Performatives, Illocutions and Felicity Conditions for Preaching

Many point out that preaching is a performative act.  Instead of a mere conveyance of said information, good preaching is a doing.  In the sermon, Jesus Christ Himself is handed over to the hearers of the Word. 

The Tuebingen systematician Owald Bayer (b. 1939) uses the notion of a performative utterance, connects it with the promissio, and contrasts it with a mere constative.  Accordingly, Bayer quotes a statement from Luther’s Tishreden as stating a general principle in Luther’s semantics: "Signum philosophicum est nota absentis rei, signum theologicum est nota praesentis rei"  (“The philosophical sign is a mark of an absent thing; the theological sign is a mark of a present thing"), and “the signum itself is already the res; the linguistic sign is already the matter itself" (Martin Luther’s Theology, 52).

The promissio Bayer locates at the center of Luther's theology is unpacked by equating the word in language with the reality itself. Bayer suggests that in promises, words are not to be interpreted extensionally or intensionally, but are themselves their own reality.  (I have elsewhere called this the "donational model.")  Bayer regards this to be the deepest presupposition of Luther's theological semantics, a position he claims is akin to the views on performative language advanced by Austin. 

Over and against the constative, Bayer regards the promissio as a performative utterance: "In contrast to every metaphysical set of statements that teach about the deity, this assertion [e.g. "To you is born this day a Savior"] declares that God's truth and will are not abstract entities, but are directed verbally and publicly as a concrete promise to a particular hearer in a specific situation. 'God' is apprehended as the one who makes a promise to a human being in such a way that the person who hears it can have full confidence in it" (53).  Bayer has many more things to say about promise-talk:  

•  " . . . one cannot take the promise, which is not a descriptive statement, and transform it into a descriptive statement.” 
• “Secondly, one cannot take the promise, which is not in the form of a statement that shows how something ought to be done, and transform it into an imperative. . . .” 
•  "The truth of the promise . . . is to be determined only at the very place that the promise was . . . constituted. This means it is located within the relationship of the one who is speaking . . . and the one who hears. . . .”

Unfortunately, regardless of his authorial intent, Bayer’s formulations suggest a possible confusion.  One might hold that the sermon is a set of performative utterances - - promises being one type of performative - - that do something rather than say something, and then go on to claim that since performative utterances are not true or false, preaching expressions have no truth-conditions.  While this might seem a very bad thing, it is actually has some theological advantages.   How is this view possibly fruitful?  

Since the time of Kant there has been a tendency to claim that religious and theological language do not talk about the same reality as that talked about by historical, scientific, and even philosophical language.  This happened because the Kantian criticisms of natural theology succeeded in adding to the previous Enlightenment distrust that theological statements could be straightforwardly true.  If they weren't true, but still useful, then what were they?  The view that whatever religion and theology talk about, they don't talk about the same reality as discussed in the other disciplines is called the independence thesis in the theology and science discussion.  The question is then to locate the domain of theology with respect to other domains.  What domain is theology about?   

Here is where performative utterance-talk can come to the rescue.   The promise of performative utterances is that Lutheran theology can thus avoid metaphysical statements about God, God’s causal relationship with the universe, and God’s relationship to the realm of being generally. Instead one merely says that theology is all about doing, and doing cannot conflict with what is, with the saying of  metaphysics!   One can thus both be an academic, post-Kantian and a Lutheran theologian all at the same time!  
    
Accordingly, proclamations become first-order doing expressions without truth conditions, and they produce what they say.  Preaching is constituted by performative utterances declaring one’s freedom from sin, death, and devil through Christ.   Explicitly theological formulations then become second-order saying expressions which are merely regulative in that they order the performative utterances, and govern the occasions and context of their use.  One detects a fleeting ghost of Schleiermacher who held:  

• First-order religious language is expressive and poetic;
• First-order rhetorical language is rhetorical and persuasive;
• Second-order theological language is didatic and dogmatic.  

Clearly, a great deal of weight must be carried by the notion of a performative utterance, if it is to ground the very questionable discipline of theology in our time.  Unfortunately, many theologians do not realize that the status of a performative utterance is itself a matter of considerable philosophical controversy, and that Austin was already attacking his own performative-constative distinction almost 60 years ago.  

In sections IV and VII of How to Do Things with Words, Austin accumulates a number of doubts about the performative-constative distinction.   It seems that certain "felicity conditions" must be met in order for a declaration or promise to occur, and that these conditions rest both on social convention and speaker intentionality.  A performative is null and void if issued by a person not in position to perform the act, e.g., the pastor can marry the couple only in the appropriate social context, not by himself in the shower.  An unelected plumber cannot declare war on behalf of the United States.   One cannot promise with the intention to break it or without any means to fulfill the promise.   It seems that, for Austin, there is an element of the constative in each performative, and an element of the performative in the constative.   For these reasons Austin abandons the performative-constative distinction and formulates instead a distinction among locutions, various illocutionary acts, and the different perlocutions accomplished through these illocutions.   

