Action, Intersubjectivity and Narrative Identity: Essays on Critical Hermeneutics 1527540456, 9781527540453


184 66 989KB

English Pages [201] Year 2019

Report DMCA / Copyright

DOWNLOAD PDF FILE

Table of contents :
Contents
Introduction
Part I
Chapter 1
Chapter 2
Chapter 3
Chapter 4
Chapter 5
Part II
Chapter 6
Chapter 7
Chapter 8
Part III
Chapter 9
Chapter 10
Chapter 11
Chapter 12
References
Recommend Papers

Action, Intersubjectivity and Narrative Identity: Essays on Critical Hermeneutics
 1527540456, 9781527540453

  • 0 0 0
  • Like this paper and download? You can publish your own PDF file online for free in a few minutes! Sign Up
File loading please wait...
Citation preview

Action, Intersubjectivity and Narrative Identity



Action, Intersubjectivity and Narrative Identity: Essays on Critical Hermeneutics By

Vinicio Busacchi

Action, Intersubjectivity and Narrative Identity: Essays on Critical Hermeneutics By Vinicio Busacchi This book first published 2019 Cambridge Scholars Publishing Lady Stephenson Library, Newcastle upon Tyne, NE6 2PA, UK British Library Cataloguing in Publication Data A catalogue record for this book is available from the British Library Copyright © 2019 by Vinicio Busacchi All rights for this book reserved. No part of this book may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, without the prior permission of the copyright owner. ISBN (10): 1-5275-4045-6 ISBN (13): 978-1-5275-4045-3

&217(176    ,QWURGXFWLRQ  3DUW,0HWKRGRORJ\  &KDSWHU 7KH5LFRHXULDQ:D\7RZDUGVD&ULWLFDO+HUPHQHXWLFVIRUWKH+XPDQ DQG6RFLDO6FLHQFHV 3UHDPEOH :KDWLV&ULWLFDO+HUPHQHXWLFV" %HWZHHQ+HUPHQHXWLFVDQG&ULWLTXHRI,GHRORJ\ 3DXO5LFRHXU¶V3KLORVRSK\DVDQ,QWHUGLVFLSOLQDU\3URFHGXUH &RQFOXVLRQ  &KDSWHU 7H[WXDOLW\DVD3DUDGLJPIRU+HUPHQHXWLFV ,QWURGXFWLRQ $URXQG&ULWLFDO+HUPHQHXWLFV $URXQGWKH3DUDGLJPRIWKH7H[W &RQFOXVLRQ  &KDSWHU +HUPHQHXWLFV³5HORDGHG´)URP6FLHQFH3KLORVRSK\'LFKRWRP\ WR&ULWLFDO+HUPHQHXWLFV ,QWURGXFWLRQ+HUPHQHXWLFV¶3HUVLVWHQW/HJLWLPDF\DQG,WV 3DUDGR[HV +HUPHQHXWLFV«@ :H PD\ FKDUDFWHULVH $SHO DQG +DEHUPDV¶ FULWLFDO KHUPHQHXWLFV WKURXJK WKH IXQGDPHQWDO FKDUDFWHULVWLFV ZKLFK FRQVWLWXWH WKH HVVHQFH RI LWV GHWDFKPHQW IURP *DGDPHU DQG RQWRORJLFDOKHUPHQHXWLFV %D\yQ 

(IIHFWLYHO\ LW LV SRVVLEOH WR FRQVLGHU FULWLFDO KHUPHQHXWLFV DV WR EH DQ H[WHQVLYH DUWLFXODWLRQ RI RQWRORJLFDO KHUPHQHXWLFV EXW LQ WKLV ZD\ LWV WKHRUHWLFDO SRWHQWLDO WR EH JHQHUDOLVHG DV DXQLYHUVDOSURFHGXUH DQG DV DQ HSLVWHPRORJ\ LV FRQGHPQHG WR ORVH LWV VWUHQJWK PHDQLQJ DQG YDOXH )XUWKHUPRUHLWV³JHQHVLV´LVPRUHFORVHO\FRQQHFWHGWRTXDUUHOVRYHUWKH PHWKRGVRIWKHVRFLDOVFLHQFHVWKDQRYHUSKLORVRSKLFDOVSHFXODWLRQDV-RKQ %URRNVKLUH7KRPSVRQ¶VCritical Hermeneutics: A Study in the Thought of Paul Ricoeur and Jürgen Habermas  VKRZV7KURXJKDFRPSDUDWLYH DSSURDFK WR :LWWJHQVWHLQ 5LFRHXU DQG +DEHUPDV 7KRPSVRQ QRW RQO\ UHYHDOV WKH XQGHUO\LQJ VWUXFWXUDO GLIILFXOWLHV RI WKH FRQFHSWXDOLVDWLRQ RI DFWLRQRILQWHUSUHWDWLRQDVPHWKRGRORJ\ IRUWKHVRFLDOVFLHQFHV DQGRID WKHRULVDWLRQRIUHIHUHQFHDQGWUXWK ZKLFKDUHVRPHRIWKHFULWLFDODVSHFWV RI:LWWJHQVWHLQ5LFRHXUDQG+DEHUPDV¶SKLORVRSKLHVUHVSHFWLYHO\ EXWLQ VHHNLQJWRGLIIHUHQWLDWHFRQVLGHUDWLRQVRIZKDWPXVWEHDSURFHGXUDODQGDQ HSLVWHPLF VWUXFWXUH LQ WKH QDWXUDO VFLHQFHV DQG LQ VRFLDO VFLHQFHV DQG LQ SXUVXLQJDVSHFLILFSURFHGXUDOPRGHOIRUWKHVRFLDOVFLHQFHVKHSURSRVHVD FULWLFDOOLQJXLVWLF KHUPHQHXWLFDO UHUHDGLQJ DQG UHDGGUHVVLQJ RI WKUHH SKLORVRSKHUV¶ WKHRULHV DQG WKHLU UHVSHFWLYH SUREOHPV DQG VROXWLRQV

7KH5LFRHXULDQ:D\



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«@ :KHUHDV RUGLQDU\ ODQJXDJH SKLORVRSKHUV WHQG WR WUHDW WKLV ILHOG DV WKH XOWLPDWH JURXQG RI LQTXLU\ERWK5LFRHXUDQG+DEHUPDVYLHZLWDVDUHJLRQWKURXJKZKLFKLQ WKHHQGLWPXVWVXUSDVV 7KRPSVRQ  

%D\yQ¶VYLHZDQGWKHRUHWLFDODSSURDFKLVGLIIHUHQWHSLVWHPRORJLFDOO\LWLV ZHDNHUWKDQ7KRPSVRQ¶V%XWWKLVSHUVSHFWLYHRIIHUVKHOSLQUHFRQVWUXFWLQJ DQG XQGHUVWDQGLQJ 5LFRHXU¶V DWWHPSW WR SURILOH D FULWLFDO KHUPHQHXWLFV LQ GLDOHFWLF EHWZHHQ *DGDPHU¶V KHUPHQHXWLFV RI WUDGLWLRQ DQG +DEHUPDV¶ FULWLTXHRILGHRORJ\,QIDFWKHXVHVPRUHWKDQDQ\RWKHUV5LFRHXU¶VHVVD\ ³+HUPpQHXWLTXH HW FULWLTXH GHV LGpRORJLHV´  UHSXEOLVKHG LQ From Text to Action   8QIRUWXQDWHO\ DQG XQUHDVRQDEO\ WKLV FHQWUDO SDVVDJH RI 5LFRHXU¶V GLVFRXUVH RQ FULWLFDO KHUPHQHXWLFV KDV EHHQ XQGHUHVWLPDWHG RU HYHQ GLVUHJDUGHG $V 'DYLG 0 .DSODQ ZULWHV LQ KLV UHPDUNDEOH VWXG\ RQ Ricoeur’s Critical Theory   ³WKH FULWLFDO GLPHQVLRQ LQ 5LFRHXU¶V ZRUNV KDV EHHQ JHQHUDOO\ RYHUORRNHG LQ WKH VHFRQGDU\OLWHUDWXUH9HU\OLWWOHDWWHQWLRQKDVEHHQJLYHQWRKLVFRQFHSWLRQ RI WKH UHODWLRQVKLS EHWZHHQ KHUPHQHXWLFV DQG FULWLFDO WKHRU\ KLV WKHRULHV RILGHRORJ\DQGXWRSLDDQGWKHQRUPDWLYHEDVLVIRUDFULWLTXHRIVRFLHW\´ .DSODQ 

%HWZHHQ+HUPHQHXWLFVDQG&ULWLTXHRI,GHRORJ\ $OWKRXJK5LFRHXUGLGQRWWDNHSDUWLQWKHWHQVHGHEDWHEHWZHHQ*DGDPHU DQG +DEHUPDV FROOHFWHG LQ Hermeneutik und Ideologiekritik   QHLWKHU GLG KH IROORZ LW DV D GLVWDQW REVHUYHU +LV ³+HUPpQHXWLTXH HW FULWLTXH GHV LGHRORJLHV´ GHPRQVWUDWHV KLV DFWLYH LQWHUHVW LQ LW DQG KLV LQWHQWLRQWRFDUHIXOO\FKHFNWKHYDULRXVSRVLWLRQVDQGDUJXPHQWVLQRUGHUWR ILQGDSRVLWLRQRIV\QWKHVLVDQGPHGLDWLRQ7KLVPLGGOHZD\DQJOHGWKHRU\ LV SUHFLVHO\ KRZ 5LFRHXU FRQFHLYHV RI ³FULWLFDO KHUPHQHXWLFV´ D WKHRU\ WKDW LV LQWHQGHG WR PHGLDWH EHWZHHQ LQWHUSUHWDWLYH ZRUN SRODULVHG RQ WUDGLWLRQ KLVWRULFLW\ DQG DXWKRULW\  DQG FULWLFDO ZRUN SRODULVHG RQ DQWL



&KDSWHU

LGHRORJLFDO LVVXHV  &HUWDLQO\ 5LFRHXU ILQGV LQ *DGDPHU DQG +DEHUPDV¶ GLDOHFWLFDO H[FKDQJH VRPH LPSRUWDQW HOHPHQWV IURP ZKLFK WR SURILOH D WKLUGKHUPHQHXWLFDOZD\ZKLFKZLOOQRWVLPSO\EHD³PLGGOHZD\´EXWZLOO FRQVWLWXWH D WKLUG  GLDOHFWLFDO ³EULGJH´ ,Q IDFW *DGDPHU DQG +DEHUPDV¶ GHEDWHXQGHUZHQWDQHYROXWLRQDV*DGDPHUUHYHDOVLQKLVDGGHQGXPWRWKH HGLWLRQRITruth and MethodXQGHUVFRULQJZKDWZDVFRQWHPSRUDU\ KHUPHQHXWLFV¶ methodological HYROXWLRQ 7KH UHIHUHQFH WRKLV GLVSXWDWLRQ ZLWK +DEHUPDV LV FOHDU DV LV WKH LPSDFW RI WKLV GLDORJXH RQ +DEHUPDV¶ UHVHDUFKDURXQGWKHORJLFRIWKHVRFLDOVFLHQFHV,I*DGDPHU¶VZRUNLQWKH VL[WLHV PDUNHG DQ LPSRUWDQW WXUQLQJ SRLQW IRU 5LFRHXU¶V SUDFWLFH RI SKLORVRSK\ DV D UHIOH[LYH SKHQRPHQRORJ\ EXW DIWHU *DGDPHU DV D UHIOH[LYHSKHQRPHQRORJLFDO KHUPHQHXWLFV  WKHQ +DEHUPDV¶ DFKLHYHPHQW RIDcriticalphilosophyDVDQDOWHUQDWLYHWRWKH)UDQNIXUW6FKRRO¶Vcritical theory, IXUWKHULPSDFWHG5LFRHXU,QUHDOLW\DQDUURZFRUUHVSRQGHQFHFDQ EH IRXQG EHWZHHQ 5LFRHXU¶V XVH RI SV\FKRDQDO\VLV DV D SURGXFWLYH H[DPSOH IRU WKH KXPDQLWLHV DV D GLVFLSOLQH ZLWK D ELIDFLDO HSLVWHPRORJ\ ZLWK D UHJLVWHU RI IRUFH DQG D UHJLVWHU RI PHDQLQJ  DQG +DEHUPDV¶ PRGHOOLQJRI FULWLFDO SKLORVRSK\ DV DQ HPDQFLSDWRU\ FULWLFDO SURFHGXUH WR ZRUNDWDSHUVRQDODQGVRFLDOOHYHODVSV\FKRDQDO\VLVGRHVDWWKHOHYHORI SV\FKRORJLFDO WKHUDS\ :LWKRXW WKH *DGDPHU+DEHUPDV GHEDWH RI WKH VHYHQWLHV LW ZRXOG EH GLIILFXOW WR XQGHUVWDQG 5LFRHXU¶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explanation DQG understanding 7KLV PRGHO LV SUHFLVHO\ LPSOHPHQWHG LQ KLV FULWLFDO KHUPHQHXWLFV ZKLFK FRPSULVH QRW RQO\ D SKLORVRSKLFDO ZKROH EXW DOVR DQ DQDO\WLFDO LQWHUSUHWDWLYHSURFHGXUH *DGDPHU¶V UHDFWXDOLVDWLRQ RI WKH FRQFHSW RI ³DXWKRULW\´ DQG ³WUDGLWLRQ´ FRQVWLWXWHV KLV UHDFWLRQ WR WKH XQLODWHUDO XQLYHUVDOLVWLF FHQWUDOLVDWLRQ RI ³REMHFWLYLW\´ DV D SDUDGLJPDWLF WHUP IRU DOO WKH VFLHQFHV DV SRVLWLYLVP WDXJKW1RWRQO\GRHVWKLVSHUVSHFWLYHGHQ\WKHUROHRIKLVWRULFLW\ZKLFKLV FHQWUDOLQWKHKXPDQLWLHV VLQFHKLVWRULFLW\LVWKHFRQVWLWXWLYHFKDUDFWHULVWLF RIWKHKXPDQEHLQJ EXWLWDOVRIDLOVWRUHFRJQLVHWKDWWUDGLWLRQDVZHOODV SUHMXGLFHRIIHUVDSRVVLEOHZD\RINQRZOHGJH8QLODWHUDOO\LWGHQLHVDQ\

7KH5LFRHXULDQ:D\



DUWLFXODWLRQ DQG GLIIHUHQWLDWLRQ RI WKH VFLHQFHV RQO\ QDWXUDO VFLHQFHV VKRXOGEHFRQVLGHUHGVFLHQFHV +DEHUPDVWRRGHYHORSVKLVFULWLFDOWKHRU\ E\ WDUJHWLQJ SRVLWLYLVP 7KLV EHFRPHV FOHDU LQ KLV ZRUN Knowledge and Interest   %XW LQ IDFW WKLV ERRN ZDV UHDOLVHG DIWHU D GHFDGH RI UHVHDUFK DQG GLVSXWH DURXQG DQG DJDLQVW WKH SRVLWLYLVW DSSURDFK WR VRFLRORJ\ +DEHUPDV KDV EHHQ RQH RI WKH SURWDJRQLVWV RI WKH Positivismusstreit,QDFRQIHUHQFHLQ7XELQJKHUHSUHVHQWHG±DORQJ ZLWK 7KHRGRU : $GRUQR ± WKH )UDQNIXUW 6FKRRO¶V SHUVSHFWLYH RQ WKH VRFLDOVFLHQFHVRSSRVLQJWKHQHRSRVLWLYLVWSHUVSHFWLYHRI.DUO3RSSHUDQG +DQV $OEHUW VHH $GRUQR 3RSSHU HW DO   +H FRXQWHUSURSRVHG D FULWLFDO HSLVWHPRORJ\ ± FKDUDFWHULVHG DV dialectic DQG IRXQGHG RQ WKH FRQFHSW RI ³KXPDQ LQWHUHVW´ ± LQ RSSRVLWLRQ WR SRVLWLYLVW HSLVWHPRORJ\ GHILQHGDVanalytic$WWKHWLPHWKHFRQFHSWRIKXPDQLQWHUHVWZDVFHQWUDO LQ +DEHUPDV¶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³VFLHQFHV´ GR  DQG SURGXFWLYHO\ DV ³FULWLTXH´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¶ SURSRVDO IRU QRW DGYDQFLQJ D WKHRUHWLFDO ZD\ WKURXJK ZKLFK ZRXOG WUDQVSRVHH[SODQDWRU\DQGPHWDKHUPHQHXWLFVFKHPDIURPSV\FKRDQDO\VLV WR LGHRORJ\ ,W LV LPSRUWDQW WR XQGHUOLQH KHUH WKDW ERWK 5LFRHXU DQG +DEHUPDV DV ZHOO DV *DGDPHU  VKDUH D VLPLODU UHUHDGLQJ RI )UHXGLDQ SV\FKRDQDO\VLVDVD³GHSWKKHUPHQHXWLFV´,WLVIURPWKLVSRLQWRIYLHZWKDW



&KDSWHU

DOOSDUDOOHOLVPVDUHSRVVLEOHDQGWKHQWKDWVRPHKRZLWEHFRPHVSRVVLEOH WR H[HUFLVH )UHXG¶V WKHRU\ DV RQH RI GLVWRUWHG FRPPXQLFDWLRQ +DEHUPDV PD\ FRQQHFW SV\FKRSK\VLRORJLFDO GLVWRUWLRQ RI FRPPXQLFDWLRQ WR WKH LGHRORJLFDO DQG VRFLDO GLVWRUWLRQ RI FRPPXQLFDWLRQ YLD KHUPHQHXWLFV VR WRRPD\5LFRHXUFRQVLGHUVRPHWKHRUHWLFDODVSHFWVRIWKLVRSHUDWLRQVLQFH JHQHUDOO\KHUHFRJQLVHVDVFRUUHFW+DEHUPDV¶KHUPHQHXWLFDOWUDQVSRVLWLRQ RISV\FKRDQDO\VLV ,Q IDFW LQ Freud and Philosophy   5LFRHXU UHFRQVLGHUV )UHXGLDQ SV\FKRDQDO\VLV DV D KHUPHQHXWLFDO GLVFLSOLQH RU PRUH VSHFLILFDOO\ DV D GLVFLSOLQH WKDW KDV D VXEVWDQWLDO FRQQHFWLRQ ZLWK KHUPHQHXWLFV ,Q WKLV HVVD\ KH UHDGV SV\FKRDQDO\VLV DV DQ expérience-limite EHFDXVH RI WKH H[SOLFDWLYH IRUFH FRQQHFWHG WR WKH ³UHFRQVWUXFWLRQ´ RI WKH ³SULPLWLYH VFHQH´ ,Q RUGHU WR XQGHUVWDQG WKH cause RI D FHUWDLQ V\PSWRP LW LV QHFHVVDU\ WR H[SODLQ LWV reason DQG LW LV ZLWKLQ WKLV H[SODQDWRU\ SDVVDJH WKDWWKHPHWDSV\FKRORJLFDODSSDUDWXVHIIHFWLYHO\WDFNOHVWKHFRQGLWLRQVRI WKH SRVVLELOLW\ RI H[SOLFDWLRQ DQG UHFRQVWUXFWLRQ 5LFRHXU VHHPV FORVHU WR +DEHUPDV EHFDXVH KH VHHPV WR DFFHSW KLV UHUHDGLQJ RI WKH WKUHH SV\FKRDQDO\WLFDODSSDUDWXVHVRIHJRLGDQGVXSHUHJRDVFRQQHFWHGWRWKH FRPPXQLFDWLYH VSKHUH E\ WKH SURJUHVVLYH LQWHUPHGLDWLRQ RI GLDORJXH WKURXJKZKLFKQHXURVLVLVUHFRQGXFWHGWRWKHUHIOH[LYHVSKHUH +RZHYHU KH FRXQWHUSRVHV WR *DGDPHU DQG  +DEHUPDV¶ SHUVSHFWLYH WKH GLIIHUHQW HSLVWHPRORJLFDO SHUVSHFWLYHV RI D GLVFLSOLQH ZKLFK LV FRQVLGHUHG WR EH IRXQGHG ³HQHUJHWLFDOO\´ DQG ³KHUPHQHXWLFDOO\´ EHFDXVH SV\FKRDQDO\VLV ZRUNV ZLWK DQ H[SOLFDWLYH DQG D FRPSUHKHQVLYH UHJLVWHU  7KLV LV WKH FHQWUDO WKHVLV RI Freud and Philosophy DQG PDUNV D SHFXOLDU NH\ RI 5LFRHXU¶VLQWHUSUHWDWLRQRI)UHXG¶VSV\FKRDQDO\VLVDVDGHSWKKHUPHQHXWLFV 7KHRQO\PDMRUGLIIHUHQFHLVWKDWIRU5LFRHXUWKLVWKHVLVSOD\VWKHUROHRI DJHQHUDOLVHGPXOWLHSLVWHPRORJLFDOWKHRULVDWLRQDQGSUHVHQWVDSURFHGXUH WKDWFDQEHFRQVLGHUHGDJHQHUDOPRGHOIRUFULWLFDOSKLORVRSK\ LQFRQWUDVW WR+DEHUPDV DQGIRUWKHKXPDQDQGVRFLDOVFLHQFHV DJDLQLQFRQWUDVWWR +DEHUPDV 7KLVVRFDOOHG³WKHRU\RIWKHKHUPHQHXWLFDUF´IRUPVWKHFRUH RI5LFRHXU¶VFULWLFDOKHUPHQHXWLFVZKHUHWKHH[DPSOHRILWVIXQFWLRQLQJLV GLVFRYHUDEOH ZLWKLQ 5LFRHXU¶V SKLORVRSK\ LWVHOI LI FRQVLGHUHG LQ JHQHUDO WHUPV ZKLFK LV WR VD\ LQ WHUPV RI D JHQHUDO PRGHO RI DQDO\VLV DQG LQWHUSUHWDWLRQRIWKHGLDJQRVLVDQGH[HUFLVHRIFULWLFLVPRIWKHFRQVWUXFWLRQ RI VSHFXODWLRQV DQG WKHRULVDWLRQV DQG VR RQ 0RUH DQDO\WLFDOO\ EXW IROORZLQJ DQRWKHU ³ORJLF´ RI GLVFRXUVH 'DYLG .DSODQ UHVXPHV 5LFRHXU¶V UHODWLRQ ZLWK WKH KHUPHQHXWLFV RI WUDGLWLRQ DQG WKH LGHRORJ\ FULWLTXH UHVSHFWLYHO\ LQGLFDWLQJ IRXU FULWLFDO DVSHFWV IRU ERWK )RU .DSODQ *DGDPHU¶V KHUPHQHXWLFV   ³VXEVWLWXWH GLVFRXUVH IRU GLDORJXH DV WKH PRGHORIFRPPXQLFDWLYHXQGHUVWDQGLQJ´ .DSODQ   ³RYHUFRPH

7KH5LFRHXULDQ:D\



WKHGLFKRWRP\EHWZHHQH[SODQDWLRQDQGXQGHUVWDQGLQJLQRUGHUWRDFFRXQW IRURXUFDSDFLW\IRUFULWLFLVP´ Ibidem   FRQVLGHUWKDW³WKHZRUOGRIWKH WH[WWKHUHIHUHQWLDOGLPHQVLRQRSHQHGIRUWKHUHDGHUFRQWDLQVDSRWHQWLDOO\ VXEYHUVLYH  IRUFH LQ WKH LPDJLQDWLRQ´   DQG   FRQVLGHU WKDW ³D WKHPDWLF FRQQHFWLRQ H[LVWV EHWZHHQ WKH WUDQVIRUPDWLRQ RI VXEMHFWLYLW\ LQ LQWHUSUHWDWLRQ DQG WKH FULWLTXH RI IDOVH FRQVFLRXVQHVV´ Ibidem  :LWK UHJDUG WR +DEHUPDV¶ FULWLFDO WKHRU\ 5LFRHXU RIIHUV WKHVH VXEVHTXHQW UHPDUNV  ³WKH+DEHUPDVLDQWKHRU\RILQWHUHVWVIXQFWLRQOLNH+HLGHJJHULDQ H[LVWHQWLDOHV$VTXDVLWUDQVFHQGHQWDOFDWHJRULHVWKH\DUHQHLWKHUHPSLULFDOO\ MXVWLILDEOH QRU WKHRUHWLFDOO\ SRVLWHG´ Ibidem    ³WKH GLVWLQFWLRQ EHWZHHQ DQ LQWHUHVW LQ HPDQFLSDWLRQ WR WKH LQWHUHVW LQ FRPPXQLFDWLRQ LV LOOHJLWLPDWH´  ³WKHSUDFWLFDOWDVNRIWKHFULWLTXHRILGHRORJ\LVLGHQWLFDO WR WKH JRDO RI KHUPHQHXWLFV WR HQODUJH DQG UHVWRUH FRPPXQLFDWLRQ DQG VHOIXQGHUVWDQGLQJ´ Ibidem  DQG   ³QR DQWLQRP\ H[LVWV EHWZHHQ WKH SULRUFRQVHQVXVWRZKLFKZHEHORQJDQGDQDQWLFLSDWLRQRIIUHHGRPLQDQ LGHDO RI XQFRQVWUDLQHG FRPPXQLFDWLRQ RU EHWZHHQ DQ RQWRORJ\ RI XQGHUVWDQGLQJDQGDQeschatologyoffreedom´  

3DXO5LFRHXU¶V3KLORVRSK\DVDQ,QWHUGLVFLSOLQDU\ 3URFHGXUH :LWKRXWDGRXEW5LFRHXU¶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¶V ZRUNUKDSVRGLFDOVWURQJLQKLVUHIOH[LYHVSHFLILFDSSOLFDWLRQ\HWZHDNDV DFRPSUHKHQVLYHSKLORVRSK\DQGJHQHUDOPHWKRGRORJ\)RUWKHPWKHUHLV QR PHWKRGRORJ\ 5LFRHXU KLPVHOI UHFRJQLVHG WKH SURPLQHQFH RI IUDJPHQWDWLRQLQKLVHQWHUSULVHDVRSSRVHGWRV\QWKHVLVDQGXQLW\+HDOVR KDV XQGHUOLQHG KRZ WKH GLIIHUHQWLDWLRQ VSHFLDOLVDWLRQ DQG HQULFKPHQW RI GLVFLSOLQHV DQG NQRZOHGJH QRW RQO\ FRQVWLWXWHV D UHDO FKDOOHQJH IRU WKH KXPDQEHLQJEXWDFWXDOO\KDVFRQVLVWHQWO\WUDQVIRUPHGWKHSKLORVRSKLFDO ZRUN LQ LWV QDWXUH DQG DSSURDFK ,Q KLV Autobiographie intellectuelle KH



&KDSWHU

H[SOLFLWO\ GHFODUHV WKDW SKLORVRSK\ GLHV LI LW LQWHUUXSWV LWV PLOOHQQLDO GLDORJXH ZLWK WKH VFLHQFHV ZKHWKHU PDWKHPDWLFV WKH QDWXUDO VFLHQFHV RU KXPDQ VFLHQFHV VHH 5LFRHXU    ,Q RXU RZQ WLPHV D FRPSOHWH FRPSUHKHQVLYHV\QWKHVLVRIDOORIKXPDQNQRZOHGJHLVLPSRVVLEOHIRUMXVW RQH PDQ DV ZH UHDG LQ Freud and Philosophy 7KXV 5LFRHXU¶V LQWHUGLVFLSOLQDU\ ZRUN KLV VHQVH RI FROOHJLDOLW\ DQG KLV engagement LQ FRQVWDQW GLDORJXH PXVW EH LQWHUSUHWHG DV D FRKHUHQW DQG GHOLEHUDWH UHVSRQVHWRWKLVVWDWHRIWKLQJV7KHIUDJPHQWDWLRQRUHYHQ³H[SORVLRQ´RI KLV DUHD RI UHVHDUFK LV DQ LQHVFDSDEOH ³VWUXFWXUDO´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³FRPSUHKHQVLYHSKLORVRSK\´DQGWKDWKHLV³DJHQXLQHO\LQWHUGLVFLSOLQDU\ WKLQNHU>«@DOZD\VDGGUHVVLQJKLPVHOIDWWHQWLYHO\WRWKHTXHVWLRQLQKDQG ZLWK D FRXUWHRXV ULJRXU´ &ODUN    DQG WKDW ³KLV LV D UDWLRQDOLW\ JHQXLQHO\ LQFOXVLYH NLQHWLF LQ FRQVWDQW LQWHUQDO HYROXWLRQ WKH 6RFUDWLF LQKHULWDQFHLQLWVPRVWSRVLWLYHIRUP´   'XULQJ DQ LQWHUQDWLRQDO V\PSRVLXP LQ *UDQDGD LQ  KH FOHDUO\ GHVFULEHGWKHSUREOHPDWLFRIDVSHFXODWLYHRUVFLHQWLILFFRQVWUXFWLRQDVDQ REMHFWLYH LPSRVVLELOLW\ EHFDXVH RI RXU WLPHV ZKLFK KH FDOOV ³SRVW +HJHOLDQ´DQHUDRIQRQV\QWKHVLVZLWKRXWDV\VWHPRUDQHUDRI³EOHVVHG V\VWHPDWLFQHVV´ VHH5LFRHXU±  1RZ LW EHFRPHV SRVVLEOH DV ZHOO DV LQWHUHVWLQJ DQG XVHIXO WR FRQVLGHU ZKDW HOHPHQWV PD\ EH JHQHUDOLVHG LQ 5LFRHXU¶V SKLORVRSK\ DQG ZKHWKHU WKHUHLVDQ\SRVVLELOLW\RIV\QWKHVLVLQJKLVZRUNLQWHUPVRIPHWKRGRORJ\ DQG DSSURDFK :H ILQG HQFRXUDJLQJ WKH FHQWUDO IXQFWLRQ RI FULWLFDO KHUPHQHXWLFVLQ5LFRHXU¶VHQWHUSULVHKLVDWWHPSWLQOneself as AnotherWR UHRUJDQLVH DQG UHDGGUHVV KLV ZRUN LQ D PRUH XQLILHG ZD\ DQG WKH UHFXUUHQFHVRIFHUWDLQWHFKQLFDODQGSURFHGXUDODVSHFWVRIKLVDQDO\VLVDQG KLV³VSHFXODWLYHVW\OH´DVVXEVHTXHQWO\VXPPDULVHG  

7KH5LFRHXULDQ:D\



From the non-philosophical to the philosophical. 7KH ILUVW SRLQW WKDW VHHPV WR EH W\SLFDO LQ 5LFRHXU¶V PHWKRGRORJ\ LV WKH EHJLQQLQJ RI VSHFXODWLYH UHIOHFWLRQ IURP D QRQSKLORVRSKLFDO RU D SUHSKLORVRSKLFDO SRLQWRIGHSDUWXUH7KHLGHDRI³QRQSKLORVRSKLFDO´KDVYDULRXVLPSOLFDWLRQV 3ULPDULO\ 5LFRHXU PDNHV UHIHUHQFH WR WKH VSKHUHV RI WKH HPSLULFDO DQG V\PEROLFDO HVVHQWLDOO\ WR WKH VSKHUH RI DSSOLHG KHUPHQHXWLFV DSSOLHG WR LQWHUSUHWDWLRQRIV\PEROV>The Symbolic of Evil@WRSV\FKRDQDO\VLV >Freud and Philosophy@ DQG WR UHOLJLRQ >L’Herméneutique biblique @  6HFRQGO\ KH DSSOLHV SKLORVRSK\ WR WKH VRFLDO VSKHUH QRW DV D VRFLRORJ\ RI D SDUWLFXODU NLQG EXW DV D SUDFWLFDO SKLORVRSK\ HQJDJHG WRZDUGDQGLQWHUHVWHGLQVRFLHW\,QWKHVDPHPDQQHUSKLORVRSK\RSHUDWHV LQ UHODWLRQ WR SROLWLFV MXVWLFH DQG ODZ VHH Le Juste  Le Juste 2   7KLUGO\ KH WUHDWV WKH ³QRQSKLORVRSKLFDO´ DV WKH GRPDLQ aux frontièresdelaphilosophie DVRQHRIKLVFROOHFWLRQRIDUWLFOHVLVVXEWLWOHG LQ Lectures III   GHILQLQJ LW DV WKH GRPDLQ RI OLWHUDU\ DQG FXOWXUDO SURMHFWV ZKHUH SKLORVRSK\ LV HQULFKHG E\ WKH H[HUFLVH RI UHIOHFWLRQ DQG DJDLQ  KHUPHQHXWLFV VHH IRU H[DPSOH WKH LQWHUOXGH ZLWKLQ Oneself as Another  )LQDOO\ WKH QRQSKLORVRSKLFDO GLPHQVLRQ UHSUHVHQWV WKH VSKHUH RIDOOQRQSKLORVRSKLFDOGLVFLSOLQHVDERYHDOOVFLHQFHV7KLVLPSOLFDWLRQLV DOUHDG\HYLGHQWLQ5LFRHXU¶VILUVWVSHFXODWLYHZRUNThe Voluntary and the Involuntary  ZKHUHKHWKHPDWLVHV)UHXGLDQSV\FKRDQDO\VLVDVZHOO DVHPSLULFDOSV\FKRORJ\$V6WHSKHQ&ODUNZULWHV³WKHUHLVQRKRVWLOLW\WR VFLHQWLILF IDFW EXW UDWKHU D GLDJQRVWLF UHODWLRQ WRZDUGV LW D VHULHV RI FRPSOH[ DQWLQRPLHV DUH HVWDEOLVKHG EHWZHHQ LQWHQWLRQDO DQDO\VLV DQG WKH GDWDRIWKHHPSLULFLVWDQGREMHFWLYLVWVFLHQFHV7KHFRJLWR>LHWKHVXEMHFW@ FDQ RQO\ EH NQRZQ WKURXJK WKH RXWZDUG GHWRXU RI LQWHUSUHWDWLRQ´ &ODUN  ±   2WKHU H[DPSOHV LQFOXGH Freud and Philosophy GHGLFDWHG WRSV\FKRDQDO\VLVThe Conflict of Interpretations: Essays on Hermeneutics   GHGLFDWHG WR VWUXFWXUDOLVP DQG SV\FKRDQDO\VLV The Rule of Metaphor. Multi-Disciplinary Studies of the Creation of Meaning   D SKLORVRSKLFDO VWXG\ EHWZHHQ OLQJXLVWLFV DQG UKHWRULF D  ERRN RI GLDORJXHV ZLWK QHXURELRORJLVW -HDQ3LHUUH &KDQJHX[ Ce qui nous fait penser. La Nature et la Règle  Memory, History, Forgetting   DYDVWSKLORVRSKLFDOVWXG\LQGLDOHFWLFZLWKKLVWRULDQVDQGZRUNLQJDURXQG KLVWRULRJUDSK\DQGThe Course of Recognition  LQZKLFK5LFRHXU¶V ZRUN LV GHYHORSHG LQ GLDOHFWLF ZLWK FXOWXUDO DQWKURSRORJ\ DQG RWKHU GLVFLSOLQHV Between theory and praxis$QRWKHUW\SLFDO5LFRHXULDQZD\RIVSUHDGLQJ DQG GHYHORSLQJ VSHFXODWLYH UHVHDUFK LV WKURXJK D PXOWLOHYHOOHG DUJXPHQWDWLRQ GLVSRVHG DFFRUGLQJ WR GLIIHUHQW GLVFXUVLYH GHJUHHV OHYHOV DQGUHJLVWHUV5LFRHXU¶VG\QDPLFSDVVDJHIURPWKHWKHRUHWLFDOSODQWRWKH



&KDSWHU

SUDFWLFDO SODQ LV LQWHUWZLQHG ZLWK WKLV GLVSRVLWLRQ &OHDUO\ LW LV EHFDXVH WKHUH LV D  JHQHUDO ³GLVFLSOLQH RI PHWKRG´ WKDW D VLPLODUO\ FRPSOH[ DQG G\QDPLFRSHUDWLRQLVSRVVLEOHDVOneself as AnotherUHYHDOVE\SURYLGLQJ DQ H[DPSOH RI D JHQHUDO V\QWKHVLV RI 5LFRHXU¶V SKLORVRSK\ DQG PHWKRGRORJ\ ,Q IDFW WKURXJK LWV WHQ VWXGLHV D KHUPHQHXWLFDO SKHQRPHQRORJ\ GHYHORSV D SKLORVRSK\ RI WKH VHOI SURJUHVVLQJ IURP D OLQJXLVWLF OHYHO RI DQDO\VLV WR D SUDJPDWLF RQH WKHQFH WR D VSHFXODWLYH DQWKURSRORJLFDO OHYHO DQG ILQDOO\ IURP D SUDFWLFDOHWKLFDO OHYHO WR D MXULGLFRSROLWLFDOOHYHO7KHUHVXOWLVQHYHUDGLVFRXUVHWKDWLVWKHRUHWLFDOO\ DQG SUDFWLFDOO\ MX[WDSRVHG RU PL[HG EHFDXVH FRQVWLWXWLYHO\ DV ZHOO DV G\QDPLFDOO\ 5LFRHXU¶V GLVFRXUVH LV D WUDQVYHUVDO GLVFRXUVH DEOH WR DUWLFXODWH WKHRUHWLFDO DQDO\VLV DQG LQWHUSUHWDWLRQ RQWR RU LQWR D SUDFWLFDO GLPHQVLRQ0RUHRYHULWLVJHQHUDOO\FRQILJXUHGDVD³WKHRUHWLFDOSUDFWLFH´ OLNH WKH VFLHQFHV VHH 5LFRHXU   7KHUHIRUH FULWLFDO KHUPHQHXWLFV RSHUDWHV DV DQ DSSOLHG FULWLFDO WKHRU\ DV ZHOO DV D SUDFWLFRWKHRUHWLFDO GLVFLSOLQH,Q5LFRHXU¶VZRUNFULWLFDOKHUPHQHXWLFVLVDQLQWHUGLVFLSOLQDU\ WKHRUHWLFDO SUDFWLFH ZLWK D GHVFULSWLYH LQWHUSUHWDWLYH DQG UHIOH[LYH PHWKRGRORJ\ Between conflict and mediation. $V D WKLUG JHQHUDO FKDUDFWHULVDWLRQ RI 5LFRHXU¶VDSSURDFKLWVKRXOGEHXQGHUOLQHGKRZFRQVLVWHQWLVKLVWHQGHQF\ WR EH DWWUDFWHG E\ FRQIOLFW DQG DW WKH VDPH WLPH WR H[HUFLVH PHGLDWLRQ 7KLV PDLQWHQDQFH RI WHQVLRQ LV HYLGHQW HYHU\ZKHUH IRU H[DPSOH LQ The Conflict of Interpretations ZKHUH ³LQ DQ LPSUHVVLYH YDULHW\ RI FRQWH[WV >«@ WKH SURFHVV RI XQGHUVWDQGLQJ LQYROYHV D GRXEOH PRYHPHQW RI WKH UHFRYHU\ RI PHDQLQJ DQG RI DQ H[HUFLVH LQ GHP\VWLILFDWLRQ RSSRVLQJ SHUVSHFWLYHV ZKLFK FRPSOHPHQW HDFK RWKHU LQ DQ RSHQHQGHG DQG SURGXFWLYHFRQWHVW´ &ODUN  +RZHYHU WKLV GLVFRXUVH GRHV QRW QHFHVVDULO\ PHDQ WKDW 5LFRHXU¶V SKLORVRSK\LVDSKLORVRSK\RI³KDSS\HQGV´$WLWVFRUHLQIDFWLVFRQIOLFW ZKLFKH[SODLQVWKHQHFHVVLW\RIDPHGLDWRU\ZRUN)RU5LFRHXULVIRFXVHG RQWKHRUHWLFDOSUDFWLFDOVSHFXODWLYHDQGLGHRORJLFDOFRQIOLFWVWKRXJKZLWK DWHPSHUDWHHTXLWDEOHUDWLRQDODSSURDFKZKLFKLVRULHQWHGWRUHEDODQFLQJ DQGUHVROYLQJSUREOHPV&ODUNLVFRUUHFWLQZULWLQJWKDW 5LFRHXUQHYHUSLFNVDILJKW2QHRIWKHPRVWLPSUHVVLYHWUDLWVRIKLVZRUN LVKLVUHVSHFWIXODOPRVWJUDWHIXODVVLPLODWLRQRIFULWLFLVPWKHUHLVQRWKLQJ LQ KLV ZRUN UHPRWHO\ FRPSDUDEOH WR 'HUULGD¶V DOWHUFDWLRQ ZLWK 6HDUOH $W WLPHVZHPD\ODPHQWWKHDEVHQFHRIµEOLVWHULQJUHIXWDWLRQV¶>«@EXWWKHVH ZRXOGUXQFRXQWHUWRWKHYDOXHVWKDW5LFRHXU¶VZKROHLQWHOOHFWXDOHQWHUSULVH VHHNVWRSURPRWHKXPLOLW\PXWXDOUHVSHFWWKHWUXWKRIFKDULW\´  

7KH5LFRHXULDQ:D\



$W WKH VDPH WLPH )UDQoRLV 'RVVH LV DOVR FRUUHFW LQ DVVHUWLQJ WKDW ³FRQWUDLUHPHQW j O¶LPDJH VRXYHQW UpSDQGXH G¶XQ 5LFRHXU WRXMRXUV FRQVHQVXHOF¶HVWXQHSHQVpHGXFRQIOLWGXGLVVHQVXV´ %ROWDQVNL'RVVHHW DO 

&RQFOXVLRQ 7KH SULPDU\ TXHVWLRQ RI WKLV SDSHU KDV EHHQ ZKHWKHU LW LV SRVVLEOH WR FRPSUHKHQVLYHO\LQWHUSUHW5LFRHXU¶VSKLORVRSK\DVDFULWLFDOKHUPHQHXWLFV DVVXPLQJ WKH LGHD RI ³FULWLFDO KHUPHQHXWLFV´ DV D PHWKRGRORJ\ DQG HSLVWHPRORJ\ RI ³D WKLUG NLQG´ QHLWKHU D VSHFXODWLYH FRQVWUXFWLRQ QRU D ³GRFWULQH´ 7KLV LV D GLIIHUHQW SHUVSHFWLYH IURP WKRVH H[SUHVVHG LQ -RKQ 7KRPSVRQ-DYLHU%D\yQDQG'DYLG.DSODQ¶VLQWHUHVWVDQGZRUNVHYHQDV WKH\ FRQWULEXWH WR UHRULHQWLQJ WKH IRFXV RQWR WKLV XQGHUYDOXHG DVSHFW RI 5LFRHXU¶VWKRXJKWDQGHQWHUSULVH,QKLVCritical Hermeneutics7KRPSVRQ HODERUDWHV D QHZ FULWLFDOWKHRUHWLFDO SHUVSHFWLYH IRU WKH VRFLDO VFLHQFHV IRFXVHGRQDVSHFLILFUHLQWHUSUHWDWLRQRIKXPDQDFWLRQ0HDQZKLOH%D\yQ VWD\V RQ WKH SKLORVRSKLFDO ILHOG ORRNLQJ IRU WKH IRXQGDWLRQ RI D ³FULWLFDO KHUPHQHXWLFV´DVDQDXWRQRPRXVphilosophicalKHUPHQHXWLFV RQWRORJLFDOO\ HSLVWHPRORJLFDOO\ DQG VSHFXODWLYHO\ IRXQGHG  $QG .DSODQ SUHVHQWV 5LFRHXU¶VFULWLFDOKHUPHQHXWLFVDVD³FULWLFDOWKHRU\´DVLILWZDVDSDUDOOHO DOWHUQDWLYHRUGLDOHFWLFDO³UHVSRQVH´WR+DEHUPDV¶FKDOOHQJHVFRQQHFWHGWR SRVLWLYLVWDSSURDFKHVWRWKHVRFLDOVFLHQFHVDQGWRWKHSUREOHPDWLFDVSHFWV RI WKH )UDQNIXUW 6FKRRO¶V ³FULWLFDO WKHRU\´ 2Q WKH FRQWUDU\ WKLV SDSHU FRQVLGHUV 5LFRHXU¶V FULWLFDO KHUPHQHXWLFV LQ WKH PRVW JHQHUDOLVHG WHUPV VHDUFKLQJIRUDQHZPHWKRGRORJ\DQGHSLVWHPRORJ\IRUWKHVRFLDOVFLHQFHV $WWKHHQGRIWKLVTXLFN³MRXUQH\´WKURXJK5LFRHXU¶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



