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CONTENTS VII
“ Who needs another logic textbook?” I got asked a lot as I was writing this one. The
answer is: students and teachers who want to explore both the techniques of formal
logic and their connections to philosophy and other disciplines. 咀1e best approach
to thinking about those connections is both to learn the tools of logic, in careful de-
tail, and to write about them. So this is a formal logic textbook for people who want
to learn or teach the core concepts of classical formal logic, and to think and write
about them.
Introduction to Faγmal Logic w让h Philosophical Applicatio饥s (IFLPA) and I时rod阮
tion to Formal Logic (IPL) are a pair of new logic textbooks, de鸣ned for st叫ents of
formal logic and their instructors to be rigorous, yet friendly and accessible. Unlike
many other logic books, IFLPA and IPL both focus on deductive logic.τhey cover
syntax, semantics, and natural deduction for propositional and predicate logics. 咀1ey
emphasize translation and derivations, with an eye to semantics throughout. Both
books contain over two thousand exercises, enough for in-class work and homework,
with plenty le丘 over for extra practice, and more available on the Oxford website (see
page xv). Since logic is most o丘en taught in philosophy department乌 special attention
is given to how logic is useful for philosophers, and many examples use philosophi-
cal concepts. But the examples in the text are accessible to all students, requiring no
special interest in or knowledge of philosophy, and there are plenty of exercises with
no philosophical content, too.
IFLPA also contains two chapters of stand-alone essays on logic and its application
in philosophy and beyond, with writing prompts and suggestions for further read-
ings.τhese essays help instructors and students to reflect on their formal work, to
understand why logic is important to philosophers, and how it can be applied to other
disciplines, and to students' own lives and studies.
SPECIAL FEATURES
Each section of IFLPA contains a Summary.
Sections in chapters 1 through 5 contain a list of important points to Keep in
Mind.
Key terms are boldfaced in the text and defined in the margins, and are listed
at the end of each chapter. In addition, all terms are defined in the glossary/
index at the end of the book.
咀1ere are over two thousand exercises in the book.
Exercises are presented progressively, from easier to more challenging.
Translate-and-derive exercises are available in every section on deriva-
tions, helping to maintain students' translation skills.
Translation exercises are supplemented with examples for translation
from formal languages into English.
Regimentations and translations contain both ordinary and philosophi-
cal themes.
Solutions to exercises, about 20 percent of total, are included at the back
of the book. Solutions to translate-and-derive exercises appear in two
parts: first, just the translation, and then the derivation. Solutions to all
exercises are available for instructors.
IFLPA contains several formal topics and exercise types not appearing in
standard logic texts:
Seven rules for biconditionals, parallel to the standard rules for
conditionals.
Exercises asking students to interpret and model short theories.
Two sections on functions at the end of chapter 5.
Exercises asking students to determine whether an argument is valid or
invalid, or whether a proposition is a logical truth or not, and then to
construct either a derivation or a counterexample.
These sections are perfect for stronger students, while easily skipped by
others.
XII PREFACE
• Interactive Flashcards of Key Terms and their definitions from the book
• Tools for student communication, reference, and planning, such as messaging
and spaces for course outlines and syllabi
Access to Dashboard can be packaged with Introduction to Formal Logic with Philo-
sophical Applications at a discount, stocked separately by your college bookstore, or
purchased directly at www.oup.com/ us/ dashboard.
The free Companion Website found at www.oup.com/ us/ marcus contains supple-
mental Student Resources:
• Student Self-Quizzes
• Interactive Flashcards of Key Terms and their definitions from the book
• Bulleted Chapter Summaries
• Additional content to supplement Chapters 6 and 7, including:
• 6.7 Laws of Logic
• 6.8 Adequacy
• 6.9 Logical Truth Analyticity and Modality
• 6.10 Alternate Notations
• 6.11 Axiomatics
• 6.12 Rules of Passage
• 6.13 Second Order Logic
• 7.8 Scientific Explanation and Confirmation
• 7.9 Infinity
• 7.10 Quantification and Commitment
• 7.11 Color Incompatibility
To find out more information or to order Dashboard access or a Course Cartridge
for your Learning Management System, please contact your Oxford University Press
representative at 1 800-280-0280.
