Media caption"When I think about my fiancee, there's no image" Niel Kenmuir on living with aphantasia
Close your eyes and imagine walking along a sandy beach and then gazing over the horizon as the Sun rises. How clear is the image that springs to mind?
Most people can readily conjure images inside their head - known as their mind's eye. But this year scientists have described a condition, aphantasia, in which some people are unable to visualise mental images. Niel Kenmuir, from Lancaster, has always had a blind mind's eye. He knew he was different even in childhood. "My stepfather, when I couldn't sleep, told me to count sheep, and he explained what he meant, I tried to do it and I couldn't," he says.
"I couldn't see any sheep jumping over fences, there was nothing to count." Our memories are often tied up in images, think back to a wedding or first day at school. As a result, Niel admits, some aspects of his memory are "terrible", but he is very good at remembering facts. And, like others with aphantasia, he struggles to recognise faces. Yet he does not see aphantasia as a disability, but simply a different way of experiencing life.
Take the aphantasia test
It is impossible to see what someone else is picturing inside their head. Psychologists use the Vividness of Visual Imagery Questionnaire, which asks you to rate different mental images, to test the strength of the mind's eye. The University of Exeter has developed an abridged version that lets you see how your mind compares.
1. Conjure up an image of a friend or relative who you frequently see; how clearly can you see the contours of their face, head, shoulders and body?
Ironically, Niel now works in a bookshop, although he largely sticks to the non-fiction aisles. His condition begs the question what is going on inside his picture-less mind. I asked him what happens when he tries to picture his fiancee. "This is the hardest thing to describe, what happens in my head when I think about things," he says. "When I think about my fiancee there is no image, but I am definitely thinking about her, I know today she has her hair up at the back, she's brunette. "But I'm not describing an image I am looking at, I'm remembering features about her, that's the strangest thing and maybe that is a source of some regret." The response from his mates is a very sympathetic: "You're weird." But while Niel is very relaxed about his inability to picture things, it is a cause of distress for others. One person who took part in a study into aphantasia said he had started to feel "isolated" and "alone" after discovering that other people could see images in their heads. Being unable to reminisce about his mother years after her death led to him being "extremely distraught".
The super-visualiser
At the other end of the spectrum is children's book illustrator, Lauren Beard, whose work on the Fairytale Hairdresser series will be familiar to many six-year-olds. Her career relies on the vivid images that leap into her mind's eye when she reads text from her author. When I met her in her box-room studio in Manchester, she was working on a dramatic scene in the next book. The text describes a baby perilously climbing onto a chandelier. "Straightaway I can visualise this grand glass chandelier in some sort of French kind of ballroom, and the little baby just swinging off it and really heavy thick curtains," she says. "I think I have a strong imagination, so I can create the world and then keep adding to it so it gets sort of bigger and bigger in my mind and the characters too they sort of evolve. "I couldn't really imagine what it's like to not imagine, I think it must be a bit of a shame really." Image caption Kitty is the star of the Fairytale Hairdresser series Not many people have mental imagery as vibrant as Lauren or as blank as Niel. They are the two extremes of visualisation. Adam Zeman, a professor of cognitive and behavioural neurology, wants to compare the lives and experiences of people with aphantasia and its polar-opposite hyperphantasia. His team, based at the University of Exeter, coined the term aphantasia this year in a study in the journal Cortex. Prof Zeman tells the BBC: "People who have contacted us say they are really delighted that this has been recognised and has been given a name, because they have been trying to explain to people for years that there is this oddity that they find hard to convey to others." How we imagine is clearly very subjective - one person's vivid scene could be another's grainy picture. But Prof Zeman is certain that aphantasia is real. People often report being able to dream in pictures, and there have been reported cases of people losing the ability to think in images after a brain injury. He is adamant that aphantasia is "not a disorder" and says it may affect up to one in 50 people. But he adds: "I think it makes quite an important difference to their experience of life because many of us spend our lives with imagery hovering somewhere in the mind's eye which we inspect from time to time, it's a variability of human experience." If you think you have aphantasia or hyperphantasia and would like to be involved in Prof Zeman's research he is happy to be contacted at a.zeman@exeter.ac.uk
Ph.D. student Zakaryah Abdulkarim, M.D., shows how to create the illusion of invisibility in the lab (photomontage). Staffan Larsson
Sometimes existence itself is so stressful all you want to do is hide from everyone. But you also have a crippling fear of missing out on all the fun, so where’s the middle ground? Invisibility, of course. Scientists from Sweden's Karolinska Institutet created the sensation of invisibility (sorry, no real invisibility yet) in a group of participants and found follow-up performance tasks were less anxiety-producing if the subjects had just gone invisible. The team published their study in the journal Scientific Reports, in which they suggest the findings could hold great use for people with social anxiety disorder. One of the study’s more fundamental findings was how the brain makes sense of the body. In prior tests, the same team used head-mounted displays to simulate an invisible hand. Within minutes, subjects began feeling light touches on the invisible hand as their own. Now, with whole-body sensations, the brain reacted just as quickly. “Within less than a minute, the majority of the participants started to transfer the sensation of touch to the portion of empty space where they saw the paint brush move and experienced an invisible body in that position,” said Arvid Guterstam, lead author of the study, in a statement. In the latest experiments, Guterstam and his colleagues equipped subjects with the same head-mounted display from the prior hand study. Though the subjects looked down at their own bodies, the goggles projected an empty space a few feet away from them. An experimenter then used a paint brush to lightly touch both the subject’s stomach and a similar area in the empty space. In another case, the experimenter swapped the brush for a knife, to which the subjects showed an increased sweat response. When they weren’t wearing the goggles, however, the knife elicited no such response. This signaled something unique about the experience of being “invisible,” as if the brain really was sensing the threat of getting stabbed. While novel, the experiment also has clinical significance, the researchers argue. A follow-up test showed that simulating a crowd in front of the participant was stressful only for the people who weren’t made invisible. Seemingly, with all the typical human flaws and vulnerabilities on display, people receded into their normal physiologic response. But invisibility took away that pressure. Anxiety disorders, according to the Anxiety and Depression Association of America, are the most common mental illness in the U.S., affecting some 40 million adults age 18 and older. Traditionally, people find treatment in cognitive behavioral therapy. They visit counselors to acclimate themselves to the source of their anxiety through exposure, similar to the treatment of other phobias. “This illusion could be incorporated so you stand in front of a virtual crowd so you are invisible, then increase transparency so you feel you are standing in front of them,” Guterstam told Discovery News. Up next for the researchers are tests aimed at understanding the moral decision-making involved with invisibility. Many of us, at one time or another, have fantasized about getting away with something under the cover of darkness — or absence. As science progresses, the team wrote, these moral questions grow in importance. “This issue is becoming increasingly relevant today,” they explained, “because of the emerging prospect of invisibility cloaking of an entire human body being made possible by modern materials science.” Source: Guterstam A, Abdulkarim Z, Ehrsson H. Illusory ownership of an invisible body reduces autonomic and subjective social anxiety responses. Scientific Reports. 2015.
The Power of the Good Deed Albert Einstein defined time as one of the dimensions of creation, but it is undoubtedly a very special dimension. According to the teachings of the Kabbalah, time was created on the first day of the creation, after the formation of primordial matter. The great marvel of time is its constant flow in a single direction: forward, the continual change of the past to the present and the present to the future. At the same time, it is now quite clear to physicists that in some way all 'times' are one from a certain perspective. The literature of Jewish philosophy and Jewish law also present an interesting exploration of the nature of time: is it a single inclusive reality or a composite of many units? Another question that is yet unresolved is that of speeding up or slowing down in the dimension of time. Can the movement along the axis of time be controlled? For now, physicists suggest a positive response to this question, but it is completely theoretical. There is no device today that can produce the tremendous levels of energy required to prove the theories empirically. Thus science offers no proof to date, but the Kabbalah and the inner essence of the Torah do. The nature and multidimensionality of time are explained in the books of the Kabbalah and Hassidic philosophy. Each one of the four spiritual worlds (Emanation, Creation, Formation, action) has its own relative dimension of time, different to the others. On the practical level – regarding the actual acceleration of time – it emerges that there is a special 'trick'. We will not delve into the realm of the special acts reserved for the great Kabbalists , such as a leap (a folding of space) or prophecy (transparent vision of the future) – We refer here to a technique that exists in the realm of action that is open to regular, ordinary people. Each of us is capable of speeding up the time needed to learn an academic subject or to develop cognitive and emotional processes, matters that require their own special investment of quality time. This time can be reduced a thousand times (!) by means of a very simple act: doing another person good (materially or spiritually) – to put it simply, an act of kindness. One of the greatest Kabbalists of recent generations, Rabbi Schneur-Zalman , wrote that by means of a material or spiritual act of kindness to others, a person's mind and heart are refined a thousand times. In other words, the time needed for a person to achieve any mental or emotional insight is reduced a thousand times due to the act of kindness. For example, academic or emotional coping that is meant to take one thousand hours will be shortened to one hour. From a cosmic perspective, kindness to others as part of repairing the world (tikkun olam) is one of the central channels for realizing what the prophet Isaiah describes in the expression "I, the Lord, will hasten it in its time." The lofty revelations described in the literature of Jewish mysticism, which will be revealed to all humanity in the era of the 'seventh millennium' , will be revealed more speedily thanks to good deeds.
Located in nearly the direct center of the brain, the tiny pinecone-shaped pineal gland, which habitually secretes the wondrous neurohormone melatonin while we sleep at night, was once thought to be a vestigial leftover from a lower evolutionary state.
Indeed, according to recent research, we could be increasing our chances of contracting chronic illnesses like cancer by unnecessarily bathing its evenings in artificial light, working night shifts or staying up too late. By disrupting the pineal gland and melatonin's chronobiological connection to Earth's rotational 24-hour light and dark cycle, known as its circadian rhythm, we're possibly opening the doors not to perception, but to disease and disorder. A recently published study from Vanderbilt University has found associations between circadian disruption and heart disease, diabetes and obesity. By hacking what pinealophiles call our mind's third eye with an always-on technoculture transmitting globally at light-speed, we may have disadvantaged our genetic ability to ward off all manner of complicated nightmares. No wonder the pineal gland is a pop-culture staple for sci-fi, fantasy and horror fandom, as well as a mass attractor of mystics and mentalists. Its powers to divide and merge our light and dark lives only seems to grow the more we take it seriously.
"We still lack a complete understanding of the pineal gland," University of Michigan professor of physiology and neurology Jimo Borjigin, a pioneer in medical visualization of the pineal gland's melatonin secretion, told me. "Numerous molecules are found in the pineal, many of which are uniquely found at night, and we do not have a good idea of what their functions are. The only function that is established beyond doubt is the melatonin synthesis and secretion at night, which is controlled by the central clock in the suprachiasmatic nucleus and modulated by light. All else is speculative." Discerning between the science and speculation of the pineal gland hasn't been easy since long before Rene Descartes called it the "principal seat of the soul" after studying it at length nearly four centuries ago. (Although "no evidence exists to support this," clarified Borjigin.) So here's a handy shortlist of things you should know about the pineal gland. 1. Third Eyes and Theosophistry The current scientific understanding is that the pineal gland probably started out as an eye, and it receives signals from light and our retinas. Whether it was our only eye which shrunk into the brain once its perceptive tasks were taken care of by our two newer eyes, or whether it was a third eye with a spiritual and physical connection to previous spiritual and evolutionary states, or both, has galvanized science and speculation for centuries. Earth's ancient cultural histories are filled with folklore featuring both one-eyed and three-eyed beings of great power, from Shiva and Cyclops to that amiable fellow in TheTwilight Zone's classic episode, "Will the Real Martian Please Stand Up?" and beyond. (From Beyond even: See below.) Associations can be found in Hinduism, whose seventh primary chakra Sahasara is a multilayered lotus that looks like the pineal gland's pinecone, and whose primary function is to perceive universal oneness, scientifically and spiritually speaking. Theosophists, who have been studying what they perceive as hidden knowledge since the Greeks and Romans ruled philosophical and scientific inquiry, have more recently claimed that the pineal gland is the spiritual engine of our evolution into "embryo gods, beings of consciousness and matter." That description seems apt, given the astronomical power we have achieved in a few million yeas of evolution. While Homo sapiens' third eyes likely transformed into pineal glands along the way, today we can still find animals with photoreceptive third eyes, now called parietal eyes, like New Zealand's endangered tuatara. Fossils from other ancient creatures feature similar sockets in their skulls, making our pineal gland a candidate for an ex-eye. 2. What Was Once Hidden Is Now Hi-Res Michigan University professor Borjigin and his team are hard at work on how the pineal gland and melatonin regulate our lives. "The central circadian clock controls timing of almost all aspects of our life, including physiology and behavior, and melatonin is the best marker to decode the fingerprints of circadian timing in both humans and animals," he told me. "In the past, it was very difficult to study circadian properties of melatonin in animals due to technical limitations. My lab invented long-term pineal microdialysis, which permits automated, computer-controlled and high-resolution analysis of melatonin secretion from rodent pineal gland from four to 10 weeks in the same animal." These visualizations could go a long way toward understanding how to hack melatonin, which the pineal gland secretes when we sleep and helps the brain repair and sync our bodies to Earth's rotation. Melatonin is a stunning compound, found naturally in plants, animals and microbes. A powerful antioxidant, its list of its medicinal uses only seems to grow each year, as we learn more about its ability to help with immune disorders, chronic illnesses, and neurodegeneration.
"Pineal microdialysis allows us to monitor melatonin secretion closely under various conditions to simulate jet lag, shiftwork, light pollution, diet manipulation and more to define the fingerprints of circadian response to environment, he added. "It also allows us to discover animals with extreme chronotypes, like early-birds or night-owls, to understand how individuals with different chronotype respond to circadian challenges differently. These are still ongoing studies, but hopefully some of the works will be published this year." 3. Artificial Light = Dark Future What has been recently published about melatonin is already pretty significant, especially for those looking to combat breast and prostate cancer. Harvard University School of Public Health researcher Itai Kloog and his group published a series of studies in the last few years explaining how our "modern urbanized sleeping habitat" (PDF) is a massive hormone-based cancer risk. "We have blotted out the night sky" with artificial light, wrote Earth Island Journal's Holly Hayworth," citing Kloog's research and noting that half that light is wasted anyway. "We've proven beyond a doubt that it's a risk factor," Kloog told me. "Light at night has been proven on many levels, by our group and many others, to definitely contribute to higher risk of developing hormonal cancer." Kloog's team published five studies altogether, including analyses at local and global levels, and all of them found firm correlations between circadian and melatonin disruption and higher risks of cancer. Analyzing NASA's Defense Meteorological Satellite Program archive (to illuminate Earth's light-at-night coverage) and data from the World Health Organization, Kloog's group "found clearly that as women were more exposed to light at nighttime, their rates of breast cancer went up. Our Israel study found that going from minimum exposure to average exposure to light at night resulted in a 36 percent higher standard rate of breast cancer, and going from average to maximum was another 26 percent increase." Using kernel smoothing to create density maps showing light exposure and cancer rates, Kloog's team found that another of its studies, which sourced more than 20,000 light sources by height and intensity, showed a clear association. For their two worldwide studies, they developed an algorithm to assign population weight average light exposure for every person in every city across the world, using WHO data, and again they found a clear association between cancer and light at night. "For average light exposure per person, if you take an underdeveloped country like Nepal, we're talking about 0.02 nanowatts per centimeter squared," Kloog explained. "Compare that to the United States, where the average light exposure of a person is 57.5. Up until around 120 years ago, humans were basically exposed to 12 hours of sunlight and 12 hours of darkness on average, seasons and latitudes permitting of course. But since the invention of the lightbulb, we've artificially stretched the day. We go to sleep late at night, we have lights on while we sleep, we have a shorter sleep duration. We have a lot of factors stretching out our days, relative to the light period we experienced during millions of years of previous evolution." "It's something that's easy to take out of the equation," Kloog told me. "Go to sleep in a dark room. Use less light. Close the shutters. Circadian disruption is carcinogenic to humans." 4. Occult Classic This is not to say that late-night viewing itself isn't good for the mind, especially when it comes to pineal glands and third eyes. Because pineal glands and third eyes remain singular components of an otherwise binary brain with an extraordinary past, they have stimulated some stranger explorations of their spiritual and supernatural possibility. The pineal gland's circadian dualism has achieved particular resonance with influential occultists like horror influential H.P. Lovecraft. Who, in turn, have spawned new generations of speculative talents that have used it as a quite flexible receptacle for expansive meaning.
"My first exposure to the pineal gland came from Stuart Gordon's movie adaptation of Lovecraft's From Beyond," Javier Grillo-Marxuach, creator of the cult sci-fi television classic The Middleman, told AlterNet. "In truth, everything I know about that particular endocrine body probably derives from that seminal experience, which explains why I am a television writer and not a brain surgeon." In From Beyond, a supernaturally activated pineal gland turns mad scientists into brain-eating zombies. The recently reissued 1957 exploitation film She Devil features a "female monster" whose hyperstimulated pineal gland turns her into "a demon, a devil, a creature with a warped soul!" In both films, and many other third-eye head-trips, functions as a sexualized organ, rather than a circadian regulator. Today, some use melatonin supplements, available since the '90s, to aid with sexual dysfunction. But the pineal gland's expansive mythic and scientific history has much broader applications when it comes to folklore and entertainment. "In The Middleman, we quickly discovered that because this most mysterious of glands is so misunderstood, even though its very name connotes a certain frisson of scientific accuracy and technical understanding, it was a fantastic shorthand for whatever otherworldly qualities we needed to justify," Grillo-Marxuach added. "Over the course of 12 episodes, the pineal gland became the source of psychic ability, communication between parallel dimensions, the magical influence of succubi and incubi over the libidos of ordinary mortals and, finally, the power source for our main supervillain's armageddon device. Since Stuart Gordon and H.P. Lovecraft gave me such a gift in my teenage years by providing me with so fanciful an understanding of cerebral anatomy, I figured I'd pay the favor forward as many times as possible."
Scott Thill runs the online mag Morphizm.com. His writing has appeared on Salon, XLR8R, All Music Guide, Wired and others.
The other day I met a man who had published poetry in a number of books. I will refer to him as EK. I had spoken to him almost two years before.However, this time he discussed something which he found "spooky", and indeed, "out of this world". He told me about his experience in Goa, India.
Now, I must stress here I am going by memory. All the same it is still worth recounting, and he did repeat his "tale" more than once, and was evidently, baffled, and amazed, even though it had happened many moons ago. He also knew next to nothing about Eastern Mysticism.
Anyway, to cut to the chase. He was walking along a very busy street in Goa, and came across a crippled "vagrant" sitting on a tin can...and nobody else seemed to be noticing him. For some reason, or other EK felt compelled to go towards him, and noticed that he was begging. In response, he "bowed down" to the "vagrant", and gave him some money. As he looked at him he felt that this "vagrant" was radiating something very positive, and said to EK that whatever he laid his hand upon in the world he would be successful. In other words, a prediction. Suddenly, EK stood bolt upright as if he was "hit" by some kind of energy. He looked down, and the "vagrant" had disappeared into a "cloud of smoke"!
He tried to find out what had happened to him. He even talked to a taxi man, and other people about it, and gave a description. But to no avail. However, the taxi man suggested that the "vagrant" was actually a holy man, and he had blessed EK with what is sometimes referred to in the East as Shaktipat. In other words, initiation by transmission of spiritual energy that could help him in terms of self-development.
Indeed, EK discovered that he had a "remarkable" gift for poetry. This he believed was due wholly, or partly from the energy transmission from the "holy man". Infact, he revealed that his experience had changed his life even though he did not undertake any meditation as far as I know...and as I said early on "...knew next to nothing about Eastern Mysticism."
It has to be confessed that I have on very rare occasions come across the "phenomena" recounted above from a number of printed sources. All the same it is pretty rare...
Will wonders ever cease?
PS. The energy transmission seemed to have awakened the Kundalini to some extent. I recall him mentioning "heat" in his body, and in his dreams he would on occasion see snakes, or nagas as they are called in the East. Red was quite a common colour too. This suggest that there is some "awakening" or disturbance in connection with sex, and sexuality. Kundalini Yoga itself recognizes the power of sex, and the need to convert this energy into something creative, and positive. Hence, the need for the right kind of meditative techniques to achieve this aim.
Hypnagogia is the experience of the transitional state from wakefulness to sleep: the hypnagogic state of consciousness, during the onset of sleep. In opposition, hypnopompia denotes the onset of wakefulness. The related words from the Greek are agōgos"leading", "inducing", pompe"act of sending", and hypnos"sleep". Mental phenomena that occur during this "threshold consciousness" phase include lucid thought, lucid dreaming, hallucinations, and sleep paralysis.
Sometimes the word hypnagogia is used in a restricted sense to refer to the onset of sleep, and contrasted with hypnopompia, Frederic Myers's term for waking up.[1] However, hypnagogia is also regularly employed in a more general sense that covers both falling asleep and waking up, and Havelock Ellis questioned the need for separate terms.[2] Indeed, it is not always possible in practice to assign a particular episode of any given phenomenon to one or the other, given that the same kinds of experience occur in both, and that people may drift in and out of sleep. In this article hypnagogia will be used in the broader sense, unless otherwise stated or implied. Other terms for hypnagogia, in one or both senses, that have been proposed include "presomnal" or "anthypnic sensations", "visions of half-sleep", "oneirogogic images" and "phantasmata",[2]"the borderland of sleep", "praedormitium",[3]"borderland state", "half-dream state", "pre-dream condition",[4]"sleep onset dreams",[5]"dreamlets",[6] and "wakefulness-sleep transition" (WST).[7] Threshold consciousness (commonly called "half-asleep" or "half-awake", or "mind awake body asleep") describes the same mental state of someone who is moving towards sleep or wakefulness, but has not yet completed the transition. Such transitions are usually brief, but can be extended by sleep disturbance or deliberate induction, for example during meditation.[citation needed]
Early references to hypnagogia are to be found in the writings of Aristotle, Iamblichus, Cardano, Simon Forman and Swedenborg.[8]Romanticism brought a renewed interest in the subjective experience of the edges of sleep.[9] In more recent centuries, many authors have referred to the state; Edgar Allan Poe, for example, wrote of the "fancies" he experienced "only when I am on the brink of sleep, with the consciousness that I am so."[3] Serious scientific inquiry began in the 19th century with Johannes Peter Müller, Jules Baillarger and Alfred Maury, and continued into the 20th century with Leroy.[10] Charles Dickens'Oliver Twist, contains elaborate descriptions of the hypnagogic state in two different scenes, Chapters IX and XXXIV.[11] The advent of electroencephalography (EEG) has supplemented the introspective methods of these early researchers with physiological data. The search for neural correlates for hypnagogic imagery began with Davis et al. in the 1930s,[12] and continues with increasing sophistication to this day. While the dominance of the behaviorist paradigm led to a decline in research, especially in the English speaking world, the later 20th century has seen a revival, with investigations of hypnagogia and related altered states of consciousness playing an important role in the emerging multidisciplinary study of consciousness.[13][14] Nevertheless, much remains to be understood about the experience and its corresponding neurology, and the topic has been somewhat neglected in comparison with sleep and dreams; hypnagogia has been described as a "well-trodden and yet unmapped territory".[15] The word hypnagogia entered the popular psychology literature through Dr. Andreas Mavromatis in his 1983 thesis,[16] while hypnagogic and hypnopompic were coined by others in the 1800s and noted by Havelock Ellis. The term hypnagogic was originally coined by Alfred Maury[17][18] to name the state of consciousness during the onset of sleep. Hypnopompic was coined by Frederic Myers soon afterwards to denote the onset of wakefulness. The term hypnagogia is used by Dr. Mavromatis to identify the study of the sleep-transitional consciousness states in general, and he employs hypnogogic (toward sleep) or hypnapompic (from sleep) for the purpose of identifying the specific experiences under study.[19] Important reviews of the scientific literature have been made by Leaning,[20]Schacter,[21] Richardson and Mavromatis.[2]
Transition to and from sleep may be attended by a wide variety of sensory experiences. These can occur in any modality, individually or combined, and range from the vague and barely perceptible to vivid hallucinations.[22]
Among the more commonly reported,[23][24] and more thoroughly researched, sensory features of hypnagogia are phosphenes which can manifest as seemingly random speckles, lines or geometrical patterns, including form constants, or as figurative (representational) images. They may be monochromatic or richly colored, still or moving, flat or three-dimensional (offering an impression of perspective). Imagery representing movement through tunnels of light is also reported. Individual images are typically fleeting and given to very rapid changes. They are said to differ from dreams proper in that hypnagogic imagery is usually static and lacking in narrative content,[13] although others understand the state rather as a gradual transition from hypnagogia to fragmentary dreams,[25] i.e., from simple Eigenlicht to whole imagined scenes. Descriptions of exceptionally vivid and elaborate hypnagogic visuals can be found in the work of Marie-Jean-Léon, Marquis d'Hervey de Saint Denys.
People who have spent a long time at some repetitive activity before sleep, in particular one that is new to them, may find that it dominates their imagery as they grow drowsy, a tendency dubbed the Tetris effect. This effect has even been observed in amnesiacs who otherwise have no memory of the original activity.[26] When the activity involves moving objects, as in the video game Tetris, the corresponding hypnagogic images tend to be perceived as moving. The Tetris effect is not confined to visual imagery, but can manifest in other modalities also. For example, Robert Stickgold recounts having experienced the touch of rocks while falling asleep after mountain climbing.[5] This can also occur to people who have traveled on a small boat in rough seas, or have been swimming through waves, shortly before going to bed, and they feel the waves as they drift to sleep, or people who have spent the day skiing who continue to "feel snow" under their feet, also people who have spent considerable time jumping on a trampoline will find that they can feel the up-and-down motion before they go to sleep. Many chess players report[citation needed] the phenomenon of seeing the chess board and pieces during this state. New employees working stressful and demanding jobs often report doing work-related tasks in this period before sleep.
Hypnagogic hallucinations are often auditory or have an auditory component. Like the visuals, hypnagogic sounds vary in intensity from faint impressions to loud noises, such as crashes and bangs (exploding head syndrome). People may imagine their own name called, crumpling bags, white noise, or a doorbell ringing. Snatches of imagined speech are common. While typically nonsensical and fragmented, these speech events can occasionally strike the individual as apt comments on — or summations of — their thoughts at the time. They often contain word play, neologisms and made-up names. Hypnagogic speech may manifest as the subject's own "inner voice", or as the voices of others: familiar people or strangers. More rarely, poetry or music is heard.[27]
Humming, roaring, hissing, rushing, zapping, and buzzing noises are frequent in conjunction with sleep paralysis. This happens when the REM atonia sets in sooner than usual, before the person is fully asleep, or persists longer than usual, after the person has (in other respects) fully awoken.[14] Sleep paralysis is reportedly very frequent among narcoleptics. It occurs frequently in about 6% of the rest of the population, and occurs occasionally in 60%.[28] In surveys from Canada, China, England, Japan and Nigeria, 20 to 60% of individuals reported having experienced sleep paralysis at least once in their lifetime.[29][30] The paralysis itself is frequently accompanied by additional phenomena. Typical examples include a feeling of being crushed or suffocated, electric "tingles" or "vibrations", imagined speech and other noises, the imagined presence of a visible or invisible entity, and sometimes intense emotion: fear or euphoria and orgasmic feelings.[29][31] Sleep paralysis has been proposed as an explanation for at least some alien abduction experiences, the Night Hag and shadow people hauntings.[32]
Gustatory, olfactory and thermal sensations in hypnagogia have all been reported, as well as tactile sensations (including those kinds classed as paresthesia or formication). Sometimes there is synesthesia; many people report seeing a flash of light or some other visual image in response to a real sound. Proprioceptive effects may be noticed, with numbness and changes in perceived body size and proportions,[27] feelings of floating or bobbing, and out-of-body experiences.[33] Perhaps the most common experience of this kind is the falling sensation, and associated hypnic jerk, encountered by many people, at least occasionally, while drifting off to sleep.[34]
Thought processes on the edge of sleep tend to differ radically from those of ordinary wakefulness. Hypnagogia may involve a "loosening of ego boundaries ... openness, sensitivity, internalization-subjectification of the physical and mental environment (empathy) and diffuse-absorbed attention."[35] Hypnagogic cognition, in comparison with that of normal, alert wakefulness, is characterized by heightened suggestibility,[36] illogic and a fluid association of ideas. Subjects are more receptive in the hypnagogic state to suggestion from an experimenter than at other times, and readily incorporate external stimuli into hypnagogic trains of thought and subsequent dreams. This receptivity has a physiological parallel; EEG readings show elevated responsiveness to sound around the onset of sleep.[37] Herbert Silberer described a process he called autosymbolism, whereby hypnagogic hallucinations seem to represent, without repression or censorship, whatever one is thinking at the time, turning abstract ideas into a concrete image, which may be perceived as an apt and succinct representation thereof.[38] The hypnagogic state can provide insight into a problem, the best-known example being August Kekulé’s realization that the structure of benzene was a closed ring while half-asleep in front of a fire and seeing molecules forming into snakes, one of which grabbed its tail in its mouth.[39] Many other artists, writers, scientists and inventors— including Beethoven, Richard Wagner, Walter Scott, Salvador Dalí, Thomas Edison, Nikola Tesla and Isaac Newton— have credited hypnagogia and related states with enhancing their creativity.[40] A 2001 study by Harvard psychologist Deirdre Barrett found that, while problems can also be solved in full-blown dreams from later stages of sleep, hypnagogia was especially likely to solve problems which benefit from hallucinatory images being critically examined while still before the eyes.[41] A feature that hypnagogia shares with other stages of sleep is amnesia. But this is a selective forgetfulness, affecting the hippocampal memory system, which is responsible for episodic or autobiographical memory, rather than the neocortical memory system, responsible for semantic memory.[5] It has been suggested that hypnagogia and REM sleep help in the consolidation of semantic memory,[42] but the evidence for this has been disputed.[43] For example, suppression of REM sleep due to antidepressants and lesions to the brainstem has not been found to produce detrimental effects on cognition.[44] Hypnagogic phenomena may be interpreted as visions, prophecies, premonitions, apparitions and inspiration (artistic or divine), depending on the experiencers' beliefs and those of their culture.
Physiological studies have tended to concentrate on hypnagogia in the strict sense of spontaneous sleep onset experiences. Such experiences are associated especially with stage 1 of NREM sleep,[45] but may also occur with pre-sleep alpha waves.[46][47] Davis et al. found short flashes of dreamlike imagery at the onset of sleep to correlate with drop-offs in alpha EEG activity.[12] Hori et al. regard sleep onset hypnagogia as a state distinct from both wakefulness and sleep with unique electrophysiological, behavioral and subjective characteristics,[48][49] while Germaine et al. have demonstrated a resemblance between the EEG power spectra of spontaneously occurring hypnagogic images, on the one hand, and those of both REM sleep and relaxed wakefulness, on the other.[50] To identify more precisely the nature of the EEG state which accompanies imagery in the transition from wakefulness to sleep, Hori et al. proposed a scheme of 9 EEG stages defined by varying proportions of alpha (stages 1–3), suppressed waves of less than 20μV (stage 4), theta ripples (stage 5), proportions of sawtooth waves (stages 6–7), and presence of spindles (stages 8–9).[51] Germaine and Nielsen found spontaneous hypnagogic imagery to occur mainly during Hori sleep onset stages 4 (EEG flattening) and 5 (theta ripples).[24] The "covert-rapid-eye-movement" hypothesis proposes that hidden elements of REM sleep emerge during the wakefulness-sleep transition stage.[52] Support for this comes from Bódicz et al., who note a greater similarity between WST (wakefulness-sleep transition) EEG and REM sleep EEG than between the former and stage 2 sleep.[7] Respiratory pattern changes have also been noted in the hypnagogic state, in addition to a lowered rate of frontalis muscle activity.[53]
Microsleep (short episodes of immediate sleep onset) may intrude into wakefulness at any time in the wakefulness-sleep cycle, due to sleep deprivation and other conditions,[54] resulting in impaired cognition and even amnesia.[13] Gurstelle and Oliveira distinguish a state which they call daytime parahypnagogia (DPH), the spontaneous intrusion of a flash image or dreamlike thought or insight into one's waking consciousness. DPH is typically encountered when one is "tired, bored, suffering from attention fatigue, and/or engaged in a passive activity." The exact nature of the waking dream may be forgotten even though the individual remembers having had such an experience.[55] Gustelle and Oliveira define DPH as "dissociative, trance-like, [...] but, unlike a daydream, [...] not self-directed"—however, daydreams and waking reveries are often characterised as "passive", "effortless",[56] and "spontaneous",[13] while hypnagogia itself can sometimes be influenced by a form of autosuggestion, or "passive concentration",[57] so these sorts of episode may in fact constitute a continuum between directed fantasy and the more spontaneous varieties of hypnagogia. Others have emphasized the connections between fantasy, daydreaming, dreams and hypnosis.[58] In his book, Zen and the Brain, James H. Austin cites speculation that regular meditation develops a specialized skill of "freezing the hypnagogic process at later and later stages" of the onset of sleep, initially in the alpha wave stage and later in theta.[59]
Self-observation (spontaneous or systematic) was the primary tool of the early researchers. Since the late 20th century, this has been joined by questionnaire surveys and experimental studies. All three methods have their disadvantages as well as points to recommend them.[60] Naturally, amnesia contributes to the difficulty of studying hypnagogia, as does the typically fleeting nature of hypnagogic experiences. These problems have been tackled by experimenters in a number of ways, including voluntary or induced interruptions,[24] sleep manipulation,[61] the use of techniques to "hover on the edge of sleep" thereby extending the duration of the hypnagogic state,[61] and training in the art of introspection to heighten the subject's powers of observation and attention.[61] Techniques for extending hypnagogia range from informal ones (e.g., the subject holds up one of their arms as they go to sleep, so as to be awakened when it falls),[61] to the use of biofeedback devices to induce a "theta" state, characterized by relaxation and theta EEG activity.[62] The theta state is produced naturally the most when we are dreaming. It has also been linked to paranormal activities, and Rick Strassman has argued that it triggers the release of DMT from the pineal gland, causing a dreaming state.[63] Another method is to induce a state said to be subjectively similar to sleep onset in a Ganzfeld setting, a form of sensory deprivation. But the assumption of identity between the two states may be unfounded. The average EEG spectrum in Ganzfeld is more similar to that of the relaxed waking state than to that of sleep onset.[64] Wackerman et al. conclude that "the Ganzfeld imagery, although subjectively very similar to that at sleep onset, should not be labeled as 'hypnagogic'. Perhaps a broader category of 'hypnagoid experience' should be considered, covering true hypnagogic imagery as well as subjectively similar imagery produced in other states."[65]
Delicacies of Molten Horror Synapse, by the avant-garde filmmaker Stan Brakhage. Brakhage states that he shaped this film to look like "what hypnagogic vision might see while watching television".
Jump up ^Myers, Frederic (1903). Human Personality and Its Survival of Bodily Death. London: Longmans.
^ Jump up to: abcMavromatis, Andreas (1987). Hypnagogia: the Unique State of Consciousness Between Wakefulness and Sleep. London: Routledge and Kegan Paul. p. 1. ISBN0-7102-0282-2.
^ Jump up to: abMavromatis, Andreas (1987). Hypnagogia: the Unique State of Consciousness Between Wakefulness and Sleep. London: Routledge and Kegan Paul. p. 4. ISBN0-7102-0282-2.
Jump up ^Pfotenhauer, Helmut & Schneider, Sabine (2006). Nicht völlig wachen und nicht ganz ein Traum: Die Halfschlafbilder in der Literatur. Verlag Königshausen & Neumann. ISBN 3-8260-3274-8.
Jump up ^Leroy, E.B. (1933). Les visions du demi-sommeil. Paris: Alcan.
Jump up ^Oliver Twist, Barnes & Noble Classics, 2003 p.89 and p.296
^ Jump up to: abDavis, H., Davis, P.A., Loomis, A.L., Harvey, E.N., & Hobart, G. (1937) 'Changes in human brain potentials during the onset of sleep'. Science 86, 448–50.
Jump up ^(Brunel University) which was later published by Routledge (hardback 1987, paperback 1991) under the title "Hypnagogia" the Unique State of Consciousness Between Wakefulness and Sleep and reprinted in a new paperback edition in 2010 by Thyrsos Press.
Jump up ^Maury, Louis Ferdinand Alfred (1848)'Des hallucinations hypnagogiques, ou des erreurs des sens dans l'etat intermediaire entre la veille et le sommeil'. Annales Medico-Psychologiques du système nerveux, 11, 26-40.
Jump up ^Maury, Louis Ferdinand Alfred (1865). Le sommeil et les rêves: études psychologiques sur ces phénomènes et les divers états qui s'y rattachent, suivies de recherches sur le developpement de l'instinct et de l'intelligence dans leurs rapports avec le phénomène du sommeil. Paris: Didier.
Jump up ^Hypnagogia by Andreas Mavromatis, Thyrsos Press 2010, p.3
Jump up ^Leaning, F.E. (1925). An introductory study of hypnagogic phenomena.
Jump up ^Schacter, D.L. (1976). The hypnagogic state: A critical review of the literature. Psychological Bulletin, 83, 452–481.
^ Jump up to: abcGermaine, A. & Nielsen T.A. (1997). 'Distribution of spontaneous hypnagogic images across Hori's EEG stages of sleep onset'. Sleep Research 26, p. 243.
Jump up ^Lehmann, D., Grass, P., & Meier, B. (1995). 'Spontaneous conscious covert cognition states and brain electric spectral states in canonical correlations'. International Journal of Psychophysiology, 19, 41–52.
Jump up ^Stickgold, R., Malia, A., Maguire, D., Roddenberry, D., & O'Connor, M. (2000). 'Replaying the game: Hypnagogic images in normals and amnesics'. Science, 290(5490), pp. 350–3.
^ Jump up to: abMavromatis, Andreas (1987). Hypnagogia: the Unique State of Consciousness Between Wakefulness and Sleep. London: Routledge and Kegan Paul. p. 81. ISBN0-7102-0282-2.
Jump up ^Thorpy, M.J. (ed). (1990). 'Sleep paralysis'. ICSD-International Classification of Sleep Disorders: Diagnostic and Coding Manual. Rochester, Minn.: American Sleep Disorders Association.
^ Jump up to: abBlackmore, Susan J. & Parker, Jennifer J. (2002). 'Comparing the Content of Sleep Paralysis and Dream Reports'. Dreaming 12:1, pp. 45-59.
Jump up ^Spanos, N.P., McNulty, S.A. DuBreuil, S.C. and Pires, M. (1995). 'The frequency and correlates of sleep paralysis in a university sample'. Journal of Research in Personality 29:3, pp. 285-305.
Jump up ^Cheyne, J.A. (2003). 'Sleep Paralysis and the Structure of Waking-Nightmare Hallucinations'. Dreaming 13:3, pp. 163-79.
Jump up ^Silberer, Herbert (1909). 'Bericht ueber eine Methode, gewisse symbolische Halluzinations-Erscheinungen hervorzurufen und zu beobachten'. Jahrbuch für psychoanalytische Forschungen 1:2, pp. 513-525; Eng. Transl. by Rapaport D., 'Report on a method of eliciting and observing certain symbolic hallucination phenomena', in Rapaport's Organization and pathology of thought, pp. 195-207 (Columbia Univ. Press, New York 1951.).
Jump up ^Rothenberg, Albert (Autumn 1995). "Creative Cognitive Processes in Kekulé's Discovery of the Structure of the Benzene Molecule". The American Journal of Psychology (University of Illinois Press) 108 (3): 419–438. JSTOR1422898.
Jump up ^Runco, Mark A. & Pritzker, Stephen R. (1999) Encyclopedia of Creativity: a-h, p. 63-4.
Jump up ^Stickgold, Robert (1998). 'Sleep: off-line memory reprocessing' Trends in Cognitive Sciences 2:12, pp. 484-92.
Jump up ^Vertes, Robert E. & Kathleen, Eastman E. (2000) 'The case against memory consolidation in REM sleep'. Behavioral and Brain Behavioural and Brain Sciences 23, pp. 867-76.
Jump up ^Vertes, R. (2004) 'Memory Consolidation in SleepDream or Reality'. Neuron 44:1, pp. 135-48.
Jump up ^Rechtschaffen, A., & Kales, A. (1968). A manual of standardized terminology, techniques and scoring system for sleep stages of human subjects. Washington, DC: Public Health Service, U.S. Government Printing.
Jump up ^Foulkes, D., & Vogel, G. (1965). 'Mental activity at sleep onset'. Journal of Abnormal Psychology 70, 231–43.
Jump up ^Foulkes, D., & Schmidt, M. (1983). 'Temporal sequence and unit composition in dream reports from different stages of sleep'. Sleep 6, 265–80.
Jump up ^Hori, T., Hayashi, M., & Morikawa, T. (1993). Topographical EEG changes and hypnagogic experience. In: Ogilvie, R.D., & Harsh, J.R. (Eds.) Sleep Onset: Normal and Abnormal Processes, pp. 237-53.
Jump up ^Nielsen, T., Germain, A., & Ouellet, L. (1995). 'Atonia-signalled hypnagogic imagery: Comparative EEG mapping of sleep onset transitions, REM sleep, and wakefulness'. Sleep Research 24, p. 133.
Jump up ^Hori, T., Hayashi, M., & Morikawa, T. (1993). Topographical EEG changes and hypnagogic experience. In: Ogilvie, R.D., & Harsh, J.R. (Eds.) Sleep Onset: Normal and Abnormal Processes, pp. 237-53.
Jump up ^Robert Bodizs, Melinda Sverteczki, Alpar Sandor Lazar and Peter Halasz (2005). Human parahippocampal activity: non-REM and REM elements in wake-sleep transition. Brain Research Bulletin 65:2, pp. 169-76.
Jump up ^Schacter, Daniel L. (1976). 'The hypnagogic state: A critical review of the literature'. Psychological Bulletin, Vol 83:3, pp. 452-481.
Jump up ^Oswald, I. (1962). Sleeping and waking: Physiology and psychology. Amsterdam: Elsevier.
Jump up ^Gurstelle, E.B. & Oliveira, J.L. (2004) 'Daytime parahypnagogia: a state of consciousness that occurs when we almost fall asleep'. Medical Hypotheses 62:2, pp. 166-8.
Jump up ^Runco, Mark A. & Pritzker, Stephen R. (1999) Encyclopedia of Creativity: a-h, p. 64.
Jump up ^Singer, Jerome L. & Pope, Kenneth, S. (1981) 'Daydreaming and imagery skills as predisposing capacities for self-hypnosis'. International Journal of Clinical and Experimental Hypnosis, 29:3, pp. 271-81.
Jump up ^Austin, James H.(1999) Zen and the Brain: Toward an Understanding of Meditation and Consciousness. First MIT Press paperback edition, 1999. MIT Press. ISBN 0-262-51109-6, p. 92.
Jump up ^Wackermann, Jiri, Pütz, Peter, Büchi, Simone, Strauch, Inge & Lehmann, Dietrich (2000). 'A comparison of Ganzfeld and hypnagogic state in terms of electrophysiological measures and subjective experience'. Proceedings of the 43rd Annual Convention of the Parapsychological Association, pp. 302-15.
The doorbell rings. You are surprised to see the entire Simpson family before you asking you to sign a petition against the use of nuclear power. In the middle of Homer Simpson’s speech on the dangers of the Springfield Nuclear Power Plant the doorbell rings – louder and louder… You jolt awake and run to the door. The mailman has a package delivery for you. Real life noise like doorbells and telephones ringing sometimes intrude on our sleep during hypnagogia – the state of transition between a wakeful and sleep state. Most of us have had the experience of drifting off to sleep when outside noise commingles with dream elements, often creating a strange dream-like experience. Our dream-like experiences in this state are called hypnagogic hallucinations. We are more likely to remember hypnagogic hallucinations than events in other brain states, including dreaming in the REM state, but we all struggle to remember our dream elements. The hypnagogic state is similar to the deep meditation state. By learning how to meditate deeply and create a solid daily practice, you will be able to more easily access both states.
Hypnagogic hallucinations can be magical and mystical or frightening and disturbing. Hallucinations typically have a dream-like quality but they are more likely to be described as fragmentary dream elements with no story line. Flashes of people, sounds, and a sense of falling or other dramatic movement that cause a sudden body jerk are common occurrences. They are often visual or auditory but may also be gustatory or tactile, as well invoke other senses. The auditory events in hypnagogic hallucinations can be real or imagined. The visual events often dominate the hypnagogic state. Some tactile hallucinations can be scary, such as experiencing the sense that someone has lightly touched you, or of someone breathing on you. Closely related to hypnagogic hallucinations, hypnopompic hallucinations are experienced as one awakens.
Types of Hypnagogic Hallucinations
Visual Groovy geometric patterns and lines are often seen going into the hypnagogic state. A common sight is static images. They may be of people or objects. You may see a scene such as a horizon and buildings. In the fleeting hypnagogic state, how many times have you tried to move in closer and see detail only to see the scene disappear like a mirage as you awaken? As soon as we involve the conscious mind, we awaken. Like meditation, if you wish to stay in this state a while longer, try to keep the mind quiet. More on meditation and dreaming ahead. Sounds Several auditory phenomenon are commonly reported to be experienced in hypnagogic hallucinations. One is sounds from everyday life intruding on your dream – the telephone ringing, the lawn mower next door, the plane flying by. These intrusions may become an integral part of the dream. Sounds are often imagined. Hearing one’s own name being called is reported. The Tetris Effect As we fall asleep, our most recent day’s event or the most memorable is often still whirling in our heads. A video game player may feel the motion of the car racing around the racetrack. A person involved in a repetitive task – at work for example – may be replaying that task in his mind as he falls asleep. A pole jumper may replay the motion of flying after jumping repeatedly at practice. The Tetris effect is named after the video of the same name (Wikipedia, ‘Tetris effect’). These recurring activities are considered hypnagogic imagery. Sleep Paralysis As the green monster barrels towards you, you try to run but your body is frozen. Most people wake up in terror at this point, greatly relieved to leave the green monster behind in the dream. During REM sleep, the body is in a state of paralysis. On occasion, REM paralysis may be persist during the transition from the sleep to wake state, or vice versa. It is often associated with an intense emotional state, as in the above example. The intense emotion can cause you to jolt awake suddenly while the body is still coming out of the sleep state. Sleep paralysis is experienced in all stages of sleep. Trying to make sense of all of the hypnagogic imagery and dream elements often requires some deep introspective analysis. Thanks to Jung and Freud you may be able to figure out why that green monster is always hanging around in your dream space. Jungian Archetypes and Their Unconscious Influence is a good place to start learning about dream archetypes. Remembering all of these dream elements may be the greatest challenge. More people remember hypnagogic hallucinations than dreams but most of us struggle to remember details of both. Learning to master your memory is a good place to start. Enhancing your memory can help you in both your real and dream life.
Hypnagogic Hallucinations and Mental Disorders
Hypnotic hallucinations are not a mental disorder but they are experienced in association with some mental disorders. Hypnogogic hallucinations are experienced by more than one third of people. They are also a symptom of several mental disorders, alongside other symptoms.
Narcolepsy is a sleep disorder that involves irregular sleep-wake patterns. Narcoleptics often experience sleep disturbances during the night and may sleep more during the day. Hypnagogic and hypnopompic hallucinations are experienced by narcoleptics. This may be partly attributable to the number of times they awaken and fall back to sleep. Related sleep symptoms of narcoleptics our sleep paralysis and automatic behavior.
Individuals with insomnia or excessive daytime sleepiness are more likely to experience hypnagogic hallucinations.
Lucid Dreams and Hypnagogic Hallucinations
Lucid dreaming is often compared to deep meditation and the hypnagogic state. In these states, you are more likely to be aware of dream-like activity. Tibetan Buddhists have a similar state called dream yoga. Lucid dreaming opens up awareness even further by having the dreamer take control of the dream. According to lucid dream expert Stephen LaBerge, lucid dreaming allows us to transcend the confinement of the physical world and live any fantasy in a dream state. Many lucid dreamers consider the lucid state to be the hypnagogic hallucination state. Areas of the brain deactivated during REM sleep – the dream state — are reactivated during lucid dreaming. The lucid dreaming state is often compared to the hypnagogic state and dream yoga because they all involve freezing the hypnagogic state. In lucid dreaming, you must be able to make the conscious declaration: I am dreaming. Developing your awareness in the hypnagogic state may help improve brain functioning. Lucid dreaming uses the left side of the brain. More and more we recognize that whole brain thinking helps us be more effective at decision-making and problem solving. Lucid dreaming may be a more effective way to exercise your brain than even your favorite brain games. As the booming brain games industry shows, we no longer take our brain capacity as fore-ordained. Your brain is elastic providing you with the opportunity to master your mind rather than be confined by false conceptions of a limited mind.
The Hypnagogic Brain Wave State
The hypnagogic state has been shown to begin as brain waves transition from the alpha to the theta state. Deeper meditation practice is also associated with this state. Tibetan Buddhist meditation is shown to activate the theta state in brain imaging studies; not all forms of meditation activate the theta state. In the theta state, meditators report having similar experiences to hypnagogic hallucinations. With the help of brain imaging, we now understand the hypnagogic state as a brain wave state. Meditation is the best way to gain greater control of your mind states while awake, in hypnagogia and asleep. Meditation, Creative Flow States and Mindfulness Meditation teaches students how to develop more creative states of mind. Developing better mind control starts with creating a deeper and regular meditation practice. In deep meditation, you are achieving the theta state reached in hypnagogic hallucinations. Techniques used to develop a creative mind set during meditation can also help you gain control over your brain state while transitioning into or out of the sleep state. Sweet hallucinations!
Phenomenology is the study of subjective experience.[1] It is an approach to psychological subject matter that has its roots in the philosophical work of Edmund Husserl.[2] Early phenomenologists such as Husserl, Jean-Paul Sartre, and Maurice Merleau-Ponty conducted philosophical investigations of consciousness in the early 20th century. Their critiques of psychologism and positivism later influenced at least two main fields of contemporary psychology: the phenomenological psychological approach of the Duquesne School (The Descriptive Phenomenological Method in Psychology), including Amedeo Giorgi[2][3] and Frederick Wertz; and the experimental approaches associated with Francisco Varela, Shaun Gallagher, Evan Thompson, and others (embodied mind thesis). Other names associated with the movement include Jonathan Smith (Interpretative Phenomenological Analysis), Steinar Kvale, and Wolfgang Köhler. Phenomenological psychologists have also figured prominently in the history of the humanistic psychology movement. The experiencing subject can be considered to be the person or self, for purposes of convenience. In phenomenologicalphilosophy (and in particular in the work of Husserl, Heidegger, and Merleau-Ponty), "experience" is a considerably more complex concept than it is usually taken to be in everyday use. Instead, experience (or being, or existence itself) is an "in-relation-to" phenomenon, and it is defined by qualities of directedness, embodiment, and worldliness, which are evoked by the term "Being-in-the-World".[4] The quality or nature of a given experience is often referred to by the term qualia, whose archetypical exemplar is "redness". For example, we might ask, "Is my experience of redness the same as yours?" While it is difficult to answer such a question in any concrete way, the concept of intersubjectivity is often used as a mechanism for understanding how it is that humans are able to empathise with one another's experiences, and indeed to engage in meaningful communication about them. The phenomenological formulation of Being-in-the-World, where person and world are mutually constitutive, is central here.
