ess i! a! u!fol#i!$ spiral& a!# its fi!al
#issolutio! i! the 'oea!i& feeli!$'( I! fat& ho)e%er& the Bo$i's effort to $ai! o!sious
'astery of the bo#y is o!si#ere# as 'erely a #etour to)ar#s attai!i!$ 'pure o!sious!ess'
"" that is& 'o!sious!ess )ithout ob.et or o!te!t other tha! o!sious!ess itself'( Thus
tur!e# upo! itself& pure o!sious!ess is suppose# to pe!etrate the Real Self "" )hih&
u!like the tra!sie!t self& is part a!# parel of the At'a!& the u!i%ersal spirit( 748 *oth
'etho#s& therefore& eah )ith a lo!$ historial a!estry& share the sa'e ulti'ate ai' ""
situate# at the poi!t )here opposites 'eet, after all& as the bri$ht little boy sai#& 'the i!fi!ite
is )here thi!$s happe! )hih #o!'t'(

'Self"a)are!ess'& i! the se!se of the pree#i!$ para$raphs& has of ourse !othi!$ to #o )ith
'self"o!sious!ess' i! the se!se of $auhery& sta$e"fri$ht( The latter is our ol# frie!#& the
para#o- of the e!tipe#e "" the #isor$a!i+atio! of beha%iour )hih results )he! hi$her
e!tres i!terfere )ith the auto!o'ous fu!tio!i!$ of parts o! lo)er le%els( 'Self"
o!sious!ess'& use# i! this se!se& is a typially E!$lish oi!a$e, it pro%i#es a! a'usi!$
a!# rather re%eali!$ o!trast to the e/ually 'alapropos ;er'a! oi!a$e .elbstbewusstsein
"" 'ea!i!$ self"o!fi#e!t& o!sious of o!e's o)! %alue( As for the Fre!h& faithful to the
Cartesia! spirit& they use conscience to #esi$!ate both o!sious!ess a!# 'oral o!sie!e(



>aster"S)ithes a!# Releasers

>oti%atio! has bee! #isusse# i! Chapter 3III( It #eter'i!es )hat ki!# of $a'e the
sub.et )ill e!$a$e i!& a!# ati%ates the proper o#es( If he feels the !ee# to buil# astles i!
Spai!& #ay"#rea'i!$ )ill replae the routi!es of pla!!i!$ ahea#( The rules of #ay"#rea'i!$
i'pose a 'i!i'u' of restrai!ts a!# lea%e a %ast hoie of strate$ies to reah the #esire#
$oal& )ish"fulfil'e!t( Thus e%e! #ay"#rea'i!$ is '$oal"#irete#'& but the #iretio! of
thou$ht is #eter'i!e# by e'otio!al $ra#ie!ts& !ot by a o!rete tar$et(

At the opposite e!# of the 'oti%atio!al spetru' are ati%ities like proble'"sol%i!$&
$o%er!e# by o'ple- a!# preise rules( The $oal to be reahe# is sharply #efi!e#& but has
i! itself !o e'otio!al si$!ifia!e, the re)ar# is !ot o!tai!e# i! the tar$et but i! the at of
reahi!$ it( So'e te-tbooks 'ake a #isti!tio! bet)ee! 'assoiati%e' a!# '#ireti%e'
thi!ki!$, but #ireti%e!ess i! the se!se #esribe# is prese!t e%e! i! the #ay#rea'& a!#
o!trolle# assoiatio! e!ters i!to proble'"sol%i!$, the #iffere!e is o!e of #e$ree( Si'ilar
o!si#eratio!s apply to other lassifiatio!s0 abstrat "" o!rete& realisti "" autisti& et(

>ost or#i!ary thi!ki!$ is of a 'i-e# ki!#, it 'ay pursue a set #iretio!al ourse for a
)hile& aor#i!$ to strit rules& the! $o off at a ta!$e!t a!# #rift alo!$& u!til so'e hi$her
e!tre e!ters i!to atio!& a!# #isipli!e is restore#( :e ha%e #isusse# these $e!eral aspets
of i#eatio! before, it re'ai!s to o!si#er briefly so'e speifi patter!s of %erbal thou$ht(

At the base of all hierarhies )hih e!ter i!to our u!i%erses of #isourse operate the
i'pliit sub"o#es of $ra''ar a!# sy!ta-, 'i'pliit' bea!se they are auto'ati+e# a!# )e
are !ot a)are of their fu!tio!i!$( =ashley's #itu' o! pereptio! is e/ually appliable to
speaki!$ a!# liste!i!$0 ':e are a)are of a! or$a!i+e# struture, the or$a!i+i!$ is !e%er
e-perie!e#(' The rules )hih #eter'i!e ho) thou$hts are put i!to )or#s a!!ot
the'sel%es be put i!to )or#s "" e-ept by the patie!t labours of lo$iia!s a!# se'a!tiists
to 'break the o#e'(

Ne-t o'e the rules of o''o! se!se or o''o!"or"$ar#e! lo$i& )hih are also
e'pirially a/uire#& abstrate# relatio!s "" o#ifie# 'o#us opera!#i )hih the 'a.ority of
people are !o 'ore able to #efi!e tha! they a! #efi!e ho) they ri#e a biyle( *ut as )e
'o%e up)ar#& to)ar#s 'ore speifi u!i%erses of #isourse& the o#es& too& beo'e 'ore
e-pliit(

The si'plest e-a'ples of e-pliit o#es are the %erbal o''a!#s i! )or#"assoiatio!
tests& e($(0 '!a'e oppositesG'( The e-peri'e!ter the! says '#ark'& a!# the a!s)er 'li$ht' pops
out pro'ptly& as if pro#ue# by a slot"'ahi!e "" althou$h i! a free"assoiatio! test the
sub.et )oul# probably assoiate '#ark' )ith '!i$ht' rather tha! )ith 'li$ht'& a!# 'hot' )ith
'Italy' rather tha! )ith 'ol#'( Thus the %erbal o''a!# 'opposites' has ate# as a 'aster"
s)ith& as it )ere& )hih ha!$e# the e!tire patter! of %erbal or$a!i+atio!( E%e! 'ore
striki!$ is )hat happe!s to 'y %erbal 'atries si 5e continue de developer ma pens;e en
franOais "" if I o!ti!ue to #e%elop 'y ar$u'e!t& but use Fre!h )or#s a!# Fre!h
$ra''ar to e-press it( >y li!e of thi!ki!$ has re'ai!e# the sa'e 1or al'ost e!tirely so2
but that si!$le o''a!#")or# 'Fre!h' has tri$$ere# off a! i!sta!t reor$a!i+atio! affeti!$
'illio!s of !euro!s a!# their 'o#e of i!ter"atio!( Not o!ly has the %oabulary bee!
ha!$e#& but also the 'etho# of o!%erti!$ i#eas i!to sy!tati la!$ua$e"u!its aor#i!$ to
the sub"o#es of Fre!h $ra''ar(

I #o !ot )a!t to $o i!to !euro"physiolo$y& but let us !ote that the 'o#el of the telepho!e"
s)ithboar# plu$$i!$ i!to a!other loali+e# 'la!$ua$e"area' si'ply )ill !ot #o( =et us
retur! for a 'o'e!t to )or#"assoiatio! tests( '=i$ht"#ark'& 'hot"ol#' are pri'iti%e
e-a'ples of 'atries $o%er!e# by o#es )ith a si!$le para'eter i! se'a!ti spae( E%e!
so& are )e to assi$!& by a!alo$y )ith the 'la!$ua$e"areas'& #iffere!t ortial territories to
operatio!s o!trolle# by the o''a!#s 'opposites'& 'sy!o!y's'& 'super"or#i!ate lass'& et(,
!ot to 'e!tio! 'i!ter"polatio!'& 'e-tra"polatio!'& a!# the 'i$hty hierarhies of sy'boli lo$i
or of 'athe'atial operatio!sE >oreo%er& if the o''a!# is a$ai! 'opposites'& a!# the
sti'ulus")or# 'Napoleo!', or if the o''a!# is 'supraor#i!ate lass' i! the speies"$e!us
$a'e& a!# the sti'ulus")or# '!ail' or 'birth' "" )hat is the 'orret' respo!seE Se'a!ti spae
is 'ulti"#i'e!sio!al a!# a!!ot be represe!te# by purely spatial o!!etio!s ati%ate# by
all"or"!othi!$ si$!als i! the three"#i'e!sio!al ri!# of the brai!, a 'o#el 'ust i!lu#e at
least speifi si$!als 1e($( fre/ue!y 'o#ulatio! pulses2 a!# he'ial 1RNA2 ha!$es i!
the !euro!s to aou!t for seleti%ity of respo!se( 798

I! all o!trolle# assoiatio!s a!# sy'boli operatio!s )e a$ai! fi!# a pri!iple o!fir'e#
)hih )e fou!# operati!$ o! all le%els "" !a'ely& that a relati%ely si'ple 'releaser' si$!al
fro' hi$her /uarters 1'opposites'& 'speak Fre!h'& 'fi!# the s/uare root of ( ( ('2 tri$$ers off
the operatio! of a o'ple- o#e "" a )hole u!i%erse of #isourse i! fat& )ith a hierarhy of
i'pliit sub"o#es& a!# a fle-ible strate$y( 1E%e! to fi!# a! 'opposite' to the )or# hairpi!
re/uires o'ple- operatio!s $o%er!e# by i!#i%i#ual 'strate$ies'& perhaps i!%ol%i!$ %isual
i'a$es "" a proess o!ti!uous )ith proble'"sol%i!$2( The tri$$er"releaser 'ay be a %erbal
or %isual& or e%e! he'ial o''a!# "" a tu'blerful of $i! or a! a'pheta'i! tablet0 yet
look )hat re'arkably !e) rules of the $a'e are tri$$ere# off by the'(D
E-pliit Rules a!# I'pliit Co#es
The i'pliit o#es of $ra''ar a!# sy!ta- )ere& as )e sa)& a/uire# e'pirially 'as the
$ypsy lear!s to fi##le'( *ut the rules )hih $o%er! 'ore a#%a!e# sy'boli skills ""
'athe'atis or he'istry& or =a) "" are lear!e# i! e-pliit %erbal for'( They 'ay be
a/uire# by rote"lear!i!$& or by $ui#e# lear!i!$& but at so'e sta$e they 'ust be state# i!
e-pliit for'( Take a! e-a'ple fro' ele'e!tary al$ebra0 the a%era$e stu#e!t lear!i!$ the
rule for sol%i!$ /ua#rati e/uatio!s0 -74&98 U "pW9 i SJRT1pVW6"/2( For the !e-t fe) #ays or
)eeks& e%ery ti'e he has to use the for'ula& he 'ust look it up i! his te-tbook 1or& if he is
%ery brillia!t& #eri%e it afresh2( At this sta$e of the lear!i!$ proess the for'ula is !ot yet a!
auto'atially fu!tio!i!$ rule of the $a'e, it is !ot yet a 'o#e' i'presse# o! his !er%ous
syste'( *ut after so'e pratie& a si!$le $la!e at a! e-pressio! of the for' xQ J px J + P
R )ill tell hi' that it is a 'e'ber of the 'atri- of /ua#rati e/uatio!s a!# tri$$er off the
rule "" by !o) a! auto'ati+e# o#e "" for sol%i!$ it(
Thus rules )hih at first ha%e to be looke# up& or reo!strute# by a o!sious effort&
beo'e o#ifie# a!# auto'ati+e# by routi!e( It is irrele%a!t i! this partiular o!te-t
)hether the stu#e!t has by !o) for$otte! the #eri%atio! of the for'ula a!# 'erely uses it
as a 'eha!ial $i''ik, or )hether he is a)are of its bi!o'ial a!estry( This 'akes a
%ast #iffere!e i! ter's of u!#ersta!#i!$& but !ee# !ot affet the proess of auto'ati+atio!(
I ha%e e'phasi+e# before that the ter' 'o#e' is use# i! this book !ot i! the 'etaphorial
)ay i! )hih Freu#& for i!sta!e& use# the )or# 'e!sor'& but to refer to o!rete proesses
or patter!s of or$a!i+atio! i! the e!tral !er%ous syste'( Ho)e%er& it sou!#s so'eho)
'ore plausible to attribute physiolo$ial reality to o#es o! lo)er le%els of the or$a!i
hierarhy "" the $e!eti o#e& the o#es of i!sti!t"beha%iour a!# se!sory"'otor skills ""
tha! to lai' that the rules of suh esoteri $a'es as !o!"Euli#ea! $eo'etry or /ua!tu'
'eha!is are physiolo$ially represe!te#& by appropriate o#i!$ 'etho#s& i! the !er%ous
syste'& a!# a! be tri$$ere# off by si'ple releasers 1suh as the o''a!# 'let's talk shop'2(
I 'ust therefore u!#erli!e o!e 'ore that the ter' 'o#e' is 'ea!t to apply o!ly to those
rules of beha%iour )hih $o%er! establishe# routi!es a!# fu!tio! auto'atially )ithout
o!sious effort( I! the i!itial sta$es of lear!i!$ a o'ple- sy'boli skill& the rules of the
$a'e 1la)s& theore's& 'athe'atial or he'ial for'ulae2 'ust be o!sta!tly 'e'ori+e#&
looke# up& or o!siously realle#, so lo!$ as this is the ase they are !ot yet i!orporate#
i!to the physio"'e!tal or$a!i+atio! a!# are !ot to be alle# 'o#es'( Co#es are o!ly those
fi-e# stable rules )hih& o!e s)ithe# o!& auto'atially $o%er! the thi!ki!$ routi!e( The
proble' i! proble'"sol%i!$ o!sists firstly i! #iso%eri!$ )hih routi!e is appropriate to
the proble' "" )hat type of $a'e is to be playe#, a!# seo!#ly& ho) to play it "" i(e( )hih
strate$y to follo)& )hih 'e'bers of the fle-ible 'atri- are to be brou$ht i!to play
aor#i!$ to the lie of the la!#(
:e lear!& or #iso%er& )ith stre!uous effort& a !e) 'etho# of thi!ki!$, after a )hile& )ith
pratie& the !o%elty ha!$es i!to se'i"auto'ati+e# routi!e& base# o! a! i!%aria!t o#e
)ith a! a#aptable 'atri-& a!# is i!orporate# i!to our repertory of habits( It is asto!ishi!$
ho) soo!& o!e a !e) railroa# is built aross #esert a!# 'ou!tai!s& the passe!$er"trai!s
start ru!!i!$ o! she#ule(
*ut the proess of habit"for'atio! #oes !ot stop there0 !ot o!ly the rules of the !e)ly
lear!t $a'e beo'e soo! auto'ati+e# to suh a! e-te!t that it beo'es i!reasi!$ly
#iffiult to $o a$ai!st the'& but strate$y& too& te!#s to beo'e stereotype# a!# i!orporate#
i!to the o#e( Take pro$ress i! hess& a! e-a'ple I ha%e 'e!tio!e# before( The be$i!!er is
u!ertai! about the rules, the! the rules beo'e auto'ati o#es a!# it beo'es al'ost
i'possible for hi' to 'o%e his 'e! i! i'per'issible )ays, after protrate# pratie ertai!
tatial pri!iples& )hih are !o lo!$er 'rules' i! the for'al se!se& also be$i! to operate
auto'atially i! his 'i!# "" e($( to a%oi# pi!s& to seek ope! rook"files( *ut this reifiatio!
of tatial pseu#o"rules i!to auto'ati+e# sub"o#es o!tai!s a 'ortal #a!$er& beause
o!si#eratio!s of strate$y o! a hi$her le%el #e'a!# that eah of these tatial rules shoul#
be broke! if the oasio! )arra!ts it( Sarifies i! 'aterial& a!# 'o%es )hih look
okeye# 1that is0 positio!ally u!sou!#2& are si$!s of o'bi!ati%e po)er& i(e( ori$i!ality,
the 'e#iore player al)ays re'ai!s a sla%e of habit a!# autious ortho#o-y(
At this poi!t the ar$u'e!t 'er$es i!to that of *ook O!e 1IH"HI2& o!er!i!$ the pitfalls of
ortho#o-y& o%er"speiali+atio!& a!# o!e"si#e# #e%elop'e!t i! the history of sie!e a!#
philosophy( I! biolo$y or theoretial physis there are !o lea!"ut #isti!tio!s bet)ee!
a!o!ial rules of the $a'e a!# heuristi rules of strate$y a!# tatis( :e are i!li!e# to
belie%e& as popular books o! sie!e tell us& that the 'per'issible 'o%es' are lai# #o)! for
e%er by the la)s of for'al lo$i a!# the riteria for .u#$i!$ e%i#e!e, a!# that strate$y is
#eter'i!e# o!ly by the lie of the la!#& that is& the #ata of obser%atio!( I! fat& ho)e%er& the
rules tur! out to be i!filtrate# )ith i'pliit assu'ptio!s a!# 'self"e%i#e!t a-io's' )hih as
ofte! as !ot are speious o!traba!#, a!# the e'pirial strate$ies are ofte! )ei$hte# by a
stubbor! a#here!e to 'etho#s of i!terpretatio! a!# biasse# teh!i/ues& pro'ote# to
a!o!ial status( Habit is heir to ori$i!ality, )ithout the hierarhies of or$a!i+e# habits life
)oul# be haos, reati%ity 'ea!s breaki!$ up habits a!# .oi!i!$ the fra$'e!ts i!to a !e)
sy!thesis(


>atri- Cate$ories

I ha%e trie# to outli!e the hierarhi or$a!i+atio! of le%els of u!#ersta!#i!$& le%els of
o!sious!ess& a!# le%els of habit a!# fle-ibility "" the last ra!$i!$ fro' i'pliitly a/uire#
o#es& throu$h the 'aster"s)ithes of o!trolle# assoiatio!& to the e-pliitly lear!e# rules
a!# pseu#o"rules i! the u!i%erses of #isourse of sie!e a!# philosophy( To a%oi# $i%i!$
u!#ue #o'i!a!e to the abstrati%e hierarhies i! the 'e!tal la!#sape& I 'ust briefly
'e!tio! so'e #iffere!t types of la!$ua$e 'atries "" )ithout aspiri!$ at a!ythi!$ like a
o'plete atalo$ue(

Phonetic matrices 1of rhyth'& 'eter& alliteratio!& asso!a!e& rhy'e& a!# eupho!y2 #o !ot
properly belo!$ to sy'boli thou$ht& thou$h they i!terat )ith it !ot o!ly i! poetry a!#
)or#"$a'es but also i! or#i!ary #isourse& ofte! 'ore persiste!tly tha! )e are a)are of(

hronological matrices& !ai%ely re$ar#e#& see' to be li!ear hai!s of e%e!ts& but are of
ourse !othi!$ of the sort( They are 'ulti"#i'e!sio!al strutures i! se'a!ti spae&
$o%er!e# by a #i%ersity of seleti%e o#es& )hose riteria of rele%a!e are ofte! /uite
i!#iffere!t to te'poral or#er( This applies to perso!al 'e'ories& )hih al)ays u!fol#
)ithi! speifi fra'es of refere!e& but also to )ritte! History0 historia!s or$a!i+e their
'aterial aor#i!$ to hi$hly i#iosy!rati rules for sifti!$ a!# i!terpreti!$ e%i#e!e& a!#
for o!struti!$ ausati%e theories(

lassificatory codes i! ta-i!o'y& i!#e-i!$ syste's a!# i! ertai! bra!hes of
'athe'atial lo$i are hierarhi par e-elle!e but ri$i#, they rese'ble sto!e pyra'i#s i!
the 'e!tal la!#sape(

:ogmatic matrices oul# be #esribe# as lose# syste's )ith #istorte# fee#bak a!#
i'paire# sub"skills of reaso!i!$( They are rule# by a fi-e# o#e #eri%e# fro' a! at of
faith& a irular ar$u'e!t& or suppose#ly self"e%i#e!t a-io's( I! other respets& ho)e%er&
they are re'arkably a#aptable& a!# their #ialetial strate$ies are of $reat subtlety( Relate#
to these are frames of value )hih #eter'i!e ethial or aestheti .u#$e'e!ts or attitu#es&
a!# emotion%dominated matrices )hih !ee# !ot be #isusse# as a separate ate$ory& si!e
e'otio! e!ters i! %arious $uises a!# i!te!sities i!to all for' of thou$ht(

=astly& 'style o#es' represe!t a perso!'s i#iosy!rasies& 'a!!eris's& et(& )hih& i! their
e!se'ble& o!stitute his i!#i%i#uality( ;ait& $esture& %oie& ha!#")riti!$ are all $o%er!e# by
stable auto'ati o#es( If a perso!& #epri%e# by ai#e!t of the use of his ri$ht ha!#& lear!s
to )rite )ith the left& his si$!ature& before lo!$& reo%ers its true harater( 'E%e! the
suspiious ba!k lerk )ill ash his he/ue beause the ol# for' of si$!ature retur!s&' )rote
Pe!fiel# 7A8& )ho ha# se%eral suh patie!ts( 'The patter! of the si$!ature a!# of the )riti!$
is i! the brai!& !ot i! the ha!#('

This applies& to a o!si#erable e-te!t& e%e! to the style of )riti!$( He'i!$)ay or Proust
a! be i#e!tifie# "" a!# paro#ie# "" after rea#i!$ a fe) li!es "" as you i#e!tify the ti'bre of
a #ru' or %ioli! after a fe) tra!sie!ts( E%e! the la!$ua$e of o''o! 'ortals )hose style
is u!#isti!$uishe# a!# see'i!$ly i!#isti!$uishable& appears to ha%e fi-e# harateristi
ratios "" e($( bet)ee! the !u'ber of a#.eti%es to %erbs(

The total 'atri-& )hih o'prises all these fra'es of beha%iour& o!stitutes the perso!ality
struture( *ut e%e! here& the o#e a! appare!tly be tri$$ere# o! a!# off by so'e super"
'aster"s)ith "" as the spetaular ases of 'ultiple perso!alities i!#iate( O!e 'ore the
hierarhy fa#es i!to a ree#i!$ series(


NOTES

To p( @A6( Cyber!etiists ha%e #isusse# at le!$th 'o#els )hih are suppose# to be
apable of this feat( *ut they ha%e !o beari!$ o! the /uestio! of a)are!ess(

To p( @AO( A su''ary of earlier )ork o! o!trolle# assoiatio! tests& a!# the o!tro%ersies
arou!# it 1e($( o'ple- theory %ersus o!stellatio! theory2 a! be fou!# e($( i! :oo#)orth
145A52& pp( O5C"FCC(





H3II

ASSOCIATION
'>ultiple Attu!e'e!ts'

Assoiatio!is' is #ea#& but assoiatio! re'ai!s o!e of the fu!#a'e!tal fats of 'e!tal life(
So far I ha%e o!si#ere# 'e!tal or$a!i+atio! hiefly i! its '%ertial' aspet "" hierarhi
strutures for'e# by abstrati%e proesses i! ase!#i!$ series( *ut eah %erbal o!ept&
apart fro' bei!$ a 'e'ber of a '%ertial' hierarhy& is also a 'e'ber of se%eral o!!otati%e
'atries& eah of )hih oul# be represe!te# by a! i!li!e# pla!e( The o!ept's plae i!
the %ertial& abstrati%e hierarhy pro%i#es the #itio!ary #efi!itio! "" as far as that $oes ""
of its 'ea!i!$( *ut the o!ept as a psyholo$ial reality& its aura of o!!otatio!s& a!# its
i!#i%i#ual si$!ifia!e to the perso! )ho atually uses it& is #eter'i!e# by the 'ultitu#e of
'atries )hih i!terset i! it( Eah of the' pro%i#es a! assoiati%e o!te-t $o%er!e# by a
seleti%e o#e, a!# the 'ore there are of these i!li!e# pla!es i! se'a!ti spae the riher
a!# 'ore 'ulti"#i'e!sio!al the o!ept(

If o!epts are to be re$ar#e# as ato's of thou$ht& they are ertai!ly !ot the har# lu'ps of
lassial physis( I! the first plae& they are u!stable a!# sub.et to ha!$e "" to ha!$e
both i! #efi!itio! a!# i! o!!otatio!( >y o!ept of a '$e!e' or a 'se#utress'& or of
'Presi#e!t Eise!ho)er' is ertai!ly !ot the sa'e as it )as te! years a$o& thou$h the %erbal
label attahe# to eah of these o!epts has re'ai!e# the sa'e( It is stra!$e to reflet that a
'a.or part of our sie!tifi a!# philosophial %oabulary o!sists of ol# ;reek bottles fille#
a!# refille# )ith !e) )i!e, that Neletro!N o!e 'ea!t a piee of a'ber& a!# Ho'er's
Nos'osN a flat #is o%ere# by a %ault( It is e%e! stra!$er that the sa'e Sa!skrit root
N'atrN split& by 'itosis& as it )ere& i!to N'ayaN "" the Orie!tal's )eb of illusio!s& a!#
N'etro!N& 'etre& the Oi#e!tal's yar#stik to 'easure the )orl#(

3 concept has as many dimensions in semantic space as there are matrices of which it is a
member. =et 'e retur! for a 'o'e!t to the e-a'ple of the parlour $a'e 'e!tio!e# before&
'to)!s starti!$ )ith >'( I! playi!$ that $a'e& I )rite #o)! o! 'y list '>a#ri#' "" )hih
pro%es that the o!ept >a#ri# is a 'e'ber of the pho!eti 'atri- $o%er!e# by the o#e
'i!itial >'( Si!e I a' bore# )ith the $a'e& I per'it 'y thou$hts to )a!#er& a!# at o!e a!
i'a$e arises0 the ro)# at the Puerta #el Sol sta'pe#i!$ i! the pa!i of a! air
bo'bar#'e!t "" a!# off )e $o alo!$ the e'otio!"har$e# 'atri- of 'y 'e'ories of the
Spa!ish Ci%il :ar( At this 'o'e!t *re!#a's little $irl "" )ho )as )athi!$ the $a'e&
e/ually bore# "" asks& ':hat is >a#ri#E', a!# I obli$e )ith the i!for'atio!0 '>a#ri# is the
apital of Spai! a!# of the Pro%i!e of >a#ri#& situate# o! the left ba!k of the ri%er
>a!+a!ares& )hih falls i!to the ri%er ?ara'a' "" )hereby I ha%e pro#ue# a #efi!itio! of
sorts of the o!ept '>a#ri#'( A 'o'e!t later I re'e'ber the Pra#o& )ith its ;oyas&
3elas/ue+es& a!# El ;reos "" )hih are ite's i! a 'e!tal atalo$ue i!#e-e# u!#er the
o#e 'Pai!ters'& sub"o#e 'Pai!ters& Spa!ish' 1but also u!#er 'Spai!'& sub"o#e 'Spai!&
pai!ters of'2( These o!!otatio!s prese!te# the'sel%es 'ore or less auto'atially& but !o)
'y repertory of assoiatio!s is !early e-hauste#& a!# 'y 'i!# a 'o'e!tary bla!k( A## to
the repertory the pri!te# a!# au#itory"%oal i'a$es of the )or#& plus the loatio! of the
to)! o! a 'e!tal 'ap& a!# you $et about half a #o+e! 'atries )hih )ill be ati%ate# by&
a!# )hih )ill ati%ate& the o!ept '>a#ri#' )ithout effort( The assoiati%e o!te-ts of a
o!ept that are fir'ly establishe# i! a perso!'s repertory of thou$ht"habits& are less
!u'erous tha! )e are i!li!e# to belie%e "" as free assoiatio! tests #e'o!strate(

If& o! the other ha!#& so'ebo#y asks 'e to talk about the $eolo$ial fou!#atio!s of
>a#ri#& I shall 'ake a! e'barrasse# effort& a!# reall that the to)! sta!#s o! a!
u!#ulati!$ plateau a!#& by so'e i!artiulate a!alo$y& perhaps arri%e at the o!lusio! that
the soil o!sists hiefly of sa!# a!# lay( *ut that )as a! inference arri%e# at by the usual
'etho# of proble'"sol%i!$& a!# !ot of a spo!ta!eous assoiatio!( >y 'atri- of $eolo$ial
k!o)le#$e is sa!t, its o#e o!sists of the %a$ue rule 'all that is rele%a!t to the struture of
the earth's rust'( This i!#iates the #iretio! i! se'a!ti spae of the searh for a! a!s)er,
but si!e the #ata of k!o)le#$e are laki!$& there is little fir' $rou!# o! )hih to 'o%e
about( '>a#ri#' )as !ot a 'e'ber of 'y $eolo$ial 'atri-, after this e'barrassi!$
e-perie!e& it has bee! recruited to 'e'bership& but its ties to the 'atri- re'ai! )eak a!#
te!tati%e(

:e ha%e see! that the o!ept >a#ri# a! be ati%ate# by a!y of the 'atries to )hih it
belo!$s 1for i!sta!e 'Ci%il :ar'2, a!# %ie %ersa& that a!y of these 'atries a! be
ati%ate# by it( If )e assi$! to eah 'atri-& 'etaphorially speaki!$& a speifi ')a%e"
le!$th' the! the o!ept 'ay be represe!te# as an aggregate of several oscillation%circuits&
eah of )hih )ill reei%e a!# e'it o! the speifi ')a%e"le!$th' of its 'atri-( :e 'ay all
this the ''ultiple attu!e'e!t' of the o!ept to the %arious 'atries of )hih it is a
'e'ber(D
No) the a$$re$ate of iruits& )hih is the o!ept& 'ay receive on one wave%length and
emit on another( '>a#ri#' )as e%oke# by the pho!eti 'atri- 'i!itial >'& a!# i! its tur!
ati%ate# a #iffere!t 'atri-& 'Ci%il :ar'& )hih fu!tio!s o! a #iffere!t )a%e"le!$th( If the
'atri- of the i!o'i!$ si$!al is of a o'ple- or abstrat harater& the a$$re$ate 'ay te!#
to s)ith o%er to a iruit fu!tio!i!$ o! the )a%e"le!$th of a! e'otio!ally 'ore appeali!$
'atri-( Thus a o!ept is a 'e'ber of se%eral lubs& but it likes so'e lubs 'ore tha!
others( Its ''ultiple attu!e'e!ts' 'ay be represe!te# as a li!e"spetru' of fre/ue!ies )ith
a relati%ely stable e!er$y"#istributio!( The fre/ue!ies of 'a-i'u' e!er$y "" like the
#o'i!a!t partials i! a sou!#"spetru' "" )oul# represe!t the o!ept's ''ost"preferre#'
assoiati%e o!te-ts( As the years $o by& !e) li!es )oul# be a##e# to the spetru'& )hile
others )oul# fa#e a)ay& a!# the e!er$y"#istributio! of assoiati%e prefere!es )oul#
ha!$e "" $etti!$ 'ello)er perhaps& like a! ol# Stra#i%arius& or roaki!$& like a! u!"tu!e#
pia!o( The effort to 'o!e!trate' o! a! abstrat proble' is probably proportio!ate to the
e!er$y re/uire# to i!hibit prefere!tial assoiati%e o!te-ts of hi$h e!er$y"pote!tial "" i(e(
'habit stre!$th'(
The pree#i!$ para$raphs 'ay ha%e $i%e! a! e-a$$erate# i'pressio! of the sub.eti%ity of
o!epts "" rather o! the li!es of the Re# Juee!'s 'a )or# 'ea!s )hat I i!te!# it to 'ea!'(
The o!!otatio!s of o!epts referri!$ to i!#i%i#uals or plaes are of ourse lar$ely
perso!al, but o! the other ha!#& there is e-peri'e!tal e%i#e!e to sho) that the assoiati%e
priorities a!# the o!!otati%e 'aura' of o!epts of a $e!eral harater are surprisi!$ly stable
a!# sta!#ar#i+e# i! i!#i%i#uals of the sa'e ulture( '>arbe's =a)' #e'o!strate# the
e-iste!e of a lo$arith'i relatio! bet)ee! a! i!#i%i#ual's reatio!"ti'e i! $i%i!$ a ertai!
respo!se to a sti'ulus")or# i! a! assoiatio! test& a!# the fre/ue!y of the sa'e respo!se
ourri!$ i! a $roup of people(DD Os$oo# has i!%e!te# a! i!$e!ious 'etho# of 'easuri!$
'se'a!ti #iffere!tials'( The sub.ets )ere aske# to assess the rati!$s of a o!ept "" e($(
PO=ITE "" o! te! #iffere!t $ra#e# sales0 e($( 'a!$ular"rou!#e#'& 'ol#"hot'& '$oo#"ba#'&
')et"#ry'( T)o $roups of t)e!ty sub.ets )ere use#& a!# the 'ea! rati!$s of eah $roup
)ere the! plotte# a!# o'pare#( Surprisi!$ly e!ou$h& the t)o $raphs )ere al'ost
i#e!tial, e%e! 'ore surprisi!$& the $reatest a'ou!t of #isa$ree'e!t 1( fiftee! per e!t2
)as fou!# i! the rati!$s of polite!ess as '$oo#' or 'ba#'0 o!e $roup thou$ht that to be polite
#eser%e# a '$oo#!ess' rati!$ of si- poi!ts& the other of si- a!# a half poi!ts& o! a se%e!"
poi!t sale( 748
To reapitulate0 a o!ept 'ay be re$ar#e# as a relati%ely stable a$$re$ate or 'luster' of
reei%i!$"tra!s'itti!$ iruits& )ith a ki!# of !ulear ore0 the %erbal label 1'>A<RI<'2(
A##itio!al iruits 'ay be reruite#& others 'ay fa#e )ith #isuse& a!# the relati%e e!er$y
pote!tials of the iruits 'ay be altere# by lo!$"ter' proesses or the perso!'s 'o'e!tary
'oo#, but the au#itory"%oal 1a!# %isual2 trae of the )or# >A<RI< re'ai!s u!altere#&
a!# thus preser%es the i#e!tity of the o!ept throu$h all these ha!$es i! ti'e( :e 'ay
further assu'e that a!y i!o'i!$ si$!al& re$ar#less throu$h )hih iruit it is reei%e#&
)ill ati%ate the !ulear iruit "" the au#itory"%oal trae( If all $oes )ell the respo!se
output )ill be e'itte# o! the sa'e )a%e"le!$th o! )hih the i!put )as reei%e#& a!# I
shall happily $o o! playi!$ the 'to)!s )ith >' $a'e( *ut si!e the luster 'ha!$s to$ether'
it is likely that so'e a'ou!t of e-itatio! has !e%ertheless sprea# to other iruits !ot
o!er!e# )ith the $a'e "" a!# thus ause# the fleeti!$& fri!$e"o!sious stirri!$s of 'y
'e'ories of the Ci%il :ar( This is a 'i!or& per'issible ki!# of #istratio!, a!# perhaps
e%e! a !eessary o!e "" )ithout suh ripples the strea' of thou$ht )oul# be li!ear&
olourless& all"too si!$le"'i!#e#( *ut if o!e of the iruits )ith a hi$h e!er$y"pote!tial $ets
e-ite#& the o!trol e!tres o! hi$her le%els of the hierarhy 'ust pre%e!t it fro' taki!$
o%er if haos is !ot to result, i(e(& the o#e of the '#istrati!$' 'atri- 'ust be bloke#(
<uri!$ stre!uous efforts to o!e!trate& o!e see's literally to 'feel' i!si#e o!e's hea# the
e-pe!#iture of e!er$y !ee#e# to suppress #i%ersio!al thou$hts )hih keep poppi!$ up like
.aks"i!"the"bo-( 'A $reat part of our fati$ue'& >a-)ell o!e re'arke#& 'ofte! arises& !ot
fro' those 'e!tal efforts by )hih )e obtai! the 'astery of the sub.et& but fro' those
)hih are spe!t i! realli!$ our )a!#eri!$ thou$hts' "" partiularly& o!e 'ay a##& #uri!$ a
lo!$ a!# bori!$ leture, )hile the re%erse phe!o'e!o! is pro#ue# by the #isi!hibiti!$
atio! of alohol a!# #ru$s( All this see's to i!#iate that our prefere!tial 'atries of
i#eatio! are 'ost of the ti'e bloke# by e!tres o! hi$her le%els "" )hih a$rees )ell )ith
the pre#o'i!a!tly restrai!i!$ fu!tio! of the hierarhi o!trols i! pereptual a!# 'otor
or$a!i+atio!(
Types of Assoiatio!
I ha%e use# the )or# Assoiatio! loosely& as it is !o)a#ays 'ostly use#( I! <re%er's
:ictionary of Psychology& for i!sta!e& )e fi!#0
Assoiatio!0 use# $e!erally of the pri!iple i! aor#a!e )ith )hih i#eas& feeli!$s& a!#
'o%e'e!ts are o!!ete# i! suh a )ay as to #eter'i!e their suessio! i! the 'i!# or i!
the atio!s of a! i!#i%i#ual& or of the proess of establishi!$ suh o!!etio!s(
Or take Hu'phrey 145I420
The ter' Nassoiatio!N& or 'e!tal assoiatio!& is a $e!eral !a'e ofte! use# i! psyholo$y
to e-press the o!#itio!s u!#er )hih 'e!tal e%e!ts& )hether of e-perie!e or beha%iour&
arise( 798
Hebb 145IF2 speaks at le!$th about the assoiatio! areas of the orte-& but #oes !ot #efi!e
assoiatio!( Other authors& a!# te-tbooks& #iffer )i#ely i! their #efi!itio!s of the )or#& or
prefer& )isely& !ot to #efi!e it at all(
Hobbes )as probably the first to #ra) a #isti!tio! bet)ee! )hat a'e later to be alle#
'free assoiatio!' a!# 'o!trolle#' assoiatio!0
The trai! of thou$hts& or 'e!tal #isourse& is of t)o sorts( The first is u!$ui#e#& )ithout
#esi$!& a!# i!o!sta!t ( ( ( i! )hih ase the thou$hts are safe to )a!#er& as i! a #rea'( ( ( (
The seo!# is 'ore o!sta!t& as bei!$ re$ulate# by so'e #esire a!# #esi$!( 7A8
Ho)e%er& free assoiatio! is !e%er e!tirely free0 there are 'oti%atio!s& o!sious or sub"
o!sious& )hih $i%e it #iretio!( O! the other ha!#& assoiatio! o!trolle# by so'e rule
of the $a'e& suh as 'to)!s )ith >'& is 'free' to the e-te!t that the rule allo)s alter!ati%e
hoies bet)ee! per'issible 'o%es( The #e$rees of free#o' of a 'atri- %ary fro' ri$i#
auto'atis' to the $reat a#aptability of o'ple- 'e!tal skills, a!# the flo) of assoiati%e
thou$ht )ill aor#i!$ly %ary i! harater0 it 'ay 'o%e alo!$ fi-e# a!als& or follo)& like a
ri%ulet& the ai#e!ts of the terrai! a!# 'ake #etours rou!# obstales )ith a! air of ear!est
$oal"#irete#!ess(
Si!e the atte'pts of the lassi assoiatio!ist shool to re#ue thi!ki!$ to assoiatio! by
o!ti$uity a!# si'ilarity 1plus the 'seo!#ary la)s' of failitatio!2 ha# to be aba!#o!e#& the
pri!iples 'suppose#ly u!#erlyi!$ assoiatio! ha%e bee! lassifie# a!# re"lassifie# o%er
a!# a$ai!( Thus :ells 768 o!e 'a#e a atalo$ue of ei$htee! types of assoiatio! a#apte#
fro' ?u!$& suh as0 'e$oe!tri pre#iate' 1e-a'ple0 lo!eso'e "" !e%er2, 'e%aluatio!' 1rose ""
beautiful2, ''atter of fat pre#iate' 1spi!ah "" $ree!2, 'sub.et"%erb' 1#o$ "" bite2& a!# so
forth& throu$h 'ob.et"%erb'& 'ause"effet'& 'o"or#i!atio!'& 'subor#i!atio!'& 'supraor#i!atio!'&
'o!trast'& 'oe-iste!e'& 'asso!a!e'& et( :oo#)orth 145A52 su$$este# four lasses0
#efi!itio! i!lu#i!$ sy!o!y's a!# supraor#i!ates, o'pletio! a!# pre#iatio!, o"
or#i!ates a!# o!trasts, %aluatio!s a!# perso!al assoiatio!s( He also su$$este# a!
i!#epe!#e!t lassifiatio! utti!$ aross the o!e .ust 'e!tio!e#& aor#i!$ to a sale fro'
''ea!i!$ful!ess' to 'superfiiality'( 7I8 >ost of the experimental )ork refers to assoiatio!
tests )here the sti'ulus is a si!$le )or# a!# the respo!se is restrite# to o!e other )or# ""
a o!#itio! !ot e-atly typial of or#i!ary %erbal #isourse outsi#e the laboratory(
The lesso! )hih e'er$es fro' these elaborate a!# pai!staki!$ atte'pts at lassifiatio! is
that the pri!iples u!#erlyi!$ assoiati%e thi!ki!$ are #eter'i!e# by the 'atri- i! )hih
the thi!ki!$ takes plae, a!# that there are as 'a!y types of assoiatio! as there are o#es
)hih o!trol %erbal beha%iour( I! bili!$ual ou!tries like S)it+erla!#& the respo!se to a
;er'a! sti'ulus")or# )ill ofte! be its Fre!h' e/ui%ale!t, so'e people are a##ite# to
'etaphor& others to pu!!i!$, the hess phyer a!# the #rau$hts player's assoiatio!s follo)
the rules of their respeti%e $a'es(
To su' up0 assoiati%e thi!ki!$ is the e-erise of a habit( It 'ay be ri$i# or fle-ible& )ith a
)i#e ra!$e of a#aptability, yet it re'ai!s a habit i! so far as it obser%es ertai! i!%aria!t
rules of the $a'e( Assoiatio!& /ua e-erise of a skill& is thus #isti!$uishe# fro' learning&
)hih is the a/uisitio! of a !e) skill& a!# fro' bisociation& )hih is the o'bi!atio!& re"
shuffli!$ a!# re"struturi!$ of skills( *ut these ate$ories o%erlap "" as #isusse# i! the !e-t
hapter(
NOTES
To p( @66( ':a%e"le!$th' is of ourse use# 'etaphorially for 'uh 'ore o'ple-
proesses& i!lu#i!$ both strutural a!# fu!tio!al harateristis of !er%ous tissue(
'E-itatio!"la!$' or 'fre/ue!y"'o#ulatio! si$!als' or Hebb's 'phase"se/ue!es i! ell
asse'blies' )oul# be loser appro-i'atio!s(

To p( @66( For a su''ary see :oo#)orth 145A52 pp( A@C se/(& Os$oo# 145@C2 pp( O99 et
se/( Os$oo# 1p( O992& #isussi!$ the relati%e fre/ue!ies a!# reatio! ti'es of %erbal
respo!ses i! assoiatio! tests& speaks of a 'hierarhial struture of assoiatio!s, but he uses
the )or# 'hierarhy' to refer to a li!ear sale of $ra#atio!s(




H3III

HA*IT AN< ORI;INA=ITB

Proble'"sol%i!$ is bri#$i!$ a $ap bet)ee! the i!itial situatio! a!# the tar$et( 'Tar$et' 'ust
be u!#erstoo# i! the )i#est se!se "" it 'ay be a! apple ha!$i!$ hi$h up o! a tree& or a
for'ula for s/uari!$ the irle& or i!%e!ti!$ a ho!ey"spoo! )hih #oes !ot #rip& or fitti!$ a
fat i!to a theory& or 'aki!$ the theory fit the fats(

Stritly speaki!$& of ourse& proble's are reate# by oursel%es, )he! I a' !ot hu!$ry& the
apple eases to be a tar$et a!# there is !o $ap( 3ie %ersa& the i!satiable uriosity of Kepler
'a#e hi' see a proble' )here !obo#y sa) o!e before "" )hy the pla!ets 'o%e as they #o(
*ut the 'oti%atio!al aspet of proble'"sol%i!$& a!# the e-ploratory #ri%e i! $e!eral& ha%e
alrea#y bee! #isusse#(

There is also a #iffere!t )ay of reati!$ proble's "" for others to sol%e( Eo!o'y i! art
o!sists i! i'plyi!$ its 'essa$e i! the $aps bet)ee! the )or#s& as it )ere( :or#s& )e sa)&
are 'ere steppi!$"sto!es for thou$hts, the 'ea!i!$ 'ust be i!terpolate#, by 'aki!$ the
$aps .ust )i#e e!ou$h& the artist o'pels his au#ie!e to e-ert its i'a$i!atio!& a!# to re"
reate& to so'e e-te!t& the e-perie!e behi!# the 'essa$e( *ut this aspet has also bee!
#isusse# alrea#y& a!# !o lo!$er o!er!s us(


*ri#$i!$ the ;ap

The proess of bri#$i!$ the $ap bet)ee! the perei%e# proble' a!# its solutio! is
#esribe# i! a! oft"/uote# passa$e by Karl >ah0
The sub.et )ho )ishes for a tree to be lai# aross a strea' to e!able hi' to ross it&
i'a$i!es i! fat the proble' as alrea#y sol%e#( I! refleti!$ that the tree 'ust ha%e
pre%iously bee! tra!sporte# to the ri%er& a!# pre%iously to that it 'ust ha%e bee! felle#&
et(& he proee#s fro' the tar$et"situatio! to the $i%e! situatio!& alo!$ a roa# )hih he )ill
re"trae i! the re%erse #iretio!& throu$h a re%erse# se/ue!e of operatio!s& )he! it o'es
to atually o!struti!$ the bri#$e( 748
This /uotatio! has a lo!$ a!estry( It $oes bak "" as Polya 145AF2 has sho)! i! a
re'arkable paper "" to Pappus' lassi #isti!tio! bet)ee! the a!alytial 'etho#& )hih
treats the u!k!o)! solutio! of a $eo'etrial proble' as if it )ere alrea#y k!o)!& the!
i!/uires fro' )hat a!tee#e!t it has bee! #eri%e#& a!# so o! bak)ar# fro' a!tee#e!t to
a!tee#e!t& u!til o!e arri%es at a fat or pri!iple alrea#y k!o)!, a!# the sy!theti 'etho#
)hih& starti!$ fro' the poi!t reahe# last i! the a!alysis& re%erses the proess(

Ho)e%er& the tra#itio!al #isti!tio! bet)ee! a!alytial a!# sy!thetial 'etho# is full of
pitfalls& a!#& thou$h 'thi!ki!$ bak)ar#s' fro' the u!k!o)! to the $i%e! plays a! i'porta!t
role i! 'athe'atial reaso!i!$& this is by !o 'ea!s al)ays the ase i! proble'"sol%i!$,
'oreo%er 'for)ar#' a!# 'bak)ar#' are ofte! /uite arbitrarily use# by taki!$ topolo$ial
'etaphors too literally( If I ai' 'y rifle at the tar$et a!# the! pull the tri$$er& it )oul# be
ri#iulous to say that I )as 'thi!ki!$ bak)ar#' fro' tar$et to tri$$er, I )as 'erely
#e'o!strati!$ the tri%ial fat that i! all $oal"#irete# ati%ities o!e al)ays has to 'keep
o!e's eyes o! the tar$et' "" )hih a! be take! either literally or 'etaphorially( The hess
player's ai' is to apture the oppo!e!t's ki!$& either by #iretly attaki!$ his #efe!es& or
by $ai!i!$ suh a! a#%a!ta$e i! 'aterial that the ki!$ )ill be at his 'ery( *ut the player
rarely reaso!s bak)ar# fro' a! a!tiipate# 'ate positio! "" this happe!s o!ly at #ra'ati
o'bi!ati%e sta$es, as a rule he looks arou!# the boar# to see ')hat's i! the positio!'&
e-plores the possibilities& a!# the! o!si#ers )hat strate$ial or tatial a#%a!ta$es he a!
#eri%e fro' it(

If I )a!te# to fi!# out )hether I a' a #ese!#a!t of Spi!o+a 1as a rakpot u!le of 'i!e
o!e asserte#2& I oul# follo) o!e of t)o 'etho#s& or a o'bi!atio! of both( I oul# trae
Spi!o+a's #ese!#a!ts as they bra!h out #o)!)ar#s& or I oul# trae 'y o)! a!estors
bra!hi!$ out a!# up, or start at both e!#s a!# see )hether the bra!hes 'eet( The e-a'ple
is a paraphrase fro' the Logi+ue de Port !oyal& )hose authors see' to e/uate the up)ar#
proess )ith a!alysis& the #o)!)ar# o!e )ith sy!thesis( Spi!o+a& i!i#e!tally& ha# !o
#ese!#a!ts(

Retur!i!$ to >ah's e-a'ple& the follo)i!$ )oul# perhaps be a 'ore realisti )ay of
approahi!$ the proble'( To $et to 'y tar$et I 'ust ross this strea'( This o!lusio! is
arri%e# at by keepi!$ 'y eyes both o! the tar$et a!# o! 'y o)! positio! "" by $la!i!$ i!
alter!atio! for)ar# a!# bak as it )ere( Si!e I 'ust ross the strea'& let's look for a
bri#$e( There is !o bri#$e( Is there perhaps a boat so'e)hereE No& there is !ot( Ca! I )a#e
arossE Bes "" !o& it's too ol#( I ha%e fou!# three a!alo$ies )ith past 'etho#s of sol%i!$ a
proble'& i! 'y repertory of si'ple routi!es( If I )ish to be pe#a!ti I a! say that the rules
of the ri%er"rossi!$ skill allo)e# 'e three hoies& three #iffere!t strata$e's& eah of
)hih I trie# out i'pliitly& as a hypothesis( *ut sur%eyi!$ the lie of the la!# I fi!# all three
obstrute#( :hat a! be #o!eE I 'ust searh for so'e other routi!e )hih fits the situatio!(
>ah's su$$estio! to fell a tree is !ot a %ery pratial o!e "" I sa) o!ly o!e a bri#$e aross
a s)olle! $ully built that )ay& by !ati%es i! U+bekista! "" but I ha%e !o a-e a!# )e are !ot
i! U+bekista!( So& roll up your trousers& a!# let's hope the )ater is !ot too iy(

This is the hu'"#ru' routi!e of pla!!i!$ a!# proble'"sol%i!$ i! e%ery"#ay life( It 'ea!s&
firstly& searhi!$ for a 'atri-& a skill )hih )ill 'bri#$e the $ap'( The 'atri- is fou!# by
)ay of a!alo$y 1or 'assoiatio! by si'ilarity'2& that is to say& by reo$!i+i!$ that the
situatio! is& for 'y prese!t i!te!ts a!# purposes& the sa'e as so'e past situatio!s( I the! try
to apply the sa'e skill )hih helpe# i! those past situatio!s& to the prese!t lie of the la!#(
I! the abo%e e-a'ple I ha%e trie# three suessi%e strata$e's "" I ha%e 'a#e three
hypotheses "" a!# after t)o ha%e faile# o'pletely& I re%erte# to the thir#& )hih offere# the
o!ly solutio!& thou$h a far fro' perfet o!e( I! other )or#s& I ha%e settle# for a!
appro-i'atio!( >ost proble's i! pratial life a!# i! the history of sie!e a#'it of !o
better solutio!(

