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 Brief Contents

Part I The Context of Database Management 37

Chapter 1 The Database Environment and Development Process 38

Part II Database Analysis 87

Chapter 2 Modeling Data in the Organization 89
Chapter 3 The Enhanced E-R Model 150

Part III Database Design 189

Chapter 4 Logical Database Design and the Relational Model 191
Chapter 5 Physical Database Design and Performance 242

Part IV Implementation 277

Chapter 6 Introduction to SQL 279
Chapter 7 Advanced SQL 325
Chapter 8 Database Application Development 373
Chapter 9 Data Warehousing 410

Part V Advanced Database Topics 453

Chapter 10 Data Quality and Integration 455
Chapter 11 Big Data and Analytics 481
Chapter 12 Data and Database Administration 521
Glossary of Acronyms 570
Glossary of Terms 572
Index 580

Available Online at www.pearsonhighered.com/hoffer

Chapter 13 Distributed Databases 13-1
Chapter 14 Object-Oriented Data Modeling 14-1

Appendices
Appendix A Data Modeling Tools and Notation A-37
Appendix B Advanced Normal Forms B-37
Appendix C Data Structures C-37

7
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 Contents

Preface 25

Part I The Context of Database Management 37

An Overview of Part One 37

Chapter 1 The Database Environment and Development Process 38

Learning Objectives 38
Data Matter! 38
Introduction 39
Basic Concepts and Definitions 41
Data 41
Data Versus Information 41
Metadata 42
Traditional File Processing Systems 43
File Processing Systems at Pine Valley Furniture Company 44
Disadvantages of File Processing Systems 44
Program-Data Dependence 44
Duplication of Data 45
Limited Data Sharing 45
Lengthy Development Times 45
Excessive Program Maintenance 45
The Database Approach 45
Data Models 45
Entities 46
Relationships 47
Relational Databases 47
Database Management Systems 47
Advantages of the Database Approach 47
Program-Data Independence 47
Planned Data Redundancy 48
Improved Data Consistency 48
Improved Data Sharing 48
Increased Productivity of Application Development 49
Enforcement of Standards 49
Improved Data Quality 49
Improved Data Accessibility and Responsiveness 50
Reduced Program Maintenance 50
Improved Decision Support 50
Cautions About Database Benefits 50
Costs and Risks of the Database Approach 50
New, Specialized Personnel 51
Installation and Management Cost and Complexity 51
Conversion Costs 51
Need for Explicit Backup and Recovery 51
Organizational Conflict 51
Components of the Database Environment 51

9
10 Contents

The Database Development Process 53

Systems Development Life Cycle 54
Planning—Enterprise Modeling 54
Planning—Conceptual Data Modeling 54
Analysis—Conceptual Data Modeling 54
Design—Logical Database Design 55
Design—Physical Database Design and Definition 56
Implementation—Database Implementation 56
Maintenance—Database Maintenance 56
Alternative Information Systems (IS) Development
Approaches 57
Three-Schema Architecture for Database Development 58
Managing the People Involved in Database Development 60
Evolution of Database Systems 60
1960s 62
1970s 62
1980s 62
1990s 62
2000 and Beyond 63
The Range of Database Applications 63
Personal Databases 64
Multitier Client/Server Databases 64
Enterprise Applications 65
Developing a Database Application for Pine Valley Furniture
Company 67
Database Evolution at Pine Valley Furniture Company 68
Project Planning 69
Analyzing Database Requirements 70
Designing the Database 72
Using the Database 75
Administering the Database 76
Future of Databases at Pine Valley 77
Summary 77 • Key Terms 78 • Review Questions 78 •
Problems and Exercises 80 • Field Exercises 81 •
References 82 • Further Reading 82 • Web Resources 83
▶ Case: Forondo Artist Management Excellence Inc. 84

Part II Database Analysis 87

An Overview of Part Two 87

Chapter 2 Modeling Data in the Organization 89

Learning Objectives 89
Introduction 89
The E-R Model: An Overview 92
Sample E-R Diagram 92
E-R Model Notation 94
Modeling the Rules of the Organization 95
Overview of Business Rules 96
The Business Rules Paradigm 96
 Contents 11

Scope of Business Rules 97

Good Business Rules 97
Gathering Business Rules 98
Data Names and Definitions 98
Data Names 98
Data Definitions 99
Good Data Definitions 99
Modeling Entities and Attributes 101
Entities 101
Entity Type Versus Entity Instance 101
Entity Type Versus System Input, Output, or User 101
Strong Versus Weak Entity Types 102
Naming and Defining Entity Types 103
Attributes 105
Required Versus Optional Attributes 105
Simple Versus Composite Attributes 106
Single-Valued Versus Multivalued Attributes 106
Stored Versus Derived Attributes 107
Identifier Attribute 107
Naming and Defining Attributes 108
Modeling Relationships 110
Basic Concepts and Definitions in Relationships 111
Attributes on Relationships 112
Associative Entities 112
Degree of a Relationship 114
Unary Relationship 114
Binary Relationship 116
Ternary Relationship 117
Attributes or Entity? 118
Cardinality Constraints 120
Minimum Cardinality 120
Maximum Cardinality 120
Some Examples of Relationships and Their Cardinalities 121
A Ternary Relationship 122
Modeling Time-Dependent Data 122
Modeling Multiple Relationships Between Entity Types 125
Naming and Defining Relationships 126
E-R Modeling Example: Pine Valley Furniture Company 128
Database Processing at Pine Valley Furniture 130
Showing Product Information 131
Showing Product Line Information 131
Showing Customer Order Status 132
Showing Product Sales 133
Summary 134 • Key Terms 135 • Review Questions 135 •
Problems and Exercises 136 • Field Exercises 146 •
References 146 • Further Reading 147 • Web Resources 147
▶ Case: Forondo Artist Management Excellence Inc. 148

Chapter 3 The Enhanced E-R Model 150

Learning Objectives 150
Introduction 150
12 Contents

Representing Supertypes and Subtypes 151

Basic Concepts and Notation 152
An Example of a Supertype/Subtype Relationship 153
Attribute Inheritance 154
When to Use Supertype/Subtype Relationships 154
Representing Specialization and Generalization 155
Generalization 155
Specialization 156
Combining Specialization and Generalization 157
Specifying Constraints in Supertype/Subtype Relationships 158
Specifying Completeness Constraints 158
Total Specialization Rule 158
Partial Specialization Rule 158
Specifying Disjointness Constraints 159
Disjoint Rule 159
Overlap Rule 159
Defining Subtype Discriminators 160
Disjoint Subtypes 160
Overlapping Subtypes 161
Defining Supertype/Subtype Hierarchies 161
An Example of a Supertype/Subtype Hierarchy 162
Summary of Supertype/Subtype Hierarchies 163
EER Modeling Example: Pine Valley Furniture Company 164
Entity Clustering 167
Packaged Data Models 170
A Revised Data Modeling Process with Packaged
Data Models 172
Packaged Data Model Examples 174
Summary 179 • Key Terms 180 • Review Questions 180 •
Problems and Exercises 181 • Field Exercises 184 •
References 184 • Further Reading 184 • Web Resources 185
▶ Case: Forondo Artist Management Excellence Inc. 186

Part III Database Design 189

An Overview of Part Three 189

Chapter 4 Logical Database Design and the Relational Model 191

Learning Objectives 191
Introduction 191
The Relational Data Model 192
Basic Definitions 192
Relational Data Structure 193
Relational Keys 193
Properties of Relations 194
Removing Multivalued Attributes from Tables 194
Sample Database 194
Integrity Constraints 196
Domain Constraints 196
Entity Integrity 196
Referential Integrity 198
 Contents 13

Creating Relational Tables 199

Well-Structured Relations 200
Transforming EER Diagrams into Relations 201
Step 1: Map Regular Entities 202
Composite Attributes 202
Multivalued Attributes 203
Step 2: Map Weak Entities 203
When to Create a Surrogate Key 205
Step 3: Map Binary Relationships 205
Map Binary One-to-Many Relationships 205
Map Binary Many-to-Many Relationships 206
Map Binary One-to-One Relationships 206
Step 4: Map Associative Entities 207
Identifier not Assigned 208
Identifier Assigned 208
Step 5: Map Unary Relationships 209
Unary One-to-Many Relationships 209
Unary Many-to-Many Relationships 210
Step 6: Map Ternary (and n-ary) Relationships 211
Step 7: Map Supertype/Subtype Relationships 212
Summary of EER-to-Relational Transformations 214
Introduction to Normalization 214
Steps in Normalization 215
Functional Dependencies and Keys 215
Determinants 217
Candidate Keys 217
Normalization Example: Pine Valley Furniture Company 218
Step 0: Represent the View in Tabular Form 218
Step 1: Convert to First Normal Form 219
Remove Repeating Groups 219
Select the Primary Key 219
Anomalies in 1NF  220
Step 2: Convert to Second Normal Form 221
Step 3: Convert to Third Normal Form 222
Removing Transitive Dependencies 222
Determinants and Normalization 223
Step 4: Further Normalization 223
Merging Relations 224
An Example 224
View Integration Problems 224
Synonyms 225
Homonyms 225
Transitive Dependencies 225
Supertype/Subtype Relationships 226
A Final Step for Defining Relational Keys 226
Summary 228 • Key Terms 230 • Review Questions 230 •
Problems and Exercises 231 • Field Exercises 240 •
References 240 • Further Reading 240 • Web Resources 240
▶ Case: Forondo Artist Management Excellence Inc. 241
14 Contents

