Table Of Content9 780198 238645
ARISTOTLE'S THEORY
OF MATERIAL SUBSTANCE
Heat and Pneuma, Form and Soul
GAD FREUDENTHAL
CLARENDON PRESS ' OXFORD
This book is dedicated with affection
This book has been printed digitally ami produced in (I standard spedJu:atiol1
in order to ensure its continuing uvailability
to the beloved memory of my father,
Heinz Freudenthal 7"T, and of my mother,
Renate Freudenthal, nee Engel 7"T,
OXFORD
VNIVERSlTY PRESS and
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Acknowledgements vii
colleague at the CNRS, for having provided this book with a
Acknowledgernen ts very beautiful and fitting cover-illustration.
The substance of this book was written between 1987 and 1989,
but I have selectively taken into account subsequent bibliogra
phy. A final revision was made in September-October 1993.
G.P.
My foremost debt is to an institution. The enquiry that has led December 1993
up to this book followed a long and occasionally tortuous path
whose telos was not always within sight. As a piece of research
whose outcome was uncertain, it required suitable, secure
institutional conditions. In France, the government-sponsored
Centre national de La recherche scientifique (CNRS), which I joined
in 1982 as a Permanent Research Fellow, affords precisely such
conditions: a tenure position and the possibility of pursuing re
search as an exclusive activity, even in the absence of immedi
ately tangible results. This is a privileged situation-nowadays
most younger scholars have to devise their research programmes
according to the narrow timetable imposed by the constraints of
tenure renewal-which I appreciate and for which I am very
grateful. My sense of gratitude for having had the possibility of
pursuing a professional activity guided only by a 'desire to know'
is heightened by the painful awareness that outside the ivory tower
of academia, in France alone, more than three million persons
are unemployed. To Monsieur Roshdi Rashed (Paris), my former
directeur de recherche at the CNRS, I am much indebted for his
constant and unfailing support, despite his preference for me to
follow him to his own chosen fields of study.
Amos Funkenstein (The University of California at Berkeley
and Tel-Aviv University) persuaded me to cast the results of my
research on Aristotle into book-form. I express to him my warm
est thanks for the friendly impulse and the encouragement he
gave me, without which this book would not have passed from
potentiality into actuality.
As a manuscript, this book was read by several anonymous
referees (one of whom later revealed herself as Mary Louise Gill
of the University of Pittsburgh), almost all of whom made
constructive criticisms and very helpful suggestions. I am greatly
indebted to them for their selfless labours, and hope that they
will find them rewarded by improvements in my arguments.
Last but not least, I am very grateful to Barbara Obrist, my
Table of Contents
A NOTE ON THE COVER ILLUSTRATION
The portraits of Roman philosophers are used to represent the Abbreviations xii
four seasons, which the central caption, STlHfA fD EST TEMf'ORA VEL
ELEMENTA, identifies with the elements ('stihia' is a corruption of Introduction 1
'stoicheia'). The diagram thus conveys the idea that nature con
sists of opposites-listed along the periphery of the circle are the 1. VITAL HEAT IN THE PHYSICO-PHYSIOLOGICAL
THEORY OF PERSISTENCE AND OF HIGHER
combinations of the elementary qualities-among which an over
SOUL-FUNCTIONS 7
arching harmony yet prevails: the ongoing mutual transforma
tion of the four elements results in the regular cycle of the sea
1. Vital Heat as a Cause of Persistence (of Species and
sons.
