Madhyamaka Buddhist Philosophy

buddhaMadhyamaka and Yogācāra are the two main philosophical trajectories associated with the Mahāyāna stream of Buddhist thought. According to Tibetan doxographical literature, Madhyamaka represents the philosophically definitive expression of Buddhist doctrine. Stemming from the second-century writings of Nāgārjuna, Madhyamaka developed in the form of commentaries on his works. This style of development is characteristic of the basically scholastic character of the Indian philosophical tradition. The commentaries elaborated not only varying interpretations of Nāgārjuna’s philosophy but also different understandings of the philosophical tools that are appropriate to its advancement. Tibetan interpreters generally claim to take the seventh-century commentaries of Candrakīrti as authoritative, but Indian commentators subsequent to him were in fact more influential in the course of Indian philosophy. Madhyamaka also had considerable influence (though by way of a rather different set of texts) in East Asian Buddhism, where a characteristic interpretive concern has been to harmonize Madhyamaka and Yogācāra. Although perhaps most frequently characterized by modern interpreters as a Buddhist version of skepticism, Madhyamaka arguably develops metaphysical concerns. The logically elusive character of Madhyamaka arguments has fascinated and perplexed generations of scholars. This is surely appropriate with regard to a school whose principal term of art, “emptiness” (śūnyatā), reflects developments in Buddhist thought from the high scholasticism of Tibet to the enigmatic discourse of East Asian Zen.

Table of Contents

  1. Nāgārjuna and the Paradoxical “Perfection of Wisdom” Literature
  2. The Basic Philosophical Impulse
    1. The “Two Truths” in Buddhist Abhidharma
    2. The Interminability of Dependent Origination
    3. Ethics and the Charge of Nihilism
  3. The Question of Self-contradiction and the Possible Truth of Mādhyamika Claims
  4. Historical Development of Indian Schools of Interpretation
  5. More on the Svātantrika-Prāsaṅgika Difference: Madhyamaka and Buddhist Epistemology
  6. Madhyamaka in Tibet
  7. Madhyamaka in East Asia
  8. References and Further Reading

1. Nāgārjuna and the Paradoxical “Perfection of Wisdom” Literature

“Madhyamaka” is a Sanskrit word that simply means “middle way.” (The derivative form “Mādhyamika” literally means “of or relating to the middle,” and conventionally designates an adherent of the school, or qualifies some aspect of its thought.) Madhyamaka refers to the Indian Buddhist school of thought that develops in the form of commentaries on the works of Nāgārjuna, who flourished around 150 C.E. Nāgārjuna figures in the traditional accounts developed to authenticate the literature of the self-styled “Mahāyāna” stream of Buddhist thought. Arguing that sūtras known to have begun circulating only at the beginning of the first millennium could nevertheless represent the authentic teaching of the Buddha (buddhavacana), proponents of Mahāyāna invoked the characteristically Buddhist idea of “skill in means” (upāyakauśalya); they thus claimed that the Mahāyāna sūtras promulgate an advanced stage of the Buddha’s teaching such as would not have been appropriately taught to the earliest auditors of the Buddha, who, unprepared by the necessarily preparatory earlier teachings, might draw nihilistic conclusions from the sūtras. It is Nāgārjuna who is said first to have recovered and promulgated these sūtras, having retrieved the Prajñāpāramitā (“Perfection of Wisdom”) literature from the underwater kingdom of the “Nāgas,” or serpent kings.

Two texts generally represent the criteria for attributing authorship of a text to Nāgārjuna. So, this name conventionally refers to the person who wrote the Mūlamadhyamakakārikās (MMK, “Verses on the Firmly Fixed Middle Way”) and the Vigrahavyāvartanī (VV, “Turning Back Objections”). Both of these texts, but particularly the former, have occasioned a great deal of interest among Indologists and philosophers. This is not surprising, since the MMK is indeed a rich text. Stylistically lucid yet logically enigmatic, Nāgārjuna’s major work shares with the Prajñāpāramitā literature a characteristic air of paradox, which Madhyamaka’s critics see as evidence of nihilism if not of incoherence. We read in this text, for example, that “there is, on the part of saṃsāra, no difference at all from nirvāṇa” (MMK 25.19). The text’s first verse says “There do not exist, anywhere at all, any existents whatsoever, arisen either from themselves or from something else, either from both or altogether without cause.” (MMK 1.1)

2. The Basic Philosophical Impulse

a. The “Two Truths” in Buddhist Abhidharma

In styling the school that develops from Nāgārjuna’s works the “middle way” (an expression used by Nāgārjuna himself), proponents of Madhyamaka exploited a long-invoked Buddhist trope. Traditional accounts of the life of the Buddha typically characterize him as striking a “middle way” between the extravagance of the courtly life that had been available to him as a prince and the extreme asceticism he is said initially to have tried in his pursuit of transformative insight. Philosophically, the relevant extremes between which any Buddhist account of the person must steer are “eternalism” and “nihilism.” Eternalism (śāśvatavāda) is the view that there are enduring existents of which the self is an example. Nihilism (ucchedavāda) might be termed “eliminativism,” and denotes, for Buddhists, the view that actions (karma) have no ethical consequences, insofar as the agents of actions cannot be said to endure as the subjects who will experience their effects.

Given their characteristically Buddhist concern to refuse the existence of an ultimately existent “self,” it is the nihilism pole that Mādhyamikas must work hardest to avoid. Indeed, the concern to avoid charges of nihilism represents one of the most significant preoccupations of Mādhyamika philosophers. This concern has to be understood in terms of the traditionally Buddhist idea of “two truths,” or two levels of explanation or description: the familiar level of discourse that includes reference to the “conventionally existent” (saṃvṛtisat), and the level which makes reference only to what is “ultimately existent” (parmārthasat). Most schools of Buddhist philosophy can be understood in terms of the sense in which they deny the “ultimate” existence of the self, while affirming its “conventional” existence.

In its basically Ābhidharmika iterations (that is, in the ways elaborated in the earliest scholastic literature of Indian Buddhism, the so-called “Abhidharma”) this denial of the ultimate existence of the self is an idea that can be understood as comparable to a great deal of contemporary philosophical discussion. Philosophical projects in cognitive science can be said, for example, to turn on questions of how (or perhaps whether) to relate two levels of description: (1) the broadly intentional level of description that generally reflects the first-person, phenomenological perspective (and that is also reflected in ordinary language and interactions), and (2) the scientific level of description at which the real explanatory work is done. Similarly, the broadly Ābhidharmika trajectory of Buddhist philosophy has it that the two truths basically consist in two sets of existing things: the set of conventionally existent (saṃvṛtisat) things and the set of ultimately existent (parmārthasat) things. The “conventionally existent” comprises all reducible or supervenient phenomena (basically, all temporally enduring macro-objects); the “ultimately existent” represents the set of ontological primitives, which the Abhidharma literature calls “dharmas.” It is ultimately the case, then, that causal interactions among the dharmas exhaustively explain all conventional events.

The works of Nāgārjuna and his philosophical heirs are best understood as constitutively opposed to this understanding of the two truths. The foundational idea of Madhyamaka is that the set of ultimately existent things is an empty set – a point that Mādhyamikas characteristically promote by insisting on the emptiness (śūnyatā) not only of wholes such as persons, but also of the analytic categories (dharmas) to which these are reduced in Abhidharma literature. The works of Nāgārjuna and his commentators, then, typically comprise arguments to the effect that none of the analytic categories (dharmas) and concepts used to explain anything can be coherently formulated. More precisely, the argument is that no such categories can intrinsically provide any explanatory purchase on the phenomena they purportedly explain.

b. The Interminability of Dependent Origination

In proceeding this way, Mādhyamikas can be understood to think that the ontologizing impulse of Abhidharma compromises the most important insight of the Buddhist tradition – which is, on the Mādhyamika reading, that all existents are “dependently originated” (pratītyasamutpanna). (The cardinal doctrine of the “dependent origination” of all existents represents the flip-side of the Buddhist denial of a “self”; that is, the reason we do not have unitary and enduring selves just is that any moment of experience can be explained as having originated from innumerable causes, none of which can be specified as what we “really” are.) More precisely, Mādhyamikas can be said to have recognized that the ontological primitives posited by Abhidharma could have explanatory purchase only if they are posited as an exception to the rule that everything is dependently originated; that is, dependently originated existents could only be ultimately explained by something that does not itself require the same kind of explanation. But it is precisely the Mādhyamika point to emphasize that there is no exception to this rule; phenomena are dependently originated all the way down, and it is therefore impossible to specify precisely what it is upon which anything finally depends. Hence, there can be no set of “ultimately existent” things.

Mādhyamika arguments to this effect typically work by showing that all explanatory categories turn out to be constitutively dependent upon the phenomena they purportedly explain – as, for example, notions such as “fire” and “fuel,” “action” and “agent,” or “cause” and “effect” are intelligible only relative to one another. To show the constitutively relative (that is, dependent) character of all such explanatory categories and phenomena is effectively to make the one point that Mādhyamikas are most concerned to make: that insofar as there is nothing that is not dependently originated, there is therefore nothing that is not “empty” (śūnya). (This paraphrases MMK 24.19, which says: “Since there is no dharma whatsoever that is not dependently originated, therefore there is no dharma whatsoever that is not empty.”)

In thus characterizing all categories and all existents as finally “empty,” what Mādhyamikas mean is that they are empty of what we may translate as “essence” (svabhāva). This is true just insofar as they exist not “essentially” (svabhāvena), but only relatively – that is, only in relation to other existents and categories. In arguing thus, Mādhyamikas – typifying characteristically Sanskritic styles of argumentation, in which the terms and analyses of the Sanskrit grammarians figure prominently – exploit the etymology of the word svabhāva. Although the semantic range of this Sanskrit word typically comprises ideas like “defining characteristic” or “identity,” the word can etymologically be read as referring to something “existent” (bhāva) “by itself” (sva-). Among the recently debated exegetical questions concerning Madhyamaka has been whether important Mādhyamika arguments centrally involve an equivocation on this term, unwarrantedly equating “identity” with “causally independent existence.”

c. Ethics and the Charge of Nihilism

It is not only in their characteristically Buddhist denial of a really existent “self,” but also in their more radical (and rhetorically charged) emphasis on the universally obtaining character of emptiness that Mādhyamikas recurrently elicited charges of nihilism – a charge as often issuing from proponents of other Buddhist schools as from the various Brahmanical schools of Indian philosophy. One of the most prominently recurrent sorts of exchange in Nāgārjuna’s MMK involves an interlocutor’s presupposing that by ‘emptiness’ Mādhyamikas must mean non-existence. For example, the twenty-fourth chapter of the MMK begins with the challenge of an imagined interlocutor (this one clearly another Buddhist): “If all this is empty, then there’s neither production nor destruction; it follows, for you, that the Four Noble Truths don’t exist.” (MMK 24.1) The rejoinder (at MMK 24.20): it is in fact only because everything is empty – which just is to say, dependently originated – that the Four Noble Truths can obtain. That is, the fact that existents only come into being in mutual dependence upon one another (and are therefore “empty” of an essence) is all that makes it possible for (what is the first Noble Truth) suffering to arise – and thus having arisen as a contingent and dependent phenomenon, to be caused to cease (the third Noble Truth). If, in contrast, suffering were the “natural” or “essential” state of affairs (svabhāva), this would (as Nāgārjuna sees it) mean that it could not be interrupted, and the cultivation of the entire Buddhist path would be impossible.

It is particularly important for the proponent of Madhyamaka to foreclose the possibility of a nihilist reading of claims regarding emptiness insofar as it is finally the ethical and soteriological project of Buddhist practice that is thought to be at stake. In this regard, the characteristically Mādhyamika conviction is that it is in fact the Ābhidharmika iteration of the Buddhist project (and not Mādhyamika claims regarding emptiness) that is “nihilist.” This is because on the characteristically Ābhidharmika understanding of the “two truths,” the world as “conventionally” described – as consisting, for example, in suffering persons whose plight should elicit compassionate dedication to the Buddhist path – is finally altogether superseded by the privileged level of description constitutively developed in the Abhidharma literature. The characteristically Ābhidharmika enumeration of the dharmas that putatively constitute the set of “ultimately existent” things amounts to the specification of what “really” exists instead of the self. If, in contrast, it is recognized that no such privileged level of description can coherently be elaborated – that, in other words, there is no set of ontological primitives in terms of which the only real explanatory work can be done, and that in that sense there is nothing “more real” than the world as conventionally described – then the world is finally to be accepted as irreducibly “conventional,” and the persons therein can hence be regarded as ethical agents who are not finally eliminable in terms of the analytic categories of Abhidharma.

3. The Question of Self-contradiction and the Possible Truth of Mādhyamika Claims

But this understanding also raises what are surely the most philosophically complex and interesting problems in understanding Madhyamaka: if the constitutive claim of Madhyamaka is to be taken as one to the effect that the ultimate truth is that there is (in the sense described) no “ultimate truth,” it is easy to ask: What is the status of this claim itself? It would seem open to the Mādhyamika only to allow that it is itself conventionally true – but is that not just to say that one may as well choose not to adopt this particular “convention”? The problem, then, is whether characteristically Mādhyamika claims are, to the extent they are true, performatively self-contradictory or self-referentially incoherent. This problem was well understood (if not always clearly addressed) by proponents of Madhyamaka, and is very much in play in characteristically Mādhyamika claims to the effect that “emptiness” itself is empty – that, in other words, the Mādhyamika analysis is to be applied not only to all existents, but also to this analysis thereof.

To say as much is the only way consistently to affirm the universal scope of claims regarding emptiness; for there would clearly be a performative self-contradiction in claiming that “all existents are empty-cum-dependently-originated,” while yet allowing that claim itself to stand as an exception – as itself having, that is, the kind of “ultimately” privileged explanatory purchase that is denied with respect to all other analyses. But it is a complex matter whether the Mādhyamika can, in avoiding this route to self-contradiction, affirm the “emptiness of emptiness” without thereby depriving his own claim of any purchase. It is particularly at this point, then, that there is an air of paradox going to the heart of Mādhyamika discourse, finding expression in, for example, apparent claims to the effect that no claim is being made; hence, such quintessentially Mādhyamika tropes as the claim that Madhyamaka advances no philosophical “thesis” (pratijñā), and that “emptiness” does not reflect any specific “view” (dṛṣṭi).

Such rhetoric characteristically expresses what is surely the central interpretive and philosophical issue at stake in understanding Madhyamaka, and it is not surprising, in this regard, that Madhyamaka should often have been interpreted by modern scholars as having affinities with Hellenistic skepticism. Another line of interpretation (often inflected in recent years by appeal to Wittgenstein, or to various poststructuralist thinkers) has it that Mādhyamika claims not to be making any claim should be taken seriously as expressing a basically “therapeutic” sort of stance – one meant performatively to undermine (in something like the same way, perhaps, as in the Zen discourse of koans) soteriologically counter-productive profusions of discursive thought. This line of interpretation can be warranted by characteristically Mādhyamika talk about the elimination of prapañca (often translated as conceptual “proliferation”), and by paeans to the “ultimate truth” as something finally ineffable.

Such readings are, however, difficult to reconcile with what many Tibetan interpreters (perhaps notwithstanding such rhetoric) took to be the constitutively Mādhyamika claim: namely, that “emptiness” just means (and is the only way consistently to describe) “dependent origination.” If it is said, for example, that there is nothing “non-empty” just insofar as there is nothing that is not dependently originated (here again, paraphrasing MMK 24.19), that would seem to preclude, at least, the truth of statements (made, e.g., by certain theists) to the effect that there is something (e.g., God) that is necessarily (or otherwise not dependently) existent. If the Mādhyamika statement does not rule out the truth of such statements, then it would be difficult to understand it as meaning anything (although perhaps the radically “therapeutic” interpreter of Madhyamaka will here bite the bullet and, well, argue that it is the very idea of “meaning” anything that is to be jettisoned); but to say that the Mādhyamika claim contradicts a truth-claim proffered by some theists just is to say that the former claim, too, is proposed as true. Recognizing that, one might urge that the universal scope of the Mādhyamika claim entails that there is an important sense in which Madhyamaka is constitutively anti-skeptical – that, indeed, Mādhyamika arguments advance a finally metaphysical point. For example, one could argue that what is at stake here is the properly transcendental fact that emptiness (understood as the fact that things exist only interdependently) is a condition of the possibility of any existents and of any analysis thereof.

The question for the proponent of such a line of interpretation then becomes: If “the ultimate truth is that there is no ultimate truth,” is it possible to think of this claim as itself ultimately true? It is important to note, in this regard, that while Mādhyamikas characteristically (indeed, constitutively) eschew the Ābhidharmika idea that “ultimate truth” involves a domain of enumerable existents regarding which claims are to be judged for their adequacy, Madhyamaka nevertheless makes abundant reference to the “ultimate truth.” One way to make sense of this is to attribute to Madhyamaka a basically deflationist account of truth – that is, one according to which calling a claim “true” is to be explained not as predicating a metaphysical property (such as “correspondence” with “ultimately existent” things) of it, but simply as committing oneself to it. On such a view, to the extent that the (Ābhidharmika) idea of “ultimate truth” has been shown incoherent, all that remains is the level of “truth” that is characterized by common-sense realism.

This interpretation has the advantage of fitting quite well with the kind of traditional doxographical accounts (influentially developed, early on, by the Indian Mādhyamika Bhāvaviveka) that figure prominently in the Tibetan monastic curriculum. These represent the schools of Indian Buddhist philosophy in an ascending hierarchy of progressively more refined views, the understanding of each of which requires having rightly understood its predecessors. On such an account, Madhyamaka, though framed as an uncompromising critique of Ābhidharmika Buddhism, nevertheless depends on the latter: if the naive realism of non-Buddhas consists in thinking there is something more real (paradigmatically, selves) underlying our experience of the world, the realization of the “deflated” realism of Madhyamaka differs from that (and is therefore transformative) only insofar as one has first pursued to its limits the kind of reductionist exercise that shows how unstable is our naive self-grasping. If one has not first entertained the Ābhidharmika’s reductionist approach, then there would be no difference between the common-sense realism of the Mādhyamika, and that of ordinary ignorant persons. But if one realizes the necessary failure of the reductionist’s privileged level of description only after having entertained it, the resultant “realism” will be inflected by the transformative understanding that our selves are “real” in the only sense in which anything (even the purportedly “ultimate” existents that are dharmas) can be real – that is, relatively, dependently.

Another strategy (perhaps not mutually exclusive of the foregoing) is to emphasize that what Mādhyamikas refute, under the heading of “ultimate truth,” is simply the idea of a privileged level of description (in the form of a set of enumerable ontological primitives) – but that the abstract fact of there being no such set is itself really (indeed metaphysically) true. In that case, the salient point is just that the truth of the Mādhyamika claim does not consist in its reference to – its correspondence with – a specifiable domain of objects. This reconstruction can be coupled with an understanding of Mādhyamika arguments as basically transcendental arguments. Such an interpretation makes good sense, at least, of what is surely one of the most prominently recurrent rhetorical strategies of Nāgārjuna; so, Nāgārjuna can be understood to argue that his various interlocutors’ objections are incoherent just insofar as these very objections presuppose the truth of Nāgārjuna’s claims. Emptiness is not only not mutually exclusive of the Four Noble Truths – it is a condition of the possibility thereof. Emptiness is, moreover, a condition of the possibility even of an opponent’s denying this; for any analysis or denial at all (indeed, any cognitive act) consists, in the first instance, in some relation.

Perhaps more suggestively, such an interpretation can also help map the finally ethical concerns of Madhyamaka onto some contemporary arguments concerning reductionist accounts of the person. In this regard, it was noted that the Ābhidharmika trajectory of Buddhist philosophy can be understood as analogous to various projects in cognitive science. In the idiom of the latter, then, it could be said that the Ābhidharmika idea is that there is, “conventionally,” an intentional level of description (variously characterized as the “common-sense” view, “folk psychology,” etc.); and, “ultimately,” a scientific level of description, comprising the ontological primitives that alone are said “really” to exist, and exhaustively to explain the former level. One line of critique developed against such approaches is to argue that anyone offering an exhaustively “impersonal,” non-intentional description of (what we think of as) persons can be shown necessarily to presuppose precisely the personal, intentional level of description that is purportedly explained. Similarly, the upshot of the Mādhyamika argument that the world is (as expressed above) “irreducibly conventional” is that the level of description at which “persons” are in play cannot coherently be thought to be eliminable. Many of the commentator Candrakīrti’s arguments can be said, without too great a stretch, to make something like this point, recurrently urging against various interlocutors that any purported attempt to explain the conventional world (in terms that, if the proposed account is to have any explanatory purchase, must not themselves be conventional) inevitably founders on the unavoidability of presupposing the conventional senses of words.

Suffice it to say that the philosophical and exegetical issues in play here are highly complex, and that almost any attempt at understanding the texts of Nāgārjuna and his commentators is likely to require a considerable effort of rational reconstruction – which perhaps explains the enduring appeal of this trajectory of thought.

4. Historical Development of Indian Schools of Interpretation

The Indian Buddhist tradition attests two broad streams in the interpretation of Nāgārjuna’s thought, corresponding roughly to what later Tibetan interpreters would refer to as the “Prāsaṅgika” and “Svātantrika” accounts of Madhyamaka. Interpreters of the former sort are so-called because of their view that Madhyamaka should be advanced only by reducing an opponent’s arguments to absurdity. Nāgārjuna is, on this view, to be interpreted as showing only the unwanted consequences (“prasaṅga”) entailed by his opponents’ claims, and not as defending any philosophical “thesis” (pratijñā) of his own. Svātantrikas, in contrast, are so-called because of their characteristic view that Nāgārjuna’s verses require restatement as formally valid inferences (svatantra-anumāna) whose conclusions are to be affirmed. Much contemporary debate has concerned whether these divergent lines of interpretation reflect only differing dialectical strategies, or whether (as influential Tibetan proponents of the distinction claim) they involve significantly different ontological presuppositions. Although the characterizations of these two trajectories of interpretation are not without basis in the antecedent Indian texts, this doxographic lens is of interest partly for what it can tell us about some characteristically Tibetan preoccupations (and about the influence of certain schools of Tibetan Buddhist philosophy on the contemporary interpretation of Indian Buddhist thought).

Names traditionally associated with the “Prāsaṅgika” stream of interpretation include Āryadeva, who is traditionally regarded as Nāgārjuna’s direct disciple (making his date close to Nāgārjuna’s), and who wrote the Catuḥśataka (“400 Verses”) – a text that is particularly important insofar as the divergent interpretations of it by the commentators Dharmapāla (530-561) and Candrakīrti are sometimes taken to herald a decisive split between Madhyamaka and Yogācāra (see Tillemans 1990); Buddhapālita (fl. c. 500), the author of a complete commentary (now extant only in Tibetan translation) on the MMK; and Candrakīrti (c. 600-650), whose Prasannapadā (“Clear Words”) – the only commentary on the MMK known to be extant in Sanskrit – preserves the Sanskrit text of Nāgārjuna’s verse text.

Candrakīrti is also the author of, among other works, the Madhyamakāvatāra (“Introduction to Madhyamaka”), an independent work (with auto-commentary) that represents the principal text for the “Madhyamaka” component of many Tibetan monastic curricula. This work is structured on the model of texts like the Daśabhūmika Sūtra, with chapters corresponding to that text’s progression in a bodhisattva’s mastery of ten “perfections” (pāramitā). The sixth chapter (fittingly corresponding to prajñāpāramitā, the “perfection of wisdom”) is by far the longest and the most philosophically rich, comprising, inter alia, important Mādhyamika critiques of Yogācāra.

Significant later Prāsaṅgikas include Śāntideva (fl. early eighth century), the author of the Bodhicaryāvatāra (“Introduction to the Conduct of Awakening”), an eloquent and popular text whose difficult ninth chapter (helpfully elaborated by the commentary of Prajñākaramati, who likely flourished in the tenth century) comprises important Mādhyamika arguments; and Dīpaṃkaraśrījñāna (982-1054; more popularly known as “Atiśa”), who figured prominently in the transmission of Indian Buddhism to Tibet, where he lived when he wrote the Bodhipathapradīpa (“A Lamp for the Path to Awakening”).

The “Svātantrika” line of interpretation originates with Bhāvaviveka (c. 500-570; his name is also reported as “Bhāviveka,” and he is often referred to as “Bhavya”), the author not only of a commentary on the MMK – the Prajñāpradīpa, now extant only in Tibetan and Chinese translations – but also of an independent work, the Madhyamakahṛdayakārikās, “Verses on the Heart of Madhyamaka,” with an auto-commentary entitled Tarkajvāla (“Blaze of Logic”). Other significant exponents of this line of thought include Jñānagarbha (fl. early eighth century), who is traditionally regarded as the teacher of Śāntarakṣita (725-788). The latter is the author of the Madhyamakālaṃkāra (“Ornament of Madhyamaka”), a relatively concise text elaborating Śāntarakṣita’s characteristic synthesis of Madhyamaka and Yogācāra. Śāntarakṣita is perhaps more widely known for the Tattvasaṃgraha (“Summa of Quiddities”), a massive treatise that takes on a huge range of Indian philosophical doctrines – and that quotes extensively from Brahmanical and other Buddhist philosophers, making it an important source of fragments from Indian works that do not, like the Tattvasaṃgraha, survive in Sanskrit.

The latter text is (like the Madhyamakālaṃkāra) helpfully illuminated by a commentary (the Tattvasaṃgrahapañjikā) by Śāntarakṣita’s student and disciple Kamalaśīla (c.740-795). The latter traveled with his teacher to Tibet, where both thinkers figure prominently in the founding events of Tibetan Buddhist thought. Kamalaśīla is, for example, traditionally regarded by Tibetans as having advocated the “gradualist” position in a famous debate at the bSam-yas monastery with a Chinese exponent of the Ch’an (“Zen”) understanding of “sudden enlightenment.” It was Kamalaśīla’s victory in this debate that established the “gradualist” understanding as at least officially normative for most schools of Tibetan Buddhism; while the occurrence of the debate itself may be apocryphal, such a position is surely reflected in Kamalaśīla’s three Bhāvanākrama (“stages of cultivation”) texts, written in Tibet.

5. More on the Svātantrika-Prāsaṅgika Difference: Madhyamaka and Buddhist Epistemology

As indicated, the so-called Svātantrika trajectory of Madhyamaka constitutively involves recourse to the tools of formal logic and inference, evincing a characteristic concern to restate Nāgārjuna’s arguments as formally valid inferences. More generally, it can be said that this approach is informed by Bhāvaviveka’s use of the logic and epistemology of Dignāga (c. 480-540), who influentially appealed to the idiom of pramāṇavidyā (the “discipline of logic and epistemology”) in advancing the Buddhist position – and who was, indeed, among the most important figures in developing the broadly Sanskritic conceptual vocabulary that would predominate in the subsequent course of Indian philosophy. Similarly, such later Svātantrikas as Śāntarakṣita were informed by the project of Dignāga’s influential expositor Dharmakīrti (c. 600-660), and figures such as Dharmakīrti and Śāntarakṣita would be of decisive importance for the remaining course of the Indian Buddhist philosophical tradition’s life. (Candrakīrti, in contrast, would exercise little influence in India, though he re-emerges with the Tibetan tradition’s interest in him.)

The dispute between these lines of interpretation crystallizes around the figures of Buddhapālita, Bhāvaviveka, and Candrakīrti – and can be seen, in particular, in their respective elaborations of Nāgārjuna’s MMK 1.1 (“There do not exist, anywhere at all, any existents whatsoever, arisen either from themselves or from something else, either from both or altogether without cause”). This verse basically deploys a standard tool in the Mādhyamika arsenal: the “tetralemma” (catuṣkoṭi), a four-fold statement that is meant to identify all possible relations between any category and its putative explananda (e.g., “the same,” “different,” “both the same and different,” “neither the same nor different”) – with the standard Mādhyamika denial of all four horns of the tetralemma meant as an exhaustive refutation of the efficacy and coherence of the category in question. (One modern interpretive discussion concerns whether or not this apparent violation of bivalent logic shows Mādhyamikas to have presupposed a non-standard sort of logic.)