Difficulties in considering subjective phenomena[edit]
The philosophical psychology prevalent before the end of the 19th century relied heavily on introspection. The speculations concerning the mind based on those observations were criticized by the pioneering advocates of a more scientific approach to psychology, such as William James and the behaviorists Edward Thorndike, Clark Hull, John B. Watson, and B. F. Skinner. However, not everyone agrees that introspection is intrinsically problematic, such as Francisco Varela, who has trained experimental participants in the structured "introspection" of phenomenological reduction.[5] In the early 1970s, Amedeo Giorgi applied phenomenological theory to his development of the Descriptive Phenomenological Method in Psychology in order to overcome certain problems he perceived, from his work in psychophysics, with approaching subjective phenomena from the traditional hypothetical-deductive framework of the natural sciences. Giorgi hoped to use what he had learned from his natural science background to develop a rigorous qualitative research method. Giorgi has thus described his overall project as such: "[Phenomenological psychology] is nothing like natural sciences... because its [sic] [dealing with] human experiences and human phenomena. [However] I want to be sure that our criteria is this: that every natural scientist will have to respect our method. I’m not just trying to satisfy clinicians, or therapists, or humanists, I’m trying to satisfy the most severe criterion — natural scientists... because I anticipate that some day, when qualitative research develops and gets strong, the natural science people are going to criticize it. And I want to be able to stand up and say, 'Go ahead, criticize it — but you won’t find any flaws here'."[6] Philosophers have long confronted the problem of "qualia". Few philosophers believe that it is possible to be sure that one person's experience of the "redness" of an object is the same as another person's, even if both persons had effectively identical genetic and experiential histories.[citation needed] In principle, the same difficulty arises in feelings (the subjective experience of emotion), in the experience of effort, and especially in the "meaning" of concepts.[citation needed] As a result, many qualitative psychologists have claimed phenomenological inquiry to be essentially a matter of "meaning-making" and thus a question to be addressed by interpretive approaches.[4][7]
Psychotherapy and the phenomenology of emotion[edit]
Carl Rogers'person-centered psychotherapy theory is based directly on the "phenomenal field" personality theory of Combs and Snygg.[8][9] That theory in turn was grounded in phenomenological thinking.[10] Rogers attempts to put a therapist in closer contact with a person by listening to the person's report of their recent subjective experiences, especially emotions of which the person is not fully aware. For example, in relationships the problem at hand is often not based around what actually happened but, instead, based around the perceptions and feelings of each individual in the relationship. The phenomenal field focuses on "how one feels right now".
Jump up ^Seidner, Stanley S. (1989). "Köhler's Dilemma", In Issues of Language Assessment. vol 3. Ed., Stanley S.Seidner. Springfield, Il.: State Board of Education. pp. 5–6.
Jump up ^Snygg, Donald and Combs, Arthur W. (1949), Individual Behavior: A New Frame of Reference for Psychology. New York, Harper & Brothers 1949
Jump up ^Rogers, Carl R. (1951) Client-Centered Therapy. Boston: Houghton Mifflin.
Jump up ^"Personality Theories", Boeree, C. George, Donald Snygg and Arthur Combs in Personality Theory retrieved Oct. 7, 2007
An Experiment with Time is a long essay by the Irish aeronautical engineer J. W. Dunne (1875–1949) on the subjects of precognition and the human experience of time. First published in March 1927, it was very widely read, and his ideas promoted by several other authors, in particular by J. B. Priestley. Other books by J. W. Dunne are The Serial Universe, The New Immortality, and Nothing Dies.
Dunne's theory is, simply put, that all moments in time are taking place at once, at the same time. For example, if a cat were to spend its whole entire life living in a box, anyone looking into the box could see the cat's birth, life and death in the same instant - were it not for the human consciousness, which means that we perceive at a fixed rate. According to Dunne, whilst human consciousness prevents us from seeing outside of the part of time we are "meant" to look at, whilst we are dreaming we have the ability to traverse all of time without the restriction of consciousness, leading to pre-cognitive dreams, resulting in the phenomenon known as Deja vu. Henceforth, Dunne believes that we are existing in two parallel states, which requires a complete rethink of the way that we understand time.
In An Experiment with Time, Dunne discusses how a theoretical ability to perceive events outside the normal observer's stream of consciousness might be proved to exist. He also discusses some of the possible other explanations of this effect, such as déjà vu. He proposes that observers should place themselves in environments where consciousness might best be freed and then, immediately upon their waking, note down the memories of what had been dreamed, together with the date. Later, these notes should be scanned, with possible connections drawn between them and real life events that occurred after the notes had been written. While the first half of the book is an explanation of the theory, the latter part comprises examples of notes and later interpretations of them as possible predictions. Statistical analysis was at that time in its infancy, and no calculation of the significance of the events reported was able to be made.
Parallels with other scientific and metaphysical systems[edit]
Dunne's theory of time has parallels in many other scientific and metaphysical theories. The Aboriginal people of Australia, for example, believe that the Dreamtime exists simultaneously in the present, past and future, and that this is the objective truth of time, linear time being a creation of human consciousness and therefore subjective. Kabbalah, Taoism and indeed most mystical traditions have always posited that waking consciousness allows awareness of reality and time in only a limited way and that it is in the sleeping state that the mind can go free into the multi-dimensional reality of time and space (examples: "Dreams are the wandering of the spirit through all nine heavens and nine earths,"The Secret of the Golden Flower, trans. Richard Wilhelm). Similarly, all mystery traditions speak of the immortal and temporal selves which exist simultaneously both within time and space and without. There are also parallels with classical relativity theory, in which time and space are merged into "spacetime", and time is not absolute and independent but is dependent upon the motion of the observer.
In 1928, Sir Arthur Eddington wrote a letter to Dunne, a portion of which was reprinted in the 1929 and later editions of An Experiment With Time, in which he said:
“
I agree with you about 'serialism'; the 'going on of time' is not in Minkowski's world as it stands. My own feeling is that the 'becoming' is really there in the physical world, but is not formulated in the description of it in classical physics (and is, in fact, useless to a scheme of laws which is fully deterministic).[1]
Mr. J. W. Dunne, in his book, An Experiment with Time, introduces a multidimensional scheme in an attempt to explain precognition and he has further developed this scheme in later publications. But, as Professor Broad has shown, these unlimited dimensions are unnecessary, and unless I have misunderstood Mr. Dunne's argument, they resolve themselves into space-dimensions, and the true problem of time — the problem of becoming, or the passage of events from future through present to past, is not explained by them but is still left on the author's hands at the end.[2]
”
Dunne wrote a book just before his death which revealed that he believed himself to be a spiritual medium. He had deliberately chosen to leave this out of An Experiment with Time as he judged that it would have affected the scientific reception of his theory.[3] The partially-revised manuscript was completed by his family and published after his death under the title Intrusions?. In a review for the New Scientist John Gribbin described An Experiment with Time as a "definitive classic".[4]Paul Davies in his book About Time: Einstein's Unfinished Revolution (2006) wrote that Dunne was an entertaining writer but there is no scientific evidence for more than one time and that Dunne's argument seems ad hoc.[5] In his book Is There Life After Death? (2006), British writer Anthony Peake wrote that some of Dunne's ideas are valid and attempts to update the ideas of Dunne in the light of the latest theories of quantum physics, neurology and consciousness studies.[6]
J. B. Priestley used Dunne's theory directly in his play Time and the Conways, professing in his introduction that he believed the theory to be true. Other writers contemporaneous to Dunne who expressed enthusiasm for his ideas included Aldous Huxley, who was also interested in the expansion of human consciousness to experience time, and Adolfo Bioy Casares, who mentioned this book in the introduction to his novel The Dream of Heroes (1954). Charles Chilton used Dunne's analogy of time as a book to explain time travel in his radio play Journey Into Space.[citation needed]Philippa Pearce's childhood fantasy Tom's Midnight Garden also makes use of Dunne's ideas.[citation needed] The book is instrumental in Dr Philip Raven's production of his future history as 'edited' by H G Wells in his 1933 work The Shape of Things to Come. In the 1970 children's TV series, Timeslip, a time bubble allows two children to travel between past, present and future. Much of the show's time travel concepts were based on An Experiment with Time.[7] An Experiment with Time is referenced in the book Sidetripping by William S. Burroughs and Charles Gatewood. It is also mentioned in the book Last Men In London by Olaf Stapledon (1932) and in Bid Time Return, a 1975 novel by Richard Matheson. It is also mentioned in the story "Murder in the Gunroom" by H. Beam Piper, and in "Elsewhen" by Robert A. Heinlein. It is also mentioned in the short story "Extempore" by Damon Knight (1956), originally published as "The Beach where time began". See The Best of Damon Knight (1978). The ideas of Dunne also form the basis for "The Dark Tower" a short story by C. S. Lewis, and the unpublished novel, "The Notion Club Papers" by J. R. R. Tolkien. Both Tolkien and Lewis were members of the Inklings. In the 2002 French movie Irréversible, one of the characters is seen reading the book by Dunne. The movie also investigates the aspects of the book through the style of filming, in that the story is told backwards, with each beginning sequence beginning either minutes or hours prior to the one which preceded it in the narrative. Also, the tagline is Le temps détruit tout meaning "Time destroys everything"– it is the first phrase spoken and the last phrase written.
According to a new study, ‘a non-invasive brain-to-brain interface (BBI) can be used to allow one human to guess what is on the mind of another human’ Blogger Ref http://www.p2pfoundation.net/Multi-Dimensional_Science
With only the use of brainwaves and a specifically designed computer, researchers at the University of Washington examined the potential for exchanging basic information without saying a word. Photograph: Allan Ajifo/flickr via Creative Commons (at end of article)
Mind reading might not be as far-fetched as many people believe, says a study published by researchers at the University of Washington. Their research, published in PLOS One on Wednesday, demonstrated “that a non-invasive brain-to-brain interface (BBI) can be used to allow one human to guess what is on the mind of another human”. With only the use of brainwaves and a specifically designed computer, they examined the potential for exchanging basic information without saying a word. “We are actually still at the beginning of the field of interface technology and we are just mapping out the landscape so every single step is a step that opens up some new possibilities,” said lead author Andrea Stocco, an assistant professor of psychology and a researcher at UW’s Institute for Learning and Brain Sciences. The experiment had five pairs of men and women between the ages of 19 and 39 play a game similar to 20 questions. Each group had a “respondent”, who picked an object from lists provided, and an “inquirer”, who tried to guess the object by asking yes or no questions. They were placed in different rooms, approximately one mile apart. After a question was picked, it appeared on the respondent’s computer screen. They had two seconds to look at the question and one second to choose an answer. To do so, they looked at one of two flashing lights that were labeled yes or no. Each answer generated slightly different types of neural activity. The respondent’s brain waves were picked up by brain wave-reading technology, such as an electroencephalogram (EEG), and sent to the inquirer. With the use of a magnetic coil behind their head, the inquirer’s visual cortex was stimulated, so that if the answer was yes, they saw a flash of light. If the answer was no, they saw nothing. Each group of participants took part in 20 games. According to the study, they correctly guessed the object in 72% of the trials with the device, compared with 18% of the control games
The tetractys (Greek: τετρακτύς), or tetrad,[1] is a triangular figure consisting of ten points arranged in four rows: one, two, three, and four points in each row, which is the geometrical representation of the fourth triangular number. As a mystical symbol, it was very important to the secret worship of the Pythagoreans.
A prayer of the Pythagoreans shows the importance of the Tetractys (sometimes called the "Mystic Tetrad"), as the prayer was addressed to it.
"Bless us, divine number, thou who generated gods and men! O holy, holy Tetractys, thou that containest the root and source of the eternally flowing creation! For the divine number begins with the profound, pure unity until it comes to the holy four; then it begets the mother of all, the all-comprising, all-bounding, the first-born, the never-swerving, the never-tiring holy ten, the keyholder of all".[3]
As a portion of the secret religion, initiates were required to swear a secret oath by the Tetractys. They then served as novices for a period of silence lasting three years.[citation needed] The Pythagorean oath also mentioned the Tetractys:
"By that pure, holy, four lettered name on high,
nature's eternal fountain and supply,
the parent of all souls that living be,
by him, with faith find oath, I swear to thee."
It is said[4][5][6] that the Pythagorean musical system was based on the Tetractys as the rows can be read as the ratios of 4:3 (perfect fourth), 3:2 (perfect fifth), 2:1 (octave), forming the basic intervals of the Pythagorean scales. That is, Pythagorean scales are generated from combining pure fourths (in a 4:3 relation), pure fifths (in a 3:2 relation), and the simple ratios of the unison 1:1 and the octave 2:1. Note that the diapason, 2:1 (octave), and the diapason plus diapente, 3:1 (compound fifth or perfect twelfth), are consonant intervals according to the tetractys of the decad, but that the diapason plus diatessaron, 8:3 (compound fourth or perfect eleventh), is not.[7][8] Quotation:
"The Tetractys [also known as the decad] is an equilateral triangle formed from the sequence of the first ten numbers aligned in four rows. It is both a mathematical idea and a metaphysical symbol that embraces within itself—in seedlike form—the principles of the natural world, the harmony of the cosmos, the ascent to the divine, and the mysteries of the divine realm. So revered was this ancient symbol that it inspired ancient philosophers to swear by the name of the one who brought this gift to humanity."
Symbol by early 17th-century Christian mystic Jakob Böhme, including a tetractys of flaming Hebrew letters of the Tetragrammaton.
A tetractys of the letters of the Tetragrammaton adds up to 72 by gematria.
There are some who believe that the tetractys and its mysteries influenced the early kabbalists. A Hebrew Tetractys in a similar way has the letters of the Tetragrammaton (the four lettered name of God in Hebrew scripture) inscribed on the ten positions of the tetractys, from right to left. It has been argued that the Kabbalistic Tree of Life, with its ten spheres of emanation, is in some way connected to the tetractys, but its form is not that of a triangle. The well known occult writer Dion Fortune mentions:
consequently the three-dimensional solid naturally falls to Chesed."[9]
( We must note that the first three-dimensional solid is the tetrahedron. )
The relationship between geometrical shapes and the first four Sephirot is analogous to the geometrical correlations in Tetraktys, shown above under Pythagorean Symbol, and unveils the relevance of the Tree of Life with the Tetraktys.
In a Tarot reading, the various positions of the tetractys provide a representation for forecasting future events by signifying according to various occult disciplines, such as Alchemy. [1] Below is only a single variation for interpretation. The first row of a single position represents the Premise of the reading, forming a foundation for understanding all the other cards. The second row of two positions represents the cosmos and the individual and their relationship.
The Light Card to the right represents the influence of the cosmos leading the individual to an action.
The Dark Card to the left represents the reaction of the cosmos to the actions of the individual.
The third row of three positions represents three kinds of decisions an individual must make.
The Creator Card is rightmost, representing new decisions and directions that may be made.
The Sustainer Card is in the middle, representing decisions to keep balance, and things that should not change.
The Destroyer Card is leftmost, representing old decisions and directions that should not be continued.
The fourth row of four positions represents the four Greek elements.
The Fire card is rightmost, representing dynamic creative force, ambitions, and personal will.
The Air card is to the right middle, representing the mind, thoughts, and strategies toward goals.
The Water card is to the left middle, representing the emotions, feelings, and whims.
The Earth card is leftmost, representing physical realities of day to day living.
In English-language poetry, a tetractys is a syllable-counting form with five lines. The first line has one syllable, the second has two syllables, the third line has three syllables, the fourth line has four syllables, and the fifth line has ten syllables. [10] A sample tetractys would look like this:
Mantrum
Your /
fury /
confuses /
us all greatly. /
Volatile, big-bodied tots are selfish. //
The tetractys was created by Ray Stebbing, who said the following about his newly created form:
"The tetractys could be Britain's answer to the haiku. Its challenge is to express a complete thought, profound or comic, witty or wise, within the narrow compass of twenty syllables."[11]
von Franz, Marie-Louise. Number and Time: Reflections Leading Towards a Unification of Psychology and Physics. Rider & Company, London, 1974. ISBN 0-09-121020-8
The following has appeared possibly on this blog before , but since then a lot of "new" information has been added here, if I am not mistaken. Source Wikipedia...!
Albert Einstein presented the theories of Special Relativity and General Relativity in groundbreaking publications that either contained no formal references to previous literature, or referred only to a small number of his predecessors for fundamental results on which he based his theories, most notably to the work of Hendrik Lorentz for special relativity, and to the work of Gauss, Riemann, and Mach for general relativity. Subsequently claims have been put forward about both theories, asserting that they were formulated, either wholly or in part, by others before Einstein. At issue is the extent to which Einstein and various other individuals should be credited for the formulation of these theories, based on priority considerations. The general history of the development of these theories, including the contributions made by many other scientists, is found at History of special relativity and History of general relativity.
In 1889, ([Poi89]), Henri Poincaré argued that the ether might be unobservable, in which case the existence of the ether is a metaphysical question, and he suggested that some day the ether concept would be thrown aside as useless. However, in the same book (Ch. 10) he considered the ether a "convenient hypothesis" and continued to use the concept also in later papers in 1908 ([Poi08], Book 3) and 1912 ([Poi13], Ch. 6).
In 1895, Poincaré argued that experiments like that of Michelson–Morley show that it seems to be impossible to detect the absolute motion of matter or the relative motion of matter in relation to the ether. In [Poi00] he called this the Principle of Relative Motion, i.e., that the laws of movement should be the same in all inertial frames. Alternative terms used by Poincaré were "relativity of space" and "principle of relativity".[2] In 1904 he expanded that principle by saying: "The principle of relativity, according to which the laws of physical phenomena must be the same for a stationary observer as for one carried along in a uniform motion of translation, so that we have no means, and can have none, of determining whether or not we are being carried along in such a motion." However, he also stated that we do not know if this principle will turn out to be true, but that it is interesting to determine what the principle implies.
In [Poi00], Poincaré published a paper in which he said that radiation could be considered as a fictitious fluid with an equivalent mass of . He derived this interpretation from Lorentz's 'theory of electrons' which incorporated Maxwell's radiation pressure.
Poincaré had described a synchronization procedure for clocks at rest relative to each other in [Poi00] and again in [Poi04]. So two events, which are simultaneous in one frame of reference, are not simultaneous in another frame. It is very similar to the one later proposed by Einstein.[3] However, Poincaré distinguished between "local" or "apparent" time of moving clocks, and the "true" time of resting clocks in the ether. In [Poi02] he argued that "some day, no doubt, the ether will be thrown aside as useless".
Lorentz' paper [Lor04] containing the transformations bearing his name appeared in 1904.
Albert Einstein in [Ein05c] derived the Lorentz equations by using the principle of constancy of velocity of light and the relativity principle. He was the first to argue that those principles (along with certain other basic assumptions about the homogeneity and isotropy of space, usually taken for granted by theorists) are sufficient to derive the theory. See Postulates of special relativity. He said: "The introduction of a luminiferous ether will prove to be superfluous inasmuch as the view here to be developed will not require an absolutely stationary space provided with special properties, nor assign a velocity-vector to a point of the empty space in which electromagnetic processes take place." * Einstein's Elektrodynamik paper [Ein05c] contains no formal references to other literature. It does mention, in §9, part II, that the results of the paper are in agreement with Lorentz's electrodynamics. Poincaré is not mentioned in this paper, although he is cited formally in a paper on special relativity written by Einstein the following year.
In 1905 Einstein was the first to suggest that when a material body lost energy (either radiation or heat) of amount , its mass decreased by the amount .[4]
Hermann Minkowski showed in 1907 that the theory of special relativity could be elegantly described using a four-dimensional spacetime, which combines the dimension of time with the three dimensions of space.
Einstein in 1920 returned to a concept of aether having no state of motion.[5][6]
The proposal to describe gravity by means of a pseudo-Riemannian metric was first made by Einstein and Grossmann in the so-called Entwurf theory published 1913.[7] Grossmann identified the contracted Riemann tensor as the key for the solution of the problem posed by Einstein. This was followed by several attempts of Einstein to find valid field equations for this theory of gravity.
David Hilbert invited Einstein to Göttingen for a week to give six 2-hour lectures on general relativity, which he did in June–July 1915. Einstein stayed at Hilbert's house during this visit. Hilbert started working on a combined theory of gravity and electromagnetism, and Einstein and Hilbert exchanged correspondence until November 1915. Einstein gave four lectures on his theory on Nov 4, Nov 11, Nov 18 and Nov 25 in Berlin, published as [Ein15a], [Ein15b], [Ein15c], [Ein15d].
November 4, Einstein published non-covariant field equations and on November 11 returned to the field equations of the "Entwurf" papers, which he now made covariant by the assumption that the trace of the energy-momentum tensor was zero, as it was for electromagnetism.
Einstein sent Hilbert proofs of his papers of Nov 4 and Nov 11. (Sauer 99, notes 63, 66)
Nov 15 Invitation issued for Nov 20 meeting at the Academy in Göttingen. "Hilber legt vor in die Nachrichten: Grundgleichungen der Physik". (Sauer 99, note 73)
Nov 16 Hilbert spoke at the Göttingen Mathematical Society "Grundgleichungen der Physik" (Sauer 99, note 68). Talk not published.
Nov 16 or Nov 17 Hilbert sent Einstein some information about his talk of Nov 16 (letter lost)
Nov 18 Einstein replies to Hilbert's letter (received by Hilbert Nov 19) saying as far as he (Einstein) could tell Hilbert's system was equivalent to the one he (Einstein) had found in the preceding weeks. (Sauer 99, note 72). Einstein also told Hilbert in this letter that he (Einstein) had "considered the only possible generally covariant field equations three years earlier", adding that "The difficulty was not to find generally covariant equations for the ;this is easy with the help of the Riemann tensor. What was difficult instead was to recognize that these equations form a generalization, and that is, a simple and natural generalization of Newton's law" (A. Einstein to D. Hilbert, 18 Nov, Einstein Archives Call No. 13-093). Einstein also told Hilbert in that letter that he (Einstein) had calculated the correct perihelion advance for Mercury, using covariant field equations based on the assumption that the trace of the energy momentum tensor vanished as it did for electromagnetism.
Nov 18 Einstein presents the calculation of the perihelion advance to Prussian Academy.
Nov 20 Hilbert lectured to the Göttingen Academy. The proofs of his paper show that Hilbert proposed a non-covariant set of equations as the fundamental equations of physics. Thus he wrote "in order to keep the deterministic characteristic of the fundamental equations of physics [...] four further non-covariant equations ... [are] unavoidable." (proofs, pages 3 and 4. quoted by Corry et al.). Hilbert then derives these four extra equations and continues "these four differential equations [...] supplement the gravitational equations [...] to yield a system of 14 equations for the 14 potentials : the system of fundamental equations of physics". (proofs, page 7, quoted by Corry et al.).
In his last lecture on Nov 25 Einstein submitted the correct field equations. The published paper (Einstein 1915d) appeared on December 2, and it did not mention Hilbert.
Hilbert's paper took considerably longer to appear. He had galley proofs that were marked "December 6" by the printer in December 1915. Most of the galley proofs have been preserved, but about a quarter of a page is missing.[1] The extant part of the proofs contains Hilbert's action from which the field equations can be obtained by taking a variational derivative, and using the contracted Bianchi identity derived in theorem III of Hilbert's paper, though this was not done in the extant proofs.
Hilbert rewrote his paper for publication (in Mar 1916), changing the treatment of the energy theorem, dropping a non-covariant gauge condition on the coordinates to produce a covariant theory, and adding a new credit to Einstein for introducing the gravitational potentials into the theory of gravity. In the final paper he said his differential equations seemed to agree with the "magnificent theory of general relativity established by Einstein in his later papers"[8]
The events of late November through December 1915 caused bad feelings from Einstein towards Hilbert. In a November 25 letter to Zangger, Einstein accused Hilbert (without mentioning his name) of attempts to appropriate ('nostrify') his theory. On Dec 4, Hilbert nominated Einstein for election as a corresponding member of the Göttingen Mathematical Society. In a December 20 letter to Hilbert, Einstein proposed to settle the dispute.
The 1916 paper was rewritten and republished in 1924 [Hil24], where Hilbert wrote: Einstein [...] kehrt schließlich in seinen letzten Publikationen geradewegs zu den Gleichungen meiner Theorie zurück. (Einstein [...] in his most recent publications, returns directly to the equations of my theory.)[9]
To what degree Einstein was familiar with Poincaré's work
It is known that Einstein was familiar with [Poi02], but it is not known to what extent he was familiar with other work of Poincaré in 1905. However it is known that he knew [Poi00] in 1906, because he quoted it in [Ein06].
Lorentz' paper [Lor04] containing the transformations bearing his name appeared in 1904. The question is whether Einstein was familiar in 1905 with either this paper itself or a review of it (which appeared in the Annalen der Physik).
To what degree Einstein was following other physicists' work at the time. Some authors claim that Einstein worked in relative isolation and with restricted access to the physics literature in 1905. Others, however, disagree; a personal friend of Einstein, Maurice Solovine, later acknowledged that he and Einstein both pored for weeks over Poincaré's 1902 book, keeping them "breathless for weeks on end" [Rot06].
Whether his wife, Mileva Marić, may have contributed to Einstein's work, although Einstein scholars say that there is no substantive evidence that she made significant contributions.[1]
Before 1997, "the commonly accepted view was that David Hilbert completed the general theory of relativity at least 5 days before Albert Einstein submitted his conclusive paper on this theory on 25 November 1915. Hilbert's article, bearing the date of submission 20 November 1915 but published only on 31 March 1916, presents a generally covariant theory of gravitation, including field equations essentially equivalent to those in Einstein's paper" (Corry, Renn and Stachel, 1997). Since the discovery of printer's proofs of Hilbert's paper of Nov 20, dated 6 Dec 1915, which show a number of differences from the finally published paper, this 'commonly accepted view' has been challenged.[10]
Whether Einstein got the correct mathematical formulation for general relativity from Hilbert, or formulated it independently. Points at issue:
The content of Hilbert's November 16 letter/postcard to Einstein is not known. It is however, clear[according to whom?] from Einstein's response that it was an account of Hilbert's work.
It is not known what was on the missing part of Hilbert's printer proofs. The missing portion is large enough to have contained the field equations in an explicit form. There are several competing speculations about the content of the missing piece.
Based on the above, it is not known whether Hilbert had formulated the field equations in an explicit form before December 6 (the date of the printer's proofs) or not.
It is known from the proofs that Hilbert introduced four non-covariant equations in order to specify the gravitational potentials and that this approach was dropped from his revised paper.
Whether Hilbert ever tried to claim priority for the field equations - it seems clear that he regarded the theory of general relativity as Einstein's theory.
What Hilbert thought he was referring to when he used the term "equations of my theory" about Einstein's research. Hilbert made a similar remark in a letter to Karl Schwarzschild.[B 1]
There are a large number of opinions related to these involving questions of "who should get the credit" - these are not enumerated here.[why?]
In his History of the theories of ether and electricity from 1953, E. T. Whittaker claimed that relativity is the creation of Lorentz and Poincaré and attributed to Einstein's papers only little importance.[11] However, most historians of science, like Gerald Holton, Arthur I. Miller, Abraham Pais, John Stachel, or Olivier Darrigol have other points of view. They admit that Lorentz and Poincaré developed the mathematics of special relativity, and many scientists originally spoke about the "Lorentz-Einstein theory". But they argue that it was Einstein who completely eliminated the classical ether and demonstrated the relativity of space and time. They also argue that Poincaré demonstrated the relativity of space and time only in his philosophical writings, but in his physical papers he maintained the ether as a privileged frame of reference that is perfectly undetectable, and continued (like Lorentz) to distinguish between "real" lengths and times measured by observers at rest within the aether, and "apparent" lengths and times measured by observers in motion within the aether.[B 2][B 3][B 4][B 5][B 6] Darrigol summarizes:
Most of the components of Einstein's paper appeared in others' anterior works on the electrodynamics of moving bodies. Poincaré and Alfred Bucherer had the relativity principle. Lorentz and Larmor had most of the Lorentz transformations, Poincaré had them all. Cohn and Bucherer rejected the ether. Poincaré, Cohn, and Abraham had a physical interpretation of Lorentz's local time. Larmor and Cohn alluded to the dilation of time. Lorentz and Poincaré had the relativistic dynamics of the electron. None of these authors, however, dared to reform the concepts of space and time. None of them imagined a new kinematics based on two postulates. None of them derived the Lorentz transformations on this basis. None of them fully understood the physical implications of these transformations. It all was Einstein's unique feat.[B 7]
In a paper that was written in 1914 and published in 1921,[12] Lorentz expressed appreciation for Poincaré's Palermo paper (1906)[13] on relativity. Lorentz stated:
I did not indicate the transformation which suits best. That was done by Poincaré and then by Mr. Einstein and Minkowski. [..] Because I had not thought of the direct way which led there, and because I had the idea that there is an essential difference between systems x, y, z, t and x',y',z',t'. In one we use - such was my thought - coordinate axes which have a fixed position in the aether and which we can call "true" time; in the other system, on the contrary, we would deal with simple auxiliary quantities whose introduction is only a mathematical artifice. [..] I did not establish the principle of relativity as rigorously and universally true. Poincaré, on the contrary, obtained a perfect invariance of the equations of electrodynamics, and he formulated the "postulate of relativity", terms which he was the first to employ. [..] Let us add that by correcting the imperfections of my work he never reproached me for them.
However, a 1916 reprint of his main work "The theory of electrons" contains notes (written in 1909 and 1915) in which Lorentz sketched the differences between his results and that of Einstein as follows:[14]
[p. 230]: the chief difference [is] that Einstein simply postulates what we have deduced, with some difficulty and not altogether satisfactorily, from the fundamental equations of the electromagnetic field. [p. 321]: The chief cause of my failure was my clinging to the idea that the variable t only can be considered as the true time and that my local time t' must be regarded as no more than an auxiliary mathematical quantity. In Einstein's theory, on the contrary, t' plays the same part as t; if we want to describe phenomena in terms of x', y', z', t' we must work with these variables exactly as we could do with x, y, z, t.
Regarding the fact, that in this book Lorentz only mentioned Einstein and not Poincaré in connection with a) the synchronisation by light signals, b) the reciprocity of the Lorentz transformation, and c) the relativistic transformation law for charge density, Janssen comments:[B 8]
[p.90]: My guess is that it has to do with the fact that Einstein made the physical interpretation of the Lorentz transformation the basis for a remarkably clear and simple discussion of the electrodynamics of moving bodies, whereas Poincaré's remarks on the physical interpretation of Lorentz transformed quantities may have struck Lorentz as inconsequential philosophical asides in expositions that otherwise closely followed his own. I also have a sense that Lorentz found Einstein's physically very intuitive approach more appealing than Poincaré's rather abstract but mathematically more elegant approach.
And at a conference on the Michelson–Morley experiment in 1927 at which Lorentz and Michelson were present, Michelson suggested that Lorentz was the initiator of the theory of relativity. Lorentz then replied:[15]
I considered my time transformation only as a heuristic working hypothesis. So the theory of relativity is really solely Einstein's work. And there can be no doubt that he would have conceived it even if the work of all his predecessors in the theory of this field had not been done at all. His work is in this respect independent of the previous theories.
Poincaré attributed the development of the new mechanics almost entirely to Lorentz. He only mentioned Einstein in connection with the photoelectric effect,[16] but not in connection with special relativity. For example, in 1912 Poincaré raises the question whether "the mechanics of Lorentz" will still exist after the development of the quantum theory. He wrote:[16]
“
In all instances in which it differs from that of Newton, the mechanics of Lorentz endures. We continue to believe that no body in motion will ever be able to exceed the speed of light; that the mass of a body is not a constant, but depends on its speed and the angle formed by this speed with the force which acts upon the body; that no experiment will ever be able to determine whether a body is at rest or in absolute motion either in relation to absolute space or even in relation to the ether.
The Annalen also served as a source of modest additional income for Einstein, who wrote more than twenty reports for its Beiblätter - mainly on the theory of heat - thus demonstrating an impressive mastery of the contemporary literature. This activity started in 1905.[18] and probably resulted from his earlier publications in the Annalen in this field. Going by his publications between 1900 and early 1905, one would conclude that Einstein's specialty was thermodynamics.
”
Einstein wrote in 1907[19] that one needed only to realize that an auxiliary quantity that was introduced by Lorentz and that he called "local time" can simply be defined as "time." In 1909[20] and 1912[21] Einstein explained:[B 9]
...it is impossible to base a theory of the transformation laws of space and time on the principle of relativity alone. As we know, this is connected with the relativity of the concepts of "simultaneity" and "shape of moving bodies." To fill this gap, I introduced the principle of the constancy of the velocity of light, which I borrowed from H. A. Lorentz's theory of the stationary luminiferous ether, and which, like the principle of relativity, contains a physical assumption that seemed to be justified only by the relevant experiments (experiments by Fizeau, Rowland, etc.)[21]
— Albert Einstein (1912), translated by Anna Beck (1996).
But Einstein and his supporters took the position that this "light postulate" together with the principle of relativity renders the ether superfluous and leads directly to Einstein's version of relativity. It is also known[22] that Einstein had been reading and studying Poincaré's 1902-book Science and hypothesis well before 1905, which included:
detailed philosophical assessments on the relativity of space, time, and simultaneity
discussion of the reliance on conventions regarding the use of light signals for the synchronization of clocks
the definition of the principle of relativity and the conjecture that a violation of that principle can never be detected empirically
Einstein refers to Poincaré in connection with the inertia of energy in 1906[23] and the non-Euclidean geometry in 1921,[24] but not in connection with the Lorentz transformation, the relativity principle or the synchronisation procedure by light signals. However, in the last years before his death Einstein acknowledged some of Poincaré's contributions (according to Darrigol, maybe because his biographer Pais in 1950 sent Einstein a copy of Poincarè's Palermo paper, which he said that he had not read before). Einstein wrote in 1953:[B 10]
“
There is no doubt, that the special theory of relativity, if we regard its development in retrospect, was ripe for discovery in 1905. Lorentz had already recognized that the transformations named after him are essential for the analysis of Maxwell's equations, and Poincaré deepened this insight still further. Concerning myself, I knew only Lorentz's important work of 1895 [...] but not Lorentz's later work, nor the consecutive investigations by Poincaré. In this sense my work of 1905 was independent. [..] The new feature of it was the realization of the fact that the bearing of the Lorentz transformation transcended its connection with Maxwell's equations and was concerned with the nature of space and time in general. A further new result was that the "Lorentz invariance" is a general condition for any physical theory.
Did Hilbert claim priority for parts of General Relativity?[edit]
Kip Thorne concludes, in remarks based on Hilbert's 1924 paper, that Hilbert regarded the General Theory of relativity as Einstein's: "Quite naturally, and in accord with Hilbert's view of things, the resulting law of warpage was quickly given the name the Einstein field equation rather than being named after Hilbert. Hilbert had carried out the last few mathematical steps to its discovery independently and almost simultaneously with Einstein, but Einstein was responsible for essentially everything that preceded those steps...".[B 11] However, Kip Thorne also stated, "Remarkably, Einstein was not the first to discover the correct form of the law of warpage [. . . .] Recognition for the first discovery must go to Hilbert."[B 11] Arguments have been made that Hilbert claimed priority for the field equations themselves; the sources cited for this are:
Hilbert's article (dated 20 November 1915), when it appeared in 1916, contained the text "Die so zu Stande kommenden Differentialgleichungen der Gravitation sind, wie mir scheint, mit der von Einstein in seinen späteren Abhandlungen aufgestellten großzügigen Theorie der allgemeinen Relativität in gutem Einklang." In translation, "The differential equations of gravity arrived at in this way are, I think, in good agreement with those of Einstein in his later papers in which he presented his comprehensive theory of general relativity." Hilbert refers here to the "later papers" of Einstein, obviously to distinguish them from the Entwurf theory of 1913 and the preliminary papers prior to the end of November 1915 when Einstein published the equations of general relativity in their final form. Hilbert's sentence has sometimes been mis-interpreted[citation needed] by replacing the word "later" with "subsequent", and suggesting that Hilbert was writing in a clairvoyant sense about papers of Einstein that would be written subsequent to the paper that Hilbert was presently writing. Serious scholars[who?] dismiss such misconstruals as obvious nonsense.
Wuensch [B 1] points out that Hilbert refers to the field equations of gravity as "meine Theorie" ("my theory") in his February 6, 1916 letter to Schwarzschild. This, however, is not at issue, since no one disputes that Hilbert had his own "theory", which Einstein criticized as naive and overly ambitious. Hilbert's theory was based on the work of Mie combined with Einstein's principle of general covariance, but applied to matter and electromagnetism as well as gravity.
Mehra [B 12] and Bjerknes[B 13] point out that Hilbert's 1924 version of the article contained the sentence "... und andererseits auch Einstein, obwohl wiederholt von abweichenden und unter sich verschiedenen Ansätzen ausgehend, kehrt schließlich in seinen letzten Publikationen geradenwegs zu den Gleichungen meiner Theorie zurück" - "Einstein [...] in his last publications ultimately returns directly to the equations of my theory.".[25] These statements of course do not have any particular bearing on the matter at issue. No one disputes that Hilbert has "his" theory, which was a very ambitious attempt to combine gravity with a theory of matter and electromagnetism along the lines of Mie's theory, and that his equations for gravitation agreed with those that Einstein presented beginning in his, Einstein's, Nov 25 paper (which Hilbert refers to as Einstein's later papers to distinguish them from previous theories of Einstein). None of this bears on the precise origin of the trace term in the Einstein field equations (a feature of the equations that, while theoretically significant, does not have any effect on the vacuum equations, from which all the empirical tests proposed by Einstein were derived).
Sauer says "the independence of Einstein's discovery was never a point of dispute between Einstein and Hilbert ... Hilbert claimed priority for the introduction of the Riemann scalar into the action principle and the derivation of the field equations from it, "[B 14] (Sauer mentions a letter and a draft letter where Hilbert defends his priority for the action functional) "and Einstein admitted publicly that Hilbert (and Lorentz) had succeeded in giving the equations of general relativity a particularly lucid form by deriving them from a single variational principle"[citation needed]. Sauer also stated, "And in a draft of a letter to Weyl, dated 22 April 1918, written after he had read the proofs of the first edition of Weyl's 'Raum-Zeit-Materie' Hilbert also objected to being slighted in Weyl's exposition. In this letter again 'in particular the use of the Riemannian curvature [scalar] in the Hamiltonian integral' ('insbesondere die Verwendung der Riemannschen Krümmung unter dem Hamiltonschen Integral') was claimed as one of his original contributions. SUB Cod. Ms. Hilbert 457/17."[B 14]
Einstein wrote to Hilbert on 20 December 1915 that there was an "ill-feeling between us" and it has been suspected that this ill feeling was the result of Einstein's bitterness over Hilbert's "nostrification" of his (Einstein's) theory. Others have suggested that Hilbert might have felt that Einstein had derived some benefit or hints from his (Hilbert's) letters, and that those had helped him to arrive at the trace term of the field equations, and if so, that Einstein should have acknowledged this in his paper. But this is pure speculation, aside from Einstein's comment that he believed others (presumably Hilbert) had tried to "nostrify" his theory.
So far, there seems to be no consensus that these statements form a clear claim by Hilbert to have published the field equations first.
Did Einstein develop the field equations independently?[edit]
For a long time, it was believed that Einstein and Hilbert found the field equations of gravity independently. While Hilbert's paper was submitted somewhat earlier than Einstein's, it only appeared in 1916, after Einstein's field equations paper had appeared in print. For this reason there was no good reason to suspect plagiarism on either side. In 1978, a November 18, 1915 letter from Einstein to Hilbert[citation needed] resurfaced, in which Einstein thanked Hilbert for sending an explanation of Hilbert's work. This was not unexpected to most scholars, who were well aware of the correspondence between Hilbert and Einstein that November, and who continued to hold the view expressed by Albrecht Fölsing in his Einstein biography:
In November, when Einstein was totally absorbed in his theory of gravitation, he essentially only corresponded with Hilbert, sending Hilbert his publications and, on November 18, thanking him for a draft of his article. Einstein must have received that article immediately before writing this letter. Could Einstein, casting his eye over Hilbert's paper, have discovered the term which was still lacking in his own equations, and thus 'nostrified' Hilbert? [B 15]
In the very next sentence, after asking the rhetorical question, Folsing answers it with "This is not really probable...", and then goes on to explain in detail why
"[Einstein's] eventual derivation of the equations was a logical development of his earlier arguments—in which, despite all the mathematics, physical principles invariably predominated. His approach was thus quite different from Hilbert's, and Einstein's achievements can, therefore, surely be regarded as authentic."
In their 1997 Science paper,[B 16] Corry, Renn and Stachel quote the above passage and comment that "the arguments by which Einstein is exculpated are rather weak, turning on his slowness in fully grasping Hilbert's mathematics", and so they attempted to find more definitive evidence of the relationship between the work of Hilbert and Einstein, basing their work largely on a recently discovered pre-print of Hilbert's paper. A discussion of the controversy around this paper is given below. Those who contend that Einstein's paper was motivated by the information obtained from Hilbert have referred to the following sources:
The correspondence between Hilbert and Einstein mentioned above. More recently, it became known that Einstein was also given notes of Hilbert's November 16 talk about his theory.[B 1]
Einstein's November 18 paper on the perihelion motion of Mercury, which still refers to the incomplete field equations of November 4 and 11. (The perihelion motion depends only on the vacuum equations, which are unaffected by the trace term that was added to complete the field equations.) Reference to the final form of the equations appears only in a footnote added to the paper, indicating that Einstein had not known the final form of the equations on November 18. This is not controversial, and is consistent with the well-known fact that Einstein did not complete the field equations (with the trace term) until November 25.
Letters of Hilbert, Einstein, and other scientists may be used in attempts to make guesses about the content of Hilbert's letter to Einstein, which is not preserved, or of Hilbert's lecture in Göttingen on November 16.
Those who contend that Einstein's work takes priority over Hilbert's,[B 16] or that both authors did their work independently[B 17] have used the following arguments:
Hilbert modified his paper in December 1915, and the November 18 version sent to Einstein did not contain the final form of the field equations. The extant part of the printer proofs does not have the explicit field equations. This is the point of view defended by Corry, Renn, Stachel, and Sauer.
Sauer (1999) and Todorov (2005) agree with Corry, Renn and Satchel that Hilbert's proofs show that Hilbert had originally presented a non-covariant theory, which was dropped from the revised paper. Corry et al. quote from the proofs: "Since our mathematical theorem ... can provide only ten essentially independent equations for the 14 potentials [...] and further, maintaining general covariance makes quite impossible more than ten essential independent equations [...] then, in order to keep the deterministic characteristic of the fundamental equations of physics [...] four further non-covariant equations ... [are] unavoidable." (proofs, pages 3 and 4. Corry et al.) Hilbert derives these four extra equations and continues "these four differential equations [...] supplement the gravitational equations [...] to yield a system of 14 equations for the 14 potentials , : the system of fundamental equations of physics". (proofs, page 7. Corry et al.). Hilbert's first theory (lecture Nov 16, lecture Nov 20, proofs Dec 6) was titled "The fundamental equations of Physics". In proposing non-covariant fundamental equations, based on the Ricci tensor but restricted in this way, Hilbert was following the causality requirement that Einstein and Grossmann had introduced in the Entwurf papers of 1913.[B 14]
One may attempt to reconstruct the way in which Einstein may have arrived at the field equations independently. This is, for instance, done in the paper of Logunov, Mestvirishvili and Petrov quoted below.[B 18] Renn and Sauer[B 19] investigate the notebook used by Einstein in 1912 and claim he was close to the correct theory at that time.
In 1954, Sir Edmund Taylor Whittaker, an English mathematician and historian of science, credited Poincaré with the equation , and he included a chapter entitled The Relativity Theory of Poincaré and Lorentz in his book A History of the Theories of Aether and Electricity.[B 20] He credited Poincaré and Lorentz, and especially alluded to Lorentz's 1904 paper (dated by Whittaker as 1903), Poincaré's St. Louis speech (The Principles of Mathematical Physics) of September 1904, and Poincaré's June 1905 paper. Whittaker attributed to Einstein's relativity paper only little importance, i.e., the formulation of the Doppler and aberration formulas.
Whittaker's claims were criticized by Gerald Holton (1960, 1973).[B 2] He argued that there are fundamental differences between the theories of Einstein on one hand, and Poincaré and Lorentz on the other hand. Einstein radically reformulated the concepts of space and time, and by that removed "absolute space" and thus the stationary luminiferous aether from physics. On the other hand, Holton argued that Poincaré and Lorentz still adhered to the stationary aether concept, and tried only to modify Newtonian dynamics, not to replace it. Holton argued, that "Poincaré's silence" (i.e., why Poincaré never mentioned Einstein's contributions to relativity) was due to their fundamentally different conceptual viewpoints. Einstein's views on space and time and the abandonment of the aether were, according to Holton, not acceptable to Poincaré, therefore the latter only referred to Lorentz as the creator of the "new mechanics". Holton also pointed out that although Poincaré's 1904 St. Louis speech was "acute and penetrating" and contained a "principle of relativity" that is confirmed by experience and needs new development, it did not "enunciate a new relativity principle". He also alluded to mistakes of Whittaker, like predating Lorentz's 1904 paper (published April 1904) to 1903. Views similar to Holton's were later (1967, 1970) expressed by his former student, Stanley Goldberg.[B 21]
In a 1965 series of articles tracing the history of relativity,[B 22] Keswani claimed that Poincaré and Lorentz should have the main credit for special relativity - claiming that Poincaré pointedly credited Lorentz multiple times, while Lorentz credited Poincaré and Einstein, refusing to take credit for himself. He also downplayed the theory of general relativity, saying "Einstein's general theory of relativity is only a theory of gravitation and of modifications in the laws of physics in gravitational fields".[B 22] This would leave the special theory of relativity as the unique theory of relativity. Keswani cited also Vladimir Fock for this same opinion. This series of articles prompted responses, among others from Herbert Dingle and Karl Popper. Dingle said, among other things, ".. the 'principle of relativity' had various meanings, and the theories associated with it were quite distinct; they were not different forms of the same theory. Each of the three protagonists.... was very well aware of the others .... but each preferred his own views"[B 23] Karl Popper says "Though Einstein appears to have known Poincaré's Science and Hypothesis prior to 1905, there is no theory like Einstein's in this great book."[B 24] Keswani did not accept the criticism, and replied in two letters also published in the same journal ([B 25] and [B 26] - in his reply to Dingle, he argues that the three relativity theories were at heart the same: ".. they meant much that was common. And that much mattered the most."[B 25] Dingle commented the year after on the history of crediting: "Until the first World War, Lorentz's and Einstein's theories were regarded as different forms of the same idea, but Lorentz, having priority and being a more established figure speaking a more familiar language, was credited with it." (Dingle 1967, Nature 216 p. 119-122).
Miller (1973, 1981)[B 3] agreed with the analysis of Holton and Goldberg, and further argued that although the terminology (like the principle of relativity) used by Poincaré and Einstein were very similar, their content differs sharply. According to Miller, Poincaré used this principle to complete the aether based "electromagnetic world-view" of Lorentz and Abraham. He also argued that Poincaré distinguished (in his July 1905 paper) between "ideal" and "real" systems and electrons. That is, Lorentz's and Poincaré's usage of reference frames lacks an unambiguous physical interpretation, because in many cases they are only mathematical tools, while in Einstein's theory the processes in inertial frames are not only mathematically, but also physically equivalent. Miller wrote in 1981:
p. 172: "Although Poincaré's principle of relativity is stated in a manner similar to Einstein's, the difference in content is sharp. The critical difference is that Poincaré's principle admits the existence of the ether, and so considers the velocity of light to be exactly c only when it is measured in coordinate systems at rest in the ether. In inertial reference systems, the velocity of light is c and is independent of the emitter's motion as a result of certain compensatory effects such as the mathematical local time and the hypothesis of an unobservable contraction. Consequently, Poincaré's extension of the relativity principle of relative motion into the dynamics of the electron resided in electromagnetic theory, and not in mechanics...Poincaré came closest to rendering electrodynamics consistent, but not to a relativity theory." p. 217: "Poincaré related the imaginary system Σ' to the ether fixed system S'".
Miller (1996)[B 3] argues that Poincaré was guided by empiricism, and was willing to admit that experiments might prove relativity wrong, and so Einstein is more deserving of credit, even though he might have been substantially influenced by Poincaré's papers. Miller also argues that "Emphasis on conventionalism ... led Poincaré and Lorentz to continue to believe in the mathematical and observational equivalence of special relativity and Lorentz's electron theory. This is incorrect." [p.96] Instead, Miller claims that the theories are mathematically equivalent but not physically equivalent. [p.91-92]
In his Einstein biography Subtle is the Lord (1982),[B 4]Abraham Pais argued that Poincaré "comes near" to discover special relativity (in his St. Louis lecture of September 1904, and the June 1905 paper), but eventually he failed, because in 1904 and also later in 1909, Poincaré treated length contraction as a third independent hypothesis besides the relativity principle and the constancy of the speed of light. According to Pais, Poincaré thus never understood (or at least he never accepted) special relativity, in which the whole theory including length contraction can simply be derived from two postulates. Consequently, he sharply criticized Whittaker's chapter on the "Relativity theory of Poincaré and Lorentz", saying "how well the author's lack of physical insight matches his ignorance of the literature", although Pais admitted that the first book of Whittaker's History of Aether and Electricity is a masterpiece. He also argued that Lorentz never abandoned the stationary aether concept, either before or after 1905:
p. 118: "Throughout the paper of 1895, the Fresnel aether is postulated explicitly"; p. 125: "Like Voigt before him, Lorentz regarded the transformation ... only as a convenient mathematical tool for proving a physical theorem ... he proposed to call t the general time and t' the local time. Although he didn't say it explicitly, it is evident that to him there was, so to speak, only one true time t."; p. 166: "8.3. Lorentz and the Aether... For example, Lorentz still opines that the contraction of the rods has a dynamic origin. There is no doubt that he had read and understood Einstein's papers by then. However, neither then nor later was he prepared to accept their conclusions as the definitive answer to the problems of the aether."
In several papers, Elie Zahar (1983, 2000)[B 27] argued that both Einstein (in his June paper) and Poincaré (in his July paper) independently discovered special relativity. He said that "though Whittaker was unjust towards Einstein, his positive account of Poincaré's actual achievement contains much more than a simple grain of truth". According to him, it was Poincaré's unsystematic and sometimes erroneous statements regarding his philosophical papers (often connected with conventionalism), which hindered many to give him due credit. In his opinion, Poincaré was rather a "structural realist" and from that he concludes, that Poincaré actually adhered to the relativity of time and space, while his allusions to the aether are of secondary importance. He continues, that due to his treatment of gravitation and four-dimensional space, Poincaré's 1905/6-paper was superior to Einstein's 1905-paper. Yet Zahar gives also credit to Einstein, who introduced Mass–Energy equivalence, and also transcended special relativity by taking a path leading to the development of general relativity.
John Stachel (1995)[B 28] argued that there is a debate over the respective contributions of Lorentz, Poincaré and Einstein to relativity. These questions depend on the definition of relativity, and Stachel argued that kinematics and the new view of space and time is the core of special relativity, and dynamical theories must be formulated in accordance with this scheme. Based on this definition, Einstein is the main originator of the modern understanding of special relativity. In his opinion, Lorentz interpreted the Lorentz transformation only as a mathematical device, while Poincaré's thinking was much nearer to the modern understanding of relativity. Yet Poincaré still believed in the dynamical effects of the aether and distinguished between observers being at rest or in motion with respect to it. Stachel wrote: "He never organized his many brilliant insights into a coherent theory that resolutely discarded the aether and the absolute time or transcended its electrodynamic origins to derive a new kinematics of space and time on a formulation of the relativity principle that makes no reference to the ether".
In his book Einstein's clocks, Poincaré's maps (2002),[B 6][B 29]Peter Galison compared the approaches of both Poincaré and Einstein to reformulate the concepts of space and time. He wrote: "Did Einstein really discover relativity? Did Poincaré already have it? These old questions have grown as tedious as they are fruitless." This is because it depends on the question, which parts of relativity one considers as essential: the rejection of the aether, the Lorentz transformation, the connection with the nature of space and time, predictions of experimental results, or other parts. For Galison, it is more important to acknowledge that both thinkers were concerned with clock synchronization problems, and thus both developed the new operational meaning of simultaneity. However, while Poincaré followed a constructive approach and still adhered to the concepts of Lorentz's stationary aether and the distinction between "apparent" and "true" times, Einstein abandoned the aether and therefore all times in different inertial frames are equally valid. Galison argued that this does not mean that Poincaré was conservative, since Poincaré often alluded to the revolutionary character of the "new mechanics" of Lorentz.
