Biographical and Historical Background
Niccolò Machiavelli was born on
May 3, 1469, in Florence, Italy, and passed his childhood peacefully, receiving
the humanistic education customary for young men of the Renaissance middle
class. He also spent two years studying business mathematics, then worked for
the next seven years in Rome for a Florentine banker. After returning to
Florence in 1494, he witnessed the expulsion of the Medici family, oligarchic
despots who had ruled Florence for decades, and the rise of Girolamo
Savanorola, a Dominican religious zealot who took control of the region shortly
thereafter.
Italy at that time became the
scene of intense political conflict. The city-states of Florence, Milan,
Venice, and Naples fought for control of Italy, as did the papacy, France,
Spain, and the Holy Roman Empire. Each of these powers attempted to pursue a
strategy of playing the other powers off of one other, but they also engaged in
less honorable practices such as blackmail and violence. The same year that
Machiavelli returned to Florence, Italy was invaded by Charles VIII of
France—the first of several French invasions that would occur during
Machiavelli’s lifetime. These events influenced Machiavelli’s attitudes toward
government, forming the backdrop for his later impassioned pleas for Italian unity.
Because Savanorola criticized the
leadership of the Church, Pope Alexander VI cut his reign short by
excommunicating him in 1497. The next year, at the age of twenty-nine,
Machiavelli entered the Florentine government as head of the Second Chancery
and secretary to the Council of Ten for War. In his role as chancellor, he was
sent to France on a diplomatic mission in 1500. He met regularly with Pope
Alexander and the recently crowned King Louis XII. In exchange for a marriage
annulment, Louis helped the pope establish his son, Cesare Borgia, as the duke
of Romagna. The intrigues of these three men would influence Machiavelli’s
political thought, but it was Borgia who would do the most to shape
Machiavelli’s opinions about leadership. Borgia was a cunning, cruel, and
vicious politician, and many people despised him. Nevertheless, Machiavelli
believed Borgia had the traits necessary for any leader who would seek to unify
Italy.
In 1500, Machiavelli married
Marietta di Lodovico Corsini, with whom he had six children. Three years later,
Pope Alexander VI became sick with malaria and died. Alexander VI’s
successor died after less than a month in office, and Julius II, an enemy of
Borgia’s, was elected. Julius II later banished Borgia to Spain, where he died
in 1506.
Meanwhile, Machiavelli helped raise and train a Florentine civil militia in order to reduce Florence’s dependence on mercenaries. Later that year, he served as Florentine diplomat to Pope Julius, whose conduct as the “warrior pope” he observed firsthand. In 1512, the Medici family regained control of Florence, and Machiavelli was dismissed from office. A year later he was wrongly accused of participating in a conspiracy to restore the republic, held in jail for three weeks, and tortured on the rack. He left Florence for the quiet town of Sant’Andrea and decided to pursue a career in writing. In 1513 he began writing his Discourses on the First Ten Books of Titus Livius, a book that focused on states controlled by a politically active citizenry. It was not finished until 1521, mainly because he interrupted his work on Discourses to write The Prince.
Machiavelli desperately wanted to
return to politics. One of his goals in writing The Prince was to win the favor of Lorenzo de’
Medici, then-governor of Florence and the person to whom the book is dedicated;
Machiavelli hoped to land an advisory position within the Florentine
government. But Medici received the book indifferently, and Machiavelli did not
receive an invitation to serve as an official. The public’s reaction to The Prince was also indifferent at first. But
slowly, as word spread, the book began to be criticized as immoral, evil, and
wicked.
Besides the Discourses, Machiavelli went on to write The Art of Warand a comedic
play, The Mandrake. After Lorenzo’s premature death in
1519, his successor, Giulio, gave Machiavelli a commission to writeThe
Florentine History as well as
a few small diplomatic jobs. Machiavelli also wrote The Life of Castruccio Castracani in 1520 andClizia, a comedic play. In 1526, Giulio de’
Medici (now Pope Clement VII), at Machiavelli’s urging, created a commission to
examine Florence’s fortifications and placed Machiavelli on it.