Buddhapālita’s “prāsaṅgika” commentary on this verse does nothing more than make clear (what he takes to be) the absurd consequences that would be entailed by affirming any one of the positions here rejected. For example, the view that existents originate intrinsically – a position traditionally understood to express the Indian Sāṃkhya school’s characteristic view that effects are always latent within their causes – is to be denied “since there would be no point in the arising of already existent things.” That is, an affirmation of the causation of something from itself entails that the thing in question already exists, in which case, its coming-into-being could not be thought to require causal explanation.

In his commentary on the MMK, Bhāvaviveka then specifically took Buddhapālita to task, urging that Buddhapālita’s elaboration of the argument was unreasonable “because no reason and no example are given and because faults stated by the opponent are not answered” – which is to say, because the recognized terms of a formally stated inference (as that had been thematized by Sanskritic philosophers such as Dignāga) were not present. In contrast, then, to Buddhapālita, Bhāvaviveka offers a formally valid statement of the reasoning behind Nāgārjuna’s denial of the first horn of the verse’s tetralemma: “[Thesis:] It is certain that the inner sense fields (āyatanas) do not ultimately originate from themselves; [Reason:] because they exist [already], [Example:] like consciousness.” Among the characteristic features of Bhāvaviveka’s restatement here is his making explicit the qualifier “ultimately” (or “essentially,” svabhāvataḥ); that is, Nāgārjuna is here said to deny only that something is the case essentially or ultimately. While the first horn of this tetralemma (“existents are arisen from themselves”) perhaps requires no such qualification in order for its denial to be intelligible, many interpreters would agree that such a qualification must be added particularly in order for the denial of the second (which concerns that origination of things from other existents) to make any sense; for it is surely counter-intuitive to think that we cannot even conventionally speak of the origination of existents from one another. A great many of Nāgārjuna’s prima facie counter-intuitive refutations can be understood to make more sense if they are qualified as concerning what is “ultimately” or “essentially” the case (and not taken simpliciter).

A considerable portion of the first chapter of Candrakīrti’s Prasannapadā is then given over to defending Buddhapālita’s as the right way to proceed, and to criticizing Bhāvaviveka’s interpretive procedure as misguided. How, then, are we to make sense, without Bhāvaviveka’s characteristic qualification, of Nāgārjuna’s denial of the second horn of the tetralemma – of his denial, that is, that things originate from other existents? On Candrakīrti’s reading (which follows Buddhapālita’s), the absurdity that would be entailed by thinking otherwise would be that a sprout could just as well be produced from the coals of a fire as from a seed; and, conversely, if a sprout cannot be produced from the coals of a fire, it cannot be said to be produced from a seed, either. Candrakīrti’s argument here is usefully understood as involving a priori (as contra a posteriori) analysis; that is, the argument short-circuits any appeal to what we experience to be the case, instead analyzing only the concepts presupposed in how we explain experience – and the point is to reduce to absurdity any argument that presupposes the independence of such concepts (that presupposes, in other words, that any such concepts might afford a privileged perspective on what there is). Read this way, the argument turns simply on the definition of “other,” and the point is that the general concept of “otherness” leaves us with no principled way to know which other things are relevantly connected to the thing whose arising we seek to explain, and we are left to suppose that anything that is “other” than the latter (even the coals of a fire) could give rise to it.

Although many Tibetan exegetes were (as noted) inclined to see the dispute here as turning on subtle ontological presuppositions, this can be hard to glean from the Indian texts upon which the dispute is based. The characteristically Svātantrika appeal to the idiom of logic and epistemology can, however, be understood as meant to address what are real philosophical problems in the Mādhyamika project as that is understood by Candrakīrti – just as Candrakīrti, for his part, can be understood as having philosophically principled reasons for refusing the epistemological tools characteristically deployed by Bhāvaviveka and his heirs. What is at issue here is, once again, the question of how we are to regard the “conventionally” described world once the idea that there can be an “ultimately” true description thereof has been jettisoned. Nāgārjuna himself had emphasized the importance of some kind of relation in this regard, saying, for example, that “without relying on convention, the ultimate is not taught; without having understood the ultimate, nirvāṇa is not apprehended” (MMK 24.10). In other words, the (relative) reality of the conventionally described world is a condition of the possibility of our coming to understand what is ultimately the case; but if what is understood thereby is in fact that there is nothing “more real” than the conventionally described world – that, e.g., there are no ontological primitives that are not themselves subject to the conditions that obtain in the world – then it might be thought that, as it were, “anything goes.”

The philosophical worry, then, is that if Mādhyamika arguments are not understood in something like the way that Svātantrikas propose, Madhyamaka could degenerate into a thoroughgoing and pernicious conventionalism. The broadly Svātantrika line of interpretation attempts to address this worry by arguing that even if all discourse (including that of the Mādhyamika) perforce takes place at the “conventional” level, it is nevertheless the case that some “conventions” are more nearly true than others – and that the epistemological tools developed by Dignāga and Dharmakīrti give us the resources to sort these out. The Svātantrika Jñānagarbha (followed, in this regard, by his student Śāntarakṣita) emphasized that we can distinguish between “true convention” (tathya-saṃvṛti) and “false convention” (mithyā-saṃvṛti).

In his refusal of the characteristically “Svātantrika” use of the conceptual tools of Buddhist epistemology, Candrakīrti need not be understood as conceding simply that anything goes. Candrakīrti’s point, rather, would seem to be to emphasize that there can be no explanatory categories that do not themselves exhibit the same characteristics (chiefly, the fact of being dependently originated) already on display in the conventionally described world; and any constitutively analytic sort of reasoning (such as that exemplified by the discourse of epistemology) just is a search for something beyond what is already given in conventional discourse. What is “conventionally” true, then, is (by definition) just our conventions – and any demand for some account or explanation of these could be thought to provide some purchase only to the extent that what is demanded is something that is not itself “conventional.” But there cannot be any such discourse, any more than there can be an existent that is not dependently originated; the two claims are related insofar as all that could count as a discursively exhaustive explanation would be one that adduces something that is not itself subject to the constraints that it explains – which is to say, something not dependently originated. Although this may represent an adequate reconstruction of his position, Candrakīrti’s emphasis on the definitively “non-analytic” character of conventional discourse can, nevertheless, reasonably be thought to leave his project vulnerable to charges of incoherence, and it can be seen that the issues in dispute between Svātantrikas and Prāsaṅgika are the same paradoxes that bedevil Madhyamaka more generally.

6. Madhyamaka in Tibet

Indian Madhyamaka figures decisively in most of the Tibetan schools of Buddhist philosophy, which tend to agree in judging Madhyamaka to represent the pinnacle of Buddhist thought. There are, however, interesting historical and philosophical developments that greatly complicate this picture. For example, while the scholastic traditions of Indian Buddhist philosophy were first introduced to Tibet by the “Svātantrika” Mādhyamikas Śāntarakṣita and Kamalaśīla, many schools of Tibetan Buddhism nevertheless claim Candrakīrti’s (“Prāsaṅgika”) interpretation as authoritative – a fact partly owing, perhaps, to the influence of Atiśa in the so-called “second dissemination” of Indian Buddhism to Tibet (that is, the period during which Indian Buddhism was decisively established in Tibet, and during which the systematic translation of Indian Buddhist texts into Tibetan was brought to fruition). However, the characteristically Tibetan emphasis on “Vajrayāna” (that is, tantric) forms of practice arguably promotes greater recourse to the idiom of Yogācāra than would be encouraged by Candrakīrti. In addition, there are, as noted, philosophical reasons for qualifying some of Candrakīrti’s positions. Hence, even those Tibetan schools (such as the dGe-lugs) that most forcefully assert the authoritative character of “Prāsaṅgika” Madhyamaka tend, for example, to support their interpretation with significant studies in the Buddhist epistemological tradition – a move, as noted, definitively characteristic of the “Svātantrika” approach.

The attempt thus to wed Madhyamaka to the philosophical project of Dignāga and Dharmakīrti is worth appreciating not only because it is intrinsically interesting, but because, particularly in the United States in the latter part of the 20th century, a great many modern interpreters of Indian Madhyamaka have been influenced by characteristically Tibetan appropriations of this tradition. While this has arguably led to some distortions in the exegesis particularly of Candrakīrti’s texts, there is much to recommend the Tibetans’ systematic (as opposed to historical) presentation of Madhyamaka in relation to the other schools of Indian Buddhist philosophy. As indicated, a distinctive feature of characteristically Tibetan presentations of Buddhist philosophy is the use of doxographical digests elaborating what are called “established conclusions” (grub mtha’; this translates the Sanskrit siddhānta).

On this model, the various schools of Indian Buddhist philosophy (principally consisting, according to such presentations, in the two “Ābhidharmika” schools of the Vaibhāṣikas and Sautrāntikas, and the two “Mahāyāna” schools of Yogācāra and Madhyamaka) are represented in an ascending hierarchy of progressively more refined positions, the proper understanding of each of which requires understanding its predecessors. Ascent through the hierarchy is characterized, most basically, by the progressive elimination of ontological commitments: the two Ābhidharmika schools divide over the question of what are to be admitted as “dharmas” qualifying for inclusion in a final ontology; Yogācāra further pares down this list to nothing but mental events; the “Svātantrika” Mādhyamikas are represented as retaining only the vestigial ontological commitments that are thought to be entailed by their characteristic deference to the dialectical tools of epistemology; until, with the “Prāsaṅgika” iteration of Madhyamaka, we arrive at the school of thought for which the set of “ultimately existent” (paramārthasat) phenomena is an empty set.

The effect of this is to throw our attention back to the only “set” of existents with any remaining content: the conventionally described world, now understood as ineliminable. Hence, on this view, there is the avoidance of (what Mādhyamikas are always trying to eschew) the extreme of nihilism or “eliminativism” (ucchedavāda); but there is also the (constitutively Buddhist) avoidance of the extreme of “eternalism,” insofar as the effect of cultivating the Mādhyamika insight only as the culminating stage in a progression is (it is claimed) to have driven home the realization that the self exists (like everything “conventional”) only relatively or dependently. Once the project of a privileged level of description has been abandoned, the “common-sense realism” that remains can be seen to differ from that of the unenlightened “by virtue of its being adopted in full cognizance of the progression through the intervening stages” (Siderits 2003, 185).

The same insight is reflected in the basic monastic curriculum of dGe-lugs-pa monasteries, which is structured around five topics defined by representative Indian texts: The Vinaya, or Buddhist monastic code, as represented by the Vinaya Sūtra of Guṇaprabha; Abhidharma, as represented by the Abhidharmakośa of Vasubandhu; logic and epistemology, as represented by the Pramāṇavārttika of Dharmakīrti; Madhyamaka, as represented by Candrakīrti’s Madhyamakāvatāra; and the stages on the path to enlightenment, as represented by the Abhisamayālaṃkāra attributed to Maitreya. In this way, the study of the Madhyamaka tradition of Buddhist philosophy comes only in the context of an overarching education in a complete Buddhist world-view, such that characteristically Mādhyamika teachings concerning “emptiness” are – like the Prajñāpāramitā Sūtras whose retrieval by Nāgārjuna was thought to introduce Mahāyāna as representing the Buddha’s definitive teaching – made intelligible by the necessarily propaedeutic earlier teachings. Above all, it is the finally ethical character of Mādhyamika thought that is encouraged by this pedagogical system; for the characteristically Mādhyamika claim that “all dharmas are empty” – that, in other words, Abhidharma’s reductionist account of the person cannot finally be made coherent – cannot be understood as nihilistic if it has been made clear that the upshot of it is to return our attention to the irreducibly conventional world in which persons live and suffer.

Tibetan tradition preserves, however, not only a model for the integration of Madhyamaka philosophy into a structured set of transformative religious practices, but also a great deal of innovative and sophisticated philosophical elaboration of Mādhyamika thought. For example, the prolific scholar Tsong-kha-pa (1357-1419) – originator of the influential reformist school that would style itself the “dGe-lugs” (“virtuous way”) – did much to integrate the Prāsaṅgika Madhyamaka of Candrakīrti with the understanding and teaching of Buddhist epistemology stemming from Dharmakīrti. Tsong-kha-pa’s works (such as the massive Lam rim chen mo, “Great [treatise on] the Stages of the Path”) also bring considerable sophistication to bear on the question of how Madhyamaka ought to be understood in relation to Yogācāra. Critics of Tsong-kha-pa – such as, notably, the Sa-skya-pa scholar Go-ram-pa bSod-nams seng-ge (1429-1489) – stridently condemned his confidence that the discourse of epistemology could bring Mādhyamika analysis into contact with ultimate reality. On Go-ram-pa’s reading, such confidence amounts to the claim that the discursive thought that understands “ultimate truth” is itself ultimately true – which is to confuse the (necessarily conventional) activity of thinking about ultimate truth with what it is that such thought is about. Go-ram-pa claims that Tsong-kha-pa’s account of Madhyamaka entails the nihilistic conclusion that what is ultimately true is simply what is conventionally true. This Tibetan debate, then, recognizably addresses the perennially vexed issues that go to the heart of Madhyamaka: those concerning how we are to understand the relation between ultimate and conventional truth, in the context of a claim to the effect that “the ultimate truth is that there is no ultimate truth.”

7. Madhyamaka in East Asia

It is frequently observed that while Indo-Tibetan schools of Buddhist philosophy characteristically developed around the systematic treatises (śāstras) of historical thinkers like Nāgārjuna and Dignāga, Chinese Buddhist philosophy instead centers on (and its schools are largely defined by) the interpretation of particular Buddhist sūtras. Whatever truth there may be in this, it is certainly the case that a great deal of systematic Indian Buddhist philosophy from the mature scholastic phase of the tradition (roughly, from the sixth century on) was never translated into Chinese. Although the texts of (say) Nāgārjuna, Vasubandhu, and Dignāga are available in Chinese translation, the Chinese canon does not include the works of such thinkers as Candrakīrti, Dharmakīrti, or Śāntarakṣita – the later Mādhyamikas and epistemologists whose works decisively shaped Indo-Tibetan traditions of interpretation. Accordingly, the development of Madhyamaka in China centers on a somewhat different group of texts – all of them translated by the great translator Kumārajīva (350-409), whose efforts figure prominently in the Chinese reception of Madhyamaka. So, the Chinese analogue of the Indian Madhyamaka school was originally styled San-lun, the “Three Śāstra” school, so called for its reliance upon three of Kumārajīva’s translations. Only one of these (the MMK, here called Chung lun, “Madhyamakaśāstra”; Taishō 1564) has an extant Sanskrit antecedent. The other two – the Dvādaśanikāyaśāstra (Shih erh men lun, Taishō 1568), attributed to Nāgārjuna, and the Śata[ka]śāstra (Pai lun, Taishō 1569), attributed to Āryadeva – are extant neither in Sanskrit nor in Tibetan translation.

It was, however, arguably another treatise attributed to Nāgārjuna (and also “translated” by Kumārajīva) that was ultimately to have greater influence on East Asian interpretations of Madhyamaka: the Ta-chih-tu lun, or *Mahāprajñāpāramitopadeśa Śāstra (“Treatise which is a Teaching on the Great Perfection of Wisdom [Sūtra]”). This text – a massive summa of Buddhist doctrine, comparable in scope to the *Vijñaptimātratāsiddhi (which is ostensibly a digest and compilation of several Indian commentaries on one of the works by Vasubandhu that is foundational for Yogācāra) – is extant in no other translation than Kumārajīva’s, and comprises a great deal of material that is not easily reconciled with what is taught in Nāgārjuna’s MMK. However, despite the scholarly consensus to the effect that this text is not authentically attributed to Nāgārjuna, East Asian authors citing Nāgārjuna tend most frequently to cite Kumārajīva’s text (and not the MMK). The reasons for this are, along with one of the salient features of characteristically East Asian interpretations of Nāgārjuna, reflected in a comment by the Japanese scholar Junjirō Takakusu, who observed that while such Mādhyamika texts as the MMK are “much inclined to be negativistic idealism,” in the Ta-chih-tu lun “we see that [Nāgārjuna] establishes his monistic view much more affirmatively than in any other text” (Takakusu 1949: 100).

Takakusu’s assessment of the MMK as “negativistic” arguably relates to the ways in which characteristically East Asian interpretations of Madhyamaka have been (not surprisingly) influenced by the vicissitudes of Chinese translations from Sanskrit. For example, it has been noted (by, e.g., Swanson 1989: 14) that Chinese terms centrally associated with the two truths – yu (“existence” or “being”) and wu (“non-existence” or non-being”), identified, respectively, with saṃvṛtisatya (conventional truth) and paramārthasatya (ultimate truth) – had strongly ontological implications that can alter the sense of characteristically Mādhyamika claims (originally stated in Sanskrit) when those were translated into Chinese. In particular, the ontologically “negative” sense of the term wu has arguably had the effect of recommending that Mādhyamika claims regarding emptiness be taken (notwithstanding Nāgārjuna’s repeated cautions in this regard) as rather more nihilistic than was intended.

We can consider, in this regard, chapter 24, verse 18 of Nāgārjuna’s MMK – a pivotal verse that may be rendered: “We call that which is dependent origination [pratītyasamutpāda] emptiness [śūnyatā]. That [emptiness,] a relative indication [upādāya prajñapti], is itself the middle path [madhyamā pratipad].” This often cited (and variously translated) verse is significant chiefly for its asserting that the authentic “middle path” – and hence (given the centrality of the middle way trope in Buddhist thought) the authentically Buddhist doctrine – lies in realizing the identity of three terms: dependent origination, emptiness, and “dependent designation” or “relative indication” (upādāya prajñapti). The semantic range of the latter term is such as to suggest that emptiness-cum-dependent origination is itself “conventional,” and one upshot of the verse is therefore to express, in effect, the idea of the “emptiness of emptiness.” More straightforwardly, though, this verse clearly represents one of the countless occasions on which Nāgārjuna is concerned to emphasize that by “emptiness” he means simply “dependent origination.”

On one characteristically East Asian interpretation of this verse (that of the modern Japanese scholar Gadjin Nagao), however, we are to understand here that the verse’s initial predication (“we call that which is dependent origination emptiness”) amounts to a negation of (the ontologically “positive” phenomenon which is) dependent origination. As Nagao states this idea, “This pratītya-samutpāda dies in the second [quarter verse].” The second predication – which characterizes this “emptiness” as a “relative indication” – then amounts to a return to the ontologically “positive.” On this reading, then, the verse “is dialectical, moving from affirmation to negation and again to affirmation.” (Nagao 1991: 193-94) This “dialectical” reading of a quintessentially Mādhyamika claim is frequently encountered in modern Japanese scholarship – a fact that arguably reflects the extent to which many Japanese scholars (even those who have developed deep acquaintance with the Sanskrit texts of Indian Buddhism) have their initial grounding in the characteristically East Asian traditions of interpretation in which the Ta-chih-tu lun of Kumārajīva is paramount.

Another characteristic preoccupation of East Asian interpreters of Madhyamaka is one also evident in some of the Indo-Tibetan traditions of interpretation: that of attempting to harmonize Madhyamaka and Yogācāra. In the East Asian case, the fact that so many Buddhist interpreters of Madhyamaka should attempt – notwithstanding the extent to which many Indian Mādhyamika and Yogācāra texts are framed as mutually polemical – to develop a synthesis of these two great schools of Mahāyāna philosophy partly reflects the predominance of Yogācāra in East Asian Buddhist thought. If, however, Madhyamaka philosophy was largely eclipsed by Yogācāra (and more importantly, by other indigenous developments) in the East Asian context, it nevertheless arguably lives on in the enigmatic discourse of Ch’an/Zen Buddhism that many take to be quintessentially East Asian. While any Mādhyamika influence on Zen is surely indirect, the latter tradition’s particular debt to the Prajñāpāramitā literature (the Vajracchedikā, or “Diamond,” Sūtra figures most importantly here) perhaps explains why many modern observers are inclined to see affinities with Madhyamaka.

8. References and Further Reading

  • Ames, William L. 1986. “Buddhapālita’s Exposition of the Madhyamaka.” Journal of Indian Philosophy 14: 313-348.
  • Ames, William L. 1993-94. “Bhāvaviveka’s Prajñāpradīpa: A Translation of Chapter One: ‘Examination of Causal Conditions’ (Pratyaya),” [in two parts], Journal of Indian Philosophy 21: 209-259; 22: 93-135.
    • These articles provide a good point of access to the interpretations of Nāgārjuna ventured by two of his earliest commentators (the two discussed at length in the commentary of Candrakīrti).
  • Arnold, Dan. 2005. Buddhists, Brahmins, and Belief: Epistemology in South Asian Philosophy of Religion. New York: Columbia University Press.
    • Part 3 of this work makes a case (based on an engagement with Candrakīrti’s critique of the Buddhist epistemologist Dignāga) for the interpretation of Madhyamaka as involving transcendental arguments.
  • Bhattacharya, Kamaleswar. 1990. The Dialectical Method of Nāgārjuna: Vigrahavyāvartanī. Delhi: Motilal Banarsidass.
    • Contains (along with an edition of the Sanskrit text) a reliable translation of one of Nāgārjuna’s major works.
  • Blumenthal, James. 2004. The Ornament of the Middle Way: A Study of the Madhyamaka Thought of Śāntarakṣita. Ithaca, NY: Snow Lion Publications.
    • A translation and extensive study (together with a translated dGe-lugs-pa commentary) of Śāntarakṣita’s Madhyamakālaṃkāra.
  • Burton, David F. 1999. Emptiness Appraised: A Critical Study of Nāgārjuna’s Philosophy. London: Curzon.
    • Argues that despite Nāgārjuna’s expressed intentions, his arguments entail nihilistic conclusions.
  • Cabezón, José Ignacio. 1992. A Dose of Emptiness: An Annotated Translation of the sTong thun chen mo of mKhas grub dGe legs dpal bzang. Albany: SUNY Press.
    • This extensively annotated and reliable translation makes available a representative example of a Tibetan dGe-lugs-pa interpretation of Madhyamaka (this one by one of Tsong-kha-pa’s two major disciples).
  • Chimpa, Lama, and Alaka Chattopadhyaya, trans. 1970. Tāranātha’s History of Buddhism in India. Delhi: Motilal Banarsidass.
    • A useful translation of a traditional history of the Indian Buddhist tradition, containing representative accounts of the careers and works of important Indian thinkers.
  • Conze, Edward, trans. 1975. The Large Sutra on Perfect Wisdom, with the divisions of the Abhisamayālaṅkāra. Berkeley: University of California Press.
    • A useful point of access to the paradoxical style of discourse that is characteristic of the “Prajñāpāramitā” literature that figures in Nāgārjuna’s background.
  • Crosby, Kate, and Andrew Skilton, trans. 1995. The Bodhicaryāvatāra. New York: Oxford University Press.
    • A translation of the major work of Śāntideva, with an introduction and annotations.
  • Dreyfus, Georges. 2003. The Sound of Two Hands Clapping: The Education of a Tibetan Buddhist Monk. Berkeley: University of California Press.
    • An insightful study of the pedagogical context for the Tibetan interpretation and transmission of Madhyamaka.
  • Dreyfus, Georges, and Sara McClintock, eds. 2003. The Svātantrika-Prāsaṅgika Distinction: What Difference Does a Difference Make? Boston: Wisdom Publications.
    • A collection of scholarly essays representative of the current state of debate on this division of Madhyamaka, with attention both to this as a Tibetan doxographical category, and to matters of interpretation regarding the antecedent Indian texts.
  • Garfield, Jay L., trans. 1995. The Fundamental Wisdom of the Middle Way: Nāgārjuna’s Mūlamadhyamakakārikā. New York: Oxford University Press.
    • Though translated from the Tibetan (and not from the extant Sanskrit), this is the most accessible of the available translations of Nāgārjuna’s foundational text – and far and away the most philosophically sophisticated and illuminating.
  • Hayes, Richard P. 1994. “Nāgārjuna’s Appeal.” Journal of Indian Philosophy 22: 299-378.
    • Argues that Nāgārjuna’s works centrally involve an equivocation on the word svabhāva.
  • Huntington, C. W., with Geshe Namgyal Wangchen. 1989. The Emptiness of Emptiness: An Introduction to Early Indian Mādhyamika. Honolulu: University of Hawaii Press.
    • An annotated translation of Candrakīrti’s Madhyamakāvatāra, with a lengthy introduction that makes a case for the interpretation of Madhyamaka along lines suggested by poststructuralist philosophy.
  • Iida Shotaro. 1980. Reason and Emptiness: A Study in Logic and Mysticism. Tokyo: Hokuseido.
    • A study, with texts and translations, of major works of Bhāvaviveka.
  • Jha, Ganganath, trans. 1986. The Tattvasaṁgraha of Shāntarakṣita with the Commentary of Kamalashīla. Delhi: Motilal Banarsidass. (Reprint; first published in Gaekwad’s Oriental Series, 1937-1939.)
    • A relatively inaccessible (but nonetheless complete) translation of this major work by Śāntarakṣita.
  • La Vallée Poussin, Louis de, ed. 1970. Mūlamadhyamakakārikās (Mādhyamikasūtras) de Nāgārjuna, avec la Prasannapadā Commentaire de Candrakīrti. Bibliotheca Buddhica, Vol. IV. Osnabrück: Biblio Verlag. (Reprint; originally published 1903-1913.)
    • This work warrants mention as the standard edition of the foundational text of Madhyamaka.
  • Lamotte, Etienne, trans. 1944-1980. Le Traité de la Grande Vertu de Sagesse. 5 volumes. Louvain: Insitut orientaliste, Bibliothèque de l’Université de Louvain.
    • The characteristically extensive annotations alone make this monumental work a treasure trove. Despite its vastness, this represents only a partial translation of the Ta-chih-tu Lun (*Mahāprajñāpārmitāśāstra) of Nāgārjuna/Kumārajīva.
  • Lang, Karen. 1986. Āryadeva’s Catuḥśataka: On the Bodhisattva’s Cultivation of Merit and Knowledge. Copenhagen: Akademisk Forlag.
    • A reliable translation of the major work of Āryadeva.
  • Lindtner, Chr. 1987. Nagarjuniana: Studies in the Writings and Philosophy of Nāgārjuna. Delhi: Motilal Banarsidass, 1987. (Reprint; first published in Copenhagen, Institute for indisk filologi, 1982.)
    • A study of the works that are (and are not) appropriately attributed to Nāgārjuna, with editions and translations of several.
  • Murti, T. R. V. 1960. The Central Philosophy of Buddhism: A Study of the Mādhyamika System. Second edition. London: George Allen and Unwin.
    • An important early study of Madhyamaka, representing one of a few influential neo-Kantian interpretations thereof.
  • Nagao Gadjin. 1991. Mādhyamika and Yogācāra: A Study of Mahāyāna Philosophies. Trans. Leslie S. Kawamura. Albany: SUNY Press.
    • A selection of translated essays representative of the approach and legacy of this important Japanese scholar.
  • Ramanan, K. Venkata. 1975. Nāgārjuna’s Philosophy as presented in the Mahā-Prajñāpāramitā-Śāstra. Delhi: Motilal Banarsidass. (Reprint; first published Charles Tuttle, 1966.)
    • This work is useful for its making accessible the contents and style of the text (extant only in Kumārajīva’s Chinese translation) that most influenced the East Asian reception of Madhyamaka. (Ramanan is in the scholarly minority in accepting the Chinese tradition’s attribution of the text to Nāgārjuna.)
  • Ruegg, David Seyfort. 1981. The Literature of the Madhyamaka School of Philosophy in India. A History of Indian Literature (ed. Jan Gonda), Vol. VII, Fasc. 1. Wiesbaden: Otto Harrassowitz.
    • This authoritative work on the history and texts of Indian Madhyamaka is the standard reference work on the subject.
  • Siderits, Mark. 2003. Personal Identity and Buddhist Philosophy: Empty Persons. Burlington, VT: Ashgate.
    • Chapters 6-9 develop a sophisticated philosophical reconstruction of Madhyamaka (here characterized as a philosophically “anti-realist” position), which is represented as constitutively related to the reductionism of Ābhidharmika Buddhism (treated in the first half of the book). A difficult work that can seem to owe more to analytic philosophy than to Indian Buddhism, but an exceptionally sensitive account of the issue of truth vis-à-vis Madhyamaka. In particular, Siderits argues for a version of Madhyamaka as involving a “deflationist” account of truth (here called “semantic non-dualism”).
  • Sopa, Geshe Lhundup, and Jeffrey Hopkins, trans., Cutting Through Appearances: The Practice and Theory of Tibetan Buddhism. 2nd ed. Ithaca, NY: Snow Lion Publications, 1989.
    • Includes a somewhat inaccessible translation of a standard Tibetan doxographical text, which is useful for a sense of how Madhyamaka is represented by Tibetans in relation to other Buddhist schools of thought.
  • Sprung, Mervyn, trans. 1979. Lucid Exposition of the Middle Way: The Essential Chapters from the Prasannapadā of Candrakīrti. London: Routledge & Kegan Paul.
    • Currently the closest thing to a complete Western-language translation of Candrakīrti’s text (hence, the translation also comprises most of Nāgārjuna’s MMK). While not an altogether reliable translation, this provides some access to the discourse of Candrakīrti.
  • Stcherbatsky, Th. 1927. The Conception of Buddhist Nirvāṇa. Delhi: Motilal Banarsidass, 1989. (Reprint.)
    • This early work includes a dated and eccentric (but nonetheless useful) translation of the first chapter of Candrakīrti’s Prasannapadā. Stcherbatsky influentially advanced a broadly neo-Kantian interpretation of Madhyamaka.
  • Swanson, Paul L. 1989. Foundations of T’ien-T’ai Philosophy: The Flowering of the Two Truths Theory in Chinese Buddhism. Berkeley: Asian Humanities Press.
    • An accessible study of the East Asian reception and interpretation of Madhyamaka.
  • Takakusu Junjirō. 1949. The Essentials of Buddhist Philosophy. Delhi: Motilal Banarsidass, 1975. (Reprint; first published by the University of Hawaii.)
    • A concise presentation of the various schools of Buddhist philosophy as they are reckoned in East Asian traditions. The presentation of Madhyamaka (“Sanron,” the “Three Treatise” school) is at pp.99-111.
  • Thurman, Robert. 1991. The Central Philosophy of Tibet: A Study and Translation of Jey Tsong Khapa’s Essence of True Eloquence. Princeton: Princeton University Press.
    • A translation of part of an important work by Tsong-kha-pa, representing a Tibetan Mādhyamika engagement with Yogācāra. The author’s lengthy introduction advances a broadly Wittgensteinian understanding of Madhyamaka.
  • Tillemans, Tom J. F. 1990. Materials for the Study of Āryadeva, Dharmapāla and Candrakīrti. Wiener Studien zur Tibetologie und Buddhismuskunde, Heft 24, 1-2. Wien: Arbeitskreis für tibetische und buddhistische Studien.
    • Annotated translations (with a philosophically sophisticated introduction and annotations) of parts of the divergent commentaries on Āryadeva by the Mādhyamika Candrakīrti and the Yogācārin Dharmapāla.
  • Tuck, Andrew. 1990. Comparative Philosophy and the Philosophy of Scholarship: On the Western Interpretation of Nāgārjuna. New York: Oxford University Press.
    • An illuminating study of the philosophical presuppositions informing important modern interpretations of Nāgārjuna.
  • Walser, Joseph. 2005. Nāgārjuna in Context: Mahāyāna Buddhism and Early Indian Culture. New York: Columbia University Press.
    • An attempt to locate the figure of Nāgārjuna in socio-historical context (and particularly in relation to the then nascent Mahāyāna movement).
  • Williams, Paul. 1989. Mahāyāna Buddhism: The Doctrinal Foundations. London: Routledge.
    • An accessible and lucid survey of Mahāyāna Buddhist thought. Chapter 3 treats Madhyamaka, with some attention to Tibetan and East Asian developments therein.

