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Research Integrity
Research Integrity
Best Practices for the Social and
Behavioral Sciences
Edited by
L E E J. J U S SI M ,
J O N A . K R O SN IC K ,
AND
SE A N T. S T EV E N S
1
3
Oxford University Press is a department of the University of Oxford. It furthers
the University’s objective of excellence in research, scholarship, and education
by publishing worldwide. Oxford is a registered trade mark of Oxford University
Press in the UK and certain other countries.
DOI: 10.1093/oso/9780190938550.001.0001
1 3 5 7 9 8 6 4 2
Printed by Integrated Books International, United States of America
This book is dedicated to every person who ever aspired to a career in academic
science or social science, who was committed to truthseeking, and who was
forced out of such a career because they could not successfully compete with
the superstars who produced highly funded, highly cited, highly influential but
ultimately invalid research.
Contents
Preface ix
Contributors xi
1. Science Reform 1
Annabell Suh, Jon A. Krosnick, Lee J. Jussim, Sean T. Stevens, and
Stephanie Anglin
2. Improving Research Transparency in the Social Sciences:
Registration, Preregistration, and Multiple Testing
Adjustments 36
Garret Christensen and Edward Miguel
3. What Can We Do About Our (Untrustworthy) Literature? 70
Harold Pashler and Christine R. Harris
4. Is Science in Crisis? 93
Daniele Fanelli
5. Accuracy and Completeness in the Dissemination of
Classic Findings in Social Psychology 122
David A. Wilder and Thomas E. Cuthbert
6. Strengths and Weaknesses of Meta-Analyses 150
Katherine S. Corker
7. Statistical Inference in Behavioral Research: Traditional and
Bayesian Approaches 175
Alexander Etz, Steven N. Goodman, and Joachim Vandekerckhove
8. Stimulus Sampling and Research Integrity 203
James J. Cummings and Byron Reeves
9. Questionable Interpretive Practices: Data (Mis)Interpretation
and (Mis)Representation as Threats to Scientific Validity 224
Lee J. Jussim, Sean T. Stevens, and Stephanie Anglin
10. Questionable Research Practices 260
Ernest H. O’Boyle and Martin Götz
viii Contents
Index 423
Preface
Knowing what is true is hard. Discovering new truths is even harder. How do
we know when some new scientific discovery should be accepted as true? In
the physical sciences, new discoveries can usually be checked against phys-
ical realities. If global warming is predicted to produce more hurricanes in
the future, this will either occur or not. Yet, even if it does not occur, this does
not mean that claims that the Earth is warming are false; but it does mean
that more frequent hurricanes has not been a consequence.
In the social and behavioral sciences, identifying new truths is more dif-
ficult. Meteorologists have widely-agreed upon, objective standards as to
what constitutes a hurricane (a rotating storm system with winds of at least
74mph). Biomedical researchers working on vaccines to prevent infectious
diseases can determine whether new vaccines are effective by comparing ill-
ness rates among those administered and not administered vaccines, espe-
cially if they are randomly assigned. People either get sick or they don’t; they
are either hospitalized or they are not; they either die or they do not.
Such objectively measurable outcomes in social science are rare. Social
scientists have no similarly objective standards for determining what
constitutes high self-esteem, prejudice, or motivation. This is not to say they
cannot study these phenomena—but the absence of objective standards
against which to test their theories and hypotheses heightens the uncertainty
surrounding whatever is found, and introduces more subjectivity when
attempting to interpret whatever is found.
This problem is compounded when scientists underestimate the uncer-
tainty of their findings. Many incentives align to encourage scientists to
drape their findings in the trappings of rigor (complex statistics, sophisti-
cated models, arcane theories, etc.) and confidently proclaim “Eureka!” to a
world that mostly lacks the training necessary to understand why they might
not want to trust those findings. It often takes years, maybe decades, of in-
tense skeptical vetting by other scientists before claims of new scientific dis-
coveries are either clearly confirmed or debunked. As Mark Twain probably
never actually said, but is a good point nonetheless, “It ain’t what you don’t
know that gets you in trouble. It’s what you know for sure that just ain’t so.”
x Preface
This book was inspired by a growing recognition in many social and be-
havioral science fields that what we knew for sure just isn’t so. The results of
famous studies were not replicated. Dubious methodological practices were
endorsed and used far more widely than was good for us. Peer review’s repu-
tation for insuring quality vastly exceeded its track record.
One consequence of this growing recognition of the extent of uncertainty
in the social and behavioral sciences has been a nascent movement to re-
form and improve scientific practices. Thus, this book has two connected
purposes. The first is to identify, describe and expose known suboptimal
scientific practices so that future generations of scientists and science con-
sumers can more deeply understand the limitations of research and more ef-
fectively skeptically vet it so that fewer mistakes enter the scientific canon in
the future. The second purpose is to identify and describe practices that have
emerged from exposés of suboptimal practices that offer considerable hope
of reducing the uncertainty around, and improving the validity of, research
in the social and behavioral sciences.
