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Selasa, 24 Maret 2009

Synderesis

"Synderesis" is a technical term from scholastic philosophy, signifying the innate principle in the moral consciousness of every person which directs the agent to good and restrains him from evil. It is first found in a singe passage of St. Jerome (d. 420) in his explanation of the four living creatures in Ezekiel's vision. Jerome explains that most commentators hold that the human, the lion, and the ox of the vision represent the rational, the irascible, and the appetitive (or concupiscent) parts of the soul, according to Plato's division, while the fourth figure, that of the eagle, represents a fourth part of the soul, above and outside these three:
This the Greeks call synderesis, which spark of conscience was not extinguished from the breast of Adam when he was driven from Paradise. Through it, when overcome by pleasures or by anger, or even as sometimes deceived by a similitude of reason, we feel that we sin; ... and this in the scriptures is sometimes called spirit.... And yet we perceive that the conscience (conscientia) is itself also thrown aside and driven from its place by some who have no shame or modesty in their faults.
In this passage no distinction seems to be drawn between synderesis and conscientia. It has even been maintained that the former word is a copyist's error for synderesis, the usual Greek equivalent for "conscientia".

The use of synderesis as distinct from conscientia among the scholastics, and to a slight extent among early Protestant moralists, is founded on its description by Jerome as scintilla conscientiae - the spark - from which the light of conscience arises. Thus Jeremy Taylor calls it "the spark or fire put into the heart of humans," while synderesis, which is specifically called conscience of the deed done, is the "bringing fuel to this fire (Ductor Dubitantium 1:1:1) As distinguished from synderesis, conscientia is applied by these writers to the particular attitude of a person to good or evil action, and may accordingly be an unsafe guide. Synderesis is thus a faculty or habit (it was disputed which) both of judging and of willing the right, in agreeement with "original righteousness" and persisting in the separate powers of the soul in spite of the corruption of human nature brought about by the Fall. In the earlier descriptions it is spoken of as volitional as well as intellectual. According to Aquinas, however, it is distinctly practical reason - certain principles belonging to the practical side of reason which point out the right direction for action, just as the theoretical axioms of the understanding do for thinking. Both synderesis and conscientia are placed among the intellectual powers. A different view is given by Bonaventura, who makes the whole distinction between conscientia and synderesis rest upon the distinction between judgment and will. God (he says) has implanted a double rule of right in human nature: one for judging rightly, and this is the moral strength of conscience; another for right volition, and this is the moral strength of synderesis, whose function is to dissuade from evil and stimulate to good, and which may therefore be described as the original moral tendency of the disposition.

This, however, does not seem to be either the best or the most prevalent view of scholasticism regarding synderesis. The question is fully discussed by Duns Scotus, who decided against Bonaventura that both synderesis and conscience belong to practial reason, the former giving the first principles or major premises of its practical syllogisms, the latter corresponding to their conclusions (In Sent. Reportationes Bk 2:39, Q1-2). Jeremy Taylor also follows the Thomistic use and makes synderesis "the general repository of moral principles or measures." This is the "rule of conscience," while conscience itself is "a conjunction of the universal practical law with the particular moral action." It applies the rule to the particular case, and is thus both witness and judge of moral actions. It may be noted that the term "conscience," when used (as by Kant) as equivalent to practical reason regarded as infallible, corresponds to the medieval synderesis, and not to the medieval conscientia.

Yang Xiong (53 B.C.E. - 18 C.E.)

Yang Xiong (Yang Hsiung) was a prolific yet reclusive court poet whose writings and tragic life spanned the collapse of the Former Han dynasty (202 BCE-9 CE) and the brief and catastrophic usurpation of the throne by the Imperial Regent Wang Mang (9-23 CE). He is best known for his assertion that human nature originally is neither good (as argued by Mencius) nor depraved (as argued by Xunzi) but rather comes into existence as a mixture of both. Yang Xiong’s chief philosophical writings - an abstruse book of divination known as the Tai xuan (The Great Dark Mystery) and his Fa yan (Words to Live By), a collection of aphorisms and dialogues on a variety of historical and philosophical topics - are little known even among Chinese scholars. These works combine a Daoist concern for cosmology, but may be best described as a product of the intellectual and spiritual syncretism characteristic of the Han dynasty (202 BCE-220 CE). As a social critic and classical scholar, he is considered to be the chief representative of the Old Text School (guxue) of Confucianism. Although some think he was one of the most important writers of the late Former Han, he had little influence during his own time and was vilified for his association with the usurper Wang Mang. Consequently, his works have largely been left out of the Confucian canon.

1. Life and Writings

Yang Xiong was born in 53 BCE in the western city of Chengdu in the province of Shu. His biography in the Qian Han Shu (History of the Former Han) remarks that Yang Xiong was fond of learning, was unconcerned with wealth, office, and reputation, and suffered from a speech impediment and consequently spoke little. As a youth he probably was a student of Zhuang Zun, a reclusive marketplace fortune teller who refused to take office, opting instead to use divination and fortune-telling as a means to encourage virtue among the common people. Before coming to the capital he gained renown for his poetic writings, in particular for his fu, a poetic genre associated with an earlier native of Shu, Sima Xiangru (179-117 BCE). Yang Xiong’s reputation as a poet eventually reached the capital of Chang’an, and around 20 BCE he was summoned to the court of Emperor Cheng. Between the years 14-10 BCE, Yang Xiong submitted several poetic pieces commemorating imperial sacrifices and hunts, and finally in 10 BCE he was appointed to the humble office of “Gentleman in Attendance” and “Servitor at the Yellow Gate,” where he would remain until his final days. While not much is known of Yang Xiong’s activities as a lowly official at the Han court, it appears that, as far back as 9 BCE, Emperor Cheng issued a decree excusing him from the direct official service, while maintaining an official title, salary, and access to the imperial library for him.

Shortly after his appointment, Yang Xiong became disillusioned with the rectifying power of his poetry and stopped writing it for the court. Yang Xiong’s decision appears to have coincided with the death of his son, a tragedy which left him despondent and financially impoverished. Over the next two decades he produced his two works on philology: Cang Jie xun zuan (Annotations to the Cang Jie), a compilation of annotations to the Qin dynasty’s official imperial dictionary, and Fang yan (Dialects), a collection of regional expressions. During this period, he also produced his Tai xuan (The Great Dark Mystery), which he completed around 2 BCE, and Fa yan (Words to Live By), which he completed in 9 CE – right about the time that the Imperial Regent Wang Mang usurped the throne and established the brief Xin dynasty (9-23 CE).

Yang Xiong’s life and writings were overshadowed by the rise and fall of the notorious Wang Mang (45 BCE-23 CE). A nephew of the wife of Emperor Yuan (who reigned 48-32 BCE), Wang Mang rose to the rank of Imperial Regent. In 9 CE, through a combination of court intrigue, political machinations, manipulation of popular superstitions, and opportunity, he seized the throne from the founding House of Liu and declared himself the rightful possessor of the Mandate of Heaven. His short-lived Xin dynasty marks the dividing line between the Former or Western Han (202 BCE-9 CE) and the Later or Eastern Han (25-220 CE) and, due to widespread rebellion and a series of natural catastrophes, is widely considered one of the most calamitous periods in Chinese history.

While little is known of Yang Xiong’s activities during his final years, his biography notes that, shortly after Wang Mang’s usurpation Yang Xiong attempted suicide when he was named in a scandal involving one of his former students. He survived the attempt. When Wang Mang heard of it, he ordered all charges against Yang Xiong dropped, proclaiming that the poet had never been involved in any political affairs at court. His final work, Ju qin mei xin, appears to have been a controversial memorial presented to Wang Mang around 14 CE; its title is translated by Knechtges as Denigrating Qin and Praising Xin. Yang Xiong died four years later at the age of 71.


2. Intellectual Context




a. Han Syncretism and Correlative Cosmology

The focus of Yang Xiong’s writings during the middle years of his life is commonly seen as reflecting the Han trend toward syncretism and correlative cosmology. While the disunity of the Warring States period (475-221 BCE) provided fertile soil for the flourishing of the “One Hundred Schools of Thought” (baijia), the unification brought about by the Qin (221-206 BCE) and the Former Han dynasties provided the impetus for their coalescence. This combination of diverse views during the Qin and the Han periods can be seen in works such as the Lushi chunqiu (The Spring and Autumn Annals of Mr. Lu) and the Huainanzi (The Master of Huainan), which blend various streams of ancient Chinese thought, including Daoism, Confucianism, Legalism, Huang-Lao thought, Militarism, Mohism, and yinyang and wuxing (Five Phase) thought.

Though Confucianism became the dominant and official school of thought in the Han, it borrowed heavily from earlier schools, particularly the yinyang and wuxing schools. The former explains all entities and events in terms of the interaction between two interdependent properties, yin (associated with darkness, passivity, and femininity) and yang (associated with light, activity, and masculinity). The latter takes a similar approach to understanding natural phenomena but includes the idea that “Five Phases” (each associated with metal, wood, water, fire, and earth, respectively) succeed one another in a never-ending cyclical process. The amalgamation of Confucianism, yinyang, and wuxing theory is especially evident in the writings of the scholar Dong Zhongshu (179-104 BCE), whose Chunqiu fanlu (Luxuriant Dew of the Spring and Autumn Annals) illustrates a synthesis between Confucian ethics and an amalgam of yinyang and wuxing cosmology. Attempts to develop exhaustive systems of classification (leishu) were also common during this period and can be seen as part of the larger trend toward syncretization. These tables often use a Five Phase cosmological framework in which things are organized analogically on the basis of their relevant associations, rather than on the basis of some discrete essence. As can be seen in Yang Xiong’s Tai xuan, the correlations which form the basis of these classification systems can be bewildering - especially to anyone unfamiliar with the sorts of complex associations found in early Chinese culture.


b. The Old Text / New Text Controversy

Many historians of Chinese philosophy have identified Yang Xiong’s final and best-known work, the Fa yan (Words to Live By), as representative of a more rational and sober-minded form of Confucianism known as the Old Text School (guxue). In contrast to the New Text School, which relied on versions of the classics written in the simpler and officially recognized script of the Han dynasty known as “new script” (jinwen), the Old Text School relied on versions written in the archaic scripts (guwen) and characters of the Zhou dynasty (c. 1100-221 BCE). Legend has it that these latter texts survived the book burnings of the Qin dynasty by lying concealed in the walls of the home of Confucius. Generally speaking, the Old Text School was associated with the simpler, more pragmatic philosophy of Confucius’s native state of Lu, while the New Text school was associated with the often fantastic writings of Zou Yan (305-240 BCE), a native of Qi and founder of the yinyang and wuxing schools of thought.

Through much of the late Former Han dynasty, Confucianism was under the influence of the yinyang and wuxing theories promoted by New Text adherents. During this period, New Text scholars increasingly became interested in esoteric readings of the classics, cosmological speculation, and calamity and portent interpretation. The chief representatives of this period were classical scholars who commonly employed wuxing and yinyang correlations, numerical calculations, and various techniques of divination to fathom the harmony and continuity of humanity, nature, and the ancestral spirits - and to forecast disruptions.

By the reigns of the last Former Han Emperors, the use of yinyang and wuxing theory in interpreting the classics and the progress of history closely paralleled methods found in apocryphal oracle books and commentaries that treated the classics as fortune-telling handbooks and used reports of unusual phenomena not to boldly admonish the Emperor - as did Zou Yan and Dong Zhongshu - but to curry favor with those in power. This trend reached its climax with Wang Mang, whose rise to power and eventual usurpation was associated with, and to a large extent legitimated by, hundreds of favorable omens and the generous rewarding of those who reported them.

While scholars are divided on whether the Old Text School originated from Xunzi’s branch of Confucianism, most characterize this movement as a rational response to the excesses of the New Text school, whose influence had left the Han court and its scholars heavily dependent upon yinyang and wuxing thinking. More broadly, the Old Text school can be seen as a response to the often irrational and superstitious world of the late Former Han - a world that interpreted the classics as containing secret magical formulas and prognostications, was fascinated by talk of immortals, saw itself near the bottom in the historical cycle of rise and decline, and interpreted the passing of each childless Emperor and reports of calamities as portents to be dreaded.


3. Tai xuan (The Great Dark Mystery)




a. Date and Significance

Completed around 2 BCE, the Tai xuan is Yang Xiong’s longest and most difficult work. Few scholars have taken time to study it, and those who have often disagree about its import. Some scholars view the main focus of the text to be wuxing theory, others view its main focus to be the Five Constant Virtues (wuchang) of Confucianism, and still others view the Tai xuan as political satire of Wang Mang and other historical figures of the late Former Han. (See Michael Nylan’s translation and commentary of the Tai Xuan (1993)). While the Tai xuan is more a manual of divination than a philosophical treatise, it embodies a number of assumptions about the nature of the world, its cycles of transformation, and the central importance of timeliness in making one’s way in the world. Just as in his earlier poetry, in the Tai xuan Yang Xiong reiterates the view that success and failure do not all come down to individual effort but have much to do with the times and circumstances in which one lives, and that if one does not meet one’s proper time for acting, then one should retire or withdraw and wait for more advantageous times.


b. The Influence of the Laozi and the Yijing

The term xuan in the title is typically used in Chinese literature as a modifier to describe that which is dark, black, mysterious, profound, abstruse or hidden. Yang Xiong, however, uses the term xuan much like the term dao in the Laozi to refer to the hidden fountainhead or initial state out of which things emerge and the mysterious process through which they unfold. While Yang Xiong’s conception of xuan seems to be derived from the Laozi, the text of the Tai xuan is modeled on the Yijing (Book of Changes), certainly the most enigmatic philosophical document in early Chinese literature. Like the Yijing, the Tai xuan is a book of divination based on an evolving sequence of figures that, when taken together, map out the cycles of transformation underlying all things. In both texts, each figure-image-circumstance is articulated through an evolving series of statements that describes and appraises the unfolding of the situation and the meaning of the image. Appended to both the Yijing and the Tai xuan is a set of commentaries that elaborates on the inner meanings of their respective texts.

In some ways, the Tai xuan is even more complex than its model. While the Yijing is made up of 64 hexagrams, the Tai xuan is made up of 81 tetragrams. In the Yijing, each hexagram line can be solid or broken (representing the polarities of yin and yang). In the Tai xuan, each tetragram line can be solid, broken once, or broken twice (representing the triad of heaven, earth, and man), and each of the 81 tetragrams is correlated with, among other things, yin or yang, one of the “Five Phases,” a hexagram from the Yijing, a constellation, days of the calendar, and a musical note.


c. Correlative Cosmology in the Tai xuan

In the Tai xuan, each tetragram is articulated though an evolving series of nine appraisals or judgments (whereas in the Yijing, each hexagram is articulated through a series of six line statements). These line appraisals unfold in a cyclical pattern corresponding to periods of time, the transformations of yin and yang, and a continuous cycle of commencement, maturity and decline. The appraisals can also be divided into those that address the commoner, the noble, and the Emperor.