&KDSWHU

RI VFLHQFH DQG SKLORVRSK\ DV D ³WKHRUHWLFDO SUDFWLFH´ DQG DV DQ HQJDJHG ZRUN engagement  WKH WUDQVYHUVDO DQG WHQVLRQDO GLVSRVLWLRQ RI DQ DSSURDFKZKLFKPD\ZRUNEHWZHHQ WKHRUHWLFDODQGSUDFWLFDO FRQIOLFWDQG PHGLDWLRQ DQG WKH PXOWLOHYHOOHG DUWLFXODWLRQ RI WKLV DSSURDFK IURP GLIIHUHQW OHYHOV GHJUHHV DQG UHJLVWHUV RI GLVFRXUVH LH PXOWLGRFWULQDO PXOWLWKHRUHWLFDOPXOWLSURFHGXUDODSSURDFKHV  &HUWDLQO\ WKHUH LV D ODUJH DQG FRQFUHWH ULVN LQ UHDGLQJ LQWHUSUHWLQJ DQG WUDQVIRUPLQJ FULWLFDO KHUPHQHXWLFV LQWR D FROODSVHG PHWKRGRORJ\ ZLWK D GLVRUGHUHGUKDSVRGLFDQG³VXEMHFWLYH´SURFHGXUHZKHUHDOPRVWDQ\WKLQJ LV SRVVLEOH HYHU\WKLQJ LV UHODWLYH DQG SURYLVRU\ DQG DOO WUXWKV DUH ZHOO DFFHSWHG DQG ZHOFRPH 7KLV QHJDWLYH SURFHGXUDO VSLUDO FRQVWLWXWHV D UHDO SUREOHPDQGDQHIIHFWLYHFKDOOHQJH%XWDWWKHVDPHWLPHWKHSRVVLELOLWLHV RI D SRVLWLYH SURFHGXUDO VSLUDO DUH VLPLODUO\ FRQFUHWH DV WKH H[DPSOH RI 5LFRHXU¶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

&+$37(5 7(;78$/,7«@ 7KH SHUVRQ LV WKH RQH ZKR UHTXHVWV D FHUWDLQ DFW KH ZKR DFWV DVVXPLQJ WKH FRQVHTXHQFHV EHFDXVH KH LV UHVSRQVLEOH´   +RZHYHU WKHUH LV QR UDGLFDO RSSRVLWLRQ EHWZHHQ WKH LQGLYLGXDO DQG WKH SHUVRQ DFWXDOO\WKHUHLVQRSRVVLELOLW\DWDOOIRUVXFKRSSRVLWLRQ7KHKXPDQEHLQJ LQIDFWLVQRWRQRQHVLGHDERG\DQGRQWKHRWKHUDVSLULWRURQRQHVLGHDQ LQGLYLGXDO DQG RQ WKH RWKHU D SHUVRQ , DP DQ HPERGLHG XQLILHG EHLQJ 7KLVWKHPHRIWKHFRUSRUDOQDWXUHRIWKHSHUVRQDQGWKHSHUVRQDOQDWXUHRI WKH IOHVK LV UHSHDWHGO\ SUHVHQWHG LQ 5LFRHXULDQ SKHQRPHQRORJLFDO DQG KHUPHQHXWLFDOZRUNDQGWKHVDPHDSSOLHVIRUWKHTXHVWLRQRIWKHSHUVRQLQ

7KH+XPDQDQG,WV'LVFRXUVH



LWVHOI LQ LWV FRQQHFWLRQ ZLWK 3HUVRQDOLVP 7KLV FRQQHFWLRQ ZKLFK LV LQKHUHQWO\ FULWLFDO LV WUDQVIRUPHG LQWR DQ RSHQ FRXQWHU SRVLWLRQ LQ WKH SDSHU ³0HXUW OH SHUVRQQDOLVPH UHYLHQW OD SHUVRQQH«´ ZKHUHLQ 5LFRHXU VXJJHVWV WKDW 0RXQLHU¶V GHILQLWLRQ RI 3HUVRQDOLVP LV FRQQHFWHG WR D FXOWXUDO DQG SKLORVRSKLFDO FRQVWHOODWLRQ WKDW LV QR ORQJHU SUHVHQW LQ RXU WLPHV QDPHO\ WKDW RI 0DU[LVP DQG ([LVWHQWLDOLVP 7KH TXHVWLRQ RI WKH SHUVRQDQGHYHQQHR3HUVRQDOLVPPXVWWRGD\IDFHDGLIIHUHQWVSHFXODWLYH LGHRORJLFDOFRXQWHUSDUWLQRUGHUWRGHILQHRUUHGHILQHLWVHOI 7KHPDWXUH5LFRHXUSUHVHQWVDQHZSKLORVRSK\RIWKHSHUVRQLQWKHIRUP RIKLVSKLORVRSK\RIWKHFDSDEOHKXPDQEHLQJ7KHFHQWUDOD[LVRIWKLVQHZ YLVLRQLVWKHFRQFHSWRInarrative identityZKLFK5LFRHXUEHJLQVWREXLOG LQ Conclusions RI Time and Narrative YROXPH  +H H[SUHVVHV KLV FRQYLFWLRQWKDWWKHVHOIRIVHOINQRZOHGJHLVWKHSURGXFWRIDOLIHH[DPLQHG DQG FODULILHG E\ WKH ZRUN RI UHIOHFWLRQ DQG VHOILQWHUURJDWLRQ j OD 6RFUDWHV  DQG E\ WKH ZRUN RI VHOIFODULILFDWLRQ WKURXJK KLVWRULFDO DQG ILFWLRQDOQDUUDWLYHV+XPDQLGHQWLW\H[SUHVVHVWZRGLIIHUHQWH[SHULHQFHVLQ UHODWLRQWRWLPH±characterDQG keeping one’s word 5LFRHXU ± DQG LQ UHODWLRQ WR WKH QDUUDWLYH GLPHQVLRQ ZKLFK VHUYHV D PHGLDWRU\ IXQFWLRQEHWZHHQWKHELRORJLFDO P\ERG\ DQGWKHH[LVWHQWLDO P\KLVWRU\ RIOLIH  ,Q WKLV ZD\ 5LFRHXU UHDFWXDOLVHV KLV SUHYLRXV DQWKURSRORJLFDO YLVLRQ LQ VWXG\LQJ WKHGLDOHFWLFV RI WKH YROXQWDU\ DQG WKH LQYROXQWDU\ZKLFK LV WKH GLDOHFWLFV EHWZHHQ WKH ERG\ DQG WKH ZLOO EHWZHHQ QDWXUH DQG IUHHGRP Philosophie de la volonté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³ILFWLRQDO KLVWRU\´ RU DV



&KDSWHU

³KLVWRULFDOILFWLRQ´   7KXVWKURXJKQDUUDWLYHDQGVHOIQDUUDWLYHWKHREMHFWLYLW\RIOLYHGIDFWVDUH UHDUWLFXODWHG DQG UHDGGUHVVHG LQ WHUPV RI WKHLU IXQFWLRQ DQG PHDQLQJ 8QGHUFHUWDLQFLUFXPVWDQFHVRULQUHODWLRQWRFHUWDLQIDFWVRUPRPHQWVRI OLIHLWFRXOGEHRIVHFRQGDU\LPSRUWDQFHWRKDYHDQH[DFWPHPRU\RIWKH REMHFWLYHIDFWRIDQH[SHULHQFHIRUWKHFRKHUHQFHRIDQH[SHULHQFHDQGWKH WHPSRUDU\ FRQFDWHQDWLRQ RI IDFW XQGHU FHUWDLQ RUGHUV PD\ SOD\ D UROH RI PDMRU LPSRUWDQFH 1HYHUWKHOHVV LW LV H[DFWO\ LQ WKLV GLDOHFWLFDO IXQFWLRQ EHWZHHQ UHDOLW\ DQG UHSUHVHQWDWLRQ KLVWRU\ DQG IDQWDV\ VHOISV\FKRORJ\ DQG QDUUDWLRQUHQDUUDWLRQ WKDW WKH ULVNV RI D GLVWRUWHG DQG SDWKRORJLFDO DSSURDFK WR OLIH OLH SDWKRORJLFDO DQG GLVWRUWHG LQ WKH VHQVH RI VHOI PLVXQGHUVWDQGLQJRUPLVUHFRJQLWLRQRIDQXQUHDOLVWLFDSSURDFKWROLIHDQG RQH¶VH[LVWHQFH  7KHUH LV D GHHS UHODWLRQVKLS EHWZHHQ WKLV SKLORVRSK\ RI D SHUVRQ DQG 5LFRHXU¶V PDWXUH DQWKURSRORJLFDO SKLORVRSK\ DV H[SUHVVHG LQ Oneself as AnotherDQGUHDUWLFXODWHGLQ TheCourse of Recognition$WWKHVDPHWLPH WKLV PDWXUH DQWKURSRORJ\ PD\EH FRQFHLYHGRI DV DV\QWKHVLVRIKLV ORQJ FRXUVHRILQYHVWLJDWLRQDURXQGWKHKXPDQEHLQJ$FWXDOO\E\UHXQLI\LQJ 5LFRHXU¶VHDUOLHUDQWKURSRORJLFDOSKLORVRSK\ ZKLFKKDGLWVIRXQGDWLRQLQ DVSHFLILFKHUPHQHXWLFDOYLVLRQDQGDSSURDFK WKDWRIDSKHQRPHQRORJ\RI WKHYROXQWDU\DQGWKHLQYROXQWDU\DKHUPHQHXWLFVRIV\PEROVDQGDGHSWK KHUPHQHXWLFVZHPD\VSHDNRIDGRXEOHSHUVSHFWLYHDQGXQGHUVWDQGLQJRI WKH KXPDQ EHLQJ YHUWLFDO IURP KLPVHOI DV D FRQVFLRXV VXEMHFW DQG D VXEMHFW RI ZLOO WR KLV GHHSHU V\PEROLF XQFRQVFLRXV DQG ³DUFKDLF´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¶VSKLORVRSK\RIWKHKXPDQEHLQJRIIHUVDFRPSUHKHQVLYHYLVLRQRI ZKDWLVKXPDQDQGZKDWLVLQYROYHGLQWKHSURFHVVRIEHFRPLQJDSHUVRQ 7KLV SURFHVV LV QRW VLPSO\ D QDWXUDO GHYHORSPHQW ,W LQYROYHV YDOXHV HGXFDWLRQFXOWXUHYLVLRQLGHDVUHSUHVHQWDWLRQVVRFLHW\DQGVRRQDQGLW LQYROYHVDOORIWKHVHHOHPHQWVDQGGLPHQVLRQVLQYDULRXVZD\VSRVLWLYHO\

7KH+XPDQDQG,WV'LVFRXUVH



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¶V FRQFHSWLRQ RI WKH FDSDEOH KXPDQ EHLQJ IRFXVHV RQ WKH GLDOHFWLF EHWZHHQ SDVVLYH IRUFHV DQG DFWLYH IRUFHV EHWZHHQ SDVVLYHQHVV DQG DFWLRQ LQVWHDG RI UHDOLW\ DQG UHSUHVHQWDWLRQ EXW DW WKH VDPH WLPH KLV QRQVXEVWDQWLDOLVW YLVLRQ RI WKH KXPDQEHLQJLVIRUFHGWRSODFHWKHLGHDRIQDUUDWLYHLGHQWLW\DWWKHKXERID FRQFHSWLRQRISHUVRQDOGHYHORSPHQWLQZKLFKWKHUHLVDFRQVWDQWGLDOHFWLFDO WHQVLRQ EHWZHHQ D VWDEOH ELRORJLFDO GLPHQVLRQ DQG D VWDEOH and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estaltpsychologie LQ SDUWLFXODU ZH KDYH D EHWWHU XQGHUVWDQGLQJ RI WKH FRQQHFWLRQV DQG FRUUHODWLRQV EHWZHHQ YLVXDO SHUFHSWLRQWKHUHRUJDQLVDWLRQRISHUFHLYHGFRQWHQWVDQGVHOIUHSUHVHQWDWLRQ



&KDSWHU

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phantom limb LV ZHOO NQRZQ DQG ZLGHO\ VWXGLHG LQ WKLV UHJDUG )URP SV\FKRDQDO\VLV DQG G\QDPLF SV\FKRORJ\ZHNQRZWKDWWKHERG\LVOLYHGDQGH[SHULHQFHGLQDG\QDPLF FKDQJHDEOH ZD\ OLNH D ILHOG VWUHQJWK OLNH D ³VFUHHQ´ IRU HPRWLRQDO DQG LPDJLQDU\SURMHFWLRQVDVZHOODVIRUOLELGR¶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³ZRUN´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

7KH+XPDQDQG,WV'LVFRXUVH



H[SUHVVHV ZKDW , DP EDVHG RQ P\ H[SHULHQFHV LGHDV XQGHUVWDQGLQJ DQG VHOIUHSUHVHQWDWLRQ LW LV WKH HQWLW\ WKURXJK ZKLFK , DP DGGUHVVLQJ RWKHUV ZKHQ,DPDVNLQJIRUUHFRJQLWLRQ )UHXG IRFXVHG RQ WKH PRGHUQ KXPDQ¶V WHQGHQF\ ³WR EHFRPH D NLQG RI SURVWKHWLF *RG :KHQ KH SXWV RQ DOO KLV DX[LOLDU\ RUJDQV KH LV WUXO\ PDJQLILFHQWEXWWKRVHRUJDQVKDYHQRWJURZQRQWRKLPDQGWKH\VWLOOJLYH KLP PXFK WURXEOH DW WLPHV´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³UHDOOLIH´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



&KDSWHU

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± ZKLFK LV VSLULWXDO SV\FKRORJLFDO FXOWXUDO PRUDO VRFLDO KLVWRULFDO DQG MXULGLFRSROLWLFDO ± LV RQH ZLWK WKH SUREOHP RI WKH YDULRXV NQRZOHGJHV DQG FRPSHWHQFHV LQYROYHG LQ WKH VWXG\ DQG XQGHUVWDQGLQJ RI KXPDQ QDWXUH LW LV DOVR WUXH WKDW WKH PDVVLYH GLYHUVLILFDWLRQ RI YDOXHV LGHRORJLHV DSSURDFKHV WR H[LVWHQFH DQG SKLORVRSKLHV RI OLIH ± LH ZLGHVSUHDG UHODWLYLVP PDWHULDOLVP QLKLOLVP WHFKQRFUDF\ DQG VR RQ ZKLFK DUH ODUJHO\ H[SUHVVLRQV RI VSHFLILF DQG VSHFLDOLVHGNQRZOHGJHDQGVFLHQFHKDYHFUHDWHGWKHFRQIXVLQJHIIHFWRID GLVRUGHUHGDSSURDFKWRSHUVRQDOLGHQWLW\DVDQH[SHULHQFHDQGDVDQREMHFW RI UHVHDUFK DQG VWXG\ $W WKH VDPH WLPH EHKLQG WKH SULYLOHJH RI D SUHGRPLQDQW DSSURDFK WR WKLV REMHFW ± SV\FKRORJLFDO LQVWHDG RI PHGLFDO IRUH[DPSOH±DOPRVWLQYDULDEO\KLGHVDQLGHRORJLFDOUHGXFWLRQDQG WKHQ  GLVWRUWLRQSV\FKRORJLVWLFVFLHQWLVWLFSK\VLFDOLVWRUPDWHULDOLVWDQGVRRQ 7KXV IURP WKH SRLQW RI YLHZ RI WKH KXPDQ EHLQJ ZH DUH DVVLVWLQJ LQ DQ H[WHUQDOLVDWLRQDQGUHSUHVHQWDWLYHIDOVLILFDWLRQRIWKHSURFHVVRIEHFRPLQJ D SHUVRQ DQG WKH FRUUHODWHG SUREOHPV  )URP WKH SRLQW RI YLHZ RI WKH DUWLFXODWLRQRIGLIIHUHQWNLQGVRINQRZOHGJHDURXQGWKHKXPDQEHLQJZH DUH LQWHUWZLQLQJ WKH SUREOHP RI GLYHUVLILFDWLRQ DQG IUDJPHQWDWLRQ RI NQRZOHGJH ZLWK WKH LGHRORJLFDO XVH RI LW 7KH ODWWHU FHUWDLQO\ SURYRNHV D EDFNODVKZLWKUHJDUGWRWKHQHJDWLYHHIIHFWVRIGLVWRUWLRQLQUHODWLRQWRVHOI XQGHUVWDQGLQJ DQG VHOIUHDOLVDWLRQ RI D OLIH DOWKRXJK HYHQ WKLV SURYRNHV QHJDWLYHUHDFWLRQVWRNQRZOHGJHDQGWKHVFLHQFHVDQGWRWKHLUSXEOLFDQG VRFLDOXVHVDQGDSSOLFDWLRQV

7KH6ROXWLRQRIDQ,QWHJUDWHG'\QDPLF+XPDQLVP $V -HDQ /DQGULqUH H[SODLQV LQ KLV ³([SOLTXHU HW FRPSUHQGUH´   5LFRHXU¶V WKHRU\ RI WKH KHUPHQHXWLF DUF KDV GHYHORSHG IURP WKH WKHRUHWLFDOSUDFWLFDOFRQWH[WRIDWKHRU\RILQWHUSUHWDWLRQLHIURPDNLQG RI JHQXLQHO\ HSLVWHPRORJLFDO SUREOHPDWLF (SLVWHPRORJ\ KDV EHHQ WKH FHQWUDO WKHPHLQ 5LFRHXU¶VKHUPHQHXWLFV EXW VXEVHTXHQWO\ LWXQGHUZHQW DQ RQWRORJLFDO GHYHORSPHQW DQG WKHQ DQ DQWKURSRORJLFDO DUWLFXODWLRQ RI

7KH+XPDQDQG,WV'LVFRXUVH



WKH RQWRORJ\ WRRN SODFH /DQGULqUH H[SODLQV WKDW WKH GHYHORSPHQW RI WKH HSLVWHPRORJLFDO SUREOHPDWLF ZKLFK ZDV GHWHUPLQHG IURP WKH VFLHQFHV RI OLIH LQ JHQHUDO DQG IURP WKH VFLHQFHV DSSOLHG WR WKH KXPDQ EHLQJ LQ SDUWLFXODUKDGHVWDEOLVKHGDVWURQJFRQQHFWLRQZLWKWKHRQWLFSUREOHPDWLF DERXWWKHVWDWXVRIWKHKXPDQEHLQJ /DQGULqUH  :H PD\ FRQVLGHU DQG XVH WKH LQWHUSUHWDWLRQ RI &KDUOHV ( 5HDJDQ DV FRPSOHPHQWDU\ WR WKLV UHDGLQJ ,Q KLV ³/¶KHUPpQHXWLTXH HW OHV VFLHQFHV KXPDLQHV´KHJHQHUDOLVHV5LFRHXU¶VHSLVWHPRORJ\LQDZD\WKDWUHIRFXVHV WKHDQWKURSRORJLFDOSRLQWRIYLHZDVFHQWUDOIRUKLVSKLORVRSK\DQGIRUDOO RI WKH KXPDQ DQG VRFLDO VFLHQFHV )ROORZLQJ WKH 5LFRHXULDQ SHUVSHFWLYH KHVXVWDLQVWKHLGHDWKDWDOOWKHVRFLDOVFLHQFHVKDYHDFRQVWLWXWLYHOLQHRI FRQQHFWLRQ ZLWK FRPPXQLFDWLYH FRPSHWHQFH DQG ZLWK WKH KHUPHQHXWLFDO PHWKRG %\ WDNLQJ VHULRXVO\ WKH PRGHO RI WKH WH[W DOO KXPDQ DFWLRQV VRFLDO DVZHOO DV LQGLYLGXDO  DUH VXVFHSWLEOH WR EHLQJ LQWHUSUHWHG WKURXJK WKHWH[WXDOSDUDGLJPDVDWH[W7KXVDOOWKHKXPDQDQGVRFLDOVFLHQFHVDUH DWWKHLUEDVHKHUPHQHXWLFDOVFLHQFHV$OORIWKHPDUHLQIDFWLQYROYHGLQ WKH VWXG\ DQG FRPSUHKHQVLRQ RI KXPDQ DFWLRQ 7KH GLDOHFWLF EHWZHHQ H[SODQDWLRQDQGXQGHUVWDQGLQJFRQQHFWVWKLVFRPSUHKHQVLYHKHUPHQHXWLFDO DSSURDFKWRWKHVWXG\RIWKHKXPDQEHLQJDVDQREMHFWRIVFLHQFHZLWKWKH JHQHUDOFRPSUHKHQVLRQRIWKHKXPDQEHLQJDVDVXEMHFWRIH[SHULHQFH 3KLORVRSK\KHOSVLQIRUPXODWLQJDSURSHUPHWKRGRORJLFDODQGHSLVWHPRORJLFDO DUWLFXODWLRQRIWKLVGLDOHFWLFRIH[SODQDWLRQXQGHUVWDQGLQJ%XWDWWKHVDPH WLPHDVVSHFXODWLYHUHVHDUFKQRXULVKLQJDQDQWKURSRORJLFDOLQWHUHVWEDVHG RQ DQ RQWRORJLFDO YLHZSRLQW LW SXVKHV WRZDUGV D G\QDPLF FRQQHFWLRQ EHWZHHQ WKH SURFHVV RI EHFRPLQJ D SHUVRQ QDWXUDO SV\FKRORJLFDO HGXFDWLYH VRFLDO HWF  DQG WKH KHUPHQHXWLFDO SURFHVV RI DXWR LQWHUSUHWDWLRQ ZKLFK LV SDUW ± LQ 5LFRHXU DERYH DOO ±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



&KDSWHU

YDOXH ratio DQG DSSURDFK PXVW UHEHFRPH WKH QHFHVVDU\ DQG VXIILFLHQW FRQGLWLRQVWRUHRUJDQLVHDZHOOEDODQFHGUHODWLRQEHWZHHQWKHYHUWLFDOD[LV RI D VHW RINQRZOHGJH LQYROYHG LQSHUVRQDO UHDOLVDWLRQ DQG HPDQFLSDWLRQ DQGWKHKRUL]RQWDOD[LVRIDVHWRINQRZOHGJHofDQGforWKHKXPDQEHLQJ         

&+$37(5 +$%(50$6$1'5,&2(85215(&2*1,7,21 72:$5'$1(:62&,$/+80$1,60  

3UHDPEOH 7KH VRFLRORJLFDO WKHPH RI UHFRJQLWLRQ LV UHODWLYHO\ UHFHQW KDYLQJ RQO\ EHJXQWRWDNHVKDSHLQWKHV7KHFRQFHSWHPHUJHV  LQUHODWLRQWR WKHTXHVWLRQVRILGHQWLW\RIDVSHFLILFJURXS  ZLWKUHVSHFWWRVHWWOHPHQW GLVSXWHV LQ SROLWLFDO DQWKURSRORJ\ VRFLDO DQWKURSRORJ\ DQG WKH DQWKURSRORJ\RIODZ  LQWKHDQDO\VLVRIWKHFRQWLQXLW\GLVFRQWLQXLW\RI VRFLDO V\VWHPV DQG   LQ UHODWLRQ WR WKH WKHRU\ RI VRFLDO FRQIOLFWV 7KH GLVFXVVLRQ RI VRFLRORJ\ LQ EURDG DQG JHQHUDO WHUPV VKRXOG FRQVLGHU WKDW interactionDVVXPHVDJUHDWHUVLJQLILFDQFHLQDZLGHVSHFWUXPRIILHOGVRI VWXG\ 7KHVH UDQJH IURP VRFLDO H[FKDQJH WR VRFLDO LQWHUDFWLRQ DQG IURP V\PEROLF LQWHUDFWLRQ WR WKH TXHVWLRQ RI SHUVRQDOLW\ i.e. LQWHUDFWLRQ SURFHVVHV LQWHUDFWLRQ DQG WKH VRFLDO V\VWHP FRQGLWLRQV RI LQWHJUDWLRQ UROHVSOXUDOLVPDQGSHUVRQDOLW\RUJDQLVPVDQGHQYLURQPHQWJHQHUDOL]HG PHGLD RI LQWHJUDWLRQ  (VVHQWLDOO\ 7DOFRWW 3DUVRQV¶ General theory of social action  GLVWLQJXLVKHVWKHXVHRIUHFRJQLWLRQIURPWKHNLQGRI VRFLRORJ\WUDGLWLRQDOO\XVHGLQDQWKURSRORJLFDODQGHWKQRORJLFDOUHVHDUFK QDPHO\ YLD UHVHDUFK LQYHVWLJDWLQJ LQWHUVXEMHFWLYLW\ DQG LQWHUUHODWLRQV UHODWHG WR EHKDYLRXUV DV ZHOO DV WKH VRFLDO EHKDYLRXUV DQG ULWXDOV WKDW UHYHDO reciprocity 0DXVV¶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



&KDSWHU

WKH TXDOLW\ RI LQWHUUHODWLRQVKLSV LQ D JLYHQ VSHFLILF VRFLDO UHDOLW\ +H LGHQWLILHV WKUHH IRUPV RI UHFLSURFLW\ balanced generalized DQG negative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symbolic interaction ZKLFK DOPRVW DVVXPHV WKH IXQFWLRQ RI D WKHPDWLF FRQQHFWLRQ EHWZHHQLQWHUDFWLRQDQGUHFLSURFLW\ DQGDGLVFLSOLQDU\IDFWRU EHWZHHQSKLORVRSK\DQGVRFLRORJ\ 6RFLDOLQWHUDFWLRQDVVXPHVHVSHFLDOO\ VWURQJVRFLRORJLFDOVLJQLILFDQFHLQWKHVWXG\RIJURXSG\QDPLFV+RZHYHU GHWHUPLQLQJWKHIRUPVRILQWHUDFWLRQLVDSUHUHTXLVLWHWRIXOO\XQGHUVWDQGLQJ WKHSURFHVVHVRILQWHUDFWLRQ*HRUJH+0HDG¶V  6RFLDO%HKDYLRXULVP RU UDWKHU KLV 6\PEROLF ,QWHUDFWLRQLVP DQG PRUH SUHFLVHO\ WKH ZRUN RI + %OXPHU >@ SRVWXODWHVWKDWWKH0LQGDQGWKH6HOIDUHVRFLDOSURGXFWV,W DOVRDUJXHVWKDWODQJXDJHFRQVWLWXWHVWKHSODFHRIWKHLUHPHUJHQFHODQJXDJH LV WKH medium WKURXJK ZKLFK H[SHULHQFH DQG VRFLDO  UHDOLW\ FDQ EH IRUPXODWHG V\PEROLFDOO\ DQG VXEVHTXHQWO\ EXLOW DQG VKDUHG $ FHQWUDO HOHPHQWRIV\PEROLFLQWHUDFWLRQLVDQLQGLYLGXDO¶VDELOLW\WRDVVXPHWKHRWKHU ZLWKLQ RQHVHOI DQG WR UHJXODWH KLV RZQ FRQGXFW XVLQJ WKLV SHUVSHFWLYH 2EYLRXVO\RWKHULQIOXHQWLDOIDFWRUVH[LVWVXFKDVemotions.%XWVFKRODUVKDYH HVWDEOLVKHG WKDW 0HDGLDQ V\PEROLF LQWHUDFWLRQLVP LV DOVR D IXQGDPHQWDO UHIHUHQFHIRUWKHFXOWXUDODSSURDFKWRHPRWLRQV7KHIDFWWKDWZHDUHFDSDEOH RI XQGHUVWDQGLQJ WKH RWKHU LV QRW RQO\ WKH UHVXOW RI DQ LQWHUUHODWLRQDO experience EXW LV DOVR WKH UHVXOW RI RXU HPRWLRQDO LQWHUUHODWLRQDO G\QDPLVP ,W LV QRW D FRLQFLGHQFH WKDW 0HDG DQG DIWHU KLP +RFKVFKLOG > @ DQG RWKHUV  GLVFXVVHV V\PEROLF LQWHUDFWLRQLVP UDWKHU WKDQ OLQJXLVWLFRUUDWLRQDOLQWHUDFWLRQLVP .HPSHU 

+DEHUPDVDQG5LFRHXURQ5HFRJQLWLRQ



0HDG¶V VRFLDO WKHRU\ VKDUHV ERWK DVSHFWV RI IXQFWLRQDOLVP DQG VWUXFWXUDOLVPGXHWR:HEHU¶VWKHRU\RIVRFLDODFWLRQ7KHFRQVWLWXWLRQRI WKH VRFLDO DFWRU Self  LV DW WKH FRUH RI 0HDG¶V WKHRU\ DQG GHPRQVWUDWHV KRZPLQGDQGWKRXJKW Mind DVZHOODVVRFLDORUJDQLVDWLRQ Society DUH IRUPHGSelfMindDQGSocietyDUHHOHPHQWVRIWKHIXQFWLRQLQJRIDVLQJOH ZKROH :KLOH H[WHUQDO EHKDYLRXU RULJLQDWHV LQ LQWHULRU DWWLWXGHV VRPH LQWHUQDOHOHPHQWVFRPHIURPRXWVLGHDVDQLQWHUQDODWWLWXGHLVDQLQWHJUDO SDUWRIDQH[WHUQDODFW:KLOHWKHUHDUHDEVROXWHO\QRsubjectivePHDQLQJV WKDW DUH UDGLFDOO\ LQWHUQDO WKH VDPH PHDQLQJV DQG LQGLYLGXDO DFWV FDQ EH XQGHUVWRRGDQGH[SODLQHGWKURXJKRXWWKHUHODWLRQDOFRQWH[WRIDFROOHFWLYH FRQVLVWLQJ RI D VHW RI VRFLDO UHODWLRQV ,QGLYLGXDO FRQGXFW PXVW EH H[SODLQHGXVLQJWKHEHKDYLRXURIRUJDQL]HGVRFLDOJURXSVIRUVRFLHW\DVD ZKROHLVDQWHULRUWRWKHLQGLYLGXDOZKRLVRQO\DSDUWRILWVODUJHUZKROH 7KHZD\RIWKLQNLQJLVLWVHOILQWHUUHODWLRQDODVLW³PLPLFV´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generalized other 0HDG¶V SHUVSHFWLYH DSSOLHV VRFLRORJLFDO UHVHDUFK WR ERWK SKLORVRSK\ DQG SV\FKRORJ\ DQG KDV VRPH LPSRUWDQW LPSOLFDWLRQV ,Q DGGLWLRQ WR WKH HYROXWLRQ RI VRFLRORJLFDO UHVHDUFK DQG VXEVHTXHQW FULWLFDO GHYHORSPHQWV WKH0HDGLDQDSSURDFKOHDGVXVWRDGGUHVVWKHSKHQRPHQRQRILQWHUDFWLRQ XVLQJ WKH SHFXOLDU SHUVSHFWLYH RI VRFLDO SV\FKRORJ\ 7KLV H[SODLQV LWV VLJQLILFDQFHIRU$[HO+RQQHWKDQG3DXO5LFRHXU¶VUHVHDUFKDVZHOODVLQ SKHQRPHQRORJLFDO VWXGLHV +RQQHWK  5LFRHXU   ,Q WKLV UHJDUG FRQIOLFW LV DQRWKHU NH\ FRQFHSW LQ VRFLDO SV\FKRORJ\ DQG LV IXQGDPHQWDO IRUVWXG\LQJWKHGLDOHFWLFVRIVRFLDOLQWHUDFWLRQ,I+HJHOJLYHVSKLORVRSK\ WKH KLJKHVW VSHFXODWLYH DQG FULWLFDO LPSRUWDQFH WKHQ .DUO 0DU[ HOHYDWHV VRFLRORJ\WRWKHGLJQLILHGUROHRIDWUXHparadigm7KHODWWHUEHOLHYHGWKDW VRFLDO EHKDYLRXU LV IRUPHG IURP FRQIOLFW DQG PRUH SUHFLVHO\ IURP WKH DWWHPSWWRGRPLQDWHRWKHUVDQGWRDYRLGEHLQJGRPLQDWHG6WXGLHVRQ0DU[ KDYH JHQHUDOO\ IRFXVHG HVSHFLDOO\ RQ WKH VWUXJJOH EHWZHHQ VRFLDO FODVVHV



&KDSWHU

EXW*HRUJ6LPPHO¶VLQYHVWLJDWLRQLVPRUHV\VWHPDWLF)RU0HDGERWKWKH DWWLWXGH RI WKH FRPPXQLW\ i.e., DV WKH ³RWKHU JHQHUDOL]HG´  LQ UHODWLRQ WR SHUVRQDO LQGLYLGXDOLW\ DQG WKH FRQWURO LW H[HUWV RQ WKH EHKDYLRXU RI LWV PHPEHUVEHFRPHGHWHUPLQLQJIDFWRUVLQWKHW\SHRIUHODWLRQVKLSDSHUVRQ KDVZLWKKLV6HOI$VVXPLQJWKHVDPHDWWLWXGHVWKDWRWKHUVH[KLELWWRZDUG KLP WKH LQGLYLGXDO SDUWLFLSDWHV LQ D FRPPRQ XQLYHUVH RI GLVFRXUVH ,Q DGGLWLRQWREHLQJDSUHUHTXLVLWHIRUGHYHORSLQJWKHUHIOHFWLRQRIWKHPLQG WKLV LV DOVR WKH EDVLV IRU WKH IHHOLQJ RI WKH 6HOI WKH VWUXFWXUH WKDW HVWDEOLVKHVERWK D FKDUDFWHU¶V SHUVRQDOLW\ DQGKLV VHOIFRQVFLRXVQHVV 7KH DWWHQWLRQ WKDW VRFLRORJLFDO UHVHDUFK JLYHV WR 0HDG¶V ZRUN RQ HPRWLRQV VWUHQJWKHQVWKHSRVVLELOLW\RIDPRUHULJRURXVDSSURDFKWRSKHQRPHQRORJLFDO VRFLRORJ\7RH[SODLQWKHSKHQRPHQRQRILQWHUVXEMHFWLYLW\+XVVHUODSSOLHV WKH FRQFHSW RI Einfühlung RU HPSDWK\ +RZHYHU +XVVHUO¶V RULJLQDO WUDQVFHQGHQWDO LQWHUVXEMHFWLYLW\ SUHFHGHV WKLV FRQFHSW DV LW H[SODLQV WKH IRUPDWLRQ RI DUHDV RI FRPPRQ PHDQLQJ DQG DFWLRQ ODQJXDJH VRFLHW\ KLVWRU\ 7KHSURFHVVRIUHFRJQL]LQJWKHRWKHULVDQDO\VHGRQWKHEDVLVRI +XVVHUO¶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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W]  :KHQ JHQHUDOO\ FRQVLGHULQJ WKH GHYHORSPHQW RI VRFLRORJLFDO UHVHDUFK VXUURXQGLQJ WKH LVVXH V  RI UHFRJQLWLRQ ZH FDQ DUJXH WKDW RYHU WKH GHFDGHV LW KDV WUDQVLWLRQHG IURP EHLQJ SRODUL]HG RQ WKH LVVXH RI WKH

+DEHUPDVDQG5LFRHXURQ5HFRJQLWLRQ



SKLORVRSKLFDO DQG VRFLRORJLFDO WKHPH RI LQWHUVXEMHFWLYLW\ LQWR WKH VRFLRORJLFDOHWKLFDO DQG VRFLRORJLFDOSROLWLFDO WKHPH RI UHFLSURFLW\ 5HFRJQLWLRQLQVRFLRORJ\HPHUJHVLQWKH³GLDOHFWLFDO´WKHRUHWLFDOSUDFWLFDO UHDOP RI LQWHUVXEMHFWLYLW\ DQG UHFLSURFLW\ ,W LV QHFHVVDU\ LQWHUHVWLQJ DQG LPSRUWDQW WR H[SDQG WKH JHQHUDO WKHRU\ RI DFWLRQ DQG WKH VRFLRORJ\ RI LQWHUVXEMHFWLYLW\ IRXQG LQ WKH ZRUN RI -UJHQ +DEHUPDV ,I GLDOHFWLF DQG UHFRJQLWLRQDSSHDUWREHVWUDWHJLFWHUPVIURPDSV\FKRORJLFDOSHUVSHFWLYH LQ VRFLRORJ\ WKH FRQFHSWV RI VRFLDO DFWLRQ DQG LQWHUVXEMHFWLYLW\ DUH NH\ WHUPV IRU SKLORVRSKLFDO UHVHDUFK RQ UHFRJQLWLRQ ZKLFK VHHNV WR LQFRUSRUDWHWKLVVRFLRORJLFDOSHUVSHFWLYH

7KH,QWHUVXEMHFWLYLW\LQ+DEHUPDV¶6RFLDO7KHRU\ 7KHFRUHRI-UJHQ+DEHUPDV¶YDVWUHVHDUFKLVRFFXSLHGE\WKHTXHVWLRQRI WKH SXEOLF VSKHUH DV D VSDFH IRU PXWXDO UHODWLRQVKLSV DQG FRPPXQLFDWLYH UDWLRQDOLW\ +H GHULYHV VLPLODU SROLWLFDO FRPPLWPHQW IURP WKH VDPH HVVHQWLDO  FRQFHSWXDO WULDG RI public sphere discourse DQG reason +LV HVSRXVHG SURILOH RI WKH SKLORVRSK\ RI PDQ LPSOLHV DQG VXVWDLQV DOO VSHFXODWLYH GHYHORSPHQWV VXUURXQGLQJ WKLV WULDG ,W UHIHUV WR D VWULFW LQWHUSUHWDWLRQ ± OLWHUDO DQG QRXULVKHG E\ HYROXWLRQDU\ ELRORJLVP ± RI WKH $ULVWRWHOLDQLGHDRIPDQDVD³SROLWLFDODQLPDO´OLYLQJin the public space $ FRPSDULVRQ ZLWK ELRORJ\ DQG WKH EHKDYLRXU RI QHZO\ERUQ PDPPDOV UHYHDOV WKDW QR RWKHU VSHFLHV LQ WKH ZRUOG HPHUJHV DV LPSHUIHFW DQG KHOSOHVV DV KXPDQV :H DUH UDGLFDOO\ GHSHQGHQW RQ HDFK RWKHU DQG DUH WKXVFRQVWLWXWLYHO\LQWHUVXEMHFWLYHZHEHFRPHSHUVRQVLQWKHSXEOLFVSDFH EHFDXVHZHFRQWLQXDOO\OHDUQIURPHDFKRWKHU +DEHUPDV  7KLV VSHFLILF GLPHQVLRQ RI KXPDQ LQWHUVXEMHFWLYLW\ LV HFKRHG WKURXJKRXW +DEHUPDV¶ HQWLUH FRUSXV 7KH FRQVWUXFWLRQ DQG RUJDQLVDWLRQ RI SXEOLF VSDFHV ZKRVH VWUXFWXUDO IUDPHZRUN LV RI D social QDWXUH UHYHDOV WKH FRQVWUXFWLYH RU GHFDGHQW WKH KDUPRQLHV RU ULIWV RI D FRPPXQLWDULDQLVP WKDWLVHLWKHUHPDQFLSDWRU\RUUHSUHVVLYH,QFRPSDULVRQZLWKWKHVSHFLILF FRQWH[W RI RXU VRFLDO UHDOLW\ +DEHUPDV LQLWLDOO\ REVHUYHG D JHQHUDO G\QDPLVP RI FRHUFLYH DQG UHSUHVVLYH QDWXUHV ZLWKLQ ZKLFK WKH ZRUN RI WKH VRFLDO FULWLF DQG WKH ³PLOLWDQF\´ RI D IUHH DQG HPDQFLSDWRU\ FRPPXQLFDWLRQ ZHUH FRQVLGHUHG QHFHVVDU\ DQG XUJHQW IRU HQVXULQJ DXWKHQWLFKXPDQFRH[LVWHQFHLQDSRVLWLYHVWDWH6XEVHTXHQWO\KHFKDQJHG WKH DQJOH RI KLV GLDJQRVLV E\ FRQVLGHULQJ WKH LPSRUWDQFH RI WKH SURJUHVVLYHO\ FRPSOH[ PRGHUQ VRFLHW\ 6XFK VRFLHWLHV DUH RQO\ KHOG WRJHWKHU E\ WKH DEVWUDFW FRQFHSWRI VROLGDULW\ PHGLDWHG EHWZHHQ MXULGLFDO FLWL]HQV RI WKH VWDWH 7KLV FRPPXQLW\ ZKLFK WRGD\ FDQQRW DOZD\V EH



&KDSWHU

VWURQJRQO\UHDFKHVDQDFFHSWDEOHGHJUHHRIVWDELOLW\DQGFRKHVLRQYLDWKH IRUPDWLRQRISXEOLFRSLQLRQDQGZLOO7KHUHIRUHWKHFRQGLWLRQ RIDJLYHQ GHPRFUDF\ LV QRW LVRODWHG LQ LWV DELOLW\ WR WHVW LWVHOI YLD HYDOXDWLQJ WKH IRUPV DQG TXDOLW\ RI LWV SROLWLFDO SXEOLF VSDFH 5DWKHU UHVHDUFK RQ WKH IRUPV DQG PHWKRGV RI FRPPXQLFDWLRQ DVVXPH WKH PHDQLQJ DQG VLJQLILFDQFH RI systematic VRFLRORJLFDO UHVHDUFK 7KLV RFFXUV EHFDXVH FRPPXQLFDWLRQ LV QRZ WKH XOWLPDWH VWUXFWXUH RI VRFLDO UHDOLW\ 7KH EDVLF UHIHUHQFH IRU WKLV QRWLRQ LV +DEHUPDV¶ The Theory of Communicative Action  ZKLFKLVHQWLUHO\FHQWUHGRQDWKHRU\RIDFWLRQ2QHFRXOG DOVR VD\ WKDWRQ WKH RQH KDQG WKLV WH[W IRFXVHVRQ WKHGLDOHFWLF EHWZHHQ LQVWUXPHQWDO DFWLRQ DQG FRPPXQLFDWLYH DFWLRQ DQG RQ WKH RWKHU KDQG EHWZHHQWKHOLIHZRUOGDQGWKHV\VWHP WKDWLVWRVD\IURPWKHSRLQWRIYLHZ RIVXEMHFWVZKRDFWLQVRFLHW\DQGWKHSRLQWRIYLHZRUSRZHURIDFWLRQ ZKLFKLVHLWKHUH[WHUQDORU³REMHFWLYH´DQGKDVLWVURRWVLQWKHOLIHZRUOG +RZHYHU WKLV IRUFH DOVR SURJUHVVLYHO\ GHYHORSV LWV VWUXFWXUDO FKDUDFWHULVWLFV VXFK DV WKH IDPLO\ WKH ODZ WKH VWDWH DQG WKH HFRQRP\  6HYHUDO FULWLFDO SDVVDJHV RI PDMRU WKHRUHWLFDO PRGHOV UHYHDO WKH ULFK QHWZRUN RI GLDORJLFDO DQG GLDOHFWLFDO FRQIURQWDWLRQV LQFOXGLQJ WKRVH E\ :HEHU ZLWK SDUWLFXODU DWWHQWLRQ WR KLV WKHRU\ RI UDWLRQDOLW\  /XNi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system ± QDPHO\ WKH HFRQRPLF RUJDQLVDWLRQ WKH SROLWLFDODGPLQLVWUDWLYH DSSDUDWXV RI WKH 6WDWH DQG 3RZHU ±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