ACKNOWLEDGMENTS
咀1e first dra丘 of this book was written in the summer of 2011. I worked that sum-
mer alongside my student Jess Gutfleish, with support of a Class of 1966 Faculty
Development Award from the Dean of Faculty’s O面ce at Hamilton College, in the
archaeology teaching lab at Hamilton. I wrote the text, and she worked assiduously
and indefatigably writing exercises; I had di面culty keeping up with her. I am inef-
fably grateful to Jess for all of her hard work and the mountain of insidiously difficult
(as well as more ordinary) logic problems she devised. Jess worked on more prob-
lems in spring 2014, and Spencer Livingstone worked with her. Deanna Cho helped
enormously with the section summaries and glossary, supported by the philosophy
department at Hamilton College. Spencer Livingstone and Phil Parkes worked dur-
ing summer 2015, helping me with some research and writing still further exercises.
XVIII PR EFACE
Sophie Gaulkin made many editing suggestions and Reinaldo Camacho assisted me
with new exercises. Jess, Spencer, and Rey were all indescr也ably supportive and use-
ful as teaching assistants and error-seeking weapons. Students in my logic classes at
Hamilton, too numerous to mention, found many typos. Andrew Winters, using a
dra丘 of the text at Slippery Rock University in 2016, sent the errors he and his stu-
dents discovered, and made many helpful suggestions.
At the behest of Oxford, the following people made helpful comments on dra丘s of
the book, and I am grateful for their work:
Joshua Alexander, Siena College
Brian Barnett, St. John Fisher College
Larry Behrendt, Mercer County Community College
Thomas A. Blackson, Arizona State University
Dan Boisvert, University ofNorth Carolina, Charlotte
Jeff Buechner, Rutgers University, Newark
Eric Chelstrom, Minnesota State University
Chris Dodsworth, Spring Hill College
Michael Futch, University of Tulsa
Nathaniel Goldberg, Washington and Lee University
Nancy Slonneger Hancock, Northern Kentucky University
Brian Harding, Texas Woman’s University
Reina Hayaki, University of Nebraska, Lincoln
Marc A. Hight, Hampden Sydney College
Jeremy Hovda, KU Leuven
Gyula Klima, Fordham University
Karen Lewis, Barnard College
Leemon McHenry, California State University, Northridge
John Piers Rawling, Florida State University
Reginald Rayme鸟 University of North Carolina, Charlotte
Ian Schnee, Western Kentucky University
Aeon Skoble, Bridgewater State University
Michael Stoeltzner, University of South Carolina
Harold τhorsrud, Agnes Scott College
Mark Tschaepe, Prairie View A&M University
Andrew Winters, Slippery Rock University of Pennsylvania
I am grateful also to Robert Miller, Executive Editor at Oxford, and Alyssa Palazzo,
Associate Editor, for supporting both IPL and IFLPA.
卫1ank you to Margaret Gentry and the Dean of Faculty’s o面ce at Hamilton. I am
grateful to Nathan Goodale and Tom Jones for le忧ing us have their lab in which to
work, summer 2011. I also owe thanks to the many students who have he怡ed me
construct an innovative Logic course, and for the constant, unwavering support of me
and my course by the Hamilton College philosophy department. 咀1anks to Marianne
Janack for example 4.2.27 and to Alan Ponikvar for example 7.2.10.
PREFA CE XIX
More remotely, I am deeply grateful to authors of the logic books I ’ve studied and
with which I ’ve taught, especially Irving Copi ’s Symbolic Logic, Geoffrey Hunter’s
Metalogic, Elliott Mendelson’s Introduction to Mathematical Logic, Patrick Hurley’s A
Concise Introduction to Logic,John Nolt ’s Logics, and Graham Priest's An Introduction
to Non-Classical Logic. Elliott Mendelson and Melvin Fi忧ing were especially influ-
ential logic teachers of mine; they made logic elegant and beautiful. I studied Copi ’s
logic with Richard Schuldenfrei, whose encouragement I appreciate. And I am grate-
ful to Dorothea Frede, into whose Ancient Philosophy class I brought my excitement
about logic, for her patience as I discovered (by regimenting his arguments through
tl时erm) that, no, Plato wasn't making simple logical errors.
Most important!弘 I am grateful to my wife, Emily, and my children, Marina and
Izzy, who suffered through many summers that could have been more fun for them so
that I could have the logic book I wanted.
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1
2 CHAPTER 1 INTRODUCING LOGIC
Pairing 1.1.4 and 1.1.5, we see a characterization oflogic as the rules ofwhat follows
from what, of which consequences derive from which assumptions.
We make inferences all the time: if I buy this book, I won't have enough money for
the cup of coffee I wanted; if I make a turn here, I'll end up in Waterville; she must be
angry with me because she hasn’ t returned my email. When we think about the con-
sequences of our actions or the reasons some event has occurred, we are using logic.