Also, the often obscure correlative-poetic organization of the images and their associated line appraisals can be seen in the Tai xuan commentary “Numbers of the Dark Mystery,” an example of the Han genre of classificatory works known as leishu. For example, “Numbers of the Mystery” correlates the number five with the earth, the color yellow, fear, wind omens, tumuli, the naked animal (humankind), fur, bottles, weaving, sleeping mats, complying, verticality, glue, sacks, hubs, calves, coffins, bows and arrows, stupidity, and the center courtyard rain well. The basis of these associations is analogical; A is to B as C is to D. The organization scheme is fivefold. The five numerical categories (three and eight, four and nine, two and seven, one and six, and five) correspond to the five directions (east, west, south, north, center), the five phases (wood, metal, fire, water, earth), the seasons (spring, autumn, summer, winter, four seasons), the five colors (green, white, red, black, yellow), the five trades (carpentry, metal smithing, working with fire, waterworks, earth works), and the like.


4. Fa yan (Words to Live By)




a. Date and Significance

Unlike Yang Xiong’s other works, the dating of the Fa yan is fairly certain. In the final passage of the text, there is a reference to Wang Mang as the Duke of Han. The fact that Wang Mang held this title from 1-9 CE implies that the Fa yan could not have been submitted after 9 CE when he took the title of Emperor. In Fa yan 13:34 there is a reference to the Han dynasty as having ruled for 210 years. If the founding of the Han is taken to be 202 BCE, then the passage would have been written no earlier than 8 CE. Whatever the date of completion, there is little doubt that the Fa Yan was written during a period when Wang Mang held in his hands the reigns of power and the destiny of his sovereign. It remains his best-known work.


b. The Influence of the Lunyu

In his autobiography, Yang Xiong notes that, just as he modeled his Tai xuan on the greatest of the classics, the Yijing, so he modeled his Fa yan on the text he saw as the greatest of the commentaries - the Confucian Lunyu (Analects). Like the Lunyu, the Fa yan consists of a series of aphorisms and dialogues on a wide variety of historical and philosophical topics. Also like the Lunyu, the language of the Fa yan is archaic, its style terse, and its organization puzzling. While the form, language, and style of the Fa yan all seem to be derived from the Lunyu, the two works are most similar in their underlying concerns.

Both the Lunyu and the Fa Yan focus on the perennial Confucian theme of self-cultivation while emphasizing the importance of learning, friendship, role models, rites and music, and the human virtues. Both works look back to the ancient sage kings, the ways of the Zhou dynasty, and the teachings of the classics as models for their own troubled times. Each work has been read as a subtle attack on the predominant political powers. Finally, both the Lunyu and Fa yan can be characterized as works of frustration that lament the political instability of their respective times, the tendency of princes and officials to overstep their roles, and the failure of Confucius (Kongzi) and Yang Xiong to gain recognition or to exercise political influence.


c. Syncretism in the Fa yan

Among the disjointed sayings and dialogues of the Fa yan, one finds a wide variety of topics and themes. As noted, the most central of these are the perennial Confucian themes: self-cultivation, learning, the natural tendencies, the human virtues, the value of the classics, rites and music, the princely person, the sage, ruling, filial responsibility, and so forth. One also finds in the Fa yan discussions of concepts and themes usually associated with Daoism such as dao (way), de (potency), ziran (spontaneity), wuwei (non-coercive action), minimizing desire, and withdrawing from public life. These topics are often explicated through discussions of an unusually broad assortment of historical figures, including poets, philosophers, rhetoricians, rulers, officials, generals, merchants, rebels, assassins, jesters, recluses, and others. These topics are similarly interpreted through discussions of historical events, such as the collapse of the Zhou dynasty, the intrigues of the Warring States, the rise of the Qin dynasty and its rapid fall, the struggle between Xiang Ji (233-202 BCE) and the Han dynastic founder Liu Bang (247-195 BCE), and the founding of the Han dynasty.

Also included among the numerous topics discussed in the Fa yan are more immediate concerns of the late Former Han. These include the assimilation of heterodox teachings and popular superstitions into commentaries and interpretations of the classics, the decline of the ruling house of Han, the popularity of portents and the rise of Wang Mang, and government reforms in taxation, punishment, division of land, and relations with barbarian tribes. Finally, there are sayings and dialogues which address the concerns of scholar officials living not only in the troubled late Former Han, but throughout much of China’s long history - the practicality and viability of the Confucian way of life, the vanity of the desires for wealth, office and renown, and the challenges of surviving and maintaining one’s integrity in a time of disorder.


d. Old Text Themes in the Fa yan

Throughout the Fa yan, Yang Xiong sets the tone for subsequent representatives of the Old Text School by repeatedly poking fun at questions on magic, immortals, spirits, omens and portents, and esoteric interpretations of the classics. Instead he redirects attention toward concerns directly affecting the living: wealth and poverty, gain and loss, glory and disgrace, success and failure, friendship, joy, integrity, the dangers of public office, ruling the Empire, fate and circumstance, fleeing the world, and death. While the Tai xuan might be described as a synthesis of the various schools of early Chinese thought, the Fa yan elevates the Confucian school above all the others. In aphorism after aphorism, the Fa yan praises Confucius and the classics as the standards, stresses the importance of learning, rites and music, the five virtues, the five relations, and filial responsibility, while at the same time offering sardonic remarks on Daoist, Legalist, and yinyang and wuxing thinkers and their doctrines.


e. Political Philosophy in the Fa yan

On governing, the Fa yan can be seen as advancing a Reformist position. While the literary world of the late Former Han is often explicated in terms of the New and the Old Text schools, the political world of this period is similarly explicated in terms of two opposing camps: Modernists who, like earlier Legalists, advocated policies that sought to enrich the wealth and power of the state through conquering border tribes, opening trade routes, and establishing government monopolies, and Reformists who accused Modernists of ignoring the welfare of the people and advocated instead for a more frugal form of government that emphasized retrenchment in foreign policy, abolition of government monopolies, and land reform. In the Fa yan, Yang Xiong aligns himself with the Reformists by speaking out against government monopolies and expensive military campaigns and voices support for an easing of heavy burdens on the populace and the reinstitution of Zhou dynasty practices and policies.

The Reformist tone of the Fa yan gives credence to the association of Yang Xiong with “the Usurper,” Wang Mang, which has become standard throughout generations of Chinese scholarship. While Wang Mang’s rise to power met with opposition and spurred a number of insurrections, he seems to have found support in the ranks of court scholars for his display of Confucian virtue and his attempts to reorganize the social institutions of the Han along the lines of the Zhou dynasty - the system of rites and institutions highly prized by Confucian scholars since the Warring States period. Some have even seen Wang Mang as genuine in his espousal of Confucian ideals and as a sincere believer that reviving the institutions and rites of the Zhou dynasty would lead to a period of great peace and harmony. The more typical view, dating back to the account of Ban Gu (32-92 CE) in the Qian Han Shu (History of the Former Han), portrays Wang Mang as an ambitious, duplicitous, and murderous charlatan who rebelled against his sovereign and left the Empire in ruins.

Little is known of Yang Xiong’s actual political leanings in the face of Wang Mang’s rise to power. Those who portray Yang Xiong as a Wang Mang partisan point to the fact that, when Wang Mang declared himself Emperor, Yang Xiong did not commit suicide or leave court to become a recluse as did many other Han officials. His supporters, however, point out that, in his earlier poetic works and in the Fa yan, Yang Xiong has a great deal to say - most of it critical - about men who, in the name of principle, committed suicide or fled to the mountains. As noted above, it appears that Yang Xiong preferred instead to follow his teacher Zhuang Zun - though not as a recluse among men, but as a recluse at court. Although the Fa yan was written during Wang Mang’s rise in power and apparently finished shortly before his usurpation, he is mentioned only once in it. Nonetheless, some read the text as an apology for Wang Mang’s usurpation and the Confucian reforms he attempted to institute. Others read the Fa yan as consisting of a number of cleverly veiled attacks on Wang Mang’s penchant for superstition, his insatiable ambition, and his pretense to being a humble Confucian.

Some passages of the Fa yan have been read as offering neither flattery nor ridicule but bold admonitions, counseling Wang Mang to remember his filial duties and to return the reigns of power to the rightful ruler. For example, in Fa yan 8:21, there is a terse passage that reads, “The Red and Black Bows and Arrows do not amount to having it.” Centuries earlier the Imperial house of the Zhou dynasty awarded princes a set of bows and arrows as symbol of investiture to punish all within their jurisdiction. In an attempt to follow this ancient tradition, a set of red and black bows and arrows was awarded to Wang Mang in 5 CE as part of the “Conferment of the Nine Distinctions” bestowed on him by ministers, officials, and scholars of the Han court. While commentators uniformly read the phrase “red and black bows and arrows” in Fa yan 8:21 as a reference to this award, they are divided over its meaning. While some see 8:21 as flattering praise, others see it as reminding Wang Mang that having been bestowed the honor of the “Red and Black Bows and Arrows” does not amount to the possession of the mandate.

The passage most frequently cited as evidence of Yang Xiong’s political leanings is found in Fa yan 13:34, where Wang Mang is compared to two of the greatest ministers in Chinese history: Zhou Gong (the Duke of Zhou, c. 12th century BCE) and Yi Yin (c. 18th century BCE). Given the location of this passage at the very end of the text, some have considered it to be a forgery. Others have seen it as a flattering endorsement of Wang Mang. The great Neo-Confucian philosopher Zhu Xi (1130-1200 CE), for example, reads this passage as lavish praise of Wang Mang’s achievements and, on the basis of it, dismisses Yang Xiong as “Wang Mang’s Grandee.” Still others have seen it as admonishing Wang Mang to be like Yi Yin and Zhou Gong before him and to return the reigns of power to his rightful sovereign. It is important to point out that, like Wang Mang, both Yi Yin and Zhou Gong served as Imperial Regents. Like Yi Yin, Wang Mang stood in the wings through a series of short-lived reigns. As in the case of Yi Yin, it fell on Wang Mang to name a successor to the throne. Both Yi Yin and Wang Mang served as regents while their hand-picked successors lacked maturity. But while Yi Yin and Zhou Gong are remembered for handing back the reigns of power, Wang Mang is popularly remembered in the chengyu (proverb) as one who “usurped the Han and named himself Emperor.”


f. View of Human Nature

As Wing-tsit Chan and others have pointed out, the view for which Yang Xiong has become most famous – that human nature is a mixture of good and evil – is articulated only in a single passage of the Fa yan (3:2) and is not elaborated any further:

Human nature is a muddle [hun] of good and evil tendencies. Cultivating the good tendencies makes a person good. Cultivating the evil ones makes a person depraved. This force [qi] - is it not like a horse that drives one towards good or evil?

This hardly amounts to the kind of sustained development of a view of human nature found, for example, in the work of Mencius or Xunzi, who represent opposite poles on the continuum of ancient Chinese views of human nature. Nonetheless, Yang Xiong’s view here, although undefended in philosophical terms, contradicts Mencius’ view that human nature originally is good and can only be warped (but never entirely destroyed) through neglect or negative influences. After Mencius’ view became the orthodox one among Confucians, especially during the Neo-Confucian movement of medieval and early modern China, Yang Xiong’s work came in for a great deal of criticism from Confucians. Thus, rather like Xunzi, Yang Xiong may be seen as something of a black sheep among early Confucians because of his deviation from what became Confucian orthodoxy in a later age.


5. Poetical Works

Before being summoned to court, Yang Xiong wrote a number of poetic pieces of which only one - Fan sao (Refuting Sorrow) - survives. As Yang Xiong explains in his autobiography, Fan Sao was written in response to Li sao (Encountering Sorrow), a poem by the legendary Warring States poet Qu Yuan (340-278 BCE). According to the Shiji (Historical Records) account, Qu Yuan served as a trusted official to King Huai of Chu, but, after he was slandered by a jealous minister, he fell from favor and was exiled. Qu Yuan desperately wished to return to the service of King Huai, but in the end he gave up hope and after composing Li sao, he drowned himself.

While Yang Xiong’s Fan sao is similar in style to Qu Yuan’s Li sao, its outlook is very different. Qu Yuan saw suicide as the only option left to persons of character living in a corrupt age. Yang Xiong, on the other hand, compares Qu Yuan’s response to failure in the political sphere with the response of Confucius. Unlike Qu Yuan, Confucius’s disappointments in searching for rulers who would employ him in “making good government” did not stop him from living a full life of travel, teaching, and writing. Here and in his later philosophical works, we find Yang Xiong maintaining that success and failure do not come down to individual effort but have much to do with the times and circumstances in which one lives. If one does not meet one’s proper time for acting, then one should retire or withdraw and like a snake or dragon lie submerged or like a phoenix remain concealed and wait for more advantageous times.

While at court, Yang Xiong composed a number of primarily autobiographical poetic pieces where he reflects on his poverty, lowly position, lack of recognition, and the ridicule and difficulties these frustrations have engendered. In Jie chao (Dissolving Ridicule), for example, Yang Xiong portrays himself as ridiculed for his low position and his failure to influence the court. In responding, Yang Xiong reiterates a familiar theme in his writings, arguing that in an age beset with chaos, it is better to remain silent and unknown since, as David R. Knechtges translates it, “those who grab for power die, and those who remain silent survive; those who reach the highest positions endanger their family, while those who maintain themselves intact survive.” In Zhu bin (Expelling Poverty), Yang Xiong expels an unwelcome guest named “Poverty” whose lingering presence in the poet’s life has labored his body and afflicted his health, cut him off from friends, and slowed his promotion in office. After listening to Yang Xiong vent, Poverty humbly agrees to leave, but first reminds Yang Xiong of the virtue of the impoverished sage Shun, warns him of the greed of the tyrants Jie and Zhi, and offers the consolation that it is only because of his privation that the poet is able to bear heat and cold, and to live freely with equanimity. Enlightened, Yang Xiong apologizes to Poverty and welcomes him as an honored guest.

Yang Xiong wrote several pieces in a genre known as fu, a term translated by Knechtges as “rhapsody.” Marked by its florid imagery and ecstatic tone, this genre was commonly employed by Han court officials as a means of offering indirect criticism and admonition to the Emperor. As Knechtges points out, most of the well known early writers of rhapsodies, such as Lu Jia (228-140 BCE) and Jia Yi (200-168 BCE), were not only poets but also scholar-officials who saw it as their duty to offer advice and remonstrance (jian) to rulers and did so through their poetic works. In the rhapsodies of later Former Han writers like Sima Xiangru, however, verbal decoration and entertainment took precedence over instruction and admonition.