+DEHUPDVDQG5LFRHXURQ5HFRJQLWLRQ



VRFLRORJ\¶V DSSURDFK LV GHFLVLYH IRU D IUDPHZRUN WKDW LQFOXGHV ERWK VFLHQWLILFUHVHDUFKDQGGLDJQRVWLFDQDO\VLVDQGZRUNVIURPWKHSHUVSHFWLYH RI SROLWLFDO DFWLRQ 2Q WKH RWKHU KDQG LQ VXFK FLUFXPVWDQFHV WKH H[DPLQDWLRQ RI UHDOLW\ DQG WKH VWUXFWXULQJ DQG IXQFWLRQLQJ RI LQWHU UHODWLRQVKLSV HVSHFLDOO\ FRPPXQLFDWLRQ  GHSHQG XSRQ WKH HIILFLHQF\ H[SOLFDWRU\ SRZHU DQG VLJQLILFDQFH RI D FULWLFDO VRFLRORJLFDO DSSURDFK /LQJXLVWLF FRPPXQLFDWLRQ LQFRUSRUDWHV D telos RI PXWXDO XQGHUVWDQGLQJ $W WKLV SRLQW DQG OLQJXLVWLF  OHYHO   D WKHRU\ RI UDWLRQDOLW\ LV FORVHO\ FRQQHFWHG WR   D WKHRU\ RI FRPPXQLFDWLYH DFWLRQ   WR D GLDOHFWLF RI VRFLDOUDWLRQDOLVDWLRQDQG  WRDFRQFHSWRIVRFLHW\WKDWUHXQLILHVV\VWHPV WKHRU\ DQG WKH WKHRU\ RI DFWLRQ +DEHUPDV D  ,Q WKH WKHRU\ RI FRPPXQLFDWLYH DFWLRQ DQ DQDO\VLV WKDW XVHV WKH VSHFLDOL]HG FRQWULEXWLRQV RIOLQJXLVWLFVVRFLRORJ\DQGKHUPHQHXWLFVKDVEHHQGHYHORSHGZLWKLQLWLDO UHIHUHQFHWR3RSSHU¶VWKHRU\RIWKHWKUHHZRUOGV7KLVRSHUDWHV³DFFRUGLQJ WRWKHPRGHORIVHOIFULWLFLVP´DQGDSSOLHVWR³DQepistemic VXEMHFWZKRLV FDSDEOH RI OHDUQLQJ DQG KDV DOUHDG\ DFTXLUHG D FHUWDLQ NQRZOHGJH LQ KLV FRJQLWLYHLQVWUXPHQWDOGHDOLQJVZLWKUHDOLW\RUDVDpractical VXEMHFW«RU DV DQ affective VXEMHFW DQG KDV DOUHDG\ GHPDUFDWHG IURP WKH H[WHUQDO ZRUOG RI IDFWV DQG QRUPV D VSHFLDO GRPDLQ RI VXEMHFWLYLW\ PDUNHG E\ SULYLOHJHG DFFHVV DQG LQWXLWLYH SUHVHQFH´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¶ GLDJQRVLV RI FRQWHPSRUDU\ VRFLHW\ DGGUHVVHV WKH PDVVLYH DQG JURZLQJ LQWHUIHUHQFH RI WKH V\VWHP LQ WKH OLIHZRUOG ZKLFKVKRXOGQRWEHXQGHUVWRRGPHUHO\LQWKHVHQVHRIWKHSXEOLFVSKHUH¶V SHUYDVLYHLQWHUIHUHQFHLQWRWKHSULYDWHVSKHUH 7KHOLIHZRUOGLVWKUHDWHQHG E\DQ³LQWHUQDOFRORQLVDWLRQ´H[SUHVVHGYLDDQHZIRUPRIVRFLDOYLROHQFH DWWKHOHYHORIFRPPXQLFDWLRQDQGLQWKHFRQGXFWRIOLIH³DSURJUHVVLYHO\ UDWLRQDOL]HGOLIHZRUOGLVERWKXQFRXSOHGIURPDQGPDGHGHSHQGHQWXSRQ LQFUHDVLQJO\ FRPSOH[ IRUPDOO\ RUJDQL]HG GRPDLQV RI DFWLRQ >@ 7KLV GHSHQGHQF\ UHVXOWLQJ IURP WKH Mediatization RI WKH OLIHZRUOG E\ V\VWHP LPSHUDWLYHV DVVXPHV WKH VRFLRSDWKRORJLFDO IRUP RI DQ internal colonization ZKHQFULWLFDOGLVHTXLOLEULDLQPDWHULDOUHSURGXFWLRQ>@FDQEH DYRLGHG RQO\ DW WKH FRVW RI GLVWXUEDQFHV LQ WKH V\PEROLF UHSURGXFWLRQ RI WKHOLIHZRUOG´  6\VWHPLFLPSHUDWLYHVFXUUHQWO\LQWHUYHQHLQDUHDVRI



&KDSWHU

VWUXFWXUHG FRPPXQLFDWLYH DFWLRQ QDPHO\ RQ WKH OHYHO RI FXOWXUDO SURGXFWLRQ VRFLDO LQWHUDFWLRQ DQG LQ VRFLDOLVDWLRQ LWVHOI $OWHUQDWLYHO\ WKH\ HQJDJH RQ WKH OHYHO RI DFWLYLWLHV UHODWHG WR LQGLYLGXDO FKRLFHV RI FXOWXUDO W\SHV DQG RI W\SHV RI VW\OH EHOLHI DQG VR RQ 7KH 0DU[LVW DQG QHR0DU[LVWFULWLFDOVRFLRORJLFDOPRGHORIFODVVVWUXJJOHIDLOVEHFDXVHWKH QHZ dialectical SKHQRPHQRQ LV H[SUHVVHG WKURXJK WKLV SURFHVV RI IRUPDOL]HGFRORQLVDWLRQZKLFKLVV\VWHPDWLFDQGUHSUHVVHVWKHOLIHZRUOG 5HJDUGLQJ +DEHUPDV¶ Theorie des kommunikativen Handelns, 7KRPDV 0F&DUWK\SURYLGHVWKHIROORZLQJLQWHUHVWLQJV\QWKHVLV >+DEHUPDV@ VNHWFKHG D FULWLFDO WKHRU\ RI PRGHUQ VRFLHW\ WKDW IRFXVHG RQ ³WKHFRORQL]DWLRQRIWKHOLIHZRUOG´E\IRUFHVDULVLQJIURPWKHHFRQRP\DQG WKHVWDWH>«@7KHSKHQRPHQDWKDW0D[:HEHUSRLQWHGWRLQKLVYLVLRQRI DQ³LURQFDJH´DQGWKDW0DU[LVWVKDYHGHDOWZLWKLQWHUPVRI³UHLILFDWLRQ´ DULVHVIURPDQHYHULQFUHDVLQJ³PRQHWDUL]DWLRQ´DQG³EXUHDXFUDWL]DWLRQ´RI OLIHZRUOG UHODWLRQV 7KLV UHOHQWOHVV DWWDFN RQ WKH FRPPXQLFDWLYH LQIUDVWUXFWXUHV RI VRFLHW\ FDQ EH FRQWDLQHG KH DUJXHG RQO\ E\ D FRXQWHUYDLOLQJ H[SDQVLRQ RI WKH DUHDV RI OLIH FRRUGLQDWHG YLD FRPPXQLFDWLRQ DQG LQ SDUWLFXODU E\ WKH VXERUGLQDWLRQ RI HFRQRPLF DQG DGPLQLVWUDWLYH VXEV\VWHPV WR GHFLVLRQV DUULYHG DW LQ RSHQ DQG FULWLFDO SXEOLFGHEDWH 0F&DUWK\ 

7KLV V\QWKHVLV FRPSDUHV WKH HQWLUH GLDOHFWLFDO FRQWLQXLW\ RI +DEHUPDV¶ SHUVSHFWLYH ZLWK 0DU[ DQG :HEHU DQG FRQVLGHUV WKH UHSUHVVLYH YLROHQFH RI WKH PRGHUQ V\VWHPDWLF FRORQLVDWLRQ WKDW KH SHUFHLYHV DV RFFXUULQJ LQ RXUVRFLHW\+RZHYHULWGRHVQRWRIIHUDFRPSOHWHSLFWXUHRIV\QWKHVLVQRU GRHVLWFRQVLGHUWKHSHUVSHFWLYHVRIHLWKHUWKH³GLDJQRVWLF´RUWKHSRVLWLYH UHVSRQVH VWUDWHJLHV WKDW +DEHUPDV LGHQWLILHV )LUVWO\ LW LV QRW SRVVLEOH WR GHYHORS D FRPSUHKHQVLYH V\QWKHVLV RI WKH HQWLUH FRORQLVDWLRQ RI WKH OLIHZRUOG QRU FDQ D XQLILHG VWUDWHJ\ EH SURSRVHG DV D FRXQWHUDFWLRQ RU SROLF\ UHVSRQVH 7KH ³V\VWHPDWLF´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¶WKHRU\LVWKHFRQVLGHUDWLRQ RIVRFLDOPRYHPHQWVGHGLFDWHGWRVSHFLILFFDXVHVVXFKDVHQYLURQPHQWDOLVP

+DEHUPDVDQG5LFRHXURQ5HFRJQLWLRQ



IHPLQLVP DQG VR RQ 2SHUDWLQJ ZLWKLQ WKHVH VSHFLILF VRFLDO PRUDO DQG FXOWXUDOFRQWH[WVWKHVHFLWL]HQOHGPRYHPHQWVPLJKWEHDEOHWRUHVWRUHWKH LQGHSHQGHQFHXQLTXHQHVVDQGYDOXHRIWKHOLIHZRUOG +DEHUPDV DUJXHV WKDW WKH OLIHZRUOG SURYLGHV DQ DUHQD IRU HPDQFLSDWLRQ DQG LQWHUUHODWLRQ DQG WKHUHIRUH WKH VXEVHTXHQW UHDOLVDWLRQ RI WKH ³LQGLYLGXDO´DVDperson:KHQFRPELQHGZLWKDsystemWKHVHFRQGDVSHFW RI+DEHUPDV¶WKHRU\RI³VRFLHW\´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¶V SHUVRQDOLW\,IWKHVHDUHDVZHUHFORVHO\LQWHUFRQQHFWHGLQDUFKDLFVRFLHWLHV :HEHU¶VQRWLRQRIWKHUDWLRQDOLVDWLRQRIWKHZRUOGSURGXFHVDQLQFUHDVLQJ DQG GLVWDQFLQJ GLIIHUHQWLDWLRQ DQG FRPSOH[LILFDWLRQ ,Q WKH K\SHUFRPSOH[ DQG K\SHUWURSKLF VLWXDWLRQ WKDW ZLOO HPHUJH IURP RXU FRQWHPSRUDU\

&KDSWHU



VRFLDOLVDWLRQ WKH V\VWHP GRPLQDWHV LQYDGHV EHQGV DQG VXEGXHV WKH OLIHZRUOG 0HDGLVRQHRI+DEHUPDV¶PDLQUHIHUHQFHVDQGOHDGVKLPWRWKHH[SOLFLW WKHPH RI LQGLYLGXDO DQG VRFLDO UHFRJQLWLRQ ZLWKLQ KLV WKHRU\ RI FRPPXQLFDWLYH DFWLRQ :KHQ FRQVLGHULQJ +DEHUPDV¶V WKHRU\ IURP WKLV 0HDGLDQ SHUVSHFWLYH EXW DOVR FRQVLGHULQJ VRPH LPSRUWDQW VWHSV IURP 6FKW]¶VVRFLDOSKHQRPHQRORJ\ WKHQRWLRQRILQWHUVXEMHFWLYLW\DSSHDUVWR EH PRUH VLJQLILFDQW RQ WKH SKLORVRSKLFDO SODQH +DEHUPDV DSSOLHV KLV WKHRU\ LQ RUGHU WR ORFDWH XVHIXO HOHPHQWV IRU GHYHORSLQJ SKLORVRSKLFDO  UHVHDUFK RQ WKH VRFLRORJ\ RI UHFRJQLWLRQ ,Q DGGLWLRQ 7KRPDV 0F&DUWK\ H[SODLQVWKDW+DEHUPDVDSSOLHVKLVWKHRU\RIFRPPXQLFDWLRQ GHYHORSHGLQ 9ROXPHRIThe Theory of Communicative Action QRWVLPSO\WRUHUHDG WKH 0HDGLDQ FRQFHSWXDO RU ORJLFDO DQDO\VLV RI WKH JHQHVLV RI WKH VHOI DQG VRFLHW\EXWDOVRWRGHYHORSDVRFLDODQDO\VLVIURPWKHLQGLYLGXDOLVWLFPRGHO RIVRFLDODFWLRQ³+DEHUPDVDUJXHVWKDW>@PRWLYDWLRQVDQGUHSHUWRLUHVRI EHKDYLRU >VLF@ DUH V\PEROLFDOO\ UHVWUXFWXUHG LQ WKH FRXUVH RI LGHQWLW\ IRUPDWLRQWKDWLQGLYLGXDOLQWHQWLRQVDQGLQWHUHVWVGHVLUHVDQGIHHOLQJVDUH QRWHVVHQWLDOO\SULYDWHEXWWLHGWRODQJXDJHDQGFXOWXUHDQGWKXVLQKHUHQWO\ VXVFHSWLEOHWRLQWHUSUHWDWLRQGLVFXVVLRQDQGFKDQJH´ 0F&DUWK\[[  (YLGHQWO\ VXFK D UHDGLQJ UHIOHFWV DQ RSWLPLVWLF DQG UDWLRQDOLVW DSSURDFK ZKLFK YLHZV VRFLHWLHV DV SRWHQWLDOO\  SURJUHVVLYH DQG HPDQFLSDWRU\ UHDOLWLHV RSHUDWLQJ XQGHU D G\QDPLVP RI VRFLDOLVDWLRQ DQG FRQQHFWHG E\ LQWHUQDOL]HGV\PEROLFDQGFRPPXQLFDWLYHFRPSHWHQFHVWKDWDUHVKDUHGDQG UDWLRQDOO\ RUJDQL]HG 7KXV UHFRJQLWLRQ HVVHQWLDOO\ EHFRPHV DQ LVVXH RI SDUWLFLSDWLRQ PHPEHUVKLS DQG communicative GLDOHFWLF EHWZHHQ VRFLDO DFWRUV7KHTXDOLW\RIWKHLQWHUUHODWLRQVKLSVin generalGRQRWGHWHUPLQHRU HYDOXDWHWKHGHJUHHRIVRFLDOGHYHORSPHQWRUWKHHYROXWLRQRIWKHVRFLHW\¶V PHPEHUV UDWKHU WKHVH GHSHQG XSRQ WKH TXDOLW\ RI WKH FRPPXQLFDWLYH UHODWLRQVKLSV,QWKLVUHJDUG +DEHUPDVDUJXHVWKDWRXUDELOLW\WRFRPPXQLFDWHKDVDXQLYHUVDOFRUH>@ ,QVSHDNLQJZHUHODWHWRWKHZRUOGDERXWXVWRRWKHUVXEMHFWVWRRXURZQ LQWHQWLRQV IHHOLQJV DQG GHVLUHV ,Q HDFK RI WKHVH GLPHQVLRQV ZH DUH FRQVWDQWO\ PDNLQJ FODLPV HYHQ LI XVXDOO\ RQO\ LPSOLFLWO\ FRQFHUQLQJ WKH YDOLGLW\ RI ZKDW ZH DUH VD\LQJ LPSO\LQJ RU SUHVXSSRVLQJ ± FODLPV IRU LQVWDQFH UHJDUGLQJ WKH WUXWK RI ZKDW ZH VD\ LQ UHODWLRQ WR WKH REMHFWLYH ZRUOG RU FODLPV FRQFHUQLQJ WKH ULJKWQHVV DSSURSULDWHQHVV RU OHJLWLPDF\ RIRXUVSHHFKDFWVLQUHODWLRQWRWKHVKDUHGYDOXHVDQGQRUPVRIRXUVRFLDO OLIHZRUOG RU FODLPV WR VLQFHULW\ RU DXWKHQWLFLW\ LQ UHJDUG WR WKH PDQLIHVW H[SUHVVLRQVRIRXULQWHQWLRQVDQGIHHOLQJV [  

+DEHUPDVDQG5LFRHXURQ5HFRJQLWLRQ



7KHUHIRUHZKDWLVIXQGDPHQWDOLQWKLVSDVVDJHLVQRWWKHJHQHUDOFRQFHSW RI FRPPXQLFDWLRQ EXW UDWKHU WKH FRQFHSW RI FRPPXQLFDWLYH UDWLRQDOLW\ WKDW LV WKH DELOLW\ DQG FRPSHWHQFH WR WUDQVODWH SHUVRQDO IHHOLQJV GHVLUHV LQWHQWLRQV YDOXHV DQG EHOLHIV LQWR UDWLRQDOFRPPXQLFDWLYH FRQFHSWV DQG LGHDV $V +DEHUPDV H[SODLQV WKLV FRQFHSW ³FDUULHV ZLWK LW FRQQRWDWLRQV EDVHGXOWLPDWHO\RQWKHFHQWUDOH[SHULHQFHRIWKHXQFRQVWUDLQHGXQLI\LQJ FRQVHQVXVEULQJLQJ IRUFH RI DUJXPHQWDWLYH VSHHFK LQ ZKLFK GLIIHUHQW SDUWLFLSDQWV RYHUFRPH WKHLU PHUHO\ VXEMHFWLYH YLHZV DQG RZLQJ WR WKH PXWXDOLW\RIUDWLRQDOO\PRWLYDWHGFRQYLFWLRQDVVXUHWKHPVHOYHVRIERWKWKH XQLW\ RI WKH REMHFWLYH ZRUOG DQG WKH LQWHUVXEMHFWLYLW\ RI WKHLU OLIHZRUOG´ +DEHUPDV E   2I FRXUVH FRPPXQLFDWLYH UDWLRQDOLW\ KDV OLPLWDWLRQV HVSHFLDOO\ UHJDUGLQJ WKH FRPSUHKHQVLYH VWXG\ RI DOO SKHQRPHQD DQG VRFLDO SURFHVVHV 2Q WKH RQH KDQG LW PD\ KHOS WR XQGHUVWDQG WKH V\PEROLF UHSURGXFWLRQ RI WKH OLIHZRUOG RI VRFLDO JURXSV FRQWUROOHGLQWHUQDOO\%XWRQWKHRWKHUKDQGLWLVQRWSRVVLEOHWRHQWLUHO\ H[SODLQVRFLDOUHSURGXFWLRQLQWHUPVRIDVLQJOHFRPPXQLFDWLYHUDWLRQDOLW\ +RZHYHU DQ H[DPLQDWLRQ RI 0HDG¶V SKLORVRSKLFDO VRFLRORJ\ LV GLUHFWO\ OLQNHGWRWKLVDUJXPHQW ZKLFKDFWXDOO\IRUPVWKHEHJLQQLQJRIWKHVHFRQG YROXPHRIThe Theory of Communicative Action DQGWKHUHIRUHSURYLGHVD PRUHGHWDLOHGIRFXVRQWKHTXHVWLRQRILQWHUVXEMHFWLYLW\ ,QFRQFOXVLRQDQGDOWKRXJKQRWH[SOLFLWO\WKHPDWLVHG+DEHUPDV¶WKHRU\RI UHFRJQLWLRQLVIRXQGHGXSRQWKHQRWLRQRIintersubjective communication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

7KH,QWHUVXEMHFWLYLW\LQ5LFRHXU¶V3KLORVRSK\ 6RFLRORJ\ DQG FULWLFDO WKHRU\¶V DSSURDFK WR UHFRJQLWLRQ H[HPSOLILHV WKH FRQWLQXHG SHUVLVWHQFH RI WKH FDWHJRU\ RI LQWHUVXEMHFWLYLW\ DV ZHOO DV KHXULVWLF DQG IDFWXDO FHQWUDOLW\ ,I YLD +RQQHWK DQG 5LFRHXU WKH



&KDSWHU

SV\FKRORJ\ RI UHFRJQLWLRQ HVVHQWLDOO\ EULQJV WKH FHQWUDO IXQFWLRQDOLW\ RI WKH dialectical HOHPHQW LQWR WKH IRUHJURXQG VRFLRORJ\ YLD +DEHUPDV EULQJV EDFN WKH LVVXH RI LQWHUVXEMHFWLYH FRPPXQLFDWLRQ 7KH JHQHUDOL]HG DQGVSHFXODWLYHRXWFRPHH[WUDFWDEOHIURPWKHVWXG\RIWKHSV\FKRORJ\RI UHFRJQLWLRQLVWKDWUHFRJQLWLRQFDQQRWH[LVWZLWKRXWWKHdialectic process,W ZLOOQRWIXQFWLRQZLWKRXW relational and communicative commitmentDQG LQ VKRUW ZLWKRXW LQWHUVXEMHFWLYLW\ 7KH UHFRJQLWLRQ SURFHVV ZLOO QRW EH DFWLYDWHGDVDSURFHVVRIHPDQFLSDWLRQDVGHWHUPLQHGE\RXULQYHVWLJDWLRQ LQWR WKH VRFLRORJ\ RI UHFRJQLWLRQ +RZHYHU ZH FDQ REVHUYH WKDW WKH SV\FKRORJLFDODQGVRFLRORJLFDODUHLQWHUUHODWHGRQWZRSODQHVWKH\LQFOXGH PDQ\ HOHPHQWV RI FRUUHODWLRQ PXWXDO UHIHUHQFH DQG FRQQHFWLRQ ZKLFK HPHUJHLQWKHWKHRUHWLFDOVWUXFWXUHRIWKHVHSKLORVRSKLHVZLWKHYHQVWURQJHU HYLGHQFH 7KLV LV DOVR GXH WR WKH VSHFLILF FKDUDFWHU RI philosophical discourseZKLFKLVIOH[LEOHDQGLVRSHQO\LQWHUGLVFLSOLQDU\2QHPXVWQRW RYHUORRN WKLV DVSHFW DV LW LQ IDFW UHTXLUHV D QHZ OHYHO RI SKLORVRSKLFDO DQDO\VLV WKDW E\ FRQVLGHULQJ SV\FKRORJ\ DQG VRFLRORJ\ FRQQHFWV WKH FRQFHSWRIGLDOHFWLFVWRLQWHUVXEMHFWLYLW\ 7KHUH DUH VHYHUDO ZD\V WR DFFRPSOLVK WKLV WDVN EXW WKH HVVHQWLDOO\ 5LFRHXULDQSHUVSHFWLYHRIP\RZQUHVHDUFKDQGWKHSRVVLELOLWLHVLQKHUHQW LQKLVSKLORVRSK\KDYHHQFRXUDJHGPHWRDGRSWWKHSHUVSHFWLYHGHYHORSHG LQ The Course of Recognition WKURXJKRXW +RQQHWK  DQG DOVR WR UHIHU WR WKH SV\FKRDQDO\VW +HLQ] .RKXW¶V DQDO\VLV RI self-psychology ZKLFK 5LFRHXU GLVFXVVHV LQ KLV HVVD\ ³7KH 6HOI LQ 3V\FKRDQDO\VLV DQG LQ 3KHQRPHQRORJLFDO 3KLORVRSK\´ 7KLV DUWLFOH IRFXVHV XSRQ D VSHFLILF WKHRUHWLFDOGHYHORSPHQWRISV\FKRDQDO\VLVLQFULWLFDOUHIHUHQFHWR)UHXG¶V WKHRU\RIPDQ+RZHYHU5LFRHXUDOVRH[DPLQHV.RKXW¶VWKHRU\LQRUGHUWR GHYHORSDQH[SDQGHGWKHPHRILQWHUVXEMHFWLYLW\7KLVH[WHQGVEH\RQGWKH FKDQJH LQ KLV SHUVSHFWLYH RQ WKH KHUPHQHXWLFV RI SV\FKRDQDO\VLV DQG UHVXOWV LQ D GLDOHFWLFDO LQWHUSUHWDWLRQ WKDW ZLOO EH FHQWUDO WR WKH ILQDO GHYHORSPHQW RI KLV SKLORVRSKLFDO DQWKURSRORJ\ $W WKH FRQFOXVLRQ RI WKH FKDSWHUZHZLOOILQGWKDWWKHLQTXLU\LQWRWKHSROLWLFVRIUHFRJQLWLRQOHDGV XVWRIRFXVXSRQWKHQRWLRQRIUHFRJQLWLRQDVresponsibility7KLVFRQFHSW LV ZHOO NQRZQ DV D FUXFLDO SDUW RI 5LFRHXU¶V SKLORVRSK\ RI WKH capable human beingDSKLORVRSK\HVWDEOLVKHGRQWKHWKUHHFRQVWLWXWLYHFRQFHSWV RIdialectics,intersubjectivityDQGresponsibility.6RPHFRQVLGHUWKLVWULDG WRFRQVWLWXWHDFRPSUHKHQVLYHSKLORVRSK\RIUHFRJQLWLRQ /HWXVQRZH[DPLQHWKH5LFRHXULDQHVVD\RQ.RKXWLQGHWDLOLQRUGHU   WRLPPHGLDWHO\LQGLFDWHLWVFRQQHFWLRQVZLWK5LFRHXU¶VKHUPHQHXWLFVRIWKH VHOI DV H[SUHVVHG LQ KLV  Soi-même comme un autre DQG   WR H[SODLQ WKDW WKLV SKLORVRSKLFDO SHUVSHFWLYHGRHVQRW OHDG WRR IDU IURP WKH

+DEHUPDVDQG5LFRHXURQ5HFRJQLWLRQ



FRPPXQLFDWLYH SHUVSHFWLYHRI+DEHUPDV¶FULWLFDO VRFLRORJ\ ,Q IDFWERWK 5LFRHXU DQG +DEHUPDV VWUHVV LQWHUVXEMHFWLYLW\ DV WHUPV RU ILHOGV RI UHFRJQLWLRQ WKH ILUVW GHYHORSLQJ D GLVFRXUVH RI LQWHUVXEMHFWLYH QDUUDWLRQ WKHVHFRQGRIDQLQWHUVXEMHFWLYHFRPPXQLFDWLRQDVH[SODLQHGSUHYLRXVO\ ³7KH 6HOI LQ 3V\FKRDQDO\VLV DQG LQ 3KHQRPHQRORJLFDO 3KLORVRSK\´ 5LFRHXU  ±  LV FRQQHFWHG WR DQRWKHU DUWLFOH WKDW 5LFRHXU SXEOLVKHG RQO\ LQ ,WDOLDQ LQ  LQ Metaxù  ,W UHPDLQHG ORQJ XQSXEOLVKHG LQ LWV RULJLQDO )UHQFK YHUVLRQ ³/H UpFLW VD SODFH HQ SV\FKDQDO\VH´ ³1DUUDWLYH,WV3ODFHLQ3V\FKRDQDO\VLV´>±@  7KH DUWLFOH ZDV LQWHQGHG WR FRQWULEXWH WR VWXG\LQJ WKH  ODVW ZRUN RI .RKXW How does Analysis Cure? .RKXW   7KLV SKLORVRSKLFDO LQWHUHVWGRHVQRWFRQFHUQWKHGLVSXWHEHWZHHQWKHSV\FKRDQDO\WLFVFKRROV EXW UDWKHU WKH SODFH RFFXSLHG E\ consciousness ego DQG self 5LFRHXU  ,WVILUVWVSHFXODWLYHVXJJHVWLRQUHJDUGVWKHQDWXUHRIWKHselfLQ SV\FKRDQDO\VLV SDUWLFXODUO\ LQ UHODWLRQ WR WKH H[SHULHQFH RI WKH other E\ ZKLFKWKLVZRUNFDQEHFDWHJRUL]HGYLDWKHVXEMHFWOLQHSoi-même comme un autre Oneself as Another  ZKLFK UHYHDOV KRZ 5LFRHXU KDV DOVR FODULILHGWKHSUREOHPRIGHILQLQJWKHselfWKURXJKDVXUYH\FDUULHGRXWLQWR WKH SV\FKRORJ\ RI WKH XQFRQVFLRXV 7KH SUHVHQFH RI SV\FKRDQDO\VLV LQ Oneself as Another LV WKXV DOVR LOOXVWUDWHG UHODWLRQ WR WKH SUREOHP RI LQWHUVXEMHFWLYLW\ %HIRUH GHOYLQJ LQWR WKLV SRLQW ZH PXVW FRQVLGHU WKH HVVD\¶V VHFRQG LQWHUHVWLQJ HOHPHQW DV LW DOORZV XV WR GHYHORS WKLV DUJXPHQWLQUHIHUHQFHWRWKHHVVD\¶VVSHFLILFFRQWHQW7KLVHOHPHQWFDQEH LPPHGLDWHO\ GLVFHUQHG IURP WKH SDSHU¶V JHQHUDO VWUXFWXUH DQG SURFHGXUH 5HVHPEOLQJ Freud and Philosophy  WUDQVODWLRQ   WKH DUWLFOH ³7KH 6HOI LQ 3V\FKRDQDO\VLV DQG LQ 3KHQRPHQRORJLFDO 3KLORVRSK\´ LV GLYLGHG LQWR WZR SDUWV ,Q WKH ILUVW 5LFRHXU SUHVHQWV DQ analytic RI WKH PHWDSV\FKRORJ\DQGWHFKQLTXHRIself-psychologyLQWKHVHFRQGZKLFKLV D dialectical VHFWLRQ KH DVNV DERXW WKHLU SRVVLEOH FRQWULEXWLRQ WR SKLORVRSKLFDO UHIOHFWLRQ LQ SDUWLFXODU UHODWLRQ WR WKH TXHVWLRQ RI WKH UHODWLRQVKLS EHWZHHQ VXEMHFWLYLW\ DQG LQWHUVXEMHFWLYLW\  7KLV UHSUHVHQWV 5LFRHXU¶V ILUVW XVH RI D VLPLODU WUDQVDFWLRQ UHJDUGLQJ D VFKRRO RWKHU WKDQ )UHXGLDQSV\FKRDQDO\VLV 5LFRHXU¶V WKH DUWLFXODWLRQ RI ³DQDO\WLF´ DQG ³GLDOHFWLF´ H[SUHVVHV WKH PRYHPHQW RI WKH reflection SURFHHGLQJ IURP D QRQSKLORVRSKLFDO WR D SKLORVRSKLFDO OHYHO 3XW PRUH SUHFLVHO\ LW WUDQVLWLRQV WR D OHYHO ZKHUH 5LFRHXU ³OHWV RQH OHDUQ´ IURP WKH DQDO\WLFDO H[SHULHQFH DQG ZKHUH WKH ODWWHU HQWHUV WKH VSKHUH RI SKLORVRSKLFDO UHIOHFWLRQ 7KLV PRYHPHQW ZDV DOUHDG\ DSSOLHG WR SV\FKRDQDO\VLV LQ Freud and Philosophy DQG LQ The



&KDSWHU

Conflict of Interpretations  $VVXFKZHPXVWLQTXLUHDVWRZK\LWLV UHSHDWHG LQ WKLV VHFRQG SDVVDJH DQG HVSHFLDOO\ LQ UHODWLRQ WR .RKXW¶V SV\FKRDQDO\VLVUDWKHUWKDQ)UHXG¶V" 5LFRHXU WKLQNV WKDW .RKXW¶V VHOISV\FKRORJ\ FDQ ³LQVWUXFW´ SKLORVRSK\ FRQFHUQLQJ ³WKH UHODWLRQVKLS EHWZHHQ VXEMHFWLYLW\ DQG LQWHUVXEMHFWLYLW\´ Ibidem  EHWWHU WKDQ )UHXG¶V SV\FKRDQDO\VLV FDQ RU FRXOG KDYH +H KDG DOUHDG\IRXQGLQKLVHVVD\RQ)UHXGWKDWWKLVODWWHUWKLQNHU¶VPRGHO ZDVXQDEOHWRDFFRXQWIRUWKHSKHQRPHQRQDQGH[SHULHQFHRIDOWHULW\DQG LQWHUVXEMHFWLYLW\ 5LFRHXU  7KLV PRYHPHQW IURP +HLQ] .RKXW¶V SV\FKRDQDO\VLV FRPSHQVDWHV IRU LWV ODFN RI )UHXGLDQLVP LQ DGGLWLRQ WR FRQWULEXWLQJ WR WKH SKLORVRSK\ RI WKH WKHPH RI LQWHUVXEMHFWLYLW\ 7ZR SDVVDJHV IURP WKH  DUWLFOH FRQILUP WKLV FODLP 7KH ILUVW IURP WKH ILUVW ,WDOLDQ HGLWLRQ  UHDGV ³7KH UHYLHZ MetaxùSXEOLVKHGDQDUWLFOH,KDGZULWWHQDERXWWKHself-analysisRI+HLQ] .RKXW,DPLQIDFWYHU\LQWHUHVWHGLQWKHIDFWWKDWWKLVDXWKRUKDVDVVLJQHG DSULPRUGLDOSODFHDWWKHUHODWLRQVKLSZLWKWKHRWKHU´+HWKHQGLVFXVVHVWKH HQWLUHDUWLFOHDQGDVHYLGHQFHGE\WKHLGHQWLFDOFRQFOXVLRQVUHDFKHG LQWKHZRUNKLVSULPDU\LQWHUHVWLVFOHDUO\WKHWKUHHFRQILJXUDWLRQVRIVHOI WUDQVIHUHQFH WKDW +HLQ] .RKXW GHVFULEHV PLUURU WUDQVIHUHQFH WKH LGHDOL]LQJWUDQVIHUHQFHDQGWZLQWUDQVIHUHQFH 6SHFLILFDOO\WKHVHSDUDOOHO WKH WKUHH SDUDGLJPV RI LQWHUVXEMHFWLYLW\ GHULYHG IURP WKH PRUH UDGLFDO WKRXJKWV RI PRGHUQ DQG FRQWHPSRUDU\ SKLORVRSK\ +HJHO +XVVHUO /pYLQDV  5LFRHXU    +RZHYHU WKH VHFRQG SDVVDJH UHDIILUPV WKH FULWLFLVP RI )UHXG¶V V\VWHPDWLVDWLRQ ZKLFK FORVHV VXEMHFWLYLW\ DQG FRQILUPV³WKHUHLVQHYHUDQRWKHU´   &RQVLGHULQJ.RKXW¶VWKRXJKWZHVKRXOGSHUKDSVVSHDNRIWKHDEDQGRQPHQW RU HYHQ WKH overcoming LQ WKH +HJHOLDQ VHQVH RI WKH WHUP  RI )UHXGLDQLVPUDWKHUWKDQRILWVLQWHJUDWLRQRUFRPSOHWLRQ,QIDFWIRU.RKXW WKH GLPHQVLRQ RI LQWHUVXEMHFWLYLW\ LV constitutive RI VXEMHFWLYLW\ LQ LWVHOI DQGDVVXFKWKHHQWLUHPHWDSV\FKRORJLFDOPRGHOOHDGVWRDUHGHILQLWLRQ,Q .RKXW WKH RWKHU LV always WKHPDWLVHG DV D VWUXFWXUDO HOHPHQW EHFDXVH LW GHWHUPLQHV WKH cohesion RI WKH VXEMHFWLYH VHOI :H UHTXLUH OLIHORQJ KHOS IURP RWKHU KXPDQ EHLQJV ZKR WUXVW XV DQG ZKR SRVLWLRQ WKH VXSSRUWLYH IXQFWLRQRISV\FKLFFRKHVLRQDJDLQVWWKHWHQGHQF\WRZDUGVIUDJPHQWDWLRQ ,Q ³7KH 6HOI LQ 3V\FKRDQDO\VLV DQG LQ 3KHQRPHQRORJLFDO 3KLORVRSK\´ 5LFRHXU H[SODLQV ³:H KDYH DOUHDG\ VHHQ WKDW WKH VHOI DOZD\V QHHGV WKH VXSSRUWRIDVHOIREMHFWWKDWKHOSVLWWRPDLQWDLQLWVFRKHVLRQ,QWKLVVHQVH ZH PLJKW HYHQ VSHDN RI DQ DXWRQRP\ WKURXJK KHWHURQRP\´   2Q WKH RQH VLGH VWDQGV )UHXG¶V VROLSVLVWLF DQG closed PRGHO LQ ZKLFK WKH

+DEHUPDVDQG5LFRHXURQ5HFRJQLWLRQ



SULQFLSOH RI FRKHVLRQ GHSHQGV RQ DQ LQWULQVLF DXWRQRP\ DQG LQ ZKLFK IUDJPHQWDWLRQLVPRVWO\UHODWHGWRLQWHUQDOG\QDPLVP2QWKHRWKHUVLGHZH KDYH .RKXW¶V open PRGHO LQ ZKLFK WKH FRKHVLRQ RI WKH VHOI JLYHV DQG PDLQWDLQVLQWHUVXEMHFWLYLW\ 5LFRHXULVVHQVLWLYHWRWKHGLIIHUHQFHVEHWZHHQWKHVHWZRPRGHOV,QIDFW KLVLQWHUHVWLQ.RKXWDSSHDUVWRPDUNDQLPSRUWDQWVWHSLQKLVSURJUHVVLYH GLVWDQFLQJ IURP )UHXG WRZDUGV ZKRP KH QRZ FODLPV WR IHHO DQ ³LQFUHDVLQJ GLVVDWLVIDFWLRQ´  D GLVWDQFLQJ PDUNLQJ D QHZ SKDVH RI 5LFRHXU¶VSKLORVRSK\RISV\FKRDQDO\VLV)URPWKHEHJLQQLQJRIWKHV 5LFRHXUEHFDPHLQFUHDVLQJO\DWWHQWLYHWRWKHH[SHULHQFHRIWKHFOLQLFDQG SDUWLFXODUO\WRWKHSKHQRPHQRQRIanalytical narrationRUPRUHSUHFLVHO\ WR WKH WHFKQLFDOWKHUDSHXWLF SKHQRPHQRQ RI UHFRQVWLWXWLQJ WKH narrative identity,QFRQMXQFWLRQZLWKWKLVKHDOVREHFDPHLQFUHDVLQJO\DWWHQWLYHWR WKHH[SHULHQFHRIWKHHQFRXQWHUZLWKWKHRWKHU7KLVODWWHUWKHPHKDGKHOG 5LFRHXU¶V DWWHQWLRQ VLQFH KLV HDUO\ VWXGLHV RQ +XVVHUO DQG LW EHFDPH FHQWUDOWRWKHDQWKURSRORJLFDOFRQVWUXFWLRQRIOneself as Another+HUHLQ IDFW WKH VXEMHFW VHHPV WR UHVHPEOH .RKXW¶V self VLJQLILFDQWO\ PRUH WKDQ )UHXG¶V 7KLV FKDQJH RI SHUVSHFWLYH KDV QRW RQO\ DIIHFWHG WKH LQWHUSUHWDWLRQ RI SV\FKRDQDO\VLVEXWFRQVHTXHQWO\KDVDOVRPDGHWKLVLQWHUSUHWDWLRQVXLWDEOH IRU DQG FRPSDWLEOH ZLWK WKH FRQWHQW DQG WKH ³QHFHVVLWLHV´ RI 5LFRHXU¶V SKLORVRSK\ZKLFKKHGHYHORSHGGXULQJWKHV3URRIRIWKLVOLHVLQWKH WKHPH RI LQWHUVXEMHFWLYLW\ ZKLFK SURPSWHG 5LFRHXU WR RYHUFRPH YLD .RKXW WKH³)UHXGLDQ´ DQGVROLSVLVW LGHDRIWKHsemanticsofdesireDQG WRDVVXPHWKHEURDGHUDQGFOHDUO\GLUHFWHGFRQFHSWLRQWKDW³KXPDQGHVLUH KDV DGLDORJLFDO VWUXFWXUH´   7KLV FKDQJH LQSHUVSHFWLYH KDV DOORZHG SV\FKRDQDO\VLV WR support DQG LQ VRPH ZD\V legitimise WKH 5LFRHXULDQ WKHRULVDWLRQV RI LQWHUVXEMHFWLYLW\ DQG DOWHULW\ DOWKRXJK REYLRXVO\ QRW VLPSO\GXHWRWKHLQWURYHUWHGGLPHQVLRQRIRWKHUQHVVZLWKLQLQWKH³ILJXUH´ RI WKH PRUDO FRQVFLRXVQHVV  7KH DUWLFOH ³1DUUDWLYH ,WV 3ODFH LQ 3V\FKRDQDO\VLV´ H[SODLQV WKDW DQDO\VLV VHHNV WR LOOXPLQDWH ROG UHODWLRQVKLSV HVSHFLDOO\ WKRVH ZLWK RQH¶V IDWKHU PRWKHU DQG DQ\RQH UHODWHGWRDFKLOG¶VGHVLUHV7KHDQDO\WLFH[SHULHQFHLWVHOI LQHDFK)UHXGLDQ FDVH  LV WKXV EDVHG XSRQ WKH ILUVW UHSRUWHG GHVLUH ZLWK WKH RWKHU YLD ODQJXDJH 7KH RWKHU PD\ FRUUHVSRQG WR WKLV GHVLUH DV HYLGHQFHG E\ WKH SV\FKRDQDO\VLV UHYROYLQJ DURXQG IXQGDPHQWDO GUDPDV 7KH UHODWLRQVKLS ZLWKWKHIDWKHUDQGWKHPRWKHULVRQHRIODQJXDJHEHFDXVHWKHFKLOGLVERUQ LQWR DQ HQYLURQPHQW RI ODQJXDJH PHDQLQJ DQG GLVFRXUVH ,Q WKLV SUH FRQVWLWXWHG UHDOP WKH IDWKHU DQG PRWKHU DUH QRW RQO\ WKH ³EHLQJV´ RU ³SDUHQWV´WKDWQRXULVKWKHFKLOGWKH\DUHDOVRWKHRQHVZKREULQJLWLQWRWKH



&KDSWHU

FRPPXQLW\RIODQJXDJHDQGWKHUHIRUHLQWRWKHOLIHZRUOG ±  7KH LVVXH RI QDUUDWLRQ SUHVHQWV D VHFRQG SLHFH RI HYLGHQFH EURDGHQLQJ DQG LQ D VHQVH RYHUWDNLQJ WKH KHUPHQHXWLFDO SHUVSHFWLYH RQ WKH LQWHUSUHWDWLRQ RI V\PEROV 5LFRHXU UHFRJQLVHV DQG LQ IDFW VHHNV WR LQGLFDWH  WKDW ³)UHXG KLPVHOI QHYHU WKRXJKW WR WKHRUL]H´ WKH ³EDVLF IDFW´ WKDW³HDFKVHVVLRQRIDQDO\VLV>LQFOXGHV@VRPHQDUUDWLYHHOHPHQWDVZKHQ RQH UHFRXQWV D GUHDP´   )UHXG QHYHU GLVFXVVHG WKH SRVVLELOLW\ RI HVWDEOLVKLQJDFRUUHODWLRQEHWZHHQWKHQDUUDWLYHDQGDQDO\VLV7KHUHIRUHE\ H[WHQVLRQ KH ZRXOG QRW KDYH WKHRUL]HG WKH SRVVLELOLW\ RI UHDGLQJ SV\FKRDQDO\VLV DV D KHUPHQHXWLF LQ WKH VHQVH WKDW PDQ LV D EHLQJ ZKR XQGHUVWDQGV KLPVHOI ERWK WKURXJK LQWHUSUHWDWLRQ   DQG YLD WKH FRPSUHKHQVLYH PHWKRG RI narrative interpretation ZKLFK LV WR LQWHUSUHW RQH¶V VHOI QDUUDWLYHO\  7KLV LV WKH PDLQ UHDVRQ EHKLQG 5LFRHXU¶V ³LQFUHDVLQJGLVVDWLVIDFWLRQ´ZLWK)UHXGLDQLVP ,EHFDPHPRUHDQGPRUHFRQYLQFHGWKDW)UHXGLDQWKHRU\LVGLVFRUGDQWZLWK LWV RZQ GLVFRYHU\ >@ ,Q VD\LQJ WKLV , DP LQ FRPSOHWH DJUHHPHQW ZLWK -UJHQ+DEHUPDVDQGRWKHUVDVZHOODVZLWKDQXPEHURI(QJOLVKVSHDNLQJ LQWHUSUHWHUV RI SV\FKRDQDO\VLV 7KH\ DOO VHH D JURZLQJ JDS EHWZHHQ LWV WKHRU\ ± ZKLFK LV XOWLPDWHO\ EDVHG RQ D PHFKDQLVWLF PRGHO DQ HFRQRPLF RQH KHQFHDQ HQHUJHWLF RQH ZKLFK FRPSOHWHO\ PLVVHV WKH NH\GLPHQVLRQ RI)UHXG¶VGLVFRYHU\±DQGLWVSUDFWLFH  