A poi!t to be !ote# is that e%e! i! this tri%ial e-a'ple& the solutio! #oes !ot proee# i! a
si!$le li!e fro' tar$et to starti!$ poi!t& or %ie %ersa& but by a bra!hi!$ out of hypotheses
"" of possible strate$ies "" fro' o!e e!#& or both e!#s& u!til o!e or se%eral bra!hes 'eet& as
i! the Spi!o+a e-a'ple( Further'ore& i! a real $e!eaolo$ial searh& the e-pert )oul#
eli'i!ate u!likely bra!hes a!# o!e!trate o! those )hih for $eo$raphial or other
reaso!s see' 'ore pro'isi!$( :e ha%e here& o! a 'i!iature sale as it )ere& that $ropi!$ i!
a %a$uely se!se# #iretio!& to)ar#s the '$oo# o'bi!atio!'& the 'hooki!$ of the proper
ato's' 1Poi!arT2& )hih I ha%e #isusse# i! *ook O!e& 3III( Ho)e%er& i! these tri%ial
e-a'ples the $ropi!$ a!# searhi!$ is #o!e o! the o!sious or fri!$e"o!sious le%el& a!#
)hat )e are looki!$ for to bri#$e the $ap is 'erely so'e routi!e trik i! our repertory, a
pratial skill )hih )ill fit the partiular lie of the la!#( I! other )or#s& the fa!!i!$ out of
hypotheses& the trial"a!#"hek proe#ures i! si'ple thi!ki!$ routi!es& reflet the fle-ibility
of the skill& )hih a! operate throu$h se%eral sub"skills or e/uipote!tial li!es of atio!&
aor#i!$ to fee#bak fro' the e!%iro!'e!t(

These sub"skills of sy'boli thou$ht ha%e bee! #isusse# i! %arious o!te-ts( They ra!$e
fro' the i'pliit o#es of $ra''ar& sy!ta-& a!# o''o!se!se lo$i& throu$h the
operatio!al rules of e-trapolatio!& i!terpolatio!& tra!spositio!& she'ati+atio! 1e-a$$eratio!
a!# si'plifiatio!2& a!# so forth& to the speial rules of suh speial $a'es as %etor"
a!alysis or biohe'istry( *ut e%e! these %ery speial a!# o'ple- skills a! be pratise#
by sheer routi!e, a!# %ie %ersa so'e of the 'ost ori$i!al #iso%eries arose out of
relati%ely si'ple proble's( Co'ple-ity of thou$ht is !o 'easure of ori$i!ality(


Searhi!$ for a Co#e

Polya #efi!es a routi!e proble' as o!e ')hih a! be sol%e# either by substituti!$ speial
#ata i!to a for'erly sol%e# $e!eral proble'& or by follo)i!$ step by step& )ithout a!y trae
of ori$i!ality& so'e )ell")or!& o!spiuous e-a'ple'( 798 He o!trasts these routi!es )ith
the 'rules of #iso%ery'0 'The first rule of #iso%ery is to ha%e brai!s a!# $oo# luk( The
seo!# rule of #iso%ery is to sit ti$ht a!# )ait till you $et a bri$ht i#ea(' 7A8 A!# he #efi!es
a 'bri$ht i#ea' as 'a su##e! leap of the i'a$i!atio!& a flash of $e!ius'( 768

Ho)e%er& 'ost pratial a!# theoretial proble's are sol%e# at so'e le%el bet)ee! these
t)o e-tre'es( Polya's #efi!itio! of routi!e is too !arro) a!# ri$i#, it #oes !ot take i!to
aou!t the $reat fle-ibility& for i!sta!e& of se!sory"'otor skills suh as rok"li'bi!$& or
$lass"blo)i!$& or playi!$ a! i!stru'e!t i! a! u!i!spire# but teh!ially ao'plishe#
'a!!er( I! sy'boli thi!ki!$ )e fi!# e/ually fle-ible skills )hih are !e%ertheless routi!e0
soliitors #itati!$ a #ou'e!t or brief, i!terpreters at publi o!$resses #itati!$ a# ho
i!to the 'ulti"li!$ual earpho!e"iruits, politiia!s o! )histle"stop tours reeli!$ off
%ariatio!s o! )ell")or! the'es( These are routi!e perfor'a!es i! Polya's se!se of
'substituti!$ speial #ata i!to $e!eral e/uatio!s', but the e/uatio!& the o#e& lea%es i! these
ases 'a!y 'ore #e$rees of free#o' tha! #oes a 'athe'atial for'ula& a!# the at of
'substituti!$ speial #ata' has %aryi!$ #e$rees of triki!ess( E%e! to a skille# a!# e-pert
tra!slator& for i!sta!e& it ofte! happe!s that he has !o rea#y"'a#e i#io' or tur! of phrase
i! his repertory to substitute for the ori$i!al( He 'ust i'pro%ise so'e appro-i'atio!&
perhaps a 'etaphor& to o%er the 'ea!i!$ "" )hih is a 'uh hi$her skill& i!%ol%i!$ a
#e$ree of ori$i!ality(

Tur!i!$ to 'ore #iffiult proble's& of the type )hih <u!ker a!# >aier put to their
sub.ets& )e fi!# routi!e solutio!s o'bi!e# )ith i!ti'atio!s of ori$i!ality& a!# )e shall
reo$!i+e a! i!reasi!$ !u'ber of those fators& i! e'bryo!i shape as it )ere& )hih )e
sa) at )ork i! the reati%e proess(

The #e$ree of ori$i!ality )hih a sub.et )ill #isplay #epe!#s& eteris paribus& o! the
!ature of the halle!$e "" that is& the !o%elty a!# u!e-pete#!ess of the situatio!( Fa'iliar
situatio!s are #ealt )ith by habitual 'etho#s, they a! be reo$!i+e#& at a $la!e& as
a!alo$ous i! so'e esse!tial respet to past e-perie!es )hih pro%i#e a rea#y"'a#e rule to
ope )ith the'( The 'ore !e) features a task o!tai!s& the 'ore #iffiult it )ill be to fi!#
the rele%a!t a!alo$y& a!# thereby the appropriate o#e to apply to it( :e ha%e see! 1*ook
O!e& 3III& H3II2 that o!e of the basi 'eha!is's of the Eureka proess is the #iso%ery of
a hi##e! a!alo$y, but 'hi##e!!ess' is a$ai! a 'atter of #e$rees( Ho) hi##e! is a hi##e!
a!alo$y& a!# )here is it hi##e!E A!# )hat #oes the )or# 'searh' 'ea! i! this o!te-tE I!
the ter's of the prese!t theory it 'ea!s a proess of sa!!i!$& of bri!$i!$ suessi%e&
pereptual or o!eptual a!alyser"o#es to bear o! the proble', to try out )hether the
proble' )ill 'ath this type of filter or that& as the oulist tries out a series of le!ses i! the
fra'e before the lie!t's eyes( Bet the )or# 'searh'& so ofte! use# i! the o!te-t of
proble'"sol%i!$& is apt to reate o!fusio! beause it i'plies that I k!o) beforeha!# )hat
I a' searhi!$ for& )hereas i! fat I #o !ot( If I searh for a lost ollar"stu#& I put a ki!# of
filter i!to 'y 'optial fra'e' )hih lets o!ly ollar"stu#s a!# si'ilar shapes pass& a!#
re.ets e%erythi!$ else "" a!# the! $o looki!$ throu$h 'y #ra)ers( *ut 'ost tasks i!
proble'"sol%i!$ !eessitate applyi!$ the re%erse proe#ure0 the sub.et looks for a lue& the
!ature of )hih he #oes !ot k!o)& e-ept that it shoul# be a 'lue' 13nsat0punkt& point
d/appui2& a li!k to a type of proble' fa'iliar to hi'( I!stea# of looki!$ throu$h a $i%e!
filter"fra'e for a! ob.et )hih 'athes the filter& he 'ust try out o!e fra'e after a!other
to look at the ob.et before 'his !ose& u!til he fi!#s the fra'e i!to )hih it fits& i(e( u!til the
proble' prese!ts so'e fa'iliar aspet "" )hih is the! perei%e# as a! a!alo$y )ith past
e-perie!e a!# allo)s hi' to o'e to $rips )ith it(

This searh for the appropriate 'atri-& or rule of the $a'e to takle the proess& is !e%er
/uite ra!#o', the %arious types of $ui#a!e at the fu'bli!$& $ropi!$& tryi!$ sta$es ha%e
bee! #isusse# before( A'o!$ the riteria )hih #isti!$uish ori$i!ality fro' routi!e are the
level of consciousness o! )hih the searh is o!#ute#& the type of guidance o! )hih the
sub.et relies& a!# the nature of the obstacle )hih he has to o%ero'e(


<e$rees of Ori$i!ality

I! o!e of >aier's i!$e!ious e-peri'e!ts the proble' set to the sub.et )as to ath hol# at
the sa'e ti'e of t)o thi! stri!$s hu!$ fro' the eili!$ so )i#e apart that he oul# o!ly $et
hol# of o!e at a ti'e( The o!ly a%ailable tool )as a pair of pliers( The solutio! is to tie the
pliers to o!e stri!$ a!# set it i!to pe!#ular 'otio!( The ruial poi!t of the e-peri'e!t&
ho)e%er& is #esribe# as follo)s0 7I8
If the sub.et ha# !ot spo!ta!eously sol%e# the proble' )ithi! te! 'i!utes& >aier supplie#
hi' )ith a hi!t, he )oul# Nai#e!tallyN brush a$ai!st o!e of the stri!$s& ausi!$ it to
s)i!$ $e!tly( Of those )ho sol%e# the proble' after this hi!t& the a%era$e i!ter%al bet)ee!
hi!t a!# solutio! )as o!ly forty"t)o seo!#s ( ( ( ( >ost of those sub.ets )ho sol%e# the
proble' i''e#iately after the hi!t #i# so )ithout a!y reali+atio! that they ha# bee! $i%e!
o!e( The Ni#eaN of 'aki!$ a pe!#ulu' )ith pliers see'e# to arise spo!ta!eously( 1>y
italis(2
Here )e ha%e a beautifully a'bi$uous e-a'ple of )hat looks like 'u!o!sious' $ui#a!e(
Ob%iously there is a )orl# of #iffere!e bet)ee! this ki!# of thi!$& a!# the !ature of the
sub"o!sious proesses )hih pro#ue KekulT's serpe!t #rea' or Poi!arT's #iso%ery of
the Fuhsia! fu!tio!s( >aier's sub.ets see' to ha%e 'otto!e# o!' to the solutio! o! the
pre"o!sious or fri!$e"o!sious le%el of a)are!ess( Poi!arT's i!spiratio! )as #eri%e#
fro' the reati%e po)ers of the 'u!#er$rou!#'(

Ne%ertheless& )e !otie that )hile tri%ial tasks& i! so far as they re/uire a!y refletio! at
all& are sol%e# i! full #ayli$ht as it )ere& )ith the fous of a)are!ess o! the tar$et& e%e!
proble's of 'o#erate #iffiulty& suh as >aier's& re/uire a type of $ui#a!e o! a #iffere!t
le%el( Fre/ue!tly the #iffiulty arises !ot fro' the ob.eti%e !o%elty of the proble'& but
fro' its 'e'be##e#!ess' i! the sub.et's 'i!#( I! *ook O!e 1p( 4F52 I ha%e #esribe# a!
e-peri'e!t of <u!ker's i! )hih a! ob.et )as so e'be##e# i! its %isible role as a
'pe!#ulu!l )ei$ht' that the stu#e!t )as u!able to o!ei%e of it i! the role of a 'ha''er'(
'E'be##e#!ess' is a tri%ial %ersio! of the oasio!al 's!o)bli!#!ess' of $e!ius( I! both
ases the #iffiulty lies i! $oi!$ a$ai!st routi!e "" i! #isar#i!$ the 'ost ob%ious or likely
'atri- that offers itself a!# thus $ets i!to the )ay of the 'ore u!likely o!e )hih )ill #o
the .ob( *ut a$ai! there is 'ore tha! a 'ere #iffere!e i! #e$rees bet)ee! o%ero'i!$ the
pereptual attah'e!t of the )ei$ht to the stri!$& a!# o%ero'i!$ the 'ille!!ial attah'e!t
of the hu'a! 'i!# to the all"too"plausible a-io's of Aristotelia! physis(

'Thi!ki!$ asi#e' also ours o! all i!ter'e#iate le%els of #iffiulty( It 'ay take the for' of
s)ithi!$ to %isual i'a$ery "" as i! the proble' of the *u##hist 'o!k 1*ook O!e& p( 4FA2,
or of re"stati!$ the proble' i! #iffere!t ter's, or letti!$ o!e's atte!tio! )a!#er& $ui#e# by
so'e !ase!t& lou#y a!alo$y( A $oo# e-a'ple is the <u!ker"pu++le about the t)o trai!s
a!# the bir#( T)o $oo#s"trai!s& a hu!#re# 'iles apart& start 'o%i!$ to)ar#s eah other&
eah at a spee# of t)e!ty 'iles per hour( A silly bir#& fri$hte!e# by the starti!$ hiss of o!e
of the trai!s& flies a)ay at thirty 'iles per hour i! a strai$ht li!e alo!$ the rail)ay trak
u!til it 'eets the other trai!, it re%erses its #iretio! u!til it 'eets the first trai!& the! tur!s
a$ai!& a!# so forth( :hat #ista!e )ill the bir# o%er i! its fli$ht to a!# fro u!til the t)o
trai!s 'eetE

To o'pute the su' of the series of fli$ht"strethes is a rather o'pliate# task( *ut if )e
thi!k asi#e& for$et about the #ista!es o%ere# by the bir#& a!# o'pute the ti'e u!til the
t)o trai!s )ill 'eet "" t)o a!# a half hours "" )e see at o!e that the bir# has also flo)! for
t)o a!# a half hours a!# he!e o%ere# a total of se%e!ty"fi%e 'iles( The pu++le reflets i!
'i!iature ;alileo's epoal #iso%ery of the la)s of free fall "" by s)ithi!$ his atte!tio!
fro' the spatial 'to the te'poral aspets of the proess(

A!other fa'ous <u!ker proble' is ho) to bri!$ up e-atly si- pi!ts of )ater fro' a
ri%er& )he! you ha%e o!ly t)o o!tai!ers& o!e 'easuri!$ !i!e& the other four pi!ts( Bou
fi##le arou!#& #ea!t i! your i'a$i!atio! the bi$ o!tai!er t)ie i!to the s'aller o!e&
thro)i!$ the )ater eah ti'e bak i!to the ri%er( This lea%es you )ith o!e pi!t )hih you
a! keep i! the bi$$er or put i!to the s'aller o!tai!er "" but that #oes !ot help beause
!o) you a!!ot isolate the fi%e pi!ts to )hih the si!$le pi!t 'ust be a##e#( The solutio! is
si'ply to s)ith fro' addition to subtraction0 you keep your pi!t i! the s'aller o!tai!er&
a!# fill it up fro' the lar$er o!e "" it )ill !o) o!ly take 6 " 4 U A pi!ts& lea%i!$ 5 " A U @
pi!ts i! the lar$e .u$( <iffere!t people sol%e this proble' by #iffere!t 'etho#s( Polya $i%es
a! a!alytial e-pla!atio!, perso!ally I fou!# that )ith 'ost people the lik ours throu$h
the re%ersal of the #iretio! of thou$ht fro' a##itio! to subtratio! "" fro' fi$ure to
bak$rou!# "" a phe!o'e!o! )e fre/ue!tly 'et i! #iso%ery(

At a ertai! le%el of proble'"sol%i!$ e%e! a healthy ki!# of illo$iality& of #isre$ar#i!$
appare!t o!tra#itio!s& 'akes its appeara!e "" as i! the i'a$e of the 'o!k 'eeti!$ his
alter"e$o( *ut e!ou$h has bee! sai# to sho) that as the halle!$e beo'es 'ore pro%oki!$&
the !ature of the $ui#a!e )hih #irets the searh for the ri$ht type of 'atri- to bear o!
the proble'& beo'es 'ore i!tuiti%e& 'ore re'ote fro' the !or'al routi!e of thi!ki!$& a!#
that e-tra"o!sious proesses play a! i!reasi!$ly i'porta!t part( A!# thus& ha%i!$ starte#
fro' the base of the hierarhy& )e arri%e at last at the roof& )hih )e ha%e sur%eye# i! the
first %olu'e but ha# left ha!$i!$ i! the air0 the at of #iso%ery(


The ter' 'bisoiatio!' is 'ea!t to poi!t to the i!#epe!#e!t& auto!o'ous harater of the
'atries )hih are brou$ht i!to o!tat i! the reati%e at& )hereas assoiati%e thou$ht
operates a'o!$ 'e'bers of a si!$le pre"e-isti!$ 'atri-( *ut )e ha%e see! that this is a
relati%e& !ot a! absolute riterio!& beause the 'e'bers of a 'atri- are sub"skills& i(e(
'atries i! their o)! ri$ht o! a subor#i!ate le%el of the hierarhy& a!# the #e$ree of their
i!te$ratio!& i(e( the ohere!e of the 'atri-& %aries aor#i!$ to ase( I! 'atries )hih
ha%e beo'e fully auto'ati+e#& the o#e alo!e #eter'i!es )hih 'e'ber shall at i!
)hih or#er "" the pe#a!t al)ays takes the sa'e route to his offie& his strate$y is fi-e#
o!e a!# for all& a!# has beo'e i!orporate# i!to the o#e( *ut the 'ore fle-ible a skill&
the $reater the part playe# by strate$y( Thus i! the proble' about the trai!s a!# the bir#& the
sub.et 'ust o'pute the #ista!e < flo)! by the bir#& a!# he k!o)s that #ista!es are
o'pute# by the rule of the $a'e < U %(t( The %eloity % of the bir# is $i%e!& a!# he oul#
$et the t i! a .iffy by substituti!$ for it the ti'e take! by the trai!s u!til they rash 1t U
4CCW6C U 9j2( *oth the for'ula& a!# the proess of substitutio!& are fa'iliar sub"skills i!
the sub.et's repertory of habits& a!# shoul# fu!tio! as 'e'bers of the 'atri-( Ho)e%er&
o)i!$ to the u!usual lie of the la!# "" i(e( the )ay the #ata are prese!te# "" his strate$y
breaks #o)!& the 'atri- $oes to piees& a!# its 'e'bers fu!tio! as i!#epe!#e!t e!tities(
O!e this has ourre# it )oul# re/uire a ertai! ori$i!ality to o'bi!e the' a$ai!( :e
'i$ht e%e! be $e!erous a!# say& that to re"o'bi!e the' )oul# be a 'i!or bisoiati%e at(


Thus the #e$ree of i!#epe!#e!e of the 'atries or sub'atries )hih o'bi!e i! the
solutio! of a proble'& a! o!ly be .u#$e# )ith refere!e to the sub.et's 'e!tal
or$a!i+atio!( A!y boy of the si-th for' a! #eri%e the Pytha$orea! theore'& )hih he has
pre%iously lear!e#& as a 'atter of routi!e, but to #iso%er it for hi'self )oul# re/uire a
hi$h #e$ree of ori$i!ality(

I hope I ha%e lai# suffiie!t e'phasis o! the fat that ori$i!ality 'ust be 'easure# o!
sub.eti%e sales a!# that a!y self"tau$ht !o%elty is a 'i!or bisoiati%e at( This take! for
$ra!te#& let 'e reapitulate the riteria )hih #isti!$uish bisoiati%e ori$i!ality fro'
assoiati%e routi!e(


Assoiatio! a!# *isoiatio!

The first riterio! )as the pre%ious i!#epe!#e!e of the 'e!tal skills or u!i%erses of
#isourse )hih are tra!sfor'e# a!# i!te$rate# i!to the !o%el sy!thesis of the reati%e at(
The stu#e!t sol%i!$ the trai!"bir# proble' is e!title# to shout Eureka beause his
'athe'atial skills are so poorly i!te$rate# 1or so easily #isloate#2 that the at of 'hooki!$
the' to$ether' appears to hi' a !o%el #iso%ery( The 'ore u!likely or 'far"fethe#' the
'e#iati!$ 'atri- >9 "" i(e( the 'ore i!#epe!#e!t fro' >4 "" the 'ore u!e-pete# a!#
i'pressi%e the ahie%e'e!t( The reati%e at oul# be #esribe# as the hi$hest for' of
lear!i!$ beause of the hi$h i'probability 1or a!ti"ha!e probability2 of the solutio!(

If )e !o) tur! fro' sub.eti%e ori$i!ality to #iso%eries )hih are !e) i! atual fat& )e
a$ai! fi!# the pre%ious i!#epe!#e!e of the o'po!e!ts that )e!t i!to the '$oo#
o'bi!atio!' to be a 'easure of ahie%e'e!t( Historially speaki!$& the fra'es of
refere!e of 'a$!etis' a!# eletriity& of physis a!# he'istry& of orpusles a!# )a%es&
#e%elope# separately a!# i!#epe!#e!tly& both i! the i!#i%i#ual a!# the olleti%e 'i!#&
u!til the fro!tiers broke #o)!( A!# this break#o)! )as !ot ause# by establishi!$ $ra#ual&
te!tati%e o!!etio!s bet)ee! i!#i%i#ual 'e'bers of the separate 'atries& but by the
a'al$a'atio! of t)o real's as )holes& a!# the i!te$ratio! of the la)s of both real's i!to a
u!ifie# o#e of $reater u!i%ersality( >ultiple #iso%eries a!# priority #isputes #o !ot
#i'i!ish the ob.eti%e& historial !o%elty pro#ue# by these 'a.or bisoiati%e e%e!ts "" they
'erely pro%e that the ti'e )as ripe for that partiular sy!thesis(

>i!or& sub.eti%e bisoiati%e proesses #o our o! all le%els& a!# are the 'ai! %ehile of
u!tutore# lear!i!$( *ut ob.eti%e !o%elty o'es i!to bei!$ o!ly )he! sub.eti%e ori$i!ality
operates o! the hi$hest le%el of the hierarhies of e-isti!$ k!o)le#$e(

The #iso%eries of yester#ay are the truis's of to'orro)& beause )e a! a## to our
k!o)le#$e but a!!ot subtrat fro' it( :he! t)o fra'es of refere!e ha%e beo'e
i!te$rate# i!to o!e it beo'es #iffiult to i'a$i!e that pre%iously they e-iste# separately(
The sy!thesis looks #eepti%ely self"e%i#e!t& a!# #oes !ot betray the i'a$i!ati%e effort it
!ee#e# to put its o'po!e!t parts to$ether( I! this respet the artist $ets a better #eal tha!
the sie!tist( The ha!$es of style i! the represe!tati%e arts& the #iso%eries )hih altere#
our fra'es of pereptio!& sta!# out as $reat la!#'arks for all to see( The true reati%ity of
the i!!o%ator i! the arts is 'ore #ra'atially e%i#e!t a!# 'ore easily #isti!$uishe# fro'
the routi!e of the 'ere pratitio!er tha! i! the sie!es& beause art 1a!# hu'our2 operate
pri'arily throu$h the tra!sitory 5uxtaposition of 'atries& )hereas sie!e ahie%es their
per'a!e!t i!te$ratio! i!to a u'ulati%e a!# hierarhi or#er( =aure!e Oli%ier i! Ha'let is
perei%e# as Oli%ier a!# as Ha'let at the sa'e ti'e, but )he! the urtai! $oes #o)!& the
t)o perso!ae separate a$ai!& a!# #o !ot beo'e a'al$a'ate# i!to a hi$her u!it )hih is
later o'bi!e# )ith others i!to still hi$her u!its(

A further riterio! of the reati%e at )as that it i!%ol%es se%eral levels of consciousness(
I! proble'"sol%i!$ pre" a!# e-tra"o!sious $ui#a!e 'akes itself i!reasi!$ly felt as the
#iffiulty i!reases, but i! the truly reati%e at both i! sie!e a!# art& u!#er$rou!# le%els
of the hierarhy )hih are !or'ally i!hibite# i! the )aki!$ state play a #eisi%e part( It is
perhaps si$!ifia!t that the ;er'a! )or# for the Creator is NSh[pferN& a!# for reati!$
Nsh[pfe!N "" 'to soop' i! the se!se of #ra)i!$ )ater i! bukets fro' a )ell( The Creator is
thus %isuali+e# as reati!$ the )orl# out of His o)! #epth& a!# the reati%e 'i!# )ith a
s'all is suppose# to apply a si'ilar proe#ure( *ut )hate%er the i!!er soures o! )hih
the =or# of ;e!esis #re) )hile his spirit ho%ere# o%er the #ark )aters& i! the ase of
hu'ble 'ortals the soures are i! the phylo$e!etially a!# o!to$e!etially ol#er&
u!#er$rou!# layers of his 'i!#( He a! o!ly reah the' throu$h a te'porary re$ressio! to
earlier& 'ore pri'iti%e& less speiali+e# le%els of 'e!tatio!& throu$h a reculer pour mieux
sauter( I! this respet the reati%e at parallels the proess of biolo$ial re$e!eratio! "" the
liberatio! of $e!eti pote!tials !or'ally u!#er restrai!t& throu$h the #e"#iffere!tiatio! of
#a'a$e# tissues( Thus the reati%e proess i!%ol%es le%els of the 'i!# separate# by a 'uh
)i#er spa! tha! i! a!y other 'e!tal ati%ity "" e-ept i! patholo$ial states& )hih
represe!t a reculer sans sauter( The e'otio!al 'a!ifestatio!s of the Eureka at "" su##e!
illu'i!atio! follo)e# by abreatio! a!# atharsis "" also testify to its subo!sious ori$i!s,
they are to so'e e-te!t o'parable to the atharti effets of the a!alyst's 'etho# of
bri!$i!$ 'represse# o'ple-es' i!to the patie!t's o!sious!ess(

The re"struturi!$ of 'e!tal or$a!i+atio! effete# by the !e) #iso%ery i'plies that the
reati%e at has a re%olutio!ary or destructive si#e( The path of history is stre)! )ith its
%iti's0 the #isar#e# is's of art& the epiyles a!# phlo$isto!s of sie!e(

Assoiati%e skills& o! the other ha!#& e%e! of the sophistiate# ki!# )hih re/uire a hi$h
#e$ree of o!e!tratio!& #o !ot #isplay the abo%e features( Their biolo$ial e/ui%ale!ts are
the ati%ities of the or$a!is' )hile i! a state of #y!a'i e/uilibriu' )ith the e!%iro!'e!t
"" as #isti!t fro' the 'ore spetaular 'a!ifestatio!s of its re$e!erati%e pote!tials( The
skills of reaso!i!$ rely o! habit& $o%er!e# by )ell"establishe# rules of the $a'e, the
'reaso!able perso!' "" use# as a sta!#ar# !or' i! E!$lish o''o! la) "" is le%el"hea#e#
i!stea# of 'ulti"le%el"hea#e#, a#apti%e a!# !ot #estruti%e, a! e!li$hte!e# o!ser%ati%e&
!ot a re%olutio!ary, )illi!$ to lear! u!#er proper $ui#a!e& but u!able to be $ui#e# by his
#rea's(

The 'ai! #isti!$uishi!$ features of assoiati%e a!# bisoiati%e thou$ht 'ay !o) be
su''e# up& so'e)hat brutally& as follo)s0 Habit Ori$i!ality Assoiatio! )ithi! the
o!fi!es *isoiatio! of i!#epe!#e!t of a $i%e! 'atri- 'atries ;ui#a!e by pre"o!sious
or ;ui#a!e by sub"o!sious e-tra"o!sious proesses proesses !or'ally u!#er restrai!t
<y!a'i e/uilibriu' Ati%atio! of re$e!erati%e pote!tials Ri$i# to fle-ible %ariatio!s
Super"fle-ibility o! a the'e 1reuler pour 'ieu- sauter2 Repetiti%e!ess No%elty
Co!ser%ati%e <estruti%e"Co!struti%e
A!# thus )e are bak )here )e left off i! the first book, the irle is lose#(




APPEN<IH I0
ON =OA<STONES AN< A>*ER
I ha%e o'pare# 1*ook O!e& H2 the o!struti%e perio#s i! the e%olutio! of sie!e to
ri%er"estuaries i! )hih pre%iously separate bra!hes of k!o)le#$e 'er$e i! a series of
bisoiati%e ats( The prese!t appe!#i- is 'ea!t to illustrate the proess by a fe) salie!t
episo#es fro' the history of 'a$!etis' a!# eletriity "" t)o fiel#s of stu#y )hih& u!til
the be$i!!i!$ of the !i!etee!th e!tury& ha# #e%elope# o! i!#epe!#e!t li!es& a!# see'e# to
be i! !o )ay relate#( Their 'er$i!$ )as #ue to the #iso%ery of u!itary la)s of a
pre%iously u!suspete# ki!# u!#erlyi!$ the %ariety of phe!o'e!a& a!# took physis a
#eisi%e step for)ar# to)ar#s a u!i%ersal sy!thesis(


The ;reeks& fortu!ately perhaps& ha# !ot pai# 'uh atte!tio! to the a!tis of loa#sto!es
a!# a'ber, they ha# shru$$e# the' off as freak phe!o'e!a( Aristotle ha# har#ly a!ythi!$
to say about the' "" ha# he lai# #o)! the la) o! 'a$!etis' a!# eletriity& as he #i# i!
other #o'ai!s of physis& the story 'i$ht ha%e bee! #iffere!t( As it happe!e#& both
sie!es starte# fro' srath i! the se%e!tee!th e!tury, .ust at a ti'e )he! sholastiis'
ha# to yiel# to the e'pirial approah( This s'oothe# their path of pro$ress "" but e%e! so&
pro$ress )as !either s'ooth !or o!ti!uous(

Apart fro' so'e asual refere!es i! earlier soures& the first la!#'ark i! the history of
'a$!etis' i! Europe is a 'a!usript& #ate# 49@5& by a Fre!h rusa#er& Petrus Pere$ri!us
fro' Piar#y( It $i%es a #etaile# #esriptio! of t)o types of 'ari!er's o'pass 1)hih
appare!tly ha# bee! i! use for at least a e!tury20 a 'a$!eti+e# !ee#le either floati!$ o! a
stik i! a bo)l of )ater& or tur!i!$ o! a %ertial a-le( Pere$ri!e further #esribe# his
e-peri'e!ts )ith a spherial loa#sto!e )hih he ha# fashio!e#& #efi!i!$ its poles a!# the
attrati%e a!# repelle!t properties of its surfae, yet he share# the o!te'porary belief that
the soure of the '%irtue' )hih attrate# the o'pass !ee#le )as loate# i! the sky "" i! the
Polar Star or the ;reat *ear(

<uri!$ the !e-t three hu!#re# years !o further pro$ress see's to ha%e bee! 'a#e "" e-ept
for so'e i'pro%e'e!ts of the o'pass a!# atte'pts to 'easure 'a$!eti #eli!atio!&
ause# by the pu++li!$ #iso%ery that the #iretio! of the !ee#le #e%iate# at #iffere!t plaes
to #iffere!t #e$rees fro' the #iretio! of the Polar Star(

The !e-t la!#'ark is <r( :illia' ;ilbert of Colhester& ourt physiia! to Juee!
Eli+abeth& the first $reat E!$lish e-peri'e!talist( ;ilbert put both 'a$!etis' a!# eletriity
o! the 'ap "" or rather& o! t)o separate 'aps, his i!flue!e o! his you!$er o!te'poraries&
Kepler a!# ;alileo& )as e!or'ous( ;ilbert's fu!#a'e!tal #iso%ery "" i! fat the o!ly
i'porta!t #iso%ery 'a#e i! the )hole history of 'a$!etis' as a! i!#epe!#e!t sie!e "" is
a$ai! o!e of those )hih& i! retrospet& appear #eepti%ely si'ple( He fou!# that the po)er
)hih attrate# the 'a$!eti !ee#le )as !ot i! the skies but i! the earth0 that the earth itself
)as a hu$e spherial loa#sto!e( He arri%e# at this o!lusio! by 'aki!$& as Pere$ri!e ha#
#o!e& a spherial 'a$!et& a!# e-plori!$ the beha%iour of a 'i!ute o'pass"!ee#le o! its
surfae( As he 'o%e# the !ee#le o%er his $lobe& he sa) that it beha%e# e-atly as the !ee#le
of the 'ari!er's o'pass beha%e# o! a sea .our!ey "" both )ith re$ar# to its !orth"south
ali$!'e!t a!# to its '#ip'& )hih i!rease# the loser the !ee#le approahe# either of the
poles( He o!lu#e# that his spherial loa#sto!e )as a 'o#el of the earth )hih therefore
'ust be a 'a$!et(D
So the seret of the o'pass"!ee#le )as sol%e# by asribi!$ 'a$!eti properties to the
earth "" there re'ai!e# o!ly the seret of the !ature of 'a$!etis' itself( ;ilbert's book& :e
&agnete& )as publishe# A(<( 4@CC "" the sa'e year i! )hih Kepler .oi!e# fores )ith
Tyho #e *rahe to lay the fou!#atio!s of the !e) astro!o'y, the sy'boli year )hih& like
a )atershe#& #i%i#es 'e#ie%al fro' 'o#er! philosophy( ;ilbert& bor! i! 4I66& stoo#& like
Kepler& astri#e the )atershe#0 )ith o!e foot i! the bra%e !e) )orl# of e-peri'e!tal
sie!e& the other stuk i! Aristotelia! a!i'is'( His #esriptio!s of ho) 'a$!etis' )orks
are 'o#er!, his e-pla!atio!s of its auses are 'e#ie%al0 he re$ar#s the 'a$!eti fore as a
li%i!$ e'a!atio! fro' the spirit or soul of the loa#sto!e( The earth& bei!$ a $ia!t loa#sto!e&
also has a soul "" its 'a$!eti %irtue "" a!# so ha%e the hea%e!ly bo#ies(
>a$!eti fore is a!i'ate& or i'itates the soul, a!# i! 'a!y thi!$s surpasses the hu'a!
soul )hile this is bou!# up i! the or$a!i bo#y(' 748 The atio!s of the 'a$!eti %irtue are
')ithout error ( ( ( /uik& #efi!ite& o!sta!t& #ireti%e& 'oti%e& i'pera!t& har'o!ious ( ( ( it
reahes out like a! ar' laspi!$ rou!# the attrate# bo#y a!# #ra)i!$ it to itself( ( ( ( It
'ust !ee#s be li$ht a!# spiritual so as to e!ter the iro!' "" but it 'ust also be a 'aterial&
subtle %apour& a! ether or efflu%iu'( E%e! the earth's rotatio! is so'eho) o!!ete# )ith
'a$!etis'0 'I! or#er that the Earth 'ay !ot perish i! %arious )ays& a!# be brou$ht fro'
o!fusio!& she tur!s herself about by 'a$!eti a!# pri'ary %irtue( 798
Thus ;ilbert's book& )hih e!.oye# u!o!teste# authority for the !e-t t)o hu!#re# years&
postulate# o! the o!e ha!# atio! at a #ista!e& but asserte# o! the other the e-iste!e of a!
efflu%iu' or ether )hih passes 'like a breath' bet)ee! the attrati!$ bo#ies( It )as also a
'a.or fator i! reati!$ se'a!ti o!fusio!0 the )or# ''a$!etis''& )hih ori$i!ally
referre# to the properties of a type of ore 'i!e# i! >a$!esia& a pro%i!e of Thessaly& a'e
soo! to be applie# to a!y ki!# of attratio! or affi!ity& physial& psyholo$ial& or
'etaphorial 1'a!i'al 'a$!etis''& '>es'eris''& et(2( *ut as lo!$ as the stu#y of the
beha%iour of 'a$!ets re'ai!e# a! isolate# fiel# of researh& !o further pro$ress oul# be
'a#e( I! 4@94 %a! Hel'o!t& a!# i! 4@64 Atha!asius Kirher& publishe# books o! the
sub.et )hih a##e# !othi!$ !e) to it& but #)elt at le!$th o! the alle$e# )ou!#"heali!$
properties of 'a$!ets, Kirher's book arrie# a )hole setio! o! the ''a$!etis'' of lo%e&
a!# e!#e# )ith the #itu' that the =or# is the 'a$!et of the u!i%erse( Ne)to! took !o
i!terest i! 'a$!etis' e-ept for so'e re'arks i! the thir# book of the NPri!ipiasN 7A8 to
the effet that the 'a$!eti fore see'e# to %ary appro-i'ately )ith the i!%erse ube of
the #ista!e, )hile <esartes e-te!#e# his theory of os'i %orties to o%er both 'a$!eti
a!# eletri phe!o'e!a( The 'ai! sub.ets of i!terest )ere the %ariatio!s i! the positio!s
of the earth's 'a$!eti poles )hih& to the !a%i$ators' #istress& )ere fou!# to )a!#er
arou!# like floati!$ ki#!eys( This le# to the ki!# of o!tro%ersy harateristi of 'ost
perio#s of sta$!atio! i! the history of sie!e, thus o!e He!ry *o!# of =o!#o! to)!& a
'Teaher of Na%i$atio!'& publishe# i! 4@O@ a book& *he Longitude 1ound& base# o! the
theory that the 'a$!eti poles la$$e# behi!# the earth's #aily rotatio!( This thesis )as tor!
to piees i! a!other book& *he Longitude 9ot 1ound& by Peter *lakborou$h(
E%e! the $reat Halley )e!t hay)ire )here 'a$!etis'( )as o!er!e#0 he propose# that
the earth )as a ki!# of solar syste' i! 'i!iature& )ith a! i!!er ore a!# a! outer shell& both
of the' 'a$!eti+e#& a!# a lu'i!ous flui# bet)ee! the' to pro%i#e li$ht for the people
li%i!$ o! the surfae of the i!!er ore, this lu'i!ous efflu%iu' esapi!$ throu$h the earth's
pores $a%e rise to the aurora borealis( Halley )as the $reatest astro!o'er a!# o!e of the
lea#i!$ sie!tifi 'i!#s of the a$e& )ho ha# publishe# the first 'o#er! 'a$!eti hart i!
>erator's pro.etio!& base# o! his o)! patie!t obser%atio!s, but his )il# speulatio!s
i!#iate that the ele'e!t of the fa!tasti )as fir'ly e'be##e# i! the o!ept of 'a$!etis'
"" as it still is i! our #ay( Chil#re! are still fasi!ate# by o'passes a!# 'a$!ets& $o%er!e#
by a fore 'ore 'ysterious tha! $ra%ity "" beause the latter is take! for $ra!te# fro'
earliest e-perie!e )hereas 'a$!etis' a!!ot be se!se#& a!# !ot o!ly attrats but also
repels( No )o!#er that this u!i/ue phe!o'e!o!& )hile o!si#ere# i! isolatio!& ha# le#
those )ho stu#ie# it rou!# i! irles i! a bloke# 'atri-(
*ut althou$h& for !early t)o e!turies& the stu#y of 'a$!etis' 'a#e !o pro$ress& ;ilbert's
)ork ha# a fertile i!flue!e o! other bra!hes of sie!e( The loa#sto!e bea'e the
arhetype of atio!"at"a"#ista!e& a!# pa%e# the )ay for the reo$!itio! of u!i%ersal
$ra%ity( :ithout the #e'o!strable phe!o'e!a of 'a$!eti attratio!& people )oul# ha%e
bee! e%e! 'ore reluta!t to e-ha!$e the tra#itio!al %ie) that hea%y bo#ies te!#e# to)ar#s
the e!tre of the u!i%erse& for the i'plausible su$$estio! that all hea%e!ly a!# earthly
bo#ies )ere tu$$i!$ at eah other ')ith $hostly fi!$ers' aross e'pty spae( E%e! the 'a$i
properties attribute# to 'a$!etis'& a!# the %ery a'bi$uity of its o!ept& pro%e# to be
u!e-pete#ly sti'ulati!$ to the tortuous li!e of a#%a!e )hih le# %ia >es'eris' a!#
hyp!osis to o!te'porary for's of psyhiatry(
The !e-t tur!i!$ poi!t is Coulo'b's #iso%ery& i! 4OFI& that the i!%erse s/uare la) applie#
to 'a$!etis' too& as it applie# to $ra%ity( It 'ust ha%e looke# at the ti'e as if these t)o
ki!#s of atio!"at"a"#ista!e )oul# soo! tur! out to be base# o! the sa'e pri!iple "" as
Kepler a!# <esartes thou$ht they )ere, as if a $reat 'er$er ofsie!es )ere i! the offi!$(
*ut that sy!thesis is still a 'atter of the future, i!stea# of 'er$i!$ )ith $ra%ity& 'a$!etis'
e!tere# i!to a 'uh less ob%ious u!io! )ith eletriity(
The first 'e!tio! of eletriity o! reor# ours i! the fra$'e!ts of the History of Physics
by Theophrastus& the suessor of Aristotle at the hea# of the Athe!ea! =yeu'( He
i!!oe!tly re'arks that )he! a'ber is rubbe# it a/uires the urious %irtue of attrati!$
fli'sy ob.ets( The ;reek )or# for a'ber is elektron( Althou$h the ;reeks )ere !ot
i!tereste# i! the elektro!'s %irtues& NFore%er A'berN )oul# be a! appropriate 'otto for
'o#er! sie!e(
For t)o thousa!# years little 'ore is hear# of eletriity& u!til )e a$ai! o'e to <r(
;ilbert& )ho #e'o!strate# that the peuliar properties of a'ber )ere share# by $lass&
sulphur& rystals& resi!& a!# a !u'ber of other substa!es& )hih he aor#i!$ly alle#
'eletris'( To aou!t for eletri attratio! he reate# the o!ept of a! eletri efflu%iu'&
as #isti!t fro' the 'a$!eti efflu%iu' "" but )ith a! e/ually lasti!$ i!flue!e o! further
#e%elop'e!ts(
<uri!$ the !e-t e!tury& a#%a!e a$ai! )as slo)( >e'bers of the Italia! Aa#e'ia #el
Ci'e!to 1a short"li%e# foreru!!er of the Royal Soiety2 o!ti!ue# ;ilbert's e-peri'e!ts&
a!# a##e# a fe) obser%atio!s to the'( The 'ai! e%e!ts of the e!tury )ere the #iso%ery
of eletri repulsio! a!# the o!strutio!& by ;uerike& of the first 'ahi!e for the
o!ti!uous pro#utio! of eletriity( The 'ahi!e o!siste# of a sulphur ball& the si+e of a
hil#'s hea#& )hih )as rotate# o! a! a-le )hile the e-peri'e!ter's ha!# )as presse#
a$ai!st its surfae& thus $e!erati!$ a fritio!al har$e( ;uerike also #iso%ere#& a!#
#esribe#& the phe!o'e!a of eletrial o!#utio! a!# i!#utio! "" but !obo#y pai# a!y
atte!tio! to the'& a!# they ha# to be re#iso%ere# i! the !e-t e!tury( This illustratio! of
#iso!ti!uity i! pro$ress )as follo)e#& al'ost i''e#iately& by yet a!other o!e( I! the first
years of the ei$htee!th e!tury a! E!$lish'a!& Ha)kesbee& i!%e!te# a !e) 'ahi!e to
pro#ue eletriity by replai!$ ;uerike's sulphur sphere )ith o!e of $lass "" )hih )as a
%ast i'pro%e'e!t& but a$ai! passe# u!!otie#( The $lass"fritio! 'ahi!e )as re"i!%e!te#
a!# i'pro%e# i! the 4O6Cs, the sphere )as replae# by a yli!#er& pa#s )ere use# i!stea#
of the ha!#& a!# the 'ahi!e )as e/uippe# )ith i!sulate# )ire o!#utors "" the
o!#uti%ity of 'etal ha%i!$ bee! 'ea!)hile #iso%ere# by ;ray a!# <u Fay& )ho also
'a#e the basi #isti!tio! bet)ee! o!#utors a!# i!sulators(
The fat that the eletri %irtue pro#ue# by this 'ahi!e oul# be arrie# by )ires o%er
#ista!es of hu!#re#s of feet le# to the o!ept of a flo) or current "" the eletri efflu%iu'
)as !o) re$ar#e# as a ki!# of li/ui#& or li/ui# fire& flo)i!$ throu$h the )ire( *ut the
phe!o'e!a of eletri repulsio! le# <u Fay to assu'e t)o ki!#s of eletrio flui# "" like
ki!#s repelli!$& u!like ki!#s attrati!$ eah other& o! the a!alo$y of 'a$!eti poles(
*e!.a'i! Fra!kli! #i# !ot like the i#ea of t)o flui#s, he belie%e# that the polarity oul# be
e-plai!e# by a surplus or a #efiie!y of a si!$le flui#& #esi$!ate# by a plus a!# a 'i!us
si$! "" a rather u!happy su$$estio! )hih& to this #ay& is apt to o!fuse the 'i!#s of
hopeful stu#e!ts( A further o'pliatio! arose fro' the fat that )hile the eletri flui# )as
#e'o!strably u!able to flo) aross i!sulati!$ substa!es suh as $lass or air& it
!e%ertheless i!#ue# eletri har$es o! the other si#e of the i!sulator, so o!e !o) ha# to
assu'e that there )ere t)o ki!#s of eletriity0 the first a flui# ru!!i!$ throu$h a )ire& the
seo!# a! etheri efflu%iu' ati!$ at a #ista!e(
Thus by the 'i##le of the ei$htee!th e!tury the )hole sie!e )as i! a state of o!fuse#
a!# reati%e a!arhy "" as os'olo$y a!# 'eha!is ha# bee! a hu!#re# years earlier&
before Ne)to!( ':e a!!ot follo) the t)ists of theory i! the 'i!#s of these 'e!'& Ple#$e
)rote about Fra!kli! a!# his o!te'oraries 768, yet they )e!t happily ahea#& theori+i!$ i!
#irty kithe!s a!# e-peri'e!ti!$ )ith kites& li$ht!i!$ ro#s& lu'i!ous #ishar$es i! %auu'
tubes& #eto!ati!$ i!fla''able spirits& eletrouti!$ bir#s& 'ie& a!# oasio!ally
the'sel%es( I ha%e 'e!tio!e# before 1p( 9C62 the se!satio! reate# by the #iso%ery of the
o!#e!ser i! the shape of the =ey#e! ?ar "" #ue to ai#e!tal shok, a fe) years later& the
e-pressio! 'a! eletrifyi!$ effet' ha# alrea#y $o!e i!to 'etaphorial use( Aor#i!$ to the
NO-for# <itio!aryN& ar'ies )ere the first to be 'eletrifie#' "" by oura$e 1*urke2, theatre
au#ie!es a'e !e-t 1E'erso!2( Typial of the happy o!fusio! )as ;ray's theory& )hih
he o!fi!e# to the seretary of the Royal Soiety o! the #ay before his #eath& that the
pla!ets )ere 'o%e# rou!# the su! by a si'ple eletri fore( To #e'o!strate this& a s'all
pe!#ulu' )ei$ht )as hel# o! a stri!$ o%er a! eletrially har$e# $lobe& a!# loG the )ei$ht
be$a! to #esribe irles a!# ellipses rou!# the $lobe& al)ays i! the orret #iretio! fro'
)est to east "" #ue& of ourse& as )as later pro%e#& to s'all u!o!sious .erks )hih the
e-peri'e!ter i'parte# to the stri!$(
The first i!#iret i!ti'atio! of the shape of thi!$s to o'e )as the #e'o!stratio! 1arou!#
4OFC2 by Ca%e!#ish a!# Coulo'b that the atio!"at"a"#ista!e type of eletriity 1i(e( the
eletrostati fiel#2 )as $o%er!e# by the sa'e i!%erse s/uare la) as 'a$!etis' a!# $ra%ity(
Thus 'athe'atis e!tere# i!to the stu#y of eletriity a!# 'a$!etis'& althou$h their
physial !ature )as a!ybo#y's $uess( The 'athe'atial tools )ere rea#y& i! the shape of
#iffere!tial e/uatio!s )hih Fre!h 'athe'atiia!s of the ei$htee!th e!tury "" =a$ra!$e&
=aplae& =e$e!#re "" ha# )orke# out for $ra%ity a!# 'eha!is, the! Poisso! lifte# the
basi e/uatio!s of the $ra%itatio!al pote!tial out of their ori$i!al fra'e of refere!e& a!#
applie# the' first to the eletrostati& the! to the 'a$!eti fiel#( He )as able to i'port
these rules of the $a'e fro' a forei$! playi!$"fiel# by the bol# 'o%e of substituti!$
'eletri har$e' a!# ''a$!eti pole stre!$th' for '$ra%itatio!al 'ass' i! the e/uatio! "" a!# it
)orke#( Ne)to!'s i!%erse s/uare la)& =a$ra!$e's a!# Poisso!'s e/uatio!s& )ere a'o!$ the
first striki!$ i!sta!es re%eali!$ the u!ity of 'athe'atial la)s u!#erlyi!$ the #i%ersity of
phe!o'e!a(
I! the 'ea!ti'e& =ui$i ;al%a!i& Professor of A!ato'y at the U!i%ersity of *olo$!a& ha#
spe!t so'e fiftee! years )orki!$ o! a theory of 'a!i'al eletriity'( O! Septe'ber 9Cth&
4OF@& he reor#e# o!e of his e-peri'e!ts& )hih )as to 'ake history( He attahe# a !er%e"
'usle preparatio! of a #issete# fro$ to a opper hook a!# hu!$ the hook o! a! iro!
raili!$( :he!e%er o!e of the fro$'s le$s touhe# the iro!& it .erke# a)ay a!# o!trate#
%iole!tly( No) it )as alrea#y k!o)! that eletri #ishar$es fro' =ey#e! ?ars or li$ht!i!$
ro#s ause# 'usles to o!trat, but si!e the iro! raili!$ oul# !ot be a soure of
eletriity& ;al%a!i #re) the lo$ial o!lusio! that the eletriity )hih ause# the
o!tratio! )as $e!erate# i! the 'usle itself u!#er the sti'ulus of the 'etalli o!tat(
=ike so 'a!y !eat a!# lo$ial #e#utio!s it happe!e# to be )ro!$, but it )as a! error
)hih pro%e# to be as i''e!sely fruitful as Colu'bus' or Kepler's errors( The 'usle
o!%ulsio! ha# i!#ee# bee! a! eletrial phe!o'e!o!, ho)e%er& as 3olta )as soo! to
pro%e& the urre!t ha# bee! $e!erate# !ot i!si#e the 'usle but by the o!tat of the t)o
#iffere!t 'etals& opper a!# iro! "" the prototype of the 3oltai battery 1the fro$'s le$
touhi!$ the raili!$ lose# the iruit2( ;al%a!i's theory ha# bee! a )ro!$ 'o%e i! the ri$ht
#iretio!& for the e-peri'e!t #i# #e'o!strate the se!siti%ity of ertai! li%i!$ tissues to
'i!ute eletri urre!ts, after a fe) #ea#es of the usual #etours& S[''eri!$ o'pare#
!er%es to eletrial tele$raph )ires, a!# fro' the 'i##le of the !i!etee!th e!tury o!)ar#s
eletri phe!o'e!a playe# a! i!reasi!$ part i! physiolo$y& u!til fi!ally the eletro"
he'isty of li%i!$ tissues bea'e a si!$le& i!te$rate# 'atri-(
I! the #o'ai! of i!a!i'ate 'atter& the 3oltai battery& i!spire# by ;al%a!i's fro$s& le# to a
parallel sy!thesis of eletriity a!# he'istry( The battery $a%e the e-peri'e!ters for the
first ti'e a'ple supplies of eletri urre!t "" )hih !either the fritio! 'ahi!es !or the
=ey#e! ?ar ha# bee! able to #o( It tau$ht the' !ot o!ly that the he'ial i!teratio! of
'etals pro#ue# eletriity, but also that a! eletri urre!t se!t throu$h ertai! he'ials
le# to their #eo'positio!( I! 4FC@ <a%y te!tati%ely su$$este# that he'ial affi!ity ha# a!
eletrial basis( *ut !early a e!tury ha# to pass u!til& i! 4F5O& Tho'pso! #iso%ere# that a
ertai! type of eletrial #ishar$e "" the so"alle# atho#e rays "" o!siste# of partiles
s'aller tha! ato's, a!# that i! these partiles ''atter #eri%e# fro' #iffere!t soures suh as
hy#ro$e!& o-y$e!& et( "" is o!e a!# the sa'e ki!#& this 'atter bei!$ the substa!e fro'
)hih the he'ial ele'e!ts are built up'( 7I8 Tho'pso!'s 'ele'e!tary orpusles' )ere
later !a'e# 'eletro!s'(
*ut let 'e retur! for a 'o'e!t to the 3oltai battery( The abu!#a!t flo) of urre!t )hih
it pro#ue# )as so startli!$ that it )as at first #oubte# )hether this 'eletri flui#' )as the
sa'e ki!# of thi!$ )hih a'e i! sparks out of the ol#er o!traptio!s( Co'pariso! of their
effets le# to the reali+atio! that the #ishar$es of stati eletriity fro' a =ey#e! ?ar ha# a
hi$her pote!tial or te!sio!& )hereas the flo) fro' the battery ha# a lo) pote!tial but
arrie# a $reater /ua!tity of urre!t( Thus the #isti!tio! )as 'a#e bet)ee! the pote!tial
1%olta$e2& rou$hly o'parable to the $ra#ie!t of a ri%er"be#& a!# the /ua!tity of li/ui#
1a'pera$e2 that passe# throu$h it( *ut o!ly fifty years later #i# Fara#ay reali+e that the
spark fro' a =ey#e! ?ar oul# be re$ar#e# as a short"li%e# urre!t, the! a'e >a-)ell&
)ho treate# urre!ts as 'o%i!$ har$es& thus fi!ally u!ifyi!$ the t)o ki!#s of eletriity0
'fritio!al' a!# '3oltai'(
I! the 'ea!ti'e& ho)e%er& that other $ra!# sy!thesis $ot u!#er)ay0 the u!ifiatio! of
eletriity a!# 'a$!etis'( There )ere se%eral steps( The first li!k )as establishe# i! 4F9C
by the obser%atio! of Ha!s Christia! Oerste# i! Cope!ha$e! that if a! eletri urre!t
flo)e# throu$h a )ire i! the %ii!ity of a 'a$!eti o'pass& the !ee#le )as #eflete# a!#
tur!e# i!to a positio! at ri$ht a!$les to the )ire( The !e)s reate# a! i''e#iate se!satio!
i! Paris& )here A'pXre's e-itable brai! $a%e off a spark bi$$er tha! a!y =ey#e! ?ar0 he
reali+e# i! a si!$le flash that if a! eletri urre!t pro#ue# a 'a$!eti fiel#& as the reatio!
of the !ee#le i!#iate#& the! all 'a$!eti fiel#s 'ay be #ue to eletri urre!ts "" that
'a$!etis' )as a by"pro#ut of eletriity( He let a urre!t ru! throu$h a spiral oil i!si#e
of )hih he plae# a steel !ee#le0 it bea'e 'a$!eti+e#& a!# the first eletro"'a$!et )as
bor!(D
*ut ho)& the!& )as the '!atural 'a$!etis'' of loa#sto!es to be e-plai!e#& )hih ha# !o
urre!ts ru!!i!$ arou!# the'E A'pXre's a!s)er )as that 'i!ute urre!ts )ere irulati!$
i! oils i!si#e the ato's of the loa#sto!e( These sub"ato'i urre!ts pro#ue# 'a$!eti
fiel#s& )hih te!#e# to ali$! the'sel%es )ith the 'a$!eti fiel# of the bi$$est loa#sto!e&
the earth( The theory at the sa'e ti'e #ispe!se# )ith the !eessity of e-plai!i!$
'a$!etis' by the physial atio! of poles, it )as perhaps the bol#est a!# 'ost surprisi!$
i#ea i! this )hole #e%elop'e!t( U!fortu!ately& A'pXre's o!te'poraries )ere !ot 'ripe' for
it( To /uote <( =( :ebster0
Sie!tists shoul# ha%e reate# to this surprise better tha! they #i# "" but sie!tists are
hu'a!( The philosophial pri!iple of parsi'o!y i! hypotheses shoul# ha%e bee! their
$ui#e( I!stea# their $ui#e see's to ha%e bee! habit( Parsi'o!y )oul# ha%e #itate# as
follo)s0 4( :hate%er )e belie%e about 'a$!ets& )e 'ust reo$!i+e urre!ts i! )ires as
urre!ts( 9( The pole theory of 'a$!ets re/uires us to belie%e i! t)o types of fiel#
pro#uers& poles a!# urre!ts& )hereas A'pXre's theory re/uires o!ly urre!ts( A( The pole
theory re/uires t)o %ery #iffere!t sets of la)s for 'a$!eti fiel#s& o!e for fiel#s #ue to
poles a!# the other for fiel#s #ue to urre!ts& )hereas A'pXre's theory re/uires o!ly o!e set
of la)s( 6( Therefore& )e shall follo) A'pXre( *ut poles )ere treate# as real for !early
a!other e!tury( 7@8
Bet A'pXre's i#ea )as !e%er e!tirely for$otte!( >a-)ell o'pare# A'pXre's sub"ato'i
oils to 'i!iature spi!!i!$"tops )hih al)ays te!# to preser%e the #iretio! of their a-es,
he trie# to 'a$!eti+e a piee of iro! by rotati!$ it fast( I! 454A& )he! Niels *ohr i!%e!te#
his 'o#el of the ato' as a 'i!iature solar syste'& it )as thou$ht that the orbital 'otio!s of
the eletro!s rou!# the !uleus pro%i#e# the A'pXrea! iruits( This tur!e# out to be part
of the truth, but the pri!ipal soure of 'a$!etis' )as fou!# to be& e%e! 'ore surprisi!$ly&
a spi!!i!$ 'otio! of the eletro!s rou!# their o)! a-es( A! eletro!& of ourse& a! har#ly
be sai# to ha%e a! a-is si!e it is !o) re$ar#e# as so'ethi!$ i! the !ature of a blur, but
'athe'atially the 'o#el )orke#& a!# that is all o!e a! ask for i! the prese!t state of
physis( A e!tury after Oerste#& 'a$!etis' a!# eletriity )ere fi!ally re#ue# to a
o''o! soure(
*ut I ha%e bee! a!tiipati!$ the happy e!#( The !e-t sta$e& after A'pXre ha# sho)! that
a! eletri urre!t )ill pro#ue a 'a$!eti fiel#& )as the #iso%ery by Fara#ay 1i! 4FA42
that 'a$!etis' oul# be '#iretly o!%erte# i!to eletriity' by 'o%i!$ 'a$!et a!#
o!#uti!$ oil relati%e to eah other(D This le# to the i!%e!tio! of the #y!a'o& a!# later of
the eletri 'otor, but )e are o!er!e# )ith theory& !ot )ith the ubi/uitous appliatio!s of
eletri e!er$y(
Fara#ay& as )e k!o)& )as a %isuali+er& )ho sa) the u!i%erse patter!e# by li!es of fore ""
like the fa'iliar #ia$ra's of iro! fili!$s $roupe# rou!# a 'a$!et( ?a'es Clark >a-)ell&
)ho i!au$urate# the post"Ne)to!ia! a$e i! physis& )as a super"%isuali+er( He took
Fara#ay's i'a$i!ary li!es of fore a!# put the' i!to i'a$i!ary tubes arryi!$ a flui#, the!
he abolishe# the spaes bet)ee! the tubes so that they bea'e ''ere surfaes& #ireti!$ the
'otio! of a flui# filli!$ up all spae' "" the ether( Ne-t& he applie# to this 'o#el the rules of
a $a'e )hih bore !o relatio! at all to eletro"'a$!etis' "" hy#ro"#y!a'is& )ith its
%orties a!# e##ies a!# ha!$i!$ pressures(DD O!e o!lusio! )hih e'er$e# fro' this
i'a$i!ary operatio! )as that all ha!$es i! eletri a!# 'a$!eti fore 1for i!sta!e& those
ause# by a! osillati!$ iruit2 se!t )a%es sprea#i!$ throu$h spae, a!# that these )a%es
ha# the sa'e tra!s%erse harater& a!# the sa'e spee#& as li$ht( ':e a! sarely a%oi# the
i!fere!e'& he )rote i! a 'o!u'e!tal se!te!e& 'that li$ht o!sists i! the tra!s%erse
u!#ulatio!s of the sa'e 'e#iu' )hih is the ause of eletri a!# 'a$!eti phe!o'e!a('
Thus after eletriity a!# 'a$!etis' ha# bee! u!ite#& both )ere !o) u!ite# to li$ht(
Eletro"'a$!eti ra#iatio!s a'e to be re$ar#e# as rapi# alter!atio!s of eletrial a!#
'a$!eti stresses i! spae& )here eah ha!$e i! the eletri stress $i%es rise to a 'a$!eti
stress& )hih a$ai! $i%es rise to a! eletri stress a!# so o!( Soo! the ra!$e of these
ra#iatio!s )as sho)! to o'prise !ot o!ly the %isible spetru' bet)ee! the ultra"%iolet
a!# the i!fra"re# of ra#ia!t heat& but to e-te!# to the ultra"short $a''a rays of
ra#ioati%ity& a!# to the kilo'etre"lo!$ )a%es use# i! ra#io"o''u!iatio!(
Perhaps the 'ost fasi!ati!$ aspet of >a-)ell's $e!ius is that as soo! as he ha# )orke#
out the 'athe'atial for'ulatio! of his theory& he #isar#e# the 'o#el by 'ea!s of )hih
he ha# reahe# it( It )as as if a 'a!& after li'bi!$ a la##er to $et a free %ie) o%er his
surrou!#i!$s& ha# kike# out the la##er fro' u!#er hi'& a!# re'ai!e# freely suspe!#e# i!
the air( ;o!e )ere the tubes& the %orties& the ether, all that re'ai!e# )ere 'fiel#s' of a!
abstrat& !o!"substa!tial !ature& a!# the 'athe'atial for'alis' )hih #esribe# the
propa$atio! of real )a%es i! a! appare!tly !o!"e-iste!t 'e#iu'( It )as the $reat tur!i!$
poi!t i! physial sie!e& )he! the aspiratio! to arri%e at i!telli$ible& 'eha!ial 'o#els
)as aba!#o!e#( This re!u!iatio!& bor! of !eessity& soo! har#e!e# i!to #o$'a "" a seular
%ersio! of the Co''a!#'e!t 'Thou shalt !ot 'ake u!to thee a!y $ra%e! i'a$e' "" of $o#s
or ato's(D
The tra!sitio! fro' 'o#el"'aki!$ to 'athe'atial abstratio! is striki!$ly illustrate# by
the fat that >a-)ell hi'self left it to others 1to Hei!rih Ru#olph Her+& as it a'e to pass2
to $i%e e'pirial proof of his eletro"'a$!eti )a%es( As Cro)ther )rote0
The ;e!eral E/uatio!s of the Eletro"'a$!eti Fiel# )ere 'ore real to hi' tha! 'aterial
phe!o'e!a he oul# k!o) i! the laboratory( Physiists ha%e ofte! )o!#ere# )hy >a-)ell
'a#e !o atte'pt to pro%e e-peri'e!tally the e-iste!e of eletro"'a$!eti )a%es( He
probably felt he )as better a/uai!te# )ith the )a%es throu$h the 'e#iu' of the ;e!eral
E/uatio!s& a!# )oul# '!ot ha%e k!o)! the' a!y better& perhaps !ot so )ell&' if he ha# 'et
the' i! the laboratory( 7O8
Bet e%e! >a-)ell ha# his bli!# spots( The eletro! as a basi& /uasi"ato'i u!it of
eletriity )as learly i'plie# i! his 'o#el of ether"%orties& a!# i! his theory of
eletrolysis( Bet he re.ete# the o!ept of 'partiles' of eletriity as Fara#ay before ha#
re.ete# it( Thus& as alrea#y 'e!tio!e#& it )as left& to ?( ?( Tho'pso! to take the !e-t
#eisi%e step0 the i#e!tifiatio! of the eletro! as a! ele'e!tary u!it of eletriity& a!# at
the sa'e ti'e a! ele'e!tary partile of 'atter( So'e fiftee! years later Rutherfor#
#iso%ere# that the ato' ha# a positi%ely har$e# !uleus, >oseley #iso%ere# that the
!u'ber of eletro!s i! a! ato' #eter'i!e# its plae i! the perio#i syste', a!# *ohr 'a#e
his fa'ous 'o#el of eletro!s irli!$ rou!# the !uleus like pla!ets rou!# the su!( >atter
a!# eletriity ha# 'er$e# i!to a si!$le 'atri-(
:e ha%e follo)e#& thou$h o!ly i! the sa!test outli!e& the suessi%e o!flue!es i!to a
%ast ri%er"#elta& of eletriity& 'a$!etis'& li$ht& heat& a!# other eletro"'a$!eti ra#iatio!s,
of he'istry& biohe'istry& a!# ato'i physis( This #e%elop'e!t )as& as )e ha%e see! 1p(
99F2& ao'pa!ie# by the reali+atio! that the %arious 'po)ers of !ature' )ere 'erely
#iffere!t for's of e!er$y( I! earlier #ays& a!# )ell i!to the !i!etee!th e!tury& eah of these
'po)ers' )ere thou$ht to be o!tai!e# i! a 'aterial subsu!e& a subtle flui# or %apour or
efflu%iu'0 heat i! the phlo$isto!, or$a!i e!er$y i! the '%ital flui#', $ra%ity i! the ether,
eletriity a!# 'a$!etis' i! their separate efflu%ia( The )or# 'e!er$y' fro' the ;reek
energos 1)ork2 )as for the first ti'e use# by Tho'as Bou!$ i! 4FCO to #esi$!ate ki!eti
e!er$y o!ly( *ut by that ti'e Ru'for# ha# alrea#y sho)! by a! i!$e!ious e-peri'e!t that
'eha!ial e!er$y oul# be o!%erte# i!to heat0 he 'a#e a blu!t bori!$ 'ahi!e& #ri%e! by
horses& )ork a$ai!st a 'etal yli!#er u!#er)ater& a!# #e'o!strate# that the heat thus
pro#ue# atually brou$ht the )ater to the boil( *y the 'i##le of the e!tury it bea'e
e%i#e!t that the po)ers of !ature )ere o!%ertible0 'eha!ial 'otio! i!to heat& heat i!to
'otio!& 'otio! i!to eletriity& eletriity i!to 'a$!etis'& a!# so forth( Thus o!e by o!e
the %arious 'subtle flui#s' #roppe# out of the $a'e& a!# )ere replae# by e/uatio!s
#eter'i!i!$ the e-ha!$e rates& as it )ere& for the o!%ersio! of o!e ki!# of e!er$y"
urre!y i!to a!other( =astly& Ei!stei! a!# his suessors tau$ht us that 'ass a!# e!er$y&
partile a!# )a%e& are 'erely t)o aspets of o!e a!# the sa'e basi proess( O!ly i! o!e
respet ha%e they faile# so far0 i! their atte'pts to li!k the $ra%itatio!al fiel# a!# the
eletro"'a$!eti fiel# i! a si!$le syste' of e/uatio!s& a u!ifie# fiel# theory(