Chapter 5 Physical Database Design and Performance 242

Learning Objectives 242
Introduction 242
The Physical Database Design Process 243
Physical Database Design as a Basis for Regulatory Compliance 244
Data Volume and Usage Analysis 245
Designing Fields 246
Choosing Data Types 247
Coding Techniques 248
Handling Missing Data 249
Denormalizing and Partitioning Data 249
Denormalization 249
Opportunities for and Types of Denormalization 250
Denormalize With Caution 252
Partitioning 253
Designing Physical Database Files 255
File Organizations 257
Heap File Organization 257
Sequential File Organizations 257
Indexed File Organizations 257
Hashed File Organizations 260
Clustering Files 263
Designing Controls for Files 263
Using and Selecting Indexes 264
Creating a Unique Key Index 264
Creating a Secondary (Nonunique) Key Index 264
When to Use Indexes 265
Designing a Database for Optimal Query Performance 266
Parallel Query Processing 266
Overriding Automatic Query Optimization 267
Summary 268 • Key Terms 269 • Review Questions 269 •
Problems and Exercises 270 • Field Exercises 273 •
References 273 • Further Reading 273 • Web Resources 274
▶ Case: Forondo Artist Management Excellence Inc. 275

Part IV Implementation 277

An Overview of Part Four 277

Chapter 6 Introduction to SQL 279

Learning Objectives 279
Introduction 279
Origins of the SQL Standard 281
The SQL Environment 283
Defining a Database in SQL 287
Generating SQL Database Definitions 288
Creating Tables 289
Creating Data Integrity Controls 291
Changing Table Definitions 292
Removing Tables 293
 Contents 15

Inserting, Updating, and Deleting Data 293

Batch Input 295
Deleting Database Contents 295
Updating Database Contents 295
Internal Schema Definition in RDBMSs 296
Creating Indexes 296
Processing Single Tables 297
Clauses of the SELECT Statement 298
Using Expressions 300
Using Functions 301
Using Wildcards 303
Using Comparison Operators 303
Using Null Values 304
Using Boolean Operators 304
Using Ranges for Qualification 307
Using Distinct Values 307
Using IN and NOT IN with Lists 309
Sorting Results: The ORDER BY Clause 310
Categorizing Results: The GROUP BY Clause 311
Qualifying Results by Categories: The HAVING Clause 312
Using and Defining Views 313
Materialized Views 317
Summary 317 • Key Terms 318 • Review Questions 318 •
Problems and Exercises 319 • Field Exercises 322 •
References 323 • Further Reading 323 • Web Resources 323
▶ Case: Forondo Artist Management Excellence Inc. 324

Chapter 7 Advanced SQL 325

Learning Objectives 325
Introduction 325
Processing Multiple Tables 326
Equi-join 327
Natural Join 328
Outer Join 329
Sample Join Involving Four Tables 331
Self-Join 333
Subqueries 334
Correlated Subqueries 339
Using Derived Tables 341
Combining Queries 342
Conditional Expressions 344
More Complicated SQL Queries 344
Tips for Developing Queries 346
Guidelines for Better Query Design 348
Ensuring Transaction Integrity 350
Data Dictionary Facilities 351
Recent Enhancements and Extensions to SQL 353
Analytical and OLAP Functions 353
New Data Types 355
16 Contents

New Temporal Features in SQL 355

Other Enhancements 356
Triggers and Routines 357
Triggers 357
Routines and other Programming Extensions 359
Example Routine in Oracle’s PL/SQL 361
Embedded SQL and Dynamic SQL 363
Summary 365 • Key Terms 366 • Review Questions 366 •
Problems and Exercises 367 • Field Exercises 370 •
References 370 • Further Reading 370 • Web Resources 371
▶ Case: Forondo Artist Management Excellence Inc. 372

Chapter 8 Database Application Development 373

Learning Objectives 373
Location, Location, Location! 373
Introduction 374
Client/Server Architectures 374
Databases in a Two-Tier Architecture 376
A VB.NET Example 378
A Java Example 380
Three-Tier Architectures 381
Web Application Components 383
Databases in Three-Tier Applications 385
A JSP Web Application 385
A PHP Example 389
An ASP.NET Example 391
Key Considerations in Three-Tier Applications 392
Stored Procedures 392
Transactions 395
Database Connections 395
Key Benefits of Three-Tier Applications 395
Cloud Computing and Three-Tier Applications 396
Extensible Markup Language (XML) 397
Storing XML Documents 399
Retrieving XML Documents 399
Displaying XML Data 402
XML and Web Services 402
Summary 405 • Key Terms 406 • Review Questions 406 •
Problems and Exercises 407 • Field Exercises 408 •
References 408 • Further Reading 408 • Web Resources 408
▶ Case: Forondo Artist Management Excellence Inc. 409

Chapter 9 Data Warehousing 410

Learning Objectives 410
Introduction 410
Basic Concepts of Data Warehousing 412
A Brief History of Data Warehousing 413
The Need for Data Warehousing 413
Need For a Company-Wide View 413
Need to Separate Operational and Informational Systems 415
 Contents 17

Data Warehouse Architectures 416

Independent Data Mart Data Warehousing Environment 416
Dependent Data Mart and Operational Data Store Architecture:
A Three-Level Approach 418
Logical Data Mart and Real-Time Data Warehouse
Architecture 420
Three-Layer Data Architecture 423
Role of the Enterprise Data Model 424
Role of Metadata 424
Some Characteristics of Data Warehouse Data 424
Status Versus Event Data 424
Transient Versus Periodic Data 425
An Example of Transient and Periodic Data 425
Transient Data 425
Periodic Data 427
Other Data Warehouse Changes 427
The Derived Data Layer 428
Characteristics of Derived Data 428
The Star Schema 429
Fact Tables and Dimension Tables 429
Example Star Schema 430
Surrogate Key 431
Grain of the Fact Table 432
Duration of the Database 433
Size of the Fact Table 433
Modeling Date and Time 434
Variations of the Star Schema 435
Multiple Fact Tables 435
Factless Fact Tables 436
Normalizing Dimension Tables 437
Multivalued Dimensions 437
Hierarchies 438
Slowly Changing Dimensions 440
Determining Dimensions and Facts 442
The Future of Data Warehousing: Integration with Big Data
and Analytics 444
Speed of Processing 445
Cost of Storing Data 445
Dealing with Unstructured Data 445
Summary 446 • Key Terms 446 • Review Questions 447 •
Problems and Exercises 447 • Field Exercises 451 •
References 451 • Further Reading 452 • Web Resources 452

Part V Advanced Database Topics 453

An Overview of Part Five 453

Chapter 10 Data Quality and Integration 455

Learning Objectives 455
Introduction 455
Data Governance 456
18 Contents

Managing Data Quality 457

Characteristics of Quality Data 458
External Data Sources 459
Redundant Data Storage and Inconsistent Metadata 460
Data Entry Problems 460
Lack of Organizational Commitment 460
Data Quality Improvement 460
Get the Business Buy-In 460
Conduct a Data Quality Audit 461
Establish a Data Stewardship Program 462
Improve Data Capture Processes 462
Apply Modern Data Management Principles and Technology 463
Apply TQM Principles and Practices 463
Summary of Data Quality 463
Master Data Management 464
Data Integration: An Overview 465
General Approaches to Data Integration 465
Data Federation 466
Data Propagation 467
Data Integration for Data Warehousing: The Reconciled
Data Layer 467
Characteristics of Data After ETL 467
The ETL Process 468
Mapping and Metadata Management 468
Extract 469
Cleanse 470
Load and Index 472
Data Transformation 473
Data Transformation Functions 474
Record-Level Functions 474
Field-Level Functions 475
Summary 477 • Key Terms 477 • Review Questions 477 •
Problems and Exercises 478 • Field Exercises 479 •
References 479 • Further Reading 480 • Web Resources 480

Chapter 11 Big Data and Analytics 481

Learning Objectives 481
Introduction 481
Big Data 483
NoSQL 485
Classification of NoSQL Database Management Systems 486
Key-Value Stores 486
Document Stores 486
Wide-Column Stores 487
Graph-Oriented Databases 487
NoSQL Examples 488
Redis 488
MongoDB  488
Apache Cassandra 488
Neo4j 488
Impact of NoSQL on Database Professionals 488
 Contents 19