In 1527, the diplomatic errors of
the Medici pope resulted in the sack of Rome by Charles V’s mercenaries. The
Florentines expelled their Medici ruler, and Machiavelli tried to retake the
office he had left so before. But his reputation got in the way of his
ambitions. He was now too closely associated with the Medicis, and the republic
rejected him. Soon, Machiavelli’s health began to fail him, and he died several
months later, on June 21, 1527.
Philosophical Context
[A]nyone compelled to choose
will find greater security in being feared than in being loved.
The most revolutionary aspect of The Prince is its separation of politics and
ethics. Classical political theory traditionally linked political law with a
higher, moral law. In contrast, Machiavelli argues that political action must
always be considered in light of its practical consequences rather than some
lofty ideal.
Another striking feature of The Prince is that it is far less theoretical
than the literature on political theory that preceded it. Many earlier thinkers
had constructed hypothetical notions of ideal or natural states, but Machiavelli
treated historical evidence pragmatically to ground The Prince in real situations. The book is
dedicated to the current ruler of Florence, and it is readily apparent that
Machiavelli intends for his advice to be taken seriously by the powerful men of
his time. It is a practical guide for a ruler rather than an abstract treatise
of philosophy.
Machiavelli’s book also
distinguishes itself on the subject of free will. Medieval and Renaissance
thinkers often looked to religion or ancient authors for explanations of
plagues, famines, invasions, and other calamities; they considered the actual
prevention of such disasters to be beyond the scope of human power. In The Prince,when Machiavelli
argues that people have the ability to shield themselves against misfortune, he
expresses an extraordinary confidence in the power of human self-determination
and affirms his belief in free will as opposed to divine destiny.
Since they were first published,
Machiavelli’s ideas have been oversimplified and vilified. His political
thought is usually—and unfairly—defined solely in terms of The Prince. The adjective “Machiavellian” is
used to mean “manipulative,” “deceptive,” or “ruthless.” But Machiavelli’s Discourses, a work considerably
longer and more developed than The
Prince, expounds republican
themes of patriotism, civic virtue, and open political participation.
Overview
Machiavelli composed The Prince as
a practical guide for ruling (though some scholars argue that the book was
intended as a satire and essentially a guide on how not to
rule). This goal is evident from the very beginning, the dedication of the book
to Lorenzo de’ Medici, the ruler of Florence. The Prince is
not particularly theoretical or abstract; its prose is simple and its logic
straightforward. These traits underscore Machiavelli’s desire to provide
practical, easily understandable advice.
The
first two chapters describe the book’s scope. The Prince is
concerned with autocratic regimes, not with republican regimes. The first
chapter defines the various types of principalities and princes; in doing so,
it constructs an outline for the rest of the book. Chapter III comprehensively
describes how to maintain composite principalities—that is, principalities that
are newly created or annexed from another power, so that the prince is not
familiar to the people he rules. Chapter III also introduces the book’s main
concerns—power politics, warcraft, and popular goodwill—in an encapsulated
form.
Chapters
IV through XIV constitute the heart of the book. Machiavelli offers practical
advice on a variety of matters, including the advantages and disadvantages that
attend various routes to power, how to acquire and hold new states, how to deal
with internal insurrection, how to make alliances, and how to maintain a strong
military. Implicit in these chapters are Machiavelli’s views regarding free
will, human nature, and ethics, but these ideas do not manifest themselves
explicitly as topics of discussion until later.
Chapters
XV to XXIII focus on the qualities of the prince himself. Broadly speaking,
this discussion is guided by Machiavelli’s underlying view that lofty ideals
translate into bad government. This premise is especially true with respect to
personal virtue. Certain virtues may be admired for their own sake, but for a
prince to act in accordance with virtue is often detrimental to the state.