In his 2004 article, "The Mystery of the Einstein-Poincaré Connection", Darrigol wrote:[B 7]
"By 1905 Poincaré's and Einstein's reflections on the electrodynamics of moving bodies led them to postulate the universal validity of the relativity principle, according to which the outcome of any conceivable experiment is independent of the inertial frame of reference in which it is performed. In particular, they both assumed that the velocity of light measured in different inertial frames was the same. They further argued that the space and time measured by observers belonging to different inertial systems were related to each other through the Lorentz transformations. They both recognized that the Maxwell-Lorentz equations of electrodynamics were left invariant by these transformations. They both required that every law of physics should be invariant under these transformations. They both gave the relativistic laws of motion. They both recognized that the relativity principle and the energy principle led to paradoxes when conjointly applied to radiation processes. On several points - namely, the relativity principle, the physical interpretation of Lorentz's transformations (to first order), and the radiation paradoxes - Poincaré's relevant publications antedated Einstein's relativity paper of 1905 by at least five years, and his suggestions were radically new when they first appeared. On the remaining points, publication was nearly simultaneous."
"I turn now to basic conceptual differences. Einstein completely eliminated the ether, required that the expression of the laws of physics should be the same in any inertial frame, and introduced a "new kinematics" in which the space and time measured in different inertial systems were all on exactly the same footing. In contrast, Poincaré maintained the ether as a privileged frame of reference in which "true" space and time were defined, while he regarded the space and time measured in other frames as only "apparent." He treated the Lorentz contraction as a hypothesis regarding the effect of the edgewise motion of a rod through the ether, whereas for Einstein it was a kinematic consequence of the difference between the space and time defined by observers in relative motion. Einstein gave the operational meaning of time dilation, whereas Poincaré never discussed it. Einstein derived the expression of the Lorentz transformation from his two postulates (the relativity principle and the constancy of the velocity of light in a given inertial system), whereas Poincaré obtained these transformations as those that leave the Maxwell-Lorentz equations invariant. Whereas Einstein, having eliminated the ether, needed a second postulate, in Poincaré's view the constancy of the velocity of light (in the ether frame) derived from the assumption of a stationary ether. Einstein obtained the dynamics of any rapidly moving particle by the direct use of Lorentz covariance, whereas Poincaré reasoned according to a specific model of the electron built up in conformity with Lorentz covariance. Einstein saw that Poincaré's radiation paradoxes could be solved only by assuming the inertia of energy, whereas Poincaré never returned to this question. Lastly, Poincaré immediately proposed a relativistic modification of Newton's law of gravitation and saw the advantages of a four-vector formalism in this context, whereas Einstein waited a couple of years to address this problem complex."
"These differences between the two theories are sometimes regarded as implying different observable predictions even within the domain of electromagnetism and optics. In reality, there is no such disagreement, for Poincaré's ether is by assumption perfectly undetectable, and every deduction made in Einstein's theory can be translated into a deduction in Poincaré's theory ..."
In sum, then, Einstein could have borrowed the relativity principle, the definition of simultaneity, the physical interpretation of the Lorentz transformations, and the radiation paradoxes from Poincaré. ... The wisest attitude might be to leave the coincidence of Poincaré's and Einstein's breakthroughs unexplained, ...
Anatoly Alexeevich Logunov on special relativity (2004)[edit]
In Anatoly Logunov's book[B 18] about Poincaré's relativity theory, there is an English translation (on p. 113, using modern notations) of the part of Poincaré's 1900 article containing E=mc2. Logunov states that Poincaré's two 1905 papers are superior to Einstein's 1905 paper. According to Logunov, Poincaré was the first scientist to recognize the importance of invariance under the Poincaré group as a guideline for developing new theories in physics. In chapter 9 of this book, Logunov points out that Poincaré's second paper was the first one to formulate a complete theory of relativistic dynamics, containing the correct relativistic analogue of Newton's F=ma. On p. 142, Logunov points out that Einstein wrote reviews for the Beiblätter Annalen der Physik, writing 21 reviews in 1905. In his view, this contradicts the claims that Einstein worked in relative isolation and with limited access to the scientific literature. Among the papers reviewed in the Beiblätter in the fourth (of 24) issue of 1905, there is a review of Lorentz' 1904-paper by Richard Gans, which contains the Lorentz transformations. In Logunov's view, this supports the view that Einstein was familiar with the Lorentz' paper containing the correct relativistic transformation in early 1905, while his June 1905 paper does not mention Lorentz in connection with this result.
Harvey R. Brown (2005)[B 30] (who favors a dynamical view of relativistic effects similar to Lorentz, but "without a hidden aether frame") wrote about the road to special relativity from Michelson to Einstein in section 4:
p. 40: "The cradle of special theory of relativity was the combination of Maxwellian electromagnetism and the electron theory of Lorentz (and to a lesser extent of Larmor) based on Fresnel's notion of the stationary aether....It is well known that Einstein's special relativity was partially motivated by this failure [to find the aether wind], but in order to understand the originality of Einstein's 1905 work it is incumbent on us to review the work of the trailblazers, and in particular Michelson, FitzGerald, Lorentz, Larmor, and Poincaré. After all they were jointly responsible for the discovery of relativistic kinematics, in form if not in content, as well as a significant portion of relativistic dynamics as well."
Regarding Lorentz's work before 1905, Brown wrote about the development of Lorentz's "theorem of corresponding states" and then continued:
p. 54: "Lorentz's interpretation of these transformations is not the one Einstein would given them and which is standardly embraced today. Indeed, until Lorentz came to terms with Einstein's 1905 work, and somehow despite Poincaré's warning, he continued to believe that the true coordinate transformations were the Galilean ones, and that the 'Lorentz' transformations ... were merely a useful formal device..." p. 56. "Lorentz consistently failed to understand the operational significance of his notions of 'local' time...He did however have an intimation of time dilation in 1899, but inevitably there are caveats...The hypotheses of Lorentz's system were starting to pile up, and the spectre of ad hocness was increasingly hard to ignore."
Then the contribution of Poincaré's to relativity:
p. 62: "Indeed, the claim that this giant of pure and applied mathematics co-discovered special relativity is not uncommon, and it is not hard to see why. Poincaré was the first to extend the relativity principle to optics and electrodynamics exactly. Whereas Lorentz, in his theorem of corresponding states, had from 1899 effectively assumed this extension of the relativity principle up to second-order effects, Poincaré took it to hold for all orders. Poincaré was the first to show that Maxwell's equations with source terms are strictly Lorentz covariant. … Poincaré was the first to use the generalized relativity principle as a constraint on the form of the coordinate transformations. He recognized that the relativity principle implies that the transformations form a group, and in further appealing to spatial isotropy. … Poincaré was the first to see the connection between Lorentz's ‘local time’, and the issue of clock synchrony. … It is fair to say that Poincaré was the first to understand the relativity of simultaneity, and the conventionality of distant simultaneity. Poincaré anticipated Minkowski's interpretation of the Lorentz transformations as a passive, rigid rotation within a four-dimensional pseudo-Euclidean space-time. He was also aware that the the [sic] electromagnetic potentials transform in the manner of what is now called a Minkowski 4-vector. He anticipated the major results of relativistic dynamics (and in particular the relativistic relations between force, momentum and velocity), but not E=mc² in its full generality."
However, Brown continued with the reasons which speak against Poincaré's co-discovery:
p. 63-64: "What are the grounds for denying Poincaré the title of co-discoverer of special relativity? ... Although Poincaré understood independently of Einstein how the Lorentz transformations give rise to non-Galilean transformation rules for velocities (indeed Poincaré derived the correct relativistic rules), it is not clear that he had a full appreciation of the modern operational significance attached to coordinate transformations.... he did not seem to understand the role played by the second-order terms in the transformation. Compared with the cases of Lorentz and Larmor, it is even less clear that Poincaré understood either length contraction or time dilation to be a consequence of the coordinate transformation.... What Poincaré was holding out for was no less than a new theory of ether and matter - something far more ambitions than what appeared in Einstein's 1905 relativity paper...p. 65. Like Einstein half a decade later, Poincaré wanted new physics, not a reinterpretations or reorganization of existing notions."
Brown denies the idea of other authors and historians, that the major difference between Einstein and his predecessors is Einstein's rejection of the aether, because, it is always possible to add for whatever reason the notion of a privileged frame to special relativity, as long as one accepts that it will remain unobservable, and also Poincaré argued that "some day, no doubt, the aether will thrown aside as useless". However, Brown gave some examples, what in his opinion were the new features in Einstein's work:
p. 66: "The full meaning of relativistic kinematics was simply not properly understood before Einstein. Nor was the 'theory of relativity' as Einstein articulated it in 1905 anticipated even in its programmatic form." p. 69. "How did Albert Einstein...arrive at his special theory of relativity?...I want only to stress that it is impossible to understand Einstein's discovery (if that is the right word) of special relativity without taking on board the impacts of the quantum in physics." p. 81. "In this respect [Brown refers to the conventional nature of distant simultaneity] Einstein was doing little more than expanding on a theme that Poincaré had already introduced. Where Einstein goes well beyond the great mathematician is in his treatment of the coordinate transformations... In particular, the extraction of the phenomena of length contraction and time dilation directly from the Lorentz transformations in section 4 of the 1905 paper is completely original."
After that, Brown develops his own dynamical interpretation of special relativity as opposed to the kinematical approach of Einstein's 1905 paper (although he says that this dynamical view is already contained in Einstein's 1905-paper, "masqueraded in the language of kinematics", p. 82), and the modern understanding of space-time.
Roger Cerf (2006)[B 31] gave priority to Einstein for developing special relativity, and criticized the assertions of Leveugle and others concerning the priority of Poincaré. While Cerf agreed that Poincaré made important contributions to relativity, he argued (following Pais) that Poincaré "stopped short before the crucial step" because he handled length contraction as a "third hypothesis", therefore Poincaré lacked a complete understanding of the basic principles of relativity. "Einstein's crucial step was that he abandoned the mechanistic ether in favor of a new kinematics." He also denies the idea, that Poincaré invented E=mc² in its modern relativistic sense, because he did not realize the implications of this relationship. Cerf considers Leveugle's Hilbert-Planck-Einstein connection an implausible conspiracy theory.
Katzir (2005)[B 32] argued that "Poincaré's work should not be seen as an attempt to formulate special relativity, but as an independent attempt to resolve questions in electrodynamics." Contrary to Miller and others, Katzir thinks that Poincaré's development of electrodynamics led him to the rejection of the pure electromagnetic world-view (due to the non-electromagnetic Poincaré-Stresses introduced in 1905), and Poincaré's theory represents a "relativistic physics" which is guided by the relativity principle. In this physics, however, "Lorentz's theory and Newton's theory remained as the fundamental bases of electrodynamics and gravitation."
Walter (2005) argues that both Poincaré and Einstein put forward the theory of relativity in 1905. And in 2007 he wrote, that although Poincaré formally introduced four-dimensional spacetime in 1905/6, he was still clinging to the idea of "Galilei spacetime". That is, Poincaré preferred Lorentz covariance over Galilei covariance when it is about phenomena accessible to experimental tests; yet in terms of space and time, Poincaré preferred Galilei spacetime over Minkowski spacetime, and length contraction and time dilation "are merely apparent phenomena due to motion with respect to the ether". This is the fundamental difference in the two principal approaches to relativity theory, namely that of "Lorentz and Poincaré" on one side, and "Einstein and Minkowski" on the other side.[B 33]
Whittaker (1954)[B 20] stated that David Hilbert had derived the theory of General Relativity from an elegant variational principle almost simultaneously with Einstein's discovery of the theory.
Albrecht Fölsing on the Hilbert-Einstein interaction (1993)[edit]
From Fölsing's 1993 (English translation 1998)[B 15] Einstein biography " Hilbert, like all his other colleagues, acknowledged Einstein as the sole creator of relativity theory."
Cory/Renn/Stachel and Friedwardt Winterberg (1997/2003)[edit]
In 1997, Cory, Renn and Stachel published a 3-page article in Science entitled "Belated Decision in the Hilbert-Einstein Priority Dispute"[2], concluding that Hilbert had not anticipated Einstein's equations.[B 16][B 34] Friedwardt Winterberg,[B 35] a professor of physics at the University of Nevada, Reno, disputed [3] these conclusions, observing that the galley proofs of Hilbert's articles had been tampered with - part of one page had been cut off. He goes on to argue that the removed part of the article contained the equations that Einstein later published, and he wrote that the cut off part of the proofs suggests a crude attempt by someone to falsify the historical record. "Science" declined to publish this; it was printed in revised form in "Zeitschrift für Naturforschung", with a dateline of June 5, 2003. Winterberg criticized Corry Renn and Statchel for having omitted the fact that part of Hilbert's proofs were cut off. Winterberg wrote that the correct field equations are still present on the existing pages of the proofs in various equivalent forms. In this paper Winterberg asserted that Einstein sought the help of Hilbert and Klein to help him find the correct field equation, without mentioning the research of Fölsing (1997) and Sauer (1999) according to which Hilbert invited Einstein to Göttingen to give a week of lectures on general relativity in June 1915, which however does not necessarily contradict Winterberg. Hilbert at the time was looking for physics problems to solve. A short reply to Winterberg's article could be found at [4]; the original long reply can be accessed via the Internet Archive at [5]. In this reply, Winterberg's hypothesis is called "paranoid" and "speculative". Cory et al. offer the following alternative speculation: "it is possible that Hilbert himself cropped off the top of p. 7 to include it with the three sheets he sent Klein, in order that they not end in mid-sentence."[B 36] As of September 2006, the Max Planck Institute of Berlin has replaced the short reply with a note [6] saying that the Max Planck Society "distances itself from statements published on this website [...] concerning Prof. Friedwart Winterberg" and stating that "the Max Planck Society will not take a position in [this] scientific dispute". Ivan Todorov, in a paper published on ArXiv,[B 17] says of the debate:
Their [CRS's] attempt to support on this ground Einstein's accusation of "nostrification" goes much too far. A calm, non-confrontational reaction was soon provided by a thorough study[B 14] of Hilbert's route to the "Foundations of Physics" (see also the relatively even handed survey (Viz 01)).
In the paper recommended by Todorov as calm and non-confrontational, Tilman Sauer[B 14] concludes that the printer's proofs show conclusively that Einstein did not plagiarize Hilbert, stating
any possibility that Einstein took the clue for the final step toward his field equations from Hilbert's note [Nov 20, 1915] is now definitely precluded.
Max Born's letters to David Hilbert, quoted in Wuensch, is quoted by Todorov as evidence that Einstein's thinking towards general covariance was influenced by the competition with Hilbert. Todorov ends his paper by stating:
Einstein and Hilbert had the moral strength and wisdom - after a month of intense competition, from which, in a final account, everybody (including science itself) profited - to avoid a lifelong priority dispute (something in which Leibniz and Newton failed). It would be a shame to subsequent generations of scientists and historians of science to try to undo their achievement.
Anatoly Alexeevich Logunov on general relativity (2004)[edit]
Anatoly Logunov (a former vice president of the Soviet Academy of Sciences[26] and currently the scientific advisor of the Institute for High Energy Physics[27]), is author of a book about Poincaré's relativity theory and coauthor, with Mestvirishvili and Petrov, of an article rejecting the conclusions of the Corry/Renn/Stachel paper. They discuss both Einstein's and Hilbert's papers, claiming that Einstein and Hilbert arrived at the correct field equations independently. Specifically, they conclude that:
Their pathways were different but they led exactly to the same result. Nobody "nostrified" the other. So no "belated decision in the Einstein–Hilbert priority dispute", about which [Corry, Renn, and Stachel] wrote, can be taken. Moreover, the very Einstein–Hilbert dispute never took place.
All is absolutely clear: both authors made everything to immortalize their names in the title of the gravitational field equations. But general relativity is Einstein's theory.[B 37]
Daniela Wuensch,[B 1] a historian of science and a Hilbert and Kaluza expert, responded to Bjerknes, Winterberg and Logunov's criticisms of the Corry/Renn/Stachel paper in a book which appeared in 2005, wherein she defends the view that the cut to Hilbert's printer proofs was made in recent times. Moreover, she presents a theory about what might have been on the missing part of the proofs, based upon her knowledge of Hilbert's papers and lectures. She defends the view that knowledge of Hilbert's November 16, 1915 letter was crucial to Einstein's development of the field equations: Einstein arrived at the correct field equations only with Hilbert's help ("nach großer Anstrengung mit Hilfe Hilberts"), but nevertheless calls Einstein's reaction (his negative comments on Hilbert in the November 26 letter to Zangger) "understandable" ("Einsteins Reaktion ist verständlich") because Einstein had worked on the problem for a long time. According to her publisher, Klaus Sommer, Wuensch concludes though that:
This comprehensive study concludes with a historical interpretation. It shows that while it is true that Hilbert must be seen as the one who first discovered the field equations, the general theory of relativity is indeed Einstein's achievement, whereas Hilbert developed a unified theory of gravitation and electromagnetism. [7]
In 2006, Wuensch was invited to give a talk at the annual meeting of the German Physics Society (Deutsche Physikalische Gesellschaft) about her views about the priority issue for the field equations.[8] Wuensch's publisher, Klaus Sommer, in an article in "Physik in unserer Zeit",[B 38] supported Wuensch's view that Einstein obtained some results not independently but from the information obtained from Hilbert's November 16 letter and from the notes of Hilbert's talk. While he does not call Einstein a plagiarist, Sommer speculates that Einstein's conciliatory December 20 letter was motivated by the fear that Hilbert might comment on Einstein's behaviour in the final version of his paper. Sommer claimed that a scandal caused by Hilbert could have done more damage to Einstein than any scandal before ("Ein Skandal Hilberts hätte ihm mehr geschadet als jeder andere zuvor").
The contentions of Wuensch and Sommer have been strongly contested by the historian of mathematics and natural sciences David E. Rowe in a detailed review of Wuensch's book published in Historia Mathematica in 2006.[28] Rowe argues that Wuensch's book offers nothing but tendentious, unsubstantiated, and in many cases highly implausible, speculations.
Jump up ^M. Grossmann, Entwurf einer verallgemeinerten REltivitatstheroie und einer Theorie der Gravitation: II. Mathematischer Teil (I. Physikalischer Teil von A. Einstein), B. G Teubner, Leipzig and Berlin 1913, p. 36.
Jump up ^D. Hilbert, Nac. Ges. Wiss. Goettingen 1916, 395, cited in [Cor97].
Jump up ^Lorentz, H.A.; Lorentz, H. A.; Miller, D. C.; Kennedy, R. J.; Hedrick, E. R.; Epstein, P. S. (1928), "Conference on the Michelson-Morley Experiment", The Astrophysical Journal68: 345–351, Bibcode:1928ApJ....68..341M, doi:10.1086/143148
[Ein05d] : Albert Einstein: Ist die Trägheit eines Körpers von seinem Energiegehalt abhängig?, Annalen der Physik 18(1905), 639-641, Reprinted with comments in [Sta89], Document 24 English translation available on the net
[Ein06] : Albert Einstein: Das Prinzip von der Erhaltung der Schwerpunktsbewegung und die Trägheit der Energie Annalen der Physik 20(1906):627-633, Reprinted with comments in [Sta89], Document 35
[Ein15a]: Einstein, A. (1915) "Die Feldgleichungun der Gravitation". Sitzungsberichte der Preussischen Akademie der Wissenschaften zu Berlin, 844-847.
[Ein15b]: Einstein, A. (1915) "Zur allgemeinen Relativatstheorie", Sitzungsberichte der Preussischen Akademie der Wissenschaften zu Berlin, 778-786
[Ein15c]: Einstein, A. (1915) "Erklarung der Perihelbewegung des Merkur aus der allgemeinen Relatvitatstheorie", Sitzungsberichte der Preussischen Akademie der Wissenschaften zu Berlin, 799-801
[Ein15d]: Einstein, A. (1915) "Zur allgemeinen Relativatstheorie", Sitzungsberichte der Preussischen Akademie der Wissenschaften zu Berlin, 831-839
[Ein16]: Einstein, A. (1916) "Die Grundlage der allgemeinen Relativitätstheorie", Annalen der Physik, 49
[Hil24]: Hilbert, D., Die Grundlagen der Physik - Mathematische Annalen, 92, 1924 - "meiner theorie" quote on page 2 - online at Uni Göttingen - index of journal
[Lan05]:Langevin, P. (1905) "Sur l'origine des radiations et l'inertie électromagnétique", Journal de Physique Théorique et Appliquée, 4, pp. 165–183.
[Lan14]:Langevin, P. (1914) "Le Physicien" in Henri Poincaré Librairie (Felix Alcan 1914) pp. 115–202.
^ Jump up to: abcdDaniela Wuensch, "zwei wirkliche Kerle", Neues zur Entdeckung der Gravitationsgleichungen der Allgemeinen Relativitätstheorie durch Einstein und Hilbert. Termessos, 2005, ISBN 3-938016-04-3
Holton, Gerald (1973/88), Thematic Origins of Scientific Thought: Kepler to Einstein, Harvard University Press, ISBN0-674-87748-9Check date values in: |date= (help)
^ Jump up to: abcMiller, A.I. (1973), "A study of Henri Poincaré's "Sur la Dynamique de l'Electron", Arch. Hist. Exact. Scis.10 (3–5): 207–328, doi:10.1007/BF00412332
Miller, Arthur I. (1981), Albert Einstein's special theory of relativity. Emergence (1905) and early interpretation (1905–1911), Reading: Addison–Wesley, ISBN0-201-04679-2
Miller, A.I. (1996), "Why did Poincaré not formulate special relativity in 1905?", in Jean-Louis Greffe, Gerhard Heinzmann, Kuno Lorenz, Henri Poincaré : science et philosophie, Berlin, pp. 69–100
^ Jump up to: abPais, Abraham (1982), Subtle is the Lord: The Science and the Life of Albert Einstein, New York: Oxford University Press, ISBN0-19-280672-6
Jump up ^Mehra, J. (1974) "Einstein, Hilbert, and the Theory of Gravitation" Reidel, Dordrecht, Netherlands.
Jump up ^: Bjerknes, Christopher Jon (2003), Anticipations of Einstein in the General Theory of Relativity, Downers Grove, Illinois: XTX Inc., ISBN0-9719629-6-0Author's site
^ Jump up to: abcdeTilman Sauer, "The relativity of discovery: Hilbert's first note on the foundations of physics", Arch. Hist. Exact Sci., v53, 529-575 (1999)
^ Jump up to: abFölsing, Albrecht: Einstein - a biography; Penguin (Non-Classics); New Ed edition (June 1, 1998). ISBN 0-14-023719-4.
^ Jump up to: abcLeo Corry, Jürgen Renn, John Stachel: "Belated Decision in the Hilbert-Einstein Priority Dispute", SCIENCE, Vol. 278, 14 November 1997 - article text
^ Jump up to: abTodorov, Ivan T., Einstein and Hilbert: The Creation of General Relativity, Institut fuer Theoretische Physik Universitaet Goettingen, arXiv:physics/0504179v1, 25 April 2005.
Jump up ^Jürgen Renn und Tilman Sauer (1996), "Einsteins Züricher Notizbuch: Die Entdeckung der Feldgleichungen der Gravitation im Jahre 1912", preprint 28 from Max Planck Institute - Web link. Publication date implied from web directory.
^ Jump up to: abWhittaker, E. T (1953) A History of the Theories of Aether and Electricity: Vol 2 The Modern Theories 1900-1926. Chapter II: The Relativity Theory of Poincaré and Lorentz, Nelson, London.
Goldberg, S. (1970), "Poincaré's silence and Einstein's relativity", British journal for the history of science5: 73–84, doi:10.1017/S0007087400010633
^ Jump up to: abKeswani, G. H. (1965-6) "Origin and Concept of Relativity, Parts I, II, III", Brit. J. Phil. Sci., v15-17. British Journal for the Philosophy of Science, ISSN0007-0882.
Jump up ^Herbert Dingle, "Note on Mr Keswani's articles, Origin and Concept of Relativity", Brit. J. Phil. Sci., vol 16, No 63 (Nov 1965), 242-246 (a response to [Kes65])
Jump up ^Karl R. Popper, "A Note on the Difference Between the Lorentz-Fitzgerald Contraction and the Einstein Contraction", Br. J. Phil. Sci. 16:64 (Feb 1966): 332-333 (a response to [Kes65])
^ Jump up to: abKeswani, G. H. (1966), "Reply to Professor Dingle and Mr Levinson", Brit. J. Phil. Sci., Vol. 17, No. 2 (Aug 1966), 149-152 (a response to [Din65])
Jump up ^Keswani, G. H. (1966), "Origin and Concept of Relativity: Reply to Professor Popper", Brit. J. Phil. Sci, Vol 17 no 3 (Nov 1966), 234-236 (a response to [Pop65]
Jump up ^Zahar, Elie (1983), "Poincaré's Independent Discovery of the relativity principle", Fundamenta Scientiae4: 147–175
Zahar, Elie (1989), Einstein's Revolution: A Study in Heuristic, Chicago: Open Court Publishing Company, ISBN0-8126-9067-2
Zahar, E. (2001), Poincare's Philosophy: From Conventionalism to Phenomenology, Chicago: Open Court Pub Co, ISBN0-8126-9435-X
Jump up ^Stachel, John (1995), "History of relativity", in Laurie M. Brown, Sir Brian Pippard, Abraham Pais, Twentieth Century Physics, Philadelphia: Institute of Physics, pp. 249–356, doi:10.1201/9781420050776.ch4, ISBN0-7503-0310-7
Jump up ^Walter, S. (2005), Renn, J., ed., Albert Einstein, Chief Engineer of the Universe: 100 Authors for Einstein (Berlin: Wiley-VCH): 162–165Missing or empty |title= (help);|contribution= ignored (help)
Jump up ^Jürgen Renn and John Stachel, Hilbert's Foundation of Physics: From a Theory of Everything to a Constituent of General Relativity - can be downloaded from link 118 in the preprint list at Max Planck Institute for the History of Science.
Jump up ^Friedwart Winterberg: a critique of [Cor97] as printed in "Z.f. Naturforschung 59a"59a, 715-719 (2004).
Jump up ^Corry, Renn Stachel: Short response to [Win02] - note: the original response was later replaced with a shorter one, and on September 14, 2006, this was replaced with a statement stating that the Max Planck Institute distances itself from Corry et al.'s statements about Winterberg. The original two versions are no longer available at this URL or at the Wayback Machine.
Jump up ^A.A. Logunov, M.A.Mestvirishvili, V.A. Petrov (2004): How Were the Hilbert-Einstein Equations Discovered? Phys.Usp. 47 (2004) 607-621; Usp.Fiz.Nauk 174 (2004) 663-678, arXiv:physics/0405075
Jump up ^Sommer, Klaus: "Wer entdeckte die Allgemeine Relativitätstheorie? Prioritätsstreit zwischen Hilbert und Einstein", Physik in unserer Zeit Volume 36, Issue 5, Pages 230–235. Published Online: 29 Aug 2005. Available online from Wiley InterScience (expect some problems; paid access to text only)
Ives, H. E. (1952). "Derivation of the Mass-Energy Relationship". J. Opt. Soc. Am.42: 540–3. doi:10.1364/josa.42.000540.
Ives, H. E. (1953). "Note on 'Mass-Energy Relationship'". J. O. S. A.43: 619. doi:10.1364/josa.43.0618_2.
Keswani GH, Kilmister CW (1983). "Initimations of relativity. Relativity before Einstein". British Journal for the Philosophy of Science34: 343–54. doi:10.1093/bjps/34.4.343. ISSN0007-0882.
Magical realism,magic realism, or marvelous realism is literature, painting, and film that, while encompassing a range of subtly different concepts, share in common an acceptance of magic in the rational world. It is also sometimes called fabulism, in reference to the conventions of fables, myths, and allegory. Of the four terms, Magical realism is the most commonly used and refers to literature in particular[1]:1–5 that portrays magical or unreal elements as a natural part in an otherwise realistic or mundane environment. The terms are broadly descriptive rather than critically rigorous. Matthew Strecher defines magic realism as "what happens when a highly detailed, realistic setting is invaded by something too strange to believe."[2] Many writers are categorized as "magical realists," which confuses the term and its wide definition.[3] Magical realism is often associated with Latin American literature, particularly authors including Gabriel García Márquez and Isabel Allende. In English literature, its chief exponents include Salman Rushdie and Alice Hoffman.
While the term magical realism first appeared in 1955,[1]:16 the term Magischer Realismus, translated as magic realism, was first used by German art critic Franz Roh in 1925[4] to refer to a painterly style also known as Neue Sachlichkeit (the New Objectivity),[5] an alternative to expressionism championed by fellow German museum director Gustav Hartlaub.[1]:9–11[6] Roh identified magic realism's accurate detail, smooth photographic clarity, and portrayal of the 'magical' nature of the rational world. It reflects the uncanniness of people and our modern technological environment.[1]:9–10 Roh believed that magic realism was related to, but distinct from, surrealism, due to magic realism's focus on the material object and the actual existence of things in the world, as opposed to surrealism's more cerebral, psychological and subconscious reality.[1]:12 Magic realism was later used to describe the uncanny realism by American painters such as Ivan Albright, Paul Cadmus, George Tooker and other artists during the 1940s and 1950s. However, in contrast with its use in literature, magic realist art does not often include overtly fantastic or magical content, but rather looks at the mundane through a hyper-realistic and often mysterious lens.[7] German magic realist paintings influenced the Italian writer Massimo Bontempelli, who has been called the first to apply magic realism to writing, aiming to capture the fantastic, mysterious nature of reality. In 1926 he founded the magic realist magazine 900.Novecento, and his writings influenced Belgian magic realist writers Johan Daisne and Hubert Lampo.[1]:13–14 Roh's magic realism also influenced writers in Hispanic America, where it was translated as realismo mágico in 1927. Venezuelan writer Arturo Uslar-Pietri, who had known Bontempelli, wrote influential magic realist short stories in the 1930s and 40s that focused on the mystery and reality of how we live.[1]:14–15 Luis Leal attests that Pietri seemed to have been the first to adopt the term realismo mágico in Hispanic America in 1948.[8] French-Russian Cuban writer Alejo Carpentier, who rejected Roh's magic realism as tiresome pretension, developed his related concept lo real maravilloso, or marvelous realism, in 1949.[1]:14 Maggie Ann Bowers writes that marvelous realist literature and art expresses "the seemingly opposed perspectives of a pragmatic, practical and tangible approach to reality and an acceptance of magic and superstition" within an environment of differing cultures.[1]:2–3 The term magical realism, as opposed to magic realism, first emerged in the 1955 essay "Magical Realism in Spanish American Fiction" by critic Angel Flores to refer to writing that combines aspects of magic realism and marvelous realism. While Flores named Jorge Luis Borges as the first magical realist, he failed to acknowledge either Carpentier or Pietri for bringing Roh's magic realism to Latin America. Borges is often seen as a predecessor of magical realists, with only Flores considering him a true magical realist.[1]:16–18 After Flores's essay, there was a resurgence of interest in marvelous realism, which, after the Cuban revolution of 1959, led to the term magical realism being applied to a new type of literature known for matter-of-fact portrayal of magical events.[1]:18
The extent to which the characteristics below apply to a given magic realist text varies. Every text is different and employs a smattering of the qualities listed here. However, they accurately portray what one might expect from a magic realist text.
Magical realism portrays fantastical events in an otherwise realistic tone. It brings fables, folk tales, and myths into contemporary social relevance. Fantasy traits given to characters, such as levitation, telepathy, and telekinesis, help to encompass modern political realities that can be phantasmagorical.[9]
The existence of fantasy elements in the real world provides the basis for magical realism. Writers do not invent new worlds but reveal the magical in this world, as was done by Gabriel García Márquez who wrote the seminal work of the style, One Hundred Years of Solitude.[10] In the binary world of magical realism, the supernatural realm blends with the natural, familiar world.[11]
Authorial reticence is the "deliberate withholding of information and explanations about the disconcerting fictitious world".[12] The narrator is indifferent, a characteristic enhanced by this absence of explanation of fantastic events; the story proceeds with "logical precision" as if nothing extraordinary took place.[13][14] Magical events are presented as ordinary occurrences; therefore, the reader accepts the marvelous as normal and common.[15] Explaining the supernatural world or presenting it as extraordinary would immediately reduce its legitimacy relative to the natural world. The reader would consequently disregard the supernatural as false testimony.
In his essay "The Baroque and the Marvelous Real", Cuban writer Alejo Carpentier defined the baroque by a lack of emptiness, a departure from structure or rules, and an "extraordinary" abundance (plenitude) of disorienting detail (citing Mondrian as its opposite). From this angle, Carpentier views the baroque as a layering of elements, which translates easily into the post-colonial or transcultural Latin American atmosphere that he emphasizes in The Kingdom of this World.[16]"America, a continent of symbiosis, mutations... mestizaje, engenders the baroque,"[17] made explicit by elaborate Aztec temples and associative Nahuatl poetry. These mixing ethnicities grow together with the American baroque; the space in between is where the "marvelous real" is seen. Marvelous: not meaning beautiful and pleasant, but extraordinary, strange, and excellent. Such a complex system of layering—encompassed in the Latin American "boom" novel, such as One Hundred Years of Solitude—aims towards "translating the scope of America".[18]
Magical realism plot lines characteristically employ hybrid multiple planes of reality that take place in "inharmonious arenas of such opposites as urban and rural, and Western and indigenous".[19][20] For example, as seen in Julio Cortázar's "La noche boca arriba", an individual experiences two realistic situations simultaneously in the same place but during two different time periods, centuries apart.[21] His dreamlike state connects these two realities; this small bit of magic makes these multiple planes of reality possible.[22] Overall, they establish "a more deep and true reality than conventional realist techniques would illustrate".[19][23]
This trait centers on the reader's role in literature. With its multiple realities and specific reference to the reader’s world, it explores the impact fiction has on reality, reality on fiction and the reader’s role in between; as such, it is well suited for drawing attention to social or political criticism. Furthermore, it is the tool paramount in the execution of a related and major magic realist phenomenon: textualization. This term defines two conditions—first, where a fictitious reader enters the story within a story while reading it, making us self-conscious of our status as readers—and secondly, where the textual world enters into the reader's (our) world. Good sense would negate this process but ‘magic’ is the flexible convention that allows it.[24]
Something that most critics agree on is this major theme. Magic realist literature tends to read at an intensified level. Taking One Hundred Years of Solitude, the reader must let go of preexisting ties to conventional exposition, plot advancement, linear time structure, scientific reason, etc., to strive for a state of heightened awareness of life's connectedness or hidden meanings. Luis Leal articulates this feeling as "to seize the mystery that breathes behind things",[25] and supports the claim by saying a writer must heighten his senses to the point of "estado limite" (translated as "limit state" or "extreme") in order to realize all levels of reality, most importantly that of mystery.[26]
Magic realism contains an "implicit criticism of society, particularly the elite".[27] Especially with regard to Latin America, the style breaks from the inarguable discourse of "privileged centers of literature".[28] This is a mode primarily about and for "ex-centrics": the geographically, socially and economically marginalized. Therefore, magic realism's ‘alternative world’ works to correct the reality of established viewpoints (like realism, naturalism, modernism). Magic realist texts, under this logic, are subversive texts, revolutionary against socially dominant forces. Alternatively, the socially dominant may implement magical realism to disassociate themselves from their "power discourse".[29] Theo D’haen calls this change in perspective "decentering."
Literary magic realism originated in Latin America. Writers often traveled between their home country and European cultural hubs, such as Paris or Berlin, and were influenced by the art movement of the time.[30][31] Cuban writer Alejo Carpentier and Venezuelan Arturo Uslar-Pietri, for example, were strongly influenced by European artistic movements, such as Surrealism, during their stays in Paris in the 1920s and 1930s.[1] One major event that linked painterly and literary magic realisms was the translation and publication of Franz Roh's book into Spanish by Spain's Revista de Occidente in 1927, headed by major literary figure José Ortega y Gasset. "Within a year, Magic Realism was being applied to the prose of European authors in the literary circles of Buenos Aires."[32]Jorge Luis Borges inspired and encouraged other Latin American writers in the development of magical realism - particularly with his first magical realist publication, Historia universal de la infamia in 1935.[33] Between 1940 and 1950, magical realism in Latin America reached its peak, with prominent writers appearing mainly in Argentina.[34] The theoretical implications of visual art's magic realism greatly influenced European and Latin American literature. Italian Massimo Bontempelli, for instance, claimed that literature could be a means to create a collective consciousness by "opening new mythical and magical perspectives on reality", and used his writings to inspire an Italian nation governed by Fascism.[1] Pietri was closely associated with Roh's form of magic realism and knew Bontempelli in Paris. Rather than follow Carpentier's developing versions of "the (Latin) American marvelous real," Uslar-Pietri's writings emphasize "the mystery of human living amongst the reality of life". He believed magic realism was "a continuation of the vanguardia [or Avant-garde] modernist experimental writings of Latin America".[1]
The Mexican critic Luis Leal summed up the difficulty of defining magical realism by writing, "If you can explain it, then it's not magical realism."[35] He offers his own definition by writing, "Without thinking of the concept of magical realism, each writer gives expression to a reality he observes in the people. To me, magical realism is an attitude on the part of the characters in the novel toward the world," or toward nature. Leal and Irene Guenther both quote Arturo Uslar-Pietri, who described "man as a mystery surrounded by realistic facts. A poetic prediction or a poetic denial of reality. What for lack of another name could be called a magical realism."[36] It is worth noting that Pietri, in presenting his term for this literary tendency, always kept its definition open by means of a language more lyrical and evocative than strictly critical, as in this 1948 statement. When academic critics attempted to define magical realism with scholarly exactitude, they discovered that it was more powerful than precise. Critics, frustrated by their inability to pin down the term's meaning, have urged its complete abandonment. Yet in Pietri's vague, ample usage, magical realism was wildly successful in summarizing for many readers their perception of much Latin American fiction; this fact suggests that the term has its uses, so long as it is not expected to function with the precision expected of technical, scholarly terminology."
The critical perspective towards magical realism as a conflict between reality and abnormality stems from the Western reader's disassociation with mythology, a root of magical realism more easily understood by non-Western cultures.[30] Western confusion regarding magical realism is due to the "conception of the real" created in a magical realist text: rather than explain reality using natural or physical laws, as in typical Western texts, magical realist texts create a reality "in which the relation between incidents, characters, and setting could not be based upon or justified by their status within the physical world or their normal acceptance by bourgeois mentality".[37] Guatemalan author William Spindler's article, “Magic realism: a typology”,[38] suggests that there are three kinds of magic realism, which however are by no means incompatible: European ‘metaphysical’ magic realism, with its sense of estrangement and the uncanny, exemplified by Kafka’s fiction; ‘ontological’ magical realism, characterized by ‘matter-of-factness’ in relating ‘inexplicable’ events; and ‘anthropological’ magical realism, where a Native worldview is set side by side with the Western rational worldview.[39] Spindler’s typology of magic realism has been criticized as “an act of categorization which seeks to define Magic Realism as a culturally specific project, by identifying for his readers those (non-modern) societies where myth and magic persist and where Magic Realism might be expected to occur. There are objections to this analysis. Western rationalism models may not actually describe Western modes of thinking and it is possible to conceive of instances where both orders of knowledge are simultaneously possible.”[40]
Alejo Carpentier originated the term lo real maravilloso (roughly the "marvelous real") in the prologue to his novel The Kingdom of this World (1949); however, some debate whether he is truly a magical realist writer, or simply a precursor and source of inspiration. Maggie Bowers claims he is widely acknowledged as the originator of Latin American magical realism (as both a novelist and critic);[1] she describes Carpentier's conception as a kind of heightened reality where elements of the miraculous can appear while seeming natural and unforced. She suggests that by disassociating himself and his writings from Roh's painterly magic realism, Carpentier aimed to show how—by virtue of Latin America's varied history, geography, demography, politics, myths, and beliefs—improbable and marvelous things are made possible.[1] Furthermore, Carpentier's meaning is that Latin America is a land filled with marvels, and that "writing about this land automatically produces a literature of marvelous reality".[41]
Alejo Carpentier
"The marvelous" may be easily confused with magical realism, as both modes introduce supernatural events without surprising the implied author. In both, these magical events are expected and accepted as everyday occurrences. However, the marvelous world is a unidimensional world. The implied author believes that anything can happen here, as the entire world is filled with supernatural beings and situations to begin with. Fairy tales are a good example of marvelous literature. The important idea in defining the marvelous is that readers understand that this fictional world is different from the world where they live. The "marvelous" one-dimensional world differs from the bidimensional world of magical realism, as in the latter, the supernatural realm blends with the natural, familiar world (arriving at the combination of two layers of reality: bidimensional).[11] While some use the terms magical realism and lo real maravilloso interchangeably, the key difference lies in the focus.[42] Critic Luis Leal attests that Carpentier was an originating pillar of the magical realist style by implicitly referring to the latter's critical works, writing that "The existence of the marvelous real is what started magical realist literature, which some critics claim is the truly American literature."[43] It can consequently be drawn that Carpentier's "lo real maravilloso" is especially distinct from magical realism by the fact that the former applies specifically to America.[44] On that note, Lee A. Daniel categorizes critics of Carpentier into three groups: those that don't consider him a magical realist whatsoever (Ángel Flores), those that call him "a mágicorealista writer with no mention of his "lo real maravilloso" (Gómez Gil, Jean Franco, Carlos Fuentes)," and those that use the two terms interchangeably (Fernando Alegria, Luis Leal, Emir Rodriguez Monegal).[45]
Criticism that Latin America is the birthplace and cornerstone of all things magic realist is quite common. Ángel Flores does not deny that magical realism is an international commodity but articulates that it has a Hispanic birthplace, writing that, "Magical realism is a continuation of the romantic realist tradition of Spanish language literature and its European counterparts."[46] Flores is not alone on this front; there is argument between those who see magical realism as a Latin American invention and those who see it as the global product of a postmodern world.[47] Irene Guenther concludes, "Conjecture aside, it is in Latin America that [magic realism] was primarily seized by literary criticism and was, through translation and literary appropriation, transformed."[48] Magic realism has taken on an internationalization: dozens of non-Hispanic writers are categorized as such, and many believe that it truly is an international commodity.[49]
Taking into account that, theoretically, magical realism was born in the 20th century, some have argued that connecting it to postmodernism is a logical next step. To further connect the two concepts, there are descriptive commonalities between the two that Belgian critic Theo D'haen addresses in his essay, "Magical Realism and Postmodernism". While authors such as Günter Grass, Thomas Bernhard, Peter Handke, Italo Calvino, John Fowles, Angela Carter, John Banville, Michel Tournier, Giannina Braschi, Willem Brakman and Louis Ferron might be widely considered postmodernist, they can "just as easily be categorized...magic realist".[50] A list has been compiled of characteristics one might typically attribute to postmodernism, but which also could describe literary magic realism: "self-reflexiveness, metafiction, eclecticism, redundancy, multiplicity, discontinuity, intertextuality, parody, the dissolution of character and narrative instance, the erasure of boundaries, and the destabilization of the reader."[51] To further connect the two, magical realism and postmodernism share the themes of post-colonial discourse, in which jumps in time and focus cannot really be explained with scientific but rather with magical reasoning; textualization (of the reader); and metafiction [more detail: under Themes and Qualities]. Concerning attitude toward audience, the two have, some argue, a lot in common. Magical realist works do not seek to primarily satisfy a popular audience, but instead, a sophisticated audience that must be attuned to noticing textual "subtleties".[52] While the postmodern writer condemns escapist literature (like fantasy, crime, ghost fiction), he/she is inextricably related to it concerning readership. There are two modes in postmodern literature: one, commercially successful pop fiction, and the other, philosophy, better suited to intellectuals. A singular reading of the first mode will render a distorted or reductive understanding of the text. The fictitious reader—such as Aureliano from 100 Years of Solitude—is the hostage used to express the writer’s anxiety on this issue of who is reading the work and to what ends, and of how the writer is forever reliant upon the needs and desires of readers (the market).[53] The magic realist writer with difficulty must reach a balance between saleability and intellectual integrity. Wendy Faris, talking about magic realism as a contemporary phenomenon that leaves modernism for postmodernism, says, "Magic realist fictions do seem more youthful and popular than their modernist predecessors, in that they often (though not always) cater with unidirectional story lines to our basic desire to hear what happens next. Thus they may be more clearly designed for the entertainment of readers."[54]
When attempting to define what something is, it is often helpful to define what something is not. It is also important to note that many literary critics attempt to classify novels and literary works in only one genre, such as "romantic" or "naturalist", not always taking into account that many works fall into multiple categories.[55] Much discussion is cited from Maggie Ann Bowers' book Magic(al) Realism, wherein she attempts to delimit the terms magic and magical realism by examining the relationships with other genres such as realism, surrealism, fantastic literature, science fiction and its African version, the Animist Realism.
Realism is an attempt to create a depiction of actual life; a novel does not simply rely on what it presents but how it presents it. In this way, a realist narrative acts as framework by which the reader constructs a world using the raw materials of life. Understanding both realism and magical realism within the realm of a narrative mode is key to understanding both terms. Magical realism "relies upon the presentation of real, imagined or magical elements as if they were real. It relies upon realism, but only so that it can stretch what is acceptable as real to its limits".[56] As a simple point of comparison, Roh's differentiation between expressionism and post-expressionism as described in German Art in the 20th Century, may be applied to magic realism and realism. Realism pertains to the terms "history", "mimetic", "familiarization", "empiricism/logic", "narration", "closure-ridden/reductive naturalism", and "rationalization/cause and effect".[57] On the other hand, magic realism encompasses the terms "myth/legend,""fantastic/supplementation,""defamiliarization,""mysticism/magic,""meta-narration,""open-ended/expansive romanticism," and "imagination/negative capability."[58]
Surrealism is often confused with magical realism as they both explore illogical or non-realist aspects of humanity and existence. There is a strong historical connection between Franz Roh's concept of magic realism and surrealism, as well as the resulting influence on Carpentier's marvelous reality; however, important differences remain. Surrealism "is most distanced from magical realism [in that] the aspects that it explores are associated not with material reality but with the imagination and the mind, and in particular it attempts to express the 'inner life' and psychology of humans through art." It seeks to express the sub-conscious, unconscious, the repressed and inexpressible. Magical realism, on the other hand, rarely presents the extraordinary in the form of a dream or a psychological experience. "To do so," Bowers writes, "takes the magic of recognizable material reality and places it into the little understood world of the imagination. The ordinariness of magical realism's magic relies on its accepted and unquestioned position in tangible and material reality."[59]
Imaginary Realism is a term first coined by Dutch painter Carel Willink as a pendant of magic realism. Where magic realism uses fantastical and unreal elements, imaginary realism strictly uses realistic elements in an imagined scene. As such, the classic painters with their biblical and mythological scenes, can be qualified as 'imaginary realists'. With the increasing availability of photo editing software, also art photographers like Karl Hammer and others create artistic works in this genre.
Fabulism traditionally refers to fables, parables, and myths, and is sometimes used in contemporary contexts for authors whose work falls within or relates to Magical Realism. Italo Calvino is an example of a writer in the genre who uses the term fabulist.
Prominent English-language fantasy writers have said that "magic realism" is only another name for fantasy fiction. Gene Wolfe said, "magic realism is fantasy written by people who speak Spanish",[60] and Terry Pratchett said magic realism "is like a polite way of saying you write fantasy".[61] However, Amaryll Beatrice Chanady distinguishes magical realist literature from fantasy literature ("the fantastic") based on differences between three shared dimensions: the use of antinomy (the simultaneous presence of two conflicting codes), the inclusion of events that cannot be integrated into a logical framework, and the use of authorial reticence. In fantasy, the presence of the supernatural code is perceived as problematic, something that draws special attention—where in magical realism, the presence of the supernatural is accepted. In fantasy, while authorial reticence creates a disturbing effect on the reader, it works to integrate the supernatural into the natural framework in magical realism. This integration is made possible in magical realism as the author presents the supernatural as being equally valid to the natural. There is no hierarchy between the two codes.[62] The ghost of Melquíades in Márquez's One Hundred Years of Solitude or the baby ghost in Toni Morrison's Beloved who visit or haunt the inhabitants of their previous residence are both presented by the narrator as ordinary occurrences; the reader, therefore, accepts the marvelous as normal and common.[15] To Dr. Clark Zlotchew, the differentiating factor between the fantastic and magical realism is that in fantastic literature, such as Kafka's story "The Metamorphosis", there is a hesitation experienced by the protagonist, implied author or reader in deciding whether to attribute natural or supernatural causes to an unsettling event, or between rational or irrational explanations.[63] Fantastic literature has also been defined as a piece of narrative in which there is a constant faltering between belief and non-belief in the supernatural or extraordinary event. In Leal's view, writers of fantasy literature, such as Borges, can create "new worlds, perhaps new planets. By contrast, writers like García Márquez, who use magical realism, don't create new worlds, but suggest the magical in our world."[10] In magical realism, the supernatural realm blends with the natural, familiar world. This twofold world of magical realism differs from the onefold world that can be found in fairy-tale and fantasy literature.[11]
The Animist realism is a new term for conceptualize the African literature that has been written based on the strong presence of the imaginary ancestor, the traditional religion and especially the animism of African cultures. The term was used by Pepetela (1989)[64] and Henry Garuba (2003)[65] to be a new conception of magic realism in African literature.
While science fiction and magical realism both bend the notion of what is real, toy with human imagination, and are forms of (often fantastical) fiction, they differ greatly. Bower's cites Aldous Huxley's Brave New World as a novel that exemplifies the science fiction novel's requirement of a "rational, physical explanation for any unusual occurrences". Huxley portrays a world where the population is highly controlled with mood enhancing drugs, which are controlled by the government. In this world, there is no link between copulation and reproduction. Humans are produced in giant test tubes, where chemical alterations during gestation determine their fates. Bowers argues that, "The science fiction narrative's distinct difference from magical realism is that it is set in a world different from any known reality and its realism resides in the fact that we can recognize it as a possibility for our future. Unlike magical realism, it does not have a realistic setting that is recognizable in relation to any past or present reality."[66]
Although critics and writers debate which authors or works fall within the magical realism genre, the following authors represent the narrative mode. Within the Latin American world, the most iconic of magical realist writers are Jorge Luis Borges[citation needed] and Nobel Laureate Gabriel García Márquez, whose novel One Hundred Years of Solitude was an instant worldwide success.
Plaque of Gabriel García Márquez, Paris
García Márquez confessed: "My most important problem was destroying the line of demarcation that separates what seems real from what seems fantastic."[67]Isabel Allende was the first Latin American woman writer recognized outside the continent. Her most well-known novel, The House of the Spirits, is arguably similar to García Márquez's style of magical realist writing.[1]:43 Another notable novelist is Laura Esquivel, whose Like Water for Chocolate tells the story of the domestic life of women living on the margins of their families and society. The novel's protagonist, Tita, is kept from happiness and marriage by her mother. "Her unrequited love and ostracism from the family lead her to harness her extraordinary powers of imbuing her emotions to the food she makes. In turn, people who eat her food enact her emotions for her. For example, after eating a wedding cake Tita made while suffering from a forbidden love, the guests all suffer from a wave of longing. The Mexican Juan Rulfo pioneered the exposition through a non-linear structure with his short novel Pedro Páramo that tells the story of Comala both as a lively town in times of the eponymous Pedro Páramo and as a ghost town through the eyes of his son Juan Preciado who returns to Comala to fulfil a promise to her dead mother. In the English-speaking world, major authors include British Indian writer Salman Rushdie, African American novelists Toni Morrison and Gloria Naylor, Latinos, as Ana Castillo, Rudolfo Anaya, Daniel Olivas, and Helena Maria Viramontes, Native American authors Louise Erdrich and Sherman Alexie; English author Louis de Bernières and English feminist writer Angela Carter. Perhaps the best known is Rushdie, whose "language form of magical realism straddles both the surrealist tradition of magic realism as it developed in Europe and the mythic tradition of magical realism as it developed in Latin America".[1] Morrison's most notable work, Beloved, tells the story of a mother who, haunted by the ghost of her child, learns to cope with memories of her traumatic childhood as an abused slave and the burden of nurturing children into a harsh and brutal society.[1] In Norway, the writers Erik Fosnes Hansen, Jan Kjærstad as well as the young novelist, Rune Salvesen, have marked themselves as premier writers of magical realism, something which has been seen as very un-Norwegian. For a detailed list of authors and works considered magical realist please see Magic realism novels.