In his early years at the court of Emperor Cheng, Yang Xiong submitted a number of rhapsodies. At first glance, these works appear to be little more than ornate, fanciful, and flattering descriptions of Imperial spectacles. In Fa yan (Words to Live By) and in the autobiographical section of his biography, however, Yang Xiong stresses that, like earlier poets, he envisioned the primary purpose of these works to be remonstrance - a dangerous political task widely recognized as one of the most central duties of the Confucian scholar. While, on the surface, Yang Xiong’s rhapsodies heap lavish praise on the Emperor, they also contain stern reprimands and warning. For example, within the fanciful descriptions of Imperial grandeur found in the Ganquan fu (Sweet Springs Rhapsody), Yang Xiong indirectly admonishes Emperor Cheng to be more solemn in conducting affairs, suggesting through allusion that, like the lascivious tyrant kings Jie and Xia, Emperor Cheng’s wanton conduct would lead to his downfall. In the Jiaolie fu (Barricade Hunt Rhapsody) and the Changyang fu (Changyang Palace Rhapsody), both of which commemorate imperial hunts, Yang Xiong indirectly criticizes the hunts as lavish, wasteful spectacles that burden the peasants and destroy their farms and farmlands. In his later writings, Yang Xiong claims that he eventually came to see the ornate style of rhapsody as excessive, and realizing that the moral admonitions he tried to provide had gone unheeded (if not unnoticed), he renounced it. He never gave up writing poetry altogether, however.


6. References and Further Reading

There are very few published studies of Yang Xiong in English. Of these, Nylan’s pioneering translation and commentary of the Tai Xuan (1993) is the most complete account of Yang Xiong’s philosophy, while Knechtges’s studies of Yang Xiong’s fu poetry (1976, 1977) and his Qian Han Shu biography (1982) offer superb translations and interpretations of Yang Xiong’s life and literary works. Colvin (2001) provides a translation of the Fa yan and an examination of the seemingly haphazard organization of its aphorisms and dialogues. For a fuller understanding of Yang Xiong’s thought, readers are encouraged to explore the more general accounts of the literary, intellectual, and political contexts of the Former Han dynasty in Bielenstein (1984), Feng (1953), Loewe (1974, 1986), Thomsen (1988), Xiao (1979), and Yu (1967).

Bielenstein, Hans. “Han Portents and Prognostications.” Museum of Far Eastern Antiquities 56 (1984): 97-112.

Chan, Wing-tsit. “Taoistic Confucianism: Yang Hsiung.” In A Source Book in Chinese Philosophy, ed. Wing-tsit Chan (Princeton: Princeton University Press, 1963), 289-291.

Colvin, Andrew. Patterns of Coherence in Yang Xiong’s Fa Yan. Ph.D. dissertation, University of Hawaii at Manoa, 2001.

Doeringer, Franklin M. Yang Xiong and his Formulation of a Classicism. Ph.D. dissertation, Columbia University, 1971.

Feng, Yulan. A History of Chinese Philosophy, Vol. 2: The Period of Classical Learning. Trans. Derke Bodde. Princeton: Princeton University Press, 1953.

Knechtges, David R. The Han Rhapsody: A Study of the Fu of Yang Xiong (53 B.C.- A.D.18). Cambridge: Cambridge University Press, 1976.

Knechtges, David R. “Uncovering the Sauce Jar: A Literary Interpretation of Yang Hsiung’s Chu ch’in mei Hsin.” In Ancient China: Studies in Early Civilization, eds. David T. Roy et al (Hong Kong: Chinese University Press, 1977), 229-252.

Knechtges, David R. “The Liu Hsin /Yang Hsiung Correspondence on the Fang Yen.” Monumenta Serica 33 (1977): 309-325.

Knechtges, David R. The Han Shu Biography of Yang Xiong (53 B.C. to A.D. 18). Tempe: Arizona State University Press, 1982.

Loewe, Michael. Crisis and Conflict in Han China 104 B.C. to A.D. 9. London: George Allen and Unwin, 1974.

Nylan, Michael. The Canon of Supreme Mystery by Yang Xiong: A Translation with Commentary of the T’ai Hsüan Ching. Albany: State University of New York Press, 1993.

Nylan, Michael. “Han Classicists Writing in Dialogue about their Own Tradition.” Philosophy East & West 47/2 (1996): 133-188.

Thomsen, Rudi. Ambition and Confucianism: A Biography of Wang Mang. Aarhus: Aarhus University Press, 1988.

Twichett, Denis, and Michael Loewe, eds. The Cambridge History of China, Vol. 1: The Ch’in and Han Empires, 221 B.C. - A.D. 220. Cambridge: Cambridge University Press, 1986.

Xiao, Gongjun. A History of Chinese Political Thought, Vol. 1: From the Beginnings to the Sixth Century A.D. Trans. F.W. Mote. Princeton: Princeton University Press, 1979.
Yu, Yingshi. Trade and Expansion in Han China. Berkeley: University of California Press, 1967.

Yinyang (Yin-yang)

Yinyang (yin-yang) is one of the dominant concepts shared by different schools throughout the history of Chinese philosophy. Just as with many other Chinese philosophical notions, the influences of yinyang are easy to observe, but its conceptual meanings are hard to define. Despite the differences in the interpretation, application, and appropriation of yinyang, three basic themes underlie nearly all deployments of the concept in Chinese philosophy: (1) yinyang as the coherent fabric of nature and mind, exhibited in all existence, (2) yinyang as jiao (interaction) between the waxing and waning of the cosmic and human realms, and (3) yinyang as a process of harmonization ensuring a constant, dynamic balance of all things. As the Zhuangzi (Chuang-tzu) claims, “Yin in its highest form is freezing while yang in its highest form is boiling. The chilliness comes from heaven while the warmness comes from the earth. The interaction of these two establishes he (harmony), so it gives birth to things. Perhaps this is the law of everything yet there is no form being seen.”(Zhuangzi, Chapter 21). In none of these conceptions of yinyang is there a valuational hierarchy, as if yin could be abstracted from yang (or vice versa), regarded as superior or considered metaphysically separated and distinct. Instead, yinyang is emblematic of valuational equality rooted in the unified, dynamic, and harmonized structure of the cosmos. As such, it has served as a heuristic mechanism for formulating a coherent view of the world throughout Chinese intellectual and religious history.

1. Origins of the Terms Yin and Yang

The earliest Chinese characters for yin and yang are found in inscriptions made on “oracle bones” (skeletal remains of various animals used in ancient Chinese divination practices at least as early as the 14th century BCE). In these inscriptions, yin and yang simply are descriptions of natural phenomena such as weather conditions, especially the movement of the sun. There is sunlight during the day (yang) and a lack of sunlight at night (yin). According to the earliest comprehensive dictionary of Chinese characters (ca. 100 CE), Xu Shen’s Shuowen jiezi (Explaining Single-component Graphs and Analyzing Compound Characters), yin refers to “a closed door, darkness and the south bank of a river and the north side of a mountain.” Yang refers to “height, brightness and the south side of a mountain.” These meanings of yin and yang originated in the daily life experience of the early Chinese. Peasants depended on sunlight for lighting and their daily life routines. When the sun came out, they would go to the field to work; when the sun went down, they would return home to rest. This sun-based daily pattern evidently led to a conceptual claim: yang is movement (dong) and yin is rest (jing). In their earliest usages, yin and yang existed independently and were not connected. The first written record of using these two characters together appears in a verse from the Shijing (Book of Songs): “Viewing the scenery at a hill, looking for yinyang.” This indicates that yang is the sunny side and yin is the shady side of hill. This effect of the sun exists at the same time over the hill.


2. The Yinyang School

According to Sima Tan (Ssu-ma Tan, ca. 110 BCE), there existed a school of teaching during the “Spring and Autumn” (770-481 BCE) and “Warring States” (403-221 BCE) periods that bore the name of yinyang. He lists this yinyang school alongside five others (Confucian, Mohist, Legalist, Fatalist, and Daoist) and defines its theory as “the investigation of the shu [art] of yin and yang.” According to him, this school focused on omens of luck and explored the patterns of the four seasons. In other words, the yinyang school was concerned with methods of divination or astronomy (disciplines that were not distinct from one another in early China, as elsewhere in the ancient world) and the calendrical arts (which entailed study of the four seasons, eight locations, twelve du [measures] and twenty-four shijie [time periods]). Just as the Confucians (rujia) arose from the ranks of rushi (“scholar-gentlemen”) who excelled at ritual and music, those of the yingyang school came from the fangshi (“recipe-gentlemen”) who specialized in various numerological disciplines known as shushu (“number-arts”). These shushu included tianwen (astronomy), lipu (calendar-keeping), wuxing (“five phases” correlative theory), zhuguai (tortoise-shell divination), zazha (fortune-telling) and xingfa (face-reading). The Han dynasty chronicle Shiji (Records of the Historian) lists Zou Yan (305-240 BCE) as a representative of the yinyang school who possessed a profound knowledge of the theory of yinyang and wrote about a hundred thousand words on it. However, none of his works have survived.

By the Han dynasty (202 BCE-220 CE), yinyang was associated with wuxing (“five phases”) correlative cosmology. According to the “Great Plan” chapter of the Shujing (Classic of Documents), wuxing refers to material substances that have certain functional attributes: water is said to soak and descend; fire is said to blaze and ascend; wood is said to curve or be straight; metal is said to obey and change; earth is said to take seeds and give crops. Wuxing is used as a set of numerological classifiers and explains the configuration of change on various scales. The so-called yinyang wuxing teaching – an “early Chinese attempt in the direction of working out metaphysics and a cosmology” (Chan 1963: 245) – was a fusion of these two conceptual schemes applied to astronomy and the mantic arts.


3. Yinyang as Qi (Vital Energy)

The most enduring interpretation of yinyang in Chinese thought is related to the concept of qi (ch’i, vital energy). According to this interpretation, yin and yang are seen as qi (in both yin and yang forms) operating in the universe. In the “Duke Shao” chapter of the Zuozhuan (The Book of History), yin and yang are first defined as two of six heavenly qi:

There are six heavenly influences [qi] which descend and produce the five tastes, go forth in the five colours, and are verified in the five notes; but when they are in excess, they produce the six diseases. Those six influences are denominated the yin, the yang, wind, rain, obscurity, and brightness. In their separation, they form the four seasons; in their order, they form the five (elementary) terms. When any of them is in excess, they ensure calamity. An excess of the yin leads to diseases of cold; of the yang, to diseases of heat. (Legge 1994: 580).

Here, yin and yang are the qi of the universe. These qi flow within the natural as well as the human worlds. They are the basic fabric of existence:

Heaven and earth have their regular ways, and men like these for their pattern, imitating the brilliant bodies of Heaven, and according with the natural diversities of the Earth. (Heaven and Earth) produce the six atmospheric conditions [qi], and make use of the five material elements. Those conditions (and elements) become the five tastes, are manifested in the five colours, and displayed in the five notes. When they are in excess, there ensue obscurity and confusion, and people lose their (proper) nature… There were mildness and gentleness kindness and harmony, in imitation of the producing and nourishing action of Heaven. There are love and hatred, pleasure and anger, grief and joy, produced by the six atmosphere conditions [qi]. Therefore (the sage kings) carefully imitated these relations and analogies (in forming ceremonies), to regulate those six impulses…When there is no failure in the joy and grief, we have a state in harmony with the nature of Heaven and Earth, which consequently can endure long. ( Legge 1994: 708).

Thus qi, a force arising from the interplay between yin and yang, becomes a context in which yinyang is seated and functions. Yinyang as qi provides an explanation of the beginning of the universe and serves as a building block of the Chinese intellectual tradition. In many earlier texts, one may observe how yinyang generates a philosophical perspective on heaven, earth and human beings. Chapter 42 of the Laozi says that "everything is embedded in yin and embraces yang; through chong qi [vital energy] it reaches he [harmony].” It is through yinyang’s function as qi and the interaction between them that everything comes into existence. Zhuangzi also speaks about the “qi of yin and yang”: “When the qi of yin and yang are not in harmony, and cold and heat come in untimely ways, all things will be harmed.” (Zhuangzi ch. 31) On the other hand, “when the two have successful intercourse and achieve harmony, all things will be produced.” (Zhuangzi ch. 21)

The interpretation of yinyang as qi conceives yinyang as a dynamic and natural form of flowing energy, a complementary in the primordial potency of the universe. The Huainanzi offers more detailed explanation of the cosmological process of yin and yang:

When heaven and earth were formed, they divided into yin and yang. Yang is generated [sheng] from yin and yin is generated from yang. Yin and yang mutually alternate which makes four fields [wei, “celestial circles”] penetrate. Sometimes there is life, sometimes there is death, that brings the myriad things to completion. (ch. 2)

This process also explains the beginning of human life. When qi moved, the clear and light rose to be heaven and the muddy and heavy fell to become earth. When these two qi interacted and attained the stage of harmony (he), human life began. This shows that everything is made from the same materials and difference relies on the interaction.

Qi also takes on various forms and is convertible from one form to another with order and pattern. The concept of yinyang supplies a unitary vision of heaven, earth and human beings and makes the world intelligible in terms of a resonance between human beings and the universe. The Guoyu (Discourses of the States) describes how earthquakes took place at the confluence of the Jing, Wei, and Lou rivers during the second year of Duke You of the western Zhou dynasty. A certain Boyang Fu claims that the Zhou empire is doomed to collapse, explaining that

The qi of heaven and earth can’t lose its order. If its order vanishes people will be disoriented. Yang was stuck and could not get out, yin was suppressed and could not evaporate, so an earthquake was inevitable. Now the earthquakes around the three rivers are due to yang losing its place and yin being pressed down. Yang is forsaken under yin so the source of rivers has been blocked. If the foundation of rivers is blocked the country will definitely collapse. This is because of the fact that the flowing water and flourishing land are necessities for the people’s lives. If the water and land cannot sustain the people’s living conditions, the country will inevitably fall. (Discourse of the States 1994: 22).

Not only does this ¬yinyang-flavored explanation claim to illuminate natural phenomena, it also implies that there is an intrinsic relationship between natural events and political systems. Human beings, especially political leaders, must align their virtuous actions with the morally-oriented universe. If they follow and harmonize with (shun) the order and patterns of the universe, they will be rewarded with prosperity and flourishing, but if they go against and conflict with (ni) it, they will be punished with disasters and destruction. Whether one engages in shun or ni depends upon whether yin and yang are in a state of balance. Thus, yinyang provides a heuristic outlook for human understanding as well as ethical guidance for achieving harmony in action. As chapter 8 of the Huainanzi claims:

Yinyang embodies the harmony of heaven and earth, manifests the forms of myriad things, contains qi to transform the things and completes various kinds of things; yinyang extends and penetrates to the deepest level; begins in emptiness then becomes full and moves in boundless lands.




4. Yinyang as Xingzi (Concrete Substance)

Yinyang also has been understood as some concrete substance (xingzhi), according to which yixing and yangxing define everything in the universe. In the Yijing (I-Ching, The Book of Changes), yinyang is presented as xingzhi. Yang was identified with the sun and yin with the moon:

Heaven and earth correlate with vast and profound; four seasons correlate with change and continuity [biantong]; the significance of yin and yang correlate with sun and moon; the highest excellence [zhide] correlates the goodness of easy and simple.(Sishu wujing 1990: 197)

The Guanzi, an important work of the Huang-Lao school, discusses this view along the same lines: “The sun is in charge of yang, the moon is in charge of yin, the stars are in charge of harmony [he].” (Guanzi 2000: 151). This xingzhi interpretation materializes the concept of yinyang in some concrete contexts and shows that the universe is orderly, moral and gendered. The pattern of the world is written in a gendered language. Yinyang is something one can see, feel, and grasp through the senses. For example, in the Liji (Book of Ritual), music represents the he (harmony) of heaven and earth, while li (ritual) represents the order of heaven and earth: “Music is coming from yang, ritual is coming from yin. The harmony of yinyang receives the myriad things.” (Sishu wujing 1990: 525) In the human world, male as yang should be cultivated, otherwise the day will suffer; female as yin should be cultivated too, otherwise the moon will be affected.