Author Information

Dan Arnold
Email: d-arnold@uchicago.edu
University of Chicago Divinity School
U. S. A.

Political Philosophy of Alasdair MacIntyre

Alasdair MacIntyreThis article focuses on Alasdair MacIntyre’s contribution to political philosophy since 1981, although MacIntyre has also written influential works on theology, Marxism, rationality, metaphysics, ethics, and the history of philosophy. He has made a personal intellectual journey from Marxism to Catholicism and from Aristotle to Aquinas, and he is one of the preeminent Thomist political philosophers. The most consistent and most distinctive feature of MacIntyre’s work is his antipathy to the modern liberal capitalist world. He believes that modern philosophy and modern life are characterized by the absence of any coherent moral code, and that the vast majority of individuals living in this world lack a meaningful sense of purpose in their lives and also lack any genuine community. He draws on the ideal of the Greek polis and Aristotle’s philosophy to propose a different way of life in which people work together in genuinely political communities to acquire the virtues and fulfill their innately human purpose. This way of life is to be sustained in small communities which are to resist as best they can the destructive forces of liberal capitalism.

It is important to keep in mind that MacIntyre is not suggesting that we should merely tinker around the edges of liberal capitalist society; his goal is to fundamentally transform it. He does not believe that this will happen quickly or easily, and indeed it may not happen at all, but he believes that it will be a disaster for humanity if it does not happen. After Virtue famously closes with a warning about “the new dark ages which are already upon us” (After Virtue 263). It is also important to keep in mind that even if, after careful consideration, you do not agree with MacIntyre’s proposed solution, or you do not believe that it has any chance of actually coming about, it may still be that MacIntyre’s critique of the modern world is at least partially correct. MacIntyre is well aware that most of us who have been brought up in the liberal capitalist world see our world’s ideas and institutions as natural and desirable – not perfect, but fundamentally sound – and so we will not easily be persuaded that it is in fact inherently deeply flawed and profoundly unhealthy. But an openness to that possibility is essential to understanding MacIntyre.

Table of Contents

  1. Introduction
  2. Philosophy and Society
  3. The Current Moral Disorder and Its Consequences
  4. The Absence of Meaningful Moral Choices
  5. Emotivism and Manipulative Social Relations
  6. The Concept of a Practice and the Origin of the Virtues
  7. Politics in a World without Morality
  8. The Greek Way of Life
  9. Heroic Society and Homer
  10. The Athenian Polis and Aristotle
  11. Our Human Nature: Dependent Rational Animals and Human Virtues
  12. A New Politics
  13. A New Economics
  14. Conclusion
  15. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Introduction

Alasdair MacIntyre was born in 1929, in Glasgow, Scotland. He holds MA degrees from the University of Manchester and University College at Oxford, and taught at several institutions in the United Kingdom before moving to the United States in 1970. He has taught at several institutions in the United States, and he currently holds a position at Notre Dame University.

His first publication, “Analogy in Metaphysics,” appeared in 1950 when he was 21 years old. His first book, Marxism: An Interpretation, followed in 1953. Since then, he has written or edited nearly twenty books and hundreds of articles and book reviews on a wide range of subjects, including theology, Marxism, the nature of rationality, metaphysics, and the history of philosophy and ethics. For references that deal with his contributions to fields other than political philosophy, and for more detailed biographical information, see the References and Further Reading.

This essay concentrates on MacIntyre’s contributions to political philosophy and is primarily concerned with his best known work, After Virtue, which was originally published in 1981. A second edition of After Virtue was published in 1984; it included a postscript in which MacIntyre responded to a number of criticisms of the original edition. It is this second edition that will be cited below. The three main works which followed After Virtue expand on, clarify, or revise the arguments found there. These are Whose Justice? Which Rationality? (1988), Three Rival Versions of Moral Enquiry (1990), and Dependent Rational Animals (1999). The last is of particular importance for understanding the practical consequences of MacIntyre’s political philosophy. It is also likely to be the easiest of the three for the beginning student of MacIntyre’s work to read and understand. A useful source for MacIntyre’s thought is The MacIntyre Reader (1998), edited by Kelvin Knight, which brings together a number of MacIntyre’s shorter works going back to the 1950s, a pair of interviews with MacIntyre, excerpts from After Virtue and Whose Justice? Which Rationality?, and two thoughtful essays by Knight.

In the first of those essays, Knight claims that “MacIntyre’s politics may now, to an extent, be described in terms of resistance” (The MacIntyre Reader 23; see also Breen 2002 and McMylor 1994). Knight is certainly right about this. MacIntyre is trying to resist and transform essentially the entire modern world. His definition of “modern” stretches back roughly 350 years to the Enlightenment, although he considers the Enlightenment to have been a mistake; (After Virtue 118 and Chapters 4-6; see also Whose Justice? Which Rationality? Chapter 1), but in this article the term “modern” will mean the contemporary twentieth and twenty-first century world.

MacIntyre wants to overthrow the liberal capitalist ideology that currently dominates the world both in the realm of ideas and in its manifestations in political and social institutions and actions. He seeks to achieve this not through the use of force but by changing how people think about, understand, and act in the world. To show that the changes he wants are possible and desirable, he returns to an older conception of morality, derived from the teachings of St. Thomas Aquinas and ultimately, through Aquinas, the philosophy of Aristotle and the way of life of the Athenian polis. He portrays this older conception of morality as both superior to and fundamentally hostile to the modern order, and his philosophical arguments are meant to help restore it to the world. On the other hand, he understands that liberal capitalism has tremendous power and appeal both in the world of ideas and in the power it has over people in the social, political, and economic spheres. Ultimately his recommendation is that the particular conditions of the modern world require that those who agree with his arguments should, to the greatest possible degree, withdraw from the world into communities where the old morality can be kept alive until the time is right for it to re-emerge.

This article begins by describing the modern world as MacIntyre sees it, and then moves on to MacIntyre’s depiction of what he believes to be the very different world of the ancient Greeks, and specifically the ancient Athenians. Next, it contrasts the two and shows why MacIntyre believes the ancient world to be superior. The conclusion examines MacIntyre’s suggested alternative to the modern world, which draws on the ancient world without simply proposing a return to it.

It is important to keep in mind that MacIntyre is not suggesting that we should merely tinker around the edges of liberal capitalist society; his goal is to fundamentally transform it. He does not believe that this will happen quickly or easily, and indeed it may not happen at all, but he believes that it will be a disaster for humanity if it does not happen. After Virtue famously closes with a warning about “the new dark ages which are already upon us” (After Virtue 263). It is also important to keep in mind that even if, after careful consideration, you do not agree with MacIntyre’s proposed solution, or you do not believe that it has any chance of actually coming about, it may still be that MacIntyre’s critique of the modern world is at least partially correct. MacIntyre is well aware that most of us who have been brought up in the liberal capitalist world see our world’s ideas and institutions as natural and desirable – not perfect, but fundamentally sound – and so we will not easily be persuaded that it is in fact inherently deeply flawed and profoundly unhealthy. But an openness to that possibility is essential to understanding MacIntyre.

2. Philosophy and Society

As we work through MacIntyre’s argument, we will be talking about both the world of ideas – that is, philosophy – and the world of institutions and actions – that is, politics and society. Although at times we will consider these two worlds separately, one of MacIntyre’s most strongly held convictions is that they are closely connected. MacIntyre has not always been clear or consistent about the strength or direction of that connection, but the importance of the connection for MacIntyre’s argument has been consistent ever since After Virtue. Contemporary philosophers, he says, tend to interpret and argue about the works of past philosophers without paying attention to the intellectual and especially the social context in which those works were created. They act as though all past philosophers are contributing to the same argument, seeking timeless and eternal moral truths. But this is wrong, because philosophies are in large part derived from sociologies and are specific to particular societies: “Morality which is no particular society’s morality is to be found nowhere” (After Virtue 265-266; see also The MacIntyre Reader 258). Although philosophers can and should learn from the work of earlier philosophers, this is not their main source of ideas when they are doing their job properly. What philosophers primarily do is study the actual world in which they live – its politics, traditions, social organization, families and so on – and try to find the ideas and values that must underlie those institutions and practices, even if the members of the society cannot articulate them, or cannot articulate them fully. When the philosophers have done their work correctly, the philosophy they articulate will reflect their society; and because philosophers are uniquely suited to see the society as a whole they will be in a unique position to point out inconsistencies, propose new ideas consistent with the old ones that are nevertheless improvements on those ideas, and show why things that seem trivial are actually crucial to the society, and vice versa. They are also in a position to examine not only what it is that the people in their society do but why they do it, even when those people cannot explain it for themselves. These are the things that MacIntyre himself wants to do: show the inconsistencies and incoherencies at the center of modern conceptions of morality and society and transform them so that the modern expression of morality, structure of society, and practices of politics can be transformed as well. But philosophers do not and cannot stand outside of all societies to offer objective truths or objective moralities, since these must always be connected to particular societies.

So, the political, social, and economic life of a society constrains the kinds of ideas and morality it can have (at times MacIntyre seems to agree with Marx that these things do not merely constrain ideas and morals but actually determine them), and those ideas and that morality, especially as articulated by philosophers, in turn influence economics and politics (again, in different writings MacIntyre seems to have different views about how much influence they have). Let us see what MacIntyre has to say about modern ideas and institutions in After Virtue.

3. The Current Moral Disorder and Its Consequences

MacIntyre begins After Virtue by asking the reader to engage in a thought experiment: “Imagine that the natural sciences were to suffer the effects of a catastrophe…. A series of environmental disasters [which] are blamed by the general public on the scientists” leads to rioting, scientists being lynched by angry mobs, the destruction of laboratories and equipment, the burning of books, and ultimately the decision by the government to end science instruction in schools and universities and to imprison and execute the remaining scientists. Eventually, enlightened people decide to restore science, but what do they have to work with? Only fragments: bits and pieces of theories, chapters of books, torn and charred pages of articles, hazy memories and damaged equipment with functions that are unclear, if not entirely forgotten. These people, he argues, would combine these fragments as best they could, inventing theories to connect them as necessary. People would talk and act as though they were doing “science,” but they would actually be doing something very different from what we currently call science. From our point of view, in a world where the sciences are intact, their “science” would be full of errors and inconsistencies, “truths” which no one could actually prove, and competing theories which were incompatible with one another. Further, the supporters of these theories would be unable to agree on any way to resolve their differences.

Why does MacIntyre ask us to imagine such a world? “The hypothesis I wish to advance is that in the actual world which we inhabit the language of morality is in the same state of grave disorder as the language of natural science in the imaginary world which I described” (After Virtue 2, After Virtue 256). People in the modern liberal capitalist world talk as though we are engaged in moral reasoning, and act as though our actions are chosen as the result of such reasoning, but in fact neither of these things is true. Just as with the people working with “science” in the imaginary world that MacIntyre describes, philosophers and ordinary people are working today with bits and pieces of philosophies which are detached from their original pre-Enlightenment settings in which they were comprehensible and useful. Current moral and political philosophies are fragmented, incoherent, and conflicting, with no standards that can be appealed to in order to evaluate their truth or adjudicate the conflicts between them – or at least no standards that all those involved in the disputes will be willing to accept, since any standard will presuppose the truth of one of the contending positions. To use an analogy that MacIntyre does not use, one might say that it is as if we tore handfuls of pages from books by Jane Austen, Shakespeare, Danielle Steele, Mark Twain, and J.K. Rowling, threw half of them away, shuffled the rest, stapled them together, and then tried to read the “story” that resulted. It would be incoherent, and any attempt to describe the characters, plot, or meaning would be doomed to failure. On the other hand, because certain characters, settings, and bits of narrative would reappear throughout, it would seem as though the story could cohere, and much effort – ultimately futile – might be expended in trying to make it do so. This, according to MacIntyre, is the moral world in which we currently live.

One consequence of this situation is that we have endless and interminable debates within philosophy and, where philosophy influences politics, within politics as well (After Virtue 6-8, Three Rival Versions of Moral Enquiry 7 and Chapter 1). MacIntyre demonstrates this with regard to philosophers by a comparison of the positions of John Rawls and Robert Nozick on what justice is, positions which are mutually exclusive, but internally coherent. Each conclusion follows reasonably from its premises (After Virtue Chapter 17). Each position has many adherents who can point out the flaws in the other but cannot successfully defend their own position against attack. In the political world, one of the examples MacIntyre uses is the abortion issue in the United States. One side of the debate, drawing largely on a particular interpretation of Christian ethics, asserts that abortion is murder and hence is both morally unacceptable and deserving of legal punishment; the other side, usually drawing either on a conception of privacy or of rights or both, asserts that women should have the right to make a private decision about terminating a pregnancy, and therefore abortion, while possibly morally problematic, deserves the protection of the law. In either case, the conclusion follows logically, that is, reasonably, from the premises. But the starting premises are incompatible, and there is no way to gain everyone’s agreement to either set of premises, nor is there even any agreement on what kind of argument might be able to gain a consensus. (And a look at public opinion polls about abortion taken in the United States shows that the percentage of people for or against legal abortion in particular circumstances has basically remained unchanged since Roe v. Wade was decided in 1973).

It is also the case, according to MacIntyre, that those involved in these philosophical and political debates claim to be using premises that are objective, based on reason, and universally applicable. Many of them even believe these claims, misunderstanding the nature of their particular inadequate modern philosophy, just as the people in MacIntyre’s post-disaster world misunderstand what it means to be doing real science. But what they are really doing, whether they recognize it or not, is using the language of morality to try to gain their own preferences. They are not trying to persuade others by reasoned argument, because a reasoned argument about morality would require a shared agreement on the good for human beings in the same way that reasoned arguments in the sciences rely on shared agreement about what counts as a scientific definition and a scientific practice. This agreement about the good for human beings does not exist in the modern world (in fact, the modern world is in many ways defined by its absence) and so any attempt at reasoned argument about morality or moral issues is doomed to fail. Other parties to the argument are fully aware that they are simply trying to gain the outcome they prefer using whatever methods happen to be the most effective. (Below there will be more discussion of these people; they are the ones who tend to be most successful as the modern world measures success.) Because we cannot agree on the premises of morality or what morality should aim at, we cannot agree about what counts as a reasoned argument, and since reasoned argument is impossible, all that remains for any individual is to attempt to manipulate other people’s emotions and attitudes to get them to comply with one’s own wishes.

MacIntyre claims that protest and indignation are hallmarks of public “debate” in the modern world. Since no one can ever win an argument – because there’s no agreement about how someone could “win” – anyone can resort to protesting; since no one can ever lose an argument – how can they, if no one can win? – anyone can become indignant if they don’t get their way. If no one can persuade anyone else to do what they want, then only coercion, whether open or hidden (for example, in the form of deception) remains. This is why, MacIntyre says, political arguments are not just interminable but extremely loud and angry, and why modern politics is simply a form of civil war.

4. The Absence of Meaningful Moral Choices

But there is another problem. Just as no one can win an argument with anyone else by persuading them with reasons, no one can win such an argument with himself or herself in trying to determine what their own moral commitments should be. In other words, no one can have real reasons for choosing the moral positions and values that they do, and no one can have any real reasons for choosing any way of life over any other as the best possible life. So any choice about the kind of life one will lead (and of course these choices have to be made, either consciously or unconsciously) must be arbitrary; any individual could always just as easily have chosen some other life which would have a very different set of moral positions and values (After Virtue Chapter 4). And if I can choose to be anything, but have no way of discovering reasons that might persuade me that some choice is the best, then it is impossible for me to make any kind of meaningful commitment to any of my choices, and it will be extremely easy to revise my morals in the name of expediency. The temptation will therefore be strong to choose moral principles on the grounds of effectiveness. I will choose my values at any given time because they happen to be useful as a way of attaining something else I value, rather than rationally choosing the best possible life and then letting that choice of the best life determine what I should value and what I should do. Perhaps I will choose values that enable me to be more popular in my community, or values that are useful for justifying my desire for money, or values that I believe will make me more successful at my job. What most people cannot do and are not even aware that they should do is tie their moral positions to a coherent and defensible version of the good life for human beings. The modern philosophies that have received the most attention and support – theories of utility such as those put forward by Jeremy Bentham and John Stuart Mill, and theories of rights such as those advanced by John Locke and John Rawls – cannot provide such a description of the good life for human beings, and MacIntyre regards them as having failed in their ambitions to do so and therefore to have failed in their project of creating new moral systems even on their own terms (After Virtue Chapter 6).

Many would disagree with MacIntyre at this point. They would say that these moral debates are interminable not because of anything specific to modernity but because by their nature they do not and cannot have any resolution. In their view, the situation MacIntyre has described is not a sign of philosophical or political failure in modern times, it is simply a recognition that there are many diverse definitions of what the best life for human beings is and therefore what is just, or good, or virtuous, and that while many of them are legitimate, none is or can be absolutely true. It follows that each of us is entitled to our own viewpoint on these matters and to choose the version of the best life and the best moral code that we individually prefer, provided of course we do not harm others. In After Virtue, MacIntyre calls this point of view emotivism, “the doctrine that all evaluative judgments and more specifically all moral judgments are nothing but expressions of preference, expressions of attitude or feeling, insofar as they are moral or evaluative in character” (After Virtue 11-12, emphasis in original). In a world where people subscribe to emotivism, moral judgments, since they cannot be used for reasoned persuasion, are used for two reasons: to express our own preferences, and to try to change the emotions and attitudes of those with whom we disagree in order to make them agree with us and share our preferences. MacIntyre believes that emotivism is a false doctrine, because we can in fact rationally determine the best possible life for human beings and therefore can have moral judgments that are more than mere preferences, but it is nevertheless a doctrine that many people today subscribe to, and they act as though it is true. Because so many people act as if it is true, it takes on a degree of power in the world. This is one example of the linkage between how people think and how they live: “A moral philosophy – and emotivism is no exception – characteristically presupposes a sociology” (After Virtue 23; see also Three Rival Versions of Moral Enquiry 80). Although few people would, if asked, say that they subscribed to the doctrine of emotivism (indeed, few people would even be able to explain what it is), it is only possible to make sense of their actions and lives if we say that they are acting according to emotivist principles – they act as though morality is nothing but an arbitrary choice that is an expression of their will, and so this is the doctrine to which we can say they subscribe.

5. Emotivism and Manipulative Social Relations

If we are to fully understand emotivism as a philosophical doctrine, MacIntyre says, we must understand what it would look like if it were socially embodied. That is, if we stipulate that nearly all the people in a given society subscribe to emotivism, what can we expect their society look like? How will they behave? It turns out, MacIntyre says, that such a society would look much like ours, and that (as has been said) we act as though we believe emotivism to be true. MacIntyre says that “the key to the social content of emotivism….is the fact that emotivism entails the obliteration of any genuine distinction between manipulative and non-manipulative social relations” (After Virtue 23). Each of us regards the other members of our society as means to ends of our own. Because I cannot persuade people, and because we cannot have any common good that is not purely temporary and based on our separate individual desires, there is no kind of social relationship left except for each of us trying to use the others to achieve our own selfish goals. Even for someone who did not want to live this way, the fact that others would be trying to gain power over them in order to manipulate them would mean that they would still need to seek as much power as they could simply to avoid being manipulated. It would also mean that each of them would need to manipulate others in ways that would make it more difficult or impossible for them to be manipulated in return. This is similar to the argument that animates a good deal of Hobbes’ Leviathan, where the constant battle for power over one another in a state of nature leads to a life that is solitary, poor, nasty, brutish, and short, and eventually to the recognition of the need for a sovereign with absolute power – although this, of course, is not the solution MacIntyre advocates.

6. The Concept of a Practice and the Origin of the Virtues

In After Virtue, MacIntyre tries to explain another element of what is missing in modern life through his use of the concept of a practice. He illustrates this with the example of a person wishing to teach an uninterested child how to play chess.

The teaching process may begin with the teacher offering the child candy to play and enough additional candy if the child wins to motivate the child to play. It might be assumed that this is sufficient to motivate the child to learn to play chess well, but as MacIntyre notes, it is sufficient only to motivate the child to learn to win – which may mean cheating if the opportunity arises. However, over time, the child may come to appreciate the unique combination of skills and abilities that chess calls on, and may learn to enjoy exercising and developing those skills and abilities. At this point, the child will be interested in learning to play chess well for its own sake. Cheating to win will, from this point on, be a form of losing, not winning, because the child will be denying themselves the true rewards of chess playing, which are internal to the game. The child will also, it should be noted, enjoy playing chess; there is pleasure associated with developing one’s skills and abilities that cannot come if one cheats in order to win.

MacIntyre concludes that there are two kinds of goods attached to the practice of chess-playing and to practices in general. One kind, external goods, are goods attached to the practice “by the accidents of social circumstance” – in his example, the candy given to the child, but in the real world typically money, power, and fame (After Virtue 188). These can be achieved in any number of ways. Internal goods are the goods that can only be achieved by participating in the practice itself. If you want the benefits to be gained by playing chess, you will have to play chess. And in pursuing them while playing chess, you gain other goods as well – you will get an education in the virtues. The two kinds of goods differ as well in that external goods end up as someone’s property, and the more one person has of any of them the less there is for anyone else (money, power, and fame are often of this nature). Internal goods are competed for as well, “but it is characteristic of them that their achievement is a good for the whole community who participate in the practice” (After Virtue 190-191). A well played chess game benefits both the winner and loser, and the community as a whole can learn from the play of the game and develop their own skills and talents by learning from it.

MacIntyre believes that politics should be a practice with internal goods, but as it is now it only leads to external goods. Some win, others lose; there is no good achieved that is good for the whole community; cheating and exploitation are frequent, and this damages the community as a whole. (MacIntyre has changed his terminology since After Virtue. He now calls internal goods “goods of excellence,” and external goods are now called “goods of effectiveness.” See The MacIntyre Reader 55).

One important way to understand the community surrounding a genuine practice is as a community of teachers and learners, with each individual community member filling each of these roles at different times. “It belongs to the concept of a practice as I have outlined it…that its goods can only be achieved by subordinating ourselves within the practice in our relationship to other practitioners ” (After Virtue 191). Throughout my time as a participant in a practice, but especially at the beginning, I must put myself under the authority of others. To continue MacIntyre’s example of chess playing beyond where he develops it, notice that I, the player, rely on other chess players to teach me rules and strategies, to evaluate my play and suggest improvements, answer questions, encourage and guide me, and provide opponents. In competing with one another, we develop one another’s skills, and each of us is able to recognize and value those skills in the other and hence values the other person for exhibiting those skills.

MacIntyre notes that when individuals first start to engage in a practice, they have no choice but to agree to accept external standards for the evaluation of their performance and to agree to follow the rules set out for the practice: “A practice involves standards of excellence and obedience to rules as well as the achievement of goods” (After Virtue 190). As a newcomer, I lack the knowledge and experience that would let me evaluate myself and my efforts, so I must rely on others to judge me according to the standards of the practice. And I cannot simply subordinate the standards to my will; I cannot simply decide that I am a grand master at chess because I want to be one. The standards that determine who is and who is not a grand master are already established, and I must accept them. Unilaterally declaring myself a grand master will not place me at the top of the chess hierarchy; it will place me outside it altogether. As I gain in talent, experience, and knowledge, I can begin to have input into the standards themselves, but I will never gain the ability to move outside them if I want to continue to participate in the practice. Nor will I ever gain the ability to move outside the rules if I want to be part of the practice, although in some cases the community can agree to change the rules if they believe it is beneficial to the practice. So, for example, the rules of chess have changed since the game’s origin, and MacIntyre would likely say that this has happened in order to more fully develop the principles of the game.