Hadoop 489
Components of Hadoop 490
The Hadoop Distributed File System (HDFS) 490
MapReduce 491
Pig 492
Hive 492
HBase 493
Integrated Analytics and Data Science Platforms 493
HP HAVEn 493
Teradata Aster 493
IBM Big Data Platform 493
Putting It All Together: Integrated Data Architecture 494
Analytics 496
Types of Analytics 497
Use of Descriptive Analytics 498
SQL OLAP Querying 499
Online Analytical Processing (OLAP) Tools 501
Data Visualization 503
Business Performance Management and Dashboards 505
Use of Predictive Analytics 506
Data Mining Tools 506
Examples of Predictive Analytics 508
Use of Prescriptive Analytics 509
Data Management Infrastructure for Analytics 510
Impact of Big Data and Analytics 512
Applications of Big Data and Analytics 512
Business 513
E-government and Politics 513
Science and Technology 514
Smart Health and Well-Being 514
Security and Public Safety 514
Implications of Big Data Analytics and Decision Making 514
Personal Privacy vs. Collective Benefits 515
Ownership and Access 515
Quality and Reuse of Data and Algorithms 515
Transparency and Validation 516
Changing Nature of Work 516
Demands for Workforce Capabilities and Education 516
Summary 516 • Key Terms 517 • Review Questions 517 •
Problems and Exercises 518 • References 519 •
Further Reading 520 • Web Resources 520

Chapter 12 Data and Database Administration 521

Learning Objectives 521
Introduction 521
The Roles of Data and Database Administrators 522
Traditional Data Administration 522
Traditional Database Administration 524
Trends in Database Administration 525
Data Warehouse Administration 527
Summary of Evolving Data Administration Roles 528
20 Contents

The Open Source Movement and Database Management 528

Managing Data Security 530
Threats to Data Security 531
Establishing Client/Server Security 532
Server Security 532
Network Security 532
Application Security Issues in Three-Tier Client/Server
Environments 533
Data Privacy 534
Database Software Data Security Features 535
Views 536
Integrity Controls 536
Authorization Rules 538
User-Defined Procedures 539
Encryption 539
Authentication Schemes 540
Passwords 541
Strong Authentication 541
Sarbanes-Oxley (SOX) and Databases 541
IT Change Management 542
Logical Access to Data 542
Personnel Controls 542
Physical Access Controls 543
IT Operations 543
Database Backup and Recovery 543
Basic Recovery Facilities 544
Backup Facilities 544
Journalizing Facilities 544
Checkpoint Facility 545
Recovery Manager 545
Recovery and Restart Procedures 546
Disk Mirroring 546
Restore/Rerun 546
Maintaining Transaction Integrity 546
Backward Recovery 548
Forward Recovery 549
Types of Database Failure 549
Aborted Transactions 549
Incorrect Data 549
System Failure 550
Database Destruction 550
Disaster Recovery 550
Controlling Concurrent Access 551
The Problem of Lost Updates 551
Serializability 551
Locking Mechanisms 552
Locking Level 552
Types of Locks 553
Deadlock 554
Managing Deadlock 554
 Contents 21

Versioning 555
Data Dictionaries and Repositories 557
Data Dictionary 557
Repositories 557
Overview of Tuning the Database for Performance 559
Installation of the DBMS 559
Memory and Storage Space Usage 559
Input/Output (I/O) Contention 560
CPU Usage 560
Application Tuning 561
Data Availability 562
Costs of Downtime 562
Measures to Ensure Availability 562
Hardware Failures 563
Loss or Corruption of Data 563
Human Error 563
Maintenance Downtime 563
Network-Related Problems 563
Summary 564 • Key Terms 564 • Review Questions 565 •
Problems and Exercises 566 • Field Exercises 568 •
References 568 • Further Reading 569 •
Web Resources 569

Glossary of Acronyms 570

Glossary of Terms 572
Index 580
22 Online Chapters

Online Chapters
Chapter 13 Distributed Databases 13-1
Learning Objectives 13-1
Introduction 13-1
Objectives and Trade-offs 13-4
Options for Distributing a Database 13-6
Data Replication 13-6
Snapshot Replication 13-7
Near-Real-Time Replication 13-8
Pull Replication 13-8
Database Integrity with Replication 13-8
When to Use Replication 13-8
Horizontal Partitioning 13-9
Vertical Partitioning 13-10
Combinations of Operations 13-11
Selecting the Right Data Distribution Strategy 13-11
Distributed DBMS 13-13
Location Transparency 13-15
Replication Transparency 13-16
Failure Transparency 13-17
Commit Protocol 13-17
Concurrency Transparency 13-18
Time-Stamping 13-18
Query Optimization 13-19
Evolution of Distributed DBMSs 13-21
Remote Unit of Work 13-22
Distributed Unit of Work 13-22
Distributed Request 13-23
Summary 13-23 • Key Terms 13-24 • Review Questions 13-24 •
Problems and Exercises 13-25 • Field Exercises 13-26 •
References 13-27 • Further Reading 13-27 •
Web Resources 13-27

Chapter 14 Object-Oriented Data Modeling 14-1

Learning Objectives 14-1
Introduction 14-1
Unified Modeling Language 14-3
Object-Oriented Data Modeling 14-4
Representing Objects and Classes 14-4
Types of Operations 14-7
Representing Associations 14-7
Representing Association Classes 14-11
Representing Derived Attributes, Derived Associations,
and Derived Roles 14-12
Representing Generalization 14-13
Interpreting Inheritance and Overriding 14-18
Representing Multiple Inheritance 14-19
Representing Aggregation 14-19
 www.pearsonhighered.com/hoffer 23

Business Rules 14-22

Object Modeling Example: Pine Valley Furniture Company 14-23
Summary 14-25 • Key Terms 14-26 • Review Questions 14-26 •
Problems and Exercises 14-30 • Field Exercises 14-37 •
References 14-37 • Further Reading 14-38 •
Web Resources 14-38

Appendix A Data Modeling Tools and Notation A-1

Comparing E-R Modeling Conventions A-1
Visio Professional 2013 Notation A-1
Entities A-5
Relationships A-5
CA ERwin Data Modeler 9.5 Notation A-5
Entities A-5
Relationships A-5
SAP Sybase PowerDesigner 16.5 Notation A-7
Entities A-8
Relationships A-8
Oracle Designer Notation A-8
Entities A-8
Relationships A-8
Comparison of Tool Interfaces and E-R Diagrams A-8

Appendix B Advanced Normal Forms B-1

Boyce-Codd Normal Form B-1
Anomalies in Student Advisor B-1
Definition of Boyce-Codd Normal Form (BCNF) B-2
Converting a Relation to BCNF B-2
Fourth Normal Form B-3
Multivalued Dependencies B-5
Higher Normal Forms B-5
Key Terms B-6 • References B-6 • Web Resource B-6