Similarly, certain vices may be frowned upon, but vicious actions are sometimes
indispensable to the good of the state. Machiavelli combines this line of
reasoning with another: the theme that obtaining the goodwill of the populace
is the best way to maintain power. Thus, the appearance of
virtue may be more important than true virtue, which may be seen as a
liability.
The
final sections of The Prince link the book to a specific
historical context: Italy’s disunity. Machiavelli sets down his account and
explanation of the failure of past Italian rulers and concludes with an
impassioned plea to the future rulers of the nation. Machiavelli asserts the
belief that only Lorenzo de’ Medici, to whom the book is dedicated, can restore
Italy’s honor and pride.
Terms & People
Agathocles -
Ruler of Syracuse (317–310
B.C.) who conquered all of Sicily except for territory dominated by
Carthage; he was eventually defeated by the Carthaginian army.
Alexander -
Alexander the Great, king of Macedonia (336–323 B.C.). He conquered Greece, Persia,
and much of Asia.
Alexander VI - Elected pope in 1492. Challenged by French
invasion of Italy and a war between France and Spain. Father of Cesare Borgia.
Auxiliary troops - Troops borrowed from other nations to fight for a
prince. Organized and effective in battle, they nonetheless have loyalties to
their home state.
Cesare Borgia - Also called Duke Valentino (1476–1507). Cesare
Borgia was made duke of Romagna by his father, Pope Alexander VI, in 1501. He
lost power after the death of the pope. Cesare Borgia is Machiavelli’s primary
example of a prince who has great prowess, as displayed by his efforts to
secure his state quickly after he was put in power.
Composite principality - A principality that is either newly created or
annexed from another power. These principalities can differ in their culture,
language, and attitudes in relation to the prince, since he is an unfamiliar
ruler. These principalities pose the most difficulties.
Ecclesiastical principalities - A principality technically under the rulership of
a prince, but nonetheless strongly dominated by the Church.
Hereditary principality - A principality ruled by a prince whose family has
controlled the principality for several generations. Hereditary principalities,
according to Machiavelli, are generally easy to rule and maintain.
Julius II -
Reigned as pope 1503–1513. Julius II strengthened the power of the Church
through vigorous leadership and intelligent diplomacy. He defeated Roman barons
and negotiated an alliance against France.
Mercenary troops - Troops that are paid to perform a service for the
prince. Because they have no loyalty to the prince, and money is their only
inducement to fight, they are unreliable as a means of defense. They will be
unwilling to die in battle and therefore will not fight vigorously.
Native troops - Broad term to describe the native army of a
principality, consisting of countrymen and commanded either by a prince himself
or a confidant.
Principality -
A localized territory or region ruled by a prince (or princess), from which the
term is derived. A prince may rule more than one principality. All
principalities can be grouped under the general category of “state.” A
principality is ruled autocratically and is therefore distinguished from a
republic, the only other type of state. For the most part, the advice found
in The Prince is geared toward principalities, although the
book does reference republics in some cases.
Prowess -
The ability to conquer and govern. Machiavelli uses this term as the opposite
of “fortune.”
Republic -
A state not ruled by a monarch or prince but headed by elected officials
accountable to a larger citizenry. Machiavelli distinguishes a republic from a
principality, which the bulk of The Prince takes as
its subject.
Theseus -
Hero of Attica, king of Athens. According to legend, he killed the Minotaur in
the Cretan labyrinth.
Themes
Statesmanship
& Warcraft
Machiavelli believes that good laws follow naturally from
a good military. His famous statement that “the presence of sound military
forces indicates the presence of sound laws” describes the relationship between
developing states and war in The
Prince. Machiavelli reverses the conventional understanding of war as a
necessary, but not definitive, element of the development of states, and
instead asserts that successful war is the very foundation upon which all
states are built. Much of The
Prince is devoted to
describing exactly what it means to conduct a good war: how to effectively
fortify a city, how to treat subjects in newly acquired territories, and how to
prevent domestic insurrection that would distract from a successful war. But
Machiavelli’s description of war encompasses more than just the direct use of
military force—it comprises international diplomacy, domestic politics,
tactical strategy, geographic mastery, and historical analysis. Within the
context of Machiavelli’s Italy—when cities were constantly threatened by
neighboring principalities and the area had suffered through power struggles
for many years—his method of viewing almost all affairs of state through a
military lens was a timely innovation in political thinking.