The locution is the semantic content of an utterance; it is the act of saying something.   The illocutionary act is that which is accomplished in the saying.  It is the "extra meaning" beyond the literal meaning of the locution.  It and the perlocution constitute part of the speech act's force.   The perlocution is the intended effect produced in the hearer by the illocution.   This effect clearly depends upon social convention.   Austin's student, John Searle, revised the threefold schema of Austin into five categories:  

• Representatives state something in the doing.  Examples are "the cat is on the mat," and "David Hume died in 1776."  
• Directives tell others to do something, e.g., "Give me the hammer!", "Don't make a sound during church." 
• Commissives occur when promises are made, e.g., "I promise to be faithful to you until death parts us," "God sent his only begotten Son, that whoever believes in Him shall never die." 
•  Expressives merely display the speaker's attitudes and states.   Examples are, "I am really sorry about that," "Congratulations!!!"  
•   Declarations actually do something with words, e.g., "I name you John," "Class dismissed!"  

Searle regards directives, commissives and declarations to be general performatives where the world must now fit the words.  Alternately, representatives and expressives are general representatives where the words must fit the world.   (In an expressive, the word is supposed to fit the world of the speaker's attitudes and emotions.)  With all of these, however, there is an element of each in the other.   General performatives have locutionary semantic content; general representatives have a particular illocutionary force.  A single locution can sustain markedly different different illocutionary and perlocutionary force.

Take, for instance, the phrase, 'The dog is in the yard."   This could be a representative or an assertive merely stating what one thinks.  It might be used as a directive, telling others to stay away.   It might be a commissive that promises to all a safe yard.   Of course, it could be an expressive that does nothing more than display speaker fear.   The phrase, "I promise to be there tomorrow," can be a promise, but it might be a threat.  Saying 'the Day of the Lord is at hand' might be interpreted as a promise if God's presence is thought to be advantageous to the hearer, but it might be threat if divine presence is likely disadvantageous to the hearer.  (Notice how easy it is to explain now how the same locution of Scripture can both be Law and Gospel?)    

Given all of these distinctions, it becomes very hard to see how a performative utterance can somehow lead to Bayer's championed identity of a signum and res.  The signum does constitute the locutionary content of the expression.  The res, however, seems best associated with the perlocution, with what is brought about through the illocution.  Clearly, on this interpretation the perlocution cannot be a thing identifiable with the semantic content of the word itself.

We have found that the notion of a performative utterance has been employed in preaching to speak of the force of preaching and its effect, but that the notion of a performative as not having a truth value makes problematic this use.  We have also learned that Austin himself found his distinction between performatives and constatives problematic, and that newer views were subsequently devised to speak of illocutionary acts which utter locutions.  What Austin and Searle both discovered, however, is that in the analysis of speech act meaning, one simply cannot escape semantic content.    

We have previously concluded from this that there is nothing especially mysterious about using language to accomplish persuasive ends.   In good preaching, illocutions effect perlocutions.  Preachers thus exhort by demand and promise to move the hearts of their hearers.   This movements of the heart are the perlocutionary effects of these utterances.   Consequently, there is no simple identity between signum and res.  So far so good.   But there remains one really big problem for those finding an isolated doing in preaching performance that protects Lutheran's from an Enlightment-style critique of putative Lutheran saying.   

According to speech act theory, for a declaration to obtain certain felicity conditions must be in place.  For preaching to be interpreted as felicitiously performative, there can be no misfiring or abuse, and there must exist the proper preparatory conditions.  This means that while 'I absolve you' may have the sufficient felicity conditions in congregations whose attendees have appropriate presuppositions about the authority of the preacher to pronounce absolution and the sincerity of the preacher in pronouncing it, this is not the case in much of America now.   If preaching is a performative utterance, then any putative identity of signum and res can only occur as an “inside game” where the appropriate executive conditions --- are there appropriate background conditions? -- and essential  felicity conditions --is there proper fulfillment of the speech act? -- obtain.

I believe our time is like the time of the first century.   People to whom we preach must be convinced of the truth of what we are saying before they will join a community and adopt the appropriate felicity conditions making possible preaching declarations.   One can "hand over Christ" in preaching only if there are previous broad commitments about the existence and nature of a God causally efficacious in salvation.   The problem of our time is that only a few share the societal conventions that make possible the obtaining of the felicity conditions for proclamation.  The following likely hold:   

• We find the background conditions of belief necessary for the social conventions grounding the felicity conditions of preaching declaration are no longer present. 
• We find that few are moved by the illocutionary acts of preaching because the very possibility of perlocutionary response is tied to the question of truth. 
• We discover that more than a few pastors are simply insincere; they use language in ways that downplay propositional content in order to bring about a perlocutionary effect that in the tradition was always tied to that content.   