Contributors
This paper reports the content and implications of discussion of issues in best
practices in science during a conference on maximizing scientific integrity,
funded by the Fetzer Franklin Fund, and held at the Center for Advanced
Study in the Behavioral Sciences at Stanford University.
Widespread concern about scientific methodology presents an opportu-
nity for meta-research on how the process of scientific inquiry works. Much
of this chapter was inspired by discussions held during a conference held at
Stanford regarding scientific integrity. In it, we identify potentially useful
directions for research on how behavioral science goes wrong and how to
improve it. We review known problematic practices, identify several others,
and review the potential causes of such behaviors. We also review existing
solutions to these problems and identify additional potential solutions. We
argue that far more empirical research on the nature of scientific processes
is necessary, in order to maximize the efficiency of scientific inquiry and the
validity of scientific conclusions.
Introduction
Annabell Suh, Jon A. Krosnick, Lee J. Jussim, Sean T. Stevens, and Stephanie Anglin, Science Reform In: Research
Integrity. Edited by: Lee J. Jussim, Jon A. Krosnick, and Sean T. Stevens, Oxford University Press. © Oxford University
Press 2022. DOI: 10.1093/oso/9780190938550.003.0001
2 Annabell Suh et al.
Overview
Conference Overview
While in recent years there has been wide public debate and discussion
over major and obviously problematic issues in scientific practice, such as
outright fraud, the Center for Advanced Study in the Behavioral Sciences
(CASBS) Scientific Integrity Group from Stanford University and Rutgers
University recognized the need for systematic empirical research and thor-
ough discussions about best practices in science as a whole. Behaviors that
are not, at face value, unethical, but nonetheless lead to inaccurate scien-
tific findings, especially require thoughtful analysis and behavioral science
insights. Such behaviors have not been adequately studied or analyzed.
To fill that gap, the group, led by Professors Jon Krosnick, Lee Jussim, and
Simine Vazire with advisers/consultants Jonathan Schooler, Brian Nosek,
and Leif Nelson, convened experts from various fields at the Best Practices
in Science Conference, on June 18–19, 2015. These experts engaged in de-
tailed discussions on problematic behaviors or issues, what may cause those
behaviors or issues, and potential solutions, with a focus on exploring how to
empirically examine the extent of the problems and the best solutions.
Participants ranged from academics who have studied specific problem-
atic behaviors or issues to government officials working in the area of sci-
entific integrity. Discussions spanned the spectrum from specific, focused
on one specific issue and all of its potential causes and effects, to broad,
exploring the complexities of the scientific world and its players and incen-
tive structure.
The ideas in this chapter have been inspired by the discussions that
took place.
These cases of outright fraud harm science in many ways, yet the damage
can be traced and targeted with solutions. For instance, the papers can be
retracted and word can be spread so that young investigators are aware of the
inaccurate papers and data.
Even trickier, however, are behaviors that are not as serious as falsifying
data but nonetheless lead to inaccurate scientific findings. Following the
trail of these behaviors to their causes, in order to determine solutions, is
difficult and involves parsing the complicated webs of causes, incentives,
and cultures. There is often not a simple one-to-one relationship between
behaviors and causes, making it difficult to quickly understand which
solutions will help.
Even unambiguously problematic behaviors, such as p-hacking by manip-
ulating statistics or data to find significant p-values, or selectively publishing
only successes and not failures, have many potential causes that might have
other causes. For instance, researchers are able to hide such questionable re-
search practices due to a lack of transparency, which might arise from pow-
erful incentives to publish compared to small incentives to be transparent,
or lack of knowledge, whether practical or cultural, preventing people from
trying transparency measures. That lack of knowledge may be caused or
exacerbated by cultural norms, or even basic human tendencies, of following
the procedures, rules, and knowledge structure of others.
Even what may seemingly be a quick fix, such as increasing transpar-
ency, is complicated. An academic culture comprising many different
kinds of parties, from graduate students to professors to journal editors and
reviewers, has multiple layers of differing and perhaps competing incentives.
Researchers, for instance, may want transparency only if they receive rewards
for doing so, but not if there are no rewards and it takes time away from
working on other papers to be published. Journal editors, on the other hand,
may not want to require transparency because they might lose submissions
that would be sent to other journals that were less stringent about transpar-
ency, or need to keep page counts to certain limits for financial purposes. Or
they might adopt transparency requirements if researchers submit stronger
and better research as a result of having to be transparent.
Other causes of these behaviors may be difficult or complicated to ad-
dress. An overreliance on p-value cutoffs in certain fields may make people
fish for significant p-values, but it may not be possible to ban the use of p-
value thresholds from a practice and culture of science that uses them and
conceives of scientific problems in relation to them.
Science Reform 5
Some purported solutions, which are research procedures that are designed
to minimize biases and problematic behaviors, are currently being
implemented. For example, biases, such as publication bias, can distort
meta-analyses, which are based on a number of studies, some problem-
atic and some not. Thus, some techniques help to identify the extent of the
biases, correct for them in some way, and understand what effect they have
on estimates(see Corker, this volume, for a review of some of those newer
techniques)
Other solutions, however, particularly those that are not new research
techniques, are not simple to isolate and implement. Some proposed
solutions, for example, have to do with culture, which often has many dif-
ferent components. One proposed solution about culture assumes that the
Science Reform 7
First, the report will explore research questions about specific problematic
behaviors or issues in order to ascertain which ones are in need of solutions.