Goodwill
& Hatred
To remain in power, a prince must avoid the hatred of his
people. It is not necessary for him to be loved; in fact, it is often better
for him to be feared. Being hated, however, can cause a prince’s downfall. This
assertion might seem incompatible with Machiavelli’s statements on the utility
of cruelty, but Machiavelli advocates the use of cruelty only insofar as it
does not compromise the long-term goodwill of the people. The people’s goodwill
is always the best defense against both domestic insurrection and foreign
aggression. Machiavelli warns princes against doing things that might result in
hatred, such as the confiscation of property or the dissolution of traditional
institutions. Even installations that are normally valued for military use,
such as fortresses, should be judged primarily on their potential to garner
support for the prince. Indeed, only when he is absolutely sure that the people
who hate him will never be able to rise against him can a prince cease to worry
about incurring the hatred of any of his subjects. Ultimately, however,
obtaining the goodwill of the people has little or nothing to do with a desire
for the overall happiness of the populace. Rather, goodwill is a political
instrument to ensure the stability of the prince’s reign.
Free
Will
Machiavelli often uses the words “prowess” and “fortune”
to describe two distinct ways in which a prince can come to power. “Prowess”
refers to an individual’s talents, while “fortune” implies chance or luck. Part
of Machiavelli’s aim in writing The
Prince is to investigate how
much of a prince’s success or failure is caused by his own free will and how
much is determined by nature or the environment in which he lives. Machiavelli
applies this question specifically to the failure of past Italian princes. In
Chapter XXV, Machiavelli discusses the role of fortune in determining human
affairs. He attempts to compromise between free will and determinism by arguing
that fortune controls half of human actions and leaves the other half to free
will. However, Machiavelli also argues that through foresight—a quality that he
champions throughout the book—people can shield themselves against fortune’s
vicissitudes. Thus, Machiavelli can be described as confident in the power of
human beings to shape their destinies to a degree, but equally confident that
human control over events is never absolute.
Virtue
Machiavelli defines virtues as qualities that are praised
by others, such as generosity, compassion, and piety. He argues that a prince
should always try to appear virtuous, but that acting virtuously for virtue’s
sake can prove detrimental to the principality. A prince should not necessarily
avoid vices such as cruelty or dishonesty if employing them will benefit the
state. Cruelty and other vices should not be pursued for their own sake, just
as virtue should not be pursued for its own sake: virtues and vices should be
conceived as means to an end. Every action the prince takes must be considered
in light of its effect on the state, not in terms of its intrinsic moral value.
Human
Nature
Love endures
by a bond which men, being scoundrels, may break whenever it serves their
advantage to do so; but fear is supported by the dread of pain, which is ever
present.
Machiavelli asserts that a number of traits are inherent
in human nature. People are generally self-interested, although their affection
for others can be won and lost. They are content and happy so long they are not
victims of something terrible. They may be trustworthy in prosperous times, but
they will quickly turn selfish, deceitful, and profit-driven in times of adversity.
People admire honour, generosity, courage, and piety in others, but most of
them do not exhibit these virtues themselves. Ambition is commonly found among
those who have achieved some power, but most common people are satisfied with
the present condition and therefore do not yearn for increased status. People
will naturally feel a sense of obligation after receiving a favor or service,
and this bond is usually not easily broken. Nevertheless, loyalties are won and
lost, and goodwill is never absolute. Such statements about human nature are
often offered up as justifications for the book’s advice to princes. While
Machiavelli backs up his political arguments with concrete historical evidence,
his statements about society and human nature sometimes have the character of
assumptions rather than observations.
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