MacIntyre also emphasizes that chess, like other practices, has a history and is part of a tradition. So he might point out that an important part of becoming a grand master at chess is studying the records of games that have been played by previous grand masters, reading commentaries on those games, examining their philosophies, practice regimens, and the psychological tactics they employed on their opponents, and so on. The rules and standards have developed in the past and are binding on the present, and although they can sometimes be changed by the community as a whole those changes should be consistent with the principles of the game as it has developed in the past. This would seem to be a very conservative doctrine, as it is in the hands of someone like Edmund Burke (cf. Reflections on the Revolution in France), but MacIntyre is explicit that traditions that are in good order require ongoing internal debates about the meaning of the tradition and how it is to be improved and developed for the future. He is not advocating blind loyalty to the past, nor is he saying that all change is bad. He is only acknowledging that the present rests on the past and must take that past into account in its self-understanding as well as in its planning for the future. We have already mentioned changes in the rules of chess, but other transformations can occur without changing the rules. Today, for example, chess players may decide that they must revise what they know about the game and how it is played in order to compete against computer opponents which use very different methods of playing than human opponents do. This requires new approaches and tactics which will become part of the tradition that is available to players in the future. But developing new methods does not require starting from scratch – the past provides materials for use in the present and should not be dismissed as irrelevant.

Although MacIntyre does not emphasize this, he likely would agree with Burke that the idea that one is part of a tradition can serve to strengthen the community, as it encourages the present practitioners to think of themselves as tied to the past and with an obligation to the future, so that they will work to surpass the standards of the past and leave a tradition that is in good order to those who will practice it in the future.

Practices are also important because it is only within the context of a practice that human beings can practice the virtues. Goods that are external to practices, such as money and power, can be achieved in a variety of ways, some good and some bad. But achieving the goods that are internal to a practice, according to MacIntyre, requires the presence of the virtues, and in After Virtue he defines the virtues in terms of practices: “A virtue is an acquired human quality the possession and the exercise of which tends to enable us to achieve those goods which are internal to practices and the lack of which effectively prevents us from achieving any such goods….we have to accept as necessary components of any practice with internal goods and standards of excellence the virtues of justice, courage, and honesty” (After Virtue 191). The necessity of these virtues follows logically from the definition of a practice, as we shall see, but it is important to understand that as far as MacIntyre is concerned, virtues and therefore morality can only make sense in the context of a practice: they require a shared end, shared rules, and shared standards of evaluation. The virtues also define the relationships among those who share a practice: “….the virtues are those goods by reference to which, whether we like it or not, we define our relationships to those other people with whom we share the kind of purposes and standards which inform practices” (After Virtue 191). We must have the virtues if we are to have healthy practices and healthy communities. Let us consider the three virtues of honesty, courage, and justice and see how they arise from practices.

Members of a practice must be honest with each other when they instruct others in the principles of the practice, when they explain the rules to them, and when they evaluate their performance. And we have already seen that the practitioners must not lie or cheat when they engage in the practice, or they will not really be engaging in it and will not gain the benefits of doing so. Courage, MacIntyre says, is a virtue “because the care and concern for individuals, communities and causes which is so crucial to so much in practices requires the existence of such a virtue” (After Virtue 192). Practitioners of a shared practice come to genuinely care about each other, and genuinely caring about others means a willingness to risk harm or danger on their behalf, and that is what courage is. Finally, “Justice requires that we treat others in respect of merit or desert according to uniform and impersonal standards,” and we have seen that these are the standards that are a part of a practice (After Virtue 192). So virtues such as honesty, courage, and justice have meaning in the context of a practice, raising the possibility that there is a way out of the moral chaos that surrounds us today.

MacIntyre is vague about what things do and do not constitute practices; he gives some examples of each, stating that playing chess is a practice but playing tic-tac-toe isn’t; farming is, but planting turnips isn’t. More important to him than narrowly defining the boundaries of a practice is arguing that particular kinds of activities certainly are practices. Why does MacIntyre care so much about practices? It is because he believes that there are a number of things that have been practices in the past, currently are not, but could (and should) be again, and chief among these is politics. It is possible to think of politics as a practice within a community that has a shared aim, and where the members of that community have the same standards of excellence, the same rules, and the same traditions. Indeed, in MacIntyre’s view, politics is a sort of meta-practice, because it is the practice of determining the best life for human beings, a life which will include engaging in other practices. Here MacIntyre parallels Aristotle’s language about politics as the science ordering the other sciences (Aristotle, Nicomachean Ethics I.2). The benefits of a practice would then flow to those who participated in politics – in fact, certain important benefits could only be achieved by political participation – and politics would make people more virtuous rather than less virtuous as it now does. To see why politics currently makes people worse instead of better, and how this inevitably follows from our current moral anarchy, we need to take a closer look at contemporary politics.

7. Politics in a World without Morality

MacIntyre argues that today we live in a fragmented society made up of individuals who have no conception of the human good, no way to come together to pursue a common good, no way to persuade one another about what that common good might be, and indeed most of us believe that the common good does not and cannot exist. What kind of politics can such a society have? “Politically the societies of advanced Western modernity are oligarchies disguised as liberal democracies. The large majority of those who inhabit them are excluded from membership in the elites that determine the range of alternatives between which voters are permitted to choose. And the most fundamental issues are excluded from that range of alternatives.” (The MacIntyre Reader 237; see also The MacIntyre Reader 248, 272). What MacIntyre means by “the most fundamental issues” are the issues of what the best way of life is for individual human beings and for human communities as a whole, and how each can be ordered so as to enable the other to flourish. Modern politics has no space for such issues. Prior to the 2004 election in the United States he published a short essay on the Internet arguing that in light of this lack of meaningful alternatives about the most fundamental issues the proper thing to do was refrain from voting. There are no meaningful alternatives on these issues because almost all citizens subscribe, consciously or not, to the modern idea that issues about the best way of life are not capable of political resolution or consensus and that they must be left to each individual to decide. MacIntyre and other critics of liberalism, which they see as the political manifestation of emotivism, argue that liberalism claims to be neutral about the best way of life and moves debates about it out of the public sphere and into the private, claiming that the state should take no position about what the good life or the good state is. This however has the effect of privileging a certain kind of life and a certain kind of state in the name of neutrality; it is another of the deceptions of the modern world. Because liberalism asserts that each individual has a right to pursue happiness in his or her own way, and because the versions of happiness individuals pursue are inevitably mutually incompatible (I wish to have prayer in schools, you do not; I wish to outlaw abortion, which you support; I wish to raise taxes on the wealthy to feed the poor, which you reject), and because we cannot persuade one another or agree on a common good, politics is, as MacIntyre says, “civil war carried on by other means” (After Virtue 253).

MacIntyre’s famous comment, quoted earlier, about the new dark ages we are living in is followed by the observation that in contrast to the earlier dark ages, the barbarians are not at the gates but in fact have been governing us for some time (After Virtue 263). This conclusion is what we would expect if MacIntyre’s view of the world is right. We would be ruled by people who are ruthlessly aggressive, ignorant of or actually hostile to the virtues required for civilized life, and destructive of social life. Since politics today is about using ideas and arguments not to search for truth but to manipulate others in the quest for power, we would expect the people with the most power to be the ones who are best at manipulating others for their own purposes and who have the greatest desire for power. The reasons they would give to justify their power would be false, but widely accepted, and they would use that power for their own selfish ends. Furthermore, they would pursue that power through whatever means they felt would be most effective, in the absence of any of the standards of right and wrong or success and failure that a practice would provide. In such a world, MacIntyre says, things that would appear to be vices would in fact be virtues. For example, keeping one’s word, which as we have already seen MacIntyre considers to be one of the most important virtues (it is part of honesty), would frequently have negative consequences for those who practiced it, since it might end up being an obstacle to achieving some goal most effectively. So instead of condemning people for not keeping their word, we praise them for the virtue of “adaptability” and the ability to change as the situation demands it. If politics were a practice with the possibility of internal goods and virtues, this would not be the case; but since it is currently not a practice, and therefore has only external goods to offer, it is. Anyone who has read The Prince cannot read MacIntyre on this point without recalling Machiavelli’s advice to the prince about the need to be adaptable and the only relevant standards being those of success or failure; MacIntyre would certainly agree that the modern world is characterized by its Machiavellian politics.

It would also be in the interest of the ruling elite that would arise that no one raises any of the fundamental questions about the best life for human beings and the community considered earlier, because any answer to those questions, and indeed any attempt to find answers, could only undermine the legitimacy of their rule which is based on the belief that there are no such answers. MacIntyre says in After Virtue that claims to rule are based on the claim to possess bureaucratic competence as described by Max Weber: people claim that they should have power because they are the ones that can use it most effectively, although the goals that they are pursuing in such an effective fashion are never questioned or discussed. MacIntyre further believes that these claims of managerial competence are and must be false; they are another of the deceptions of the modern age (After Virtue Chapter 6-8). But even if these claims were valid, valuing the effective use of power without considering the ends for which it is being used is a mistake. Trying to answer questions about the proper ends of human life not only reveals the nature of our current problems and the responsibility of those in power for creating and perpetuating them but it also leads to the realization that the world needs radical change before it can even be possible to discover the answers.

MacIntyre argues that modern politics has no place for patriotism, because there is no patria, or fatherland. Although there can be nationalism, jingoism, and propaganda, there can be no genuine, healthy affection for the nation or for our fellow citizens because we lack a shared project that would connect us to the nation or to our fellow citizens. It would be bizarre for people to have a feeling of attachment to the modern state, since it is bound to thwart many of their projects, allows them no effective voice, and gives them no unifying vision of the good life or any kind of shared community. And if the state is purely instrumental, to be used to advance one’s own projects, why would anyone be willing to die for it, since death means the end of all such projects? Yet the state requires such a patriotic attachment, because it needs people willing to serve as soldiers, police officers, and in other similar life- and safety-threatening jobs. In trying to create such an attachment, the state reveals its own nature and its absurdity: “The modern state…behaves part of the time towards those subjected to it as if it were no more than a giant, monopolistic utility company and part of the time as if it were the sacred guardian of all that is most to be valued. In the one capacity it requires us to fill in the appropriate forms in triplicate. In the other, it periodically demands that we die for it” (The MacIntyre Reader 227; see also The MacIntyre Reader 236).

Finally, in addition to these political problems, the modern age is also characterized by global capitalism, which in MacIntyre’s view has its own deeply pernicious consequences. First, it reinforces emotivism by making the pursuit of one’s preferences the highest good. By doing so, it is like emotivism in that it promotes a false view of human happiness. We will see shortly what MacIntyre sees as the truly happy human life, or at least the potentially happy life, which is lived according to the objective standards of virtue found within a tradition. But we can say here that that life does not involve simply accumulating money or the things that money can buy. Money has a role to play in the virtuous life; there are certain virtues, such as generosity, which are impossible or at least very difficult to carry out without money – here MacIntyre agrees with Aristotle. But a life spent pursuing money is a wasted life, as far as MacIntyre is concerned.

Second, capitalism as an ideology also promotes the instrumental manipulation of people we have already discussed. The capitalist manager manipulates their employees in the production of goods, and the marketing department manipulates customers in order to get them to consume those goods. Free market economies “in fact ruthlessly impose market conditions that forcibly deprive many workers of productive work, that condemn parts of the labor force in metropolitan countries and whole societies in less developed areas to irremediable economic deprivation, that enlarge inequalities and divisions of wealth and income, so organizing societies into competing and antagonistic interests” (The MacIntyre Reader 249). And it is money that dominates the modern politics that is constructed by this capitalist competition and antagonism (Dependent Rational Animals 131). Money and the harm it does to the political process will not be removed from politics until people choose to pursue goods of excellence rather than goods of effectiveness. Capitalism is therefore not only harmful in and of itself but also for its effects on politics.

8. The Greek Way of Life

Given his abiding interest in and admiration for the polis, it would not be surprising if MacIntyre has another meaning for “barbarians” when he describes the people who rule us today: for the ancient Greeks, anyone who did not live in a polis and participate in polis life was a barbarian, and when we see what MacIntyre thinks the polis was and what kind of life pursued there, we will see that the people who are on top in the world today are very far from living that kind of life – as, of course, we all are. So he is probably using the word as it was originally used, in addition to using it for its modern meaning. Overcoming the modern barbarians would mean creating and defending a modern version of the polis – and to do this, we must understand the ancient version of the polis.

It is time, then, to turn to the ancient world which was destroyed by the modern world we have been describing (MacIntyre offers a history of how the new world came to replace the old one in After Virtue, Chapter 16). Most of our attention will be focused, as MacIntyre’s is, on the Athenian polis, or city-state, in the time of Aristotle, and on Aristotle’s thought, which MacIntyre believes is an expression of the way of life of the Athenian upper class. As with his description of modernity, his descriptions of the ancient world and Aristotle’s thought are contentious, and there are many points on which other scholars disagree with his arguments and his conclusions. We will be focusing on the contrast between the ancient world and the modern world and the reasons MacIntyre believes the former to be in many ways superior. Keep in mind that ultimately he wants us to learn from the institutions and ideas of the past and modify them to fit the conditions of the modern world; the final part of this essay will describe how his new world would differ from the world in which we now live.

MacIntyre does not want to try to recreate the polis, nor does he believe it would be possible even if it were desirable. MacIntyre also does not simply offer uncritical praise of the polis. He is strongly opposed to many of the institutions that made day-to-day polis life possible: slavery, the treatment of women, the elitism of its politics and political philosophy, and its exclusion of outsiders. One can summarize these positions by saying that MacIntyre rejects those elements of the polis and of Aristotle’s thought that are hierarchical in a way that subordinates some people (actually most people) for the good of others. So MacIntyre realizes that there is much in the polis that we do not and should not wish to restore. He believes that it is possible to separate the positive features of the polis from its negative features, keeping the former while rejecting the latter; whether he is correct in this is an open question.

9. Heroic Society and Homer

For MacIntyre, understanding the polis means understanding its predecessor: heroic society as described by Homer in the Iliad and Odyssey (After Virtue Chapter 10; Whose Justice? Which Rationality? Chapter 2). In heroic society, MacIntyre says, people did not see themselves as we moderns do, as individuals bearing rights and seeking autonomy from external control through the manipulation of others. They also did not see themselves as constructing their own identities, choosing what they wanted to be and who they were. Instead, their identities came from their place within their society: “The self becomes what it is in heroic societies only through its role; it is a social creation, not an individual one” (After Virtue 129). Each individual had a fixed role resulting from their location in the social network, primarily through their particular ties to their family and kin, and each individual had the specific obligations and privileges attached to that location.

Many of these obligations were not chosen by the person bearing them, and that person was not free to choose other obligations instead. Nor would trying to evade one’s obligations be praised as an example of adaptability; it would be condemned as a violation of the social order, which was the framework on which morality was built. People in this society did not try to determine morality in terms of abstract objective rules which applied to all equally – to try to place oneself outside of society was to cease to exist, because each person’s identity made sense only in the context of that society. As MacIntyre puts it, each individual in such a society “has a given role and status within a well-defined and highly determinate system of roles and statuses….In such a society a man [sic] knows who he is by knowing his role in these structures; and in knowing this he knows also what he owes and what is owed to him by the occupant of every other role and status” (After Virtue 122). So in any particular situation, an individual would be able to understand what they should do in a straightforward way: the thing for them to do is the thing that it is appropriate for a person in their position to do by showing the proper regard for someone, meeting the particular obligations they have, doing what their duty requires them to do, and so forth. And it is also clear what actions must be performed in order to do these things. All they must do is ask what a person in their position is supposed to do in this situation and then do it.

In MacIntyre’s view, this kind of society, unlike modern societies, can have a genuine moral code, since failing to do what a person in a particular position is supposed to do is a moral failure, and that person can and will be judged accordingly by the other members of the society, who know what that person’s duties, obligations, and privileges are and have legitimate claims on that person for them. This moral code is based on what is agreed to be the shared end of the society and the best way to achieve it, which gives each member their proper role in the society and their proper tasks. Heroic society is not by any means democratic, and so it would appear that democracy is not necessary to have this kind of society, but MacIntyre does believe that societies which include practices and virtues nowadays will prove to be democratic – much more democratic than they are now, in fact.

Recall our earlier discussion of the practices and the virtues. Taken as a whole, this kind of society can be understood as a kind of practice. Each individual agrees about what the virtues are – those traits that make it possible for them to carry out their obligations as they ought to in order to bring about the best possible life for the society as a whole – and they follow the virtues in living out their lives. There is also a determinate pattern to the life of each individual in the society, as each meets their obligations and fulfills their role like characters in a story. Remember the earlier suggestion that making sense out of morality today is like trying to tell a coherent story by mixing up parts of five or six very different novels. In this society, each individual is like a character in a story that is told by the society as a whole. The story is about what the good life is, and it provides a shared narrative for everyone. What is good for the individual and what is good for society are mutually reinforcing. If each individual does what they are supposed to do, the society will function as it should, and at the same time the society provides the context for the happy life spent in pursuit of the virtues that give meaning to the lives of its members.

10. The Athenian Polis and Aristotle

MacIntyre asserts that the virtues of heroic society and the heroic ideal carry forward into classical Athens, but since Athenian society is organized very differently than heroic society, this leads to difficulties. The virtues that are expressed in a society organized primarily around family and kinship networks have to be expressed differently in a society organized around the principle of the equality of citizens and the activity of politics. In MacIntyre’s view, much of Athenian philosophy and art is engaged in redefining the heroic virtues to make them fit the new context of the polis; again we see how philosophy and society are interrelated, with changes in society leading to changes in philosophy. MacIntyre’s definition of the polis is somewhat idiosyncratic: “The application of [the virtues as a way to measure an individual’s goodness] in a community whose shared aim is the realization of the human good presupposes of course a wide range of agreement in that community on goods and virtues, and it is this agreement which makes possible the kind of bond between citizens which, on Aristotle’s view, constitutes a polis” (After Virtue 155; see also Whose Justice? Which Rationality? 33-34). Restoring this agreement is the sense in which MacIntyre wants to return to the polis.

That the polis was the setting for the good life was, MacIntyre says, taken for granted by everyone participating in the debate about what the virtues could mean in their new setting, and in After Virtue he examines four of the voices in this debate: Plato, the sophists, playwrights such as Sophocles, and Aristotle. It is Aristotle who comes to be MacIntyre’s focus, because it is Aristotle “whose account of the virtues decisively constitutes the classical tradition as a tradition of moral thought” (After Virtue 147). MacIntyre believes that Aristotle is essentially expressing the Athenian way of life in the form of a philosophy. Some scholars would disagree with this argument, but let us consider Aristotle more closely in order to see MacIntyre’s argument.

Aristotle’s philosophy has at its heart the idea of a telos, or final purpose. Think about a knife for a moment. If you were asked to describe a knife, what would you say about it? You would probably describe its size and shape, what it is made out of, the fact that it has a handle and a blade, and you would probably also say that its purpose is to cut things. That purpose is its telos, and your description of the knife would be incomplete in an important way if you did not include it. It is fairly easy to see that something made by human beings has a telos, since humans generally create things for specific purposes. But Aristotle believes that things in the natural world also have a telos. The acorn has as its telos growing into a big, tall, strong oak tree, full of healthy acorns. The baby thoroughbred horse has as its telos being a swift runner; the wolf cub will grow up to hunt well; and so on. Human beings also have a telos, and according to Aristotle it is to be happy by living a life in accordance with the virtues. This is the inherent purpose of human life, and each of us is intended by nature to live a virtuous life in the same way the acorn is meant to be an oak tree and the colt is meant to be a swift racehorse. We do not get to choose what our telos is, any more than a knife or an acorn or a horse does. We do get to choose whether or not we are going to try to achieve it, and we can be held responsible if we do not (The MacIntyre Reader, “Plain Persons and Moral Philosophy”).

The idea of a telos can be used to provide standards for normatively evaluating things. For example, if I have a knife that will not hold an edge, or has a handle that falls off, I have a knife that will not be able to fulfill its telos. It cannot do what it is supposed to do and what it was made to do. I can therefore say that it is a bad knife. Similarly, a wolf that is fat and lazy, or unable to scent animals, or runs slowly, is not the ideal wolf. It has not become what it was supposed to be. And human beings, if they do not pursue the life of happiness through virtuous behavior that is their telos, are bad human beings. They are guilty of moral failure, and everyone who agrees about what the human telos is will have to agree to that, in the same way they will have to agree that a knife that falls apart whenever someone tries to use it is a bad knife. Thus, for people who share a telos and whose community expresses that shared telos, morality has context and meaning.

It should be pointed out here that contemporary philosophies such as emotivism deny that there is a human telos (with ruinous consequences as far as MacIntyre is concerned). The idea that there is a human telos carries with it its own problems. Most obviously, it has at least so far proven impossible to unite all people behind a particular idea of what that telos is, or to demonstrate how we can be sure that a telos even exists. Often, the idea that nature or the gods want people to pursue certain goals and behave in certain ways has been used as a pretext for human tyranny. Many would point to the Taliban in Afghanistan, or the Catholic Inquisition, as an example of this. Also, there have been historical eras in which people in different societies strongly believed that there was a telos, but disagreed about what it was (in fact, the era of the polis in Greece was one such era). This has often led to war. The liberal idea of religious toleration, based on the idea that the proper work of government is the protection of people’s bodies and property rather than their soul (see Locke’s Letter Concerning Toleration), was in part the result of the religious wars, which were in part about the best life for human beings, that ravaged Europe for centuries (and ravage other parts of the world today). MacIntyre points out, however, that just because we haven’t reached agreement on this subject doesn’t mean that we can’t, and he argues that the belief that we can’t is a historically specific belief, rather than an objective and permanent truth about how the world works. If we reason correctly, and examine competing philosophical traditions of moral enquiry, we can choose the most accurate one. (This is the task of Three Rival Versions of Moral Enquiry).

You may want to think about physical health as an analogy. If I want to be healthy, I am much more likely to succeed if I am willing to exercise, eat sensibly, avoid tobacco and other drugs, and do what my doctor tells me, even when that means undergoing painful surgery, paying for expensive treatments, or swallowing foul-tasting medicines. I am certainly free not to do any of these things. I can smoke, overeat, lie on the couch all day, and never go near a doctor’s office. But in that case I won’t be healthy, and I don’t get to redefine “health” to cover my condition. If I said I was living such a lifestyle because I was trying to live a healthy life, anyone who knew anything about health would laugh at me. Since health is preferable to sickness, I should be willing to reject unhealthy behaviors that are temporarily pleasant to achieve what is really good for me in the long run. Yet often I do not. In the same way, I should give up things that do not bring me closer to my telos by contributing to a virtuous life. But, again, often I do not. And if we accept that certain things are inherently good or harmful for our bodies because of our nature as particular kinds of animals, why shouldn’t we accept the same principle regarding our souls?

As human beings, we are not always inclined to live a virtuous life devoted to the pursuit of the virtues, but that is the life that we should lead. MacIntyre calls this the distinction between “human nature as it is” and “human nature as it could be if it realized its telos” (After Virtue 52). The role of ethical theory is to take us from the former condition to the latter, teaching us how to overcome the weaknesses of our human nature and become what we are capable of becoming, as well as why this ought to be our good. It is like a road map, showing us where we are and where we need to get to and identifying the hazards along the way. Recall that MacIntyre said that in the modern world people believe that they do not have any fixed telos or purpose; there is nothing that we are meant to become, no innate goal that we move towards. (MacIntyre points to Hobbes and Leviathan as an example of this philosophical belief and its consequences). Absent any conception of what human beings are supposed to become if they realized their telos, there can be no ethical theory, because it simply has no purpose. For people with no destination, a road map has no value.

We have seen MacIntyre’s description of modernity and its problems, and we have seen his description of the life of the polis and the philosophy of Aristotle. This brings us to the choice MacIntyre says confronts us. In After Virtue he says that we can either choose the modern world, with its emotivism, liberalism and capitalism – a world which, if we are honest, is actually a Nietzschean world – or we can choose to return to a morality and a conception of the virtues based on the philosophy of Aristotle (After Virtue Chapter 18). MacIntyre wants us to reject Nietzsche and choose Aristotle – not on the basis of the kind of arbitrary decision made under emotivism, but on the grounds that the kind of rational morality proposed by Aristotle does not fall prey to the criticisms of Nietzsche. It remains to describe what the future would hold if MacIntyre were successful in his project. How would a world based on the experience of the polis and the philosophy of Aristotle that world differ from the world we live in today? After Virtue ends without providing much guidance – MacIntyre says that we are waiting for a new Saint Benedict (who was the founder of monasticism in the Catholic tradition) to lead us out of the new dark ages (After Virtue 263) – but in his later writings he has offered more detail about what a better world would look like.

11. Our Human Nature: Dependent Rational Animals and Human Virtues

Much of what MacIntyre has to say on this topic is found in Dependent Rational Animals, and that book will be the focus of this section of the essay. MacIntyre intends the book to answer two questions: “Why is it important for us to attend to and to understand what human beings have in common with members of other intelligent animal species?” and “What makes attention to human vulnerability and disability important for moral philosophers?” (Dependent Rational Animals ix). The book reflects MacIntyre’s change of position regarding whether “an ethics independent of biology” is possible (Dependent Rational Animals x). In After Virtue he had rejected Aristotle’s biological teleology – which is the idea that human beings have a telos because of the particular kind of creature that we are. Aristotle says that only human beings have the ability to speak and reason and therefore our telos is to develop that reason. In Dependent Rational Animals MacIntyre now accepts the idea of a biological teleology, but much of his argument for this is based on the idea that it is not human beings alone that have the ability to speak and reason; dolphins and gorillas can also do these things, and we can learn something about humans from how these other animals pursue their individual and collective goods. What we learn is that for human beings the key to flourishing is to be an independent practical reasoner (Dependent Rational Animals 77). What are the consequences of this?

MacIntyre now believes that any successful ethical theory must comprehend three aspects of human existence: we are dependent, we are rational, and we are animals. The first and third of these, he says, are seldom taken into account by philosophers, and the second is frequently overemphasized. Aristotle comes in for particular criticism for denying the merit of the experiences of dependent human beings and making a virtue out of self-sufficient superiority (Dependent Rational Animals 6-7, 127). These are flaws which can be seen to contribute to MacIntyre’s turning away from Aristotle and towards Aquinas, whose account of the human telos and virtues includes resources that allow us to include everyone in the community rather than a small elite as Aristotle’s philosophy does. Much of the book is concerned with placing human beings in relationship to other animals, especially with regard to intelligence and rationality. MacIntyre argues that human beings retain their animal natures in important ways (Dependent Rational Animals 49) and that we are like gorillas and dolphins in that members of each species “pursue their respective goods in company with and in cooperation with each other” (Dependent Rational Animals 61).

Because we are animals, we are vulnerable to a wide range of inadequacies, deficiencies, and illnesses and are in need of the help of others if we are to survive and even more help if we are to thrive. Each of us has had the experience of dependency in infancy and childhood and most of us will face physical dependency again as we age. The kind of dependency that MacIntyre focuses on is our dependency on others to learn how to be rational and how to be ethical. This need is strongest in children, who at first simply follow whatever desires they happen to have at the moment. One of the things that parents must do (MacIntyre focuses on the mother throughout his discussion of parenting, without giving any reasons for this) is to teach their children that what they desire is not necessarily what is best for them at that time or what is best for them in the context of their life as a whole. Even when we pass beyond childhood, we still need others to watch and comment on our motives and actions, to insure that those aim at what is good for us and not merely at satisfying our temporary and potentially harmful desires. These are our friends, who provide us with insight and self-understanding, not least because they call us to account for our actions when those seem immoral, short sighted, or out of character. To provide such an account I must first reflect on my motivations and goals, and then explain them in such a way that my friend can make sense of them.

This is one of the ways in which I need other people, receive things from them, and am dependent on them. Throughout my life, other people assist me in developing the use of my reason, and I am dependent on others for this; I cannot become rational on my own. I can only grow if I can reason with and learn from others, and this requires certain traits from me: the virtues (honesty, courage, and justice, for example). Each of us also finds that others are dependent on us at different times and in different ways, and we are obligated to assist them in developing the same qualities and virtues others are helping us to develop; and this assistance is itself a virtue. We therefore find ourselves as part of a community of giving and receiving which is a network of duties and obligations. Potentially, of course, these same networks are dangerous; MacIntyre acknowledges that these structures of giving and receiving are also structures of unequal power distribution and potentially of domination and deprivation (Dependent Rational Animals 102). We must take care to see that they are not used in this way. But this network of obligations in the service of a shared good – the development of human capacities to reason and behave virtuously – means that this kind of society resembles the polis as MacIntyre understands it.