NOTES

To p( @@9( The '#ip'& or 'a$!eti i!li!atio! see's to ha%e bee! #iso%ere# i!#epe!#e!tly
by ;eor$ Hart'a!!& a ;er'a! ler$y'a!& i! 4I66& a!# by Robert Nor'a!& a o'pass"
'aker fro' :appi!$( Nor'a! a!# >erator also a!tiipate# ;ilbert by plai!$ the soure
of 'a$!eti attratio! i! the earth(

To p( @@F( The e-peri'e!t )as atually su$$este# to A'pXre by Ara$o(

To p( @OC( Fara#ay's ori$i!al for'ulatio! )as i!#ee# e!tirely relati%isti( Aor#i!$ to
Ne)to!ia! 'eha!is& ho)e%er& it #i# 'ake a #iffere!e )hether the )ire )as 'o%e# or
the 'a$!et( This para#o-ial asy''etry )as o!e of the pi!ipal o!si#eratio!s )hih le#
Ei!stei! to the theory of speial relati%ity 1f( Pol\!yi& 45IO& pp( 4C"442(

To p( @OC( 3orties ha# alrea#y appeare# i! Kepler's a!# <esartes' e-pla!atio!s, a!#
Hel'hol+& too& ha# o'pare# the #y!a'is of flui#s )ith eletri urre!ts a!# 'a$!eti
fiel#s, but >a-)ell's eletro"hy#ro"#y!a'is )ere of a! i!o'parably 'ore refi!e# or#er(


To p( @O4( >a-)ell hi'self )as less #o$'ati about it( 'For the sake of perso!s of
#iffere!t types of 'i!#& sie!tifi truth shoul# be prese!te# i! #iffere!t for's a!# shoul# be
re$ar#e# as e/ually sie!tifi )hether it appears i! the robust for' a!# %i%i# olouti!$ of a
physial illustratio! or i! the te!uity a!# pale!ess of a sy'bolial e-pressio!('




APPEN<IH II0
SO>E FEATURES OF ;ENIUS
4( THE SENSE OF :ON<ER
I! o!e of his essays "" NThe Cutti!$ of a! A$ateN "" :illia' *utler Beats %oie# o!e of the
silliest popular fallaies of our ti'es0
Those lear!e# 'e! )ho are a terror to hil#re! a!# a! i$!o'i!ious si$ht i! lo%ers' eyes& all
those butts of a tra#itio!al hu'our )here there is so'ethi!$ of the )is#o' of peasa!ts& are
'athe'atiia!s& theolo$ia!s& la)yers& 'e! of sie!e of %arious ki!#s(
The fallay o!sists i! the i#e!tifiatio! of ''e! of sie!e of %arious ki!#s' )ith the
lo)est ki!#0 the fi$ure of the u!i!spire# pe#a!t i! the )a-)orks of popular i'a$i!atio! 1p(
9I@2( O!e 'i$ht as )ell i#e!tify 'the artist' )ith the fatory"$irls )ho put i! the olour o!
'ha!#"pai!te#' sou%e!irs(

It is a fallay of relati%ely ree!t ori$i!( Tillyar# 748 a!# >ar.orie Niolso! 798 ha%e sho)!
ho) profou!#ly the Pytha$orea! re%i%al ha# i!flue!e# Shakespeare a!# tra!sfor'e# the
Eli+abetha! )orl#"piture( Perhaps the $reatest e-perie!e of >ilto!'s youth )as peeri!$
for the first ti'e throu$h a ;alilea! telesope0
*efore 7his8 eyes i! su##e! %ie) appear The serets of the hoary <eep "" a #ark Illi'itable
oea!& )ithout bou!#& :ithout #i'e!sio! ( ( (
A!# )e re'e'ber ?oh! <o!!e's e-ite'e!t ause# by Kepler's #iso%eries0
>a! hath )ea%'# out a !et& a!# this !et thro)!e Upo! the Hea%e!s& a!# !o) they are his
o)!e ( ( (
The se!se of )o!#er )as share# by 'ysti& poet& a!# sie!tist alike, their falli!$ apart
#ates o!ly fro' the e!# of the !i!etee!th e!tury( I! *ook O!e& HI& I ha%e #isusse# the
sie!tist's 'oti%atio!al #ri%e& a!# the e'otio!s to )hih it $i%es rise0 the prese!t appe!#i-
is 'ea!t to illustrate these $e!eral o!si#eratio!s by o!rete e-a'ples fro' the li%es of a
fe) outsta!#i!$ 'e!(


Aristotle o! >oti%atio!

The 'e!tal i'a$e that o!e tries to for' of a )hite"la#& sa!#alle# 'e'ber of the
Pytha$orea! *rotherhoo#& li%i!$ arou!# IAC *(C( i! Croto!& souther! Italy& is !eessarily
ha+y( *ut at least )e k!o) that the *rotherhoo# )as both a sie!tifi aa#e'y a!# a
'o!asti or#er, that its 'e'bers le# a! aseti o''u!al life )here all property )as
share#& thus a!tiipati!$ the Esse!es a!# the pri'iti%e Christia! o''u!ities( :e k!o)
that 'uh of their ti'e )as spe!t i! o!te'platio!& a!# that i!itiatio! i!to the hi$her
'ysteries of 'athe'atis& astro!o'y& a!# 'e#ii!e #epe!#e# upo! the purifiatio! of
spirit a!# bo#y& )hih the aspira!t ha# to ahie%e by absti!e!es a!# e-a'i!atio!s of
o!sie!e( Pytha$oras hi'self& like St( Fra!is& is sai# to ha%e preahe# to a!i'als, the
)hole sur%i%i!$ tra#itio! i!#iates that his #isiples& )hile e!$a$e# i! !u'ber"lore a!#
astro!o'ial alulatio!s& fir'ly belie%e# that a true sie!tist 'ust be a sai!t& a!# that the
)ish to beo'e o!e )as the 'oti%atio! of his labours(

The Hipporatis follo)e# a 'aterialist philosophy, yet that )o!#erfully preise ethial
o''a!#'e!t& the Hipporati Oath& presribe# !ot o!ly that the physiia! shoul# #o
e%erythi!$ i! his po)ers to help the sik& but also that he shoul# refrai!& i! the patie!t's
house& 'fro' a!y at of se#utio!& of 'ale or fe'ale& bo!# or free' "" a truly heroi at of
self"#e!ial( The 'oti%atio! of ;reek sie!e i! $e!eral )as su''e# up i! a passa$e by
Aristotle& fro' )hih I ha%e briefly /uote# before 1'y italis20
>e! )ere first le# to stu#y 7!atural8 philosophy& as i!#ee# they are to#ay& by )o!#er( At
first they felt )o!#er about the 'ore superfiial proble's, after)ar#s they aa%a!e#
$ra#ually by perple-i!$ the'sel%es o%er $reater #iffiulties, e($(& the beha%iour of the
'oo!& the phe!o'e!a of the su!& a!# the ori$i!atio! of the u!i%erse( No) he )ho is
perple-e# a!# )o!#ers belie%es hi'self to be i$!ora!t( He!e e%e! the lo%er of 'yths is& i!
a se!se& a philosopher& for a 'yth is a tissue of )o!#ers( Thus if they took to philosophy to
esape i$!ora!e& it is pate!t that they )ere pursui!$ sie!e for the sake of k!o)le#$e
itself& a!# !ot for utilitaria! appliatio!s( This is o!fir'e# by the ourse of historial
#e%elop'e!t itself( For !early all the re/uisites both of o'fort a!# soial refi!e'e!t ha#
bee! seure# before the /uest for this for' of e!li$hte!'e!t be$a!( So it is lear that )e #o
!ot seek it for the sake of a!y ulterior appliatio!( ?ust as )e all a 'a! free )ho e-ists for
his o)! e!#s a!# !ot for those of a!other& so it is )ith this )hih is the o!ly free 'a!'s
sie!e0 it alo!e of the sie!es e-ists for its o)! sake( 7A8
It is 'usi!$ to !ote Aristotle's belief that applie# sie!e a!# teh!olo$y ha# o'plete#
their task lo!$ before his ti'e "" as the italii+e# li!es a!# other passa$es i! his )riti!$s
learly i!#iate( His state'e!t is so'eho) biasse#& beause it #oes !ot take i!to aou!t
the utilitaria! ele'e!t i! the ori$i! of $eo'etry0 la!#"sur%eyi!$& a!# of astro!o'y0
ale!#ar"'aki!$( Ne%ertheless& his su''i!$ up of the 'oti%es )hih #ro%e the ;reek 'e!
of sie!e see's to be by a!# lar$e true( Thus Arhi'e#es& the $reatest of the'& )as
o'pelle# by !eessity to i!%e!t a )hole series of spetaular 'eha!ial #e%ies ""
i!lu#i!$ the )ater sre)& a!# so'e e!$i!es of )ar )hih brou$ht hi' all the fa'e a!#
$lory a! i!%e!tor a! #rea' of( Bet suh )as his o!te'pt for these pratial i!%e!tio!s
that he refuse# to lea%e a )ritte! reor# of the'( His passio!s )ere 'athe'atis a!# pure
sie!e, his fa'ous )or#s& '$i%e 'e but a fir' spot o! )hih to sta!# a!# I )ill 'o%e the
earth' reflet a 'etaphysial fa!tasy& !ot a! e!$i!eer's a'bitio!s( :he! Syrause fell i! 949
*(C( to the Ro'a! $e!eral >arellus& the sa$e& i! the 'i#st of the tur'oil a!# 'assare&
)as al'ly #ra)i!$ $eo'etrial fi$ures i! the sa!#, aor#i!$ to tra#itio!& his last )or#s
)ere "" after bei!$ ru! throu$h the bo#y by a Ro'a! sol#ier0 'Pray& #o !ot #isturb 'y
irles'( Aporyphal or !ot& that tra#itio! sy'boli+es the ;reek attitu#e to sie!e as a /uest
tra!se!#i!$ the 'ortal self(


The =ea#ers of the Re%olutio!

After the lo!$ #ark i!terlu#e )hih a'e to a! e!# )ith the Pytha$orea! Re!aissa!e i!
Italy arou!# A(<( 4ICC& four 'e! sta!# hi$hli$hte# o! the sta$e of history0 Coper!ius&
Tyho& ;alileo& Kepler( They )ere the pio!eers of the sie!tifi Re%olutio!& the 'e! o!
)hose shoul#ers Ne)to! stoo#0 )hat #o )e k!o) about their perso!al 'oti%es "" )hih
ulti'ately ha!$e# the fae of this pla!etE

:e k!o) least about Coper!ius 146OA"4I6A2, as a perso!& he see's to ha%e bee! a pale&
i!si$!ifia!t fi$ure& a ti'i# Ca!o! i! the ;o#"forsake! Prussia! pro%i!e of 3ar'ia, his
'ai! a'bitio!& as far as o!e a! tell& )as to be left alo!e a!# !ot to i!ur #erisio! or
#isfa%our( As a stu#e!t i! Italy& he ha# beo'e a/uai!te# )ith the Pytha$orea! i#ea of a
su! "e!tre# u!i%erse& a!# for the !e-t thirty or forty years he elaborate# his syste' i!
seret( O!ly i! the last year before his #eath& at the a$e of se%e!ty& #i# he a$ree& u!#er
pressure of his frie!#s a!# superiors& to publish it, the first pri!te# opy of his book On the
!evolutions of the Heavenly .pheres reahe# hi' o! the #ay of his #eath( It is o!e of the
#reariest a!# 'ost u!rea#able books that 'a#e history& a!# re'ai!e# pratially u!!otie#
for the !e-t fifty years& u!til Kepler took the i#ea up 1the Churh tur!e# a$ai!st it o!ly
ei$hty years after Coper!ius's #eath2(