Performative utterances are not mysterious and cannot remove us from the truth game.   Accordingly, they cannot lead us around the critique of modernity.

An Evaluation of Bayer's Luther Book

Oswald Bayer's Martin Luther's Theology: A Contemporary Interpretation is must reading for anyone interested in Luther and Lutheran theology generally. Ably translated by Thomas Trapp, this work was originally 30 hours of lectures for a general studies course at the University of Tuebingen in the Winter Semester 2001/2002. Bayer compares his work to a documentary film drawing on a deep repository of archival footage to present a topic from multiple perspectives. Like all documentaries, sustained scholarly examination must sometimes be sacrificed to achieve an orderly, organic presentation.

Bayer claims that he is bringing Luther into a conversation with other truth-seekers, e.g., Kant, Hegel and Schleiermacher (xx); he declares he is asking the questions: "What is true? Likewise: What has enduring value within the river of historical change? (xix) Accordingly, "his contemporary interpretation" is a "re-presentation in the double sense of the phrase." Firstly, the "historical subject matter,"which has determined the modern consciousness, must be brought again into modern consciousness; secondly, this subject matter must be examined from the perspective of its truth. Bayer's exploration relies upon over forty years of research into Luther texts of various genres: "sermons, treatises, written polemics, table talks, lectures and dispositions; predominant are the three genres of catechisms, prefaces to biblical books, and hymns" (xix). As expected, Bayer does not disappoint: his work with Luther is masterful, and his systematic theological emphasis is everywhere apparent. Moreover, the book is highly engaging; easily readable by those who read neither Luther monographs are systematic theology tomes for a living!

Bayer divides his presentation into an Introduction presenting the "Rupture between Ages" of the old and new eon, a four chapter presentation on Basic Themes (e.g., Luther's understanding of theology, his understanding of the sinful human before the justifying God, the Reformational turning point in his theology, his understanding of the authority of the Holy Scriptures), and finally 12 chapters dealing with Individual Themes (e.g., creation, human being, sin, Christ, Holy Spirit, church, faith, the two realms, eschatology). Everywhere Bayer emphasizes the divine promissio, the promise made and kept by God, and the content and contour of private and corporate life lived on the basis of that promise.

There is so much to be praised in this book, and I am sure that most readers will be as thrilled by its publication as the both Mark Mattes and Steven Paulson are, both of whom are capable theologians contributing endorsements on the text's back cover. I enjoyed reading the book, and I learned from it as well. Bayer does succeed, I think, in combining sound Luther research with systematic theological investigation. But frankly Bayer's own question haunted me in the reading of the text: Is his interpretation true? What of sixteenth century are we leaving behind in finding that of "enduring value within historical change"? Moreover, is Bayer's own systematic program true? Is it internally coherent and consistent, externally applicable and adequate, and sufficiently fruitful for further research? I have lately been quite fascinated by the realization of the dissimilarity between the ontological and semantic presuppositions of theology in Luther's time, and the ontological and semantic presuppositions of interpreters of Luther's theology in our own time. I believe, in fact, that the emergence of the Kantian paradigm in theology over the last two centuries has made it difficult sometimes to understand Luther's theological work on its own terms. More importantly, however, the hegemony of that paradigm has made it difficult for contemporary theologians to engage deeply the fundamental questions of theology, questions that go to the heart of the question of whether or not theological language has truth-conditions.

With respect to this text, I wish to offer constructively four questions, questions that arise for most Christian believers today who have not learned the standard theological moves routinely practiced by theological practitioners downstream in the Kantian tradition. The four are these:

• Is it possible to build systematic theology and a Luther interpretation on the basis of the primary use of theological language being performative?
• Is it possible to account for the authority of Holy Scriptures in terms of the existential effect the texts have upon their readers?
• Is it possible to deal with creation, either systematically or in Luther interpretation, without raising explicitly the causal question?
• Is it possible to have Christian faith, (e.g., the faith of Luther), in the absence of explicit metaphysical commitments?

All of these questions are weighty, challenging, and clearly take us beyond what would normally be discussed in a review. However, each is incredibly important to evaluating the ultimate success of Bayer's Luther interpretation. If, as Bayer and many assume, existence is linguistically-constituted, then divine promises make all the difference in the world, not only to who we ultimately are, but to whom God ultimately is. If the being of the Word is a function of what the Word does, then one needs to be excruciatingly clear about the identity conditions of what the Word does, and those conditions that merely accompany, but do not determine, what the Word does. But seemingly, what the Word does is deeply dependent upon the cultural horizon of the time, a horizon itself constitute by presuppostional ontological, semantic and epistemological commitments. It is simply obvious that the Word will strike the heart differently if the auditor believes that there is actually a God that exists apart from human awareness, perception, conception and language, a God who cares, who loves, and who ultimately is causally efficacious in salvation.