According to Dong Zhongshu, (195-115 BCE), both Tian (heaven) and human beings have yinyang. Therefore, there is an intrinsic connection between tian and human beings through the movement of yin and yang. Yinyang is an essential vehicle for interactions between heaven and human beings: “The qi of yinyang moves heaven above as well as in human beings. When it is among human beings it is displayed itself as like, dislike, happy and mad, when it is in heaven it is seen as warm, chilly, cold and hot.” (Dong Zhongshu 1996: 436) In Dong’s cosmological vision, the whole universe is a giant yinyang. One of many examples of this vision is Dong’s proposal to control floods and prevent droughts by proper human interaction. In chapter 74 (“Seeking the Rain”) of his Luxuriant Gems of the Spring and Autumn, Dong asserts that a spring drought indicates too much yang and not enough yin. So one should “open yin and close yang” (1996: 432) He suggests that the government should have the south gate closed, which is in the direction of yang. Men, embodying yang, should remain in seclusion. Women, embodying yin, should appear in public. He even requests all married couples to copulate (ouchu) to secure more yinyang intercourse. It is also important during this time to make women happy. (1996: 436) In chapter 75 (“Stopping the Rain”), Dong alleges that the flood proves there is too much yin so one should “open yang and close yin” (1996: 438). The north gate, the direction of yin, should be wide open. Women should go into concealment and men should be visible. Officers in the city should send their wives to the countryside in order to make sure that yin will not conquer yang. Derk Bodde defines this practice as a “sexual sympathetic magic.” (Bodde 1981: 373)

Finally, yinyang also plays a pivotal role in traditional Chinese thought about health and the human body. The early medical text known as the Huangdi neijing (The Yellow Emperor’s Classic of Internal Medicine) provides a detailed account of physiological functions and pathological changes in the body and guidance for diagnosis and treatment in terms of yinyang. Five zang (organs) -- the kidneys, liver, heart, spleen and lungs -- are classified as yin. They control the storage of vital substance and qi. Six fu (organs) -- the gallbladder, stomach, small and large intestines, urinary bladder and triple burner (referring to three parts of the body cavity: the upper burner, which houses the heart and lungs; the middle burner, which houses the spleen and stomach; and the lower burner, which houses the kidney, urinary bladder and small and large intestines) -- are yang and control the transport and digestion of food. The storage is a yin function, and the transport and transformation of substance is a yang function. But the zang and fu organs can be further subdivided into yin and yang. The activity or function of each organ is its yang aspect, while its substance is its yin aspect. Yin should flow smoothly and yang should vivify steadily. They regulate themselves so as to maintain equilibrium. Yin and yang do not exist in isolation but are in a dynamic state in which they interact and fashion the complicated and intricate system of the human body.


5. The Yinyang Symbol

There is no a clear and definite way to determine the exact date of origin or the person who created the popular yinyang symbol. No one has ever claimed specific ownership of this popular image. However, there is a rich textual and visual history leading to its creation. Inspired by a primeval vision of cosmic harmony, Chinese thinkers have sought to codify this order in various intellectual constructions. Whether to formulate this underlying pattern through words and concepts or numbers and visual images has been debated since the Han dynasty. The question first surfaced in the interpretation of the Yijing. The Yijing is constructed around sixty-four hexagrams (gua), each of which is made of six parallel broken or unbroken line segments (yao). Each of the sixty-four hexagrams has a unique designation; its image (xiang) refers to a particular natural object and conveys the meaning of human events and activities. The Yijing thus has generated a special way to decipher the universe. It mainly incorporates three elements: xiang (images), shu (numbers), and li (meanings). They act as the mediators between heavenly cosmic phenomena and earthly human everyday life. From the Han dynasty through the Ming and Qing dynasties (1368-1912 CE), there was a consistent tension between two schools of thought: the school of xiangshu (images and numbers) and the school of yili (meanings and reasoning). At issue between them is how best to interpret the classics, particularly the Yijing. The question often was posed as: “Am I interpreting the six classics or are the six classics interpreting me?”

For the school of Xiangshu the way to interpret the classics is to produce a figurative and numerological representation of the universe through xiang (images) and shu (numbers). It held that xiangshu are indispensable structures expressing the Way of heaven, earth and human being. Thus the school of Xiangshu takes the position that “I interpret the classics” by means of the images and numbers. The emphasis is on the appreciation of classics. The school of Yili, on the other hand, focuses on an exploration of the meanings of the classics on the basis of one’s own reconstruction. In other word, the school of Yili treats all classics as supporting evidence for their own ideas and theories. The emphasis is more on idiosyncratic new theories rather than the explanation of the classics. In what follows, our inquiry focuses on the legacy of the Xiangshu school.

The most common effort of the Xiangshu school was to draw tu (diagrams). Generations of intellectuals labored on the formulation and creation of numerous tu. Tu often delineate structure, place, and numbers through black and white lines. They are not aesthetic objects but rather serve as a means of articulating the fundamental patterns that govern phenomena in the universe. Tu are universes in microcosm and demonstrate obedience to definite norms or rules. During the Song dynasty (960-1279 CE), the Daoist monk Chen Tuan (906-989 CE) made an important contribution to this tradition by drawing a few tu in order to elucidate the Yijing. Though none of his tu were directly passed down, he is considered the forerunner of the school of tushu (diagrams and writings). It is said that he left behind three tu; since his death, attempting to discover these tu has become a popular scholarly pursuit. After Chen Tuan, three trends in making tu emerged, exemplified by the work of three Neo-Confucian thinkers: the Hetu (Diagram of River) and Luoshu (Chart of Luo) ascribed to Liu Mu (1011-1064 CE), the Xiantian tu (Diagram of Preceding Heaven) credited to Shao Yong (1011-1077 CE), and the Taijitu (Diagram of the Great Ultimate) attributed to Zhou Dunyi (1017-1073 CE). These three trends eventually led to the creation of the first yinyang symbol by Zhao Huiqian (1351-1395 CE), entitled Tiandi Zhiran Hetu (Heaven and Earth’s Natural Diagram of the River) and pictured above at the head of this entry.


6. References and Further Reading

Bennett, Steven J. “Patterns of the Sky and the Earth: A Chinese Science of Applied Cosmology.” Chinese Science (March 1978) 3: 1-26.

Chan, Wing-tsit, ed. A Source Book in Chinese Philosophy. Princeton, NJ: Princeton University Press, 1963.

Bodde, Derk. Essays on Chinese Civilization. Princeton, NJ: Princeton University Press, 1981.

Dong, Zhongshu. Luxuriant Gems of the Spring and Autumn. Ed. Su Xing. Beijing: Chinese Press, 1996.

Fung, Yu-lan. A Short History of Chinese Philosophy. Trans. Derk Bodde. New York: The Free Press, 1997.

Graham, A.C. Yin-Yang and the Nature of Correlative Thinking. Singapore: The Institute of East Asian Philosophies, 1986.

Guanzi. Ed. Guan Bo. Beijing: Hua Xia Press, 2000.

Guoyu (Discourse of the States). Eds. Wu Guoyi, Hu Guowen and Li Xiaolu. Shanghai: Guji Press, 1994.

Huainanzi. Ed. Liu An. Xi’an: Sanqing Press, 1998.

Henderson, John B. The Development and Decline of Chinese Cosmology. New York: Columbia University Press, 1984.

Inoue, Satoshi. Xianqin Yinyang Wuxing (Pre-Qin Yinyang and Five Phases). Hubei: Education Press, 1997.

Kohn, Livia. “Ying and Yang: The Natural Dimension of Evil.” In Philosophies of Nature: The Human Dimension, eds. Robert S. Cohen and Alfred I. Tauber (New York: Kluwer Academic Publishers, 1997), 91-106.

Legge, James. The Chinese Classics: The Ch’un Ts’ew, with Tso Chuen. Taipei: SMC Publishing Inc., 1994.

Li, Shen and Guo Yu, eds. The Complete Selection of Diagrams of Zhouyi. Shanghai: China Eastern Normal University Press, 2004.

Makeham, John. Transmitters and Creators: Chinese Commentators and Commentaries on the Analects. Harvard East Asian Monographs, no. 228. Cambridge, MA: Harvard University Press, 2003.

Needham, Joseph. Science and Civilization in China. Cambridge: Cambridge University Press, 1956.

Porkert, Manfred. The Theoretical Foundations of Chinese Medicine: Systems of Correspondence. Cambridge, MA: MIT Press, 1974.

Puett, Michael J. To Become a God: Cosmology, Sacrifice and Self-Divination in Early China. Cambridge: Harvard University Press, 2002.

Roth, Harold D. Original Tao: Inward Training (Nei-yeh) and the Foundations of Taoist Mysticism. New York: Columbia University Press, 1999.

Rubin, Vitaly A. “The Concepts of Wu-Hsing and Yin-Yang,” Journal of Chinese Philosophy 9 (1982): 131-157.

Sishu wujing (Four Books and Five Classics). China: Yuling Press, 1990.

Yabuuti, Kiyosi. “Chinese Astronomy: Development and Limiting Factors.” In Chinese Science: Explorations of an Ancient Tradition, eds. Shigeru Nakayama and Nathan Sivin (Cambridge, MA: MIT Press, 1973), 91-103.

Yang, Xuepeng. Yinyang Qi yu Bianliang (Yinyang Qi and Changes). Beijing: Chinese Science Press, 1993.

Yates, Robin D.S. Five Lost Classics: Tao, Huang-Lao, and Yin-yang in Han China. New York: Ballantine Books, 1997.
Zhuangzi. Ed. Chen Guying. Beijing: Chinese Press, 1983.

Phenomenology and Time-Consciousness

Edmund Husserl, founder of the phenomenological movement, employs the term phenomenology in its etymological sense as the activity of giving an account (logos) of the way things appear (phainomenon). Hence, a phenomenology of time attempts to account for the way things appear to us as temporal or how we experience time. Phenomenology offers neither metaphysical speculation about time’s relation to motion (as does Aristotle), nor the psychological character of time’s past and future moments (as does Augustine), nor transcendental-cognitive presumptions about time as a mind-dependent construct (as does Kant). Rather, it investigates the essential structures of consciousness that make possible the unified perception of an object that occurs across successive moments. In its nuanced attempts to provide an account of the form of intentionality presupposed by all experience, the phenomenology of time-consciousness provides important contributions to philosophical issues such as perception, memory, expectation, imagination, habituation, self-awareness, and self-identity over time.

Within the phenomenological movement, time-consciousness is central. The most fundamental and important of all phenomenological problems, time-consciousness pervades Husserl’s theories of constitution, evidence, objectivity and inter-subjectivity. Within continental philosophy broadly construed, the movements of existential phenomenology, hermeneutics, post-modernism and post-structuralism, as well as the work of Martin Heidegger, Jean-Paul Sartre, Maurice Merleau-Ponty, Hans George Gadamer and Jacques Derrida, all return in important ways to Husserl’s theory of time-consciousness. After devoting considerable attention to Husserl’s reflections on time-consciousness, this article treats the developments of the phenomenological account of time in Heidegger, Sartre, and Merleau-Ponty.

1. Husserl, Phenomenology, and Time-Consciousness

Phenomenology maintains that consciousness, in its very nature as activity, is intentional. In its care for and interest in the world, consciousness transcends itself and attends to the world by a myriad of intentional acts, e.g., perceiving, remembering, imagining, willing, judging, etc.—hence Husserl’s claim that intentional consciousness is correlated (i.e., co-related) to the world. Although the notion of intentionality includes the practical connotations of willful interest, it fundamentally denotes the relation conscious has to objects in the world. Of these many modes of intentionality, time-consciousness arguably constitutes the central one for understanding consciousness’s intentional, transcending character. Put differently, time-consciousness underscores these other intentional acts because these other intentional acts presuppose or include the consciousness of internal time. For this and other reasons, Husserl, in his On the Phenomenology of the Consciousness of Internal Time (1893-1917) (1991), deemed time-consciousness the most “important and difficult of all phenomenological problems” (PCIT, No. 50, No. 39). Together with Analyses Concerning Passive and Active Syntheses (2001), Cartesian Meditations (1997) and Die ‘Bernaur Manuskripte’ über das Zeitbewußtseins 1917/18 (2001), this work seeks to account for this fundamental form of intentionality that the experience of temporal (e.g., spatial and auditory) and non-temporal (e.g., mathematical and logical) objects alike presupposes.

All experience entails a temporal horizon, according to phenomenology. This claim seems indisputable: we rush, we long, we endure, we plan, we reminisce, we perceive, we speak, we listen, etc. To highlight the difficulty and importance of explaining the structures of consciousness that make possible the experience of time, Husserl, like his contemporaries Henri Bergson and William James, favored the example of listening to a melody. For a melody to be a melody, it must have distinguishable though inseparable moments. And for consciousness to apprehend a melody, its structure must have features capable of respecting these features of temporal objects. Certainly, we can “time” the moments of a temporal object, a melody, with discrete seconds (measured by clocks). But this scientific and psychological account of time, which, following Newton, considers time as an empty container of discrete, atomistic nows, is not adequate to the task of explaining how consciousness experiences a temporal object. In this case of Newtonian time, each tone spreads its content out in a corresponding now but each now and thus each tone remains separated from every other. Newtonian time can explain the separation of moments in time but not the continuity of these moments. Since temporal objects, like a melody or a sentence, are characterized by and experienced as a unity across a succession, an account of the perception of a temporal object must explain how we synthesize a flowing object in such a way that we (i) preserve the position of each tone without (ii) eliminating the unity of the melody or (iii) relating each tone by collapsing the difference in the order between the tones.

Bergson, James and Husserl realized that if our consciousness were structured in such a way that each moment occurred in strict separation from every other (like planks of a picket fence), then we never could apprehend or perceive the unity of our experiences or enduring objects in time otherwise than as a convoluted patchwork. To avoid this quantitative view of time as a container, Husserl’s phenomenology attempts to articulate the conscious experience of lived-time as the prerequisite for the Newtonian, scientific notion of time’s reality as a march of discrete, atomistic moments measured by clocks and science. In this way, Husserl’s approach to time-consciousness shares much in common with these popular nineteenth Century treatments of time-consciousness. Yet to appreciate fully Husserl’s account of time-consciousness—the uniqueness of his contribution beyond other popular nineteenth Century accounts (deWarren 2008), and the priority he affords it in his own thinking—we first must understand phenomenology’s methodological device, the phenomenological reduction.

a. Phenomenological Reduction and Time-consciousness

Husserl believed that every experience for intentional conscious has a temporal character or background. We experience spatial objects, both successive (e.g., a passing automobile) and stationary (e.g., a house), as temporal. We do not, on the other hand, experience all temporal objects (e.g., an imagined sequence or spoken sentence) as spatial. For the phenomenologist, even non-temporal objects (e.g., geometrical postulates) presuppose time because we experience their timeless character over time; for example, it takes time for me to count from one to five although these numbers themselves remain timeless, and it takes some a long time to understand and appreciate the force of timeless geometrical postulates (PCIT § 45; see Brough 1991). To this point, common sense views of time may find Husserl agreeable. Such agreement ceases, however, for those who expect Husserl to proclaim that time resembles an indefinite series of nows (like seconds) passing from the future through the present into the past (as a river flows from the top of a mountain into a lake). This common sense conception of time understands the future as not-yet-now, the past as no-longer-now, and the present as what now-is, a thin, ephemeral slice of time. Such is the natural attitude’s view of time, the time of the world, of measurement, of clocks, calendars, science, management, calculation, cultural and anthropological history, etc. This common sense view is not the phenomenologist’s, who suspends all naïve presuppositions through the reduction.