Coper!ius )as !either a! ori$i!al !or e%e! a pro$ressi%e thi!ker, he )as& as Kepler later
re'arke#& 'i!terpreti!$ Ptole'y rather tha! !ature'( He lu!$ fa!atially to the Aristotelia!
#o$'a that all pla!ets 'ust 'o%e i! perfet irles at u!ifor' spee#s, the first i'pulse of
his lo!$ labours ori$i!ate# i! his #iso!te!t )ith the fat that i! the Ptole'ai syste' they
'o%e# i! perfet irles but !ot at u!ifor' spee#( It )as the $rie%a!e of a perfetio!ist ""
i! keepi!$ )ith his rabbe#& sereti%e& sti!$y harater 1)hih e%ery Freu#ia! )oul#
$leefully i#e!tify as the perfet 'a!al' type2( O!e he ha# take! the Ptole'ai lok)ork to
piees& he be$a! to searh for a useful hi!t ho) to put it to$ether a$ai!, he fou!# it i!
Asistarhus's helioe!tri i#ea )hih at that ti'e )as 'uh i! the air(D It )as !ot so 'uh
a !e) #eparture as a last atte'pt to path up a! out#ate# 'ahi!ery by re%ersi!$ the
arra!$e'e!t of its )heels( As a 'o#er! historia! has sai#& the fat that the earth 'o%es is
'al'ost a! i!i#e!tal 'atter i! the syste' of Coper!ius )hih& %ie)e# $eo'etrially& is
.ust the ol# Ptole'ai patter! of the skies& )ith o!e or t)o )heels i!terha!$e# a!# o!e or
t)o of the' take! out(' 768
For 'four ti'es !i!e years'& as he later o!fesse#& Coper!ius ha# )orke# i! seret o! his
book& hu$$i!$ it to his ahi!$ heart "" it )as the ti'i# Ca!o!'s o!ly refu$e fro' a life of
frustratio!s( It )as his %ersio! of the har'o!y of the spheres(
Tyho #e *rahe 14I6@"4@C42 )as a! irasible& boastful <a!ish !oble'a!& truule!t a!#
/ui-oti& bor! )ith a sil%er spoo! i! his 'outh "" to )hih a sil%er !ose )as a##e# later& for
his o)! ha# bee! slie# off i! a #uel )ith a!other !oble <a!ish youth& )ho ha# the
te'erity to lai' that he )as the better 'athe'atiia! of the t)o( <e%otio! to sie!e
oul# har#ly assu'e 'ore heroi proportio!s( *ut )ith Tyho e%erythi!$ )as o! a heroi
sale0 his fi$ure 1he kept& perhaps for the sake of o!trast& a #)arf as a ourt .ester2, his
eati!$ a!# #ri!ki!$& )hih le# to his pre'ature #eath fro' a burst bla##er "" beause& )ith
/ui-oti ourtesy& he refuse# to lea%e the #i!!er table to pass )ater 1e%e! his pet a!i'al& a
te'pera'e!tal elk& #ie# of #ri!ki!$ too 'uh beer2, his /uarrels )ith the ki!$s he
e!tertai!e#& )ith the fello) astro!o'ers )ho' he sla!#ere#& a!# )ith retai!ers )ho' he
put i! hai!s( O! a! e%e! 'ore $i$a!ti sale )ere his obser%atories a!# the i!stru'e!ts ""
the likes of )hih the )orl# ha# !e%er see! "" built o! his isla!# i! the Su!#(
At fourtee! Tyho ha# )it!esse# a partial elipse of the su!& a!# 'it struk hi' as
so'ethi!$ #i%i!e that 'e! oul# k!o) the 'otio!s of the stars so aurately that they )ere
able a lo!$ ti'e beforeha!# to pre#it their plaes a!# relati%e positio!s'( 7I8 Fro' the!
o!)ar# his ourse )as set& a!# he bea'e the 'Phoe!i- of Astro!o'y' "" a$ai!st the
resista!e of his fa'ily )ho thou$ht suh plu'a$e u!)orthy of a !oble'a!( The #eisi%e
re%elatio! for hi' )as the predictability of astro!o'ial e%e!ts "" i! o!trast to the
u!pre#itability of a hil#'s life a'o!$ the hea#stro!$ *rahes 1Tyho ha# bee! ki#!appe#
fro' his ot a!# brou$ht up by his U!le ?oer$e& a s/uire a!# a#'iral2( His passio! for
astro!o'y be$a! 'uh earlier tha! Coper!ius's a!# Kepler's& a!# took a #iretio! al'ost
opposite to theirs0 it )as !ot a passio! for theory"'aki!$ but for e-at obser%atio!( U!like
those t)o& he )as !either frustrate# !or u!happy& 'erely irritate# by the tri%iality of a
<a!ish !oble'a!'s e-iste!e a'o!$ 'horses& #o$s& a!# lu-ury'(
He took to astro!o'y !ot as a! esape or 'etaphysial lifebelt but rather as a hobby ""
)hih the! tur!e# i!to the o!ly thi!$ hel# sare# by that ;ar$a!tua! heathe!(
D D D
'Bou a!!ot help it& Si$!or Sarsi& that it )as $ra!te# to 'e alo!e to #iso%er all the !e)
phe!o'e!a i! the sky a!# !othi!$ to a!ybo#y else(' 7@8 The 'ost o!spiuous feature i! the
harater of ;alileo 14I@6"4@692 a!# the ause of his tra$i #o)!fall )as %a!ity "" !ot the
boisterous a!# !aQ%e %a!ity of Tyho& but a hyperse!siti%ity to ritiis' o'bi!e# )ith
sarasti o!te'pt for others0 a fatal ble!# of $e!ius plus arro$a!e 'i!us hu'ility( There
see's to be !ot a trae here of 'ystiis'& of 'oea!i feeli!$', i! o!trast to Coper!ius&
Tyho& a!# Kepler& e%e! to Ne)to! a!# <esartes )ho a'e after hi'& ;alileo is )holly
a!# fri$hte!i!$ly 'o#er! i! his o!siste!tly 'eha!isti philosophy( He!e his
o!te'ptuous #is'issal i! a si!$le se!te!e of Kepler's e-pla!atio! of the ti#es by the
'oo!'s attratio!0 'He 7Kepler8 has le!t his ear a!# his asse!t to the 'oo!'s #o'i!io! o%er
the )aters& to oult properties a!# suh like Nfa!iulle++eN(' 7O8 The oult little fa!y he is
#eri#i!$ is Kepler's a!tiipatio! of Ne)to!ia! $ra%ity(
:here& the!& i! ;alileo's perso!ality is the subli'e bala!e bet)ee! self"asserti!$ a!#
self"tra!se!#i!$ 'oti%es )hih I su$$este# as the true sie!tist's hall'arkE I belie%e it to
be easily #e'o!strable i! his )riti!$s o! those sub.ets o! )hih his true $reat!ess rests0
the first #iso%eries )ith the telesope& the fou!#atio!s of 'eha!is& a!# of a truly
e-peri'e!tal sie!e( :here that bala!e is abse!t "" #uri!$ the tra$i years 4@4A"AA& fille#
)ith poiso!ous pole'is& spurious priority lai's& a!# i'passio!e# propa$a!#a for a
'islea#i!$ly o%ersi'plifie# Coper!ia! syste' "" i! that sa# 'i##le perio# of his life
;alileo 'a#e !o si$!ifia!t o!tributio! either to astro!o'y or to 'eha!is( O!e 'i$ht
e%e! say that he te'porarily ease# to be a sie!tist "" preisely beause he )as e!tirely
#o'i!ate# by self"asserti!$ 'oti%es( The opposite ki!# of i'bala!e is !otieable i!
Kepler's perio#s of #epressio!& )he! he e!tirely lost hi'self i! 'ysti speulatio!&
astrolo$y& a!# !u'ber"lore( I! both these #ia'etrially oppose# haraters& u!subli'ate#
resi#ues of opposite ki!# te'porarily #o'i!ate# the fiel#& upsetti!$ the e/uilibriu' a!#
lea#i!$ to sie!tifi sterility(
*ut i! the bala!e# perio#s of ;alileo& the ei$htee! happy years i! Pa#ua i! )hih 'ost of
his epoh"'aki!$ #iso%eries i! the stu#y of 'otio! )ere 'a#e& a!# i! the last years of
resi$!atio!& )he! he o'plete# a!# re%ise# the N<ialo$ue Co!er!i!$ T)o Ne) Sie!esN
"" i! these reati%e perio#s )e see' to be #eali!$ )ith a #iffere!t ki!# of perso!& patie!tly
a!# pai!staki!$ly e-peri'e!ti!$ a!# theori+i!$ o! the 'otio!s of the pe!#ulu', o! the
free fall a!# #ese!t alo!$ a! i!li!e# pla!e of hea%y bo#ies, o! the fli$ht of pro.etiles,
the elastiity& ohesio!& a!# resista!e of soli# bo#ies& a!# the effets of perussio! o!
the', o! the buoya!y of 'thi!$s )hih float o! the )ater'& a!# a hu!#re# relate# 'atters(
Here )e ha%e a 'a! absorbe# i! sub.ets 'uh less spetaular a!# o!#ui%e to fa'e tha!
the )o!#ers of the >ilky :ay a!# the ar$u'e!ts about the earth's 'otio! "" yet #eli$hti!$
i! his #iso%eries& of )hih o!ly a selet fe) frie!#s a!# orrespo!#e!ts )ere i!for'e#,
#eli$hti!$ i! #iso%ery for #iso%ery's sake& i! u!ra%elli!$ the la)s of or#er hi##e! i! the
pu++li!$ #i%ersity of phe!o'e!a(
That or#er )as for ;alileo& as it )as for Kepler& a 'athe'atial or#er0 'The book of !ature
is )ritte! i! the 'athe'atial la!$ua$e( :ithout its help it is i'possible to o'prehe!# a
si!$le )or# of it(' 7F8 *ut u!like Kepler a!# the Pytha$orea!s& ;alileo #i# !ot look at the
'#a!e of !u'bers' throu$h the eyes of a 'ysti( He )as i!tereste# !either i! !u'ber"lore
!or i! 'athe'atis for its o)! sake "" al'ost alo!e a'o!$ the $reat sie!tists of his perio#&
he 'a#e !o 'athe'atial #iso%eries( Jua!titati%e 'easure'e!ts a!# for'ulatio!s )ere
for ;alileo si'ply the 'ost effeti%e tools for layi!$ bare the i!here!t rationality of nature(
The belief i! this ratio!ality 1a!# i! the ratio!ality of !ature's reatio!& the hu'a! 'i!#2
)as ;alileo's reli$io! a!# spiritual sal%atio! "" thou$h he #i# !ot reali+e that it )as a
reli$io!& base# o! a! at of faith(
His re%olutio!ary 'etho#s of pro%i!$ the ratio!ality of the la)s $o%er!i!$ the u!i%erse
)as later alle# 'e-peri'e!tal philosophy' "" a!# e%e! later& by the 'uh !arro)er ter's
'e-peri'e!tal sie!e' or 'e'pirial sie!e'( It )as a fertile o'bi!atio! of e-peri'e!ti!$
a!# theori+i!$& )hih ha# bee! te!tati%ely use# by so'e of ;alileo's preursors si!e the
fourtee!th e!tury "" but it )as ;alileo )ho ele%ate# it to a 'o#er! teh!i/ue a!# a
philosophial pro$ra''e( It )as a 'o!u'e!tal bisoiatio! of the %ali# ele'e!ts i! ;reek
thou$ht tra!s'itte# by the Shool'e! 1a!# partiularly by the Oa'ists2 o! the o!e ha!#&
a!# of the e-peri'e!tal k!o)le#$e of e!$i!eers& artisa!s& a!# i!stru'e!t"'akers o! the
other( The :ialogue oncerning *wo 9ew .ciences harateristially ope!s )ith a 'ost
u!usual su$$estio! by Sal%iati 1;alileo's 'outhpiee20 that& as a philosopher& he ha# 'uh
to lear! fro' 'eha!is a!# rafts'e!(
Sal%iati0 The o!sta!t ati%ity )hih you 3e!etia!s #isplay i! your fa'ous arse!al
su$$ests to the stu#ious 'i!# a lar$e fiel# for i!%esti$atio!& espeially that part of the )ork
)hih i!%ol%es 'eha!is, for i! this #epart'e!t all types of i!stru'e!ts a!# 'ahi!es are
o!sta!tly bei!$ o!strute# by 'a!y artisa!s& a'o!$ )ho' there 'ust be so'e )ho&
partly by i!herite# e-perie!e a!# partly by their o)! obser%atio!s& ha%e beo'e hi$hly
e-pert a!# le%er i! e-pla!atio!( Sa$re#o0 Bou are /uite ri$ht( I!#ee#& I 'yself& bei!$
urious by !ature& fre/ue!tly %isit this plae for the 'ere pleasure of obser%i!$ the )ork of
those )ho& o! aou!t of their superiority o%er other artisa!s& )e all 'first"ra!k 'e!'(
Co!fere!e )ith the' has ofte! helpe# 'e i! the i!%esti$atio! of ertai! effets i!lu#i!$
!ot o!ly those )hih are striki!$& but also those )hih are reo!#ite a!# al'ost i!re#ible(
758
:e are re'i!#e# of Pytha$oras %isiti!$ the blaks'ith's shop to #iso%er the seret of
%ibrati!$ hor#s "" to lear! fro' those #ark& s)eaty& a!# i$!ora!t 'e! about the har'o!y
of the spheres( This is the poi!t )here hubris yiel#s to hu'ility, i! his best a!# happiest
'o'e!ts& ;alileo ahie%es !ot o!ly this tra!sitio!& but is also tra!sfor'e# fro' a sie!tist
i!to a poet( I! the 'i#st of his for'i#able pole'ial o!slau$ht o! the Plato!ist #ualis' of
#espair "" )hih o!traste# the perfet& i''utable& rystalli!e hea%e!s to the earthy
orruptio! of $e!eratio! a!# #eay "" his i'a$i!atio! a!# la!$ua$e su##e!ly $ro) )i!$s0
Sa$re#o0 I a!!ot )ithout $reat )o!#er& !ay 'ore& #isbelief& hear it bei!$ attribute# to
!atural bo#ies as a $reat ho!our a!# perfetio! that they are i'passible& i''utable&
i!alterable& et(0 as& o!%ersely& I hear it estee'e# a $reat i'perfetio! to be alterable&
$e!erable& 'utable& et( It is 'y opi!io! that the Earth is %ery !oble a!# a#'irable by
reaso! of the 'a!y a!# #iffere!t alteratio!s& 'utatio!s& $e!eratio!s& et(& )hih i!essa!tly
our i! it( A!# if& )ithout bei!$ sub.et to a!y alteratio!& it ha# bee! all o!e %ast heap of
sa!#& or a 'ass of .a#e& or ( ( ( a! i''e!se $lobe of rystal& )herei! !othi!$ ha# e%er
$ro)!& altere#& or ha!$e#& I shoul# ha%e estee'e# it a )rethe# lu'p of !o be!efit to the
U!i%erse& a 'ass of i#le!ess( ( ( ( :hat $reater folly a! be i'a$i!e# tha! to all $e's&
sil%er& a!# $ol# !oble a!# earth a!# soil baseE ( ( ( If there )ere as $reat a sarity of earth
as there is of.e)els a!# preious 'etals& there )oul# be !o ki!$ )ho )oul# !ot $la#ly $i%e
a heap of #ia'o!#s a!# rubies ( ( ( to purhase o!ly so 'uh earth as )oul# suffie to pla!t
a .essa'i!e i! a little pot or to set a ta!$eri!e i! it& that he 'i$ht see it sprout& $ro) up& a!#
bri!$ forth $oo#ly lea%es& fra$ra!t flo)ers& a!# #eliate fruit( ( ( ( These 'e! )ho so e-tol
i!orruptibility& i!alterability& et(& speak thus& I belie%e& out of the $reat #esire they ha%e to
li%e lo!$ a!# for fear of #eath& !ot o!si#eri!$ that& if 'e! ha# bee! i''ortal& they )oul#
!ot ha%e ha# to o'e i!to the )orl#( These people #eser%e to 'eet )ith a >e#usa's hea#
that )oul# tra!sfor' the' i!to statues of #ia'o!# a!# .a#e that so they 'i$ht beo'e
'ore perfet tha! they are( 74C8
I! a!other )ork& ;alileo )rote a har'i!$ a!# profou!# alle$ory o! the 'oti%es& 'etho#s&
a!# li'itatio!s of the 'e-peri'e!tal philosophy' )hih he ha# reate#( The )ork is Il
.aggiatore& 'The Assayer' "" )hih has o!ly ree!tly bee! tra!slate# i!to E!$lish&
presu'ably beause 'ost of it o!sists of /uerulous& sie!tifially )orthless pole'is
a$ai!st the ?esuit sholar ;rassi o! the sub.et of o'ets 1)hih ;alileo i!siste# o! treati!$
as optial illusio!s "" lar$ely beause Tyho a!# ;rassi hel# the opposite %ie)s2( Bet hi##e!
i! this !asty bu!h of !ettles are flo)ers of rare beauty0
O!e upo! a ti'e& i! a %ery lo!ely plae& there li%e# a 'a! e!#o)e# by !ature )ith
e-traor#i!ary uriosity a!# a %ery pe!etrati!$ 'i!#( For a pasti'e he raise# bir#s& )hose
so!$s he 'uh e!.oye#, a!# he obser%e# )ith $reat a#'iratio! the happy o!tri%a!e by
)hih they oul# tra!sfor' at )ill the %ery air they breathe# i!to a %ariety of s)eet so!$s(
O!e !i$ht this 'a! ha!e# to hear a #eliate so!$ lose to his house& a!# bei!$ u!able to
o!!et it )ith a!ythi!$ but so'e s'all bir# he set out to apture it( :he! he arri%e# at a
roa# he fou!# a shepher# boy )ho )as blo)i!$ i!to a ki!# of hollo) stik )hile 'o%i!$
his fi!$ers about o! the )oo#& thus #ra)i!$ fro' it a %ariety of !otes si'ilar to those of a
bir#& thou$h by a /uite #iffere!t 'etho#( Pu++le#& but i'pelle# by his !atural uriosity& he
$a%e the boy a alf i! e-ha!$e for this flute a!# retur!e# to solitu#e( *ut reali+i!$ that if
he ha# !ot ha!e# to 'eet the boy he )oul# !e%er ha%e lear!e# of the e-iste!e of a !e)
'etho# of for'i!$ 'usial !otes a!# the s)eetest so!$s& he #ei#e# to tra%el to #ista!t
plaes i! the hope of 'eeti!$ )ith so'e !e) a#%e!ture( Subse/ue!tly& the 'a! #iso%ere#
that there are 'a!y other )ays of pro#ui!$ 'usial !otes "" fro' stri!$s a!# or$a!s& to the
s)ift %ibratio!s o! the )i!$s of 'os/uitoes a!# the 's)eet a!# so!orous shrilli!$ of
rikets by s!appi!$ their )i!$s to$ether& thou$h they a!!ot fly at all'( *ut there )as a!
ulti'ate #isappoi!t'e!t )aiti!$ for hi'0 :ell& after this 'a! ha# o'e to belie%e that !o
'ore )ays of for'i!$ to!es oul# possibly e-ist ( ( ( )he!& I say& this 'a! belie%e# he ha#
see! e%erythi!$& he su##e!ly fou!# hi'self o!e 'ore plu!$e# #eeper i!to i$!ora!e a!#
baffle'e!t tha! e%er( For ha%i!$ apture# i! his ha!#s a ia#a& he faile# to #i'i!ish its
stri#e!t !oise either by losi!$ its 'outh or stoppi!$ its )i!$s& yet he oul# !ot see it 'o%e
the sales that o%ere# its bo#y& or a!y other thi!$( At last he lifte# up the ar'our of its
hest a!# there he sa) so'e thi! har# li$a'e!ts be!eath, thi!ki!$ the sou!# 'i$ht o'e
fro' their %ibratio!& he #ei#e# to break the' i! or#er to sile!e it( *ut !othi!$ happe!e#
u!til his !ee#le #ro%e too #eep& a!# tra!sfi-i!$ the reature he took a)ay its life )ith its
%oie& so that he )as still u!able to #eter'i!e )hether the so!$ ha# ori$i!ate# i! those
li$a'e!ts( A!# by this e-perie!e his k!o)le#$e )as re#ue# to #iffi#e!e& so that )he!
aske# ho) sou!#s )ere reate# he use# to a!s)er tolera!tly that althou$h he k!e) a fe)
)ays& he )as sure that 'a!y 'ore e-iste# )hih )ere !ot o!ly u!k!o)! but u!i'a$i!able(
7448
Hubris is te'porarily sub'er$e# by hu'ility( ;alileo )as the first of a rae of 'o#er!
e-peri'e!tal sie!tists o!%i!e# of the i!fallibility of their 'e-at e'pirial 'etho#s', i!
fat he reate# the type( It o'es as a surprise to hear hi' talk about thi!$s '!ot o!ly
u!k!o)! but u!i'a$i!able'( *ut this ulti'ate 'o#esty& #eri%e# fro' a se!se of )o!#er
lose to 'ystiis'& is fou!# i! all $reat sie!tists "" e%e! if hi##e! by a! arro$a!t faca#e&
a!# allo)e# to e-press itself o!ly o! rare oasio!s(
About Kepler I ha%e sai# e!ou$h& i! this book a!# else)here& to sho) that 'ystiis' )as
the 'ai!spri!$ of his fa!tastially laborious life "" starti!$ )ith the a!alo$y bet)ee! ;o#
the Father a!# the Su!& o!ti!ue# i! his lifelo!$ o!%itio! that the u!i%erse )as built
arou!# the fra'es of the fi%e Pytha$orea! soli#s& a!# that the pla!etary 'otio!s )ere
re$ulate# by the la)s of 'usial har'o!y( *ut his 'ysti o!%itio!s& a!# the #isar'i!$ly
hil#"like streak i! his harater& #i# !ot pre%e!t hi' fro' asti!$ horosopes for 'o!ey ""
ho)e%er 'uh he #espise# hi'self for it, fro' i!#ul$i!$ i! !aQ%e s!obbery& a!# /uarrelli!$
like a fish")ife )ith the o%erbeari!$ Tyho( His %a!ity ha# a per%erse t)ist0 he )as %ery
prou# of hi'self )he! his astrolo$ial foreasts of a ol# spell a!# a! i!%asio! by the
Turks a'e true, but to)ar#s his real #iso%eries he )as o'pletely i!#iffere!t& a!# he )as
asto!ishi!$ly #e%oi# of professio!al .ealousy( He !aQ%ely e-pete# the sa'e of other
astro!o'ers, a!# )he! Tyho's heirs #elaye# publiatio! of his prieless olletio! of
obser%atio!al #ata& Kepler si'ply stole the 'aterial to put it to proper use "" his ethis #i#
!ot i!lu#e respet for pri%ate property i! Ura!ia's #o'ai!s(
:he! Kepler ha# o'plete# the fou!#atio!s of 'o#er! astro!o'y by his Thir# =a)& he
uttere# a lo!$ Eureka ry0
The hea%e!ly 'otio!s are !othi!$ but a o!ti!uous so!$ for se%eral %oies 1perei%e# by
the i!tellet& !ot by the ear2, a 'usi )hih& throu$h #isor#a!t te!sio!s& throu$h si!opes
a!# a#e!+as& as it )ere 1as 'e! e'ploye# the' i! i'itatio! of those !atural #isor#s2&
pro$resses to)ar#s ertai! pre"#esi$!e#& /uasi si-"%oie# lausuras& a!# thereby sets
la!#'arks i! the i''easurable flo) of ti'e( It is& therefore& !o lo!$er surprisi!$ that 'a!&
i! i'itatio! of his reator& has at last #iso%ere# the art of fi$ure# so!$& )hih )as
u!k!o)! to the a!ie!ts( >a! )a!te# to repro#ue the o!ti!uity of os'i ti'e )ithi! a
short hour& by a! artful sy'pho!y for se%eral %oies& to obtai! a sa'ple test of the #eli$ht
of the <i%i!e Creator i! His )orks& a!# to partake of his .oy by 'aki!$ 'usi i! the
i'itatio! of ;o#( 7498
Here )e ha%e the perfet u!io! of the t)o #ri%es0 the %ai!"$lorious e$o pur$e# by os'i
a)are!ess "" ekstasis follo)e# by katharsis(
Ne)to!& >o!ster a!# Sai!t
Fro' the e!# of the se%e!tee!th e!tury o!)ar# the se!e beo'es too ro)#e# for a
syste'ati i!/uiry i!to i!#i%i#ual 'oti%atio!s, ho)e%er& I ha%e sai# e!ou$h to su$$est the
basi patter! "" a!# thou$h the harater of the ti'es ha!$e#& that patter! re'ai!e#
esse!tially the sa'e(
=ook at Ne)to!& for i!sta!e0 he has bee! i#oli+e# a!# his harater bo)#leri+e# to suh
a! e-te!t 1abo%e all i! the 3itoria! sta!#ar# bio$raphy by *re)ster2 that the phe!o'e!al
'i-ture of 'o!ster a!# sai!t out of )hih it )as o'pou!#e# )as all but lost fro' si$ht(
O! the o!e ha!# he )as #eeply reli$ious a!# belie%e# "" )ith Kepler a!# *ishop Usher ""
that the )orl# ha# bee! reate# i! 6C6 *(C(, that the o!%e!ie!t #esi$! of the solar syste'
"" for i!sta!e& all pla!etary orbits lyi!$ i! a si!$le pla!e "" )as proof of the e-iste!e of
;o#& )ho !ot o!ly reate# the u!i%erse but also kept it i! or#er by orreti!$ fro' ti'e to
ti'e the irre$ularities )hih rept i!to the hea%e!ly 'otio!s "" a!# by pre%e!ti!$ the
u!i%erse fro' ollapsi!$ alto$ether u!#er the pressure of $ra%ity( O! the other ha!#& he
ful'i!ate# at a!y ritiis' of his )ork& )hether .ustifie# or !ot& #isplaye# sy'pto's of
perseutio! 'a!ia& a!# i! his priority fi$ht )ith =eib!i+ o%er the i!%e!tio! of the alulus
he use# the perfi#ious 'ea!s of arefully #rafti!$ i! his o)! ha!# the fi!#i!$s& i! his o)!
fa%our& of the 'i'partial' o''ittee set up by the Royal soiety( To /uote >( Hoski!0
No o!e supposes that the o''ittee set up by the Royal Soiety of )hih Ne)to! ha# the!
bee! presi#e!t for se%eral years& )as i'partial( *ut )e a! o!ly reali+e the e-te!t of
Ne)to!'s share i! its o!lusio!s )he! )e e-a'i!e a 'uh"orrete# #raft su''ary of
)hat )ere to be the fi!#i!$s of the o''ittee( The #raft is )ritte! i! Ne)to!'s o)! ha!#&
a!# it is fasi!ati!$ to )ath Ne)to! #ebati!$ )ith hi'self )hether the o''ittee ou$ht to
say ':e are satisfie# that he 7Ne)to!8 ha# i!%e!te# the 'etho# of flu-io!s before' 4@@5& or
)hether it )oul# sou!# better if they sai# ':e fi!# that he i!%e!te# the 'etho# of flu-io!s
before' 4@@5, or #ei#i!$ that to say ':e are satisfie# that >r( Ne)to! )as the first author
of this 'etho#' )as too terse& a!# that se%eral 'ore li!es of e-pla!atio! ou$ht to be i!serte#
before the o!lusio! 'for )hih reaso! )e reko! >r( Ne)to! the first i!%e!tor'( 74A8
Here is petti!ess o! a heroi sale "" o'bi!e# )ith a heroi %isio! of the u!i%erse )orke#
out i! 'i!ute #etail0 i! other )or#s& the 'i-ture as before(
The >ystiis' of Fra!kli!
As )e 'o%e o! i!to the ei$htee!th e!tury the to)eri!$ $e!ius of *e!.a'i! Fra!kli!
stiks out of it like his li$ht!i!$ ro#( Pri!ter& .our!alist& pa'phleteer& politiia!& )ire"puller&
#iplo'at& a!# states'a!, pio!eer of eletriity& fou!#er of the physis of li/ui# surfaes&
#iso%erer of the properties of 'arsh $as& #esi$!er of the Nhe%au- #e friseN )hih halte#
the a#%a!e of the *ritish fleet o! the <ela)are& i!%e!tor of bifoal spetales a!# of
i'pro%e# fireplaes& a#%oate of )aterti$ht bulkhea#s o! ships a!# of hi!'ey"shafts for
the %e!tilatio! i! 'i!es "" the list oul# be o!ti!ue#( A!# yet this 'first i%ili+e# A'eria!'&
as o!e of his bio$raphers alle# hi' 7468& for all his i!o'parable larity of thou$ht a!#
lui#ity of style& ha# for'e# his 'etaphysial outlook at the a$e of si-tee! )he! he rea# a
book by Tryo!& a 'e'ber of the $roup of *ritish Pytha$orea!s( The 'e'bers of this set
)ere hiefly k!o)! for their %e$etaria!is' beause& like the a!ie!t *rotherhoo#& they
belie%e# i! the tra!s'i$ratio! of souls a!# )ishe# to a%oi# the risk of feasti!$ o! so'e
rei!ar!atio! of a hu'a! bei!$( Fra!kli! bea'e a o!%ert to %e$etaria!is' a!# belie%e#
i! tra!s'i$ratio! to the e!# of his life( At the a$e of t)e!ty"t)o he o'pose# a
Pytha$orea! epitaph for hi'self, at the a$e of ei$hty"four& the year of his #eath& he or#ere#
that it shoul# appear& u!ha!$e#& o! his to'b( It rea#s0
The *o#y Of *EN?A>IN FRANK=IN Pri!ter 1=ike the Co%er of a! Ol# *ook Its
Co!te!ts Tor! Out A!# Stript of its =etteri!$ a!# ;il#i!$2 =ies Here& Foo# for :or's( *ut
the :ork Shall Not *e =ost For It :ill 1As He *elie%e#2 Appear O!e >ore I! a Ne) a!#
>ore Ele$a!t E#itio! Re%ise# a!# Correte# *y The Author
His o!%itio! that souls are i''ortal& that they a!!ot be #estroye# a!# are 'erely
tra!sfor'e# i! their 'i$ratio!s le# hi'& by )ay of a!alo$y& to o!e of the first lear
for'ulatio!s of the la) of the o!ser%atio! of 'atter( The follo)i!$ /uotatio!s )ill 'ake
the o!!etio! lear0
The po)er of 'a! relati%e to 'atter see's li'ite# to the #i%i#i!$ it& or 'i-i!$ the %arious
ki!#s of it& or ha!$i!$ its for' a!# appeara!e by #ifferi!$ o'positio!s of it& but #oes
!ot e-te!# to the 'aki!$ or reati!$ of !e) 'aker& or a!!ihilati!$ the ol#(
This )as )ritte! )he! he )as se%e!ty"ei$ht( The follo)i!$ )as )ritte! o!e year later0
I say that )he! I see !othi!$ a!!ihilate#& a!# !ot e%e! a #rop of )ater )aste#& I a!!ot
suspet the a!!ihilatio! of souls& or belie%e that He )ill suffer the #aily )aste of 'illio!s of
'i!#s rea#y 'a#e that !o) e-ist& a!# put Hi'self to the o!ti!ual trouble of 'akl!$ !e)
o!es( Thus fi!#i!$ 'yself to e-ist i! the )orl#& I belie%e I shall, i! so'e shape or other&
al)ays e-ist(
The ar$u'e!t see's to i!#iate that )hat o!e 'i$ht all the pri!iple of the 'o!ser%atio!
of souls' )as #eri%e# fro' that of the 'o!ser%atio! of 'atter'( *ut i! fat it )as the other
)ay rou!#( As Kepler ha# tra!sfor'e# the Holy Tri!ity i!to the tri!ity of Su! "" Fore ""
Pla!ets& so i! Fra!kli!'s ase& too& a 'ystial o!%itio! $a%e birth& by a!alo$y& to a
sie!tifi theory( A!# oul# there be a 'ore har'i!$ o'bi!atio! of 'a!'s %a!ity )ith his
tra!se!#e!tal aspiratio!s tha! to pray for a ''ore ele$a!t& re%ise#& a!# orrete# e#itio!' of
o!e's prou# a!# hu'ble selfE
The Fu!#a'e!talis' of Fara#ay
The !i!etee!th"e!tury la!#sape is ro)#e# )ith $ia!ts, I shall briefly o''e!t o! four
of the'( I! the physial sie!es Fara#ay a!# >a-)ell are probably the $reatest0 Ei!stei!&
)ho ou$ht to k!o)& has put the' o! a par )ith ;alileo a!# Ne)to!, a!# Cro)ther& )ho
)rote short bio$raphies of both& 'akes the fi!e #isti!tio! of alli!$ Fara#ay 'the $reatest
physiist of the !i!etee!th e!tury' a!# >a-)ell 'the $reatest theoretial physiist of the
!i!etee!th e!tury'( To these let 'e a##& fro' the biolo$ial sie!es& <ar)i! a!# Pasteur&
to 'ake up a fourso'e(
Fara#ay& )ho' Ty!#all #esribe# as 'the $reat 'a# hil#'& )as the 'ost i!hu'a! harater
of the four0 the so! of a setaria! blaks'ith& self"tau$ht& )ith a passio!ate te'pera'e!t
)hih )as #e!ie# all hu'a! outlets e-ept reli$io! a!# sie!e( This )as probably the
ause of the protrate# episo#e of 'e!tal #isor#er& o'parable to Ne)to!'s& )hih be$a!
)he! he )as forty"!i!e( Charateristi of the oy!ess of sie!e historia!s is the
E!ylopae#ia *rita!!ia's refere!e to Fara#ay's li!ial i!sa!ity0 'I! 4F64 he fou!# that
he re/uire# rest& a!# it )as !ot till 4F6I that he e!tere# o! his seo!# $reat perio# of
researh('
At thirty& shortly after his 'arria$e "" )hih re'ai!e# hil#less "" Fara#ay .oi!e# a!
e-tre'e fu!#a'e!talist& aseti set& the 'Sa!#e'a!ia!s'& to )hih his father a!# his you!$
)ife belo!$e#& a!# )hose ser%ies he ha# atte!#e# si!e i!fa!y( The Sa!#e'a!ia!s
o!si#ere# pratially e%ery hu'a! ati%ity as a si! "" i!lu#i!$ e%e! the 3itoria! %irtue
of sa%i!$ 'o!ey, they )ashe# eah other's feet& i!ter'arrie#& a!# refuse# to proselyti+e, o!
o!e oasio! they suspe!#e# Fara#ay's 'e'bership beause he ha# to #i!e& by royal
o''a!#& )ith the Juee! at :i!#sor& a!# thus ha# to 'iss the o!$re$atio!'s Su!#ay
ser%ie( It took 'a!y years before he )as for$i%e! a!# re"elete# a! EI#er of the set(
I! his later years Fara#ay )ith#re) al'ost o'pletely fro' soial o!tats& refusi!$ e%e!
the presi#e!y of the Royal Aa#e'y beause of its too )orl#ly #ispositio!( The i!hu'a!
self"#e!ials i'pose# by his ree# 'a#e Fara#ay a!ali+e his feroious %itality i!to the
pursuit of sie!e& )hih he re$ar#e# as the o!ly other per'issible for' of #i%i!e )orship(
The >etaphysis of >a-)ell
?a'es Clerk >a-)ell )as of a! alto$ether #iffere!t& bala!e#& a!# happy #ispositio!( I!
his ase& too& reli$ious belief bea'e a spur to sie!tifi ati%ity& but i! 'ore subtle )ays(
He )as a #ouble"fae# $ia!t0 he o'plete# the lassial e#ifie of the Ne)to!ia! u!i%erse&
but he also i!au$urate# the era of )hat o!e 'i$ht all the 'surrealisti' physis of the
t)e!tieth e!tury(
As Kepler ha# e'brae# the Coper!ia! syste' 'for physial or if you prefer& 'etaphysial
reaso!s'& so >a-)ell o!fesse# that the theories of his later perio# )ere for'e# 'i! that
hi##e! a!# #i''er re$io! )here Thou$ht )e#s Fat( <oes !ot the )ay to it pass throu$h
the %ery #e! of the 'etaphysiia!& stre)e# )ith the re'ai!s of for'er e-plorers a!#
abhorre# by e%ery 'a! of sie!eE'
The 'etaphysiia! i! >a-)ell ha# by that ti'e lo!$ out$ro)! the ru#e 'aterialis' of
'i#"!i!eteeath"e!tury sie!e& a!# its e/ually ru#e for's of Christia!ity( >a-)ell's
reli$io!s beliefs )ere o!ei%e# i! sy'boli& al'ost abstrat& ter's, they o'pare# to
Fara#ay's fu!#a'e!talist ree# as his abstrat e/uatio!s of the eletro"'a$!eti fiel#
o'pare )ith the li!es of fore )hih to Fara#ay )ere 'as real as 'atter'( The o!!etio!
bet)ee! >a-)ell's reli$io!s a!# sie!tifi %ie)s is i!#ee# .ust as i!ti'ate as i! the ase of
Fra!kli! or Kepler( I ha%e 'e!tio!e# before ho)& o!e he ha# arri%e# at his t)e!ty $e!eral
e/uatio!s& >a-)ell kike# a)ay the saffol#i!$ fro' u!#er hi' "" the physial 'o#el of
%orties i! the ether "" a!# thus i!au$urate# the post"Ne)to!ia! era i! physis& )ith its
re!u!iatio! of all 'o#els a!# represe!tatio!s i! ter's of se!sory e-perie!e(
There is a harateristi passa$e i! o!e of his letters to his )ife0
'I a! al)ays ha%e you )ith 'e i! 'y 'i!# "" )hy shoul# )e !ot ha%e our =or# al)ays
before us i! our 'i!#s( ( ( ( If )e ha# see! Hi' i! the flesh )e shoul# !ot ha%e k!o)! Hi'
a!y better& perhaps !ot so )ell(' I! a!other letter to his )ife& he says that he ha# bee! re"
rea#i!$ Ephesia!s 3I( This is !ot a %ery i!spiri!$ hapter& #eali!$ )ith relatio!s bet)ee!
pare!ts a!# hil#re!& 'asters a!# ser%a!ts, yet >a-)ell o''e!ts0 'Here is 'ore about
fa'ily relatio!s( There are thi!$s )hih ha%e 'ea!i!$s so #eep that if )e follo) o! to
k!o) the' )e shall be le# i!to $reat 'ysteries of #i%i!ity( If )e re%ere!e the'& )e shall
e%e! see beyo!# their first aspet a spiritual 'ea!i!$( For ;o# speaks to us 'ore plai!ly i!
these bo!#s of our life tha! i! a!ythi!$ that )e a! u!#ersta!#('
?( ;( Cro)ther "" )ho& as a! a#here!t of the >ar-ist philosophy of history a! har#ly be
ause# of 'ysti i!li!atio!s "" re'arks o! this urious passa$e0 'Here >a-)ell aepts
'aterial relatio!ships )ith the belief that a/uai!ta!e )ith the' )ill lea# to spiritual
u!#ersta!#i!$( He proee#s fro' the o!te'platio! of 'aterial relatio!ships to spiritual
truth& fro' the 'o#el of the eletro"'a$!eti fiel# to the e/uatio!s( The i!flue!e of the
Ne) Testa'e!t is see! also i! his i!terpretatio! of self"sarifie( <uri!$ the last years of
his life& his )ife )as a! i!%ali#( He !urse# her perso!ally )ith the 'ost assi#uous are( At
o!e perio# he #i# !ot sleep i! a be# for three )eeks& thou$h he #eli%ere# his letures a!#
superi!te!#e# the laboratory as usual( The 'o#er!ity of >a-)ell's sie!e& a!# the
a!ti/uity of his soiolo$y a!# reli$io! appear i!o!$ruous( *ut it 'ay be !ote# that thou$h
his %ie)s o! soiolo$y a!# reli$io! )ere a!ti/ue& they )ere superior to those of !early all
his sie!tifi o!te'poraries( He at least thou$ht about these proble's& a!# if he )as
u!able to fi!# 'o#er! a!s)ers to the'& he lear!e# e!ou$h of the' to a%oi# the i!telletual
philisti!is' of his ti'e('
It )as the ti'e )he! *erthelot prolai'e#0 'The )orl# to#ay has !o lo!$er a!y 'ystery
for us', )he! Haekel ha# sol%e# all his "eltrtsel a!# A( R( :allae& i! his book o! *he
"onderful entury& #elare# that the !i!etee!th e!tury ha# pro#ue# 't)e!ty"four
fu!#a'e!tal a#%a!es& as a$ai!st o!ly fiftee! for all the rest of reor#e# history'( The
Philisti!es e%ery)here )ere '#i++y )ith suess' "" to /uote o!e 'ore Stali!'s fa'ous
phrase of 45A9& )he! fatories a!# po)er #a's )ere $oi!$ up at $reat spee# )hile so'e
se%e! 'illio! peasa!ts )ere #yi!$ of star%atio!( It ha# i!#ee# bee! a )o!#erful e!tury for
!atural philosophy& but at its e!# 'oral philosophy ha# reahe# o!e of its lo)est ebbs i!
history "" a!# >a-)ell )as )ell a)are of this( He )as a)are of the li'itatio!s of a ri$i#ly
#eter'i!isti outlook, it )as he )ho& i! his re%olutio!ary treat'e!t of the #y!a'is of
$ases& replae# 'eha!ial ausatio! by a statistial approah base# o! the theory of
probability "" a #eisi%e step to)ar#s /ua!tu' physis a!# the pri!iple of i!#eter'i!is'(
>oreo%er& he )as fully a)are of the far"reahi!$ i'pliatio!s of this approah& !ot o!ly for
physis but also for philosophy0 'It is probable that i'porta!t results )ill be obtai!e# by the
appliatio! of this the statistial 'etho#& )hih is as yet little k!o)! a!# is !ot fa'iliar to
our 'i!#s( If the atual history of Sie!e ha# bee! #iffere!t& a!# if the sie!tifi #otri!es
'ost fa'iliar to us ha# bee! those )hih 'ust be e-presse# i! this )ay& it is possible that
)e 'i$ht ha%e o!si#ere# the e-iste!e of a ertai! ki!# of o!ti!$e!y a self"e%i#e!t
truth& a!# treate# the #otri!e of philosophial !eessity as a 'ere sophis'(' 74I8
Alrea#y at the a$e of t)e!ty"four he ha# reali+e# the li'itatio!s of 'aterialist philosophy0
'The o!ly la)s of 'atter are those )hih our 'i!#s 'ust fabriate& a!# the o!ly la)s of
'i!# are fabriate# for it by 'atter(' 74@8 T)e!ty years later& at the hei$ht of his fa'e& he
$a%e full rei! to his hobby& satirial %erse& to ri#iule the shallo) 'aterialis' of the
Philisti!es( The oasio! )as the fa'ous presi#e!tial a##ress by ?oh! Ty!#all to the *ritish
Assoiatio! 'eeti!$ i! *elfast( Ty!#all& a $e!erous soul but a !arro)"'i!#e# philosopher&
attake# the 'theolo$ia!s' a!# e-tolle# the %irtues of the bra%e !e) 'aterialist ree#(
>a-)ell's satire is still %ali# to#ay0
I! the %ery be$i!!i!$ of sie!e& the parso!s& )ho 'a!a$e# thi!$s the!& *ei!$ ha!#y )ith
ha''er a!# hisel& 'a#e $o#s i! the like!ess of 'e!, Till Co''ere arose& a!# at le!$th
so'e 'e! of e-eptio!al po)er Suppla!te# both #e'o!s a!# $o#s by the ato's& )hih last
to this hour( Fro' !othi!$ o'es !othi!$& they tol# us& !ou$ht happe!s by ha!e but by
fate, There is !othi!$ but ato's a!# %oi#& all else is 'ere )hi's out of #ateG The! )hy
shoul# a 'a! urry fa%our )ith bei!$s )ho a!!ot e-ist& To o'pass so'e petty pro'otio!
i! !ebulous ki!$#o's of 'istE ( ( ( First& the!& let us ho!our the ato'& so li%ely& so )ise&
a!# so s'all, The ato'ists !e-t let us praise& Epiurus& =uretius& a!# all, =et us #a!' )ith
fai!t praise *ishop *utler& i! )ho' 'a!y ato's o'bi!e# To for' that re'arkable
struture& it please# hi' to all "" his 'i!#(
I! a!other poe' he )rote0
( ( ( :hile #o)! the strea' of E%olutio! :e #rift& e-peti!$ !o solutio! *ut that of the
sur%i%al of the fittest( Till& i! the t)ili$ht of the $o#s& :he! earth a!# su! are fro+e! lo#s&
:he!& all its e!er$y #e$ra#e#& >atter to aether shall ha%e fa#e#, :e& that is& all the )ork
)e'%e #o!e& As )a%es i! aether& shall for e%er ru! I! e%er")i#e!i!$ spheres throu$h
hea%e!s beyo!# the su!(
A!# thus i! the !i!etee!th e!tury's 'ost a#%a!e# sie!tifi 'i!# )e 'eet o!e a$ai!& i!
a subli'ate# a!# rarifie# for'& the a!ie!t belief i! the i!#estrutibility of the !u'i!ous(
The Atheis' of <ar)i!
<r( Robert <ar)i! )as a! atheist )ho hose for his so! Charles the areer of a ou!try
ler$y'a! "" si'ply beause this see'e# to be the 'ost $e!tle'a!ly oupatio! for a youth
so ob%iously #e%oi# of a!y partiular a'bitio! a!# i!telletual e-elle!e( Charles hi'self
fully a$ree# )ith this hoie( As a stu#e!t at Ca'bri#$e he ha# rea# Pearson on the
reeds& a!# ha# o'e to the o!lusio! that he #i# !ot 'i! the least #oubt the strit a!#
literal truth of e%ery )or# i! the *ible'( 74O8 E%e! #uri!$ the %oya$e of the *ea$le he
a'use# the offiers by his !aQ%e ortho#o-y& a!# he )as #eeply shoke# )he! o!e of his
ship'ates e-presse# #oubts o!er!i!$ the biblial aou!t of the Floo#( Suh a ri$i#
fu!#a'e!talist belief oul# !ot be reo!ile# )ith speulatio!s about the ori$i! of speies,
his loss of faith oi!i#e# )ith his o!%ersio! to the e%olutio!ary theory( For a )hile he
fou$ht a rear$uar# atio! a$ai!st his #oubts by #ay"#rea'i!$ about the #iso%ery of ol#
'a!usript te-ts )hih )oul# o!fir' the historial truth of the ;ospels, but this #i# !ot
help 'uh( I! the 'o!ths follo)i!$ his retur! fro' the %oya$e the !e) theory )as bor!
a!# his faith i! reli$io! )as #ea#(
<ar)i!'s ar$u'e!ts a$ai!st reli$io! )ere as ru#e a!# literal"'i!#e# as his belief ha#
bee!0 'the 'irales )ere !ot re#ible to a!y sa!e 'a!', the Ol# Testa'e!t $a%e a
''a!ifestly false history of the )orl#& )ith the To)er of *abel& the rai!bo) as a si$!& et(&
et( 74F8 He took stro!$ e-eptio! to the '#a'!able #otri!e' that !o!"belie%ers& 'a!# this
)oul# i!lu#e 'y Father& *rother a!# al'ost all 'y best frie!#s'& )ill be e%erlasti!$ly
pu!ishe#( As for Hi!#uis' or *u##his'& a!# the persiste!e of reli$ious aspiratio!s
throu$hout hu'a! history& he e-plai!e# the' "" i! a! o##ly =a'arkia! ar$u'e!t "" as the
result of 'i!herite# e-perie!e'(
Nor 'ust )e o%erlook the probability of the o!sta!t i!ulatio! of a belief i! ;o# o! the
'i!#s of hil#re! by pro#ui!$ so stro!$ a!# perhaps a! i!herite# effet o! their brai!s&
!ot as yet fully #e%elope#& that it )oul# be as #iffiult for the' to thro) off their belief i!
;o#& as for a 'o!key to thro) off its i!sti!ti%e fear a!# hatre# of a s!ake(
*efore the $reat tur!i!$ poi!t i! his life& 'the !ulear #iso%ery' of his theory& he ha# !ot
o!ly bee! a! ortho#o- belie%er& but at least o! o!e oasio!& i! the $ra!#eur of the
*ra+ilia! forest& he ha# also felt that /uasi"'ystial& '#eep i!)ar# e-perie!e' that there
'ust be 'ore i! 'a! tha! 'the 'ere breath of his bo#y(' 7458 *ut after the tur!i!$ poi!t
suh e-perie!es #i# !ot reur "" a!# he hi'self )o!#ere# so'eti'es )hether he )as !ot
like a 'a! )ho ha# beo'e olour"bli!#( At the sa'e #eisi%e perio#& )he! he )as about
thirty& <ar)i! suffere#& i! his o)! )or#s& a 'urious a!# la'e!table loss of the hi$her
aestheti tastes'( A! atte'pt to re"rea# Shakespeare bore# hi' 'to the poi!t of physial
!ausea'( 79C8 He preferre# popular !o%els of the se!ti'e!tal ki!# "" so lo!$ as they ha# a
happy e!#i!$( I! his autobio$raphy he o'plai!e#0
*ut !o) for 'a!y years I a!!ot e!#ure to rea# a li!e of poetry( >y 'i!# see's to ha%e
beo'e a ki!# of 'ahi!e for $ri!#i!$ $e!eral la)s out of a lar$e olletio! of fats& but
)hy this shoul# ha%e ause# the atrophy of that part of the brai! o! )hih the hi$her tastes
#epe!#& I a!!ot o!ei%e( The loss of these tastes is a loss of happi!ess& a!# 'ay possibly
be i!.urious to the i!tellet& a!# 'ore probably to the 'oral harater& by e!feebli!$ the
e'otio!al part of our !ature(
<ar)i!'s 'reli$ious tastes'& if the e-pressio! 'ay be per'itte#& ha# bee! of a! e/ually
u!subtle !ature( 'His se!sibility )as of that i!%erte# or#er that is u!able to e-te!# to hu'a!
bei!$s the sa'e sy'pathy a!# respet it has for a!i'als( As a +oolo$ist <ar)i! )as
!aturally 'ore at ho'e i! the real' of a!i'al beha%iour tha! of philosophy( This 'ay be
)hy so 'uh of his #isussio! of reli$io!& 'orality a!# aesthetis see's pai!fully !ai%e('
7948 The o!ept of 'reli$ious e-perie!e' #i# !ot 'ea! to <ar)i! )hat it #i# to >a-)ell ""
the i!tuitio! of a! 'u!k!o)! reality )hih hel# the seret of i!fi!ite spae a!# e!terhal
ti'e', it 'ea!t to hi' belie%i!$ the story tol# i! ;e!esis& a!# also i! eter!al hellfire( I!
NThe <ese!t of >a!N& he ha# #e!ie# that la!$ua$e )as a u!i/ue attribute of 'a! beause
a!i'als too use sou!#s a!# $estures to o''u!iate e'otio!s( This o!fusio! of si$! a!#
sy'bol e/ually per%a#es his #isussio!s of reli$io!( I! his youth he ha# belie%e# i! the
'strit a!# literal truth of e%ery )or# i! the *ible', later o! he o!si#ere# hi'self a! atheist
beause he #i# !ot belie%e i! the To)er of *abel( Neither attitu#e has 'uh rele%a!e to
the u!o!sious& i!!er 'oti%atio! of his )ork( >ore rele%a!t is the fat that the ki!# of
u!#efi!able i!tuitio! )hih he ha# e-perie!e# i! the *ra+ilia! forest )e!t out of his life at
the sa'e ti'e as the 'atrophy of the hi$her tastes' set i!( This )as at the ti'e )he! he 'a#e
his basi #iso%ery( The re'ai!i!$ forty o## years )ere spe!t o! the heroi labours of its
elaboratio!(
<ar)i!& as )e ha%e see!& )as like Coper!ius& esse!tially a o!e"i#ea 'a!( Eah ha# his
'!ulear i!spiratio!' early i! life& a!# spe!t the rest of his life )orki!$ it out "" the ratio of
i!spiratio! to perspiratio! bei!$ hea%ily i! fa%our of the seo!#( *oth lake# the 'a!y"
si#e#!ess& that u!i%ersality of i!terest a!# a'a+i!$ 'ultitu#e of ahie%e'e!t i! u!relate#
fiel#s of researh )hih harateri+e# Kepler& Ne)to!& <esartes& Fra!kli!& Fara#ay&
>a-)ell& a!# hu!#re#s of lesser but e/ually %ersatile $e!iuses( It is perhaps !o oi!i#e!e
that both <ar)i! a!# Coper!ius& after the #eisi%e tur!i!$ poi!t )he! their ourse )as set&
le# a life of #uty& #e%otio! to task& ri$orous self"#isipli!e& a!# spiritual #esiatio!( It
looks as if the artesia! )ells of their i!spiratio! ha# bee! replae# by a 'eha!ial )ater
supply kept u!#er pressure by sheer po)er of )ill(
I! <ar)i!'s ase& the 'a$!itu#e of this po)er 'ust be 'easure# a$ai!st the ha!#iap of
forty years of hro!i ill health& )hih also afflite# his lar$e fa'ily( The se!se of #uty
)hih kept hi' $oi!$ bea'e his true reli$io!( After the publiatio! of the Origin a!# the
:escent& he bea'e o!e of the 'ost elebrate# perso!alities i! Europe& but he o!ti!ue# to
lea# the sa'e ri$orously she#ule# life& )ithout allo)i!$ hi'self to bask i! the su!&
)ithout $etti!$ spoilt or #istrate# fro' his )ork( ':hile others use# the presti$e of
<ar)i!is' to pro'ote their soial or politial %ie)s& <ar)i! hi'self forebore #oi!$ so,
794a8' a!# )he! >ar- propose# to #e#iate to hi' the E!$lish tra!slatio! of :as -apital
<ar)i! refuse# the ho!our(
His last years )ere spe!t i! hur!i!$ out a !u'ber of teh!ial books a!# papers, his %ery
first book )as alle# *he 1ormation of )egetable &ould through the 3ction of "orms( He
ha# starte# this researh o! earth)or's at t)e!ty"ei$ht& after his retur! fro' the %oya$e of
the *ea$le, !o)& after this 'o'e!tous #etour& he fi!ishe# it at the a$e of se%e!ty"t)o& o!e
year before his #eath( It is a 'easure of the e!or'ous %o$ue )hih <ar)i! e!.oye# that the
)or' book& i! spite of its u!prepossessi!$ title& sol# ei$ht thousa!# fi%e hu!#re# opies i!
the first three years after publiatio! "" )hih )oul# be /uite a respetable suess for a
!o%el i! our o)! #ays(
O! o!e oasio! i! his late years <ar)i! )as aske# to state his opi!io! o! reli$io!( He
a!s)ere# that )hile the sub.et of ;o# )as 'beyo!# the sope of 'a!'s i!tellet'& his 'oral
obli$atio!s )ere !e%ertheless lear0 '>a! a! #o his #uty(' O! a!other oasio! "" i! a!
a##e!#u' to his autobio$raphy "" he e-plai!e# that& e%e! )ithout a belief i! ;o#& a 'a!
'a! ha%e for his rule of life ( ( ( o!ly to follo) those i'pulses a!# i!sti!ts )hih are the
stro!$est or )hih see' to hi' the best o!es( ( ( ( *y #e$rees it )ill be 'ore i!tolerable to
hi' to obey his se!suous passio!s rather tha! his hi$hest i'pulses& )hih )he! re!#ere#
habitual 'ay be al'ost alle# i!sti!ts( His reaso! 'ay oasio!ally tell hi' to at i!
oppositio! to the opi!io! of others& )hose approbatio! he )ill the! !ot reei%e, but he )ill
still ha%e the soli# satisfatio! of k!o)i!$ that he has follo)e# his i!!er'ost .u#$e or
o!sie!e(' He !e%er reali+e# that state'e!ts of this ki!# #estroye# the %ery fou!#atio!s
of a!y stritly 'aterialisti a!# #eter'i!isti philosophy& i!lu#i!$ his o)! "" aor#i!$ to
)hih hu'a! 'orality )as #eri%e# fro' i!!ate 'soial i!sti!ts'( 'It a! har#ly be #ispute#'&
he )rote i! his #isastrous o!tro%ersy a$ai!st >ill& 'that the soial feeli!$s are i!sti!ti%e or
i!!ate i! the lo)er a!i'als0 a!# )hy shoul# they !ot be so i! 'e!E' *ut fro' )hat soure&
the!& )oul# 'a! #eri%e the po)er to follo) those i!sti!ts ')hih see'e# to hi' the best
o!es'& to obey his 'hi$hest i'pulses' as oppose# to his 'se!suous passio!s', a!# e%e! 'to at
i! oppositio! to the opi!io! of others'E The soure of that po)er 'ust e%i#e!tly be the
'i!!er'ost .u#$e& or o!sie!e' "" o!epts of a tra!se!#e!tal !ature a!# /uite heretial
fro' the poi!t of %ie) of a purely 'aterialist )orl#"%ie)(
It has bee! sai# that <ar)i!'s philosophi+i!$ )as 'pai!fully !aQ%e'( Bet his life bore
)it!ess& !ot to his philosophial ratio!ali+atio!s& but to his tra!se!#e!tal beliefs "" he )as
a croyant malgr; lui( The proof is i! the losi!$ passa$es of his t)o $reat books0
It is i!teresti!$ to o!te'plate a ta!$le# ba!k& lothe# )ith 'a!y pla!ts of 'a!y ki!#s&
)ith bir#s si!$i!$ o! the bushes& )ith %arious i!sets flitti!$ about& a!# )ith )or's
ra)li!$ throu$h the #a'p earth& a!# to reflet that these elaborately o!strute# for's& so
#iffere!t fro' eah other& a!# #epe!#e!t upo! eah other i! so o'ple- a 'a!!er& ha%e all
bee! pro#ue# by la)s ati!$ arou!# us( ( ( ( Thus& fro' the )ar of !ature& fro' fa'i!e a!#
#eath& the 'ost e-alte# ob.et )hih )e are apable of o!ei%i!$& !a'ely& the pro#utio!
of the hi$her a!i'als& #iretly follo)s( There is $ra!#eur i! this %ie) of life& )ith its
se%eral po)ers& ha%i!$ bee! ori$i!ally breathe# by the reator i!to a fe) for's or i!to o!e,
a!# that& )hilst this pla!et has $o!e yli!$ o! aor#i!$ to the fi-e# la) of $ra%ity& fro'
so si'ple a be$i!!i!$ e!#less for's 'ost beautiful a!# 'ost )o!#erful ha%e bee!& a!# are
bei!$ e%ol%e#( 7998 >a! 'ay be e-use# for feeli!$ so'e pri#e at ha%i!$ rise!& thou$h !ot
throu$h his o)! e-ertio!s& to the %ery su''it of the or$a!i sale, a!# the fat of his
ha%i!$ thus rise!& i!stea# of ha%i!$ bee! abori$i!ally plae# there& 'ay $i%e hi' hope for
a still hi$her #esti!y i! the #ista!t future( *ut )e are !ot here o!er!e# )ith hopes or
fears& o!ly )ith the truth as far as our reaso! per'its us to #iso%er it, a!# I ha%e $i%e! the
e%i#e!e to the best of 'y ability( :e 'ust& ho)e%er& ak!o)le#$e& as it see's to 'e& that
'a! )ith all his !oble /ualities& )ith sy'pathy )hih feels for the 'ost #ebase#& )ith
be!e%ole!e )hih e-te!#s !ot o!ly to other 'e! but to the hu'blest li%i!$ reature& )ith
his $o#"like i!tellet )hih has pe!etrate# i!to the 'o%e'e!ts a!# o!stitutio! of the solar
syste' "" )ith all these e-alte# po)ers "" >a! still bears i! his bo#ily fra'e the i!#elible
sta'p of his lo)ly ori$i!( 79A8
Here is hu'ility a!# )o!#er& a!# a se!se of partiipatio! )hih tra!se!#s !ot o!ly the
i!#i%i#ual self but the olleti%e pri#e of ho'o sapie!s(
The Faith of Pasteur
=ouis Pasteur's harater a!# life is a! al'ost perfet illustratio! of a'bitio!& pri#e& %a!ity&
self"ri$hteous!ess& o'bi!e# )ith self"sarifie& harity& hu'ility& ro'a!tiis'& a!#
reli$io!& to 'ake a happy bala!e of opposites( At the hei$ht of his fa'e& Pasteur relate#
)ith e%i#e!t relish that at a! offiial reeptio! the Juee! of <e!'ark a!# the Juee! of
;reee ha# broke! eti/uette by )alki!$ up to hi' to pay their ho'a$e( *ut he also spe!t
se%eral 'o!ths e%ery year for fi%e years i! the 'ou!tai!s of Ce%e!!es& to fi!# a ure for a!
epi#e'i #isease of silk)or's( :he! he ha# fou!# its ause& a!# sa%e# the Fre!h silk
'a!ufaturi!$ i!#ustry fro' rui!& the >i!ister of A$riulture se!t hi' for e-a'i!atio!
three lots of e$$s )hih a fa'ous silk")or' bree#er )as #istributi!$ throu$hout the
ou!try& i$!ori!$ Pasteur's reo''e!#atio!s of his 'etho# to obtai! healthy strai!s(
Pasteur replie#0
>( le >i!istre "" These three sa'ples of see# are )orthless( ( ( ( They )ill i! e%ery i!sta!e
suu'b to orpusle #isease( ( ( ( For 'y part I feel so sure of )hat I affir'& that I shall !ot
e%e! trouble to test& by hathi!$ the'& the sa'ples )hih you ha%e se!t 'e( I ha%e thro)!
the' i!to the ri%er(
A!# to a septial bree#er& he )rote about the sa'e ti'e0
>( le >ar/uis "" Bou #o !ot k!o) the first )or# of 'y i!%esti$atio!s& of their results& of
the pri!iples )hih they ha%e establishe#& a!# of their pratial i'pliatio!s( >ost of the'
you ha%e !ot rea# ( ( ( a!# the others you #i# !ot u!#ersta!#(
I! his pole'is a$ai!st sie!tifi a#%ersaries he use# the sa'e i'passio!e# la!$ua$e "" the
style so'eti'es re'i!#s o!e of ;alileo( *ut& u!like ;alileo& he e!$a$e# i! o!tro%ersy
o!ly after he ha# establishe# his ase beyo!# all possible #oubt i! his e-peri'e!tal
laboratory& a!# ha# har#e!e# it by ou!tless pai!staki!$ repetitio!s( As a result& a$ai!
u!like ;alileo& he )as i!%ariably& a!# to his oppo!e!ts i!furiati!$ly& pro%e! ri$ht( He e%e!
)rote a! artile i! the ;alilea! #ialo$ue style for a )i!e"$ro)ers tra#e .our!al( The
#ialo$ue )as 'ea!t to be a report of Pasteur's o!%ersatio! )ith the 'ayor of 3ol!ay& >(
*oillot "" )hih resulte# i! the o!%ersio! of >( *oillot to the Pasteuri+atio! of *ur$u!#y
)i!es( This epi #ialo$ue starts )ith0
Pasteur0 <o you heat your )i!es& >( >aireE >( *oillot0 No sir( ( ( ( I ha%e bee! tol# that
heati!$ 'ay affet u!fa%ourably the taste of our $reat )i!es( Pasteur0 Bes& I k!o)( I! fat it
has bee! sai# that to heat these )i!es is e/ui%ale!t to a! a'putatio!( :ill you be $oo#
e!ou$h& >( >aire& to follo) 'e i!to 'y e-peri'e!tal ellarE
For the !e-t t)o pa$es >( *oillot is sho)! )hat's )hat( He has to taste the treate# a!#
u!treate# )i!es of a sore of %i!ta$es a!# %i!eyar#s& u!til he apitulates a!# a#'its the
superior /uality of the pasteuri+e# )i!es "" i!lu#i!$ those )hih a'e fro' his o)!
%i!eyar#s0
>( *oillot0 I a' o%er)hel'e#( I ha%e the sa'e i'pressio! as if I )ere seei!$ you pouri!$
$ol# i!to our ou!try( Pasteur0 There you are& 'y #ear ou!try'e!& busy )ith politis&
eletio!s& superfiial rea#i!$ of !e)spapers but !e$leti!$ the serious books )hih #eal
)ith 'atters of i'porta!e to the )elfare of the ou!try( ( ( ( A!# yet& >( >aire& ha# you
rea# )ith atte!tio!& you oul# ha%e reo$!i+e# that e%erythi!$ I )rote )as base# o! preise
fats& offiial reports& #e$ustatio!s by the 'ost o'pete!t e-perts& )hereas 'y oppo!e!ts
ha# !othi!$ to offer but assertio!s )ithout proof( >( *oillot0 ( ( ( <o !ot )orry& >o!sieur(
Fro' !o) o! I shall !o lo!$er belie%e those )ho o!tra#it you a!# I shall atte!# to the
'atter of heati!$ the )i!es as soo! as I retur! to 3ol!ay( 7968
Pasteur ha# $ro)! up i! the Arbois, he )as a o!!oisseur of )i!e& a!# he #espise# beer(
*ut after the #efeat of Fra!e by the Prussia!s i! 4FO4& he o!si#ere# it his patrioti #uty to
i'pro%e the /uality of Fre!h beer "" )ith the #elare# i!te!tio! to pro#ue a 'biXre #e la
re%a!he'& superior to the ;er'a!s' herishe# !atio!al #ri!k( He e%e! i!%a#e#& ar'e# )ith
his 'irosope& the sare# pre'ises of :hitbrea#'s i! =o!#o!, his lao!i aou!t of that
histori %isit 'akes o!e appreiate the #ra'a that took plae(
Pasteur )as re%ere!tly ha!#e# t)o asks of the fa'e# bre)( He put a #rop of o!e u!#er
the 'irosope a!# "" 'I i''e#iately reo$!i+e# three or four #isease fila'e!ts i! the
'irosopi fiel#( These fi!#i!$s 'a#e 'e bol# e!ou$h to state i! the prese!e of the
'aster"bre)er& )ho ha# bee! alle# i!& that these beers )oul# rapi#ly spoil ( ( ( a!# that
they 'ust alrea#y be so'e)hat #efeti%e i! taste& o! )hih poi!t e%eryo!e a$ree#&
althou$h after lo!$ hesitatio!( I attribute# this hesitatio! to the !atural reser%e of a
'a!ufaturer )ho' o!e o'pels to #elare that his 'erha!#ise is !ot beyo!# reproah(
:he! I retur!e# to the sa'e bre)ery less tha! a )eek later& I lear!e# that the 'a!a$ers ha#
'a#e haste to a/uire a 'irosope(' It )as !ot the least of the 'irales that Pasteur
ahie%e#(
Silk)or's& )i!e& beer "" a!# before that stu#ies o! the souri!$ of 'ilk& the tur!i!$ of )i!e
i!to %i!e$ar& of %i!e$ar i!to ai#& of beet"su$ar i!to alohol( '=ouis ( ( ( is !o) up to his
!ek i! beet".uie'& >a#a'e Pasteur o'plai!e# i! a letter( Eah of these a'pai$!s )as
o!#ute# )ith the sa'e rusa#i!$ +eal& the sa'e sho)'a!ship& the sa'e patie!e a!#
preisio! i! 'etho#( Pasteur's father ha# bee! a ser$ea!t i! the Napoleo!i ar'y, after
:aterloo he ha# beo'e a ta!!er i! the Arbois( He ha# probably hear# the E'peror's
fa'ous speeh at the Pyra'i#s0 'Sol#iers& fro' these su''its forty e!turies look #o)!
upo! you(' =ouis Pasteur& rouhi!$ )ith his 'irosope o! top of o!e of the $i$a!ti %ats
at :hitbrea#'s& 'ay ha%e spoke! the sa'e )or#s to the a)e"strike! 'aster"bre)ers(
A!# that is har#ly a! e-a$$eratio!& for i! Pasteur's )ork )e see learly ho) the tri%ial by a
short step a! lea# to the 'o'e!tous& a!# ho) the t)o are i!e-triably 'i-e# up i! the
sie!tist's 'i!# a!# 'oti%es( O!e of the la!#'arks of sie!e is the publiatio!& i! 4FOO& of
Pasteur's book )ith the u!prepossessi!$ title& 6tudes sur la 7iSre$ .es &aladies$ Les
auses +ui les Provo+uent. Proc;d; pour la !endre Inalterable ( ( ( follo)e#& al'ost as a!
afterthou$ht& by ( ( ( 3vec une *h;orie 9ouvelle de la 1ermentation( It o!tai!s the first
o'plete state'e!t of Pasteur's re%olutio!ary #iso%ery that yeast a!# all other a$e!ts
)hih ause fer'e!tatio! a!# putrefatio!& are li%i!$ bei!$s of %ery s'all si+e "" that is&
'iro"or$a!is's& $er's( I! a si'ilar )ay& his )ork o! the silk)or's ha# o!fir'e# that
o!ta$ious #iseases )ere ause# by 'irobes of #iffere!t %arieties( The pri!iples of
sterili+atio! a!# partial sterili+atio! 1'pasteuri+atio!'2, of i''u!i+atio!& of a!tisepsis a!#
asepsis, our k!o)le#$e of the ausati%e a$e!ts of #isease a!# of the $e!eral o!#itio!s
)hih #eter'i!e the or$a!is''s reepti%ity for those a$e!ts, lastly& the '#o'estiatio!' of
'irobes a!# their use as a!tibiotis "" all this $re) out of Pasteur's ofte! far"fethe#
researhes i!to so'e speifi teh!ial proble'& u!#ertake! for appare!tly tri%ial 'oti%es(
Bet there )ere other 'oti%atio!al fators at )ork )hih le!t ur$e!y a!# #ri%e to eah of
these teh!ial researh pro.ets& fro' the earliest 1On the *urning of &ilk2 o!)ar#0 the
i!tuiti%e %isio! of a $ra!# u!itary #esi$! u!#erlyi!$ all biohe'ial tra!sfor'atio!s& a
#esi$! )hih e'brae# !ot o!ly the utili+atio! of e!er$y by li%i!$ or$a!is's i! health a!#
#isease& but also "" as )e shall see i! a 'o'e!t "" the seret of the ori$i! of life( A!#
fi!ally& eah partiular pro.et "" )hether it )as o!er!e# )ith silk)or's& )i!e& or the
i!oulatio! of attle a$ai!st a!thra- "" thou$h arrie# throu$h )ith o!su''ate
sho)'a!ship a!# a ;alli flourish& )as !e%ertheless a rusa#e for the publi be!efit, the
resulti!$ self"$ratifiatio! )as !o 'ore tha! a #eliious by"pro#ut( Throu$h the sa'e
i!teratio! of the tri%ial a!# 'o!u'e!tal )hih le# to Pasteur's i!telletual triu'phs& the
propo!e!t of the biSre de la revanche bea'e the $reatest be!efator of 'a!ki!# si!e
Hipporates(
I ha%e 'e!tio!e# Pasteur's hope to #iso%er 'the seret of life'( This is to be take! /uite
literally(
The earliest #iso%ery of Pasteur& a!# for hi' the 'ost e-iti!$ i! all his life& )as the
asy''etry of 'oleules as a speifi harateristi of li%i!$ or$a!is's "" i! other )or#s&
the fat that the 'oleules of li%i!$ 'atter o'e i! t)o %arieties )hih& thou$h he'ially
i#e!tial& are i! their spatial struture like 'irror i'a$es to eah other "" or like ri$ht a!#
left $lo%es( '=eft"ha!#e#' 'oleules rotate polari+e# li$ht to the left& 'ri$ht"ha!#e#'
'oleules to the fi$ht, life substa!es are thus 'optially ati%e'( :hy this shoul# be so )e
still #o !ot /uite k!o), but it re'ai!s a halle!$i!$ fat that '!o other he'ial
harateristi is as #isti!ti%e of li%i!$ or$a!is's as is optial ati%ity'(
I a' o! the %er$e of 'ysteries& a!# the %eil )hih o%ers the' is $etti!$ thi!!er a!#
thi!!er( The !i$ht see's to 'e too lo!$( ( ( ( =ife as 'a!ifeste# to us is a fu!tio! of the
asy''etry of the u!i%erse( ( ( ( The u!i%erse is asy''etrial, for& if all the bo#ies i! 'otio!
)hih o'pose the solar syste' )ere plae# before a $lass& the i'a$e i! it oul# !ot be
superi'pose# upo! the reality( ( ( ( Terrestrial 'a$!etis' ( ( ( the oppositio! bet)ee!
positi%e a!# !e$ati%e eletriity& are but resulta!ts of asy''etrial atio!s a!# 'o%e'e!ts(
( ( ( =ife is #o'i!ate# by asy''etrial atio!s( I a! e%e! i'a$i!e that all li%i!$ speies are
pri'or#ially i! their struture& i! their e-ter!al for's& fu!tio!s of os'i asy''etry( 79I8
These i!to-iati!$ speulatio!s ause# Pasteur to e'bark o! a series of fa!tasti
e-peri'e!ts& ai'i!$ at !othi!$ less tha! the reatio! of life by 'ea!s of i'itati!$ the
asy''etri atio! of !ature i! the laboratory& usi!$ po)erful 'a$!ets a!# all ki!#s of
optial triks( It )as this alhe'ist's #rea' )hih $a%e birth to the '$ra!# #esi$!' )hih I
ha%e 'e!tio!e# a!# )hih "" like a blue"pri!t #ra)! i! i!%isible i!k "" re'ai!e# the seret
i!spiratio! behi!# his researhes( =ukily& iru'sta!es o'pelle# hi' to #ese!# fro'
the 'o!u'e!tal to the tri%ial le%el0 Pasteur ha# to $i%e up tryi!$ to reate life a!# ha# to
$et 'up to his !ek i! beet".uie'( He ha# bee! appoi!te# Professor of Che'istry i! =ille,
a!# !o soo!er )as he i!stalle# tha! >o!sieur *i$o& a! i!#ustrialist e!$a$e# i! the
pro#utio! of alohol fro' beet"su$ar& a'e to o!sult hi' about ertai! #iffiulties
e!ou!tere# i! the proess( Si!e this )as o!e of the 'ai! i!#ustries of the re$io!& Pasteur
e'barke# o! the task )ith patrioti fer%our "" it )as the first i! the series of this type of
%e!ture& lo!$ before the silk)or's& the )i!e& a!# the beer(
I! e-a'i!i!$ the fer'e!te# .uie of the beet& he fou!# i! it a o'po!e!t& a'yl alohol&
)hih tur!e# out to be optially ati%e( Therefore its 'oleules 'ust be asy''etrial, but
aor#i!$ to the $ra!# #esi$!& asy''etry is the pri%ile$e a!# seret of life, therefore
fer'e!tatio! a'e fro' the ati%ity of li%i!$ thi!$s& of 'irobes( At this poi!t the hai!
reatio! set i! )hih fuse# the $er' theory of fer'e!tatio! to the $er' theory of #isease(
Thus #i# the alhe'ist's pipe"#rea' $i%e birth to 'o#er! 'e#ii!e "" as Kepler's hi'erial
/uest for the har'o!ies le# to 'o#er! astro!o'y(
Here& I belie%e& is the lue to the sie!tist's ulti'ate 'oti%atio! "" the e/ui%ale!t of the
'eeti!$ of the tra$i a!# the tri%ial pla!es i! the artist's 'i!#( Peeri!$ throu$h his
'irosope or polarisope& i! a !e%er"e!#i!$ series of #reary& teh!ial& speiali+e#
i!%esti$atio!s of a'yl ai#& tartari ai#& butyri ai#& Pasteur )as atte!#i!$ o! o!e le%el to
the busi!ess i! ha!# "" the beets of >r( *i$o, o! a!other he )as sa!!i!$ the seret of life
'throu$h %eils $etti!$ thi!!er a!# thi!!er'( Thus #i# so'e early e-plorers !ourish the seret&
hil#ish hope to fi!# at the North Pole a rater re%eali!$ the a-is o! )hih the earth tur!s(
So #i# the Phoe!iia! sea'e! hope to fi!#& beyo!# the pillars of Herules& the isla!# of
Atla!tis(
:he! he )as thirty a!# !e)ly 'arrie#& Pasteur& thou$h al'ost pe!!iless& e'barke# o! a!
e-pe#itio! throu$h Ce!tral Europe "" a treasure"hu!t for a! elusi%e o''o#ity #ear to his
heart0 paratartari ai#& a he'ial #eri%e# fro' the #eposit i! the %ats of fer'e!te# )i!e
1p( 45A f2( He retur!e# a!# #esribe# this O#yssey i! a! artile i! the Strasbour$ !e)spaper
La )erit;& e!#i!$ )ith the epi )or#s0 'Ne%er )as treasure sou$ht& !e%er a#ore# beauty
pursue# o%er hill a!# #ale )ith $reater ar#our('