The painterly style began evolving as early as the first decade of the 20th century,[68] but 1925 was when magischer realismus and neue sachlichkeit were officially recognized as major trends. This was the year that Franz Roh published his book on the subject, Nach Expressionismus: Magischer Realismus: Probleme der neuesten europäischen Malerei (translated as After Expressionism: Magical Realism: Problems of the Newest European Painting) and Gustav Hartlaub curated the seminal exhibition on the theme, entitled simply Neue Sachlichkeit (translated as New Objectivity), at the Kunsthalle Mannheim in Mannheim, Germany.[69] Irene Guenthe refers most frequently to the New Objectivity, rather than magical realism; which is attributed to that New objectivity is practical based, referential (to real practicing artists), while the magical realism is theoretical or critic's rhetoric. Eventually under Massimo Bontempelli guidance, the term magic realism was fully embraced by the German as well as in Italian practicing communities.[70] New Objectivity saw an utter rejection of the preceding impressionist and expressionist movements, and Hartlaub curated his exhibition under the guideline: only those, "who have remained true or have returned to a positive, palpable reality,"[71] in order to reveal the truth of the times,"[72] would be included. The style was roughly divided into two subcategories: conservative, (neo-) classicist painting, and generally left-wing, politically motivated Verists.[72] The following quote by Hartlaub distinguishes the two, though mostly with reference to Germany; however, one might apply the logic to all relevant European countries. "In the new art, he saw"[72]
a right, a left wing. One, conservative towards Classicism, taking roots in timelessness, wanting to sanctify again the healthy, physically plastic in pure drawing after nature...after so much eccentricity and chaos [a reference to the repercussions of World War I]... The other, the left, glaringly contemporary, far less artistically faithful, rather born of the negation of art, seeking to expose the chaos, the true face of our time, with an addiction to primitive fact-finding and nervous baring of the self... There is nothing left but to affirm it [the new art], especially since it seems strong enough to raise new artistic willpower.[73]
Both sides were seen all over Europe during the 1920s and 1930s, ranging from the Netherlands to Austria, France to Russia, with Germany and Italy as centers of growth.[74] Indeed, ItalianGiorgio de Chirico, producing works in the late 1910s under the style arte metafisica (translated as Metaphysical art), is seen as a precursor and as having an "influence...greater than any other painter on the artists of New Objectivity".[75][76] Further afield, American painters were later (in the 1940s and 1950s, mostly) coined magical realists; a link between these artists and the Neue Sachlichkeit of the 1920s was explicitly made in the New York Museum of Modern Art exhibition, tellingly titled "American Realists and Magic Realists."[77] French magical realist Pierre Roy, who worked and showed successfully in the US, is cited as having "helped spread Franz Roh's formulations" to the United States.[78]
Magic realism that excludes the overtly fantastic[edit]
When art critic Franz Roh applied the term magic realism to visual art in 1925, he was designating a style of visual art that brings extreme realism to the depiction of mundane subject matter, revealing an "interior" mystery, rather than imposing external, overtly magical features onto this everyday reality. Roh explains,
We are offered a new style that is thoroughly of this world that celebrates the mundane. This new world of objects is still alien to the current idea of Realism. It employs various techniques that endow all things with a deeper meaning and reveal mysteries that always threaten the secure tranquility of simple and ingenuous things.... it is a question of representing before our eyes, in an intuitive way, the fact, the interior figure, of the exterior world.[79]
In painting, magical realism is a term often interchanged with post-expressionism, as Ríos also shows, for the very title of Roh's 1925 essay was "Magical Realism:Post-Expressionism".[79] Indeed, as Dr. Lois Parkinson Zamora of the University of Houston writes, "Roh, in his 1925 essay, described a group of painters whom we now categorize generally as Post-Expressionists."[11]
Roh used this term to describe painting that signaled a return to realism after expressionism's extravagances, which sought to redesign objects to reveal the spirits of those objects. Magical realism, according to Roh, instead faithfully portrays the exterior of an object, and in doing so the spirit, or magic, of the object reveals itself. One could relate this exterior magic all the way back to the 15th century. Flemish painter Van Eyck (1395–1441) highlights the complexity of a natural landscape by creating illusions of continuous and unseen areas that recede into the background, leaving it to the viewer's imagination to fill in those gaps in the image: for instance, in a rolling landscape with river and hills. The magic is contained in the viewer's interpretation of those mysterious unseen or hidden parts of the image.[80] Other important aspects of magical realist painting, according to Roh, include:
A return to ordinary subjects as opposed to fantastical ones.
A juxtaposition of forward movement with a sense of distance, as opposed to Expressionism's tendency to foreshorten the subject.
A use of miniature details even in expansive paintings, such as large landscapes.
The pictorial ideals of Roh's original magic realism attracted new generations of artists through the latter years of the 20th century and beyond. In a 1991 New York Times review, critic Vivien Raynor remarked that "John Stuart Ingle proves that Magic Realism lives" in his "virtuoso"still life watercolors.[81] Ingle's approach, as described in his own words, reflects the early inspiration of the magic realism movement as described by Roh; that is, the aim is not to add magical elements to a realistic painting, but to pursue a radically faithful rendering of reality; the "magic" effect on the viewer comes from the intensity of that effort: "I don't want to make arbitrary changes in what I see to paint the picture, I want to paint what is given. The whole idea is to take something that's given and explore that reality as intensely as I can."[82][83]
Later development: magic realism that incorporates the fantastic[edit]
While Ingle represents a "magic realism" that harks back to Roh's ideas, the term "magic realism" in mid-20th century visual art tends to refer to work that incorporates overtly fantastic elements, somewhat in the manner of its literary counterpart. Occupying an intermediate place in this line of development, the work of several European and American painters whose most important work dates from the 1930s through to the 1950s, including Bettina Shaw-Lawrence, Paul Cadmus, Ivan Albright, Philip Evergood, George Tooker, Ricco, even Andrew Wyeth, is designated as "magic realist". This work departs sharply from Roh's definition, in that it (according to artcyclopedia.com) "is anchored in everyday reality, but has overtones of fantasy or wonder".[84] In the work of Cadmus, for example, the surreal atmosphere is sometimes achieved via stylized distortions or exaggerations that are not realistic. Recent "magic realism" has gone beyond mere "overtones" of the fantastic or surreal to depict a frankly magical reality, with an increasingly tenuous anchoring in "everyday reality". Artists associated with this kind of magic realism include Marcela Donoso[85][86][verification needed][87][88][89] and Gregory Gillespie.[90][91][92] Artists such as Peter Doig, Richard T. Scott and Will Teather have become associated with the term in the early 21st century.
Magical realism is not an officially recognized film genre, but characteristics of magic realism present in literature can also be found in many films with fantasy elements. These characteristics may be presented matter-of-factly and occur without explanation.[93] Many films have magical realist narrative and events that contrast between real and magical elements, or different modes of production. This device explores the reality of what exists.[1]:109–11 Fredrick Jameson, "On Magic Realism in Film" advances a hypothesis that magical realism in film is a formal mode that is constitutionally depended on a type of historical raw material in which disjunction is structurally present.[94]Like Water for Chocolate begins and ends with the first person narrative to establishing the magical realism storytelling frame. Telling a story from a child point of view, the historical gaps and holes perspective, and with cinematic color heightening the presence, are magical realist tools in films.[95] Other films that convey elements of magic realism are Amélie,The Green Mile,Beasts of the Southern Wild,Undertow,Birdman,The Mistress of Spices, and a number of films by Woody Allen, including Alice,The Purple Rose of Cairo,Midnight in Paris and To Rome With Love. The animated films of Hayao Miyazaki often utilize magic realism. Some of the films of Emir Kusturica also contain elements of magical realism, the most famous of which is Time of the Gypsies.
In electronic literature, early author Michael Joyce's Afternoon, a story deploys the ambiguity and dubious narrator characteristic of high modernism, along with some suspense and romance elements, in a story whose meaning could change dramatically depending on the path taken through its lexias on each reading. More recently, Pamela Sacred perpetuated the genre through La Voie de l'ange, a continuation of The Diary of Anne Frank written in French by a fictional character from her Venetian Cell hypertext saga.
Jump up ^Matthew C. Strecher, Magical Realism and the Search for Identity in the Fiction of Murakami Haruki, Journal of Japanese Studies, Volume 25, Number 2 (Summer 1999), pp. 263-298, at 267.
Jump up ^Guenther, Irene, "Magic Realism in the Weimar Republic" tackles German roots of the term, and how art is related to literature
^ Jump up to: abcZlotchew, Dr. Clark. Varieties of Magical Realism. New Jersey: Academic Press ENE, 2007. p. 15
Jump up ^Chanady, Amaryll Beatrice. Magical Realism and the Fantastic: Resolved versus Unresolved Antinomy. New York: Garland Publishing Inc., 1985. pg. 16
Jump up ^Chanady, Amaryll Beatrice. Magical Realism and the Fantastic: Resolved versus Unresolved Antinomy. New York: Garland Publishing Inc., 1995. pg. 30
^ Jump up to: abBowers, Maggie A. Magic(al) Realism, pp. 25-27. New York: Routledge, 2004. Print.
Jump up ^Carpentier, Alejo, El Reino de este Mundo
Jump up ^Carpentier, Alejo, "The baroque and the marvelous real" from MR: Theory History, Community
Jump up ^Carpentier, Alejo, "The baroque and the marvelous real" from Magical Realism: Theory, History, Community, pp.107
Jump up ^D'haen, Theo, "Magical realism and postmodernism: decentering privileged centers" from MR: Theory, History, Community
Jump up ^D'haen, Theo, "Magical realism and postmodernism: decentering privileged centers" from MR: Theory, History, Community, pp. 195
^ Jump up to: abFaris, Wendy B. and Lois Parkinson Zamora, Introduction to Magical Realism: Theory, History, Community, pp. 3-4
Jump up ^Carpentier, Alejo: "The Baroque and the Marvelous Real (1975)" from MR: Theory, History, Community
Jump up ^Guenther, Irene, "Magic realism in the Weimar Republic" from MR: Theory, History, Community, pp. 61, wherein Guenther further backs up this statement
Jump up ^Liam Connell , “Discarding Magic Realism: Modernism, Anthropology, and Critical Practice,” in ARIEL, Vol. 29, No. 2, April, 1998, pp. 95-110.
Jump up ^Zlotchew, Dr. Clark. Varieties of Magical Realism. New Jersey: Academic Press ENE, 2007.
Jump up ^Zlotchew, Dr. Clark. Varieties of Magical Realism. New Jersey: Academic Press ENE, 2007. p. 11
Jump up ^Leal, Luis, "Magical Realism in Spanish America" from MR: Theory, History, Community, pp. 122
Jump up ^Juan Barroso VIII, Daniel, Lee A. "Realismo Magico: True Realism with a Pinch of Magic." The South Central Bulletin. 42.4 (1982): 129-130. Web. <http://www.jstor.org/stable/3188273>.
Jump up ^Flores, Angel, "Magical Realism in Spanish America" from MR: Theory, History, Community
Jump up ^Faris, Wendy B. and Lois Parkinson Zamora, Introduction to MR: Theory, History, Community
Jump up ^Guenther, Irene, "Magic Realism in the Weimar Republic" from MR: Theory, History, Community, pp. 61
Jump up ^Faris, Wendy B. and Lois Parkinson Zamora, Introduction to MR: Theory, History, Community, pp. 4 and 8
Jump up ^D'haen, Theo L., "Magical realism and postmodernism" from MR: Theory, History, Community, pp. 193
Jump up ^D'haen, Theo L., "Magical realism and postmodernism" from MR: Theory, History, Community, pp. 192-3 [D'haen references many texts that attest to these qualities]
Jump up ^Chanady, Amaryll Beatrice, Magical realism and the fantastic: Resolved versus unresolved antinomy. New York: Garland Publishing Inc., 1985. pp. 30-31
Jump up ^Zlotchew, Dr. Clark. Varieties of Magical Realism. New Jersey: Academic Press ENE, 2007. p. 14
Jump up ^PEPETELA (1989). Lueji, o nascimento de um império. Porto, Portugal: União dos Escritores Angolanos.
Jump up ^GARUBA, Harry (2003).Explorations in Animist Materialism: Notes on Reading/Writing African Literature, Culture, and Society. Public Culture
Jump up ^Bowers, Maggie A. Magic(al) Realism, pp. 29-30. New York: Routledge, 2004. Print.
Jump up ^Interview in Revista Primera Plana - Año V Buenos Aires, 20–26 June 1967 Nº 234, pages 52-55. I have not been able to get my hands on the original material but it is quoted in [1] as "Mi problema más importante era destruir la línea de demarcación que separa lo que parece real de lo que parece fantástico. Porque en el mundo que trataba de evocar esa barrera no existía. Pero necesitaba un tono convincente, que por su propio prestigio volviera verosímiles las cosas que menos lo parecían, y que lo hicieran sin perturbar la unidad del relato" and this agrees well (minor textual variants) with the other quotations I have found in [2]: "El problema más importante era destruir la línea de demarcación que separa lo que parece real de lo que parece fantástico porque en el mundo que trataba de evocar, esa barrera no existía. Pero necesitaba un tono inocente, que por su prestigio volviera verosímiles las cosas que menos lo parecían, y que lo hiciera sin perturbar la unidad del relato. También el lenguaje era una dificultad de fondo, pues la verdad no parece verdad simplemente porque lo sea, sino por la forma en que se diga." Other quotations on the Internet can be found in [3] and [4]. All of these quotations reinforce the rough English translation of the first sentence given in the main text of this article. For those who wish to seek the original interview, the front cover and table of contents are reproduced at [5]
Jump up ^"Austrian Alfred Kubin spent a lifetime wrestling with the uncanny,...[and] in 1909 [he] published Die andere Seite (The Other Side), a novel illustrated with fifty-two drawings. In it, Kubin set out to explore the 'other side' of the visible world—the corruption, the evil, the rot, as well as the power and mystery. The border between reality and dream remains consistently nebulous... in certain ways an important precursor [to Magic Realism],...[he] exerted significant influence on subsequent German and Austrian literature." Guenther, Irene, "Magic realism in the Weimar Republic" from MR: Theory, History, Community, pp. 57.
Jump up ^Guenther, Irene, "Magic Realism in the Weimar Republic" from MR: Theory, History, Community, pp. 41
Jump up ^Guenther, Irene, "Magic Realism in the Weimar Republic" from MR: Theory, History, Community, pp. 60
Jump up ^Hartlaub, Gustav, "Werbendes Rundschreiben"
^ Jump up to: abcGuenther, Irene, "Magic realism in the Weimar Republic" from MR: Theory, History, Community, pp. 41
Jump up ^Westheim, Paul, "Ein neuer Naturalismus?? Eine Rundfrage des Kunstblatts" in Das Kunstblatt 9 (1922)
Jump up ^Guenther, Irene, "Magic realism in the Weimar Republic" from MR: Theory, History, Community, pp. 41-45
Jump up ^Guenther, Irene, "Magic realism in the Weimar Republic" from MR: Theory, History, Community, pp. 38
Jump up ^Further, see Wieland Schmied, "Neue Sachlichkeit and German Realism of the Twenties" in Louise Lincoln, ed., German Realism of the Twenties: The Artist as Social Critic. Minneapolis: Minneapolis Institute of Arts, 1980, pp.42
Jump up ^Dorothy C. Miller and Alfred Barr, eds., American Realists and Magic Realists. New York: Museum of Modern Art, 1943
Jump up ^Guenther, Irene, "Magic realism in the Weimar Republic" from MR: Theory, History, Community, pp. 45
Jump up ^Crawford, Katherine. "Recognizing Van Eyck: Magical Realism in Landscape Painting." Philadelphia Museum of Art Bulletin. 91. 386/387 (1998): 7-23. Web. http://www.jstor.org/stable/3795460
Jump up ^"with an impressive chromatic delivery, images come immersed in such a magic realism full of symbols,"El Mercurio - Chile, 06/22/1998
Jump up ^Dr. Antonio Fernandez, Director of the Art Museum of Universidad de Concepción:"I was impressed by her original iconographic creativity, that in a way very close to magic realism, achieves to emphasize with precision the subjects specific to each folkloric tradition, local or regional," Chile, 29/12/1997
Jump up ^Zamora, Lois Parkinson; Faris, Wendy B (November 30, 1995). Magical Realism: Theory, History, Community. Duke University Press Books. p. 426. ISBN978-0-8223-1640-4.
Jump up ^Hegerfeld, Anne (January 13, 2005). Lies that Tell the Truth: Magic Realism Seen through Contemporary Fiction from Britain (Costerus NS 155). Rodopi. p. 147. ISBN978-90-420-1974-4.
Finnegans Wake is a novel by Irish writerJames Joyce. It is significant for its experimental style and reputation as one of the most difficult works of fiction in the English language.[1][2] Written in Paris over a period of seventeen years, and published in 1939, two years before the author's death, Finnegans Wake was Joyce's final work. The entire book is written in a largely idiosyncratic language, consisting of a mixture of standard English lexical items and neologisticmultilingualpuns and portmanteau words, which many critics believe were attempts to recreate the experience of sleep and dreams.[3] Owing to the work's expansive linguistic experiments, stream of consciousness writing style, literary allusions, free dream associations, and abandonment of narrative conventions, Finnegans Wake remains largely unread by the general public.[4][5] Despite the obstacles, readers and commentators have reached a broad consensus about the book's central cast of characters and, to a lesser degree, its plot. However, a number of key details remain elusive.[6][7] The book discusses, in an unorthodox fashion, the Earwicker family, comprising the father HCE, the mother ALP, and their three children Shem the Penman, Shaun the Postman, and Issy. Following an unspecified rumour about HCE, the book, in a nonlinear dream narrative,[8] follows his wife's attempts to exonerate him with a letter, his sons' struggle to replace him, Shaun's rise to prominence, and a final monologue by ALP at the break of dawn. The opening line of the book is a sentence fragment which continues from the book's unfinished closing line, making the work a never-ending cycle.[9] Many noted Joycean scholars such as Samuel Beckett[10] and Donald Phillip Verene[11] link this cyclical structure to Giambattista Vico's seminal text La Scienza Nuova ("The New Science"), upon which they argue Finnegans Wake is structured. Joyce began working on Finnegans Wake shortly after the 1922 publication of Ulysses. By 1924 installments of Joyce's new avant-garde work began to appear, in serialized form, in Parisian literary journals transatlantic review and transition, under the title "fragments from Work in Progress". The actual title of the work remained a secret until the book was published in its entirety, on 4 May 1939.[12] Initial reaction to Finnegans Wake, both in its serialized and final published form, was largely negative, ranging from bafflement at its radical reworking of the English language to open hostility towards its lack of respect for the conventions of the novel.[13] The work has since come to assume a preeminent place in English literature, despite its numerous detractors. Anthony Burgess has praised the book as "a great comic vision, one of the few books of the world that can make us laugh aloud on nearly every page."[14]Harold Bloom called the book "Joyce's masterpiece", and wrote that "[if] aesthetic merit were ever again to center the canon [Finnegans Wake] would be as close as our chaos could come to the heights of Shakespeare and Dante."[14] In 1998, the Modern Library ranked Finnegans Wake 77th on its list of the 100 best English-language novels of the 20th century.[15]
A drawing of Joyce (with eyepatch) by Djuna Barnes from 1922, the year in which Joyce began the 17-year task of writing Finnegans Wake
Having completed work on Ulysses, Joyce was so exhausted that he did not write a line of prose for a year.[16] On 10 March 1923 he wrote a letter to his patron, Harriet Weaver: "Yesterday I wrote two pages—the first I have since the final Yes of Ulysses. Having found a pen, with some difficulty I copied them out in a large handwriting on a double sheet of foolscap so that I could read them."[17] This is the earliest reference to what would become Finnegans Wake.[18] The two pages in question consisted of the short sketch "Roderick O'Conor", concerning the historic last king of Ireland cleaning up after guests by drinking the dregs of their dirty glasses.[19] Joyce completed another four short sketches in July and August 1923, while holidaying in Bognor. The sketches, which dealt with different aspects of Irish history, are commonly known as "Tristan and Isolde", "Saint Patrick and the Druid,""Kevin's Orisons" and "Mamalujo".[20] While these sketches would eventually be incorporated into Finnegans Wake in one form or another, they did not contain any of the main characters or plot points which would later come to constitute the backbone of the book. The first signs of what would eventually become Finnegans Wake came in August 1923 when Joyce wrote the sketch "Here Comes Everybody", which dealt for the first time with the book's protagonist HCE.[21] Over the next few years, Joyce's method became one of "increasingly obsessional concern with note-taking, since [he] obviously felt that any word he wrote had first to have been recorded in some notebook."[22] As Joyce continued to incorporate these notes into his work, the text became increasingly dense and obscure. By 1926 Joyce had largely completed both Books I and III. Geert Lernout asserts that Book I had, at this early stage, "a real focus that had developed out of the HCE ["Here Comes Everybody"] sketch: the story of HCE, of his wife and children. There were the adventures of Humphrey Chimpden Earwicker himself and the rumours about them in chapters 2–4, a description of his wife ALP's letter in chapter 5, a denunciation of his son Shem in chapter 7, and a dialogue about ALP in chapter 8. These texts [...] formed a unity."[23] In the same year Joyce met Maria and Eugène Jolas in Paris, just as his new work was generating an increasingly negative reaction from readers and critics, culminating in The Dial's refusal to publish the four chapters of Book III in September 1926.[23] The Jolases gave Joyce valuable encouragement and material support throughout the long process of writing Finnegans Wake,[24] and published sections of the book in serial form in their literary magazine transition, under the title Work In Progress. For the next few years Joyce worked rapidly on the book, adding what would become chapters I.1 and I.6, and revising the already written segments to make them more lexically complex.[25] However, by this time some early supporters of Joyce's work, such as Ezra Pound and the author's brother Stanislaus Joyce, had grown increasingly unsympathetic to his new writing.[26] In order to create a more favourable critical climate, a group of Joyce's supporters (including Samuel Beckett, William Carlos Williams, Rebecca West and others) put together a collection of critical essays on the new work. It was published in 1929 under the title Our Exagmination Round His Factification for Incamination of Work in Progress.[27] In July 1929, increasingly demoralised by the poor reception his new work was receiving, Joyce approached his friend James Stephens about the possibility of his completing the book. Joyce wrote to Weaver in late 1929 that he had "explained to [Stephens] all about the book, at least a great deal, and he promised me that if I found it madness to continue, in my condition, and saw no other way out, that he would devote himself heart and soul to the completion of it, that is the second part and the epilogue or fourth."[28] Apparently Joyce chose Stephens on superstitious grounds, as he had been born in the same hospital as Joyce, exactly one week later, and shared both the first names of Joyce himself and his fictional alter-ego Stephen Dedalus.[29] In the end, Stephens was not asked to finish the book. In the 1930s, as he was writing Books II and IV, Joyce's progress slowed considerably. This was due to a number of factors including the death of his father John Stanislaus Joyce in 1931;[30] concern over the mental health of his daughter Lucia;[31] and his own health problems, chiefly his failing eyesight. Finnegans Wake was published in book form, after seventeen years of composition, on 4 May 1939. Joyce died two years later in Zürich, on 13 January 1941.
Finnegans Wake comprises seventeen chapters, divided into four Books. Book I contains eight chapters, Books II and III each contain four, and Book IV consists of only one short chapter. The chapters appear without titles, and while Joyce never provided possible chapter titles as he had done for Ulysses, he did title various sections published separately (see Publication history below). The standard critical practice, however, is to indicate book number in Roman numerals, and chapter title in Arabic, so that III.2, for example, indicates the second chapter of the third book. Given the book's fluid and changeable approach to plot and characters, a definitive, critically agreed-upon plot synopsis remains elusive (see Critical response and themes: Difficulties of plot summary below). Therefore, the following synopsis attempts to summarise events in the book which find general, although inevitably not universal, consensus among critics.
"In the first chapter of Finnegans Wake Joyce describes the fall of the primordial giant Finnegan and his awakening as the modern family man and pub owner H.C.E."– Donald Phillip Verene's summary and interpretation of the Wake's episodic opening chapter[32]"
The entire work is cyclical in nature: the last sentence—a fragment—recirculates to the beginning sentence: "a way a lone a last a loved a long the / riverrun, past Eve and Adam's, from swerve of shore to bend of bay, brings us by a commodius vicus of recirculation back to Howth Castle and Environs." Joyce himself revealed that the book "ends in the middle of a sentence and begins in the middle of the same sentence."[33] The introductory chapter (I.1) establishes the book's setting as "Howth Castle and Environs", and introduces Dublin hod carrier"Finnegan", who falls to his death from a ladder while constructing a wall.[34][35] Finnegan's wife Annie puts out his corpse as a meal spread for the mourners at his wake, but he vanishes before they can eat him.[35] A series of episodic vignettes follows, loosely related to the dead Finnegan, most commonly referred to as "The Willingdone Museyroom",[36]"Mutt and Jute",[37][38] and "The Prankquean".[39] At the chapter's close a fight breaks out, whiskey splashes on Finnegan's corpse, and “the dead Finnegan rises from his coffin bawling for whiskey and his mourners put him back to rest”,[40] persuading him that he is better off where he is.[41] The chapter ends with the image of the HCE character sailing into Dublin Bay to take a central role in the story.
I.2 opens with an account of "Harold or Humphrey" Chimpden receiving the nickname"Earwicker" from the Sailor King, who encounters him attempting to catch earwigs with an inverted flowerpot on a stick while manning a tollgate through which the King is passing. This name helps Chimpden, now known by his initials HCE, to rise to prominence in Dublin society as "Here Comes Everybody". He is then brought low by a rumour that begins to spread across Dublin, apparently concerning a sexual trespass involving two girls in the Phoenix Park, although details of HCE's transgression change with each retelling of events. Chapters I.2 through I.4 follow the progress of this rumor, starting with HCE's encounter with "a cad with a pipe" in Phoenix Park. The cad greets HCE in Gaelic and asks the time, but HCE misunderstands the question as an accusation, and incriminates himself by denying rumours the cad has not yet heard. These rumours quickly spread across Dublin, gathering momentum until they are turned into a song penned by the character Hosty called "The Ballad of Persse O'Reilly". As a result, HCE goes into hiding, where he is besieged at the closed gate of his pub by a visiting American looking for drink after hours.[42] However HCE remains silent – not responding to the accusations or verbal abuse – dreams, is buried in a coffin at the bottom of Lough Neagh,[43] and is finally brought to trial, under the name Festy King. He is eventually freed, and goes once more into hiding. An important piece of evidence during the trial – a letter about HCE written by his wife ALP – is called for so that it can be examined in closer detail. ALP's Letter becomes the focal point as it is analysed in detail in I.5. This letter was dictated by ALP to her son Shem, a writer, and entrusted to her other son Shaun, a postman, for delivery. The letter never reaches its intended destination, ending up in a midden heap where it is unearthed by a hen named Biddy. Chapter I.6 digresses from the narrative in order to present the main and minor characters in more detail, in the form of twelve riddles and answers. In the final two chapters of Book I we learn more about the letter's writer Shem the Penman (I.7) and its original author, his mother ALP (I.8). The Shem chapter consists of "Shaun's character assassination of his brother Shem", describing the hermetic artist as a forger and a "sham", before "Shem is protected by his mother [ALP], who appears at the end to come and defend her son."[44] The following chapter concerning Shem's mother, known as "Anna Livia Plurabelle", is interwoven with thousands of river names from all over the globe, and is widely considered the book's most celebrated passage.[45] The chapter was described by Joyce in 1924 as "a chattering dialogue across the river by two washerwomen who as night falls become a tree and a stone."[46] These two washerwomen gossip about ALP's response to the allegations laid against her husband HCE, as they wash clothes in the Liffey. ALP is said to have written a letter declaring herself tired of her mate. Their gossip then digresses to her youthful affairs and sexual encounters, before returning to the publication of HCE's guilt in the morning newspaper, and his wife's revenge on his enemies: borrowing a "mailsack" from her son Shaun the Post, she delivers presents to her 111 children. At the chapter's close the washerwomen try to pick up the thread of the story, but their conversation is increasingly difficult as they are on opposite sides of the widening Liffey, and it is getting dark. Finally, as they turn into a tree and a stone, they ask to be told a Tale of Shem or Shaun.[47]
While Book I of Finnegans Wake deals mostly with the parents HCE and ALP, Book II shifts that focus onto their children, Shem, Shaun and Issy. II.1 opens with a pantomime programme, which outlines, in relatively clear language, the identities and attributes of the book's main characters. The chapter then concerns a guessing game among the children, in which Shem is challenged three times to guess by "gazework" the colour which the girls have chosen.[48] Unable to answer due to his poor eyesight, Shem goes into exile in disgrace, and Shaun wins the affection of the girls. Finally HCE emerges from the pub and in a thunder-like voice calls the children inside.[49] Chapter II.2 follows Shem, Shaun and Issy studying upstairs in the pub, after having been called inside in the previous chapter.[50][51] The chapter depicts "[Shem] coaching [Shaun] how to do Euclid Bk I, 1", structured as "a reproduction of a schoolboys' (and schoolgirls') old classbook complete with marginalia by the twins, who change sides at half time, and footnotes by the girl (who doesn't)".[52][53] Once Shem (here called Dolph) has helped Shaun (here called Kev) to draw the Euclid diagram, the latter realises that he has drawn a diagram of ALP's genitalia, and "Kev finally realises the significance of the triangles [..and..] strikes Dolph." After this "Dolph forgives Kev" and the children are given "[e]ssay assignments on 52 famous men."[54] The chapter ends with the children's "nightletter" to HCE and ALP, in which they are "apparently united in a desire to overcome their parents."[55]
"Section 1: a radio broadcast of the tale of Pukklesen (a hunchbacked Norwegian Captain), Kersse (a tailor) and McCann (a ship's husband) in which the story is told inter alia of how HCE met and married ALP. Sections 2–3: an interruption in which Kate (the cleaning woman) tells HCE that he is wanted upstairs, the door is closed and the tale of Buckley is introduced. Sections 4–5: the tale, recounted by Butt and Taff (Shem and Shaun) and beamed over the television, of how Buckley shot the Russian General (HCE) – Danis Rose's overview of the extremely complex chapter 2.3, which he believes takes place in the bar of Earwicker's hotel[56]"
II.3 moves to HCE working in the pub below the studying children. As HCE serves his customers, two narratives are broadcast via the bar's radio and television sets, namely "The Norwegian Captain and the Tailor's Daughter",[57][58] and "How Buckley Shot the Russian General". The first portrays HCE as a Norwegian Captain succumbing to domestication through his marriage to the Tailor's Daughter. The latter, told by Shem and Shaun ciphers Butt and Taff, casts HCE as a Russian General who is shot by the soldier Buckley.[59] Earwicker has been absent throughout the latter tale, having been summoned upstairs by ALP. He returns and is reviled by his customers, who see Buckley's shooting of the General as symbolic of Shem and Shaun's supplanting their father.[60] This condemnation of his character forces HCE to deliver a general confession of his crimes, including an incestuous desire for young girls.[61][62][63][64] Finally a policeman arrives to send the drunken customers home, the pub is closed up,[65] and the customers disappear singing into the night as a drunken HCE, clearing up the bar and swallowing the dregs of the glasses left behind, morphs into ancient Irish high king Rory O'Connor, and passes out.[66][67] II.4, ostensibly portraying the drunken and sleeping Earwicker's dream, chronicles the spying of four old men (Matthew, Mark, Luke and John) on Tristan and Iseult's journey.[68] The short chapter portrays "an old man like King Mark being rejected and abandoned by young lovers who sail off into a future without him",[69] while the four old men observe Tristan and Isolde, and offer four intertwining commentaries on the lovers and themselves which are "always repeating themselves".[70]
Book III concerns itself almost exclusively with Shaun, in his role as postman, having to deliver ALP's letter, which was referred to in Book I, but never seen.[71] III.1 opens with the Four Masters' ass narrating how he thought, as he was "dropping asleep",[72] he had heard and seen an apparition of Shaun the Post.[73] As a result, Shaun re-awakens, and, floating down the Liffey in a barrel, is posed fourteen questions concerning the significance and content of the letter he is carrying. However, Shaun, "apprehensive about being slighted, is on his guard, and the placating narrators never get a straight answer out of him."[74] Shaun's answers focus on his own boastful personality and his admonishment of the letter's author – his artist brother Shem. After the inquisition Shaun loses his balance and the barrel in which he has been floating careens over and he rolls backwards out of the narrator's earshot, before disappearing completely from view.[75] In III.2 Shaun re-appears as "Jaunty Jaun" and delivers a lengthy and sexually suggestive sermon to his sister Issy, and her twenty-eight schoolmates from St. Brigid's School. Throughout this book Shaun is continually regressing, changing from an old man to an overgrown baby lying on his back, and eventually, in III.3, into a vessel through which the voice of HCE speaks again by means of a spiritual medium. This leads to HCE's defence of his life in the passage "Haveth Childers Everywhere". Book III ends in the bedroom of Mr. and Mrs. Porter as they attempt to copulate while their children, Jerry, Kevin and Isobel Porter, are sleeping upstairs and the dawn is rising outside (III.4). Jerry awakes from a nightmare of a scary father figure, and Mrs. Porter interrupts the coitus to go comfort him with the words "You were dreamend, dear. The pawdrag? The fawthrig? Shoe! Hear are no phanthares in the room at all, avikkeen. No bad bold faathern, dear one."[76] She returns to bed, and the rooster crows at the conclusion of their coitus at the Book's culmination.[77]
"1: The waking and resurrection of [HCE]; 2: the sunrise; 3:the conflict of night and day; 4: the attempt to ascertain the correct time; 5: the terminal point of the regressive time and the [Shaun] figure of Book III; 6: the victory of day over night; 7: the letter and monologue of [ALP] – Roland McHugh's summary of the events of Book IV[78]"
Book IV consists of only one chapter, which, like the book's opening chapter, is mostly composed of a series of seemingly unrelated vignettes. After an opening call for dawn to break,[79] the remainder of the chapter consists of the vignettes "Saint Kevin", "Berkely and Patrick" and "The Revered Letter".[80][81] ALP is given the final word, as the book closes on a version of her Letter[82] and her final long monologue, in which she tries to wake her sleeping husband, declaring "Rise up, man of the hooths, you have slept so long!",[83] and remembers a walk they once took, and hopes for its re-occurrence. At the close of her monologue, ALP – as the river Liffey – disappears at dawn into the ocean. The book's last words are a fragment, but they can be turned into a complete sentence by attaching them to the words that start the book:
A way a lone a last a loved a long the / riverrun, past Eve and Adam's, from swerve of shore to bend of bay, brings us by a commodius vicus of recirculation back to Howth Castle and Environs.
Thus the unfacts, did we possess them, are too imprecisely few to warrant our certitude...[84]
”
Commentators who have summarised the plot of Finnegans Wake include Joseph Campbell, John Gordon, Anthony Burgess, William York Tindall, and Philip Kitcher. While no two summaries interpret the plot in the same way, there are a number of central "plot points" upon which they find general agreement. However, a number of Joyce scholars question the legitimacy of searching for a linear storyline within the complex text. As Bernard Benstock highlights, "in a work where every sentence opens a variety of possible interpretations, any synopsis of a chapter is bound to be incomplete."[85] David Hayman has suggested that "For all the efforts made by critics to establish a plot for the Wake, it makes little sense to force this prose into a narrative mold."[86] The book's challenges have led some commentators into generalised statements about its content and themes, prompting critic Bernard Benstock to warn against the danger of "boiling down"Finnegans Wake into "insipid pap, and leaving the lazy reader with a predigested mess of generalizations and catchphrases."[87] Fritz Senn has also voiced concerns with some plot synopses, saying "we have some traditional summaries, also some put in circulation by Joyce himself. I find them most unsatisfactory and unhelpful, they usually leave out the hard parts and recirculate what we already think we know. I simply cannot believe that FW would be as blandly uninteresting as those summaries suggest."[88] The challenge of compiling a definitive synopsis of Finnegans Wake lies not only in the opacity of the book's language, but also in the radical approach to plot which Joyce employed. Joyce acknowledged this when he wrote to Eugène Jolas that:
"I might easily have written this story in the traditional manner [...] Every novelist knows the recipe [...] It is not very difficult to follow a simple, chronological scheme which the critics will understand [...] But I, after all, am trying to tell the story of this Chapelizod family in a new way.[89]
This "new way" of telling a story in Finnegans Wake takes the form of a discontinuous dream-narrative, with abrupt changes to characters, character names, locations and plot details resulting in the absence of a discernible linear narrative, causing Herring to argue that the plot of Finnegans Wake "is unstable in that there is no one plot from beginning to end, but rather many recognizable stories and plot types with familiar and unfamiliar twists, told from varying perspectives."[90] Patrick A. McCarthy expands on this idea of a non-linear, digressive narrative with the contention that "throughout much of Finnegans Wake, what appears to be an attempt to tell a story is often diverted, interrupted, or reshaped into something else, for example a commentary on a narrative with conflicting or unverifiable details."[91] In other words, while crucial plot points – such as HCE's crime or ALP's letter – are endlessly discussed, the reader never encounters or experiences them first hand, and as the details are constantly changing, they remain unknown and perhaps unknowable. Suzette Henke has accordingly described Finnegans Wake as an aporia.[92] Joyce himself tacitly acknowledged this radically different approach to language and plot in a 1926 letter to Harriet Weaver, outlining his intentions for the book: "One great part of every human existence is passed in a state which cannot be rendered sensible by the use of wideawake language, cutanddry grammar and goahead plot."[93] Critics have seen a precedent for the book's plot presentation in Laurence Sterne's famously digressive The Life and Opinions of Tristram Shandy, Gentleman, with Thomas Keymer stating that "Tristram Shandy was a natural touchstone for James Joyce as he explained his attempt "to build many planes of narrative with a single esthetic purpose" in Finnegans Wake".[94] Book II is usually considered the book's most opaque section, and hence the most difficult to synopsize. William York Tindall said of Book II's four chapters "Than this [...] nothing is denser."[95] Similarly, Patrick Parrinder has described Book II as the "worst and most disorienting quagmire[..] in the Wake."[96] Despite Joyce's revolutionary techniques, the author repeatedly emphasized that the book was neither random nor meaningless; with Ellmann quoting the author as having stated: "I can justify every line of my book."[97] To Sisley Huddleston he stated "critics who were most appreciative of Ulysses are complaining about my new work. They cannot understand it. Therefore they say it is meaningless. Now if it were meaningless it could be written quickly without thought, without pains, without erudition; but I assure you that these 20 pages now before us [i.e. chapter I.8] cost me twelve hundred hours and an enormous expense of spirit."[98] When the editor of Vanity Fair asked Joyce if the sketches in Work in Progress were consecutive and interrelated, Joyce replied "It is all consecutive and interrelated."[99]
Fargnoli and Gillespie suggest that the book's opening chapter "introduces [the] major themes and concerns of the book", and enumerate these as "Finnegan's fall, the promise of his resurrection, the cyclical structure of time and history (dissolution and renewal), tragic love as embodied in the story of Tristan and Iseult, the motif of the warring brothers, the personification of the landscape and the question of Earwicker's crime in the park, the precise nature of which is left uncertain throughout the Wake."[100] Such a view finds general critical consensus, viewing the vignettes as allegorical appropriations of the book's characters and themes; for example, Schwartz argues that "The Willingdone Museyroom" episode represents the book's "archetypal family drama in military-historical terms."[101] Joyce himself referred to the chapter as a "prelude",[102] and as an "air photograph of Irish history, a celebration of the dim past of Dublin."[103] Riquelme finds that "passages near the book's beginning and its ending echo and complement one another",[104] and Fargnoli and Gillespie representatively argue that the book's cyclical structure echoes the themes inherent within, that "the typologies of human experience that Joyce identifies [in Finnegans Wake] are [..] essentially cyclical, that is, patterned and recurrent; in particular, the experiences of birth, guilt, judgment, sexuality, family, social ritual and death recur throughout the Wake.[105] In a similar enumeration of themes, Tindall argues that "rise and fall and rise again, sleeping and waking, death and resurrection, sin and redemption, conflict and appeasement, and, above all, time itself [...] are the matter of Joyce's essay on man."[106] Henkes and Bindervoet generally summarise the critical consensus when they argue that, between the thematically indicative opening and closing chapters, the book concerns "two big questions" which are never resolved: what is the nature of protagonist HCE’s secret sin, and what was the letter, written by his wife ALP, about?[107] HCE's unidentifiable sin has most generally been interpreted as representing man's original sin as a result of the Fall of Man. Anthony Burgess sees HCE, through his dream, trying "to make the whole of history swallow up his guilt for him" and to this end "HCE has, so deep in his sleep, sunk to a level of dreaming in which he has become a collective being rehearsing the collective guilt of man."[108] Fargnoli and Gillespie argue that although undefined, "Earwicker's alleged crime in the Park" appears to have been of a "voyeuristic, sexual, or scatological nature".[100] ALP's letter appears a number of times throughout the book, in a number of different forms, and as its contents cannot be definitively delineated, it is usually believed to be both an exoneration of HCE, and an indictment of his sin. Herring argues that "[t]he effect of ALP's letter is precisely the opposite of her intent [...] the more ALP defends her husband in her letter, the more scandal attaches to him."[109] Patrick A. McCarthy argues that "it is appropriate that the waters of the Liffey, representing Anna Livia, are washing away the evidence of Earwicker's sins as [the washerwomen speak, in chapter I.8] for (they tell us) she takes on her husband's guilt and redeems him; alternately she is tainted with his crimes and regarded as an accomplice".[110]
Throughout the book's seventeen-year gestation, Joyce stated that with Finnegans Wake he was attempting to "reconstruct the nocturnal life",[3] and that the book was his "experiment in interpreting 'the dark night of the soul'."[111] According to Ellmann, Joyce stated to Edmond Jaloux that Finnegans Wake would be written "to suit the esthetic of the dream, where the forms prolong and multiply themselves",[112] and once informed a friend that "he conceived of his book as the dream of old Finn, lying in death beside the river Liffey and watching the history of Ireland and the world – past and future – flow through his mind like flotsam on the river of life."[113][114] While pondering the generally negative reactions to the book Joyce said :
I can't understand some of my critics, like Pound or Miss Weaver, for instance. They say it's obscure. They compare it, of course, with Ulysses. But the action of Ulysses was chiefly during the daytime, and the action of my new work takes place chiefly at night. It's natural things should not be so clear at night, isn't it now?[115]
Joyce's claims to be representing the night and dreams have been accepted and questioned with greater and lesser credulity. Supporters of the claim have pointed to Book IV as providing its strongest evidence, as when the narrator asks “You mean to see we have been hadding a sound night’s sleep?”,[116] and later concludes that what has gone before has been “a long, very long, a dark, very dark [...] scarce endurable [...] night.”[117] Tindall refers to Book IV as "a chapter of resurrection and waking up",[118] and McHugh finds that the chapter contains "particular awareness of events going on offstage, connected with the arrival of dawn and the waking process which terminates the sleeping process of [Finnegans Wake]."[119] However, this conceptualisation of the Wake as a dream is a point of contention for some. Harry Burrell, representative of this view, argues that "one of the most overworked ideas is that Finnegans Wake is about a dream. It is not, and there is no dreamer." Burrell argues that the theory is an easy way out for "critics stymied by the difficulty of comprehending the novel and the search for some kind of understanding of it."[120] However, the point upon which a number of critics fail to concur with Burrell's argument is its dismissal of the testimony of the book's author on the matter as "misleading... publicity efforts".[121] Parrinder however, equally skeptical of the concept of the Wake as a dream, argues that Joyce came up with the idea of representing his linguistic experiments as a language of the night around 1927 as a means of battling his many critics, further arguing that "since it cannot be said that neologism is a major feature of the dreaming process, such a justification for the language of Finnegans Wake smacks dangerously of expediency."[122] While many, if not all, agree that there is at least some sense in which the book can be said to be a "dream", few agree on who the possible dreamer of such a dream might be.[123] Edmund Wilson's early analysis of the book, The Dream of H. C. Earwicker, made the assumption that Earwicker himself is the dreamer of the dream, an assumption which continued to carry weight with Wakean scholars Harry Levin, Hugh Kenner, and William Troy.[123] Joseph Campbell, in A Skeleton Key to Finnegans Wake, also believed Earwicker to be the dreamer, but considered the narrative to be the observances of, and a running commentary by, an anonymous pedant on Earwicker's dream in progress, who would interrupt the flow with his own digressions.[124] Ruth von Phul was the first to argue that Earwicker was not the dreamer, which triggered a number of similarly-minded views on the matter, although her assertion that Shem was the dreamer has found less support.[124][125] The assertion that the dream was that of Mr. Porter, whose dream personality personified itself as HCE, came from the critical idea that the dreamer partially wakes during chapter III.4, in which he and his family are referred to by the name Porter.[126] Anthony Burgess representatively summarized this conception of the "dream" thus: "Mr. Porter and his family are asleep for the greater part of the book [...] Mr. Porter dreams hard, and we are permitted to share his dream [...] Sleeping, he becomes a remarkable mixture of guilty man, beast, and crawling thing, and he even takes on a new and dreamily appropriate name – Humphrey Chimpden Earwicker."[127] Harriet Weaver was among the first to suggest that the dream was not that of any one dreamer, but was rather an analysis of the process of dreaming itself. In a letter to J.S. Atherton she wrote:
In particular their ascription of the whole thing to a dream of HCE seems to me nonsensical. My view is that Mr. Joyce did not intend the book to be looked upon as the dream of any one character, but that he regarded the dream form with its shiftings and changes and chances as a convenient device, allowing the freest scope to introduce any material he wished—and suited to a night-piece.[128]
Bernard Benstock also argued that "The Dreamer in the Wake is more than just a single individual, even if one assumes that on the literal level we are viewing the dream of publican H.C. Earwicker."[129] Other critics have been more skeptical of the concept of identifying the dreamer of the book's narrative. Clive Hart argues that "[w]hatever our conclusions about the identity of the dreamer, and no matter how many varied caricatures of him we may find projected into the dream, it is clear that he must always be considered as essentially external to the book, and should be left there. Speculation about the 'real person' behind the guises of the dream-surrogates or about the function of the dream in relation to the unresolved stresses of this hypothetical mind is fruitless, for the tensions and psychological problems in Finnegans Wake concern the dream-figures living within the book itself."[130] John Bishop has been the most vocal supporter of treating Finnegans Wake absolutely, in every sense, as a description of a dream, the dreamer, and of the night itself; arguing that the book not only represents a dream in an abstract conception, but is fully a literary representation of sleep. On the subject Bishop writes:
The greatest obstacle to our comprehension of Finnegans Wake [...has been...] the failure on the part of readers to believe that Joyce really meant what he said when he spoke of the book as a "reconstruction of the nocturnal life" and an "imitation of the dream-state"; and as a consequence readers have perhaps too easily exercised on the text an unyielding literalism bent on finding a kind of meaning in every way antithetical to the kind of meaning purveyed in dreams[131]
Bishop has also somewhat brought back into fashion the theory that the Wake is about a single sleeper; arguing that it is not "the 'universal dream' of some disembodied global everyman, but a reconstruction of the night – and a single night – as experienced by 'one stable somebody' whose 'earwitness' on the real world is coherently chronological."[132] Bishop has laid the path for critics such as Eric Rosenbloom, who has proposed that the book "elaborates the fragmentation and reunification of identity during sleep. The masculine [...] mind of the day has been overtaken by the feminine night mind. [...] The characters live in the transformation and flux of a dream, embodying the sleeper’s mind."[133]
Whence it is a slopperish matter, given the wet and low visibility [...] to idendifine the individuone[134]
”
Critics disagree on whether discernible characters exist in Finnegans Wake. For example, Grace Eckley argues that Wakean characters are distinct from each other,[135] and defends this with explaining the dual narrators, the "us" of the first paragraph, as well as Shem-Shaun distinctions[136] while Margot Norris argues that the "[c]haracters are fluid and interchangeable".[137] Supporting the latter stance, Van Hulle finds that the "characters" in Finnegans Wake are rather "archetypes or character amalgams, taking different shapes",[138] and Riquelme similarly refers to the book's cast of mutable characters as "protean".[139] As early as in 1934, in response to the recently published excerpt "The Mookse and the Gripes", Ronald Symond argued that "the characters in Work in Progress, in keeping with the space-time chaos in which they live, change identity at will. At one time they are persons, at another rivers or stones or trees, at another personifications of an idea, at another they are lost and hidden in the actual texture of the prose, with an ingenuity far surpassing that of crossword puzzles."[140] Such concealment of character identity has resulted in some disparity as to how critics identify the book's main protagonists; for example, while most find consensus that Festy King, who appears on trial in I.4, is a HCE type, not all analysts agree on this – for example Anthony Burgess believes him to be Shaun.[141] However, while characters are in a constant state of flux; constantly changing names, occupations, and physical attributes; a recurring set of core characters, or character types (what Norris dubs "ciphers"), are discernible. During the composition of Finnegans Wake, Joyce used signs, or so-called “sigla”, rather than names to designate these character amalgams or types. In a letter to his Maecenas, Harriet Shaw Weaver (March 1924), Joyce made a list of these sigla.[138] For those who argue for the existence of distinguishable characters, the book focuses on the Earwicker family, which consists of father, mother, twin sons and a daughter.
Kitcher argues for the father HCE as the book's main protagonist, stating that he is "the dominant figure throughout [...]. His guilt, his shortcomings, his failures pervade the entire book".[5] Bishop states that while the constant flux of HCE's character and attributes may lead us to consider him as an "anyman," he argues that "the sheer density of certain repeated details and concerns allows us to know that he is a particular, real Dubliner." The common critical consensus of HCE's fixed character is summarised by Bishop as being "an older Protestant male, of Scandinavian lineage, connected with the pubkeeping business somewhere in the neighbourhood of Chapelizod, who has a wife, a daughter, and two sons."[142] HCE is referred to by literally thousands of names throughout the book; leading Terence Killeen to argue that in Finnegans Wake"naming is [..] a fluid and provisional process".[143] HCE is at first referred to as "Harold or Humphrey Chimpden";[144] a conflation of these names as "Haromphreyld",[145] and as a consequence of his initials "Here Comes Everybody".[146] These initials lend themselves to phrase after phrase throughout the book; for example, appearing in the book's opening sentence as "Howth Castle and Environs". As the work progresses the names by which he may be referred to become increasingly abstract (such as "Finn MacCool",[147]"Mr. Makeall Gone",[148] or "Mr. Porter"[149]). Some Wake critics, such as Finn Fordham, argue that HCE's initials come from the initials of the portly politician Hugh Childers (1827–96), who had been nicknamed "Here Comes Everybody" for his size.[150] Many critics see Finnegan, whose death, wake and resurrection are the subject of the opening chapter, as either a prototype of HCE, or as another of his manifestations. One of the reasons for this close identification is that Finnegan is called a "man of hod, cement and edifices" and "like Haroun Childeric Eggeberth",[151] identifying him with the initials HCE. Parrinder for example states that "Bygmester Finnegan [...] is HCE", and finds that his fall and resurrection foreshadows "the fall of HCE early in Book I [which is] paralleled by his resurrection towards the end of III.3, in the section originally called "Haveth Childers Everywhere", when [HCE's] ghost speaks forth in the middle of a seance."[152]
Patrick McCarthy describes HCE's wife ALP as "the river-woman whose presence is implied in the "riverrun" with which Finnegans Wake opens and whose monologue closes the book. For over six hundred pages, however, Joyce presents Anna Livia to us almost exclusively through other characters, much as in Ulysses we hear what Molly Bloom has to say about herself only in the last chapter."[153] The most extensive discussion of ALP comes in chapter I.8, in which hundreds of names of rivers are woven into the tale of ALP's life, as told by two gossiping washerwomen. Similarly hundreds of city names are woven into "Haveth Childers Everywhere", the corresponding passage at the end of III.3 which focuses on HCE. As a result, it is generally contended that HCE personifies the Viking-founded city of Dublin, and his wife ALP personifies the river Liffey, on whose banks the city was built.