From there, it will present research questions for causes of behaviors to see
which ones are relevant for potential solutions. Finally, it will examine re-
search questions for solutions, and present study designs that could be
implemented right away.
there are dangerous risks for scientists who cut corners by engaging in these
behaviors. Scientists who are caught for p-hacking or selective reporting,
then, may take a stronger hit professionally and in the public eye than they
would in a profession that is not seen as one that should be objective and
accurate. It might follow that scientists would not be particularly willing to
engage in these behaviors knowing the massive consequences for getting
caught. Nor is it likely that people who have chosen to go into science take
immense joy in taking shortcuts to produce a certain outcome, given the em-
phasis even early on in the educational system on the “objective” scientific
method (Mellado, 1997).
Thus, an important question to consider when exploring QRPs is not
only whether researchers engage in them, but also how willingly they do
so. The answer to this question points to the extent of the problem at hand.
If researchers frequently p-hack or selectively report and they are not very
willing to do so, the next steps might be determining what causes these
behaviors, and then providing solutions based on those causes. Yet if it turns
out that researchers frequently p-hack or selectively report and they are very
willing to do so, it is not enough to find causes of the behaviors and a solu-
tion for each cause. It is instead necessary to explore why they are willing to
engage in the behaviors, and the reason may not be simple. This may point to
causes, solutions, and even more problems or issues that would not arise oth-
erwise, and may be more difficult to fix.
Incentives are another piece of the puzzle for QRPs. Much discussion
has maligned incentives of the academic world that reward a high quan-
tity of publications, which have a lower likelihood of being accepted into a
journal with nonsignificant results (Dwan et al., 2013). But it is not yet clear
how important or impactful professional incentives are to researchers. It
might be that incentives greatly impact researchers’ behavior. On the other
hand, it could be that professional incentives pale in comparison to other
factors, such as personal incentives like status or appearing knowledgeable
and capable. Before examining to what extent incentives cause problematic
10 Annabell Suh et al.
behavior, which the next section will explore, it is important to first establish
that incentives are important in general.
QRPs might also arise from a different issue. Some argue that researchers
do not understand p-values very well. Researchers see p-values as entirely
objective, which might lead to inappropriate and incorrect decisions about
how to calculate p-values and which ones to use.
In addition, errors of other kinds occur, but it is not yet clear how wide-
spread they are. Both unintentional errors and intentional problematic
behaviors can sometimes lead to the same outcome, such as non-replica-
bility, so it is important to determine to what extent errors and intentional
behaviors occur. One example of such errors is when even well-intentioned
researchers who are trying to carry out a protocol misinterpret it when
replicating a previous study. This may lead to replications not working or
interventions not working on a large scale, if many different people are ex-
pected to carry out the same procedure, or at least have the same and correct
understanding of the material.
Empirical research questions: How often are studies that are inaccurate or
flawed cited? On a given topic, what percentage of cited studies are inaccu-
rate or flawed?
Such lack of knowledge about which studies are inaccurate, and why,
might disproportionately affect researchers or students from institutions that
12 Annabell Suh et al.
Empirical research questions: How common is this? How often are studies
described inaccurately by the media? Does that impact people’s knowledge
of science, perceptions of science, and trust in science?
Many problematic behaviors and issues occur behind closed doors. As such,
it is difficult, even impossible, to find out why researchers engage in certain
behaviors by just examining the behaviors. Empirical research can unearth
the underlying causes behind issues, avoiding the inaccurate and even costly
way of making faulty assumptions about why things happen and ending up
with ineffective solutions.
Professional Incentives
Incentives are widely believed to cause, or at least increase, QRPs. There are
powerful professional incentives to publish papers. Citation counts or meas-
ures such as the h-index and the number of publications are commonly used
criteria for hiring, promotion, and tenure decisions within academia, despite
the drawbacks of using such criteria (Fanelli, 2010; Reinstein et al., 2011).
Competition for positions has increased in recent years, while the number of
available academic jobs has not (Weir, 2011).
These professional incentives might make researchers aim to pub-
lish as many papers as possible, especially ones seen as novel. While such
incentives spur academic output and ultimately scientific progress, they can
interact with certain tendencies of the academic environment to foster, over
time, more and more QRPs and problematic behavior. One tendency is for
journals to accept more papers with significant effects or results than not,
along with the widespread perception that papers with null effects will not
be accepted. In addition, innovative and groundbreaking work is commonly
aimed at being, at least within social psychology and other social science
fields, counterintuitive and unexpected in relation to past theoretical work
or common sense.