The #rea' )hih tur!e# the tartar"rystals i!to a sy'bol of the seret of life pro%e#
i''e!sely fertile( *ut si!e the atual e-peri'e!ts of reati!$ life ha# faile#& Pasteur& i!
his later years& re%erse# his opi!io!s a!# e'barke# o! a!other elebrate# o!tro%ersy to
pro%e that the alle$e# 'spo!ta!eous $e!eratio!' of 'iro"or$a!is's 1)ithout pro$e!itors&
out of fer'e!ti!$ or putrefyi!$ 'atter2 )as a le$e!#( 'It is a striki!$ fat&' )rites <ubos&
'perhaps )orthy of the atte!tio! of psyhoa!alysts& that Pasteur #e%ote# 'uh of his later
life to #e'o!strati!$ that !ature operates as if it )ere i'possible to ahie%e )hat he ""
Pasteur "" ha# faile# to #o( ( ( ( ?ust as he ha# faile# i! his atte'pts to reate or 'o#ify life&
so he pro%e# that others& )ho ha# lai'e# to be suessful )here he ha# faile#& ha# bee!
'erely the %iti's of illusio!(' 79@8

This 'ay i!#ee# ha%e bee! a fator )hih o!tribute# to his ha!$e of attitu#e& but o!ly a
superfiial o!e& like his hil#ish boasti!$s a!# sho)'a!ship( The obsessio! )ith the seret
of life ha# bitte! i!to #eeper strata& )here opposites ease to be opposites& the la) of
o!tra#itio! !o lo!$er applies& a!# a plus a!# 'i!us si$! beo'e i!terha!$eable( A'o!$
his u!publishe# )riti!$s there is a passa$e )ritte! )he! he )as approahi!$ si-ty0
I ha%e bee! looki!$ for spo!ta!eous $e!eratio! for t)e!ty years )ithout #iso%eri!$ it(
No& I #o !ot .u#$e it i'possible( *ut )hat allo)s you to 'ake it the ori$i! of lifeE Bou
plae 'atter before life a!# you #ei#e that 'atter has e-iste# for all eter!ity( Ho) #o you
k!o) that the i!essa!t pro$ress of sie!e )ill !ot o'pel sie!tists ( ( ( to o!si#er that
life has e-iste# #uri!$ eter!ity& a!# !ot 'atterE Bou pass fro' 'atter to life beause your
i!telli$e!e of to#ay ( ( ( a!!ot o!ei%e thi!$s other)ise( Ho) #o you k!o) that i! te!
thousa!# years o!e )ill !ot o!si#er it 'ore likely that 'atter has e'er$e# fro' life ( ( ( E
79@a8
At the a$e of forty"si- Pasteur suffere# a stroke )hih left his left ar' a!# le$ per'a!e!tly
paralyse#( Bet his $reatest )ork )as #o!e #uri!$ the follo)i!$ t)o #ea#es& )he! he )as
a! i!%ali# a!# ha# to use his assista!ts' ha!#s to arry out his e-peri'e!ts( I! ol# a$e he
)oul# ofte! bro)se i! his earlier publiatio!s( 'Tur!i!$ the pa$es of his )riti!$s& he )oul#
'ar%el at the la!#s that he ha# re%eale# by #ispelli!$ the fo$s of i$!ora!e a!# by
o%ero'i!$ stubbor!!ess( He )oul# li%e a$ai! his e-iti!$ %oya$es& as he tol# =oir i! a
#rea'y %oie0 NHo) beautiful& ho) beautifulG A!# to thi!k I #i# it all( I ha# for$otte! it(N'
79O8




9( INNOCENCE AN< EHPERIENCE

I ha%e bee! #isussi!$ the 'oti%atio!al #ri%e of sie!tists( Ca! )e 'ake a!y
$e!erali+atio!s re$ar#i!$ their i!telletual harateristis "" i! a##itio! to those #esribe#
earlier o! 1Chapters 3 " H2E


Preoious!ess

I! the first plae& suh #ata as )e possess o!fir' the popular belief that sie!tists reah
their peak of reati%ity at a! earlier a$e tha! artists( >ost sie!tists 'a#e their basi
#iso%eries )he! they )ere u!#er forty "" e-eptio!s like Fara#ay or Pasteur al)ays
$ra!te#( I! a %aluable stu#y o! Nobel Pri+e )i!!ers by =( >ouli! 79F8 )e fi!# the a%e!$e
a$e at )hih a perso! is a)ar#e# the pri+e to be fifty"o!e, but for physiists it is forty"fi%e(
1The a)ar#& of ourse& ofte! la$s by a !u'ber of years behi!# the #iso%ery(2 It is
i!teresti!$ to !ote that the stupe!#ous i!rease& o%er the last half"e!tury& i! the %olu'e of
k!o)le#$e to be 'astere# ha# !o si$!ifia!t i!flue!e o! the a$e at )hih the a)ar# is
reei%e#0 bet)ee! 45C4 a!# 45AC the a%era$e& for physiists& )as forty"fi%e years& bet)ee!
45A4 a!# 45@C& forty"si- years( The a%era$e for he'ists )as fifty years for the first& fifty"
o!e for the seo!# perio#, for the a)ar#")i!!er i! 'e#ii!e it fell fro' fifty"fi%e i! the
first& to fifty"three i! the seo!# perio# "" presu'ably as a! effet of i!reasi!$ tea'")ork(
The fi$ures also i!#iate a! a$e"$ra#ie!t fro' the 'ore 'theoretial' to the 'ore 'e'pirial'
or 'applie#' sie!es( This is 'i! keepi!$ )ith the )ell"k!o)! fat of the preoious!ess of
'athe'atiia!s "" the 'ost 'theoretial' a'o!$ sie!tists 1u!fortu!ately there is !o Nobel
Pri+e for 'athe'atis2(

A relate# phe!o'e!o! is the #a++li!$ 'ultitu#e of i!fa!t pro#i$ies a'o!$ sie!tists0 for
e%ery >o+art there are about three Pasals& >a-)ells& E#iso!s( To /uote o!ly a fe)
e-a'ples0 the $reatest Re!aissa!e astro!o'er before Coper!ius& ?oha!! >ueller fro'
Koe!i$sber$& alle# Re$io'o!ta!us 146A@"46O@2& publishe# at the a$e of t)el%e the best
astro!o'ial yearbook for 466F, )as aske# at fiftee! by the E'peror Fre#erik III to ast a
horosope for the i'perial bri#e, )e!t to the U!i%ersity of =eip+i$ )he! he )as ele%e!&
a!# at se%e!tee! e!.oye# Europea! fa'e, he #ie# at forty( Pasal ha# lai# the fou!#atio!s
for the 'o#er! treat'e!t of o!i setio!s before he )as si-tee!( ?ere'iah Horroks 14@45"
4@642 applie# Kepler's la)s to the orbit of the 'oo! a!# 'a#e other fu!#a'e!tal
o!tributio!s to astro!o'y before his #eath at the a$e of t)e!ty"o!e( E%ariste ;alois
14F44"4FA92& o!e of the 'ost outsta!#i!$ $e!iuses i! the history of 'athe'atis& )as kille#
i! a #uel at the a$e of t)e!ty"o!e 1f( p( 4442( The !otes )hih he left behi!# a'ou!t to !o
'ore tha! si-ty pa$es of his 'ollete# )orks', but those si-ty pa$es i!au$urate# a !e)
epoh i! the theory of e/uatio!s& a!# 'o!tai! 'ore 'athe'atis tha! is to be fou!# i!
so'e libraries ra''e# )ith books beari!$ 'athe'atial titles'( 7958 Clerk >a-)ell& )ho
li%e# to forty"ei$ht& ha# his first 'athe'atial paper rea# before the Royal Soiety at the
a$e of fiftee!, i! the #isussio!& the $eo'etrial o!strutio! )hih )as the sub.et of the
paper )as #esribe# as superior to Ne)to!'s a!# <esartes' #isussio! of the sa'e
proble'(

I! o!trast to this streak of preoity& ho)e%er& is the fat that the 'a.ority of $e!iuses
see' to ha%e #o!e rather ba#ly i! the !or'al shool urriulu' "" ofte! i!lu#i!$ the %ery
sub.et o! )hih later o! they )ere to lea%e their 'ark( 'I! his stu#e!t #ays Ei!stei! ha#
bee! a la+y #o$&' his erst)hile teaher >i!ko%sky re'arke#0 'He !e%er bothere# about
'athe'atis at all(' 7AC8


Septiis' a!# Cre#ulity

*ut the para#o- is !ot too #iffiult to resol%e( I ha%e e'phasi+e# before 1*ook O!e& H2
that the sie!tifi $e!ius is a urious 'i-ture of septiis' a!# re#ulity( At shool he is
fre/ue!tly bore# by a!# y!ial about ortho#o- #otri!es )hih u!i'a$i!ati%e a!#
tra#itio!"bou!# 'asters try to ra' i!to his hea#( To /uote Ei!stei! o!e 'ore0 'Physis too
7as tau$ht i! the lassroo'8 )ere split i!to speial fiel#s eah of )hih oul# e!$ulf a short
life's )ork )ithout e%er satisfyi!$ the hu!$er for #eeper k!o)le#$e( For the e-a'i!atio!s
o!e ha# to stuff o!eself )ith all this rubbish& )hether o!e )a!te# to or !ot( This
o'pulsio! ha# suh a terrifyi!$ effet o! 'e that after 'y fi!als the o!si#eratio! of a!y
sie!tifi proble's )as #istasteful to 'e for a )hole year(' 7A48

The stu#e!t's 'atries of thou$ht are still flui# "" later o!& )he! they ha%e har#e!e#& he
)ill o!ly be able to reapture his erst)hile i!!oe!e at i!spire# 'o'e!ts( U!#er
propitious o!#itio!s& i!e-perie!e a! be a! asset0 it e!ties the !o%ie i!to aski!$
/uestio!s )hih !obo#y has aske# before& i!to seei!$ a proble' )here !obo#y sa) o!e
before( That is )hat you!$ >a-)ell probably #i# )he! be )as lyi!$ o! the $rass before
his father's house& looki!$ at the sky a!# wondering( That is )hat Ei!stei! #i# )he! at the
a$e of si-tee! he i!#ul$e# i! the fa!tasy of tra%elli!$ at the spee# of li$ht, a!# )hat E#iso!
#i# )he! 'his #e'a!#s for e-pla!atio!s of )hat see'e# ob%ious to his el#ers reate# the
belief that he )as less tha! !or'ally i!telli$e!t'(

Ei!stei! has o'pare# the i!telletual appetite of youth 'to the %oraious!ess of a healthy
beast of prey'( :he! the hil# has lear!e# that e%erythi!$ has a !a'e& it #e%elops a '!a'i!$
'a!ia'( :he! it has lear!e# that all e%e!ts ha%e 'beauses' it #e%elops the 'a!ia of aski!$
':hyE "" :hyE "" :hyE' A fool says the *ible& a! ask 'ore /uestio!s i! a 'i!ute tha! a
sa$e a! a!s)er i! a )eek( *ut sa$es are sare& a!# the hil# soo! lear!s to aept
a!s)ers )hih are !ot real e-pla!atio!s but o!%e!tio!al for'ulae or e%asio!s& a!# to be
o!te!t )ith the', the kee! e#$e of its appetite for k!o)le#$e has beo'e blu!te#( O!ly
$e!iuses preser%e their i!fa!tile %oraity for 'beauses' "" a!# the !aQ%e hope that there are
real a!s)ers to e%ery /uestio!( ':hy is the 'oo! rou!#E :hy #oes the apple fall fro' the
treeE :hy are there fi%e pla!ets i!stea# of t)e!ty& a!# )hy #o they 'o%e as they #oE :hy
#oes 'ilk $o sourE :hy oul# the #airy'ai# !ot $et the po-E :hy is the olour of a
sailor's bloo# i! the tropis a bri$hter re# tha! i! Ha'bur$E :hy #i# the #ea# fro$'s le$s
t)ithE' O!e of the hall'arks of $e!ius is that he has !e%er lost the habit of aski!$ foolish
/uestio!s like these "" eah of )hih le# to a 'o'e!tous #iso%ery(


Abstratio! a!# Pratiality

The reaso!s for this peuliarity ha%e alrea#y bee! #isusse#0 septiis' to)ar#s the
o!%e!tio!al a!s)ers& the refusal to take a!ythi!$ for $ra!te#& the fresh!ess of %isio! of the
u!bli!kere# 'i!#( Take! to$ether& these reate a! auity of pereptio!& a $ift for seei!$ the
ba!al ob.ets of e%ery#ay e-perie!e i! a sharp i!#i%i#ual li$ht "" as pai!ters a!# poets #o&
eah i! his o)! )ay, to obser%e #etails a!# !otie tri%ia )hih esape the atte!tio! of
others( This lea#s us to a seo!# pair of o'ple'e!tary /ualities 1the first )as septiis'
paire# )ith re#ulity2 i! the sie!tist's 'ake"up0 the oe-iste!e of abstrat a!# o!rete
'oul#s of thou$ht& the faulty of o'bi!i!$ hi$h fli$hts of theory )ith a kee! se!se of the
pratial a!# #o)!"to"earth "" a k!ak for piki!$ up tri%ial lues( Pytha$oras i! searh of
the har'o!y of the spheres e!ters the blaks'ith's )orkshop, Arhi'e#es $ets his solutio!
fro' obser%i!$ a s'u#$e i! his bath"tub, ;alileo e-horts his frie!#s to lear! !atural
philosophy fro' the rafts'e! i! the arse!als of 3e!ie, Kepler !oties that the slit i! his
roof )hih let the rai! throu$h a! be use# as the aperture of a a'era obsura to obser%e
the su!, Clau#e *er!ar# takes the te'perature of a rabbit's #e!er%ate# ear a!# is le# to the
#iso%ery that bloo#"%essels are o!trolle# by !er%es(

Throu$hout history& $e!ius #isplays these o'ple'e!tary /ualities of 'aki!$ lofty
$e!erali+atio!s base# o! hu'ble lues( 'It is %ery !eessary'& )rote >a-)ell& 'that those
)ho are tryi!$ to lear! fro' books the fats of physial sie!e shoul# be e!able# to
reo$!i+e these fats )he! they 'eet )ith the' out"of"#oors( Sie!e appears to us )ith a
%ery #iffere!t aspet after )e ha%e fou!# out ( ( ( that )e 'ay fi!# illustratio!s of the
hi$hest #otri!es of sie!e i! $a'es a!# $y'!astis& i! tra%elli!$ by la!# a!# by )ater& i!
stor's of the air a!# of the sea( This habit of reo$!i+i!$ pri!iples a'i# the e!#less
%ariety of their atio! ( ( ( te!#s to resue our sie!tifi i#eas fro' that %a$ue o!#itio! i!
)hih )e too ofte! lea%e the' burie# a'o!$ the other pro#uts of a la+y re#ulity(' 7A98

To ha%e o!e's hea# i! the lou#s #oes !ot pre%e!t o!e fro' ha%i!$ o!e's feet fir'ly o! the
$rou!#( The sie!tist& as the artist& 'ust li%e o! se%eral pla!es at o!e "" look at eter!ity
throu$h the )i!#o) of ti'e( All $reat $e!iuses of sie!e )ere e!#o)e# )ith this
partiular #ualis' of their faulties0 a hea# for $e!erali+atio!s a!# a! eye for 'i!ute
partiulars, searhi!$ for the seret of life i! the beet".uie of >( *i$o, tilti!$ at )i!#'ills
)ithout falli!$ off the horse(


>ultiple Pote!tials

I 'ust 'e!tio! o!e 'ore harateristi property share#& appare!tly& by 'ost $reat
sie!tists0 o!e 'ay all it the ''ultiple pote!tial'( It helps to e-plai! the para#o- of the
appare!tly hapha+ar# )ay i! )hih sie!tists are ofte! lau!he# o! their areer or o! a
partiular li!e of researh(

Kepler )as #esi$!ate# to beo'e a theolo$ia! )he! he )as u!e-pete#ly offere# the .ob
of a 'athe'atiia! at a pro%i!ial shool( Halley )as a bota!ist )he! the ai#e!t of
#roppi!$ his frie!#'s preious spar rystal 'a#e hi' ha!$e to rystallo$raphy& a!# beo'e
a pio!eer i! that fiel#( <ar)i!& prepari!$ to beo'e a ou!try urate& ha# the $oo# luk of
bei!$ i!%ite# to .oi! the e-pe#itio! of the *ea$le "" )ithout that ha!e it is e-tre'ely
#oubtful )hether he )oul# ha%e )ritte! *he Origin of .pecies( The #iretio! of all of
Pasteur's later researhes )as #eter'i!e# by his first #iso%eries about the optial ati%ity
of paratartari a##0 he hi'self sai# that he ha# beo'e 'e!hai!e# to the i!esapable lo$i'
by )hih o!e #iso%ery $a%e birth to the !e-t( As for Ale-a!#er Fle'i!$& the oi!i#e!es
)hih #eter'i!e# his i!itial hoie of areer are about as fa!tasti as the atual
iru'sta!es of his #iso%ery( He ha# a#opte# the 'e#ial professio! beause his brother
)as a #otor, he ha# $o!e to St( >ary's )here he )as to spe!# the )hole of his life&
beause he ha# playe# a$ai!st their )ater"polo tea', a!# he hose bateriolo$y as his
bra!h of researh beause Free'a!& the assista!t of Al'roth :ri$ht& )a!te# to keep
Fle'i!$& )ho )as a! e-elle!t shot& i! St( >ary's rifle lub(

The a!s)er to the para#o- is& appare!tly& that $i%e! the type of 'i!# )hih Fle'i!$ ha#&
he )oul# i! all likelihoo# ha%e left his 'ark o! a!y other bra!h of e-peri'e!tal sie!e
i!to )hih the )i!# of ha!e ha# blo)! hi'( I! Pasteur's ase& for i!sta!e& <ubos has
o!%i!i!$ly sho)! that 'the i!esapable lo$i' )hih his researhes follo)e# )as by !o
'ea!s i!esapable, for i! Pasteur's !otebooks a!# asual re'arks there are pro.ets a!#
$er's of #iso%eries )hih& ha# he o!ly ha# the ti'e to follo) the' up& or ha# the )i!# of
iru'sta!e blo)! fro' a #iffere!t #iretio!& )oul# ha%e brou$ht a! e/ually fertile
har%est(

True $e!ius& aor#i!$ to <r( ?oh!so!& 'is a 'i!# of lar$e $e!eral po)ers& ai#e!tally
#eter'i!e# to so'e partiular #iretio!& rea#y for all thi!$s& but hose! by iru'sta!es
for o!e'( <ubos& after /uoti!$ the <otor& fully o!urs )ith his opi!io!0 'It is ofte! by a
tri%ial& e%e! a! ai#e!tal #eisio!& that )e #iret our ati%ities i!to a ertai! ha!!el& a!#
thus #eter'i!e )hih of the pote!tial e-pressio!s of our i!#i%i#uality beo'e 'a!ifest(
Usually )e k!o) !othi!$ of the ulti'ate orie!tatio! or of the outlet to)ar#s )hih )e
tra%el& a!# the strea' s)eeps us to a for'ula of life fro' )hih there is !o retur!i!$( E%ery
#eisio! is like a 'ur#er& a!# our 'arh for)ar# is o%er the stillbor! bo#ies of all our
possible sel%es that )ill !e%er be(' 7AA8

This 'o%i!$ o!fessio! of a $reat sie!tist see's to be base# o! the assu'ptio! that
reati%ity is a ki!# of o!%ertible e!er$y )hih a! be applie# to %arious for's of ati%ity
"" as the pressure of stea' a! be o!%erte# i!to eletriity or 'otio!( State# i! this
e-tre'e for'& it is ertai!ly a! e-a$$eratio!0 you a!!ot o!%ert the reati%e e!er$y of a
pai!ter i!to the o'positio! of a! opera( *ut it is !e%ertheless true that the partiular type
of i!tuitio! )hih 'akes the sie!tifi $e!ius a! be fousse# o! proble's as )i#e apart as
olour"theory a!# elestial 'eha!is i! Ne)to!'s ase& or eletro"'a$!etis' a!# the
theory of $ases i! >a-)ell's "" )ith e/ually striki!$ results( The %ersatility& the
/uiksil%ery 'obility of 'i!#s like Arhi'e#es'& ;alileo's& <esartes'& Fra!kli!'s&
Fara#ay's& or E#iso!'s is truly phe!o'e!al, they see'e# to )alk throu$h life har$e# )ith
stati eletriity& so that )hate%er ob.et they touhe#& they #re) a spark( O!e"i#ea 'e!&
suh as Coper!ius or <ar)i!& see' to be the e-eptio!s a'o!$ the truly $reat& a!# 'ulti"
pote!tiality the rule( The o'i!ous tre!# to)ar#s o%er"speiali+atio!& its #a!$ers to the
reati%e 'i!#& a!# the e#uatio!al a!# a#'i!istrati%e refor's !ee#e# to re'e#y it& are
outsi#e the sope of this book(


NOTE

To p( @OO( The Artistarhia! syste' a!# the 'otio! of the earth ha# bee! #isusse# or
tau$ht by Coper!ius's foreru!!ers& the astro!o'ers Peurbah a!# Re$io'o!ta!us& by his
teahers *ru.e)ski a!# No%ara& a!# by his ollea$ues at the U!i%ersity of *olo$!a&
Cala$!i!i& ]ie$ler& et( 1f( *he .leepwalkers& pp( 9CI"4C2(