Good logic is thus a precond让ion for all good reasoning.
Some inferences are better than others. I am well justified in inferring that it is a丘er
dawn from the light peeking through my window shades. I am not well justified in
believing that it is nine in the morning from the fact that it was six in the morning an
hour ago; that ’s an error. 卫1is book is devoted to some general principles of evaluating
certain kinds of arguments, called deductive arguments.
Deductive arguments are contrasted with inductive arguments, though the diι
ference between them is di伍cult to specify both precisely and briefly. Roughl如 in a
deductive argument, the conclusion follows without fail, necessaril如 from the prem-
ises.τhe conclusions of inductive arguments are supported by their premises, more or
less depending on the argument, but not guaranteed. Inductive arguments are o丘en
(though not always) generaliz延ions from particular expe由nces and can be under-
mined by further evidence.
Logic and mathematics are largely characterized by their uses of deduction, though
statistical inferences are not purely deductive. Sciences involve both deduction and
induction, broadly speaking, though there are other methods of inference, like in-
ference to the best explanation. 咀1e best way to understand the difference between
deduction and induction is to work through the material in chapters 1-5 and contrast
that kind of reasoning with others.
When evaluating an argument, we can perform two distinct steps. First, we can see
whether the conclusion follows from the assumptions. An argument whose conclu-
sion follows from its premises is called valid. Chapter 2 is dedicated to constructing
1.2: LOGIC AND LANGUAGES 3
a precise notion of deductive validity, of what follows, for propositional logic. Indeed,
the notion of validity is the central topic of the book.
A second step in evaluating an argument is to see whether the premises are true.
In a valid deductive argument, if the premises are true, then the conclusion must be
true.τhis result is what makes deductive logic interesting and is, in a sense, the most
important sentence of this entire book: in a valid deductive argument, if the premises
are true, then the conclusion must be.
An Introduction to Formal Logic and Its Application to Philosophy is dedicated to the
first step in the process of evaluating arguments. ’The second step is not purely logi-
cal, and it is largely scientific. Roughly speaking, we examine our logic to see if our
reasoning is acceptable and we examine the world to see if our premises are true. Al-
though we prefer our arguments both to be valid and to have true premises, this book
is dedicated main与 to the form of the argument, not to its content.
You might wonder whether the logic in this book, formal deductive logic, repre-
sents how we actually reason or whether it sets out rules for proper reasoning. ls logic
descriptive or prescriptive? Before we can start to answer this question, we have to
see what our logic looks like. 卫1e nature of some elementary systems of formal logic
is the focus of the first five chapters of this book. In the sixth and seventh chapters, I
discuss a variety of philosophical questions arising from or informed by the study of
formal logic. The sections of these chapters may be read along with the formal mate-
rial in the first five chapters.
• How does deductive logic differ from inductive logic? See 7.1: Deduction and Induction.
any particular natural language. I will not specify the metalanguage as precisely as
the object languages.
It is customary to give names to object languages. Chapters 2 and 3 focus on one
object language that I will call PL, for propositional logic. Chapters 4 and 5 discuss
three further formal languages:
M Monadic (日rst-order) predicate Logic
F Full (firs仁order) predicate logic
FF Full (firsιorder) predicate logic with functors
For each formal language we study, we will specify a syntax and a semantics. ’The
syntax gives the vocabulary of the language, series of symbols like letters and terms
like 飞,', ::::,, and :3, along with rules for forming formulas. The semantics allows us to
interpret the language, to understand it as meaningful, rather than just an empty set
of squiggles. 卫1ere are different possible interpretations of the symbols just as there
are different meanings to most words or different languages using the same letters.
We speci马r an interpret甜on of an object language by thinking of ourselves as step-
ping outside of those languages into metalanguages. We might sa如 for example, that
we will use the letter γin the object language to stand for the statement expressed
in English by 'Prunes are dried plums’. We will also study derivations (or proofs) in
each language.
卫1ere are advantages to both natural languages and formal languages. Natural lan-
guages are excellent for ordinary communication. Formal languages are excellent for
precision, especially for clarifying ambiguities. Much of the formal material in this
book is based on Frege's Begr你schr(卢(1879); Begr你schr侨 means 'concept writing ’-
In his preface, Frege compared natural languages and formal languages to an eye and
a microscope, respectively:
I believe I can make the relationship of my Begrl侨·schrift to ordinary Lan-
guage clearest if I compare it to that of the microscope to the eye. The Latter,
due to the range of its apP.Licability, due to the flexibility with which it is
able to adapt to the most diverse circumstances, has a great superiority over
the microscope. Considered as an optical instrument, it admittedly reveals
many imperfections, which usually remain unnoticed only because of its in-
timate connection with mental life. But as soon as scientific purposes place
great demands on sharpness of resolution, the eye turns out to be inadequate.