ALP and HCE have a daughter, Issy – whose personality is often split (represented by her mirror-twin). Parrinder argues that "as daughter and sister, she is an object of secret and repressed desire both to her father [...] and to her two brothers."[154] These twin sons of HCE and ALP consist of a writer called Shem the Penman and a postman by the name of Shaun the Post, who are rivals for replacing their father and for their sister Issy's affection. Shaun is portrayed as a dull postman, conforming to society's expectations, while Shem is a bright artist and sinister experimenter, often perceived as Joyce's alter-ego in the book.[155] Hugh Staples finds that Shaun "wants to be thought of as a man-about-town, a snappy dresser, a glutton and a gourmet... He is possessed of a musical voice and is a braggart. He is not happy in his work, which is that of a messenger or a postman; he would rather be a priest."[156] Shaun's sudden and somewhat unexpected promotion to the book's central character in Book III is explained by Tindall with the assertion that "having disposed of old HCE, Shaun is becoming the new HCE."[157] Like their father, Shem and Shaun are referred to by different names throughout the book, such as "Caddy and Primas";[158]"Mercius" and "Justius";[159][160]"Dolph and Kevin";[161] and "Jerry and Kevin".[162] These twins are contrasted in the book by allusions to sets of opposing twins and enemies in literature, mythology and history; such as Set and Horus of the Osiris story; the biblical pairs Jacob and Esau, Cain and Abel, and Saint Michael and the Devil– equating Shaun with "Mick" and Shem with "Nick"– as well as Romulus and Remus.
The book is also populated by a number of minor characters, such as the Four Masters, the twelve customers, the Earwickers' cleaning staff Kate and Joe, as well as more obscure characters such as "McGrath", Lily Kinsella, and the bell-ringer "Fox Goodman". The most commonly recurring characters outside of the Earwicker family are the four old men known collectively as "Mamalujo" (a conflation of their names: Matt Gregory, Marcus Lyons, Luke Tarpey and Johnny Mac Dougall). These four most commonly serve as narrators, but they also play a number of active roles in the text, such as when they serve as the judges in the court case of I.4, or as the inquisitors who question Yawn in III.4. Tindall summarises the roles that these old men play as those of the Four Masters, the Four Evangelists, and the four Provinces of Ireland ( "Matthew, from the north, is Ulster; Mark, from the south, is Munster; Luke, from the east, is Leinster; and John, from the west, is Connaught").[163] According to Finn Fordham, Joyce related to his daughter-in-law Helen Fleischmann that "Mamalujo" also represented Joyce's own family, namely his wife Nora (mama), daughter Lucia (lu), and son Giorgio (jo).[164] In addition to the four old men, there are a group of twelve unnamed men who always appear together, and serve as the customers in Earwicker's pub, gossipers about his sins, jurors at his trial and mourners at his wake.[165] The Earwicker household also includes two cleaning staff: Kate, the maid, and Joe, who is by turns handyman and barman in Earwicker's pub. These characters are seen by most critics as older versions of ALP and HCE.[166] Kate often plays the role of museum curator, as in the "Willingdone Museyroom" episode of 1.1, and is recognisable by her repeated motif "Tip! Tip!" Joe is often also referred to by the name "Sackerson", and Kitcher describes him as "a figure sometimes playing the role of policeman, sometimes [...] a squalid derelict, and most frequently the odd-job man of HCE's inn, Kate's male counterpart, who can ambiguously indicate an older version of HCE."[167]
"riverrun, past Eve and Adam's, from swerve of shore to bend of bay, brings us by a commodius vicus of recirculation back to Howth Castle and Environs."
—The opening line of Finnegans Wake, which continues from the book's unfinished closing line[168]
Joyce invented a unique polyglot-language or idioglossia solely for the purpose of this work. This language is composed of composite words from some sixty to seventy world languages,[169] combined to form puns, or portmanteau words and phrases intended to convey several layers of meaning at once. Senn has labelled Finnegans Wake's language as "polysemetic",[88] and Tindall as an "Arabesque".[170] Norris describes it as a language which "like poetry, uses words and images which can mean several, often contradictory, things at once"[171] An early review of the book argued that Joyce was attempting "to employ language as a new medium, breaking down all grammatical usages, all time space values, all ordinary conceptions of context [... the theme is the language and the language the theme, and a language where every association of sound and free association is exploited."[172] Seconding this analysis of the book's emphasis on form over content, Paul Rosenfeld reviewed Finnegans Wake in 1939 with the suggestion that "the writing is not so much about something as it is that something itself [..] in Finnegans Wake the style, the essential qualities and movement of the words, their rhythmic and melodic sequences, and the emotional color of the page are the main representatives of the author's thought and feeling. The accepted significations of the words are secondary."[173] While commentators emphasize how this manner of writing can communicate multiple levels of meaning simultaneously, Hayman and Norris contend that its purpose is as much to obscure and disable meaning as to expand it. Hayman writes that access to the work's "tenuous narratives" may only be achieved through "the dense weave of a language designed as much to shield as to reveal them."[174] Norris argues that Joyce's language is "devious" and that it "conceals and reveals secrets."[171] Allen B. Ruch has dubbed Joyce's new language "dreamspeak," and describes it as "a language that is basically English, but extremely malleable and all-inclusive, rich with portmanteau words, stylistic parodies, and complex puns."[175] Although much has been made of the numerous world languages employed in the book's composite language, most of the more obscure languages appear only seldom in small clusters, and most agree with Ruch that the latent sense of the language, however manifestly obscure, is "basically English".[176][177] Burrell also finds that Joyce's thousands of neologisms are "based on the same etymological principles as standard English."[178] However, the Wake's language is not entirely unique in literature; for example critics have seen its use of portmanteaus and neologisms as an extension of Lewis Carroll's Jabberwocky.[179] Although Joyce died shortly after the publication of Finnegans Wake, during the work's composition the author made a number of statements concerning his intentions in writing in such an original manner. In a letter to Max Eastman, for example, Joyce suggested that his decision to employ such a unique and complex language was a direct result from his attempts to represent the night:
In writing of the night I really could not, I felt I could not, use words in their ordinary connections. Used that way they do not express how things are in the night, in the different stages – the conscious, then semi-conscious, then unconscious. I found that it could not be done with words in their ordinary relations and connections. When morning comes of course everything will be clear again [...] I'll give them back their English language. I'm not destroying it for good.[180]
Joyce is also reported as having told Arthur Power that "what is clear and concise can't deal with reality, for to be real is to be surrounded by mystery."[181] On the subject of the vast number of puns employed in the work Joyce argued to Frank Budgeon that "after all, the Holy Roman Catholic Apostolic Church was built on a pun. It ought to be good enough for me",[180] and to the objection of triviality he replied "Yes. Some of the means I use are trivial– and some are quadrivial."[180] A great many of the book's puns are etymological in nature. Sources tell us that Joyce relished delving into the history and the changing meanings of words, his primary source being An Etymological Dictionary of the English Language by the Rev. Walter W. Skeat (Oxford, at the Clarendon Press; 1879). For example, one of the very first entries in Skeat is for the letter A, which begins: "...(1) adown; (2) afoot; (3) along; (4) arise; (5) achieve; (6) avert; (7) amend; (8) alas; (9) abyss..." Further in the entry, Skeat writes: "These prefixes are discussed at greater length under the headings Of, On, Along, Arise...Alas, Aware, Avast..." It seems likely that these strings of words prompted Joyce to finish the Wake with a sentence fragment that included the words: "...a way a lone a last a loved a long..."[citation needed]Samuel Beckett collated words from foreign languages on cards for Joyce to use, and, as Joyce's eyesight worsened, wrote down the text from his dictation.[182] Beckett described and defended the writing style of Finnegans Wake thus:
This writing that you find so obscure is a quintessential extraction of language and painting and gesture, with all the inevitable clarity of the old inarticulation. Here is the savage economy of hieroglyphics.[183]
Faced with the obstacles to be surmounted in "understanding" Joyce's text, a handful of critics have suggested readers focus on the rhythm and sound of the language, rather than solely on "meaning." As early as 1929, Eugène Jolas stressed the importance of the aural and musical dimensions of the work. In his contribution to Our Exagmination Round His Factification for Incamination of Work in Progress, Jolas wrote:
Those who have heard Mr. Joyce read aloud from Work in Progress know the immense rhythmic beauty of his technique. It has a musical flow that flatters the ear, that has the organic structure of works of nature, that transmits painstakingly every vowel and consonant formed by his ear.[184]
The Canadian critic, historian and novelist Patrick Watson has also argued this point, writing that
Those people who say the book is unreadable have not tried reading it aloud. This is the secret. If you even mouth the words silently, suddenly what seemed incomprehensible (Hubert Butler called it "Joyce's learned gibberish,") leaps into referential meaning, by its sound, since page after page is rich in allusion to familiar phrases, parables, sayings of all kinds – and the joyous and totally brilliant wordplay, over and over again imperceivable until you actually listen to it – transforms what was an unrelievable agony into an adventure.[citation needed]
Finnegans Wake incorporates a high number of intertextual allusions and references to other texts; Parrinder refers to it as "a remarkable example of intertextuality" containing a "wealth of literary reference."[185] Among the most prominent are the Irish ballad "Finnegan's Wake" from which the book takes its name, Italian philosopher Giovanni Battista Vico's La Scienza Nuova,[186] the Egyptian Book of the Dead, the plays of Shakespeare,[187] and religious texts such as the Bible and Qur'an. These allusions, rather than directly quoting or referencing a source, normally enter the text in a contorted fashion, often through humorous plays on words. For example, Hamlet Prince of Denmark becomes "Camelot, prince of dinmurk"[188] and the Epistle to the Hebrews becomes a "farced epistol to the hibruws".[189] The book begins with one such allusion to Vico's New Science:
riverrun, past Eve and Adam's, from swerve of shore to bend of bay, brings us by a commodius vicus of recirculation back to Howth Castle and Environs.
"Commodius vicus" refers to Giambattista Vico (1668–1744), who proposed a theory of cyclical history in his work "La Scienza Nuova" (The New Science). Vico argued that the world was coming to the end of the last of three ages, these being the age of gods, the age of heroes, and the age of humans. These ideas recur throughout Finnegans Wake, informing the book's four-part structure. Vico's name appears a number of times throughout the Wake, indicating the work's debt to his theories, such as “The Vico road goes round and round to meet where terms begin.”[190] That a reference to Vico's cyclical theory of history is to be found in the opening sentence which is a continuation of the book's closing sentence – thus making the work cyclical in itself – creates the relevance of such an allusion. One of the sources Joyce drew from is the Ancient Egyptianstory of Osiris,[191] and the Egyptian Book of the Dead, a collection of spells and invocations. Bishop asserts that "it is impossible to overlook the vital presence of the Book of the Dead in Finnegans Wake, which refers to ancient Egypt in countless tags and allusions."[192] At one of their last meetings, Joyce suggested to Frank Budgen that he write an article about Finnegans Wake, entitling it "James Joyce's Book of the Dead". Budgen followed Joyce's advice with his paper "Joyce's Chapters of Going Forth by Day", highlighting many of the allusions to Egyptian mythology in the book.[193] The Tristan and Iseult legend – a tragic love triangle between the Irish princess Iseult, the Cornish knight Tristan and his uncle King Mark– is also oft alluded to in the work, particularly in Book II chapter 4. Fargnoli and Gillespie argue that "various themes and motifs throughout Finnegans Wake, such as the cuckoldry of Humphrey Chimpden Earwicker (a King Mark figure) and Shaun's attempts at seducing Issy, relate directly to Tristan and Isolde [...] other motifs relating to Earwicker's loss of authority, such as the forces usurping his parental status, are also based on Tristan and Isolde."[194] The book also alludes heavily to Irish mythology, with HCE sometimes corresponding to Fionn mac Cumhaill,[195] Issy and ALP to Gráinne, and Shem/Shaun to Dermot (Diarmaid). Not only Irish mythology, but also notable real-life Irish figures are alluded to throughout the text. For example, HCE is often identified with Charles Stewart Parnell, and Shem's attack on his father in this way mirrors the attempt of forger Richard Pigott to incriminate Parnell in the Phoenix Park Murders of 1882 by means of false letters. But, given the flexibility of allusion in Finnegans Wake HCE assumes the character of Pigott as well, for just as HCE betrays himself to the cad, Pigott betrayed himself at the inquiry into admitting the forgery by his spelling of the word "hesitancy" as "hesitency"; and this misspelling appears frequently in the Wake. Finnegans Wake also makes a great number of allusions to religious texts. When HCE is first introduced in chapter I.2, the narrator relates how "in the beginning" he was a "grand old gardener", thus equating him with Adam in the Garden of Eden. Spinks further highlights this allusion by highlighting that like HCE's unspecified crime in the park, Adam also "commits a crime in a garden".[196]
With Dublin, an early Viking settlement, as the setting for Finnegans Wake, it is perhaps not surprising that Joyce incorporated a number of Norwegian linguistic and cultural elements into the work (notably Riksmål references for the most part). For example, one of the main tales of chapter II.3 concerns a Norwegian tailor, and a number of Norwegian words such as bakvandets, Knut Oelsvinger and Bygmester Finnegan (the latter a reference to Ibsen's Bygmeester Solness) are used throughout. Indeed, most of Ibsen's works, many of his characters and also some quotations are referenced in the Wake. While Joyce was working on Finnegans Wake, he wanted to insert references to Scandinavianlanguages and literature, hiring five teachers of Norwegian. The first one turned out to be the poet Olaf Bull. Joyce wanted to read Norwegian works in the original language, including Peter Andreas Munch's Norrøne Gude- og Heltesagn (Norse tales of gods and heroes). He was looking for puns and unusual associations across the barriers of language, a practice Bull well understood. Lines from Bull's poems echo through Finnegans Wake, and Bull himself materializes under the name "Olaph the Oxman", a pun on his surname.[197]
The value of Finnegans Wake as a work of literature has been a point of contention since the time of its appearance, in serial form, in literary reviews of the 1920s. Initial response, to both its serialised and final published forms, was almost universally negative. Even close friends and family were disapproving of Joyce's seemingly impenetrable text, with Joyce's brother Stanislaus"rebuk[ing] him for writing an incomprehensible night-book",[198] and former friend Oliver Gogarty believing the book to be a joke, pulled by Joyce on the literary community, referring to it as "the most colossal leg pull in literature since Macpherson'sOssian".[199] When Ezra Pound, a former champion of Joyce's and admirer of Ulysses, was asked his opinion on the text, he wrote "Nothing so far as I make out, nothing short of divine vision or a new cure for the clap can possibly be worth all the circumambient peripherization."[200] H.G. Wells, in a personal letter to Joyce, argued that "you have turned your back on common men, on their elementary needs and their restricted time and intelligence [...] I ask: who the hell is this Joyce who demands so many waking hours of the few thousands I have still to live for a proper appreciation of his quirks and fancies and flashes of rendering?"[201] Even Joyce's patron Harriett Weaver wrote to him in 1927 to inform him of her misgivings regarding his new work, stating "I am made in such a way that I do not care much for the output from your Wholesale Safety Pun Factory nor for the darknesses and unintelligibilities of your deliberately entangled language system. It seems to me you are wasting your genius."[202] The wider literary community were equally disparaging, with D. H. Lawrence declaring, in reaction to the sections of the Wake being published individually as "Work in Progress", "My God, what a clumsy olla putrida James Joyce is! Nothing but old fags and cabbage-stumps of quotations from the Bible and the rest, stewed in the juice of deliberate journalistic dirty-mindedness – what old and hard-worked staleness, masquerading as the all-new!"[93]Vladimir Nabokov, who had also admired Ulysses, described Finnegans Wake as "nothing but a formless and dull mass of phony folklore, a cold pudding of a book, a persistent snore in the next room [...] and only the infrequent snatches of heavenly intonations redeem it from utter insipidity."[93] In response to such criticisms, Transition published essays throughout the late 1920s, defending and explaining Joyce's work. In 1929, these essays (along with a few others written for the occasion) were collected under the title Our Exagmination Round His Factification for Incamination of Work in Progress and published by Shakespeare and Company. This collection featured Samuel Beckett's first commissioned work, the essay "Dante... Bruno. Vico.. Joyce",[203] along with contributions by William Carlos Williams, Stuart Gilbert, Marcel Brion, Eugene Jolas and others. As Margot Norris highlights, the agenda of this first generation of Wake critics and defenders was "to assimilate Joyce's experimental text to an already increasingly established and institutionalized literary avant-garde" and "to foreground Joyce's last work as spearhead of a philosophical avant-garde bent on the revolution of language".[204] Upon its publication in 1939, Finnegans Wake received a series of mixed, but mostly negative reviews. Louise Bogan, writing for Nation, surmised that while "the book's great beauties, its wonderful passages of wit, its variety, its mark of genius and immense learning are undeniable [...], to read the book over a long period of time gives one the impression of watching intemperance become addiction, become debauch" and argued that "Joyce's delight in reducing man's learning, passion, and religion to a hash is also disturbing."[205] Edwin Muir, reviewing in Listener wrote that "as a whole the book is so elusive that there is no judging it; I cannot tell whether it is winding into deeper and deeper worlds of meaning or lapsing into meaningless", although he too acknowledged that "there are occasional flashes of a kind of poetry which is difficult to define but is of unquestioned power."[206] B. Ifor Evans, writing in the Manchester Guardian, similarly argued that, due to its difficulties, the book "does not admit of review", and argued that, perhaps "in twenty years' time, with sufficient study and with the aid of the commentary that will doubtless arise, one might be ready for an attempt to appraise it." Taking a swipe at many of the negative reviews circulating at the time, Evans writes: "The easiest way to deal with the book would be [...] to write off Mr. Joyce's latest volume as the work of a charlatan. But the author of Dubliners, A Portrait of the Artist and Ulysses is not a charlatan, but an artist of very considerable proportions. I prefer to suspend judgement..."[207] In the time since Joyce's death, the book's admirers have struggled against public perception of the work to make exactly this argument for Finnegans Wake. One of the book's early champions was Thornton Wilder, who wrote to Gertrude Stein and Alice Toklas in August 1939, a few months after the book's publication: "One of my absorptions [...] has been James Joyce's new novel, digging out its buried keys and resolving that unbroken chain of erudite puzzles and finally coming on lots of wit, and lots of beautiful things has been my midnight recuperation. A lot of thanks to him".[208] The publication in 1944 of the first in-depth study and analysis of Joyce's final text—A Skeleton Key to Finnegans Wake by mythologistJoseph Campbell and Henry Morton Robinson—tried to prove to a skeptical public that if the hidden key or "Monomyth" could be found, then the book could be read as a novel with characters, plot, and an internal coherence. As a result, from the 1940s-1960s critical emphasis moved away from positioning the Wake as a "revolution of the word" and towards readings that stressed its "internal logical coherence", as "the avant-gardism of Finnegans Wake was put on hold [and] deferred while the text was rerouted through the formalistic requirements of an American criticism inspired by New Critical dicta that demanded a poetic intelligibility, a formal logic, of texts."[204] Slowly the book's critical capital began to rise to the point that, in 1957, Northrop Frye described Finnegans Wake as the “chief ironic epic of our time”[209] and Anthony Burgess lauded the book as "a great comic vision, one of the few books of the world that can make us laugh aloud on nearly every page."[14] In 1962, Clive Hart wrote the first major book-length study of the work since Campbell's Skeleton Key, Structure and Motif in "Finnegans Wake" which approached the work from the increasingly influential field of structuralism. However through the 1960s it was to be French post-structuralist theory that was to exert the most influence over readings of Finnegans Wake, refocussing critical attention back to the work's radical linguistic experiments and their philosophical consequences. Jacques Derrida developed his ideas of literary "deconstruction" largely inspired by Finnegans Wake (as detailed in the essay "Two Words for Joyce"), and as a result literary theory—in particular post-structuralism—has embraced Joyce's innovation and ambition in Finnegans Wake.[210] Derrida tells an anecdote about the two books' importance for his own thought; in a bookstore in Tokyo,
an American tourist of the most typical variety leaned over my shoulder and sighed: "So many books! What is the definitive one? Is there any?" It was an extremely small book shop, a news agency. I almost replied, "Yes, there are two of them, Ulysses and Finnegans Wake.[211]
The text's influence on other writers has grown since its initial shunning, and contemporary American author Tom Robbins is among the writers working today to have expressed his admiration for Joyce's complex last work:
the language in it is incredible. There's so many layers of puns and references to mythology and history. But it's the most realistic novel ever written. Which is exactly why it's so unreadable. He wrote that book the way that the human mind works. An intelligent, inquiring mind. And that's just the way consciousness is. It's not linear. It's just one thing piled on another. And all kinds of cross references. And he just takes that to an extreme. There's never been a book like it and I don't think there ever will be another book like it. And it's absolutely a monumental human achievement. But it's very hard to read.[212]
More recently, Finnegans Wake has become an increasingly accepted part of the critical literary canon, although detractors still remain. As an example, John Bishop described the book's legacy as that of "the single most intentionally crafted literary artifact that our culture has produced [...] and, certainly, one of the great monuments of twentieth-century experimental letters."[176] The section of the book to have received the most praise throughout its critical history has been "Anna Livia Plurabelle" (Book I, chapter 8), which Parrinder describes as being "widely recognized as one of the most beautiful prose-poems in English."[96] In 1994, in The Western Canon, Harold Bloom wrote of Finnegans Wake: "[if] aesthetic merit were ever again to center the canon [it] would be as close as our chaos could come to the heights of Shakespeare and Dante," and in 1998 the Modern Library placed Finnegans Wake seventy-seventh amongst its list of "Top 100 English-language novels of the twentieth century."
Throughout the seventeen years that Joyce wrote the book, Finnegans Wake was published in short excerpts in a number of literary magazines, most prominently in the Parisian literary journals Transatlantic Review and Eugene Jolas's transition. It has been argued that "Finnegans Wake, much more so than Ulysses, was very much directly shaped by the tangled history of its serial publication."[213] In late October 1923 in Ezra Pound's Paris flat, Ford Madox Ford convinced Joyce to contribute some of his new sketches to the Transatlantic Review, a new journal that Ford was editing. The eight page "Mamalujo" sketch became the first fragment from the book to be published in its own right, in Transatlantic Review 1.4 in April 1924.[214] The sketch appeared under the title "From Work in Progress", a term applied to works by Ernest Hemingway and Tristan Tzara published in the same issue, and the one by which Joyce would refer to his final work until its publication as Finnegans Wake in 1939.[213] The sketch appeared in the final published text, in radically altered form, as chapter 2.4.[215] In 1925 four sketches from the developing work were published. "Here Comes Everybody"[216] was published as "From Work in Progress" in the Contact Collection of Contemporary Writers, edited by Robert McAlmon. "The Letter"[217] was published as "Fragment of an Unpublished Work" in Criterion 3.12 (July 1925), and as "A New Unnamed Work" in Two Worlds 1.1. (September 1925).[215] The first published draft of "Anna Livia Plurabelle"[218] appeared in Le Navire d'Argent 1 in October, and the first published draft of "Shem the Penman"[219] appeared in the Autumn–Winter edition of This Quarter.[215] In 1925-6 Two Worlds began to publish redrafted versions of previously published fragments, starting with "Here Comes Everybody" in December 1925, and then "Anna Livia Plurabelle" (March 1926), "Shem the Penman" (June 1926), and "Mamalujo" (September 1925), all under the title "A New Unnamed Work".[215] Eugene Jolas befriended Joyce in 1927, and as a result serially published revised fragments from Book I in his transition literary journal. This began with the debut of the book's opening chapter, under the title "Opening Pages of a Work in Progress", in April 1927. By November chapters I.2 through I.8 had all been published in the journal, in their correct sequence, under the title "Continuation of a Work in Progress".[220] From 1928 Book's II and III slowly began to emerge in transition, with a brief excerpt of II.2 ("The Triangle") published in February 1928, and Book III's four chapters between March 1928 and November 1929.[220] At this point, Joyce started publishing individual books of chapters from Work in Progress. In 1929, Harry and Caresse Crosby, owners of the Black Sun Press, contacted James Joyce through bookstore owner Sylvia Beach and arranged to print three short fables about the novel's three children Shem, Shaun and Issy that had already appeared in translation. These were "The Mookse and the Gripes",[221]"The Triangle",[222] and "The Ondt and the Gracehoper".[220][223] The Black Sun Press named the new book Tales Told of Shem and Shaun for which they paid Joyce US$2,000 for 600 copies, unusually good pay for Joyce at that time.[224]:286 Their printer Roger Lescaret erred when setting the type, leaving the final page with only two lines. Rather than reset the entire book, he suggested to the Crosby's that they ask Joyce to write an additional eight lines to fill in the remainder of the page. Caresse refused, insisting that a literary master would never alter his work to fix a printer's error. Lescaret appealed directly to Joyce, who promptly wrote the eight lines requested.[225] The first 100 copies of Joyce's book were printed on Japanese velum and signed by the author. It was hand-set in Caslon type and included an abstract portrait of Joyce by Constantin Brâncuși,[226] a pioneer of modernist abstract sculpture. Brâncuși's drawings of Joyce became among the most popular images of him.[227] Faber and Faber published book editions of "Anna Livia Plurabelle" (1930), and "Haveth Childers Everywhere" (1931), HCE's long defence of his life which would eventually close chapter III.3.[228][229] A year later they published Two Tales of Shem and Shaun, which dropped "The Triangle" from the previous Black Sun Press edition. Book 2 was published serially in transition between February 1933 and May 1938, and a final individual book publication, Storiella as She Is Syung, was published by Corvinus Press in 1937, made up of sections from what would become chapter II.2.[229] By 1938 virtually all of Finnegans Book was in print in the transition serialisation and in the booklets, with the exception of Book IV. However, Joyce continued to revise all previously published sections until Finnegans Wake's final published form, resulting in the text existing in a number of different forms, to the point that critics can speak of Finnegans Wake being a different entity to Work in Progress. The book was finally published by Faber and Faber on 4 May 1939, after seventeen years of composition. In March 2010, a new "critically emended edition" was published in a limited edition of 1,000 copies by Houyhnhnm Press [230] in conjunction with Penguin. This edition was published in a trade edition in 2012.[231] Edited by Danis Rose and John O'Hanlon, is the "summation of thirty years’ intense engagement by textual scholars Danis Rose and John O’Hanlon verifying, codifying, collating and clarifying the 20,000 pages of notes, drafts, typescripts and proofs." In the publisher's words the new edition "incorporates some 9,000 minor yet crucial corrections and amendments, covering punctuation marks, font choice, spacing, misspellings, misplaced phrases and ruptured syntax." According to the publisher, "Although individually minor, these changes are nonetheless crucial in that they facilitate a smooth reading of the book’s allusive density and essential fabric." An attempt to identify these "9,000 minor yet crucial corrections and amendments" is under way at the Finnegans Wake Extensible Elucidation Treasury (FWEET).[232]
Jürgen Partenheimer's "Violer d'amores", a series of drawings inspired by Joyce's Finnegans Wake
Despite its linguistic complexity, Finnegans Wake has been translated into other languages: French,[233] German,[234] Japanese,[235] Dutch, Korean, Brazilian Portuguese, Polish[236] and Greek.[237] A musical play, The Coach with the Six Insides by Jean Erdman, based on the character Anna Livia Plurabelle,[238] was performed in New York in 1962.[239][240] Parts of the book were adapted for the stage by Mary Manning as Passages from Finnegans Wake, which was in turn used as the basis for a film of the novel by Mary Ellen Bute.[241] Danish visual artists Michael Kvium and Christian Lemmerz created a multimedia project called "the Wake", an 8 hour long silent movie based on the book.[242] A version adapted by Barbara Vann with music by Chris McGlumphy was produced by The Medicine Show Theater in April 2005 and received a favorable review in the 11 April 2005 edition of The New York Times. André Hodeir composed a jazz cantata on Anna Plurabelle (1966). John Cage's Roaratorio: an Irish circus on Finnegans Wake combines a collage of sounds mentioned in Finnegans Wake, with Irish jigs and Cage reading his Writing for the Second Time through Finnegans Wake, one of a series of five writings based on the Wake. The work also sets textual passages from the book as songs, including The Wonderful Widow of Eighteen Springs and Nowth upon Nacht.[243]Phil Minton set passages of the Wake to music, on his 1998 album Mouthfull of Ecstasy.[244] In recent years Olwen Fouéré's play riverrun, based on the theme of rivers in Finnegans Wake has received critical accolades around the world.[245][246][247] Adam Harvey has also adapted Finnegans Wake for the stage, including collaborating with Martin Pearlman and the Boston Baroque.[248][249] In 2015 Waywords and Meansigns: Recreating Finnegans Wake [in its whole wholume] set Finnegans Wake to music unabridged, featuring an international group of musicians and Joyce enthusiasts. [250]
Finnegans Wake is a difficult text, and it has been noted that Joyce would not have aimed it at the general reader;[251] however, certain aspects of the work have made an impact on popular culture beyond the awareness of it being difficult.[252] In the academic field, physicistMurray Gell-Mann named a type of subatomic particle as a quark, after the phrase "Three quarks for Muster Mark" on page 383 of Finnegans Wake,[253] as he already had the sound "kwork".[254] Similarly, the comparative mythology term monomyth, as described by Joseph Campbell in his book The Hero with a Thousand Faces,[255] was taken from a passage in Finnegans Wake.[256] According to the official company history[257] of the popular blogging tool WordPress, their name was invented by Christine Selleck[258] in March 2003, whereas James Joyce first uses this word in Finnegans Wake p. 20, l. 9.[259] The work of Marshall McLuhan was greatly inspired by James Joyce, especially referencing Finnegans Wake throughout the collage book War and Peace in the Global Village.[260] The novel also was the source of the title of Clay Shirky's book Here Comes Everybody.[261]
Jump up ^Joyce critic Lee Spinks argues that Finnegans Wake"has some claim to be the least read major work of Western literature." Spinks, Lee. A Critical Guide to James Joyce, p.127
Jump up ^James Atherton states that despite the amount of critical work "explaining [the book's] profundities from various viewpoints and in varying ways [...] agreement has still not been reached on many fundamental points"Atherton 2009, p. ii; Vincent Cheng similarly argues that "through the efforts of a dedicated handful of scholars, we are approaching a grasp of the Wake. Much of Finnegans Wake, however, remains a literary outland that is still barely mapped out."Cheng 1984, p.2
Jump up ^, Joyce 1939, pp. 16–18, which describes a dialogue between respectively deaf and dumb aboriginal ancestors, who have difficulty hearing, seeing and understanding each other. Bishop characterises them as two prehistoric men who "babble and stammer imperceptively like Vico's men"; Bishop 1986, p.194
Jump up ^Joyce 1939, pp. 21–23, which depicts Finnegan – under the name "Jarl van Hoother"– as the victim of a vengeful pirate queen, who arrives "three times at the Jarl's castle [..] each time asking a riddle and – upon the Jarl's inability to answer it – each time kidnapping a child, until the third visit results in a concession from the furious Jarl. Benstock 1965, p.268. Archived 19 October 2013 at the Wayback Machine
Jump up ^Bishop, John; collected in‘’A Collideorscape of Joyce’’, p.233
Jump up ^His mourners advise him: "Now be aisy, good Mr Finnimore, sir. And take your laysure like a god on pension and don't be walking abroad"; Joyce 1939, p.24, line 16
Jump up ^Joyce 1939, p.224, lines 22,26. According to Joyce, the piece was based on a children's game called "Angels and Devils" or "Colours," in which one child ("the devil", here played by Shem, or Nick) is supposed to guess a colour that has been chosen by the others ("the angels", here played by the girls). Joyce, Letters, I, p.295
Jump up ^Finnegans Wake II.2§8 (282.05–304.04), the main narrative of which is known critically as "The Triangle" and which Joyce referred to in letters as "Night Lessons", first appeared as "The Triangle" in transition 11 in February 1928 and then again under the newer title “The Muddest Thick That Was Ever Heard Dump” in Tales Told of Shem and Shaun, and finally as a book called "Storiella as She is Syung" in 1937 (Paris: Black Sun Press, June 1929). See JJA 52 and 53.
Jump up ^Fordham, Finn Lots of Fun at Finnegans Wake, p. 242
Jump up ^Rose, The Textual Diaries of James Joyce, p.122
Jump up ^Joyce called the Norwegian Captain's story a "wordspiderweb" and referred to it as "perhaps the most complacently absurd thing that I ever did until now [...] It is the story of a Captain [...] and a Dublin tailor which my god-father told me forty years ago, trying to explain the arrival of my Viking in Dublin, his marriage, and a lot of things I don't care to mention here." See, Joyce, Letters, III, p. 422
Jump up ^Rose, The Textual Diaries of James Joyce, pp.122–3
Jump up ^The chapter is a composite of two shorter pieces called "Mamalujo" and "Tristan and Isolde", which Joyce had written as early as 1923. See Rose, The Textual Diaries of James Joyce, p.131
Jump up ^Joyce referred to Book III's four chapters as "The Four Watches of Shaun", and characterised them as "a description of a postman travelling backwards in the night through the events already narrated. It is narrated in the form of a via crucis of 14 stations but in reality is only a barrel rolling down the river Liffey." Joyce, Letters, 1, p.214
Jump up ^cf "and, lusosing his harmonical balance [...] over he careened [...] by the mightyfine weight of his barrel [...and] rolled buoyantly backwards [...] out of farther earshot [...] down in the valley before [...] he spoorlessly disappealed and vanesshed [...] from circular circulatio."Joyce 1939, p.426, line 28 – p. 427, line 8
Jump up ^Joyce gave some hint of the intention behind the three separate episodes in conversation with Frank Budgen: "In Part IV there is in fact a triptych– though the central window is scarcely illuminated. Namely the supposed windows of the village church gradually lit up by the dawn, the windows, i.e., representing on one side the meeting of St Patrick (Japanese) & the (Chinese) Archdruid Bulkely (this by the way is all about colour) & the legend of the progressive isolation of St Kevin, the third being St Lawrence O’Toole, patron saint of Dublin; buried in Eu in Normandy." quoted in McHugh, ‘’Annotations to Finnegans Wake: Third Edition’’, p.613
Jump up ^Joyce 1939, pp. 615–619; critics disagree on whether this is the definitive version of The Letter which has been discussed throughout, or merely another variation of it
Jump up ^See Fordham, Finn. "The Universalization of Finnegans Wake and the Real HCE."Joyce, Ireland, Britain. Ed. Gibson, Andrew; Platt, Len. Florida James Joyce Series. Gainesville: University Press of Florida, 2007. 198-211. ISBN 0-8130-3015-3
Jump up ^Rosenfeld, Paul. James Joyce's Jabberwocky, Saturday Review of Literature, 6 May 1939, pp. 10–11. Quoted in James Joyce: The Critical Heritage, p. 663
Jump up ^Hayman, David, The "Wake" in Transit, p.42
Jump up ^Fargnoli and Gillespie argue that "as an archetypal figure, Finn is an avatar of the book's central figure HCE." Fargnoli and Gillespie, James Joyce A-Z, p.73
Jump up ^Derrida, "Ulysses Gramophone: Hear Say Yes in Joyce" (in Acts of Literature, ed. Derek Attridge [New York: Routledge, 1992], pp. 253–309), p. 265.
Jump up ^Campbell, Joseph. The Hero with a Thousand Faces. Princeton: Princeton University Press, 1949. p. 30, n35. Campbell cites Joyce 1939, p. 581, line 24
Benstock, Bernard (1965). Joyce-Again's Wake: An Analysis of Finnegans Wake. (Seattle: University of Washington Press)
Benstock, Shari. Nightletters: Woman's Writing in the Wake: Critical Essays on James Joyce. Ed. Bernard Benstock. Boston, Mass.: G.K. Hall & Co., 1985. 221–233.
Fordham, Finn. 'Lots of Fun at Finnegans Wake: Unravelling Universals' (Oxford: Oxford University Press, 2007)
Glasheen, Adaline. Third Census of Finnegans Wake. (Berkeley, California: University of California Press, 1977)
Gluck, Barbara Reich, Beckett and Joyce: Friendship and Fiction. Bucknell University Press, 1979. ISBN 0-8387-2060-9.
Hart, Clive (1962). Structure and Motif in Finnegans Wake, Evanston, Illinois: Northwestern University Press. ISBN 0-8101-0114-9available online
Henke, Suzette. James Joyce and the Politics of Desire. (New York: Routledge, 1990)
Herring, Phillip F (1987). Joyce's Uncertainty Principle Princeton University Press, New Jersey. ISBN 0-691-06719-8.
Hofheinz, Joyce and the Invention of Irish History: Finnegans Wake in Context, Cambridge University Press (26 May 1995). ISBN 978-0-521-47114-5
Kitcher, Philip (2007). Joyce's Kaleidoscope: An Invitation to Finnegans Wake. Oxford University Press. ISBN 0-19-532102-2
Joyce, James (1939). Finnegans Wake. Faber and Faber, London.
Mailhos, Jacques (1994). “Begin to Forget It” The Preprovided Memory of Finnegans Wake. In Finnegans Wake: Teems of Times (European Joyce Studies 4), ed. Treip, Andrew. Amsterdam: Rodopi
McHugh, Roland. Annotations to Finnegans Wake. 3rd ed. Baltimore: Johns Hopkins UP, 2006. ISBN 978-0-8018-8381-1.
—, The Sigla of Finnegans Wake. (University of Texas Press, 1976)
—, The Finnegans Wake Experience. (University of California Press, 1981)
Mercanton, James (1967). Les heures de James Joyce, Diffusion PUF. ISBN 2-86869-207-9
Norris, Margot. "The Postmodernization of Finnegans Wake Reconsidered."Rereading the new: a backward glance at modernism, ed. Kevin J. H. Dettmar. University of Michigan Press, 1992. pp. 343-362.
Parrinder, Patrick (1984). James Joyce, Cambridge University Press. ISBN 0-521-28398-1
Riquelme, John Paul (1983). Teller and Tale in Joyce's Fiction, The Johns Hopkins University Press. ISBN 0-8018-2854-6
Rose, Danis. The Textual Diaries of James Joyce (Dublin, The Lilliput Press, 1995)
Rosenbloom, Eric (2007). A Word in Your Ear: How and Why to Read James Joyce's Finnegans Wake. Booksurge Publishing. ISBN 1-4196-0930-0.
Verene, Donald Philipp (2003). Knowledge of Things Human and Divine: Vico's New Science and Finnegans Wake. Yale University
Tindall, William York (1969). A Reader's Guide to Finnegans Wake. Syracuse University Press.
Wilson, Robert Anton. Coincidance. (New Falcon Publications; Rev edition (February 1991)). Contains essay on Finnegans Wake.
Beckman, Richard. Joyce's Rare View: The Nature of Things in Finnegans Wake. Gainesville: University Press of Florida, 2007. ISBN 978-0-8130-3059-3.
Brivic, Sheldon. Joyce's Waking Women: An Introduction to Finnegans Wake. Madison: University of Wisconsin Press, 1995. ISBN 978-0-299-14800-3.
Crispi, Luca and Sam Slote, eds. How Joyce Wrote Finnegans Wake: A Chapter-By-Chaper Genetic Guide. Madison: University of Wisconsin Press, 2007. ISBN 978-0-299-21860-7.
Deane, Vincent, et al. The Finnegans Wake Notebooks at Buffalo. Turnhout, Belgium: Brepols Publishers, 2001–. LCCN 2003-442392.
Epstein, Edmund L. A Guide Through Finnegans Wake. Gainesville: University Press of Florida, 2009. ISBN 978-0-8130-3356-3
Fordham, Finn. 'Lots of Fun at Finnegans Wake'. Oxford: Oxford UP, 2007. ISBN 978-0-19-921586-7.
McHugh, Roland. Annotations to Finnegans Wake. 3rd ed. Baltimore: Johns Hopkins UP, 2006. ISBN 978-0-8018-8381-1.
Principj di Scienza Nuova - title page of 1744 edition.
The New Science (original title Scienza Nuova[ˈʃɛntsa ˈnwɔːva]) is the major work of Italian philosopher Giambattista Vico, published in 1725. It has been highly influential in the philosophy of history, and for historicists like Isaiah Berlin and Hayden White. The original full title is Principi di Scienza Nuova d'intorno alla Comune Natura delle Nazioni, which may be literally translated as "Principles/Origins of New/Renewed Science About/Surrounding the Common Nature of Nations".
In 1720, Vico began work on the Scienza Nuova as part of a treatise on Universal rights. Although a full volume was originally to be sponsored by Cardinal Corsini (the future Pope Clement XII), Vico was forced to finance the publication himself after the Cardinal pled financial difficulty and withdrew his patronage. The first edition of the New Science (Scienza Nuova, rather than Nuova Scienza, for which Galileo had been known) appeared in 1725, and a second, reworked version was published in 1730; neither was well received during Vico’s lifetime. Vico himself worked on two revisited editions, that were published under new titles, the first in 1730 and the second posthumously in 1744. It was the first work by Vico to be written in Italian, while his previous ones were written in Latin.
In its first section, titled "Idea of the Work" (Idea dell'Opera), the Scienza Nuova (1730 and 1744) explicitly presents itself as a "Science of reasoning" (Scienza di ragionare). Indeed, the work (cf. most notably the section "Of the Elements") includes a dialectic between axioms (authoritative maxims or degnità) and "reasonings" (ragionamenti) linking and clarifying the axioms. Vico specifies that his "Scienza" reasons primarily about the function of religion in the human world ("Idea of the Work"), and in this respect the work "comes to be one reasoned civil theology of divine providence" (vien ad essere una teologia civile ragionata della provvidenza divina). Reconsidering divine things (viz. "the conduct of divine providence") within a human or political context, Vico unearths the "poetic theologians" (poeti teologi) of pagan antiquity, exposing the poetic character of theology independently of Christianity's sacred history and thus of Biblical authority (see e.g. Scienza Nuova [1744], "Of the Elements," CXIV). Vico's unearthing of poetic theology (anticipated already in his De Antiquissima Italorum Sapientia (1710), "On the most ancient wisdom of the Italians") confirms the philosopher's ties to Italian Renaissance appeals to theologia poetica. With the early Renaissance, Vico shares the call for recovering a "pagan" or "vulgar" horizon for philosophy's providential agency, or for recognizing the providence of our human "metaphysical" minds/menti in the world of our "political" wills/animi ("Idea of the Work," par. 2). "Poetic theology" would serve as stage for an "ascent" (ibid.) to recognize the inherence or latency of rational agency in our actions, even when these are brutal (see further "Of the Method," par. 2). This way, the particular providence of the Bible's "true God" ("Of the Elements," CXIV) would not be required for the thriving of properly human life. All that would be needed was (A) false religions/Gods and (B) the covert work of the conatus (rational principle of constitution of experience rooted in its proper infinite form) examined at length in the De Antiquissima Italorum Sapientia and evoked again in par. 2 of the "Of the Method" section of the Scienza Nuova (1730 and 1744).
Stage theory and recurring cycle of civilization[edit]
Relying on a complex etymology, Vico argues in the Scienza Nuova that civilization develops in a recurring cycle (ricorso) of three ages: the divine, the heroic, and the human. Each age exhibits distinct political and social features and can be characterized by master tropes or figures of language. The giganti of the divine age rely on metaphor to compare, and thus comprehend, human and natural phenomena. In the heroic age, metonymy and synecdoche support the development of feudal or monarchic institutions embodied by idealized figures. The final age is characterized by popular democracy and reflection via irony; in this epoch, the rise of rationality leads to barbarie della reflessione or barbarism of reflection, and civilization descends once more into the poetic era. Taken together, the recurring cycle of three ages – common to every nation – constitutes for Vico a storia ideale eterna or ideal eternal history.
Vico’s humanism (his returning to a pre-modern form of reasoning), his interest in classical rhetoric and philology, and his response to Descartes contribute to the philosophical foundations for the second Scienza Nuova. Through an elaborate Latin etymology, Vico establishes not only the distinguishing features of first humans, but also how early civilization developed out of a sensus communis or common (not collective) sense. Beginning with the first form of authority intuited by the giganti or early humans and transposed in their first "mute" or "sign" language, Vico concludes that “first, or vulgar, wisdom was poetic in nature.” This observation is not an aesthetic one, but rather points to the capacity inherent in all men to imagine meaning via comparison and to reach a communal "conscience" or "prejudice" about their surroundings. The metaphors that define the poetic age gradually yield to the first civic discourse, finally leading to a time characterized by "full-fledged reason" (ragione tutta spiegata), in which reason and right are exposed to the point that they vanish into their own superficial appearance. At this point, speech returns to its primitive condition, and with it men. Hence the "recurring" (ricorso) of life to "barbarism" (barbarie). It is by way of warning his age and those stemming from it of the danger of seeking truth in clear and distinct ideas blinding us to the real depths of life, that Vico calls our attention back to a classical art of moderating the course of human things, lest the liberty enjoyed in the "Republic" be supplanted by the anarchic tyranny of the senses. Crucial to Vico's work remains a subtle criticism of all attempts to impose universality upon particularity, as if ex nihilo. Instead, Vico attempts to always let "the true" emerge from "the certain" through innumerable stories and anecdotes drawn mostly from the history of Greece and Rome and from the Bible. Here, reason does not attempt to overcome the poetic dimension of life and speech, but to moderate its impulses so as to safeguard civil life. While the transfer from divine to heroic to human ages is, for Vico, marked by shifts in the tropological nature of language, the inventional aspect of the poetic principle remains constant. When referring to “poets”, Vico intends to evoke the original Greek sense of “creators”. In the Scienza Nuova, then, the verum factum principle first put forth in De Italorum Sapientia remains central. As such, the notion of topics as the loci or places of invention (put forth by Aristotle and developed throughout classical rhetoric) serves as the foundation for "the true", and thus, as the underlying principle of sensus communis and civic discourse. The development of laws that shape the social and political character of each age is informed as much by master tropes as by those topics deemed acceptable in each era. Thus, for the rudimentary civilization of the divine age, sensory topics are employed to develop laws applicable on an individual basis. These laws expand as metonymy and synecdoche enable notions of sovereign rule in the heroic age; accordingly, acceptable topics expand to include notions of class and division. In the final, human age, the reflection that enables popular democracy requires appeals to any and all topics to achieve a common, rational law that is universally applicable. The development of civilization in Vico’s storia ideale eterna, then, is rooted in the first canon of rhetoric, as invention via loci shapes both the creation of and discourse about civil life.
Vico’s major work was poorly received during his own life but has since inspired a cadre of famous thinkers and artists, including Karl Marx.[1] Later his work was received more favourably as in the case of Lord Monboddo to whom he was compared in a modern treatise.[2] Isaiah Berlin has devoted attention to Vico as a critic of the Enlightenment and a significant humanist and culture theorist.[3][4] Scienza Nuova was included by Martin Seymour-Smith in his book 100 Most Influential Books Ever Written. The historical cycle provides the structure for James Joyce's book, Finnegans Wake. The intertextual relationship between Scienza Nuova and Finnegans Wake was brought to light by Samuel Beckett in his essay "Dante... Bruno. Vico.. Joyce” published in "Our Exagmination Round His Factification for Incamination of Work in Progress" (1929), where Beckett argued that Vico's conception of language also had significant influence in Joyce's work. Vico's notion of the lingua mentale commune (mental dictionary) in relation to universale fantastico reverberates in Joyce's novel, which ends in the middle of a sentence, reasserting Vico's principle of cyclical history.[5]
Jump up ^Hobbs, Catherine, Rhetoric on the Margin of Modernity, Vico, Condillac, Monboddo, Southern Illinois University Press, Carbondale, Illinois (1992)
Jump up ^Berlin, Isaiah, Vico and Herder: Two Studies in the History of Ideas, Chatto and Windus, 1976. Redwood Burn Ltd.. ISBN 0-7011-2512-8.
Jump up ^Berlin, Isaiah, Three Critics of the Enlightenment: Vico, Hamann, Herder, Pimlico, 2000. ISBN 0-7126-6492-0.
Jump up ^Verene, Donald Phillip. Vico and Joyce. Albany: State University of New York, 1987. Print.
A cult (not to be confused with occult) is any religious or political group too small to field its own army or without political power. It is also a term generally applied to religions that are isolationist, controlling, and often, extreme. In pop culture, cults are scary places where lost children go to be raped and murdered, where the recruits wander through airports chanting various 'ohms', and of course where people are (ohhga booga) brainwashed. A bit more formally, the term is usually used to refer to religions (or other movements) whose beliefs or practices are not just "not what we do", but are seen by the culture at large, as truly bizarre. In religious studies, recently developed religions with few adherents are called "new religious movements" or "NRMs"; the term "cult" is generally reserved for a religious or political group that is actively endotoxic (dangerous to its members, e.g. People's Temple) or exotoxic (dangerous to non-members, e.g. Aum Shinrikyo). Often, cults are identified as religions or political ideologies that are coercive in recruiting and retaining members. "Cult" can be a snarl word applied to unpopular religions and political ideologies, and was used up until the middle of the 20th century to describe any sort of movement, religious or otherwise, that had an element of in-group/out-group to it.[1]
The usage of the term shifted considerably during the 1960s (e.g. Charles Manson) and 1970s to mainly refer to a variety of new movements (religious or otherwise) which were believed to hold a coercive control over member's lives, or which were especially attractive to young people in search of self-actualization but also led to adherents adopting modes of living which were rather out of the mainstream (and thus perceived to be threatening to society even if harmless in themselves). Some of these groups were especially attractive to young adults during that time of social change, appealing to them through recruitment tactics like love bombing and offering an environment of stability in identification with (and ultimately dedication and obedience to) the group. Much of this concern over cults during the 1970s and since has had an air of moral panic and in at least two cases (the Branch Davidians and M.O.V.E.) led to a preemptive law enforcement overreaction to the group which was far out of proportion to any danger the group actually posed if at all, and ended in both cases in disaster. In one case, the Satanic Panic, there was a widespread belief, including among law enforcement, in a cult which probably never even existed as claimed. On the other hand, a few cults have on some occasions posed a genuine threat to society or to themselves; well-known examples include the People's Temple and Heaven's Gate mass suicides, the sarin gas attacks on the Tokyo subway by the Aum Shinrikyo cult under the orders of Shoko Asahara, the spreading of salmonella at salad bars in The Dalles, Oregon by the Rajneesh movement in order to influence local elections and take over the city, and criminal harassment of critics and ex-members by Synanon. On yet the other hand again, the fact that there have been truly dangerous cults has led to a general overuse of the term, fed especially by the Internet in which web sites exist accusing everything from Amway to Alcoholics Anonymous to Wikipedia of being cults. The situation is such that any faddish self-help movement or new religious movement has to contend with suspicion that it is a cult until proven otherwise, especially if the group has a charismatic leader or guru associated with it. Many of these groups may be teaching pure woo, but the next People's Temple they aren't; unfortunately the problem is that human nature is such that there will be more truly dangerous cults but it is hard to tell in advance which new group will turn out to be one, among all the eccentric but relatively harmless groups.