REFERENCES

*OOK ONE The Art of <iso%ery a!# the <iso%eries of Art PREFACE 4( The
Sleep)alkers 145I52( 9( The =otus a!# the Robot 145@C2( PART ONE THE ?ESTER I( THE
=O;IC OF =AU;HTER 4( Sully& ?( 145C92( 9( <uhe!!e #e *oulo$!e 14F@92( A( Ribot& T(
A( 14F5@2( 6( Juote# i! the 'This E!$la!#' olu'! of the Ne) States'a! a!# Natio!&
?a!uary 456@( I( <ee'ber A4& 456@( @( Pol\!yi 145IF2& p( IC( O( *artlett 145IF2( F(
*er$so! 1454@2& p( I5( 5( =ore!+& K( =( i! :hyte& =( =( e#( 145I42& pp( 4O@"F( 4C( Sa!tilla!a
e#( 145IA2& p( 6@5( 44( *r( ?( Psyholo$y 145@92& IA& A& p( 995( II( =AU;HTER AN<
E>OTION 4( ;re$ory& ?( C( 145962( 9( Juote# by ;re$ory& op( it( A( Foss& *( i! the Ne)
Sie!tist& @(O(45@4( 6( *ai!& A( 14F@F2( I( *er$so! 1454@2( @( ><ou$all& :( 1459C2( O(
Freu#& ;esa''elte :erke& 3I 1456C2( F( Freu#& op( it( 5( The ;uar#ia!& I(5(45@9( 4C( See
Ref( A( 44( *er$so!& op( it( 49( Hu-ley& Al#ous& i! Co!trol of the >i!#& Farber& S( >( a!#
:ilso!& H( =( e#( 145@42( 4A( Au#e!& :( H( 145662( III( 3ARIETIES OF HU>OUR 4(
=o%e's =abour's =ost& 3( ii( 9( Sa)yer& :( :( 145II2& p( 46A( A( ;re$ory& op( it( I3( FRO>
HU>OUR TO <ISCO3ERB 4( Sa!tilla!a 145II2& p( 496( PART T:O THE SA;E 3(
>O>ENTS OF TRUTH 4( K[hler& :( 145IO2& p( AI( 9( Ibi#(& pp( 5A"6( A( Ibi#(& p( 56( 6(
Ibi#(& p( 5O( I( >erto!& R( K( 145@42( @( Pol\!yi 145IF2& p( 44( O( Ha#a'ar# 145652& p( 445(
F( Ibi#& p( 49C( 5( <ubos 145@C2& p( 44O( 5a( Ibi#& p( AA@( 4C( Juote# i! The Creati%e
Proess& ;hiseli!& e#( 145I92( 44( Ha#a'ar#& op( it(& p( F( 49( #e =au!ay& =( 1459I2( 4A(
>o!t'asso! 145A42& p( OO( 46& Polya& ;( 145I62& p( O@( 4I( Fi!#lay A( 1456F2& pp( A@"F( 3I(
THREE I==USTRATIONS 4( Histoire #e l'I!%e!tio! #e l'I'pri'erie par les >o!u'e!ts&
e#( H[fer& Paris 4F6C( 9( >ysteriu' Cos'o$raphiu'& Prefae( A( Ibi#( 6( Opera O'!ia&
3ol( HIII& pp( AA ff( I( Ibi#(& 3ol I& ap( 9C( @( Ibi#(& Notes 9 a!# A( O( Astro!o'ia No%a& II&
ap( 4F( F( Ibi#(& ap 66( 5( Op( O'!ia& 3ol( H3& pp( 4A6 se/( 4C( =etter of I(5(4FIO( 44(
Foot!ote to the Historial I!tro#utio! to The Ori$i! of Speies( 49( Notebooks& /uote# by
Hi''elfarb& ;( 145I52& p( 4IA( 4A( =ife a!# =etters& II& p( 94I( 46( To =yell, ibi#(& II& p(
964( 4I( To Fa)ett& >ore =etters& I& 45I( 4@( Ibi#(& I& A@( 4O( Ori$i!& @th e#(& p( 9( 4F( Ibi#(&
p( A( 45( =a'ark 145462& pp( 4C5"4C( 9C( Nor#e!ski[l#& History of *iolo$y& p( 69& /uote#
by Hi''elfarb& op( it(& p( 4IA( 94( *ritish >e#ial ?our!al& 6(F(45I@( 99( Hi''elfarb( op(
it(& p( 4I@( 9A( Ori$i!& @th e#(& p( A( 96( Hi''elfarb& op( it(& p( 9A6( 9I( >y =ife& I& p( AI5(
9@( Ibi#(& I& pp( 9A9& A@9( 9O( Ibi#(& I& pp( A@9 ff( 9F( Hi''elfarb& op( it(& p( 9A5( 95( Ibi#(&
p( 9AF( AC( =o( it( A4( Ibi#(& p( AA4( 3II( THINKIN; ASI<E 4( :hyte& =( =( 145@92& p(
9I( 9( Ibi#(& p( @A( A( Ibi#(& pp( FF"5( 6( Ibi#(& p( 5C( I( Ibi#(& p( 59( @( Ibi#(& p( 5A( O( Ibi#(& p(
5I( F( Ibi#(& p( 4CO( 5( Ibi#(& p( 4CF( 4C( Ibi#(& pp( 445"9C( 44( Ibi#(& pp( 496"I( 49( Ibi#(& pp(
4IC"4( 4A( Ibi#(& p( 4C6( I6( Ibi#(& p( 46O( 4I( Ibi#(& p( 4I6( 4@( Ibi#(& p( 4I6( 4O( Ibi#(& p( 4I9(
4F( Ibi#(& pp( 4@C"4( 45( Herri$el 145I52& Ar# e#(& pp( IO"F( 9C( Su+uki& <( T( 145I52& p( 56(
94( Pri!iples of Psyholo$y 14F5C2& 3ol( I& p( 9II( 99( I!/uiries i!to Hu'a! Faulty& 4FFA(
9A( Fi!#lay& A(& op( it(& p( 69( 96( Ke!#all& ?( 145II2& p( 4AF( 9I( Cro)ther& ?( ;( 1456C2& I&
p( 4AI( 9@( Ha#a'ar#& op( it(& pp( 469"A( 9O( Ibi#(& p( FI( 9F( Juote# by Ha#a'ar#& p( 56(
95( Ro'a! ?akobso!& /uote# by Ha#a'ar#& p( 5O( AC( Seeli$ 145I62& p( O4( A4( Ibi#( A9(
Si#!ey Hook& 'Co!sious!ess i! ?apa!'& Co''e!tary& Ne) Bork& ?a!( 45I5( AA( :hyte& =(
=( 145@92& p( 64( A6( Tratatus& Prop( 6494( 3III( UN<ER;ROUN< ;A>ES 4(
Ci%ili+atio! a!# its <iso!te!ts 145AC2( 9( Albert Ei!stei!0 Philosopher"Sie!tist 145652& p(
IA( A( =o( it( 6( Sie!tifi A'eria!& ?u!e 45@4( I! fat the proble' ori$i!ates )ith Carl
<u!ker( I( The I!te$ratio! of Perso!ality 1456C2& p( 4@( @( Cro)ther& ?( ;( 1456C2 p( A9I( O(
=o( it( F( O! Psyhi Researh& e#( ;ar#!er >urphy a!# *ello!& R( O( 145@42( 5( kber
#e! ;e$e!si!! #er Ur)orte& ;es( :erke 3III& p( 94@( 4C( <ie 3er!ei!u!$& ;( :( HI3& p( 44
44( >o!t'asso! 145A42& p( 4AO( 49( E!( *rit(& 4Ath e#(& artile o! Photo$raphy( 4A(
*e%eri#$e 145IC2& p( @5( 46( Sahs& H( 1456@2& p( 5F( 4I( *ro!o)ski 145@42 p( A4( 4@(
Cro)ther 145AO2& p( OO( 4O( Ibi#(& p( @5( 4F( =oe)i& O( 145@C2( 45( =o( it( IH( THE
SPARK AN< THE F=A>E 4( Juote# by ;hiseli!& op( it( 9( *e%eri#$e& op( it(& p( I( A(
Ibi#( 6( Har'o!ie >u!#i& I!tro#utio! to *ook 3( I( Juote# by *e%eri#$e& op( it(& p( 4CI(
@( Astro!o'ia No%a& I3( ap( IF( O( The Sleep)alkers 145I52( F( ?o!es& E( 145IA2& 3ol( I& p(
II( 5( Ibi#(& p( 4CA( 4C( Ibi#(& p( 4C4( 44( Ibi#(& p( 4C6( 49( Ibi#(& p( 5O( 4A( =ori'er 145952&
p( 54( 46( >arkey 1459F2& p( 69( 4I( The Story of >y =ife 145C92( H( THE E3O=UTION
OF I<EAS 4( :hitehea# 145IA2( 9( The Sleep)alkers& pp( I4I"4@( A( Pyke& >( 145@42& p(
94I( 6( Ple#$e& H( T( 145A52& p( 4CC( I( *ur!et& ?( 145CF2& p( 95( Ia( Pope's Epitaph for
Ne)to!& a!# Hilaire *ello's A!s)er to it( @( *artlett 145IF2& pp( 5F& 499& 4A6& 4A@"O( O(
1456F2& p( 4@O( F( The Sleep)alkers& p( OC( 5( Tato!& R( 145IO2& pp( 4A6"I( 4C( *utterfiel#
145652& pp( 4"9( 4Ca( The Sleep)alkers( 44( *utterfiel#& p( O( 49( Heath& Th( =( 145A92& p(
4OC( 4A( For a ritial aou!t of the ;alileo o!flit see The Sleep)alkers( 46( Pol\!yi
145IF2& pp( 4I@"F( 4I( <ubos 145IC2& p( 494( 4@( Pol\!y!i& op( it(& p( 4@F( 4O( Ibi#(& pp( 49"
4A( 4Oa( Sie!tifi A'eria!& >ay 45@A( 4F( Popper 145I52& p( 9FC( 45& <ubos 145@C2& pp(
4AA"I( 9C( 3oya$e to =aputa( HI( SCIENCE AN< E>OTION 4( Juote# by Kretsh'er
145A42& p( 4A@( 9( *e%eri#$e& op( it(& p( OI( A( ?o!es& E( 145IA2& I& p( A6F( 6( Juote# by
Farri!$to!& *( 145IA2& pp( 4AC"4( I( Juote# by Seeli$& op( it(& p( 6I( @( Har'o!ie >u!#i&
=ib( I3& ap I( O( :hyte& =( =( 145@92& p( @@( F( Op( it(& p( 4CI( 5( Seeli$& op( it(& p( 66( 4C(
Pla!Xte( Paris& No( 4& 45@4( PART THREE THE ARTIST A( The Partiipatory E'otio!s
HII( THE =O;IC OF THE >OIST EBE 4( Hil$ar# 145IO2& pp( 495 f( 9( Cf( ;ellhor!& E(
1456A a!# 45IO2( A( The E-pressio! of the E'otio!s i! >a! a!# A!i'als( 6( Cf( e($(
3ale!ti!e 1456@2& a!# Clarke& Hu!t& a!# Hu!t 1456O2( I( Cf( >uth& R( T( 145662( @(
>o!ta$u& A(& Sie!e& 3ol( 4AC& p( 4IO9( O( Kli!$& C( 145AA2( HIII( PARTNESS AN<
:HO=ENESS 4( Pe!fiel# 145I52& p( 965( HI3( ON IS=AN<S AN< :ATER:ABS 4(
Pia$et 145AC2( 9( Ci%ili+atio! a!# its <iso!te!ts& p( 4A ff( A( =T%y"*ruhl 1459A a!# 459@2(
6( Cf( Pol\!yi& op( it(& p( II( *( 3erbal Creatio! H3( I==USION 4( Co'presse# fro' The
Obser%er& =o!#o!& 9(49(45@9( 9( =T%y"*ruhl 1459@2& p( O@( A( Ibi#(& p( AFI( 6( Fit+'aurie
Kelly& ?(& artile o! '=iterature' i! E!( *rit(& 4Ath e#( H3I( RHBTH> AN< RHB>E 4(
1459O2& p( 4A5( 9( =e CltT #e ;uer'a!tes( A( A(R(N(>(<( 1456C2& 3ol( HH& p( OA9( 6( The
Na'e a!# Nature of Poetr( I( Juote# fro' ;hiseli!& e#( 145I92( H3II( I>A;E 4( Sahs& H(
1456@2( 9( 1459I2& p( 9OC ff( A( Kretsh'er 145A62( H3III( INFO=<IN; 4( :hat is ArtE 9(
Rihar#s& I( A( 145962( A( Cohe!& ?( 145IF2( HIH( CHARACTER AN< P=OT 4( >e'e!to
>ori( 9( *ra!#t& ;( :(& i! Cassell's E!( of =iterature 145IA2& 3ol( I& p( 699( A( 145AC2& pp(
9I se/( HH( THE *E==B OF THE :HA=E 4( See& for i!sta!e& ?u!$& Psyholo$y of the
U!o!sious 1454@2, >( *o#ki!& Arhetypal Patter!s i! Poetry 145A62, Toy!bee& A Stu#y of
History 1456O2( 9( ?u!$ 1459F2& p( A5I( A( Op( it( C( 3isual Creatio! HHI( >OTIF AN<
>E<IU> 4( Cf( Ne)to!& E( 145642( 9( =isto)el 145AA2& p( 94O( A( *eauty a!# U$li!ess
145492( 6( ?ae!sh 145AC2( I( ;ris& ?ua!& Hori+o!& Au$ust& 456@( @( Piasso i! a
o!%ersatio! )ith the e#itor of Cahiers #'Art 145AI2& /uote# by ;ol#)ater a!# Tre%es
1456I2( O( :ollber$& =( R( 1456I2( F( Juote# by Rei#& =( 145A42( 5( Juote# by ;o'brih
145@9*2& p( 4I5( 4C( A Ne) >etho# of Assisti!$ the I!%e!tio! i! <ra)i!$ Ori$i!al
Co'positio!s of =a!#sape 14O@I2( 44( ;o'brih 145@9*2& p( 49A( 49( Ibi#(& p( 499( 4A(
<Srer u!# #ie italie!ishe A!tike 145CI2( 46( ;o'brih 145@9*2& p( OI( 4I( Ibi#(& p( 49( 4@(
Ibi#(& pp( @4 ff( 4O( Ibi#(& p( 46I( 4F( Ibi#(& p( 49( 45( Ibi#(& p( 4C( HHII( I>A;E AN<
E>OTION 4( Kepes& ;( 145I@2& p( 4C9( 9( Ibi#(& pp( 9F@"O( HHIII( ART AN< PRO;RESS
4( 145652& p( 5O( 9( Juote# by ;o'brih 145@9*2& p( 96@( A( 145652& p( 4CI( 6( ;o'brih
145@9*2& p( 9C( I( Ibi#(& p( 4@5( @( Ibi#(& pp( 4O6"I( HHI3( CONFUSION AN< STERI=ITB
4( So'e le!$thy passa$es i! this hapter are lifte# )ithout ak!o)le#$e'e!ts fro' 'y
essay o! 'The A!ato'y of S!obbery' i! The Trail of the <i!osaur 145I62( 9( Ti'e& ?a!uary
9@& 45@9( A( See Note 4( 6( Juote# fro' 'This E!$la!#'& The Ne) States'a! a!# Natio!&
Au$ust 46& 45I6( *OOK T:O Habit a!# Ori$i!ality INTRO<UCTION 4( ?effress& A(& e#(
145I42& p( 44A( I( PRE"NATA= SKI==S 4( :oo#$er 145952& p( A9O( 9( Hy#e! 145@C2& p(
ACO( 9A( Hy#e! 145@92( A( *ertala!ffy 145I92& p( 4A6( 6( Shr[#i!$er 145662& p( O4( I( Cf(
e($( *utti!& ;( 45@9( @( Fishber$& >( a!# *lakler& A( :( 145@42( O( :illier& :eiss& a!#
Ha'bur$er 145II2& p( AAF( F( Ha'bur$er 145IIA2& p( @O( 5( :a##i!$to! 145A92& /uote#
fro' Pol\!yi 145IF2& p( AI@( 4C( :eiss 145A52& p( 95C( 44( Ha'bur$er 145II*2& p( 5OF( 49(
*rahet 145II2& pp( AF5 ff( 4A( Ha'bur$er& lo( it( 46( *ertala!ffy 145I92& p( 6O( II( THE
U*IJUITOUS HIERARCHB 4( e($( Co$hill 145952& Car'ihael& =( 145I62( 9( Nee#ha'&?(
145A92( A( Spe!er H( 14FOC"92( 6( Hei#e!hai! 1459A2( I( ?effress& A(& e#( 145I42& pp( 46C ff(
@& Pribra' 145@C2& p( @( O( Hyashi& T( 145@42& pp( 4F6 se/( F( Pribra' 145@C2& p( F( 5( Holst&
3( 145AO& 456F2( 4C( Peter'a!! 145A92& p( 496( 44( Juote# fro' Peter'a!!& op( it(& pp(
49O ff( 49( Ibi#(& p( 4AC( 4A( Ibi#(& pp( 4A4 f( 46( Ibi#(& p( 4A9( 4I( Juote# by >iller et al(
145@C2& p( 59( 4@( ?effress& op( it(& p( 464( 4O& Juote# fro' Ti!ber$e! 145I42& p( 495( III(
<BNA>IC EJUI=I*RIU> AN< RE;ENERATI3E POTENTIA= 4( Pribra' 145@C2& p(
6( 9( Ti!ber$e! 145I42& p( 49@( A( Thorpe 145I@2& pp( 9F"AC( 6( Nee#ha'& A( E( 145@42( I(
Chil#& C( >( 145962( I3( 'RECU=ER POUR >IEUH SAUTER' 4( Chil#& C( >( 145962& p(
4I4( 9( Ibi#(& p( 4IC( A( S'ithers 145@C2& p( 4CF( 6( Ibi#(& pp( 4C@"O( I( =ashley 145@C2& p(
9A5( @( =ashley 145952( O( *ertala!ffy& op( it(& p( 446( F( =o( it( 5( Kretsh'er 145A42& p(
4AF( 4C( >iller et al& op( it(& p( 455( 44( Pol\!yi 145IF2& p( 6CC( 49( Nee#ha'& A( E( 45@4(
3( PRINCIP=ES OF OR;ANI]ATION 4( Pribra' 145@C2( 3I( CO<ES OF INSTINCT
*EHA3IOUR 4( Ti!ber$e! 145I42& pp( 4F5& 45I( 9( e($( Spur)ay a!# Hal#a!e 145IA2&
/uote# by Thorpe 145I@2( A( Ti!ber$e! 145IA2& p( II( 6( Ti!ber$e! 145I42& p( 5( I( Sir ?ulia!
Hu-ley( @( Kuo& ]( B( 145A92( O( =ehr'a!& <( S( 145@42( F( *eah& F( A( 145@42( 5(
Ti!ber$e! 145I42& p( 469( 4C( Hil$ar# 145IF2& p( A( 44( Thorpe 145I@2& p( 4AA( 49( Ibi#(& p(
4F( 4A( Ibi#(& p( 9F( The ter' 'i!!ate releasi!$ 'eha!is'' is a tra!slatio! by Ti!ber$e! of
the ;er'a! #as a!$ebore!e& ausl[se!#e She'a 1%o! Ue-hSll"=ore!+2( 46( Ti!ber$e!
145I42& p( 4CA( 4I( =o( it( 4@( Ti!ber$e! 145IA2& p( 5( 4O( For a brief sur%ey see 'The
Co!ept of NRituali+atio!N' by A( <( *lest i! Curre!t Proble's i! A!i'al *eha%iour& e#(
Thorpe a!# ]a!$)ill 145@42( 4F( Thorpe 145I@2& p( 4A9( 45( Ibi#(& p( A4( 9C( :oo#)orth
1454F2( 94( Ti!ber$e! 145I42& pp( 4CI"@( 99( Ibi#(& p( 44C( 9A( Ibi#(& pp( 4C6"I( 96( Thorpe
145I@2& p( 64( 9I( Ibi#( p( 69( 9@( Ibi#(& p( 45( 9O( =o( it( 9F( Thorpe 145I@2& p( 9@( 95(
Ibi#(& p( 9@9( AC( Hi!$sto! 1454O2& /uote# by Thorpe 145I@2& p( AF( A4( Hi!$sto!& op( it(&
/uote# by Thorpe 145I@2& p( A5( A9( =i!#auer& >( 145I92( AA( Ti!ber$e! 145IA2& p( 4C9( A6(
Ibi#(& p( 44@( 3II( I>PRINTIN; AN< I>ITATION 4( Hil$ar# 145IO2& p( 49I( 9( Hei!roth&
O( 145AF2( A( Thorpe 145I@2& p( AOI( 6( Thorpe 145I@2& p( AI@( I( =ashley 1454A2( @(
><ou$all 145A@2( O( Thorpe 145I@2& p( AOI( F( Ibi#(& p( AO6( 5( Ibi#(& p( AI@( 3III(
>OTI3ATION 4( >o)rer& O( H( 145I92( 9( Freu# 1459C2& pp( A"I( A( Hil$ar# 145IF2& p(
69F( 6( Hebb 145652& pp( 4OF"FC( I( Cf( i(a(& ]e!er 145IO2, =ouks 145AI& 45AF2, Ho%la!#
145AO2, Hil$ar# a!# >ar/uis 1456C2, a!# for a o!ise su''ary Hebb 145652& pp( 4O6"@( @(
For a re%ie) of the literature& f( e($( Pribra' 145@C2( O( >iller et al(& op( it(& p( AC( F(
Pribra' 145@C2& p( A( 5( Ski!!er 145AF2& p( 5( 4C( Ibi#(& pp( 6C( 44( >iller et al(& op( it(& p(
99( 49( Hil$ar# 145IF2& p( 4CI( 4A( Hu'phreys& =( ;( 145A52( 46( Hull 145I92& p( AIC( 4I&
Hil$ar# 145IF2& p( 4OO( 4@( *erly!e& <( E( 145@C2& p( 99I( 4O( Allport& ;( :( 145IO2( 4F(
;ol#stei!& K( 145A52( 45( Cf( e($(& ?e!ks *( a!# Potter& P( *(& ?our!al of Psyholo$y& 3ol(
65& p( 4A5( 9C( Nisse!& H( :( 145I62( 94( *erly!e& op( it(& p( 44I( 99( Ibi#(& p( 44@( 9A( Ibi#(&
p( 49O( 96( Ibi#(& p( 44O( 9I( Ibi#(& p( 44O( 9@( Ibi#(& p( 445( 9O( Ibi#(& pp( 4AA"6( 9F( =ore!+
145I@2( 95( Co'presse# fro' The <ese!t of >a! 1454A e#(2& pp( 4CF"4C, a!# The
E-pressio! of the E'otio!s 14FO92& p( 6A( AC( *erli!& 454O, =o!#o! a!# Ne) Bork 459I(
A4( *erly!e& op( it(& p( 46F( A9( Harlo) et al( 145IC2( AA( Harlo) 145IA2& p( 9I( A6(
:oo#)orth 1456O2& p( 49A( AI( *erly!e& op( it(& p( 4OC( A@( =o( it( AO( Pa%lo% 1459O2( AF(
<arhe!& R( 145I9& 45I6& a!# 45IO2& /uote# by *erly!e& op( it(& p( 4C6( A5( Thaker& =( A(
145IC2( 6C( Thorpe 145I@2& p( 5( 64( Ibi#(& p( 49( 69& Craik& K(?(:( 1456A2& p( @4( 6A( Allport&
;( :( 145II2& p( @O( IH( P=ABIN; AN< PRETEN<IN; 4( Thorpe 145I@2( 9( *erly!e& op(
it(& p( I( A( Thorpe 145I@2& p( FO( 6& =o( it( I( Ibi#( p( AII( H( PERCEPTION AN<
>E>ORB 4( ;ala'bos 145I@2( Cf( also 9@5( 9( >oray& N(& The =iste!er& 45(6( 45@9( A( e($(
Hil$ar# 145IF2& p( 669 se/( 6( Ittelso!& :( H( 145I92& /uote# fro' Pol\!yi 145IF2& p( 5@( I(
:e%er& E( ;( 145652( @( Os$oo# 145@C2& p( 444( O( Pri!$le& ?(:(S( 145I42( F( Hy#e! 145@C&
45@92( 5( :hitfiel# 145652& p( A@O( 4C( >iller et al(& op( it(& pp( 4A6 ff( 4CA( *artlett 145@42&
ap( 3( 44( See e($( Hebb 145652& ap( 9( I9( Ibi#( 4A( Ibi#( 46( Ibi#( 4I( E-!er 14F542&
/uote# by Thorpe 145I@2& p( 495( I@( See& for i!sta!e& >iles's 145A42 fasi!ati!$
ki!epha!tosope( 4O( <ubos& p( 56( 4F( *abba$e 14FAC2& /uote# by Ha!so! 145@42& p( 4F6(
45( *arlo) 145I52& pp( II9 se/( 9C( Juote# by Koffka 145AI2& p( 46A( 94( :oo#)orth
145AF2& p( I@4( 99( Cf( Os$oo# 145@C2& p( @64& Klue%er& H( 145II2 a!# ?ae!sh& E( R(
145AC2( 9A( Klue%er& op( it( a!# ?ae!sh& op( it( 96( Klue%er& op( it( 9I( Pierre& T( H(
145II2( 9@( Klue%er& op( it( 9O( ?ae!sh& op( it( 9F( Ibi#(& p( 5O( 95( Se'o!& R( 145942& p(
465( AC( :oo#)orth 145AF2& p( 69( A4( Hea# 1459@2& p( 9A9( A9( Juote# by Pe!fiel# 145I52&
p( 99@( AA( Fry& <( *( a!# <e!es& P(& i! >eha!i+atio! of Thou$ht Proesses 145I52& p( AOF(
A6( Pa$et 145AC2( AI( Fry a!# <e!es& op( it(& p( AF4( A@( Pa$et& op( it( AO( =a#efo$e#& P(& i!
>eha!i+atio! of Thou$ht Proesses 145I52& p( 6CO( AF( Ibi#(& p( 644( See also >akay& <(
>( a!# Sutherla!#& N( S(& ibi#(& pp( @CO"5( A5( <re%er& ?(& 9!#( i! A!!ual Re%ie) of
Psyholo$y 145@C2& p( 4A4( 6C( Ibi#(& pp( 4IA"6( 64( Thorpe 145I@2& p( 445( 69( =o( it( 6A(
Thorpe 145I@2& p( 644( 66( Ibi#(& p( 445( 6I( Juote# by :ile!ski& R( H( 1456C2& p( 9C9( 6@(
f( =a#efo$e#& P(& i! >eha!i+atio! of Thou$ht Proesses 145I52& p( 6C9( 6O( *artlett
145@42& p( 9CC( 6F( Ibi#& p( 94A( 65( Ti'e& >arh 9& 45@9( HI( >OTOR SKI==S 4(
Psyholo$ial Re%ie)& 4F55& @& pp( A6I"OI( 9( :oo#)orth 145AF2& p( 4I5( A( *ook& :( F(
145CF2( 6( :oo#)orth 145AF2& p( 6I( I( Ne) Sie!tist& >arh 4& 45@9( @( >iller et al(
145@C2& p( F@( O( =ashley i! the Hi-o! Sy'posiu'& p( 49A( F( Ruh& T( C( 145I42& p( 9CI(
HII( THE PITFA==S OF =EARNIN; THEORB 4( 1459O2& pp( A9"A( 9( Ski!!er& /uote# by
Hil$ar# 145IF2& p( 44O( A( Ibi#(& p( 4C@( 6( 7bi#(& p( 4I9( I( K[hler0 The >e!tality of Apes&
;estalt Psyholo$y( Koffka0 Pri!iples of ;estalt Psyholo$y& The ;ro)th of the >i!#( @(
:atso! 1459F2& pp( 45F ff( O( :atso! 145962& p( 9F4( F& :atso! 1459F2& p( 455( 5( =o( it(
4C( Hil$ar# 145IF2& p( 494( 44( ;uthrie 145AI2& p( 9I( 49( Ski!!er 145IAa2& /uote# by
Hil$ar# 145IF2& p( 44I( 4A( Hull 1456I2& p( I@( 46( Hil$ar# 145IF2& p( 4I9( 4I( Os$oo#
145IA2& p( @II( 4@( Hebb 145652& p( I5( 4O( Hil$ar# 145IF2& pp( F ff( 4F( Ibi#& p( AAI( 45(
Pol\!yi 145IF2& p( O4( 9C( Craik 1456A2& p( 494( 94( Hebb 145652& p( 49O( 99( Thorpe 145I@2&
pp( 5@& 4CC& 4C@( 9A( Ibi#(& pp( 995& 9A4( 96( Ibi#(& pp( 995& 9A4& 9A9& 9AI( 9I( Ibi#(& p( 99O(
9@( Russell 1459O2& p( 64( 9O( Os$oo# 145IA2& p( 6I4( 9F( Rose!thal& R(& a!# Fo#e& K( =(&
'The Effet of E-peri'e!ter *ias o! the Perfor'a!e of the Albi!o Rat' i! *eha%ioral
Sie!e& 3ol( 3III& A& ?uly 45@A( 95( Earl Ubell i! the Ne) Bork Heral# Tribu!e& ?a!uary
45@C( AC( Thor!#ike 1454A"462& p( 4A6( A4( Os$oo#& op( it(& p( @C6( A9( Hil$ar# 145IF2& p(
4I( A9a( Tol'a! 145AO2& p( 44( AA( Hil$ar# 145IF2& p( @I( A6( Krehe%sky 145A92( AI( Ibi#(
A@( Hil$ar# 145IF2& p( 6OC( AO( Os$oo#& op( it(& p( @C6( HIII( THE PITFA==S OF
;ESTA=T 4& K[hler 145IO2& p( 44A( 9( Ibi#(& p( 44A !( A( Os$oo# 145@C2& p( @AO( 6( K[hler
145IO2& p( 4@6( I( Berkes 1456A2& p( 4I@( @( Os$oo#& op( it(& p( @44( O( =o( it( F( K[hler
145IO2& p( 6A( 5( Ibi#& p( 66( 4C( Ibi#(& ap 3II( 44( Ibi#(& p( 66( 49( Ibi#(& p( 6I( 4A&(Ibi#(& p(
4@O( 46( Berkes 1456A2( 4I( *irh H( ;(& i! ?( Co'p( Psyhol(& 456I& p( AF9( 4@( Tho'pso!&
:( R( a!# Hero!& :( 145I62& /uote# by Hebb 145IF2& p( 945( 4O( K[hler 145IO2& p( 4@6( 4F(
Ibi#(& p( 4@O( 45( K[hler 145AC2& p( 9OO( 9C( Ibi#(& pp( 9O9 se/( 94( Craik 1456A2& pp( I9( 99(
Cf( e($( K[hler 145IO2& p( 9O( 9A( Pia$et 145I62& p( AI5( 96( Craik& op( it(& p( 4( 9I( Russell
1459O2& pp( 9O5"FC( 9@( Ibi#& p( FA( 9O( K[hler 145AC2& p( 99I( 9F( Peter'a!! 145A92( 95(
Hi-o! Sy'posiu'& p( @5( AC( Pol\!yi 145IF2& p( A64( A4( Koffka 145AI2& p( IOC( A9( K[hler
145AC2& p( 94I( AA( Hebb 145652& p( 4A6( A6( Ibi#(& p( 4@6( AI( Hebb 145IF2& pp( 9C6"I( A@(
Hil$ar# 145IF2& pp( 6OI"@& 6OO"F( HI3( =EARNIN; TO SPEAK 4( ?a'es 14F5C2& 3ol( I& p(
9IA( 9( Ah /uote# by Hu'phrey& ;( 145I42& p( 9@C( A( Os$oo#& op( it(& p( @F@( 6( Pia$et
145I62& p( AI5( I( Hil$ar# 145IO2& p( A4I( @( Pia$et 145I62( O( Ibi#(& p( 59( F( Pe!fiel# a!#
Roberts 145I52& pp( 99F"5( 5( Juote# by :oo#)orth 145AF2& p( 46F( 4C( Thorpe& op( it(& p(
445( 44( Hea# 1459@2& pp( 444& 449( 49( :oo#)orth 145AF2& p( FC5( 4A( Hu'phrey 145I42&
p( 9I9( 46( Pe!fiel# a!# Roberts 145I52& p( 99@( 4I( =o( it( 4@( Ibi#(& p( 99F( 4O( Chapter
o! =a!$ua$e a!# Thou$ht( H3( =EARNIN; TO THINK 4( Russell 1459O2& p( IF( 9(
=ori'er 145952& p( 5I( A( Cf( *ook O!e& p( A99( 6( =ori'er 145952& p( 56( I( >arkey 1459F2&
p( O4( @( Ibi#(& p( IC( O( Hebb 145652& p( 44F( F( Ibi#(& pp( 44O ff( 5( Juote# by Hu'phrey&
op( it(& p( 9I( 4C( Os$oo#& op( it(& @F5( 44( Cf( e($( Hebb 145652& p( 4O@( 49( =ori'er& op(
it(& pp( 4CA ff( 4A( Koffka 145AC2& p( A6O( 46( Pia$et 145AC2& p( 96A( 4I( Pia$et 1459F2& p(
995( 4@( Ibi#(& p( 99O( 4O( =ori'er 145952& pp( 496"@( 4F( Craik& op( it(& p( 494( 45( See
=T%y"*ruhl 1459@2& pp( 4F4 se/( 9C( Ibi#( 94( <a!t+i$ 145AC2( 99( Hero#otus& Historia& *k(
3II( 9A( <a!t+i$& op( it(& pp( 5 ff( 96( Cf( e($( Haas& :( S( 145I@2( H3I( SO>E ASPECTS
OP THINKIN; 4( Cf( Koestler 145@C2( 9( Cf( Hy#e! 145@C& 45@92( A( Pe!fiel# a!# Roberts&
op( it(& p( 9AA( H3II( ASSOCIATION 4( Os$oo#& op( it( 9( Hu'phrey& op( it(& p( 4( A(
Juote# by :oo#)orth 145AF2& p( AOC( 6( Juote# by :oo#)orth 145A52 pp( AIC ff( I(
:oo#)orth 1+5A52 pp( AI9 ff( H3III( HA*IT AN< ORI;INA=ITB 4( Juote# by Polya
145AF2& p( 4@6( 9( Polya 1456F2& p( 4IF( A( Ibi#(& p( IF( 6( =o( it( I( Os$oo#& op( it(& p(
@AA( APPEN<IH I( ON =OA<STONES AN< A>*ER 4( <e >a$!ette& *ook 3& ap( 49(
9( Ibi#(& 3I& 6( A( Cap @( 6( Ple#$e 145A52& p( 494( I( Juote# fro' F( Sher)oo# Taylor
145652& p( 9IF( @( Artile o! 'Eletriity' i! E!( *rit( 145II e#(2 3III& p( 4F5( O( Cro)ther
1456C2& p( A6F( APPEN<IH II( SO>E FEATURES OF ;ENIUS 4( The Eli+abetha! :orl#
Piture 1456@2( 9( Sie!e a!# I'a$i!atio! 145I@2( A( Juote# by Farri!$to! 145IA2& pp(
4AC"4( 6( *utterflel# 145652& p( 95( I( <reyer& ?(=(E( Tyho *rahe 14F5C2& p( 46( @( Il
Sa$$iatore( O( <ialo$ue o! the ;reat :orl# Syste's& p( 6@5( F( Il Sa$$iatore& Opere& 3I& p(
9A9( 5( <ialo$ue Co!er!i!$ T)o Sie!es& p( 4( 4C( <ialo$ue o! the ;reat :orl# Syste's&
pp( @F"5( 44( <rake Still'a! 145IO2& pp( 9I@"F( 49( Har'o!ie >u!#i& ap( O( 4A( Hoski!&
>(& 'The >i!# of Ne)to!'& The =iste!er& 45(4C(@4( 46( Phillips& R( 1459O2( 4I( Cro)ther& ?(
;( 1456C2& p( 495( 4@( Ibi#(& p( A4@( 4O( Hi''elfarb& ;(& op( it(& p( 9@( 4F( Ibi#(& pp( A46"4O(
45( Ibi#(& p( A4O( 9C( Ibi#(& p( 445( 94( Ibi#(& pp( ACO"F( 94A( Ibi#( p( AIO( 99( Ori$i! of
Speies 14FOA2& p( 695( 9A( The <ese!t of >a! 1454A2 e#(& pp( 56@"O( 96( <ubos 145IC2& p(
O9( 9I( <ubos 145@C2& p( A@( 9@( <ubos 145IC2& p( 446( 9@A( Ibi#& p( A5@ f( 9O( Ibi#& p( FO(
9F( =a Perso!!e #u Pri- Nobel 1i! the press2( 95( E!( *rit(& 4Ath e#( o! ?alois( AC( Seeli$&
op( it(& p( 9F( A4( Ibi#(& p( 9@( A9( Cro)ther 1456C2& pp( AI@ ff( AA( <ubos 145IC2& p( AFA(
:ORKS >ENTIONE< IN THIS *OOK ACH& N(& A!alyse #es :ille!s( *erli!& 45AI(
A==PORT& ;( :(& Perso!ality0 A Psyholo$ial I!terpretatio!( Ne) Bork0 H( Holt& 45AO(
A==PORT& ;( :(& *eo'i!$( Bale U!i%( Press& 45II( A(R(N(>(<(& The Hypothala'us&
3ol( HH& p( OA9( *alti'ore& >#(& 456C( AU<EN& :( H(& The Sea a!# the >irror( Ne) Bork0
Ra!#o' House& 4566( *A**A;E& C(& The <eli!e of Sie!e i! E!$la!#( =o!#o!0 R(
Clay& 4FAC( *AEREN<S& ;( P(& 'Fortpfla!+u!$s%erhalte! u!# Orie!tieru!$ #er ;rab)espe
A''ophila a'pestris' i! ?ur( Ti.#( %oor E!to'& F6& O4"9OI& 4564( *AIN& A(& >a!ual of
>e!tal a!# >oral Sie!e( =o!#o!0 =o!$'a!s& 4F@F( *AR<& e#(& >aleo#'s Physiolo$y i!
>o#er! >e#ii!e( St( =ouis0 >osby& 4564 15th e#(2( *AR=O:& H( *(& i! >eha!isatio! of
Thou$ht Proesses( =o!#o!0 H(>( Statio!ery Offie& 45I5( *ART=ETT& SIR
FRE<ERICK& Thi!ki!$( =o!#o!0 ;( Alle! a U!)i!& 45IF( *ART=ETT& SIR
FRE<ERICK& Re'e'beri!$( Ca'bri#$e U!i%( Press& 45@4( *ECK& E( See ;astaut& H(
*E==ON& R( O( See ?a'es& :illia'( *ER;SON& H( =(& =e Rire( Paris0 F( Ala!& 454@
14Ith e#(2( *ER=BNE& <( E(& Co!flit& Arousal a!# Curiosity( =o!#o!& Ne) Bork& Toro!to0
>;ra)"Hill& 45@C( %o! *ERTA=ANFFB& =(& Proble's of =ife( Ne) Bork0 Harper
Torhbooks& 45I9( *E3ERI<;E& :(I(*(& The Art of Sie!tifi I!%esti$atio!( =o!#o!0
Hei!e'a!!& 45IC( *IRCH& H( ;(& i! ?( Co'p( Psyhol(& AF9& 456I( *IRNEB& R( C( a!#
TEE3AN& R( C(& e#s(& I!sti!t( Pri!eto!& N(?(& a!# =o!#o!0 %a! Nostra!#& 45@4(
*=ACK=ER& A( :( See Fishber$& >( *=EST& A( <(& i! Thorpe a!# ]a!$)ill& e#s(&
Curre!t Proble's i! A!i'al *eha%iour( Ca'bri#$e U!i%( Press& 45@4( *O<KIN& >(&
Arhetypal Patter!s i! Poetry( O-for# U!i%( Press& 45A6( *OOK& :( F(& The Psyholo$y of
Skill( >issoula& >o!t(0 U!i%( of >o!ta!a& 45CF( *RACHET& ?(=(A(& artile o!
'E'bryolo$y& Hu'a!' i! E!ylopae#ia *rita!!ia& 3ol( 3III& AF5* 145II e#(2( *RACHET&
?(=(A(& See Hy#e!& H(& 45@C( *RA;;& SIR =A:RENCE& The History of Sie!e( =o!#o!0
Cohe! a :est& 45I4( *RAN<T& ;( :(& artile o! 'Plot' i! CasseGl's E!( of =iterature& 3ol(
I( =o!#o!& 45IA( *RONO:SKI& ?(& Sie!e a!# Hu'a! 3alues( =o!#o!0 Huthi!so!&
45@4( *RBAN& :( =( a!# HARTER& N(& i! Psyhol( Re%ie)& @& A6I"OI& 4F55( *URNET& ?(&
Early ;reek Philosophy( =o!#o!0 *lak)ell& 45CF( *URT& SIR CBRI=& 'The Struture of
the >i!#' i! *r( ?( of E#u( Psyhol(& 3ol( HIH& ?u!e a!# No%e'ber& 4565( *URT& SIR
CBRI=& 'The Co!ept of Co!sious!ess' i! *r( ?( of Psyhol(& IA& A& 45@9( *URT& SIR
CBRI=& 'The Psyholo$y of =au$hter'& Health E#uatio! ?our!al& 3ol( III& 456I(
*UTTERFIE=<& H(& The Ori$i!s of >o#er! Sie!e( =o!#o!0 ;( *ell& 4565( *UTTIN& ;(&
i! <iso%ery( =o!#o!& Au$ust 45@9( CA=3IN& A( <(& e#(& Psyholo$y( *osto!& >ass(0
Ally! a *ao!& 45@4( CANNON& :( *(& *o#ily Cha!$es i! Pai!& Hu!$er& Fear a!# Ra$e(
Ne) Bork0 <( Appleto! a Co(& 4595 19!# e#(2( CAR>ICHAE=& =(& i! >a!ual of Chil#
Psyholo$y& pp( 6A"4@@( Ne) Bork0 ?( :iley a So!s& 45I6 19!# e#(2( CHI=<& C( >(&
Physiolo$ial Fou!#atio!s of *eha%iour( Ne) Bork0 H( Holt a Co(& 4596( CO**& S(&
E'otio!s a!# Cli!ial >e#ii!e( Ne) Bork0 :( :( Norto! a Co(& 45IC( CO;HI==& ;( E(&
A!ato'y a!# the Proble' of *eha%iour( Ca'bri#$e U!i%( Press& 4595( COHEN& ?(& i! The
Ne) Sie!tist& pp( 5IC ff( =o!#o!& 9(4C(45IF( COPERNICUS& N(& O! the Re%olutio!s of
the Hea%e!ly Spheres( Tr( :allis& C( ;( Chia$o U!i%( Press& 45I9( CO]ENS& A(& A Ne)
>etho# of Assisti!$ the I!%e!tio! i! <ra)i!$ Ori$i!al Co'positio!s of =a!#sape& 4O@I(
CRAI;& :(& i! *iol( *ull(& A6& 54"4CO& 454F( CRAIK& K(?(:(& The Nature of E-pla!atio!(
Ca'bri#$e U!i%( Press& 456A( CRI=E& :( ;(& The Ori$i! a!# Nature of the E'otio!s(
Phila#elphia0 :( *( Sau!#ers& 454I( CRO:THER& ?( ;(& Fa'ous A'eria! >e! of
Sie!e( =o!#o!0 Seker a :arbur$& 45AO( CRO:THER& ?( ;(& *ritish Sie!tists of the
Ni!etee!th Ce!tury 19 %ols(2( =o!#o!0 Pe!$ui! *ooks& 456C( <ANT]I;& T(& Nu'ber& the
=a!$ua$e of Sie!e( =o!#o!0 ;( Alle! a U!)i!& 45AC( <ARCHEN& R(& i! ](
Tierpsyhol(& 5& A@9"O9& 45I9( <ARCHEN& R(& i! ]( Tierpsyhol(& 44& 4"44& 45I6(
<ARCHEN& R(& i! ?( Psyhol( Nor'( Path(& I6& 45C"9CI& 45IO( <AR:IN& C( R(& The
E-pressio! of the E'otio!s i! >a! a!# A!i'als( =o!#o!0 ?( >urray& 4FO9( <AR:IN& C(
R(& The Ori$i! of Speies( =o!#o!0 ?( >urray& 4FOA 1@th e#2( <AR:IN& C( R(& <ese!t of
>a!( =o!#o!0 ?( >urray& 454A e#( <AR:IN& C( R(& =ife a!# =etters& e#( Fra!is <ar)i!& A
%ols( =o!#o!& 4FFO( <AR:IN& C( R(& >ore =etters& e#( Fra!is <ar)i! a!# A( C( Se)ar#&
9 %ols( =o!#o!& 45CA( <ENES& P( See Fry& <( *( <IRAC& P(A(>(& i! Sie!tifi A'eria!&
3ol( 9CF& No( I& >ay 45@A( <RAKE& STI==>AN& <iso%eries a!# Opi!io!s of ;alileo(
Ne) Bork0 A!hor *ooks& 45IO( <RE3ER& ?(& 9!#& i! A!!ual Re%ie) of Psyhol( Palo
Alto& Calif(0 A!!ual Re%ie)s I!(& 45@C( <RE3ER'S <itio!ary of Psyholo$y( =o!#o!0
Pe!$ui! *ooks& 45@9( <REBER& ?(=(E(& Tyho #e *rahe( E#i!bur$h0 A( a C( *lak& 4F5C(
<U*OS& R(& =ouis Pasteur( *osto!0 =ittle& *ro)! a Co(& 45IC( <U*OS& R(& Pasteur a!#
>o#er! Sie!e( Ne) Bork0 A!hor *ooks& 45@C( <UCHENNE 1#e *oulo$!e2& ;(& =e
>Tha!is'e #e la Physio!o'ie Hu'ai!e( Paris0 P( Asseli!& 4F@9( E>PSON& :(& Se%e!
Types of A'bi$uity( =o!#o!0 Chatto a :i!#us& 45AC( E3ANS& S( >(& i! The Ne)
Sie!tist( =o!#o!& 9(I(45@A( EHNER& S(& <ie Physiolo$ie #er faettierte! Au$e! %o!
Krebse! u!# I!sekte!( =eip+i$ u!# :ie!0 4F54( FAR*ER& S( >( a!# :I=SON& R(H(=(&
e#s(& Co!trol of the >i!#( Ne) Bork a!# =o!#o!0 >;ra)"Hill& 45@4( FARRIN;TON& *(&
;reek Sie!e( =o!#o!0 Pelia! *ooks& 45IA( FIN<=AB& A(& A Hu!#re# Bears of
Che'istry( =o!#o!0 <uk)orth& 456F 19!# e#(2( FISCH*ER;& >( a!# *=ACK=ER& A(
:(& i! Sie!tifi A'eria!& Septe'ber 45@4& pp( 4A4"F( FO<E& F( =( See Rose!thal& R(
FOOR<& E( N( See Hebb& <( O( FOSS& *(& i! The Ne) Sie!tist( =o!#o!& @(O(45@4(
FREU<& SI;>UN<& ;esa''elte :erke& 3ols( I"H3III( =o!#o!0 I'a$o Publishi!$ Co(&
456C"I9( FRB& <( *( a!# <ENES& P(& i! >eha!isatio! of Thou$ht Proesses 19 %ols2(
=o!#o!0 H(>( Statio!ery Offie& 45I5( ;A=A>*OS& R(& i! ?( Neurophysiol(& 45& 696"AO&
45I@( ;A=ANTER& E( See >iller& ;( A( ;A=I=EO& ;A=I=EI& Opere( Flore!e0 E#i+(
Na+(& 4595"A5( ;A=I=EO& ;A=I=EI& <ialo$ue Co!er!i!$ T)o Ne) Sie!es( Tr( H(
Cre)( E%a!sto!& I=(& 45IC( ;A=I=EO& ;A=I=EI& The Star >esse!$er& The Assayer& et(
See <rake& Still'a!( ;A==A;HER& ?( ?(& i! Psyholo$y( *osto!& >ass(0 Ally! a *ao!&
45@4( ;A=TON& F(& I!/uiries i!to Hu'a! Faulty( =o!#o! a!# Ne) Bork0 >a'illa!&
4FFA 14st e#(2( ;AR<NER >URPHB( See ?a'es& :illia'( ;ASTAUT& H( a!# *ECK& E(&
i! The Ne) Sie!tist( =o!#o!& 4(A(45@9( ;E==HORN& E(& Auto!o'i Re$ulatio!s( Ne)
Bork0 I!ter"Sie!e Publishers& I!(& 456A( ;E==HORN& E(& Auto!o'i I'bala!e( Ne)
Bork0 I!ter"Sie!e Publishers& I!(& 45IO( ;HISE=IN& *(& e#(& The Creati%e Proess( U!i%(
of Calif( Press& 45I9( ;I*SON& ?( ?(& i! Psyhol( *ull(& AF& OF4"F4O& d56r( ;I=*ERT& :(&
<e >a$!ate( =o!#o!& 4@CC( ;O=<STEIN& K(& The Or$a!is'( Ne) Bork0 A'eria!
*ooks& 45A5( ;O=<STEIN& K(& Hu'a! Nature i! the =i$ht of Psyhopatholo$y(
Ca'bri#$e& >ass(0 Har%ar# U!i%( Press& 456O( ;O=<:ATER& R( a!# TRE3ES& >(& e#s(&
Artists o! Art( =o!#o!0 K( Paul& 456O( ;O>*RICH& E( H(& The Story of Art( =o!#o!0
Phai#o! Press =t#(& 45@9a( ;O>*RICH& E( H(& Art a!# Illusio!( =o!#o!0 Phai#o! Press
=t#(& 45@9b( ;OO<FIE=<& ?( See Toul'i!& S( ;RA3ES& RO*ERT& Poeti U!reaso!(
=o!#o!0 Ceil Pal'er& 459I( ;RE;ORB& ?( C(& The Nature of =au$hter( =o!#o!0 K( Paul&
4596( ;REI;& ?(B(T(& The Psyholo$y of =au$hter a!# Co'e#y( =o!#o!0 ;( Alle! a
U!)i!& 459A( ;RIS& ?UAN& i! Hori+o!& =o!#o!& Au$ust 456@( ;UTHRIE& E( R(& The
Psyholo$y of =ear!i!$( Ne) Bork0 Harper& 45AI( HAAS& :( S(& The <esti!y of the >i!#(
=o!#o!0 Faber& 45I@( HA<A>AR<& ?(& The Psyholo$y of I!%e!tio! i! the >athe'atial
Fiel#( Pri!eto! U!i%( Press& 4565( HA=<ANE& ?(*(S( See Spur)ay& H( HA>*UR;ER&
3(& artile o! 'Re$e!eratio!' i! E!ylopae#ia *rita!!ia& 3ol( HIH& p( @O 145II e#(2(
HA>*UR;ER& 3(& artile o! 'E-peri'e!tal E'bryolo$y' i! E!ylopae#ia *rita!!ia&
3ol( 3III& p( 5OF 145II e#(2( HA>*UR;ER& 3( See :illier& *( H( HAN=EB& C(& i!
Psyholo$y( *osto!& >ass(0 Ally! a *ao!& 45@4( HANSON& N( R(& Patter!s of <iso%ery(
Ca'bri#$e U!i%( Press& 45@4( HAR<B& ;( H(& A >athe'atiia!'s Apolo$y( Ca'bri#$e
U!i%( Press& 456C( HAR=O:& H( F(& i! Psyhol( Re%(& @C& 9A"A9& 45IA( HEA<& SIR
HENRB& Aphasia a!# Ki!#re# <isor#ers of Speeh( Ca'bri#$e U!i%( Press& 459@( HEA<&
SIR HENRB& i! *( ?( of E#u( Psyhol(& 3ol( HIH& II a!# III& ?u!e a!# No%e'ber& 4565(
HEATH& T( =(& ;reek Astro!o'y( =o!#o!0 <e!t& 45A9( HE**& <( O(& The Or$a!isatio! of
*eha%iour( Ne) Bork0 :iley& 4565( HE**& <( O(& i! Psyhol( Re%(& @9& 45II( HE**& <(
O(& A Te-tbook of Psyholo$y( Phila#elphia a!# =o!#o!0 Sau!#ers& 45IF( HE**& <( O( a!#
FOOR<& E( N(& i! ?( E-p( Psyhol(& AI& AAI"6F& 456I( HEI<ENHAIN& >(& For'e! u!#
Krhfte i! #er lebe!#e! Natur( *erli!& 459A( HEINROTH& O(& Aus #e' =ebe! #er 3[$el(
=eip+i$& 45AF( HERON& :( See Tho'pso!& :( R( HERRICK& C( ?(& The Thi!ki!$
>ahi!e( Chia$o U!i%( Press& 4595( HERRI;E=& E(& ]e! i! the Art of Arhery( =o!#o!0
Routle#$e a K( Paul( 45I5 1Ar# e#(2( HESSE& >( *(& Fores a!# Fiel#s( =o!#o!0 T( Nelso!&
45@4( HI=;AR<& E( R(& I!tro#utio! to Psyholo$y( =o!#o!0 >ethue!& 45IO( HI=;AR<&
E( R(& Theories of =ear!i!$( =o!#o!0 >ethue!& 45IF 19!# e#(2( HI=;AR<& E( R( a!#
>ARJUIS& <( ;(& Co!#itio!i!$ a!# =ear!i!$( Ne) Bork0 Appleto!"Ce!tury& 456C(
HI>>E=FAR*& ;(& <ar)i! a!# the <ar)i!ia! Re%olutio!( Ne) Bork0 A!hor *ooks&
45I5( HIN;STON& R(:(;(& i! ?( *o'bay Nat( Hist( So(& A4& 459@"O( Hi-o! Sy'posiu'(
See ?effress& =( A(& e#( HO**ES& T(& =e%iatha!& 4@I4( HmFER& e#(& Histoire #e l'I!%e!tio!
#e l'I'pri'erle par les >o!u'e!ts( Paris& 4F6C( %o! HO=ST& E(& i! Natur)iss(& 9I& 45AO(
%o! HO=ST& E( i! E-perie!tia& 6& 456F( HOOK& SI<NEB& i! Co''e!tary& Ne) Bork&
?a!uary 45I5( HOOKER& <(& i! ;e!eti Neurolo$y& e#( :eiss& P(& 45IC( HOSKIN& >(& i!
The =iste!er& =o!#o!& 45( 4C(45@4( HOUS>AN& A( E(& The Na'e a!# Nature of Poetry(
Ne) Bork0 Ca'bri#$e U!i%( Press& 45AA HO3=AN<& C( I(& i! ?( ;e!et( Psyhol(& I4& 9O5"
54& 45AO( HU==& C( =(& Pri!iples of *eha%iour( Ne) Bork0 Appleto!"Ce!tury"Crofts&
456A( HU==& C( =(& A *eha%iour Syste'( Ne) Ha%e!& Co!!(0 Bale U!i%( Press& 45I9(
HU>PHREB& ;(& Thi!ki!$( =o!#o!0 >ethue!& 45I4( HU>PHREBS& =( ;(& i! ?( E-p(
Psyhol(& 9I& 464"IF& 45A5( HUH=EB& A=<OUS& i! Co!trol of the >i!#& e#s( Farber& S(
>( a!# :ilso!& H( =(& 45@4( HB<EN& H(& Chapter I i! The Cell& 3ol( I3& e#s( *rahet& ?(
a!# >irsky& A( Ne) Bork0 Aa#e'i Press& 45@C( HB<EN& H(& i! >aro'oleular
Speifiity a!# *iolo$ial >e'ory& e#( Sh'itt& F( O(& 45@9( ITTE=SON( :( H(& The A'es
<e'o!stratio! i! Pereptio!( Pri!eto! U!i%( Press& 45I9( ?AENSCH& E( R(& Ei#eti
I'a$ery( =o!#o!0 K( Paul& 45AC( ?A>ES& :I==IA>& The Pri!iples of Psyholo$y( Ne)
Bork0 H( Holt& 4F5C( ?A>ES& :I==IA>& i! O! Psyhi Researh& e#s( ;ar#!er >urphy
a!# *ello!& R( O(& 45@4( ?EFFRESS& =( A(& e#( Cerebral >eha!s's i! *eha%iour "" The
Hi-o! Sy'posiu'( Ne) Bork0 :iley& 45I4( ?ENCKS& *( a!# POTTER( P( *(& i! ?( of
Psyhol(& 65& 4A5( ?ONES& E(& Si$'u!# Freu# 1A %ols(2( =o!#o!0 Ho$arth Press& 45IA"O(
?ONES& E(& i! *( >e#( ?(& 6& F& 45I@( ?ONES& >( R( See Nisse!& H( :( ?UN;& C( ;(&
Psyholo$y of the U!o!sious( Ne) Bork0 >offat& Bar#& 454@( ?UN;& C( ;(&
Co!tributio!s to A!alytial Psyholo$y( =o!#o!0 K( Paul& 459F( ?UN;& C( ;(& >o#er! >a!
i! Searh of his Soul( =o!#o!0 K( Paul& 45AA( ?UN;& C( ;(& The I!te$ratio! of Perso!ality(
=o!#o!0 K( Paul& 456C( KE==ER& HE==EN& The Story of 'y =ife( =o!#o!0 Ho##er a
Stou$hto! 145I5 e#(2( KE==B& ?( FIT]>AURICE& artile o! '=iterature' i! E!ylopae#ia
*rita!!ia 149th e#(2 KEN<A==& ?(& >ihael Fara#ay( =o!#o!0 Faber& 45II( KEPES& ;(&
The Ne) =a!#sape( Chia$o0 P( Theobol#& 45I@( KEP=ER& ?OHANNES& Opera O'!ia&
e#( Ch( Frish( Fra!kofurti et Erla!$ae& 4FIF"O4( KEP=ER& ?OHANNES& ;esa''elte
:erke& e#( Caspar& %( <yk a!# Ha''er( >u!ih& 45AF( K=UE3ER& H(& artile o! 'Ei#eti
I'a$es'& i! E!ylopae#ia *rita!!ia& 3ol( 3III 145II e#(2( KOEST=ER& A(& I!si$ht a!#
Outlook( =o!#o! a!# Ne) Bork0 >a'illa!& 4565( KOEST=ER& A(& The =otus a!# the
Robot( =o!#o!0 Huthi!so!& 45@C( KOFFKA& K(& The ;ro)th of the >i!#( Ne) Bork0
Harourt *rae& 45AC( KOFFKA& K(& Pri!iples of ;estalt Psyholo$y( Ne) Bork0 Harourt
*rae& 45AI( KmH=ER& :(& ;estalt Psyholo$y( =o!#o!0 ;( *ell& 45AC( KmH=ER& :(&
<y!a'is i! Psyholo$y( Ne) Bork0 =i%eri$ht& 456C( KmH=ER& :(& The >e!tality of
Apes( =o!#o!0 Pelia! *ooks& 45IO( KRECHE3SKB& I(& i! U!i%( Calif( Publ( Psyhol(& @&
9O"66& 45A9( KRETSCH>ER& E(& The Psyholo$y of >e! of ;e!ius( =o!#o!0 K( Paul&
45A4( KRETSCH>ER& E(& A Te-tbook of >e#ial Psyholo$y( Trs( )ith a! i!tro#( by
Strauss& E( *( =o!#o!0 H( >ilfor#& 45A6( KORT=AN<T& A(& i! Arh( NTerl( ]ool(& 6& 6C4"
69( KUO& ]( B(& i! ?( Co'p( Psyhol(& 46& 4C5"94& 45A9( =A<EFO;E<& P(& i!
>eha!isatlo! of Thou$ht Proesses( =o!#o!0 H(>( Statio!ery Offie& 45I5( =A>ARCK&
?( *(& ]oolo$ial Philosophy( =o!#o!0 >a'illa!& 4546( =ASH=EB& K( S(& i! ?( A!i'(
*eha%(& A& A@4"@& 454A( =ASH=EB& K( S(& *rai! >eha!is's a!# I!telli$e!e( Chia$o
U!i%( Press& 4595( =ASH=EB& K( S(& The Neuro"Psyholo$y of =ashley 1Selete# Papers2(
Ne) Bork0 >;ra)"Hill& 45@C( =ASH=EB& K( S( a!# :A<E& >(& i! Psyhol( Re%(& IA& O9"
FO& 456@( <E =AUNAB& =(& =e ;ra!# A'pXre( Paris& 459I( =A:RENCE& :(& i!
>eha!isatio! of Thou$ht Proesses& p( 644& 45I5( =EE& 3ERNON 1pseu#( Pa$et& 3iolet2&
*eauty a!# U$li!ess& a!# Other Stu#ies i! Psyholo$ial Aesthetis( =o!#o!0 ?( =a!e&
4549( =EHR>AN& <( S(& i! I!sti!t& e#s( *ir!ey& R( C( a!# Tee%a!& R( C( Pri!eto!& N(?(
a!# =o!#o!0 %a! Nostra!#& 45@4( =`3B"*RUH=& =(& Pri'iti%e >e!tality( =o!#o!0 ;(
Alle! a U!)i!& 459A( =`3B"*RUH=& =(& Ho) Nati%es Thi!k( =o!#o!0 ;( Alle! a
U!)i!& 459@( =IN<AUR& >(& i! ]( %er$l( Physiol(& A6( 955"A6I( 45I9( =IN<S=EB& <( *(&
i! Ha!#book of E-peri'e!tal Psyholo$y& e#( Ste%e!s& S( Ne) Bork0 :iley& 45I4(
=ISTO:E= 1:(F(H(2& Earl of& A Critial History of >o#er! Aesthetis( =o!#o!0 ;( Alle!
a U!)i!( 45AA( =OE:I& O(& i! Perspeti%es i! *iolo$y a!# >e#ii!e& 3ol( I3(& No( 4(