7KXV LQ WKH FRXUVH RI WKH V 5LFRHXU GHSDUWV VLJQLILFDQWO\ IURP )UHXGLDQLVP +LV GHSDUWXUH IURP WKH WKHRUHWLFDOKHUPHQHXWLF PRGHO KDV SURIRXQGLPSOLFDWLRQVIRUSKLORVRSKLFDODQWKURSRORJ\SDUWLFXODUO\UHJDUGLQJ WKH FRQFHSWXDO FRQQHFWLRQ EHWZHHQ dialectic DQG intersubjectivity. 7KH DUWLFOH ³1DUUDWLYH ,WV 3ODFH LQ 3V\FKRDQDO\VLV´ FOHDUO\ GHILQHV WKH narrative FKDUDFWHULVDWLRQ RI 5LFRHXU¶V GLDOHFWLF RI LQWHUVXEMHFWLYLW\ 5LFRHXUIROORZVWZRLQGHSHQGHQWOLQHVRIWKRXJKWWRUHIOHFWRQWKHSODFHRI ³QDUUDWLYH IXQFWLRQ´ LQ SV\FKRDQDO\VLV 2QH OLQH FRPHV IURP QDUUDWLYH WKHRU\ DQG ZKLOH QRW KDYLQJ RU EULQJLQJ DQ\WKLQJ WR WKH GHSWKV RI SV\FKRORJ\5LFRHXUILUVWHQFRXQWHUVSV\FKRDQDO\VLVGXULQJWKHPHGLDWLRQ EHWZHHQ WKH WZR PRGHV RI VWRU\WHOOLQJ WKH KLVWRULFDO DQG WKH ILFWLRQDO ZKLFKERWKFRQWDLQ³QDUUDWLYHLGHQWLW\´+HDOVRHQFRXQWHUVSV\FKRDQDO\VLVLQ UHODWLRQWRWKHFRQFHSWRI³QDUUDWLYHLGHQWLW\´DQGLQWKHKHUPHQHXWLFVRI WKH VHOI ZKHUH WKH SURFHVV RI VHOIXQGHUVWDQGLQJ LV DOZD\V FRQVWLWXWHG QDUUDWLYHO\ HYHQ ZKHQ VWRU\WHOOLQJ  DQG UHVHPEOHV WKH SURFHVV RI WKH DQDO\WLFVLWXDWLRQ ,QFRQWUDVWWKHVHFRQGOLQHRIUHIOHFWLRQRQWKHWKHRU\DQGHSLVWHPRORJ\RI )UHXGLDQLVP OHDGV 5LFRHXU WR DFFHSW ³LQ IXOO IRUPXOD´ WKH WKHVLV RI

+DEHUPDVDQG5LFRHXURQ5HFRJQLWLRQ



+DEHUPDV DQGRWKHUV UHJDUGLQJWKH³VFLHQWLVWLFVHOIPLVXQGHUVWDQGLQJRI )UHXG´ DQG WKH ³hermeneutical QDWXUH RI SV\FKRDQDO\VLV´ 7KLV OLQH RI WKRXJKW LQ FRPELQDWLRQ ZLWK KLV ³LQFUHDVLQJ GLVVDWLVIDFWLRQ UHJDUGLQJ )UHXGLDQLVP´ SXVKHV 5LFRHXU WR reinterpret SV\FKRDQDO\VLV +H GRHV QRW EHJLQ ZLWK WKHRU\ EXW UDWKHU WKH DQDO\WLF H[SHULHQFH LWVHOI i.e. WKH UHODWLRQVKLS EHWZHHQ WKH DQDO\VHG DQG WKH DQDO\VW HVSHFLDOO\ GXULQJ WKH WUDQVIHUHQFHSURFHVV   7KLV FKDQJH RI SHUVSHFWLYH FRQYLQFHG 5LFRHXU ³WR UHLQWURGXFH WKH QDUUDWLYH HOHPHQW LQWR WKH VWUXFWXUHRI WKH DQDO\WLF H[SHULHQFH´   YLD ILUVWH[DPLQLQJWKHHYLGHQFH)UHXGSURGXFHGYLDKLVSUDFWLFDODFWLYLWLHV LQ FRQWUDVW WR KLV WKHRULHV  DQG VHFRQGO\ E\ FRQVLGHULQJ WKH WHVWLPRQ\ RI RWKHU )UHQFK SV\FKRDQDO\VWV VXFK DV 3LHUD $XODJQLHU DQG 0DQQRQL LQ DGGLWLRQ WR WKH *HUPDQVSHDNLQJ SV\FKRDQDO\VWV 0LWVFKHUOLFK DQG /RUHQ]HU 2QHVKRXOGGHWHUPLQH³WKHµFULWHULRORJ\¶RIWKHDQDO\WLFDOIDFW´ ZKLFK5LFRHXUVHHNVWRH[SODLQLQIRXUVWHSV7KHODVWRIWKHVHDOORZVKLP WR UHORFDWH WKLV GLVFXVVLRQ IURP WKH HSLVWHPRORJLFDO WR WKH KHUPHQHXWLF SODQH RI QDUUDWLRQ $V WKH ILUVW K\SRWKHVLV PDNLQJ WKH XVH RI WKH VWRU\ SRVVLEOHWKHILUVWVWHSDOORZV5LFRHXUWRGHPRQVWUDWHDOLQNWRWKHODQJXDJH RISV\FKRDQDO\VLV YLD+DEHUPDV¶OLQHRIDUJXPHQWDWLRQ 7KLVEHFRPHVD FHQWUDO DQG FRQVWLWXWLYH practice of language HYHU\WKLQJ KDSSHQV LQ RU WKURXJKODQJXDJHLQRUGHUWR³UHV\PEROL]HZKDWKDGEHHQGHV\PEROL]HG´  7KHVHFRQGVWHSUHOLHVXSRQ.RKXW¶VVHOIDQDO\VLVWRDOORZ5LFRHXU WRGLVFXVVWKH³GLDORJLFDOVWUXFWXUH´RIKXPDQGHVLUH7KHWKLUGHPSKDVLVHV WKDW RXU UHODWLRQVKLSV WR UHDOLW\ DQG WR WKH RWKHU FURVV WKH ERXQGDULHV RI LPDJLQDWLRQ IRU DOWKRXJK WKH LPDJHU\ PD\ EH FRPSOLFDWHG LW FDQ DOVR EHFRPH D SODFH RI LOOXVLRQ  )LQDOO\ WKH IRXUWK UHDFKHV WKH narrative dimensionZKLFKDOORZVKLPWRDGGWKHdimension of timeDVDQHOHPHQW 5LFRHXUFRQGXFWVWKLVUHLQWHUSUHWDWLRQRISV\FKRDQDO\VLVE\FRQQHFWLQJWKH ³ZDUS´RIKHUPHQHXWLFVWKHDQDO\WLFDOH[SHULHQFHRI³SORW´WKHQDUUDWLYH WKHRU\ RI Temps et récit   DQG WKH QDUUDWLYH FRQFHSWLRQ RI D KHUPHQHXWLFVRIWKHVHOI Oneself as Another  5LFRHXU¶V ZRUN XQLWHV WKH FRQFHSWV RI WLPH DQG QDUUDWLYH DV ZHOO DV LQWURGXFLQJ WKH WKHPH RI QDUUDWLYH LGHQWLW\ DQG QDUUDWLRQ DV D PHWKRG RI VHOIXQGHUVWDQGLQJ ,Q WHUPV RI WKH ODWWHU SRLQW SV\FKRDQDO\VLV LQWHUSUHWV PHGLDWLRQ WKURXJK WKH HOHPHQW RI VHOIXQGHUVWDQGLQJ DQG SHRSOH XQGHUJRLQJ SV\FKRDQDO\VLV ³DUH EHLQJV ZKR XQGHUVWRRG WKHPVHOYHV E\ LQWHUSUHWLQJWKHPVHOYHV´YLDQDUUDWLYH 



&KDSWHU

7R FRQFOXGH 5LFRHXU¶V UHVHDUFK LV URRWHG LQ D VRFLDOSV\FKRORJ\ SHUVSHFWLYH DQG H[WHQGV EDFN WR WKH SKLORVRSKLFDODQWKURSRORJLFDO GLVFRXUVH :H FDQQRW JUDVS WKH GLVVRQDQFH DQG GLVWDQFH XVLQJ WKLV SHUVSHFWLYH1HYHUWKHOHVV+DEHUPDVXVHVWKLVDQGWKHFRQWH[WLQZKLFKLW LVDSSOLHG±WKDWLVVWULFWO\VSHDNLQJWKHVRFLRORJLFDOVFRSHDQGWKHVFRSH RI D VRFLDO FULWLFDO WKHRU\ ± WR GHYHORS KLV ³SKLORVRSK\ RI LQWHUVXEMHFWLYLW\´:HFDQQRWKLGHWKLVGLVFUHSDQF\QRUFDQZHORFDWHLWV UHVROXWLRQ+RZHYHUZHSRVVHVVPRUHHOHPHQWVZLWKZKLFKWRUHFRQVWUXFW D WKHRUHWLFDO HODERUDWLRQ RI WKH LQWHUVXEMHFWLYH VSOLW EHWZHHQ SV\FKRORJ\ DQGFULWLFDOVRFLDOWKHRU\

$&RQFOXVLRQ )URPGLIIHUHQWSHUVSHFWLYHVWKHWUDQVLWLRQWRDVRFLRORJ\DQGDSV\FKRORJ\ RI UHFRJQLWLRQ VWUHVVHV WKH FHQWUDOLW\ RI WKH RWKHU DV ZHOO DV WKH LQWHUVXEMHFWLYH G\QDPLVP LQ WKH SURFHVV RI HPDQFLSDWLRQ 5LFRHXU¶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³YLWDO QHHG´ LWV DEVHQFH GHHSO\ LQMXULHV VRFLHW\ DQG LQHYLWDEO\ FDXVHV SHRSOHWRDGRSWGHIHQVLYHUHVSRQVHV ,QFRQFOXVLRQ5LFRHXU¶VSKLORVRSKLFDODQWKURSRORJ\TXHVWLRQVWKHPHWKRG RI UHFRQVLGHULQJ DQG UHH[DPLQLQJ WKH SV\FKRORJLFDO DQG VRFLRORJLFDO

+DEHUPDVDQG5LFRHXURQ5HFRJQLWLRQ



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love WKH MXULGLFDO LQVWUXPHQW RI SROLWLFDO DQG VRFLDO UHFRJQLWLRQDVlegal rightsWKHSUDFWLFDODQGFXOWXUDOLQVWUXPHQWRIVRFLDO FRQILGHQFH DV social esteem. 5LFRHXU LV DZDUH RI WKH LPSRUWDQFH DQG FHQWUDOLW\ RI WKLV DQDO\WLFDO JULG De facto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

&+$37(5 6(0$17,&62)$&7,21 +80$1$&7,21%(7:((1027,9$7,21 $1'&$86$7,21   

,QWURGXFWLRQ$&RPSUHKHQVLYH$SSURDFK RQWKH+XPDQ%HLQJ 5LFRHXU¶V Oneself as Another RIIHUV D FRPSUHKHQVLYH SKLORVRSKLFDO SHUVSHFWLYHRIWKHKXPDQEHLQJSUHFLVHO\DSKHQRPHQRORJLFDOKHUPHQHXWLFV PRGHORISHUVRQDOLGHQWLW\ZKLFKFRQQHFWVDQGFRRUGLQDWHVERG\DQGPLQG H[WHUQDO FRUSRUDO UHODWLRQDO DQG VRFLDO OLIH  DQG LQWHUQDO SV\FKLF H[SHULHQWLDO DQG VSLULWXDO  OLIH ,Q IDFW ZLWKLQ WKLV ZRUN VXEMHFWLYLW\ LV XQGHUVWRRGDVDQDWXUDODQGH[LVWHQWLDOH[SHULHQWLDO³H[SUHVVLYHSRZHU´DW WKHVDPHWLPHDVEHLQJDSK\VLFDOPHQWDOVRFLDODQGPRUDOSURFHVVWKDW LVDPHDQVRIHPDQFLSDWLRQDVZHOODVRIGHYHORSPHQW 5LFRHXU DUWLFXODWHV WKH GLDOHFWLF EHWZHHQ LGHQWLW\ DQG VHOI E\ SXWWLQJ LQ FRQQHFWLRQWKHVXEMHFWLYHFKDUDFWHULVWLFUHODWHGWRWKHQDWXUDODVSHFWVRIDQ LQGLYLGXDO WR VSHFLILFXQLTXH LQQHU FXOWXUDO DQG KLVWRULFDO DVSHFWV H[SHULHQFHG E\ D SHUVRQ 7KH IRUPHU UHIHUV WR ³ERGLO\´ DVSHFWV VXFK DV RQH¶V'1$FRGHSHUVRQDOFKDUDFWHUDQGVRRQWKHODWWHULVV\PEROLFDOO\ H[SUHVVHG LQ WKH SUDFWLFDO PRUDO DQG VRFLDO DFW RI ³NHHSLQJ RQH¶V SURPLVHV´ VHH5LFRHXU )RU5LFRHXUWKHQDUUDWLYHGLPHQVLRQ RI LGHQWLW\ RU tout court QDUUDWLYH LGHQWLW\ LV WKH IXQFWLRQ WKDW G\QDPLFDOO\ DQG V\QWKHWLFDOO\ PRGXODWHV WKH UHODWLRQVKLS EHWZHHQ WKHVH WZR GLPHQVLRQV RI VXEMHFWLYLW\ 7KH UXOH RI QDUUDWLYH PHGLDWLRQ LV RI FHQWUDOLPSRUWDQFHLQWKHIRUPDWLRQDQGSHUSHWXDOUHGHILQLWLRQRIDQLGHD DQG UHSUHVHQWDWLRQXQGHUVWDQGLQJ RI WKH VHOI DV ZHOO DV LQ WKH YHU\ FRQVWLWXWLRQ RI SHUVRQDOLW\ DQG SHUVRQDO LGHQWLW\ +XPDQ LGHQWLW\ QHHGV D FRUSRUDO DV ZHOO DV D PHQWDO DQG D VRFLDO FRPSRQHQW IRU WKH FRQVWLWXWLRQ DQGH[SUHVVLRQRIa selfEXWLWVHVVHQWLDOVWUXFWXUHLVKLVWRULFDOFXOWXUDODQG H[LVWHQWLDO7KLVH[SODLQZK\LQ5LFRHXU¶VXQGHUVWDQGLQJ³VHOIXQGHUVWDQGLQJ

6HPDQWLFVRI$FWLRQ



LVDQLQWHUSUHWDWLRQLQWHUSUHWDWLRQRIWKHVHOILQWXUQILQGVLQWKHQDUUDWLYH DPRQJRWKHUVLJQVDQGV\PEROVDSULYLOHJHGIRUPRIPHGLDWLRQWKHODWWHU ERUURZVIURPKLVWRU\DVZHOODVIURPILFWLRQPDNLQJDOLIHVWRU\DILFWLRQDO KLVWRU\ RU LI RQH SUHIHUV D KLVWRULFDO ILFWLRQ LQWHUZHDYLQJ WKH KLVWRULRJUDSKLFVW\OHRIELRJUDSKLHVZLWKWKHQRYHOLVWLFVW\OHRILPDJLQDU\ DXWRELRJUDSKLHV´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ȑȡȝȘȞİȣIJȚȤȩȢ įȪȞĮȝȚȢ ,QIDFW5LFRHXULQGLUHFWO\WKHPDWLVHVWKLVLGHDLQKLVWHQWKVWXG\ RIOneself as Another7KLVLVDFRQFHSWLRQWKDWRIIHUVDZD\WRGHHSHQWKH LGHD RI WKH human capacity WR UH³UHDG´ GULYHV DV GHVLUHV DQG FDXVHV DV PRWLYDWLRQV RU EHWWHU WR UHFHLYH UHEDODQFH UHPRGXODWH DQG WUDQVIRUP SK\VLFDOHPRWLRQDO GULYHV LQWR GHVLUHV OLQJXLVWLFDOO\ DQG V\PEROLFDOO\ UHSUHVHQWHGDVMXVWLILHGRUDUJXHGPRWLYDWLRQVDQGIURPWKHUHLQWRDFWLRQV DQG EHKDYLRXUV FXOWXUDOO\ DQG VRFLDOO\ UH PRGHOOHG $V NQRZQ ERWK LQ Oneself as AnotherDQGLQWKHCourse of Recognition5LFRHXURUJDQLVHVKLV VWXG\RIWKHKXPDQEHLQJDURXQGWKHTXHVWLRQV³:KRVSHDNV":KRDFWV" :KRWHOOV"´ VHH5LFRHXUII $OORIWKHVHTXHVWLRQVDUHFRQQHFWHG WRWKH3RZHU$FWG\QDPLFZKLFKFRQVWLWXWHVWKHHVVHQWLDOGLPHQVLRQRIWKH capable human being 5LFRHXU¶V FRPSUHKHQVLYH SKLORVRSK\ RI WKH KXPDQ EHLQJ LV DEOH WR VXEVXPH DQG FRRUGLQDWH D ZLGH UDQJH RI VSHFXODWLYH DQG VFLHQWLILF GLVFRXUVHV ,W LVde facto DQ LQWHUGLVFLSOLQDU\ DSSURDFK WKDW WUDQVYHUVDOO\ HPEUDFHVDQGVXEVXPHV  HPSLULFDOSV\FKRORJ\DQGSV\FKRDQDO\VLV   OLQJXLVWLFVSKLORVRSK\RIODQJXDJHDQGSKHQRPHQRORJ\  VHPDQWLFVRI DFWLRQ DQG SKLORVRSK\ RI DFWLRQ   SKHQRPHQRORJ\ SKLORVRSKLFDO KHUPHQHXWLFV DQG PRUDO SKLORVRSK\   SKLORVRSKLFDO DQWKURSRORJ\ DQG QDUUDWLYHKHUPHQHXWLFVDQG  OLWHUDWXUHFXOWXUDOVWXGLHVWKHSKLORVRSK\



&KDSWHU

RIKLVWRU\DQGKLVWRULRJUDSK\,QIDFWZLWKKLVORQJDQGZLQGLQJURXWHRI PXOWLSOH VSHFXODWLYH GHWRXUV IURP VSHFXODWLYH DQG QRQVSHFXODWLYH SRLQWV RIGHSDUWXUHLQ5LFRHXU¶VZRUNDQGDSSURDFKSKLORVRSK\LWVHOIEHFRPHVD PHGLDWRUEHWZHHQWKHKXPDQDQGVRFLDOVFLHQFHV VHH5LFRHXU ,WLV IRUWKLVUHDVRQWKDW5LFRHXU¶VSKLORVRSK\SURFHHGVIURPGLVFXUVLYHOHYHOWR GLVFXUVLYH OHYHO SXWWLQJ LQWR GHSHQGHQW FRQQHFWLRQ SKLORVRSKLFDO DQWKURSRORJ\ DQG WKH SKHQRPHQRORJLFDO KHUPHQHXWLFV RI WKH VHOI WKH SKHQRPHQRORJLFDO KHUPHQHXWLFV RI WKH VHOI DQG WKH SKLORVRSK\ RI DFWLRQ WKHSKLORVRSK\RIDFWLRQDQGWKHSUDJPDWLFVDQGVHPDQWLFVRIDFWLRQDQG VR RQ $FWXDOO\ D SKLORVRSK\ RI DFWLRQ FDQQRW EH VXVWDLQDEOH ZLWKRXW LQWHUGLVFLSOLQDU\H[DPLQDWLRQDQGVSHFXODWLYHV\QWKHVLVDWDQDQWKURSRORJLFDO OHYHO FRQFHUQLQJ FDXVDWLRQ DQG PRWLYDWLRQ GHVLUH DQG LQWHQWLRQ DQG DJHQF\DQGUHVSRQVLELOLW\ 7RGD\ WKH WKHRU\ RI DFWLRQ KDV UHDFKHG WKH FRQILJXUDWLRQ RI DQ DXWRQRPRXVGLVFLSOLQHWKDWXVHVWKHSKLORVRSK\RIODQJXDJHWRVXPPDULVH LWV VHPDQWLF DQG SUDJPDWLF VWXGLHV FRQFHUQLQJ DFWLRQ ,W KDV DFKLHYHG LPSRUWDQW GLVFLSOLQDU\ DQG LQWHUGLVFLSOLQDU\ UHVXOWV EXW LWV QDUURZH[FOXVLYH IRFXVRQWKHGLDOHFWLFEHWZHHQSKLORVRSK\RIODQJXDJHDQGSKLORVRSK\RI DFWLRQ WHQGV EH ODFNLQJ ERWK LQ FODULILFDWLRQ RI D FHUWDLQ QXPEHU RI VWUXFWXUDODVSHFWVDQGLQWKHGHWHUPLQDWLRQRIQHZNLQGRIGLOHPPDV7KLV LV HYLGHQW IURP FULWLFDOO\KHUPHQHXWLFDOO\ DQDO\VLQJ WKH VHPDQWLFV DQG SUDJPDWLFVRIDFWLRQDQGDSSO\LQJWKHILQGLQJVWRDKROLVWLFSKLORVRSKLFDO DQWKURSRORJ\RIDFWLRQ$XQLODWHUDODQDO\WLFDODSSURDFKLVQRWFDSDEOHRI FRQFUHWHO\ DQG ZKROO\ SHQHWUDWLQJ WKH SKHQRPHQRQ RI DFWLRQ DV human action :LWKRXW HPSOR\LQJ FULWLFDOUHIOHFWLYH PHDQV LW LV QRW SRVVLEOH WR UHDFKWKHH[LVWHQWLDOOHYHORIWKHKXPDQEHLQJDVhuman 6HYHUDOFRQWHPSRUDU\VWXGLHVLQDQDO\WLFDOSKLORVRSK\UHYHDODVHULRXVORVV RIWKHKROLVWLFDQGFRPSUHKHQVLYHVHQVHRIWKLQJVDQGHYHQRIWKHVLPSOH IDFWWKDWDVWXG\FRQFHUQLQJWKHKXPDQEHLQJUHTXLUHVDPXOWLOHYHOHGQRQ OLQHDU DQG LQWHUGLVFLSOLQDU\GLVFXUVLYH FRQVWUXFWLRQ 6RPHHVVD\V UHYHDOD WHQGHQF\ WRZDUGV D IRUP RI UHDVRQLQJ RU LQWHOOHFWXDO DSSURDFK WKDW PDQDJHV WR EH VLPXOWDQHRXVO\ VLPSOLVWLF and DUURJDQW IRU H[DPSOH SXWWLQJWKHSUREOHPDWLFRIDFWLRQFRQQHFWHGWRWKHGHFLVLRQWRKLWDEDOODWWKH VDPHOHYHODVWKHGHFLVLRQNLOOVRPHRQHRUSOD\D%HHWKRYHQVRQDWD VHHIRU H[DPSOH*DOODJKHUDQG=DKDYL 6RPHWLPHVDUJXPHQWDWLYH HIILFDF\LVJDPEOHGRQWKLVUKHWRULFDQGWKHVHGXFWLYHVWUDWHJ\RIFRORXUIXO H[HPSOLILFDWLRQDQGIUDJPHQWDWLRQRIDVSHFWVDQGLVVXHV 5LFRHXU UHFRJQLVHV WKH LPSRUWDQFH RI GHYHORSLQJ D VWXG\ WKDW DUWLFXODWHV WKH OHYHOV DQG PHWKRGRORJLFDO UHJLVWHUV RI GLVFRXUVH E\ IROORZLQJ DQ

6HPDQWLFVRI$FWLRQ



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³:KR"´ ³:KDW"´ ³:K\"´ ³:KHUH"´ DQG ³:KHQ"´ &RQYHUVHO\ WKHUH LV D FXUUHQW WHQGHQF\ WR UHGXFH WKH TXHVWLRQLQJ WR ³:KDW"´ DQG ³:K\"´ ZKLFK LV DQ HYLGHQW H[SUHVVLRQ RI FXOWXUDO LPSRYHULVKPHQW DQG D FOHDU LPSRYHULVKPHQW RI SKLORVRSKLFDO NQRZOHGJHDQGXQGHUVWDQGLQJZLWKLQDscientisticFDJH VHH5LFRHXU  II  %\ VWD\LQJ IL[HG DW WKH OHYHO RI D OLQJXLVWLF VHPDQWLF DSSURDFK KXPDQ DFWLRQ LV FRQGHPQHG WR EH ERXQG WR WKH VSDWLDO DQG DEVWUDFW GLPHQVLRQ LQVWHDG RI UHIHUULQJ WR WKH H[LVWHQWLDO VSKHUH RI LQLWLDWLYH DQG UHVSRQVLELOLW\,QIDFWLIWKHKXPDQDFWLQJLV³UHGXFHG´WRDFWLQJLQLWVHOI WKDWLVWRD³WKLQJ´WKHQLWLVDQevent&RQYHUVHO\WKHVWXG\RIWKHKXPDQ DFWLQJDVDQDFWLQJRIDVSHFLILFVXEMHFWFRLQFLGHVZLWKWKHFRQVLGHUDWLRQRI DFWLRQDVLQLWLDWLYH DQG H[SHULHQFHWKDWLVDVDVXEMHFWLYHO\PRWLYDWHGDQG MXVWLILHGDFWLRQ7RGHVFULEHDQDFWLRQDQGWRJUDVSLWVIXOOVHQVHLVWRIXOO\ XQGHUVWDQG LW E\ HPEUDFLQJ ERWK WKH UDWLRQDOH[SODQDWRU\ DVSHFWV RI LWV causal HOHPHQWV DQG WKH KHUPHQHXWLFDOSUDFWLFDO DVSHFWV RI LWVmotives RU reasons. %\IROORZLQJWKHUHDVRQLQJGHYHORSHGWRWKLVSRLQWZHFDQDUWLFXODWHWKH IROORZLQJ VHFWLRQ ZLWK D VWHSZLVH VWUXFWXUH WKDW LV VLPXOWDQHRXVO\ SURJUHVVLYHand FLUFXODU)LUVWZHZLOOFRQVLGHUWKHTXHVWLRQRIFDXVDWLRQ DQG PRWLYDWLRQ LQ D SKLORVRSK\ RI DFWLRQ RIIHULQJ SUDFWLFDOVSHFXODWLYH UHIOHFWLRQV RQ WKH DSSOLFDWLRQ RI SKHQRPHQRORJ\ WR WKH SKLORVRSK\ RI DFWLRQ 6HFRQG ZH ZLOO H[SORUH WKH FRQWULEXWLRQ RI ODQJXDJH DQG FULWLFDO KHUPHQHXWLFV WR D SKLORVRSK\ RI DFWLRQ EHIRUH D FRPSUHKHQVLYH ILQDO UHWXUQWRWKHTXHVWLRQRIWKHERG\DQGWKHSKHQRPHQRORJLFDODQGFULWLFDO KHUPHQHXWLFDOVWXG\RIWKHGLDOHFWLFVEHWZHHQFDXVDWLRQDQGPRWLYDWLRQ

3KLORVRSK\RI$FWLRQEHWZHHQ&DXVDWLRQ DQG0RWLYDWLRQ ,Q 5LFRHXU¶V YLHZ D SKLORVRSK\ RI DFWLRQ LV QRW D VFLHQFH RI DFWLRQ 5LFRHXU   7KH VFLHQWLILF VWXG\ DQG NQRZOHGJH RI WKH KXPDQ EHLQJ OHGWRDIUDJPHQWDWLRQRIWKHXQLYHUVHRIGLVFRXUVHUHODWHGWRWKLVVXEMHFW



&KDSWHU

PLUURULQJ WKH GLYLVLRQ IUDJPHQWDWLRQ DQG QRQFRRUGLQDWLRQ RI LWV RZQ VSHFLDOLVHG GLVFLSOLQHV &RQYHUVHO\ SKHQRPHQRORJLFDO KHUPHQHXWLFV DQG FULWLFDO KHUPHQHXWLFV PD\ ZRUN WRZDUG WKH XQLILFDWLRQ RI WKLV GLVFRXUVH ZH DOUHDG\ GLVFXVVHG WKLV DVSHFW LQ WKH ILUVW SDUW RI WKLV ERRN VHH LQ DGGLWLRQ%XVDFFKLD  5LFRHXU¶V  ERRN Le discours de l’action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bidem  ,W LV WUXH WKDW WKH VWURQJ FRQQHFWLRQ EHWZHHQ SKLORVRSK\ RI DFWLRQ DQG HWKLFV LV FXUUHQWO\ UHFRJQLVHG VHH IRU H[ &UDLJ    EXW IRU WKH PRVW SDUW FRQWHPSRUDU\ SKLORVRSK\ RI DFWLRQ LJQRUHV HWKLFV DQG HWKLFDO LVVXHVDVDFULWLFDOUHIOHFWLYHDSSURDFK,WLVWKHPDWLFDOO\DUWLFXODWHGLQ   ³DFWVDQGDFWLRQV´ EDVLFDFWLRQVERGLO\PRYHPHQWVWKHFDXVDOWKHRU\RI DFWLRQVSHHFKDFWVJUDPPDURIDFWLRQDQGORJLFDOIRUPFROOHFWLYHDFWLRQ DQGWKHOLNH DQG  ³DJHQF\DQGFDXVDWLRQ´ YROLWLRQDQGZLOOLQWHQWLRQ

6HPDQWLFVRI$FWLRQ



GHOLEHUDWLRQ DQG GHFLVLRQ WHOHRORJLFDO H[SODQDWLRQ UHDVRQV DQG FDXVHV FDXVDWLRQDQGPRWLYDWLRQPHQWDOFDXVDWLRQPHQWDODFWVDJHQF\SDWHQF\ SHUVRQKRRG DQG VR RQ  VHH 2¶&RQQRU 6DQGLV   ,Q VKRUW FXUUHQWO\ WKH SUHGRPLQDQW FXUUHQW SHUVSHFWLYH LV QRW IXOO\ UHSUHVHQWDWLYH RI WKH YDULRXVDSSURDFKHVWRWKHSKLORVRSK\RIDFWLRQ&HUWDLQO\5LFRHXU¶VYLHZ RQ WKH SKLORVRSK\ RI DFWLRQ UHYHDOV KLP WR EH SDUWLFXODUO\ LQWHUHVWHG LQ D FRPSUHKHQVLYH DSSURDFK DQG IRU WKLV UHDVRQ KLV VSHFXODWLYH PRYHPHQW WKURXJKHWKLFVVHHPVWREHSDUWLFXODUO\VWUDWHJLFDQGUHDVRQDEOHHYHQLILW PHWKRGRORJLFDOO\SUHVHQWVVRPHSUREOHPDWLFDVSHFWVIRUH[DPSOHKRZWR KDUPRQLVH WKH SXUHO\ descriptive DSSURDFK RI WKH VHPDQWLFV DQG SKHQRPHQRORJ\RIDFWLRQZLWKDprescriptiveSUDFWLFDOHYDOXDWLRQ

)URPD/LQJXLVWLF3KHQRPHQRORJLFDO$QDO\VLV WRD3UDFWLFDO6SHFXODWLYH3KHQRPHQRORJ\ 2SHQLQJ KLV  ERRN 5LFRHXU H[SODLQV WKDW KLV JRDO LV WR H[SORUH WKH FRQWULEXWLRQRIODQJXDJHWRWKHSKLORVRSK\RIDFWLRQ 5LFRHXU LQ WHUPV RI LQWHUGLVFLSOLQDU\ UHVHDUFK WKDW QHJRWLDWHV EHWZHHQ WKH SKLORVRSKLFDO DQG QRQSKLORVRSKLFDO OHYHO 7KH SURJUHVVLYH GLUHFWLRQ RI WKLV UHVHDUFK UHYHDOV KRZ VXFK LQWHUGLVFLSOLQDU\ ZRUN EHFRPHV SRODULVHG DURXQG DQDO\WLFDO DQG SKHQRPHQRORJLFDOKHUPHQHXWLFDO SKLORVRSK\ DQG KRZ D SKLORVRSK\ RI ODQJXDJH RIIHUV WKH EDVLV IRU D WKHRUHWLFDO DQG D SUDFWLFDO H[HUFLVH ,Q WKLV PDQQHU 5LFRHXU SURYLGHV D QHZ VSHFXODWLYH SHUVSHFWLYH IRU D SUDFWLFDO SKLORVRSK\ RI DFWLRQ YLD D SKLORVRSKLFDO OLQJXLVWLF DQDO\VLV ZKLFK LV PHWKRGRORJLFDOO\ SODFHG EHWZHHQ DQDO\WLFDO SKLORVRSK\DQGSKHQRPHQRORJLFDOKHUPHQHXWLFV 7KH ILUVW FKDOOHQJH RI WKLV UHVHDUFK DSSHDUV ZLWKLQ WKH DQDO\WLFDO FRXUVH H[DPLQLQJ GLVFRXUVHV LQ ZKLFK D VXEMHFW VD\V ZKDW KHVKH LV GRLQJ EHFDXVHWKLV³VD\LQJZKDWRQHLVGRLQJ´PXVWEHTXHULHGDWWKHOHYHORIWKH concepts LQYROYHG LQ GHVFULELQJ DFWLRQ DW WKH VXEVHTXHQW OHYHO RI WKH propositionsE\ZKLFKDFWLRQLVH[SUHVVHGDQGDWWKHVXEVHTXHQWOHYHORI WKH arguments XSRQ ZKLFK VXEMHFW MXVWLILHG KLVKHU DFWLRQV IURP WKLV D ³VWUDWHJ\ RI DFWLRQ´ HPHUJHV &RQFHSWXDO DQDO\VLV FODULILHV WKH GLIIHUHQFH LQ PHDQLQJ DQG KLJKOLJKWV YDULRXV FDWHJRULHV WKDW GHILQH DQ DFWLRQ LQWHQWLRQ VFRSH UHDVRQ IRU DFWLQJ PRWLYH GHVLUH SUHIHUHQFH FKRLFH DJHQWDQGUHVSRQVLELOLW\ ,WLVWKHIXQFWLRQRIWKHDQDO\VLVWRLGHQWLI\DQG UHSURGXFHWKH³FRQFHSWXDOQHWRIDFWLRQ´ 5LFRHXU IROORZV WKH DSSURDFK RI DQDO\WLFDO SKLORVRSKHUV RI RUGLQDU\ ODQJXDJH 7KH OLQJXLVWLF H[SUHVVLRQ RI FRPPRQ ODQJXDJH RIIHUV D GRXEOH



&KDSWHU

REMHFWLILFDWLRQH[SUHVVHGYLDGLVFRXUVHIURPWKHH[WHUQDOSRLQWRIYLHZRI WKH REVHUYHU DQG IURP WKH LQWHULRU SRLQW RI YLHZ RI WKH DFWRU 5LFRHXU FRQQHFWV KLV SKHQRPHQRORJLFDO DQG LQWHUGLVFLSOLQDU\ DSSURDFK DW WKLV OHYHO IRU WKLV GRXEOH GLPHQVLRQ RI GLVFRXUVH DQG RUGLQDU\ ODQJXDJH RI EHLQJOLYHGandSHUFHLYHGRIEHLQJREMHFWLILHGandH[SHULHQFHG$VLPSOH DQDO\WLF RU VFLHQWLILF DQDO\VLV FDQ QRW HTXDOO\ HPEUDFH ERWK DW WKH VDPH WLPH7KHODWWHULQIDFWFKDUDFWHULVWLFDOO\LQYROYHVGHVFULELQJWKLQJVXVLQJ DQ HLGHWLF DSSURDFK IURP OLYHG H[SHULHQFH FULWLFDO KHUPHQHXWLFV PD\ IXQFWLRQ DV D EULGJH EHWZHHQ WKLV HLGHWLF DQG WKH SUDFWLFDOHWKLFDO OHYHO ZKHUH OLQJXLVWLF DQDO\VLV LV D IRUPDO H[WHUQDO DSSURDFK WR D JLYHQ IDFWRU SURGXFW DQG D SKLORVRSK\ RI ODQJXDJH PD\ VXEVXPH FHUWDLQ JHQHUDO DVSHFWVRQO\ ,WLVLQWHUHVWLQJWRFRQVLGHUKRZ5LFRHXU¶VVWXG\RIWKHGLVFRXUVHRIDFWLRQ SKHQRPHQRORJLFDOO\DSSURDFKHVWKHGLFKRWRP\EHWZHHQDQLQWHQWLRQDODFW DQGDFDXVDODFW7KHDVVHUWLRQ³,¶PUDLVLQJP\DUPWRLQGLFDWHWKDW,KDYH WR WXUQ OHIW´ GHVFULEHV DQ DFWLRQ , DP WDNLQJ DQG DQ H[SHULHQFH , DP KDYLQJZKHUHWKHDVVHUWLRQ³7KHDUPLVULVLQJ´GHILQHVDPRYHPHQWDIDFW RIWKHZRUOGRIWKHERG\,DPREVHUYLQJDVDQH[WHUQDOREVHUYHU,WLVDW WKLVSUREOHPDWLFOHYHOWKDWWKHHWKLFDOSUDFWLFDOGLVFRXUVHHQWHUVLQWRSOD\ 5LFRHXU ZKR PDNHV H[SOLFLW UHIHUHQFH WR (OL]DEHWK $QVFRPEH¶V LQYHVWLJDWLRQV RQ WKH VXEMHFW $QVFRPEH   XQGHUOLQHV WKDW WKH ILUVW DVVHUWLRQLV³NQRZOHGJHZLWKRXWREVHUYDWLRQ´DQGFODVVLILHVLWDVDNLQGRI ³SUDFWLFDONQRZOHGJH´+HGRHVQRWVLPSO\ GLVWLQJXLVKEHWZHHQLQWHQWLRQDO DQG QRQLQWHQWLRQDO DFWV EXW HVWDEOLVK LQWHQWLRQDOLW\ DV WKH PDLQ DVSHFW WRJHWKHU ZLWK WKH GLPHQVLRQ RI SUDFWLFDO NQRZOHGJH ERXQG WR DQDO\WLFDO SKLORVRSK\ SKHQRPHQRORJ\ DQG HWKLFV ,Q WKLV PDQQHU KLV OLQJXLVWLF DQDO\VHV DUH LPPHGLDWHO\ RULHQWHG LQ D SUDFWLFDO GLUHFWLRQ DQG KLV DSSURDFK PDNHV LW HDV\ WR LQWURGXFH DQG LQWHUWZLQH SKHQRPHQRORJ\ ZLWK ODQJXDJH VHH 5LFRHXU  ±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¶VSURSRVLWLRQDOORJLFDQG-RKQ$XVWLQ¶V3HWHU 6WUDZVRQ¶V DQG -RKQ 6HDUOH¶V DQDO\WLFDO SKLORVRSK\ RI ODQJXDJH 2I SDUWLFXODU LQWHUHVW WR 5LFRHXU LV WKH TXHVWLRQ UHODWHG RI speech acts

6HPDQWLFVRI$FWLRQ



$QDO\WLFDO SKLORVRSK\ GLVWLQJXLVKHV EHWZHHQ SHUIRUPDWLYH DQG FRQVWDWLYH XWWHUDQFHV ³, SURPLVH \RX´ DQG ³, WDNH \RX WR EH P\ ZLIHKXVEDQG´ DUH XWWHUDQFHV ZKHUH WR VD\ LV WR GR VHH 5LFRHXU    5LFRHXU FRQQHFWV DQG VXERUGLQDWHV LW WR DQRWKHU GLVWLQFWLRQ WKDW LV WKH GLVWLQFWLRQ EHWZHHQ ORFXWLRQDU\ DQG LOORFXWLRQDU\ DFWV LQWURGXFHG E\ $XVWLQ LQ How to Do Things with Words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inn DWKLUGNLQGRIUHDOLW\ZLWKDVSHFLILFNLQGRIREMHFWLYLW\VHSDUDWHG IURP nature DQG spirit DQ ideal UHDOLW\ )RU KLP DQ ³LGHDO REMHFW´ LV LUUHGXFLEOH WR D UHSUHVHQWDWLRQ Vorstellung  RU WR VXEMHFWLYH PHQWDO HODERUDWLRQ DQG LW LV DOVR GLIIHUHQW IURP PHDQLQJ Bedeutung  )UHJH SRVWXODWHV WKDW D WKHRU\ RI VLJQV LV LQFRPSOHWH LI WKHUH LV QR FRUUHODWLRQ EHWZHHQ VLJQ DQG VHQVH DQG LI WKH ILQDO GHVWLQDWLRQ RU WUDQVFHQGHQWDO UHDOLW\ RI VHQVH LV QRW DGPLWWHG DQG SRVWXODWHG +H SRLQWV RXW WKDW LW LV SRVVLEOHWRKDYHSURSRVLWLRQVIXUQLVKHGZLWKVHQVHEXWQRWZLWKPHDQLQJ 7KLV SRVWXODWLRQ ± WKDW WKHUH VRPHWKLQJ UHDO DOZD\V VXEVLVWV EH\RQG D SURSRVLWLRQ ±  SOD\V LQ 5LFRHXU¶V ZULWLQJV D PHGLDWRU\ IXQFWLRQ IRU WKH PRYHPHQW IURP DQ DQDO\WLF RI ODQJXDJH DQG GLVFRXUVH WR D SKHQRPHQRORJ\ RI KXPDQ SUDFWLFDO H[SHULHQFH RI DFWLRQ ,Q IDFW KLV WUDMHFWRU\IURP)UHJHWR+XVVHUOSDUDOOHOVWKLVWKHRUHWLFDOSUDFWLFDOYHFWRU +XVVHUO¶VLQWHUHVWLQVHSDUDWLQJORJLFIURPSV\FKRORJ\LQWHUWZLQHVZLWKKLV

 $V5LFRHXUH[SODLQV³,OIDXWPHQHUjELHQXQHDQDO\VHGHWRXWµVSHHFKDFW¶TXL

PHWWHELHQHQSODFHG¶XQHSDUWODSURSRVLWLRQDYHFVDUpIpUHQFH FHVXUTXRLHOOH SRUWH  VRQ VHQV FH TX¶HOOH GLW GH FH VXMHW ORJLTXH  ± G¶DXWUH SDUW OD IRUFH LOORFXWLRQQDLUHGRQWHOOHUHYrWFHWWHSURSRVLWLRQ´5LFRHXU 



&KDSWHU

LQWHUHVW LQ ILQGLQJ D VROXWLRQ WKDW SUHVHUYHV REMHFWLYLW\ EXW QRW LQ DQ DEVWUDFW ZD\ WKDW LV ZLWKRXW FXWWLQJ RII UHDOLW\ 5LFRHXU HPEUDFHV KLV WKHRUHWLFDO DQG SURFHGXUDO VROXWLRQ SXWWLQJ LW LQ UHODWLRQ WR )UHJH¶V WKHRULVDWLRQ DQG DW WKH VDPH WLPH ILQGLQJ D ZD\ WR FRQQHFW +XVVHUO¶V ORJLFRIWKHVHQVHWRWKHWKHRU\RIVSHHFKDFWVIURPDSKHQRPHQRORJLFDO SUDFWLFDOYLHZSRLQW DSKHQRPHQRORJLFDOSUDFWLFDOYLHZWKDWLVLQWHUHVWLQJ WRSXWLQDGLDOHFWLFDOFRQQHFWLRQZLWKactionDQGmoralresponsibility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³LQWHQWLRQ´ DQG³LQWHQWLRQDOLW\´FRPHWR SOD\DQHVVHQWLDOUROHLQ5LFRHXU¶VSKLORVRSK\ RIDFWLRQ 7KDQNVWR$QVFRPEH¶VZRUNRQODQJXDJHWKHVHFRQFHSWVKDYHEHFRPHD ³PLGGOHZD\´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