Perhaps this is enough said for now. I whole-heartedly recommend Bayer's book for general reading, and for use both at the undergraduate and graduate levels.

Bayer on What Makes the Bible become Holy Scripture

Bayer believes that Luther's foundational thesis, Sacra scriptura "sui ipsius interpres," is not primarily a claim of the hermeneutical circle: the parts interpret the whole, and the whole interprets the parts. It is instead a statement of the effect the text has on one reading, hearing and interpreting it. Bayer, in fact, the text is best translated as, "the text itself causes one to pay attention" (Bayer, Martin Luther's Theology: A Contemporary Introduction, p. 68). Bayer writes:

"The authority of Scripture is not formal but is highly material and is content driven. It is the voice of its author, who gives; who allows for astonishment, lament, and praise; who demands and fulfills. Scripture can in no wise be confirmed as having formal authority in advance, so that the content becomes important only as a second stage of the process. The text in its many different forms - - particularly in the law's demand and the gospel's promises - - uses this material way of doing business to validate its authority" (69).

This statement accords well, of course, with Bayer's claim that the Word is what it does. Bayer is stating that which to many contemporary theologians is obvious: There are no properties of the text that establish its reliability outside of the meaning of the text. That is to say, there are not syntactical or causal facts about the text considered apart from its meaning, that would properly dispose one to believe that what the text announces is true.

Bayer labors, of course, to defend the text's autonomy. The meaning of the text is not established or constituted in the act of interpreting it. The external meaning of the text confronts the reader and transforms her. The Bible is the Holy Scripture because of the power the Bible has to, as Luther says, "draw the individual into itself, and into its own power" (71).

Bayer thus makes the following claims:

1. The authority of the text is wholly constituted in the meaning the text has with respect to my life.
2. The meaning of the text is objective; it exists apart from my act of interpretation.
3. The Spirit is involved in the delivery of the meaning of the text to me.

Notger Slenczka sums it up very well when talking about the normativity of the text: "The normative function of Scripture demonstrates its claim to be normative by basing it on the way it is existentially verified when it interprets itself, in the way Scripture conveys its own intended meanings" (quoted in Bayer, 77).

Generally, I am sympathetic with what Bayer, Slenzka, and many contemporary theologians suppose: The authority of the text is established by its effect on its reader. I am sympathetic because I know the problems of trying to argue for an artificer/artifact causal relationship between God and the text. However, if one could trace some kind of causal chain back from the text to God, as was done in former years, then some type of authority would be established such that the text's claims might be deemed reliable. When I say 'reliable' I am not claiming that each and every proposition of Scripture is timelessly true - - however, we might want to unpack that - - but simply that there is some epistemic warrant for regarding the text as saying what is generally the case with respect to the divine and God's relationship to human beings. My reflections often take me in this direction:

Imagine two texts s and p. (We shall allow s to be the bible and p to be some other text.) Now imagine cultural context c, such that s in c is part of a sufficient condition for bringing about existential meaning m, meaning that is of a life and death matter to me. (We can surely admit that the Holy Spirit does most of the causal lifting in this.) Now imagine p in c*. Clearly, there is no reason that p should not form part of a sufficient condition for m apart from the de facto non-operation of the Holy Spirit. It seems, thus, that Bayer's position, and that of all who suppose this way of moving forward, presupposes that as a matter of fact, the Holy Spirit will not provide casual input for p, even if He does so for s. The reason that the Bible is the Holy Scriptures, instead of some other book, is that the Holy Spirit is effective in it for realizing m, but not for the other book.

When one thinks somewhat carefully about these matters, one must thus distinguish between the descriptive observation that the Bible, and many other books, can strike readers with existential truth, and the prescriptive claim that the Bible ought so to strike one as having existential truth. Until we can give an analysis of why the Bible ought so to strike one as donating being and the meaning of one's being, we have not engaged the issue of what the claim to formal authority was trying to answer.

I can well imagine a time where the Bible does not strike many people as giving existential truth. This time has indeed happened in much of the first world. In what position is then the theologian left who has rejected all claims to establish the text's normative status solely in its effects upon people? Theologically, one must then say that the Bible is not the Holy Scriptures any longer, that it no longer has a normative claim upon us. One must wait then for new books that can engage the salvific situation of humankind. Those books, like those before, will be evaluated by their effects upon us, and thus new truths - - whatever we might now mean - - will be laid before us.

It is a tough time to be a theologian. It is important that we always realize how much is lost when we move forward in ways meant to avoid the problematics of Modernity.