Why does Plato Shackle the Neck in the Allegory of the Cave?

Anyone who is familiar with Plato has no doubt noticed the emphasis that he places on focusing our attention on the world of being and ignoring the world of becoming.  Another way of saying this is that the present material world is less important than the everlasting eternal world of truth and Forms.

In this post, I want to point out similar imagery which is used in three different dialogues, all concerned with the ultimate apprehension of reality.  In these dialogues, Plato uses the imagery of the head, when it is free and unencumbered, as a symbol for the ability to properly see the intelligible realm, the heavenly realm, the realm of reality.

Let us first look at the Phaedrus.  As Socrates has narrated about the life of the gods, he next wishes to tell us about the life of mortals.  He does so, using the framing metaphor of the charioteer and horses as a stand-in for the soul.

And this is the life of the gods.  But of the other souls, one follows god best and is like him and raises the head of the charioteer into the realm outside, being carried together in the revolution, and being thrown into tumult by the horses and seldom see the things that really are.  But the other soul raises it head, then lowers it, and because the horses are being forceful, it sees some things and other things it does not.  All the other souls are striving to follow the region above, but are unable… (Phaedrus 248a1-e1). 1

Thus, the raising of the head is symbolic of the ability to see truths and real being that transcends the mundane and insubstantial.

In the Phaedo we see a similar line of thought.  A description has just been given of the earth, how it is much larger than we imagine it to be.  Here the comparison is to a fish, if it could lift its head above the water and see what is happening upon the earth.

By weakness and stupidity we are not able to pass through to the farthest aether.  Since, if someone were to go to the heights of the earth or having become winged, took flight, he would lift his head and look around, just as here the fish in the sea can lift their heads to see the things on earth, so someone could see the things there [in the realm above] (Phaedo 109e1-5). 2

It is helpful to keep in mind the kind of philosophical power and freedom which is represented by the head.  With the Phaedo and Phaedrus in the background, a certain famous passage in the Republic, the allegory of the cave, becomes enriched.  Here also the dignity of the head, being the repository of sight, the noblest of the senses, is emphasized, but by negation.  It is not the freedom of the head here, but its imprisonment that merits mentioning.

Being in this [cave] since childhood in shackles around their legs and necks, so that they remain in place only to see straight before them, but they are unable to turn their heads about in a circle because of the bond (Republic 514a5-b2). 3

The prisoner in the cave, ignorant of what is happening outside the cave, has his neck restrained in such a way that he cannot even move it.  It seems plausible to believe the main purpose of the shackles around his neck are not meant to keep him in one place, after all the leg shackles, already described, will do that.  Rather, the purpose of a bond around his neck is meant to keep him undiscerning.  After all, this is the answer when it is asked whether such a prisoner could see through the shadows to the real world:

For how could they, if they were forced to have their necks unmoving through life? (Republic 515a9-b1). 4

 


 

1 (a)   Καὶ οὗτος μὲν θεῶν βίος· αἱ δὲ ἄλλαι ψυχαί, ἡ μὲν
ἄριστα θεῷ ἑπομένη καὶ εἰκασμένη ὑπερῆρεν εἰς τὸν ἔξω
τόπον τὴν τοῦ ἡνιόχου κεφαλήν, καὶ συμπεριηνέχθη τὴν
περιφοράν, θορυβουμένη ὑπὸ τῶν ἵππων καὶ μόγις καθορῶσα
τὰ ὄντα· ἡ δὲ τοτὲ μὲν ἦρεν, τοτὲ δ’ ἔδυ, βιαζομένων δὲ τῶν   (5)
ἵππων τὰ μὲν εἶδεν, τὰ δ’ οὔ. αἱ δὲ δὴ ἄλλαι γλιχόμεναι
μὲν ἅπασαι τοῦ ἄνω ἕπονται, ἀδυνατοῦσαι δέ…

2  (e) τόν, ὑπ’ ἀσθενείας καὶ βραδυτῆτος οὐχ οἵους τε εἶναι ἡμᾶς
διεξελθεῖν ἐπ’ ἔσχατον τὸν ἀέρα· ἐπεί, εἴ τις αὐτοῦ ἐπ’ ἄκρα
ἔλθοι ἢ πτηνὸς γενόμενος ἀνάπτοιτο, κατιδεῖν <ἂν> ἀνακύ-
ψαντα, ὥσπερ ἐνθάδε οἱ ἐκ τῆς θαλάττης ἰχθύες ἀνακύ-
πτοντες ὁρῶσι τὰ ἐνθάδε, οὕτως ἄν τινα καὶ τὰ ἐκεῖ κατιδεῖν…   (5)

3 ἐν ταύτῃ ἐκ παίδων ὄντας ἐν δεσμοῖς καὶ τὰ   (5)
σκέλη καὶ τοὺς αὐχένας, ὥστε μένειν τε αὐτοὺς εἴς τε τὸ
(b) πρόσθεν μόνον ὁρᾶν, κύκλῳ δὲ τὰς κεφαλὰς ὑπὸ τοῦ δεσμοῦ
ἀδυνάτους περιάγειν…

4 Πῶς γάρ, ἔφη, εἰ ἀκινήτους γε τὰς κεφαλὰς ἔχειν ἠναγκα-
(b) σμένοι εἶεν διὰ βίου;