6HPDQWLFVRI$FWLRQ



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responsibility  

)URP$QVFRPEHDQG'DYLGVRQ¶V$SSURDFK WR5LFRHXU¶V&ULWLFDO+HUPHQHXWLFV $V DOUHDG\ DQWLFLSDWHG LQ WKH LQWURGXFWLRQ WR WKLV FKDSWHU WR GHVFULEH DQ DFWLRQ DQG WR JUDVS LWV IXOO VHQVH LV HTXDO WR IXOO\ XQGHUVWDQGLQJ LW E\ HPEUDFLQJERWKWKHUDWLRQDOH[SODQDWRU\DVSHFWVRILWVcausalHOHPHQWVDQG WKH KHUPHQHXWLFDOSUDFWLFDO DVSHFWV RI LWV motives RU reasons. ,Q IDFW DFWLRQLVDQGLVQRWDQHYHQW$FWLRQLVDQHYHQWIURPWKHH[WHUQDOSRLQWRI YLHZRIDQREVHUYHUIURPDVFLHQWLILFSRLQWRIYLHZRUIURPWKHSRLQWRI YLHZ RI WKH ZRUOG EXW IURP D VXEMHFWLYH SHUVSHFWLYH LW LV D OLYHG H[SHULHQFH DQ H[SUHVVLRQ RI WKH Erlebnis 5LFRHXU    +HUH LW HPHUJHVDORJLFDOHSLVWHPRORJLFDOFULWLFDOSUREOHP³7KHµZKDW¶RIDFWLRQ >«@ LV VSHFLILHG LQ D GHFLVLYH ZD\ E\ LWV UHODWLRQ WR WKH µZK\"¶ 7R VD\ ZKDWDQDFWLRQLVLVWRVD\ZK\LWLVGRQH´   7KHYDOLGLW\RIWKLVGLVFRXUVHLVFRQILUPHGE\LQWURGXFLQJDQGFRPSDULQJ WZR DOWHUQDWLYH VWUDWHJLHV IRU WKH VWXG\ RI KXPDQ DFWLRQ QDPHO\ WKRVH UHDOLVHGE\$QVFRPEH VHHDERYH DQG'RQDOG'DYLGVRQ 'DYLGVRQ  (YHQWKRXJKWKH\DUHDSSURDFKHVPRUHIRFXVVHGRQWKHVXEMHFWLYHH[SHULHQWLDO GLPHQVLRQ RI DFWLRQ IURP WKH\ ZH FDQ UHDFK QHZ SUREOHPV DQG TXDVL SDUDGR[LFDOVROXWLRQV)URP$QVFRPEHZHKDYHWKDWLQWHQWLRQDOLW\causes and does not cause WKH DFWLRQ IURP 'DYLGVRQ ZH GLVFRYHU WKDW KXPDQ



&KDSWHU

DFWLRQLVDFRPSOHWHO\GLIIHUHQWWKLQJIURPWKHZRUOGandDWWKHVDPHWLPH VRPHWKLQJ UHGXFLEOH WR LW )RU $QVFRPEH WKH WKUHH XVHV RI LQWHQWLRQ ± LQWHQWLRQ WR DFW LQWHQWLRQ LQ DFWLQJ LQWHQWLRQDO DFWLRQ ± FRQVWLWXWH WKH UHVSRQVH WR WKUHH GLIIHUHQW NLQGV RI TXHVWLRQ WKDW LV ³:KDW DUH GRLQJ"´ ³:K\"´DQG³)RUZKDWUHDVRQ"´ ,Q IDFW DFWLRQ LV DOZD\V FRPSUHKHQGHG WKURXJK LWV UHODWLRQVKLS ZLWK DQ DJHQW¶V LQWHQWLRQ DQG H[DPLQDWLRQ WKURXJK OLQJXLVWLF DQDO\VLV UHDFKHV EH\RQG WKH VLPSOH OLQJXLVWLF OHYHO  7KH DQDO\VLV RI ODQJXDJH HQWHUV LQWR WKH UHODWLRQVKLS EHWZHHQ ODQJXDJH DQG DFWLRQ DV ZHOO DV LQWR WKH FULWLFDO HYDOXDWLRQ RI ZKHWKHU DQ DFWLRQ LV PRWLYDWHG RU FDXVHG 7KH DQDO\WLFDO DSSURDFK RYHUFRPHV WKH FRQWULYDQFH GLFKRWRP\ RI movement DQG initiative ³:KDW GLVWLQJXLVKHV DFWLRQV ZKLFK DUH LQWHQWLRQDO IURP WKRVH ZKLFK DUH QRW"´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¶V DSSURDFK LQWURGXFHV D VHFRQG SUREOHPDWLF SRLQW ZKLFK H[SUHVVHV WKH SDVVDJH IURP WKH TXHVWLRQ RI ³ZK\"´ WR WKH TXHVWLRQ RI ³ZKR´ HIIHFWLYHO\ GLG DQG LV UHVSRQVLEOH IRU D FHUWDLQ DFWLRQ 7KHDQDO\VLVRIRUGLQDU\ODQJXDJHVWD\VDWWKHUDWLRQDOOHYHORIDQDO\VLVRI SRVVLEOH FDXVHV RU PRWLYDWLRQV DQG DGGUHVVHV WKH ³RUGLQDU\ PDQ´ LQ JHQHUDOQRWWKHFRQFUHWHSHUVRQLQIURQWRIRQHULJKWQRZ 2QWKHRQHKDQGWKHFRQFHSWXDODQDO\VLVRILQWHQWLRQLQVWUXFWVXVDERXWWKH ODQJXDJH RI DFWLRQ IURP WKH FRPPXQLFDWLYH SRLQW RI YLHZ LQGLFDWLQJH[SODLQLQJ FHUWDLQ PRGDOLWLHV RI NQRZOHGJH DQG RIIHULQJ DQ DSSURDFK WRXQGHUVWDQGLQJ WKH UHDVRQVEHKLQGQRQFDXVDODFWLRQV2Q WKH RWKHUKDQGWKLVNLQGRIDQDO\VLVLVXQDEOHWRWHOOXVDQ\WKLQJDERXWOLYHG H[SHULHQFHVWKDWLVDFWLRQVUHODWLQJWRLQWHQWLRQDQGGHSHQGHQWRQIUHHZLOO LQVWHDGRILQKLELWLRQVWUDXPDVDQGGULYHV7KURXJK$QVFRPEH¶VDSSURDFK ZHXQGHUVWDQGWKDWLQWHQWLRQGRHVQRWFDXVHDFWLRQEXWUDWKHUPRWLYDWHVLW QHYHUWKHOHVV ZH FDQQRW XQGHUVWDQG ZKHQ DQ DFWLRQ LV DFWXDOO\ FDXVHG

6HPDQWLFVRI$FWLRQ



LQVWHDGRIEHLQJPRWLYDWHG7KDWLVWKHDSRULD 'DYLGVRQ¶V DSSURDFK LV GLIIHUHQW +LV GLVWLQFWLRQ EHWZHHQ actions DQG events LV SDUWLFXODUO\ LQWHUHVWLQJ EHFDXVH VXJJHVWV FRQVLGHULQJ KXPDQ DFWLRQDVVRPHWKLQJSHUSHWXDOO\GLVWLQJXLVKHGIURPDVLPSOHHYHQWergoLW GRHVQRWDSSHDUDVH[SODLQDEOHWKURXJKWKHZRUOG+RZHYHUE\IROORZLQJ KLV UHDVRQLQJ 'DYLGVRQ¶V GLVWLQFWLRQ EHWZHHQ HYHQW DQG DFWLRQ EHWZHHQ WKHKXPDQVSKHUHDQGWKHZRUOGUHYHDOVDNLQGRIXQLODWHUDOGLVWLQFWLRQ,Q IDFWKHVHWVXSWKHWHOHRORJLFDOFKDUDFWHURIKXPDQDFWLRQDVGLIIHUHQWIURP QDWXUDOFDXVDOLVP\HWLWLVFKDUDFWHULVHGDVFDXVDOLVP:KHUHLVWKHVXEMHFW RI LQWHQWLRQ":KR LVKHVKH" +RZGRZHPDQDJH WKHQRQH[SODLQDEOHRU QRQWHOHRORJLFDO UHDVRQV WKH PRWLYDWLRQV WKDW UHTXLUH LQWHUSUHWDWLRQ" ,I KXPDQDFWLRQVDUHUHGXFHGWRH[SODLQDEOHDFWLRQVLWRIIHUVWKHVROXWLRQRID UHGXFWLRQLVW UDWLRQDOLVDWLRQ LQ ZKLFK KXPDQ DFWLRQ is not explainable by the world but it is like the world 5LFRHXU¶VSKHQRPHQRORJLFDOFULWLFDOKHUPHQHXWLFVWULHVWRRYHUFRPHWKHVH DSRULDV WU\LQJ WR FRRUGLQDWH WKH DQDO\WLFDO H[HUFLVH ZLWK D GHVFULSWLYH LQWHUSUHWDWLYH SURFHGXUH ,Q DGGLWLRQ DV ZH DOUHDG\ VDLG QRW RQO\ GRHV 5LFRHXUSURYLGHV DPL[HG HSLVWHPRORJLFDO DQG PHWKRGRORJLFDO PRGHOKH GHILQHV D VSHFLILF SKLORVRSK\ RI WKH KXPDQ EHLQJ WKDW DEVRUEV DQG H[SUHVVHV ERWK REMHFWLYHQDWXUDO DQG VXEMHFWLYHH[LVWHQWLDO GLPHQVLRQV RI WKH VHOI 5LFRHXU¶V SKHQRPHQRORJLFDO KHUPHQHXWLFDO UHVHDUFK FRQFHUQLQJ DFWLRQ PD\ DFFHSW WKDW WHOHRORJLFDO FDXVDWLRQ LV GLIIHUHQW IURP QDWXUDO FDXVDWLRQ EXW DOVR ± DQG WKLV LV DQ HVVHQWLDO SRLQW ± LW UHYHDOV WKDW WKH GLDOHFWLF EHWZHHQ FDXVDWLRQ DQG PRWLYDWLRQ ZLWKLQ WKH KXPDQ SURFHVV RI HODERUDWLRQ GHOLEHUDWLRQ DQG DFWLRQ LV FRPSOH[ DQG YDULHG LQYROYLQJ WKH SV\FKRORJLFDODQGQHXURELRORJLFDOVSKHUHVRQWKHRQHKDQGDQGWKHVRFLDO DQGSUDFWLFDODQGFXOWXUDOKLVWRULFDOVSKHUHVRQWKHRWKHU

)URPWKH3KHQRPHQRORJ\RIWKH%RG\WRWKH'LDOHFWLFV EHWZHHQ0RWLYDWLRQ&DXVDWLRQDQG'HVLUH :K\LVLWUHDVRQDEOHWRDVN³+RZGR\RXORRVHQDVFUHZ"´ZKLOHLWLVQRW UHDVRQDEOH WR DVN ³+RZ GR \RX UDLVH \RXU DUP"´ 7KH H[HUFLVH RI D FDSDFLW\GRHVQRWVLPSO\UHVXOWIURPNQRZOHGJH,GRQRW³NQRZ´P\ERG\ ZKHQ,DPDFWLQJEHFDXVH,DPVLPSO\abletoact$WWKLVFRUSRUDOHYHQW ³,NQRZ´ZKHQ,DPGRLQJLVQRWWKHVDPHDVZKDW³,GR´/LNH$QVFRPEH 5LFRHXUHPEUDFHVWKHLGHDWKDWLQWHQWLRQDODFWVDUHSDUWRIDPRUHJHQHUDO FODVVRIHYHQWVWKDWDUHNQRZDEOHZLWKRXWREVHUYDWLRQDQGDOVRUHFRJQLVHV WKDWXQGHUWKHVDPHFODVVRWKHUHYHQWVWKDWDUHQRWDFWLRQVWDNHSODFHDV



&KDSWHU

LQ WKH SRVLWLRQ RI RQH¶V ERG\ RU LQYROXQWDU\ DFWLRQV VHH 5LFRHXU    %HWZHHQ GRLQJ DQG KDSSHQLQJ WKHUH LV D VXEVWDQWLDO GLIIHUHQFH OLNH WKDW EHWZHHQ WKH WZR GLIIHUHQW XQLYHUVHV RI GLVFRXUVH DQG H[SHULHQFH ³+DSSHQLQJ´ KDV WR GR ZLWK VRPHWKLQJ H[WHUQDO DQ REVHUYDEOH IDFW ³GRLQJ´ LV DQ H[SHULHQFH GLUHFWO\ FRQQHFWHG ZLWK DJHQW¶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this body that I amDQGWKH VRFLDO SV\FKRORJLFDO GLPHQVLRQ WKDW , UHODWLRQDOO\ DQG FXOWXUDOO\ H[SUHVV ZLWKWKURXJKP\ERG\,DPFRQVWDQWO\RYHUFRPLQJLWVQDWXUDOOLPLWDWLRQV ,DPQRWUHGXFLEOHWRP\ELRORJ\EHFDXVHI am not my body :H FHUWDLQO\ PXVW FRQVLGHU WKH KXPDQ DQWKURSRORJLFDO XQGHUVWDQGLQJ RI DFWLRQ XQGHU D QRQUHGXFWLRQLVW DQG QRQVXEVWDQWLDOLVW SHUVSHFWLYH DV 5LFRHXU¶VSKLORVRSK\RIWKHFDSDEOHKXPDQEHLQJGRHV ,W LV ZLWKLQ KLV ILUVW VSHFXODWLYH ERRN Le volontaire et l’involontaire   WKDW 5LFRHXU GHYHORSHG KLV ILUVW DSSURDFK RQ WKH DQWKURSRORJLFDO SKLORVRSKLFDO SUREOHP WKURXJK D SKHQRPHQRORJ\ RI WKH Integral Cogito ZKLFKHVVHQWLDOO\DLPVWRRYHUFRPHDQGUHVROYHWKHSUREOHPRIDQDEVWUDFW &RJLWR 7KH &RJLWR LV URRWHG LQ WKH sum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

)RU5LFRHXUVXEMHFWLYLW\KDVWKHSULQFLSOHRIXQLW\LQLWVHOI7KLVNH\LVQRW H[SUHVVHGHLWKHUE\WKHIDFWWKDW,UHFRJQLVHWKDW³,DP´RUE\WKHIDFWRI

6HPDQWLFVRI$FWLRQ



REMHFWLYHO\  EHLQJ D VXEMHFW LW LV H[SUHVVHG E\ ³, H[LVW´ 5LFRHXU DSSURDFKHV WKH SUREOHPDWLF RI LQWHUQDO DQG H[WHUQDO GXDOLVP LQ D VLPLODU ZD\ ,Q IDFW KH GRHV VR LQ D ZD\ WKDW SURGXFHV D GLIIHUHQW HIIHFW ZKHQ DSSOLHG WR DQ LQWHUUHODWLRQDO FRQWH[W UHPRGXODWLQJ DQG DWWHQXDWLQJ WKH UDGLFDO GLVWLQFWLRQ EHWZHHQ IDFW DQG DFWLRQ EHWZHHQ WKH ZRUOG DQG WKH H[SHULHQFH DQG EHWZHHQ WKH RWKHU DQG PH %\ IROORZLQJ +XVVHUO¶V ILIWK Cartesian MeditationKHVXPPDULVHVWKLVDVIROORZV $SHUVRQDOERG\LVVRPHRQH¶VERG\DVXEMHFW¶VERG\P\ERG\DQG\RXU ERG\ )RU ZKLOH LQWURVSHFWLRQFDQ EH QDWXUDOL]HGH[WHUQDO NQRZOHGJHFDQ LQWXUQEHSHUVRQDOL]HG(PSDWK\ Einfuehlung LVSUHFLVHO\WKHUHDGLQJRI WKH ERG\ RI DQRWKHU DV LQGLFDWLQJ DFWV ZKLFK KDYH D VXEMHFWLYH DLP DQG RULJLQ7KXVVXEMHFWLYLW\LVERWK³LQWHUQDO´DQG³H[WHUQDO´,WLVWKHVXEMHFW IXQFWLRQ RI VRPHRQH¶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¶VFRQVFLRXVQHVVLQLW,WUHDWP\VHOIDVD\RX ZKLFK LQ LWV H[WHUQDO DSSHDUDQFH LV D SUHVHQWDWLRQ WR WKH RWKHU )URP WKLV YLHZSRLQWWRNQRZP\VHOILVWRDQWLFLSDWHP\SUHVHQWDWLRQWRD\RX2QWKH RWKHU KDQG NQRZOHGJH RI P\VHOI LV DOZD\V WR VRPH H[WHQW WKH JXLGH IRU GHFLSKHULQJWKHRWKHUHYHQLIWKHRWKHULVLQWKHILUVWSODFHDQGSULQFLSDOO\ DQRULJLQDOUHYHODWLRQRIHPSDWK\7KH\RXLVDQRWKHUP\VHOI ± 

7KLVSKHQRPHQRORJLFDOUHUHDGLQJRUUHLQWHUSUHWLQJRIWKHGHYHORSPHQWRI VHOIDZDUHQHVV FRQVWLWXWHV D FHQWUDO PRPHQW LQ 5LFRHXU¶V DQWKURSRORJLFDO UHVHDUFK DV ZHOO DV DQ XQDYRLGDEOH SRLQW IRU KLV SKHQRPHQRORJLFDO KHUPHQHXWLFVRIWKHVHOI7KLVLV³XQDYRLGDEOH´HYHQZKHQKHDUWLFXODWHVLW DV D SURFHVV RI UHFRJQLWLRQ WKDW LPSOHPHQWV WKH GLDOHFWLFDO FRQIOLFWXDO DSSURDFKRID QHR+HJHOLDQ VWUXJJOHIRUUHFRJQLWLRQ VHH5LFRHXU +RQQHWK%XVDFFKL  7KH SUREOHPDWLF UHODWLRQVKLS EHWZHHQ FDXVH DQG PRWLYDWLRQ SOD\V DQ LPSRUWDQWUROHLQWKLVGLVFRXUVHDQGQRWRQO\LQUHIHUHQFHWRWKHVSKHUHRID SKLORVRSKLFDO DQWKURSRORJ\ :LWKLQ Le discours de l’action, WKH FRQIURQWDWLRQ EHWZHHQ WKH WZR QRWLRQV DQG GLPHQVLRQV LV UHDOLVHG LQ WZR PDLQ PRPHQWV   WKURXJK WKH DQDO\WLFDO GHVFULSWLRQ DQG VWXG\ RI WKH FRQFHSWRI³PRWLYDWLRQ´DVDUWLFXODWHGLQWKHFRQFHSWXDOQHWRIDFWLRQDQG  WKURXJKWKHDQDO\VLVRIWKHQRWLRQRI³DJHQW´DVLPSOLFDWLQJD³SRZHU´ WR SURGXFH DFWLRQ 'DYLG +XPH¶V DSSURDFK LV XQDEOH WR WDNH LQWR



&KDSWHU

FRQVLGHUDWLRQ WKLV IRUP RI FDXVDWLRQ E\ WKH DJHQW¶V H[HUFLVH RI SRZHU EHFDXVHLWLQFOXGHVWKHLGHDRIFDXVDWLRQDVproduction VHH5LFRHXU   $VZHVDLGDERYHWKHILUVWPRPHQWFRQFHUQVWKHFRQFHSWXDOQHWRIDFWLRQ DQGLWLVSDUWLFXODUO\WKHQRWLRQRIDFWLRQWKDWSOD\VDQLPSRUWDQWUROHLQWKH DQDO\VLV RI DOO FRQFHSWV HVVHQWLDOO\ EHFDXVH LW FOHDUO\ RSHQV WKH SUREOHPDWLF RI WKH GXDOLW\ RI WKH XQLYHUVHV RI GLVFRXUVH ± LQ WKLV FDVH EHWZHHQDFWLRQDQGPRYHPHQWDFWLRQDQGHYHQWDQGGRLQJDQGKDSSHQLQJ 5LFRHXU FRXQWHUSRLVHV WKH QRWLRQ RI ³LQWHQWLRQDO DFWLRQ´ DJDLQVW WKH PHWDSK\VLFDO LGHD WKDW LQWHQWLRQ LV WUDQVFHQGHQWDOO\ DQWHFHGHQW WR DFWLRQ DQGLWLVDURXQGWKHSUDFWLFDOUHDVRQLQJRQLQWHQWLRQDVsomething wanted WKDWKHHQWHUVWKHSV\FKRORJLFDOVSKHUH  7KHQKHVKRZVWKDWdesires have a sense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naturalDQGexistentialDW WKHVDPHWLPH:HNQRZWKDW5LFRHXU¶VSKLORVRSK\RIWKHcapable human beingJRHVH[DFWO\LQWKLVGLUHFWLRQ

&RQFOXVLRQV $V GLVWLQFW IURP WKH VFLHQWLILF DSSURDFK LQ SKLORVRSK\ D IXOO FRPSUHKHQVLRQ RI KXPDQ DFWLRQ PXVW KDYH D SUDFWLFDO HWKLFDO UHIHUHQFH 5LFRHXU DSSURDFKHV WKH WKHPH RI DFWLRQ E\ WU\LQJ WR LQWHUWZLQH LW ZLWK SDUDOOHO GLDOHFWLFV DUWLFXODWHG EHWZHHQ SKHQRPHQRORJ\ DQG KHUPHQHXWLFV ,QWKLVVSHFLILFFDVHKLVXVHRIKHUPHQHXWLFVDSSHDUVWREH³VRIW´EXWWKH PHWKRGRORJLFDO DQG SURFHGXUDO DSSURDFK ZRUNV DV D de facto FULWLFDO KHUPHQHXWLFV DQG SKLORVRSKLFDO KHUPHQHXWLFV LV DW ZRUN EHKLQG D UHIOHFWLYH SKHQRPHQRORJ\ ZKRVH NH\ QRWLRQ RI LQWHQWLRQDOLW\ LV LPPHGLDWHO\ OLQNHG WR WKH SUDFWLFDOHWKLFDO QRWLRQ RI UHVSRQVLELOLW\ 7KLV RSHUDWLRQLVIDFLOLWDWHGE\WKHVSHFLILFLGHDRIHWKLFVWKDW5LFRHXUHPEUDFHV LQ Le discours de l’action PDNLQJ H[SOLFLW UHIHUHQFH WR HWKLFV DV WKH deontologicalGRPDLQRIQRUPDWLYLW\REOLJDWLRQDQGWKHQresponsibility,Q

6HPDQWLFVRI$FWLRQ



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³OLYHG´ RU ³SURSHU´ ERG\ $QG EHFDXVH RI LWV WKHRUHWLFDO FHQWUDOLW\ LW FODLPV WKH FRQVLGHUDWLRQ RI DQ DQDO\WLFDO FULWLFDO PRYHPHQW WKURXJK DQWKURSRORJ\ GHWHUPLQLQJ WKH HYLGHQFH WKDW D SKLORVRSK\ RI DFWLRQ FDQQRW EH VXVWDLQDEOH ZLWKRXW D SKLORVRSKLFDO H[DPLQDWLRQ DW DQ DQWKURSRORJLFDOOHYHO 7KLVUHSUHVHQWVDVHFRQGHOHPHQWRIFULWLFLVPWKDWZHDGGUHVVWR5LFRHXU¶V SKLORVRSK\ RI DFWLRQ ,I RQ WKH RQH KDQG LW LV WUXH WKDW LQ Oneself as Another KH GHYHORSV VXFK DQ DQWKURSRORJLFDO SKLORVRSK\ RQ WKH RWKHU KDQGWKLVDQWKURSRORJ\HQWHUVLQWRDGLIIHUHQWVSHFXODWLYHV\QWKHVLVWKDWLV LQ FRQWUDVW WR WKH SKLORVRSK\ RI DFWLRQ DV PRGHOOHG LQ Le discours de l’action 7KHUH LV QHLWKHU V\VWHPDWLF FRQWLQXLW\ QRU H[SOLFLW SDUDOOHO DUWLFXODWLRQEHWZHHQWKHERRNDQGWKHODWWHULe discours de l’action WDNHV RUGLQDU\ ODQJXDJH DQG WKH DQDO\WLFDO SKHQRPHQRORJ\ RI RUGLQDU\ ODQJXDJHDVWKHWUXHEDVLVIRUEXLOGLQJDSKLORVRSK\RIDFWLRQ&RQYHUVHO\ WKHSLOODURQZKLFKWKHHQWLUHFRQVWUXFWLRQRIOneself as Another UHVWVWKH DQWKURSRORJLFDO SKLORVRSK\ RI WKH capable human being 7R FURVV DQG XQLI\ WKH WZR PRGHOV UHPDLQV XS WR XV EHFDXVH IURP WKH SHUVSHFWLYH RI 5LFRHXU¶V SKLORVRSK\ RI DFWLRQ WKH\ DUH OLNH WZR GLIIHUHQW VLGHV RI WZR GLIIHUHQW FRLQV ,Q WHUPV RI HIILFDF\ DQG SURGXFWLYLW\ WKH EHVW ZD\ WR UHXQLI\WKHVHWZRPRGHOVLVQRWIURPWKHFRPSUHKHQVLYHSHUVSHFWLYHRID JHQHUDOSUDFWLFDOSKLORVRSK\RUHWKLFVEXWUDWKHUIURPWKDWRIDVSHFXODWLYH



&KDSWHU

DQWKURSRORJ\WKXVLWLQYROYHVUHPRGHOOLQJDSKLORVRSK\RIDFWLRQVWDUWLQJ ZLWKDSKLORVRSK\RIWKHKXPDQEHLQJ$QGWKLVVHHPVWREHDSURGXFWLYH FRQVHTXHQFHRIRXUGRXEOHFULWLFLVPDFULWLFLVPWKDWLQWKHHQGUHLQIRUFHV 5LFRHXU¶VSHUVSHFWLYHDQGSURSRVDOVRQWKHSKLORVRSK\RIDFWLRQ $V GHILQHG DQG GHVFULEHG LQ Oneself as Another 5LFRHXU¶V SKHQRPHQRORJLFDO KHUPHQHXWLFV RI WKH VHOI RIIHUV D PRGHO RI SHUVRQDO LGHQWLW\LQZKLFKVXEMHFWLYLW\LVXQGHUVWRRG  DVDQ³H[SUHVVLYHSRZHU´ QDWXUDODQGH[LVWHQWLDOH[SHULHQWLDODWWKHVDPHWLPH DQG  DVDSURFHVV RI GHYHORSPHQW DQG HPDQFLSDWLRQ 5LFRHXU DUWLFXODWHV WKH GLDOHFWLF EHWZHHQ LGHQWLW\ DQG VHOI VXJJHVWLQJ WKDW WKH FRQFHSW WKDW PXVW PHGLDWH DQGPRGXODWHWKHUHODWLRQVKLSEHWZHHQWKHVHWZRILJXUHVRIVXEMHFWLYLW\LV WKH FRQFHSW RI narrative identity 2QO\ QDUUDWLRQ PDNHV LW SRVVLEOH WR UH UHSUHVHQW DQG UHRUJDQLVH KXPDQ DFWLRQ LQ D WHPSRUDO FKDLQ ZLWK D EHJLQQLQJDQGDQLQWHUWZLQHGSORW :KHUHLVWKHRQWRORJLFDOIRXQGDWLRQRIWKLVNLQGRIDQWKURSRORJLFDOYLHZ" &ODULI\LQJ DJDLQ WKDW WKH GLDOHFWLF EHWZHHQ WKH QDWXUDO ego DQG WKH H[LVWHQWLDO self LV D VRFLDO SURGXFW RI PHGLDWLRQ DQG D FXOWXUDO DQG PRUDO SURGXFW RI HPDQFLSDWLRQ ZH FDQ DGYDQFH WKH LGHD WKDW WKLV YLVLRQ LV RQWRORJLFDOO\ URRWHG LQ D FRQFHSWLRQ RI being DV D poweract G\QDPLF 6XFK D FRQFHSWLRQ SHUIHFWO\ PLUURUV WKH LGHD RI VXEMHFWLYLW\ DV DQ H[SUHVVLYH SRZHU JLYLQJ WR WKH LGHD RI KXPDQ capacity WKH H[DFW GHWHUPLQDWLRQ RI D WHQVLRQDO G\QDPLVP RI QDWXUDO DQG VSLULWXDO IRUFHV RI UHJUHVVLYH DQG SURJUHVVLYH GULYHV DQG RI QDWXUDO HYROXWLRQ DQG PRUDO HPDQFLSDWLRQ $W WKH HQGRIWKLV VXUYH\RI5LFRHXU¶V SKLORVRSK\RI DFWLRQZH GLVFRYHU WKHFHQWUDOLW\RIKLVFRPSUHKHQVLYHSKLORVRSK\RIWKHKXPDQEHLQJZKLFK LVDEOHWRVXEVXPHDQGFRRUGLQDWHGLIIHUHQWVSHFXODWLYHGLVFRXUVHV$WWKH VDPH WLPH ZH ILQG FRQILUPDWLRQ RI WKH K\SRWKHVLV WKDW D FRPSOHWH DQG DFFRPSOLVKHG SKLORVRSK\ RI DFWLRQ PXVW KDYH LWV EDVLV DQG LWV VWDUWLQJ SRLQWLQDSKLORVRSKLFDODQWKURSRORJ\ 

3$57,,, 5(%$/$1&,1*1$55$7,9(,'(17,7«@ 0\ LQLWLDO K\SRWKHVLV WKHQ ZKLFK,VXEPLWIRU\RXUFRQVLGHUDWLRQLVWKDW,GRQRWVHHDZD\RISDVVLQJ IURPRQHRUGHURIGLVFRXUVHWRWKHRWKHUHLWKHU,VSHDNRIQHXURQVDQGVR IRUWK LQ ZKLFK FDVH , ILQG P\VHOI LQ D FHUWDLQ ODQJXDJH RU , VSHDN RI WKRXJKWV DFWLRQV DQG IHHOLQJV WKDW , FRQQHFW ZLWK P\ ERG\ WR ZKLFK , VWDQG LQ D UHODWLRQ RI SRVVHVVLRQ RI EHORQJLQJ 7KXV , FDQ VD\ WKDW P\ KDQGVP\IHHW,JUDVSZLWKP\KDQGV±EXWWKLVFRPHVXQGHUWKHKHDGRI SHUVRQDOH[SHULHQFH,GRQRWKDYHWRFRPPLWP\VHOIWRDQRQWRORJ\RIWKH VRXOLQRUGHUWRVSHDNLQWKLVZD\%\FRQWUDVWZKHQ,DPWROGWKDW,KDYHD EUDLQ QR DFWXDO H[SHULHQFH FRUUHVSRQGV WR WKLV , OHDUQ DERXW LW LQ ERRNV 5LFRHXULQ&KDQJHX[5LFRHXU± 

7KHGLVWLQFWLRQ DQGGLDOHFWLFDO FRUUHODWLRQEHWZHHQ WKHELRORJLFDO DQG WKH QDUUDWLYH GLPHQVLRQV RI LGHQWLW\ ZLWKLQ ZKLFK 5LFRHXU¶V WKHRU\ RI QDUUDWLYHLGHQWLW\ILWVUHVSRQGVSUHFLVHO\WRWKLVQHHGIRUDFRPSUHKHQVLYH V\QWKHVLV,WLVWKURXJKWKLVGLIIHUHQWLDWLRQWKDW5LFRHXUWULHVWRFRXQWHUWKH LGHDV RI WKH HJR DV D VRFLDO ILFWLRQ +XPH  PDNLQJ WKH QDUUDWLYH GLPHQVLRQ WKH WUXH WHQVLRQ DQG PHGLDWLQJ FRUQHUVWRQH XSRQ ZKLFK WKH ERG\DQGWKHXQFRQVFLRXVDUHEURXJKWEDFN,QIDFWDVDOUHDG\PHQWLRQHG KH FRQVLGHUV WKH SUREOHP RI SHUVRQDO LGHQWLW\ WR EH ORVW LQ DQWLQRP\ ZLWKRXWVROXWLRQLIQDUUDWLYHIXQFWLRQLVQRWJLYHQWKHPDLQSULPDU\³UROH´ LQPHGLDWLRQV\QWKHVLVDQGFRPSUHKHQVLYH VHOI UHDOLVDWLRQ$QGLWLVYLD WKHGLDOHFWLFVEHWZHHQLGHPDQGLSVHGLPHQVLRQVRIWKHVHOIWKDW³5LFRHXU GULYHVDZHGJHEHWZHHQREMHFWLI\LQJDFFRXQWVRIWKHVHOIRQWKHRQHKDQG DQGKLVDFFRXQWRIDVHOIDVVRPHKRZFDSDEOHRIUHVLVWLQJLWVUHGXFWLRQWR QDWXUDOLVWGHVFULSWLRQV´ 0F&DUWK\ 

7KH3UREOHPRI1DUUDWLYH,GHQWLW\ 5LFRHXU FKDUDFWHULVHV QDUUDWLYH LGHQWLW\ DV D VSHFLILF IRUP RI KXPDQ LGHQWLW\ ZKLFK DQ LQGLYLGXDO RU D JURXS RI LQGLYLGXDOV IRUPLQJ D FRPPXQLW\ H[SHULHQFHV WKURXJK WKH PHFKDQLVP RI PHGLDWLRQ GHWHUPLQHG E\ WKH SHUSHWXDO G\QDPLVP RI KLVWRU\ DQG ILFWLRQ RI H[SHULHQFH DQG LPDJLQDWLRQ$V2OLYLHU$EHODQG-pU{PH3RUpHH[SODLQ /¶LGHQWLWp DVVLJQpH SDU OH UpFLW O¶HVW pJDOHPHQW VHORQ 5LFRHXU DX[ LQGLYLGXVHWDX[FRPPXQDXWpVKLVWRULTXHV'¶ROHV³GHX[H[HPSOHV´TX¶LO PHW G¶DERUG ³HQ SDUDOOqOH´ FHOXL GH O¶H[SpULHQFH SV\FKDQDO\WLTXH HW FHOXL GHO¶KLVWRLUHGHO¶,VUDsOELEOLTXH'DQVOHVGHX[FDV³XQVXMHWVHUHFRQQDvW GDQVO¶KLVWRLUHTX¶LOVHUDFRQWHjOXLPrPHVXUOXLPrPH´>«@2QSHXWVH GHPDQGHUWRXWHIRLVV¶LOV¶DJLWG¶XQVLPSOHSDUDOOpOLVPH±QRQWDQWSDUFHTXH O¶KLVWRLUH GH O¶LQGLYLGX VH FRQIRQG SRXU SDUWLH DYHF FHOOH GH VD FRPPXQDXWp TXH SDUFH TXH O¶LQGLYLGX VHXO SHXW GHYHQLU SDU OD JUkFH GX



&KDSWHU UpFLWXQHSHUVRQQHSURSUHPHQWGLWH(QFRUHSHXWRQOLUHjFHWpJDUGO¶DYH TXH³O¶LGHQWLWpQDUUDWLYHQ¶pSXLVHSDVO¶LSVpLWpGXVXMHW´ $EHO3RUpH  

)URP VXFK D SRVVLELOLW\ ZH SRVVHVV LQWXLWLYH SUHFRPSUHKHQVLRQ IRU ZH NQRZKRZWRUHDFKWRDEHWWHUXQGHUVWDQGLQJRIKXPDQOLIHLQLWVexistential and cultural nature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idem-DQGipse-LGHQWLW\ ,QOneself as AnotherWKHGLIIHUHQFHVEHWZHHQFRQFHSWLRQDQGFRQVWLWXWLRQ EHKLQG WKHVH WZR XVHV DUH H[SORUHG E\ WKHPDWLVLQJ WKH VSHFLILF PRGH RI SHUPDQHQFHLQWLPHZKLFKYDULHVVLJQLILFDQWO\LQERWKDQGZKLFKUHIHUVWR WZR GLPHQVLRQV SURSHU WR KXPDQ H[SHULHQFH DQG WKH KXPDQ FRQGLWLRQ character DQG keeping one’s word. 7KH GLDOHFWLF EHWZHHQ character DQG keeping one’s word H[SUHVVHV D GHEDWH EHWZHHQ WKH ELRORJLFDO DQG WKH FXOWXUDOH[LVWHQWLDOGLPHQVLRQRIVXEMHFWLYLW\,WLVDWHQVLRQWKDWFDQRQO\ ILQG KDUPRQLVDWLRQ E\ YLUWXH RI D FRQWLQXRXV WHQVLRQDO PHGLDWLRQ 7KLV SHUSHWXDO DQG WHQVLRQDO GLDOHFWLF RI PHGLDWLRQ LV SUHFLVHO\ H[HUWHG E\ QDUUDWLYH LGHQWLW\ ZKLFK WKHUHIRUH FDQQRW EH WUDFHG EDFN WR WKH VROH FXOWXUDOH[LVWHQWLDO GLPHQVLRQ RI LQGLYLGXDO LGHQWLW\ ,Q IDFW QDUUDWLYH LGHQWLW\RVFLOODWHVEHWZHHQDORZHUOLPLWZKHUHSHUPDQHQFHH[SUHVVHVWKH FRQIXVLRQ RI idem DQG ipse DQG DQ XSSHU OLPLW ZKHUH ipse SRVHV WKH TXHVWLRQRILWVLGHQWLW\LQDQDXWRQRPRXVZD\ VHH5LFRHXUDQG  7KLV³RVFLOODWLRQ´RIQDUUDWLYHLGHQWLW\LVWKHIRUPXODIRUDSHUSHWXDO WHQVLRQDOVROXWLRQRIWKHVXEVWDQWLDODQGQRQVXEVWDQWLDOGLPHQVLRQRIWKH VHOI 7KH FRPPRQ HYHU\GD\ KXPDQ H[SHULHQFH RI change RYHU WLPH DQG permanence LQ RXU VHQVH RI VHOI DV D XQLTXH DQG FRQVLVWHQW HQWLW\ UHYHDO WKHFRQVLVWHQF\RIWKLVSHUSHWXDOPRYHPHQW ,WLVWKHQDUUDWRORJLFDOFDWHJRU\RIWKHFKDUDFWHUWKDWFRQVWLWXWHVWKHSDWKRI NQRZOHGJHRILGHQWLW\RQWKHGLDOHFWLFVLGHRISHUPDQHQFHDQGFKDQJHRYHU WLPH7KHLQGLYLGXDOUHDOLVHKLPVHOIKHUVHOIYLDUHSUHVHQWDWLRQDVWKHRQH

7HOOLQJD/LIH



LQWKHVWRU\ZKRSHUIRUPVWKHDFWLRQEHFRPLQJWKHREMHFWRIWKHSORWDQG WKLV FDQ EH DFFRPSOLVKHG EHFDXVH WKH VWRU\ GRHV QRW MXVW VWUXFWXUH WKH DFWLRQ DQG LWV FRQWH[W EXW WKH LGHQWLW\ RI WKH FKDUDFWHU ,Q IDFW KLVKHU LGHQWLW\ LV FRQQHFWHG WR KLVKHU DFWLRQV EHFDXVH KLVKHU DFWLRQV PLUURU KLVKHU YLHZ LQWHQWLRQV YDOXHV XQGHUVWDQGLQJ DQG VR RQ 7KLV LV DQ LGHQWLW\WKDWLVQRZH[SUHVVHGXQGHUVWRRGDQGaccomplishedDVDQDUUDWLYH LGHQWLW\ $V 5LFRHXU H[SODLQV WKH SHUVRQ XQGHUVWRRG DV D FKDUDFWHU LQ D VWRU\ VKDUHV WKH UHJLPH RI WKH G\QDPLF LGHQWLW\ RI WKH VWRU\ EHLQJ UHFRXQWHG 7KH QDUUDWLRQ GHILQHV DQG VXEVWDQWLDWHV WKH LGHQWLW\ RI WKH FKDUDFWHU ZKLFK FDQ EH FDOOHG KLVKHU QDUUDWLYH LGHQWLW\ DQG LW LV WKH LGHQWLW\RIWKHVWRU\WREXLOGWKHLGHQWLW\RIWKHFKDUDFWHU7KHSODFLQJRI WKLV G\QDPLF RI WKH GLVFRUGDQW FRQFRUGDQFH RI WKH FKDUDFWHU LQWR WKH GLDOHFWLF RI VDPHQHVV DQG VHOIKRRG LV LPSRVHG VLQFH WKH GLVFRUGDQW FRQFRUGDQFHRIWKHFKDUDFWHULVFRPSDUHGZLWKWKHUHTXHVWIRUSHUPDQHQFH RYHUWLPH,QDGGLWLRQLWLVDEVROXWHO\QHFHVVDU\WRVKRZKRZWKHGLDOHFWLF RI WKH FKDUDFWHU FRPHV WR EH LQVFULEHG LQ WKH JDS EHWZHHQ WKHVH WZR GLPHQVLRQVRISHUPDQHQFHRYHUWLPHWRDFWDVDPHGLDWRUEHWZHHQWKHP 7KLV PHGLDWLQJ IXQFWLRQ ZKLFK WKH FKDUDFWHU¶V QDUUDWLYH LGHQWLW\ H[HUWV EHWZHHQ VDPHQHVV DQG VHOIKRRG LV DWWHVWHG WR E\ WKH LPDJLQDWLYH YDULDWLRQVEHWZHHQQDUUDWLRQDQGLGHQWLW\$V5LFRHXUH[SODLQV )URP WKLV FRUUHODWLRQ between DFWLRQ DQG FKDUDFWHU LQ D QDUUDWLYH WKHUH UHVXOWVDGLDOHFWLFinternal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

7KH SUHYLRXV SDVVDJH LV IURP D NH\ SDUDJUDSK WKDW FRQVWLWXWHV 5LFRHXU¶V WKHRUHWLFDO DUWLFXODWLRQ SURSHU WR WKH QDUUDWRORJLFDO WKHRU\ RI QDUUDWLYH LGHQWLW\ DQG KDV D FORVH FRQQHFWLRQ ZLWK WKH H[SHULHQWLDO DQG SUDFWLFDO VSKHUHVRIDFRQFUHWHSHUVRQZKRLVIHGERWKDQHIIHFWLYHandLPDJLQDWLYH H[SHULHQFH , FDQ LGHQWLI\ P\VHOI ZLWK WKH FKDUDFWHU RI D VWRU\ DQG WUDQVIRUPWKHZRUOGRIWH[WLQWRDSURGXFWLYHODERUDWRU\RIUHFRQILJXUDWLRQ DQG SHUVRQDO UHQHZDO 7KLV LV SRVVLEOH QRW RQO\ EHFDXVH , FDQ LQWHUSUHW



&KDSWHU

P\VHOI DV DQDUUDWRURIP\ RZQ VWRU\ EXWDOVR EHFDXVHPDNLQJP\VHOI D ³FKDUDFWHU´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±   3XEOLVKHG LQ  ³7KH 4XHVWLRQ RI 3URRI LQ )UHXG¶V 3V\FKRDQDO\WLF :ULWLQJV´ JRHV EH\RQG WKH HSLVWHPRORJLFDO SUREOHP LQ )UHXG¶VSV\FKRDQDO\VLV,QIDFW5LFRHXUGRHVQRWVLPSO\DSSO\WKHWKHPH RI FOLQLFDO FDVHV WR WKH QRWLRQ RI QDUUDWLYH LGHQWLW\ EXW SODFHV QDUUDWLYH LGHQWLW\DVDWRRORIPHGLDWLRQEHWZHHQIDFWXDOLW\DQGUHSUHVHQWDWLRQ7KH FULWHULRQRIQDUUDWLYLW\PXVWUHVROYHWKHDSRULDRIWKHORVVRIDQFKRUDJHWR UHDOLW\ IURP ZKLFK WKH ³SV\FKRDQDO\WLF IDFW´ VXIIHUV EHFDXVH LQ )UHXG¶V LQWHUSUHWDWLRQLWLVQRWWKHSDWLHQW¶VH[SHULHQFHVWKDWDUH³UHOHYDQW´VRPXFK DVZKDWWKHSDWLHQWPDNHVRIKLVKHURZQIDQWDVLHV ,Q 5LFRHXU¶V LQWHUSUHWDWLRQ WKH FULWHULRQ RI QDUUDWLYLW\ FRQWULEXWHV WR VPRRWKLQJ RXW WKH GLIILFXOW\ DULVLQJ IURP WKH ILFWLRQDO FULWHULRQ WKDW LV IURPWKHUHFRJQLWLRQRIWKHWUXWKIXOIRUFHRID³UHDVRQHGP\WKRORJ\´7KLV QDUUDWLYLW\UHFRQFLOHVLQVRPHZD\VWKHDichtungDQGWKHWahrheitEXWLW LV D UHFRQFLOLDWLRQ QRW E\ VXEVWLWXWLRQ ,Q IDFW WKH ³WUXH VD\LQJ´ DQG WKH ³UXHGRLQJ´DUHUHFRQFLOHGLQWKHSHUSHWXDO UH FRQVWUXFWLRQRIDFRKHUHQW VWRU\ VWDUWLQJ IURP WKH VFDWWHUHG IUDJPHQWV RI RXU H[SHULHQFH )ROORZLQJ WKH WKHRUHWLFDOSUDFWLFDO URXWH RSHQHG E\ WKH QDUUDWLYH FKDUDFWHU RI WKH SV\FKRDQDO\WLFIDFWLWHPHUJHVWKDWZKDWLWLVDWVWDNHLQSV\FKRDQDO\VLVLV QRWRQO\LWVDELOLW\WRH[SODLQWKHZKROHFDVHKLVWRU\RIDSDWLHQWLQDEURDG DQG VLQJXODU ZD\ 6KHUZRRG  RU WKDW WR H[SODLQ PHDQV WR UHRUJDQLVH WKH IDFWV LQWR DQ DFFHSWDEOH DQG XQGHUVWDQGDEOH ZKROH WKDW IRUPV D XQLTXH KLVWRU\WKDWLVVLPXOWDQHRXVO\false and trueEXWWKDWWKLVIXQFWLRQLQJKDV WRGRZLWKWKHIRUPDWLRQDQGPDWXUDWLRQRISHUVRQDOLGHQWLW\LQJHQHUDO