Phenomenology’s fundamental methodological device, the “phenomenological reduction,” involves the philosopher’s bracketing of her natural belief about the world, much like in mathematics when we bracket questions about whether numbers are mind-independent objects. This natural belief Husserl terms the “natural attitude,” under which label he includes dogmatic scientific and philosophical beliefs, as well as uncritical, every-day, common sense assumptions. Not a denial of the external world, like Descartes methodologically proposed, the phenomenological reduction neutralizes these dimensions of the natural attitude towards experience in order to examine more closely experience and its objects just as they appear to conscious experience (Ideas I §§ 44-49; Sokolowski 2000). Put less technically, one could consider phenomenology a critical rather than habitual or dogmatic approach to understanding the world. To call phenomenology a critical enterprise means that it is an enterprise guided by the goal of faithfully describing what experience gives us—thus phenomenology’s famed return to the things themselves—rather than defaulting to what we with our dogmas and prejudices expect from experience—thus phenomenology’s famed self-description as a “pressupositionless science” (Logical Investigations)

That the phenomenologist suspends her natural attitude means that a phenomenology of time bypasses the inquiry into both natural time considered as a metaphysical entity and scientific world time considered as a quantitative construct available for observation and necessary for calculation (PCIT § 2). Without prejudice to the sciences, the reduction also suspends all philosophical presuppositions about time’s metaphysical, psychological or transcendental-cognitive nature. Hence, the phenomenological reduction enables Husserl to examine the structures of consciousness that allow us to apprehend and thus characterize the modes of temporal objects appearing as now, past or future. As Husserlians often express it, Husserl concerns himself not with the content of an object or event in time (e.g., listening to a sentence) but with how an object or event appears as temporal (Brough 1991).

As this discussion about the effect of the reduction on Husserl’s account of time implies, Husserl distinguishes three levels of time for our consideration: (3) world[ly] or objective time; (2) personalistic or subjective time; and (1) the consciousness of internal time. We can make assessments and measurements, e.g., declaring things simultaneous or enduring, at the level of objective time only because we experience a succession of mental states in our subjective conscious life. Our awareness of objective time thus depends upon our awareness of subjective time. We are aware of subjective time, however, as a unity across succession of mental states because the consciousness of internal time provides a consciousness of succession that makes possible the apprehension and unification of successive mental states (PCIT No. 40; Sokolowski 2000).

Husserl’s contention that all experience presupposes (1) at first appears as an exhaustively subjective denial of time’s reality, particularly in light of the reduction. Moreover, since we believe that natural time precedes and will outlast our existence, we tend to consider (3) more fundamental than (1). As such, some may find Husserl’s privileging of (1) counterintuitive (Sokolowski 2000). Of course, such a passively received attitude or belief about time and our place therein amounts to cultural prejudice in favor of the scientific view of human beings as mere physical entities subject to the relentless march of time. A brief example may help us better understand Husserl’s objective and thus dispel these reservations: When listening to a fifty minute lecture (level 3), one may experience it as slow or as fast (level 2). Still, each listener’s consciousness has a structure (level 1) that makes it possible for her to apprehend (3) and (2). This structure in (1) functions in such a way that each listener can agree about the objective duration of the lecture while disagreeing about their subjective experience of it. If (1) changed subjectively as (2), then we never could reach a consensus or objective agreement about (3). For the phenomenologist, who seeks to give an account (logos) of the way things appear as temporal, the manifest phenomenon of time is not fundamentally worldly/objective or psychological/subjective time (Brough, 1991). Concerned with how temporal phenomena manifest themselves to conscious perceivers, the phenomenologist examines (1), namely the structures of intentional consciousness that make possible the disclosure of time as a worldly or psychological phenomenon. To begin to explain the priority of (1), Husserl highlights how the now and past are not a part of time considered according to the natural attitude view of (3) or (2).

b. Phenomenology, Experienced Time and Temporal Objects

It should be clear already that Husserl does not privilege the Newtonian view of time as a series of now, past and future moments considered as “things,” containers for “things,” or points on the imagined “time-line” (PCIT §§ 1-2, No. 51). Conversely, he considers the present, past, and future as modes of appearing or modes by which we experience things and events as now, no longer (past) or not yet (future). For example, though I experience the event of the space shuttle Columbia’s explosion as past, the past is not some metaphysical container of which the Columbia shuttle tragedy is a part; the past is the mode in which the Columbia shuttle tragedy appears to me. This does not mean that Husserl views time as something that flows willy-nilly, or that the time of the Columbia shuttle tragedy is contemporaneous with the time of your reading this entry. Husserl acknowledges that “time is fixed and that time flows” (PCIT § 31, No. 51). When we count from one to ten, two always occurs after one and before three regardless of how far our counting progresses; likewise, the temporal event of the Columbia shuttle tragedy occupies an unchanging, determinate temporal position in world-time, “frozen” between what came before and after it, ever-receding into the past of world time (history) without losing its place. Phenomenology helps to clarify the common sense understanding of time as a container—a metaphysical placeholder—that contains events. This common sense understanding of time as a container persists because we forget that we first understand these fixed temporal relations and position thanks to the modes of appearing, namely now, past and future (Brough, 1991).

As Husserlians put it, Husserl considers the now as conscious life’s absolute point of orientation from which things appearing as past and future alter (PCIT §§ 7, 14, 31, 33). Since the now and past are not a part of time but the modes by which things appear to me as temporal, each now that becomes past can accommodate many events simultaneously, e.g., one may remember where one was when the shuttle exploded, what anchor man one might have heard, what channel one was watching, who one was with, etc. (PCIT § 33; Brough 2005). The very fact that this experience becomes part of one’s conscious life implies that one experienced it in the now. Moreover, I can remember what events preceded and succeeded this tragedy, e.g., that my grade-school class filed into the auditorium or that my teacher sniffled as she led us back to our classroom. The very fact that one can place the event in relation to preceding and succeeding events implies both that one never experiences the now in isolation from the past and future and that one experiences the relation between now, past and future without collapsing these three modes of appearing (PCIT § 31).

These reflections on temporal objects and experienced time indicate that the flow of our conscious life is the condition for the possibility of the disclosure of temporal objects and experienced time, a condition that begins from the privileged standpoint of the now, which, again, nevertheless occurs in an interplay with past and future rather than in isolation from them. More than this descriptive account of some essential features of time’s appearance, however, Husserl’s phenomenology of time-consciousness concerns itself with the structure of the act of perceiving that allows us to apprehend a temporal object as unified across its manifold moments. Indeed, our preliminary reflections on time depend upon a series of successive events but a succession of experiences or perceptions is not yet an experience or perception of succession. Husserl turns his attention toward (1)—the transcendental level of internal time-consciousness—in order to explain how (2) and (3) become constituted conscious experiences.

c. Phenomenology Not to be Confused with Augustine’s Theory of Time

When we say that Husserl focuses his attention on (2) and (1), we mean that his writings on time-consciousness attempt to explain how time and experienced time appear to consciousness. This explanation begins, for Husserl, by confronting the paradox of how to account for the unity of a process of change that continues for an extended period of time, a unity that develops in succession, e.g., listening to a sentence or watching a film (PCIT No. 50). To unravel this theoretical knot, Husserl believed, philosophy must realize that, beyond the temporality of the object, the act of perceiving has its own temporal character (PCIT No. 32). Consider the phrase, “Peter Piper picked a pack of pickled peppers” at the word, “picked.” In this example, I hear “picked” yet somehow must hold onto “Peter” and “Piper” in just the order in which I originally apprehended them. Husserl contends that insofar as a temporal object such as a sentence occurs across time in a now that includes what is no longer, consciousness too must extend beyond the now; indeed, if all I heard were different words in each new now without connecting them to past related words, then I never would hear a sentence but only a barrage of sounding words. Consciousness not only must extend beyond the now, but it also must extend in such a way that it preserves the determinate temporal order of the words and modifies their orientation to the now. Indeed, if I preserved the words in a simultaneous or haphazard order, then I never would hear a sentence but only a jumble of words.

To account for the unity of succession in a way that avoids these difficulties, Husserl will not explain consciousness’ extension beyond the now in an act of perception by merely importing a view of Newtonian time into the mind or translating such a view of natural time into a transcendental condition of the mind. This was Kant’s dogmatic failure in the “Transcendental Aesthetic” of his Critique of Pure Reason (Crisis 104 ff.). Nor will Husserl’s account of the “perception” of a temporal object conclude, as Augustine’s did, that consciousness extends beyond the now thanks to its “present of things no longer” and a “present of thing yet to come” that echoed Augustine’s description of the soul’s distention (PCIT § 1; Kelly 2005). Such an Augustinian account of “the present of thing no longer” cannot explain the perception of a temporal object because it traps the heard contents in the now (as a present of things no longer remains present nevertheless). Augustine’s notion of a “present of things no longer” can explain consciousness’ extension beyond the now only as a result of a memorial recollection. But memory drags past nows—and the contents occurring therein—back into the present, thereby rendering past moments simultaneous with a present moment and effectively halting time’s flow. Any account of temporal awareness that explains consciousness’’ extension beyond the now by recourse to memory conflates the acts of memory and perception and thus proves inadequate to explain the conscious perception of a temporal object. Memory gives not the perception of a temporal object but always only what it is capable of giving: a memory (PCIT No. 50; Brough, 1991).

With respect to this problem of conflating memory and perception, Husserl indicates two consequences. First, the distention of the now through memory leaves us with a situation where, as Husserl admits, at any given moment I perceive only the actually present word of the sentence; hence, the whole of the enduring sentence appears in an act that is predominantly memory and only marginally perception (PCIT § 12). Experience tells us, however, that we “perceive” (hear) the whole sentence across its present (now) and absent (past or future) words rather than hearing its present word and remembering (or expecting) the others (PCIT § 7). Indeed, something quite different occurs when I hear a sentence and when I remember the event of the Columbia shuttle tragedy. Second, having conflated the past and the present by making recourse to memory as a means to explain consciousness’ extension beyond the now, such a theory violates the law of non-contradiction, for the mode of the present cannot present something as past, but only as present, and vice versa (PCIT No. 14). In short, on such Augustinian theory, everything remains ‘now’ and nothing can overcome that fact (Brough 1993; Kelly 2005).

The problem of the consciousness of time becomes properly phenomenological when Husserl asks how one explains the original consciousness of the past upon which one can recognize an object as past rather remembering a past moment. Put differently, the problem of time becomes phenomenological when Husserl begins to seek an account of the generation of a sense or consciousness of pastness upon which (the) perception (of a temporal object) and memory depend. Indeed, to claim that we remember something presupposes the very sense of the past we are trying to explain (Sokolowski 2000). An adequate account of the perception of a temporal object first requires a discussion of how consciousness extends beyond the now, i.e., an account of the difference between the consciousness of succession and the remembrance of a succession of consciousnesses (PCIT No. 47; Brough 1972).

d. Phenomenology and the Consciousness of Internal Time: Living-Present

Unlike previous theories addressing the consciousness of time, Husserl shifts his attention from an account of what is perceived as temporal to an account of the temporality of that which does the perceiving. Put differently, he tightens his focus, so to speak, recognizing that when one perceives a temporal object one also experiences the flow of the intentional act of perception (Brough 1991). In order to solve the aforementioned paradox of how to account for the unity of a temporal object over the succession of its parts (e.g., the sentence across it many words), Husserl turns his attention to consciousness’ lived experience, to the structures of consciousness at level (1) that make possible the unification of the manifold moments of that act of perception at level (2) and the perceived object at level (3) (PCIT No. 41).

To explain how consciousness extends beyond the now in its act of perception, Husserl begins to think that consciousness itself must have a “width.” And this is just to say that consciousness must have a sense of the past and a sense of the future to begin with (Sokolowski 2000). To this end, Husserl attempts to argue that consciousness extends to capture past moments of experience and temporal objects therein by “retaining” and “protending” the elapsed and yet to come phases of its experience and thereby the past words that do not presently exist (when I reach a certain point in listening to a sentence) yet remain related to the present experience (PCIT, No. 54; Zahavi, 2000). Rather than attempt to explain the unity of a succession of discrete consciousnesses correlated with a succession of discrete moments in a temporal object, Husserl attempts to explain the consciousness of succession that makes possible the apprehension of a succession of consciousnesses.

Husserl thus speaks almost exclusively of consciousness’ living-present, and he characterizes this life of consciousness with three distinguishable yet inseparable moments: primal impression, retention, and protention. This tripartite form or intentional structure of the living-present should not be thought of as discrete, independently occurring pieces in a process (or procession). Such an atomistic view of the living-present’s structure will not work. Were the moments of the living-present thought as such, we would have to remember or re-present each past state of consciousness. Not a knife-edged moment, Husserl describes the life of consciousness, the living-present, as extended like a comets tail, or saddle-back, to use the image William James preferred, moments comprising an identity in a manifold (James) (PCIT § 10).

Consciousness is no longer a punctual box with several acts functioning in it simultaneously and directing themselves to the appropriate instances of the object. Admittedly, it is difficult to talk of this level of the consciousness of internal time, and Husserl himself claims we are reduced to metaphors (PCIT §§ 34-36). In a perhaps inadequate metaphor, Husserl’s theory of the living-present might be thought of as presenting a picture of consciousness as a “block” with relevant “compartments” distinguished by “filters” or “membranes,” each connected to and aware of the other. In this life of consciousness, Husserl maintains, consciousness apprehends itself and that which flows within it. As Husserl describes it, retention perceives the elapsed conscious phase of experience at level (1) and thereby the past of the experience at level (2) and the past of the object at level (3). The moments of retention and protention in the tripartite form of consciousness that is the living-present make possible consciousness’ extension beyond the now in such a way that avoids the problem of simultaneity and enables consciousness to attend determinately to the temporal phases of the object of perception. Unlike Augustine’s notion of a present of things no longer, which remembered or re-presented a past content in the now, Husserl draws a distinction between memory and retention. On the one hand, memory provides a “consciousness of the [instant] that has been” (PCIT § 12). On the other hand, retention “designates the intentional relation of phase of consciousness to phase of consciousness” (PCIT No. 50), i.e., a “consciousness of the past of the [experience]” (PCIT No. 47) and thereby the instant of the object that has been.