Appendix C Data Structures C-1

Pointers C-1
Data Structure Building Blocks C-2
Linear Data Structures C-4
Stacks C-5
Queues C-5
Sorted Lists C-6
Multilists C-8
Hazards of Chain Structures C-8
Trees C-9
Balanced Trees C-9
Reference C-12
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Another Random Scribd Document
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be taught to judge before being taught to apprehend, an order false
to the natural course of ideas, which are first apprehended, then
judged, and finally reasoned. The result was that minds educated in
this way became arid and unfruitful in development, and believed
themselves capable of judging everything, while able to create
nothing. They remained all their lives intensely acute in formal
thinking, but incapable of any great labour; critical, in fact, but
sterile. This caused not only unsoundness and arrogance of
judgment but incapacity in practical life, dealings with men, and civil
eloquence, which is founded less upon criticism than upon
plausibility, and attains its end by making opportune remarks,
understanding the psychology of one's inter-locutor and acting in a
manner adapted to it. Vico himself had suffered from the logico-
critical method of education. One of his first teachers, the Jesuit Del
Balzo, had put into his hands the works of the epitomist Paulus
Venetus: and his mind, being too weak as yet to cope with this kind
of Chrysippean logic, almost broke down under the strain; so that
having given up his studies in despair it was eighteen months before
he resumed them. He preserved a happier memory of his youthful
essays in poetry in the wildest style of the Neapolitan school of
Marino: a form of diversion, he says, almost necessary to the mind
of the young when metaphysic has rendered it too subtle and too
rigid in precisely those years when the ardour of youth ought to lead
the mind into errors, so as to save it from becoming chilly and dry.
This age, the "barbarism of intellect," vigorous in imagination and
also, through the close connexion that exists between the two, in
memory, requires to be nourished and exercised by the reading of
poetry, history and rhetoric as well as by the study of languages.
The art which it ought to learn is not criticism but "topic," the true
art of the "ingenium" or faculty of invention. By means of this art
children acquire materials which enable them to form sound
judgments in later life; for sound judgment depends upon a
complete knowledge of its subject-matter, and "topic" is the art of
discovering the whole content of any given thing. In this way young
people simply by following the course of nature become at once
philosophers and good speakers.
Some antidote is doubtless necessary to the exuberance of the
imagination. But this must be sought in linear geometry rather than
in logic: for geometry is to some extent pictorial in character, while it
strengthens the memory by the great number of its elements,
ennobles the imagination by the delicacy of its figures and stimulates
the inventive faculty by forcing it to review all these figures in order
to choose those suitable to the demonstration of the quantity
required. But the whole value of geometry also was annulled by the
method then in favour with the schools, the algebraic method; which
like the scholastic logic numbs all the vigour of youthful faculties,
obscures the imagination, enfeebles the memory, and renders the
inventive power and the understanding sluggish; thus damaging the
liberal arts in four distinct ways, in the knowledge of languages and
history, in invention and in prudence. More particularly algebra is
fatal to the inventive faculty, because in using the algebraic method
one is conscious only of the immediate field of vision; it weakens the
memory because once the second sign is found the first need no
longer be remembered; it blinds the imagination, because that
faculty is not used at all; it destroys the understanding, because it
lays claim to the power of divination. Young men who have devoted
their time to it on proceeding to deal with the affairs of civil life find
themselves, to their great grief and remorse, unfitted for such a life.
Hence, to make it useful in some degree and to prevent these ill
effects, it should be studied for a short time only at the close of the
mathematical course, and employed only as a means of
abbreviation. The habit of reasoning is formed much better by
metaphysical analysis, which in all questions begins by taking truth
in the infinity of being, and then descends by degrees; through the
genera of the substance, eliminating in every species that which the
thing is not, till it arrives at the ultimate differentia constituting the
essence of the thing we wish to know.
Education as a whole was suffering from an excess of mathematics
and a lack of concreteness. As if boys, on emerging from academic
life, were to enter a human world composed of lines, numbers and
algebraic symbols, their heads were crammed with the magnificent
phrases "demonstration," "demonstrative truth," and "evidence," and
the rule of probability was condemned; though this rule is the only
guide of statesmen in their counsels, generals in their campaigns,
orators in their treatment of a cause, judges in giving a decision,
physicians in treating bodily diseases, and moralistic theologians in
treating those of the conscience; the rule which the world accepts,
and upon which it rests in all disputes and controversies, in all
measures, and in all elections; which are universally determined by
unanimity or the majority of votes. Such an education bred up an
empty and inflated generation, pedantry without wisdom and
argument without truth.
The educators themselves, that is to say, the general atmosphere of
culture, resembled this scheme of education. Poetry was dead. The
analytic methods had "numbed" (to repeat once more a word which
Vico uses with great frequency and force) "all the generosity of the
better poetry." And indeed Europe was never so entirely barren of all
poetic growth as it was in the first half of the eighteenth century.
Italy was reduced to the drama of Metastasio; France had produced
no one to succeed Corneille and Molière; in Spain the national
drama, that great outburst of the national spirit, was dead, and a
rationalism imitating that of France was taking its place; England
seemed to have entirely forgotten that she once gave birth to
Shakespear, and even Germany was wasting her time over neo-
classical imitations. Not only did nobody create new poetry, but
nobody wanted it. The philosophers, following Descartes and
Malebranche, had declared a war of extermination against all the
faculties of the mind which depend upon sense, and especially
against the imagination, which they hated as the source of every
error. They condemned the poets on the false pretext that they told
"fables," as if the fables they told were not those eternal properties
of the human mind which to the political philosophers, economists
and moralists are the subject-matter of reasoning, and to the poets
that of representation.
The Cartesians also used their authority to belittle the study of
languages. Did not Descartes say that the knowledge of Latin was
no greater knowledge than was possessed by Cicero's servant-girl?
Serious scholarship in Latin and Greek had come to an end with the
writers of the sixteenth and seventeenth centuries; the study of
oriental languages was confined to the Protestants; and Holland was
the only country in which law was still a subject of research. The
famous library of Valletta at Naples, rich in the finest editions of
Greek and Latin works, was generously bought by the fathers of the
Oratory, but for less than half its original value owing to the
depreciation of books. In France the library of Cardinal Dubois found
no purchaser and was sold in small lots. Princes no longer loved
good Latin, and none of them thought of preserving to posterity by
the pen of pure Latin scholarship even an event so weighty as the
War of the Spanish Succession, comparable only to the second Punic
war.
New methods were in great favour: but none of these could point to
new facts discovered by their help. New formulae, old facts; and
instead of facts, a futile hope of attaining universal knowledge in the
shortest time and with the smallest effort. Civil and political learning
was neglected for physical science, and physical science for
mathematical; experience was almost ignored; the inventive thought
of the previous century all but entirely exhausted. Scepticism, the
result of the Cartesian method, invaded the field of knowledge.
The whole of Europe was during this period still under the dominion
of the French language, a language which differs from the Italian in
its hostility to poetry and eloquence; rich, says Vico, in terms of
substance, and consequently, since substance is a brutal and
immobile thing and does not admit of comparisons, incapable of
giving colour, amplitude or weight to its statements; it resists
inversion and is barren of metaphor. The French have no periods but
only members of periods: their prosody has no verse better than the
so-called Alexandrine, a system of couplets more thin and lifeless
than the elegiac: and their words admit of no accent except those on
the last two syllables. French is a language incapable of the sublime,
but well adapted to the petty: owing to its abundance of terms of
substance or abstract terms it is adapted also to the didactic style,
and instead of eloquence it offers esprit. It was not unfitting that
criticism and analysis originated in France and made use of the
French tongue.
The only possession of value which grew up day by day in all this
poverty was the abstracts, the encyclopaedias, the dictionaries of
science which bore the names of such men as Bayle, Hoffmann and
Moreri: the idlest and most casual method of learning that could
possibly be devised. The genius of the age was more drawn towards
expounding second-hand knowledge in an abbreviated form than
towards attempting to enlarge its bounds. That seemed impossible:
so men went on compiling dictionaries of mathematics. Every one
felt a thirst for cheap science. To be thought good, a book must be
clear and simple, capable of being discussed with ladies as a
pastime; if it demanded wide and copious erudition of the reader,
and forced upon him the unpleasant exercise of thought and
synthesis, it was condemned as unintelligible.
These dictionaries and abstracts recalled to Vico's mind the similar
products of the Greek decadence, the anthologies, lexicons and
encyclopaedias of Suidas, Stobaeus and Photius. The whole culture
of his time seemed to him to be repeating the downfall of Greek
science, exhausting itself in a metaphysic either useless or harmful
to civilisation and a mathematics engaged in investigating quantities
intangible by rule and compass, and incapable of application. Like
others among the best minds of his country he was persuaded that
the republic of letters was approaching dissolution, if the divine
providence failed by one of its innumerable secret paths to infuse
new vigour into it. Where was now the wise man, the real "sapiens"
whom Vico had found in history, first in the barbaric figure of the
theologian-poet, then in the civilised and rational figure of Greek
philosopher and Roman jurist, the man whom for to-day he hoped to
find in the master of eloquence like himself, called to give unity, life
and power to all knowledge? Wisdom is indeed not this or that
science, nor yet the sum total of science; it is the faculty which rules
over all studies and by which all the sciences and arts that go to
make humanity are acquired. And since man is both thought and
spirit, intellect and will, it must satisfy both these sides of man, the
second as a result of the first: it must teach the knowledge of divine
things, to bring to perfection things human. The wise man is man in
his totality and entirety, the whole man.
The ideal is no doubt lofty, and the criticism upon the educational
method and tendencies of thought current in his age are, no doubt,
perfectly just. And yet among all these admirable truths, far in
advance of the eighteenth century as they are, we feel in Vico the
educationalist and critic something of the reactionary. We feel that,
in his exclusive care for the fate of the highest and most austere
science and his exclusive attention to the most complete form of
human life, he failed to grasp the revolutionary importance of this
scepticism or rationalism, this rebellion against the past, the
necessary weapon of a warfare against kings, nobles and priests; of
these abstracts and dictionaries which were to develop into the
Encyclopaedia; of this popular science, the forerunner of journalism,
and these booklets for the use of ladies in fashionable conversation
which were the nourishment of the eighteenth-century salons and
prepared men's minds for the radicalism of the Jacobins. We feel in
him here as in his philosophical system, the Catholic chained to the
philosopher, the Christian pessimist weighing down the dialectic of
immanence. Unable to realise his adversaries' progress, he does not
comprehend their real nature as lower than himself, but yet
constituting steps leading up to himself, steps which he ought to
have traversed in order to attain a truer understanding and grasp of
himself. His polemical attitude towards the culture of his time
completes and confirms the analysis already given of the merits and
defects of his philosophy.