The microscope, on the other hand, is perfectly suited for such purposes.
Many students, when they begin to study logic, find it to be an amusing toy.二 There
are careful rules for working in the object language. Once you learn those rules, it
can be fun to play with them. When I started studying logic, in college, I couldn’ t
believe that one could earn credit for filling out truth tables, translating English into
formal languages, and constructing derivations. It was like ge忧ing credit for eating
candy. I love puzzles and games; logic seemed to be too much fun to be serious or
important.
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up his abode in a country which is independent of Kabul and
in the neighbourhood of Peshawar.’
“Your Highness has also written, ‘what more can I add in
this matter to the foregoing arguments, having regard to the
proximity to you of these Mullahs who are close to your
country and have now, according to the boundary
demarcation, fallen within the limits of the British
Government.’
“It is, no doubt, true that the Mullah has committed hostile
acts within the territory which it has been agreed falls within
the limits of the British Government, and if my troops meet
him there his punishment will be speedily accomplished. But I
am informed that the Mullah has established his abode in the
village of Jarobi, and though, as your Highness is aware, the
country is wild and unsurveyed, and no permanent boundary
pillars have been erected, it is understood that this village
probably lies within the territory which, according to the
arrangement proposed in my letter of the 12th November
1896, would fall within the limits of Afghanistan. Your
Highness will agree with me that this man, who has given so
much trouble to your Highness’s Government as well as to the
British Government, must not escape the punishment for his
misdeeds, and if the Mullah retires before my troops to
Jarobi, or to any place similarly situated, my troops will be
authorised to follow him up and destroy him and his
habitation. I do not wish your Highness to regard any such
action on the part of my troops as indicating an intention to
vary or depart from what we have agreed upon as the
dividing-line in the Mohmand country. I have no intention that
my troops should stay in that country, and they will certainly
not go further into it than is necessary in order to carry out
the object with which they are being despatched. On the
other hand, if the Mullah should take flight across the
mountains into the Kunar Valley, my troops have orders not to
follow him beyond the watershed, but I shall look to your
Highness to give orders to your officers to deal with him as he
deserves, and to restrain him from exciting the foolish
tribesmen to further acts of hostility.
“I have always endeavoured in my correspondence with
your Highness to write frankly and openly so that
misunderstandings may be avoided. Your Highness will, I
hope, recognise that this is my object on this occasion.”
From the Amir of Afghanistan to the address of His Excellency the
Viceroy, dated September 12, 1897.
(After compliments.)
“I beg to inform your Excellency that I have received your
friendly letter of the 6th instant. The Mullah will not come to
this country of mine, because he has acted wrongly, and,
should he still come, I will expel him from my country, so that
he may go towards Arabia, because he is a very wicked
person. Your Excellency’s troops, however, should not
advance too far (lit. should not make a great advance), lest
some confusion arise within the limits of Kunar or among the
troops which are in Kunar. The Mullah is a great knave. He
should not be allowed to (lit. let it not be that he might)
excite the people and troops of Ningrahar. Precaution is
necessary, so that the Army of the Sublime Government may
not raise commotion and tumult in the neighbourhood, and
the Mullah excite the people and be the source of
disturbances.
“As regards the remaining portion of the undemarcated
boundary of that district, your Excellency states that Jarobi is
possibly within Afghan limits. As up to this time no decision
has been come to in regard to those places, it will,
undoubtedly, be as your Excellency has written.”
From His Excellency the Viceroy and Governor-General of India to His
Highness the Amir of Afghanistan, G.C.B., G.C.S.I., dated Simla,
October 7, 1897.
(After compliments.)
“Your Highness has probably already heard of the result of
the advance of my troops against the Adda Mullah, which in
my letter of the 6th September 1897, corresponding to the
8th Rabi-us-Sani, 1315 H., I told your Highness was about to
be undertaken. The Mullah’s gathering has been dispersed:
my troops followed him to his home at Jarobi, but he had
already fled across the boundary into your Highness’s
territory, and, in accordance with my promise, my troops did
not pursue him further. It is now for your Highness to fulfil
the part which your Highness in your letter of the 12th
September 1897, announced the intention of taking, in the
event of the Mullah entering Afghanistan. I look to your
Highness to prevent him from concocting further mischief
from Afghan territory.