[edit] Warning signs of a potentially destructive cult
With that said, there are several warning signs that can be used to indicate when a religious group has gone from "harmless, quirky woo-meisters" to an active threat to its membership and even to others.[2]
[edit]Warning signs of a potentially unsafe group/leader.
Offers promises of a new life, a "spiritual resurrection", a rejection of former life which to many desperate people is simply irresistible. Therefore, easy to be pulled in.
There is no legitimate reason to leave, former followers are always wrong in leaving, negative or even evil. Therefore, extremely hard to leave.
Absolute authoritarianism without meaningful accountability.
No tolerance for questions or critical inquiry.
No meaningful financial disclosure regarding budget, expenses such as an independently audited financial statement.
Unreasonable fear about the outside world, such as impending catastrophe, evil conspiracies and persecutions.
Former members often relate the same stories of abuse and reflect a similar pattern of grievances.
There are records, books, news articles, or television programs that document the abuses of the group/leader.
Followers feel they can never be "good enough".
The group/leader is always right.
The group/leader is the exclusive means of knowing "truth" or receiving validation, no other process of discovery is really acceptable or credible.
[edit]Warning signs regarding people involved in/with a potentially unsafe group/leader
Rick Ross's Cult Education Institute lists the following warning signs:[3]
Extreme obsessiveness regarding the group/leader resulting in the exclusion of almost every practical consideration.
Individual identity, the group, the leader and/or God as distinct and separate categories of existence become increasingly blurred. Instead, in the follower's mind these identities become substantially and increasingly fused--as that person's involvement with the group/leader continues and deepens.
Whenever the group/leader is criticized or questioned it is characterized as "persecution".[4]
Uncharacteristically stilted and seemingly programmed conversation and mannerisms, cloning of the group/leader in personal behavior.
Dependency upon the group/leader for problem solving, solutions, and definitions without meaningful reflective thought. A seeming inability to think independently or analyze situations without group/leader involvement.
Hyperactivity centered on the group/leader agenda, which seems to supersede any personal goals or individual interests.
A dramatic loss of spontaneity and sense of humor.
Increasing isolation from family and old friends unless they demonstrate an interest in the group/leader.
Anything the group/leader does can be justified no matter how harsh or harmful.
Former followers are at best-considered negative or worse evil and under bad influences. They can not be trusted and personal contact is avoided.
International Workers Party/New Alliance Party (see Social Therapy)
"Juche", which, among other things, features the worship of Kim Il Sung and Kim Jong Il, adding a strong religious component to the officially purely political and atheist ideology.
According to many Christianfundamentalists, any sect that does not agree with their doctrines is a cult, though they are less pernicious than many of the above groups. Examples of such sects include:
Soviet leader Nikita Khrushchev's 1956 secret speech "On the Cult of Personality and Its Consequences" was the outing of the late Joseph Stalin as being a cult figure. The unfortunate Mao Zedong was to suffer a similar fate a few decades later.[7]
Nassim Haramein (b. 1962) is a Swiss amateur physicist. Haramein claims to have developed, in collaboration with academic-but-fringe physicist Elizabeth Rauscher, a Unified Field Theory that he calls the Haramein-Rauscher Metric.[1] According to Haramein, this "metric" is a new solution to Einstein's Field Equations that incorporates torque and Coriolis effects. He is also the founder of the Hawaii Institute for Unified Physics and the Resonance Project, a website and foundation addressing his unified physics. Despite his claims, Haramein's work is unacknowledged by mainstream physicists. The only people who take him seriously tend to be fans of Coast to Coast AM (where he has appeared on several occasions[2]). Selections from his talks are available on YouTube. Many of his papers can be downloaded from his website (he doesn't even get his stuff onto arXiv). Wikipedia articles about him were repeatedly deleted on notability grounds.[3]
Haramein claims his theory explains the origin of spin, which he defines as a "spacetime torque." He claims that his amendment to Einstein’s field equations, incorporating torque and Coriolis effects in "'plasma dynamics'"[4] interacting with a "polarized geometric structured vacuum", produces a unified field theory. Further, he and Dr. Rauscher have developed a "Scaling Law for Organized Matter"[5], which characterizes all matter from subatomic to galactic and universal size as various sized black holes. His unified field theory and the fractals associated with this "Scaling Law" are integral to his concept of a "Holofractographic Universe". There's also something in there that uses the real field of cymatics[wp] to support his idea of "resonance".
Drawing on the aforementioned "Haramein-Rauscher metric," Haramein proposed "the Schwarzschild proton," a theoretical model of the proton in which two black holes "orbit" one another. It may sound impressive, but it's almost entirely inconsistent with experimental observation. Anyone with even a basic knowledge of quantum mechanics knows that classical "orbits" do not apply at the scales addressed in his paper. A blog titled "Up" ran a number of posts debunking the Schwarzschild proton model.[6][7][8] The paper describing the model is available for download from his website. Now that his Schwarzschild Proton paper has been debunked, Haramein claims to have published a new paper, "Quantum Gravity and the Holographic Mass" in the Physical Review and Research International Journal, at ScienceDomain International. Physical Review and Research International Journal is in fact not a scientific journal, but an "open peer reviewed" website where anyone can pay a fee and have their "research""peer-reviewed" and then "published" on the website.[9]
Haramein was featured prominently in the conspiracy theory movie Thrive, where he discusses the fundamental shape of the fabric of space, as well as potential extraterrestrial involvement with Earth throughout history.
He directed and stars in The Black Whole, a 2011 documentary-type movie starring Haramein and his "vacuum is the key to everything" claims. In the movie, he addresses the little he understands of quantum mechanics, the phi ratio, tetrahedrons, symmetries in the structure of the vacuum, and, of course, black holes, which, according to Haramein, are everywhere and everything; we are constantly appearing and disappearing at the speed of light, so, half of the time, we are vacuum, made of "blocks" of 64 tetrahedrons, arranged in such a way that a mini-black hole is created right at the centre of each "block", thus proving that we all have four sides.[10]
In his DVD box set, Haramein discusses, in addition to his unified field theory, topics including the Ark of the Covenant, the Knights Templar, Emmanuel's Tomb, Kabbalah, and something he calls "the Tree of Life Decoded".[11] In at least one lecture, Haramein claimed to decode crop circles.[12]
↑ N. Haramein, M. Hyson, E. A. Rauscher, Proceedings of The Unified Theories Conference (2008), Budapest, Hungary, Scale Unification: A Universal Scaling Law for Organized Matter, in Cs Varga, I. Dienes & R.L. Amoroso (eds.)
I had a copy of this book many moons ago. It seemed quite interesting. What follows though is article on another book by Anthony D Duncan, and is reviewed in the following article....Blogger Ref http://www.p2pfoundation.net/Multi-Dimensional_Science
In 1533 Cornelius Agrippa remarked – “The outstanding question is this: why is it that although magic originally occupied the pinnacle of excellence in the judgment of all the ancient philosophers and was always held in the highest veneration by those great sages and priests of antiquity, subsequently (from the beginning of the rise of the Catholic Church) it became an object of hatred and suspicion to the holy Fathers, and was as last hissed off the stage by the theologians, condemned by the sacred canons and, in the end, outlawed by the judgment of all laws?” Anthony Duncan’s The Christ, Psychotherapy and Magic went a long way to repair the rift and become the first Christian cleric to consider Magic in non-hissing tones for quite some time. Duncan’s study, first published in 1969, is aptly subtitled A Christian Appreciation of Occultism, because the author is willing to suspend his natural inclination to take umbrage and allow himself consult the tenets of occultism with an open mind. Indeed, The Guardian quipped at the time – “Now at least one clergyman has got the point and in this book urges his fellow Christians not to dismiss occultism either as a cranky fad or as ‘a black art’.” With a particular focus on the Qabalah, and without the usual condemnation, he manages to find much common ground between various occult teachings, the Christian perspective, and recent developments in psychotherapy. The Christ, Psychotherapy and Magic largely came about due to Duncan’s blossoming relationship with leading occultist, Gareth Knight, and his book is still often taught alongside the latter’s Experience of the Inner Worlds. The pair indulged in an intellectual and spiritual engagement that led to an important cross-pollination of their ideas. They both gave lectures at Hawkwood College and continued to correspond until Duncan’s passing in 2003. Indeed much of this book draws on the work of Gareth Knight and his spiritual mentor, Dion Fortune, as Duncan appraises the theology and assumptions of occultists and examines how Christian mysticism coheres with the Tree of Life. In his introduction Duncan summarizes the book thusly: “The book is in three parts. The first consists of three essays which will seek to establish the origins from which the Qabalistic tradition has sprung. These will discuss Gnosis and Gnosticism, the Qabalah in Judaism, and the relationship between magic and mysticism. My debt, in this part, to the scholars Sydney Spencer and G. G. Scholem is considerable, and will be very obvious to those who are acquainted with their excellent books Mysticism in World Religion and Major Trends in Jewish Mysticism respectively….” “The second section contains an examination of the Qabalah as it is found in the modern occult tradition. Here too my debt to other writers is considerable, and I have sought to let the occultists speak for themselves as far as possible, and have quoted at length from a number of authorities, chiefly Dion Fortune and Gareth Knight…” “The third and last section deals with the practical applications of Qabalistic occultism; its meditational techniques and their affinities with modern psychotherapy. The relationship between occult meditation and Christian prayer is examined and a short study is made of ceremonial magic and clairvoyance…” This is perhaps the text that Anthony Duncan has become most known for and following on from the reissue of his excellent esoteric novel, Faversham’s Dream, it is clear that Duncan is the sort of all-rounder that excels in many forms of writing and scholarship. The book is a compelling study in equal parts history, theology, philosophy, social criticism, anthropology, mysticism, iconography and psychology. Duncan appears equally at home in any of these disciplines although not without courting challenge and controversy. Some Christians will be outraged by his willingness to consider the occult in a new light and some occultists will be incensed by his findings – but the very attempt is noble. Comparative religious studies were not ‘chic’ at the time of its writing and although there were many Anglicans in the lodge traditions, as well as professed ‘Christian Qabalists,’ the syncretism and sharing hasn’t always been encouraged. What makes this book relevant 40 years on is that Duncan’s lucid and considerate voice can still lead the dialogue between the two traditions and promote more harmonious interchange. Skylight Press is honoured to reintroduce the important and timely work of Anthony Duncan to the world. The Christ, Psychotherapy and Magic is available from various retail outlets such as Amazon, Amazon UK, or direct from the Skylight Press website.
“To think without fear is to occupy a position from which the mind can be led into an ever more profound participation in Mind Itself. This is the quest, not for Knowledge, or even for Understanding, but for Wisdom. Wisdom carries with it a sublime and all-transcending contentment, not necessarily to know, nor even necessarily to understand, but to accept joyfully, with an unconditional love…” To Think without Fear is a new and previously unpublished book by the late Reverend Anthony Duncan, author of The Christ, Psychotherapy and Magic and many other wonderful titles. It might be more accurate to describe this ground-breaking work as ‘previously unpublishable’ but thankfully it has now come to light in a more open age. The author, although a Christian cleric, openly and frankly examines the experience of communication with “extra-terrestrial” contacts, and the leaps of faith and mutual acceptance on which such contact depends. He considers that many reported experiences of the extra-terrestrial are essentially objective and real, and that there is a common, underlying dynamic which is prompting an increasing – and increasingly varied – pattern of visitations. But who or what are these visitors? Do they come from elsewhere in our Universe or from another Universe altogether? Do they travel here across space or by a shift of wavelength? And how do they fit into the pattern set by the Incarnation of Christ? Duncan suggests that the first step towards an answer is to simply let go of our fear. It is fair to say that there has been a plethora of books on alien visitations, abductions, ancient architectures, etc., but few from this particular vantage point. In stripping away all the normal prejudices and fears Duncan willingly wrestles with challenges to what we know of science, religion, psychology and philosophy. Far from being yet another stock collection of alien sightings and spooky phenomena this work really questions what it is to be humanoid, to be fallen, to be dependent upon states of grace. He traverses the idea of folk memory just as willingly as the vistas of space in search of cosmic companionship. The notion that humans are ‘recreated,’ constantly modifying each other, becomes a unique demarcation in the face of all possible parallels and pluralisms. Perhaps the greatest gift of the book is the author’s willingness to try and inhabit the mind of other, how they may be guided by scarcely fathomable structures and processes, and what it means for them to confront both the ‘atmosphere’ and the ‘aura’ of the human realm. Although presented from a Christian perspective, the book offers a sane and sensible discussion of a controversial subject by a priest and mystic who has never been afraid to think and minister beyond conventional boundaries. Indeed he anticipates quantum theory in his redefinitions of space and time, which allows for the possibility of visitations on other planes and realms. What happens to our archetypal notions and avataristic experiences when the life of the mind and the soul are stretched beyond earthly constraints? The book concludes with the author’s personal encounters – not just with the alien other but with the mechanisms of fear that hold us all back. Skylight Press is thrilled to publish this little treasure and present more works of Anthony Duncan to the world. To Think Without Fear: The Challenge of the Extra Terrestrial is now available from various retail outlets such as Amazon.com, Amazon.co.uk or direct from the Skylight Press website.
I originally tried writing up a metaphysical Theory of Everything as a series of rather technical pages. But this remained too heavy and difficult, and disjointed. Moreover, I was involved in my science fiction project Orion's Arm, so could not devote myself full time to the philosophical thesis. Recently, I have been dedicating myself more intensely to self-transformation, and in addition have been rethinking my Theory of Everything and the concept of an integral paradigm, and the role of integral (in the sense of the term used by Ken Wilber) philosophy and spirituality in contributing to a new civilization. The following therefore is a reworking of these various ideas. This essay itself has been transformed as it has been written, so that the current version is rather different to the original. Summing it up in a nutshell, the current thesis is concerned with the nature, dynamics, and evolution of Consciousness and Reality, which can be mapped according to a number of specicific parameters. Upon this grand canvas, all the more specific details about the nature of the individual and the cosmos, and the various fields of human knowledge, can be painted.
The need for a Universal Paradigm
The paradigm being presented here differs in many, if not most, of its assumptions so radically from the currently accepted "consensus reality" that the reader coming from that background may be inclined to reject it out of hand. However, as Charles T Tart (Tart 1975b) points out, the current consensus paradigm (Tart uses the example of Western Psychology, but one might give very a similar illustration using Peer-Reviewed Science, Postmodernism, or any form of academia) there are a surprisingly large number of unquestioned assumptions or givens that are in the background and subtly influence the overall perspective. For example "We Can understand the physical universe without understanding ourselves" (p.69), "Each man is isolated from all others, locked within his nervous system" (p.74), "the physical body is the only body we have" (p.82), "reasoning is the highest skill possessed by man" (p.88) "Almost all important knowledge can be transmitted by the written word" (p.91) etc etc Hence to adopt a secular scientistic/modernist/postmodernist perspective is to take an arbitrary perspective, which involves assumptions that are just as biased an irrational as any premodern worldview. What is needed is a Universal Paradigm, one that includes everything, and excludes nothing. Such a Universal - or as Ken Wilber calls it, Integrative (2000b p.xv) or Integral (2000a pp.74ff) - approach can accommodate the physicalist paradigm without being limited by it; physicalism is just one part (or perspective) of a much larger whole. Only such an all-encompassing framework can unify the currently isolated fields of knowledge, and provide an answer to reductionist materiliasm on the one hand, and fundamentalist religion on the other.
What does "Integral" mean in this context?
The word "integral" was originally used by Sri Aurobindo to describe the yoga he taught (integral or Purna ("Full") Yoga), which involves transformation of the entire being, rather than, as in most other teachings, a single faculty such as the head or the heart or the body. The term was adopted by Jean Gebser who proposed that human consciousness evolves in a an ascending series from archaic through magical, mythical, mental, to the aperspective and finally the integral. These ideas were then incorporated by Ken Wilber, who also adopted Gebser's definition of "integral" to define his own philosophy. The current "integral movement" is very much the result of Wilber's tireless efforts at getting this larger paradigm accepted by the postmodernist and sceptical mainstream academia. And, while identifying with the integral movement, I feel it is time for the next stage, a new metaphysic based on a more complete integration of phenomenological, esoteric, and scientific thought. The current essay is a proposal in that direction. As a general reference point, Sri Aurobindo's yoga and philosophy is employed here. It is suggested that this as the most all encompassing (most integral) representative of the esoteric traditions.
The Changing Zeitgeist
Steven Guth suggests that we are in a phase where the old theories are seen to no longer work - even if you make them bigger and more complex. the parameters are changing. Ken Wilber's increasingly elaborate (with each successive phase) philosophy is an example of this. A new language set is needed. But many find this disturbing; they access it because it lacks a thought form to find, connect and hold onto. A few words about thought forms. Every philosophy and spiritual teaching is only comprehended by the established thought-form, the shared consensus understanding or concensus reality , which is definied in the canon of a particular writer or religion. Aurobindo works because he has established a thought form (in the form of his multi-volume collected writings, and his followers and their books and conversations and real and virtual community). Wilber works for the same reason (the Integral Instiutute, Integral Movement, his own voluminous literary output, and his followers). Steiner, Blavatsky, Harmonic Convergence, Western Science, Christianity, Islam, Buddhism, they are each all the same (in Wilber's system this is the "worldspace" or Lower Left Quadrant) If you don't have a thought form, words, and concepts, the mind cannot apprehend it. And because a new thought form is needed, even this revision must utilise the thougfhtforms of those who have gone before, as a foundation stone or launch platform so to speak. And if this current integral paradigm is of value, it is only because we "stand on the shoulder's of giants", in Newton's famous phrase.
A note about these tables
In this essay you will find a lot of tables, along the manner of Wilber's tables at the back of several of his books (Wilber 1980, Wilber 2000a). The purpose of these is to show how everything fits together, and the same realities are being independently described and represented, albeit incompletely, and with various gaps and lacuna. It is very much like the situation of geological and paleontological stratigraphy. Of course care must be taken not to pigeon hole these other ideas so they fit to one's own preconceptions (e.g. Wilber's correlations of Kabbalah, Sri Aurobidno etc are completely off) I first began drawing up these sort of tables when I was only about 21 or 22; I can't recall if it was after seeing similar tables in the back of Wilber 1977 or Wilber 1980; probably it was. I applied the tables to showing how different esoteric teachings all referred to the same ontological spectrum of being, abnd followed this premise for a long time. But more recently (especially when working on the current thesis) I have realised that there is not just a single parameter or axis, but a number, and that different esoteric, occult, and metaphysical teachings may be describing completely different realities and sequences. For this reason I have only tried to match up similar worldviews or theories, and not correlated completely unrelated ones.
Inevitably, every worldview (no matter how widely held, or how eccentric) rests on certain assumptions. Since we are trying here to explain literally everything, in an Integral and consistent manner, and since we do not wish to begin from a pre-existent bias (scientism, religionism, whatever) , we need to find assumptions that are similarily universal.
I propose that a truly integral (and hence all-encompassing and universal) paradigm should include the following essential points
a methodology and epistemology based on phenomenological experience, a variety of states of consciousness, and empathetic awareness rather than only objectivist empiricism and depersonalisation (which is not to deny that objectivist empiricism has its place, even if depersonalisation never does). Such an epistemological methodology would take into account all experiences and phenomena, regardless of whether or not they fit one's preferred paradigm.
a metaphysic or worldview that, in understanding reality, incorporates all approaches, science and esotericism, perennial philosophy and postmodernism, in a way that enhances each, while not being limited by the shortcomings of each. Such a worldview must encompass and build upon, rather than deny, misinterpret, or run away from (as Creationism and some forms of New Age woolly thinking do), the discoveries of science as far as the physical reality goes, and the insights of occultism as far as non-physical realities go. In other words, a cosmology that includes material, occult, and spiritual realities in a single grand and coherant whole
A perspective based on spiritual receptivity and gnosis rather than physicalist scepticism, religious literalism, or cultic naivity
a polity and society in which monolithic centralisation and authoritarian hierarchism is replaced by distributed networks in which any who have the ability to contribute may do so, if they so wish
a moral insight that is empathetic and pancentric (taking into account all sentient beings) rather than anthropocentric
a spiritual process that involves all the faculties of the being, rather than just one
an evolutionary process of collective and global transformation
Above all, fluidity and plasticity in all things - if something is shown to be in error, then it is either discarded or corrected
The first four are theoretical, the remaining four practical. Regarding point 1, an epistemological methodology, I find only an empirical-phenomonological approach such as represented by (and combining and synthesising) Buddhist self-analysis, Jungian and Transpersonal Psychological openess to archetypal experiences, and a Cartesian-Husserlian radical revisioning of everything previously taken for granted, would be up to the task. Scientific method, while invaluable as a sub-methodology, doesn't work globally because it is too selective, due to its rigid exclusion of subjectivity. And pre-biased dogmatisms of rationalism, religionism, etc, are much worse. However, the scope of scientific method can be broadened (but not made completely universal) through the application of State-Specific Sciences With point 2, Ken Wilber's philosophy (e.g. Wilber 2000) is the most complete attempt so far, but he is still much too bound to a postmodernist physicalism (as shown by his rejection of occultism and of metaphysics). In this essay I have proposed a much broader and more organic worldview, one that is not afraid to declare itself "metaphysical". What is required is a bringing together of many different "maps" of reality, including the vast canon of western scientific knowledge, the various esotericism traditions such as Neoplatonism, Tantra, Sufism, Kabbalah, Hermeticism, Theosophy, etc, the psychological insights of people like Freud, Jung, Assagioli, and Grof, the visionary insights of Teilhard, Sri Aurobindo, Edward Haskell, Erich Jantsch and others, and more, in a grand "hedgehog" theory. Such a project is not new, it is something already attempted (as mentioned) by Ken Wilber, and before him, by Hegel, although with not completely satisfactory results. This is because even the grandest theoretician of everything still has some a prior starting point or bias that shapes the way they put things together. For Hegel it was Christianity, for Wilber it is Adi Da, and - putting my own cards on the table here - for me it is Sri Aurobindo and the Mother. Whether you the reader find my own attempt satisfactory or not is something you must decide. However this essay is not intended as a dogma, only as a starting point for further discussion and exploration. Regarding point 3, Michel Bauwens (Bauwens 2005) has laid the foundation with his suggestion of peer-to-peer networking, which eliminates hierarchical authoritarianism. I would like to extend this methodology further, by applying it to the realm of spiritual, esoteric, and metaphysical enquiry Previously, metaphysics and esoterics has been the work of a single philosopher or visionary or yogi, presenting their own experiences and understanding. The downside is that this had led to fixed religions and dogmas, mental rigidity and literalism (at its worst, fundamentalism), and in some cases (both traditional and modern) spiritual authoritarianism. The way to avoid this is through a collective approach, by a community of gnostics and esotericists. This might be the seen on the one hand as esoteric version of Wikipedia or Principia Cybernetica, but not limited to the physical or rational consciousness, and on the other the "virtual" equivalent of "new age" or spiritual centers while not limited to a single locality or orientation. The collective or collaborative approach, as in the Principia project and the Wikipedia, can create consensus while at the same time avoiding the authoritarianism of old-style literalism and conformity. The problem is however that metaphysics and esotericism is a Visionary, experiential approach. This is the opposite of western secular science, history, etc which is based on objective verification of facts through scientific and literary critical approaches. How does one arrive at a visionary consenus, and avoid an integral philosophy being reduced to insipid "lowest common denominator" spirituality? Michel Bauwens suggests (in an email) a wiki-style mega-structure, in which different people can add different perspectives. In this way integrity of the original version can be maintained, and a committee could be formed to validate the final version. This would involve a three-tiered structure: the master version (1), the collective draft (2), a communally validated version (3). 3 is akin to scientific peer review, a form of quality control. An alternative approach would be to just put this paper on a wiki and see how it evolves from there; anyone who is interested could contribute there own insights and perspectives, as long as this does not try to inforce a limited, biased (whether cultic, religious, reductionist, hwatever) or sectarian perspective. The result would be an esoteric integral wikipedia type format, in which equal weight is given to both scientific-empirical and non-physicalist perspectives and insights. Point 4 determines everything. If you look at the world through secular eyes, you will only accepot those things taht correspond to that paradigm, just as a fundamentalist, for example, will only accept those elements of science that agree with or do not threaten his own belief-system, but reject the rest. e.g. astronomy is fine because it shows the magnificence of God's handiwork, but evolutionary thought is verboten. In the same way, in order to create a truely integral worldview, we need a broader, wider, more receptive awareness. Point 5, a new moral perspective, is shown by the environmental (Greens) movement, animal liberation (Singer 1990), the "alterglobalisation" movement, and consideration for the rights of all humans and non-humans, not just the ruling social class. John Heron's suggestion (Heron 1996) of co-operative inquiry and a "participative paradigm" (which asserts the participative relation between the knower and the known) is also important here; if you see the Other as an object, you can exploit him/her/it without qualms of consciense. Point 6 is illustrated by the Integral Yoga of Sri Aurobindo, in which all faculties of one's being - physicall, vital, mental, psychic, and spiritual, are developed. In this it is very similar to the Gurdjieff-Ouspensky Fourth Way (which develops simultaneously the "moving", emotional, and intellectual centers), except that it is explained more clearly, and involves a Divine Transformation absent in the Gurdjieff tradition. The beginnings of point 7 might be said to be represented by various "new age" spiritual centers such as Auroville, Findhorn, and Lindisfarne, but this is still only the beginning. For ultimately the transformation has to go beyond these isolated centers to reach a wider consciousness, and this will never happen while information is centralised in the hands of monolithic media corporations, exoteric religious instiuitutions, and totalitarian regimes and lowest common denominator democracies. The Internet and the birth of decentralised virtual communities constitutes perhaps the best option in which this can take place. Postmodern epistemological critiques argue that knowledge is relative to the individuals perspective. An integral theory of Reality has to incorporate various alternative modes of inquiry, each with their respective advantages and disadvantages. What one chooses to believe is usually a combination of cultural upbringing and other environmental factors, psychological type, personal experiences and states of consciousness, receptivity to other realities, and empathy or lack of empathy with the insights and exeriences of others. All of which makes for sectarian or ideological; differences. The best thing is to combine them, to emphasies the advantages and get rid of the disadvantages. What is required also is a special methodology based on phenomenology and mystic experience (just as science is based on empirical Popperian methodology). I propose that all knowledge (which includes western secular scientific, literary critical, and postmodernist knowledge) begins from individual empirical and/or phenomenological experience. First, a definition of terms:
consciousness - individual awareness or "I-ness", and all the datums of experience it encompasses/illumines/experiences/contains
datum of experience - any observation, perception, sensation, thought, feeling, volition, intuition, experience, revelation, or anything else that occurs to, in and/or as (relative or absolute) consciousness. Kant's phenomena
explanation - any theory, hypothesis, belief, worldview, paradigm, doctrine, or dogma that creates a verified or an arbitary knowledge "map" of relative and/or absolutereality on the basis of one or more datums of experience. In the Zen parable (finger pointing at the moon) this is the "finger".
reality - that which is, the nature of things, either a small aspect of the whole ("reality"), or the entire whole ("Reality" - see "Absolute"). Kant's noumena. In the Zen parable (finger pointing at the moon) this is the "moon"
Expectation set- the set of expectations, preconceived biases and opinions, cultural background, and so on, that prejudice or distort a datum of experience so as to make it conform to the preconceived explanations of the individual who has the experience
confirmation/proved - when sufficient (which may be one or more, depending) datums of experience agree with an explanation (or that explanations predictions)
falsification/disproved - when sufficient datums of experience conflict with an explanation (or that explanations predictions)
consensus reality - a map or model or explanation of reality that is agreed upon by two or more (usually much more - e.g. a whole society or civilization) individuals. Consensus reality usually incorporates a combination of verified and arbitary knowledge. See also the wiki page on this
verified knowledge - an explanation that has been confirmed or proved enough times by enough datums of experience to be considered reliable ("true") and taken on trust - e.g. "the Earth is round" or "fire requires oxygen" are examples of verified knowledge. Civilization and science rests on a body of verified knowledge (mixed with arbitaryconsensus reality)
arbitary knowledge - an explanation that cannot be considered reliable, either because it has not yet been confirmed by enough datums of experience, and/or because it has been falsified) e.g. "sex before marriage is a sin" is an example of arbitary knowledge
Absolute - the totality of reality in itself, or a perspective that embraces or corresponds to It.
relative - a (usually very small) part or aspect of the total reality, or a perspective that corresponds to it.
weighting - the amount of significance given to a datum of experience, as regards its value in formulating or contributing to or proving an explanation.
Methodology
The following is suggested as basic methodological working principles or assumptions in formulating a new integral paradigm or Theory of Everything.
1. Every datum of experience is worthy of consideration, and should be considered without bias (phenomenology). In other words, to begin with, every datum of experience should be considered without "weighting" of the experience. i.e. a "hallucination" should not be considered "less real" than a physical sensation. 2. Because every datum of experience is coloured by earlier experiences, the experiencer's own worldview, and the general expectation setting, an experience that corresponds to those expectations is less remarkable (and hence requires negative "weighting") than one that doesn't. e.g. if an Evangelical Chrsitian experiences a vision of Jesus, that is not very unusual. But if a non-western Buddhist or Animist does, that is. 3. Where either the same or a similar datum of experience is independently reported by more than one individual or doctrine, without them both being biased by the same expectation set (point 2 above), that lends support to its significance (i.e. it can be "weighted" and considered "more reliable". e.g. if one person reports being followed by 2 meter long cockroach, this would have less credence then if several individuals indeprendently report the same experience). 4. Likewise, where a datum of individual experience corresponds to an event outside the sphere of that individual's consciousness, that also lends support to its significance (i.e. it can again be "weighted" and considered "more reliable". This does not have to refer to secular-materialistic, scientistic, or religionistically agreed upon facts; it could be something like an astrological event). (empiricism) 5. Every explanation (including this one) is to a greater or lesser degree partial or ideoscyncratic (it is biased by the individual or group that formulated it) and hence "imperfect" or non-Absolute 6. Where there is a contradiction between two explanations, the more inclusive one (i.e. the one that plausibly explains the largest amount and range of datums of individual experience and/or verified knowledge is to be preferred 7. Where there is a contradiction between an explanation, and either datums of individual experience and/or verified knowledge, the explanation should be considered in error (falsified) and either modified or discarded (i.e. change the theory to suit the facts, don't change the facts to suit the theory) (c.f. Karl Popper's theory of science (Falsification)) 8. Where either the same or a similar explanation has arisen two or more times, that lends support to its significance (i.e. it can be "weighted" and considered "more reliable"). (Perennialism) 9. Adherence of an individual experience to a particular paradigm or fixed worldview that fits the expectation set should never be considered an argument for that experience's or explanation's validity. In fact we should look for experiences that conflict with the paradigm, these are the ones that tell us something about the universe and how reality works.
In addition to this we have the two secondary methodologies of Esotericism and Western Science (The latter can itself be classified as only one of a potentially inedifinite number of State Specific Sciences, albeit the largest and best established). Both depend on the primary epistemological phenomenology outlined above for their validity. e.g. scientific experiementation still occurs within the consciousness of the scientists doing the experiements or making the observations, even if the objects being observed exist in their own essence outside their consciousnesses, and their records and observations form part of a larger "noosphere" or memetic totality. And in the same way, the various esoteric teachings are generally the doctrinal - even the ossified - formulations of what were originally actual experiences by anonymous yogis and "psychonauts". The exceptions here are those like Rudolph Steiner and Sri Aurobindo who are actually recording their experiences. Even there we can only read about their experiences, their experiences are not real until we participate in the reality they are describing.
Epistemology - what do we know about knowing
Before we we can know anything, we have to know how we know. Hence Epistemology; the study or science of knowledge. Where to begin? How about an appeal to authority, by considering the most respected and/or reliable sources? First off, we can leave out belief-systems based on denial of datums of experience. For example Scientism, Naive Naturalism and reductionism denies phenomenological facts of psychic and paranormal experiences, Creationism and Fundamentalism denies empirical facts in the fossil record, radiometric evidence of ancient Earth, etc; both deny mystical and pantheistic experiences. We can also leave out belief systems that are patently absurd - e.g. literal Judeo-Christianity says a supernatural God made Adam out of clay, and Eve out of his rib - or contain serious inconsistencies or historical biases. Some good candidates then are Western wisdom, embodied by Plato (respected as the main source of Western philosophy and even theology (via Augustine etc)), Eastern wisdom, represented by Nagarjuna, Shankara, etc (based on mystical experience rather than on religious dogma), and modern secular wisdom of Science (which has revealed amazing things about how the universe works; in a manner that none of the other systems of knowledge were able to do; hence it deserves our respect). What do each of these authorities say about knowledge? We find that according to Plato there are four types of knowledge, which from the least to the most reliable is: aesthesis (sense-knowledge), doxa (opinion), episteme (knowledge based on reason), and gnosis (spiritual knowledge) Obviously, Plato wasn't impressed with evidence of the senses. If we look at Eastern philosophy we find either the trilogy (again from least to the most reliable) of Illusion (Parikalpita or Pratibhasika), Empirical (Paratantra or Vyavaharika; this would be Plato's aesthesis and episteme perhaps), and Absolute (Paramartha or Paramarthika, which would seem equivalent to Plato's Gnosis), or at the very least the duality of Realative (Samvriti) and Absolute (Paramarthika). Finally, Western Science considers only observation from the senses and from instruments etc, which are confirmed or falsified through successive observation and/or experiment. Science in itself neither supports or denies metaphysics. This gives us:
* according to the strict phenomonological premises adopted by Moshe Kroy, every experience is valid. However one could say that the interpretation of that experience may be correct or incorrect.
Although the above is presented in a hierarchy, one could equally say that all forms of knowledge tell us something about reality, even if it is only about relkative reality, or, even more limited, about an incorrect understanding of relatiove reality. We will return to the subject of hierarchy (a dirty word in post-modernism and "politically correct" thinking, although Ken Wilber (Wilber 2000, pp.x-xi) provides a good argument in favour of some sort hierarchical framwork.) Obviously, one can postulate many more than just three levels, in fact one could even say that every metaphysical reality (see following scetion) has its own form of knowledge that corresponds to it. But to keep things simple we'll keep it at just three. So, it is suggested here that every datum of experience is valid, but an explanation or belief system that is derived first or second or third or tenth hand from such datums, is either (a) illusiory, (b) relative but valid, (c) points to the Absolute (the Absolute itself cannot be conveyed in conceptual terms), or (d) a coombination of two or all three of the preceeding What does it mean to say that every datum of experience is valid, but the explantion may or may not be? Ok, take Near Death Experience (NDE). According to one physicalist theory, this is a hallucination. The reasoning goes:
(a) when the brain is starved of oxygen it hallucinates. (b) when heartbeat, breathing etc stop the brain is starved of oxygen (c) therefore NDEs (which occur during outward cessation of vital signs) are hallucinations.
Not only is this theory bad logic (along the line of assuming that because A is an attribute of x and B is an attribute of x, therefore A must always equal B), but it is falsified by the fact that OBEs (out of Body Experience) are very similar to NDEs, but these are not triggered by cessation of oxygen supply to the brain. If we look more clearly at the above theory we see it is inspired by a preconceived bias or explanation, which is physicalism. The scientist or neurologist begins as a physicalist, and that prejudices everything (they also have the added hassle of trying to explain or explain away OBEs). So the NDE experience itself (as reported by survivors), is a valid experience. But the explanation may not be. The above is an example where there is a clear dichotomy between experienceand explanation. But much more often there is cross contamination between the two (point (2) of the Basic Premises). e.g. When the born-again person claims to have experienced Jesus, it (the explanation) isnt necessarily Jesus, even though the experience itself is valid. But the experience is itself coloured by a prioor expectations and prejudices (e.g. reading the bible, talking to other evangelicals), which then (via the subconscious, or even the conscious) appear in the experience. This is then taken as "proof" that the experience is valid, the result being a feedback loop. And of course the fact that a Hindu will see Krishna and not Jesus falsifies the experience, but this is conveniently ignored by evangelicals themselves, as it would falsify their entire belief system. In short, the one rule here should be: include every experience. Even if the experience is a subjective "hallucination" , it still needs to be explained. That is also why those teachings and worldviews that are based on negation - e.g. fundamentalist religionism rejects evolution and process, sceptical physicalism rejects psychic experiences - cannot be used as guides, the way that more embracing theories and explanations can. If there are facts that don't fit one's theory, it is necessary to expand and develop the theory so that they do, not misinterpret and distort or ignore the facts!. Also
Because the terms "state of consciousness" and "altered state of consciousness" have come to be used so vaguely as to be almost meaningless, in the 1970s Charles T. Tart proposed two new terms, "discrete state of consciousness" (d-SoC) and "discrete altered state of consciousness" (d-ASC) as more precise scientific usage (Tart 1975, Tart 1975a, Tart 1978). A d-SoC is a unique, dynamic pattern or functioning of consciousness, a configuration of psychological structures, an active system of psychological subsystems. Such sbsystems include exteroception, interoception, input-processing, memory, emotions, sense of identity, etc (Tart 1975). While this pattern will show some variation within a particular d-SoC, the overall pattern and properties remain recognizably the same. Thus an ordinary d-SoC (e.g. normal waking consciousness) refers to a whole range of experiences in functioning that has a familiar and recognizable "feel" to it. Dreaming, dreamless sleep, hypnosis, meditation, and alcohol and marijuana intoxication are examples of d-ASCs. A d-ASC is any d-SoC that is sufficently different from the d-SoC which is taken as a baseline - usually our ordinary waking state - to have unique properties of its own. It represents a change of some of the component structures or subsystems of consciousness, so that awareness forms a new pattern. The term "Altered" is a descriptive term, with no connotations of being "better" or "worse."
Phenomenology
Traditionally, Phenomenology is a branch of philosophy "that takes intuitive experience of phenomena (what presents itself to us in conscious experience) as its starting point and tries to extract the essential features of experiences and the essence of what we experience" (Wikipedia). It derives both from the Cartesian Method of Descartes (Descartes 1641) and the ideas of Franz Brentano and his school, as united in the work of Edmund Husserl, and was further developed by Maurice Merleau-Ponty and Martin Heidegger. Husserl replaced the dualism of subject and object with the act of consciousness (n. noesis adj. noetic) and the phenomena at which consciousness is directed (n. noema, noemata, adj. noematic). Coming from a western perspective, Husserl saw noesis in terms of the activity of everyday consciousness (believing, willing, loving, etc). However, Steve Odin (Odin 1982) has pointed out some interesting parallels with Hua-Yen Buddhism, in which the noetic or act of consciousness pole is related to prajna, and noematic or content of consciousness is the polarity of figure-ground, form and emptiness (see e.g. diagram ibid p.40) Another eastern development, in this case a merger with Advaita Vedanta, was formulated by Moshe Kroy; there is a good presentation of this in Wilber 2002, although this is not part of the "official position regarding Phenomenology. My own take on phenomenology is even less official. As defined here, Phenomenological Empiricism (the double barrelled name is to distinguish it from Husserlian-Heidegger-etc phenomenology) is the inquiry into the nature of things by taking all experiences as valid and worthy of study. This was also Jung's approach, when he followed through his patients experiences and fantasies and came upon the Collective Unconscious. And Moshe Kroy used phenomenology to study psychic phenomenon, as he considered empirical science and orthodox (Rhinian) parapsychology was totally unsuitable to this task. Indeed, we find that paraspychology is a good example of "the paradigm revolution that failed" (I remember reading an article of this name about 25 years ago, but have not been able to locate it using Google; maybe I have the title wrong), after interest and promising results it is no longer considered of any value by the acdemic community. Instead of a statistical, objectivist-scientific-physicalist approach, a phenomenological-empirical approach can take experiences and states of consciousness as the objects of study. These are authentic items of experience even if the theory or dogma they depend on is obviously wrong. e.g. a fundamentalist has certain experiences which he or she understands to be the "God" of the Judeo-Christian Bible, and thence assumes the Bible is literally true and hence explains the physical universe as 6000 years old etc. The belief is wrong (since all evidence points to a much older universe), but the experience is valid. So, every experience, every item and element of any one's field of consciousness - be it a thought or emotion, dream, vision, hallucination, whatever - is worthy of consideration and study in itself. And as Charles T Tart points out (Tart 1975, Tart 1975a), altered states of consciousness are not necessarily better or worse than the familar baseline waking consciousness. So we have a sort of "democracy" of experiences, all are of equal validity (even if theories and dogmas based on them are not).
Participative Epistemology
By talking about experiences in this way, we are still looking at things from a somewhat solipsistic and "head"-orientated level. This needs to be complemented by a participative methodology, in which there is, as John Heron (Heron 1996) puts it:
"An epistemology that asserts the participative relation between the knower and the known, and, where the known is also a knower, between knower and knower. Knower and known are not separate in this interactive relation. They also transcend it, the degree of participation being partial and open to change. Participative knowing is bipolar: empathic communion with the inward experience of a being; and enactment of its form of appearing through the imaging and shaping process of perceiving it"
This enables a development of a Husserlian style phenomenology, in which every "noema" is itself a "noesis", and vice-versa. The mind-matter, subject-object, self-other cartesian dualism dissappears and is replaced by a monadology of interacting and interrelated consciousnesses.
A Metaphysical "Map" of Consciousness/Reality
Paramology - The Nature of the Absolute Reality (parame - which means the the Supreme reality in Sanskrit).
Quadontology - understanding the "map" of reality and consciousness (here defined as fourfold)
Metaphysics (literally "after (not"beyond") physics", pertaining to the arrangement of Aristotle's writings) is an often amorphous and misunderstood term that is used in various popular contextes to mean pertaining to non-physical or supra-physical reality. But in terms of Western Philosophy, Metaphysics deals with thorny questions like the relationship between mind or spirit and body (the "mind-body problem"), the problem of free will and determinism, the nature of God (Theology) and of the World (Cosmology), the nature of Being (Ontology), and so on. In other words, questions concerning the meaning of existence. Of course, academic philosophers, no longer being part of the original "Wisdom Tradition" of Pythagoras and Plato and Plotinus, cannot really answer these questions, because these questions cannot be answered, proved, or disproved, by rational physical or physicalist means alone. However they do come up with interesting and diverse intellectual arguments, and these can certainly be incorporated into a larger integral worldview.
Conventional Metaphysics
Current Integral Paradigm
Ontology the study of being
Quadontology understanding the "map" of reality (being) and consciousness (here defined as fourfold)
Theology the study of God and questions about the divine reality)
Paramology The Nature of the Absolute Reality (parame - which means the the Supreme reality in Sanskrit).
Universal science
n/a
It has also become trendy among academics of scientistic and post-modernist persuasion to debunk metaphysics, because it deals with things that cannot be "proved" by or to the Physical Mind. But, as already pointed out, so called rationalist physicalism itself rests on a number of unproved, irrational, and yes, metaphysical, assumptions (Tart 1975b). The difference between the reductionistic (anti-metaphysical), holistic-physicalist (post-metaphysical - e.g. Wilberian), and esoteric-metaphysical positions can be illustrated by means of the following example: A person reports experiencing transcendent states. While he or she does so, his/her brainwaves are recorded. The mystical experiences are associated with the same type of brain waves each time. We thus have two items of data: the phenomenological report of the experience itself, and the scientific data of the accompanying neurological states. Form this there are three possible explanations.
The reductionist neurological explanation says that the experience is the result of a certain type of brain activity.
The holistic postmodern explanation says that the brain states and the mystic experience are two aspects of the same thing, both are necessary and valid, and neither is reducable to the other (Wilber 1997); in Wilberian terms, they represent the top right and top left quadrants respectively. Hence the holistic explanation encompasses and goes beyond the reductionistic.
The metaphysical phenomenological explanation presented here says that the brain states and the mystic experience are two different but interacting and interrealted "things"; the mystic experience is the primary consciousness which corresponds to its own non-objectivist-physicalist reality, but while in the physical body that experience is reflected in and has feedback from and with the physical brain activity. Neurology can understand the latter, but not the former (this is what David Chalmers calls the "hard problem" of mind-body consciousness studies (Chalmers 1995, Shear, ed. 1997)). It is suggested here that on the physical level mind and body are aspects of the same thing (see section on monadology), but on the higher level the experience itself is primary. Hence the metaphysical explanation encompasses and goes beyond the holistic.
Metaphysics traditionally is divided into the fields of Ontology (the study of being or existence as such), Theology (the study of God or Gods or the Absolute Reality and questions about the divine reality) and Universal science or the study of so-called first principles, which underlie all other inquiries. Although esotericism and occultism are commonly referred to, or refer to themselves, as metaphysics, this is not strictly correct, because metaphysics is very much an intellectual, philosophical, theoretical discipline. This is not to deny there is some overlap, and most esoteric teachings do deal with at least some metaphysical issues. Moreover, because this section does indeed deal with Ontology and Theology, it could be defined as metaphysics, albeit a very esotericy and occultic sort of metaphysics, which would be most unlikely to be accepted within current academia (but then, neither would most of this essay).
Theology = Paramology - The Study of the Absolute Reality
In formulating a new Metaphysical theory of Reality, there are a number of logical starting points . One can for example begin with the finite individual and explore from there, empirically, psychologically, phenomenologically, and logically, working upwards, downwards, inwards, and outwards. Or one can begin from the unitary Absolute Reality and proceed from that theological, metaphysical and ontological foundation to the world of multiplicity. Bercause the latter serves as the foundation of the former, I have chosen to present the Absolute first. But to begin with the relative world (see Quadontology) would be just as appropriate.
Traditionally, the study of the Absolute Reality (or Godhead or Absolute Consciousness or Enlightenment) in metaphysics falls under the rubric of Theology. However "Theology" refers more specifically to study of the God of a particular monotheistic religion (Aristotle's more philosophical use of the term would probably be better but is not widely known). And this does not apply to things like Enlightenment or Self-Realisation (e.g. when one attains states of enlightenment one doesn't see this anthropomorphic entity standing separate to oneself and to the universe). Therefore the word Paramology is here used to refer to the study of the nature of the Absolute Reality (parame - which means the the Supreme reality in Sanskrit). is used here instead . Hopefully not too clumsy neologism. Of course, we can't really know conceptually and logically what the Absolute is, because the Absolute by its very nature transcends the mind and mental concepts; even though these mental concepts are themselves instruments of mystic teachings. The Absolute Reality, The Supreme, the Divine, the Godhead, transcends both "God" and "Void". The Reality Itself is beyond all concepts. But even though we can't understand conceptually, we can get some idea, in a Zen parable finger pointing at the moon sort of way.
The levels of Understanding
It is suggested that there are three levels of Understanding what the Absolute Reality is. These are (form the highest down) "that" or "suchness", "The Absolute", and anthropomorphic "God". These correspond to the three epistemological levels of monistic mysticism - Absolute Knowing, Valid Relative Knowing, and Invalid Relative Knowing. At the highest level, words and concepts are left behind, there is only the ineffable, "thatness" or "isness" or "suchness". It can't even be called "that" because that implies something rather than something else; it can't be called the Absolute because that excludes the relative. This is the via negatia of western Theology and mysticism, the "middle way" of Madyamka Buddhsim (shunyata is not this and not its opposite), the paradox at the heart of the Zen koan. And while words and concepts can imperfectly indicate or hint at It, they can never truely describe it. At the middle level (episteme), words and concepts can be used to describe the Absolute Reality. And these descriptions are good as long as we don't confuse them for the Reality in Itself. Hhere we are in the realm of metaphysics and esotericism. Now, the various mystical and esoteric traditions of the world are (apart from a few dualistic traditions like Samkhya and Gnosticism) unanimous in affirming that behind and beyond, including but also transcending, these dualities and polarities, there is the Absolute Reality in Itself. The description of the Absolute however differs, according to the religion or esoteric tecahing one consults. Vaishvanites like Chaitanya and the Hare Krishna school of Prabhupada, and Sufis like Jili, consider the Personal Godhead higher than the impersonal. In contrast, Neoplatonism, Shankara and Wilber have the Impersonal or Nonpersonal as highest. Others like Ramanuja incorporate elements of both, or, as Sri Aurobindo perceptively suggest, say the the Supreme is beyond limitations of both Personal and Impersonal. A further distinction is to refer to an Unmanifest Absolute on the one hand, and a Manifest or Noetic Absolute on the other. The former is the Nirguna (qualityless) Brahman of Vedanta, the Tao that cannot be spoken, the En Sof, the Shunyata ("void", "emptiness", "openness"), Forefather of Gnosticism, and Godhead of Dionysus and Eckhart. The latter is Saguna (with qualities) Brahman, the Logos of Philo and Sufism, the Manifest Godhead, or the Supermind of Sri Aurobindo. At the lower level of understanding (doxa or mere opinion), the Reality in itself is completely lost and distorted by non-gnostic intellectual or religious philosophical, theological, or anthropomorphic and sectarian concepts of "God". While these may be fine and even useful as allegory and metaphor, it should not be taken literally. To do so means one is caught up with thoughtforms, and mostly outdated or limited ones at that.