So acknowledging our nature as a particular kind of animal forces us to acknowledge our dependence on others to develop our rationality and become independent and our need to use our rationality to help dependent others (hence the title: Dependent Rational Animals). MacIntyre says that each of these is a different kind of virtue: the virtues of dependence differ from the virtues of independence but are nonetheless virtues (Dependent Rational Animals Chapter 10). This in turn requires us to acknowledge the networks of relationships of which we are a part, and once we have done this we can and must deliberate about the social and political institutions we wish to create in order to promote and protect these networks. Collectively promoting the social structures we need in order to flourish as individuals enables us to escape from false dichotomies between self-interest and the common interest and between selfishness and altruism. In supporting the networks that are necessary if we are to flourish, I am promoting both my interest and everyone else’s, and I am looking out for the common good as well as my own individual good. Practices, then, are both consequences of our nature as the kind of animals we are, when we properly understand the kind of animals we are, and forms of social order that are in keeping with our nature, as opposed to contemporary forms of social order (liberalism and capitalism) which are not.

12. A New Politics

MacIntyre has shown that his ideal society would be different from our own in two particular areas, politics and economics, and now it is time to consider what he believes we should do in order to bring this ideal society into being. As was stated at the very beginning of this essay, MacIntyre is writing in order to resist the modern world, including modern politics. “Modern systematic politics, whether liberal, conservative, radical, or socialist, simply has to be rejected from a standpoint that owes genuine allegiance to the tradition of the virtues; for modern politics itself expresses in its institutional forms a systematic rejection of that tradition” (After Virtue 255). When we have made the changes MacIntyre wants to see, politics will no longer be civil war by other means: “the politics of such communities…is not a politics of competing interests in the way in which the politics of the modern state is” (Dependent Rational Animals 144). It is instead a shared project, and one that is shared by all adults, rather than being limited to a few elites who have gained power through manipulation and use that power to gain the goods of effectiveness for themselves. Politics will not be about people selfishly fighting over power and money; instead there will be “a conception of political activity as one aspect of the everyday activity of every adult capable of engaging in it” (Dependent Rational Animals 141). Human beings, as the kind of creatures we are, need the internal goods/goods of excellence that can only be acquired through participation in politics if we are to flourish. Therefore, everyone must be allowed to have access to the political decision-making process. The matters to be discussed and decided on will not be limited as they are now; they will extend to questions about what the good life is for the community and those who make it up. Politics will be especially concerned with the virtues of justice and generosity, ensuring that citizens get what they deserve and what they need. And it is an important requirement of this new politics that, everyone must “have a voice in communal deliberation about what these norms of justice require” (Dependent Rational Animals 129-130). This kind of deliberation requires small communities; although not every kind of small community is healthy, a healthy politics can only take place in a small community. Although their size cannot be precisely specified, they will be intermediate in scale between the family and the modern state (Dependent Rational Animals 131).

Politics will be understood and lived as a practice, and it will be about the pursuit of internal goods/goods of excellence rather than external goods/goods of effectiveness. “It is only because and when a certain range of moral commitments is shared, as it must be within a community structured by networks of giving and receiving, that not only shared deliberation, but shared critical enquiry concerning that deliberation and the way of life of which it is a part, becomes possible” (Dependent Rational Animals 161). When the community deliberates collectively about its best way of life it is choosing a telos, or final end. And that final end will be one which reflects the needs of all the citizens, including the need to have and use the virtues, which are part of our nature as dependent rational animals.

MacIntyre’s communities will also have traditions and histories, and they will have people who are authorities to whom the rest of us will submit ourselves while we learn about those traditions and histories. Think back to the discussion of chess. Authority in chess is derived from a mastery of the virtues internal to the game (or goods of excellence) rather than external virtues (or goods of effectiveness). Chess players with authority do not have authority because they dominate others, or because they have wealth or political power. Players recognize who has mastered the virtues internal to the game, and try to learn from them. Rather than hating or resenting or fearing those with authority, they welcome and value them; the powerful seek to share their knowledge and skills for the good of the game, rather than for purposes of domination or exploitation. All the players recognize the rules of the game that make it possible for the game to educate us in its virtues, and they follow those rules because they recognize them as necessary and desirable. They are loyal to the game, they enjoy it, and they genuinely care about those with whom they share it. There is competition, to be sure, but it is in the service of pursuing a common good. The political community, for MacIntyre, must be this kind of community.

13. A New Economics

Capitalism must be replaced or transformed, or at least ways must be found to shield individual small communities from its effects. “The tradition of the virtues is at variance with central features of the modern economic order and more especially its individualism, its acquisitiveness and its elevation of the values of the market to a central social place” (After Virtue 254). The ideas that the purpose of life is to get rich and that the well-being of a society can be measured by its economic production will both be rejected, for these both reflect a focus on the goods of effectiveness rather than the goods of excellence. In addition, capitalism undermines communities of all kinds, including the family; we must have a way of life that puts the common good first. “Market relationships can only be sustained by being embedded in certain types of local nonmarket relationship, relationships of uncalculated giving and receiving, if they are to contribute to overall flourishing, rather than, as they so often in fact do, undermine and corrupt communal ties” (Dependent Rational Animals 117). There are many possibilities for how we might construct new economic systems. “The institutional forms through which such a way of life is realized, although economically various, have this in common: they do not promote economic growth and they require some significant degree of insulation from and protection from the forces generated by outside markets” (Dependent Rational Animals 145; The MacIntyre Reader 249). The society MacIntyre prefers will have only small inequalities of income and wealth, to prevent people from being excluded from the community by their poverty or placing themselves above it on account of their great wealth, both of which phenomena we certainly see today (and which Aristotle recognized in his day). If MacIntyre is correct that growing up as human beings is about learning to overcome our immediate desires and learning to see our long term good, then advertising and marketing, which teach us to give in to our immediate desires, are going to become much less effective. Markets must be subordinated to the development of the virtues in individuals and the community, rather than the other way around, which is what happens in the world in which we now live.

14. Conclusion

MacIntyre’s ideal world would be very different from today’s world, and it is one that would undoubtedly take decades, and probably centuries, to arrive, just as the replacement of Aristotelian morality by liberal capitalism took a very long time. What are we to do in the meantime if we wish to carry out MacIntyre’s vision? MacIntyre says that we can begin to work on the kinds of small communities that are capable of preserving the practices and virtues even in the face of liberal capitalism (Whose Justice? Which Rationality? 99). We need to focus our energies on building and maintaining the kinds of small communities where practices and the virtues have a place and protecting them as much as possible from the depredations of the modern state and modern capitalism. At the end of Three Rival Versions of Moral Enquiry, he proposes ways to modify universities and their curricula to bring them closer to the kind of communities he wants to encourage. As far back as 1968’s Marxism and Christianity, MacIntyre was advocating “a politics of self-defence for all those local societies that aspire to achieve some relatively self-sufficient and independent form of participatory practice-based community” (Marxism and Christianity xxvi, cited in The MacIntyre Reader 23; see The MacIntyre Reader 248 and Breen 187). Small communities will also make it possible for people to evaluate political candidates in a variety of settings and judge them on the basis of integrity rather than adaptability (The MacIntyre Reader 249). We can evaluate our leaders on their actual characters rather than seeing them through the distortions of advertising and the manipulation of propaganda.

MacIntyre’s objections to liberal capitalism show the influences of both the Marxism to which he subscribed early in his career and the Catholic Church of which he is now a member. Both Marxism and Catholicism, for different reasons, critique the unbridled pursuit of wealth under capitalism. But there are many reasons to doubt that the kind of society MacIntyre promotes will turn out as he wishes. Many authors, from Adam Smith to Hayek to von Mises, have argued that attempts to control or limit markets inevitably have as a consequence attempts to control and limit human beings in ways that lead to the gulag rather than to the virtues. They would also argue that MacIntyre’s proposals, by limiting or discouraging economic growth, would condemn the poor to continued poverty and prevent improvements in living standards in general, and would punish people who are able to successfully provide people with what they want while profiting from this success. This would kill initiative and innovation and lead to stagnation. Whether people agree or disagree, MacIntyre would probably take some satisfaction in the fact that at least there is an argument going on – a serious discussion about the ultimate values and way of life the community should pursue – which is typically avoided or stifled on those rare occasions when it does arise. The next step would be to make this kind of argument a part of mainstream political discussions.

If his ideas become widespread and are widely adopted, MacIntyre’s small communities, like St. Benedict’s monasteries, will preserve the practices, the virtues, and morality until such a time as they can re-emerge into the world. In the meantime they will be the best way of life for those who are fortunate and hard-working enough to be a part of them. And of course those who, like MacIntyre, practice philosophy in his tradition must continue to strengthen and develop the arguments found in the Aristotelian tradition as it has developed through Aquinas, and continue to draw attention to the flaws and weaknesses of liberal philosophy in the hope of persuading others to change their allegiances.

15. References and Further Reading

a. Primary Sources

This bibliography includes only the most significant books from the period beginning with After Virtue and is in chronological order.

  • MacIntyre, Alasdair. After Virtue. Second Edition. Notre Dame: University of Notre Dame Press, 1984 (1981).
    • The foundation of his later work and the most important of his books to read. Includes his arguments about the failures of modern philosophy and politics and how those failures might be overcome, or at least diminished, with the help of the philosophy of Aristotle and the political way of life of the Greek city-state.
  • MacIntyre, Alasdair. Whose Justice? Which Rationality? Notre Dame: University of Notre Dame Press, 1988.
    • MacIntyre addresses “both what makes it rational to act in one way rather than another and what makes it rational to advance and defend one conception of practical rationality rather than another” (p. ix).
  • MacIntyre, Alasdair. Three Rival Versions of Moral Enquiry. Notre Dame: University of Notre Dame Press, 1990.
    • MacIntyre discusses three rival versions of moral enquiry: encyclopedia, tradition, and geneaology. He describes how they conflict with one another and the possibility that one of these traditions can “emerge as indisputably rationally superior” (p. 5). It is the Thomist tradition, he argues, that proves to be rationally superior to the others.
  • Knight, Kelvin. The MacIntyre Reader. Notre Dame: University of Notre Dame Press, 1998.
    • This is a collection of articles by MacIntyre, extracts from After Virtue and Whose Justice? Which Rationality?, and a pair of interviews of MacIntyre, along with an introductory essay on MacIntyre by Knight. The book is an excellent source for anyone looking for an overview of MacIntyre’s career, and Knight’s essay is an outstanding analysis of MacIntyre’s project. There is also a very thorough Guide to Further Reading, in essay form, in which Knight again reveals a sympathetic and extensive knowledge of MacIntyre’s work. Highly recommended.
  • MacIntyre, Alasdair. Dependent Rational Animals: Why Human Beings Need the Virtues. Chicago: Open Court, 1999.
    • MacIntyre begins this book with the claim that any moral philosophy must begin by acknowledging that human beings are a particular kind of animal with particular needs and goods that are determined by our animal nature. He then establishes what that nature is, and argues that it requires us to develop our rationality while acknowledging our dependence on others, thus providing us with a telos. He provides a sketch of what kind of social organization would be necessary to enable each of us to fulfill our telos, and how that kind of organization differs from the organization of the modern world.

b. Secondary Sources

  • Ballard, Bruce W. Understanding MacIntyre. Lanham: University Press of America, Inc., 2000.
    • This short (90 page) book has two parts: the first part explains the fundamentals of MacIntyre’s thought for beginning students, and the second part brings MacIntyre into contact with thinkers such as Marx, Kierkegaard, and Graybosch. Unfortunately these chapters are too brief to be really useful on their own; Chapter 10, for example, entitled “MacIntyre and His Critics,” is a mere five pages long.
  • Breen, Keith. “Alasdair MacIntyre and the Hope for a Politics of Virtuous Acknowledged Dependence.” Contemporary Political Theory (2002) 1, 181-201.
    • A political analysis of Dependent Rational Animals. The author concludes that MacIntyre must moderate his claims if he is to avoid self-contradiction and “a despairing purism.”
  • Fuller, Michael. Making Sense of MacIntyre. Aldershot, UK: Ashgate, 1998.
    • This 144 page book has a title that might lead one to expect an introductory volume, but while there is a summary of MacIntyre’s themes, the author also uses other philosophers, such as Donald Davidson and especially Richard Rorty, to make sense of MacIntyre’s thought, and the reader who is not already familiar with Davidson and Rorty may find this material difficult to understand.
  • Horton, John, and Susan Mendus, eds. After MacIntyre: Critical Perspectives on the Work of Alasdair MacIntyre. Notre Dame: Notre Dame University Press, 1994.
    • This collection of essays is wide-ranging, including essays on MacIntyre’s conception of justice, his characterization of liberalism, his interpretation of Aquinas and his critique of the Enlightenment. The last chapter is written by MacIntyre himself; entitled “A Partial Response To My Critics,” it offers MacIntyre’s responses to some of the criticisms offered by the other authors. (MacIntyre’s willingness to engage with his critics is both rare and admirable).
  • McMylor, Peter. Alasdair MacIntyre: Critic of Modernity. London: Routledge, 1994.
    • The author is a sociologist who treats MacIntyre’s work as social criticism. Part one is entitled “MacIntyre – Christianity and/or Marxism?” and part two is “Markets, Managers, and the Virtues.”
  • Murphy, Mark C., ed. Alasdair MacIntyre. Cambridge: Cambridge University Press, 2003.
    • A collection of eight essays by various scholars, with an introduction by Murphy, that address different aspects of MacIntyre’s thought. Chapters 6 and 7, “MacIntyre’s Political Philosophy,” by Murphy, and “MacIntyre’s Critique of Modernity,” by Terry Pinkard, were especially helpful in working on this essay. The book concludes with an excellent bibliography of works by and about MacIntyre.
  • Weinstein, Jack Russell. On MacIntyre. No location: Thomson Wadsworth, 2003.
    • Intended for the beginning philosophy student and the general reader. Chapter 2 is a brief biography of MacIntyre’s life with an emphasis on his intellectual influences; Chapter 3 focuses on MacIntyre’s theological work, particularly MacIntyre’s early comparisons of Christianity and Marxism.

Author Information

Ted Clayton
Email: clayt1ew@cmich.edu
Central Michigan University
U. S. A.

George Edward Moore (1873—1958)

moore-ge G. E. Moore was a highly influential British philosopher of the early twentieth century. His career was spent mainly at Cambridge University, where he taught alongside Bertrand Russell and, later, Ludwig Wittgenstein. The period of their overlap there has been called the “golden age” of Cambridge philosophy. Moore’s main contributions to philosophy were in the areas of metaphysics, epistemology, ethics, and philosophical methodology. In epistemology, Moore is remembered as a stalwart defender of commonsense realism. Rejecting skepticism on the one hand, and, on the other, metaphysical theories that would invalidate the commonsense beliefs of “ordinary people” (non-philosophers), Moore articulated three different versions of a commonsense-realist epistemology over the course of his career.

Moore’s epistemological interests also motivated much of his metaphysical work, which to a large extent was focused on the ontology of cognition. In this regard, Moore was an important voice in the discussion about sense-data that dominated Anglo-American epistemology in the early twentieth century.

In ethics, Moore is famous for driving home the difference between moral and non-moral properties, which he cashed-out in terms of the non-natural and the natural. Moore’s classification of the moral as non-natural was to be one of the hinges upon which moral philosophy in the Anglo-American academy turned until roughly 1960.

Moore’s approach to philosophizing involved focusing on narrow problems and avoiding grand synthesis. His method was to scrutinize the meanings of the key terms in which philosophers expressed themselves while maintaining an implicit commitment to the ideals of clarity, rigor, and argumentation. This aspect of his philosophical style was sufficiently novel and conspicuous that many saw it as an innovation in philosophical methodology. In virtue of this, Moore, along with Bertrand Russell, is widely acknowledged as a founder of analytic philosophy, the kind of philosophy that has dominated the academy in Britain and the United States since roughly the 1930s.

Moore also had a significant influence outside of academic philosophy, through his contacts in the Cambridge Apostles and the Bloomsbury group. In both academic and non-academic spheres, Moore’s influence was due in no small part to his exceptional personality and moral character.

Table of Contents

  1. Biography
  2. Metaphysics and Epistemology
    1. Internal Relations and Absolute Idealism
    2. The Identity Theory of Truth, Propositional Realism, and Direct Realism
    3. Sense-Data and Indirect Realism
    4. From the Ontology of Cognition to Criteriology
  3. Ethics
    1. Goodness and Intrinsic Value
    2. The Open Question Argument and the Naturalistic Fallacy
    3. Ideal Utilitarianism
    4. The Influence of Moore’s Ethical Theory
  4. Philosophical Methodology
  5. Moore’s Influence and Character
  6. References and Further Readings
    1. Primary Sources
    2. Secondary Sources

1. Biography

George Edward Moore was born on November 4, 1873, one of seven children of Daniel and Henrietta Moore. There were eight Moore children in all, as Daniel had a daughter from his first wife. G. E. Moore was raised in the Upper Norwood district of South London. His early education came at the hands of his parents: his father taught him reading, writing, and music; and his mother taught him French. Moore was a more-than-competent pianist and composer. At eight he was enrolled at Dulwich College, where he studied mainly Greek and Latin, but also French, German, and mathematics. At eighteen he entered Cambridge University, where he began as a student in Classics.

His first two years of University study proved to be less than challenging, his time at Dulwich having already prepared him exceptionally well in Greek and Latin. It was during this time that Moore became interested in philosophy. As he later reminisced:

I had indeed at Dulwich read Plato’s Protagoras …; but I was certainly not then very keenly excited by any of the philosophical questions which that dialogue raises …. What must have happened, during this second year at Cambridge, was that I found I was very keenly interested in certain philosophical statements which I heard made in conversation. (Moore 1942a, 13)

The conversations in question involved such notables as Henry Sidgwick, James Ward, and J.M.E. McTaggart, who became his teachers, and Bertrand Russell—then a student two years ahead of Moore—who for a time became his friend and philosophical ally. Moore’s and Russell’s relationship was lifelong, but it became strained early on. It was Russell who convinced Moore to study Moral Science, a division of philosophy in the British University system. In 1896, Moore took first-class honors in both Classics and Moral Science. After this, he attempted to win a Prize-Fellowship, as McTaggart and Russell had done before him. He succeeded in 1898, on his second attempt, and remained at Cambridge as a Fellow of Trinity College until 1904.

Beginning around 1897, and continuing through his time as a Fellow, Moore began to act as a “professional” philosopher, participating in the doings of the extant philosophical societies (such as the Aristotelian Society and the Moral Sciences Club) and publishing his work. Many of his best known and most influential works date from this period. It was also during this period that Moore instigated the momentous break from the then dominant philosophy of Absolute Idealism that would prove to be the first step toward the rise of analytic philosophy.

After his fellowship ended, Moore left Cambridge for a period of seven years, during which time he lived in Edinburgh and Richmond, Surrey, and worked independently on various philosophical projects. He returned to Cambridge in 1911 as a lecturer in Moral Science, and he remained there for the majority of his career, and, indeed, his life. He earned a Litt.D. in 1913, was elected a fellow of the British Academy in1918, and was chosen as James Ward’s successor as Professor of Mental Philosophy and Logic in 1925. He occupied that position until 1939, when he retired and was succeeded by Wittgenstein. From 1940 to1944 Moore was a visiting professor at several universities in the United States. He then returned to Cambridge, but not to teaching. He served as editor of Mind, the leading philosophical journal of the day, from 1921 to 1947. In 1951, he was awarded the British Order of Merit.

Beyond his professional career, Moore had a successful family life. In 1916 at age 43, he married Dorothy Ely, who had been his student. The couple had two sons: Nicholas (b.1918) and Timothy (b. 1922). By all accounts, Moore was an exemplary husband and father.

Moore died in Cambridge on October 24, 1958. He is buried in St. Giles’ churchyard.

2. Metaphysics and Epistemology

Two facts make it difficult to separate Moore’s contributions to metaphysics from his contributions to epistemology. First, his main contributions to metaphysics were in the ontology of cognition, which is often treated as a branch of epistemology. Second, his main contributions to epistemology were motivated by what he called the “commonsense” or “ordinary” view of the world, and this is properly a metaphysical conception, a worldview or Weltanschauung. Consequently, the next section treats Moore’s metaphysics and his epistemology together.

a. Internal Relations and Absolute Idealism

Moore became interested in philosophy at a time when Absolute Idealism had dominated the British universities for half a century, in a tradition stretching from S.T. Coleridge and T.H. Green to F.H. Bradley and J.M.E. McTaggart. McTaggart was Moore’s earliest philosophical mentor. Moore’s earliest philosophical views were inherited directly from him.

Absolute Idealism is a brand of metaphysical monism. It implies that, although the world presents itself to us as a collection of more or less discrete objects (this bird, that table, the earth and the sun, etc.), it really is one indivisible whole, whose nature is mental (or spiritual, or ideal) rather than material. Thus it is also a form of anti-realism, since it claims that the world of ordinary experience is something of an illusion—not that the objects of ordinary experience do not exist, but that they are not, as we normally take them to be, discrete. Instead, every object exists and is what it is at least partly in virtue of the relations it bears to other things—more precisely, to all other things. This is called the doctrine of internal relations, which Moore understood as the view that all relations are necessary. On this view, my coffee cup is not just the apparently self-contained entity that I lift off the table and draw to my lips. Instead, it contains, as essential parts of itself, relations to every other existing thing; thus, as I draw it to my lips, I draw the universe along with it, and am responsible for, in a sense, reconfiguring the universe. Since, on this view, everything that exists does so only in virtue of its relations to everything else, it is misleading to say of any one thing, for example, my coffee cup, that it exists simpliciter. The only thing that exists simpliciter is the whole—the entire network of necessarily related objects.

Though Moore accepted Absolute Idealism for a short while in his undergraduate years, he is best remembered for the views he developed in opposition to it. In fact, what is most characteristic of Moore’s mature philosophy is a thoroughgoing realism about what he came to call the “commonsense” or “ordinary” view of the world. This involves a lush metaphysical pluralism (the belief that there are many things that exist simpliciter) that stands in sharp contrast to the monism of the Absolute Idealists.

Inklings of Moore’s misgivings about Absolute Idealism begin to appear as early as 1897, in his first (unsuccessful) Prize-Fellowship dissertation on “The Metaphysical Basis of Ethics.” Though in it he openly identifies with the British Idealist school, it is here that Moore first raises a point that proved to be the hole in the Idealists’ dike. The Idealists’ doctrine of the internality of all relations has implications for the ontology of cognition. Specifically, it implies that objects of knowledge/cognition are not independent of their knowers. In other words, being known (cognized, perceived, etc.) makes a difference to the nature and being of the thing being known, the “object” of knowledge. Indeed, it was this aspect of the view which marked it as Idealist, as the Idealists commonly posited a great Mind, often simply called “the Absolute,” that “grounded” the whole of reality by cognizing it. And it is this view in the ontology of cognition that Moore obliquely rejects in his 1897 dissertation. He does not address it directly and in specie, but only in the restricted context of moral epistemology. In discussing Kant’s moral epistemology, Moore argues that Kant’s conception of practical reason conflates the faculty of judgment with judgments themselves (that is, bearers of objective truth), which he thinks should be kept separate. To maintain a sharp distinction between cognitive faculties and their activities, on the one hand, and their objects, on the other, is a staple of Austro-German philosophy from Bolzano and Lotze to Husserl, and it is likely that Moore got the idea from reading in that tradition (cf. Bell 1999).

At this point, Moore had neither the doctrine of internal relations nor British Idealism in his sights. It is probably more accurate to say that he was objecting to what is frequently called psychologism—the view that apparently objective truths (for example, of logic, mathematics, ethics, etc.) are to be accounted for in terms of the operations of subjective cognitive or “psychological” faculties. Psychologism was common to nearly all versions of Kantian and post-Kantian Idealism, including British Absolute Idealism. It was also a common feature of thought in the British empirical tradition, from Hume to Mill. For the British Idealists, psychologism was a consequence of the doctrine of internal relations as the latter applies to the ontology of cognition.

It was not long before Moore recognized this. Accordingly, he expanded the scope of his 1897 criticism from the ontology of moral knowledge to the ontology of knowledge in general, and this quickly became the principal weapon in his rebellion against British Idealism. This began in earnest in his successful 1898 Prize-Fellowship dissertation, which formed the basis for his first influential paper, “The Nature of Judgment” (Moore 1899). In both of these works, Moore pushes the anti-psychologistic distinction between subjective faculties/activities and their objects. He couples this, however, with a peculiar account of the nature of truth, of propositions and of ordinary objects.

b. The Identity Theory of Truth, Propositional Realism, and Direct Realism

The Idealist F.H. Bradley had held that truth was a matter of correspondence between a judgment (which was made up of ideas) and its object. At first glance Bradley’s view appears to be the classical correspondence theory of truth, but it is actually a peculiar inversion of that theory. On the classical correspondence theory, the “truth maker” is the object, not any subject who does the believing of this truth. That is, facts makes truths be true; believers don’t do this. But, given the Idealists’ views about the ontological priority of the mental/ideal and the internality of all relations, it follows that any judgment’s being true is ultimately due to the great Mind, the Absolute. Thus, as Moore notes at the beginning of his paper, while Bradley affirms that truth is not a relation between reality and our judgments, but rather judgments “in themselves,” he does not remain true to this view, and ends up flirting with psychologism.

Replacing Bradley’s overtly psychologistic terms “idea” and “judgment” with the more neutral terms “concept” and “proposition,” and maintaining his anti-psychologistic distinction between subject and object, Moore rejects the Idealistic inversion of the correspondence theory of truth. He does not simply revert to the classical version, however. Instead, he seeks to secure the objectivity of truth by eliminating the notion of correspondence entirely. Truth could not be a matter of correspondence between proposition and object, Moore argues, since in a case like “2+2=4” we regard the proposition as true even though there is no object in the empirical world to which the proposition corresponds. Thus, propositions must be regarded as true (or false) “in themselves,” without reference either to a subject which entertains them as elements in occurrent acts of consciousness, or to any object beyond them which they might be “about.” Instead, when a proposition is true, it is because a peculiar relation obtains among the concepts that make it up. Since this view casts the proposition as its own truth-maker, it has been called the “identity theory” of truth, (cf. Baldwin 1991). Moore sums up his view this way:

A proposition is composed not of words, nor yet of thoughts, but of concepts. Concepts are possible objects of thought; but this is no definition of them. … It is indifferent to their nature whether anybody thinks them or not. They are incapable of change, and the relation into which they enter with the knowing subject implies no action or reaction [on the part of the proposition]. … A proposition is a synthesis of concepts; and just as concepts are themselves immutably what they are, so they stand in infinite relations to one another equally immutable. A proposition is constituted by any number of concepts, together with a specific relation between them; and according to the nature of this relation the proposition may be either true or false. What kind of relation makes a proposition true, what false, cannot be further defined, but must be immediately recognised. (Moore 1899, 179-180)

Thus understood, propositions seem to be a lot like Platonic Forms: they are unchanging bearers of truth that exist independently of any “instances” of consciousness. Historically, there is nothing peculiar in this (apart from its appearance in the British context, perhaps). In fact, these views of Moore’s are in keeping with what may be called the “standard” nineteenth and early-twentieth century view of propositions held by Bolzano, Frege, Russell, W.E. Johnson, and L.S. Stebbing (cf. Willard 1984, 180 f.; Bell 1999).

What is novel in Moore, however, is his identity theory of truth, and his related identification of ordinary objects with propositions. One aspect of the standard view was that whenever a proposition happened to be involved in an occurrent act of consciousness, it played the role of “object”—the act was immediately of or about the proposition. Thus, prima facie, the only form of epistemological realism compatible with the standard view is “indirect” or “representative” realism. This is the view that the external world is not given to us directly, but only as mediated by a surrogate object, like a proposition or, in Moore’s later philosophy, a sense-datum. But this aspect of the standard view chaffed against Moore’s growing partiality for common-sense (or “naïve”) realism, which assumes direct realism in epistemology. Thus, in order to secure direct, cognitive access to the external world, Moore cleverly eliminated the would-be mediators by identifying propositions with the objects of ordinary experience themselves.