CHAPTER XX

CONCLUSION: VICO AND THE LATER DEVELOPMENTS OF

 PHILOSOPHICAL AND HISTORICAL THOUGHT

The reader need not expect that having brought our exposition to a
close we shall add a verdict upon Vico's work, or what is known as
an "appreciation" of it. If the verdict has not already emerged as a
result of the exposition itself, or as identical with it, if description and
criticism have been not one and same, the fault lies either with
ourselves or with the reader's lack of attention; and in either case it
cannot now be repaired by ornamental additions or redundant
repetitions.
We confess also that we feel no sympathy with the chapters
commonly placed at the conclusion of critical works upon
philosophers and narrating the later history of their ideas. For if
these "ideas" are understood in an extrinsic sense, in their influence
upon society and culture, such a review may indeed have a value of
its own,[1] but is foreign to the history of philosophy properly so
called: if on the other hand they are considered as real and living
philosophical ideas, their later history amounts to neither more nor
less than the history of subsequent philosophy, and there is no
reason for appending it to a study of one philosopher rather than
another. Any other method implies the uncritical theory that ideas
are something solid and crystallised, like precious stones handed on
from one generation to another, whose shape and glitter can always
be recognised unaltered in the new diadems they compose and the
new brows they adorn. But in reality ideas are nothing but the
unremitting thought of man, and transmission for them is nothing
less than transformation.
It is nevertheless a fact that no one has written on Vico without
feeling a need of casting his eyes over later years and noting the
resemblances and analogies between the Neapolitan philosopher's
doctrines and those of fifty or a hundred years after. And further, we
ourselves, in spite of the antipathy we admittedly feel, and the
methodical criteria we professedly employ, yet recognise now the
same necessity. Why is this? Because Vico in his own day passed for
an eccentric and lived as a recluse; because the later development
of thought was almost entirely untouched by his direct influence;
because even to-day, though well enough known in certain restricted
circles, he has not taken the place he deserves in the general history
of thought. How then can we show the manner in which his
doctrines, true or false, respond to the deepest needs of the mind,
more simply than by recording the similarity of the ideas and
attempts which later appeared in such profusion and intensity as to
stamp their individuality upon the philosophical and historical labours
of a whole century? And even if after our intrinsic examination of his
thought this comparison with the facts of later history seems
unnecessary, it will at least be granted that if our discourse like any
other must have its rhetorical conclusion, no peroration occurs more
naturally than one consisting in a rapid review of subsequent
philosophy and philology and emphasising their points of contact
with the thought of Vico.
We might even adopt the method by which he compares the second
barbarism with the first, and present the later history of thought as a
"reflux" of Vico's ideas. In the first place his criticism of Descartes'
immediate knowledge recurs, together with his conversion of the
true with the created, in the speculative movement beginning with
Kant and Hegel and culminating in the doctrine of the identity of
truth and reality, thought and existence. His unity of philosophy and
philology recurs in the vindication of history against the scepticism
and intellectualism of the eighteenth century due to Cartesianism; in
the à priori synthesis of Kant which reconciles the real and the ideal,
experience and the categories; and in the historical philosophy of
Hegel, the greatest exponent of nineteenth-century historical
tendencies. This unity of philosophy and philology, a unity with Vico
sometimes confused and impure in method, recurred in its faulty
aspects also in the Hegelian school; so that this mental tendency
might with justice be entitled "Vicianism." The limitation which Vico
tried to impose on the value of mathematics and exact science
recurred, as did his criticism of the mathematical and naturalistic
conception of philosophy, in Jacobi's critique of Spinozistic
determinism and Hegel's of the abstract intellect; and in the case of
mathematics in particular Dugald Stewart and others recognised that
its validity lay not in the postulates but in the definitions, and the
"fictions" of which Vico speaks reappear in the modern terminology
of the philosophy of these sciences. His poetical logic or science of
the imagination passes into Aesthetic, so ardently studied by the
philosophers, literary men and artists of Germany in the eighteenth
century, brought by Kant into great prominence by his criticism of
the Leibnitian doctrine of intuition as confused conception, and
further advanced by Schelling and Hegel, who place art among the
pure forms of the mind and so approach the position of Vico.
Romanticism too, especially in Germany but also more or less in
other countries, was Vician, emphasising as it did the original
function of the imagination. His doctrines of language recurred when
Herder and Humboldt treated it not intellectualistically as an artificial
system of symbols, but as a free and poetic creation of the mind.
The theory of religion and mythology abandoned the hypotheses of
allegory and deception, and with David Hume recognised that
religion is a natural fact, corresponding to the beginnings of human
life in its passionate and imaginative state; with Heyne, that
mythology is "symbolic speech," a product not of arbitrary invention
but of necessity and poverty, of the "lack of words," which finds
expression "in comparisons with things already known" (per rerum
iam tum notarum similitudines); and with Ottfried Müller, that it is
impossible to understand mythology without entering into the very
heart of the human soul, where we may see its necessity and
spontaneity. Religion was regarded no longer as something
extraneous or hostile to philosophy, as a piece of stupidity or of
deception practised by the unscrupulous upon the simple, but
according to Vico's own doctrine as a rudimentary philosophy; so
that the whole content of reasoned metaphysic was already to a
certain extent implicit in poetical or religious metaphysic. Similarly,
poetry and history were no longer kept distinct or set face to face to
destroy each other; and as one of the great inspirers of the new
German literature, Hamann (who in many ways resembles Vico in
tendency, though unequal to him in mental power), had already
foreseen when he uttered the warning, "if our poetry is worthless,
our history will become leaner than Pharaoh's kine," a breath of
poetry revived the historical study of the nineteenth century; once
colourless, it became picturesque: once frigid, it regained warmth
and life. The criticism of Hobbes' and Locke's utilitarianism, and the
affirmation of the moral consciousness as a spontaneous sense of
shame and a judgment entirely free from reflection reappeared in
full panoply with the Critique of the Practical Reason; and that of
their social atomism and consequent contractualism in Hegel's
Philosophy of Right. The liberty of conscience and religious
indifferentism professed and inculcated by the publicists of the
seventeenth century were negated as a philosophical doctrine; and a
nation without God seemed to Hegel, as it did to Vico, a
phenomenon not to be found in history and existing only in the
gossip of travellers in unknown or little-known lands. Carrying on the
work of the Reformation, which Vico could neither grasp nor truly
appreciate, the idealistic philosophy of Germany aimed not at
exterminating religion, but at refining it, and at giving philosophy
itself the spiritual value of religion. The certitude, the hard certitude
which Vico distinguished from truth in the sphere of law, formed the
subject of thought from Thomasius to Kant and Fichte and so on to
the most recent writers, who have sought even if they have never
found the distinctive criterion of the two forms; all or nearly all show
a vivid consciousness of what is called "constraint" or "compulsion,"
a fact which had been almost forgotten in the old superficial and
rhetorical moral theory. The historical school of law, in its reaction
against the abstract revolutionary and reformatory tendencies of the
eighteenth century, was bound to recall Vico's polemic against the
Platonic or Grotian theory of an ideal republic or a natural law above
and outside history and serving as a standard for history, and to
recognise with Vico that law is correlative to the whole social life of a
people at a given moment of its history and capable of being judged
only in relation to it; a living and plastic reality, in a continual
process of change like that of language. Finally, Vico's providence,
the rationality and objectivity of history, which obeys a logic different
from that attributed to it by the fancies and illusions of the
individual, acquires a more prosaic name, but without changing its
nature, in the "cunning of the reason" formulated by Hegel: it
appeared again, ingeniously but perversely treated, in
Schopenhauer's "cunning of the species," and again, treated with
little ingenuity on a purely psychological method, in Wundt's so-
called law of the "heterogenesis of ends."
Almost all the leading doctrines of nineteenth-century idealism, we
have seen, may be regarded as refluxes of Vician doctrines. Almost
all; for there is one of which we find in Vico not the premonition but
the necessity, not a temporary filling but a gap to be filled. Here the
nineteenth century is no longer a reflux of, but an advance upon
Vico; and discordant voices of warning or reproach rise up against
him. His distinction of the two worlds of mind and nature, to both of
which the criterion of his theory of knowledge, the conversion of the
truth with the thing created, was applicable, but applicable to the
former by man himself because that world is a world created by
man, and therefore knowable by him, to the second by God the
Creator, so that this world is unknowable by man; this distinction
was not accepted by the new philosophy, which, more Vician than
Vico, made the demigod Man into a God, lifted human thought to
the level of universal mind or the idea, spiritualised or idealised
nature, and tried to understand it speculatively in the "Philosophy of
Nature" as itself a product of mind. As soon as the last remnant of
transcendence was in this way destroyed, the concept of progress
overlooked by Vico and grasped and affirmed to some extent by the
Cartesians and their eighteenth-century followers in their superficial
and rationalistic manner shone out in its full splendour.
But if in this point Vico cannot stand the comparison with later
philosophy, the failure is amply atoned by the full agreement
between his historical discoveries and the criticism and research of
the nineteenth century. Above all, he agrees with his successors in
his rules of method, his scepticism as regards the narrative of
ancient historians, his recognition of the superiority of documents
and monuments over narrative, his investigation of language as a
store-house of primitive beliefs and customs, his social interpretation
of mythology, his emphasis on spontaneous development rather than
external communication of civilisation, his care not to interpret
primitive psychology in the light of modern psychology; and so on.
In his actual solutions of historical problems he also agrees with later
historians. These restated the archaic and barbaric character of
primitive Greek and Roman civilisation, and the aristocratic and
feudal tendency of its political constitution: they took up the view of
ancient legal ceremonial as a dramatic poem containing allusions to
the actions of fighting: the transformation of the Roman heroes into
heroes of democracy came to an end with the Jacobins in France
and their imitators in Italy and elsewhere; Homer was considered
great in proportion to his ruggedness; the history of Rome was
reconstructed chiefly on the basis of Roman law, and the names of
the seven kings appeared as symbols of institutions and the
traditional origin of Rome as a late invention derived from Greece or
from Greek models: the substance of this history was seen to consist
in the economic and juridical struggle between patriciate and plebs,
and the plebs was derived from the famuli or clients: the struggle of
the classes, which Vico was the first to illuminate clearly, was
recognised as a criterion of wide application to the history of all time
and serving as an explanation of the most sweeping social
revolutions: the Middle Ages, especially during the Restoration which
followed the Napoleonic period, exercised a powerful appeal to
sentiment and influence on thought, being admired and regretted as
the antithesis of the rationalistic bourgeois society, and understood
in consequence as the religious, aristocratic and poetical period
discovered by Vico, the youth of modern Europe. Thus Italy
rediscovered the greatness of her own Dante, and the criticism of
that poet which Vico had initiated was carried to completion by De
Sanctis. In the same way, Niebuhr and Mommsen brought to
maturity his view of Roman history; Wolf, his theory of Homer;
Heyne, Müller and Bachhofen, his interpretation of mythology;
Grimm and other philologists his projected reconstruction of ancient
life by means of etymology; Savigny and the historical school, his
study of the spontaneous development of law, and his preference for
custom rather than statute and code: Thierry and Fustel de
Coulanges in France, Troya in Italy and a host of scholars in
Germany his conception of the Middle Ages and of feudalism: Marx
and Sorel his idea of the struggle of classes and the rejuvenation of
society by a return to a primitive state of mind and a new barbarism:
and lastly the superman of Nietzsche recalls in some degree Vico's
hero. These are merely a few names picked without care and almost
at random; for to mention all, and each in his right place, would
mean writing the whole history of the latest phase of European
thought, a history which is not yet finished, though it has
undergone, under the name of "positivism," a parenthetical
recurrence of the abstract and materialistic thought of the
eighteenth century, a parenthesis which now however seems to be
at an end.
These innumerable reappearances of the work of an individual in the
work of several generations, this parallelism between a man and a
century, justify a fanciful phrase with which we might draw from the
later developments in order to describe Vico; namely that he is
neither more nor less than the nineteenth century in germ. The
description may serve to summarise our reconstruction and
exposition of his doctrines, and to contribute towards a right
understanding of his place in the history of modern philosophy. He
may rightly be placed side by side with Leibniz, with whom he has so
often been compared; but not, as has been believed, because of any
resemblance (the comparisons made in this belief have been shown
to be false or superficial) but precisely because he is unlike him and
in fact his very opposite. Leibniz is Cartesianism raised to its highest
power; an intellectualist, in spite of the petites perceptions and the
confused knowledge; a mechanicist, in spite of his dynamism, which
perhaps exists in his fancy rather than in his actual thought; hostile
to history, in spite of his immense historical erudition; blind to any
knowledge of the true nature of language, though deeply interested
in language all his life; devoid of dialectic, in spite of his attempt to
explain the evil in the universe. In relation to later idealism, the
Leibnitian philosophy stands as the most complete expression of the
old metaphysic which had to be transcended: that of Vico is the
sketch of the new metaphysic, only needing further development
and determination. The one spoke to his own century, and his
century crowded round him and echoed his words far and wide. The
other spoke to a century yet to come; and the place in which he
cried was a wilderness that gave no answer. But the crowd and the
wilderness add nothing to and take nothing from the intrinsic
character of a thought.

