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Stony Brook University SSStttooonnnyyy BBBrrrooooookkk UUUnnniiivvveeerrrsssiiitttyyy The official electronic file of this thesis or dissertation is maintained by the University Libraries on behalf of The Graduate School at Stony Brook University. ©©© AAAllllll RRRiiiggghhhtttsss RRReeessseeerrrvvveeeddd bbbyyy AAAuuuttthhhooorrr... Heraclitus and the Work of Awakening A Dissertation Presented by Nicolas Elias Leon Ruiz to The Graduate School in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy in Philosophy Stony Brook University August 2007 Copyright by Nicolas Elias Leon Ruiz August 2007 Stony Brook University The Graduate School Nicolas Elias Leon Ruiz We, the dissertation committee for the above candidate for the Doctor of Philosophy degree, hereby recommend acceptance of this dissertation. Dr. Peter Manchester – Dissertation Advisor Associate Professor of Philosophy Dr. David Allison – Chairperson of Defense Professor of Philosophy Dr. Eduardo Mendieta Associate Professor of Philosophy Dr. Gregory Shaw Professor of Religious Studies Stonehill College This dissertation is accepted by the Graduate School Lawrence Martin Dean of the Graduate School ii Abstract of the Dissertation Heraclitus and the Work of Awakening by Nicolas Elias Leon Ruiz Doctor of Philosophy in Philosophy Stony Brook University 2007 Heraclitus is regarded as one of the foundational figures of western philosophy. As such, he is typically read as some species of rational thinker: empiricist, materialist, metaphysician, dialectician, phenomenologist, etc. This dissertation argues that all of these views of Heraclitus and his work are based upon profoundly mistaken assumptions. Instead, Heraclitus is shown to be a thoroughly and consistently mystical writer whose work is organized around the recurring theme of awakening. He is thus much more akin to figures such as Buddha, Lao Tzu, and Empedocles than to Aristotle or Hegel. This dissertation is divided into three main sections. The first chapter takes on the related issues of Heraclitus’ own discourse and the route to wisdom as he conceived it. What is the status of Heraclitus’ famously obscure logos? What are the essential preconditions for understanding it? How does one live one’s life so as to get wisdom? The second chapter deals with the fundamental realities of human existence that, according to Heraclitus, elude the understanding of most people. Firstly, human existence is seen as a kind of slumber in which the sleepers do not even realize that they are asleep. Secondly, there is a treatment of Heraclitus’ use of the Greek esoteric understanding that this human existence—what most of us think of as life—is iii somehow, in reality and unbeknownst to us, lived out in the underworld. Finally, there is a substantial discussion of fragment 62 and its assertion that “mortals are immortals and immortals are mortals,” with comparison to Plato’s Phaedo and the poetry of Empedocles. The final chapter discusses Heraclitus’ theology as it relates to the issue of human spirituality. Special attention is given to the figures of Zeus and Apollo in the fragments. There is also a commentary on Heraclitus’ suggestion that he and his work somehow parallel Apollo and his divine activity. iv Dedication I dedicate this work to my wise and good teacher and friend, Lawrence Ober, S.J., with affection and deep gratitude. The first man never finished comprehending wisdom, nor will the last succeed in fathoming her. For deeper than the sea are her thoughts; her counsels, than the great abyss. Now I, like a rivulet from her stream, channeling the waters into a garden, Said to myself, “I will water my plants, my flower bed I will drench”; And suddenly this rivulet of mine became a river, then this stream of mine, a sea. Thus do I send my teachings forth shining like the dawn, to become known afar off. Thus do I pour out instruction like prophecy and bestow it on generations to come. Sirach 24, 26-31 Table of Contents Acknowledgements…………………………………………………………………..vii Introduction…………………………………………………………………………...ix I. The Way……………………………………………………………….1 Proem and Initial Considerations……………………………………...2 The Promise and the Cost……………………………………………25 Truth All Around Us…………………………………………………27 Truth in the Depths…………………………………………………..39 Virtuous Wisdom, Wise Virtue………………………………………48 II. Know Thyself………………………………………………………...51 We Are Asleep……………………………………………………….52 We Are Dead…………………………………………………………56 We Are Immortals……………………………………………………63 III. The Thunderbolt, the Lord of Delphi, and the Man of Light………...85 Zeus and Apollo……………………………………………………...86 Zeus………………………………………………………………..…89 Apollo………………………………………………………………..97 The Man of Light…………………………………………………...104 IV. Epilogue………………………………………………………….…110 Bibliography………………………………………………………..114 Appendix I: The Idea of Greek “Religion”………...…………….