His first move in this direction was to show that the identity theory of truth applies to propositions that, unlike “2+2=4,” do seem to require a relation to something outside themselves in order to be true. For instance, it is hard to see how the sentence “The cat is on the mat” could be true in itself, apart from a relation to some state of affairs in the empirical world. However, Moore says:

… this description [of truth] will also apply to those cases where there appears to be a reference to existence. Existence is itself a concept; it is something which we mean; and the great body of propositions, in which existence is joined to other concepts or syntheses of concepts are simply true or false according to the relation in which it stands to them. (Moore 1899, 181)

So, “The cat is on the mat” is true when the concepts constitutive of it (“cat,” “mat,” “on,” and so forth) are united with the concept “existence” by that indefinable, internal relation that is truth. Thus also for “The cat exists.” It is not that the proposition is true only if the cat exists; rather, it is that the cat exists only if the proposition is true in virtue of its own internal structure.

By making existence both dependent on truth and, like truth, internal to a proposition, Moore is in effect identifying the class of existents with the class of true propositions that involve the concept “existence” as a constituent. As Moore goes on to say “an existent is seen to be nothing but a concept or complex of concepts standing in a unique relation to the concept of existence,” and thus “it now appears that perception is to be regarded philosophically as the cognition of an existential proposition” (Moore 1899, 182-3). In this way, “the opposition of concepts to existents disappears,” (Moore 1899, 183), and Moore secures a direct realist account of cognition.

By the same token, he commits himself to what is, on the face of it, an unlikely view of the world: given the identity theory of truth, “it seems necessary to regard the world as formed of concepts” (Moore 1899, 182). But, Moore reminds us, this is not to be taken as a claim that reality is at bottom mentalistic or Ideal; for his account of concepts and propositions has already made clear that these exist independently of any acts of thinking. Thus, he says:

…the description of an existent as a proposition … seems to lose its strangeness, when it is remembered that a proposition is here to be understood, not as anything subjective—as an assertion or affirmation of something—but as the combination of concepts which is affirmed. (Moore 1899, 183)

Whether this really does alleviate the description’s strangeness is contestable; but it is clear that Moore means for it to be consistent with our commonsense view of the world. Unfortunately, however, the view has a peculiar consequence that is anything but commonsensical. Bertrand Russell called it the problem of “objective falsehoods.” Given Moore’s theory of truth and its attendant realism about propositions, false propositions have, or may have, the same ontological status as true propositions. At the very least, they are somehow “there” to be asserted or affirmed just as true propositions are. Moreover, since truth and falsity are prior to and independent of existence, there is no obvious reason why a false proposition could not include “existence” as a concept just as a true one can. By 1910, Bertrand Russell—who at first accepted Moore’s views—had convinced both himself and Moore that they were to be rejected precisely for these reasons (see Russell 1906, 1910; Moore 1953; see also the discussion of these matters in Baldwin 1991).

Nonetheless, Moore had held this view of truth and reality for approximately a decade, during which time many of his most influential works were published. Among these was his celebrated paper “The Refutation of Idealism” (Moore 1903b). Here he tackles Idealism head-on and in specie. Asserting that all forms of Idealism rest on the claim that esse is percipi (“to be is to be perceived,” or, as Moore treats it, “to be is to be experienced”), Moore argues that the claim is false. He begins by analyzing in great detail several possible meanings of the formula “esse is percipi.” Ultimately, he determines that Idealists take it to be an analytic truth, in that it is proved by the law of contradiction. Thus, they also believe existence and cognition to be somehow identical. According to this, for yellow to exist just is for someone to have a sensation of yellow. In identifying yellow and the sensation of yellow, the Idealist “fails to see that there is anything whatever in the latter that is not in the former” and thus, for him, “yellow and the sensation of yellow are absolutely identical” (Moore 1903b, 442). But, according to Moore, this is a mistake. Careful attention to the sensation of yellow, on the one hand, and yellow, on the other, will reveal that they are not identical. As he says, “the Idealist maintains that object and subject are necessarily connected, mainly because he fails to see that they are distinct” (Moore 1903b, 442); but Moore thinks he can show that they are distinct, and he deploys two arguments to this end.

His first argument turns upon what would later come to be called the paradox of analysis—an intractable problem that, ironically, would plague Moore’s own later work. The paradox can be explained in terms of the familiar act of defining a term. In any case of definition, one is confronted with two bits of language: the term to be defined (the definiendum) and the term that does the defining, the definition itself (the definiens). Both definiendum and definiens are supposed to have the same meaning—else the latter would not be able to illuminate the meaning of the former. But if both terms mean the same, it is hard to see how giving a definition could be illuminating. Consider the case of the definiendum “bachelor” and its definiens “unmarried man.” In order for “unmarried man” to be a good definition of “bachelor,” it must mean the same as “bachelor.” But if it means exactly the same thing, then it seems that saying “‘bachelor’ means ‘unmarried man’” shouldn’t be any different from saying “‘bachelor’ means ‘bachelor’” or “‘unmarried man’ means ‘unmarried man.’” And yet there does seem to be a difference in that we find the one informative; but the others, not. Thus it seems that there is a difference in meaning between “bachelor” and “unmarried man.”

In sum, then, the paradox is this: a term and its definition must say the same thing in order for the definition to be correct, and yet they must say something different in order for the definition to be informative. The paradox can be put into the form of a dilemma:

  1. If a definiens is correct, then its meaning is the same as that of the definiendum.
  2. If a definiens is informative, then its meaning is not the same as that of the definiendum.
  3. A defniens’ meaning cannot be both the same and not the same as that of the definiendum.
  4. Thus, a definiens cannot be both correct and informative.

Now, this paradox functions in Moore’s first argument against the formula “Esse is percipi” in the following way. The formula itself can be read as a definition. Just as we say, “A bachelor is an unmarried man,” so the Idealist says, “To exist is to be cognized,” or “Yellow is the sensation of yellow.” However, if the two really were identical, it would be superfluous to assert that that they were; thus, the fact that the Idealist sees some need to assert the formula reveals that there is, as with any definiendum and its definiens, some difference between existence and cognition, or yellow and the sensation of yellow. As Moore says,

Of course, the proposition [that is, the formula] also implies that experience is, after all, something distinct from yellow—else there would be no reason to insist that yellow is a sensation: and that the argument [that is, the formula] both affirms and denies that yellow and the sensation of yellow are distinct is what sufficiently refutes it. (Moore 1903b, 442)

The argument may seem decisive. However, we should note that it turns upon Moore’s decision to push the Idealists toward the second horn of the “paradox of analysis” dilemma. Both horns are utterly destructive to “knowledge by description” (of which definitional knowledge is a type), so the Idealists would fare no better with the first horn. But the paradox of analysis is a problem not only for the Idealists, but for everyone who wants to affirm the practice of giving a definition, or, as Moore would later call it, an “analysis” of a concept. Thus, one might be inclined to hold off on embracing either horn, and instead concentrate on resolving the paradox. Charity requires that we extend this reprieve to our adversaries as well. Indeed, except for the fact that Moore hadn’t yet fully grasped the scope of the paradox lying just below the surface of his argument, we’d have to say that he was being terribly unfair by insisting that the Idealists hurry up and impale themselves on the second horn.

Moore’s second argument is much better. It is essentially an application of the now familiar, anti-psychologistic distinction between subject and object. He begins by comparing a sensation of blue with a sensation of green. These are the same in one respect, in virtue of which they are both called “sensations”; but they differ in another respect, in virtue of which the one is said to be “of blue” and the other “of green.” Moore gives the name “consciousness” to the respect in which they are the same, and the respects in which they are different he calls “objects” of sensation or of consciousness. Thus, he says, every sensation is a complex of consciousness and object.

Having distinguished consciousness from object, Moore goes on to distinguish object from sensation. Focusing now on a single sensation, the sensation of blue, Moore says that, when it exists, either (1) consciousness alone exists, (2) the object alone (that is, blue) exists, or (3) both exist together (presumably this is the sensation of blue). But each of these possibilities represents a different state of affairs: neither (1) consciousness alone, nor (3) consciousness and blue together are identical to (2) blue. Thus it is not the case that the sensation of blue is identical to blue, and it is therefore false that esse is percipi.

This negative conclusion of Moore’s essay is the refutation of idealism, properly speaking. However, the essay also has a positive conclusion, which purports to establish the truth of a direct realist account of cognition. Most philosophers in the modern period have accepted some form of representationalism, according to which we have direct cognitive access only to our own mental states (ideas, impressions, perceptions, judgments, etc.). But, according to Moore, what his analysis of consciousness shows is that, “whenever I have a mere sensation or idea, the fact is that I am then aware of something which is … not an inseparable aspect of my experience;” and this has the monumental consequence that,

there is … no question of how we are to ‘get outside the circle of our own ideas and sensations.’ Merely to have a sensation is already to be outside that circle. It is to know something which is as truly and really not a part of my experience, as anything which I can ever know. (Moore 1903b, 450)

Consistent with his 1899 view, we have direct cognitive access to the objects of our experience.

c. Sense-Data and Indirect Realism

The direct realism of Moore’s early period depended heavily upon an ontology of cognition that included both his propositional realism and his identity theory of truth. When the problem of objective falsehoods finally drove him to abandon both, a revised account of cognition was required to secure some form of epistemological realism. For instance, no longer could he explain the difference between “2+2=4” and “The cat is on the mat” by referring to the presence of the concept “existence” in the latter proposition. Instead, Moore now cashed out the difference in terms of what he called “sense-data.”

Examples of include color patches (the octagonal patch of red associated with a stop sign) and appearances (the elliptical appearance of a coin when viewed at an angle). Beyond examples of this sort, exactly what sense-data are was never made sufficiently clear by Moore or others. Thanks largely to Moore, their nature was kept a matter of ongoing debate in the early twentieth century.

Most proponents of sense-data construed them as mental entities responsible for mediating our sensory experiences of external objects. For example, in perceiving a stop-sign, what one is immediately conscious of is some set of sense-data through which are conveyed the stop-sign’s size, shape, color, and so on. The stop-sign itself remains “outside the circle of ideas,” or rather, sense-data, and we are thus aware of it only indirectly. In its usual form, sense-data theory is a form of representationalism consistent with indirect realism, not direct realism.

Moore initially accepted this representationalist view of sense-data; but he was not long content with it, since it seemed to leave the commonsense view of the world open to skeptical doubts of a familiar, Cartesian variety. Consequently, he modified sense-data theory to make it a form of direct realism, just as he had previously done with proposition theory. His strategy in both cases was the same: by making the purported mental-mediators identical with external objects, he would eliminate the need for a mediator and make external objects directly available to consciousness. Thus, for a period of about fifteen years, Moore attempted off-and-on to defend a view according to which sense-data were identical to external objects or parts of such objects. For instance, a sense-datum could be identical to the whole of an object in the case of a sound, while for visible objects, which always have “hidden” sides (the underside of a table or the back side of a coin, for example) a single sense-datum could be identical to only a part of the object’s surface.

Ultimately, Moore could not sustain this sense-data version of direct realism any better than his previous, propositional version. It gave way under the weight of arguments such as the argument from illusion and the argument from synthetic incompatibility. The latter runs as follows. Suppose that person A is looking at the front side of a coin straight-on, and person B is looking at the same coin from an angle. To A, the front side of the coin appears to be circular; to B, it appears to be elliptical. The sense-data theorist accounts for this by saying that A is seeing a circular sense-datum, while B is seeing an elliptical sense-datum. But, given that A and B are looking at the same part of the coin’s surface (the whole surface of the front side), Moore’s proposal that sense-data are identical to parts of the surfaces of external objects entails that the whole surface of the front side of the coin is both circular and elliptical at the same time; but this implies a contradiction, and so cannot be true.

The argument from illusion raises problems analogous to the problem of “objective falsehoods,” which drove Moore from his early propositional realism. On the representationalist version of sense-data theory, we can explain the difference between true perceptions and false (illusory) perceptions by referring to the correspondence and lack of correspondence between a sense-datum and the external object it represents. On Moore’s direct realist version, however, it makes no sense to speak of a sense-datum as failing to correspond to the object. Since sense-data are identical to objects or their parts, there can be no sense-data without there being—or, rather their being—an object, and this implies both that illusion is impossible (which flies in the face of experience) and that all those experiences that we would normally call “illusory” really aren’t—the “illusory object” really exists if illusory sense-data exist.

By 1925, Moore conceded that he could find no way around these sorts of arguments (cf. Moore 1925), hence he fell back on a version of indirect realism.

d. From the Ontology of Cognition to Criteriology

With his failed attempt to sustain a direct realist version of sense-data theory, Moore had come to the end of his rope in trying to work out an adequate, realist ontology of cognition. This did not lead to his abandoning either epistemological or metaphysical realism in general, however. To do so would have been a genuine possibility, since to abandon direct realism is to admit that we have no direct evidence of the existence of the commonsense world. While “indirect” or “representational” versions of realism are possible, it is nonetheless natural to see representationalism as opening the door to the very sort of anti-realism (in forms like idealism, phenomenalism, and so on) that Moore had labored to overthrow.

Instead of sliding down the potentially slippery slope from representationalism to anti-realism, however, Moore dug in his heels, insisting that we are justified in accepting the commonsense view of the world despite the fact that we cannot adequately explain, ontologically, how the world is given to us. As Moore himself put it, “We are all, I think, in the strange position that we do know many things…and yet we do not know how we know them.” (Moore 1925; in 1959, 44).

This approach comes through clearly in Moore’s 1925 paper “A Defense of Common Sense.” Here, Moore acknowledges that direct realism, indirect realism, and phenomenalism are more or less equally matched contenders for the correct account of cognition. Since we cannot determine the correct account, we do not know how it is that we know. However, he argues, it would be wrong to see this as grounds for calling into question that we know or what we know. Indeed, there are many things that we know perfectly well, despite our inability to say how we know them. Among these “beliefs of common sense” are such propositions as “There exists at present a living human body, which is my body,” “Ever since it [this body] was born, it has been either in contact with or not far from the surface of the earth,” and “I have often perceived both body and other things which formed part of its environment, including other human bodies” (Moore 1925; in 1959, 33).

Moore claims that he knows these and many other propositions to be certainly and wholly true; and one of the other propositions that Moore claims to know with certainty is that others have also known the aforementioned propositions to be true of themselves, just as he knows them to be true of himself. By claiming that these propositions of common sense (hereafter CS propositions) are certainly true, Moore means to oppose the skeptic who would deny that we know anything with certainty. By claiming that CS propositions are wholly true, he means to oppose the Idealist, who would claim that no statement about some isolated object can be true simpliciter, since each object has its identity only as a part of the whole universe.

In support of his view, Moore claims that each CS proposition has an “ordinary meaning” which specifies exactly what it is one knows when one knows it. This “ordinary meaning” is perfectly clear to most everyone, except for some philosophers who

seem to think that [for example] the question “Do you believe that the earth has existed for many years past?” is not a plain question, such as should be met either by a plain “Yes” or “No,” or by a plain “I can’t make up my mind,” but is the sort of question which can be properly met by: “It all depends on what you mean by ‘the earth’ and ‘exists’ and ‘years’….” (Moore 1925; in 1959, 36)

But Moore thinks that to call things into question this way is perverse; and, far from being the task of philosophy, it actually undermines that task. For even the skeptic tacitly assents to the truth of CS propositions, at least in referring to himself as a philosopher, by making references to other philosophers with whom he may disagree, and so on:

For when I speak of ‘philosophers’ I mean, of course (as we all do), exclusively philosophers who have been human beings, with human bodies that have lived upon the earth, and who have at different times had many different experiences. (Moore 1925; in 1959, 40)

On the face of it, Moore’s general idea seems to be that the truth of CS propositions, and hence of the commonsense view of the world, is built into the terms of our ordinary language, so that if some philosopher wants to say that some CS proposition is false, he thereby disqualifies the very medium in which he expresses himself, and so speaks nonsensically. Either that or he is using terms in something other than their ordinary senses, in which case his claims have no bearing on the commonsense view of the world.

Since the bounds of intelligibility seem to be fixed by the ordinary meanings of CS propositions, the job of the philosopher begins by accepting them as starting points for philosophical reflection. Then, the philosopher questions not their truth, but what Moore calls their correct analysis. Giving an analysis resembles giving a definition, and in fact it is very difficult to say what distinguishes the two. For Moore, the difference is ontological: definition is performed upon words, analysis upon propositions and concepts. But both involve setting forth two terms that are supposed to mean the same, one of which is supposed to elucidate the other. In definition these are the definiendum (the term being defined) and the definiens (the term doing the defining); in analysis, they are the analysandum (the term being analyzed) and the analysans (the term doing the analyzing). Both may take the same verbal form, for example, “A brother is a male sibling” or “‘Brother’ means ‘male sibling’.” These sentences could express either an analysis or a definition, depending upon the intentions of the speaker. The difference cannot be determined just be looking. This was a matter of great confusion for Moore’s contemporaries. In any case, it is as analyses of CS propositions that views like direct realism, indirect realism, sense-data theory, phenomenalism, and the like have their place in philosophy. These views should not, according to Moore, disqualify or in any way challenge the commonsense view of the world, but only give us a deeper understanding of what it is to have a sensory experience, or to think a thought, etc.

Moore’s new approach to defending common sense is also apparent in what is arguably his most famous paper, “Proof of an External World” (Moore 1939). Here, after expending considerable effort to nail down the meaning of “external object” as “something whose existence does not depend on our experience,” Moore claims that he can prove some such objects exist

By holding up my two hands, and saying, as I make a certain gesture with the right hand, ‘Here is one hand’, and adding, as I make a certain gesture with the left, ‘and here is another’. (Moore 1939; in 1993, 166)

Moore’s complete line of thought seems to be this: “Here is one hand” is a CS proposition with an ordinary meaning. Using it in accordance with that meaning, presenting the hand for inspection is sufficient proof that the proposition is true—that there is indeed a hand there. Ditto for the other hand. But a hand, according to the ordinary meaning of “hand,” is a material object; and a material object, according to the ordinary meaning of “material object,” is an external object. Because there are two hands, and because hands are external objects, it follows that there is an external world, according to the ordinary meaning of “external world.”

Neither Moore’s defense of common sense nor his proof of an external world were universally convincing. Some misunderstood the latter as an attempt to disprove skepticism. Taken this way, it is clearly a miserable failure. However, as Moore himself later insisted, he never meant to disprove skepticism, but only to prove the existence of the external world:

I have sometimes distinguished between two different propositions, each of which has been made by some philosophers, namely (1) the proposition ‘There are no material things’ and (2) the proposition ‘Nobody knows for certain that there are any material things.’ And in my latest British Academy lecture called ‘Proof of an External World’ … I implied with regard to the first of these propositions that it could be proved to be false in such a way as this; namely, by holding up one of your hands and saying ‘This hand is a material thing; therefore there is at least one material thing’. But with regard to the second of the two propositions …. I do not think I have ever implied that it could be proved to be false in any such simple way … (Moore 1942b, 668)

Even without this misunderstanding, however, Moore’s new approach to promoting common sense is open to the charge of begging the question by simply assuming that CS propositions are true according to their ordinary meanings. Wittgenstein put the point bluntly: “Moore’s mistake lies in this—countering the assertion that one cannot know that, by saying ‘I do know it’” (Wittgenstein 1969, § 521). By stonewalling the skeptic in this way, Moore was in effect refusing to recognize that, lacking a plausible, direct realist account of cognition, there are legitimate grounds for questioning the truth of CS propositions. If it is possible that direct realism is false, then it is possible that none of our experiences connect us with the commonsense world. Thus, we have no indubitable evidence for there being such a world, and, supposing there are such things as CS propositions and their ordinary meanings, it is possible that they fail to represent reality accurately. Thus, both Moore’s defense and his proof are ill-founded, and can be maintained only by begging the question. Or so the objection goes.

Some have attempted to defend Moore, or at least Moorean style rejoinders to skepticism, by taking seriously Moore’s claim that he was not trying to disprove skepticism, and his admission that this would be a very hard thing to do. If we put aside the issue of proof, we can interpret Moore’s new approach as first, making a clean division between the ontology of cognition and what has come to be recognized as the other main aspect of epistemology—criteriology; and, second, attempting to deal with skepticism solely in terms of the latter. Whereas the ontology of cognition deals with the problem of how we know, criteriology deals with the problem of what we know, in the sense of what we are justified in believing. On this view, then, the issue is not whether commonsense realism is certainly true and skepticism certainly false; rather, the issue is what we ought to believe or regard as true given that we can neither prove nor disprove either position. On this interpretation, central to the Moorean approach is what has come to be called “the G. E. Moore shift” (a term coined by William Rowe). Consider a standard sort of skeptical argument:

  1. If I cannot tell the difference between waking and dreaming, then I cannot be sure that I have a body.
  2. I cannot tell the difference between waking and dreaming.
  3. Therefore, I cannot be sure that I have a body

Employing the G. E. Moore shift, we rearrange the propositions of the skeptic’s argument, thus:

  1. If I cannot tell the difference between waking and dreaming, then I cannot be sure that I have a body.
  2. I am sure that I have a body.
  3. Therefore, I can tell the difference between waking and dreaming.

The strategy can be generalized as follows, where CS is any proposition of common sense (such as “I am sure that I have a body”), and S is any skeptical proposition (such as “I cannot tell the difference between waking and dreaming”):

The Skeptic’s Argument

  1. If S then not-CS
  2. S
  3. not-CS

Moore’s Response (using “the shift”)

  1. If S then not-CS
  2. CS
  3. not-S

Both arguments are valid, but only one can be sound. Since both accept the conditional (1), the question of soundness comes down to the question of whether S or CS is true. And here Moore and the skeptic would be at an impasse, except that (according to Moore) we have more reason to believe any proposition of common sense than any skeptical proposition. That is because every skeptical proposition worth its salt is going to rest on some speculative account of the ontology of cognition that puts a mental surrogate (such as a proposition or a sense-datum) in place of what we would normally say was the object of our experience. But, given the highly uncertain nature of theories in the ontology of cognition, we are wise to treat them and claims based on them (as all legitimate skeptical claims are) with suspicion, and to refuse to let them bear too much weight in our decisions about what to believe. Thus, we should always end up on the side of commonsense.

In fact, this seems to be Moore’s procedure in a late paper called “Four Forms of Scepticism.” Taking as his S the claim made by Bertrand Russell that “I do not know for certain that this is a pencil,” Moore claims that it rests upon several assumptions, one of which is the denial of direct realism. And even though he admits to agreeing with Russell that direct realism is likely false, Moore nonetheless advocates rejecting S:

of no one of these [presuppositions of S] …do I feel as certain as that I do know for certain that this is a pencil. Nay, more: I do not think it is rational to be as certain of any one of these…propositions, as of the proposition that I do know that this is a pencil. (Moore 1959, 226)

It is clear that Moore is using the “shift” strategy. What is not clear is just what the source of justification for CS is supposed to be. In this case, at least, the shift seems to involve an appeal to a criterion of justification—and of rationality—that is not affected by the fact that we lack an adequate account of cognition. But Moore never tells us exactly what this criterion is. Since Moore, it has been the norm to attempt to do criteriology apart from the ontology of cognition, and the question about the criterion (or criteria) for justification remains a central matter of debate.

3. Ethics

Moore’s ethical views are presented in two books and two papers: Principia Ethica, Ethics, “The Conception of Intrinsic Value,” and “Is Goodness a Quality?” (respectively: Moore 1903a, 1912, 1922b, and 1932). Despite being vastly outnumbered by his writings on epistemology and metaphysics, his work in ethics was just as influential. The discrepancy in volume is due mainly to the fact that the details of Moore’s ethical views were far more stable, undergoing far less revision and development, than those of his metaphysical and epistemological views.

a. Goodness and Intrinsic Value

Moore’s most important ethical work is Principia Ethica. It had a profound impact in both philosophy and culture almost immediately upon its publication. In it, Moore lays out a version of ethical realism consistent with his early propositional realism and its attendant doctrines. In accordance with his “identity theory” of truth, ethical propositions, just like non-ethical propositions, are objectively true or false in themselves. Combined with his view that ordinary objects are identical to true existential propositions, this implies that ordinary objects which possess value do so intrinsically: they are true existential propositions that involve the concept “good.” Thus, an object’s status as good or bad (or, in the aesthetic realm, beautiful or ugly) depends on nothing outside of itself—neither its causes and effects nor its relationship to human beings, their preferences, or their judgments. It depends solely on the involvement of “good” as a concept, or, in the idiom of existence, a property.

Ethical propositions, then, differ from non-ethical ones only in virtue of the kinds of concepts they involve. Specifically, ethical propositions involve a range of unique concepts that we call “ethical” or “moral,” such as “good,” “right,” “duty,” etc. The most fundamental of these is “good”; the others count as moral concepts/properties only because they bear logical relationships (in the broad sense of “relations of meaning”) to “good.” This point will be discussed further below. For now, we will focus on Moore’s views concerning the nature of “good” itself.

The central thesis of Principia Ethica is that “good” is a simple, non-natural concept (or property). As we shall see (in Section 3b), it is not completely clear what Moore means by “non-natural.” What he means by “simple” however, is clear enough; so we shall start with that. For something to be ontologically simple (which is the sense in question here) is for it to possess no parts, to admit of no divisions or distinctions in its own constitution. A simple is not made up out of anything, and thus cannot be broken down into anything. Simples are therefore unanalyzable. In the case of “good,” it is a concept not made up of other concepts. Consequently it cannot be analyzed—broken down into constituents—in the way that “bachelor” can (see Section 2b). Moore illustrates the situation by comparing “good” to color concepts like “yellow.” Color concepts cannot be known by analytic description, but only by acquaintance, that is, direct cognition. Attempts at description or definition (that is, analysis) such as “yellow is a color brighter than blue,” fail to capture the essence of yellow. Likewise, purported analyses of “good,” in terms concepts like “pleasure” or “desire” or “evolutionary progress,” fail to capture what is meant by “good.”

b. The Open Question Argument and the Naturalistic Fallacy

Moore demonstrates the unanalyzability of “good” by what has come to be known as “the open question argument”: for any definition of “good”—“good(ness) is X”—it makes sense to ask whether goodness really is X, and whether X really is good. For instance, if we say “goodness is pleasure,” it makes sense to ask, “is goodness really pleasure?” and “is pleasure truly good?” Moore’s point is that every attempt at definition leaves it an open question as to what good really is. But this could be the case only if the definition failed to capture all of what is meant by “good.” Consider the case discussed above: “a bachelor is an unmarried man.” Here it makes no sense to respond “yes, but is a bachelor really an unmarried man?” or “but is every unmarried man really a bachelor?” The reason it doesn’t is that the full meaning of “bachelor” is captured by “unmarried man.” On the other hand, the reason it makes sense to ask these kinds of questions about purported definitions of “good” is that they fail to capture its full meaning. Since this is true of every purported definition of “good,” “good” cannot be defined; it can only be recognized in particular cases through acts of intuitive apprehension.

On this account, any ethical theory that attempts to define the good—and nearly all of them do—errs. Moore famously dubbed this particular error “the naturalistic fallacy.” In general, the fallacy “consists in identifying the simple notion which we mean by ‘good’ with some other notion” (Moore 1903a, 58); or, negatively, the “failure to distinguish clearly that unique and indefinable quality which we mean by good” (Moore 1903a, 59). To this extent, it is clear what Moore means by “the naturalistic fallacy.” However, his choice of “naturalistic” to describe this error is quite puzzling, as is his description of “good” as a non-natural property. In the modern era, “nature” has frequently been used as a synonym for the material world, the world studied by the natural sciences. Accordingly, “naturalistic” has usually been reserved for philosophical views amenable to the natural sciences, views like scientism, empiricism, materialism, and so on. In the Principia, Moore’s direct statements about the meanings of “natural,” “naturalistic,” etc., are in keeping with this norm. At one point, he describes “nature” (and hence the natural) as “that which is the subject-matter of the natural sciences and also of psychology” (Moore 1903a, Ch. 2 § 26). He also offers two alternative characterizations of the natural. The first is in terms of temporality, the second in terms of the capacity for independent existence in time (this latter applies specifically to properties). Even here he does not depart from the norm, for the objects of scientific inquiry are usually taken to be temporal individuals such as events or material individuals at varying levels of granularity (atoms, molecules, cells, “ordinary middle-sized objects,” planets, etc.).