[1] See Appendix II.

APPENDICES
APPENDIX I

ON THE LIFE AND CHARACTER OF G. B. VICO[1]

The transformation, half rhetorical, half mythical, which the heat of

the national reawakening effected in poets, philosophers, and almost
every character of any importance in Italian history, representing
them as patriots, liberals, and in open rebellion or secret revolt
against the throne and the altar, tried for a time to touch with its
magic wand and to work its will upon Giambattista Vico. It was said,
among other things, that Vico, conscious of the severe blow dealt by
his thought to the traditional beliefs of religion, and warned by his
friends, took pains to plunge the New Science into such obscurity
that only the finest intellects could perceive its tendencies. But
though this legend, energetically spread as it was by the patriots and
republicans of 1799, was believed here and there, it could not long
stand out against criticism or even against common sense; and
Cataldo Iannelli was right to pass over it with a few words of
contemptuous irony.[2] It is certain from an objective point of view
that Vico's doctrines implicitly contained a criticism of Christian
transcendence and theology as well as of the history of Christianity.
From the subjective point of view it may be that Vico during his
youth (of which we know very little) was the victim of religious
doubts. Such doubts may have been suggested to him not only by
his reading, but by the society of young men of his own age, among
whom "libertines," or as contemporary literature still called them
"epicureans" or "atheists," were not uncommon.[3] In a letter of
1720 to Father Giacchi, he says that at Naples the "weaknesses and
errors dating from his early youth" are remembered against him, and
that these, fixed in the memory, became as often happens "eternal
criteria for the judgment of everything beautiful and complete which
he subsequently succeeded in doing."[4] What can these errors and
weaknesses have been?
Again when the De universi iuris uno principio et fine uno appeared,
or rather the "Synopsis" which announced its programme, "the first
voices" which Vico heard raised against him "were tinged with an
assumed piety." He found protection and consolation in the face of
such criticism in religion itself, that is to say in the approval of
Giacchi, "the leading light of the strictest and most holy order of
religious."[5] But just as we possess no detailed information as to the
criticisms levelled against him on this head, so we have no certain
knowledge even of the most general kind as to the religious doubts
that may have troubled him. All Vico's writings show the Catholic
religion established in his heart, grave, solid and immovable as a
pillar of adamant; so solid and so strong that it remained absolutely
untouched by the criticism of mythology inaugurated by himself. Nor
was Vico an irreproachable Catholic in external demonstration only.
He not only submitted every word he ever printed to the double
censorship, public and private, of ecclesiastical friends, and led his
life as a philosopher and writer among priestly vestments and
monastic cowls no less than among legal gowns; he was even
scrupulous enough to desist from his commentary on Grotius,
thinking it unseemly that a Catholic should annotate a Protestant
writer;[6] and so delicate was his sense of Catholic honour that he
refused to admit polemic upon matters of religious feeling. "As to
this difficulty," he says to his critics of the Giornale dei letterati, "like
that which you propound to me concerning the immortality of the
soul, where it appears that you have in hand seven distinct
arguments, if they had not been prepared for me by you, I should
judge that they go deeper and penetrate to a region which is not
only protected and secured by my life and conduct, but which to
defend is to outrage. But let us return to our subject."[7] His
Catholicism was untainted by the superstition so general and so
deeply rooted at the time, especially at Naples, where St. Januarius
intervened as an actor and director in every event of public and
private life. It was the Catholicism of a lofty soul and mind, not the
faith of a charcoal-burner. But Vico never assumed the part of censor
of superstitions. He was content with not speaking of them, as one
keeps silence concerning the failings of persons or institutions which
command one's respect.

[1] Since the preceding portions of this work are strictly confined to the analysis of
Vico's philosophy and give no information as to his life and personal character, the
reader will not be displeased to find in this appendix a lecture delivered by myself
upon the latter subject before the Neapolitan Società di storia patria on April 14,
1909, and later written down and published in the Florence Voce(1st year, No. 43,
October 7, 1909). I add for convenience of memory that Vico was born at Naples
on June 23, 1668 (not 1670 as he says in his autobiography), and died on January
23 (not 20 as all his biographers say), 1744: the new edition of the Autobiografia,
carteggio e poesie varie (Bari, Laterza, 1911), pp. 101, 123, 124.
[2] See for the whole question Croce, Bibliografia vichiana, pp. 91-5.
[3] In the Giornali of Confuorto (MSS. in the library of the Neapolitan Historical
Soc. xx. c. 22, vol. iii. f. 111) under August 1692, we find "certain civil persons
were imprisoned in the prisons of St. Dominic by the tribunal of the Holy Office;
among them the doctor Giacinto de Cristofaro, son of the doctor Bernardo; many
others escaped, members of the Epicurean or Atheist sect, who believe the soul to
perish with the body." This De Cristofaro is the famous Neapolitan mathematician
and jurisconsult, for whom see F. Amodeo, Vita matematica napoletana, part iii.
(Naples, Giannini, 1905), pp. 31-44; he was Vico's friend. For other notices of the
"Epicureans" at Naples at this time see Carducci, Opere, vol. ii. pp. 235-6.
[4] Letter of October 12, 1720.
[5] Ibid.
[6] Autobiografia, in Opere, ed. Ferrari, 2nd ed. iv. p. 367.
[7] The "subject" is therefore not the religious objections, which he regarded as a
personal insult (Riposta al Giornale dei letterati, in Opp. ii. p. 160).