7HOOLQJD/LIH



,QVKRUW5LFRHXUWDNHVXVEH\RQG$ULVWRWOH¶VPHWDSK\VLFDOSHUVSHFWLYHRQ SRZHU DQG DFWLRQ E\ VWDWLQJ WKDW HYHU\ ZHOOWROG VWRU\ LV DQ HOHPHQW WKDW PD\ H[HUFLVH SRZHU XSRQ XV 0RUHRYHU KH DUJXHV WKDW D VWRU\ UHYHDOV XQLYHUVDO DVSHFWV RI WKH KXPDQ FRQGLWLRQ DQG WKDW WR WKLV HQG SRHWU\ LV PRUH VSHFXODWLYHO\ VXEVWDQWLDWHG WKDQ WKH KLVWRU\ RI KLVWRULDQV ZKLFK LV WRR GHSHQGHQW RQ WKH DQHFGRWDO DVSHFWV RI IDFWXDOLW\ 7KH QDUUDWLYH GLPHQVLRQ LV WKH PRVW FRPSUHKHQVLYH DQG G\QDPLF IRUP RI SHUVRQDO LGHQWLW\ VHH S ±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intersectionRI WKH ZRUOG RI WKH WH[W DQG WKDW RI WKH UHDGHU 7KXV WKH DFW RI UHDGLQJ EHFRPHVWKHFUXFLDOPRPHQWRIWKHZKROHDQDO\VLV,QLWUHVLGHVWKHVWRU\¶V FDSDFLW\ WR WUDQVILJXUH WKH UHDGHU¶V SHUVRQDO H[SHULHQFH VHH 5LFRHXU E 

&RQFOXVLRQ ,W LV WUXH WKDW ZKLOH D VWRU\ LV EHLQJ WROG RU OLIH LV EHLQJ OLYHG WKH DFW RI UHDGLQJRUVWRU\WHOOLQJRUZULWLQJEHFRPHVDIRUPRIVXVSHQVLRQZLWKLQDQ LQWHUUHJQXPEHWZHHQUHDOLW\DQGLPDJLQDWLRQEHWZHHQSXUHSRVVLELOLW\DQG SRVVLEOHH[SHULHQFH+RZHYHUWKLVLQWHUUHJQXPLVQRWDVLPSOHWHPSRUDU\ VXVSHQVLRQIURPFRQFUHWHFLUFXPVWDQFHV,WLVVRPHWKLQJDOUHDG\FRQFUHWH DERYHDOOIURPWKHSHUVSHFWLYHRIRXUSV\FKLFOLIH,QIDFWWKHVXEVWDQFHRI RXUpsychicrealityZKLFKLVGLIIHUHQWIURPHPSLULFDOUHDOLW\DQGGLIIHUHQW IURPDEVWUDFWLGHDORUSXUHO\LPDJLQDWLYHUHDOLWLHVLVDNLQGRIUHDOLW\per se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



&KDSWHU

UHIHUHQFH WR WKH IDFWV RI WKH ZRUOG DQG WR RXU FRPPXQLWLHV WR LQWHUVXEMHFWLYH UHODWLRQV DQG WR WKH KLVWRULFDO H[SHULHQFH DQG SODQQLQJ KRUL]RQRIDQLQGLYLGXDO                    

&+$37(5 ,0$*,1,1*$/,)( 21,0$*,1$7,21$1','(17,7@ LV WKH SLYRWDO TXHVWLRQ DQG WKH XQGHUO\LQJ SUREOHP RI DOO 3ODWRQLVP ,W LV WKH YHU\ FRUH RQ ZKLFK WKH RSHUDWLRQ RI WKH µVWUDWHJ\ RI WKH VRXO¶ LV LPSODQWHG´  WUDQVODWLRQ LV PLQH 7KLVLVWKHIRUPDWLRQRIWKHKXPDQSHUVRQRIWKHSROLWLFDOPDQRI WKHHSLVWHPLFVXEMHFWRIWKHFUHDWLYHLQQRYDWLRQRIWKHVHOI³(VWDEOLVKLQJ WKH SV\FKLF LPDJH DV D PHGLDWRU EHWZHHQ VHQVDWLRQ DQG FRQFHSW LV DQ LQGLVSHQVDEOHFRQGLWLRQIRU WKHRULJLQRI DKXPDQLW\ FKDUDFWHULVHGE\ WKH VFLHQWLILFNQRZOHGJHRIZKDWZHDUH7KLVLVFHUWDLQO\VWLOOWKHSUREOHPWKDW +XVVHUOUHFRJQLVHGZKHQKHGHFODUHGWKDWSV\FKRORJ\LVIRUXVWKHVFLHQFH RIXOWLPDWHGHFLVLRQV´ ±WUDQVODWLRQLVPLQH $WWKHGLVFXUVLYHOHYHO DQ LQWHUWZLQLQJ EHWZHHQ JQRVHRORJ\ HSLVWHPRORJ\ SV\FKRORJ\ DQG SKLORVRSKLFDO DQWKURSRORJ\ VHHPV WR EH GHWHUPLQHG KHUH $QG DV IRU )UHXG WKH ³VFHQH´ RI WKH VWUDWHJ\ RI WKH VRXO EHFRPHV UDGLFDOLVHG   $FFRUGLQJ WR )UHXG¶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bidem 

7KH WUDQVIRUPDWLRQ RI WLPH E\ YLUWXH RI XWRSLD FRLQFLGHV ZLWK WKH HPDQFLSDWRU\OLEHUDWLRQRIWKHV\PEROLFLQWKHLQQHUOLIH)RU0HOFKLRUUH LIWKHDEVHQWLVWKHREMHFWRIWKHZRUNRILPDJLQDWLRQWKHQLPDJLQDWLRQLQ LWVHOI LV WKH ³RUJDQ´ RI WKH IXWXUH ³7KH EHLQJ RI WKH KXPDQ EHLQJ LV >@ DOZD\VDEHLQJLQSURVSHFWLQDUHODWLRQVKLSRIRULHQWDWLRQZLWKWKHZRUOG´ ,QVRPHZD\VZHFDQWDONDERXWWKHLGHDRIVXEMHFWLYLW\XQGHUVWRRGDVDQ



&KDSWHU

HPDQFLSDWRU\SXVK WRZDUGV WKHIXWXUHSHUKDSV VRPHKRZ  LQ DFFRUGDQFH ZLWK WKH VDPH WHQVLRQDO GLDOHFWLFV RI WKH archê DQG WKH telos WKDW 3DXO 5LFRHXU KDV WKHRULVHG E\ FURVVLQJ WKH +HJHOLDQ SKHQRPHQRORJLFDO DQWKURSRORJLFDOSHUVSHFWLYHZLWKWKH)UHXGLDQSV\FKRDQDO\WLFSHUVSHFWLYH :HGRQRWVLPSO\SXVKRXWZLWKWKHIXWXUHEXWHQJDJHLQDGLIILFXOWDQG FRQIOLFWLQJGLDOHFWLFLQZKLFKWKHZRUNRILPDJLQDWLRQLQPHPRU\FDQEH FKDUDFWHULVWLFDOO\RUHYHQSDWKRORJLFDOO\ IL[HGRQWKHSDVW IRUH[DPSOH GXHWRSDLQIXOWUDXPDWLFDQGVWLOOYLYLGLPDJHVRISDVWH[SHULHQFHV 2UZH SURMHFWRXUVHOYHVRQWKHIXWXUHDFFRUGLQJWROLIHSURMHFWVXWRSLDVRUHYHQ DOLHQDWLQJHVFDSHV )RU 0HOFKLRUUH ³ZKHQ WKH LPDJLQDU\ LV SXVKHG IRUZDUG WR JLYH QHZ GLIIHUHQW VSDFH DQG WLPH DQG WR UHRUJDQLVH WKH LPDJHV RI PHPRU\ LW DOZD\V GRHV VR LQ WKH VHQVH RI DQ H[LVWHQWLDO GHWHUPLQDWLRQ DOEHLW LQ WKH VHQVHRISRVVLELOLW\,QHIIHFWWKHPDWHULDOWKDWWKHLPDJLQDWLRQHODERUDWHV LVLQWKHRUGHURIWKHGHWHUPLQDWLRQDQGLWLVOLNHVXFKFRQGLWLRQLQJ´  WUDQVODWLRQLVPLQH  &HUWDLQO\WKHOLEHUDWLRQRIWKHLPDJLQDU\LVXQGHUVWRRGDVDQHVVHQWLDOSDUW RI DQ LQGLYLGXDO¶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¶V OLIH -XQJ SRLQWVRXWWKDWLQJHQHUDO³RQHKDOIRIKXPDQLW\EDWWHQVDQGJURZVVWURQJ RQ D GRFWULQH IDEULFDWHG E\ KXPDQ UDWLRFLQDWLRQ WKH RWKHU KDOI VLFNHQV IURP WKH ODFN RI D P\WK FRPPHQVXUDWH ZLWK WKH VLWXDWLRQ´ -XQJ    7R VXPPDULVH LPDJLQDWLRQ KDV WR EH FRQVLGHUHG RQ WKH RQ KDQG DV D VXEVWLWXWLYHFRPSHQVDWRU\DQGVXEOLPDWRU\RSHUDWLRQDQGRQWKHRWKHUDV D ODQGLQJ SODFH IRU UHDOLW\ DQG DQ LQGLYLGXDO ³IXOOQHVV´ RU ³WUXWK´ 7KHVH DUH QRW WKH RQO\ WZR VFKRROV RU LQWHUSUHWDWLYH DSSURDFKHV EXW WKH\ DUH H[SUHVVLRQV RI WZR SRVVLEOH DOWHUQDWLYH IXQFWLRQV RI WKH GHHS DQG

,PDJLQLQJD/LIH



LQIOXHQFLQJUROHRIWKHLPDJLQDWLRQ:LWK)UHXGZHFDQSRQGHUDUDQJHRI H[SUHVVLRQV RI WKH VHOI WKDW YDU\ IURP SKDQWDVPDO SURGXFWLRQ WR V\PSWRPDWLFPDQLIHVWDWLRQVWRWKHDOLHQDWLQJVXEOLPDWLRQ)URP-XQJZH FDQ SRQGHU RI D UDQJH RI LVVXHV IURP WKH H[SUHVVLYH DQG HPDQFLSDWRU\ VWXG\RIindividuationWRWKHP\WKLFDOV\PEROLFUHOLJLRXVSURMHFWRIDQHZ YLVLRQRIOLIH 7KLVGLVFRXUVHVKRXOGQRWDLPWRH[SORUHIL[HGLVVXHVRUHVWDEOLVKFRPSOHWH DQGFRPSUHKHQVLYHPRGHOV5DWKHUSHUKDSVZHVKRXOGUHDVRQLQWHUPVRI WKH SHUSHWXDO TXHVWLRQLQJ WKDW FRQWLQXRXVO\ DULVHV WKH QHZ IRUPXODWLRQV EHLQJ FRQWLQXDOO\ SURGXFHG LQ RUGHU WR DWWDFN DQG XQGHUPLQH WKH PRGHOOLQJUHIHUUHGWRKHUHRUWRRSHQXSRWKHUW\SHVRIPRGHOOLQJ 7KH PRVW UHFHQW JHQHUDWLRQV LQ VRFLHW\ VHHP SDUWLFXODUO\ DWWDFKHG WR IUDJPHQWV VSHHG VXUIDFH YDULDWLRQ DGUHQDOLQH LPSXOVH DQG JXVWR WKDQ WKRVH WKDWSUHFHGHG WKHP 7KLV FRXOGEH D VLJQRI IUDJLOHPRELOH OLTXLG YDJXHDQGXQFHUWDLQSHUVRQDOLWLHV7KHOLIHVWRU\WHQGVWRGHJUDGHLQWRDQ LOOXVWUDWHG FROODJHRIOLIH RU WR D QRQQDUUDWLYH FRPELQDWLRQ RI OLWHUDOO\ ³ILJXUDO´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

2Q1DUUDWLRQ5HFRJQLWLRQDQG3HUVRQDO (PDQFLSDWLRQ 7KH WKHRUHWLFDO UHOHYDQFH RI LPDJLQDWLRQ LQ 5LFRHXU¶V SKLORVRSK\ RI WKH KXPDQEHLQJKDVLWVURRWVLQKLVWULORJ\Time and Narration   SDUWLFXODUO\LQFRQQHFWLRQZLWKWKHUROHSOD\HGE\WKHWULSOHPLPHVLVLQWKH IUDPHZRUN RI QDUUDWLYH WKHRU\ 7KH NH\ WHUP RI WKLV ZRUN ³LV FHUWDLQO\ mimesis LQ DOO LWV GLDOHFWLFDO ULFKQHVV >@ >IRU LW@ SUHVLGHV RYHU WKH FRPSOH[ DUFKLWHFWXUH RI WKH WULORJ\ WKDW LV WKH SRZHU RI ODQJXDJH WR SUHILJXUHWKHDFWLRQZKLFKLWVHOILVUHDGDEOHDVDWH[WDQGLQVHUWHGLQWRWKH V\PEROLFSORWRIDJLYHQFXOWXUDOXQLYHUVHWKDWLVWKHSRZHURIODQJXDJHWR



&KDSWHU

FRQILJXUHWKHKXPDQDQGWHPSRUDOZRUOGRISUD[LVLQWKHWZRGLIIHUHQWEXW FRQYHUJLQJPRGHVRIKLVWRULFDODQGILFWLRQDOQDUUDWLRQ)LQDOO\WKHSRZHU RIODQJXDJHRIUHILJXULQJRIVSHDNLQJDQHZSUD[LVRIVKDSLQJLQDQHZ ZD\ DQG RI SUHVHUYLQJ DQG UHQHZLQJ WKH VHQVH RI KXPDQ DFWLRQ DQG VXIIHULQJ´ -HUYROLQRð±WUDQVODWLRQLVPLQH  ,QDVRUWRIFRUUHODWLYH UH GHWHUPLQDWLRQWKHZKROHZRUNLVEDVHGRQWKH KHUPHQHXWLFFLUFOHIRUPHGE\H[SHULHQFHGDQGQDUUDWHGWLPH,IDOOWKDWLV QDUUDWHGWDNHVSODFHWHPSRUDOO\WKHUHLVQRWHPSRUDOLW\ZLWKRXWQDUUDWLRQ DQGREYLRXVO\QRQDUUDWLRQZLWKRXWH[SHULHQFH Time and Narration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¶V WUDGLWLRQ ,Q WKH JHQHUDO FRQFOXVLRQ RI Time and Narration 5LFRHXU LQWURGXFH WKH FRQFHSW RI QDUUDWLYH LGHQWLW\ D FRQFHSW WKDW KH ZLOO ODUJHO\ GHYHORS DQG GHHSHQODWWHULQOneself as Another  $V5LFRHXUH[SODLQV 7KH QRWLRQ RI QDUUDWLYH LGHQWLW\ LQWURGXFHG LQ Time and Narrative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² ERUURZHGIURPKLVWRU\RUIURPILFWLRQ GUDPDRUQRYHO ²DUFDSSOLHGWR WKHP",WWKHUHIRUHVHHPVSODXVLEOHWRWDNHWKHIROORZLQJFKDLQRIDVVHUWLRQV DV YDOLG VHOIXQGHUVWDQGLQJ LV DQ LQWHUSUHWDWLRQ LQWHUSUHWDWLRQ RI WKH VHOI LQWXUQILQGVLQWKHQDUUDWLYHDPRQJRWKHUVLJQVDQGV\PEROVDSULYLOHJHG IRUPRIPHGLDWLRQWKHODWWHUERUURZVIURPKLVWRU\DVZHOODVIURPILFWLRQ PDNLQJDOLIHVWRU\DILFWLRQDOKLVWRU\RULIRQHSUHIHUVDKLVWRULFDOILFWLRQ LQWHUZHDYLQJ WKH KLVWRULRJUDSKLF VW\OH RI ELRJUDSKLHV ZLWK WKH QRYHOLVWLF VW\OHRILPDJLQDU\DXWRELRJUDSKLHV 5LFRHXUQ 

,PDJLQLQJD/LIH



,Q Oneself as Another QDUUDWLYH LGHQWLW\ LV H[SORUHG VWDUWLQJ IURP D FRPSDULVRQ RI WZR SRVLWLRQV RQ WKH FULWLFDO DSSURDFK WR SHUVRQDO LGHQWLW\ GHYHORSHG E\ -RKQ /RFNH DQG 'DYLG +XPH WKH GHPLVWLILFDWLQJ SKLORVRSKHUVRIWKHVXEMHFW,QIDFW³WKHOHVVRQWKDWZLWKRXWWKHJXLGHOLQH RIWKHGLVWLQFWLRQEHWZHHQWZRPRGHOVRILGHQWLW\DQGZLWKRXWWKHKHOSRI QDUUDWLYH PHGLDWLRQ WKH TXHVWLRQ RI SHUVRQDO LGHQWLW\ ORVHV LWVHOI LQ ODE\ULQWKLQH GLIILFXOWLHV DQG SDUDO\]LQJ SDUDGR[HV ZDV ILUVW WDXJKW WR SKLORVRSKHUVRIWKH(QJOLVKODQJXDJHDQGRIDQDO\WLFIRUPDWLRQE\/RFNH DQG +XPH´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reud and Philosophy LQ ZKLFK KH LQWHUWZLQHV +HJHO¶V GLDOHFWLFDO SKHQRPHQRORJ\ ZLWK )UHXG¶V SV\FKRDQDO\VLV VHH %XVDFFKL  $V5LFRHXUH[SODLQVLQFreud and Philosophy , GR QRW SUHWHQG WR FRPSOHWH )UHXG EXW WR XQGHUVWDQG KLP WKURXJK XQGHUVWDQGLQJ P\VHOI , YHQWXUH WR WKLQN WKDW , DGYDQFH LQ WKLV XQGHUVWDQGLQJ RI )UHXG DQGP\VHOI E\ UHYHDOLQJWKH GLDOHFWLFDODVSHFWV RI ERWKUHIOHFWLRQDQG)UHXGLDQLVP :KDW,ZLVKWRGHPRQVWUDWHWKHQLVWKDWLI)UHXGLDQLVPLVDQH[SOLFLWDQG WKHPDWLVHG DUFKDHRORJ\ LW UHODWHV RI LWVHOI E\ WKH GLDOHFWLFDO QDWXUH RI LWV FRQFHSWVWRDQLPSOLFLWDQGXQWKHPDWL]HGWHOHRORJ\ ,QRUGHUWRPDNHWKLVUHODWLRQVKLSEHWZHHQDWKHPDWLVHGDUFKDHRORJ\DQGDQ XQWKHPDWL]HGWHOHRORJ\LQWHOOLJLEOH,ZLOOPDNHXVHRIDGHWRXU,SURSRVH WKH H[DPSOH ± RU UDWKHU WKH FRXQWHUH[DPSOH ± RI WKH +HJHOLDQ SKHQRPHQRORJ\ LQ ZKLFK WKH VDPH SUREOHPV SUHVHQW WKHPVHOYHV LQ D UHYHUVHRUGHUThe Phenomenology of Spirit LVDQH[SOLFLWWHOHRORJ\RIWKH DFKLHYLQJ RI FRQVFLRXVQHVV DQG DV VXFK FRQWDLQV WKH PRGHO RI HYHU\ WHOHRORJ\ RI FRQVFLRXVQHVV %XW DW WKH VDPH WLPH WKLV WHOHRORJ\ DULVHV RQ WKH VXEVWUDWH RI OLIH DQG GHVLUH WKXV ZH PD\ VD\ WKDW +HJHO KLPVHOI DFNQRZOHGJHVWKHXQVXUSDVVDEOHFKDUDFWHURIOLIHDQGGHVLUHLQVSLWHRIWKH



&KDSWHU IDFW WKDW WKLV XQVXUSDVVDEOH LV DOZD\V DOUHDG\ VXUSDVVHG LQ VSLULW DQG LQ WUXWK 5LFRHXU 

,QSDUWLFXODU5LFRHXUFRQQHFWV+HJHO¶VPDVWHUVODYHGLDOHFWLFZLWK)UHXG¶V DQDO\VWSDWLHQW WKHUDSHXWLF UHODWLRQVKLS 7KH ODWWHU LV XQGHUVWRRG DV WKH VHDUFKIRUDXWKHQWLFLW\WKURXJKWKHH[FDYDWLRQRIWKHSDVWZKLOHWKHILUVWLV XQGHUVWRRG DV UHVHDUFK LQWR WKH UHDOLVDWLRQ RI PHDQLQJ LQ WKH SURJUHVVLYH HIIRUW %RWK V\PEROLVH WKH WZR SRODULWLHV RI WKH LQGLYLGXDO GLDOHFWLF RI UHFRJQLWLRQ ZKLFK LV SHUSHWXDOO\ LQ WHQVLRQ EHWZHHQ UHJUHVVLRQ DQG SURJUHVVLRQ5LFRHXUH[SODLQV ,QRUGHUWRKDYHDQarchê DVXEMHFWPXVWKDYHDtelos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³EHFRPLQJ FRQVFLRXV´ WKURXJK ZKLFK LW DSSURSULDWHV WKHPHDQLQJRILWVH[LVWHQFHDVGHVLUHDQGHIIRUWGRHVQRWbelongWRLWEXW EHORQJVWRWKHmeaningWKDWLVIRUPHGLQLW7KHVXEMHFWPXVWPHGLDWHVHOI FRQVFLRXVQHVVWKURXJKVSLULWRUPLQGWKDWLVWKURXJKWKHILJXUHVWKDWJLYHD WHORV WR WKLV ³EHFRPLQJ FRQVFLRXV´ 7KH SURSRVLWLRQ WKDW WKHUH LV QR DUFKDHRORJ\ RI WKH VXEMHFW H[FHSW LQ FRQWUDVW WR D WHOHRORJ\ OHDGV WR D IXUWKHUSURSRVLWLRQWKHUHLVQRWHOHRORJ\H[FHSWWKURXJKWKHILJXUHVRIWKH PLQGWKDWLVWRVD\WKURXJKDQHZGHFHQWHULQJDQHZGLVSRVVHVVLRQZKLFK ,FDOOVSULWRUPLQGMXVWDV,XVHGWKHWHUP³XQFRQVFLRXV´WRGHVLJQDWHWKH ORFXVRIWKDWRWKHUGLVSODFHPHQWRIWKHRULJLQRIPHDQLQJEDFNLQWRP\SDVW  

7KLV DQWKURSRORJLFDO PRGHO VHHPV WR VXJJHVW WKH LGHD WKDW WKH UHDOLVDWLRQPDWXUDWLRQ RI SHUVRQDO LGHQWLW\ DQG SHUVRQDO SV\FKLF KHDOWK LV QRWRQO\GHSHQGHQWRQWKHSRVVLELOLW\RIH[SUHVVLRQDQGDFWLRQEXWDOVRRQ VXFFHVVDQGDGYDQFHPHQWLQWHUPVRIHPDQFLSDWLRQDQGUHFRJQLWLRQ $FFRUGLQJ WR WKLV SHUVSHFWLYH KRZ UHOHYDQW LV WKH LPDJLQDWLYHQDUUDWLYH IXQFWLRQ"$QGZKHQDQGKRZGRHVLWFRPHLQWRSOD\"$QVZHULQJWKLVILUVW UHTXLUHV DFNQRZOHGJLQJ WKDW 5LFRHXU GRHV QRW DFFHSW D XQLWDU\ DQG VXEVWDQWLDOFRQFHSWLRQRILGHQWLW\,QOneself as AnotherKHZULWHV :KHQZHVSHDNRIRXUVHOYHVZHLQIDFWKDYHDYDLODEOHWRXVWZRPRGHOVRI SHUPDQHQFHLQWLPHZKLFKFDQEHVXPPHGXSLQWZRH[SUHVVLRQVWKDWDUHDW RQFH GHVFULSWLYH DQG HPEOHPDWLF character DQG keeping one’s word. ,Q ERWKRIWKHVHZHHDVLO\UHFRJQL]HDSHUPDQHQFHZKLFKZHVD\EHORQJVWR

,PDJLQLQJD/LIH



XV0\K\SRWKHVLVLVWKDWWKHSRODULW\RIWKHVHWZRPRGHOVRISHUPDQHQFH ZLWK UHVSHFW WR SHUVRQV UHVXOWV IURP WKH IDFW WKDW WKH SHUPDQHQFH RI FKDUDFWHU H[SUHVVHV WKH DOPRVW FRPSOHWH PXWXDO RYHUODSSLQJ RI WKH SUREOHPDWLF RI idem DQG RI ipse, ZKLOH IDLWKIXOQHVV WR RQHVHOI LQ NHHSLQJ RQH VZRUGPDUNVWKHH[WUHPHJDSEHWZHHQWKHSHUPDQHQFHRIWKHVHOIDQG WKDW RI WKH VDPH DQG VR DWWHVWV IXOO\ WR WKH LUUHGXFLELOLW\ RI WKH WZR SUREOHPDWLFVRQHWRWKHRWKHU 5LFRHXU 

,Q KLV YLVLRQ WKH GLPHQVLRQ RI LGHQWLW\ WKDW KH FDOOV ipse LV PRELOH H[SHULHQWLDO DQG KLVWRULFDO ZKLOH WKH GLPHQVLRQ RI idem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idemDQGipseDVSHFWVRIWKHLGHQWLW\EHWZHHQSV\FKR ELRORJLFDO GHWHUPLQLVWLF  PHFKDQLVPV DQG H[SHULHQWLDO PHDQLQJIXO  FRQWHQW ,Q VRPH ZD\V ZH FDQ VD\ WKDW QDUUDWLYH PHGLDWLRQ LV WKH functional IXOFUXP RI WKH GHYHORSPHQW RI SHUVRQDO LGHQWLW\ ZKLOH WKH GLDOHFWLFVRIUHFRJQLWLRQFDQEHFDOOHGLWVexistentialIXOFUXP VHH%XVDFFKL    6SHDNLQJ RQ QDUUDWLYH LGHQWLW\ LQ KLV ODVW ERRN The Course of Recognition  5LFRHXUVD\V WKHLGHDRIQDUUDWLYHLGHQWLW\JLYHVDFFHVVWRDQHZDSSURDFKWRWKHFRQFHSW RILSVHLW\ZKLFKZLWKRXWWKHUHIHUHQFHWRQDUUDWLYHLGHQWLW\LVLQFDSDEOHRI XQIROGLQJ LWV VSHFLILF GLDOHFWLF WKDW RI WKH UHODWLRQ EHWZHHQ WZR VRUWV RI LGHQWLW\ WKH LPPXWDEOH LGHQWLW\ RI WKH idem, WKH VDPH DQG WKH FKDQJLQJ LGHQWLW\ RI WKH ipse, WKH VHOI ZLWK LWV KLVWRULFDO FRQGLWLRQ ,W LV ZLWKLQ WKH IUDPHZRUNRIQDUUDWLYHWKHRU\WKDWWKHFRQFUHWHGLDOHFWLFRIVDPHQHVVDQG LSVHLW\DQLQLWLDOO\EORVVRPLQH[SHFWDWLRQRILWVFXOPLQDWLRQLQWKHWKHRU\ RISURPLVHV 5LFRHXU± 

,Q DGGLWLRQ 5LFRHXU XQGHUOLQHV WKH GHHS UHODWLRQVKLS EHWZHHQ SHUVRQDO UHDOLVDWLRQ DQG VRFLDO LQWHUUHODWLRQ WKDW LV KH HPEUDFHV D YLVLRQ RI SHUVRQDOUHDOLVDWLRQYLDPXWXDOUHFRJQLWLRQ$VKHZULWHV :H FDQ FRPSOHWH WKLV SDQRUDPLF VXUYH\ RI WKH SUREOHP RI QDUUDWLYH LGHQWLW\E\UHIHUULQJWRDQRWKHUGLDOHFWLFWKDQWKDWRIWKHidem DQGWKHipse,



&KDSWHU WKHGLDOHFWLFRILGHQWLW\FRQIURQWHGE\RWKHUQHVV7KHTXHVWLRQRILGHQWLW\LQ WKLV VHQVH KDV WZR VLGHV RQH SXEOLF RQH SULYDWH 7KH VWRU\ RI D OLIH LQFOXGHVLQWHUDFWLRQVZLWKRWKHUV  

(YHQWXDOO\ ³WKH FRXUVH RI VHOIUHFRJQLWLRQ HQGV LQ PXWXDO UHFRJQLWLRQ´  DQG³WKHDOWHUQDWLYHWRWKHLGHDRIVWUXJJOHLQWKHSURFHVVRIPXWXDO UHFRJQLWLRQLVWREHVRXJKWLQSHDFHIXOH[SHULHQFHVRIPXWXDOUHFRJQLWLRQ EDVHG RQ V\PEROLF PHGLDWLRQV DV H[HPSW IURP WKH MXULGLFDO DV IURP WKH FRPPHUFLDORUGHURIH[FKDQJH´   ,I narrative identity XQLILHV WKH FXOWXUDOKLVWRULFDOVSLULWXDO GLPHQVLRQ RI OLIHZLWKWKHELRORJLFDODQGQHXURORJLFDOVSKHUHmutualrecognition XQLILHV DOOWKHGLIIHUHQFHVRSHQLQJWKHZD\IRUSHUVRQDODQGVRFLDOUHDOLVDWLRQ 7KH URDG WR UHFRJQLWLRQ LV ORQJ IRU WKH ³DFWLQJ DQG VXIIHULQJ´ KXPDQ EHLQJ WKDW OHDGV WR WKH UHFRJQLWLRQ WKDW KH RU VKH LV LQ WUXWK D SHUVRQ ³FDSDEOH´ RI GLIIHUHQW DFFRPSOLVKPHQWV :KDW LV PRUH WKLV VHOI UHFRJQLWLRQUHTXLUHVDWHDFKVWHSWKHKHOSRIRWKHUVLQWKHDEVHQFHRIWKDW PXWXDOIXOO\UHFLSURFDOUHFRJQLWLRQWKDWZLOOPDNHHDFKRIWKRVHLQYROYHGD ³UHFRJQL]HG EHLQJ´ DV ZLOO EH VKRZQ LQ P\ QH[W FKDSWHU 7KH VHOI UHFRJQLWLRQDWLVVXHLQWKHFXUUHQWFKDSWHUZLOOUHPDLQQRWRQO\LQFRPSOHWH DVLQWUXWKPXWXDOUHFRJQLWLRQZLOOEXWDOVRPRUHPXWLODWHGRZLQJWRWKH SHUVLVWHQW GLVV\PPHWU\ RI WKH UHODWLRQ WR RWKHUV RQ WKH PRGHO RI KHOSLQJ EXWDOVRDVDUHDOKLQGUDQFH  

+RZHYHU LW LV WKH GLDOHFWLF EHWZHHQ H[SHULHQFH DQG LPDJLQDWLRQ WKDW PDNHV QDUUDWLRQ DQG UHFRJQLWLRQ WZR HIIHFWLYH IRUFHV DQG NH\ GULYHUV RI KXPDQHPDQFLSDWLRQ

&RQFOXVLRQ &RQVLGHUHG DV D UHIHUHQWLDO PRGHO 5LFRHXU¶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

,PDJLQLQJD/LIH



)XUWKHUPRUHWKHUHLVDFORVHLQWHUZHDYLQJRIPHWKRGDQGDQWKURSRORJLFDO UHVHDUFK 7KLV HPHUJHV ZLWK SDUWLFXODU DQG LPPHGLDWH UHOHYDQFH LQ WKH GLDORJXHZLWKWKHQHXURELRORJLVW-HDQ3LHUUH&KDQJHX[LQWKHZRUNWhat Makes Us Think? >@ :LWK&KDQJHX[5LFRHXUDSSURDFKHVWKH TXHVWLRQRISHUVRQDOLGHQWLW\YLDWKHRQWRORJLFDODQGVFLHQWLILFLVVXHVRIWKH PLQGEUDLQUHODWLRQVKLSLQDZD\WKDWKHVXEVHTXHQWO\GHYHORSVPRUHIXOO\ LQ Memory, History, Forgetting   %DVHG RQ KLV GLDORJXH ZLWK &KDQJHX[ 5LFRHXU GHFODUHV WKH WKHVLV WKDW D VXEWOH ³VHPDQWLF GXDOLVP´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³PHQWDO´DQG³ERGLO\´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³VXEVWDQFH´ RI SHUVRQDO LGHQWLW\ 7RJHWKHU ZLWK QDUUDWLYHLPDJLQDWLRQSOD\VDSLYRWDOUROHLQ5LFRHXU¶VSKLORVRSK\RIWKH FDSDEOH KXPDQ EHLQJ WKDW LV WR VD\ LPDJLQDWLRQ SOD\V WKH VDPH UROH DV H[SHULHQFH HPRWLRQ FXOWXUH HGXFDWLRQ DQG VRFLDO OLIH LQ SHUVRQDO HPDQFLSDWLRQDQGUHDOLVDWLRQ 

&+$37(5 ,0$*($1'5(35(6(17$7,21 ,1+,6725,&$/.12:/('*(   

7KH4XHVWLRQRI5HSUHVHQWDWLRQ $ VWXG\ RI UHSUHVHQWDWLRQ EULQJV WR OLJKW YDULRXV GLIILFXOWLHV HYHQ DW WKH PRVW EDVLF OHYHO VXFK DV WKH GHWHUPLQDWLRQ RI UHSUHVHQWDWLRQ¶V PHDQLQJ DQGUDQJHDVDFRQFHSW7KLVGLIILFXOW\LVQRWRQO\UHODWHGWRPXOWLSOLFDWLRQ RIPRGHOVDQGKLVWRULRJUDSKLFDOWKHRULHVEXWDOVRWRWKHFORVHFRQQHFWLRQ EHWZHHQWKHVHPRGHOVDQGWKHLUWKHRU\DQGVSHFLILFSKLORVRSKLFDOLVVXHV,W UHODWHVWRWKHEUHDGWKDQGYDULHW\RIWKHXVHRIWKHQRWLRQRIUHSUHVHQWDWLRQ LQSKLORVRSK\ DYDULHW\DQGEUHDGWKWKDWUHTXLUHVUHWUDFLQJWKHKLVWRU\RI SKLORVRSK\IURP6FKRODVWLFLVPRQZDUGVLQILHOGVDVGLYHUVHDVWKHWKHRU\ RI NQRZOHGJH DQG HSLVWHPRORJ\ DHVWKHWLFV ORJLF OLQJXLVWLFV WKH SKLORVRSK\RIPLQGUKHWRULFODZSV\FKRORJ\VRFLRORJ\DQGKLVWRULRJUDSK\  /DQJXDJH KDV LQFRUSRUDWHG WKLV YDULHW\ DQG ULFKQHVV DW WKH OHYHO RI VHPDQWLFV 7KH 6WDWH 3ULQWLQJ ,QVWLWXWH¶V Lessico Universale Italiano FRXQWVDVPDQ\DVJURXSVRIVHPDQWLFPHDQLQJVRIUHSUHVHQWDWLRQ7KH /DWLQrepræsentare IURPZKLFKWKHFRUUHVSRQGLQJH[SUHVVLRQVDUHGHULYHG LQ,WDOLDQ(QJOLVK)UHQFKDQG6SDQLVK KDVDWLJKWHUGHILQLWLRQEXWLVQRW GHYRLGRIULFKQHVVDQGVHPDQWLFYDULHW\DQGLWVWKUHHPDLQPHDQLQJVDUH IXOO RI VSHFXODWLYH VLJQLILFDQFH   WR UHSUHVHQW DV ³UHSUHVHQW´ WKDW LV SUHVHQW DJDLQ ³HQYLVDJH´ ³LPDJLQH´ ³WR UHSURGXFH´ ³WR EH WKH LPDJH RI´   ³GHWHUPLQH´ ³HIIHFWXDWH´ DQG   ³WR WDNH WKH SODFH RI´ ³WR EH IRU´ 7KH WKLUG VHQVH KHUH ZKLFK UHIHUV PRUH WR WKH ILHOG RI ODZ LQ LWV stricto sensuOH[LFDOYDOXHDOVRLQGLFDWHVWKHmodusWKURXJKZKLFKWKHUH SUHVHQWDWLRQ RI VRPHWKLQJ WKDW LV DEVHQW LV RULJLQDOO\ WKHPHG LQ SKLORVRSK\ WKH SUHVHQW UHSUHVHQWDWLRQ RI VRPHWKLQJ WKDW LV DEVHQW QRW DUELWUDULO\ WKURXJKWKHLPDJLQDWLRQEXWLQWKHFRUUHVSRQGHQFHRIFRQFHSW DQG IHHOLQJ 7KH $ULVWRWHOLDQ SHUVSHFWLYH FRQQHFWV WKH FRJQLWLYH OHYHO WR H[SHULHQFH DQG UHDOLW\ WKH FRQFHSW UHSUHVHQWV RU UHSUHVHQWV VRPHWKLQJ WKDWLVSHUFHLYHG WKLVLVVKRZQLQWKHWKLUGERRNRI$ULVWRWOH¶VDe Anima 

,PDJHDQG5HSUHVHQWDWLRQLQ+LVWRULFDO.QRZOHGJH



6XEVHTXHQWO\ RI :LOOLDP RI 2FNKDP¶V WKUHH ZD\V RI UHSUHVHQWDWLRQ WKH WKLUG RQH SURSRVHV WKLV FORVH UHODWLRQVKLS ,Q IDFW KLV GHILQLWLRQV SRLQW WRZDUGV   UHSUHVHQWDWLRQ DV DQ LGHD DV ³UHSUHVHQWDWLYHUHSUHVHQWDWLRQDO NQRZOHGJH´   UHSUHVHQWDWLRQ DV LPDJH DV OLNHQHVV DQG   UHSUHVHQWDWLRQDVWKHNQRZLQJREMHFWLILFDWLRQRIDWKLQJ 7KHHSLVWHPRORJLFDODQGJQRVHRORJLFDODSSURDFKKDVEHHQDUWLFXODWHGDQG GLIIHUHQWLDWHGLQYDULRXVGLVFLSOLQDU\ILHOGVDOWKRXJKVRPH³FODVVLFDO´XVHV KDYHEHHQUHDFWXDOL]HG,Q+HLGHJJHUIRUH[DPSOH LQThe Question of the Thing   WKH DFWLRQ RI UHSUHVHQWLQJ LV GHILQHG DV WKH DFWLRQ RI ³EULQJ>LQJ@VRPHWKLQJLQIURQWRIRQHVHOIWRKDYHLWLQIURQWRIPHWRKDYH VRPHWKLQJ DVSUHVHQW WR RQHVHOI DV D VXEMHFW EULQJLQJ LWEDFN WRRQHVHOI´ UHPLQGUHSUHVHQW)RU.DQWDIXQGDPHQWDOPRGHUQSRLQWRIUHIHUHQFHLV WKDWDOOUHSUHVHQWDWLRQVHYHQRIH[WHUQDOWKLQJVDUHGHWHUPLQDWLRQVRIWKH VSLULWWRUHSUHVHQW Verstellen LVQRWMXVW³WRWKLQN´LWLVDOVRWRIHHOWR NQRZWKURXJKLQWXLWLRQ 6LQFH DOO KXPDQ NQRZOHGJH LV WKH XQLRQ RI WKRXJKW DQG LQWXLWLRQ UHSUHVHQWDWLRQ FRQVWLWXWHV D FRPPRQ FKDUDFWHU WKDW FDQ XQLI\ DOO NQRZOHGJH $FFRUGLQJ WR WKLV VHFRQG GHILQLWLRQ UHSUHVHQWDWLRQ VKRZV LWV YDOLGLW\ ZLWKLQ WKH KLVWRULRJUDSKLFDO SODQH ERWK HSLVWHPRORJLFDOO\DQGJQRVHRORJLFDOO\,WVHHPVWKDWWKH.DQWLDQGHILQLWLRQ RI WKH QRWLRQ RI UHSUHVHQWDWLRQ VHUYHV EHWWHU WKDQ RWKHU GHILQLWLRQV DV D VXSSRUWIRU3DXO5LFRHXU¶VFULWLFDOKHUPHQHXWLFDSSURDFKWRWKHTXHVWLRQRI KLVWRULFDO NQRZOHGJH ,Q 5LFRHXU¶V ZRUN WKH QRWLRQ RI UHSUHVHQWDWLRQ ZRUNVDWDWKHRUHWLFDOWHFKQLFDOSURFHGXUDODQGVSHFXODWLYHOHYHOQRWRQO\ ZKHUH WKHUH LV D FHUWDLQ VHPDQWLFDO UHWHQWLRQ EXW DOVR ZKHUH WKHUH LV D FHUWDLQ RVFLOODWLRQ EHWZHHQ WKH DHVWKHWLF DQG OLQJXLVWLF OHYHOV RI UHSUHVHQWDWLRQ DQG EHWZHHQ FRJQLWLYH UHDOLVP DQG WKH UHODWLYLVP RI UHSUHVHQWDWLRQ 7KH SUREOHPDWLF TXHVWLRQ RI FULWLFDO KHUPHQHXWLFV FDQ EH SRVHG ILUVW RQ WKLV .DQWLDQ SDUDGLJP ZKLFK LV IRUPXODWHG RQWR WKH WULSW\FK RI Vorstellung Repräsentierung Vertretung DQG KHUH LWV FKDUDFWHU RI RVFLOODWLRQFDQEH HVVHQWLDOO\ SURYHG7KHVHWKUHHWHUPVDUHWUDQVODWHGDV ³UHSUHVHQWDWLRQ´EXWDUHXVHGGLIIHUHQWO\E\.DQWDOWKRXJKWKHUHDUHVRPH VLPLODULWLHV Vorstellung LV FRPSRVHG RI vor DQG stellen OLWHUDOO\ ³SXW LQ IURQW RI´ .DQW VRPHWLPHV UHIHUV QRW RQO\ WR WKH PRUH GLUHFW RepräsentierungEXWGHILQHVVorstellungLQUHIHUHQFHWRWKHRUGLQDU\YHUE vertreten ZKLFK LV HYRFDWLYH RI vor etwas treten ³WR SXW VRPHWKLQJ LQ IURQWRIRQHVHOI´7KHVorstellung³LVDGHWHUPLQDWLRQ Bestimmung LQXV ZKLFK ZH UHODWH WR VRPHWKLQJ HOVH LQ SODFH >vertritt@ RI ZKLFK LW LV ´ Letterto Beck'HFHPEHU$.WVHH'RNLF WKHVXEVHTXHQWSDVVDJHKDVDOVREHHQWDNHQIURPWKLVVDPHVRXUFH 