…118 Appendix II: The Anthropology of Archaic Religious Life………..120 vi Acknowledgements I wish first to express my heartfelt thanks to the members of my doctoral dissertation committee: Dr. Peter Manchester, my advisor and my mentor at Stony Brook, for helping me to bring this work to light in the truest tradition of Socratic midwifery. His philosophical and editorial insight, commentary, criticism, and advice throughout the writing of this dissertation were of immeasurable value. I am deeply grateful. Dr. David Allison and Dr. Eduardo Mendieta, my departmental readers, for their participation in this project, and for their encouragement, guidance, and friendship during my graduate career. Dr. Gregory Shaw, my outside reader, of Stonehill College Religious Studies, for his participation in this project and his insightful and encouraging commentary. Thanks also to all of my professors at Stony Brook, as well as our distinguished visitors to the department. Each in their own way helped to move me a little closer to wisdom. They have my gratitude and respect. I would like to thank my fellow students, who helped and encouraged me during the writing of this dissertation and, indeed, during my 5 years of graduate study, especially: Daniel Leon Ruiz, my brother the classicist, for his very many and truly helpful philological and historical insights into how to read Greek texts. Julia Sushytska, for her support and companionship. Jessica and Matthew Mayock, fellow travelers and dear friends, whose love and depth continue to inspire me. Juanita Lara and Ethan Kosmider, two of the best housemates a man could want, and faithful friends. Peter Vere Warden, a true lover of wisdom, a good man, and a beloved friend. I wish to express special thanks to two older and wiser students of the human soul: Dr. Peter Kingsley, whose philosophical work inspired me to begin this project, and whose good advice, encouragement, and friendship enabled me to finish it. Dr. Barbara Goldberg, whose ability to listen consciously would have impressed even Heraclitus: I treasure our many conversations on the nature of the unconscious and the conscious mind, and am a better, happier, and more self-aware man for them. I want to acknowledge and thank several former teachers who started me on the path that led to where I am today: Dr. Mariana J. Ortega, teacher and dear friend, who introduced me to philosophy, roused me from my dogmatic slumber, and sharpened my critical faculties. Dr. Jonathan Gunderson, teacher and dear friend, whose intelligence, sanity, and humor helped teach me how to be a good philosopher and a good person. Dr. Gregory Knittel and Dr. Arthur Madigan, S.J., my first teachers of Greek, who brought the power and beauty of that ancient tongue to life, on the page and in my heart. I would like to thank my family and friends: Susan and Elias Nicolas Leon Ruiz, my parents, for my life and so many of the good things in it, for countless opportunities, and for their unwavering love and support throughout my life and especially during these challenging years. Kimberly Leon Prowell, my older sister, who has loved and encouraged me since we were children. I looked up to her then, and still do. Dr. Elizabeth Stiles, kindred spirit, for her friendship and her many assurances and reassurances that graduate school would indeed, someday, come to a happy conclusion. Finally, I wish to recognize the kindness and dedication of the staff of the Philosophy Department at Stony Brook. Their constant help was always greatly appreciated; their kindness made Stony Brook feel like home. Darlene Aiken, Alissa Betz, Anna Brewer, Ann Marie Monaghan, and Ivette Moss: thank you so much. To everyone mentioned here: Thank you all. Introduction ix What might have been and what has been Point to one end, which is always present. Footfalls echo in the memory Down the passage which we did not take Towards the door we never opened Into the rose-garden… …Go, said the bird, for the leaves were full of children, Hidden excitedly, containing laughter. Go, go, go, said the bird: human kind Cannot bear very much reality. Time past and time future What might have been and what has been Point to one end, which is always present.1 —T.S. Eliot, Four Quartets, Burnt Norton, I This Project Heraclitus is universally regarded as one of the fathers of western philosophy. However, the characterization of the nature of his contribution varies widely. To some he is an early example of rational, empirical, scientific inquiry into the physical world. To others he was primarily a brilliantly innovative metaphysician. Still others prefer to see him as the distant ancestor of the great German dialecticians of the 19th century. In the 20th century, certain existential phenomenologists all but claimed him as one of their own. Behind all of this stands a fundamental set of assumptions that is never questioned. Whatever else may be the case, we know that Heraclitus was, essentially, a rational human being like ourselves. He was a philosopher, concerned with explanation and exposition. He was a thinker, and his fragments encapsulate his thought. 1 T.S. Eliot, “Four Quartets,” in T.S. Eliot, The Complete Poems and Plays 1909-1950, 117-18. x It is because of this that Heraclitus has been completely misunderstood. We have no idea of who and what he was.
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