II

Vico's attitude towards social and political life resembles in more

than one respect his attitude towards religion. There is in him no
trace of the missionary, the propagandist, the agitator or the
conspirator as there was in some of the Renaissance philosophers,
notably Giordano Bruno and Campanella, whom although—perhaps
because—a Neapolitan, Vico never mentions. Certainly, his age and
his country were not the time or place for heroes; there was none of
that rapid social change and revolution from which heroes spring.
Political parties however were active in favour of Austria and France,
and men were arising who devoted their labours and their lives to
one or other of these parties, or were persecuted and fled into exile:
and above all this was the period in which culminated the struggle
between Church and State, between Naples and Rome, in the
person of Pietro Giannone, a man of whom Vico never speaks, just
as he never mentions and in fact seems to ignore the entire
movement. Political life rolled past over his head, like the sky and its
stars, and he never wasted his strength in a vain attempt to reach it.
Political and social controversy, like religious, was outside the sphere
of his activity. He was indeed a non-political person. We cannot
describe it as a fault or a weakness, for every one has his
limitations; one struggle excludes another, and one labour makes
others impossible.
Not that he avoided all contact with political life and its
representatives. Only too often he was compelled to pay his respects
to both, in the form of histories, speeches, verses and epigrams in
Latin and Italian; and these alone would be sufficient material for
the reconstruction of Neapolitan history in all its vicissitudes from
the end of the seventeenth century to the middle of the eighteenth:
the Spanish viceregency, the conspiracy and revolution attempted by
the partisans of Austria, the reaction and re-establishment of the
Spanish viceregency, the Austrian conquest, the Austrian
viceregency, the Spanish reconquest and the reign of Charles
Bourbon. But Vico, "very pliant because of his necessity"[8] and as
professor of eloquence in the royal university, was compelled to
supply the literary compositions required by the solemnities of the
day, just as the draper supplied hangings and the plasterer volutes
and arabesques. And what hangings and arabesques he produced!
The Spanish style of the seventeenth century was still predominant
in literature; and this fact is alone almost enough to explain the
extravagance and ornateness, as it seems to us, of Vico's flood of
panegyrics. The indifference and innocence of his own attitude may
be illustrated by the passage in his autobiography where after
mentioning the Panegyricus Philippo V inscriptus composed by
himself to the order of the Spanish viceroy, the Duke of Ascalona, he
goes on as if it was a mere nothing, with no connexion but a simple
"soon after": "soon after, this kingdom having passed under the rule
of Austria, the lord Count Wirrigo of Daun, at that time governor of
the imperial armies in this country, ordered me" to compose
inscriptions for the expiatory monuments to Guiseppe Capece and
Carlo di Sangro,[9] the two rebels against Philip V. executed by the
previous government some years before in the suppression of the
conspiracy of Macchia described by Vico from the Bourbon point of
view in his De Parthenopea coniuratione.
But this implies no baseness of character on Vico's part. It must be
said that in these writings of his, orator and panegyrist though he is,
he can never be called a flatterer. The flatterer, the man without a
conscience, reviles and calumniates the enemies of the man he is
praising, or even strikes the conquered: and this is servility. But Vico,
who though he knew who the Italian or Neapolitan was that sent to
the Acta Lipsiensia the note injurious to himself, and might easily
have ruined him, since the note was anti-Catholic in tendency,
generously refused to reveal his name,[10] gave no doubt his
services as professor of eloquence but refrained from trafficking in
the interests of the patrons whom he praised. Of the Life of Antonio
Carafa which he composed for a commission and married one of his
daughters on the proceeds, he says that the work was "tempered by
honour towards the subject, reverence towards princes and the just
claims of truth."[11] And to return to the case of Capece and Sangro
mentioned above, when he spoke in the De Parthenopea
coniuratione of the death of these two enemies to the triumphant
party, he shows here too in various details the nobility of his spirit:
of Capece, who refused to surrender to the Spanish soldiers, he
writes "exposing his breast to death, and demanding death with his
warlike arms, he fell unrepentant, a most valiant manner of death,
were it only honoured in its cause" (ostentans pectus neci eamque
infensis armis efflagitans, inexoratus occubuit, fortissimum mortis
genus si causa cohonestasset). Of Sangro too, having reported the
rumour that Louis XIV. sent him a reprieve which arrived too late, he
adds: "whence the condemned man, who had already suffered the
penalty, is the more to be pitied" (unde maior damnati qui iam
poenas persolverat, miseratio).[12]
He must have known, and doubtless did know, that most of the
persons whose praises he composed were of very little worth. To
read his panegyrics, one would suppose that Naples was adorned
with a nobility resplendent in its virtue, cultivation and learning: and
yet, in giving Father De Vitry the information he desired upon the
condition of studies in Naples, Vico did not conceal the facts: "the
nobles slumber amid the enjoyments of a life of pleasure."[13] His
pupil Antonio Genovesi has preserved to us one of his satirical
expressions upon this nobility, often in extreme poverty but always
proud and ready to go hungry at home in order to drive abroad in
coaches sumptuously dressed.[14] With reference to the literary duke
of Laurenzano, he formulated the theory that "noble" writers could
not fail of excellence:[15] and yet I have discovered among his
papers the manuscript of a book by this duke, rewritten from end to
end by the same Vico.[16] Such are the contradictions and the
transactions into which a poor man falls when the pressure of want
has made him timid and cautious; so that it is not easy to determine
how far his admiration was merely assumed at command or by
complaisance, or how far his feeling of social inferiority developed
into a real admiration for those above him in the scale, who
possessed riches and dignity and everything he lacked and were the
"seigneurs."

[8] Opp. vi. p. 20.

[9] Autob. in Opp. iv. p. 394.
[10] Letter of December 4, 1729: in Opp. vi. p. 32.
[11] Autob. in Opp. iv. p. 366.
[12] Opp. i. pp. 367, 368.
[13] Opp. vi. p. 9.
[14] He said that many of them "dragged their carriages with their own guts"
(Suppl. alla Bibl. vich. p. 10).
[15] Opp. vi. p. 95.
[16] Bibl. vich. pp. 27-8.

III

For, as is well known, his financial state was always of the gloomiest.
The son of a small Neapolitan bookseller, he was at first compelled
to go as a private tutor to a wild town of the Cilento; later, returning
to Naples, he tried in vain to obtain the position of secretary of the
city, and having in 1699 been elected to the chair of rhetoric, he
held that position for thirty-six years at an annual stipend of a
hundred ducats (£17). His attempt to pass to a chair of greater
importance in 1723 failed, whether owing to ill-luck or to inability—
he recognised that he was a "man of little spirit in matters of utility,"
[17]—he was compelled to give up hopes of academic advancement.
He was therefore obliged to eke out his resources by literary work
such as we have mentioned, and still more by private lessons; he
not only kept school at his own house as well as at the university,
but he went up and down other men's steps to teach grammar to
youths or even to children. His family fife was not a happy one. His
wife was illiterate, and had not the qualities with which her sex
sometimes compensates the defect; she was incapable of any
domestic employment whatever, so that her husband had to take her
place. Of his children, one girl died after a long illness and the heavy
expenses which embitter the diseases of the poor; one boy showed
such strong vicious tendencies that the father was compelled to seek
the intervention of the police and place him in a house of correction.
So sublimely irrational was his fatherly affection that upon this
occasion when he saw from the window the police officers he had
called in, coming to take his miserable and beloved son away, he ran
to him crying, "my son, flee!"[18]
He was indeed of an extremely affectionate disposition; a fact which
may be gathered for instance from the noble and touching speech
he composed on the death of his friend Donna Angela Cimini, from
the tone of pity and indignation with which in the Scienza Nuova he
spoke of the oppressed plebeians whose history he is investigating
or of the tragic figures of Priam and Polyxena, the romance of which
he feels keenly; and finally, from certain stylistic details scattered
here and there, such as the aphorism (no. xl.) where he says that
witches in order to solemnise their rites "slay without pity and cut in
pieces most lovely and innocent children," quite upset, in the most
inopportune but significant fashion, by the fate of these little
persons, whom his excited imagination adorns with a superlative
loveliness. His greatest domestic happiness came from his daughter
Luisa, a cultured and poetical soul, and his son Gennaro, who shared
with him and ultimately succeeded to his chair. When, in his
panegyric on the Countess of Althann, he calls ironically upon the
philosophers who dispute as they walk in pleasant gardens or
beneath painted porticoes, free from the agony and weariness of
"wives in travail" and "children wasting away with disease,"[19] we
feel that he is speaking from his own experience and smarting under
the memory of domestic troubles.
We often meet, especially in these days, with men of some talent
who consider themselves freed from this or that humble duty: and
we ought the more to admire this man of genius who on the
contrary accepted them every one, and (to use a phrase of
Flaubert's) while thinking the thought of a demigod lived the life of a
townsman or even that of a man of the people. He had acquired the
habit of reading, writing, thinking and composing his works "while
discussing matters with his friends amid the uproar of his children."
[20]

His health was never very good: his friends called him "Mastro
Tisicuzzo":[21] very weak in youth, he was in his old age afflicted
with ulcers in the throat and pains in his thighs and legs. In a word,
the repose, the peace, the tranquillity which other philosophers
enjoy all their life or for long periods together was always lacking to
Vico. He was forced to play both Martha and Mary: working at every
moment for his own and his family's practical needs and working at
the same time to fulfil the mission to which he was devoted from his
birth and to give concrete form to the spiritual world that moved
within him.