Thus, there is not only the incentive to engage in QRPs, but also an envi-
ronment that encourages this behavior, both for those who want to engage
in it and those who feel like they do not have a choice but to try. Researchers
who have spent many years in graduate school may feel the pressure of
limited job options and increased competition. Within another environ-
ment, the solution researchers consider might be to work harder, or to ex-
pand their professional network. Within academia, however, where citation
counts and publication counts reign, they may instead realize the only option
will be to get more papers published, any way that that is possible. When
14 Annabell Suh et al.
honest attempts to run studies yield null findings, researchers who feel that
journals will not accept the paper may round some numbers or leave out cer-
tain variables or conditions to keep only significant results. Or, many honest
attempts later, a researcher may finally find a significant effect and submit
this counter-intuitive, “wow” paper to a journal, even if the effect is solely due
to chance.
Empirical research questions: Does the desire to publish a lot of papers in-
crease the likelihood of engaging in QRPs? That is, if researchers were told
that citation counts and the number of publications would not factor as
much into decision-making as other factors, would they be less likely to en-
gage in QRPs? If researchers were told that counterintuitive and surprising
papers were not as important as thorough, “unsurprising” papers, would
they be less likely to engage in QRPs? Is there a greater chance of p-hacking
for “wow” papers that involve only a single study, compared to papers that
contain multiple studies/replications?
Some argue that it is not incentives, but cultural factors, that matter.
Researchers learn implicit knowledge of what the field does or is supposed
to do, as well as explicit knowledge of how to do certain tasks. This means
not only that researchers might imitate and go along with their colleagues or
advisors who engage in QRPs but also that researchers may be constrained
to certain traditional techniques or methods, rather than trying newer and
sounder methods.
step of the analysis process, because they feel that people will submit to other
journals instead. This incentive to publish the best submissions, then, makes
journals less willing to encourage transparency, and researchers thus do not
feel they need to take steps to do so.
Bias
Researchers are not free from bias. One bias that may plague researchers
might stem from a deep investment in the way a research question turns
out. This could be due to attacks from other researchers on the “other side”
or the researcher’s own political leaning. For instance, researchers could be
motivated to protect their research when it is criticized, and thus be more
Science Reform 17
If criticism is good for science, while bias is bad, the amount of political
diversity within a field might decrease the amount of bias in scientific work
while increasing criticism of it. It might be argued that political diversity
improves the quality of science in making it, overall, less biased and more
replicable. It could also be that political diversity creates more criticism,
which might make work clearer, more evidence-based, less problematic, and
more accurate.
18 Annabell Suh et al.
One bias that may plague researchers is the motivation to appear like a
knowledgeable expert in a certain area. Appearing extremely knowledge-
able might entail seeming to clearly understand the effect or results. This may
mean engaging in behaviors such as throwing away moderators that do not
work or contribute to confusion surrounding the effect.
Empirical research question: Does the desire to have a simple narrative in-
crease bias and QRPs or cause researchers to present results as simpler or
cleaner than they really are?
replications. This is especially the case with interventions, in which one in-
tervention that was studied at one place at one time is carried out in many
locations with different people running the study or participating in it.
Perhaps this heterogeneity, which is probably not well understood for many
effects, ultimately is responsible for the decreasing effect size across sites
or labs.
Proposed Solutions
Transparency
One widely proposed solution to problems of QRPs and non-reproducibility
is that of transparency, or publicly revealing at least some, if not all, aspects
of one’s research process. The broad term of transparency includes such
concepts as openly sharing data and the code used in analysis as well as pre-
registration plans, in which researchers submit, in writing and prior to run-
ning a study, a document that lays out the hypotheses, variables, and analysis
strategies that will be used in the study.
The hope is that with more transparency, researchers will be more careful,
making fewer errors and committing fewer QRPs. The result, then, will be
Science Reform 21
research that is more accurate and more replicable. Yet this assumption has
not been empirically tested, though it is an imperative piece of information
in order to decide whether transparency is a viable solution.
Preregistration plans have been the most widely discussed and ana-
lyzed transparency measures. Preregistration purportedly provides several
advantages in certain situations but is not a perfect solution for all types of
studies (see Coffman & Niederle, 2015; Olken, 2015).
restrain researchers from taking creative risks in their research. While such
warnings have been speculative (e.g., Coffman & Niederle, 2015; Gelman,
2013), no study has empirically tested whether this assumption is true or not.
on people reading the paper, seeing the badge, and valuing it. If consumers
do not notice the badge or value it, its ability to increase preregistration and
transparency is hampered.
more careful and honest in their scientific work? Does it increase trans-
parency? Does priming an achievement goal lead researchers to be more
willing to engage in QRPs compared to priming researchers with a gener-
osity goal?
Most journals do not have explicit policies for accessing data and transpar-
ency. As a result, even a researcher who wants to check another researcher’s
data and code will not know where to go to find such information. This re-
searcher may not even be able to obtain the dataset if journals do not require
authors to submit it and the authors do not want to reveal it. This could de-
crease transparency and increase QRPs. Similarly, in many universities, there
is no office or staff member that is easily identifiable for addressing concerns
of scientific integrity. This may keep questionable behavior from being re-
ported. Perhaps having explicit policies, and a structured system such that
researchers know exactly where to go to obtain data and measures, or to re-
port questionable behavior, will keep researchers accountable.