Individual Composite Substances) 7
The diagram is found in a manuscript of Bede's De ratione tel/l
1.1. The Problem: Persistence in the World of
porum, which was produced in southern Italy in the eleventh cen
Generation and Corruption Within Aristotle's
tury and which appears to go back to an original which was either
Theory of Matter 7
a stone disc or a floor mosaic. Since no diagram from Roman
1.2. Nutritive Soul and Vital Heat as Equivalent
times combining the elementary qualities, the elements, and the
Concepts 19
seasons has survived, this diagram may reflect the earliest-known
1.3. Natural and Vital Heat as a Cause of
pictorial representation of these notions. It deviates from the
Persistence 36
more usual, Isidorian, abstract qualities-seasons diagrams found
in manuscripts of Isidore of Seville's Oe rerum natura. 2. Vital Heat and Cognition 47
Barbara Obrist 2.1. Psychological Effects of the Constitution of
Blood 48
2.2. Vital Heat as the Cause of Intelligence and
Divinity: The Cosmological Dimension 56
2.:'\ Vital Heat and the Scale of Being: The Hierarchy
of Forms 65
Appendix: The Vital Heat in Plants 70
II. THE ROOTS OF ARISTOTLE'S VITAL HEAT:
THE DE PHILOSOPHIA AND KINDRED
PRESOCRATIC DOCTRINES 74
1. The Problem: Unintegrated Presocratic Motifs in
Aristotle's Psycho-Physiology 74
1.1. Why Does Vital Heat Go Up? 74
1.2. Uneasy Appropriations: Presocratic Accounts
of Cognition Within Aristotle's biology 79
x Table of Contents Table of Contents xi
2. Recovering the Lost Foundations: The Cosmology '1.3. An Excursus: Non-Destructive Drying
and Psychology of De philosophia-A New Solidification 157
Interpretation . 84
2. Resisting Decay: Fatty Moisture and Oil 160
3. Aristotle's Hot Ether in Context: Theology, 2.1. Aqueous Moisture and Fatty Moisture in
Cosmology, and Physiology 93 Aristotle 161
3.1. Theological Cosmology and Physiology (1): 2.2. The Cohesiveness of Fatty Moisture: Causes
The 'Pythagorean Notebooks' 93 and Consequences 164
3.2. Theological Cosmology and Physiology (2): 2.3. Fatty Moisture: Conceptual Sources 169
0/1 Fleshes 95
Appendix A: Aristotle's Two Theories of Solidification
4. Conclusion: Ether, Heat, and Soul from the De by Cold 172
philosophia to Aristotle's Biological Treatises 97 Appendix B: The Chemistry of Oil 175
Appendix C: Oil-The Social Dimensions of a
4.1. Motifs from Presocratic Heat-Theologies in
Aristotle's Psycho-Physiology 97 Persistent Concept 178
4.2. Redistributing the Roles: From the Hot Ether
to 'First Body', Vital Heat, and Fire 101 Conclusion 181
Bibliography 208
III. SOUL, VITAL HEAT, AND CONNATE PNEUMA 106
1. Aristotle's Theory of connate pneuma: Desiderata Index of Aristotelian Passages 222
for an Interpretation 106
General Index 225
2. The connate pnellma: Aristotle's Research
Programme 114
2.1. A Role for Vital Heat 114
2.2. The Basic Postulate and Its Implications 119
2.3. Material Persistence Revisited: Connate Pneuma
and the Functions of Nutritive Soul 137
2.4. Conclusion: Aristotle's Theory of Connate
Pneuma as a Synthesis of Earlier Views-a
Historical Perspective 144
IV. THE CHEMISTRY OF COHESION AND DECAY 149
1. Aristotle's General Theory of the Cohesion of
Substances, Animate and Inanimate 150
1.1. The Dry and the Moist: The Topological and
the Physical Meanings 150
1.2. Moisture and Natural Heat As the Causes of Cohesion;
Decay as a Form of Drying 151
Abbreviations
Introduction
DA On the 50111
DC On the Heavens
De long. et brev. vito On Length and Shortness of Life
De illsomll. On Dreams
De iuv. On Youth and Old Age
EE Elldemian Ethics The following enquiry aims to provide new perspectives on the
EN Nicomachean Ethics relationships between form and matter in Aristotle's thought.
GA Generation of Animals Specifically, I examine Aristotle's accounts of the coming-to-be
GC On Generation and Corruption and functioning of substances consisting of informed matter,
HA History of Allimals
notably living beings, and highlight the role Aristotle ascribes in
MA On the Movement of Animals
these accounts to the operations of heat, primarily vital heat. The
Metaph. Metaphysics
notion of vital heat is not unknown to students of Aristotle's
Meteor. Meteorology
biology, but I believe its systematical import and significance
PA Parts of Animals
Phys. Physics have not as yet been appreciated adequately: it will indeed be
Pol. Politics my thesis that the theory of vital heat is a central building block
Rhet. Rhetoric in Aristotle's account of the organization of matter into structured,
Prob. Ps. Aristotle, Prob/ellls specifically living, substances and of the subsequent functioning
of such organized substances (namely of their soul-functions). In
Texts and translations: The volumes of the Loeb Series were used for DC the extant treatises Aristotle nowhere gives a systematic exposi
(Guthrie), GA (Peck), and Meteor. (Lee). For MA the text and the trans
tion of this theory: to show that he none the less had such a
lation by M. Nussbaum were used; for the fragments those of D. Ross.
theory, at least in outline, to recover it from scattered accounts of
Quotations from other treatises of Aristotle are given according to the
limited scope, to bring out its explanatory roles, and to make
Revised Oxford Translation in J. Barnes (ed.), The Complete Works of
some suggestions concerning its origin in Presocratic thought
Aristotle. (Full bibliographical references for these works can be found
and in Aristotle's own early theology-this is my aim in the
in the first section of the Bibliography.) Except for capital letters, I fol
present book.
lowed the spelling of the quoted translations.