&KDSWHU

&HUWDLQO\DIHZJHQHUDOGLIIHUHQFHVLQWKHXVHRIWKHVHWKUHHWHUPVFDQEH QRWHG Vertretung DQG Repräsentierung WHQG WR LQGLFDWH DQ DFWLRQ RU WKH UHODWLRQ RI UHSUHVHQWDWLRQ Vorstellung RQ WKH FRQWUDU\ QRUPDOO\ GHVLJQDWHV WKH³PHQWDO VWDWH´ D GHWHUPLQDWLRQ LQ XV WKDW KDV WKH YDOXHRI UHSUHVHQWDWLRQ +RZHYHU ZKDW LV PRVW LQWHUHVWLQJ LV WKDW ZLWKLQ Vorstellung .DQW GLVWLQJXLVKHV EHWZHHQ WZR PDLQ XVHV RI WKH QRWLRQ RI FRQVFLRXV UHSUHVHQWDWLRQ WKH ³VLQJXODU UHSUHVHQWDWLRQ RU LQWXLWLRQ repraesentatio singularis, Anschauung ´ DQG WKH ³JHQHUDO UHSUHVHQWDWLRQ RU FRQFHSW repraesentatio generalis, Begriff ´ )LUVW HDFK UHSUHVHQWDWLRQ LV LQKHUHQWO\ GLUHFWHG WRZDUG DQ REMHFW ³$OO UHSUHVHQWDWLRQV KDYH DV UHSUHVHQWDWLRQVWKHLUREMHFW´.U9$ ,QWKLVVHQVHVorstellungLV WKH WHUP WKDW LV XVHG IRU DQ LQWHQWLRQDO UHODWLRQVKLS RI UHSUHVHQWDWLRQ 6HFRQGVorstellungLV³LQXV´LWLVVRPHWKLQJWKDWLVLQKHUHQWO\VXEMHFWLYH RU SV\FKRORJLFDO DQ HSLVWHPRORJLFDO DQG JQRVHRORJLFDO HOHPHQW RI FRQVLGHUDEOH ³WHQVLRQ´ FRPHV LQWR SOD\ KHUH  7KLUG WKH QRWLRQ RI VorstellungLPSOLHVDFHUWDLQGHJUHHRIGLIIHUHQWLDWLRQEHWZHHQWKHREMHFW WKDWLVUHSUHVHQWHGDQGWKHZD\WKDWWKHREMHFWLVUHSUHVHQWHGZKLFK.DQW GHILQHVDVWKHInhalt PDWWHU RIWKHUHSUHVHQWDWLRQ :KHQZHFRQVLGHUWKHJQRVHRORJLFDOHIIHFWRIUHSUHVHQWDWLRQLQ5LFRHXU¶V KLVWRULRJUDSK\ ZH FDQ REVHUYH DW OHDVW WZR HOHPHQWV WKH LVVXH RI VXEMHFWLYLW\ and WKH SV\FKRORJLFDO GLPHQVLRQ RI UHSUHVHQWDWLRQ 5LFRHXU VKRZVWKH³VHPDQWLFDPELJXLW\´RIWKHQRWLRQRIUHSUHVHQWDWLRQERWKDVD represented objectDQGDVDrepresentation-operation 5LFRHXU   7KH LVVXH RI VXEMHFWLYLW\ FDUULHV WKH VSHFLILF SUREOHP RI UHDOLVP LQ KLVWRU\ WKH JHQHUDO SUREOHPDWLF RI WKH VFLHQWLILF VROLGLW\ RI KLVWRULFDO NQRZOHGJH DQG WKH SUREOHP RI WKH ³GLDOHFWLF´ EHWZHHQ PHQWDO UHSUHVHQWDWLRQ DQG NQRZOHGJH RQ WKH RQH KDQG DQG PHPRU\ DQG KLVWRU\ RQWKHRWKHU7KLVSDVVDJHVHHPVXQDYRLGDEOHLQ5LFRHXU¶VSHUVSHFWLYHRI WKHSUREOHPDWLFIXQFWLRQ V RIUHSUHVHQWDWLRQLQKLVWRULFDONQRZOHGJH+HUH LVZK\ 3UHVHQFH DEVHQFH DQWHULRULW\ DQG UHSUHVHQWDWLRQ WKXV IRUP WKH ILUVW FRQFHSWXDO FKDLQ RI GLVFRXUVH DERXW PHPRU\ 7KH DPELWLRQ RI WKH IDLWKIXOQHVVRIPHPRU\ZRXOGWKXVSUHFHGHWKDWRIWUXWKE\KLVWRU\ZKRVH WKHRU\UHPDLQVWREHZRUNHGRXW  

7KH SUREOHP RI WKH UHSUHVHQWDWLRQ RI D UHSUHVHQWHG REMHFW SUHFHGHV WKH TXHVWLRQRIUHSUHVHQWDWLRQRSHUDWLRQ7KHTXHVWLRQRIWKHUHDOLW\IDFWXDOLW\ RI ZKDW KDSSHQHG JRHV LQWR D WKUHHZD\ SRODULW\ RI representation H[SHULHQFHNQRZOHGJH – memory UHPHPEHULQJUHPHPEUDQFH ±history ZKDWKDSSHQHGWKHSDVW DQGUHODWHVWRWKHVSHFLILFSUREOHPRIKLVWRULFDO

,PDJHDQG5HSUHVHQWDWLRQLQ+LVWRULFDO.QRZOHGJH



NQRZOHGJHDVDWHFKQLTXH ZLWKDGHJUHHRUSUHWHQFHRIVFLHQWLILFULJRUDQG FRQWUROODELOLW\  DQG WKH VSHFLILF SUREOHPV RI SKLORVRSKLFDO NQRZOHGJH 7KHUHIRUHWKLVPRYHVIURPWKHSKLORVRSK\RIPLQGWRWKHSKHQRPHQRORJ\ RIPHPRU\IURPQDUUDWLYHKHUPHQHXWLFVWRKLVWRULFDORQWRORJ\ WKDWLVWKH DSRULD RI the being from what has been >VHH 0LFKHO   II@ DQG EH\RQG ,WLVSHUKDSVKHUHWKDWWKHFRQFHSWRIUHSUHVHQWDWLRQILQGVLWVSRLQW RI PD[LPXP H[SRVXUH WR WKH FULWLFLVP ZKLFK LV VWLOO ZLGHVSUHDG  RI LWV QRQFRQFHSWXDO DQG QRQVFLHQWLILF FKDUDFWHUL]DWLRQ ,Q WKH FRQWH[W RI KLVWRULFDONQRZOHGJHWKLVQRWLRQVKRXOGEHDEDQGRQHG5LFRHXUWKHPDWLVHV WKLVSUREOHP VHHIb )RUWKHPRPHQWLWLVVXIILFLHQWWRVD\WKDWWKLV LVVXH LV HPEHGGHG LQ D FRQWH[W WKDW LV HSLVWHPRORJLFDOO\ PRELOH DQG VSHFLILF LQ LWVHOI D hermeneutical PRGHO RU PRGXODUL]DWLRQ ,Q 5LFRHXU WKLV PRELOLW\ LV SHUKDSV GXH PRUH WR WKH DUWLFXODWLRQ RI KLV PRGHO RI critical hermeneutics JRLQJ EHWZHHQ WZR YHU\ GLIIHUHQW HSLVWHPRORJLFDO SDUDGLJPV explanation DQG understanding LW LV GXH SHUKDSV PRUH WR WKH RVFLOODWLRQ V  DQG IXQFWLRQ V  RI UHSUHVHQWDWLRQ EHWZHHQ WKHVH WZR SDUDGLJPVUDWKHUWKDQEHLQJGXHWRKHUPHQHXWLFVLQLWVHOIDVDSKLORVRSK\ RILQWHUSUHWDWLRQWH[WXDOLW\DQGQDUUDWLYH %HIRUHHQWHULQJDmediares,LWLVQHFHVVDU\WRIXUWKHUVSHFLI\WKHWHUPRI UHSUHVHQWDWLRQ LQ WKH ILHOGV RI WKH SV\FKRORJ\ RI UHSUHVHQWDWLRQ DQG WKH UHSUHVHQWDWLYHIXQFWLRQVLQPHPRU\7KHODWWHUILHOGKDVEHHQZHOOSUREHG E\ 5LFRHXU LQ KLV Memory, History, Forgetting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³YHFWRUV´ >FRQFHSWV DQG LGHDV@WKHIRUPVDQGWKHLGHDOLPDJLQDWLYHUHSUHVHQWDWLRQDOFRQWHQWV  %XWGRHVUHSUHVHQWDWLYHIXQFWLRQDQGFDSDFLW\FRPHEHIRUHODQJXDJH",VLW LQGHSHQGHQWIURPHWKRVPHQWDOLW\DQGIURPWKHYLVLRQVRIWKH ZRUOG",Q WKHILHOGRIKLVWRULFDONQRZOHGJHWKHFRQWUDVWEHWZHHQ5LFRHXUDQG:KLWH LV PRUH HYLGHQW DQG VWURQJ  WKDQ WKH FRQWUDVW EHWZHHQ 5LFRHXU DQG $QNHUVPLW7KLVZLOOEHFRPHFOHDUHUODWHU)RUQRZLWLVVXIILFLHQWWRUHFDOO 5LFRHXU¶V QRWLRQ RI RVFLOODWLRQ ZKLFK LV H[SUHVVHG DORQJ WKH WKHPDWLF



&KDSWHU

VWUDQGRIWKHSKHQRPHQRORJ\RIWUDFH EHWZHHQWKHWKLUGWRPHRITemps et récit DQG Mémoire, histoire, oubli  7KLV RVFLOODWLRQ LV EHWZHHQ D UHDOLVW RQWRORJ\ WKDW ORRNV DW WKH GLDOHFWLFDO SUREOHP RI ³KLVWRULFDO UHFRQVWUXFWLRQ´³KDYLQJ EHHQ´ DQG DQ RQWRHSLVWHPRORJ\ WKDW FRQFHLYHV UHSUHVHQWDWLRQ DV D UHODWLRQVKLS WKDW WHQGV WR EH WURSRORJLFDO RU PRUH SUHFLVHO\PHWDSKRULFDO 7KLV SUHHPLQHQW OLQJXLVWLF VHWWLQJ ZKLFK EULQJV 5LFRHXU YHU\ FORVH WR :KLWHILQGVDQHZUHPRGHOOLQJLQMemory, History, ForgettingZKLFKLV OLQJXLVWLFDOO\VRIWHUDQGPRUHUHFHSWLYHRILQVWDQFHVRIUHDOLVP+RZHYHU 5LFRHXUGRHVQRWHPEUDFHDOLQJXLVWLFVWUXFWXUDOLVWDSSURDFKRUWKHSRLQW RIYLHZ RI WKH SRVWVWUXFWXUDOLVW :KLWH IRU ZKRP UHSUHVHQWDWLRQ LV HVVHQWLDOO\ DQ DHVWKHWLFOLQJXLVWLF DQG QDUUDWLYH TXHVWLRQ )RU 5LFRHXU LQ Memory, History, Forgetting, UHSUHVHQWDWLRQ LV D complex dialectical movement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stable SDUW RI RFFXUUHQFHV RYHU WLPH DQG RI WKH SV\FKRORJLFDO LGHDO DQG VRFLDO PRWLYDWLRQ RI KXPDQV DFWLQJ RYHU WLPH 7KLV FDQ EH VHHQ LQ D SDUWLFXODU ZD\ ³YDU\LQJ WKH VFDOH RI WKH UHVHDUFK UHFRQVWUXFWLRQ DQG ZULWLQJ RI KLVWRU\´WKURXJKWKHGLVFXVVLRQRIPLFURKLVWRULHVZKLFKDOORZVLWWRVKLIW ³WKH DFFHQW WR LQGLYLGXDO IDPLOLDO RU JURXS VWUDWHJLHV WKDW FDOO LQWR TXHVWLRQWKHSUHVXSSRVLWLRQRIVXSSRVLWLRQRIVXEPLVVLRQE\VRFLDODFWRUV RQ WKH ERWWRPUDQN WR VRFLDO SUHVVXUHV RI DOO NLQGV DQGSULQFLSDOO\ WKRVH H[HUFLVHGRQWKHV\PEROLFOHYHO´  ([SOLFLWO\UHIHUULQJWR'XUNKHLP¶V WKHRULVDWLRQ DURXQG WKH LGHD RI basic norms 5LFRHXU XQGHUOLQHV WKH GLDOHFWLFDO UHODWLRQ EHWZHHQ JXLGLQJ FRQFHSWV DQG ³WKRVH JRYHUQLQJ WKH DSSURSULDWLRQ RI WKHVH UXOHV RI DJUHHPHQW DERXW DJUHHPHQW´ ³8QGHU WKH KHDGLQJ RI WKH VFDOH RI HIILFDF\ RU RI FRHUFLYHQHVV WKH SUREOHPV RI LQVWLWXWLRQVDQGRIQRUPVZKLFKHDFKREH\GLIIHUHQWFRQWH[WXDOUXOHVFDQ EHFRQVLGHUHGMRLQWO\´  

,PDJHDQG5HSUHVHQWDWLRQLQ+LVWRULFDO.QRZOHGJH



)ROORZLQJ WKLV SHUVSHFWLYH ZH FDQ XQGHUVWDQG KRZ WKH YDOLGLW\ RI UHSUHVHQWDWLYH IXQFWLRQV OLHV QRW RQO\ LQ WKH VWUXFWXUDO DQG SV\FKRORJLFDO XQLYHUVDOLW\ RI SHUFHLYLQJ IHHOLQJ DQG NQRZLQJ EXW DOVR LQ D FHUWDLQ KLVWRULFDO DQG VRFLDO VWDELOLW\ LQ WHUPV RI WKH V\PEROLF OLIH RI D FHUWDLQ habitus RI OLIH  LQ WHUPV RI EHOLHIV LGHDOV YDOXHV HWF ,QVWLWXWLRQV DQG QRUPV DV ZHOO DV FXOWXUDO HOHPHQWV DFWLYHO\ DQG VLJQLILFDQWO\ SDUWLFLSDWH WR FUHDWH WKDW regularity ZKLFK LV QHFHVVDU\ IRU WKH SHUPDQHQFH RI UHSUHVHQWDWLRQ V 

7KH0HFKDQLVPRI5HSUHVHQWDWLRQ 7KHQRWLRQRI³UHSUHVHQWDWLRQ´LQSV\FKRORJ\DVVXPHVYDULRXVPRGDOLWLHV RI IXQFWLRQ PHDQLQJ DQG WKHRUHWLFDO GHFOLQDWLRQ ,Q SV\FKRDQDO\VLV WKH FRQFHSW RI D EURDGHU DQG PRUH LQFLVLYH XVH JRHV EDFN WR )UHXG KLPVHOI ZKLFK RQ WKH RQH KDQG SRLQWV WR WKH WHUP RI Vorstellungsrepräsentanz ³UHSUHVHQWDQFH JLYHQ E\ D UHSUHVHQWDWLRQ´  UHODWHG WR WKH )UHXGLDQ FRQFHSWV RI psychische Repräsentanz ³PHQWDO UHSUHVHQWDQFH´  DQG Triebrepräsentanz ³LQVWLQFWXDO UHSUHVHQWDWLRQ´  DQG RQ WKH RWKHU KDQG FDQ EH UHODWHG WR WKH QRWLRQV RI Sachvorstellung ³UHSUHVHQWDWLRQ RI D WKLQJ´  DQG Wortvorstellung ³UHSUHVHQWDWLRQ RI D ZRUG´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synthetic function of an essentially symbolic character ZKLFK LV D IRUPXOD RI D UHILJXUDWLYH H[SUHVVLRQ RI D JLYHQ PQHPRQLFPQHVWLF WUDFH UHYLYHG LQ D  PHPRU\ E  LPDJLQDWLYH UHFRQILJXUDWLRQ F FRQFHSWXDOL]DWLRQDQG G UDWLRQDOL]DWLRQ 



&KDSWHU

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³SV\FKLFUHDOLW\´KDYHDQ RQWRORJLFDO VWDWXV" ,I VR ZKDW LV LW" $FFRUGLQJ WR WKH SHUVSHFWLYH RI 5LFRHXU¶VWKHRUL]DWLRQRIKLVWRULFDONQRZOHGJHZKLFKWULHVWRVWD\IRFXVHG RQWKHQRWLRQRIUHSUHVHQWDWLRQWKLVKDVFRQVLGHUDEOHVLJQLILFDQFH,QIDFW IURPWKLVSHUVSHFWLYHWKHSUREOHPRIUHSUHVHQWDWLRQFRPHVLQWRSOD\DVD SUREOHPRI WUDFH DW WKH OHYHO RISKHQRPHQRORJ\ RIPHPRU\ ,Q 5LFRHXU WKH DPELWLRQ RI WKH faithfulness of memory SUHFHGHV WKH RSHUDWLRQDO VFLHQWLILFUXOHRItruth by history 1HYHUWKHOHVV WKH ³IDLWKIXOQHVV RI PHPRU\´ LV D SUREOHPDWLF FRQFHSW WKDW UHTXLUHVUHIHUHQFHERWKWRPHPRU\DQGWRH[SHULHQFHWKDWLVWRZKDWKDV DFWXDOO\ EHHQ H[SHULHQFHG DQG WR WKH FRUUHODWLRQ EHWZHHQ PHPRU\ DQG ZKDW LV H[SUHVVHG E\ WKH ZRUGV RI WHVWLPRQ\ QDUUDWLRQ DQG FRQFHSWXDO DQG VFULSWXUDO UHSUHVHQWDWLRQ 6R IDU WKH FRQWULEXWLRQ RI SV\FKRORJ\ KDV SURYHGWREHVLJQLILFDQWZKDWFRPHVIURPWKHUHJXODULW\RIUHSUHVHQWDWLRQ" )RU:KLWHWKLVLVDTXHVWLRQRIOLQJXLVWLFFRQFHSWXDOUHJXODULW\ 2QH RI WKH PRVW PHDQLQJIXO FRQFHSWV LQ SV\FKRORJ\ LV mental representation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³,UHSUHVHQW 6DLQW 3DXO¶V &DWKHGUDO´  7KH VHPDQWLF UHSUHVHQWDWLRQV WKDW DUH ZLGHO\ VWXGLHGLQFRJQLWLYHSV\FKRORJ\FDQEHXQGHUVWRRGHLWKHUDVEHLQJFDXVHG E\ WKH WHUPV RI D JLYHQ SURSRVLWLRQDO IRUPXOD IRU H[DPSOH ³WKH FDW FKDVHVSHUVHFXWHV WKH PRXVH´  E\ WKH PHDQLQJV WKDW DUH H[SUHVVHG E\ D

,PDJHDQG5HSUHVHQWDWLRQLQ+LVWRULFDO.QRZOHGJH



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habitusRIRZQWLPH$VVXFKUHSUHVHQWLQJLVERWKPRELOHDQGSHUPDQHQW universally DQFKRUHG WR KXPDQ SHUFHSWXDO DQG QHXURELRORJLFDO IXQFWLRQV ZKLFKDUHWKHVDPHWKURXJKRXWWLPH EXWhistoricallyGHWHUPLQHGE\WKH SUHGRPLQDQW VRFLDO FXOWXUDO DQG FRJQLWLYH FKDUDFWHUV WKLV GRXEOH FKDUDFWHUL]DWLRQRIWKHQH[XVRIFDXVDOGHWHUPLQDWLRQUHSUHVHQWHGERWKDV DSK\VLFDOIXQFWLRQDOFDXVDWLRQDQGDVDORJLFDOVHPDQWLFDOFDXVDWLRQFDQ DOVREHIRXQGLQ)RGRU  7KHVLJQLILFDQWDVSHFWKHUHLVQRWRQO\JLYHQE\WKHFRQVWLWXWLYHGLDOHFWLFDO QDWXUHRIhistorical representation ZLWKUHVSHFWWRWKHVSHFLILFH[SHULHQFH RIDJLYHQKLVWRULFDODJHQWDQGWKHmodus operandiRIDKLVWRULFDOHOHPHQW DQG ZLWK UHVSHFW WR WKH DUFKLYDO UHFRYHU\ RI WUDFHV LQ D UHSUHVHQWDWLRQDO IRUP RI WKH SDVW FRPSDUHG WR WKH UHDGLQJ RI KLVWRU\ LQ LWVHOI DQG FRPSDUHG WR WKH UHSUHVHQWDWLRQ ERWK DV D UHSUHVHQWHG REMHFW DQG DV D UHSUHVHQWDWLRQRSHUDWLRQ  ,I WKHUH LV VRPH FRQIXVLRQ LQ WKH XVH V  RI WKH QRWLRQ RI UHSUHVHQWDWLRQ LQ FRJQLWLYH VFLHQFH $UWKXU % 0DUNPDQ¶V Knowledge Representation   LV YHU\ XVHIXO DQG SURGXFWLYH LQ FODULI\LQJ +RZHYHU WKH IUDPHZRUN WKDW KH SUHVHQWV FKDQJHV YHU\ OLWWOH IURPZKDWKDVEHHQSUHYLRXVO\PHQWLRQHGLQIDFWRQWKHFRQWUDU\WKHODVW HOHPHQW VWUHQJWKHQV WKH UROH RI WKH dialectical DVSHFW 0DUNPDQ¶V ZRUN VKRXOG EH H[DPLQHG HVSHFLDOO\ EHFDXVH LW DFNQRZOHGJHV WKH possibility DQG WKH difference EHWZHHQ analogical UHSUHVHQWDWLRQ DQG symbolic UHSUHVHQWDWLRQ 7KLV JLYHV WKH DXWKRU WKHSRZHU WRUHSUHVHQW WKLQJV LQ WKH H[WHUQDO ZRUOG WKDW LV DVVXPLQJ WKDW FRJQLWLYH V\VWHPV KDYH



&KDSWHU

UHSUHVHQWDWLRQDO FDSDELOLWLHV  DQG FHUWDLQO\ GRHV QRW DLP WR FRQVLGHU DQG VROYH WKH SKLORVRSKLFDO SUREOHP DV D SK\VLFDO V\VWHP VXFK DV WKH EUDLQ PLQG 0DUNPDQ +LV GHILQLWLRQRI UHSUHVHQWDWLRQ LV FRQVLVWVRI IRXU FRPSRQHQWV ³   A represented world WKH GRPDLQ WKDW WKH UHSUHVHQWDWLRQVDUHDERXW>«@   A representing worldWKHGRPDLQWKDW FRQWDLQVWKHUHSUHVHQWDWLRQV´  ³  RepresentingrulesWKHUHSUHVHQWLQJ ZRUOG LV UHODWHG WR WKH UHSUHVHQWHG ZRUOG WKURXJK D VHW RI UXOHV WKDW PDS HOHPHQWVRIWKHUHSUHVHQWHGZRUOGWRHOHPHQWVLQWKHUHSUHVHQWLQJZRUOG´   ³   A process that uses the representation>«@ 2QO\ ZKHQ WKHUH LV DOVR D SURFHVV WKDW XVHV WKH UHSUHVHQWDWLRQ GRHV WKH V\VWHP DFWXDOO\ UHSUHVHQWDQGWKHFDSDELOLWLHVRIDV\VWHPDUHGHILQHGRQO\ZKHQWKHUHLV ERWKDUHSUHVHQWDWLRQDQGDSURFHVV´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¶V UHDFWXDOL]DWLRQ RI 'XUNKHLP 7KH QRWLRQ RI collective representation LQ ZKLFK 'XUNKHLP UHIHUV WR FRQFHSWV EHOLHIV YDOXHV DQG V\PEROV DV D UHVXOW RI VRFLDO LQWHUDFWLRQ ZKLFKELQGVWKHPHPEHUVRIDJURXS VHHPVWREHDVWUXFWXUDO FRPSRQHQWRIWKHVDPHSV\FKRORJ\RIUHSUHVHQWDWLRQ WKDWLVDFFRUGLQJWR WKHGRPLQDQWIRUPVLQDJLYHQWLPH 

7KH5HSUHVHQWDWLRQRIWKH3DVW )URPRQHSRLQWRIYLHZWKHLVVXHRIUHSUHVHQWDWLRQWDNHVXVLQWRWKHKXERI WKH GLVFLSOLQDU\ DQG SKLORVRSKLFDO SUREOHP RI WKH HSLVWHPRORJ\ DQG PHWKRGRORJ\RIKLVWRULFDONQRZOHGJH7KLVLQYROYHVLQYHVWLJDWLQJWKHUROH RIUHSUHVHQWDWLRQLQWKHFRQVWUXFWLRQRIKLVWRULFDONQRZOHGJHRULWVPHGLDQ SRVLWLRQEHWZHHQWKHOHYHORIH[SODQDWLRQLQWKHZULWLQJUHDGLQJRIKLVWRU\ DQG WKH OHYHO RI WKH XQGHUVWDQGLQJLQWHUSUHWDWLRQ RI KLVWRU\ 7KLV DOVR LQYROYHVWKHOLQNEHWZHHQUHSUHVHQWDWLRQDQGQDUUDWLRQ±LQWHVWLPRQLHVDQG H[SUHVVLRQV RI PHPRU\ LQ WKH HIIHFW RI QDUUDWLYH UHSUHVHQWDWLRQ LQ WKH SUREOHPDWLF IXQFWLRQLQJ RI UKHWRULFDO ILJXUHV DQG VWUDWHJLHV DQG LQ WKH UHFRQVWUXFWLRQ RI KLVWRULFDO IDFW DV ZHOO DV WKH UROH RI WKH RQWRORJLFDO HSLVWHPRORJLFDO UHDOLW\ RI WKH KLVWRULFDO SDVW LWV NQRZDELOLW\ IRU UHSUHVHQWDWLRQDQGWKHJHQHUDOOLQNEHWZHHQUHSUHVHQWDWLRQDQGUHDOLW\

,PDJHDQG5HSUHVHQWDWLRQLQ+LVWRULFDO.QRZOHGJH



)URPDQRWKHUSRLQWRIYLHZWKHFRQWULEXWLRQRIFRJQLWLYHVFLHQFHLQWHUPV RIXQGHUVWDQGLQJWKHFRJQLWLYHPHFKDQLVPV±LQSDUWLFXODUWKHPHFKDQLVPV WKDWDUHUHODWHGWRmental representation±VHHPVWRRIIHUDQDUJXPHQWDWLYH FRQWULEXWLRQ WKDW FDQ GHYLDWH LQ KLVWRULRJUDSK\ IURP D OLQJXLVWLFDO VWUXFWXUDOLVW UKHWRULFDOQDUUDWLYLVW DQG DHVWKHWLF XQLODWHUDO GULIW DQWL UHDOLVP  DV ZHOO DV IURP D XQLODWHUDO HPSLULFLVP DQG VFLHQWLVP UDGLFDO UHDOLVP  Compared to the representational function or functions, reality remains in the same sense in which the Kantian noumenon remains in relation to the phenomenon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³UHPHDVXUH´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theory of historyDQGtheory of action DQGWKHGHFOLQDWLRQRI WKHSUREOHPRIUHDOLVP not in terms of the reality of the pastEXWin terms of the occurrence in time of a given event WKDWLVQRWLQWHUPVRIreality EXWLQWKHWHUPVRIWKHLQVFULSWLRQRIIDFWVLQ time  7KLV SRLQW RI YLHZ DV H[SUHVVHG LQ +\GHQ :KLWH¶V WURSRORJ\ FHUWDLQO\ FDSWXUHVVRPHFKDUDFWHULVWLFDQGFKDUDFWHUL]LQJDVSHFWVRIWKHZRUNRIWKH KLVWRULDQWRWKHH[WHQWWKDWDVKHVD\VUHFDOOLQJ&URFH³ZKHUHWKHUHLVQR QDUUDWLYH >«@ WKHUH LV QR KLVWRU\´ :KLWH    )RU :KLWH WKH PDLQVSHFXODWLYHSURFHGXUDOGLOHPPDEHFRPHV³KRZWRWUDQVODWHNQRZLQJ LQWR WHOOLQJ´   ZKLOH KLV FRQWULEXWLRQ WKHPDWLVHV WKH TXHVWLRQ RI KRZ



&KDSWHU

WHOOLQJFRPHVLQWRSOD\LQNQRZLQJ2QWKHRWKHUKDQG%DUWKHV TXRWHGE\ :KLWH VROYHVWKHGLOHPPDE\H[SODLQLQJWKDWNQRZOHGJHLVWUDQVODWHGLQWR ³WHOOLQJ´ WKURXJK narration 7KH GLVWLQFWLRQ EHWZHHQ KLVWRULFDO GLVFRXUVH DQGKLVWRULFDOQDUUDWLYLVHGGLVFRXUVHLVXVHIXODQGLPSRUWDQW WKLVODWWHULV RYHUH[SRVHGWRWKHULVNRIILFWLRQDOGLVWRUWLQJUKHWRULFDOGULIWDQGRWKHU SUREOHPV  )LQDOO\ IRU :KLWH ZKDW PDNHV D SDVW IDFW KLVWRULFDO LV ILUVW DPG IRUHPRVW WKDW LW ZLOO EH UHPHPEHUHG DQG WKHQ QDUUDWHG QRW WKDW LW UHDOO\KDSSHQHG RUhowLWUHDOO\KDSSHQHG  &RPPRQRSLQLRQKDVLWWKDWWKHSORWRIDQDUUDWLYHLPSRVHVDPHDQLQJRQ WKH HYHQWVWKDWPDNH XS LWV VWRU\ OHYHO E\ UHYHDOLQJ DWWKH HQGD VWUXFWXUH WKDWZDVLPPDQHQWLQWKHHYHQWVDOODORQJ:KDW,DPWU\LQJWRHVWDEOLVKLV WKHQDWXUHRIWKLVLPPDQHQFHDVWKHSURSHUFRQWHQWRIKLVWRULFDOGLVFRXUVH 7KHVH HYHQWV DUH UHDO QRW EHFDXVH WKH\ RFFXUUHG EXW EHFDXVH ILUVW WKH\ ZHUH UHPHPEHUHG DQG VHFRQG WKH\ DUH FDSDEOH RI ILQGLQJ D SODFH LQ D FKURQRORJLFDOO\RUGHUHGVHTXHQFH  

,I :KLWH¶V DSSURDFK FDQQRW EH UHGXFHG WR D QDUUDWRORJ\ EHFDXVH KH WKHPDWL]HVWKHH[FOXVLYHFKDUDFWHUVRIWKHhistorical discourseDVDSHFXOLDU GLVFRXUVH WRKLPWKHUHODWLRQVKLSEHWZHHQKLVWRULRJUDSK\DQGOLWHUDWXUHLV DVGLIILFXOWWRGHWHUPLQHDVWKHUHODWLRQVKLSLVEHWZHHQKLVWRULRJUDSK\DQG VFLHQFH   'HVSLWH WKLV ZLWK WURSRORJ\ WKH SUREOHPDWLFDO FHQWUDOLW\ RI WKHUHSUHVHQWDWLRQDOUHIHUHQFHWRUHDOLW\LVORVWWRWKHH[WHQWWKDWWKHILJXUHV RI KLVWRULFDO WKRXJKW EHFRPH WKH REMHFWV RI VWXG\ FODULILFDWLRQ DQG FRUUHODWLRQWRWKHPHWKRGRIPDNLQJKLVWRU\as figures of thought,WLVQRW DFFHSWDEOHZLWKLQDJLYHQIUDPHDQGZLWKLQVSHFLILFSURFHGXUDOPRGXOHV WKDWDKLVWRULFDOUHSRUWLVUHSUHVHQWDWLYHO\WUXHDVKLVWRULFDOGLVFRXUVHWRWKH H[WHQW WKDW LWV UHSUHVHQWDWLRQ DGKHUHV WR RQH RU PRUH experiential memories,WLVDOZD\VsignificantWKDWLQDQDUFKLYHFHUWDLQPDWHULDOVDQG QRW RWKHUV DUH VWRUHG WKLV FRXOG EH WKH FRQVHTXHQFH RI D VHULHV RI RFFXUUHQFHVDVZHOODVWKHUHVXOWRIDSUHYLRXVVHOHFWLYHGHVWUXFWLYHmise en ordre IRU HYDOXDWLRQ LQ UHOHYDQFH ,Q DGGLWLRQ WKH SODFHV ZKHUH WKH ZULWLQJRIKLVWRU\LVRUJDQL]HGDUHSDUWO\DUELWUDU\DQGLQSDUWWKHUHVXOWRI VHOHFWLYH DQG GHVWUXFWLYH FKRLFHV DQG HYHQ WKLV LV ZLWKLQ WKH SURFHVV RI UHSUHVHQWDWLYH UHFRQVWUXFWLRQ DV PXFK DV WKH destructive selection RI WKH KLVWRULDQ ZKR ³FKRRVHV´ WR PDNH XVH RI FHUWDLQ PDWHULDOV UDWKHU WKDQ RWKHUVDQGVRRQ 2Q WKH SRLQW RI UHDOLVP 5LFRHXU LV D FULWLF RI :KLWH DQG \HW :KLWH LV FULWLFDO RI 5LFRHXU )RU :KLWH 5LFRHXU XOWLPDWHO\ EXLOGV DQG GHIHQGV D metaphysical narrativityWRZKLFKHYHU\WKLQJLVUHWXUQHG HYHQWKRXJKKH WULHV WR RSHQ XS WKH ZKROH SUREOHPDWLF ILHOG RI KLVWRULRJUDSK\ DQG HYHQ WKRXJK KH FRQVLGHUV D ZLGH UDQJH RI KLVWRULDQV DQG SKLORVRSKHUV 

,PDJHDQG5HSUHVHQWDWLRQLQ+LVWRULFDO.QRZOHGJH



$FFRUGLQJ WR WKH )UHQFK SKLORVRSKHU HYHQ KXPDQ DFWLRQ LV QDUUDWLYH WR WKHH[WHQWWKDWDVDQLQWHUSUHWDWLYHNH\RIWKHKLVWRULDQ¶VZRUNLWFRXOGEH ³UHDG´ DV ZH UHDG D WH[W   )RU 5LFRHXU WKLV LV a trend UDWKHU WKDQ D radical FKDUDFWHUL]DWLRQLQKLVWKHRUL]DWLRQWKHSUREOHPDWLVDWLRQRIUHDOLW\ DQG WUXWK LQ KLVWRU\ UHPDLQV DQG QR narratological solution KDV EHHQ IRXQG. )RUKLVSDUW5LFRHXULQWHUSUHWV:KLWH¶VFRQWULEXWLRQDVIDYRXUDEOH WR UKHWRULF ZLWK WKH GLVDGYDQWDJH WKDW LW DOORZV TXHVWLRQV RI UHDOLW\ DQG HYHQWUXWKWRGLVDSSHDULQKLVWRU\+RZHYHULWLVSUHFLVHO\WKLVWURSRORJ\ DQG KLVWRULRJUDSKLFDO DSSURDFK ZKLFK WKHPDWLVHV QDUUDWLRQ WKDW KHOSV WR PRGLI\ DQG FODULI\ WKH PRVW DSSURSULDWH HSLVWHPRORJLFDO SHUVSHFWLYH LQ KLVWRU\,QWKLVUHVSHFW$QNHUVPLW¶VDSSURDFKVHHPVWREHYHU\VLJQLILFDQW )RU$QNHUVPLWLQKLVWRU\WUXWKFDQQRWEHVWDWHGLQWHUPVRIWKHLVVXHVWKDW DULVHIURPWKHFRQFHSWLRQRIWUXWKDVWUXWKFRUUHVSRQGHQFH LQ$QNHUVPLW¶V PRGHOWKHUHLVQRXVHIXOPRGHORIWUXWKLQKLVWRULRJUDSK\ :K\"%HFDXVH LW LV LPSRVVLEOH WR FRPSDUH WKH FRQWHQW RI KLVWRU\ WKH FRQWHQW RI WKH QDUUDWLYHKLVWRULFDO UHSUHVHQWDWLRQ WR VRPHWKLQJ WKDW \RX FDQ VKRZ ,Q KLVWRU\ WKHUH KDV QHYHU EHHQ ³DQ\WKLQJ´ 7KH narrative substances VXEVWDQFHV RI D KLVWRULFDO QDUUDWLYH VXFK DV WKH )UHQFK 5HYROXWLRQ WKH ,WDOLDQ5LVRUJLPHQWRWKH&ROG:DUDQGVRRQ ZKLFK$QNHUVPLW VLPSO\  FDOOV ³YLVLRQV RI WKH SDVW´ FDQ EH XQGHUVWRRG DV D WKLUG HQWLW\ QHLWKHU XQLODWHUDOO\ WKLQJV RI WKH SDVW RU WUXH HYHQWV QRU XQLODWHUDOO\ SXUH OLQJXLVWLFGLVFXUVLYH UHSUHVHQWDWLRQV +RZHYHU WKH\ DUH DOVR LQWHUPHGLDWH HQWLWLHVZKLFKDUHDFWXDOO\WUXHDQGYDOLGLQVRIDUDVWKH\DUHH[SUHVVHGDV GLVFXUVLYHUHSUHVHQWDWLRQVWKDWUHIHUWRDSDVWDVLWZDV+RZHYHUEH\RQG WKHLPSRUWDQFHRIWKLVWKHRUL]DWLRQ$QNHUVPLWGHYHORSVDQHVVHQWLDOO\DQWL UHDOLVWSRLQWRIYLHZZKLFKORRNVWRDnarrative idealDVDSURFHGXUDODQG VFLHQWLILF SRLQW RI UHIHUHQFH ,W LV WUXH WKDW QDUUDWLYH UHDOLVP WHQGV WR EH XQGHUVWRRG DFFRUGLQJ WR 5LFRHXU KLPVHOI  DV VRPH YDULDQW RI D picture theory LQ WKH VHQVH RI D PDSSLQJ SURMHFWLRQ RI D WUDQVODWLRQ D SLFWRULDO UHSURGXFWLRQDUHSUHVHQWDWLYHLPDJHDQGVRRQ 7KHUHLVDVSHFLILFZD\WR LQWHUWZLQH SDUWLFXODULWLHV LQVWDQFHV DQG SUREOHPDWLF DVSHFWV RI UHDOLVP ZLWKSDUWLFXODULWLHVLQVWDQFHVDQGSUREOHPDWLFDVSHFWVRIUHSUHVHQWDWLRQDO UHFRQVWUXFWLRQVXFKDVQDUUDWLYHXQGHUVWDQGLQJWKLVLVKRZWKHtraceFDQ EH WKHPDWLVHG 7KH WUDFH LV D PDWHULDO WUDFH DQ REMHFW DQ LQVFULSWLRQ D WDQJLEOH SLHFH RI HYLGHQFH RI ZKDW ZDV  LW LV DOVR D FOXH DQ LQWDQJLEOH LWHPDQREMHFWRIK\SRWKHVHVRIDWWULEXWLRQRIPHDQLQJRILQWHUSUHWDWLRQ :H FDQ HYHQ VSHDN RI D PHPRU\WUDFH DV D WUDFH RI PHPRU\ IROORZ WKH WUDFHLQWHUSUHWWKHWUDFHDQDO\VHWKHWUDFHJHWEDFNRQWKHWUDFHWKHVHDUH RSHUDWLRQV RI KLVWRULRJUDSKLFDO LQYHVWLJDWLRQ UHVHDUFK DQG UHFRQVWUXFWLRQ ZKHUH UHDOLVW LQVWDQFHV DQG HSLVWHPRORJLFDOKHUPHQHXWLFDO LQVWDQFHV FDQ EH IRXQG LQWHUWZLQHG $ VHFRQG ZD\ DOVR SUHVHQWHG E\ 5LFRHXU  LV D



&KDSWHU

UHYLVHG YHUVLRQ RI WKH QRWLRQ RI KLVWRULFDO IDFWXDOLW\ DQG WKHUHIRUH RI KLVWRULFDO UHDOLW\ DV D SDVW UHDOLW\ UHDOLW\ RI ZKDW KDSSHQHG DQG RI ZKDW KDVEHHQ(YHQ$QNHUVPLWGRHVQRWUHPRYHUHIHUHQFHWRWKHSDVW%H\RQG WKH FKDUDFWHU RI ³UHVLGXDO UHDOLVP´ LQ KLV WKHRU\ KLV FRQFHSWLRQ RI narrative substancesFDQSHUFHLYHERWKWKHPL[HGFRPSRQHQWRIWKHWUDFH DQG WKH UHFRQILJXUDWLRQ RI WHPSRUDOLW\ ,I WKH YLVLRQV RI WKH SDVW DQG WKH ³ZD\VRIVHHLQJUHDOLW\DUHQRWSDUWRIWKHFRQVWLWXWLRQRIUHDOLW\DVVXFK´ KLVWRULFDOUHSUHVHQWDWLRQDOUHFRQVWUXFWLRQVDUHUHFRYHULHVUHDFWXDOL]DWLRQV RU UHHIIHFWXDWLRQV QRW RI D PDWHULDO UHDOW\ EXW RI WKRVH UHSUHVHQWDWLRQDO IRUPV DQG H[SUHVVLRQV WKDW KDYH JXLGHG WKH LQWHQWLRQ DQG PRWLYHV RI WKH DJHQWVRIWKHSDVWWKDWLVWRVD\UHSURGXFWLRQVRIKLVWRULFDOIDFWV +LVWRULFDOIDFWVDUHUHDOIDFWVLQWKHVHQVHRIKDYLQJUHDOO\KDSSHQHGZLWK GDWD DJHQWV DFFRUGLQJ WR D JLYHQ FDXVDO QHWZRUN DQG D FRQFDXVDO KLHUDUFK\RIG\QDPLFVDQGSURFHVVHV+LVWRULFDOIDFWVDUHQRWREMHFWVEXW UHSUHVHQWDWLRQDO SURFHVVHV ZLWKLQ RWKHU SURFHVVHV WKDW DOVR SURGXFHG REMHFWV DQG OHIW WUDFHV ZKLFK DUH QRW KLVWRULFDO IDFWV HLWKHU EXW DUH WKH VDPH DV KLVWRULFDO IDFWV LQ D JLYHQ WLPH DQG DFTXLUH PHDQLQJ DQG VLJQLILFDQFHZLWKUHVSHFWWRWKDWSDUWLFXODUWLPH7KHUHIRUHWKH³KLVWRULFDO UHDO´ LV FRQVWLWXWLYHO\ representational DQG FRQVWLWXWLYHO\ temporal EHFDXVH LW LV D process 7KH TXHVWLRQ RI ZKDW LV D JLYHQ WUXWK LQ KLVWRU\ WKHQ EHFRPHV WKH GLOHPPD RI FUHDWLQJ D UHSUHVHQWDWLYH UHFRQVWUXFWLRQ RI WKH SURFHVV RI SDVW  HYHQWV WKDW LV FORVHU WR WKH UHDO HYHQWV DV WKH\ DUH JLYHQLQWKDWWLPH7KRVH³UHDO´HYHQWVKDYHEHHQFRQFHLYHGUHSUHVHQWHG OLYHGFUHDWHGDQGQDUUDWHG7KHLQWHUZHDYLQJRIWKHWKHRU\RIKLVWRU\DQG WKH FRJQLWLYH WKHRU\RIUHSUHVHQWDWLRQLVUHYHDOHGDVDFHQWUDOLQWHUODFLQJ WKDW FRXOG EH SURSRVHG EHWZHHQ WKH WKHRU\ RI KLVWRU\ DQG WKH WKHRU\ RI QDUUDWLYH RQ WKH RQH KDQG DQG WKH WKHRU\ RI KLVWRU\ DQG WKH WKHRU\ RI DFWLRQ RQ WKH RWKHU )URP RQH SHUVSHFWLYH KLVWRU\ LV DERXW RWKHU SHRSOH RWKHU LQVWLWXWLRQV RWKHU UHSUHVHQWDWLRQV DQG YLVLRQV RI WKH ZRUOG SHRSOH ZKR OLYHG LQ GLIIHUHQW HUDV ZKR KDYH FUHDWHG DQG LQKDELWHG GLIIHUHQW LQVWLWXWLRQV ZKR KDYH VSRNHQ RWKHU ODQJXDJHV HPEUDFHG RWKHU FRQFHSWLRQV DQG EHOLHIV DQG VR RQ )URP DQRWKHU SHUVSHFWLYH KLVWRULDQV DUHQRWIDFHGZLWKDradical otherness1RWRQO\ZHUHWKH\ people like us EXW ZH DUH WKH KHLUV RI WKRVH FXOWXUHV WKRVH LQVWLWXWLRQV WKDW ZHDOWK RI NQRZOHGJH VNLOOV EHOLHIV DQG VR RQ DQG ZH DUH QRW ZLWKRXW WRROV WR UHFRYHU RU UHSURGXFHUHSUHVHQW WKHP :LWKRXW EHOLHYLQJ WKDW WKLV GLPLQLVKHVWKHVFLHQWLILFYDOXHRIWKHZRUNRIWKHKLVWRULDQRUGLVWRUWVWKH DXWKHQWLF VFLHQWLILF SUREOHPDWLVDWLRQ WKLV FDQ EH WDNHQ DV D EHQFKPDUN (YHQ LQ KLVWRU\ WKLV UHPDLQV D PDWWHU RI KLVWRU\¶V H[DFW NQRZOHGJH DQG WHFKQLTXHSURFHGXUH &HUWDLQO\ KLVWRULFDO HYHQWV DUH QRW PHDVXUDEOH HYHQWVOLNHQDWXUDOHYHQWVEXWWKH\DUHJLYHQDFFRUGLQJWRDOLQNDJHWKDWLV