Other steps journals can take that indirectly increase transparency involve
a shift in perceptions of the circumstances for which researchers will receive
rewards in the form of accepted publications. Some proposed solutions in-
clude allowing people to publish null results, messy results, and replications,
and allowing for results-blind peer review. Results-blind peer review would
enable reviewers to evaluate the study before observing the outcomes of the
research, focusing instead on the quality of the question, its importance,
and the quality and implementation of the research design, rather than the
results. If journals made these changes, people might not be as incentivized
to engage in QRPs or hide variables and analyses in order to find significant
results.
Empirical research questions: Does the perception that null results, messy
results, and replications can be published decrease QRPs, increase repli-
cability, and increase disclosure? Does results-blind peer review decrease
QRPs, increase replicability, and increase disclosure?
Another change journals can make is to split the results section of the
standard paper format into “findings” and “exploration” sections. Researchers
may feel obligated to report speculation and results about which they are not
confident as “results” to follow the standard research paper format. As a re-
sult, they may be more prone to making stronger claims than the evidence
would warrant. Creating an “exploration” section within the results sec-
tion—that is, not in the discussion section—may make people more forth-
coming about which findings they are confident in and which ones are more
speculative or need more data.
Empirical research questions: Does splitting the results section this way
make people more honest? Does it make them report more findings as
speculation than they would otherwise? Does the language the researchers
use change when using this new format (e.g., is their language more hesi-
tant about weaker findings than when using the traditional format)?
often even if it is clear that they have been retracted, which is not always the
case (Budd et al., 1999). Even if researchers know which papers have been
retracted and avoid citing them, they still might not be aware of the flaws in
each paper even after it has been published. They may not know, for instance,
that the methodology used in the paper is one that is not appropriate for the
research question at hand and that using the correct methodology might lead
to entirely different results.
The first of two solutions that have been proposed to address these issues
suggests providing a clear and publicly accessible online comment section
attached to every journal article. There, researchers can point out flaws in the
study in a way that would be easily seen by others. This would reduce inac-
curacy in science by reducing the number of flawed studies that would oth-
erwise be used for background, evidence, or replication attempts. But such a
system might be abused if, for instance, someone who did not like a certain
researcher wrote negative comments that could ultimately steer others to in-
correctly discount the study as flawed.
as part of a developmental period, paving the way for future studies. That
can lead to more accurate summaries of later or current research that
corrected those flawed studies.
Empirical research question: If a larger sample is used for initial studies, are
there fewer failed replications when studies are scaled up?
Empirical research questions: Does this type of training lead to more suc-
cessful or replicable interventions? Does this third-party evaluation system
improve accuracy and replicability? Does this third- party evaluation
system catch errors?
Changing the culture in order to fit this style of thinking may be beneficial.
Creating a culture in which researchers wait until they have accumulated
a lot of evidence, and thus put out fewer but stronger papers, may reduce
non-reproducibility because only effects that were found multiple times,
not just once by chance, would be submitted for publication. An interven-
tion in which researchers are told that fewer and more conclusive papers are
32 Annabell Suh et al.
more valued than papers in which a surprising effect is found once may re-
duce the file drawer problem, as well as QRPs such as selective reporting and
p-hacking.
Another change that can be made to CVs is to provide more space for the
discussion of various skills or accomplishments or even publications. For
example, a graduate student might describe the way her creative teaching
techniques revolutionized the way communication was taught at her univer-
sity. This way, decision makers have a bountiful amount of information and
are not restricted to numbers such as citation counts. This, in turn, would de-
crease the professional incentive to rack up as many publications as possible,
which might lead to fewer QRPs and more carefully conducted research.
Another random document with
no related content on Scribd:
justly enough that nobody, save Dante and Antonio da Tempo, was
before him, and that both of these had written in Latin.
Trissino does not, in his first instalment, busy himself with those
abstract discussions which were soon to furnish the staple of Italian
Division of his criticism. He adopts Aristotle’s “Imitation” briefly
Poetic. without cavil or qualification; and then passes, in his
First Part or “Division,” to the question of choosing your language, in
which he generally follows Dante, but with an adaptation to the time.
It is not with him a question of making an “Illustrious Vulgar Tongue,”
an “Italian,” but of calling by that name one already adopted. In his
further remarks on Diction he sometimes borrows, and often
expands or supplements, the very words of Dante at first, and then
passes to elaborate discussion, with examples, of the qualities of
speech—Clearness, Grandeur, Beauty, Swiftness. Next he deals
with what he calls the costume—character, ethos, suiting of style to
person—with truth, artifice, and what he calls the “fashions”—that is
to say, the alterations of quantity, &c., by dwelling, slurring, syncope,
and the like. The arrangement of this First Division is not very logical;
but, as we have seen, cross-division has been the curse of
rhetorical-formal discussion of the kind from a very early period to
the present day. The Second Division deals with pure prosody, the
division of feet, shortening (rimozione), as in ciel for cielo, elision,
cæsura, &c.; the Third with arrangement of verses and stanzas; the
Fourth with the complete forms of Sonnet, Ballata, and Canzone, the
sub-varieties of which were detailed with great care and plentiful
examples.