On the one hand, then, Moore’s use of “natural” seems to be unremarkable. What is peculiar, on the other hand, is his use of “naturalistic” to describe the fallacy of equating “good” with any other concept. Moore’s “naturalistic fallacy” is not a matter of mistaking the temporal for the atemporal. Neither is it a matter of mistaking the empirical and the scientific for the non-empirical and non-scientific. This description might apply to hedonistic views that equate good with pleasure, since pleasure can be treated as an object of empirical study either for psychology or physiology. However, Moore means to charge even metaphysical theories of ethics—such as those of Aristotle, Aquinas and Kant—with commiting the naturalistic fallacy (cf. Moore 1903a, Ch. 4), and none of these equates goodness with something empirical or scientific in the modern sense. In fact, the naturalistic fallacy is really just a matter of mistaking the non-synonymous for the synonymous (thus William Frankena suggested in an important 1939 paper that it should be called “the definist fallacy”), and this has nothing to do with the distinction between the natural and the non-natural per se, as that distinction is normally understood.

All this points to the fact that either Moore has a much broader understanding of “natural” than he admits to in the Principia, or “naturalistic fallacy” is not an apt name for the phenomenon at issue. In the Principia, Moore seems prepared to accept the latter possibility when he claims “I do not care about the name: what I do care about is the fallacy. It does not matter what we call it, provided we recognise it when we meet with it” (Moore 1903a, Ch. 1, § 12). However the natural/non-natural terminology must have meant more to him than he let on, for he retained it throughout his career, even parting ways with ordinary usage to do so. This occurs in a 1922 paper on “The Conception of Intrinsic Value.” Here, Moore holds that value concepts alone are to be counted as non-natural, so that “non-natural” is practically equivalent to “moral” and “natural” to “non-moral.” Thus, in the end, it seems that Moore did have a much broader understanding of “natural”—and a correspondingly narrower conception of “non-natural”—than is articulated in the Principia.

c. Ideal Utilitarianism

Although it is the focus of his later book Ethics, only a single chapter of the Principia is given to what Moore called “practical ethics.” This is the area of ethics that has to do with behavior, and hence deals in concepts like “right,” “permissible,” “obligatory,” and the like. In both places, Moore promotes a view that has come to be called “ideal utilitarianism.”

Moore’s account of intrinsic value is limited to objects; it does not include actions. Actions, for Moore, possess value only instrumentally, insofar as they are productive of good consequences. Thus “right,” “duty,” and “virtue” are different ways of labeling actions (or dispositions to act) that are useful as means to good ends. They differ in meaning only insofar as the secondary details of the causal situation differ: “duty” marks a action as productive of more good than any possible alternative, “right” or “permissible” marks an action as productive of no less good than any possible alternative (Moore 1903a, Ch. 5, § 89), while virtues are dispositions to perform particularly unattractive duties:

as duties from expedient actions, so virtues are distinguished from other useful dispositions, not by any superior utility, but by the fact that they are dispositions, which it is particularly useful to praise and to sanction, because there are strong and common temptations to neglect the actions to which they lead. (Moore 1903a, Ch. 5, § 103)

Moore’s view is that there is no important difference in meaning between concepts like “duty” “right” and “virtue” on the one hand, and “expedient” or “useful” on the other. In this he agrees with the classic utilitarians Jeremy Bentham and John Stuart Mill. However, whereas classic utilitarianism is hedonistic (that is, it defines good in terms of pleasure), Moore defends the sui generis status of “good” (see Section 3a). Moore’s utilitarianism is not, therefore, hedonistic. Instead, it is said to be ideal. To understand what this means, we must note two features of Moore’s view.

First, Moore’s utilitarianism is pluralistic. Since, on Moore’s account, “good” is a property/concept whose meaning is completely independent of any others, it can be instanced in any number of wholes—objects or states of affairs—of a variety of types. This means that many different kinds of objects can have intrinsic value—not just states of pleasure, as the classic utilitarians have it.

Second, “good” for Moore is a degreed property—one object or state of affairs can have more or less value than another. This is implicit in the way Moore distinguished between “duty” and “right.” “Duty” concerns producing the most good possible, while “right” concerns producing no less good than other options. Both definitions assume that possible outcomes (states of affairs) can be ranked in respect of their degrees of value. This is made explicit in Chapter 6 of the Principia, where Moore articulates his conception of an ideal state of affairs. In general, Moore says, an ideal state is one that is “good in itself in a high degree” (Moore 1903a, Ch. 6, § 110). Ideal utilitarianism, therefore, will be a brand of utilitarianism in which actions are to be ordered not to the greatest happiness or pleasure, but to those states of affairs possessing the highest degree of good.

Indeed, as Moore has set things up, duty will always be directed toward some ideal state (toward the state with the highest degree of good). Thus, to know which states are ideal, and, more specifically, which are most valuable and hence the most ideal, is crucial for practical ethics. According to Moore, the most valuable states we know of are the pleasures of personal relationships and aesthetic enjoyment. Thus, he concludes, “the ultimate and fundamental truth of Moral Philosophy” is that

it is only for the sake of these things [that is, the two ideal states of aesthetic and interpersonal enjoyment]—in order that as much of them as possible may at some time exist—that any one can be justified in performing any public or private duty; that they are the raison d’être of virtue; that it is they—these complex wholes themselves, and not any constituent or characteristic of them—that form the rational ultimate end of human action and the sole criterion of social progress. (Moore 1903a, Ch. 6, § 113)

d. The Influence of Moore’s Ethical Theory

Moore’s ethical theory had a tremendous influence both within and beyond the academy. Within the academy, non-cognitive theories of ethics dominated until nearly 1960. This was the logical consequence of adapting Moore’s ethical theory to a naturalistic worldview. Both his own and subsequent generations of philosophers took to heart Moore’s treatment of moral value as non-natural and his corresponding refusal to allow any characterization of good in natural terms. In doing so, however, they either failed to recognize or simply ignored the fact that Moore’s use of “natural” etc. was somewhat idiosyncratic. Taking these terms in their standard sense, Moore’s claims about “good” indicated that it was not merely indefinable, but unknowable by any scientific or “natural” means. Together with a scientistic outlook that restricted either the knowable or the existent to the scientifically verifiable, this yielded the view that “good” was unknowable.

It was essentially this view—albeit given a linguistic twist—that provided the theme upon which the most prominent ethical theories of the early- to mid-1900s counted as so many variations. This began with the logical positivist treatment of ethics. According to the logical positivists’ “verifiability principle of meaning,” the meaning of a proposition is its manner of empirical verification. If a proposition cannot be verified empirically, it is thereby revealed as meaningless. Given the Moorean characterization of “good” as non-natural and the usual sense of “non-natural” as connoting, among other things, “non-empirical,” the verification principle made ethical propositions meaningless. Still, ethical discourse obviously plays an important role in human life. According to the logical positivists, this was to be explained by treating ethical propositions not as statements of fact, but as expressions of emotion. For example, “honesty is good” is to be taken as equivalent to “hooray for honesty!” This view, commonly called “emotivism,” was popularized by A. J. Ayer in his book Language, Truth and Logic (Ayer 1936), and later modified by C. L. Stevenson (1944, 1963).

To an extent, emotivism had been anticipated in Moore’s treatment of practical ethics, in his view that

the true distinction between duties and expedient actions is not that the former are actions which it is in any sense more useful or obligatory or better to perform, but that they are actions which it is more useful to praise and to enforce by sanctions, since they are actions which there is a temptation to omit. (Moore 1903a, Ch. 5, § 101)

In other words, the language of practical ethics adds to non-ethical language only the connotation of approval or disapproval and their consequent “hortatory force” (cf. Daly 1996, 45-47). In emotivisim this claim was extended to all ethical discourse.

The larger part of the mid-century debate over the status of ethical claims was taken up with creative rejections of emotivism which were nonetheless in keeping with the basic Moorean disjunction between the moral and the natural(/empirical/scientific). Such alternatives came from Stuart Hamphire (1949), J. O. Urmson (1950), Stephen Toulmin (1950), and R. M. Hare (1952). British and American philosophers began to part ways with the Moorean disjunction only in the late 1950s and early 1960s, due largely to the work of Elizabeth Anscombe (Anscombe 1958) and Phillipa Foot (1958, 1959, 1961).

Beyond the academy, Moore’s emphasis on the value of personal relationships and aesthetic experiences endeared him to members of the Bloomsbury group, who embraced Moore as their patron saint. Bloomsbury was a group of avant-garde writers, artists, and intellectuals that proved to be immensely influential in culture beyond the academy. The group included (among others) Clive Bell, Roger Fry, Desmond McCarthy, John Maynard Keynes, and Leonard and Virginia Woolf. Many of the Bloomsbury men were also members of the Cambridge Apostles, and had first met each other and Moore in that context. Moore had been elected to this secret student society in 1894. As members of Bloomsbury, they embraced Moore’s idealization of friendship and aesthetic enjoyment as the highest human goods, and, through their own example and through their work, conveyed at least some of Moore’s views and values beyond the halls of academia and into the broader culture.

However, they also used Moore’s intuition-based moral epistemology as a justification for flouting the mores of their culture, especially in the area of sexual ethics. In fact, on account of Bloomsbury’s reputation for moral laxity, Moore’s views were often unfairly criticized as encouraging libertine behavior. This is clearly a case of guilt by association, as Moore himself never claimed that “free love” was a good. The closest he comes to the topic is in discussing social conventions about chastity as an example of rules that might, under certain circumstances, be suspended (Moore 1903a, ch. 5, §§ 95-96). However, far from endorsing that they actually be suspended, he argues that it is obligatory to obey the conventions of one’s society, since this will usually generate a state of greater good (in the form of social harmony) than violating them.

The situation with Bloomsbury illustrates the greatest weakness of Moore’s ethical system. It is not a theoretical weakness, but a practical one. From a theoretical perspective, intuitionism is invulnerable, and it is invulnerable because intuition is unverifiable—if someone claims to have an intuition that such and such is the case, there’s nothing anyone can do to prove or disprove it. However, because it is unverifiable, intuition can be used to justify anything. This is the practical problem with intuitionist ethics. Of course, the problem is not unique to Moore’s version of intuitionism, but attaches to intuitionism in specie.

4. Philosophical Methodology

Moore is usually regarded as an important methodological innovator. In fact his method of philosophical analysis is supposed to have been a formative inspiration for the analytic movement in philosophy. However, it is a bit misleading to speak of “Moore’s philosophical method.” Moore was what we might call an occasional philosopher. By his own admission, he possessed no innate drive to develop a systematic philosophy; rather, he was agitated into philosophizing only by the bizarre challenges some philosophers’ claims posed to his commonsense beliefs:

I do not think that the world or the sciences would ever have suggested to me any philosophical problems. What has suggested philosophical problems to me is things which other philosophers have said about the world or the sciences. (Moore 1942a, 14)

In the Library of Living Philosophers volume on Moore, V.J. McGill criticizes Moore’s piecemeal approach to philosophy. He rightly notes that Moore attempted to develop no grand system of philosophy, but worked instead in a few specific areas, for example, ethics, perception, and philosophical method. McGill blames Moore’s approach to philosophy on his commitment to a method which was simply not suited to deal with other sorts of philosophical issues. In his reply to McGill, however, Moore rejects this idea:

it is, of course true that there are ever so many interesting philosophical problems on which I have never said a word … Mr. McGill suggests that the reason why I have not dealt with some of these other questions may have been that I was wedded to certain particular methods, and that these methods were not suitable for dealing with them. But I think I can assure him that this was not the case. I started discussing certain kinds of questions, because they happened to be what interested me most; and I only adopted certain particular methods (so far as I had adopted them) because they seemed to me suitable for those kinds of questions. I had no preference for any method…. (Moore 1942b, 676)

In a sense, then, Moore did not have a method. But, of course, he did have a way of going about his philosophizing, and one might call this “Moore’s method.” In this case, the “method” would consist, first, in tackling isolated philosophical problems rather than trying to build a philosophical system. Second, in tackling one of these isolated problems, it would involve the attempt to get very clear on what was meant by the propositions and concepts essential to stating the problem—in other words, the propositions and concepts would have to be analyzed. Likewise with the propositions and concepts involved in the answer (or possible answers).

In point of historical fact, Moore’s use of analysis to solve isolated philosophical problems—and so his “method”—proved to have a greater impact on philosophy than any of his developed theories in metaphysics, epistemology, or ethics. Though his early views about truth and propositions provided a necessary metaphysical and epistemological departure from British Idealism, these merely facilitated the rise of analytic philosophy. The substance of the movement came from Moore’s use of analysis as a method. Indeed, though use of the word “analysis” in philosophy antedates Moore, it was Moore who first used it in the sense that ultimately gave the movement its name.

Unfortunately, much of Moore’s influence in this regard was based on a mistake. It was mentioned above that the empirical equivalence of definition and analysis was a source of confusion for Moore’s contemporaries. Despite Moore’s best efforts to explain otherwise, many took him to have invented and endorsed linguistic analysis. Norman Malcolm represents this common misconception when he says, “The essence of Moore’s technique of refuting philosophical statements consists in pointing out that these statements go against ordinary language” (Malcolm 1942, 349). Malcolm goes on to tie Moore’s entire philosophical legacy to his “linguistic method:”

Moore’s great historical role consists in the fact that he has been perhaps the first philosopher to sense that any philosophical statement that violates ordinary language is false, and consistently to defend ordinary language against its philosophical violators” (Malcolm 1942, 368)

But Moore explicitly rejected the idea that his analyses had been in any important sense “linguistic.” “In my usage,” he insisted, “the analysanda must be a concept, or idea, or proposition, and not a verbal expression” (Moore 1942b, 663 f.):

I never intended to use the word [“analysis”] in such a way that the analysandum would be a verbal expression. When I have talked of analyzing anything, what I have talked of analyzing has always been an idea or concept or proposition, and not a verbal expression; that is to say, if I talked of analyzing a “proposition,” I was always using “proposition” in such a sense that no verbal expression (no sentence, for instance), can be a “proposition,” in that sense. (Moore 1942b, 661)

Our survey of Moore’s metaphysics in Section 2b makes it clear enough that a Moorean proposition is anything but a linguistic entity. How, then, did this misunderstanding arise? Even a brief survey of Moore’s work will reveal that he often used terms such as “meaning,” “definition,” and “predicate” to describe what he was dealing with or looking for in his philosophical activities, and it is easy to see how these suggest that he was engaged in some linguistic enterprise. In a particularly glaring example from Principia Ethica, Moore identifies the object of his of study in clearly grammatical terms: “My discussion hitherto has fallen under two main heads. Under the first, I tried to shew what “good”—the adjective “good”—means” (Moore 1903a, Ch. 5, § 86). In this case, it seems that Moore himself conflated a linguistic entity—the adjective “good”—with a conceptual one.

With characteristic humility, Moore was quick to count himself as partially responsible for the linguistic interpretation of his method. “I have often,” he admitted, “in giving analyses, used this word ‘means’ and thus given a false impression; …” (Moore 1942b, 664 f.). Though the linguistic interpretation of Moore persisted until well after his death, recent scholarship has continued to hammer the point home that this is a mistake, and the message seems to have finally been heard.

Even apart from the linguistic error, however, the general contours of Moore’s genuine “method” seem to have had a lasting impact of their own. In his recent work on the history of analytic philosophy, Scott Soames counts as two of the movement’s three characteristic features “an implicit commitment…to the ideals of clarity, rigor, and argumentation” (Soames 2003, xiii) and “a widespread presumption…that it is often possible to make philosophical progress by intensively investigating a small, circumscribed range of philosophical issues while holding broader, systematic issues in abeyance” (Soames 2003, xv), and among its two most important achievements he includes “the recognition that philosophical speculation must be grounded in pre-philosophical thought” (Soames 2003, xi). Each of these can be traced directly back to Moore and his “method.”

5. Moore’s Influence and Character

It cannot be doubted that Moore was one of the most influential philosophers of the early twentieth century. It is peculiar, though, that his influence seems to have had little to do with his actual views. Though his early views about truth and propositions influenced Bertrand Russell for a time, they have long since ceased to play a role in mainstream philosophical discussions. The same can be said of his views in ethics and, except in the very general respects mentioned by Soames, philosophical methodology. Moreover, even when the influence of Moore’s ethical and methodological views was at its highest, there remains the fact that much of the detailed content of his views was ignored by those who claimed to be influenced by them. For both the “ordinary language” branch of analytic philosophy and the Bloomsbury group, Moore’s views were influential mainly in the sense that they provided forms into which they could pour their own content. And yet Moore himself was revered by all.

This puzzle about Moore’s influence has been addressed by Paul Levy (Levy 1979), who argues that Moore’s influence was due more to his character than to his views. And, in fact, the uniqueness of Moore’s character is frequently mentioned by those who knew him and have written about him. G. J. Warnock, for instance, would seem to agree with Levy when he says:

…special notice should be paid to the character of Moore…it was not solely by reason of his intellectual gifts that Moore differed so greatly from his immediate predecessors, or influenced so powerfully his own contemporaries. He was not, and never had the least idea that he was, a much cleverer man than McTaggart … or Bradley. It was in point of character that he was different, and importantly so. (Warnock 1958, 12)

Foremost among his virtues were his unwavering honesty and his devotion to clarity and truth. Moore was never afraid to appear silly or naïve in his search for truth, and so he always said exactly what he thought in the best way he knew how. He was never afraid to admit an error. He gave no appearance of trying to promote either himself or his own agenda or system. This was remarkably refreshing in a context dominated by a philosophical system that had achieved the status of orthodoxy. He held both himself and others to exacting intellectual standards while at the same time exhibiting a spirit of great generosity and kindness in his personal relationships. Gilbert Ryle, the most prominent Cambridge philosopher in the generation after Moore, describes Moore’s significance this way:

He gave us courage not by making concessions, but by making no concessions to our youth or our shyness. He treated us as corrigible and therefore as responsible thinkers. He would explode at our mistakes and muddles with just that genial ferocity with which he would explode at the mistakes and muddles of philosophical high-ups, and with just the genial ferocity with which he would explode at mistakes and muddles of his own. (Ryle 1971, 270)

Similar reports come from Moore’s associates outside of academic philosophy. For instance, Leonard Woolf (a member of Bloomsbury and the Apostles) recalls:

There was in him an element which can, I think, be accurately called greatness, a combination of mind and character and behaviour, of thought and feeling, which made him qualitatively different from anyone else I have ever known. I recognize it in only one or two of the many famous dead men whom Ecclesiaasticus and others enjoin us to praise for one reason or another. (Woolf 1960, 131)

There is no doubt that Moore’s character captured a certain philosophical ideal established by Socrates long ago. Whatever we make of Moore’s views, we can be grateful for his character and whatever influence it had and continues to have.

6. References and Further Readings

The most complete bibliography of Moore’s writings is found in the 1971 edition of The Philosophy of G. E. Moore (listed, as “Schilpp, ed. 1942” in section b, below).

a. Primary Sources

  • Moore, G. E. 1899: “The Nature of Judgment,” Mind 8, 176-93. Reprinted in Moore 1993, 1-19.
  • Moore, G. E. 1901-2: “Truth” in J. Baldwin (ed.) Dictionary of Philosophy and Psychology, London: Macmillan. Reprinted in Moore 1993, 20-2.
  • Moore, G. E. 1903a: Principia Ethica, Cambridge: Cambridge University Press. Moore, G. E. 1903b: “The Refutation of Idealism” Mind 12, 433-53. Reprinted in Moore 1993, 23-44.
  • Moore, G. E. 1912: Ethics, London: Williams & Norgate.
  • Moore, G. E. 1922a: Philosophical Studies, K. Paul, London: Trench, Trubner & Co.
  • Moore, G. E. 1922b: “The Conception of Intrinsic Value” in Moore 1922a.
  • Moore, G. E. 1925: “A Defense of Common Sense” in J. H. Muirhead ed., Contemporary British Philosophy, London: Allen and Unwin, 193-223. Reprinted in Moore 1959, 126-148, and Moore 1993, 106-33.
  • Moore, G. E. 1939: “Proof of an External World,” Proceedings of the British Academy 25, 273-300. Reprinted in Moore 1993, 147-70.
  • Moore, G. E. 1942a: “An Autobiography,” in Schilpp ed., 1942, 3-39.
  • Moore, G. E. 1942b: “A Reply to My Critics,” in Schilpp ed., 1942, 535-677.
  • Moore, G. E. 1953: Some Main Problems of Philosophy, New York: Macmillan.
  • Moore, G. E. 1959: Philosophical Papers, London: George Allen and Unwin.
  • Moore, G. E. 1993: G. E. Moore: Selected Writings, ed. Thomas Baldwin, London: Routledge.

b. Secondary Sources

  • Ambrose and Lazerowitz (eds.). 1970: G. E. Moore: Essays in Retrospect, London: Allen and Unwin.
  • Anscombe, Elizabeth. 1958: “Modern Moral Philosophy,” Philosophy: The Journal of the Royal Institute of Philosophy, vol. 33, no. 124, 1-19
  • Ayer, A. J. 1936, Language, Truth, and Logic, London: Gollancz.
  • Ayer, A. J. 1971: Russell and Moore: The Analytical Heritage, Cambridge: Harvard University Press.
  • Baldwin, T. 1990: G. E. Moore, London: Routledge.
  • Baldwin, T. 1991: “The Identity Theory of Truth,” Mind, New Series, Vol. 100, No. 1, 35-52.
  • Bell, David. 1999: “The Revolution of Moore and Russell: A Very British Coup?” in Anthony O’Hear (ed.), German Philosophy Since Kant, Cambridge and New York: Cambridge University Press.
  • Daly, Cahal B. 1996: Moral Philosophy in Britain: From Bradley to Wittgenstein, Dublin: Four Courts Press.
  • Foot, Phillipa. 1958: “Moral Arguments,” Mind, Vol. 67, 502-513.
  • Foot, Phillipa. 1959: “Moral Beliefs,” Proceedings of the Aristotelian Society, Vol. 59, 83-104.
  • Foot, Phillipa. “Goodness and Choice,” Proceedings of the Aristotelian Society, Supplemental Vol. 35, 45-61.
  • Frankena, William. 1939: “The Naturalistic Fallacy,” Mind, Vol. 48, 464-477.
  • Hampshire, Stuart. 1949: “Fallacies in Moral Philosophy,” Mind, Vol. 58, 466-482.
  • Hare, R. M. 1952: The Language of Morals, Oxford: Clarendon Press.
  • Hutchinson, Brian. 2001: G. E. Moore’s Ethical Theory, Cambridge: Cambridge University Press.
  • Keynes, J. M. 1949: “My Early Beliefs” in Two Memoirs, London: Hart-Davis.
  • Levy, P. 1979: Moore: G. E. Moore and the Cambridge Apostles, Oxford and New York: Oxford University Press.
  • Lewy, Casmir. 1964: “G. E. Moore on the Naturalistic Fallacy,” Proceedings of the British Academy, vol. 50, 251-262.
  • Malcolm, N. 1942: “Moore and Ordinary Language,” in Schilpp (ed.) 1942, 343-368.
  • Olthuis, James H. 1968: Facts, Values and Ethics: a Confrontation with Twentieth-Century British Moral Philosophy, in Particular G. E. Moore, New York: Humanities Press.
  • Schilpp, P. A., ed. 1942: The Philosophy of G. E. Moore, Evanston: Northwestern University Press.
  • Soames, Scott. 2003 . Philosophical Analysis in the Twentieth Century, vol. 1, Princeton and Oxford: Princeton University Press.
  • Stroll, A. 1994: Moore and Wittgenstein, Oxford and New York: Oxford University Press.
  • Stroll, A. 2000. Twentieth-Century Analytic Philosophy. New York: Columbia University Press.
  • Sylvester, R. P. 1990: The Moral Philosophy of G. E. Moore, Philadelphia: Temple University Press.
  • Regan, T. 1986: Bloomsbury’s Prophet, Philadelphia: Temple University Press.
  • Russell, B. 1906: “On the Nature of Truth,” Proceedings of the Aristotelian Society.
  • Russell, B. 1910: Philosophical Essays, London, New York, and Bombay: Longmans Green.
  • Ryle, G. 1971: “G. E. Moore,” in Collected Papers, vol. I, London: Hutchinson.
  • Stevenson, C. L. 1944: Ethics and Language, New Haven: Yale University Press.
  • Stevenson, C. L. 1963: Facts and Values, New Haven: Yale University Press.
  • Toulmin, Stephen. 1950: The Place of Reason in Ethics, Cambridge: Cambridge University Press.
  • Urmson, J.O. 1950: “On Grading,” Mind, Vol. 59, 145-169.
  • Warnock, G.J. 1958: English Philosophy Since 1900, London: Oxford University Press.
  • Willard, D. 1984: Logic and the Objectivity of Knowledge: A Study in Husserl’s Early Philosophy, Athens, Ohio: Ohio University Press.
  • Wittgenstein, L. 1969: On Certainty, Oxford: Blackwell.
  • Woolf, L. 1960: Sowing: An Autobiography of the Years 1880-1904, London: Hogarth Press.

Author Information

Aaron Preston
Email: Aaron.Preston@valpo.edu
Malone College
U. S. A.

Non-Cognitivism in Ethics

A non-cognitivist theory of ethics implies that ethical sentences are neither true nor false, that is, they lack truth-values. What this means will be investigated by giving a brief logical-linguistic analysis explaining the different illocutionary senses of normative sentences. The analysis will make sense of how normative sentences play their proper role even though they lack truth values, a fact which is hidden by the ambiguous use of those sentences in our language. The main body of the article explores various non-cognitivist logics of norms from the early attempts by Hare and Stevenson to the more recent ones by A. Gibbard and S. Blackburn. Jorgensen’s Dilemma and the Frege-Geach Problem are two important aspects of this logic of norms. Jorgensen’s Dilemma is the problem in the philosophy of law of inferring normative sentences from normative sentences, which is an apparent problem because inferences are typically understood as involving sentences with truth values. The Frege-Geach Problem is a problem in moral philosophy involving inferences in embedded contexts or in illocutionary mixed sentences. The article ends with a taxonomy of non-cognitivist theories. See also Ethical Expressivism.

Table of Contents

  1. Metaethical assumptions
    1. Different illocutionary acts
    2. Difference between language and metalanguage
    3. Ambiguity of normative sentences
    4. Definitions of ethical non-cognitivism
  2. The problem of a logic of norms
    1. Jorgensen’s dilemma: its importance for non-cognitivism
  3. From earlier non-cognitivism to the “new norm-expressivism”
    1. C. L. Stevenson and the role of persuasion
    2. R. M. Hare and the dictive indifference of logic
    3. The new “norm-expressivism”
  4. The Frege-Geach Problem
    1. Blackburn solutions to the Frege-Geach Problem
    2. Gibbard solution to the Frege-Geach Problem
  5. The significance of the Geach-Frege Problem and Jorgensen’s Dilemma for non-cognitivism
  6. A Taxonomy of Ethics
  7. References and Further Reading

1. Metaethical assumptions

In this section, we will introduce some preliminary linguistic notions that will allow us to give a better account of the cognitivism vs. non-cognitivism divide.

Canonically, forms of language are mainly divided in two species: cognitive sentences (cognitive use of language) and non-cognitive sentences (instrumental use of language). Cognitive sentences are fact-dependent or bear truth-values, while non-cognitive sentences are, on the contrary, fact independent and do not bear truth-values.