My point of departure is at the most basic level at which matter
Cross references within the book: a Roman numeral refers to a chapter, a and form interact, namely in (i) the formation and (ii) the persistence
decimal Arabic number preceded by the sign § indicates a section within of individual composite substances, notably living beings (plants
that chapter. Where no Roman numeral is given, the reference is to a and animals). I will argue that Aristotle's 'canonical' theory of
section within the same chapter. matter, the theory of the four elements and four qualities or
powers, falls short of accounting for these two clusters of major
phenomena:
(i) As many scholars have stressed, in Aristotle's theory of
matter there is no 'necessitation from below': Aristotle's matter
does not organize itself spontaneously into structured substances
such as living beings. But, obviously, forms do emerge in matter
living beings come to be. Moreover, because Aristotle's world is
2 Introduction Introduction 3
eternal, the plant and animal species are eternal too, so that the It will be my claim that, partly in parallel to these accounts in
living beings which come to be have ever the same essential terms of forms and partly as an alternative to them, Aristotle
features: the very self-same structures recurrently arise within also had a theory accounting both for the coming-to-be and for
matter. It follows that the account of structures existing in the the persistence of composite substances, at the centre of which is
material world cannot be given within the framework of Aristo the notion of heat, specifically vital heat. To recover this physical
tle's sole theory of matter, and so must involve additional ex cum-biological theory, to reveal the unity underlying the various
planatory postulates. accounts in terms of vital heat, and to identify the sources of
(ii) Much the same conclusion follows when we consider Aristotle's view of heat, are the aims of Chapter I. It will become
another problem of Aristotle's theory of matter: How diq Aristotle clear, I hope, that the notion of heat is central to Aristotle's account
account for the paramount fact that already existing individual of the material world, animate and inanimate.
composite substances persist, i.e. that they do not fall apart into I will begin with an attempt to elucidate the role of vital heat
their components? What allows substances to maintain their in giving rise to the functions which on the level of the theory of
physical unity at any time and over stretches of time? The question soul are ascribed to the nutritive soul. It will turn out that these
has more to it than meets the eye. For the premisses of Aristotle's functions-namely informing matter, Le. producing and endowing
theory of matter in fact positively imply that composite substances with persistence the homoeomerous parts in the living body and
should disintegrate rather rapidly. For one thing, a composite effectuating sexual generation-Aristotle considers in his
substance is compounded of the four opposing powers which physiological theory to be brought about by vital heat. It is
maintain an inherently unstable equilibrium, with the implication erroneous to think of Aristotle's vital heat as merely an efficient
that any composite substance should disintegrate before long. cause used by the soul as an 'instrument'. Aristotle, I will argue,
Again, it is an essential postulate of Aristotle's physics that each rather construes vital heat as formative: where vital heat acts on
element has a natural movement toward its natural place: on suitable matter, it endows it with forms; it warms and at the
these premisses, too, any composite substance should instantly same time also informs. Specifically, in Aristotle's theory, vital
disintegrate, with its components flying off upward or downward. heat is the physiological agent bringing about plant and animal
This corollary is underpinned by Aristotle's metaphysics: as Mary reproduction, so that the eternity of species hinges on it. In
Louise Gill has recently emphasized, the four elements'a chieve. Aristotle's theory, matter is structured not by extraneous Forms,
their fullest being when they are separate in a state of uncombined but rather by the vital heat that is immanent to the substances
simplicity', with the consequence that at any given time the unity existing at any given moment. Furthermore and consistently, it
of a composite substance 'is fragile and is easily destroyed'. is vital heat that also allows already constituted animate homo~
Therefore, 'what needs to be explained is why the unity lasts, eomerous substances to persist. An excursus into Aristotle's
given the fact that the lower materials tend to disperse,.l chemistry2 of inanimate composite substances will confirm this
There are thus two areas of phenomena for which Aristotle's claim: Aristotle had a theory according to which the cohesion of
theory of matter provides no accounts of its own. Consequently, inanimate substances depends upon heat which inheres in them
if Aristotle wished to explain these phenomena, he had to (namely the heat which entered them when they came to be
introduce additional postulates complementing the theory of the through concoction).
four elements and four qualities. Scholars have indeed identified Not only the nutritive soul, but higher soul-capacities too in~
these complements: natural teleology is held to explain the genesis volve, and to some extent are determined by, vital heat. Aristotle
of living substances within matter; form (or soul) is affirmed to
be an 'active cause' which endows a substance with its material . 2 The legitimacy of applying the term 'chemistry' to Aristotle's theories is
disputed; d. e.g. During, Aristotle's Chemical Treatise, 9-10; Furley, 'The Mechan
persistence and unity, allowing it to persevere in its this-ness.
ics of Meteorologica IV', 90 (= Cosmic Problems, 145); Strohm, 'Beobachtungen',
94 ff. I trust, though, that my use of the anachronistic, but convenient, term does
I Gill, Aristotle 01/ Substallce, 166-7. not involve any conceptual anachronism, presentism, or Whiggishness.