Here what might more properly be called the First Part, consisting
of these four divisions, ends; the long subsequent Second Part
(made up of the Fifth and Sixth Divisions) has a separate Preface-
dedication referring to the gap. These parts are not, like the others,
divided into sections with headings; and, doubtless on the pattern if
not of any one particular treatise, of the spirit of many which had
gone between, they deal with general questions. The Imitation theory
is handled at some length, and with citation of Plato as well as of
Aristotle; the kinds of poetry are treated on a more general standard,
and not with mere reference to the rules of constructing each. The
larger part of the Fifth Division is given entirely to Tragedy: the Sixth
begins with that Heroic Poem which was so much on the mind of the
country and the century. But it ends chiefly on Figures—the formal
heart of Trissino, long-travelled as it has been, fondly turning to its
old loves at the last.
The contents of the treatise or treatises, especially if we take them
with Trissino’s attempts to introduce the Greek Omega and the
Greek Epsilon into Italian spelling, his grammatical “Doubts,” and his
later “Introduction to Grammar,” his dialogue Il Castellano, and so
forth,[51] will show his standpoint with sufficient clearness. It is almost
His critical purely formal in the minor, not to say the minim,
value. kinds of form. He is indeed credited by some with a
position of importance, in the history of the Unities. He is, they say,
the first to refer to the observance of the Unity of Time as a
distinction from “ignorant poets,”[52] giving therewith a disparaging
glance at mediæval drama.[53] But this overlooks the fact that he is
simply repeating what Aristotle says, with an addition much more
likely[54] to refer to non-Humanist contemporaries than to the almost
forgotten “mystery.” His theory of the Heroic Poem, like his practice
in the Italia Liberata, is slavishly Aristotelian. The chief evidence of
real development that I can find is in his treatment of Comedy, where
the extremely rapid and contemptuous dismissal of the Master called
imperatively for some supplement, considering the popularity of the
kind in the writer’s own time and country. Possibly reinforcing
Aristotle here with Cicero, and certainly using the famous Suave
mari magno of Lucretius, he succeeds in putting together a theory of
the ludicrous to which, or to some subsequent developments of it in
Italy, Hobbes’s “passion of sudden glory” has been[55] not unjustly
traced. The “sudden” seems indeed to be directly due to Maggi, a
critic who will be presently mentioned with other commentators on
the Poetics. And Maggi had published long before Trissino’s later
Divisions appeared, though, it may be, not before they were written.
[56]
The growth during the interval had been of three kinds, sometimes
Editors, &c., blended, sometimes kept apart. The first kind
of the Poetics. consisted of translations, editions, and
commentaries of and on the Poetics; the second, of abstract
discussions of Poetry; the third, of more or less formal “Arts” not very
different from Trissino’s own. The first class produced later, in the
work of Castelvetro, a contribution of almost the first importance to
the History and to the Art of Criticism; and it could not but exercise a
powerful influence. It belongs, however, in all but its most prominent
examples (such as that just referred to, which will be fully discussed
in the next chapter), rather to monographers on Aristotle than to
general historians of Criticism, inasmuch as it is mainly parasitic.
Pazzi. Before any book of original critical importance later
than Trissino’s had been issued, in 1536,[57]
Alessandro de’ Pazzi published a Latin translation of the Poetics,
which for some time held the position of standard, and a dozen years
later came three important works on the book—Robortello’s edition
of 1548, Segni’s Italian translation of 1549, and Maggi’s edition of
1550—all showing the attention and interest which the subject was
exciting, while, still before the later “Divisions” of Trissino appeared,
Vettori in 1560 added his edition, of greater importance than any
earlier one. Long before this the book had become a regular subject
of lectures. Of these writers Robortello, and still more Vettori
(“Victorius”), were of the greatest service to the text; Maggi, who was
assisted by Lombardi, to the discussion of the matter.[58]
In the critical handling of these editors and commentators we find,
as we should expect, much of the old rhetorical trifling. For all their
Robortello, Segni, Maggi, scorn, expressed or implied, of the Middle
Vettori. Ages, they repeat the distinctions of
poetica, poesis, poeta, and poema[59] as docilely as Martianus, or a
student of Martianus, could have done a thousand or five hundred
years before, and they hand it on too as a sort of charmed catchword
to Scaliger[60] and Jonson.[61] But brought face to face as they are
with the always weighty, though by no means always transparently
clear, doctrines of Aristotle, and self-charged with the duty of
explaining and commenting them, they cannot, if they would, escape
the necessity of grappling with the more abstract and less merely
technological questions. Robortello,[62] like Maggi, though less
elaborately, has a theory of the ludicrous. Both, and others,
necessarily grapple with that crux of the katharsis which has not yet
ceased to be crucial. Both, with Segni, discuss the Unity of Time and
differ about it; though none of the three has yet discovered (as
indeed it is not discoverable in Aristotle or Aristotle’s literary
documents) the yet more malignant Unity of Place. Vettori would
extend the cramp in time (not of course with the twenty-four hours’
limit) from tragedy to epic. Most of them have arrived at that
besotment as to “verisimilitude” which is responsible for the worst
parts of the Neo-Classic theory, and which, in the pleasant irony
common to all entanglements with Duessas of the kind, makes the
unfortunate lovers guilty of the wildest excesses of artificial
improbability. And in all, whether they project their reflections on their
text into more general forms or not, we can see the gradual
crystallising of a theory of poetry, heroic, or dramatic, or general.