“As an instance of the mischief which the Adda Mullah has
been guilty of, I enclose in original a letter, dated the 2nd
September 1897, from Najm-ud-din to the Mian Guls of Swat.
The Mullah writes: ‘I had written to his Highness the Amir,
Zia-ul-millat-wad-din, on the subject of jehad. His Highness
replied that we should wait: that his Highness would consult
all the military officers, Khans and Maliks of his Highness’s
territory and then write again in reply, telling me the
arrangements and preparations for jehad.’
“Further on, he adds: ‘Please God, his Highness the Amir
will make arrangements for the jehad and issue a notification
to that effect.’
“In this way, Najm-ud-din has tried to make mischief
between your Highness and the Government of India, and it
is not to be wondered at if, under such circumstances, people
believe that they will not incur your Highness’s displeasure by
acting in a hostile manner towards the British Government.
“In my letter of the 30th August 1897, equivalent to the
1st Rabi-us-Sani, 1315 H., I informed your Highness of the
misdeeds of the Afridis, and of my intention to deal with them
in a manner to make clear the supremacy of the British
Government.
“I now have the honour to inform your Highness that a
punitive force under the command of General Sir William
Lockhart, K.C.B., K.C.S.I., will shortly start to march through
the country of the Orakzais and Afridis, and to compel both
tribes to submit to such terms as I decide to impose upon
them.
“I have received a letter from my Agent at Kabul, enclosing
copy of one sent to him by your Highness on the 25th Rabi-
us-Sani, 1315 H., corresponding to the 23rd September 1897.
From this letter I learn that your Highness has refused to
receive or encourage, and has turned back, the Afridis whose
representatives were on their way to Kabul. I thank your
Highness for this friendly act, which is exactly in accordance
with what I had proposed to ask your Highness to do.
“It is probable that, when the British troops advance, the
tribesmen will follow the example of the Adda Mullah’s
lashkar, and take flight into Afghan territory. I have, indeed,
been informed that they are already sending their women and
property into Ningrahar.
“Your Highness is aware that in December 1895 and in May
last I caused the Kaffir refugees to be disarmed, and took
measures to prevent their causing your Highness annoyance.
“I now ask your Highness to take similar action in regard
to the Orakzais and Afridis, by ordering your local officers to
disarm those who enter your limits and to prevent them from
making Afghan territory a base for attacks upon my forces.”
From His Highness the Amir of Afghanistan and its Dependencies to the
address of His Excellency the Viceroy, dated the 16th Jamadi-ul-
Awal, 1315 H., corresponding to the 13th October 1897 (received
on October 20, 1897).
(After compliments.)
“I have received your Excellency’s friendly letter, dated the
7th October 1897, enclosing a letter from Mullah Najm-ud-din,
the Fakir of Hadda, to the Mian Guls, which I have perused. I
have also understood the contents of your Excellency’s letter.
“As to the escape of Mullah Hadda from his house before
the British troops reached it, and as to my promise that I
would turn him out from this side of the boundary if he
should enter my territory, I have now to inform your
Excellency that I have issued orders to search for the said
Mullah by day and night in view to arrest him. The news-
reporters appointed for the purpose report that the Mullah
has concealed himself and is secretly moving about. I have
also ordered that his whereabouts should be found out and a
report made. Please God, the said Mullah’s mischief will be
stopped, if he be within the limits of my territory; but if this
mischievous man move about in tracts which have not been
divided yet between the British and Afghan Governments, the
British officials should instruct the Maliks of such tracts to
make arrangements about the said mischievous man. This
man does not pass a single night at one place. He is in
motion like mercury: during night he is at one place, and
during day at another. Such are the reports made by news-
reporters. Notwithstanding this, I am engaged in
endeavouring to arrest him. Your Excellency may rest assured
that, if I succeed in arresting him, I will turn him out from my
territory.
“I have perused the letter which Mullah Najm-ud-din wrote
to the Mian Guls of Swat, and which your Excellency sent to
me. I write to say that whatever the Mullah has written, he
has done so with the object of deceiving the tribesmen. His
object is to excite people to rebel. Some years ago he
became hostile towards me, and excited all his disciples to
rise against me, and made them fight with my troops. Now in
this way he is making the distant people fight with the British
Government. He is mischievous; he says what is advisable
and beneficial in his own interests. If I had given him the said
promise, he was not distant from my country, and at the
outside my troops at Jelalabad were only two stages away
from his residence. Your Excellency can see from the date of
his letter what a lie he has told. Liars tell lies, but wise
persons should distinguish (between truth and falsehood). I
have known these Mullahs well for years. They are like the
priests of the time of Peter the Great, who created great
mischief in Russia. These Mullahs pretend before the people
that Paradise and Hell are within their power and authority.