Chia$o U!i%( Press& 45@C( =OREN]& K( =(& i! ='I!sti!t #a!s le Co'porte'e!t #e
l'A!i'al et #e l'Ho''e( Paris0 >asso! et Cie& 45I@( =OREN]& K( =(& i! Aspets of For'&
e#( :hyte =( =(& 45I4( =ORI>ER& F(& The ;ro)th of Reaso!( =o!#o!0 K( Paul& 4595(
=OUCKS& R( *(& i!( ?( Psyhol(& 4& I"66& 45AI( =OUCKS& R( *(& i! ?( Co'p( Psyhol(& 9I&
A4I"A9( >CONNNE==& ?( 3(& i! Psyholo$y( *osto!& >ass(0 Ally! a *ao!& 45@4(
><OU;A==& :(& The ;roup >i!#( Ne) Bork0 Put!a'& 459C( ><OU;A==& :(& A!
Outli!e of Psyholo$y( =o!#o!0 45A@( >;UI;AN& F( ?(& i! Psyholo$y( *osto!& >ass(0
Ally! a *ao!& 45@4( >ACKAB& <( >( a!# SUTHER=AN<& N( S(& i! >eha!isatio! of
Thou$ht Proesses& 45I5( >AC=EO<'S Physiolo$y i! >o#er! >e#ii!e& e#( *ar# 15th
e#(2( St( =ouis0 >osby& 4564( >A==AR>E& S(& E!/u_te sur l'E%olutio! =ittTraire( Paris&
4FFF( >ARKEB& ?( F(& The Sy'boli Proess( =o!#o!0 K( Paul& 459F( >ARJUIS& <( ;(
See Hil$ar#& E( R(& 456C( >AUROIS& A(& Ale-a!#er Fle'i!$( =o!#o!0 Cape& 45I5(
>eha!isatio! of Thou$ht Proesses( =o!#o!0 H(>( Statio!ery Offie& 45I5( >ERTON& R(
K(& i! The Ne) Sie!tist( =o!#o!& 9(44(45@4( >I=ES& :( R(& i! A'( ?( Psyhol(& 6A& 45A4(
>I==ER& ;( A(& ;A=ANTER& E( a!# PRI*RA>& K( H(& Pla!s a!# the Struture of
*eha%iour( Ne) Bork0 Holt& 45@C( >IRSKB& A( See Hy#e!& H(& 45@C( >ONTA;UE& A(& i!
Sie!e& 3ol( 4AC& p( 4IO9( >ONT>ASSON& ?(">(& I!%e!tio! a!# the U!o!sious(
=o!#o!0 K( Paul& 45A4( >ORAB& N(& i! The =iste!er( =o!#o!& 45(6(45@9( >O:RER& O(
H(& i! A!!ual Re%ie) of Psyholo$y( Palo Alto& Calif(0 A!!ual Re%ie)s& 45@9( >UNN& N(
=(& Ha!#book of Psyholo$ial Researh o! the Rat( *osto!0 45IC( >UTCH& T( R(& i! *( ?(
Ophthol(& 9F& A4O"A@& 4566( NEE<HA>& A( E(& i! The Ne) Sie!tist( =o!#o!& 9(44(45@4(
NEE<HA>& A( E(& i! Nature& AC(49(45@4( NEE<HA>& ?(& i! Sie!tia& 9@& 45A9(
NE:TON& ERIC& Europea! Pai!ti!$ a!# Sulpture( =o!#o!0 Pe!$ui! *ooks& 4564(
NE:TON& ERIC& A! I!tro#utio! to Europea! Pai!ti!$( =o!#o!0 =o!$'a!s& ;ree!& 4565(
NE:TON& SIR ISAAC& Opera O'!ia( =o!#o!& 4OO5"FI( NICHO=SON& >(& Sie!e a!#
I'a$i!atio!( Ne) Bork0 Cor!ell U!i%( Press& ;reat Seal *ooks& 45I@( NISSEN& H( :(& i!
the Nebraska Sy'posiu' o! >oti%atio!& II& Curre!t Theory a!# Researh i! >oti%atio!&
e#( ?o!es& >( R( =i!ol!& Nebr(0 U!i%( of Nebraska Press& 45I6( NOR<ENSKIOE=<( E(&
History of *iolo$y( Ne) Bork0 K( Paul& 459F( O=<S& ?(& i! Proee#i!$s of the First
I!ter!atio!al Co!$ress of Neuro"Phar'aolo$y( A'ster#a'"=o!#o!"Ne) Bork"Pri!eto!0
Else%ier Publishi!$ Co(& 45I5( O=<S& ?(& i! Psyhiatri Researh Reports of the A'eria!
Psyhiatri Assoiatio!( ?a!uary& 45@C( OS;OO<& C( E(& >etho# a!# Theory i!
E-peri'e!tal Psyholo$y( Ne) Bork0 O-for# U!i%( Press& 45IA& 45@C( PA;ET& SIR
RICHAR<& *t(& Hu'a!& Speeh( =o!#o!0 K( Paul& 45AC( PA3=O3& I( P(& Co!#itio!e#
Refle-es( O-for# U!i%( Press& 459O( PENFIE=<& :( a!# RO*ERTS& =(& Speeh a!# *rai!
>eha!is's( Pri!eto! U!i%( Press& 45I5( PETER>ANN& *(& The ;estalt Theory( =o!#o!0
K( Paul& 45A9( PIA;ET& ?(& ?u#$'e!t a!# Reaso!i!$ i! the Chil#( =o!#o!0 K( Paul& 459F(
PIA;ET& ?(& The Chil#'s Co!eptio! of Physial Causality( =o!#o!0 K( Paul& 45AC(
PIA;ET& ?(& The Co!strutio! of Reality i! the Chil#( Ne) Bork0 *asi *ooks& 45I6(
PICASSO( See ;ol#)ater& R( a!# Tre%es& >( PIERRE& T( H(& artile o! 'I'a$ery' i!
E!ylopae#ia *rita!!ia 145II e#(2( P=E<;E& H( T(& Sie!e si!e 4ICC( =o!#o!0 H(>(
Statio!ery Offie& 45A5( PO=nNBI& >(& Perso!al K!o)le#$e( =o!#o!0 Routle#$e a K(
Paul& 45IF( PO=BA& ;(& N:ie Suht >a! #ie =[su!$ >athe'atisher Auf$abe!EN Ata
Psyholo$ia& I3& 9& Haa$">arti!us Ni.hoff& 45AF( PO=BA& ;(& Ho) To Sol%e It( Pri!eto!
U!i%( Press& 456I( PO=BA& ;(& >athe'atis a!# Plausible Reaso!i!$( O-for# U!i%( Press
a!# Pri!eto! U!i%( Press& 45I6( POPPER& K( R(& The =o$i of Sie!tifi <iso%ery(
=o!#o!0 Huthi!so!& 45I5( PRI*RA>& K( H( See >iller& ;( A(& 45@C( PRI*RA>& K( H(&
i! A!!ual Re%ie) of Psyholo$y& 3ol( II( Palo Alto& Calif(0 A!!ual Re%ie)s& 45@C(
PRIN;=E& ?(:(S(& i! *eha%iour& A& 4O6"94I& 45I4( PBKE& >(& The *ou!#aries of Sie!e(
=o!#o!0 Harrap& 45@4( RAU=IN& ?( >(& =e Rire et les E-hilara!ts( Paris& 4F55( REI<& =(
A(& A Stu#y i! Aesthetis( =o!#o!0 ;( Alle! a U!)i!& 45A4( RI*OT& T( A(& =a Psyholo$ie
#es Se!ti'e!ts( Paris0 F( Ala!& 4F5@( RICHAR<S& I( A(& Pri!iples of =iterary Critiis'(
=o!#o!0 K( Paul& 4596( RO*ERTS& =( See Pe!fiel#& :( ROSENTHA=& R( a!# FO<E& F(
=(& i! *eha%ioural Sie!e& 3ol( F& Part A& ?uly 45@A( RUCH& T( C(& i! Ste%e!s' Ha!#book of
E-peri'e!tal Psyholo$y( Ne) Bork0 :iley& 45I4( RUSSE==& *ETRAN<& A! Outli!e of
Philosophy( =o!#o!0 ;( Alle! a U!)i!& 459O( RUSSE==& Philips& *e!.a'i! Fra!kli!& The
First Ci%ilise# A'eria!( =o!#o!0 *e!!& 459O( SACHS& H(& >aster a!# Frie!#( =o!#o!0
I'a$o Publishi!$ Co(& 456@( <E SANTI==ANA& ;(& e#(& ;alileo ;alilei <ialo$ue o! the
;reat :orl# Syste's( Chia$o U!i%( Press& 45IA( <E SANTI==ANA& ;(& The Cri'e of
;alileo( Chia$o U!i%( Press& 45IA( SA:BER& :( :(& Prelu#e to >athe'atis( =o!#o!0
Pe!$ui! *ooks& 45II( SCH=OS*ER;& H( See :oo#)orth& R( S( SCH>ITT& F( O(& e#(&
>aro'oleular Speifiity a!# *iolo$ial >e'ory( Ca'bri#$e& >ass(0 >(I(T( Press&
45@9( SCHRm<IN;ER& E(& :hat is =ifeE Ca'bri#$e U!i%( Press& 4566( SCRI3EN& >(& i!
Psyholo$y( *osto!& >ass(0 Ally! a *ao!& 45@4( SEE=I;& K(& Albert Ei!stei!( ]Srih0
Europa 3erla$& 45I6( SE>ON& R(& The >!e'e( =o!#o!0 ;( Alle! a U!)i!& 4594( %o!
SEN<EN& >(& Rau'" uu# ;estaltauffassu!$ bei operierte! *li!#$ebore!e! %or u!# !ah
#er Operatio!( =eip+i$0 *arth& 45A9( SHERRIN;TON& C( S(& I!te$rati%e Atio! of the
Ner%ous Syste'( Ne) Bork0 Srib!er& 45C@( SHER:OO< TAB=OR& P(& Sie!e Past a!#
Prese!t( =o!#o!0 :( Hei!e'a!!& 4565( SKINNER& *( F(& The *eha%iour of Or$a!is's(
Ne) Bork0 Appleto!"Ce!tury& 45AF( SKINNER& *( F(& Sie!e a!# Hu'a! *eha%iour( Ne)
Bork0 >a'illa!& 45IA( SKINNER& *( F(& i! A'er( Psyholo$ist& F& @5"OF& 45IA(
S>ITHERS& <( :(& A Cli!ial Prospet of the Ca!er Proble'( E#i!bur$h a!# =o!#o!0
=i%i!$sto!e& 45@C( SPEAR>AN& C(& Creati%e >i!#( Ca'bri#$e U!i%( Press& 45AC(
SPENCER& H(& Pri!iples of Psyholo$y( =o!#o!0 :illia's a :illia's& 4FO4( SPENCER&
H(& i! Essays o! E#uatio! a!# Ki!#re# Sub.ets( =o!#o!0 ?( >( <e!t& 4544( SPUR:AB&
H( a!# HA=<ANE(& ?(*(S(& i! *eha%iour& @& F"96& 45IA( STE3ENS& S( S(& e#(& Ha!#book
of( E-peri'e!tal Psyholo$y( Ne) Bork0 :iley& 45I4( SU==B& ?(& A! Essay o! =au$hter(
=o!#o!0 =o!$'a!s& ;ree!& 45C9( SUTHER=AN<& N( S& See >akay& <( >( SU]UKI& <(
T(& ]e! a!# ?apa!ese Culture( =o!#o!0 =u+a& 45I5( TATON& R(& Reaso! a!# Cha!e i!
Sie!tifi <iso%ery( =o!#o!0 Huthi!so!& 45IO( TEE3AN& R( C(& See *ir!ey( THACKER&
=( A(& i!( ?( Co'p( Physiol( Psyhol( 6A& F@"5F& 45IC( THO>PSON& :( R( a!# HERON(
:(& i! Ca!a#( ?( Psyhol(& F& 4O"A4& 45I6( THORN<IKE& E( =(& E#uatio!al Psyholo$y(
Ne) Bork0 =e'ke a!# *ueh!er& 45CA( THORN<IKE& E( =(& A!i'al I!telli$e!e( Ne)
Bork0 >a'illa!& 4544( THORPE& :( H(& =ear!i!$ a!# I!sti!t i! A!i'als( =o!#o!0
>ethue!& 45I@( THORPE& :( H( a!# ]AN;:I==& O( =(& Curre!t Proble's of A!i'al
*eha%iour( Ca'bri#$e U!i%( Press& 45@4( TI==BAR<& E(>(:(& The Eli+abetha! :orl#
Piture( =o!#o!0 Chatto a :i!#us& 456@( TIN*ER;EN& N(& The Stu#y of I!sti!t( O-for#0
Clare!#o! Press& 45I4( TIN*ER;EN& N(& Soial *eha%iour i! A!i'als( =o!#o!0 >ethue!&
45IA( TO=>AN& E( C(& i! Psyhol( Re%(& 6I& 4"64& 45AF( TO=STOB& =(& :hat is ArtE& 3ol
H3III( O-for# U!i%( Press& 4595( TOU=>IN& S( a!# ;OO<FIE=<& ?( The Arhiteture of
>atter( =o!#o!0 Huthi!so!& 45@9( TOBN*EE& A(& A Stu#y of History( O-for# U!i%( Press&
456O( TRE3ES& >( See ;ol#)ater& R( :A<<IN;TON&& C( H( i! Phil( Tra!s( Roy( So(&
*(& 994& 45A9( :A<E& >( See =ashley& K( S( :A==ACE& A( R(& >y =ife 19 %ols(2(
=o!#o!0 Chap'a! a Hall& 45CI( :ATSON& ?( *(& Psyholo$y fro' the Sta!#poi!t of a
*eha%iourist( Phila#elphia a!# =o!#o!0 =ippi!ott& 4596( :ATSON& ?( *(& *eha%iouris'(
=o!#o!0 K( Paul& 459F( :E*STER& <( =(& artile o! 'Eletriity' i! E!y#opae#ia
*rita!!ia& 3ol( 3III 145II e#(2( :EISS& P(& Pri!iples of <e%elop'e!t( Ne) Bork0 Holt&
45A5( :EISS& P(& i! The Hi-o! Sy'posiu'( See ?effress& =( A(& e#( :EISS& P(& e#(& ;e!eti
Neurolo$y( U!i%( of Chia$o Press& 45IC( :EISS& P( See :illier& *( H(& 45II( :E==S& F(
=(& i! Psyhol( Re%(& 4F& 995"AA& 4544( :ERNICKE& C(& <er aphasishe Sy'pto'e!"
Ko'ple-( *reslau0 Coh! u!# :ei$ert& 4FO6( :E3ER& E( ;(& Theory of Heari!$( Ne)
Bork0 :iley& 4565( :HITE& ?( C( a!# S>ITH:ICK& R( H(& The A!to!o'i Ner%ous
Syste' 19!# e#(2( Ne) Bork0 >a'illa!& 4564( :HITEHEA<& A( N(& Sie!e a!# the
>o#er! :orl#( Ca'bri#$e U!i%( Press& 45IA( :HITFIE=<& I( C(& i! >eha!isatio! of
Thou$ht Proesses& 45I5( :HBTE& =( =(& e#(& Aspets of For'( =o!#o!0 =u!# Hu'phries&
45I4( :HBTE& =( =(& The U!o!sious *efore Freu#( Ne) Bork0 A!hor *ooks& 45@9(
:I=ENSKI& R(H(& >o#er! Fre!h Pai!ters( =o!#o!0 456C( :I==IER& *(H(& :EISS& P(
a!# HA>*UR;ER( 3(& A!alysis of <e%elop'e!t( Phila#elphia a!# =o!#o!0 :( *(
Sau!#ers& 45II( :I=SON& R(H(=( See Farber& R( >( :ITT;ENSTEIN& =(& Tratatus&
=o$io Philosophius( =o!#o!0 K( Paul& 4599( :O=*ER;& =( R(& Hyp!oa!alysis( Ne)
Bork0 ;ru!e a Stratto!& 456I( :O=F& A(& A History of Sie!e& Teh!olo$y a!#
Philosophy( =o!#o!0 ;( Alle! a U!)i!& 45IC 19!# e#(2( :OO<;ER& ?( H(& *iolo$ial
Pri!iples( =o!#o!0 K( Paul& 4595( :OO<:ORTH& R( S(& <y!a'i Psyholo$y( Ne)
Bork0 Colu'bia U!i%( Press& 454F( :OO<:ORTH& R( S(& E-peri'e!tal Psyholo$y( Ne)
Bork0 Holt& 45AF, =o!#o!0 >ethue!& 45A5( :OO<:ORTH& R( S(& i! A'( ?( Psyhol(& @C&
445"496& 456O( :OO<:ORTH& R( S( a!# SCH=OS*ER;& H(& E-peri'e!tal Psyholo$y
1re%ise# e#(2( Ne) Bork0 Holt& 45I6( BERKES& R( >(& Chi'pa!+ees0 A =aboratory Colo!y(
Ne) Ha%e!0 Bale U!i%( Press& 456A( ]AN;:I==& O( =( See Thorpe& :( H( 145@42(
]ENER& K(& i! A'( ?( Psyhol(& IC& AF6"6CA& 45AO( SO>E REFERENCES ON THE
PSBCHO=O;B AN< PHBSIO=O;B OF :EEPIN; A( ;e!eral Psyholo$y& Theories&
et( *ARNETT& S( A(& 'The e-pressio! of e'otio!s'& Ne) *iol( 99& OA"5C& 45IO <ANA& C(
=(& 'The A!ato'i Seat of the E'otio!s "" A <isussio! of the ?a'es"=a!$ Theory'& Arh(
Neurolo$y a!# Psyhiatry& 4594( <AR:IN& C(& The E-pressio! of E'otio!s& <( Appleto!
a Co( 4A@& 9CF& AOA& 4F5@( ENROTH& E(& 'O' ;raat'& Fi!ska =hkShllsk( Ha!#l( OO& O@"FF&
45AI( K=INE*ER;& Soial Psyholo$y& 45@& 456C( =UN<& F( H(& ':hy #o )e )eepE'& ?(
So( Psyhol( 4& 4A@"I4& 45AC( =UN<& F( H(& E'otio!s& et( Ro!al# Press Co(& Ne) Bork&
6O ff(& 45A5( P=ESSNER& H(& '<as Proble' %o! =ahe! u!# :ei!e!'& Ti.#shr( Phil( 9& A4O"
F6& 456C( P=ESSNER& H(& =ahe! u!# :ei!e!& Ar!hei'& Netherla!#s& 45IC( RUC>ICK&
C( A(& The Psyholo$y of Feeli!$ a!# E'otio!& >;ra) Hill& Ne) Bork& AAF ff(& 45A@(
SPIT]& C(& ]ur Psyholo$ie #es :ei!e!s& ]eule!ro#a& Spor!(& 45AI( SU==EB& ?(& A! Essay
o! =au$hter& =o!$'a!s ;ree!& =o!#o!& @O"OC& 45C9( BOUN;& P( T(& '=au$hter a!#
)eepi!$& et( i! stu#e!ts'& ?( So( Psyhol( F& A44"A6& 45AO BOUN;& P( T(& E'otio!s i!
>a! a!# a!i'al& ?( :iley a!# So!s& =o!#o!& 456A( :eepi!$ i! hi'ps& 99, Utility of& IF,
Cultural #eter'i!atio!& 4F6, Patter!s of& 9I6"F, <e%elop'e!tal& 4@6& 4@O& 4OO"5& 9I6& 9II(
*( Physiolo$y ARNO=<& >( *(& E'otio! a!# Perso!ality& 3ol( 9& Neurolo$ial a!#
Physiolo$ial Aspets& Cassell& =o!#o!& 45@C, :eepi!$ i! thala'i #isease& 49& 4A,
:eepi!$ a!# ee$& 4@9( CHORO*SKI& S(& 'The Sy!#ro'e of Croo#ile Tears'& Arh( Neur(
a!# Psyhiatry& 45I4( FOR<& 'Paro-ys'al lari'atio! et('& Arh( Neurol( Psyhiat(
Chia$o& 95& 45AA( ;EOFFREB :A=SH& E(& Physiolo$y of the Ner%ous Syste'&
=o!$'a!s ;ree!& =o!#o!& 45IO( Croo#ile tears& 6CF( K=IN;& C(& 'The Role of the
Parasy'patheti i! E'otio!s'& Psyhol( Re%(& 45AA( >UTCH& T( R(& 'The lari'atio!
refle-'& *rit( ?( Ophthal( 9F& A4O"A@& 4566( RO:*OTHA>& ;( F(& 'Obser%atio!s o! the
effet of tri$e'i!al #e!er%atio!'& *rai!& @9& A@6"FC& 45A5( :HITE& ?( C( a!#
S>ITH:ICK& R( H( et al 1Ar# e#(2& The Auto!o'i Ner%ous Syste'& 6C& 64& 9IC& 45I9 C(
:eepi!$ a!# Perso!ality <e%elop'e!t HUNT& ?( >( 3( 1e#(2& Perso!ality a!# the
*eha%iour <isor#ers& 3ol( 4& Ro!al# Press& Chap( A& >o)rer& O( H(& <y!a'i theory of
perso!ality& F5& 4566( RI3IERE& I!ter!tl( ?( of Psyhoa!al( 4O& A5I"699 1Psyholo$ial
#e%elop'e!t i! i!fa!y(2 45A@( SU==I3AN& H( S(& Co!eptio!s of >o#er! Psyhiatry&
Ta%istok Pb!s(& =o!#o!& 4I& 4O& F5& 45IA( SB>ON<S& P( >(& <y!a'i Psyholo$y&
Appleto! Ce!tury Crofts& Ne) Bork& 6F& 9FC& 4565( SB>ON<S& P( >(& The E$o a!# the
Self& Appleto! Ce!tury Crofts& Ne) Bork& 4A& 45I4( <( O!to$e!etis of :eepi!$ A>ES& =(
*(& '>otor orrelates of i!fa!t ryi!$'& ?( ;e!et( Psyhol(& I5& 9A5"6O& 4564( *AB=EB& N(&
'A stu#y of ryi!$ i! i!fa!ts et('& ?( ;e!et( Psyhol(& 6C& AC@"95& 45A9( *OR;JUIST& A(&
'Cryi!$'& A'(?( of Psyhol(& 45C@( C=ARKE& HUNT a!# HUNT& ?( ;e!( Psyhol( 4O& A5F"
6C9 1:eepi!$ a!# startle patter!(2& 45AO( ;OO<ENOU;H& F( =(& A!$er i! Bou!$
Chil#re!& @@"5& 966"5& 45A4( ;OO<ENOU;H& F( =(& ?( Ab!( So( Psyhol( 9O& A9F"AA
1:eepi!$ i! bli!# a!# #eaf hil#re!(2& 45A9( ;OO<ENOU;H& F( =(& <e%elop'e!tal
Psyholo$y 19!# e#(2& Appleto! Ce!tury( 9C4& 9IO, I!#i%i#ual #iffere!es& 9OA& 456I
KANNER& =(& Chil# Psyhiatry& Ta!!er& Illi!ois( AI& I55& 45@C( =AN<IS& C( a!# HUNT&
:( A(& The Startle Patter!& Farrar a!# Rhi!ehart& Ne) Bork& 464& 45A5( =AN<RETH& C(&
'Fators assoiate# )ith ryi!$ i! you!$ hil#re!'& Chil# <e%( 49& F4"5O& 4564( >O:RER&
O( H( a!# >O:RER& :( >(& 'The 'ea!i!$ a!# 'easure'e!t of ryi!$'& Chil# Stu#y& 4I&
4C6"O& 45AF( >UNN& N( =(& E%olutio! a!# ;ro)th of Hu'a! *eha%iour& Ri%ersi#e Press&
Ca'bri#$e& >assahusetts& 6CO ff(& 45II( ROSEN]:EI;& S(& '*abies are tau$ht to ry, a
hypothesis'& >e!&( Hy$( Ne) Bork& AF& F4"6& 45I6 RU?A& H(& 'The relatio! bet)ee!
!eo!ate ryi!$ a!# le!$th of labour'& ?( ;e!et( Psyhol( OA& IA"I 1Test of Ra!kia! birth ry
hypothesis(2& 456F( 3A=ENTINE& C( :(& Psyholo$y of Early Chil#hoo# 1Ar# e#(2&
>ethue!& =o!#o!& 456@( Early Appeara!e& F@ ff(, I!hibitio! of& 44O, Soial& 95A,
Rese!t'e!t of& 95O, Sy'pathy& 95F( E( Psyhopatholo$y a!# :eepi!$ <A3ISON& C( a!#
KE==>AN& 'Patholo$ial lau$hi!$ a!# ryi!$'& Arh( Neurol( Psyhiat(( 69& I5I"@AA&
45A5( ;REENACRE& P(& 'Patholo$ial )eepi!$'& Psyhoa!al( Juart( 46& @9"OI& 456I(
;REENACRE& P(& 'Uri!atio! a!# )eepi!$'& A'( ?( Orthopsyhiat( 4I& F4"F& 456I(
KE==EB& ;( A(& The Psyholo$y of Perso!al Co!struts& 3ol( 9& Cli!ial <ia$!osis a!#
Psyhotherapy& Norto! a!# Co(& Ne) Bork& F5@ ff(& 444A ff(& 45II( =ACO>*E& P(& 'A
speial 'eha!is' of patholo$ial )eepi!$'& Psyhoa!al( Juart( 9O& 96F"I4& 45IF( F( <epth
Psyholo$ial For'ulatio!s A*RAHA>& K(& Selete# Papers o! Psyhoa!alysis& Ho$arth
Press& 6FA 1:eepi!$ i! )o'e! as u!o!sious )ish to uri!ate like a 'a!(2& 45I6
*REUER& ?( a!# FREU<& S(& Stu#ies i! Hysteria& Ho$arth I!ter!tl( Psyhoa!alytial
=ibrary No( IC& 4@9 ff(& 4@A f!( 1:eepi!$ a!# abreatio! arrears(2& 45I@( FE=<>AN& S( S(&
'Cryi!$ at the happy e!#i!$'& ?( A'( Psyhoa!al( Ass( 6& 6OO"FI& 45I@( 1See ;REENACRE
456I& 9& i! Setio! E abo%e(2 HEI=*RUNN& ;(& 'O! )eepi!$'& Psyhoa!al( Juart( 96& 96I"
II& 45II( >ONTA;UE& >(F(A(& 'O! the physiolo$y a!# psyholo$y of s)eari!$'&
Psyhiat(& 4F5"9C4 1:eepi!$ i! )o'e! as a$$ressio! outlet& substitute for fu!tio!
s)eari!$ perfor's for 'e!(2& 4569( PETO& E(& ':eepi!$ a!# lau$hter'& I!ter!( ?( of
Psyhoa!al( 9O& 495"AA& 45I@( :EISS& ?(& 'Cryi!$ at the happy e!#i!$'& Psyhoa!( Re%(&
45I9( ;( Relatio! of )eepi!$ to Psyhoso'ati Patholo$y( A=EHAN<ER& F(&
Psyhoso'ati >e#ii!e et(& ;( Alle! a!# U!)i!& =o!#o!& 45I9, a!# Asth'a& 4A5,
Hysterial& IF, a!# Urtiaria& 9CA( <UN*AR& F(& E'otio!s a!# *o#ily Cha!$es& Colu'bia&
Ne) Bork& 6A 1:eepi!$ a!# !eurosis i! Urtiaria(2& 45I6( HA==I<AB& ?( C(& 'Approah to
asth'a'& *rit( ?( >e#( Psyhol( 4O& 4& 45AO( SAU=& =( ?( a!# *ERNSTEIN& C(& 'The
e'otio!al setti!$s of so'e attaks of Urtiatia'& Psyhoso'( >e#( A& A65& 4564(
ACKNO:=E<;E>ENTS The author a!# publishers )ish to tha!k the follo)i!$ for
per'issio! to /uote fro' %arious )orks0 *asi *ooks& I!(& Ne) Bork 1The U!o!sious
*efore Freu#& by =( =( :hyte2( <ouble#ay a Co(& I!(& Ne) Bork 1Pasteur a!# >o#er!
Sie!e& by Re!e <ubos2 o 45@C& by E#uatio!al Ser%ies& I!( 1A!hor Sie!e Stu#y
Series2& a!# <ar)i! a!# the <ar)i!ia! Re%olutio!& by ;ertru#e Hi''elfarb& o 45I5&
45@9& by ;ertru#e Kristol2( The Clare!#o! Press& O-for# 1The Stu#y of I!sti!t& by <r( N(
Ti!ber$e!2( ?oh! :iley a So!s& I!(& Ne) Bork 1Cerebral >eha!is' i! *eha%iour "" The
Hi-o! Sy'posiu'& e#( =(A( ?effress2( =ittle& *ro)! a Co(& *osto! 1=ouis Pasteur& by Re!e
<ubos& o 45IC& by Re!e <ubos2( ;eor$e Alle! a U!)i!& =t#(& =o!#o! 1Thi!ki!$& by Sir
Fre#erik *artlett2( Europa 3erla$& ]Srih 1Albert Ei!stei!& by ;arl Seeli$2( Ca'bri#$e
U!i%ersity Press& Ne) Bork 1The Na'e a!# Nature of Poetry& by A( E( Hous'a!2( ;( *ell&
=o!#o! 1;estalt Psyholo$y& by :( K[hler2( Ally! a *ao!& *osto! 1Psyholo$y& e#( A( <(
Cal%i!& o 45@4& by Ally! a *ao!2( >ethue! a Co(& =o!#o! 1=ear!i!$ a!# I!sti!t i!
A!i'als& by :( H( Thorpe2( Routle#$e a Ke$a! Paul =t#(& =o!#o! 1Perso!al K!o)le#$e&
by >ihel Pol\!yi& >e!tality of Apes& by :( K[hler& The Sy'boli Proess& by ?( F(
>arkey& The ;ro)th of Reaso!& by F( =ori'er& a!# I!%e!tio! a!# the U!o!sious& by ?("
>( >o!t'asso!2( IN<EH Absolute pith& I94 Abstrat art& AO6 Abstrat pai!ti!$& AOC
Abstrat thou$ht& @CO"4C Abstratio!& @CO"4C a!# pratiality& OCI"@ pereptual a!#
o!eptual& IAI"@ A#a'& 6O A#aptatio!& 66F seo!# or#er& 6IC A##a's& Charles& I9
A#re!al"sy'pathio syste'& 9O6 A#re!ali!& 9CI Aesop& 4C4 Aestheti e-perie!e
bisoiati%e patter!s i!& AFA"I #iffiulty of a!alysi!$& A54 esse!e of& A9F& A95& AFA
Aestheti .u#$e'e!t& s!obbety a!#& 6CC et se/( Aestheti satisfatio!& #iffere!e fro'
se!sory $ratifiatio!& AFI Aesthetis& he#o!ist& AFI Affi!ity& assoiatio! by sou!#& A46"4I
After"i'a$es& I95 A$e of e!li$hte!'e!t& 46O A$$ressi%e"#efe!si%e i'pulses& subli'atio!
of& 9I5 A$$ressi%e"#efe!si%e te!#e!y i! hu'our& I9& I6& I@& @9& F5& 59& 5I A$rippa& 9I@
Albert the ;reat& 9II Alhe'ist's Rosariu'& 46I Alhe'ists& 9I@ Al$ebra& rules for
lear!i!$& @AF Alie& OF& 4O6 Alkha+e!& 9II Allport& ;( :(& IC4& ICO A'ber& loa#sto!es a!#&
@@4 et se/( A'i!o"ai#s& 64F A''ophila& I@@ A'pXre& A( >(& 44O& 9AC& @@F& @@5 A! Essay
o! the Pri!iple of Populatio!& 46C A!alo$ies& hi##e!& 4O5 A!alo$y& i!tuitio! a!#& 455"9CO
A!alytial $eo'etry& 9AC A!arhy& reati%e& 995"AC& AAI A!ato'ists& 9I@ A!ato'y& 9@I
A!a-i'a!#er& 4A-& 4AO NA!ie!t >ari!er& TheN& A@9 A!i'al beha%iour& patter!s of& 6OO
A!i'al eletriity& @@O A!i'al Far'& 5C A!i'al I!telli$e!e& IOC A!i'al lear!i!$& I@9"I
A!i'als e-ploratory #ri%e i!& ICI"@ fear a!# uriosity& IC9"A i!/uisiti%essess of& IC9 et se/(
late!t lear!i!$ i!& 65F ori$i!ality i! apti%ity& 65A tour!a'e!t fi$hts bet)ee!& 6OI 1see also
Chi'pa!+ees& <o$s2 A!!ale! #er Che'ie& 96C A!thropo'orphis'& 95@ A!tibiotis& 456
A!tiipatory beha%iour& IO@ Apes& see Chi'pa!+ees Aphasi patie!ts& I55& @C4& @C9 !ote
o!& @C6& @CI Aphro#ite& 6O Apollo!ius of Per$a& 4C9& AAI Appetiti%e beha%iour& 6FC"6
Arhetypes& AIA"6& AF5& A5C Arhi'e#es& 949& @O@ pri!iple of& 4CI"F& 4C5 Aristarhus&
9A6& @OO Aristopha!es& IA& OA Aristotle& IA& 4A4& 4O@& 9IF& ACO o! 'oti%atio!& @OI"@
Aristotelia! physis& 94@& 99F Art a!# pro$ress& A5A et se/( appraisal of )ork of& 6C6"I
ase!#i!$ $ra#ie!ts i!& A5C"4 bisoiati%e patter!s i!& AFA"I bisoiati%e proesses i!& AO4"A
lihTs i!& AO@& AOO& AOF u'ulati%e pro$ress i!& A5A"I eo!o'y i!& AAI"6C e%olutio! of&
AAI e-pliit state'e!t to i'pliit hi!t& AAO"F fol#e# i!& AAF et se/( for$eries& 6CC& 6C4& 6C9
for' of o''u!iatio!& 9@@ ;reek& A56& A5I"@ history of& AA@& A@O"5& A5A"@ i!fol#i!$&
A5F& A55 Italia!& A56"I& A5O la) of i!fol#i!$ a!#& AFO"F 'otif& AO9"A 'otio! a!# rest i!&
AFO"5C ori$i!ality a!# e'phasis& AAA"I perio#"o!sious!ess& 6C@"O pi$'e!t a!# 'ea!i!$
i!& AOC"4 pro$ress !ot to)ar#s u!itary la)s& AI9 relatio!ship )ith sie!e& 9O& 9F shool of
self"tra!se!#e!e& A9F state'e!t a!# i'pliatio!& A5@"5 taste a!# #istaste& AFI"O u!ity i!&
AFO"5C %isual i!fere!es& AOA"@ %isual represe!tatio! i!& A@O"5 Art a!# Illusio!& AOF Art"
for's& tur!i!$ poi!ts i! history of& AA6"I Artiulatio!& IA6 Artist& 9O& 9II& 9IO a!#
ariature& OC"O9 bisoiati%e at a .u-tapositio! of e-perie!e& AI9 atharsis of e-perie!es&
A9F #ea#e!i!$ i!flue!es o!& AA@"O ele'e!t of e-plorer i!here!t& ICO his 'e#iu'& AAA"6
i!#i%i#ual style of& AA6 la) of i!fol#i!$ a!# the& A64"9 'easure of ori$i!ality& AA6 stale
teh!i/ues a!# the& AA@ As Bou =ike It& @F Ase-ual repro#utio!& 6I4 Assoiatio!& @69 et
se/( by sou!# affi!ity& A46"4I by si'ilarity& 9CC& @6@& @I4 o!trolle#& @6@ free& @6@ i!
'e'ori+i!$& IAF"5 types of& @6@"O Assoiatio! tests& A5"6C Assoiatio!is'& @69& @6@"O
Assoiati%e o!te-ts& AF& 6C o!#e!satio! i!& 4O5 Assoiati%e lear!i!$& IFO Assoiati%e
routi!e& riteria #isti!$uishi!$ bisoiati%e ori$i!ality fro'& @IO"@C Astro!o'ers& 6F& 969&
9I4& 9I9 1see also U!i%erse& Coper!ius& Kepler2 Astro!o'y& sy!thesis )ith Physis& 496
1see also !a'es of astro!o'ers& e($( Coper!ius& Kepler2 Atheis'& <ar)i! a!#& @59"@
Ato's& hooke#& 4@6"@ ATP 69C& 694& 6AO Attu!e'e!ts& 'ultiple& @69"@ Au#itory
pereptio!& I4A et se/( Au$usti!e& 46F Auto'ati+atio! of skills& 4II& 4I@ Auto!o'ous
ati%ities& 6@F Auto!o'ous !er%ous syste'& IO& IF& @9 A!toto'y i! a!i'als& 6I4
A)are!ess& @A9 #efi!e#& 4II #e$rees of& 4I6"O li!ear $ra#ie!t of& 4I@ li!ear sale of& 4FC
peripheral& 4I5 periphery of& 4@6 subsi#iary& 4I5 A-ial $ra#ie!ts i! re$e!eratio!& 6II
*ao!& Fra!is& IA& O6& 9I4& A69 *ao!& Ro$er& 99O *aere!#s& ;( P(& 6O@& I@I& I@O *ai!&
A(& IA& 9CC *ala!i!$ skills& 69& I6F *all& ?oh!& A9@ N*alla# of Rea#i!$ ;aol&N OO *al+a&
H(& FA& A4F *a'bi& @O *artlett& Sir Fre#erik& 6A& I4I& I9I& IA5 /uote#& 9A4 *asilar
'e'bra!e of ear& I4@ *ates& H( :(& 464 *(*(C( *rai!s Trust& FC *ea$le& H(>(S(& 4A6& 4AI&
@59& @56 *eauty a fu!tio! of truth& AA4 truth a!#& A9O"A4 *ek& E(& IIC *e/uerel& H(&
45I"@ *e#e& the 3e!erable& 9II *eerboh'& >a-& IA *eha%iour a/uire#& IC5 a!tiipatory&
IO@ appetiti%e& 6FC"6 e-ploratory& IC4& IC9& IC6"O fu!tio!al a!alysis& 65O $e!etis of&
6OI"O i!!ate& IC5 u!it of& 655 %erbal& i! speaki!$& I5A *eha%iour of Or$a!is's& II@
*eha%iour"patter!s& i!sti!t"base#& 6FI"F *eha%ioural 'atries& I65 *eha%iouris'& 66&
65I&65@ :atso!ia!& II5 *eha%iourists& IIO& IIF a!# the u!o!sious& 4IO *e!e%ole!t
>a$iia!& 9II& 9I@& 9IO *er$so!& H( =(& A9& 6@& 6O& 65& I9& IA& @4& OF& 59& A49& A@A
*erly!e& <( E(& IC4& ICI& IC5& I4C *er!ar#& Clau#e& OC@ *e%eri#$e& :(I(*(& 944& 94A& 9I6
*iyle& ri#i!$ a& 69& I6F sta'pi!$"i!& IIC *i!et">ueller test& IA9 *iolo$ial e%olutio!&
99@ *iolo$ial ripe!ess& 4C5 *ir#"so!$& 654"9 *ir#s ou!ti!$ ability of& 659 preli!$uisti
!u'ber se!se of& IAI"@ *irkhoff& ;( <(& 4OO *ishop& the >ar/uis a!# the& AA"6 *isoiate#
o!te-ts& lea!"ut e-a'ple of& OF *isoiatio!& AI et se/( artisti& AI9 hi'pa!+ee a!#&
IOA"I #isplae'e!t of atte!tio!& OO"F i'perso!atio!& @O"F i! ariature a!# satire& OC"6
i!o'patible 'atries& I5 'etaphorial a!# literal 'ea!i!$s& @@ 'isfits a!#& O6"I of hil#"
a#ult& @F"5 of oi!i#e!e& OF of i!o'patibles& @99 of 'a! a!# a!i'al& @O of !o!se!se
hu'our& OF"5 of pu!& @6"I of rhyth' a!# 'ea!i!$& A49 of sou!# a!# 'ea!i!$& 5C of
struture a!# fu!tio!& OI"O of tikli!$& O5"F4 of tri%ial a!# e-alte#& @5"OC of )i!e"press
a!# seal& 49A play of i#eas& @I"@ professio!al a!# o''o!se!se lo$i& @I"@ sie!tists a!#&
O9 sy!thesis of si$!s a!# thi!$s& 999 the lo)! a!#& F4"9 *isoiati%e 'eha!is's& a!# the
o'i& 4F9 *isoiati%e ori$i!ality& riteria #isti!$uishi!$ assoiati%e routi!e fro'& @IO"@C
*isoiati%e patter!s& 6I i! aestheti e-perie!e& AFA i! #rea's& 4O5 *isoiati%e thi!ki!$&
passi%e& i! #rea'i!$& 4OF *it lear!i!$& I99 *lak >a$iia!& 9IO& 9I5 *lakborou$h& Peter&
@@A *lake& :illia'& A4@& A99& A9@& A6C& A@9 *li'p& Colo!el& @4 *loo#"brother ere'o!y&
956 *o#ily Cha!$es i! Pai!& Hu!$er& Fear a!# Ra$e& II& 9FC *o#ily ha!$es& i! )eepi!$
a!# ryi!$& 9O4"9 *o#ki!& >au#& A@9 *oeh'e& ?aob& 46F *ohr& Niels& 45F& @@5& @O4
*oillot& >(& @5O& @5F *olt+'a!!& 9@I *o!#& He!ry& @@A *or!& >a-& 96I *ottielli& A95&
AAC *o+e& H(& 9C6 *ra$$& Sir =(& 9AA *rai!& o!eptual a!# speeh 'eha!is's of& @C9
*rai! sur$ery& A4I& A4@ *rai!"teaser& e-a'ple of& 4FA"6 *rai!"t)isters& 54 *ra!#t& ;( :(&
AI9 *ra/ue& A95 *ra%e Ne) :orl#& OA *ro!o)ski& ?(& 9CC& 9AC !ote o!& 9I6 *ro)!e& Sir
Tho'as& 9CO *ruke& Professor& 94O *rya!& :( =(& 6A9& I66 *u##hist 'o!k proble'& 4FA"
6& 4F5 *u##i!$& 6I4 *uffo!& Co'te #e& 4A4& 4A9& 99F *ur!er& ?(& 945 *urt& Sir Cyril& 94&
6F& @CA !ote o!& 5@ *utler& Sa'uel& 466 *utterfiel#& H(& 9AI& 9@C Ca##is"fly lar%a& 6F@
Calulus& i!fi!itesi'al& 44C Cal#ero!& IA Ca!!o!& :( *(& II& 9CI& 944& 9FC& 9F@ Ca!tor's
theory of i!fi!ite a$$re$ates& AA4 Cariature& OC"9& 5C Cariaturist& 4F9 Carlyle& T(& A95
Carpe!ter& :( *(& 4I9 Carrai& A!!ibale& 6C9 Carroll& =e)is& @O Cartoo!s& OC"9 Cat&
au#itory !er%e of& I46 NCat i! the Rai!N& AA5 Catharsis& AC@"5 Catholi U!i%erse *ulleti!&
AO Cats& I@F"O4 Causal se/ue!ies& re%ersal of& 4O5 Causality& @4I"4F physial& IF6
Ca%e!#ish& @@@ Cell& !uleus a!# ytoplas'& 694"A Cell"'atri-& 645"94 Ce!tipe#e& para#o-
of the& OI"O Ce!tral !er%ous syste'& o!trol of 'otor ati%ities by& 66O Ce!troso'es& 69C
Cerebral orte-& re$e!erati%e a#aptatio!s of& 6IF Cer%a!tes& 46F Ce+a!!e& A95& IAF
Cha'bers& Robert& 4A9 Cha'pollio!& 4F@ Chapli!& Charlie& @4& ACI Charater types&
teh!i/ue of reati!$& @F Charaters& fitio!al& A6I et se/( Charot& 4I9 Chekho%& A(& @5
Che'istry& lear!e# by e-pliit %erbal for'& @AO Chess& 6C"9& @A5& @IC proble's& 54 Chil#&
C( >(& 6I9& 6IA Chil#"A#ult& bisoiatio! of& @F"5 Chil#re! a!# ausality& @4@ o!tra#itio!s
#ue to sales of rele%a!t %alues& @9O lear!i!$ to speak& I56 et se/( piture"strip la!$ua$e of&
@C@ /uestio!i!$ 'a!ia of& @4@"4F sta$e )here sy'boli relatio!s beo'e rele%a!t& @9F
sy'bols as atio!")or#s& @C@"O %oabulary of& 994 Chi'pa!+ees a!# tools& IOA"6
e-peri'e!ts )ith& 4C4"9& 4CA"I& 4CF& 44C& 445& 49C& IC6& II@& IOA"I& IO@"F9 Chloroplasts&
69C Chro'oso'es& 645& 69C& 694 Chro!olo$ial 'atries& @6C Ciero& IA& O6 Cirular
'otio!& 49F& 495 Classifiatory o#es& @6C Closure pri!iple& AFO Clo)!& F4"9 Coai!e
Episo#e& 94F"45 Coteau& ?ea!& 4F9 Co#es a!# o#i!$& AF& 6C& 69& 6A& 66& @6& 5@& 4@A& 9C5&
64@& 64F"94&696&69F&6@6& 6O4"A& 6O5& 6F6& I4F& I96& II9& IO9& I5A& @A@"5& @69 et se/(& @6I&
@I@ et se/( auto!o'y of& II9 e-pla!atio! of& A5& 6C i! pia!o"playi!$& I6O i! playi!$ soer&
I65 lo$ial& @9I 'o#e of operatio!& 6C of or$a!is's& 64O et se/( of pereptio!& AO@"FC
suspe!sio! of& at #iso%ery sta$e& 4OF Co$hill& ;( E(& 6AC& 6A4& 66O& IC@ Co$!iti%e
theories& I@4"9 Cohe!& ?(& A69 Coi!i#e!e& bisoiatio! of& OF Coleri#$e& S( T(& 4I9& 4@@&
4@O& 4@5 Colour& te'perature %alues of& AOI Co'e#y& AC6 Co'i *er$so!'s i!terpretatio!
of the& 6@& 6O bisoiati%e 'eha!is's of the& 4F9 #efi!i!$ the& A4"9 Co'i si'ile& A6C
Co'i teh!i/ue& F9"@ 1see also Hu'our& =au$hter2 Co''o! se!se& @A@ Co'ple-es&
represse#& 4F4 Co'posi!$ 'usi& I6O Co!epts& @69& @6I #efi!e#& I5O Co!reti+atio!& a!#
sy'bolis'& 4F9"@ Co!#itio!al fear refle-& @4C Co!#itio!al refle-& 65F Co!flit& AIC"9
Co!!oisseurship& IAO Co!sious a!# u!o!sious e-perie!es& 4I6 a!te"ha'ber of& 4@C&
4@4 o#e $ui#i!$ foal bea' of& 4@A le%els of& @IF li!ear sale of a)are!ess #isti!$uishe#
fro' hierarhi le%els& @A9 prese!e ha'ber of& 4@C protoplas'i& 4I6& 959 sy'bioti&
959 t)o")ay traffi )ith u!o!sious& 4F4"9& %erbal thi!ki!$ #o'i!ati!$& @CC
Co!ser%atio! of E!er$y& Pri!iple of& 9A5 Co!stable& AOF& AO5& AF4& AF9 Co!su''atory
at& 6FC"6 Co!tes <rolati/ues& FA Co!te-t le%el& i! tele$raphy& I6I Co!tra#itio! la) of&
@9O& @9F three sta$es i! la) of& @9O Co!tra#isti!tio!& la) of& @9I Co!trols& supra"or#i!ate&
6@F Co!tro%ersy& sie!tifi& 96C et se/( Co!%e!tio! a!# reatio!& AFC"9& Coper!ius& 496&
49I& 49F& 94@& 94O& 99I& 9A6& 96C& @OO fear of ri#iule& 9AF Cor#elier& FrXre& 499
NCoro!atio! StreetN& AC9"A Cos'i %orties& theory of& @@A Costa of Haarle'& 499 CouT&
E(& A4A Coulo'b& @@6& @@@ Cou!ti!$& @9A& @96 Course i! Poetis& A& A4O Co)a!& ?( <(& 94
Co)ar#& Nopl& @O Co+e!s& Ale-a!#er& AO@ Crab& a'bulatio! of& 6A5 Crai$&:(& 6F4& 659&
Craik& K( ?(& IC@& I@6& IFI& @4F& @A6 Creatio! at of& base# o! a! u!#erlyi!$ patter!& AAC
o!%e!tio! a!#& AFC"9 .u#$i!$ a! at of& AAC"4 %isual& A@@ et se/( Creati%e at bisoiatio!
of t)o $e!eti o#es& 6I9 #rea'like phases of& A9I 'usial o'positio!& I6O
psyholo$ists' %ie)s o!& 49"4A re$ressio! i!& A4I& A4@ rela-i!$ of o!trols i!& 4OF Creati%e
ati%ity a re$ressio!& 6@9 hu'our a!#& A4 operates o! t)o pla!es& AI& A@ patter!s of& 9O
Creati%e a!arhy& 995"AC& AAI Creati%e e'phasis& F9& FA Creati%e i!stability& 65F NCreati%e
>i!#N !ote o!& 4OO Creati%e ori$i!ality& F9"A& 4A4 Creati%e sy!thesis& see '<iso%ery'
Creati%ity re$e!eratio! a!#& 6@A"I starts )here la!$ua$e e!#s& 4OO Cro)ther& ?( ;(& o!
>a-)ell& @F5"5C Crustaea!s& re$e!eratio! i!& 6I4 Cryi!$ o'pariso! )ith )eepi!$& 9O4"
9 i! hu!$er& 9F4 i! pai!& 9FC )ith fear& 9F4 Cubist& AO@ Curiosity& IC4"6 NCutti!$ of a!
A$ate& TheN& @O6 <a$uerre& 45I <aily E-press& 6CI <a!te& 46F <a!t+i$& T(& @96 <arhe!(
R(& ICI <ar)i!& C(& 95& FC& 4A4& 4A9& 4AA et se/(& 94A& 99I& ICA& @59"@& OCO !atural
seletio! a!#& 4A4"66 !ote o!& 9I6 o! pai!& 9FC <ar)i!& <r( E(& 4A9& 4AO& 46A& 9@I <ar)i!(
R(& @59 <ata& olleti!$& 9AA <au'ier& O9 <a%y& H(& @@F <ay"#rea'i!$& @AI #rea'i!$ a!#&
4FC <eath"a!#"Rebirth 'otif& AIF et se/( <efor'ity& bisoiatio! of& O6"I #e ;aulle&
;e!eral& OC <e$ra#atio! theory of lau$hter& IA <e >a$!ete& @@9 #e >TrT& Che%alier& 4CA
<e!es& P(& IA6 <e"partiulari+atio!& i! heari!$& I4I <esartes& Re!T, 34, 156, 157, 811,
886, 839, 458, ::4 2escent o# +an, The, 394, :74 2esdemona, 44, 36 2estructive
environmental conditions, 557 2ialogue Concerning Two ;ew <ciences, 8:3, :=7 &uoted,
:69'8 2ickens, Charles, =3 2ictionary o# 1sychology, 319 2imensional variables in
thinking, :49'1 2irac, 1aul, 853, 487 2iscovery analogies related to scientitic development,
885 animal, 191'8, 194'5 anti'rabies vaccine, 115 'blindness' o# thinkers, 81:'89 by analogy
and intuition, 177'89= by misadventure, 178 et se&. chance and ripeness, 196'16 collective,
443 concept o# the unconscious, 15='35 data and, 844'3 derivations o# artistic, 486 #alse
inspirations and, 818'15 #aulty integrations and, 815'1: ,uchsian #unctions, 115'1:
independent multiple, 119 in#luence on art'#orms, 445'3 inoculation, 118'14 letter'press,
184 links in history o#, 849 magnetism and electricity, ::1 et se&. mathematical, 115'16,
1:5 mechanism o# the solar system, 185'49 multiple, 443 natural selection, 141'55
principle o# .rchim
s, 193'6 principle o# relativity, 111 printing press, 181'5 rare in .rt, 474 recurrent cycles in,
443 rediscovery, 443 !elativity Theory, 1=3': rules o#, :38 scientists and, 179, ::1 et se&.
suspension o# codes o# disciplined reasoning in, 1=6 une-pected, 153 et se&. vaccination,
118'15 2iscrimination, :19'11, :83 learning process, 579 2isease, controversies over
origins o#, 858 2isney, 0alt, := 2isplacement, 167'71 activities, 563 o# emphasis, 5:5
phenomenon o#, 1=7 2israeli, >., 144 2;., 51= et se&., 581 2ogmatic matrices, :59 2ogs,
3:4'5, 3:3 2on ?ui-ote, 46, 493 2onald 2uck, := 2onne, "ohn, 887, 437, 4:4, :=5
2ouble entendre, 71 2ouble identity, 1=7 2ramatic art con#lict, 439'8 identi#ication and,
453': origin o#, 496'7 parado- and clima-, 439'1 2reamer, gullibility o# the, 1=7 2reaming
essential part o# psychic metabolism, 161 displacement in, 167 passive bisociation in, 1=6
restorative power o# sleep derived #rom, 5:8 reversal o# logic in, 171 2rever, "., 343 2ubos,
!., 114, 85=, 8:1 2uncker, Carl, 167 2Srer& A95 <y!a'i e/uilibriu'& 665 <y!a'o&
eletrial& 456& @OC Ear& a!# heari!$& I4A East'a!& >a-& O5 Eho& 6F Elo$ues& 46@
Eo!o'y& AAI"6C& A5O i! a!thorship& AA5 E##i!$to!& 9I4& 9@I E#iso!& T(& 45C& 45@& 45O&
9I@& OCI Effet& =a) of& 65I& 65@ E$$& fertili+e#& 64O et se/( 'oleules of& 64O"4F E$o&
959"A E$o'orphis'& 95@ E$yptia! pai!ti!$& A@F& AO@& AOO Ei#eti i'a$es& IAC"4 Ei!stei!&
A(& 444& 46@& 4OA& 4OI"@& 4O@"O& 4FA& 944& 94A& 946& 9A6& 96A& 965& 9I4& 9I@& 9IF& 6@4& @O9&
OC6"I a!# os'i reli$ious!ess& 9@9 #esriptio! of )orki!$ 'etho#s& 4O4"9 Eletri 'otor&
456 Eletrial o!#utio!& @@I Eletriity a!# 'a$!etis'& @@4 et se/( u!ifiatio! )ith
'a$!etis'& 9AC Eletro'a$!eti ra#iatio!& @OC Eletrostati fiel#& @@@ Ele'e!ts&
tra!s'utability of he'ial& 94I Eliot& T( S(& 6I E'bryo or$a!i+ers a!# i!#uers& 69I"F
re$ulati%e a!# 'osai #e%elop'e!t& 69A"6 E'bryo!i #e%elop'e!t& 'oti%atio! i!& 6@O
E'erso!& AFF& AF5 E''a *o%ary& A4C E'otio! earthi!$ of& A9F sie!e a!#& 9II et se/(
E'otio!al atharsis& AFA at 'o'e!t of #iso%ery& FO"F bo#ily ha!$es of self"asserti!$& I@
atharsis of& FO& FF i!ertia of& II"@A ?a'es"=a!$e theory of& 9F@ lau$hter a!#& IA et se/(
partiipatory te!#e!ies& I6& 9O4 et se/( physiolo$ial effets of& IO reaso! a!#& I@ self"
tra!se!#i!$ te!#e!ies& I6& FF& 9FI three"#i'e!sio!al theory of& 9O@ E'oti%e pote!tials&
A94"9& A9F E'oti%e respo!se& la) a!# or#er i!& A9I"@ E'pathy& 4FF pro.eti%e& 95@& AO6&
AF@& AFO E'pe#oles& 4A4 E'phasis& AA6 E'pso!& :(& AIA E!$ra's& I45"9C& I9A
E!%iro!'e!t& 66F& 6@5 %ariable& 6IC E!+y'e"pro#ui!$ $e!es& 645& 699 E!+y'es& 64F
Epiurea!s& 4A4 Epiurus& 4@6 Epileptis& i!#ue# fits i!& A44 E/uilibriu'& 66F"IC
Eras'us& 9I@ Ere)ho!& OA Esapis'& AC@ Ether"#rift& 966 Eu#o-us& 9I@ E%olutio!& 99@
re$e!eratio! a!#& 6@I"@ surplus of !ee#s a! i!here!t harateristi& 65A E%olutio!ary
#otri!e& 4A4 E%olutio!ary proess& o'ple'e!tary aspets of& 64@"45 E-a$$eratio!& AAA
'E-itatio! la!$'& 669 E-peri'e!t& %erifiatio! by& 946 E-peri'e!tal sie!e& ;alileo's&
@FC E-pla!atio!& $ra#atio!s i!& @45"9C E-ploratory #ri%e& FO& IC4& IC9& IC6"O i!
or$a!is's& IC@"O i!here!t& ICO E-pressio!ist art& AOC Eyesi$ht& 4IF Eyse!ek& 969 Fats&
olleti!$& 9AA Falstaff& @4 Fara#ay& >ihael& 4OC& 4O4& 45C& 456& 94A& 9AC& A94& @@F& @OC&
@FO"F Fear refle-& o!#itio!e#& @4C Feh!er& 4IA& 65I Fer'e!tatio!& o!tro%ersy o!& 96C"4
Fey& <ietrih& 6CC Fibo!ai se/ue!e& A95 Fihte& I( H(& 4I4& 4I9& 4I5 Fitio!&
i#e!tifiatio! i!& A6I"@ Fi#elio& @F Fi!!e$a!s :ake& AA5 Fish !est"buil#i!$& 6O5"FC
s)i''i!$ 'otio!s of& 6AF Flat)or'& 6I4& 6I6 Fle'i!$& A(& 46I& 456& 9CC& OCO Flo)er& the
root a!# the& A@9"A Foal a)are!ess& 4FC Fo$$ 'useu'& Har%ar#& 6C9 Follo)i!$ respo!se&
6F5"54 Fo!ta!elle& 99F Foreshorte!i!$& AO6 For$etti!$& 45C For'atio! of 3e$etable >oul#
throu$h the Atio! of :or's& @56 Forster's sy!#ro'e& A4I"4@ Fra$o!ar#& AA@ Fra'es of
refere!e& AI& AF& 6C& 6A& @A& A9C Fra!e& A!atole& OA Fra!ke!stei!& 9I@ Fra!ke!stei!
'o!sters& 6O Fra!kli!& *e!.a'i!& 9C9"6& 9I@& @@I& @@@& @FI"O Free assoiatio!& @6@ hoie&
@A9"A Fre!h Re%olutio!& 4A9 Freu#& <., 48, 33, 37, 6:, 147, 134, 137, 1::, 161, 171, 178,
899, 816, 83:, 83=, 8:3, 878, 489, 573, 57: &uoted, 14 ,ringe, 137 ,ry, 2. >., 345 ,ry,
!oger, 473 ,uchsian #unctions, 115'1: ,ull consciousness, 896 ,unction, reorgani*ation o#,
53=':9 ,unctional integration, 51:, 51= ,undamentalists, 141 (abor, 2., 81 (alambos, !.,