This distinction does not mean that memory differs from retention merely as a matter of temporal distance, the former reaching back further into time. Rather, Husserl draws a structural distinction between memory and retention: The former is an active, mediated, objectifying awareness of a past object, while the latter is a passive, immediate, non-objectifying, conscious awareness of the elapsed phase of conscious experience. First, memory reveals itself to be an act under the voluntary auspices of consciousness, whereas retention occurs passively. Second, while memories occur faster or slower and can be edited or reconstructed, retention occurs “automatically” and cannot be varied at one’s whim (though it can, at level 2, be experienced as faster or slower, as noted above in our example of listening to a lecture). Third, remembering re-produces a completed temporal object, whereas retention works at completing the consciousness of a temporal object, unifying its presence and absence. Fourth, as the representation of a new intentional object, memory is an act of presenting something as past, as absent, whereas the retention that attempts to account for the perception of an object over time constitutes an intuition of that which has just passed and is now in some sense absent, an act of presenting something as a unity in succession. Fifth, memory provides us with a new intentional object not now intuitively presented as the thing itself “in person”—e.g., remembering my friend’s face when she is absent from me in this moment—whereas retention accounts for the perception across time of an object now intuitively presented for me—e.g., the progressive clarity of my perception of my friends face as she approaches me from the street. Sixth, despite memory’s character as a presenting act, when it represents to me my friend’s face it represents it in the now with a change in temporal index or a qualification of the remembered object as past, whereas retention holds on to that which is related to my present perception in a mode of absences (e.g., as when I hear “picked” while retaining “Peter Piper”). Seventh, memory depends upon or is “founded” upon retention as the condition of its very possibility, for memory could never represent an object as a completed whole if retention did not first play its role in constituting across time the object now remembered (PCIT, No 50; Zahavi; Brough 1991.

To explain time-consciousness at level (1), then, Husserl comes to favor the theory that consciousness of the past and future must be explained by the intentional direction of retention and protention to the past and future of consciousness’ lived experience rather than a mode of memorial apprehension that issues from the now to animate past impressions. Returning to our above example of listening to a sentence, when I hear “picked,” I do not remember “Peter Piper.” Rather, I intuitively perceive the sentence as a temporally differentiated yet nonetheless related to the current [of this] experience. To be sure, the words do not occur simultaneously; each word passes and yet remains relevant to the presently lived experience. The interpreter of Husserl must take care at this point not to read the turn to consciousness as entailing a loss of the perceived; rather, what is retained is precisely the impressional moment as experienced in that moment and having been retained in this experience. In fact, this account allows that the words, “Peter Piper,” have passed, metaphysically, but remain on hand in this apprehension of “picked” thanks to consciousness’ retention of its past phase of experience wherein it heard the related words, “Peter Piper.” As a moment of the intentional relationship between the phases of consciousness’ living-present, retention “automatically” experiences its intuitively present conscious life and determinately provides a consciousness of the past of the experience.

Husserl’s account of the living-present ultimately articulates the condition for the possibility of all objectifying acts, a condition itself not objectified. As such, the discussion of retention brings us to the bottom line, the final and most difficult layer of intentional analysis, namely consciousness’ double-intentionality (PCIT No. 54).

e. The Living-Present’s Double-Intentionality

The living-present marks the essence of all manifestation, for in its automatic or passive self-givenness the living-present makes possible the apprehension of the elapsed phases of the life of consciousness and thereby the elapsed moments of the transcendent spatio-temporal object of which the conscious self is aware. This is possible, Husserl argues, because the “flow” (PCIT § 37) of conscious life enjoys two modes of simultaneously operative intentionality. One mode of intentionality, which he terms Langsintentionalität, or horizontal intentionality, runs along protention and retention in the flow of the living-present. The other mode of intentionality, which Husserl terms the Querintentionalität, or transverse intentionality, runs from the living-present to the object of which consciousness is aware (PCIT No. 45; Brough 1991).

Husserl explains the unity of these two intentional modes as a consciousness wherein the Querintentionalität is capable of intending a temporal object across its successive appearings because the Langsintentionalität provides consciousness’ self-awareness and awareness of its experiences over time. As an absolute flowing identity in a manifold—of primal impression, retention and protention—the stream of conscious life in the living-present constitutes the procession of words in the sentence that appears and is experienced sequentially in accordance with the temporally distinct position of each word. Husserl thus describes consciousness as having a “double-intentionality”: the Querintentionalität, which objectively and actively grasps the transcendent object—the heard sentence—and the Langsintentionalität, which non-objectively and automatically or passively grasps consciousness’ lived-experience—the flow of the living-present (PCIT No. 45). That I hear the words of the fifty-minute lecture and feel myself inspired or bored is possible only on the basis of my self-awareness or consciousness of internal time.

Though Husserl terms this consciousness that is the special form of horizontal intentionality in the living-present a “flow,” he employs the label “metaphorically” because the living-present’s flow manifests itself, paradoxically, as a non-temporal temporalizing (PCIT § 32, No. 54). That the living-present temporalizes means that it grasps its past and future as absent without reducing its past and future to the present, thus freezing consciousness temporal flow. To capture Husserl’s image of a non-temporal flow more aptly, some commentators prefer the image of shimmering (Sokolowski 1974). As Husserl himself admits that we have no words for this time-constituting phenomenon, the image of shimmering seems a more appropriate descriptor, for Husserl understand the living-present paradoxically as a standing-streaming (PCIT No. 54). Though non-temporal, Husserl assigns the living-present a time-constituting status, for this absolute consciousness makes possible the disclosure of temporal objects insofar as it makes possible the disclosure of consciousness’’ temporality by accounting for our original sense of the past and of the future in the retentional and protentional dimension of the living-present (PCIT § 37).

Husserl must characterize the flow as non-temporal. If that which makes possible the awareness of a unity in succession itself occurred in succession, then we would need to account for the apprehension of the succession unique to the living-present, and so on and so forth, ad infnitum (PCIT, No. 39, No. 50). An infinite regress of consciousness, however, would mean that we never would achieve an answer to the question of what makes possible the consciousness of time. In order to avoid an infinite regress, then, and in accordance with experience, which tells us that we do apprehend time and temporal objects, Husserl describes the living-present’s flow as a non-temporal temporalizing. This argument in favor of the non-temporal character of the living-present brings us to the two senses in which the special form of intentional consciousness is an absolute consciousness.

First, Husserl characterizes the living-present as absolute because a non-temporal consciousness that needs no other consciousness behind it to account for its self-apprehension is just that, absolute, the bottom line. Second, as the absolute bedrock of intentional analysis (Sokolowski 2000), the absolute flow as a mode of intentionality peculiar to the living-present conveys a move away from a model of awareness or intentionality dependent upon a subject’s relation to an object. If philosophy construes all awareness according to an object-intentionality model of awareness, i.e., the dyadic relation of a subject (knower) to an object (known), then it can never account for the relation between knower and known in the case of self-consciousness. For example, when I am writing this entry, I am conscious of the computer on which I am typing, as well as myself as the one typing. To explain, philosophically, however, how I apprehend myself as the one typing, the dyadic object-intentionality model of awareness will not suffice. The issue, of course, concerns self-awareness and thus philosophy’s standard understanding of self-identity over time.

In the classic treatment of self-consciousness, John Locke in his Essay Concerning Human Understanding accounts for self-identity over time thanks to consciousness’ reflective grasp on its past states. Locke establishes this account by distinguishing (i) simple ideas of sense directed toward (iia) objects from (i) simple ideas of reflection directed toward (iib) the self. In both cases, (i) knows (iia) and (iib) in the same manner insofar as (i) takes (iia) and (iib) as objects while (i) itself goes unnoticed or unaccounted for. Locke’s account thus turns the self or subject into an object without ever really presenting the self. Even if a simple idea of reflection directs itself toward the self, one self (the reflecting self) remains subject while the other self (the reflected self) becomes the object. In self-awareness, however, no difference, distance or separation exists between the knower and the known. Forced to apprehend itself as an object in an exercise of simple sense reflection, the Lockean subject never coincides with itself, caught as it is in a sequence of epistemic tail chasing (Locke, 1959 I; Zahavi, 1999). Such tail chasing, moreover, entails an infinite regress of selves themselves never self-aware. Locke’s failure stems from his restriction of intentionality to the model of object-awareness, the dyadic model of awareness, where all awareness requires a subject knowing an object.

Husserl’s account of the unity of (1) this dynamic, shimmering living-present makes possible the consciousness of (2) psychological or subjective time and (3) worldly or objective time provides an alternative to the traditional account of awareness as merely an objectivating relation of a subject to object (Brough, 1991; Sokolowski, 1973; Zahavi, 1999). By retaining the elapsed phase of consciousness and thereby the past of the object, retention unifies consciousness’ flow and the time-span of the perceived temporal object, thus providing at once a non-objective self-awareness and an objective awareness of spatio-temporal entities.

Despite the heady accomplishments of Husserl’s theory of time-consciousness as founded in the living-present’s double-intentionality, contemporary phenomenologists still disagree about Husserl’s discovery. Some commentators, under the influence of Derrida’s critique of Husserl’s theory of the living-present (Derrida 1973), express reservations over the legitimacy of the status of the living-present as an absolute, non-temporal temporalizing, arguing that it amounts to a mythical construct (Evans, 1990). Yet decisive refutations of these criticisms, based on their insensitivity to the nuances of Husserl’s theory, are plenty (Brough, 1993; Zahavi, 1999). Still, even those who accept its legitimacy disagree about how best to explain the relation between levels (1) and (2) of time-consciousness (see Zahavi, 1999; Brough 2002). Interestingly, the very complexities and details of Husserl’s theory of internal time-consciousness, which remain a central point of debate for contemporary phenomenologists, proved germane to phenomenology’s development and alteration throughout the Twentieth Century.

2. Heidegger on Phenomenology and Time

If the double-intentionality of Husserl’s theory of consciousness proves fruitful, it is because it allows us to given an account of the temporality of individual experiences (e.g., listening to a sentence) as well as the temporal ordering of a multiplicity of experience (e.g., recognizing the classroom to which I return each week as the same room differentiated over a span of time) and all of these experiences as mine, as belonging to me. Husserl’s first follower, Martin Heidegger, took up the benefits of Husserl’s theory and developed them into his own unique brand of phenomenology. In fact, Heidegger developed his brand of phenomenology precisely in light of Husserl’s reflections on the intentionality unique to absolute time-constituting consciousness. As we shall see, Heidegger might put the point more forcefully, claiming that he developed his phenomenology in opposition to Husserl’s theory of absolute time-constituting consciousness. In any event, we can begin by identifying a fundamental difference between Husserl and Heidegger: Husserl emphasized the retentional side of the life of consciousness because he was interested in cognition, which builds up over time, while Heidegger emphasized the protentional or futural side of the subject because he is more interested in practical activity (the “in order to” or “for the sake of”).

According to Heidegger, the essence of absolute time-constituting consciousness amounted to a subject divorced and isolated from the world because Husserl construed absolute consciousness as a theory only about the a priori, presuppositionless and essential structures of consciousness that made possible the unified perception of an object occurring in successive moments. As an alternative to what he considered Husserl’s abstracted view of the human being, Heidegger suggests that philosophy cannot advance a proper understanding of the being of the human being by bracketing its and the world’s existence. Instead, we must understand the human being as being-in-the-world, Dasein, literally there-being; we only can understand what the world contributes to us and what we contribute to the world if we consider each as co-dependent without reducing one to the other. To put it differently, Husserl’s transcendental phenomenology provides an “upward” oriented approach while Heidegger’s ontological phenomenology provides a “downward” oriented approach, and their approaches stem from their different views of time (Macann 1991).

Heidegger maintains that Husserl’s phenomenology proves inadequate to the task of understanding Dasein’s relation to the world because Husserl fails to articulate adequately the relation between consciousness, or being, and time. Specifically, Husserl’s construction of the fundamental form of intentionality as absolute time-constituting consciousness remains, according to Heidegger, prisoner to the bias of pure presence. As Heidegger puts it, the bias of pure presence entails the reduction of “being” to the moment that “is” fully articulated in the conscious now at the expense of absence, i.e., what falls outside the conscious now, i.e., the moments of past and future. Such a view of consciousness, Heidegger insists, capitulates to the prejudice of presence because it implies that something can appear to consciousness only in the form of an object now given or before one in person and unified by consciousness across its manifold moments (BT, § 67c). At a general level of intentionality, Heidegger wants to correct Husserl’s overly cognitive assessment of the subject. For Heidegger, an intention or intentio literally conveys a sense of “stretching out” or “straining” (Heidegger 1925). For Heidegger, Dasein is being in the world, a being with goals and projects toward which it comports itself or toward which it stretches out. The projects toward which it stretches itself makes Dasein fundamentally futural in its intentional directedness toward the world.

Having failed to investigate the practical comportment of the subject, Heidegger argues, Husserl's view of consciousness seems to reduce all awareness to awareness of an object in the present, thus reducing the past to the present and consciousness' self-awareness to an object among objects (Dahlstron 1999). Together, these related consequences motivate Heidegger’s conclusion that Husserl fails to perform the phenomenological reduction completely. Or, better, Heidegger concluded that the performance of the reduction adulterates the view of the subject and thus should be abandoned. Heidegger’s version of phenomenology thus does not begin from a phenomenological reduction although competing views of this matter exist (Crowell 1990; Blattner 1999).

As mentioned already, Heidegger’s very conception of Dasein as co-dependent with the world displays, he believes, his difference from Husserl’s view of the human being as absolute time-constituting consciousness. Put negatively and in terms of his History of the Concept of Time (1925), Heidegger criticizes Husserl for not considering fully the existence of the human being, bracketing its existence in favor of an analysis of the essential features of consciousness’ intentional structures (Heidegger 1925). Put positively and in terms of his Being and Time (1927), Heidegger claims that Dasein’s essence is its existence (BT § 9). Hence, one might claim, Heidegger introduces the movement of existential phenomenology, a development in phenomenology concerned with the very existence of the human being, which we have seen is termed Dasein by Heidegger.