“I have understood what your Excellency kindly wrote for
my information about sending British troops for the
chastisement of the Orakzais and Afridis. I have also learnt
about the decision which the high officials of the British
Government have come to in regard to punishing the said
tribesmen and bringing them to obedience.
“I have further understood what your Excellency wrote
about the report which Maulavi Ghafur Khan made to your
Excellency regarding the arrival of the Afridi jirga at Jelalabad,
and my sending them back to their country from that place;
and your Excellency expressing thanks to me for my action.
As the people are seeking their own interests, their
statements cannot be relied upon.
“Your Excellency writes that, if at the time of the British
troops advancing against the Orakzais and Afridis these
tribesmen, being obliged to flee, should enter my territory,
they should be disarmed and prevented from making any
attack on British territory. My dear friend, I will not, please
God, to the best of my power, allow my subjects to join the
tribesmen who have rebelled, in view to help them in their
fights. But when they bring their families to the houses of
their own relatives I will take no notice of the circumstance,
because these people are mutually related to one another.
They have given thousands of their daughters in marriage to
one another. If I were to prohibit this mutual intercourse and
prevent them from bringing their families to Jelalabad, the
tribesmen would become hostile to me, in the same way that
they have become hostile to the British Government. Their
hostility to the British Government cannot be of much
account, because the British Government is a Great
Government. They have appointed troops for their
punishment, composed of English soldiers, Sikhs, and Hindus.
But all my troops consist of these tribesmen. They will never
agree to the destruction of their own kith and kin; and they
will again, under the orders of the mischievous Mullahs, issue
improper edicts against me.
“It would be better if peace be made between the Tirah
people, Afridis and Orakzais, and the British Government. But
if not, and fight ensues, and these tribesmen should flee and
come to the district of Ningrahar, your Excellency may rest
assured that they will not be able any more to attack or
interfere with your Excellency’s country; and until they have
consented to become subjects of the illustrious British
Government, I will never allow them to make any interference
with British territory. But if they continue to remain in their
own mountains, they will be beyond my power and control. If
they come to my country, like Umra Khan, they will not
behave improperly, and I will not allow them to do so.
Treaty signed at Kabul on March 21, 1905, between Mr. (afterwards
Sir) Louis Dane, C.S.I., and Habib Ullah, Amir of Afghanistan.
(After compliments.)
His Majesty Siraj-ul-millat-wa-ud-din Amir Habib Ulla Khan,
Independent King of the State of Afghanistan and its
dependencies, on the one part, and the Honourable Mr. Louis
William Dane, C.S.I., Foreign Secretary of the Mighty
Government of India and Representative of the Exalted British
Government, on the other part.
His said Majesty does hereby agree to this, that in the
principles and in the matters of subsidiary importance of the
Treaty regarding internal and external affairs, and of the
engagements which his Highness, my late father, that is, Kia-
ul-millat-wa-ud-din, who has found mercy, may God enlighten
his tomb! concluded and acted upon with the Exalted British
Government, I also have acted, am acting, and will act upon
the same agreement and compact, and I will not contravene
them in any dealing or in any promise.
The said Honourable Mr. Louis William Dane does hereby
agree to this, that as to the very agreement and engagement
which the Exalted British Government concluded and acted
upon with the noble father of his Majesty Siraj-ul-millat-wa-
ud-din, that is, his Highness Zia-ul-millat-wa-ud-din, who has
found mercy, regarding internal and external affairs and
matters of principle or of subsidiary importance, I confirm
them and write that they (the British Government) will not act
contrary to those agreements and engagements in any way
or at any time.
Made on Tuesday, the fourteenth day of Muharram-ul-
haram of the year thirteen hundred and twenty-three Hijri,
corresponding to the twenty-first day of March of the year
nineteen hundred and five a.d.
Amir Habib Ulla.
Louis W. Dane.
Circular Despatch addressed by Prince Gortchakow to Russian
Representatives abroad: dated November 21, 1864.
St. Petersburg,
November 21, 1864.
The Russian newspapers have given an account of the last
military operations executed by a detachment of our troops,
in the regions of Central Asia, with remarkable success and
important results. It was to be foreseen that these events
would the more attract the attention of the foreign public that
their scene was laid in scarcely known countries.
Our august Master has commanded me to state to you
briefly, but with clearness and precision, the position in which
we find ourselves in Central Asia, the interests which inspire
us in those countries, and the end which we have in view.