[17] Autob. in Opp. iv. p. 349.

[18] Villarosa in the additions to the Autobiography (Opp. iv. p. 420).
[19] Opp. vi. p. 235.
[20] Autob. in Opp. iv. p. 366.
[21] "Mr. Skin-and-bones": cf. Bibl. vich. p. 87.
 IV

Thus we need not invent or demand a heroic Vico, looking for him in
the life of religion, society or politics. The true hero is the Vico who
stands before us, the hero of the philosophic life. Others beside
ourselves have noticed his love for the word "hero" and all its
derivatives, "heroism," "heroic," and so on: and the continual use
and varied application he makes of it. Heroism was for him the
mighty virgin force which appears in the beginning and reappears in
the reflux of history. This force he must surely have felt in himself as
he laboured for the truth and, overthrowing obstacles of every kind,
opened up new paths of science. It was this force that enabled him
to overcome the youthful uncertainties, fears and defeats which
sometimes plunged him in a profound individual and cosmic
pessimism, visible in the poem entitled "Feelings of One in Despair,"
to rise to the certainty of scientific method enunciated in the De
nostri temporis studiorum ratione and his first attempt at
philosophico-historical research represented by the De antiquissima
Italorum sapientia; and from this point, abandoning in part his own
thought and weaving a new tissue of what remained, led him to the
De uno universi iuris principio et fine uno and to the Scienza Nuova
"after twenty-five years," as he says of the discoveries contained in
that work, "of unremitting and toilsome thought."
The work completed by this poor teacher of grammar and rhetoric,
by this pedagogue whom a contemporary satirist saw "lean, with a
rolling eye, ferule in hand,"[22] by this unhappy paterfamilias, is
amazing and almost terrifying; such is the mass of mental power
compressed into it. It is a work at once reactionary and
revolutionary: reactionary in relation to the present, by its
attachment to the traditions of the ancient world and the
Renaissance; revolutionary as against the present and the past in
laying the foundations of that future later to be known as the
Nineteenth century.
Within the domain of science, this humble man of the people
became an aristocrat: and the "lordly style"[23] which he falsely
ascribed to the wretched writings of the proud nobles and pompous
prelates of his day was in reality his own. He loathed the polite and
social literature which was gradually spreading in France and Italy
and other European countries, the "ladies' books."[24] But he
avoided no less that other class of treatise which we nowadays call
"handbooks," which explain in detail elementary definitions and facts
ascertained by others; books useless except to the young.[25] Vico,
who suffered quite enough from the young within the circle of his
school, saw no need to sacrifice to them any part of his own
inviolable life of science. The public towards which he looked was
not composed of boys, lords and ladies. When he wrote, his first
practical thought was, "what would a Plato, a Varro or a Quintus
Mucius Scaevola think of the fruits of his thought?" and secondly,
"what will posterity think?"[26] Among his contemporaries he looked
only at the republic of letters, the brotherhood of scholars, the
Academies of Europe: a public which did not require him to repeat
what had been already discovered and stated in the course of the
history of science, and was perfectly familiar to him, but only
demanded the exposition of such thoughts as constituted a real
advance of knowledge: not voluminous works, but "little books, all
full of original things."[27] His public was an ideal one, which
sometimes in his simplicity he confused with the actual professional
scholars and the critics of literary reviews: and the mistake often
caused him surprise. Short books on metaphysical subjects seemed
to him to have a peculiar power, as in fact they have; he compares
them very justly with religious meditations "which briefly set forth a
small number of points" and are more valuable for the development
of the Christian spirit than "the most eloquent and lucid sermons of
the most gifted preachers."[28] This love of brevity inspires his
refusal to burden with many books the republic of letters, which, he
says, is already sinking beneath the weight. He left his discourses
unpublished, only printed his De ratione out of a sense of duty, and
often expressed a desire that the Scienza Nuova alone should
survive him, as the work which summed up in itself the concentrated
and perfected fruits of all his earlier efforts.
His aristocratic ideal was accompanied by the loftiest dignity and the
profoundest loyalty in his conception of the life of science. From his
polemics we might compile a whole catechism on the right method
of conducting literary controversy. We must aim at victory, he says,
not in the controversy but in the truth; hence he desires that it
should be conducted "in the calmest manner of reasoning," because
"he who is strong does not threaten, and he who is right does not
use insults"; the dispute must at any rate be interspersed with
peaceful words "showing that the minds of the disputants are placid
and tranquil, not excited and perturbed." To opponents whose
objections are vague he replies, "the judgment is in too general
terms: and serious men never deign to reply except to particular and
determinate criticisms made upon them." When these same
opponents appeal to the "refined taste of the age, which has
banished," etc., etc., he replies contemptuously, "a grave criticism
this, in truth: it is no criticism at all. In thus taking refuge from one's
opponents before the tribunal of one's own judgment, by saying that
what they say is a thing of which one has no idea, from an opponent
one becomes the judge." He refused to rely upon his authorities, but
yet did not undervalue them; authority ought to "make us attentive
to seek the causes which could have induced authors, especially the
most weighty, to adopt such and such opinions." Again, accused of
attributing errors to philosophers so as to be able to refute them
with ease, like Aristotle, he protests with dignity: "I would rather
enjoy my own small and simple stock of knowledge than be
compared in bad faith with a great philosopher." His moderation may
be illustrated by his splendid eulogy of Descartes, though he spent
the best part of his mental powers in opposing him. His loyalty is
shown by his prompt recognition of his own errors: "I admit," he
says at one point to the critics of the Giornale dei letterati, "that my
distinction is faulty."[29] "The reader must not think it ostentatious in
us" (he writes in the second Scienza Nuova), "that not satisfied with
the favourable judgments of such men as these upon our works, we
yet disapprove and reject these works. On the contrary, it is a proof
of the high veneration and respect in which we hold these men. For
rude and haughty writers uphold their works even against the just
accusations and reasonable corrections of others: some, who by
chance are of a small spirit, sate themselves with the favourable
judgments they receive and because of these go no further towards
perfection: but in our case the praise of great minds has increased
our courage to amend, to complete, and even to recast in a better
form this work of ours."[30]
His scientific life was upright, worthy of a serious searcher after
truth; his emotional life disturbed and restless, worthy of one who
sees face to face the truth he has long sought and desired, and
rejoices in the power of laying it before mankind. Hence his lofty
poetry, expressed not in verse but in prose, and especially in the
Scienza Nuova. "Vico is a poet," writes Tommaseo: "he brings fire
from smoke, and lively images from metaphysical abstractions: he
reasons as he narrates and depicts while he reasons: over the
mountain-tops of thought he does not walk, he flies; and in one
sentence he often compresses more lyrical feeling than may be
found in many an ode."[31] De Sanctis saw in the Scienza Nuova the
progress of a poem, almost a new Divina commedia. Sublime like
Dante, he was more severe than Dante himself; if the lips of the
Ghibelline show at times the flicker of "a passing smile," Vico looks
at history with a face "that never smiles." Moreover, the man whose
style has been so often criticised is not a commonplace writer; he
was as careful a student of pure Tuscan[32] as he was a fine
connoisseur, according to Capasso, of Latin phraseology.[33] But he
was faulty in the arrangement of his books, because his mind did not
master all the philosophical and historical material it had
accumulated; he wrote carelessly because wildly and as if possessed
by a demon: and hence arise the lack of proportion and the
confusion in the various parts of his work, within single pages and
single paragraphs. He often gives the impression of a bottle of water
quickly inverted, in which the liquid trying to issue forth so presses
against the narrow opening "that it comes out painfully, drop by
drop." Painfully, by fragments, and disjointedly. One idea while he is
expressing it recalls another, that a fact, and that another fact: he
tries to say everything at once, and parenthesis branches off into
parenthesis in a manner to make one's brain reel. But these chaotic
periods, weighted as they are with original thoughts, are no less
woven of striking phrases, statuesque words, phrases full of
emotion, and picturesque images. A bad writer, if you will, but his is
the kind of bad writing of which only great writers possess the
secret.

[22] Bill. vich. p. 82.

[23] Opp. vi. p. 93.
[24] Ibid. vi. p. 5.
[25] Ibid. v. p. 50 (note).
[26] Ibid. ii. p. 123.
[27] Ibid. ii. p. 148.
[28] For instance in his letter to Saliani, November 18, 1725, published in Bibl.
vich. pp. 97-8, the autograph being in my possession.
[29] See the Riposte in Opp. ii. passim.
[30] Opp. v. p. 10.
[31] G. B. Vico e il suo secolo in the volume La Storia civile nella letteratura (Turin,
Loescher, 1872), p. 104: cf. a judgment on Vico as a writer, ibid. pp. 9-10.
[32] Opp. iv. pp. 333-4; vi. pp. 41, 140.
[33] Bibl. vich. p. 87.

The philosophical heroism of Vico asserts itself not only in the

internal struggle with himself for the elaboration of his science. It
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