314 (alanter, /., 544 (alatea, 5= (alileo, 56, 75, 198, 119, 183, 141, 1=:, 81=, 886, 84:,
847, 859, 83:, 8:3, 39=, ::8, :=7'64 (all, ,. "., 813, 845 (alois, /verist, 111, =95 (alton,
<ir ,rancis, 1:9, 1:: (alvani, @uigi, ::= (ames, parlour, 46'7 strategy o#, 47 (astaut, A..
339 (auss, B. ,., 11='16 (enerali*ation, learning process, 579 (enes, 516 (enetic code,
51='17, 581 (enetics, controversies over, 851 (enius, corporate orthodo-y the curse o#,
847 (erm theory, 85= (estalt school o# psychology, 197, 46=, 548, 57=, 3:9 ambiguities
o#, 368 pit#alls o#, 3=4 et se&. theory, 31= (ibson, ". "., 39 (ilbert, 0., 886, ::8, ::3
(ladstone, 0. /., 154 (oethe, 148, 131, 83= (oldstein, B., 391 note on, 468 (olem o#
1rague, 5= (ombrich, /. A., 4=6, 473, 476 (oose, imprinted, 567 (radients, ascending,
479'1 (ra#ting operations, 537 (raves, !., 481 (ravity, controversy on theory o#, 859
(ray, .sa, 148, ::3, ::: (reek art, 4:7, 4=8, 4=:, 4==, 4=6, 473': (reek science, :=3':
(reig, ".C.T., 48 (ris, "uan, 4=5 (roddeck, 134 (rowth, controlled by genetic code, 548
(uarini, 443 (uericke, ::3 (uided learning, 3=3, :18 (ulliver in @aputa, 83= (ulliver's
Travels, =4 (utenberg, "., 181, 1:4 (uthrie, /. !., 57:, 337 Aabit, 55'3 and originality, :57
et se&. Aabit'#ormation, 133 Aabits, mechani*ation o#, 135'= Aadamard, "., 11:, 189, 15=,
487 in&uiry into working methods o# mathemeticians, 1=1'8 Aaeckel, /rnst, 839, 458
Aalley, ::4, ::5 Aamburger, V., 585 Aamlet, 453 Aamman, 1=4 Aandbook o#
1sychological !esearch on the !at, 3:= Aandwriting, 338 Aardy, (. A., 487 Aarlow, A. ,.,
391, 395 Aarmony o# the <pheres, 8:9, 8:1 Aarter, ;., 541, 355 Aartmann, /. von, 134
Aarvey, 0., 886, 845 Aauptmann, (., 431 AaSy& AbbT& 459"A& OCO Hea#& He!ry& IA9& I55&
@C4 Heari!$& I4A et se/( filteri!$ proess i!& I4F"45 'elo#y& I9C"4 seleti%e o!trol of
i!put& I46"4@ Heath& T( =(& 9AO Hebb& <( O(& 65O& 65F& ICI& I45& I9@& IAO& IAF& I@4& I@9&
I@I& I5C& @CO& @6@ He$el& 4I4 Hei#eshai!& >(& 6A9 Hei!e& H(& F5& 5C Hei!roth& O(& 654
Hel'holt+& %o!& 4OC& 94O& 9A4 He'i!$)ay& A(& @5 He!ry& ?oseph& 456 Her#er& 4I4 Hero&
4C9& 4C5 Hero#otus& @9A Hero!& :(& IC9 Hershel& @46 Her+& H( R(& @O4 Hierarhy& the
o!ept of& 9FO"54 Hierarhi le%el of o!sious!ess& @A9& @AA Hierarhies of e!%iro!'e!t&
6FA Hierarhies of fee#bak& 6FA Hil$ar#& E( R(& 65@& ICC& II@& II5& I@9& I@5& I5C
Hi''elfarb& ;(& 4A5 Hi!$sto!& R(:(;(& 6F@ Hippasos& 94I Hipporati 'hu'ours'& 6F
Hipporati Oath& @OI Hipporatis& @OI Histoire Naturelle& 4A4 History of Art #iso%eries
of !e) teh!i/ues& A5A"6 sta$!atio! a!# ross"fertili+atio!& A5I"@ %isual represe!tatio!&
A@O"5 History of Physis& @@6 History of sie!e& 9A6 et se/( History of sie!e& The& AA6
Hi-o! Sy'posiu'& 64A& 6AA Hobbes& T(& IA& F5& 946& @6@ Ho$arth& O9 Ho'er& AIA
Ho'eri lau$hter& AC Ho'u!ulus& 6O Ho!ey"bee& 6FO& I@O Hook& Si#!ey& 4O@ Hooke#
ato's of thou$ht& 4@6"@ Horroks& ?(& OC6 Horsley& >iss E(& 94 Hoski!s& >(& @FI Hous'a!&
A( E(& A4O& A4F& AI6 Ho) Nati%es Thi!k& @96 Hull& C( =& 65O& 655& ICC& IIO& II5 Hu'a!&
pereptual a!# se!sory"'otor skills& I4A Hu'a! fi$ure& proportio!s of& !ote o!& AA4"9
Hu'orist bisoiati%e proess of the& 5A& 56 the reati%e at of the& 56 Hu'our a$$ressio!
a!#& I9& I6& I@& @9 reatio! of& 54"A #efi!e#& A4 eo!o'y i!& F6 e'otio!al #y!a'is of& II
et se/( i#e!tifiatio! i!& I6 i'pliatio! i!& F6 i!terpolatio! a!# e-trapolatio!& F6 =a) of
I!fol#i!$ a!#& A6C proe#ure for #isseti!$& @6 ri##le i!& FI& F@ teh!i/ue of i'pliatio!&
F9"6 tra!sfor'atio!& FI %arieties of& @6 et se/( 1see also 'Co'i teh!i/ue'& '=au$hter'2
Hu'phrey& ;(& @C4& @CA& @6@ Hu'phreys& =( ;(& 655 Hu-ley& Al#ous& @9 Hu-ley& T( H(&
466& 94A& 946& 94F& 9AA Huy$he!s& 99F& 96C Hy#e!& H(& 94& I45 Hy#ra& 6I4 Hyp!osis& 95O
Hyp!o"therapy& 95O Hyp!otis' i! #e!tal sur$ery& 9A5 Hypparhus& 9A6 Iarus& 6@ I#eas
o'bi!atio! of& 4@6 o!reti+atio! of abstrat a!# $e!eral& 4O5 e%olutio! of& 996 et se/(
history of& 45 I#e!tifiatio! i! literary )ork& A6I"@ i! )eepi!$& 9OF& 9O5 'a$i a!#& ACF"5
%isual& I9O Il Sa$$iatore& @F9 Illusio!& AC4"4C a!# esapis'& AC@ atharti %alue of& AC@
#iret speeh a!#& A4C #y!a'is of& AC6"5 i#e!tifiatio! i!& ACF po)er of& AC4"A the %alue
of& ACA"6 I'a$e& A9C et se/( o!rete& 4O5 lo$ial a!# #i#ati appeal to i!tellet& A9I
I'a$ery& #epe!#e!e o! e'oti%e pote!tials& A94 I'itatio!& i'pri!ti!$ a!#& 6F5 et se/(
I'itati%e bir#"so!$& 654"9 I'perso!atio!& I@& 5C& 4O5 be!efits of& 4FO"F bisoiatio! of& @F
paro#y a! a$$ressi%e for' of& @5 I'pliatio!& the teh!i/ue of& F6 I'pressio!ist pai!ti!$&
A5F I'pri!ti!$ a!# i'itatio!& 6F5 et se/( #efi!e#& 654 i'pro%isatio!& 'usial& I6O
I!#uers& 69I& 69@& 69O I!fol#i!$& AAA et se/( I!heritors& The& 4@F I!!ate beha%iour& 6OO
I!!ate releasi!$ 'eha!is'& 6OF I!oulatio!& 449 I!put& i! heari!$& I4A"4@ I!sets& i!si$ht
a!#& I@I"O I!si$ht ;estalt use of the ter'& IF9"6 i!sets a!#& I@I"O !ot lear!e# but
#epe!#e!t o! lear!i!$& I5C pereptio! of relatio!s& I6F I!si$ht a!# Outlook& 9C& 465
I!si$ht lear!i!$& I94"A& IO@ harateristis of& IOO& IFC riteria of& IOO"5 preo!#itio!s of&
IO5"F9 I!spiratio!s& false& 949"46 I!sti!t lear!i!$ a!#& 6OO"F subli'atio! of& A9C I!sti!t"
beha%iour& 6OI et se/( o#es& 6OF yli patter!s of& 6FA"6 $e!etis of& 6O@ I!te$ratio!s&
$ra#ual& 99C I!telletual illu'i!atio!& AFA I!ter'itte!t rei!fore'e!t& 655 I!tro.etio!& 95@
I!tuitio! a!alo$y a!#& 455"9CO lo$i a!#& 449"4F Iro!y& OA"6 Irratio!al !u'bers& 94I
Isla!#& OA ?ak"i!"the"bo-& 6@& 65& 5C ?akso!& Hu$hli!$s& 6A9 ?ae!sh& E( R(& AO6
?akobso!& R(& 4OA ?a'es& He!ry& 9@I ?a'es& :illia'& 6A& 4I9& 4IF& 4I5& 454& 9@I& I4@&
I59& I5A ?a!us pri!iple i! or$a!i hierarhies& 6@O"F ?ea!s& ?(& 9@I ?e!!er& E#)ar#& 449&
44A ?ester& 9O& 9II& 9IO ?oh! of Salisbury& @4A ?oh!so!& Sa'uel& AC& A@@& 6C4& OCO ?oke&
seei!$ the& F5 ?o!ah a!# the )hale& A@C"4 ?o!es& Er!est& 4A5& 94F !ote o!& ICO ?oye&
?a'es& AA5& AIA ?u!$& C( E(& !ote o!& 944 ?u!$& C( ;(& 4@@& 4FO& AIA& 6@9& @6O ?u%e!al& O9&
ICI ?u-tapositio! of aspets of e-perie!e& AI9 Kafka's Castle& OA Ka!t& E(& 4A4& 4IC
Ka!tor& :(& 966 Keats& ?( A94& AAC KekulT& F(A( %o!& 44F& 4@5& 4OC& 4O4& 4FI& 96C& A94
Keller& Hele!& 999& I5I Kel%i!& =or#& 455 Kepes& ;(& AFF& AF5 Kepler& ?(& 6F& 4CA& 496& 49I&
49@& 49O& 49F& 4A4& 46I& 46F& 4@A& 4O@& 455& 94A& 94O& 99C& 99F& 9A6& 9AO& 9@C& 9@4& 9@I&
95C& A9O& AAC& 6@4& 6@A& ICO& IO@& @9I& @65& @@9& @OI &@FA"6& OCO ;alileo a!#& @O5 Kepler's
la)s& 496"I Ki!etoso'es& 69C Ki!$ Solo'o!'s Ri!$& 6F Kirher& A(& @@A Klue%er& H(& IA4
K!o)i!$ a!# seei!$& I9O"F Koehler& Otto& 659& IAI& I55& @9A Koe!i$stei!& 945 Koffka& A(&
I4O& IIO& IF6& IFO& @99 K[hler& :olf$a!$& 4C4& 4CA& 4CF& 4C5& 44C& 99C& 9@@& 659& IC6&
I4O& II6& II@& IIO& I@C& IOA& IOI& IOO& IOF& IO5& IF4& IFA& IFO& IFF& IF5 Krehe%sky& I(&
I@@& IO4 Kretsh'er& E(& 4@F& 9@I& A99& A9A& A9I& 6@C& 6@A& @C@ Kruesi& ?(& 45O Kubla
Kha!& 4@@& 4@O& 4@F =a Ro!#e& A@ =aboratory #isaster& 459 =a'ark& 4A9& 4AA& 4A6& 4AI&
4A@& 4AO& 4AF& 46A =a'arti!e& 4IC =a'b& Charles& 4F@ =a!aster& Osbert& !ote o!& F@
=a!$ua$e a thou$ht"rystalli+er& 4OA"O !ote o!& @C6 pitorial& 4@F& A99"I s!ares of& 4OA et
se/( the #a)! of& 99C"A thi!ki!$ a!#& @CA =a!$ua$e 'atries& @6C"4 =aplae& 4CA =ashley&
K( S(& 64A& 6A6& 6IF& 6F4& 654& II9& II6& @C5& @A@ =au$hi!$ throu$h o!es tears& 9OO
=au$hter& 9O et se/( 1See also Co'i teh!i/ue& Hu'our2 a!# e'otio!& I4 et se/( a!#
)eepi!$& 9O4"A au#ible& 95"AC breathi!$ ha!$es i!& 95& AC& I5 #efi!e#& 95 #ishar$e
'eha!is'& II hi!#ers biolo$ial #ri%es& I4 illustratio!s of& A9 et se/( laboratory
e-peri'e!ts& AC list of oasio!s for& @C lo$i of& A9 et se/( 'eha!is's of& I5"@4 'usle
o!tratio!s i!& 95& AC& I5 Ol# Testa'e!t refere!es to& I9"A para#o- of& AC"4 pre%e!ts
biolo$ial #ri%es& I4 rebellio! a$ai!st habit& @A theory of #e$ra#atio!& IA )eepi!$ a!#
ryi!$ o!traste# )ith& 9O9 =au$hter refle-& 9F"AC =a) a!# or#er& A9I"O =a)re!e& <( H(&
5C& 65@ =a)re!e& T( E(& @O =a)re!e& :(& IA6 =ayok& Sir T(& 4I9 =e Corbusier& A95 =e
Rire& A9 =ear!i!$ a bisoiati%e proess& IFF"5C ability& #iffere!es i!& 65@"O a!i'al& I@9"I
a!tiipatory beha%iour of& IO@ assoiati%e& IFO by trial a!# error& IO@& IOO riteria of
i!si$ht& IOO"5 #efi!itio!s of& 6OO #ri%e"re#utio! theory& 65O& IC6 fee#bak proess i!& 654
$ui#e#& IOI& @49 i! tele$raphy& I66"I i!si$ht& IO@ i!sti!t a!#& 6OO"F 'oti%atio! for& to
lear!& IC@ 'otor& IIC& II9 opti'u'& 65@ pereptio! a!# 'e'ory i!%ol%e# i!& I4A
pereptual& 65C pia!o"playi!$& I6@"O preo!#itio!s of i!si$ht& IO5"F9 serial& I6I skills&
su''ari+e#& I65"I6 sta'pi!$ i!& IOO sy'boli o#i!$& IAA throu$h play& IC5 to speak&
I59 et se/( to thi!k& @C@ et se/( u!ifor' fators i!& IOI"@ %isual& I9@"O =ear!i!$ pote!tials&
reser%e surplus of !ee#s& 65A =ear!i!$ proesses& 65C re%ersal of hierarhi se/ue!e of
operatio!s& I6O =ear!i!$ theory basi #iffere!es of psyholo$ial shools& I@4"9 pitfalls
of& II@ et se/( retrospet& II@"O =ee& 3er!o!& AO6 =eerlauf ati%ities& 6F6"I =eib!i+& 44C&
4A4& 4IC& 99F& 96C =e!i!& 456 =eo!ar#o #a 3i!i& O9& A95& AAA& AOI& A56 =eo!i!e %erse&
A46 =etter"habit& II4 i! tele$raphy& I66 i! touh"typi!$& I6@ =e%errier& 9A6 !ote o!& 9I6
=e%iatha!& IA =T%y"*ruhl& =(& 95A& AC5& @96 =e)i!& K(& 65F =ey#e! .ars& 9C9& 9CA& 9C6&
@@@ =ibi#o"theory& 65@ =ihte!bur$& 4IC =i#ie& 95O =iebi$& 96C =i$ht orpusular theory
of& 96C spee# of& 96A& 966 )a%e"theory of& 96C =i$ht!i!$ o!#utor& 9C9& 9CA =i!#auer&
>(& 6FO =i!#sley& <( *(& ICI =i!ear a)are!ess&& @A9 =i!!aeus& 4A4& 4A9& 99F =i!!T& Carl
%o!& 4A4& 4A9 =i!!ea! Soiety& 469 =iterature arhetypal patter!s& AIA"I& AI6"O& AIF"@I
arhetypes& AIA"6 art of& #efi!e#& AC4 o!flit i! !o%els& AIC"9 #a)! of& AC5"4C for$eries&
6C4 i#e!tifiatio! i!& A6I"@ puppets a!# stri!$s& AII"O %illai!s i!& AI4 =oa#sto!es a!#
a'ber& @@4 et se/( =oke& ?oh!& 4A4& 465 =oo'otor atio!s of fish a!# rab& 6AF"66
=oo'otor hierarhies& 6A9"F =oeb& ?(& 6F =oe)i& Otto& 9C6"I& 9C@& 9CO& 99C =o$i& @9I"5
a!# i!tuitio!& 449"4F li'its of& 46I"O 'eha!ial& 4@C& 4@4& 4@9 re%ersal of& 454"5& 6@6
=o!$itu#e Fou!#& The& @@A =o!$itu#e Not Fou!#& The& @@A =o!$taile# Tits& o!su''atory
ats of& 6FA =ore!+& K( =& 6F& 6OF& 6F4& 6F9& 659& IC9& IC@& I44& IIO =ori'er& F(& @4@ =ot's
)ife& 6F =otus a!# the Robot& The& 4OO !ote =uretius& 4A4 =u#i& I44"49 =u#i beha%iour&
IC5 et se/( =u#irous& the& I44"49 =yso+y'e& 456 ><ou$all& :(& IA& 654& IC4 >;ill
U!i%ersity& 4IF >;lasha!& A(& 94 >ah& Karl& @65 >ahi!e& 'a! a!#& 6I"5 >apherso!&
?a'es& 6C4 >aestli!& @9I >a$i& @9@ i#e!tifiatio! a!#& ACF"5 of !a'es& @4A"46 of the
sta$e& ACF partiipatio! i!& 956 pri'iti%e a!# o!te'porary& ACF subli'atio! a!#& 9IF"@A
)or# a!# sy'bol& 95A >a$i >ou!tai!& 5C >a$ial thi!ki!$& 9@4 >a$iia!& *e!e%ole!t&
9II& 9I@& 9IO >a$iia! Pope& 9II >a$!etis' a!# eletriity& @@4 et se/( u!ifiatio! )ith
eletriity& 9AC >aillet& #e& 4A4 >ai'o!i#es& 9II >alipha!t& R(& 94 >allar'T& AAO
>alskat& =(& 6CC& 6C4 >althus& 46C& 46I& 469& 46A& 9CO >a''alia& re$e!eratio! i!& 6I4
>a! a!# a!i'al& bisoiatio! of& @O >a! a!# 'ahi!e& 6I"5 >a!et& @5 >a!$ol#& Hil#e& 69I
>a!ipulatio!& IIF >a!tras& A4A >arbe's =a)& @66 >arie& Pierre& IA9 >ari!er's o'pass&
@@4 >ar/uis& the *ishop a!# the& AA"6& I@& 59 >ars& orbit of& 49F '>artyr#o' of St(
Sebastia!'& AF@"O >ar-& ;rouho& @4 >ar-& K(& @56 >askely!e& 9AC >asohist& @I >ass"
psyholo$y& 95O >athe'atial $a'es& 54 >athe'atila!'s Apolo$y& A95 >athe'atiia!s
aestheti feeli!$ of& A95 #epe!#e!e o! irratio!alities& 46O >athe'atis& @94"I abstratio!
of i!#i%i#ual !u'bers& @99 ou!ti!$& @9A #iso%ery a bisoiati%e at& 4@6 i!tuitio!ists %
for'alists& 964 lear!e# i! e-pliit %erbal for'& @AO 'athi!$& @9A& @96 !u'ber o!ept&
@99& @9A thou$ht proesses& A5& 6C >atries& AF& 66& @@& O@& 5@& 994& 999& 696& 6A4& 6O4"A&
65C"4& I96& I59& @6C"4& @69 et se/(& @I6& @I@ et se/(& OCI a!# o#es& !ote o!& IC a!y t)o
a! pro#ue a o'i effet& @@ bisoiatio! of i!o'patible& I5& 99C bloke#& 996"I
ollisio! of& 6I #ual o!trol of& 64I e'oti%e pote!tial of& A94 fle-ibility of au#itory"%oal&
659 la!$ua$e& @6C"4 of %erbal thou$ht& AF >atri- #efi!e#& AF !ote o! ter'& IC re'e#y for a
bloke#& 4@A >au">au oath& 956 >a-i'es et Pe!sTes& IA >a-)ell& ?a'es Clerk& 9AC& 9IF&
9@I& @@5& @OC& @O4& @FO& @FF"59& OC6& OCI& OC@& OCF >ayer& Robert& 9A5 >easure a!#
'ea!i!$& A49"46 >eha!ial e!ruste# o! the li%i!$& 6@ >eha!ial lo$i& 4@C& 4@4
i!terfere!e )ith& 4@9 >eha!is's& physiolo$ial& 6F >eh!ikoff& E(& 455 >e#iu'& artist's&
AAA"6 >eister& ?osef& 446 >elo#y& trai!$ a& I9C"4 >el%ille& H(& A@4 >e'ory a!alysi!$"
#e%ies& I96"@ assoiatio!& IAF"5 au#itory& IAA"I #isri'i!atio!& IAO $e!erali+atio! of
i!put& IAO i'a$es& IA4"A i! all lear!i!$ proesses& IO@ le%els of& I9F"A4 pereptio! a!#&
I4A et se/( photo$raphi& I95 piture"strip reall& I96"@& IAC& IA4 reo$!itio! a!# reall&
IA5"64 relate# to au#itory pereptio!& I4F"45 >e'ory"for'atio!& A6O& A6F parsi'o!y i!&
I9A >e'ory"syste's& hierarhy of& I9A >e!#el& !ote o!& 9I6 >e!tal e%olutio!& 99@
>e!tal sa!!i!$& o'pariso! )ith %isual 4@4 >e!tality #iffere!e bet)ee! pri'iti%e a!#
'o#er!& @9@ tribal& ACF >e!tality of Apes& The& 4C4& IC6& I@C& IO5& IF9& IFA >es'er& 9A5&
9I@ >esse!$er RNA& 645 >etaphors& 4@O& A9C& A94 >etaphysis& >a-)ell a!#& @FF"59
>etri patter!s& A46 >ihelso!& 96A >irobiolo$y& 456 >i#su''er Ni$ht's <rea'& A& IA&
4O9 >iller& <( C(& 966& 6AA& 66A& 655 !ote o!& 9I6 >ilto!& ?(& @O6 >i!ko%sky& 4OI
>isa#%e!ture& #iso%ety by& 459 et se/( >ispro!u!iatio!& bisoiatio! a!#& O@"O
>itoho!itia& 69C >itty& :alter& 4O5 >!e'i proesses& I9F"A4 >oby <ik& A@4
>oleular o!stitutio!& theory of& 4@5"OC >oleules& theories o! struture of or$i!i& 96C
>o'e!tary re$ressio!s& 4@5 >o!#ria!& AF5& A5C >o!oto!y& II4 >o!tai$!e& 46F >or$a!&
=loy#& 46I& I4A& II5& I@C >orpho$e!esis a-ial $ra#ie!ts i!& 6II speialistio! i!& 69A
>orpho$e!eti fiel#s& 69A& 696 >otif& i! Art& AO9"A >oti%atio!& 65I et se/(& @AI Aristotle
o!& @OI"@ by e-peta!y& 65O& ICC for lear!i!$& ICC i! e'bryo!i #e%elop'e!t& 6O@
!e$ati%e type& 65I et se/( seo!#ary #ri%es& 65O& ICC su''ary of psyholo$ists' %ie)s o!&
65I"F >oti%atio!al #ri%e i! sie!tists& @OI >otor ati%ities o!trolle# a!# 'o#ifie# by the
CNS& 66O i!#epe!#e!e of& 666 >otor"ar& #ri%i!$ a& 6@5"OC >otor lear!i!$& IIC& II9
>otor"patter!s& self"asserti%e te!#e!ies of& II9 >otor refle-es& i! lau$hter& AC"4 >otor
respo!ses& lo)eri!$ of i! e'er$e!y reatio!s& IO >otor skills& I66 et se/( auto'ati+atio!
of& @A9 o'ple- e'er$e!y"reor$a!i+atio!s i!& II6 %erbal sy'bolis' a!# lear!i!$& I55
>ouli!& =(& OCA N>ou!tai!s like :hite Elepha!tsN& AA5 >our!i!$& as reaso! for )eepi!$&
9O6"@ >o)rer& O( H(& 65I >ueller& ?oha!!& OC6 >ultiple pote!tial& OC@ >u!!& N(=& I@O
>usles fu!tio!i!$ of& 6AI"O seleti%e respo!se of& 669 >usi& A4A"46& I4I et se/&
aestheti appreiatio!& AFI"@ o'posi!$& I6O re%ersibility i!& 45F >usial phrase& i! pia!o"
playi!$& I6@ >yers& F(:(H(& @5& 4I9 >ysteries of !ature& 9@C >ysteriu'
Cos'o$raphiu'& 49I NNa'e a!# Nature of Poetry& TheN& 6AI Na'es& 'a$i of& @4A"46
Napier's lo$arith's& @9I Narissus& 6F Natural seletio!& <ar)i! a!#& 4A4"66 Nature&
looki!$ at& A@@"5 NNature of E-pla!atio!& TheN& IC@ Nee#ha'& ?(& 69@& 6A9& 6@O Neo"
*eha%iourists& I@4 Neoplato!ists& 4A4& 46F Ner%e"i'pulses& Che'ial tra!s'issio! of&
9C6"O Ner%ous syste'& 69@& 69O o!trol o! $ro)th o'pletio!& 6A9 #e%elop'e!t of the&
6AC"9 super fle-ibility of fu!tio!s& 6I5 Neu'a!!& ?( %o!& A9 Neurolo$y& refle-"for'ula
a!#& 65F Neurophysiolo$y& 9A4 a!# e-ploratory #ri%e& ICI& IC@ o!tro%ersy& 964 Ne)
Astro!o'y *ase# o! Causatio! or Physis of the Sky& A& 496& 49F& 495& 94O& 9A6& 9@I Ne)
=a!#sape& The& AFF Ne) Borker& AO& FI Ne)to!& Alfre#& 466 Ne)to!& Eri& AFF& A56& A5I
Ne)to!& Sir I(& @5& 44C& 496& 4A4& 4O@& 9CC& 99F& 96C& 9I@& 95C& @@A& @F6"I& OCF first =a)
of >otio!& 9AO Niolas of Cuss& 9@C Niolle& Charles& 9IO Niolso!& >ar.orie& @O6
Niet+she& 4IA Ni$ht .our!ey& AIF"@C 45F6& 5C Nisse!& H( :(& IC9 Noise& I46 No!"
represe!tatio!al art& AOC No!se!se hu'our& bisoiatio! of& OF Nor'al o!#itio!s& #efi!e#&
665 Norris& ?oh!& 465 Note habit& i! pia!o"playi!$& I6@ No%el& o!flit& AIC"9 Nuleus&
atio! of ytoplas' o!& 699 Nu'ber"o!epts& @99 i!#i%i#ual& @99"A perso!ali+e#& @9A
Nu'bers& irratio!al& 94I Ob.eti%e %erifiability& 9F Oea!i feeli!$& FF& 9@C& 9@A& Oea!i
)o!#er& A9O& A4F& @A6 Oe#ipus Re-& AII Oe#ipus story& A9& AI& @F Oerste#& H( C(& 9AC& @@F
Oistrakh& <(& I5& @C Ol# Testa'e!t /uote#& A9A refere!es to lau$hter& I9"A O! ;ro)th a!#
For'& 6@@ O! the Fae i! the <is of the >oo!& 9AO O! the Re%olutio!s of the Hea%e!ly
Spheres& 49I& @OO O!to$e!esis& 6I4 Opera!t beha%iour& 65@& 655 Operators& 645 Optial
pu!& 4O5& 4F9 Optial realis'& IFI Optis& 4A4 Or#er& la) a!#& A9I"O Or$a!elles& 69C
Or$a!i life $o%er!e# by rules& @A4 Or$a!is's a#aptatio!s& 66F& 6IC o#e for 'aki!$& 64O
et se/( fu!tio! of !er%ous syste'& IC@ i!e!ti%e to e-ploratory ati%ities& ICO !ot 'asses
reati!$ to e!%iro!'e!t& 65F re$e!erati%e spa! of& 6IC"9 super"fle-ibility of& 6IC
Or$a!i+atio! pereptual& IFO pri!iples of& 6@O et se/( Or$a!i+ers& 69I Ori$i! a!# Nature
of the E'otio!s& The& 9FI Ori$i! of Speies& The& 4A9& 4A6& 4AI& 469& OCO Ori$i!ality a!#
e'phasis& AAA"I riteria #isti!$uishi!$ routi!e fro'& @I6 #e$rees of& @I6"O for$etti!$ a
prere/uisite of& 45C habit a!#& 66"I& @65 et se/( Orphi 'ystiis'& 9@C Ortho#o-& pitfalls
of& @A5 Or)ell& ;eor$e& @O& OA& A9A Os$oo#& C(E(& II5& I@F& @66 Ossia!& 6C4 Othello& AA&
I@ O%er"lear!i!$& II4 O%ershooti!$ harateristi of e%olutio!& 65A O%er"state'e!ts of the
bo#y& IF Pa$et& Sir& R(& IA6 Pai!ter& e!$a$e# i! lear!i!$ to see& ICO Papa$e!o& @4
Paraelsus& 46F& 9I@ Para#o-& the hu'orist a!#& 5A"6 Para#o-es& lo$ial& 54 Para!or'al
o!#itio!s& 665 Parasy'patheti reatio!s& ACI Parasy'patheti syste'& 9O6 Paro#y&
bisoiatio! i!& @5"OC Parrot"talk& 654"9 Parsi'o!y& Pri!iple of& 65I Partiipatio!& =a) of&
95A Partiipatory te!#e!ies& I6 Pasal& 4CA& 99F& OC6 Pasteur& =ouis& 449& 44A& 446& 44I&
9CC& 99I& 964& 9I@( 9@4& @5@"OC9& OCO $er' theory& 96O stu#y of rystallo$raphy& 45A
Patholo$y of thou$ht& 9AI"6C Patter!"lear!i!$& I99 Pa%lo%& I( P(& 65F& IC6& ICI& IIO& IO@&
IF6& @44& @9F Pa%lo%'s #o$s& I@A"6& I@I& IFC& IF9 Pe!#ulu' proble'& 4F5"5C Pe!fiel#& :(&
I5O& I55& @C4& @C9 Pe!iilli!& 456 Pereptio! a!# 'e'ory& I4A et se/( o!#itio!i!$ a!#
i!si$ht i!& I94"9 of relatio!s& I6F of sou!# patter!s& IAA Pereptual o#es& A6O& A6F& AO@"
FC lear!i!$& 65C or$a!i+atio!& IFO pro.etio!& 95I& AOA Pere$ri!e& Peter& 99O& @@4
Peripheral a)are!ess& 4I5& 4Fo Perso!al e/uatio!& 9A4 Perspeti%e& AO6 Persua#ers& hi##e!&
69"6 Pha$oytes& 455 Philosophie ]oolo$i/ue& 4AF Philosophy of the U!o!sious& 4IA
Phoe!i- of Astro!o'y& @OF Pho!eti 'atries& @6C Pho!o$raph& 45O Photo$raphy& 45I
Photosy!thesis& 69o Phrase"habit& II4 Phre!olo$y& 94I Physial ausality& IF6 Physis&
sie!e of reaso!s for #elay i! e'er$e!e of true& 9A@ sy!thesis )ith Astro!o'y& 496
Physiolo$ial isolatio!& 6I9"A reati%ity a!#& 6@A Physiolo$ial re$e!eratio!& 6I4 Pia$et& ?(&
959& IFI& I5@& I5F& @46& @9O Pia!o"playi!$& 69& II4& II9 lear!i!$ habits i!& I6@"O Piasso&
O4& 59& 49C& 6C9 a!# the 'fakes'& F9& F6 Pitorial thi!ki!$& 4@F& A99"I Piture postar#s&
AFA"I Piture"strip la!$ua$e& @C@ Piture"strip reall& I96"@& IAC& IA4 Pi$'e!t& AOC"4
Plae"lear!i!$& I6I Pla!k& >a-& 46O& 94A Plat!er& E(& 4I4 Plato& 4A4 Plato's Ca%e& OA Play
#efi!itio!s of& IC5"4C lear!i!$ throu$h& IC5 et se/( Play of i#eas& @I"@ Pleasure& #eri%atio!
of& 65I Ple#$e& H( T(& 99F Ploti!us& 46F Plots& A6I( et se/( atalo$ui!$& AI6"I& AII"O
Plutarh& 9AO Poet ele'e!t of e-plorer i!here!t& ICO i'a$ery pro#ue# by 'etaphor& 4@O&
A9C Poeti i!spiratio!& A4I Poetry& lear!i!$& I94 Poi!arT& He!ri& 46I& 46O& 4@6& 4@I& 4@@&
944& 949& 9A6& A95& AAC #iso%ery of Fuhsia! fu!tio!s& 446"4@ Poi!tillist& AO@ Pol\!yi&
>(& 94& 4I5& 969"A& 966& 6@6& I@6& IFF Politial artoo!& OC Polya& ;(& 4OO& @IC& @I9 Polyp&
6I4 'ari!e& 6I@ Popper& K( R(& 4O@& 96@ Pratiality a!# abstratio!& OCI"@ Pre"o!sious
state& 4I9& 4I5 Pribra'& K( H(& 6AA Priestley& ?oseph& 9C6 Pri!ipa& @@A NPri!iple of
Co!te'ple'e!taryN& 45F Pri!iples of ;estalt Psyholo$y& I4O Pri!$le( ?(:(S(& I45
Pri!ti!$"press& 494"6 Probability& theory of& 4CA Proble'"sol%i!$& @AI& @65 et se/(
Proble's routi!e of sol%i!$& @I4 searhi!$ for a o#e& @I9"6 solutio! by a!alytial 'etho#&
@IC sol%i!$ by sy!theti 'etho#& @IC Pro.eti%e e'pathy& 95@& AO6& AF@& AFO Protei!s& 64F
Proust& A49 Pro%isio!al tries& IO4 Pseu#o"pro%erb& O5 Psyhoa!alysis& 4FF Psyholo$ial
fiel# theory& 65F Psyholo$y a!# 'oti%atio!( 65I et se/( fashio! i!& 96F !e) orie!tatio!&
65F et se/( self"tra!se!#i!$ e'otio!s a!#& 9FI et se/( Psyholo$y fro' the Sta!#poi!t of
*eha%iourist& IIO Psyholo$y of =au$hter a!# Co'e#y& A9 Psyho"physial iso'orphis'
theory& IFF Psyhoses& hallui!atory& A96 Psyhotherapy& 4FF& 969 ai's of& 6@I free"
assoiatio! 'etho#& @A4 re$e!eratio! a!#& 6@4 Ptole'y& 49F& 9A6 Puerperal fe%er& 9A5
Pulsatio!( A44"49 Pu!& OO& 4O5 bisoiatio! of si!$le pho!eti for' )ith t)o 'ea!i!$s& @6"I
optial& 4F9 sou!# affi!ity& A46& A4I Pu!h a!# ?u#y& 6F& 65 Pu!!i!$& 4F@"O o'pulsi%e&
A4I"4@ Pu!!i!$ 'a!ia& @I NPurhas's Pil$ri'a$eN& 4@@& 4@F Pure o!sious!ess& @AI
Pu++le bo-& at i!& I@F"OC Py$'alio!& 6O Pyke& >(& 99O Pytha$oras& 444& 454& 9II
#iso%ery of 'usial pith& 444& 454 Pytha$orea! re%i%al a!# Shakespeare& @O6
Pytha$orea! Sale& 9@C Pytha$orea!s& 6F& 94I& 99O& 9I5"@C& @OI Jua!tu' 'eha!is& 96I
Jua!tu' physis& 455 Jui-ote& <o!& 6@ Rapt!ess as reaso! for )eepi!$& 9OA"6 Ratio!ality
of !ature& @FC Rats& e-peri'e!ts )ith& 6IF"5& ICC& IC9& I9C& II@& IIF& I@O"F Rea#i!$& IA6
Reaso!& e'otio!s a!#& I@ Reaso!i!$& u!o!sious proesses a!#& 4@A Reaso!i!$ skills& 6C
Reall& IA5"64 Reeptors& 6AI Re# Juee!& OO"F Refle- #efi!e#& 9F"5& 655 lau$hter& 9F et
se/( Refle- ar& 65F Refle-es& t)i!& @9 Re$e!eratio! a-ial $ra#ie!ts i!& 6II"@ reati%ity
a!#& 6@A"I e%olutio! a!#& 6@I"@ pyhotherapy a!#& 6@4 Re$e!eratio!s routi!e& 6IO
strutural& 6I6"I Re$e!erati%e e/uilibriu'& 6I6 Re$e!erati%e spa!& 6IC"9 Re$io'o!ta!us&
OC6 Re$ressio! of poeti i!spiratio!& A4I& A4@ %alue of& 4OA Re$ressio!s& 'o'e!tary& 4@5
Reik& T(& 4FF Relati%ity& Theory of& 4FA& 96A"@ #iso%ery of pri!iple of& 444& 4OI"@
Rele%a!e& @9I Relief& as reaso! for )eepi!$& 9O@"F Reli$io!& sie!tists a!#& 9@C"A
Re'bra!#t& @5& A9F Re!a!& Er!est& 46O& 9@4 Re!oir& II6 Repetitio! of syllables& A46
Represse# o'ple-es& 4F4 Repressors& 645 Respo!ses& 655 Retiular ati%ati!$ syste'&
ICI Re%olutio!s of the Hea%e!ly Spheres& 94O Rhy'i!$& A46 Rhyth' a!# rhy'e& A44 et
se/( =a) of I!fol#i!$ a!#& A6C"4 Rhyth'i perio#iities& A4A Ribot& T( A(& A9 Rihar#s& I(
A(& A44& A6C Rihar#so!& O( :(& 9AC Rihter& ?ea!"Paul& 4I4 Ri##le& FI& F@ Ri##les of the
U!i%erse& The& 9IC Rih'a!!& >(& 9C6 Ripe!ess& 466& 46I for #iso%ery& 4CF et se/( RNA&
69O& 6II Roberts& =(& @C4 Rok"'!'"Roll& A44 Rohrshah& AOI& AO@ Rohrshah test& IAF
Ro'eo a!# ?uliet& @F R[!t$e!& :(K(& 45I Root a!# the flo)er& the& A@9"A Rosa'u!#& @F
Rose!thal& R(& I@F Rosetta sto!e& 5C& 4F@ Royal Soiety& 4A9 Ruh& T( C(& 66A& IIA Ruski!&
A5I Russell& *ertra!#& 9CC& 9I4& 9@9& 9@I& II@& I@O& IF@& IFO& @C@ Rutherfor#& 4O@& @O4
Sa#ist& @I Sa$e& 9O& 9II Sai!t"Hilaire& ;eoffroy& 4A9& 4AA St( Tho'as A/ui!as& 46F& 99F&
9II St( 3itus's #a!e& A44 Sala'a!#er& 69@& 6AC !or'al fu!tio! of tra!spla!te# li'b& 6IO
re$e!eratio! of eye le!s& 6I@ re$e!eratio! of lost li'b& 6I6 Sa!ho& AF Sa!#e'a!ia!s& @FF
Sarsi& Father& 96C Sartor& He!ry& 996 Satire& O9"6 Sa!!i!$ ob.ets a!# rules of the proess&
4@9 %isual a!# 'e!tal& 4IF et se/( Shelli!$& 4I4 Shiller& F(& 9IO& A4F Shi+ophre!i
sy'bols& A96 Shope!hauer& A@& AI6 Shr[#i!$er& Er)i!& 96I& 9@I Sie!e bore#o' of&
9@A"@ bou!#aries of& 96F"I9 e'otio! a!#& 9II et se/( fashio!s i!& 96@"F history of& see
Sie!e& History of hyp!otis' a!#& 9A5 =a) of I!fol#i!$ a!#& A69"A 'artyrolo$y of& 9A5
ortho#o-y a!#& 9AF& 9A5 pro$ress to)ar#s u!i%ersal la)s& AI9 relatio!ship )ith art& 9O& 9F
reli$io! a!#& 9@4"9 reli$ious 'ystiis' a!#& 9@C"4 'ri%er"#elta' patter! of pro$ress& AI9
)or#s as tools a!# traps for& 4O@ Sie!e& history of& 996 et se/( o!tro%ersies& 96C i'pat
of reli$io! a!# politis& 9AF& 9A5 !either o!ti!uous& !or u'ulati%e& 9IA t)e!ty"si-
e!turies of& 99O"F Sie!e a!# Hu'a! *eha%iour& II@& IIO Sie!tifi e%i#e!e& 969
Sie!tifi Re%olutio!& 9@C lea#ers of& @OO"F6 Sie!tists abstratio! a!# pratiality& OCI"@
a!# the i!fi!ite& 9@4"A bisoiatio! a!#& O9 atharsis of proble's& A9F #estrutio! of the self"
e%i#e!t& 4O@"O #iso%ery a!#& 45C 1see also <iso%ery2 i!telletual harateristis of& OCA"F
irratio!ality i!& 46@ 'oti%atio!al #ri%e& @OI 'ultiple pote!tial& OC@"F preoious!ess of&
OCA"6 reli$io! a!#& 9@C"A the *e!e%ole!t >a$iia!s& 9II"@ the reati%e a!# his au#ie!e&
9@A"@ the >a# Professors& 9I@ the u!i!spire# Pe#a!t& 9I@"O the :hite >a$iia!& 9IO"F
%isual i'a$ery a!#& 4@5"OA Sott& Sir :(& 944 Sree!i!$ ati%ity i! heari!$& I4A et se/(
Seletio!& AAA Seleti%e e'phasis& A5O Self"a'putatio! i! a!i'als( 6I4 Self"asserti%e
te!#e!ies& 9II& 9IO& 9I5& ACI i! hu'our& I9& I@& IO& 5I i! or$a!i hierarhy& 665 of part"
beha%iour& 6@F subli'atio! of& 9I5 Self"a)are!ess& #e$rees of& @AA"I Self"pity as reaso!
for )eepi!$& 9FC Self"tra!se!#e!e& ACA %olu!tary& 956 Self"tra!se!#i!$ e'otio!s& I6&
9IF& 9@A& 9FI& 95F& ACI& A9F i! )eepi!$& 9OA"6 subli'atio! of& 9@4 Se'a!ti #iffere!tials&
@66 Se''el)eiss& I$!a+& 9A5& 96C Se'o!& R(& IA4 Se!se of )o!#er& @O6 et se/( Se!sory
$ratifiatio!& #iffere!e fro' aestheti satisfatio!& AFI Seurat& 4O6& A95 Se-"#ri%e& 65@
Se-ual te!sio!& 65@ Shaftesbury& Earl of& 4Io Shakespeare& 46F Sha)& ;( *(& 6O& 49C
Shelley& P( *(& A94 Sherri!$to!& Sir Charles& 9F& 6A9& 65F Si$!"lear!i!$ theory& 65O
Si'plifiatio!& AAA Skill auto!o'ous a!# auto'ati fu!tio!i!$& IIC"4 bala!i!$& I6F
o'ple-& asserti%e te!#e!ies of& II9 #ual o!trol i! e-erise of& AF hierarhi struture of
o'ple-& 9FF"5 'orpho$e!i& 64I 'otor& I66 et se/( pereptual& 6F5 et se/( heari!$& I4A et
se/( pre!atal& 64I et se/( %e$etati%e& 64I Ski!!er& *( F(& 4IO& 65@& 655& ICC& II@& IIO& II5
Ski!!er *o-& 96F S'ili!$& faial ha!$es i!& 95 S'ithers& <( :(& 6I@ S'oke 'iro$raphs&
AF5& A5C S!obbery& the aesthetis of& 6CC et se/( 'S!o)bli!#!ess' of thi!kers& 94@"9C
Soer& II9 teh!i/ues of playi!$& I65 Sou!# affi!ity& assoiatio! by& A46"4I Souriau& 46I
Spae a!# Ti'e& 4O6"I Speak& lear!i!$ to& I59 et se/( Spear'a!& C(& 4OO Speeh atio!"
)or#s of hil#re!& @C@"O hil#hoo# aspets of& I56"@ o!epts a!# labels i!& I5O"5 #a)! of
sy'bol o!sious!ess& I56"@ #iret& i! illusio!& A4C i#eatio! a!# %erbali+atio! i!& @CC"A
'e'ory a!#& IAA"I 'otor ati%ity pree#es se!sory o!trol& I56 preparatio! before& I59"A
%erbal beha%iour i!& I5A"6 Spe!er& Herbert& II& @5& 6A9 Spi#er& o#e of rules i! buil#i!$
)eb& AF Spi!o+a& @IC& @I4 Spo!$es& 6I4 Spo!ta!eous ati%ities& 6@F S"R Theories& I@4"9
Sta'pi!$"i!& I94 I99& I65"IC Stea' e!$i!e& 4C9& 4C5 Stei!& ;ertru#e& 6AA Stiklebak&
repro#uti%e beha%iour of& 6O5 Sti'uli& 655 Strate$y& relate# to skill& AF Strutural
#iffere!tiatio!& 64@& 64O NStu#ies o! the Tele$raphi =a!$ua$eN& I66 Stutterers& bisoiatio!
of& O6 Style& artisti& AA6"I& AA@"O Style o#es& @6C"4 Subli'atio!& 'a$i a!#& 9IF"@A
Subli'i!al self& 4@6 Subsi#iary a)are!ess& 4I5 Sulli%a!& >iss& 999 Sully& ?(& 95 Super"e$o&
@I Su+uki& <( T(& !ote o!& 4OO S)ift& <ea!& OA& 9I9& 9IO S)i!bur!e& A99 Syl%ester II& 9II
Sy'bolis'& o!reti+atio! a!#& 4F9"@ Sy'bolist 'o%e'e!t& AAO Sy'pathio"a#re!al
syste'& IO& I5& @9& FF& 9FC& ACI Sy'pathy as reaso! for )eepi!$& 9OF"5 Sy!theses&
pre'ature Kepleria! os'olo$y& 94I thi!$s a!# !u'bers& 94I Ta!re#& 4AA Taste& AFI"O
Tato!& R(& 9A6 Teh!ial o''u!iatio!s& 9@I Tele$raphy& II4 lear!i!$ proesses i!& I66"I
Telepathy& 4FF Te!sio!& u!pleasurable& 65@ et se/( Thaker& =( A(& IC@ Theophrastus& @@6
Theori+i!$& #eri%atio! of ter'& 9@C Thi!ki!$ abstratio! of pre"%erbal o!epts& @CO"4C
appliatio! of the ter' 'o#e'& @AF assoiati%e& @AI ausality& @4I"4F o!reti+atio! of
relatio!' bet)ee! )or#s a!# thi!$s& @4A"46 #i'e!sio!al %ariables& @AC"4 #ireti%e& @AI
#isri'i!atio! i!& @4C"44 e-pla!atio!& !ature of& @4F i! pitures& 4@F& A99"I lo$i& @9I"5
'a$ial& 9@4 'aster"s)ithes a!# releasers& @AI"O 'athe'atial& A5& 6C& @94"I 'ulti"
#i'e!sio!al& @AC"9 !ot a li!ear proess& 4I5 physiolo$ial aspet of& IO"F pitorial& 4@O&
4@F reo$!itio! a!# tra!sfer& @44"4A rules a!# o#es& @AO"64 si!$le pla!e& AI& A@ so'e
aspets of& @AC et se/( steps i! purposi%e& 4@A u!#er$rou!#& 4OF et se/( %erbal& AF"5& 6A
%isual& A6O"F Thi!ki!$ "" a! e-peri'e!tal a!# Soial Stu#y& /uote#& 9A4 Thi!ki!$ asi#e&
46I et se/(& 4F9 Tho'pso!& #'Ary& 6@@ Tho'pso!& ?( ?(& @O4 Tho'pso!& :( R(& IC9
Thor!#ike& E( =(& 65I& IC6& IIO& I@F& I@5& IOC& IF@ Thorpe& :( H(& 6IC& 6OO& 6OF& 6FA& 654&
659& 65A& IC@& I44& I6F& I@9& I@I& I@O Thou$ht ab#iatio! of o!eptual& 4OC hooke#
ato's of& 4@6"@ i!flue!e of u!o!sious proesses o!& 4I5 et se/( la)s of& @9F 'atries of&
AF et se/( 'atri- of %erbal& AF"5& 6A patholo$y of& 9AI"6C rules i! #isipli!e#( 4OF %erbal&
speifi patter!s of& @A@"O Thou$ht proesses& 'athe'atial& A5& 6C Tikli!$& bisoiatio!
of& O5 Tillyar#& E(>(:(& @O6 Ti'e& Spae a!#& 4O6"I Ti!ber$e!& N(& 64I& 6AA& 665& 6IC&
6OI& 6F4& 6F9& IC@& IIO& I@I& I@@ hierarhi o!trol of i!sti!t"ati%ity& 6OF"FC Tol'a!& E(
C(& 65O& ICC& I@4& IOC& IO4 Tolstoy& =(& AA5 Tools #iso%ery of& 4C4"A 'aki!$ of& 4CA"I&
IOA use of& IOA Total 'atri-& @64 Touh"typi!$& I6I To)!s )ith > 1parlour $a'e2& 4@9&
@6A"6 Tra$e#y& AC6 atharti fu!tio! of& ACO Tra$i a!# tri%ial pla!es& AIF et se/( TraitT #e
>i!eralo$ie& 45A Tra!sfer& @44 Tra!sfere!e& 95@ Tra!s'utatio! of he'ial ele'e!ts& 94I
Tra!spare!y of la!$ua$e& 4II Tra!s"substa!tiatio!& 956 Trau'a& 665 fators lea#i!$ to
re$e!e!ti%e or patholo$ial ha!$es& 6I@ Tra%els o! the A'a+o! a!# Rio Ne$ro& 464
Treatise o! Pai!ti!$s& AOI Trial a!# error lear!i!$& IO@& IOO Tribal 'e!tality& ACF Triptyh&
9O& 9F& 6@& 6O& 6F& I6& FF& F5& 54& 9II Tri"%ale!y of reati%e ati%ity& 6I Tri%ial Pla!e& A@A"
A@6& A@I True play& IC5"4C Truth a fu!tio! of beauty& AA4 a!# beauty& A9O"A4 Tuker&
Abraha'& 4I9 Tu'ours& #ue to physiolo$ial isolatio!& 6I@ Tu!e& I9C Tur$e!e%& A4F T)ist&
the& A44 Tyho #e *rahe& 49O& 49F& 4A4& 94A& 96C& 965& 9I@& @@9& @OF Ty!#all& ?oh!& @5C
Type"asti!$& 49A Typi!$& II9 lear!i!$ proesses i!& I66& I6I"@ sta'pi!$"i!& IIC
U!o!sious a! auto'ato!& 4@6 oa-i!$ the& A4O"45 o!ept of the& 46O"I6 for$etti!$ a!#
the& 45C thi!ki!$ i! pitures& 4@F& A99"I t)o")ay traffi )ith o!sious& 4F4"9
NU!o!sious& before Freu#& TheN& 46F U!o!sious erebratio!& 4I9 U!o!sious
$ui#a!e& theory of !ature of& 4@6 U!o!sious u!#ersta!#i!$& @45 U!#ersta!#i!$&
$ra#atio!s of& @45"9C U!ifie# Fiel# Theory& 9I4 U!ity"i!"#i%ersity& AFO U!ity"i!"%ariety&
AFF& A5C U!i%erse& 9@C"4& @@9 Aristotelia! syste'& 9AO lassi e-a'ple of 'e!tal blok&
9A@ Coper!ia!& 56& 49I& 94@"4O& 9A6& @OO Ei!stei!'s& 966"6I& 9@C& 9@9 e-pa!#i!$ a!#
stea#y"state o!tro%ersy& 964 Kepler a!# the& 4CA& 496"AC& 4O@& 455& 94A& 94O& 9AO& 9@4&
95C& @OO& @O5& @F6 Ne)to!ia!& 4OI& 96I& @FI Ptole'li syste'& @OO U!i%erses of
#isourse& AF& 6C Ura!us& @46 Usher& *ishop& @FI 3ai!atio!& 449"46 3alTry& Paul& A4O
%a! Hel'o!t& @@A %a! >e$eere!& 6C4 3a!'t Hoff 96C 3ariatio!s of A!i'als a!# Pla!ts
u!#er <o'estiatio!& 4AO& 4A5 3erbal ability& !ote o!& @CI 3erbal beha%iour& I5A"6 i!
speehes& I5A 3erbal reatio!& AC4 et se/( 3erbal 'o#els& @A6 3erbal sy'bolis'& I56"@
3erbal thou$ht a'o!$ 'athe'atiia!s& 4O9"A 'atri- o!& AF"5& 6A speifi patter!s of& @A@"
O %alue of re$ressio! fro'& 4OA 3er!e& ?ules& 9I@ 3erse& A4A !o!se!se& bisoiatio! of
e-alte# a!# tri%ial& OF"5 3esalius& 9@I 3esti$es of Creatio!& 4A9 3ir$il& 46@ 3isio! li'its of
foal& 4IF !o!"e-iste!e of stati& 4IF !ote o!& IC 3isual o!sta!ies& 6A& AOA& I4I 3isual
reatio!& A@@ et se/( 3isual i'a$ery& sie!tist's a!#& 4@5"OA 3isual i!fere!es i! Art& AOA"@
3isual i!put& i! pia!o"playi!$& I6O 3isual lear!i!$& I9@"O 3isual pereptio!& re%ersability
i!& 459 3isual sa!!i!$& 4IF et se/( o'pariso! )ith 'e!tal sa!!i!$& 4@4 3isual thi!kers&
A6F 3isual thi!ki!$& 4FA 3o$ue& A@ 3olta& @@O 3oltai battery& @@O& @@F %o! *ertala!ffy& =(&
6A9& 66F %o! Holst& E(& 6AI& 6AF 3oo#oo"#a!ers& A44 :allae& A( R(& 4AO& 464& 469& 46A&
9CO @5C :allis& C(& 94 :alter& ;(& 65 :ar#e!'s 'a+e e-peri'e!t& I5F"5 :asps& 6O@& 6F@&
I@@ :atersto!& ?( ?(& !ote o!& 9I6 :atso!& ?( *(& 99C& 65@& IC6& ICO& IIO& IIF& II5& I56& @4C
:atso!"Crik 'o#el& 64O :att& ?a'es& @5 :ebster& <( =(& @@5 :eepi!$& 955 o'pariso!
)ith ryi!$& 9O4"9 psyholo$y of& 9O4 et se/( reaso!s for& 9OA"F9 :eiss& Paul& 6AA& 6AI&
66C& 664& 664& 66A& 666& IC@& I45 :elli!$to!& <uke of& /uote#& 66 :ells& H( ;(& @C& 4O6&
9I@& AFA :er!ike& C(& IAA :hale& ?o!ah a!# the& A@C"4 :hite >a$iia!& 9IO :hitehea#&
A( N(& 9I4& 9@I :hyte& =( =(& 46F& 4I4& 4IA& 4OO& 9@C :ie!er& Norbert& 4OO :il#e& Osar&
OO& O5& FI& 59 :ilkes& ?oh!& A@ :ilso! ha'ber& 965 :i!e"press& 4@A :it 'aliious& 59
!ote o!& IC :it a!# its Relatio!s to the U!o!sious& A9 :itt$e!stei!& =(& 4OO :ittiis'&
@6"O #eri%atio! of ter'& 9F :olff& Christia!& 4IC :ollber$& =(R(& AOI :oo#$er& ?( H(& 6A9
:oo#)orth& R( S(& 4OA& 66F& 6F4& ICI& I66& I@9& @CC& @6O :o!#er& se!se of& @O6 et se/(
:o!#erful Ce!tury& The& @5C :or#"assoiatio! tests& A5"6C& @A@& @AO o#e for& A5 :or#"
assoiatio!ist shool& 4@4 :or#"habit& II4 i! tele$raphy& I66 :or#s as tools a!# traps& 4O@
s!ari!$ of sie!tifi thou$ht by& 4OI :or#s)orth& :(& 4I9 :ri$ht& Al'roth& OCO :riti!$&
eo!o'y i!& AA5 :u!#t& :(& 4IA Her-es& @9A H"rays& 45I Hylo$raphs& 494 Ba!$ a!# Bi!&
455 Beasts& @55 Beats& :( *(& A49& A64& A@A& @O6 Bo$a& @A6& @AI Bou!$& Tho'as& @O9 ]e!
*u##his'& 4IO !ote o!& 4OO ]e! pai!ti!$& AO@& AOO ]y$ote& 69I& 69F PEN;UIN
ARKANA >o#er! psyholo$y states that up to a poi!t e%ery perso! is a! auto'ato!( The
At of Creatio! be$i!s )here this %ie) eases to be true( Koestler affir's that all reatures
ha%e the apaity for reati%e ati%ity& fre/ue!tly suppresse# by the auto'ati routi!es of
thou$ht a!# beha%iour that #o'i!ate their li%es( The stu#y of psyholo$y has offere# little
i! the )ay of a! e-pla!atio! of the reati%e proess& a!# Koestler su$$ests that )e are at
our 'ost reati%e )he! ratio!al thou$ht is suspe!#e# "" for e-a'ple i! #rea's a!# tra!e"
like states( The! the 'i!# is apable of reei%i!$ i!spiratio! a!# i!si$ht( Taki!$ hu'our as
his starti!$ poi!t& Koestler e-a'i!es )hat her ter's 'bisoiati%e' thi!ki!$ "" the reati%e
leap 'a#e by the 'i!# that $i%es rise to !e) a!# startli!$ pereptio!s a!# $li'pses of
reality( Fro' here he assesses the )orki!$s of the 'i!# of the sie!tifi or artisti $e!ius(
The $e!eral rea#er as )ell as the rea#er )ith a #eeper k!o)le#$e of the topis o%ere# )ill
fi!# this rihly #ou'e!te# stu#y of reati%ity both illu'i!ati!$ a!# o'pelli!$( Co%er
photo$raph by Eita! =ee Al PEN;UIN IS*N C"46"C45454"O Psyholo$yWPsyhiatry U(K(
q4A(55 CAN( r94(55 U(S(A( r46(5I