The position of Russia in Central Asia is that of all civilised
States which are brought into contact with half-savage,
nomad populations, possessing no fixed social organisation.
In such cases it always happens that the more civilised
State is forced, in the interest of the security of its frontier
and its commercial relations, to exercise a certain ascendency
over those whom their turbulent and unsettled character
make most undesirable neighbours.
First, there are raids and acts of pillage to be put down. To
put a stop to them, the tribes on the frontier have to be
reduced to a state of more or less perfect submission. This
result once attained, these tribes take to more peaceful
habits, but are in their turn exposed to the attacks of the
more distant tribes.
The State is bound to defend them against these
depredations, and to punish those who commit them. Hence
the necessity of distant, costly, and periodically recurring
expeditions against an enemy whom his social organisation
makes it impossible to seize. If, the robbers once punished,
the expedition is withdrawn, the lesson is soon forgotten; its
withdrawal is put down to weakness. It is a peculiarity of
Asiatics to respect nothing but visible and palpable force: the
moral force of reason and of the interests of civilisation has as
yet no hold upon them. The work has then always to be done
over again from the beginning.
In order to put a stop to this state of permanent disorder,
fortified posts are established in the midst of these hostile
tribes, and an influence is brought to bear upon them which
reduces them by degrees to a state of more or less forced
submission. But soon beyond this second line other still more
distant tribes come in their turn to threaten the same dangers
and necessitate the same measures of repression. The State
thus finds itself forced to choose one of two alternatives,
either to give up this endless labour and to abandon its
frontier to perpetual disturbance, rendering all prosperity, all
security, all civilisation an impossibility, or, on the other hand,
to plunge deeper and deeper into barbarous countries, where
the difficulties and expenses increase with every step in
advance.
Such has been the fate of every country which has found
itself in a similar position. The United States in America,
France in Algeria, Holland in her colonies, England in India—
all have been irresistibly forced, less by ambition than by
imperious necessity, into this onward march, where the
greatest difficulty is to know when to stop.
Such, too, have been the reasons which have led the
Imperial Government to take up at first a position resting on
one side on the Syr Daria, on the other on the Lake Issik-Kul,
and to strengthen these two lines by advanced forts, which,
little by little, have crept on into the heart of those distant
regions, without, however, succeeding in establishing on the
other side of our frontiers that tranquillity which is
indispensable for their security.
The explanation of this unsettled state of things is to be
found, first, in the fact that, between the extreme points of
this double line, there is an immense unoccupied space,
where all attempts at colonisation or caravan trade are
paralysed by the inroads of the robber-tribes; and, in the
second place, in the perpetual fluctuations of the political
condition of those countries, where Turkestan and Khokand,
sometimes united, sometimes at variance, always at war,
either with one another or with Bokhara, presented no chance
of settled relations or of any regular transactions whatever.
The Imperial Government thus found itself, in spite of all
its efforts, in the dilemma we have above alluded to, that is to
say, compelled either to permit the continuance of a state of
permanent disorder, paralysing to all security and progress, or
to condemn itself to costly and distant expeditions, leading to
no practical result, and with the work always to be done
anew; or, lastly, to enter upon the undefined path of conquest
and annexation which has given to England the empire of
India, by attempting the subjugation by armed force, one
after another, of the small independent states whose habits of
pillage and turbulence and whose perpetual revolts leave
their neighbours neither peace nor repose.
Neither of these alternative courses was in accordance
with the object of our august Master’s policy, which consists,
not in extending beyond all reasonable bounds the regions
under his sceptre, but in giving a solid basis to his rule, in
guaranteeing their security, and in developing their social
organisation, their commerce, their wellbeing, and their
civilisation.
Our task was, therefore, to discover a system adapted to
the attainment of this threefold object.
The following principles have, in consequence, been laid
down:
(1) It has been judged to be indispensable that our two fortified
frontier lines—one extending from China to the lake Issik-Kul, the
other from the Sea of Aral along the Syr-Daria—should be united
by fortified points, so that all our posts should be in a position of
mutual support, leaving no gap through which the nomad tribes
might make with impunity their inroads and depredations.
(2) It was essential that the line of our advanced forts thus
completed should be situated in a country fertile enough, not only
to insure their supplies, but also to facilitate the regular
colonisation, which alone can prepare a future of stability and
prosperity for the occupied country, by gaining over the
neighbouring populations to civilised life.