Concern with Dasein’s existence as its essence does necessarily reduce to the assumption that Heidegger takes existence in the sense of biological or genetic determinants. Though such factors may condition Dasein’s manner of existing, they do not determine it, according to Heidegger. Dasein is neither fully determined nor uninhibitedly free (BT 144). She exists in the mode of her possibilities and her possibilities are motivated by environmental influences, her skills and interests, etc. (Blattner, 1999). Dasein, for Heidegger, is thus a being concerned about her being, reckoning with the world through her activities and commitments. Centering his existential phenomenology on how the world appears to a being concerned about its being, Heidegger’s inquiry starts from how Dasein comports herself as manifest in the everyday activities of her life, activities to which she commits herself or about which she cares (BT § 7). Heideggerian phenomenology thus begins from an interest in how the world appears to a being that cares about its existence, an intentional being but one who, in intending the world, is primarily practical and secondarily contemplative. Less concerned with the Husserlian search for presuppositionless certainty and essential structures, Heidegger’s existential phenomenology amounts to an interpretive description or hermeneutics that attempts to express the unexpressed (or articulate the pre-predicative) mode of Dasein’s engagement with the world (BT § 7). And this manner of engagement finds its fullest expression in Heidegger’s account of Dasein’s temporality.

a. Heidegger and Dasein’s Temporality

The notion of Dasein’s projects proves crucial to understanding Heidegger’s analysis of Dasein’s temporality and its difference from Husserl’s phenomenology. In discussing Dasein’s projects, Heidegger takes the term etymologically; to pro-ject means to put out there or to put forward. That Dasein projects itself in the world implies something fundamental about it. Dasein finds itself thrown into a world historical circumstance and projects itself in that world. Born (thrown) into a time and culture not of one’s choosing, Dasein always already exists in the world and suffers some limitations from which she nevertheless may wiggle free thanks to her interests and concerns about the world and her existence therein. The way things matter to Dasein—how she finds herself affected, in Heidegger’s language—and her skills and interest constitute different possibilities for her, different ways of being-in-the-world. These possibilities, in turn, manifest themselves in Dasein’s projects, i.e., in how she puts herself forward or projects or comports herself. These conditions suggest to Heidegger that the essential mode of being in the world for Dasein is a temporal one. Of the three temporal dimensions characterizing Dasein, we may say: First, the fact that Dasein finds herself thrown into a world and characterized by certain dispositions, etc. implies a “pastness” to her being. Second, the fact she projects herself implies a “futurity” to her being. And, third, the fact that she finds herself busied with the world as she projects herself in an effort to fulfill the present tasks required by the goal that is her project implies a “presentness” to her being (Blattner 1999).

The fundamental characteristic of the being that cares about its being, Dasein, then, is temporality. But things are not as simple (or common-sense) as they seem thus far. Time resembles Dasein insofar as time projects itself or stands outside itself in its future and past without losing itself—time and Dasein thus appear ontologically similar, or similar in their ontological structure. Since the question concerns the being for whom its being is a concern, and since the fundamental structure of this being is its temporality, philosophy’s very attempt to understand Dasein fundamentally concerns the relation between being and time at a pre-predicative level of worldly-engagement, a level prior to articulated judgment, prior to the conscious conceptualizations of traditional metaphysics or Husserlian phenomenology; hence, the title of Heidegger’s famous work, Being and Time (Richardson 1967). In Heidegger’s terms, an “authentic” understanding of the being concerned about its being rests upon a proper understanding of that being’s temporality.

To understand Dasein, then, Heidegger first distinguishes originary or authentic time understood as Dasein’s way of being in the world from worldly- and ordinary-time understood inauthentically or uncritically by the common-sense, pre-philosophical mind (BT § 80). As the labels imply, Heidegger articulates a hierarchical structure between these levels of time, much like Husserl’s levels of time (Sokolowski 1974). The hierarchical structure envisioned by Heidegger looks like this: World-time grounds ordinary-time, and both in turn are grounded by originary-time.

To establish the fundamental feature of Dasein as originary temporality, Heidegger distances his view of Dasein’s temporality from all common sense understandings of time as a series of nows, thereby deferring the common sense understanding of past as no-longer-now and future as not-yet-now. His position depends on a distinction between how time shows itself to Dasein as world-time and ordinary-time, the latter being derivative of the former. World-time denotes the manner in which the world appears as significant to Dasein in its everyday reckoning with the world at a practical level through its projects. For example, the world appears to an academic with certain significances or importance. Objects like chalk, books, computers, and libraries all manifest themselves with a particular value, and time does, as well (just consider the fact that the new year begins in late August rather than the first day of January). When I sit in my office, the approaching time of three in the afternoon does not appear merely as an indifferent hour on the clock. Rather, it appears to me as the time when, according to my project, I must head to class—just as it may appear to a postal work as the time when she should return to the station from her route. For me, the time-span of my class does not merely appear as seventy-five successive minutes. Rather, the classroom time of my project appears to me as the time when I project myself toward my students, the material for the day’s discussion and the material equipment in the class that facilitates my teaching well. If my class begins to go poorly, however, I may become self-conscious about how well I meet the demands of my project as a teacher. When the focus of my attention shifts from my project to my failures, the time of my project ceases to be my primary focus. Perhaps in this case I shift my focus to the passing nows or seconds of each increasingly long minute. If such a shift occurs, Heidegger might claim that I shift from the mode of world-time to the mode of ordinary-time, the time understood as a measurable succession of nows, seconds, minutes, etc.

This time that measures successive nows, Heidegger deems ordinary-time, which depends upon world-time. Heidegger distinguishes the two by pointing out that the significance which colors world-time goes missing in the view of ordinary time and time appears no longer as the span of my project but the mere succession of punctual, atomistic nows (the Newtonian scientific view of time as an empty container or place holder). When the time-span of practical reckoning with the world ceases for Dasein, ordinary-time emerges (BT§ 80; Blattner 1999). The above example does not quite get Heidegger exactly right, however, for in it I remain interested in human concerns (except that now I am worried about them). What the example does convey is the shift in understanding time from a mode of time as an extended reckoning with the world laden with significance to a mode of time considered as a purely abstract marching of moments, a view of time most accurately associated with the mathematical and scientific view of time (but not to the mathematician or scientist working with this view of time).

All of these distinctions between world- and ordinary-time are meant to elaborate Heidegger’s view that as a series of projects Dasein is no mere entity in the world but a temporal structure peculiar to its kind of being-in-the-world that makes manifest world- and ordinary-time. For Heidegger, the now denotes a mode of Dasein’s manner of being that discloses the appearance of the world to us, i.e., Dasein’s way of being-in-the-world. As a series of projects, Dasein in its originary temporality is characterized by a tripartite mode of transcendence or process (albeit a non-sequential process, since Heidegger has distanced himself from the ordinary view of time). First, as transcendence, as that which goes from itself and to which the world comes, Dasein has a futural moment. Second, as transcendence, as that which manifests itself non-objectively while reckoning with that which stands before it, Dasein has a present moment as the place wherein the world appears to, or manifests itself to, that which cares about it. And, third, as transcendence, as that to which the world comes, Dasein has a past moment because that which comes and manifests itself comes and manifests itself to one who always already is there (Heidegger 1927; Richardson 1967). As transcendence, as temporality, Heidegger describes Dasein as “ecstatic,” where ecstatic means to stand out (Sokolowski 2000). As the kind of being that is always outside itself without leaving itself behind, Dasein is a process of separating and consolidating itself (Sokolowski 1974). Outside of itself in the future, Dasein projects itself and reckons with that about which it cares; outside of itself in the present, Dasein makes manifest or present the appearance of that to which it goes out in its interest and according to its projects; outside of itself in the past, Dasein drags along that which it has been, its life, which, in turn, colors its present experiences and future projects.

This union of past, present and future as modes of originary-time in Dasein’s being-in-the-world renders Dasein authentic—one with itself or its own—because the projection into the future makes the present and the past part of Dasein’s project—its essence is its existence. However, insofar as I assume a project or life-orientation passively and without realizing myself as responsible for that project, argues Heidegger, I live inauthentically. And this is because I am engaged in the world without a full understanding of myself within the world. Put differently, rather than consciously make myself who I am through my choices, I passively assume a role within society—hence the temptation to label Heidegger an existentialist, a label the he himself rejected.

Many rhetorical differences exist between how Husserl and Heidegger execute the phenomenological method, particularly the phenomenology of temporality. Despite these differences, Heidegger begins his inquiry into Dasein’s temporality much like Husserl began his consideration of absolute, time-constituting consciousness. Just as Husserl established that neither the now nor the consciousness of the now is itself a part of time, Heidegger begins his account of Dasein’s originary temporality with the observation that neither the now nor Dasein is itself a part of time (BT § 62). As Heidegger puts it, as always already being-in-the-world, Dasein’s temporality is neither before nor after nor already in terms of the way common sense understands time as a sequence of discrete, empty nows (BT § 65). Hence, Heidegger translates Husserl’s account of the levels of time into an account of Dasein’s originary temporality. Moreover, Heidegger and Husserl seemingly end on the same note, for Husserl describes the living-present as a non-objectivating transcendence, an intentional being that transcends itself toward the world, and this description equally characterizes Heidegger’s more practically oriented discussion of Dasein’s originary-temporality. Like Husserl’s notion of the living-present, Heidegger’s theory of Dasein’s structure as originary temporality considers Dasein a mode of objectivating not itself objectified, the condition for the possibility of all awareness of objects at the levels of worldly- and ordinary-time (BT § 70).

Still, an important difference exists with respect to their phenomenologies of time and time-consciousness. First, despite the implicit levels of time, Heidegger employs the phenomenological reduction quite ambivalently and ambiguously. Second, Heidegger explicitly rejects the outcome of the phenomenological reduction as a privileged access to absolute time-constituting consciousness. Third, Heidegger quite unequivocally privileges the moment of the future in his account of Dasein’s originary temporality. By emphasizing Dasein’s being-in-the-world as manifest through its throwness in the world, and its care for the world as manifest through its projects, Heidegger’s focuses on Dasein’s futural character distinguishes his account from Husserl’s, for Husserl emphasized the moment of retention in the living-present almost to the exclusion of any remarks on protention, the anticipatory moment of the living-present. For these reasons, Heidegger considered his phenomenology radically different from Husserl’s. In particular, Heidegger thought Husserl’s overly cognitive account of how consciousness constitutes a unified temporal object across a succession of moments articulated only one of the many issues surrounding the temporality of Dasein, a merely scientific or cognitive account of how consciousness presents an object in the world to itself. Husserl’s restrictive phenomenology of time, Heidegger argues, overlooks the existential dimension of Dasein’s temporality, how Dasein reckons with the world at a tacit level rather than how it cognizes the world. And in particular, Heidegger thought philosophy could assess Dasein’s manner of reckoning with the world only by examining its futural moment as manifest in the projects that characterize Dasein’s mode of existence as the ongoing realization of its possibilities or construction of its essence.

3. Sartre and the Temporality of the “For-Itself”

Heidegger’s innovative contributions to the phenomenology of time did not go unnoticed by later phenomenologists. Both Sartre and Merelau-Ponty adopted Heidegger’s view of Dasein as being-in-the-world, an entity whose essence is its existence. The originality of Sartre’s phenomenology of time lies not in his reflections on time, which, as we shall see, return to some rather pedestrian claims. Rather, Sartre’s unique contribution to the phenomenology of time lies in his understanding of how consciousness, the “for-itself,” relates to the world, the “in-itself.” What in their discussions of this fundamental mode of transcendence Husserl labeled absolute time-constituting consciousness, and Heidegger Dasein, Sartre termed the “for-itself.” Given Husserl and Heidegger’s differing views of consciousness’ mode of intentionality and its fundamental self-transcending nature in its mode of temporality, Sartre’s theory presents an unlikely marriage of the two.

Fusing Heidegger’s view of being-in-the-world with what he considered was a greater fidelity to Husserl’s notion of intentionality, Sartre considered the being of the “for-itself” an ecstatic temporal structure characterized by a sheer transcendence or intentionality. In his earliest work, Transcendence of the Ego (1939), Sartre defines the “for-itself” by intentionality, i.e., the Husserlian claim that consciousness transcends itself (Sartre 1936). As self-transcending, Sartre further delimits the “for-itself” as a being-in-itself-in-the-world. The “for-itself” is a field of being always already engaged with the world, as Heidegger expressed Dasein as intentional and thrown. For Sartre, however, in its activity of engaging the world the “for-itself” reveals itself as nothing, a “no-thing,” or not-the-being-of-which-it-is-conscious. Sartre further qualifies the being of the “for-itself” that always already is engaged with the world as a non-positional consciousness (Sartre 1936). A non-positional consciousness always already engaged the world, Sartre contends, consciousness does not take a position on itself but on the world; hence, consciousness is non-positional. To evidence his point, Sartre maintains that I, when late for a meeting and running to catch the subway, do not primarily concern myself with myself but only have a consciousness of the subway to be caught (Sartre 1936). Rather than taking a position on myself as I pursue the subway, I implicitly carry myself along as I tarry explicitly with the world. For this reason, Sartre argues that absolute consciousness in Husserl’s sense of the living-present does not unify a temporal experience because the unity of consciousness itself is found in the object (Sartre 1936).

This Sartrean view that the experience unifies itself not only recalls Heidegger’s insistence that Dasein is a self-consolidating process, but also renders the notion of an absolute time-constituting consciousness superfluous, according to Sartre. Indeed, Sartre believed that a deep fidelity to Husserl’s theory of intentionality necessitated the abandonment of Husserl’s notion of absolute consciousness; hence, he dramatically declared that the Husserlian notion of an absolute consciousness would mean the death of consciousness (Sartre 1936). If one assumes, with Husserl, the notion of a living-present characterized by the moments of retention, primal impression and protention, Sartre argues, consciousness dies of asphyxiation, so to speak. A consciousness divided in this way, according to Sartre, amounts to a series of instantaneous and discrete moments that themselves require connection. Such an instantaneous series of consciousness amounts to a caricature of intentionality, in Sartre’s view, because this kind of consciousness cannot transcend itself; as Sartre expresses it, an internally divided consciousness will suffocate itself as it batters in vain against the window-pains of the present without shattering them (Sartre 1943).

Sartre’s critique of the living-present or absolute time-constituting consciousness seems rather questionable. Indeed, this image leaves one wondering whether or not Sartre derives this caricatured view of time-consciousness from a caricature of Husserl’s view of intentionality. Nevertheless, Sartre abandons Husserl’s notion of the tripartite structure of absolute time-constituting consciousness in favor of something like Heidegger’s notion of Dasein’s ecstatic temporality and its projects and possibilities. And yet Sartres’ adaptation of Heidegger’s notion of Dasein’s possibilities seems questionable as well. Recall that Dasein’s possibilities were not purely uninhibited, that Dasein did not simply choose its projects and possibilities from a position of total freedom because of its thrown condition and affective dispositions. Sartre’s theory of the “for-itself” seems to reject the kinds of limiting conditions entailed by Heidegger’s notion of thrownness. Indeed, Sartre’s melodramatic image of a consciousness with cabin fever implies that he cannot fully embrace any limiting factors on how the “for-itself” fashions its essence through its existence. For Sartre, the “for-itself” is radically free (Blattner 1999), and the result of Sartre’s reflections on the temporality of the “for-itself” is a rather pedestrian view of temporality.

Like Husserl and Heidegger, Sartre does not consider the past, present and future as moments of time considered as contents or containers for contents. Rather, each marks a mode in which the “for-itself” makes manifest itself and the world. But Sartre’s account neither surpasses nor achieves either the rigor of Husserl’s analyses or the descriptive quality of Heidegger’s. For Sartre, the past of the “for-itself” amounts to that which was but is no longer—similar to the view of the past itself, which Augustine rejected, as that which was but is no-longer. By mirror opposite, the future of the “for-itself” amounts to which it intends to be but is not yet—similar to the view of the future itself, which Augustine rejected, as that which will be but is not yet. And between the two, the present of the “for-itself” is that which it is not, for its being is characterized as being-not-the-thing-of-which-it-is-conscious—similar to the view of the present, which Augustine rejected, as the thin, ephemeral slice of the now.