Nor was such theory left without direct and independent exposition
Theorists: during the period which we are considering. The first
Daniello. author of one is generally taken to be Daniello,
whose Poetica appeared in 1536; and I have not discovered any
earlier claimant. I do not quite understand how Mr Spingarn has
arrived at the conclusion that “in Daniello’s theory of tragedy there is
no single Aristotelian element,” especially as he himself elsewhere
acknowledges the close—almost verbal—adherence of this early
writer to the Stagirite. But it is probably true that Daniello was
thinking more of the Platonic objections and of following out the
Boccaccian defence, than of merely treading in the footprints of
Aristotle. He is the first, since Boccaccio himself, to undertake that
generous, if rather wide and vague as well as superfluous, “defence
of poesy” which many Italians repeated after him, and which was
repeated after them by our Elizabethans, notably by Sir Philip
Sidney.
As his little book is somewhat rare, and as it has such good claims
to be among the very earliest vernacular disputations of a general
character on poetry in Italy, if not also in Europe, it may be well to
give some account of it. My copy has no title-page, but dates itself by
a colophon on the recto of the errata-leaf at the end, with a veto-
privilege, by concession of the Pope, the seignory of Venice, and all
the other princes and lords of Italy, advertised by Giovan Antonio di
Nicolini da Sabio, Venice, 1536. It fills 136 small pages of italic type,
and is in dialogue form, rather rhetorically but not inelegantly written,
and dedicated by Bernardo Daniello of Lucca to Andrea Cornelio,
Bishop-Elect of Brescia. Daniello does refer to Aristotle, and borrows
(not perhaps quite intelligently) from him; but his chief sources are
the Latins, and he sets or resets, with no small interest for us, that
note of apology for the Poets against Plato which was to dominate
Italian criticism, and after exercising some, but less, effect on
French, to be strenuously echoed in England. There are some rather
striking things in Daniello. He is sound enough on the mission of the
poet as being to delight (though he is to teach too) and also to
persuade—the ancient union of Poetics and limited Rhetoric
evidently working in him. On the relations of poetry and philosophy
he might be echoing Maximus Tyrius and Boccaccio, and very likely
is thinking of the latter. But he strikes a certain cold into us by
remarking that Dante (whom he nevertheless admires very much)
was perhaps greater and more perfect as a philosopher than as a
poet; and it does not seem likely that he was aware of the far-
reaching import of his own words when he lays it down (p. 26) that
Invention, Disposition, and Elocution being the three important
things, the poet is not, as some think, limited to any special matter. If
he had meant this, of course he would have come to one of those
arcana of criticism which are even yet revealed, as matter of serene
conviction, to very few critics. But he pretty certainly did not fully
understand his own assertion; and indeed slurs it off immediately
afterwards. After taking some examples from Dante and more from
Petrarch, Daniello adopts (again prophetically) the doctrine that the
Poet must practically know all arts and sciences, in order that he
may properly deal with his universal subject. He is specially to study
what is called in Latin Decorum and in Italian Convenevolezza.
Tragedy and Comedy are to be rigidly distinguished. And so this
curious First Blast of the Trumpet of sixteenth-century vernacular
criticism is emphatic against the confusion which was to bring about
the mightiest glories of sixteenth-century literature. A large part of
the small treatise is taken up with examples, in the old rhetorical
manner of qualities, “colours,” figures, &c. The whole of the latter
part of the First Book consists of these, as does almost the whole of
the Second, with an extension into verbal criticism of the passages
cited as illustrating kinds, technical terms, and the like. Indeed the
general considerations are chiefly to be found in the first forty or fifty
pages; and it is really remarkable how much there is in this short
space which practically anticipates in summary the ideas of most of
the much more voluminous writers who follow.[63]
Fracastoro, physician, logician, and not ungraceful poet of the
graceless subject of Syphilis, deals with both Plato and Aristotle in
his dialogue Naugerius, and discourses deeply on the doctrine of
Imitation, the Theory of Beauty, the Aristotelian conception of the
poet as more universal and philosophical than the historian, and the
Platonic objection to the intervals between poetry and truth. This
Fracastoro. dialogue,[64] however (the full title is Naugerius sive
de Poetica, its chief interlocutor being Andrea
Navagero, the best follower of Catullus in Renaissance Latin[65]), tells
a certain tale by its coupling with another, Turrius sive de
Intellectione. It is wholly philosophical in intent and drift: it is perhaps
the very “farthest”—comparatively early (1555) as is its date—of
those Italian excursions, in the direction of making Criticism an
almost wholly abstract and a priori subject, which balance the
unblushing “Convey—do nothing but convey,” of Vida and his
followers. One of its very earliest axioms (p. 324 ed. cit. infra) is that
“qui recte dicere de hac re velit, prius sciat necesse est, quænam
poetæ natura est, quidque ipsa poetica, tum et quis philosophi
genius,” &c. It must be admitted that Fracastoro is among the very
ablest and most thoroughgoing explorers of these altitudes. No one
has more clearly grasped, or put more forcibly, than he has that
compromise between Plato and Aristotle which has been and will be
mentioned so often as characteristic of the Italian thinkers in this
kind. Indeed, the fifty pages of his Dialogue are almost a locus
classicus for the first drawing up of the creed which converted
Sidney, and to which Milton, indocile to creeds as he was, gave
scarcely grudging allegiance. It is full, too, of interest in deliverances
on minor points—the difference between the orator and the rhetor (p.