4 Introduction Introduction 5
holds that the vital heat is involved in determining the per physiological notion of vital heat as it can be recovered from the
ceptive and intellective capacities of living beings (the uniquely biological treatises grew out of this early concept once Aristotle
human no us alone excepted). This doctrine, it will be seen, rests introduced into his physics the idea of the supralunar inert 'first
on the theory of vital heat in conjunction with Aristotle's chem body' (what later became known as 'ether'): vital heat took over
istry, which specifies the differential effects of heat on substances some of the roles of the former divine heat. Aristotle's physio
with different compositions. Vital heat will thus emerge as what, logical concept of vital heat emerged, as it were, from the de
on the physiological level, underlies the functioning of the entire theologization of a Presocratic-type cosmology and metaphysicS.
soul (the intellect excluded). Indeed, it will emerge that vital heat One important result of this reconstruction of the development
defines the scala naturae, i.e. the scale of being as an o,ntological of Aristotle's thinking is that it shows that the cosmological views
hierarchy. Since heat has a cosmological reference (a natural of De philosophia are not-as is often assumed--entirely dissoci
motion upward), the scala naturae has such a reference too: spe ated from those we find in the acroamatic treatises.
cifically, the upright position of the most intelligent animal, man, The improved insight (or so I hope) into Aristotle's ideas on
conforms to nature. The role of vital heat in bringing about the vital heat opens the way to a new interpretation of Aristotle's
functions of nutritive soul-informing matter and allowing sub notoriously enigmatic theory of connate pneuma. This is the subject
stances to persist-thus appears as a part of a more comprehen of Chapter III. My point of departure is the attempt to under
sive physiological theory of soul-functions. Our enquiry will be stand what were the problems that Aristotle might have wished
limited to identifying that physiological theory, and will avoid to solve by introducing the notion of pneuma. I suggest, first, that
going into its philosophical implications, i.e. into questions relat Aristotle wished vital heat-the central explanatory concept of
ing to Aristotle's views on the 'mind-body' problem. his physiology-to be a substance (which can e.g. be assumed to
In Chapter II I suggest that Aristotle's theory of vital heat has have a natural motion upward) and that he construed the connate
to be viewed against the background of earlier doctrines, and pneuma as its substrate. Second, I argue that at certain crucial
specifically against that of Aristotle's own early philosophy. We spots the account of soul-functions in terms of vital heat was
will in fact see that Aristotle's accounts of the dependence of inherently deficient and that the complete theory of connate
soul-faculties upon physiological factors have striking similarities pneuma (presumably the theory was never completed) was to
with certain Presocratic theories. Also, the assumption that the account for those soul-capacities for which the accounts in terms
vital heat has a natural upward motion is common stock of of vital heat broke down.
Presocratic thought. Such affinities, the observation that some of In the last chapter I follow Aristotle in exchanging the phy
Aristotle's affirmations which have parallels in Presocratic thought siologist's vantage point for that of the chemist, who considers
cannot be properly grounded within his framework, and lastly substances without regard to whether or not they belong to living
the very fact that Aristotle ascribes to heat so central a role in his beings, trying to figure out what in the composition of these
physio-psychology, call for a further look into the presuppositions clumps of matter determines their properties, specifically their
capacity to resist disintegration. The systematic reconstruction of
underlying his physiology.
New light on these presuppositions is indeed shed by what I Aristotle's theory of the disruption of cohesion-discussed nota
think was Aristotle's early theological cosmology. I put forward bly in book 4 of the Meteorologica-allows us to gain inSight into
a new interpretation of Aristotle's cosmology and metaphysics how Aristotle construed its causes. Our investigation will un
as they can be recovered from, notably, the fragments of the cover a general theory on which the cause of cohesion is the heat
dialogue De philosophia, and suggest that it centred around the inhering in a composite substance: this theory is in continuity
notion of heat: Aristotle there held heat (thermon) to be the fourth with the theory of vital heat as reconstructed in Chapter I and so
and uppermost element, which he construed as a divine, Aristotle's thinking on the chemistry of animate and of inanimate
pervasive, life-endowing substance, which is at once the sub substances seems to form a unity. (This unity in tum confirms
stance of the gods and of man's mind. I further suggest that the our interpretation of the theories.) We further encounter the idea