,PDJHDQG5HSUHVHQWDWLRQLQ+LVWRULFDO.QRZOHGJH



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¶ LQWHUSUHWDWLRQ RI KLV SDVW WR RXU UHFRQVLGHUDWLRQ RI WKDW VDPH SDVWLQWKHOLJKWRIRXUFRQVLGHUDWLRQRI+HURGRWXV7KLVwayRIRUJDQL]LQJ HYHQWVDQGWKHKLVWRULFDOLQWHUSUHWDWLRQVRIHYHQWVin timeLVDZD\WRJLYH KLVWRULFDOWLPHDWHUPSDUDGLJPDWLFUROHLQRXUUHFRQVWUXFWLYHUHSUHVHQWDWLRQDO SURFHGXUHRIPDNLQJKLVWRU\ DQGDVDQLQWHUQDOEXWREMHFWLILHGVWUXFWXUHRI HYHQWV  7KLV LV QRW DQ H[SHULHQFHG WLPH RI FRQVFLRXVQHVV RU D FRVPRORJLFDO WLPH WKDW LV GHWHUPLQHG E\ SK\VLFDO FKDQJHV 5DWKHU LW LV ZKDW 5LFRHXU FDOOV calendar time D WKLUG W\SH RI WLPH D WLPH WKDW LV EHWZHHQ UHDOLW\ DQG H[SHULHQFH 7KLV FRXOG DOVR EH FDOOHG ³D representationalWLPH´

&RQFOXVLRQ 7KLVFKDSWHULQYHVWLJDWHGWKHHSLVWHPRORJLFDOTXHVWLRQRIUHSUHVHQWDWLRQLQ KLVWRULFDO NQRZOHGJH IURP WKH SRLQW RI YLHZ RI UHSUHVHQWDWLRQ DV D PHFKDQLVPG\QDPLVP RI PLQG DQG PHPRU\ DV D OLQJXLVWLF LQVWUXPHQW DQG DV DQ LQVWUXPHQW RI NQRZLQJ ,Q SDUWLFXODU ZH IRXQG D VLJQLILFDQW SRLQW RI FRUUHODWLRQ EHWZHHQ 0DUNPDQ¶V DQDO\VLV DQG 5LFRHXU¶V UH DFWXDOLVDWLRQ RI 'XUNKHLP¶V QRWLRQ RI ³FROOHFWLYH UHSUHVHQWDWLRQ´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



&KDSWHU

QRUPV DV ZHOO DV FXOWXUDO HOHPHQWV DFWLYHO\ DQG VLJQLILFDQWO\ SDUWLFLSDWH WR FUHDWH WKDW regularity ZKLFK LV QHFHVVDU\ IRU WKH SHUPDQHQFH RI UHSUHVHQWDWLRQ V  5HSUHVHQWDWLRQ KDV LQ LWVHOI D XQLTXH VXEVWDQWLDO VWDELOLW\ PDGH E\ SV\FKRORJLFDO VRFLRORJLFDO IDFWXDO WHPSRUDO DQG LPDJLQDWLYH HOHPHQWV $QG D ZHOODGGUHVVHG SURFHGXUDO  GLDOHFWLF RI H[SODQDWLRQ DQG XQGHUVWDQGLQJPD\ JXDUDQWHH LWV VFLHQWLILFXVH DV D SURGXFWLYH VRXUFHIRU KLVWRULFDONQRZOHGJH      

&+$37(5 -867,&(7+528*+5(&2*1,7,21 )5203+,/2623+«@IRXQGLQWKHXQIROGLQJRIWKHILJXUHVRIWKH³,FDQ´ ZKLFK WRJHWKHUPDNH XS WKH SRUWUDLW RI WKH FDSDEOH KXPDQ EHLQJ LWV RZQ VSDFHRIPHDQLQJ%XWZKDWLVPRVWLPSRUWDQWIRURXUSXUVXLWRIWKHFRXUVH RIUHFRJQLWLRQLVWKDWLGHQWLILFDWLRQ>«@QRWRQO\KDVFKDQJHGLWVUHIHUHQWLQ SDVVLQJ IURP VRPHWKLQJ LQ JHQHUDO WR WKH VHOI EXW KDV EHHQ HOHYDWHG WR D ORJLFDOVWDWXVGRPLQDWHGE\WKHLGHDRIWKHH[FOXVLRQEHWZHHQWKHVDPHDQG WKHRWKHUDQGWRDQH[LVWHQWLDOVWDWXVWKDQNVWRZKLFKWKHRWKHULVOLNHO\WR DIIHFWWKHVDPH 5LFRHXU 

7KH HIIHFW RI WKH QDWXUDOLVWLF ³FRQWDPLQDWLRQ´ LV HYLGHQW DQG VLJQLILFDQW 5LFRHXU ZHOFRPLQJ WKH FRXUVH RI +RQQHWK WKURXJK:LQQLFRWW IDFLOLWDWHV WKHHQWU\RISV\FKRDQDO\VLVLQKLVDQDO\VLV«@ GRHV QRW ODFN WKHRUHWLFDO LPSOLFDWLRQV ,W UHYHDOV WKDW IURP LWV EHJLQQLQJ KXPDQ GHVLUH LV WR XVH +HJHO¶V H[SUHVVLRQ WKH GHVLUH RI DQRWKHU¶V GHVLUH DQG ILQDOO\ IRU UHFRJQLWLRQ´ 5LFRHXU  ,Q5LFRHXU¶VFRQFHSWLRQWKHLGHDRIWKHGLDOHFWLFRIUHFRJQLWLRQLVZHOGHG WR WKH SV\FKRDQDO\WLF GRFWULQH ± DORQJ ZLWK DOO WKH SUREOHPDWLF EXUGHQ LQYROYLQJWKHFRQVLGHUDWLRQRI)UHXGLDQLVPZKRVHPHQWDOPRGHOGRHVQRW RSHUDWH RQ EHKDOI RI WKH other LQ FRQWUDGLFWLRQ WR ZKDW SV\FKRDQDO\VLV doesLQLWVWKHUDS\ 7KLVGLIILFXOW\±UHFDOOHGDQGPHQWLRQHGE\+RQQHWK± KDV EHHQ KLJKOLJKWHG DQG VWXGLHG E\ 5LFRHXU VLQFH WKH VHYHQWLHV LQ KLV SV\FKRDQDO\WLF UHVHDUFK UHVHDUFK WKDW KDV KDG D VWURQJ LQIOXHQFH RQ 5LFRHXU¶VQDUUDWLYHKHUPHQHXWLFVDQGKLVDQWKURSRORJLFDOSKLORVRSK\7KLV SURIRXQGO\ LPSRUWDQW LQIOXHQFH FDQ DOVR EH VHHQ LQ The Course of Recognition   &RPSDUHG WR WKH +HJHOLDQ WKHRU\ LW LV WUXH WKDW WKH ParcoursWDNHVDGYDQWDJHRIWKHZRUNRI+RQQHWKHQULFKLQJKLVDQDO\VLV WKURXJKWKHZULWLQJVRIWKHHDUO\+HJHOLDQUHVHDUFKDQGLWLVHTXDOO\WUXH WKDWWKLVGRHVQRWFRQVWLWXWHDGHQLDOEXWUDWKHUDIXUWKHUUHDVRQIRUILWWLQJ WKHGLDOHFWLFDOWRSV\FKRDQDO\VLV WKURXJK:LQQLFRWWDVZHKDYHVHHQ %XW LI +RQQHWK WHQGV WR HPSKDVLVH PRUH VWURQJO\ WKH FKDUDFWHU of the constitutive dynamic of struggle 5LFRHXU HPSKDVLVHV DQG KLJKOLJKWV WKH emancipatory strength of the gift behind the dialectics of recognition ,Q IDFW LQ PRUH UHFHQW GHYHORSPHQWV LQ KLV SKLORVRSK\ RI WKH KXPDQ EHLQJ PDGH DURXQG WKH WLPH RI The Course of Recognition VXJJHVW WKDW ERWK

-XVWLFH7KURXJK5HFRJQLWLRQ



DVSHFWV±WKHFRQVWLWXWLYHG\QDPLFRIWKHVWUXJJOHDQGLGHQWLW\DVDSURFHVV RIHPDQFLSDWLRQ±DUHSUHVHQWDQGRSHUDWLQJHTXDOHTXDOVWDWXV )URP WKH FRPSDULVRQ EHWZHHQ SKHQRPHQRORJ\ DQG SV\FKRDQDO\VLV 5LFRHXUUHDFKHVWKHLGHDRIsubjectivity as a hermeneutic-dialectic process VWUHWFKLQJ EHWZHHQ WKH RSSRVLWHV RI archê DQG telos RI WKH XQFRQVFLRXV DQG VSLULW RI QHFHVVLW\ DQG IUHHGRP GHVWLQ\ DQG KLVWRU\ +H WULHV WR VRPHKRZ DFKLHYH D V\QWKHVLV EHWZHHQ +HJHOLVP DQG )UHXGLDQLVP WUDQVODWLQJ psychic dynamism LQ WHUPV RI WKH dialectic of figures LQ WKLV PDQQHU WKH UHODWLRQVKLS EHWZHHQ id DQG ego EHFDPH D NLQG RI GLDOHFWLF EHWZHHQ ORUGVKLS DQG ERQGDJH $QG LW LV SUHFLVHO\ RQ WKLV SRLQW WKDW KH EULQJV WKH LVVXH RI UHFRJQLWLRQ RQWR WKH VFHQH :H ILQG LW H[SUHVVHG LQ Freudand PhilosophyLQWKHWKLUGFKDSWHURIWKH³'LDOHFWLF´ 7KH Phenomenology of Spirit RXWOLQHV DQ H[SOLFLW WHOHRORJ\ RI FRQVFLRXVQHVV WKDW ULVHV LQ WKH EDFNJURXQG RI GHVLUH DQG OLIH ZLWKRXW WUDQVFHQGLQJ LW UDGLFDOO\  'HVLUH LV WKH SRLQW RQ ZKLFK +HJHO DQG )UHXG PHHW,Q+HJHO³GHVLUHLVUHYHDOHGDVhuman GHVLUHRQO\ZKHQLWLVGHVLUH IRU WKH GHVLUH RI DQRWKHU FRQVFLRXVQHVV´ 5LFRHXU    +HJHO¶V FRQFHSWRIGHVLUHLVFORVHO\UHODWHGWRUHFRJQLWLRQ7KHSKHQRPHQRORJ\RI GHVLUHLVIXOILOOHGLQDGLDOHFWLFRIUHFRJQLWLRQ:HNQRZWKDWWKHILJXUHVRI WKHIDPRXVPhenomenologyZKRH[SUHVVWKLVGLDOHFWLFDUHWKDWRIORUGDQG VHUYDQW $FFRUGLQJ WR 5LFRHXU ZKDW KDSSHQV LQ WKHUDSHXWLF DQDO\VLV LV VRPHWKLQJVXEVWDQWLDOO\VLPLODU VHHIb.  $ QHZ LPSRUWDQW VWHS IRU WKH FRQFHSW RI UHFRJQLWLRQ FDQ EH IRXQG LQ 5LFRHXU¶V ERRN Oneself as Another   LQ ZKLFK WKH FRQFHSWLRQ RI LGHQWLW\ LV H[SUHVVHG DV D KHUPHQHXWLFDOQDUUDWLYH SURFHVV DQG DV D GLDOHFWLF RI UHFRJQLWLRQ WKDW LV ERWK YHUWLFDO RI WKH VHOI UHODWLYH WR WKH RWKHUQHVVLQLWVHOIDQGKRUL]RQWDORIWKHVHOIUHODWLYHWRWKHRWKHU2QWKH RQHKDQGWKHUHODWLRQVKLSRIWKHselfZLWKLWVRWKHUQHVVRQWKHRWKHUKDQG WKH RWKHU DQG WKH GLDOHFWLF RI UHFRJQLWLRQ DV D SDUW RI WKH SURFHVV RI LGHQWLILFDWLRQ DQG HPDQFLSDWLRQ 1RW WZR VHSDUDWH PRYHPHQWV EXW WZR PRYHPHQWV DV HOHPHQWV RI D VLQJOH SURFHVV 7KLV FRQFHSWLRQ UHPDLQV XQFKDQJHGXQWLOParcours,ZKHUHLWLVVXPPDULVHGDVIROORZV³:HGRQRW PLVWDNH RXUVHOYHV ZLWKRXW DOVR EHLQJ PLVWDNHQ DERXW RWKHUV DQG RXU UHODWLRQVZLWKWKHP´ 5LFRHXU  3V\FKRDQDO\VLV FRQWULEXWHV LQ DQ HVVHQWLDO ZD\ WR WKH IRUPDWLRQ RI WKH 5LFRHXULDQ SKLORVRSKLFDO GLVFRXUVH RQ WKH KXPDQ EHLQJ )RU 5LFRHXU LGHQWLW\ LV FRQVWLWXWHG WKURXJK D SURFHVV RI LQWHUSUHWDWLRQ WKDW LV DW RQFH LQWHUSUHWDWLYH DQG QDUUDWLYH D SURFHVV WKDW WDNHV RQ WKH IRUP RI WKH



&KDSWHU

dialectic of recognition ± UHFRJQLWLRQ RI WKH VHOI DQG UHFRJQLWLRQ RI WKH RWKHU ± DQG LQ ZKLFK WKH SKHQRPHQRQ RI HPDQFLSDWLRQ EHFRPHV HVWDEOLVKHG )LQDOO\ WKHUH LV WKH LGHD RI LGHQWLW\ LV DV D hermeneutical process RI emancipation 8OWLPDWHO\ EH\RQG WKH SDUWLFXODULW\ DQG XQLTXHQHVVRIWKHH[SHULHQFHWKHSDWKRIWKHGHYHORSPHQWRIWKHVHOIDQG RI WKH IXOILOPHQW RI WKH KXPDQ LQGLYLGXDO DV D SHUVRQ  DOZD\V DVVXPHV WKH FRQQRWDWLRQ RI DQ HPDQFLSDWRU\ SURFHVV RI VHOIUHFRJQLWLRQ WR RQH¶V VHOIDQGRIWKHVHOIZLWKUHVSHFWWRWKHRWKHU 7KHHPDQFLSDWHGVXEMHFWLV RQHZKRUHFRJQLVHVKLPVHOIRUKHUVHOIDVDSHUVRQDQGWKDWUHFRJQLVLQJWKH RWKHU DV RQH¶V VHOI 7R EHFRPH FDSDEOH RI WKH IXOO DQG FRPSOHWH UHFRJQLWLRQ RI WKH RWKHU DV D SHUVRQ LV FHUWDLQO\ WKH UHVXOW RI D FRPSOH[ GLIILFXOW DQG YDULHG LQWHUUHODWLRQDO DQG VSLULWXDO GLDOHFWLFV 7KLV LV WKH FKDOOHQJHRIEHLQJDQGOLYLQJDVDIUHHHPDQFLSDWHGKXPDQEHLQJ

6RFLRORJ\DQG5HFRJQLWLRQ 1RZZHKDYHWRIRFXVRQWKHVRFLRORJLFDOWKHPHRIUHFRJQLWLRQZKLFKLVD UHODWLYHO\ UHFHQW WKHPH (VVHQWLDOO\ WKH ZRUN GRQH E\ 7DOFRWW 3DUVRQV LQ GHYHORSLQJKLVGeneral theory of social action 3DUVRQV PDUNHGDQ LPSRUWDQWVKLIW IURP WKH NLQG RI VRFLRORJ\ LQYROYHGZLWKDQWKURSRORJLFDO DQGHWKQRORJLFDOUHVHDUFKWRWKHVRFLRORJLFDOUHVHDUFKWKDWKDVLQYHVWLJDWHG WKH TXHVWLRQ RI LQWHUVXEMHFWLYLW\ DQG LQWHUUHODWLRQ DORQJVLGH VRFLDO EHKDYLRXUVDQGULWXDOVWKDWUHYHDOreciprocity %XW LQ SKLORVRSK\ LW LV DJDLQ *HRUJH + 0HDG¶V UHVHDUFK WKDW UHSUHVHQWV RQHRIWKHPDMRUUHIHUHQFHV0HDG¶VVRFLDOEHKDYLRXULVP  RUUDWKHU KLV V\PEROLF LQWHUDFWLRQLVP %OXPHU   SRVWXODWHV WKDW WKH mind DQG WKHselfDUHVRFLDOSURGXFWVDQGWKDWODQJXDJHFRQVWLWXWHVWKHSODFHRIWKHLU HPHUJHQFHODQJXDJHLVWKHmediumWKURXJKZKLFKH[SHULHQFHVDQGVRFLDO UHDOLW\ FDQ EH IRUPXODWHG RU V\PEROLFDOO\ EXLOW $ FHQWUDO HOHPHQW RI V\PEROLFLQWHUDFWLRQLVWKHLQGLYLGXDO¶VDELOLW\WRDVVXPHWKHRWKHUZLWKLQ KLPKHUVHOI DQG WR UHJXODWH KLVKHU FRQGXFW IURP WKLV SHUVSHFWLYH 2EYLRXVO\ RWKHU IDFWRUV FRPH RQ WKH VFHQH KHUH VXFK DV emotions DQG 0HDGLDQ V\PEROLF LQWHUDFWLRQLVP LV VWLOO D IXQGDPHQWDO UHIHUHQFH LQ WKH FXOWXUDODSSURDFKWRHPRWLRQV7KHIDFWWKDWZHEHFRPHFDSDEOHRISXWWLQJ RXUVHOYHVLQWKHSODFHRIWKHRWKHULVQRWRQO\WKHUHVXOWRILQWHUUHODWLRQDO experience SURYLQJ RXU PHQWDO DELOLW\ WR UHFDSLWXODWH DOO RI RXU LQWHUDFWLRQDO H[SHULHQFH LQ RXU KHDG  EXW WKH UHVXOW RI WKH LQWHUUHODWLRQDO G\QDPLVPRIRXUHPRWLRQV$WWKHKHDUWRI0HDG¶VUHVHDUFKLVWKHLVVXHRI WKH SURFHVVHV E\ ZKLFK VRFLDO DFWRUV Self  DUH FRQVWLWXWHG LW VKRZV KRZ PLQG DQG WKRXJKW Mind  DQG VRFLDO RUJDQLVDWLRQ Society  DUH IRUPHG

-XVWLFH7KURXJK5HFRJQLWLRQ



Self Mind DQG Society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±DQGFHUWDLQO\LQWHUHVWLQJ±DWWKLVSRLQWWRGHOYHLQWR -UJHQ +DEHUPDV¶ WKH JHQHUDO WKHRU\ RI DFWLRQ DQG WKH VRFLRORJ\ RI LQWHUVXEMHFWLYLW\ 7KH WKHPH RI WKH SXEOLF VSKHUH DV D VSDFH RI D PXWXDO UHODWLRQVKLS RI FRPPXQLFDWLYH UDWLRQDOLW\ RFFXSLHV WKH FRUH RI +DEHUPDV¶ YDVW DQG VWUXFWXUHGUHVHDUFK±DSROLWLFDOFRPPLWPHQWKHGHULYHVIURPWKHHVVHQWLDO FRQFHSWXDOWULDGRIpublic sphere discourse DQG reason+LVSKLORVRSK\RI PDQLPSOLHVDQGVXVWDLQVDOOVSHFXODWLYHGHYHORSPHQWVDURXQGWKLVWULDG,W UHIHUV WR D VWULFW LQWHUSUHWDWLRQ ± OLWHUDO QRXULVKHG E\ HYROXWLRQDU\ ELRORJLVP±RIWKH$ULVWRWHOLDQLGHDRIPDQDVzoonpolitikònD³SROLWLFDO DQLPDO´WKDWOLYHVin the public space:HDUHUDGLFDOO\GHSHQGHQWRQHDFK RWKHU ZH DUH FRQVWLWXWLYHO\ LQWHUVXEMHFWLYH ZH EHFRPH SHUVRQV LQ WKH SXEOLF VSDFH EHFDXVH ZH DUH OHDUQLQJ FRQWLQXDOO\ IURP HDFK RWKHU VHH +DEHUPDV  7KLV VSHFLILF DVSHFW RI WKH KXPDQ LQWHUVXEMHFWLYH GLPHQVLRQ KDV VWURQJ UHYHUEHUDWLRQV ULJKW DFURVV RI +DEHUPDV¶ ZRUN ,Q IDFW LI RQ WKH PRUH VWULFWO\ WKHRUHWLFDO SODQH KLV FRPSUHKHQVLYH VWUXFWXUHV DUH HVVHQWLDOO\ VRFLRORJLFDO RQ WKH WKHPDWLF DQG UHIOH[LYH SODQH +DEHUPDV KDV IRFXVHG KLV UHVHDUFK RQ WKH SROLWLFDO SXEOLF VSKHUH 7KH FRQVWUXFWLRQ DQG RUJDQLVDWLRQRISXEOLFVSDFHV±ZKRVHVWUXFWXUDOIUDPHZRUNLVRIDsocial QDWXUH ± UHYHDOV WKH FRQVWUXFWLYH RU GHFDGHQW WKH KDUPRQLHV RU ULIWV RI D FRPPXQLWDULDQLVPWKDWLVHLWKHUHPDQFLSDWRU\RUUHSUHVVLYH&RPSDUHGWR WKHVSHFLILFFRQWH[WRIRXUVRFLDOUHDOLW\LQLWLDOO\+DEHUPDVVDZDWZRUN WKHJHQHUDOG\QDPLVPRIFRHUFLYHDQGUHSUHVVLYHQDWXUHVZLWKLQZKLFKWKH ZRUN RI WKH VRFLDO FULWLF DQG WKH ³PLOLWDQF\´ RI D IUHH DQG HPDQFLSDWRU\ FRPPXQLFDWLRQ ZHUH FRQVLGHUHG QHFHVVDU\ WR HQVXUH D SRVLWLYH VWDWH RI DXWKHQWLF KXPDQ FRH[LVWHQFH 6XEVHTXHQWO\ KLV GLDJQRVLV FKDQJHG VODQW WDNLQJLQWRDFFRXQWWKHLPSRUWDQFHRIWKHSURJUHVVLYHFRPSOH[LILFDWLRQRI



&KDSWHU

WRGD\¶V VRFLHW\ 0RGHUQ VRFLHWLHV FDQ EH KHOG WRJHWKHU QRUPDWLYHO\ RQO\ E\ DEVWUDFW VROLGDULW\ MXULGLFDOO\ PHGLDWHG EHWZHHQ FLWL]HQV RI WKH VWDWH 7KLV FRPPXQLW\ ZKLFK WRGD\ FDQQRW DOZD\V EH VWURQJ ± VLQFH LW LV QRZ LPSRVVLEOH WR NQRZ RQHVHOI SHUVRQDOO\ DQG SURSHUO\ ± RQO\ DFKLHYHV DQ DFFHSWDEOHGHJUHHRIVWDELOLW\DQGFRKHVLRQWKURXJKWKHIRUPDWLRQRISXEOLF RSLQLRQ DQG ZLOO 7KHUHIRUH WKH FRQGLWLRQ RI D JLYHQ GHPRFUDF\ LV QRW LVRODWHGLQLWVDELOLW\WRWHVWLWVHOIYLDHYDOXDWLQJWKHIRUPVDQGTXDOLW\RILWV SXEOLF SROLWLFDO VSDFH 5DWKHU UHVHDUFK RQ WKH IRUPV DQG PHWKRGV RI FRPPXQLFDWLRQ DVVXPH WKH PHDQLQJ DQG VLJQLILFDQFH RI systematic VRFLRORJLFDO UHVHDUFK 7KLV RFFXUV EHFDXVH FRPPXQLFDWLRQ LV QRZ WKH XOWLPDWHVWUXFWXUHRIVRFLDOUHDOLW\ 7KH EDVLF UHIHUHQFH IRU WKLV QRWLRQ LV +DEHUPDV¶ The Theory of Communicative Action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³LQWHUQDO FRORQL]DWLRQ´ WKDW LV H[SUHVVHG WKURXJK D QHZ IRUP RI VRFLDO YLROHQFH H[HUWHGDWWKHOHYHORIFRPPXQLFDWLRQDQGFRQGXFWRIOLIH³DSURJUHVVLYHO\ UDWLRQDOL]HG OLIHZRUOG LV ERWK XQFRXSOHG IURP DQG PDGH GHSHQGHQW XSRQ LQFUHDVLQJO\ FRPSOH[ IRUPDOO\ RUJDQLVHG GRPDLQV RI DFWLRQ OLNH WKH HFRQRP\DQGWKHVWDWHDGPLQLVWUDWLRQ7KLVGHSHQGHQF\UHVXOWLQJIURPWKH Mediatization RI WKH OLIHZRUOG E\ V\VWHP LPSHUDWLYHV DVVXPHV WKH VRFLRSDWKRORJLFDO IRUP RI DQ internal colonization ZKHQ FULWLFDO GLVHTXLOLEULDLQPDWHULDOUHSURGXFWLRQ>@FDQEHDYRLGHGRQO\DWWKHFRVW RIGLVWXUEDQFHVLQWKHV\PEROLFUHSURGXFWLRQRIWKHOLIHZRUOG´ +DEHUPDV ñ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³V\VWHPDWLF´KDVWREH XQGHUVWRRG EURDGO\ VSHDNLQJ LQ WKH VHQVH RI LWV GLIIXVH DQG SHUYDVLYH

-XVWLFH7KURXJK5HFRJQLWLRQ



FKDUDFWHU,QIDFWLWRFFXUVLQVRPDQ\DQGYDULHGIRUPV+DEHUPDV±ZKR WHQGVHPSKDVLVHWKHQHJDWLRQRIDUDGLFDOUHVROXWLRQRUDQDQWLUDWLRQDOLVWLF UHVROXWLRQ D W\SLFDO SRVWPRGHUQ DWWLWXGH  ± PDLQWDLQV QRW RQO\ WKH HDUO\ SHUVSHFWLYHRIDVWURQJFULWLFDOUDWLRQDOLVPEXWDOVRDFRPPXQLFDWLYHDQG LQWHUSUHWDWLYHIUDPHZRUN2QWKHRQHKDQGFULWLFDOZRUNSURYLGHVWKHRQO\ KRSHRIFRXQWHUEDODQFLQJWKHVHFRORQLVLQJIRUFHVE\WDNLQJVWRFNRIWKH LQIOXHQFHV SURFHGXUDO IDFWXDO DQG LQVWLWXWLRQDO  WKDW DUH WKH UHVXOW RI :HVWHUQUDWLRQDOLW\2QWKHRWKHUKDQGRQHRIWKHPRVWLPSRUWDQWPDWXUH DGGLWLRQV WR +DEHUPDV¶ WKHRU\ LV WKH FRQVLGHUDWLRQ RI VRFLDO PRYHPHQWV GHGLFDWHGWRVSHFLILFFDXVHVVXFKDVHQYLURQPHQWDOLVPIHPLQLVPDQGVR RQ 2SHUDWLQJ ZLWKLQ WKHVH VSHFLILF VRFLDO PRUDO DQG FXOWXUDO FRQWH[WV WKHVH FLWL]HQOHG PRYHPHQWV PLJKW EH DEOH WR UHVWRUH WKH LQGHSHQGHQFH XQLTXHQHVVDQGYDOXHRIWKHOLIHZRUOG +DEHUPDV DUJXHV WKDW WKH OLIHZRUOG SURYLGHV DQ DUHQD IRU HPDQFLSDWLRQ DQG LQWHUUHODWLRQ DQG WKHUHIRUH WKH VXEVHTXHQW UHDOLVDWLRQ RI WKH ³LQGLYLGXDO´DVDperson:KHQFRPELQHGZLWKDsystemWKHVHFRQGDVSHFW RI+DEHUPDV¶WKHRU\RI³VRFLHW\´WKHOLIHZRUOGFRQFHSWEHFRPHVVWUDWHJLF 7KLV RFFXUV ILUVW LQ UHODWLRQ WR D WKHRU\ RI VRFLDO HYROXWLRQ WKDW GLVWLQJXLVKHVEHWZHHQWKHUDWLRQDOLVDWLRQRIWKHOLIHZRUOGDQGWKHLQFUHDVHG FRPSOH[LW\RIWKHVRFLDOV\VWHPV7KDWLVWRVD\LWOHDGVWRDFULWLFDOWKHRU\ WKDW PXVW HPSLULFDOO\ IRFXV XSRQ WKH QRGH EHWZHHQ WKH IRUPV RI VRFLDO LQWHJUDWLRQ DQG WKH OHYHOVRIV\VWHPDWLFGLIIHUHQWLDWLRQ 'XUNKHLP  )URP WKH FRQFHSWXDO SHUVSHFWLYH RI DQ DFWLRQ RULHQWHG WRZDUG PXWXDO XQGHUVWDQGLQJWKHFRQFHSWRIOLIHZRUOGDSSHDUVWRKDYHDOLPLWHGUDQJHLQ WHUPVRIWKHWKHRU\RIVRFLHW\,QIDFWWKHGLDOHFWLFDOUHODWLRQVKLSEHWZHHQ OLIHZRUOG DQG V\VWHP WR SURYLGH WKH EHVW DSSDUDWXV ZKLFK LQFOXGHV WKH EURDGHU VRFLDO UHDOLW\ DQG HPDQFLSDWRU\ SURFHVVHV ERWK LQGLYLGXDO DQG VRFLDO 7KH OLIHZRUOG LV FRPSRVHG RI FXOWXUH VRFLHW\ DQG SHUVRQDOLW\ +RZHYHU WKH IDFWXDOLW\ DQG WKH KHXULVWLF SRZHU LQ UHODWLRQ WR WKH G\QDPLVPRIVRFLDOHYROXWLRQDUHDVVXPHGE\DGLDOHFWLFH[LVWLQJZLWKWKH V\VWHP6RFLHWLHVHVWDEOLVKFRQQHFWLYHDFWLRQVDQGV\VWHPDWLFDOO\VWDELOLVHG RIVRFLDOO\LQWHJUDWHGJURXSVDFFRUGLQJWRDIRUPXOD7KLVLVH[SODLQHGE\ FODULI\LQJWKDWLWLQGLFDWHVWKHSURSRVHGKHXULVWLFZKHQFRQVLGHULQJVRFLHW\ DV DQ HQWLW\ ZKLFK ZDV GLIIHUHQWLDWHG GXULQJ HYROXWLRQ ERWK DV D V\VWHP DQGDVOLIHZRUOG7KLVV\VWHPLFHYROXWLRQLVFRPSDUDEOHWRDQLQFUHDVHLQ WKH FDSDFLW\ IRU VRFLHWDO FRQWURO ZKLOH WKH JDS EHWZHHQ FXOWXUH VRFLHW\ DQG SHUVRQDOLW\ LQGLFDWHV WKH VWDWH RI GHYHORSPHQW RI D V\PEROLFDOO\ VWUXFWXUHGOLIHZRUOG )RU +DEHUPDV UHFRJQLWLRQ LV HVVHQWLDOO\ D TXHVWLRQ RI SDUWLFLSDWLRQ PHPEHUVKLS DQG FRPPXQLFDWLYH GLDOHFWLF EHWZHHQ VRFLDO DFWRUV ,W LV QRW



&KDSWHU

WKH general TXDOLW\ RI LQWHUUHODWLRQVKLSV GHWHUPLQHV D VRFLHW\¶V GHJUHH RI GHYHORSPHQW RU WKH HYROXWLRQ RI LWV PHPEHUV UDWKHU LW GHSHQGV RQ WKH TXDOLW\RIFRPPXQLFDWLYHUHODWLRQVKLSV ,QFRQFOXVLRQ+DEHUPDV¶WKHRU\RIUHFRJQLWLRQLVIRXQGHGXSRQWKHQRWLRQ RI intersubjective communication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dialecticalHOHPHQWVRFLRORJ\ KDVEURXJKWEDFN±JHQHUDOO\VSHDNLQJ±WKHSRLQWRILQWHUVXEMHFWLYLW\ LQ WKH VSHFLILF FDVH RI +DEHUPDV RQ WKH SRLQW RI LQWHUVXEMHFWLYH FRPPXQLFDWLRQ :LWKRXWGLDOHFWLFSURFHVVWKHUHLVQRUHFRJQLWLRQWKDWLV WKH JHQHUDOLVHG VSHFXODWLYH RXWFRPH RI RXU VWXG\ RI WKH SV\FKRORJ\ RI UHFRJQLWLRQ :LWKRXW relational and communicative commitment QR SURFHVVRIUHFRJQLWLRQFDQEHDFWLYDWHGDVDSURFHVVRIHPDQFLSDWLRQ

3ROLWLFVDQG5HFRJQLWLRQ ,Q WKH ILHOG RI SROLWLFDO WKHRU\ WKH FRQFHSW RI UHFRJQLWLRQ EHFDPH ZHOO NQRZQ LQ WKHV ± WKDQNV LQ SDUWLFXODUWR WKH ZRUNRI &KDUOHV 7D\ORU The Politics of Recognition ±EXWLWKDVDPXFKORQJHUKLVWRU\LQ WKHILHOGVRISROLWLFVDQGODZ,DJUHHZLWK6LPRQ7KRPSVRQWKDWRYHUWKH ODVW ILIW\ \HDUV WKH FRQILJXUDWLRQ RI :HVWHUQ SROLWLFDO DQG VRFLDO OLIH KDV QRWGHYHORSHGXQGHUWKHKRUL]RQRIsocial democratic consensus DVLWGLG IRU DW OHDVW WZR GHFDGHV DIWHU :RUOG :DU ,,  VR PXFK DV WKH VHULHV RI struggles for recognition WKDW IROORZHG DQWLVHJUHJDWLRQ RU DQWLUDFLVW

-XVWLFH7KURXJK5HFRJQLWLRQ



ZRPHQ¶VPRYHPHQWVSHDFHPRYHPHQWVHWF VHYHUDORIZKLFKDUHVWLOOLQ SURJUHVV ,QGHHG UHFRJQLWLRQ KDV WDNHQ RQ VXFK JUHDW LPSRUWDQFH ± QRW RQO\LQWKHSROLWLFDOZRUOGLQWKHVWULFWHVWVHQVHEXWDOVRLQSROLWLFDOWKHRU\ SROLWLFDOSKLORVRSK\SROLWLFDOVRFLRORJ\SROLWLFDOHWKLFVDQGVRFLDOSROLWLFV ± WKDW LW KDV EHFRPH QDWXUDOO\ FRQQHFWHG ZLWK TXHVWLRQV RI ODZ LQWHUQDWLRQDO ODZ KXPDQ ULJKWV DQG VR RQ QRW WR PHQWLRQ EHLQJ DQ HVVHQWLDO HOHPHQW ZLWKLQ VRFLRORJ\ SV\FKRORJ\ DQG PRUDO SKLORVRSK\ )URPWKHSRLQWRIYLHZRIWKHRUHWLFDOSKLORVRSK\3DXO5LFRHXU¶VDSSURDFK LV HQWLUHO\ DSSURSULDWH ZKHQ LQ The Course of Recognition KH EULQJV WRJHWKHU WKH GLIIHUHQW XVHV RI WKH FRQFHSW %XW IURP WKH VRFLRSROLWLFDO SHUVSHFWLYH WKH XVHV RI UHFRJQLWLRQ PXVW EH GHSHQGHQW XSRQ WKH WKHRUHWLFDOLGHDOPRGHOVWKDWFKDUDFWHULVHWKHPRUWKHPRGDOLW\ZLWKZKLFK DSHUVRQLVUHFRJQLVHG,QIDFWLQVRFLRSROLWLFDOWHUPVUHFRJQLWLRQFDQEH RQO\XQGHUVWRRGDVDEDVLFDFTXLVLWLRQUHJXODWLRQ ZKLFKLVWKHYLHZSRLQW RI 5REHUW %UDQGRP ZKR FRQVLGHUV UHFRJQLWLRQ DQ HVVHQWLDO ³social DFKLHYHPHQW´%UDQGRP  7D\ORUGLVWLQJXLVKHVWKUHHNLQGVRIUHFRJQLWLRQH[SUHVVHGLQWKHSROLWLFVRI XQLYHUVDOLVP recognition as respect  WKH SROLWLFV RI GLIIHUHQFH recognition as esteem DQGLQWKHFRQWH[WRISULYDWHUHODWLRQV recognition as love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politicalFKRLFHVDQGRSHUDWLRQVFDQ HPHUJHLQWKHRUJDQLVDWLRQRIVRFLHW\DQGVRFLDOOLIHDQGKDYHDQHIIHFWRQ FXOWXUHWKURXJKFKDQJLQJSHUVSHFWLYHVDQGEHKDYLRXU,QIDFWWKHSROLWLFDO SKLORVRSK\ RI UHFRJQLWLRQ KDV LWVHOI EHHQ WLHG WR WKH TXHVWLRQ RI ³PXOWLFXOWXUDOLVP´ 7D\ORU¶V Politics of Recognition FRQWDLQV D EURDG GLVFXVVLRQRIPXOWLFXOWXUDOLVPLWLVDWWKHFRUHRIKLVWKHRU\+LVWDNHRQ UHFRJQLWLRQ³LVRISUDFWLFDOVLJQLILFDQFHJLYHQ´WKHFXUUHQWSKHQRPHQRQRI



&KDSWHU

JOREDOL]DWLRQ DQG WKH LVVXHV PXOWLFXOWXUDOLVP UDLVHV LQ WHUPV RI WKH FRH[LVWHQFHRIFXOWXUHVFXOWXUDOYDOXHVHWF7KHHWKQLFFXOWXUDODQGPRUDO GLYHUVLW\RIWRGD\¶VPDMRUXUEDQFHQWUHVSRVHVFHUWDLQFKDOOHQJHVLQWHUPV RI FRH[LVWHQFH WKHUH LV WKH GLIIHUHQWLDWLRQ RI VRFLDO QHHGV LQ WHUPV RI VHUYLFHV HQYLURQPHQW DQG SXEOLF VSDFHV WKHUH LV WKH QHHG WR DGDSW OLIHVW\OHVSDWWHUQVRIFRH[LVWHQFHDQGVRFLDOEHKDYLRXUWRWKHQHZPLOLHX DQGDERYHDOOWKHUHLVWKHGLYHUVLILFDWLRQRIWKHLGHQWLWDULDQRUGHU7D\ORU QRWHVWKDWWKLVSUREOHPRIUHFRJQLWLRQKDVEHFRPHDQLGHQWLWDULDQSUREOHP ZKLFKLVGUDZLQJJUHDWHUDWWHQWLRQWRWKHYDOXHRILGHQWLW\WKHXQLTXHQHVV RILGHQWLW\RIPHDQLQJRILGHQWLW\+HGHVFULEHVWKLVVLWXDWLRQDVWKH³QHZ IDFW´RIFRQWHPSRUDU\OLIH 7KHVHFRQGWKHPDWLFVWUDQG±ZKLFKLVQRWVRPXFKVHSDUDWHIURPWKHILUVW DVPRUHUHODWHGWRWKHHWKLFDOOHJDOILHOG±DGGUHVVHVFRQIOLFWPHGLDWLRQDQG LQWHUFXOWXUDOULJKWV,WLVDSUDFWLFDODQGOHJDOWKHPHWKDWFDOOVLQWRTXHVWLRQ SROLWLFDOSKLORVRSK\DVPXFKDVSROLWLFVLWVHOISKLORVRSK\RIODZDVPXFK DVDFWXDOODZ.,WLVHVSHFLDOO\FRQQHFWHGLQLQWHUQDWLRQDOODZWRDUHDVVXFK DVSHDFHVWXGLHVLQFRUSRUDWLQJVSHFLDOLVHGSUDFWLFHVOLNHFRQIOLFWUHVROXWLRQ DQGPHGLDWLRQ,WLVSHUKDSVWKHDUHDWKDWWRGD\LVIRXQGPRUHWKDQRWKHUV LQ FORVH FRQQHFWLRQ WR SKLORVRSK\, ODZ SROLWLFV UHOLJLRQ DQG HWKLFV 7KH LQFUHDVLQJpluralityRIFXOWXUHVZRUOGYLHZVDQGIDLWKVLQPRGHUQVRFLHWLHV LVDWWKHVRXUFHRIWKHJURZLQJDQGUHOHYDQFHRIWKLVWKHPH7HQVLRQVDQG FRQIOLFWV DUH LQHYLWDEOH SHUPDQHQW DQG VWUXFWXUDO 7KH TXHVWLRQ LV QR ORQJHUKRZWRDYRLGRUHUDVHWKHPEXWKRZWRmanageWKHPKRZWRXVH WKHP DV DQ RSSRUWXQLW\ IRU HQULFKPHQW LQWHUFXOWXUDO GHYHORSPHQW DQG JURZWK 7KLVLVWKHQHZKRUL]RQRIWKHLQGLYLGXDODQGFROOHFWLYHVRFLDODQGPRUDO FKDOOHQJHV VRFLHWLHV IDFH \HW WKH ODZ GRHV QRW VHHP WR EH DGMXVWLQJ WR WKHVHQHZWUHQGVWRWKHQHHGVRIRXUWLPHV(YHQDVWKHEDVLFHOHPHQWVRI PXOWLFXOWXUDOLVP DUH SHQHWUDWLQJ WKH SXEOLF VSKHUH VHH ;DQWKDNL   ODZ DQG UHJXODWRU\ VRFLDO PHFKDQLVPV LW GHILQHV FRQWLQXH WR EH RSHUDWHG DFFRUGLQJWRDQLPSHUDWLYHDQGFRHUFLYHratio7RVRPHH[WHQWWKHSXEOLF DFTXLVLWLRQ RIPXOWLFXOWXUDOLVP DV DQ LGHD DQG DQHZGLPHQVLRQRI VRFLDO OLIHVHHPVWRUHIOHFWRQO\WKHLGHDRILWV³XVH´DVDPHDQVRIH[HUFLVLQJRI SROLWLFDOSURPRWLRQZLWKRXWDUHDOSUREOHPDWLVDWLRQRIWKHFKDOOHQJHVDQG LVVXHVLWSUHVHQWVRUVXSSRUWIRUPXOWLFXOWXUDOLVPLQWKHFRQWH[WRIFXOWXUDO SROLWLFVDQGWKHSROLWLFVRIWROHUDQFH VHH0DUNHOO $QXPEHURI FKDOOHQJHV OXUN DW WKLV OHYHO LQFOXGLQJ WKH DFFHSWDQFH RU UHMHFWLRQ RI WKH LGHDSURMHFW RI PXOWLFXOWXUDO FRPSDQLHV de facto. 0HDQZKLOH WKH GLIIHUHQWLDWLRQLQ HWKLFV FXOWXUH YDOXHV DQGZRUOGYLHZ FRPSOLFDWH DFWLRQ DQGFRQGXFWWRVXFKDGHJUHHWKDWWKHHQULFKPHQWDQGVRSKLVWLFDWLRQRIWKH

-XVWLFH7KURXJK5HFRJQLWLRQ



IRUPDOLVDWLRQGRHVQRWVHHPWKHPRVWDSSURSULDWHUHVSRQVH 2QH FDQQRW VWDQGDUGLVH WKH PXOWLFXOWXUDO ZRUOG RQO\ E\ YLUWXH RI D FRPSHOOLQJ DQG LPSHUDWLYH ratio, QRU FDQ WKLV EH HIIHFWLYH LI WKHUH LV QR FRQQHFWLRQ ZLWK WKH SUDFWLFDO H[HUFLVH RI ZLVGRP WKH GLUHFW LQYROYHPHQW DQ LQGLYLGXDO MXGJH DQG MXULVW DV D SHUVRQ DQG PDQ FDUU\LQJ VNLOOV RI FRPSDUDWLYH ODZ DV ZHOO DV D PXOWLFXOWXUDO Weltanschauung 0XOWLFXOWXUDOLVP UDLVHV WKH TXHVWLRQ RI SHUVRQDO HPDQFLSDWLRQ QRW MXVW SURIHVVLRQDO EXW PRUDO DQG FXOWXUDO RI WKH VLQJXODU DJHQWV DQG UHSUHVHQWDWLYHVRIODZDQGLQVWLWXWLRQV(YHU\WKLQJ³UXQV´WRWKH³VSHFLILF FDVHV´ WR WKH H[HUFLVH RI DQ H[SHULHQWLDO DQG SUDFWLFDO ZLVGRP WR WKH HYDOXDWLRQDSSUHFLDWLRQRIWKHVLQJXODULW\XQLTXHQHVV$V\RXFDQVHHZH DUH IRUFHG EDFN WR WKH GLVFXUVLYH WHUUDLQ RI LGHQWLW\ DQG UHFRJQLWLRQ