343), the shaping of a particular kind of “orator” into a poet, his
universality and his usefulness, the limits of his permitted fiction and
the character of his charm. But Fracastoro is wholly in these
generals: it is much if he permits himself a rare illustration from an
actual poet.
And always in these writers we find the old deviations, the old red
herrings drawn across the scent. Fracastoro himself, reasonable as
he is in many ways, falls into the foolish old fallacy that a good poet
must be a good man, and the less obviously ridiculous but still
mischievous demand from him of the all-accomplished acquirements
once asked of the rhetorician.
Putting aside, for the moment, such rather later and much more
important works as the Discorsi of Giraldi Cinthio, the De Poetis
Nostrorum Temporum of his half-namesake Lilius Giraldus, and the
two capital treatises of Minturno, one of which appeared after
Trissino’s book, we may give a few words to two Italian tractates, the
Versi e Regole della Nuova Poesia Toscanaof Claudio Tolomei
(1539) and Muzio’s or Mutio’s Italian verse Arte Poetica, which was
Formalists: published with some other work in 1551.[66] The last
Mutio. is noteworthy as an early example of the vernacular
Tolomei and critical poem—a kind suggested by Horace, and
classical
illustrated later by Boileau and Pope, but certainly
metres.
more honoured by its practitioners than in itself. Yet
it would not be just to deny Mutio a high if rather vague conception of
poetry, and, in particular, a most salutary conviction that the poet
must disrealise his subjects. Tolomei’s book, on the other hand,
challenges attention as probably the beginning of that pestilent
heresy of “classical metres” which, arising in Italy, and tainting
France but slightly (as was natural considering the almost
unquantified character of the modern French language), fastened
with virulence upon England, affected some of our best wits, and
was within measurable distance of doing serious harm. The plague
was so much at its worst with us that the chapter on Elizabethan
Criticism will be the proper place for its discussion. But though
Ascham himself thought it no plague at all, it was certainly one of the
very worst of these “Italianations” to which he objected so violently;
and Tolomei was its first prophet in the country of its origin.
Not a few names, some famous in European literature for other
performances of their bearers, some almost unknown except to the
student of this subject, fall into one or other of these classes, or, as
very commonly happens, qualify in a undecided manner for two, or
for all. As early as 1545 Tomitano[67] had dwelt on the above-
Others: mentioned fallacy of the necessary learning of
Tomitano, poets: Lionardi,[68] nine years later, in a pair of
Lionardi, B. Dialogues expressly devoted to Poetic Invention,
Tasso,
extended this in the widest and wildest manner, so
Capriano.
that the poet becomes a perfect good-man-of-the-
Stoics—an all-round and impeccable Grandison-Aristotle. The same
idea and others were emitted by Bernardo Tasso, good father of a
great son, who not only practised poetry to the vast extent of the
Amadigi, but discussed it in a formal Ragionamento of the subject.[69]
Later, Capriano[70] gave the more elaborate exaltation of poetry as a
sort of Art of Arts, combining and subduing to its own purpose all
forms of Imitation, and following up Vida’s superfine objections to
Homer as trivial and undignified, and his rapturous exaltation of the
“decency” of Virgil. This book, very short, is also rather important—
more so than might be judged from some accounts of it. It is neither
paged, nor numbered in folio, but does not extend beyond signature
F ii. of a small quarto, with a brief appendix of Italian verse. There
are eight chapters—the first discussing what things are imitable and
what imitation is; the second vindicating for poetry the portion of
supreme imitative art; the third dividing it into “natural” and “moral”;
the fourth arguing that Epic or Heroic (not, as Aristotle thinks, drama)
is the highest kind of “moral” poetry; the fifth containing, among other
things, an interesting revolt against Greek; the sixth discoursing on
number and sound; the seventh exalting the good poem above
everything; and the eighth rapidly discussing the origin, rank,
necessity, parts, force, end, &c., of Poetry. Capriano does not give
himself much room, and fails, like most of these critics, in the all-
important connection of his theories with actual work; but he must
have been a man of no common independence and force of thought.
[71]