The Absolute - the Absolute Reality. This term is used by Plotinus to describe the ultimate reality, which he also refers to as The One. Absolute Consciousness - the same as The Absolute Reality; it is suggested here that the Absolute Reality by its very nature must also be Conscious(ness), but ina completely non-dual way. Likewise non-dual consciousness cannot be anything other than (an aspect of) the Absolute. more Absolute Reality - all that is, the ultimate reality, the Absolute, the True nature of things, beyond the partial perspectives of "Godhead" and "Void" - more Aspect - as defined here, a partial but still totally valid element of a larger Totality Avatar - an incarnation or descent of the Supreme in physical (human or nonhuman) form Consciousness (with a capital "C"), totally non-dual awareness, an attribute or aspect of Absolute Consciousness Descent - the transformation of a lower hypostasis by a higher one The Divine - term used by Sri Aurobindo and the Mother as an alternative to "God". As used here, the Divine refers to any quasipersonalaspect or activity of the Supreme. the reference is to the "religious" or "numinous" nature of the aspect or process, without the religious baggage of excluvism and judgmentalism that accompanies the lower understanding Formless - lacking form or characteristics. May be either Impersonal or Quasipersonal, although, as explained in the Buddhist term shunyata, ultimately these terms are meaningless since the Absolute is beyond conceptiual characteristics God - either (Lower Understanding) an allegorical term for the Absolute Reality, or a religious term for the Personal Aspect of the Divine, or else (Middle Understanding) any of the Gods or Archetypes of the Kosmos (manifest existence) worshipped to the exclusion of other Gods/Archetypes, or an ahrimanic thoughtform which is concerned with the negation or denial of higher spiritual realities. Because of the ambiguity resulting from these three very different definitions, it is recommended that other terms be used for philsophical precison is required God(s) - any of the cosmic or Archetypal Personalities of the Supreme Godhead - a term for the higher aspect of the Divine, which includes but also transcends the Personal Hypostasis - (as defined here, in the Plotinian sense) underlying Divine or Absolute Reality, the Truth or Foundation or Essence or Support or Cause of a thing more Immanent - pervading creation or the Kosmos. The opposite of transcendent (although ultimately the distinction between transcendent and immanent are transcended in the Supreme) Impersonal - lacking characteristics or a Personality aspect, the Buddhist shunyata or Advaitin nirguna brahman Logos - (as defined here) the intelligent activity of a higher hypostasis in or as the hypostasis immediately below it. (from Plotinus, but also in the sense of the dynamic aspect of the Absolute or Divine found in Philo and Sufism) Manifest Absolute - term used here as an alternative to Sri Aurobindo's "Sat", "Chit-Tapas", "Ananda" and "Supermind" (the latter here is called the Noetic Absolute) ("Upper Hemisphere"). The aspect of the Absolute Reality that possesses qualities or attributes such as Sachchidananda. See also The Supreme. more Noetic - of the nature of Mind or Consciousness, also, an aspect of the Noetic Absolute Noetic Absolute - term used here as an alternative to Sri Aurobindo's "Supermind" (the latter being somewhat ambiguous in English). The dynamic aspect of the Manifest Absolute. Equivalent to "the Logos" in Sufi and some other theologies. May also be equivalent to the term "God" in the broader sense. See also The Supreme. more Personal - relating to the Individual, having characteristics or a Personality aspect (in Vedanta - saguna), the opposite of formless, also the opposite of Impersonal Personality - the Personal aspect of a Cosmic or Divine being. Quasipersonal - having or taking on Personalaspects or attributes, but not limited or totally defined by them. May include elements of both Personal and Impersonal Sachchidananda (also spelt Sacchidananda and Sat-Chit-Ananda): having the qualities of Reality, Non-dual Consciousness, and Bliss and Delight. In Indian philosophy, these are the qualities and attributes of the Absolute Reality. According to Sri Aurobindo, these are expressed in the planes of infinite Sat, infinite Chit-Tapas, and infinite Ananda (see Manifest Absolute) Shakti - a or any dynamic or manifesting aspect or activity of Absolute Reality, the Supreme, or the Divine Shunyata - variously translated as "void", "emptiness", or even "openness"; Buddhist term for that aspect of the Absolute Reality or the Divine that does not possess qualities, or it does these are not apparent to or accessable by the relative consciousness The Supreme - term used by Sri Aurobindo to describe the ultimate reality. He used it both as a synonym for Absolute Reality and the Absolute in Manifestation or Supermind (here: the Noetic Absolute). As defined here, the Supreme refers to any quasipersonalaspect or activity of the TranscendentManifest Absolute, and especially to the Noetic Absolute. The Supreme in manifestation or activity (see shakti) experienced in an immanent or personal way can be called the Divine Thought Form - in this context, a human-created mental formation that is a collective response to the actrivity of a Personality. As to this personality aspect, it could be said that a thought form exists and can be created or plugged into - eg Mary, kwan Yin, the personality of God, The Supreme, the ongoing process of the creative aspect, or the void, or anything else. Transcendent - totally beyond, or else descending into to transform, creation or the Kosmos. The opposite of immanent (although ultimately the distinction between transcendent and immanent are transcended in the Supreme) Unmanifest Absolute - the aspect of the Absolute Reality that does not possesses qualities or attributes, and is transcendent in relation to the Kosmos. Note, this is not necessarily the same as Impersonal or Formless - more
The numerology of the Godhead
Pythagoras and his followers adopted a numerological cosmology, according to which the monad was the first thing that came into existence. The monad gave rise to the dyad, which in turn gave rise to numbers, and thence points, lines, surfaces, four elements, and finally the cosmos. A similar cosmology is found in the Tao te Ching, where we find that the Tao begat one, the one begat two, the two three, and the three the "ten thousand things". And in Kabbalah, beginning with and especicially in the Sefer Yetzirah, numerological speculations are central to elucidating the nature of the Divine reality. Here I use this sort of numerology progression in a purely allegorical or symbolic way to refer to the hypostases of the Absolute. It should not be taken as a dogmatic fact, but rather can be used as a metaphor (or if not suitable for that, discarded). The Zero/Infinite prior to the One is symbolic of the Unmanifest ineffable, inconceivable Transcendent Absolute. The One is that same Absolute in which the two aspects (which are actually one) of Shiva and Shakti, I and This, Absolute Consciousness and Power of the Absolute Consciousness, are in a state of absolute unity and identity (incidentally, Plotinus uses the term The One to designate the Absolute) The Two in this context symbolises that Unitary Absolute in which the two aspects of Shiva and Shakti are polarised (but still in a state of absolute unity) and manifest as the divine hypostases of infinite Being, Consciousness-Power, and Bliss/Delight (the Manifest Absolute). The Three here refers metaphorically to that same Polarised but Unitary Absolute iwhich is now actively manifest (hence a third element, tending towards Creation) as the Noetic Absolute. And the Four designates manifest reality, the Kosmos, and its four aspects as expressed in the four-fold ontology
The Nature of The Absolute and the Nature of Reality
The following pages present a more detailed comparative overview of the Absolute Reality in all its aspects. It is perhaps ultimately futile to try to "prove" this logically (I have made an attempt with this philosophical thesis, although it needs revision), and ultimately one has to rely on immediate gnosis and spiritual intuition to appreciate these concepts. The physical mind left to itself, without being transformed from above, can only appreciate its own ideas and turn around and around with its own proofs and disproves. Intellectually, one cannot prove anything that pertains to the esoteric. Which is why I say that a truely integral paradigm has to be grounded on spiritual receptivity and gnosis.
Buckminster Fuller famously said "God is a Verb". And apparently the united church now teaches its ministers that god is a process. This all comes from A.N. Whitheead's Process Theology. Concerning the Supreme as the cosmos (in conrtrast to the transcendent Absolute) there is an unfolding, doing, aspect to it. Considering the transcendent we can say that "God" isn't a verb but an adjective (pointing to the unknowable in Itsef) - the Transcendent, the Supreme, The Absolute, the ineffable - rather like the Muslim 99 names of God. According to the Sufis they represent the original archetypes. But the Activity of these adjectivities, archetypes, godheads, in the world, constitutes the Verb. And all of these interactions are ultimately nothing but the Absolute Reality "I" experiencing Itself ("this"). And the way this process, or "verb", which is "God", works is through the dynamics of consciousness / being
The Metaphysics of Process - Ontodynamics
It is proposed that a truely integral Unified Map of Existence, which explains and (as Ken Wilber would say) honours all experiences, interpretations, perspectives, and aspects of Consciousness and the Cosmos, requires not one but four Parameters or States or gradations of consciousness and existence, each of which, it is suggested, has its own dynamic, or ontodynamic. The term Ontodynamics has been independently coined by Stephen Harrison and myself. As I define it, it refers to the dynamic nature and interelations of being (ontos), as opposed to a simple static formulation of koshas, planes, atoms, or whatever. Reality, rather than being static, is a constant process, a "play of consciousness" (skt. lila), of involution and evolution, the working out of the infinite possibilities of the Unmanifest and Manifest Absolute within the infinite Kosmos.
Beginning with point (1) of the Basic Premises, every datum of experience should be considered without bias, and point (6), the more inclusive explanation is to be preferred, I have chosen what I feel to be the most inclusive explanation; something that can sympathetically explain every datum, without rejectiong any as "false". This is the hierarchical ontology (theory of being), which has been proposed by a number of universalists, such as Huston Smith (Smith 1977) and Ken Wilber (Wilber 2000, 2000b, etc). Note that I certainly am not saying that hierarchy is all that is. Because the existence of hierarchy automatically assumes its complement/polarity/opposite - equality. But we can't just say "everything is equal" either, because some things are not equal. So we begin with hierarchy, more specifically, a Hierarchy of Being (note - it is fashionable nowadays in postmodernist academia to reject "hierarchy", along with "metaphysics". As Ken Wilber points out, even those who reject hierarchy still have their own hierarchical values (Wilber 2000, pp.x-xi). However, when we look at various examples of the hierarchy or "spectrum" or "great chain" of being, we find there is a lot of disagreement regarding its component levels. For example Kashmir Shaivism gives a very different spectrum of being to Theosophy or Kabbalah. Clearly, this explanation is not sufficient to incorporate all datums of experience. It might also be asked - hierarchy of what? The answer is Consciousness. This is a hierarchy of states of consciousness (d-SoC in Charles T. Tart's notation), which is the same as saying it is a hierarchy of states of existence, or of being (ontology), since it is suggested here that all these can be equated (Kashmir Shaivism (ref ), and Moshe Kroy's Advaitin Phenomenology (Wilber 2002))
Quadontology - the Fourfold Reality - A Metaphysical "Map" of Consciousness/Reality
It is suggested as a working hypothesis to have not one but four hierarchies of consciousness/being, each of which constitutes a particular process or dynamic of Consciousness (or Reality, or "God", whatever term you wish to use). These can be termed axiis, or ontoclines or gradiants of being. There may be more, but this seems to be the minimum required to explain things. Hence the neologism Quadontology - the study (logos) of the fourfold (quad) nature of being (ontos) to describe this particular mapping out of Reality. Note that this is (like the rest of this essay) not intended as any sort of dogmatic truth, but simply as a working hypothesis. Or more precisely: The study of being in terms of hypothesis of four fundamental interacting aspects/gradations/parameters of Existence). The four hierarchies or ontoclines I propose here are:
Levels of Selfhood - From True Self / "I" to Non-Self / "This" / Phenomena (and vice versa) - representing the Monadology (or pluratity and unity) of Selves.
The "Vertical" Physical-Spiritual Axis - From Transcendent Spiritual Mind down to Physical Matter (and vice-versa) - representing the Hierarchy (Great Chain of Being) of Octaves of Existence.
The "Horizontal" Inner-Outer Axis - From Innermost (subjective) to Outermost (most external) Being - representing the Psychological Polarity of Being.
Each of these ontoclines correspond in a generic way (these things should never be taken dogmatically and turned into procrustean nonsense) to one of the primary fields of human endeavour:
The Levels of Selfhood corresponds to the Spiritual Path; not literalist or exoteric religion, but yoga, sadhana, and esoteric (mystical) religion; the essense of self-transformation, and the nature of the knowing Self (especially as elaborated in Eastern Philosophy). The science that deals with this can be called Noetics or (when consiodering the dynamics of this Monadology) The "Vertical" Axis or Planes of Existence corresponds to Esotericism and Occultism with their understanding of the nature of gross and subtle realities, and the ascent of consciousness through levels of existence (and exoteric religion to some degree, although here there is a lot of false understanding due to literalism) The "Horizontal" Inner-Outer Axis corresponds to Psychology and Mysticism which addresses the depths of the being, and also on a more superficial level to the Arts (and the Social Sciences in part) with its dicotomy of Mythos and Logos, Imagination and Reason, and to depth and transpersonal psychology. The term "Endopsychology" is here proposed to distinguish this more "inward" psychology from conventional psychology The "Concentric" Universal-Individual Axis corresponds, on the physical level, to Science especially the systems sciences and natural and applied sciences, also the social sciences in part. On the supraphysical it becomes the domain of esotericism, but the basic principles of interaction, ecology, system dymnamics, chaos theory, and so on. The overall reality is the (esoteric) science of Cosmecology, which includes the experiential approach of Astrognosis.
It is important of course not to interpret this too literally; otherwise one becomes trapped by dogmatic thoughtforms. And of course, each of these fields of study can also be applied to the other hierarchies or parameters, which is why it is misleading to only assume a one on one equivalence. Let us now consider each of these four metaphysical sequences/processes in turn:
Noetics - Monadology
In the century the philosopher Gottfried Leibniz came up with a metaphysical theory called Monadology (after his book of the same name - there are a number of copies on-line: e.g. here, here, here, and here) in which he posits that all that exist are an indefinite number of simple (by which he means without consisting of parts) entities called Monads (para.1). These are eternal, individual, mental or spiritual atoms so to speak. There is no such thing as physical space or external objects; rather, each monad experiences the world from its own point of view, and the totality of all those experiences is the universe. However the monads are unable to interact with each other (para. 7. "The monads have no windows through which anything may come in or go out") but all their respective experiences are synchronised through a pre-established harmony (para.78). nterestingly Blavatsky refers to the higher spiritual Self in man (atma-buddhi) as a "monad", perhaps combining Leibnitz with Pythagoras, for whom the monad was the primal entity to come into being. A monadology with similarities to that of Leibniz was independently developed by Ken Wilber, who of course calls his monads holons. For Wilber holons likewise are the only things that exist, are teleological, conscious, and so on. However unlike Leibnitz's monads, Wilber's holons do have "windows" in that they interact with other holons, and they are not "simple" because each holon consists of holons beneath it, and so on to infinity. And wheras Leibniz solves the problem of the interaction of mind and matter that bedevils Descartes' system, Wilber seems to take a step backwards by intrenching the Cartesian duality of of mind and body (interiors and exteriors) in his four-quadrant holons. (i will have more to say on this later) I would like to propose a new monadology. We begin with the monistic understanding that all that exists is the Absolute Reality, which is infinite, eternal, without boundaries (see this page for a philosophical thesis on this (still needs some work)). According to Kashmir Shaivism, this Absolute contemplates (or simply reflects upon, or experiences) itself, thus resulting in the thought "I am This" and creating the original duality of Absolute ("I") and its power of creation ("this), and hence all other polarities and dualities. Everything that exists is a "self" or Aspect or reflection of the Absolute, and there is nothing that is not-Absolute and hence not-Self, then the not-Self includes all other selves apart from one's own Self. Because they are not one's own Self (but other selves), they are experienced as "Without" (Teilhard) or "exteriors" (Wilber - the right half of his diagram) rather than the "Within" or interior or subjectivity. This can be represented as follows:
This gives us the "participative paradigm" defined by John Heron (Heron 1996) and previously referred to. I would extend this by saying that because everything that exists is a Self (and/or an aspect of the Supreme Self / Absolute Reality), this relation of Knower and Known extends even to so-called "inanimate" objects. This is the opposite of the depersonalisation and objectification of things that one finds in physicalist-materialist, naive postmodernist relativist, and exoteric religious literalist worldviews.
Noetics - Levels of Selfhood
Levels of Selfhood or the self-not-self axis constitutes a distinct ontological parameter, defined by subjectivity and the activity of consciousness (noesis-noemata). It is a central theme in Eastern Philosophy and Phenomenology. Consciousness is here distinguished from Mind and Psyche. Because of a lack of precision in understanding the various aspects and ontological axii, the self-not-self axis is very often usually confused or combined with either or both the "horizontal" inner-outer psychological series (psychology), or the physical-spiritual "vertical" series (occultism and theosophy). This confusion arises because the conventional current western religious and philosophical position involves a choice between Materialism (including variants such as Judeo-Christian resurrectionism - as they are unable to conceive of a soul apart from the body) and some sort of Cartesian, spiritualist, or natural-supernatural religious dualism. But these materialistic, holistic, or dualistic interpretations ignore all the manifold aspects and dimensions that human consciousness includes. The much more sophisticated understanding of ancient India is based not on the dichotomy of soul/mind/spoirit and body/matter, but of Pure Consciousness or Witness and the Objects of Consciousness. This latter includes both mind and matter; in other words, thoughts are just as much non-self as the physical body. This simple yet profound observation can be confirmed or proved by any decent meditation practice. Thoughts are distinctly experienced as something different from the core-awareness, the "I" or "knower" or "witness" or Self (or "non-Self" - i.e., non-Ego - if you are a Buddhist, for the experience also proves to you that there is no persisting ego or outer personality self). The study of consciousness is also considered in Husserlian phenomenology, where the static cartesian subject-object is replaced by the more dynamic polarity of noesis-noemata. In the following ontology, both eastern and phenomenological perspectives are integrated.
Paramatman / Buddha Mind - This is the Self that is infinite, eternal, all inclusive, one with the Supreme. In fact it is the Supreme Reality of all mystic teachings, according to which the essence of the Soul or individual being is the same as the Godhead of the Cosmos (monistic Vedanta, Eckhardt, see also chap.1 of Huxley's Perennial Philosophy). Of course, the nature of the Supreme varies according to the conceptual system one uses to approach and relate to it. Advaita Vedanta affirms the "Self" and Buddhism denies it, but both are describing two aspects or rather perspectives and ways of approaching the same thing. everything, the universe and beyond - that mode of the Absolute which is the universe (and the universe as the Absolute)
Purusha - an aspect of the Absolute as one of an infinite multiplicity of beings, the Atma or Monad of Theosophy; the Pneuma or Divine Spark of Gnosticism; Purusha of Samkhya, the Vijnanakala and Purusha of Kashmir Shaivism.
Noesis - the activity of Consciousness with a capital "c", which is consciousness witha small "c". Consciousness, no longer non-dual and tranquil, is now caught in an obsessive relationship with the objects (noemata) to which it is directed. It is here suggested - following the Samkhyan series of tattwas, that noesis involves three progressive stages of increasing involvement with its objects:
Buddhi - the reflection of the Absolute or the purusha in prakriti or non-self nature; the field of conscious; the Buddhi (Pure Intellect) of Samkhyan philosophy, Alayavijnana (in part) of Yogachara-Vijnanvada Buddhism, and witness consciousness (sakshi) of Advaita Vedanta. At this stage consciousness is still very clear, very similar to the purusha.
Ahamkara - the Ahamkara or "I-maker" of Samkhyan philosophy in part. and Kleishtomanas (or just Manas) of Yogachara. Root of the sense of separate "ego" or self that forms the nucleus of embodied existence; Da Free John refers to this as the original recoil or movement away from the Divine. This represents the sense of a separate self attached to the objects of consciousness
Manas - This is field of the conscious self, the Ego according to Freud and Jung (note this is not the ego of Indian philosophy, which belongs to the preceeding level of self), the Manas and Manovijnana of Samkhya and Yogachara respectively, the part of our being we identity with as "I" or "self" or "mind" or "soul", which is centered around the ahamakaric nucleus.
Noemata / Not-self / All Other Selves - To some extent this is the Prakriti of Samkhya and Advaita, but also everything that is not included in the individual Self. It is also, at least in its physical aspect, Objective reality according to science and secular thought. Husserl's Phenomenology replaces Object with Object of Consciousness (Noemata), and this can even be applied to Hwa Yen Buddhism (Odin 1982). Except in the most objective physical levels of being, the noemata are not separate from noesis, but constitute the "yin" pole; if noesis is willing, feeling, etc (or rather the energy of these things, because the details pertain to the other parameters), then the noemata are those phenomena that are willed, felt, etc
Esoteric Cosmology - The "Vertical" Axis - Octaves of Existence
The "Vertical" Axis consists of a hierarchy of Planes or Octaves of Existence, an ontological gradation, according to which the Cosmos can be divided "vertically" into a number of worlds or states or gradations of being. This is the conventional "great chain of being" which - while rejected by the contemporary western physicalist consensus reality - forms the basis of most esoteric cosmologies, from Neoplatonism to the present day. But the concept of a vertical cosmology goes even beyond that, in the universal theme of the vertical world-axis, a cosmic mountain or tree or pole, is a common theme, which is found in Siberian Shamanism, Nordic paganism, and Traditional Hindu and Buddhist cosmography (Mt Meru), as well as in sacred architecture (such as the Buddhist stupa). Again, we find the theme, in Tantric iconography and subtle physiology, of the seven chakras, as an ascending series of states of consciousness. With the occult revolution of the 19th Century, the concept of Seven "Planes" of existence was codified by a H.P. Blavatsky and Max Theon, and further developed by Sri Aurobindo, Alice Bailey, Gurdjieff (the "ray of creation") Sant Mat, and the New Age movement. Following Blavatsky, Aurobindo, and other esoteric teachers, the term "Plane" (originally derived from Proclus) or "Universe" is here used to designate each of these "vertical" divisions of reality, although this is used interchangably with "reality" and "octave" (popularised in this context by Gurdjieff (Ouspensky 1977 pp.124-137 etc). Yet for all this, the concept of chakras remains today the archetypal example of the "vertical" ontocline in the minds of most people, because very few, even in the world of transpersonal psychology, integral studies and alternative academia, are aware of or familar with occult cosmologies as such. But because "chakras" have been popularised by the New Age movement, and there is an abundance of books on the subject, mostly of a practical exercise manual type, whilst occult cosmology is known to only to those few who study these subjects in greater depth. The following tabulation presents a view of the "perennial philosophy" in terms of ontic gradations or planes or octaves; each representing very distinct States of Consciousness/Existence. As an "orientating generalisation" (Wilber) we can say that the various esoteric teachings all describing the same realities, although in different terms and from a different standpoint (Kabbalah for example is theological, Late Neoplatonism and Theosophy are both intellectual and to some degree abstract, and Sri Aurobindo is yogic and practical).
This ontological series is proposed to designate the primary hypostases of the vertical gradation. I have mostly followed, but in no way simply restricted myself to, the teachings of Sri Aurobindo. Because most people obviously are more familar with the physical reality, I begin there and progress up. Note that each of these "planes" - actually octaves or harmonics might be a better term, because "planes" implies a sort of material concept that is inapplicable here - can not only be divided into innumerable subplanes, but also a near infite number of fractal divisions and subharmonics. Physical: The familiar universe of Form and Matter and energy, physical and mundane consciousness, and embodied existence as well as the more subtle blueprints that reside in the etheric or formative regions. Western knowledge and the physical mind pertain only to the lower or mundane level of the physical, and the "outer aspect of the outer being" of that "dense physical" at that. In this thin slice of reality, all the vast ramifications of modern secular knowledge and the fruits of the physical intellect may be found. Of course, because each Plane or Octave can be subdivided, fractally, into subplanes and subsubplanes (as illustrated in the esoterics of Kabbalah, Theon, and Blavatsky, and the psychology of Gurdjieff and Sri Aurobindo), one can still classify modern knowledge esoterically; in fact this would be a similar but, to my mind superior, system to the Four Quadrants of Wilber, and the vMEMES (neo- Spiral Dynamics) of Wilber and Beck. The etheric and formative regions meanwhile correspond to paraphysics, alternative healing modalities, auras and the etheric or subtle bodies, orgone energy, Earth energies, Anthroposophy, and other phenomena on the fringes of science, or considered quackery because they don't fit within the secular-reductionistic paradigm that recognises only the material-physical. The following diagram represents a more fine-scale analysis of the Physical, looking at occult realities that are near to the physical, as well as subdivisions of the physical reality itself. Just as stratiography matches up rock strata from all over the world on the basis of similiar geological and mineral composition, fossils, magnetostratigraphy, radiometric dating, and so on, in the same way we can correlate different occult teachings, looking for similarities in sequences, descriptions, type of experiences, and so on. And as always, these realities should not be thought of as spatial planes, but rather as octaves or resonances repeating fundamental archetypal patterns of conscisousness, modified according to the degree of density or involution.
higher octaves and resonances representing transhhuman and posthuman archetypes
higher°physical
--
--
Higher spiritual hierarchies
Fifth klosha (sic)
--
Spiritual Physical
octaves and resonances representing spiritual archetypes and blueprints
Mental°Physical Psychic°Physical
--
--
Devachenic / Spiritland
Higher Etheric body
Keteric Celestial Etheric templ.
Astral Physical
octaves and resonances representing a gradation of light and dark
Nervo°Physical
--
Buddhic Mental Astral
Astral / Soul
--
Astral
Dense Physical
Higher spiritual resonances
Physical°Physical
Atma and Buddhi in part
--
--
--
--
Mental/Ideational resonance
Lower manas (in part)
Mental Body (in part)
Intellectual Soul
Mental Body
Mental Body
Emotional Resonance
Kama (in part)
Emotional/Astral Body (in part)
Sentient Soul / Soul Body
Emotional Body
Emotional Body
Etheric-Physical resonance
Linga Sthula
Etheric body
Etheric body
Etheric body
Etheric body
Sthula Sthula
Dense Physical
Physical
Physical body
Physical body
Etheric-Material resonance
--
--
"Fallen" Etheric
Ego
--
chthonic / subconscient - octaves and resonances
--
--
--
"Fallen" Etheric & "8th Sphere"
Undersoul
--
Hylic / inconscient - octaves and resonances
--
--
--
--
--
--
The reasons for the correlations are too detailed to go into here, and will have to be considered separately. Briefly now reviewing the above strata of consciousness (this time from the non-physical to the dense material):
The Spiritual Physical Reality represents a higher octave of the physical. This is referred to by Steiner in great detail, under terms like "Devachen" (Steiner 1970) and "Spiritland" (Steiner 1969). It also includes the higher three of Barbara Brennan's human energy fields (Brennan 1987), and Rupert Sheldrake's morphogenetic fields () The Astral Physical Reality is often confused with the larger astral universe, but is a more restricted octave of it, the astral in the physical. Once again we find (see the above table) various correspondences in different occult teachings. The Physical Consciousness represents the various aspects of the physical proper. Again we find here various subtle bodies (taking Brennan 1987 as a guide in this matter). This is like the objective physical, but larger and more fluid, more multifaceted. The above three realities or octaves would seem to be waht are referred to by Sri Aurobindo as the "Subtle Physical" (ref). In esoteric Islam this is the Imaginal Realm, the Barzakh or the Intermediate World, in which "bodies are spiritualitised and spirits corporalised". (ref) Physical, Chthonic, and Hylic It is also suggested that what most occult teachings call the "physical" is not a level beneath the "etheric", but rather the "outer" aspect or perspective of it, incorporating also the outer perspective of the chthonic and hylic. And while occult and esoteric philosophies often explore those realities above the ordinary physical consciousness, they very rarely consider the levels below the ordinary physical. Exceptions are the Mother's yoga of the transformation of the body (Mother's Agenda), Timothy Leary's psychedelic psychocosmology (Leary 1987), Kenneth Grant's Maatian occultism, and (although this isn't esotericism) depth psychology. However traditional mythocosmologies (shamanic, buddhist, etc) all speak of levels of existence below the physical world as well as above. But this insight was lost in the western wisdom traditions due to Platonic dualism and Gnostic world-negating spirituality which emphasised only ascent and not descent.
Psychic/Astral: Beyond the physical, according to occult and esoteric knowledge, is the psychic reality or realities, which include various psychic and occult phenomena, forces, formations, and planes, worlds, and octaves of existence. This includes the Astral plane, and above that the Angelic Universes (Sri Aurobindo uses the term "Vital", but this is confusing as it can also be applied to the subtle etheric). Many psychic experiences, revelations, religious experiences, and so on, come from here. When we take into account all the fractal and dynamic combinations of the various sub-(sub- etc) planes and vertical gradautions, and the other three ontological axii we find this is a truely vast region, far more diverse than physical reality. This is the realm of study of occultism and esotericism. The esoterics give explanations that it can be suggested are either correct or, if false in a literal sense, are at least symbolically true. Theosophy, Shamanism, Hermeticism, and other teachings all present either the theory or the practice of interacting with these realities. Others, like mediumistic spiritualism, are not recommended because they do not provide safeguards or correct understanding (see critiques by Blavatsky). Others again, like exoteric religions, give only distorted or fundamentalist understandings. The following diagram represents a more fine-scale comparison of the Astral Reality. It is suggested that popular concepts like "the Astral Plane" (and earlier analyses like Blavatsky's "kama-rupa") only pertain to the lowest subzone, the one closest the physical. The higher regions represent worlds of light and darkness, and eventually higher heavens, as described in mythologies and religions. These regions can also be explored, and communication attained with the beings that inhabit them, by the techniques of Hermetic Kabbalah (Regardie et al ****, Cicero & Cicero ****, Bardon **** )
Lower (epsilon) Ideational / Mind: Beyond the psychic worlds is the universe of Pure Intellect or pure Ideas, the Angelic or Archangelic Universe, the World of Beriah (Creation) of Kabbalah, the Manasic Plane of Theosophy. This is the region from which rational (and rational-intuitive) thought and intellect derive. One might postulate here spiritual archetypes which eventually manifest in the Physical universe. This is the macrocosmic equivalemnt of the indidvidual mind or intellect (not the emotions, desires, and passions, these pertain to the psychic reality). Because this region is more remote than the everyday consciousness, it is less often acessed or understood. In spiritualist and New Age teachings this seems to be considered a higher visionary region of light (find refs?). In the Life Divine Sri Aurobindo says that in its own sphere Mind is still an instrument of truth, it is only when it becomes a vehicle for falsehood and ignorance. Middle (delta) Ideational / Higher Mind : If Sri Aurobindo is to be believed, the Higher Mind (which he equates with the Sahasrara or Crown chakra above the head (Aurobindo 1971, vol.1 p.365) is the lowest level of pure truth, free from the ignorance and half-truths of the lower levels. So once we rise beyond even the pure conceptual mind we arrive at the region of archetypal or Higher Angelic hierarchies. This universe can be considered a realm of Integral spiritual intuition, the higher mind that can comprehend things intuitively, derive from here. The description that Sri Aurobindo gives of the Higher Mind pertains to the Higher Mind-ised embodied consciousness, the Higher Mind in itself woulfd be a region of almost inconceivable (to the limited physical consciousness) light and knowledge. Visionary references to higher spiritualk regions and angelogical hierarchies would pertain to this hypostasis. Middle (gamma) Ideational / Illumined Mind: Sri Aurobindo refers to the Illumined Mind which corresponds to the higher part of the Sahasrara or Crown chakra, and which is beyond even the Higher Mind. We should see this as the region or enlightened state of Spiritual Illumination, and hierarchies of Light. This universe also corresponds to the Sahasrara. Higher (beta) Ideational / (Divine-)Intuitive Mind: (Higher Enlightenment). It would seem (still using Sri Aurobindo as a guide here, although equivalences can be had in Theosophy, Sant Mat, and the cosmology of Max Theon) that Spiritual Illumination derives from the even more subblime Divine-Spiritual World of emanated hierarchies - further Gods and Archangels; this is experienced as a great Enlightenment, and those who have attained this state are regarded as great saints or avatars. Higher (alpha) Ideational / Overmind / Divine or Cosmic Consciousness: - at the summit of creation are the Divine Worlds, Cosmic Gods and Godheads; intermediate between the Infinite Noetic Godhead (Logos) and the Manifest Temporal Cosmos. Here is where the One Light of the Logos or Transcendent Nous becomes a prism of many radiances, archetypes, gods, sefirot, or lights, which in turn supervise the creation below. The most detailed descriptions are found in Kabbalah (the World of Atzilut or Divine Emanation) and Sri Aurobindo (the Overmind). This is a region of profound cosmic and esoteric mysteries, in which there is no distinction between oneself and the cosmos [Sri Aurobindo]. This particular map of reality provides a good starting point for formulating an integral classification of all possible states of consciousness, although it needs to be integrated with the other three parameters and the representation of hypostases of the Absolute for this to be so. For one thing this "Vertical" ontocline is fractal in nature, so taht each division includes innumerable subdivisions; for another it can just as easily (and perhaps more profoundly) be shown in the form of a branching tree of possibilities. Then there is the problem, as always in metaphysics of the "patchiness" of the overall map in different esoteric teachings, with some emphasising one reality and ignoring others, and other systems taking a different approach. It is suggested here that, in addition to their existence as worlds, universes, and phenomena in their own right, these various planes, octaves, and resonances exert occult influences on physical evolution; and that emergent physical evolution involves the embodiment and physicalisation of successive resonances or ocatves from the "vertical" ontocline. Often also one finds in esoteric and New Age literature and teachings that this "vertical" scale is confused with the inner-outer series (e.g. Advaita and pop gurus), or with the noetic/monadological levels of self (Theosophical and theosophical based (e.g. Alice Bailey 1925) diagrams). Just as - with the Age of Enlightenment and birth of Western science - mythopoeisis and esotericism had to be distinguished from natural philosophy to get a true scientific understanding (and for that matter a true occult understanding, although this latter has lagged uptil now), so the various intertwined parameters of consciousness and reality have to be teased apart, in order to formulate a universal map of reality.
The "Horizontal" Inner-Outer Axis
The "Horizontal" Inner-Outer Axis is not so much a hierarchy as a "polarity" is the familar dichotomy of subject-object, inner-outer, mind-matter, conscious-unconscious, yin-yang. This has been described in detail by Stan Gooch in his book Total Man. The table is shown below:
System B
System A
Self
Ego
Unconscious
Conscious
Dream
Waking
Dark
Light
Female
Male
subjective
objective
personal
impersonal
emotion, feeling
thought, thinking
irrational
rational
faith
fact
belief
proof
magic (`illogic')
logic
religion art
science
involvement
detachment
sexual
asexual
left-wing politics (Labour, Communism)
right-wing politics (Fascism)
[from Stan Gooch, Total Man, Abacus, 1972, pp.82-3]
Also pertaining to this parameter is Sri Aurobindo's integral psychology, which incorporates a trichtomy of innermost, inner, and outer being (sometimes a fourth category, outermost, is mentioned [ref xxxx]) presents a more esoteric perspective than that of Gooch. So does Chabad Kabbalah, according to which each sefirah has two aspects: Pnimiyut, Inwardness, innermost point, essence or core, the Divine Light, Chitzoniyut, outwardness, externality, the lowest point (Schochet, 1979 pp.127-8)
The terminology used here is Kabbalistic, but one can equally use other concepts to convey this. Depth Psychology and to a lesser extent Transpersonal Psychology represent other exploration of the Inner-Outer polarity. No one has studied this area better than Carl Jung. The following (right) represents a diagramatic representation of the Jungian system. Here we have the outer and the inner world, the latter consisting of progressively deeper layers of the unconscious. The collective unconscious - the deepest level of all - represents a whole world in itself. In another diagram presented in a lecture Jung has even more layers. I don't have the reference (I came upon this many ytears ago) or a copy of the diagram, which showed concentric circles, but if I recall correctly it was (from outer to inner) sensation, thinking, feeling, intuition, affect, personal unconscious / shadow (these may have been distinguished), and collective unconscious. The Mandukya Upanishad, which was the foundation for all later Indian (Hindu and to a lesser extent Tantric Buddhist) psychology, speaks of the Self having four "feet" or states of consciousness. These are Waking, Dreaming, Dreamless Sleep, and the Fourth (i.e. the Absolute). Waking and Dreaming are self explanatory, but Dreamless Sleep here refers to a very deep level of consciousness in which the awareness is near (but not quite at) the Absolute. In Shankara's Advaita Vedanta and all subsequent thought, including all current gurus and pop gurus, and the New Age movement in general, along with integral thinkers like Ken Wilber (ref link), the first three states of the Mandukya are matched with the five self levels of the Taittiriya Upanishad, which have now been downgraded to "koshas" or sheaths. The pranic, manasic, and vijnanic koshas are identified with dreaming and the subtle body, and by implication with psychic experience. In this way they confuse the "horizontal"inner-outer with the "vertical"physical-spiritual ontocline. Only Sri Aurobindo presents a different, original, interpretation on the Taittiriya, and, for that matter, distinguishes these two parameters in his own integral psychology. A very different, much more empirical-experiential approach, is taken by Buddhist and Patanjalian maps of meditative states. Here we have a distinction between form and formless dhyana or samadhi. The Buddhists have 8 or 9 samadhic levels or "jhanas" (Pali; = "dyana" in sanskrit), arranged in a linear manner, from the most "superficial" to the most self-absorbed. This roadmap of meditative states was also then equated with Buddhist cosmology (in the distinction between Desire Gods and Heavens, Gods and Heavens of Pure Form, and Formless Gods and Heavens). A further development is found in Yogachara Buddhism, with the concept of an Alaya-Vijnana or "Storehouse Consciousness" that has intriguing similarities with the Jungian Collective Unconscious. This collective or universal consciousness is the source of the individual Manas and Mano-vijnana consciousness, which correspond more to the Ego (conscious) of western psychology (not the "ego" of pop-guru-ist teachings). Taking into account then the various references and teachings mentioned above, the following is a suggested series of hypostases of being from Inner to Outer:
Innermost - the essential core or essence of the being, the state of Dreamless Sleep of the Mandukya Upanishad, Pnimiyut (Kabbalah), or Innermost Being (Sri Aurobindo, this equates with the Psychic Being (Soul) which will be considered under the rubric of the evolving individual); Formless Samadhi might go here as well
Inner - the vast region of potentials and realities hidden from the narrow surface consciousness, but revealed through meditative and yogic practices, and studied by Depth and Transpersonal Psychology. This is the Collective Unconscious of Jung, the "inner planes" or "inner spheres" of occultism (in part), the "Inner Being" according to Sri Aurobindo; the Alayavijnana of the Yogachara and Vijnanavada school of Mahayana. Sri Aurobindo's Intermediate Zone and Da Free John's "5th Stage of Life" might be located here; Kundalini awakening, higher psychic experiences, contact with deities, etc
Middle or Intermediate - a transitional physical, psychic and spiritual region between the vast inner sphere and the outer consciousness; includes the personal unconscious, the dream state, hypnosis, trance, meditation, and drug induced, schizophrenic and natural-healthy altered states of consciousness. Of course these don't all occupy the same "mindspace", because the gradations and near infinite combinations an dsub-combinations of the other three axii have to be considered as well. Some examples of the Middle/Intermediate Being in psychology are the Unconscious of Freud, the Shadow or Personal Unconscious of Jung, the Lower, Middle, and Higher Unconscious of the Psychosynthesis of Roberto Assagioli, the "inner planes" (in part) and "pathworking" of occultism, and the perinatal matrixes and other such phenomena described by Grof. In part also the "System B" of Stan Gooch.
Outer - the surface physical and psychic consciousness and preconsciousness, the Ego or waking consciousness of Freud and Jung, the Field of Consciousness (as usually considered) of Assagioli. Can be itself divided into an Inner, Middle, and Outer as follows:
Inner part of Outer - the world of introversion, imagination, intuition, light meditation, mild altered state of consciousness (e.g. marijuana), mild trance. In part also the "System B" of Stan Gooch.
Middle part of Outer - ordinary waking consciousness.
Outer part of Outer - external physical reality or rationalising and externalising consciousness; the indriyas (senses) of Yogachara and senses, organs of action, and elements of Samkhya. Also the "System A" of Stan Gooch. Includes "objective" reality of western secular understanding, science, and academia; physical consciousness and objective raelity are here equated (since the "object" is nothing but another "self" - see monadological discussion)
Outermost - Chitzoniyut or outwardness, or Kelippot ("husks" of creation, the outermost aspect of the being) of Kabbalah, which seem to be the same as what Sri Aurobindo calls the "Outermost Being". The negative counterparts of the positive states of consciousness described by John Lilly. In other words, just as there is a reality that is more "inward" then the familar external reality, so there is a reality that is more "outward". It is experienced as the world and existence as being utter meaninglessness (ref Lilly p.xxx]. Steiner's concept of "ahriman" and "the 8th sphere", and Gurdjieff's "moon" which has even more laws (restrictions) than "Earth" (see the Ray of Creation), would also seem to go here.
Although it seems like there is a progression from light to dark, spirit to matter, positiove to negative, etc etc, with the former being closest to Godhead or Absolute, the various esoteric monistic teachings are unanimous in asserting that opposite polarities or dualities emerge from an original unity (in Lurianic Kabbalah Hesed and Gevurah from the En Sof or Keter, in Tantra Shiva and Shakti from the Supreme principle (Parasamvit, Paramashiva, etc), in Taoism yin and yang from the original Tao). This can be shown as follows.
The Co-action Compass
The Co-action Compass is a universally applicable cybernetic diagram presented by Edward Haskell and his associates, which shows the interactions between any two entities or elements of the same entity. Using a standard mandala as a cosmological "map" means a "static" timeless, or cyclic (like the famous "Wheel of Rebirth") diagram. But we also need something that can convey process and evolution as well. Hence the "Co-action Compass", a cybernetic feedback diagram that forms the basis of the Unified Science paradigm presented by Edward Haskell and his associates. An example of this diagram on the cover of their book Full Circle - The Moral Force of Unified Science is shown here:
This diagram (and Unified Science in general) is based on the premise that with any two interacting factors, one will have a controlling role (this is represented by the y axis, and can be considered "yang") and the other will be the "work component" (the x axis, corresponding to yin). These two elements can interact in a way that benefits, harms, or is neutral to, one, both, or neither. The result is a matrix of 9 possible interactions, which are represented graphically as the co-action compass. The following diagram shows how these 9 possible relationships determine the 9 fundamental states of the co-action compass:
The following diagram shows how even the co-action between the opposite poles of only one of the above axii can produce a whole range of situations.
Looking at the The Co-action Compass, it seems that the fundamental principle is not Y or X, but the relation between the two. So we have again a participative paradigm, in which the interaction of Governor (Y) and Work Component (X) determines the outcome of the joint entity that the two comprise. So the fundamental unit is not a spiritual atom or a holon, but rather the interaction between two (or more) entities (beings, systems, whatever(. And each entity is itself not a static unit but an interaction between other entities (which may simply be the Yin/X and Y/Yang components of its own make-up)? The result of this "Tao of Physics"esque "dance of Shiva" type reasoning is that fundamentally everything that exists are a network of bootstrapped interactions of other interactions which in turn consist of other interactions (like the dance of virtual particles). Hence we have a "monadology" in which the monads are not entities but "processes". Being in the sense of a noun that is also a verb.
The "Concentric" Universal-Individual Axis
The Universal-Individual, or Universal-Atomistic Parameter is the easiest to understand, because it is the only hierarchy that Western secular consensus reality accepts. Atoms are made of subatomic particles, molocules of atoms, biological cells of molocules, and so on, upto the entire cosmos as a whole. Each higher level embraces and includes and serves as the environment or ecology of the lower, and each lower level is a subunit or subsystem or component of the one above it. This whole concept was nicely formalised at a biological and systems science level by Arthur Koestler, in his book Janus, a Summing Up. Each entity at each hierarchical level, each "holon" as Koestler termed them, is both a whole of the parts or entities of the level below, and a part of the whole above. More on this in the ontodynamics section. For now, this is one of the four hierarchies or dimensions or parameters of Being, the parameter of expanse or scale, or Universal-Atomistic. The following then is a suggested list of major scales of being:
Transcendental - everything, the universe and beyond - that mode of the Absolute which is the universe (and the universe as the Absolute)
Universal - everything in manifestation (at that "level" of reality", oertaining to the universe as a whole (but not to the Absolute; i.e. the Absolute includes the Universal but not (as superficial readings of Pantheism assume) the reverse) e.g. the laws of physics are universal (throughout this universe).
Cosmic - any large to very-large scale manifestation; metaphorically and/or esoterically, the "macrocosm" as opposed to the "microcosm". It may be interstellar or galactic or inter-galactic, or pertaining to the entire universe, but not invariant in the way that the "universal" phenomena are. Each of these of course can be divided and sub-divided into any number of degrees and subdegrees: e.g. "cosmic" proper, intergalactic, galactic, interstellar, solar systemic, etc (and any number of subdivisions between these)
Collective or Immediate Environment - the (physical and/or psychic and/or spiritual and/or whatever other ontic level is applicable) environment surrounding the individual (or "individual holon", with and through which it interacts with the cosmic forces (or holons), the "field of influence" or (in theosophical and New Age thought) the "aura" or "psychic (etheric, "astral", whatever) energy field around an individual. From a subjective reference point, every "holon" is the center of its own environment, and that environment is both a larger holon and also the aggregate of all the holons with which it is in contact at the time the "environment" is defined. Holons, like all things, are constantly changing). In Ken Wilber's 4 quadrant Integral philosophy, the Environmental Scale corresponds to the bottom half of the diagram.
Individual - the holon being referred to. In human psychology and occultism the "microcosm", the individual as a smaller (fractal) image of the cosmic or universal whole. The individual is both a part of its environment, and the totality of all the holons of which it is constituted. In Wilber's 4-quadrant Integral philosophy, the Individual Scale corresponds to the top half of the diagram.
Subsystem, Part - holons beneath the level of the individual. Here we have again a near infinite number of possible ranks, subdivisions, etc (in the human physical body holon we would say organs, tissues, cells, molocules, atoms, etc)
Paramanu - this Sanskrit term means the ultimate or most fundamental atom (anu or minuteness). I'm using it here because the Greek term (atomos, indivisible) is already used by science (atom). It is here used in a hypothetical or figurative sense, as I am not referring to a specific funndamental particle. The paramanu may be superstrings or supermembranes of speculative modern physics, or something else again or even smaller, or it may be a unit or quantum of consciousness. However I disagree with Ken Wilber's statement that "it's turtles all the way up and down" [ref xxxx] because that implies an infinite regress; moreover I am going on the assumption that reality is corpsucular (Teilhard's term), granular or quantumised (this is the evidence from modern physics and there is nothing in immediate experience or occultism to disprove it.)
As with the four hierarchies in general, each of these holarchic levels might be said to be the sphere of analysis or understanding of one or another field of study or experience. So, just looking at things purely on the outer physical level (we'll examine the other metaphysical axii shortly), the Universal might be said to correspond to the laws of physics, chemistry, and mathematics, the Cosmic to astrophysics and astronomy, the Environmental to ecology, planetology, sociology, etc, the Individual to biology, psychology, and so on. Once again, these are only very crude generalisations, and should not be compiled into lists of rigid tables. Moroever, there are subjects like Astrology, which are discredited by both mainstream science and fundamentalist Christianity, but which are empirically valid (on the Cosmic and Environmental scales), sometimes astonishingly so (as someone who follows a scientific methodology I have been forced to accept the validity of astrology, despite my original scepticism). This represents the Universal-Individual Axis on the Physical level. On the Psychic level it would be not science but esotericism and occultism that teaches these levels. But this is jumping ahead to the vertical axis; we will defer discussion regarding this a little first. Ultimately, each end of the holarchy represents a particular polarity or aspect of the Absolute, and both the Universal and the "Paramanu" are united in the Transcendent, as shown below in the "quantitative scale":
These divisions seem - and are - pretty arbitary. Where does Environment/Collective end and Cosmic begin? And since an Individual may be a Part of a larger totality, isn't the distinction between these two superfluous? Wouldn't it be better to say atom - molocule - cell - tissue - organism - ecosystem - etc? My reply is that what is important is not the details here, but the dynamic. A "cosmic" entity would function (manifest, be conscious, whatever...) in a completely different way to an individual entity. It would have a "distributed" rather than a "localised" existence. And even if and though a part of a larger whole, an individual entity would be an autonomous unit. So a person is an individual entity, a society is a distributed or collective entity. Or an ant is an individual entity, while the hive is a distributed or collective consciousness. The parts of an individual, on the other hand, are not autonomous. If you take a cell from your body, it won't survive on its own. Whereas a bacterium or a protozoan is an individual entity. Furthermore to have a spectrum like cell-organism, or individual-society, is anthropocentric, because what about worlds and regions of interstellar space. And obviously what is being discussed here is not simply (and usually not even) size, but complexity, organisation, and inclusiveness. Size in the sense of physical dimensions of length, width, and breadth, are qualities of the dense physical subplane of the vertical axis or ontocline, which is considered later in this essay.
The Mandala
The review of the above four gradations or polarities of being may imply that in order to explain everything, a four dimensional cartesian grid would be required. So for example a physical object might be considered as (from "least" to "most" ontologically significant):
Individual (holonic) - Outer aspect of Outer Being (being) - Dense Physical (plane) - Not-Self (self)
But while this may work in some instances, it may not in all. We find for example that Sri Aurobindo says that the Psychic / Innermost Being does not pertain to any of the conventional planes ("vertical" hierarchy) like Physical, Vital, or Mental (ref. xxxx) . Rather it supports the outer being. In Kabbalah, in Samkhya and Kashmir Shaivism, in Procline neoplatonism, and in Gnosticism, we find a sort of tree-like phylogeny of being, in which emanation from the original Godhead or Absolute branches out into a number of channels or worlds, aeons, tattwas, or sefirot, which then converge or alternatively further multiply. Sometimes there is a final convergence to represent the physical or material world (e.g. Malkhut in Kabbalah) as the "furthest point" from the Absolute. But this sort of dualism is probably too simplistic, especially since many more esoteric teachings speak about the Absolute or Godhead being beyond and giving rise to all polarities, dualities and opposites, all of which are reconciled and transcendend in the Source. It may well be (although this is speculation) that the original polarity or divergence or Coming Into Being (by which the One becomes Many) is in the form of that most universal of glyphs and diagrams, the mandala. The image on the left is a typical Buddhist mandala. We have the four quarters, representing the four primary archetypes, four deities (with the fifth in the center), four elements, four Jungian ego-functions, four worlds, four colours, whatever. And you have a series of layers, leading to and focussing on the center. When meditating upon the mandala, the consciousness is guided through the various layers or rings from the periphery representing the outer consciousness to the center representing the Buddha Mind at the core of one's being (shown by whatever deity the mandala addresses or embodies, in Buddhism all deities are aspects of the void (shunya) or Absolute Reality)
Yin and Yang
In a traditional mandala there are four such variables (one for each quarter or quadrant) plus a fifth as the Source otr Origin in the center. Alternatively, these can be seen as a doubled duality (as in the "bigrams" of the yin yang series of lines in the I Ching). The dynamic mandala applies the interrelationships between any two of these parameters or variables, or any two points on the same axis. One of these points or variables or modes will be "yang" and one will be "yin", because in any manifestation there is always a polarity (in the Absolute itself, this polarity - Yin and Yang (Chinese philosophy), Shiva and Shakti (Tantra), Hesed and Gevurah ( Kabbalah), whatever term one may wish to give to it - is considered latent and unmanifest), and indeed it is this polartity or difference in potential that not only causes but is manifestation. The following is a suggestion of the polarity of the four parameters of existence (which - iof each is derived from an archetype or godhead, would fit nicely with the four points of the mandala:
Levels of Selfhood - orientation to the True Self / "I" or "Within" is the "yang" / Controller polarity; orientation to the Non-Self / "This" / "Without" or Phenomena is the "yin" / Work Component
The "Vertical" Axis / Planes of Existence - orientation to the Higher Nous = "yang" / Controller; orientation to Physical Matter is the "yin" / Work Component
The "concentric" Inner-Outer Axis - orientation to the Innermost Being is the "yang" / Controller polarity; ("subjective") to orientation to the Outermost (most external or "objective") Being is the "yin" / Work Component
The "horizontal""Holarchy" Axis: orientation to the "Atomistic" Individuality is the "yang" / Controller polarity; while orientation to the larger Cosmic or Universal dimension is the "yin" / Work Component
It is important to understand that neither of these is more important than the other; both are complementary and necessary polarities of manifestation. This is not a moral cosmology of "good" and "evil". The following diagram represents the various parameters as a sort of multi-dimensional grid.
Each axis or parameter consitutes a distinct spectrum of consciousness (or "chain of being"). So the "vertical parameter" from physical matter to noetic planes consists of many subplanes. Moreover each of these gradations is not a simple spectrum or series, but rather a fractal with numerous aspects and ramifications, each of which has a "yin" and a "yang" polarity. So matter is yin, spirit is yang; cosmic or universal is yin, individual is yang. More on trhese parameters here
The problem of Cartesian dualism
Cartesian dualism, the philosophy that mind/soul/consciousness/spirit and body/matter constitute an irreducable dichotomy, has characterised much of the ontology and metaphysics of western philosophy since the 17th century - both in its influence on those who support it and on those who oppose it. In fact it goes back before Descartes hismelf, all the way to Pythagoras, who spoke of the transmigration of souls (an idea he may have gotten from Brahmanism). From Pythagoras, dusalism was adopted by Plato, and from Plato it made its way - always modified but still with the same basic dichotomy, to Gnosticism and Christianity (especially Catholicism, literalist Christianity (e.g. Protestantism) denies the concept of a soul apart from the body), and thence to Descartes Whilst philosophers like Spinoza and Liebnitz came up with creative attempts around the mind-body dualism, many of Descartes's later successors simply dropped the concept of spirit or mind altogether, and hence philosophical materialism and naive physicalism was born. With the rise of logical positivism and analytical p[hilsoophy, the fall of metaphysics, and the inability of rational-objectivist thought to solve the mind-body conundrum, Cartesian dualism fell totally out of favour in mainstream academia. Early in the 20th century Teilhard de Chardin's evolutionary philosophy, and more recently Ken Wilber's Integral Philosophy, attempt a resolution of the original Cartesian (Mind-Body) dualism by replacing mind and matter with a single holistic reality that has a mind and matter or interior and exterior aspect (in Ken Wilber's Four Quadrant map, in which the left half of the diagram pertains to "interiors" or subjectivity, the right half to "exteriors" or objectivity (consisting of objects / "it" (Upper) and systems / "its" (Lower) quadrants). The quadontological approach to Cartesian dualism is rather different. This is shown on the left. Quadontology (this present essay) argues that there is not a simple duality but rather four distinct polarities or gradations (ontoclines) of being, each witha "yin" (matter" so to speak) and a "yang") ("spirit" polarity. In Cartesian dualism the "Yang" polarity of three of the parameters are confused and jumbled together. This constitutes the mind or spirit member of the duality. However as far as everyday physical mundane reality goes, the "Yin" polarity of these three parameters do indeed merge, in what is usually considered "physical reality". This constitutes the "matter" or "body" element. There is also no "duality" between the two polarities of each ontological axis, simply a sequence or gradation.