4. Merleau-Ponty and the Phenomenology of Ambiguity: The Subject as Time

Whether Husserl’s, Heidegger’s or Sartre’s account, for phenomenology we cannot separate the issue of time from the issue of subjectivity’s structure. And Merleau-Ponty’s discussion of temporality in Phenomenology of Perception (1945) is no exception. It is, however, the most exceptional case of the intertwining of these issues. Developing Heidegger’s notion of Dasein as being-in-the-world, Merleau-Ponty emphasizes the being of Dasein as its bodily comportment and declares the body an essentially intentional part of the subject. Since Merleau-Ponty wants to make the body itself intentional, it is no surprise that he intertwines time and the subject, (in)famously remarking that “we must understand time as the subject and the subject as time” (Merleau-Ponty 1945).

To situate Merleau-Ponty’s account in this trajectory of phenomenological theories of time, it is useful to bear in mind that his account amounts to an innovative synthesis of Husserl and Heidegger’s understandings of time. Though the same can and has been said of Sartre’s account, Merleau-Ponty’s synthesis of Husserl and Heidegger differs from Sartre’s on three important scores. First, Merleau-Ponty rejects the dualistic ontology of the "for-itself" and the "in-itself" that led Sartre to rashly criticize Husserl's notion of absolute consciousness and superficially adopt Heidegger's phenomenological account of Dasein's temporality as manifest in its projects and possibilities." Second, Merleau-Ponty will not adopt Heidegger’s notion of Dasein’s temporality as an alternative to some purported shortcoming of Husserl’s account of the mode of intentionality unique to absolute time-constituting consciousness. Rather, third, more sensitive to the subtleties of Husserl’s theory of absolute time-constituting consciousness in the living-present than even Heidegger, Merleau-Ponty proposes to think the “unthought” of Husserl’s account of time through an intensified version of Heidegger’s account of the self’s inseparability from time.

From the outset, the “Temporality” chapter of his Phenomenology of Perception explicitly links time to the problem of subjectivity, noting that the analysis of time cannot follow a “pre-established conception of subjectivity” (Merleau-Ponty 1945). On the one hand, Merleau-Ponty rejects the traditional idealist conception of subjectivity in favor of an account of subjectivity in “its concrete structure;” on the other hand, since we must seek subjectivity “at the intersections of its dimensions,” which intersections concern “time itself and … its internal dialectic,” Merleau-Ponty rejects the realistic conception of subjectivity’s states as Nacheinander, i.e., successive, punctual, atomistic instants that lack intersection (Merleau-Ponty 1945). Hence, our understanding of Merleau-Ponty’s account of temporality and subjectivity’s temporality should follow the “triadic” structure of the Phenomenology: reject realism and idealism to demonstrate the merits of phenomenology (Sallis 1971).

The intellectualist account of time as (in) the subject fails because it extracts the subject from time and reduces time to consciousness’ quasi-eternity. The realist account of the subject as (in) time fails because it reduces the subject to a perpetually new present without unity to its flow. Both failures force upon the philosopher the realization that she can resolve the problem of time and subjectivity only by forfeiting the commitment to a “notion of time … as an object of our knowledge.” If we no longer can consider time “an object of our knowledge,” we must consider it a “dimension of our being” (Merleau-Ponty 1945). Hence, an account of subjectivity’s temporality—of time as a dimension of our being—necessarily entails the development of a model of bodily consciousness’ pre-reflective, non-objectifying awareness beyond the “pre-established conception of subjectivity” that takes time as an object of our knowledge.

This means not that (1) “time is for someone” but that (2) “time is someone” (Merleau-Ponty 1945). Phenomenologists and commentators alike often attribute (1) to Husserl and (2) to Heidegger. This should not surprise us given that Heidegger himself seemed to ascribe (2) to himself and his examination of Dasein’s lived-temporality in opposition to (1) Husserl’s account of how consciousness synthesizes an object across time. Often one of Husserl’s most sympathetic and accurate commentators (in Phenomenology of Perception, at least) Merleau-Ponty suggests that Husserl’s theory of absolute time-constituting consciousness in the living-present with its tripartite intentional structure provided an account of how (2) made time appear for reflection as (1). In short, Merleau-Ponty understood better than Heidegger that Husserl’s theory of the living-present articulated a theory of lived-time. What remained unthought by Husserl according to Merleau-Ponty was the inseparability of time and the subject in the theory of the living-present. Hence, an ambiguity intentionally pervades the account of time provided in Phenomenology of Perception.

This ambiguity at hand in Phenomenology of Perception stems from Merleau-Ponty’s honest admission that one never can fully execute the phenomenological reduction: “the most important lesson the reduction teaches us is the impossibility of a complete reduction” (Merleau-Ponty 1945). Merleau-Ponty does not advocate discarding the reduction, however, as Heidegger somewhat equivocally did. Rather, he aims to explain that Husserl merely meant the reduction as a critical device that ensured phenomenologists would retain the stance of presuppositionlessness, the stance of a perpetual beginner. The motivation for Merleau-Ponty’s reading of Husserl’s phenomenological reduction is the fact that philosophical reflection always depends upon a pre-reflective lived experience, a lived experience that always occurs in the temporal flux of bodily consciousness. Under the influence of Heidegger’s theory of Dasein’s being-in-the-world, Merleau-Ponty fashions his starting point in the exploration of time as an attempt to provide an account of the structures of pre-reflective consciousness that make reflection possible. And much like Heidegger, who sought to articulate the pre-predicative element of lived experience, Merleau-Ponty believed that these structures of pre-reflective consciousness reveal themselves as primarily temporal. (For his part, Merleau-Ponty will refer to this pre-reflective consciousness as the “tacit cogito,” his expression for the non-objectivating, pre-reflective consciousness articulated throughout the phenomenologists we have considered in this entry.) Hence, one could argue, despite the watershed reflections Merleau-Ponty provides on embodiment, time proves the most fundamental investigation of Phenomenology of Perception (Sallis 1971).

Since phenomenology’s task includes providing an account of the pre-reflective’, lived experience that makes possible reflection, Merleau-Ponty turns to the structure of time as an exemplar of that which makes explicit the implicit. For Merleau-Ponty, time provides a model that sheds light on the structure of subjectivity because “temporal dimensions … bear each other out and ever confine themselves to making explicit what was implied in each, being collectively expressive of that one single explosion or thrust that is subjectivity itself” (Merleau-Ponty 1945). Since to make explicit that which is implied in each moment means to transcend, to go beyond, one could say that Merleau-Ponty’s paradoxical expression means that time and the subject share the same structure of transcendence. That time is the subject and the subject is time means that the subject exists in a world that always outstrips her yet remains a world lived through by the subject (Sallis 1971). To clarify this structure, Merleau-Ponty invokes “with Husserl the ‘passive synthesis’ of time,” for the passive and non-objectivating characteristic of time’s structure in (what Husserl called) the living-present marks the archetype of the self’s structure, its transcendence that makes possible self- and object-manifestation. The Husserlian notion of double-intentionality thus pervades Merleau-Ponty’s account (Merleau-Ponty 1945).

That the matter of a passive and non-objectivating synthesis takes Merleau-Ponty to a consideration of the structure of absolute time-constituting consciousness’ double-intentionality—its transcendence and self-manifestation—as the structure of time we know to be the case for two reasons. First, Merleau-Ponty tells us, “in order to become explicitly what it is implicitly, that is, consciousness, [the self] needs to unfold itself into multiplicity;” second, in addition to the distinction just implied between non-objectivating and objectivating awareness, i.e., pre-reflective’ and reflective consciousness, Merleau-Ponty elaborates this manner of unfolding by claiming that “what we [mean] by passive synthesis [is] that we make our way into multiplicity, but that we do not synthesize it” as intellectualist accounts of time such as Augustine’s suggest. A synthesis of the multiplicity of time’s moments and the moments of the self must be avoided because it would require a constituting consciousness that stands outside time, and “we shall never manage to understand how a … constituting subject is able to posit or become aware of itself in time.” To avoid this error of separating consciousness from that of which it is aware, Merleau-Ponty appeals to Husserl’s theory of the living-present’s absolute flow, a “[consciousness that] is the very action of temporalization—of flux, as Husserl has it—a self anticipatory … flow which never leaves itself” (Merleau-Ponty 1945).

Merleau-Ponty seemingly provides an existential-phenomenological account of Husserl’s theory of absolute time-constituting consciousness’ double-intentionality. Nevertheless, he adopts Husserl’s theory according to his characteristic philosophy of ambiguity. Indeed, Merleau-Ponty insists that “it is of the essence of time to be not only actual time, or time which flows, but also time which is aware of itself … the archetype of the relationship of self to self” (Merleau-Ponty 1945). Ultimately with such remarks Merleau-Ponty was on the verge of bringing phenomenology toward a theory of ontology, which theory emerged in earnest in his later work, The Visible and the Invisible (1961). In that work, Merleau-Ponty expressly rejects his Phenomenology of Perception for having retained the Husserlian philosophy of consciousness. And this move from phenomenology to ontology manifests itself in some of his most provocative observations about time. To say that he moves from phenomenology to ontology is to say that he rejects any privileging of the subject or consciousness as constituting time either as a perceptual object or through a lived experience. As he puts it in the working notes of his The Visible and the Invisible, “it is indeed the past that adheres to the present and not the consciousness of the past that adheres to the consciousness of the present” (Merleau-Ponty 1961). Time now is characterized as an ontologically independent entity and not a construct disclosed by consciousness. It is the essence of time to be time that is aware of itself, to be sure. But this time is no longer an archetype of the self’s non-objectivating self-awareness. Rather, time constitutes the subject according to Merleau-Ponty, who puts to rest the phenomenological notion of absolute time-constituting consciousness, arguably Husserl’s most important discovery.


5. References and Further Reading


a. Primary Sources

Augustine, A. Confessions. Trans. F. J. Sheed. Indianapolis: Hackett Publishing Co, 1999.

Derrida, J. Speech and Phenomena. Trans. D. Allison. Evanston: Northwestern University Press, 1973.

Heidegger, M. Sein und Zeit. Tübingen: Max Niemeyer, 1986; Being and Time. Trans. J. Macquarrie and E. Robinson. New York: Harper and Row, Publishers Inc, 1963.

Heidegger, M. Gesamtausgabe Band 20: Prolegomena zur Geschichte des Zeitbefriffs. Frankfut am Main: Vittorio Klosterman, 1979; The History of the Concept of Time Trans. T. Kisiel. Bloomington: Indian University Press, 1985.

Husserl, E. Zur Phänomenologie des inneren Zeitbewußtseins (1983-1917). Ed. R. Boehm. The Hague: Martinus Nijhoff, 1966; On the Phenomenology of the Consciousness of Internal Time (1983-1917). Trans. J. Brough. Dordrecht: Kluwer Academic Publishers, 1991.

Husserl, E. Analysen zur passiven Synthesis. Aus Vorlessungs- und Forschungsmauskripten (1918-1926). Ed. M. Fleisher. The Hague: Martinus Nijhoff, 1966; Analyses Concerning Passive and Active Synthesis: Lectures on Transcendental Logic. Trans. A. Steinbock. Dordrecht: Kluwer Academic Publishers, 2001. Husserl, E. Phatasie, Bildbewußtseins, Erinnerung. Ed. E. Marbach. Dordrecht: Kluwer Academic Publishers, 1980; Fantasy, Image-Consciousness, Memory. Trans. J. Brough. Dordrecht: Springer, 2005.

Husserl, E. Aktive Synthesen: Aus der Vorlesung ‘Transzendental Logik’ 1920-21. Ergäzungsband zu ‘Analysen sur passiven Synthesis.’ Ed. R. Breur. Dordrecht: Kluwer Academic Publishers, 2000; Analyses Concerning Passive and Active Synthesis: Lectures on Transcendental Logic. Trans. A. Steinbock. Dordrecht: Kluwer Academic Publishers, 2001.

Husserl, E. Die ‘Bernaur Manuskripte’ über das Zeitbewußtseins 1917/18. Ed. R. Bernet and D. Lohmar. Dordrecht: Kluwer Academic Publishers, 2001.

Locke, J. An Essay Concerning Human Understanding. New York: Oxford University Press, 1990.

Merleau-Ponty, M. Phenomenology of Perception. Trans. C. Smith. New York: Routledge & Keegan Paul Ltd, 1962.

Merleau-Ponty, M. The Visible and the Invisible. Trans. A. Lingis. Evanston: Northwestern University Press, 1969.

Sartre, J. P. Transcendence of the Ego. Trans. F. Williams and R. Kirkpatrick. New York: Farrar, Straus and Giroux, 1957.

Sartre, J. P. Being and Nothingness. Trans. H. Barnes. New York: Philosophical Library, 1956.

b. Secondary Sources

Blattner, W. Heidegger’s Temporal Idealism. New York: Cambridge University Press, 1999.

Brough, J. B. “The Emergence of Absolute Consciousness in Husserl’s Early Writings on Time-Consciousness.” Man and World (1972).

Brough, J. B. “Translator’s Introduction.” In E. Husserl, On the Phenomenology of the Consciousness of Internal Time (1893-1917). Trans. by J. Brough. Dordrecht: Kluwer Academic Publishers, 1991.

Brough, J. B. “Husserl and the Deconstruction of Time,” Review of Metaphysics 46 (March 1993): 503-536.

Brough, J. B. “Time and the One and the Many (In Husserl’s Bernaur Manuscripts on Time Consciousness),” Philosophy Today 46:5 (2002): 14-153.

Dalhstrom, D. “Heidegger’s Critique of Husserl.” In Reading Heidegger from the Start: Essays in His Earliest Thought. Edited by T. Kisiel and J. van Buren. Albany: State University of New York Press, 1994.

de Warren, N. The Promise of Time. New York: Cambridge University Press, forthcoming.

Evans, J. C. “The Myth of Absolute Consciousness.” In Crises in Continental Philosophy. Edited by A Dallery, et. al. Albany: State University of New York Press, 1990.

Held, K. Lebendige Gegenwart. The Hague: Martinus Nijhoff, 1966.

Kelly, M. “On the Mind’s ‘Pronouncement’ of Time: Aristotle, Augustine and Husserl on Time-consciousness. Proceedings of the American Catholic Philosophical Association, 2005.

Macann, Christopher. Presence and Coincidence. Dordrecht: Kluwer Academic Publishers, 1991.

Richardson, W. Heidegger: Through Phenomenology to Thought. The Hague: Martinus Nijhoff, 1967.

Sallis, J. “Time, Subjectivity and the Phenomenology of Perception.” The Modern Schoolman XLVIII (May 1971): 343-357.

Sokolowski, R. Husserlian Meditations. Evanston: Northwestern University Press, 1974.

Sokolowski, R. Introduction to Phenomenology. New York: Cambridge University Press, 2000.

Wood, D. The Deconstruction of Time. Atlantic Highlands: Humanities Press International, 1989.

Zahavi, D. Self-awareness and Alterity: A Phenomenological Investigation. Evanston: Northwestern University Press, 1999.

Zahavi, D. Husserl’s Phenomenology. Palo Alto: Stanford University Press, 2003.