(3) And lastly. It was urgent to lay down this line definitely, so
as to escape the danger of being carried away, as is almost
inevitable, by a series of repressive measures and reprisals, into an
unlimited extension of territory.
To attain this end a system had to be established which
should depend not only on reason, which may be elastic, but
on geographical and political conditions, which are fixed and
permanent.
This system was suggested to us by a very simple fact, the
result of long experience, namely, that the nomad tribes,
which can neither be seized nor punished, nor effectually kept
in order, are our most inconvenient neighbours; while, on the
other hand, agricultural and commercial populations attached
to the soil, and possessing a more advanced social
organisation, offer us every chance of gaining neighbours
with whom there is a possibility of entering into relations.
Consequently, our frontier line ought to swallow up the
former and stop short at the limit of the latter.
These three principles supply a clear, natural, and logical
explanation of our last military operations in Central Asia. In
fact our original frontier line, extending along the Syr-Daria to
Fort Perovski on one side, and on the other to the Lake Issik-
Kul, had the drawback of being almost on the verge of the
desert. It was broken by a wide gap between the two
extreme points; it did not offer sufficient resources to our
troops, and left unsettled tribes over the border with which
any settled arrangement became impossible.
In spite of our unwillingness to extend our frontier, these
motives had been powerful enough to induce the Imperial
Government to establish this line between Lake Issik-Kul and
the Syr-Daria by fortifying the town of Chimkent, lately
occupied by us. By the adoption of this line we obtain a
double result. In the first place, the country it takes in is
fertile, well wooded, and watered by numerous watercourses;
it is partly inhabited by various Kirghiz tribes, which have
already accepted our rule; it consequently offers favourable
conditions for colonisation and the supply of provisions to our
garrisons. In the second place, it puts us in the immediate
neighbourhood of the agricultural and commercial populations
of Khokand. We find ourselves in presence of a more solid
and compact, less unsettled, and better organised social
state; fixing for us with geographical precision the limit up to
which we are bound to advance, and at which we must halt;
because, while, on the one hand, any further extension of our
rule, meeting, as it would, no longer with unstable
communities, such as the nomad tribes, but with more
regularly constituted states, would entail considerable
exertions, and would draw us on from annexation to
annexation with unforeseen complications. On the other, with
such states for our future neighbours, their backward
civilisation and the instability of their political condition do not
shut us out from the hope that the day may come when
regular relations may, to the advantage of both parties, take
the place of the permanent troubles which have up to the
present moment paralysed all progress in those countries.
Such, Sir, are the interests which inspire the policy of our
august Master in Central Asia; such is the object, by his
Imperial Majesty’s orders, of the action of his Cabinet.
You are requested to take these arguments as your guide
in any explanations you may give to the Government to which
you are accredited, in case questions are asked or you may
see credence given to erroneous ideas as to our action in
these distant parts.
It is needless for me to lay stress upon the interest, which
Russia evidently has, not to increase her territory, and, above
all, to avoid raising complications on her frontiers which can
but delay and paralyse her domestic development.
The programme which I have just traced is in accordance
with these views.
Very frequently of late years the civilisation of these
countries, which are her neighbours on the continent of Asia,
has been assigned to Russia as her special mission.
No agent has been found more apt for the progress of
civilisation than commercial relations. Their development
requires everywhere order and stability; but in Asia it
demands a complete transformation of the habits of the
people. The first thing to be taught to the populations of Asia
is that they will gain more in favouring and protecting the
caravan trade than in robbing it. These elementary ideas can
only be accepted by the public where one exists; that is to
say, where there is some organised form of society and a
government to direct and represent it.
We are accomplishing the first part of our task in carrying
our frontier to the limit where the indispensable conditions
are to be found.
The second we shall accomplish in making every effort
henceforward to prove to our neighbouring states, by a
system of firmness in the repression of their misdeeds,
combined with moderation and justice in the use of our
strength, and respect for their independence, that Russia is
not their enemy, that she entertains towards them no ideas of
conquest, and that peaceful and commercial relations with
her are more profitable than disorder, pillage, reprisals, and a
permanent state of war.
The Imperial Cabinet, in assuming this task, takes as its
guide the interests of Russia. But it believes that, at the same
time, it is promoting the interests of humanity and civilisation.
It has a right to expect that the line of conduct it pursues and
the principles which guide it will meet with a just and candid
appreciation.
(Signed) Gortchakow.
TREATY BETWEEN RUSSIA AND BOKHARA (1873)
Concluded between General Aide-de-Camp Kauffman, Governor-General
of Turkestan, and Seid Mozaffur, Amir of Bokhara.
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