The Absolute Reality as the Center
Like the center of the mandala which unites the four quarters, the Absolute can be said to constitute a fifth or unifying principle behind and at the heart of the other four. As Ken Wilber says about Spirit, it is both the highest member of the hierarchy and the underlying reality of the entire hierarchy {ABHOE p. xxx, etc]. But this is not entirely correct, because it is not only the highest member of each hierarchical spectrum, but also the lowest. I would follow Tantra and Taoism in saying that it is what preceds the original polarisation of each ontocline into purusha and prakriti, yin and yang. It is neither yin nor yang, higher or lower, self or non-self, but equally beyond both alone.
Parameters of Reality
Unmanifest Absolute shunya, tathata, paratpara
Reality in Itself beyond Absolute and Phenomena
Pleroma (The Manifest Absolute) The One Absolute Unity The Many within One: These aspects within and of Unity, expressing absolute Harmony and Perfection
Kosmos Aspects that are polarised (yin-yang) and dualistic. These constitute the dimensions of Kosmic and phenomenal, dualistic, involtionary-evolutionary existence
Perhaps each of these sequences begins from a different aspect of the Absolute. Or maybe from the same aspect expressed in different ways. Whilst still within the Absolute, all these dimension/parameters are unitary. Within the Absolute Reality things are simple (Absolute Unity, Inifite, timeless spaceless consciousness, etc). But when they are projected down into and as finite or relative existence, distinction appears, and separation, and complexity. It seems to be a common esoteric teaching (and one that makes a lot of sense) that the purpose of the ever-unfolding Kosmos, of phenomenal existence, is for the infinite possibilities within the Absolute Itself to be allowed individual expression.
The following diagram represents a theory of knowledge based on the quadontological model. (Universal-Individual is not represented here because it is accepted by both the physicalist and esoteric perspectives)
Almost all of the vast body of knowledge acquired by western secular cvilization, and which is currently increasing at an exponential rate, is clustered at the "outer-physical-objective" pole. Although this is balanced by non-western "perennial philosophy", this traditional corpus is being overwhelmed by the newer material, and moreover being interptreted as incorrect, myth and metaphor, premodern, and so on. This is where I differ very radically from the physicalist anti-metaphysical modernist/postmodernist position of Wilber (in the Integral movement) and Academia, and side with the traditionalist metaphysical stance of Huston Smith (Smith 1987), and its 19th and 20th century deveolpments in Theonian Tradition, Theosophy, Hermeticism, Aurobindoan Integral Yoga, and so on. Not that scfience and literalry criticism are incorrect; in fact i believe that within their fields (outer-physical-objective) they are completely correct. The error arises when this validity is extended to apply to the whole field of reality, just as Anthroposophy etc goes wrong when it is used to explain the dense physical (as opposed to the subtle physical!) resonances of the universe and rejects the currently established planetological, geological and evolutionary knowledge.
State-Specific Sciences
In the 1970s, Charles T Tart proposed state-specific sciences as a way of studying non-ordinary states of consciousness in a scientific as opposed to a mystical manner (Tart 1972, Tart 1975a, etc; short summary here ). Every altered state of consciousness has its own characteristics, and people experiencing those states make certain statements or observations regarding their experiences or insights. These may seem non-sensical or even pathological from the perspective of ordinary physical consciousness, which by its very nature is unable to evaluate the altered states. In order to know if non-ordinary experiences have an inherent sense or truth in themselves, Dr Tart suggests training observers or scientists who enter the altered state in question, make observations and theorize while within those states, sharing these observations and theories with each other, and refining this process over time. the aim would be to see if trained observers can agree on things within the ASC, even if those in the ordinary state of consciousness cannot understand what they are doing. The implication of SSSci methodology is that objectivist-physicalist science is ultimately just one SSSci among many possible SSScis. The fact that objectivist science is so successful in gathering and building upon knowledge does not mean it is the only"science". I would suggest that two examples of alternative but equally valid SSScis might be Lucid Dreaming and Astral Projection (these tend to shade into each other), and Hermetic Occultism. Despite its potential, the SSSci initiative does not seem to have made much progress. There was also a mail list but this has not been recently added to (see State-Specific Sciences Home Page) There is another problem (apart from just generating interest in the world of academia) with the concept of SSSci's. The aim of a SSSci is to distinguish between authentic insights pertaining to that d-ASC, and idiosyncratic ramblings, just as secular science distinguishes between genuine and spurious observation. My own phenomenbological approach would be to treat all experiences equally. Even if one may pertain to a larger reality, and another simply to the state of consciousness or mental space of that person, they both are datums of consciousness; only one is "shared" and the other is not. Going beyond this, one may even ask whether this very methodology - even a meta-methodology of scienctific thought as the distinguishing of Truth and validilty from error - apply universally? Many extreme non-ordinary states of consciousness are by their very nature so different that it is not possible to translate them to verbal concepts (Mirra for example often refers to this in The Agenda, e.g. pp. xxx, xxx). One might say that the "closer" (in the sense of ontoclines, defined later) to the objective physical as mediated through the rational mind, the more that SSSci methodology applies; the further away, the less it does. Although examples of non secular-objectivist State Specific Sciences seem to be rare, this is not the case with what Dr Tart refers to as State Specific Technologies (Tart 1975a pp.40-43), and perhaps many techniques such as Buddhist, Patanjalian, and Tantric Yoga/Meditation, Sufi dhikr, and so on are "State Specific Technologies" having as their goal the accomplishment of liberation. A baser use might be emotional manipulation at a revivalist meeting (ibid p.41-42) Going further, one might also postulate State Specific Art, State Specific Worldviews, State Specific Paradigms, State Specific Point of views (an opinion or observation that makes sense within a d-SoC but not outside it. Unlike State Specific Science it does not have to be verified) and so on. The whole concept of something being State of Consciousness Specific opens up a whole vast series of methodologies and phenomenologies, and breaks the tyranny of naive physicalism. The opposite of State of Consciousness Specific is, obviously, State of Consciousness Generic: arts, sciences, philosophies, paradigms, etc which might apply across the board and hold regardless of the specific state of consciousness (d-SoC) of the subject. Then there are Multi State of Consciousness arts, sciences, philosophies, techniques, and so on, which why not being actually generic, are not limited to one specific d-SoC. They have a span or range that incorporates and includes a number of d-SoCs,
Reality is not static. There is however a disagreement among various religions, philosophies, and esoteric systems as regards the way in which the cosmos came about, and where it is heading. Some insist on a timeless metaphysical sequence of emanation (e.g. Neoplatonism, pre-Lurianic Kabbalah), or an indefinite or endless series of cycles of creation/emanation and withdrawl/dissolution (Hinduism, Jainism, Buddhism), whilst others propose a dramaturgic sequence of fall and restitution (Gnosticism, Christianity, Lurianic Kabbalah), others again a cyclic series of evolutionary descents into matter and return to spirit (Theosophy, Anthroposophy), or an evolutionary ascent (Darwinism) involving a series of quantum stages (Teilhard 1957, Haskell, Jantsch), or a descent and an ascent (Hegel, Sri Aurobindo 1977, Wilber 2005)
Involution
By "Involution" is meant the descent or transformation of "spirit" into "matter". This is usually associated with the theory of Emanation. Since "spirit" (or the Absolute, or "God" if you want to use that religious term) comes first, there must be some way to explain how this original Transcendent Reality and Consciousness becomes the universe of multiplicity and finite existence. In Neoplatonism and Kashmir Shaivism this is explained in terms of the mechanics of emanation, which is a timeless ahistorical process. Some esoteric cosmologies go further, and introduce a historical element. In this, the creation or formation of the Physical Universe was preceeded by a number of previous non-physical, psychic or spiritual stages; for example the elaborate Theosophical and Anthroposophic concept of prior Rounds and Root Races, and the fascinating imaginative accounts of pre-creation fall and restitution that are central to the Gnostic and Lurianic Kabbalisticdramaturgies. In all these instances, there is generally just a single parameter or dimension of being. But as the present thesis presumes the existence of four ontological gradations, emanation cannot be a simple linear process. It is suggested therefore that as far as the creation or coming into being of the physical universe is ccncerned, involution/emanation is fourfold. Or rather, there are four distinct processes, all of which come together to constitute objective physical reality. Physical reality is thus a sort of maximum involution stage, but also the point of greatest stability (hence the positive interepretation of the Samkhyan guna (quality) of tamas as "stability"). In the Lurianic Kabbalistic conception this is the "central point" ("Malkhut of Assiah" - the lowest sefirah of the lowest world) because it is furthest from the Godhead . This is perhaps based on the medieval worldview which is - as Arthur Lovejoy points out, not so much geocentric as hadocentric (ref p.xxx). As indicated in the diagram on the left, the mundane physical reality comes about through the Involution of Consciousness, the Descent of Mind (and Astral and Etheric), the Exteriorisation of the Inner Being, and the Individualisation or atomistic focus of Universal and Cosmic Being. We see this symbolically indicated in the Kabbalistic tree of life, where three sephirot (Netzah (lowest sefirah of the pillar of mercy), Hod (lowest sefirah of the pillar of severity), and Yesod (pillar of balance)) all converge on a fourth one, Malkhut or Kingdom (also pillar of balance, lowest sefirah of it), which represents mundane reality. (This is however in the modern hermetic Kabbalistic tree (e.g. in the Golden Dawn system); early versions of the tree and Malkhut connected only to Yesod). This could be thought of to represenet different worlds and parameters, although as analogies only, the three pillars do not easily correspond to the four axii of being presented here. Of course, there can still be, and often is, involution and emanation along only one of these lines of manifestation. There can be an exteriorisation of Inner Being on the Mental or Astral level, or an involution of consciousness so it identifies with its objects on a subtle level of existence. But it wouldn't be correct to have a simple 4-dimensional cartesian fractal grid, since not all combinations are valid. For example at the higher noetic levels there is no identification with objects or outer being, as the beings on this level are fully conscious of their own divine natures. At least this is what the perennial philosophy would seem to indicate, referring to the higher worlds or realms of Light. This is why the Tree is equally valid as a metaphor as the Grid. But even a partial Map of reality is still to be worked out, the suggestions here are just the barest hints and tentative musings.
Evolution - the whole picture
Current accounts of evolution, both scentific and esoteric, tend to be limited and one-sided. Either they only describe the physical side of thngs, with the higher faculties (life, mind, etc) explained in a holistic way and in terms of emergent evolution, and the occult elements ignored (the evolutionary cosmology of Teilhard, the systems theory synthesis of Jantsch, and the integralist position of Gebser and Wilber), or they describe things only from a psychic perspective (e.g. Theosophy and Anthroposophy, with their detailed accounts of rounds and root races) but get the science completely wrong (19th century concepts of Lemuria and Atlantis don't fit with modern archeology, biogeography, and plate tectonic theories (although the Theosophists argue that Lemuria = Gondwana)). In fact both sides are right, but each side fails to incorporate the other, and so each remains partial. The only way to understand the whole picture is through a truely integralist perspective that doesnt run away from occultism and metaphysics on the one hand, and the findings of science on the other. This means a paradigm that both sides are likely to reject as being too way out or diverging too much from their own preferred worldview. And this is what I have attempted to do here.
Evolution and Physical Reality
A number of esoteric and spiritual teachings assert that it is necessary to come down to the physical plane and take on a human incarnation or some physical form to achieve enlightenment or liberation, For instance Buddhism refers to the "precious Human Rebirth"; the idea that even the gods would hav eto incarnate in physical form to progress was held by Blavatsky and apparently Theon as well, and Sai Baba also mentions something like this in one of his talks. Sri Aurobindo makes the intriging suggestion that evolution is only possible in a physical existence, because the other realms and beings are "typal" and hence unchanging. If these ideas are correct, it suggests why physical reality exists. It is only in the outer physical being that the original Consciousness is solid enough to enable the interaction and synergy of dynamic systems. More, if we assume the merit of Sri Aurobindo's concept of Supramentalisation: it is only in this physical mode that existence is dense and stable enough to form the foundation for structures that can be perfected; that is, that can be the vehicle of, and take on the consciousness of, the Noetic Absolute ("supermind").
Evolutionary Stages - Six Singularities
Teilhard's Evolutionary Spiral - from Higher Ground by Ann K Elliott
The idea of goal-directed evolution (teleology) goes all the way back to Aristotle, who taught that God (Theos) is the examplar or final cause (teleos) to which the whole Cosmois is moving. This idea was taken up again by Jesuit priest and paleontologist Pierre Teilhard de Chardin, who developed a theory of spiritual evolution, according to which evolution is a process of ever-increasing "interiorisation", complexity, and psychicisation or spiritualisation of a single squence from basic (atomic or subatomic) matter to humanity and beyond. At every stage the same basic processes apply, which lead to the evolution is both an upward and forward movement through space and time, leading to the arising of larger and more complex forms, from cosmogenesis (Matter) through biogenesis (Life) to noogenesis (Mind). According to Teilhard, humanity's evolutionary path is converging towards the "Omega Point" of Christogenesis, leading to the Consummation or Christing of creation. (Teilhard de Chardin, 1959) Teilhard's ideas have been very influential, and contrinuted to subsequent teleological or spiritual theories of evolution, such as those of Oliver Reiser (Cosmic Humanism), and Edward Haskell (Universal Science). At the same time as Teilhard was developing his cosmology, Sri Aurobindo was working on his Integral Yoga and doctrine of Supermind, and there are a number of similar elements in both teachings.
Incorporating Unified Science (Haskell et al) with Aristotle, Teilhard de Chardin, and Vladimir Ivanovich Vernadsky we could say that Evolution is that upward teleological progression, determined by synergy, in which the Supreme is the Archetype to which everything is striving. This is shown as the omega at the top right of the diagram on the left. Speaking process-wise (or pantheistically) it could be said that the Divine activity is revealed synergetically in the syntropic ascent, each of which leads to the emergance of new possibilities, a new singularity, and a new evolutionary attainment. In this diagram three evolutionary levels are shown - abiotic, biotic, and cultural (corresponding to Matter, Life, and Mind). (Dozier, 1992) A more complex representation of these same three levels is provided by Erich Jantsch:
Despite the different format, both diagrams are saying pretty much the same thing, although each emphasises and different details. It seems that three "kingdoms" (or singularity jumps) seems to be a common schema (Sri Aurobindo refers to Matter, Life and Mind, the same triad), both Arthur M Young, and the Unified Science team, also refer to sub-atomic particles, atoms and molocules as separate "kingdoms" so to speak. Ultimately there's any number of ways to divide things up, according to how you rank the singularities (e.g. sub-atomic particles, atoms and molocules can all be included under "matter"). Werner Schwemmler for example destinguishes between Cosmogensis (matter - physics: sub-atomic particles and atoms) and Chemogenesis (molocules), and in addition has Biogenesis (Life) and Sociogenesis (Mind or Culture, represented by Man) (Schwemmler 1989). And as we have seen Ken Wilber presents a universal classification ("AQAL") in terms of evolution expressed in terms of four quadrants (interior and exterior, individual and collective) rather than a single sequence (Wilber 2000, 2000a, 2000b, etc). These stages are shown below:
Here instead of the detailed dynamics of three or four major singularity stages, there is a sequence representing a larger number of finer stages, in the above diagram numbered 1 to 13. The early stages in the right half of the diagram is based on Erich Jantsch's stages, whilst the the left half corresponds to Wilber's own theory of personal psychological development and collective cultural evolution. Another representation of this diagram are the series of tables at the back of Wilber's book Integral Psychology. The following table compares the different viewpoints.
Reviewing the evolution of the cosmos, it seems that the early stages follow each other through a mechanical process of self-emergence (i.e. given the laws of the universe and the expanding cosmos), the early stages like the Lepton Era, the Hadron Era etc follow each other mechanically, and are almost totally of the nature of "exteriors" and hence amenable to scientific method with little or no distrortion. But the later stages, the formation of primitive life, and then more advanced life, which involve increasing complexity and organisation, require and imply more "interior" or "within" as Teilhard would say. And it is here where objectivist science completely breaks down, because it can only study life by dehumanising it, by the very opposite of empathy, as shown with the laboratory animal, trapped and experimented upon with little or no consideration for its welfare. So even though the early stages represent singularity breaks and leaps of physical organisation, they constiutute a more negligable progression or gradation as regards the spiritual facet, whereas the latter stages such as Biogenesis and Psychogenesis do not differ as much externally as the difference between atoms and molocules say, there is more difference consciousness wise, in the within or noetic pole of things. One could also postulate a future stage of Theogenesis or Divinisation (corresponding to Teilhard's Omega Point), in which there is an even greater degree of development of the Interiors. The six evolutionary singularities, and primary evolutionary phases, postulated here can be listed as follows:
Cosmogenesis, the birth or coming into being of the physical universe - what Ken Wilber calls the Physiosphere, and Mark Edwards seems to refer to as the "Spatiosphere", see Through AQAL Eyes) - via the Big Bang and supermembranes or whatever was the factor that preceeded it )hence we can posit an earlier stage of Physiogenesis, which is the result of emanation). There is only one "Spatiosphere" or "Physiosphere" in and as our universe, and it pertains to the maximum involution of consciousness, and the lower levels of what Sri Aurobindo calls the Inconscient (French for "Unconscious") Chemogenesis, the birth or coming into being of dynamic systems, enabling chemical evolution and the development of nebula, planets and the evolution of inanimate matter which nevertheless constitutes basic physical and chemical levels of organisation. These stages have been ably categorised by scientific universalists like Erich Jantsch and Werner Schwemmler. While matter is not conscious in terms of sentience, at the Inner levels it is experienced as the involved and hidden consciousness of matter, the "earth mind", which pertains to the Inconscient. Biogenesis, the birth or coming into being of organic life, through the descent and incarnation of etheric principles and non-physical life-forms. I would suggest examples of this can be found in the "First Root Race" described by Blavatsky and equivalent concepts presented by Trevor James Constable. This enables completely new levels of organisation, expressed on Earth with the origin of life during the Archean or even the late Hadean era. No doubt similar evolutionary developments have occured on other worlds as well; in fact prokaryote organisms may well be ubiquitous. Biogenesis pertains to the cellular level of consciousness, the "water mind" or what Wilber calls the "Uroboric" stage. Psychogenesis, the birth or coming into being of feeling, psyche and inward life, and the descent and incarnation of astral and astral-etheric principles. Examples of this might be found in concepts of lemurian and atlanteanroot races described by Steiner, and similar ideas (uroboric, magical thinking etc) in the evolutionary philosophy of Ken Wilber (more on parallels between Wilber and Steiner here). Empathy indicates that animals have a fully developed psychic faculty, as advanced or more advanced than that of man. On Earth I would associate psychogenesis with the development of the nervous system, this puts it at the time of the Cambrian explosion and the origin of metazoa. Again, Psychogensis would have occured on all worlds in the universe where complex life is found, although this is not likely to have been anywhere as common as biogensis. If it was there would be a lot of planets where intelligent technological beings evolved, and hence the Earth would have been colonised by aliens long ago. This is what is known as the Fermi Paradox. Psychogenesis pertains to the overall somatic and conscious intentional-behavioural level of consciousness, and its shadow "the double" Noogenesis (a useful word coined by Teilhard), the birth or coming into being of higher cognitive thought, mental or intellectual understanding, the descent into physical embodiment of mind, associated here on Earth with the "head consciousness" and the brain. Th result has been mental organsiation of matter, in other words, civilization and the newtwork of knowlefdge (the noosphere). If this has occured elsewhere (which it probably has), it has not happened often, because otherwise at least one race out of all those thousands or millions would have develped interstellar space craft (or even self-replicating nano-pribes) Fermi Paradox again. Theogenesis, the birth or coming into being of the Divine reality, the transformation and divinisation of the lower creation by the noetic Absolute. This is the consumamtion of evolution as currentkly understood (but not the end of evolutionas such). It will give rise to new divine levels of organisation in matter, the Life Divine in Sri Aurobindo's turn of phrase, and the spiritualisation (but not the dissolving) of Earth. This is somethng that has been variously described by different phsilosophies, religions, and teachings.
Individual and collective evolution
Emergent evolutionist and Wilberian integralist cosmologies describe the process of evolution on a collective or planetary (and even cosmic) level, but ignore the role of the individual. This is because, obviously, evolution requires millions or billions of years, whereas a single human lifetime is only 70 or 80 years, and that of an insect or a worm a lot less. And for the cosmos to attain godhood is not much comfort if you have long ago become dust. However, Theosophical, Anthroposophical, and other occult cosmologies, and Indian-based teachings such as those of Sri Aurobindo and Meher Baba, present a far grander view of the individual, who evolves through progressive transmigration or rebirth through sucessive lifetimes. And in an oft-quoted poem, the great Sufi Rumi seems to talk about this sort of evolution, when he says
I died as a mineral and became a plant, I died as plant and rose to animal, I died as animal and I was Man.... Yet once more I shall die as Man, to soar With angels blest; but even from angelhood I must pass on: all except God doth perish.
-Translated by A. J. Arberry
Of course, it is not clear if he is talking literally or, more likely, figuratively, because Sufism does not admit a belief in reincarnation. And not all occult theories of reincarnation and evolution are tenable. Rudolph Steiner taught a sort of clockwork absurdity in which every person reincarnates once every 1,240 (or however many) years, alternating as male and female with each incarnation, and evolving exact time to the evolution of the Earth and the Solar System. Steiner does not speak of any evolution beyond the "Saturn sphere", and says that in 14 thousand years the present Earth will have completely spiritualised (and similarily 14,000 years ago the Earth did not exist). This sort of creationist perception show that esotericism alone cannot be provide a history of the physical universe. A more flexible and integral perspectie can acknowledge both planetary and cosmic evolution of nature on the one hand, and individual spiritual evolution. This might be shown as follows:
Galactic, Interstellar, and stellar evolution, heavy element formation (nuclear synthesis), nebula and star formation and decay, posthuman/post-singularitan "swarming", cosmic divinization
Coming into and passing out of embodiment of cosmic occult entities
Individual physical or psycho-physical development / ontogeny
Coming into and passing out of existence
It may be argued that a concept like reincarnation is "unscientific:" or "eastern". But in fact it simply is something that is treated sceptically in the West because it is not part of the exoteric materialistic-Judeo-Christiuan canon. If moreover one accepts a concept like an immortal evolving divine indidividual consciousness, the concept of successive rebirth naturally follows. Although both Theosophy and Ken Wilber's Holonomic cosmology assert that "everything evolves", and so don't discriminate between a rock or galaxy and an insect or a person, this is a minority view in terms of the perennial philosophy. I have decided to follow the Aurobindonian position which has the spiritual evolution of physical beings as central in evolutionary terms. The gods may be far vaster and more powerful, but they don't evolve in the same way as physical entities do. Evolution of the Subtle Body: If we adopt this teleological perspective of physical evolution, it suggests taht evolution involves progressive individualisations of "octaves" of the gross and subtle physical reality. In terms of occult planes and resonances, the Dense Physical plane or octave is "psychicised" and "spiritualised" by a number of resonances representing the embodiment of higher realities within the physical. In Theosophy and the New Age, these are called the Etheric, Emotional, and Mental bodies. These are the densest of the "subtle bodies", and constitute progressive developments of emergement evolution, as an expression of the increasing degree of "within" or interiorisation that is associated with each evolutionary stage. And while it would be wrong to state things dogmatically, we could speak in terms of generalities or symbolic associations. So chemogenesis means the first activity of the etheric, biogenesis means etheric individualisation and the first activity in the physical of the emotional / psyche / sentience (the embodied astral - scaled down from Greater Astral Reality to Astral Physical to Emotional Body), psychogenesis means emotional/psychic individualisation and the first activity in the mental physical (or mental body, which is likewise scaled down from the State or universe of Pure Mind). And noogenesis means both the full individualisation of the mental body (hence man the "thinking being") and the first activity in the spiritual mental levels, which only appear in a few visionary thinkers, philosophers, and sages, while most of the masses are caught in a mentalised emotionalism / emotionalised intellect. However, if Sri Aurobindo is to believed, then the gradual evolution from mental to higher mental to illumined mental and so on is to be bypassed by the supramental process (or Theogenesis)
Each individualisation is also accompanied by / generates / is caused by a collective etheric, emotional, mental, and supramental transformation, itself initiated by the activity of occult and higher spiritual hierarchies In addition to the lower subtle bodies there are higher and more occult ones pertaining to the Astral Physical, Spiritual Physical, Greater Astral, and Greater Ideational-Mental. These don't necessarily follow the evolutionary sequence of the Dense Physical; indeed the further from the oputer physical reality one goes, the less that physical laws - and equivalent current holistic-integralistic ones based on them - make sense, and new understanding is required (for example one can learn about the Astral Reality through a study of Hermetic Kabbalah). This why any attempt at a total knowledge, an integral knowledge that embraces everything, that remains shackled to modernist or postmodernist anti-metaphysical prejudices, will always be partial attempts. To explore and understand Reality in its fullness it is necessary to incorporate metaphysical, esoteric, and occult teachings and systems of knowledge and practice.
Occult factors in Evolution
We have seen that Theosophical and Anthroposophical cosmologies present evolution in terms of the progressive individuation of successive metaphysical principles by a reincarnating monad. This is really just the temporalisation of the standard Graeco-Medieval "Great Chain of Being". So minerals have a physical body only, plants both a physical and an etheric, animals add an astral body, and humanity a mental body (Theosophy) or Ego/Soul (Anthroposophy). While this insight is probably basically correct, it is far too simplistic as presented above as literalist esotericism. A better hypothesis would be a two-way interaction in which emergent evolution results in the individuation of etheric, emoptional, and mental resonances in the physical, and that these resonances in turn shape emergent evolution, but that it is not a simplistic one on correspondence in that the mental faculty only appears in human evolution. In fact rudimentary mental bodies would seem to have appeared along with primitive invertebrates, as higher invertebrates like cephalopods, and higher vertebrates, both have sophisticated mental bodies. And the principle that drives this evolution is both the inner striving of the divine soul/monad/higher self, and the dynamic environment shaped by larger physical and occult cosmecological (astrognostic) forces and beings. Earlier it has been suggested that involution involves the convergence of four distinct but interrelated ontoclines. The same could be said for evolution. We begin with the understanding - suggested by Steven Guth several years ago - that the Earth, rather than being an isolated bubble in the empty void of space, is an open system which is constantly receiving forces or "beings" from elsewhere in the cosmos, and these influence the evolution of life, consciousness, and civilisation here. Early thoughts on this hypothesis are in these essays (Considering Islam and Cosmogenic evolution) Now this hypothesis can be extended. Evolution works on a number of levels, influenced by a number of factors, the boundaries between which may not always be clear or distinct. What we experience and what science understands as physical processes, physical evolution, human history, and so on, is only the most visible focal point of a much vaster gestalt, and that influences from the cosmos and from higher dimensions of consciousness ray in constantly. And conversely, that the Earth itself - at its present stage of evolution - serves as a beacon, radiating out in turn, and attracting more influences. Moreover, evolution is not constant, but proceeds through a series of sudden leaps or saltations, through which a completely new form of existence emerges. Following Vernor Vinge, I use the term "Singularity" to describe this event. An alternative term would be "novelty", these are points at which there is a radical new development on Earth. Terence McKenna used the I Ching (or at least one interpretation thereof) to formulate a "timewave" [ref The Invisible Landscape], on which can be he mapped various events in history and the evolution of the Earth [link]. Unfortunately, McKenna insists on ending his 60 billion year timewave in 2012 (to fit it with the Mayan Calender), and this arbitrary date (once again the ahrimanic belief in "God" and apocalypse and what not) wrecks any objective validity such a system may have. Now let us tie the above two insights together. Each time a new force or impetus rays into the earth, the result is a singularity, and the larger the force or impetus, the greater the Singularity or Novelty But what is the nature of that new force or impetus? Here we have to consider the occult and esoteric dimensions and ontoclines. One might suggest a number of different "cosmic" factors that act upon the evolution of the planet. These hidden or occult ("occult" means hidden, invisible to the external senses) forces and factors and beings and personalities act upon the external (i.e. what is visible to the sense and to scientific instruments) physical reality, and determine astrophysical, planetological, Darwinian (natural selection, and variation through seemingly random genetic mutations - the response of life on the most physical level to its environment), and historical processes. And all this is not to deny the physical mechanism of evolution known to science, and explained in every textbook on this subject. But Darwinian and sociohistorical processes are like the tip of the iceberg, that part of biological and social evolution we can see and observe and measure and study physically. Beneath or behind the surface there are many other forces and factors at work, shaping and determining things behind the scenes, and what science and history calls "chance" or "random" only appears to be. Carl Jung touches on this with his concept of Synchronicity, but the I Ching explains it much better. This, it is suggested, works through the expression of consciousness on a quantum level, causing both tiny and, occasionally, large singularities or burst of novelty, leading to the unfolding and development of consciousness and a greater range of potential expression for embodied existence and life. The Formative/Morphogenetic - Immediately beyond, behind, and within the objective physical are the matrix or blueprints of the external. Rupert Sheldrake decsribed this best as the process of formative causation. It is not the mundane physical but pertains to the etheric (subtle physical) body and to environmental and perhaps even to larger cosmic etheric forces (But not universal because it changes through time), and to the inner rather than the outer being. And related to this there are samskaras or impressions from the past, from past lives and so on, as well as whatever else is carried over from individual past lives or from the collective evolution of the planet from its earlier stages. In the table of occult planes and resonances, the Morphogenetic derives from the Spiritual Physical. The Ecodevic - In addition to - and further removed from the material physical than - the above are a whole host of forces: subtle physical, etheric, and physico-astral elementals, astral-mental (or orecto-ideational) group minds, devas (sensu New Age definition) of various kinds. We can call them ecodevas and in fact the nature hierarchies as a whole. They seem to correspond to the environmentalintermediate (between inner and outer) or inner level of being of the Subtle Physical (Astral Physical and Spiritual Physical) and Physical Astral. More on them here The Astrodevic - Then there are beings - here termed astrodevas to distinguish them from the terrestrial or ecodevas - that come in from elsewhere in the physical universe. One might think of the Earth at its present stage in evolution with such vibrant activity of biological life forms and human thought as radiating out into the cosmos and attracting these things. More on one such being here. These forces seem to correspond to the same strata as the Ecodevic, but on the cosmic level of being. The Interdimensional - Then there are also beings, like the above, but which come from other physical or etheric universes than our own. The Supraphysical - Then there is the descent of spiritual or occult forces from totally supraphysical dimensions of being - from the Astral or possibly even the Ideational universe. But because we might assume that the higher the universe the harder to express, so most of these phenomena are from the Astral Plane. This is also the kingdom of beings that often come through genuine (as opposed to physical astral) channelled communications. These astral forces might sometimes be seen to be tied with the astrodevic forces from space, at other times they are purely universal. These forces and principles and gods and daimons may come from any of the supraphysical planes or universes, and the nature of the descent and what the new hierarchy or kingdom or revelation or divine or non-divine or anti-divine manifestation brings varies accordingly. The Divine - And finally there are specific avataric descents from the highest levels, from the Divine or the Supreme Consciousness and the infinite higher possibilities of the Noetic Absolute. According to Sri Aurobindo (don't have the actual ref on me) every major evolutionary ascension of consciousness involves a divine descent. And Teilhard de Chardin [ref] refers to evolution moving or drawn towards a consummate point or goal, the omega point. All these influences, each of which is not single but itself includes whole "kingdoms" or "hierarchies" of "beings" or forces, are not distinct in their influences, but often overlap.
Evolution of the Individuality
Behind the various subtle bodies is The Soul, the indwelling Divine principle, the Higher Self, the spiritual Soul or "psychic Being" which evolves to perfecton through successive rebirths (Aurobindo Life Divine p.xxx, and Theosophy ref) and provides the inner spiritual motivation or orientation for the outer personality, especially when it is sufficiently developed. In developing an empathetic cosmology, one shouldn't just think that only humans have a soul, but rather acknowledge that all sentient beings, or even, as animism asserts, all things, have a soul. The Soul corresponds to the InnermostPurushic level of being. But things are not so simple. Earlier the trinity of Self, Non-Self, and the Overlap between the two was described as the Self-not-self sequence. Eastern philosophies like Samkhya and Advaita Vedanta refer to the buddhi (Samkhya) or "witness" (Advaita) as the reflection of Pure Consciousness or Self (purusha, atman) upon non-conscious nature (prakriti). In the same way, there is a polarity between the Higher Self and the Double) No dubt there are further transitional levels of self as well. The following sequence of hypostases follows in part Sri Aurobindo in distinguishing between a prakritic being, an inner being, and a transcendent higher self; Assagioli (left), as well as Freudian psychology. The diagram on the left, and the following list, shows the sequence sugggested here:
Transcendent Higher Self - This is the "Celestial" Higher Self, the "Man of Light", Heavenly Twin, the Angelic Spirit, the Guide of Light, etc in Hermetic, Sufi, Gnostic, and other such traditions, Ar-Ruh al-Qudsi/Supreme Spirit, Christ in Christian mysticism and esoteric Christianity, the Transcendent "Central being" (Jivatam) guiding incarnations (Aurobindo), Higher or Spiritual Self (Assagioli), and the Monad of Theosophy (right). At least one experience [link xxxx] indicates a Matrix of Higher Selves.
Immanent/Evolving Higher Self - This is the Divine Soul or Purusha as immanent Divine Soul; the Pneuma or Divine Spark of Gnosticism, Sri Aurobindo's Chaitya Purusha or "Psychic Being", perhaps also Kashmir Shaivism Purusha, the Immortal Personality evolving to perfection, the Divine Soul or Higher Triad or Immortal Ego (right) of Theosophy and Alice Bailey's teachings. Many teachings confuse the two higher selves, but I am here following Sri Aurobindo in considering them separate but in relation to each other. This is just like the Heavenly Twins of ancient Hermetic, Gnostic, Ishraqi, and Sufi thought.
Essential Being - True Being or purushas of each level, according to Sri Aurobindo (perhaps Samkhya seems to refer here to the mental purusha). These are part of the Inner Being that supports the prakritic nature (It is unclear whether Sri Aurobindo considers the Inner Being and the True Bewing as one or two principles). Also the Antakarana or "Inner Being" (especially Buddhi and Ahamkara) of Samkhyan philosophy in part. This is equivalent in part to the "Divine Soul".
Ego - Conscious Self - This is the conscious personality or conscious self, the Ego according to Freud and Jung, the Manas and Manovijnana of Samkhya and Yogachara respectively, the "field of consciousness", the part of our being we identity with as "I" or "self" or "mind" or "soul". Normally it corresponds to the Outer or Surface Consciousness, but with spiritual development the field of consciosuness expands and is elevated to include more of the inner being. The Ego or I corresponds also to the Upper Left Quadrant in Wilber's Integral map.
Double / "It" / Unconscious - The "Double" or "Id" (literally, "It") is that part of the self that is experienced as "other", as a sort of Double or Doppleganger to the Ego. It can be understood as a transitional or intermediate reality between the complete Not-Self, which is specifically not a part of the individual, and the ego. In other words, it is intermediate between Within and Without, Subjectivity and Objectivity, Interiors and Exteriors. It lies outside the field of consciousness, but it still connected to the psyche, although it has a large degree of autonomy. A review of the Double in folktales and elsewhere (including Steiner's teachings) can be found here
Not-self / All Other Selves - To some extent this is the Prakriti of Samkhya and Advaita, but also everything that is not included in the individual Self. It is also, at least in its physical aspect, Objective reality according to science and secular thought.
As part of their development, and to maintain an "equilibrium", all these souls (or rather, the actions and reactions of their psychophysical vehicles and instruments in which they are incarnated) weave a "karmic pattern" or "karmic web", as the New Age people would say, and this individual and collective karma is a determining factor in world events as well as in the lives of individual beings. All of which can be shown diagrammatically as follows:
Glossary of Evolution Ontodynamic terms
I originally intended to formulate an ontodynamic theory in terms of a number of well organized fundamental principles, like the axiis of manifestation in the quadontology section. But instead this section became a sort of mini-encyclopaedia, and in the end I merged the ontodynamics and quadontology, and ontodynamics and evolution. The result was the following an alphabetical listing and glossary. Anagenesis evolutionary change in a single lineage that does not result in a new evolutionary branch or clade Axial Evolution - evolution that represents an ascent from a lesser to a greater state of physical existence - e.g. the evolution of life from inanimate matter. The term is identical to what Teilhard de Chardin calls "Radial Evolution". Clade - a monophyletic group, a group of organisms consisting of a common ancestor and all that ancestor's descendants. "Class Reptilia" is not a clade because some reptiles (dinosaurs) evolved into birds (non-reptiles). Sci Fi writer Bruce Stirling [Stirling, ***], and following him Orion's Arm, also use the term to refer to the evolutionary divergence of humanity or posthumanity. e.g. a race of genetically engineered space adapted humans would constitute a distinct clade from baseline humanity (technically, a Daughter Clade of the Human Parent Clade) Emergent Evolution - the evolutionary appearance of qualitive phenomena that cannot be explained in terms of their component parts, and which appear in physical reality with each higher or larger level of complexity. e.g. chemistry emerges at the level of atoms amd molocules, and cannot be explaine din terms of quantum phenomena alone. Life emerges at the level of cells, and cannot be explained simply in terms of the chemistry of molocules. At the same time, aspects of the lower are lost - quantum physics pertians only to the smallest scales, biochemistry doesnt work on the level of planets, and so on. Cladogenesis evolutionary change that results in the splitting of a lineage and a new branch or clade of the phylogenetic tree Co-action Compass - universally applicable cybernetic diagram presented by Edward Haskell and his associates, which shows the interactions between any two entities or elements of the same entity. more Compound - consisting of parts; not simple. These parts may or may not be holons Cosmos - creation, the totality; everything. Also spelt "Kosmos". From the Greek "ornament". There are also indidual cosmoses or worlds which make up elements or nodes or aspects of the larger Cosmos as a whole. Emanation - the effect that any entity, system, and/or being has on its environment. The Absolute Reality, being infinite, generates cosmos-creating emanation, through which all manifest existence comes about. Of course, the Absolute is also all that is, so it only affects Itself; even so this still includes creation, the totality; everything. Gods and other hierarchies of beings produce emanations of entire autonomous beings, even worlds. Humans, as physically embodied beings, produce a constant stream of mental and astral thought-forms, an etheric aura, and physical molocules, skin flakes, and a weak electromagnetic field, as "emanation". A sub-atomic [particle produces its own "emanation" of virtual particles. More Entropy. The progression from more complex to simpler structures through through lose-lose (-/-) co-action. The reverse of evolution. Evolution - linear, branching, or converging change or succession or series from an original (usually although not always simpler) state or ancestor or group to another (usually although not always more complex) state or descendents or group. Evolution may occur anywhere along the holarchy or universal-individual axis, using many or few elements of the holarchy. So there can be individual evolution, collective evolution, cosmic evolution, and so on. Evolution may be physical, psychic, spiritual, or of any pother nature. In fact evolution is a fundamental law or principle of the Cosmos. Evolution is only possible in an open system; in other words, either or both X / Work Component and Y / Controller (see Co-action Compass) must include at some elements outside the individual being. These elements may pertain to any axis or parameter of reality, and/or to the Absolute which is beyond all such dualities. Evolutionary Radiation - the sudden emergence of a large number of novel evolutionary forms (organisms or systems), as the result of a new adaptation or adaptations (e.g. Cambrian Explosion), or sudden vacant ecological niches following a mass extinction (e.f. placental Mammals). Feedback and Feedforth - the flow of being (which may be energy, matter, information, ch'i, consciosuness, or anything else) between components within an individual system, as well as from the individual itself to other (equivalent, larger, or smaller) individuals or systems Cybernetics understands feedback (within a system), but not feedforth (beyond a system). In the Unified Science paradigm of Edward Haskell and his co-workers, the various levels or systems, develop and relate through a feedback and feedforth both within and between each level, which is as follows:
Edward Haskell (ed.) Full Circle - The Moral Force of Unified Science, p. xxx
Holarchy. A hierarchy of holons In Janus, a Summing Up, Arthur Koestler presents the theory of holons, as a third way between atomism and holism. Each entity at each hierarchical level, each "holon" as Koestler termed them, is both a whole of the parts or entities of the level below, and a part of the whole above. Atoms are made of subatomic particles, molocules of atoms, biological cells of molocules, and so on, upto the entire cosmos as a whole. Koestler coined the term Holarchy ( wikipedia page) to describe this particular hierarchy. This term was then adopted by Ken Wilber who added a lot of additional ideas, and created a sort of monadology based on the idea that all that exist are Holons and nothing else (Wilber 2000b pp.17f. etc). This, in my opinion, makes the concept of holarchy too amorphous (if everything is a holon, why even say "holon"?). Also, there may well be entities like the Samkhyan concept of purushas that are not a part of or made up of, other units. Holon - a system that is itself a part of a larger system. In interepreting holons I have taken a position opposite that of Ken Wilber, who reduces the entire cosmos to nothing but holons, each of which are made up of four quadrants and so on, and other integral theorists who present holons in too generic a sense of any a whole that is itself a part of a larger whole. As indicated in the following diagram, holons are not "atoms", but autonomous systems in the sense of the term used by Erich Jantsch.
Interaction - co-action between two or more beings Karma - the effect a system's or a being's action on other systems or beings has on itself Karma implies that all beings are actually co-essential, because by affecting another one also affects oneself. Kingdom - in Linnean terms (biology), the largest category of living organisms (since superceded by the Domain). In esotericism, a major category of beings, usually defined by the level of consciousness and faculties of the soul. Novelty the emergence ofa new caharcteristic that did not prevbiously exist in the physical universe Omega - the final goal or state to which the Cosmos is proceeding (imples teleology) . The term Omega Point was coined by Teilhard de Chardin to refer to what is here called Theogenesis Ontogeny - the developmental history of the individual, as opposed to the group (phylogeny) Open System - A system that interacts with and is acted upon by its larger environment. The laws of thermodynamics proved that for life (which builds up complex systems, in apparent violation of the second law of thermodynamics) to occur an open system is necessary, because entropy must be dumped outside the individual being. The only way you could have life in a closed system would be as a perpetual motion machine, a physical impossibility. Note that this does not have to refer to only the dense physical dynamics of matter and energy; Steven Guth and I have proposed the concept of Astrognosis, whereby cosmic influences ray down on Earth. The Earth is not a closed system, a little bubble separate from everything else, but a holon that is part of a larger, galactic, ecology which incorporates "astrodevic" forces. Orthogenesis evolutionary change which proceeds in a straight line; a single theme is carried on and developed through successive species. Phylogeny - the history of the race or group or clade or even kingdom (Jantsch for example speaks of the "phylogeny of matter") as opposed to the individual (ontogeny). Phylogeny involves evolutionary ancestry and descent through time. Simple - not made up of component parts. Singularity - an axial ascent (emergant evolution) from one toposophic level to the next, such that it is impossible to understand the outcome or nature of the new evolution using only the understanding and experience of the previous or lower toposophic level. The concept was originally developed by sci fi writer Vernor Vinge [ref xxxx]. Every singularity event involves a radical degree of novelty. Syntropy - evolution through win-win (+/+) co-action. Whenever syntropy occurs, the result is progressive evolution, leading to novelty and higher order structures. Hence evolutionary developments are indicated at the top right of the co-action compass, as shown here System - a dynamic compound being; consciousness in (usually but not necessarily) physical evolution. The following list of Characteristics of Self-organizing systems is from the Self-Organising Syustems FAQs page (and is reproduced on Integrative Spirituality Org):
Tangental Evolution - Teilhard de Chardin's term for evolution that does not involve progression to a new and greater state; evolutionary radiation. Teleology - goal-directed evolutionary process, movement towards omega. Physicalist evolutionary science does not accept teleology Toposophic Level - a singularity level, a quantum level of the physicalevolution of consciousness. The term was originally coined for Orion's Arm
It is our responsibility to take up the task of conscious evolution, on both the indivdual level of sadhana or yoga (sensu Sri Aurobindo's integral yoga; I don't mean Hatha yoga), and on the collective level of politico-socio-cultural evolution. While Theogenesis itself is solely the work of sadhana, the requirements of saving the Earth from destruction through lower human greed, stupidity, short-sitedness, and hatred of sensitivity, is the task of Activism and Memetic Engineering.
Social/Collective Evolution and Praxis
Information Systems - peer to peer software like Linux is the biggest threat that the Microsoft megacorporation faces. And similarily collaborative data building such as Wikipedia bypass and hence challange the centralised nature of traditional encyclopedias. Of interest here is former Editor in Chief of the Encylopaedia Britannica Robert McHenry's attack on Wikipedia as "the faith-based encyclopedia" (McHenry 2004), and the devastating refutation of his arguments by Aaron Krowne (2005) Ultimately a Wiki-everythingana will go beyond the Wikipedia and include literally everything, even facts about "boring" or "trivial" people or things, taht the current wikipedia approach considers unworthy (indeed this "exclusiveness" I feel to be a limitation to the current wikipedia). It will also bypass the subtle physicalist bias one finds in Wikipedia (as observed by Goethean) Sciences (Mathematical and Natural Sciences) Technology, Applied Arts and Sciences Social sciences Culture and Fine Arts Philosophy - embracing metaphysics breaks the stranglehold of a century of positivism and analytical philosophy, and allows the return of the "perennial philosophy" (Smith 1977) and the Wisdom Traditions. This does not mean that positivism is not included in the grand synthesis, but only that it no longer dominates the entire understanding. Psychology - psychological understanding is now based on quadontological parameters such as the dynamics of and between the - Individual and Environmental - Outer, Intermediate and Inner - astral and mental Physical - Buddhi, Ahamkara, and Manas - [add more] Religion - replacing the old "God"-concept - The idea of a monistic or monotheistic "God" - referring to the Godhead that is beyond Creation, but that can still enter into Creation to effect change here - has been a standard concept in both exoteric religion and religious esotericism for the last 3000-odd years. But old need not be better. We see today the god idea leading us to a dead end and the potential destruction of life on the planet; the exoteric "patriarchal" God of literalist religion; worshipped equally by the Christian fundamentalist Neocons in America, and the Islamic extremists and terrorists in the Moslem world, both equally convinced they have God on their side. In the Western world this is especially tied in with American ahrimanic (Steiner) style materialism and cultural frameworks. It really is in the way language invokes a thought form. Because of the negative associations with the "God" word, and the related reality behind it (for according to The Mother this all comes from the negative psychic or astral (Sri Aurobindo - "vital") worlds) it may perhaps be better to find other thoughtforms, rather than try to redeem a thoughtform that is already captured by destructive powers. Developing a new philosophical terminology doesn't mean one should also reject the Personal aspect of the Divine for the Impersonal. To reject a monotheistic deity for a monistic concept of Buddhist Sunyata, Vedantic Atman-Brahman or Chinese Tao (in the transcendent sense) is simply to replace one partial perspective with another. Sri Aurobindo says it best - The Supreme or Absolute Reality transcends both Personal ("Lord""God", etc) and Impersonal (Sunyata, Atman-Brahman, Tao). But unfortunately people are so attached to either this image of an anthropomophic deity, or a simple monistic "clear light". Occultism - Occultism is the study and/or theoretical knowledge of and/or practical application of the forces and phenomena of non-Absolute states of existence other than the OuterMundane-Physical. Occultism is sensationalised in popular culture because of fear and ignorance. A useful understanding can be had by identifying the various planes or universes of existence and their sublevels, branches, and aspects, and the various beings and laws and forces pertaining to each. Various examples of the "perennial philosophy" and different esoteric and occult doctrines each emphasise certain strata or harmonics and ignore or confuse others, depending on the psychological inclination and occult perceptions of the authors of those teachings, and the resulting entrenched thoughtforms. The goal should be a single unified system, based around a map of the various states of existence. Whilst systems like Tantra, Hermetic Kabbalah (ref Golden Dawn etc), Theosophy, and Anthroposophy represents a start, they are each bound by their own very elaborate conceptual limitations. The teachings of Theon and Mirra (who studied with him) represent a more sophisticated development. Spirituality - Spirituality should always be a matter of individual choice and inner guidance (from the Higher Self) and never be enforced by some external church, creed, or cult. Today we see around us an abundance of gurus, teachers, religious sects and so on, each peddling their own brand of enlightenment or salvation. While some are indeed genuine and sincere, there are many others who, if not total fakes (complete charlatans are rare in this business) are powerful, charismatic, self-deluded indidivuals, who set up authoritarian systems of cultic spirituality (ref xxxx ), having become caught in the "Intermediate Zone" between the outer reality and the true realisation and thinking they have attained the Supreme. (Aurobindo ref). But instead they have become puppets of negative forces who manipulate them through their own puffed-up egos. If knowledge of these occult forces and psychodynamics were more widely available, it would provide greater insight to these various cultic movements, and help the unwary from falling into such traps.
Tikkunics - Soteriology and Divinization
Individual Spiritual Stages
Having attained our present level of consciousness, where do we go from here? The perennial philosophy teaches a return to the state of godhood or Absolutehood, a merger of the individual with the cosmic/universal Divine, or as the Mahatyana Buddhists put it, the realisation that you were Buddha all along. But ultimately this means an escape from the world-process into a transcendent nirvana, moksha, or fana (Sufism), not its continuation and perfection. In contrast, esoteric, integralist, and other evolutionary paradigms are unanimous in their assertion that the current human condition is not the final attainment, but that there are higher states of consciousness and existence. As Sri Aurobindo famously said "Man is a transitional being." But where disagreement arises is on the nature of the posthuman state. Theosophists, Anthroposophists and Wilberians posit a single evolutionary line that confuses the aforementioned spiritual transcendence with physical (and in the case of the theosophical tradition, etheric, astral, etc) evolution. But Sri Aurobindo specifically distinguishes between the prerequisite Spiritualisation that corresponds to the perennial spiritual path, and a process of transitional spiritual mind and overmentalisation leading to Supermentalisation; this latter being the Divinisation process. And transhumanists postulate a purely secular, technological evolution leading to and beyond a Technological Singuilarity to a posthuman evolution. There is no reason why the three perspectives - transcendence and liberation, technological singularity, and physical divinisation, cannot be correct. Even the Theosophical idea of a series of increasingly spiritualised stages may pertaion to a future evolutionary option for those who wish to purseu it. Wilber's post-egoic stages (Vision-Logic, Psychic, Subtle, Causal, and Ultimate) represent a popular synthesis of the stages of Spiritualisation, but unfortunately they don't diustingusih the complexities of the process of spiritual growth and evolution, instead trying to force everything into a single linear physical evolution spectrum. A better understannding (although less well known) would be Sri Aurobindo's "Triple Transformation" (Sri Aurobindo 1977). The following is a list of stages of spiritualisation and divinisation, incorporating Kabbalistic, Aurobindonian, Wilberian, and other perspectives.
Kabbalah - soul as stages of self-development
Taoism - immortal spirit body
Steiner - clairvoyant development
Sri Aurobindo - the "triple transformation"
Da Free John - "Seven stages of Life"
Ken Wilber - "ascending arc"
Outer Consciousness: the unruly surface consciousness
Nefesh
"outward flowing" ch'i
Ego
Outer Being
Physical Emotional Sexual Intellectual
Sensorimotor Phantasmic-emotional. Representational mind Rule/role mind Formal-reflexive.
Sadhana / Self-Transformation
circulation of ch'i - tending to option 2.
supersensible exercises - tending to option 1.
Outer Being receptive and influenced by inner (Psychic) or higher opening
note - Amazon links are top the current edition, the edition cited may be out of print
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