Cognitive sentences typically describe states of affairs, such as “The earth is square” or “Schwarzenegger won the last California election;” such sentences are verifiable and can be either true or false. On the other hand, sentences such as “You shall not steal,, “You ought to pay your taxes,” and “Don’t shut the door, please,” do not describe states of affairs nor can be understood as carrying falsehood or truth, but they rather have a different kind of illocutionary force.

a. Different illocutionary acts

Before introducing the notion of illocutionary force, we need to say more about language and its usage. The basic part of a language carrying meaning is called a sentence, such as “The actual king of France is bald” or “Close that door, please!” Thereby, a speaker’s actual empirical performance (here and now) of an actual linguistic expression is not mentioned. We are rather referring to a class including all the possible empirical performances made by a possible speaker in any language and in any occurrence of that determined expression. On the other hand, propositions are the meaning of sentences: they are true or false, they can be known, believed or doubted and, finally, they are kept constant in respect of their translation from a language to another (Lyons, 1995, p. 141).

The same proposition may be used in different occurrences for doing different things. In other words, the same proposition can be used for asserting, questioning, asking, demanding and so on. A sentence, therefore, can be understood as an illocutionary act. The general form of illocutionary acts, according to Searle, is:

F(p)

where “F” stands for any indicator of illocutionary force, and “p” takes expressions for propositions. In this way, we can symbolize different kinds of illocutionary acts such as assertions:

├ p      such as in “You are going to shut the door”

commands:

!p        such as in “Shut the door!”

or questions:

?p        such as in “Are you going to shut the door?”

According to Reichenbach (1947, p. 337), illocutionary acts are not true or false. They are indeed instruments constructed with the help of propositions, and therefore they belong to language; this is what distinguishes them from other instruments devised to reach a certain aim. We can distinguish two – not necessarily separated – elements within an illocutionary act, namely the propositional indicator (p) and the indicator of illocutionary force (F). What is called propositional content (or proposition, or radical-proposition) is symbolized with “p” and it is the invariant ingredient in an illocutionary act (in our example above is: “your going to shut the door” or the possible state of affair “you are going to shut the door”). Indeed, it describes the “descriptive content” of a sentence; or, in other words, it stands for a possible state of affair containing meaning and, consequently, having truth-values.

On the contrary, illocutionary acts show the way a proposition is used or what illocutionary force the sentence belongs to. Therefore, illocutionary force has no semantic meaning whatsoever and so it does not form part, for example, of the conceptual amount of a norm sentence. Importantly, illocutionary forces are not alethic modalities-like (such as “is necessary that”); they are not like intensional operators and therefore they cannot be used for creating propositions starting from propositions. For this reason Frege’s Rule states signs of illocutionary force cannot (a) being iterated and (b) fall under the range of propositional connectives.

Finally, the illocutionary dimension has a perlocutionary element attached. According to Levinson (1983, p. 237), a perlocutionary act is specific to the circumstances of issuance and is therefore not conventionally achieved just by uttering that particular utterance, and includes all those effects, intended or unintended, often indeterminate, that some particular utterance in a particular situation may cause. The main difference between a perlocutionary act and an illocutionary act stands on the fact that the former has a conventional nature, as it can be represented in explicit form using the performative formula; this conventional nature does not apply to perlocutionary act. In the following, we will see the importance of perlocutionary acts within the emotive theories of ethics, which represent a kind of non-cognitivist theory.

b. Difference between language and metalanguage

Another fundamental notion to understand is considering the difference between cognitivism and non-cognitivism concerns a linguistic difference between language and meta-language. This distinction makes clear another problematic feature intrinsic to the ordinary use of natural languages such as the ambiguity of normative sentences and prescriptions. Often non-cognitivist positions are confused with relativistic positions because of the shift from the object language into the meta-language. When we say, “Hitler was a bad leader,” we are uttering a normative sentence. When we say, “Winston said Hitler was a bad leader” we are not uttering a normative although relativistic sentence. Rather we are moving from the object-language (that is the sentence “Hitler was a bad leader”) to a meta-linguistic one (that is “Winston said Hitler was a bad leader”) which is typically a descriptive sentence (taken as a whole) talking about a normative sentence (that is: “Hitler was a bad leader”). There is no room for relativism here: the latter is not a moral sentence but simply a descriptive sentence (or, following Max Weber, a sociological sentence), which, according to B. Russell (1935, p. 214-215), belongs to psychology or biography. An important feature of descriptive sentences holds that “The descriptive sentences of obligation and permission are relative in a sense in which the prescriptive sentences are not”; they always refer to the utterer/authority of that sentence (that in our case is Winston): “conceptually, the reference to the authority is necessary to identify the normative proposition [that is “Hitler was a bad leader”] expressed by a normative sentence used in a descriptive way” (Alchourrón, 1993)

c. Ambiguity of normative sentences

Notice that normative sentences are ambiguous; they can be uttered both in descriptive and in normative ways at the level of common language. In other words, the same normative sentence can be used either to perform prescriptions as well as to describe that a particular norm exists. Jeremy Bentham (1970, p. 104; Bentham, 1789, chap. XVII, § XXIX n.1; see Alchourron and Bulygin, 1989 and Bulygin, 1982) was intuitively aware of ambiguity in normative sentences. In fact, this semantical shift is due to a peculiar capacity of natural languages to mix up the language level with meta-language level to the extent in which we cannot appreciate any difference between them when using ordinary language. According to Bentham, on the contrary, such a linguistic difference should be clear; in fact he pointed out that “The property and very essence of law, it may be said, is to command; the language of the law then should be the language of command. For expressing commands there is in all languages a particular mood, which is styled the imperative” (Bentham, 1970, p. 105). Bentham also argues that “There is still enough that serves, and that as effectually as in the other case, to distinguish the imperative from the ordinary didactic, narrative, informative or assertive style: the language of the will from the language of the understanding” (ibid.). This distinction is very important in the practice of law and in the field of ethics because “What is been termed a declaratory law, so far as it stands distinguished from either a coercive or a discoercive law, is not properly speaking a law. It is not the expression of an act of will exercised at the time: it is a mere notification of the existence of a law, either of the coercive or the discoercive kind, as already subsisting; of the existence of some document expressive of some act of will, exercised, not at the time, but at some former period” (Bentham, 1789, p.).

More recently, von Wright made that intuition more precise, explaining, “Tokens of the same sentences are used, sometimes to enunciate a prescription (that is, to enjoin, permit, or prohibit a certain action), sometimes again to express a proposition to the effect that there is a prescription enjoining, or permitting or prohibiting a certain action. Such propositions are called norm-propositions [or descriptive sentences of norms]” (von Wright, 1963, p. viii). Norms “should be carefully distinguished from ‘normative propositions’, i.e. descriptive propositions stating that ‘p’ is obligatory (forbidden or permitted) according to some unspecified norm or set of norms. Normative propositions – which can be regarded as propositions about sets (systems) of norms – also contain normative terms like ‘obligatory’, ‘prohibited’, etc. but these have a purely descriptive meaning” (Alchourrón e Bulygin, 1981).

The most influential analysis on the nature of normative sentences (especially in the field of philosophy of law) was carried out by Hans Kelsen (especially in Kelsen, 1941).

d. Definitions of ethical non-cognitivism

Ethical non-cognitivism claims that prescriptions have a different nature than descriptive sentences; they have no truth-values, they are not describing anything, and they have a different illocutionary role. That is to say, they do not express factual claims or beliefs and therefore are neither true nor false (they are not truth-apt); they belong to a different illocutionary force, the prescriptive mood.

These theories, as opposed to cognitivist theories, are not holding that ethical sentences are objectively and consistently true or false, neither even presupposing new entities platonic-like (in the way naturalistic theories do), and therefore they do not need to explain the way in which we can epistemically access these theories (see Blackburn, 1984, p. 169 and Hale, 1993). In other words, non-cognitivism claims that the principal feature of normative sentences (their lacking of truth values) is a consequence of the illocutionary role of such sentences. In fact, these sentences are not bearing any cognitive meaning (such as assertions or descriptions), but they are just used to utter prescriptions.

Therefore, cognitivist theories reject three traditional theses: (1) Hume’s Law (that is the claims that a moral conclusion cannot be validly inferred from non-moral premises), as some cognitivist theories suppress the distinction between cognitive and normative sentences; (2) Ockham’s Razor, because some of cognitivist theories do multiply entities without necessity, as they presuppose a (platonic) realm of norms; and (3) Jorgensen’s Dilemma (see below).

Non-cognitivist theories do not infringe Ockham’s Razor as they are not implying any platonic entity (we saw the difference between normative sentences and descriptive sentences is just at the illocutionary level) and they accept the challenge of Hume’s Law.

We can find two main theories within noncognitivism: emotivism and prescriptivism. These two theories, often confused, need to be carefully distinguished. Indeed emotivism and prescriptivism are different for two main reasons; for emotivists a normative sentence is basically a sentence which expresses a speaker’s feeling (such as “Gasp!”). For prescriptivists a normative sentence is used for uttering overriding universalizable prescriptions (such us: “You shalt not steal!”). Another difference between those two theories is about the possibility of a genuine logic of norms. Emotivists, at least in classical formulations (from Ayer to Stevenson) claim a logic of norms is very problematic or even impossible to build: while for prescriptivists (in particular in Hare’s theory or in von Wright’s works) the possibility for a logic of norms is open, although problematic.

2. The problem of a logic of norms

The main challenge non-cognitivist theories face is about the possibility of a logic of norms. Cognitivist theories are not facing this dilemma as they claim there is no difference between normative and descriptive sentences; therefore the classic logic based on truth-values is sufficient for normative reasoning. What about norms lacking truth-values?

The problem of a logic of norms is a vexata quaestio that dates back, in modern times, to Language, Truth and Logic by A.J. Ayer (1936). Ayer claimed that ethical sentences are pseudo concepts aimed at expressing emotions or commands having no real meaning. The only purpose of ethical sentences is to persuade the listener to act in a certain way. In other words, ethical sentences have only a perlocutory function. Therefore it is no possible to talk about disagreement and unsoundness in ethics; neither is it possible to speak about ethical reasoning because ethical sentences such as “parsimony is a virtue” and “parsimony is a vice” are not expressing propositions (that is are not true or false). Thus they can’t be incompatible. On the other hand, Ayer acknowledged that people do discuss about questions regarding values, but they are not actually ethical dilemmas involving values but factual questions. In fact, people, according to Ayer, reason about empirical facts on which state of affairs to perform and not about agreeing on an ethical belief.

According to M. Warnock (1978) Ayer’s is a negative theory of ethics because it lacks of meaning and scientific basis. The last word in ethics is rather ideological, that is to state the superiority of a moral system over another. Ayer’s skeptical conclusion is a consequence of the linguistic model he adopted (that is basically Wittgenstein’s Tractatus picture-theory, 1922). In fact, Ayer is not able (at least in Language Truth and Logic) to distinguish in normative sentences between an emotive (perlocutionary) part and a descriptive (meaning) part. The distinction is necessary to give ethics its full significance back.

Two years after Ayer’s Language, Truth and Logic, another author dealt with the problem of the foundation of a logic of norms. Jorgen Jorgensen (in “Imperativer og Logik”, 1937-38) claimed that “any imperative sentences may be considered as containing two factors which I may call the imperative factor and the indicative factor, the first indicating that some thing is commanded or wished and the latter describing what it is that is commanded or wished.” In an actual sentence it is not possible to distinguish between those two factors because a command void of content is impossible; but the indicative factor can be kept apart from the imperative mood and it can be used to express indicative sentences describing the action, changes or state of affairs which can be ordered or wished. For example, in the imperative “Close the door!” somebody is ordering that a door be closed. The order is that the proposition “the door once open is now closed” be true. Methodologically, Jorgensen was in line with the modern distinction in sentences between illocutionary force and propositional content (see i.e. Searle, 1969).

Jorgensen concluded, “it seems to be a syntactical rule that from an imperative sentence of the form “Do so and so,” an indicative sentence of the form “This is so and so” may be derived.” In other words, Jorgensen claimed imperative sentences can be transformed in indicative sentences in two ways: (1) the imperative factor is put outside the brackets much as the assertion sign in the ordinary logic and the logical operations are only performed within the brackets; or (2) for each imperative sentences there is an equivalent indicative sentence which is derived from the former. This derived indicative sentence applies to the rules of classical logic and thereby indirectly applies the rules of logic to the imperative sentences so that entailments of the latter may be made explicit.

Jorgensen’s first solution acknowledges the application of logic only within the propositional content (or indicative factor) without using the normative (or imperative) constituent. This solution is very similar to R.M. Hare’s dictive indifference of logic (Hare, 1949 and 1952) in which, we will see, logic is valid only at the phrastics level. Jorgensen’s second solution, on the other hand, seems to propose that normative sentences and descriptive sentences are linked through an isomorphic relation; that is prescriptions hold as the same logical rules as their descriptive counterparts. G.H. von Wright (1963) will successively explore this solution. Therefore Jorgensen, differently from Ayer, moved to an idea of ethics, which is called moderate emotivism close to Stevenson’s (1944) and Hare’s (1949). In fact, Jorgensen acknowledges a descriptive component within prescriptive sentences and also he thinks that it is possible to apply logic to norms.

a. Jorgensen’s dilemma: its importance for non-cognitivism

More importantly, Jorgensen proposed the so-called Jorgensen’s Dilemma, which is the first attempt to analyze the problem of the inference of norms (prescriptive sentences) from norms (prescriptive sentences) moving from the point that norms (prescriptive sentences) are lacking of truth-values. In fact, Jorgensen analyzes this problem moving from the so-called Poincare’s argument (a variant of Hume’s Law) in which is studied the role of logical inference into prescriptive contexts (that are lacking of truth-values). Jorgensen still thinks logical inference is a concept linked to a classical idea of logic, where an inference is when we get true conclusions starting from true premises. However Jorgensen noticed that in ordinary normative reasoning we perform inferences can be accepted as true; such as:

1.Keep your promises
2.This is a promise of yours
__________________________
├ Therefore, keep this promise

Where at least one of the premises (in our case the premise 1.) is prescriptive. Hence, Jorgensen finds himself in front of the following “puzzle”:

“According to a generally accepted definition of logical inferences only sentences which are capable of being true or false can function as premises or conclusion in a inference; nevertheless it seems evident that a conclusion in the imperative mood may be drawn from two premises one of which or both of which are in the imperative mood” (Jorgensen, 1937-38).

There are two ways to explain this phenomenon: widening the notion of logic inference beyond the “mere” sphere of truth, or bypassing this distinction by using descriptive sentences equivalent to prescriptive sentences and applying them to the classical notion of logic inference. Otherwise it is not possible to apply the notion of logical inference to norms: any normative discourse turns to be illogical (as Ayer claimed).

The essence of the challenge of non-cognitivism is therefore expressed: how is possible to apply the notion of logical inference whatsoever to the realm of sentences lacking of truth-values?

3. From earlier non-cognitivism to the “new norm-expressivism”

If we believe norms are lacking of truth-values but a logic of norms is possible, we are thinking about an objectivist and non-cognitivist theory of norms, such as Hare’s; while if we believe that logical inference cannot be applied to sentences lacking of truth-values, therefore we have a non-cognitivist and subjectivist theory of norms, such as Ayer’s.

a. C. L. Stevenson and the role of persuasion

C. L. Stevenson (1944) developed another non-cognitivist and subjectivist theory of norms. Stevenson acknowledges that in moral sentences there is a descriptive component, which has no cognitive function but rather a quasi-imperative force which, operating through suggestion and intensified by your tone of voice, readily permits you to begin to influence or to modify another person’s behavior. Therefore, according to Stevenson, ethical terms are instruments used in a cooperative enterprise that leads to a mutual readjustment of human interest. So, when using ethical sentences, we are not using logical inference, but, actually, we are using methods of persuasion. According to Hare (1987), Stevenson treated what were perlocutionary features of moral language as if they were constitutive of its meaning, and as a result became an irrationalist, because perlocutionary acts are not subject to logical rules.

b. R. M. Hare and the dictive indifference of logic

According to Hare, normative sentences are characterized by three ingredients: prescriptivity, universalizability and overridingness/supervenience; these three ingredients are logical characteristics of normative sentences by virtue of their meaning (Hare, 1989).

According to Hare, moral sentences are prescriptions that are sentences used for guiding an action or to reply at the question: “What shall I do?” (Hare, 1952). In other words, an indicative (or descriptive) sentence is used for telling someone that something is the case; an imperative is not about that – it is used for telling someone to make something the case (ibid.). Differently from emotive theories (such as Stevenson’s), Hare claims that telling someone to make something the case implies a persuasive process from the speaker to the listener. Emotive theories, according to Hare, judge the success of imperative solely by their effects, that is, by whether the person believes or does what we are trying to get him or her to believe or do. It does not matter whether the means used to persuade him are fair or foul, so long as they persuade him/her. Persuasions imply a lack of rationality by moral theories; therefore using persuasion does not mean rationally replying to the question “What shall I do?”, but rather it is an attempt to answer the question in a particular way.

Universalizability is a feature moral sentences share with descriptions, but, according to Hare still is a logic component of neustics (Hare’s term for descriptive component of a sentence). Roughly speaking it means that terms like “ought” and “must” are similar to words like “all” rather than “red” or “blue”. In other words, normative concepts have to be compared to logical operators (such as “all” or “some” or “It is necessary that”) and not to predicates (see Hare, 1963 and 1967). Moreover, the rules that define their logical behavior make them universalizable. Another interpretation of the thesis of Universalizability claims that Universalizability is not about the way moral terms function, but it is a principle (axiom) which is part of any possible normative system as such (see Hare, 1982). In other words, Universalizability is similar to the “Golden Rule” (“Treat others only in a way that you’re willing to be treated in the same situation”) or to impartiality, rather than an actual formal axiom in a ethical system. This thesis has been attacked by several authors such as A. MacIntyre (1957), B. Williams (1985) and M. Singer (1985). All those scholars agree that actually there are several levels of universalizability which Hare’s monolithical formulation would melt. Particularly, MacIntyre argues that Hare does not make clear between “generality” (that is general principles) and “universality” (universal principles).

Supervenience is a feature moral sentences share with descriptions too. This issue is discussed also in the philosophy of mind. In moral philosophy, the issue of supervenience concerns the relationship which is said to hold between moral properties and natural or non-moral properties. Alternatively, it is put forward as a claim about a certain feature of moral terms or moral predicates. When it is said of “trust” that it is, say, good, “trust” is good because or in virtue of some subjacent or underlying property of it. Generally, it is held that these subjacent properties are natural properties of “trust”.

For Hare overridingness is a feature, not just of evaluative words, properties, or judgments, but of the wider class of judgments which have to have, at least in some minimal sense, reasons or grounds of explanations (Hare, 1989). Basically, Hare believes that overridingness and universalizability are similar concepts in that both involve a universal premise such as in the Golden Rule.

From a logical-linguistic point of view, Hare distinguishes in a sentence between a phrastic and a neustic:

“I shall call the part of the sentence that is common to [assertive and imperative] moods (…) the phrastic; and the part different in the case of commands and sentences (…) the neustic” (Hare, 1952).

Roughly speaking, a phrastic is that component in the sentence we called the descriptive component above, and a neustic is the illocutionary part in a sentence. According to Hare, logical connectives are part of phrastics; combinations of those connectives are able to create, are valid in the case we deal with normative sentences as well as we deal with descriptive sentences. It is, indeed, the proper function of these connectives to establish relations between sentences; in other words, the validity of a reasoning depends upon the logical links subsisting among phrastics. Hare’s thesis is called “dictive indifference of logic”: “we shall see (…) that these connectives are all descriptive and not dictive. In fact, it is the descriptive part of sentences with which formal logicians are almost exclusively concerned; and this means that what they say applied as much to imperatives as to indicatives; for to any descriptor (or phrastic) we can add either kind of dictor (or neustic), and get a sentence” (Hare, 1949). Therefore no difference will subsist between a logic of imperatives and a logic of assertions: “The method of reasoning used in (…) [imperative] inferences is, of course, exactly which is used in indicative logic: these considerations in no way support that there can be a separate ‘Logic of Imperatives’, but only that imperatives are logical in the same way as indicatives” (Ibid.). Phrastics, indeed, are the same in imperatives and assertions, and we can assert “that any formula of formal logic which is capable of an indicative interpretation is capable also of an imperative one,” that is, we can substitute an indicative neustic with an imperative one, leaving the phrastic unchanged (Ibid.).

c. The new “norm-expressivism”

Starting from the 80s there was a renewal of analysis of morals in an emotivist key. These analyses were made by Simon Blackburn and by Allan Gibbard. In their work the emotive theory of morals is revised and enriched even accepting room for a logic of norms (in opposition to what happened in the earlier emotive theories, such as Stevenson’s).

Blackburn’s quasi-realism (1984) moves from the actual practice in the ordinary language to express itself in a realistic way even when uttering moral sentences. Blackburn claims that practice is to be, so to speak, the way we made projections of our attitudes onto the world; in Blackburn’s own words, “we say we project an attitude or habit, or other commitment which is not descriptive onto the world, when we speak and think as though there were a property of things which our saying describe, which we can reason about, know about, be wrong about and so on” (Blackburn, ibid.).

Blackburn, on one hand, rehabilitates emotive theories of morals and, on the other hand, says – contrary to Mackie’s error theory – our use of realist terminology is respectable and not in contract with its projective origin. We will see in the next section how Blackburn can make room for a logic of norms.

Gibbard’s (1990) central concept is the idea that calling something rational is to express one’s acceptance of norms that permits it. It applies to the rationality of actions, and it applied to the rationality of beliefs and feelings (ibid.). For Gibbard, cognitive analyses fail to recognize that judging a behavior as rational means to endorse it; even classical non-cognitivist analyses fails this point as they admit that moral judgment are not feelings, but judgments of what moral feelings it is rational to have. Feelings we think, can be apt or not, moral judgments are judgments of when guilt and resentment are apt.

The primary function of norms (which Gibbard justifies on evolutionary basis) is to facilitate the social cooperation, and while true factual sentences are coupled with world representations, normative ones have the function of making social cooperation stable, and not linked to environmental and social changes. Gibbard’s theory is a non-cognitivist but naturalistic one, which is necessary to give an account of rationality in terms of accepting a norm which is, in its turn, a standard for rationality of actions; on the contrary it would turn in a vicious circle.

Norms rule everybody’s feelings and actions and they are the main component of a moral judgment; to judging an action as wrong, in Gibbard’s terms, it means that an actor’s feelings of guilt and judging people’s anger are apt feelings. Of course, these will be changing from culture to culture. Finally, Gibbard suggests that normative judgments – because their social function – commit us to adopt higher level norms to encourage social cooperation.

Gibbard’s key concept is “accepting a norm” which is to justify on a psychological theory of meaning in a similar way to Stevenson’s theory. For Gibbard, a norm is a significant kind of a psychological state of the mind, which is not fully understandable for us. Therefore, Gibbard’s theory rests on an ambiguity; on one hand, value judgments are lacking of truth-values, but on the other hand, they express the existence of someone’s mental states.

4. The Frege-Geach Problem

The Frege-Geach problem (also known as the “embedding problem”) is used as the main “test” to understand rationality in non-cognitivist theories. The problem was posed in P. Geach’s article “Assertion” (Geach, 1964), but the discussion starts back from Geach’s article “Imperatives and Deontic Logic” (Geach, 1958). In particular, Geach used his own test to attack non-cognitivist claims; in fact, if we find a positive solution to the Geach-Frege Problem we are de facto giving significance to non-cognitivist moral reasoning. On the contrary, if no solution to the problem is provided, the only option left open to moral reasoning is cognitivism or excluding ethics into the realm of rationality (likewise radical forms of emotivism such as Ayer).

Briefly, the Frege-Geach problem is that sentences that express moral judgments can form part of semantically complex sentences in a way that an expressivist cannot easily explain. According to Geach, the sentence “Telling the lies is wrong” has the same meaning regardless of whether it occurs on its own or as the antecedent of “If telling the lies is wrong, then getting your little brother to tell lies is also wrong”. This must be so, since we may derive “Telling your little brother to tell lies is wrong” from them and both by modus ponens without any fallacy of equivocation. Yet nothing is expressed (in the relevant sense) by “Telling lies is wrong” when it forms the antecedent of the conditional, since the antecedent is not itself the same illocutionary force as the premise, and so its meaning (regardless of where it occurs) apparently cannot be explained by an expressivist analysis. Analogous problems within other kinds of embedded contexts (Unwin, 1999).

However, Geach recommends attention to Frege’s distinction between assertion and predication, or in other words, between illocutionary force and propositional content, respectively. In fact, if we assume the role of the illocutionary force, there would be a slight change in the meaning of the word “wrong” in the antecedent of the conditional “If telling the lies is wrong, then getting your little brother to tell lies is also wrong” and in its occurrence as consequence in the same conditional sentence. This problem is even clearer using modus ponens:

1. If tormenting the cat is wrong, then getting your little brother to torment the cat is also wrong
2. Tormenting the cat is wrong
Therefore, getting your little brother to torment the cat is wrong.

In the case above it is difficult to say that the occurrence of “wrong” as antecedent of the 1st conditional (which appears to be descriptive) has exactly the same meaning as “wrong” in the 2nd sentence (which appears to be normative).

We saw non-cognitivism is characterized by the assumption that norms lack truth-values. Yet, the contexts introduced by ordinary logic operators such as “and”, “not”, “or”, “if… then”, and the quantifiers, together with predication itself, are normally explicated in terms of the more basic semantic concepts of truth. Therefore, it seems that this option is not available to non-cognitivists, in general, and in particular to expressivists.

a. Blackburn solutions to the Frege-Geach Problem

S. Blackburn (1984) redefines the Frege-Geach Problem in terms of whether expressive theories can cope with unasserted contexts in such a way as to allow sentences the same meaning within them, as they have when they are asserted. According to Blackburn, we use evaluative sentences as if they were not different from assertions (because of our projective attitude), and, therefore, we intuitively treat them as if they were bearing truth-values and linked to descriptive sentences.

The problem will be about the interpretation of connectives to be used to build up more complex commitments having in their own several illocutionary characteristics (such as in a conditional). Blackburn suggests commitments are used to create more complex sentences which is accepted only if all its parts are accepted, according to the following solution: “the notion of commitment is then capacious enough to include both ordinary beliefs, and these other attitudes, habits and prescriptions” (Blackburn, ibid., p. 192). Therefore a conditional will express someone’s endorsement to an attitude (which is an expression of a moral standpoint, too) preceded by a belief. In other words, it expresses a higher-order attitude, that is, an expression of disapproval or approval toward a combination of attitudes (such as of lying). Conditionals, as they are used in ordinary language, show the way we express an endorsement over involvement of commitments – which is expression of a moral standpoint. In other words, we can see that using conditional forms (in normative contexts) is a higher level form (compared to simple sentences like “it’s wrong telling lies”) which serves to express one’s attitudes on attitudes, or meta-attitudes.

Blackburn introduces these kinds of sentences formally in the following way:

(a) H! (B!p → B!q)

Where H! stands for the “Hooray” operator (expressive counterpart of the deontic operator “O” – for obligation), B! is the “Booh” operator (expressive equivalent to the deontic “F” – for forbidden). What appears between slashes shows that our argument is an attitude or a belief, which express a first order attitude (such as “The playing for West Ham is wrong”).

The main limit of Blackburn’s solution of the Frege-Geach problem concerns the nature of the H! and B! operators, while iterated in a higher order sentence. Blackburn’s formulation does not make clear the illocutionary role of the operator. If we interpret all the operators in the formula (a) in an expressive (or prescriptive) way, (that is lacking of truth-values), the whole expression will not make sense. According to Barcan Marcus (1966), iteration of normative operators looks like stammering. Otherwise. if we interpret (according to Blackburn) the external operator H! in an expressive (or prescriptive) way and those into the slashes as descriptive ones, we will have a correct way of interpreting operators but no solution to the Frege-Geach problem. The formula (a) above, indeed, is formally correct but does not solve the problem about the identity of meaning for example between the antecedent of the 1st conditional in the Modus Ponens shown above (which is descriptive) and its 2nd sentence (which is normative).

b. Gibbard solution to the Frege-Geach Problem

Gibbard tries to solve the Frege-Geach problem using a slightly modified version of possible worlds semantics that he labeled as “factual-normative worlds”. Factual-normative worlds are an ordered pair where “w” is a possible world (or a set of facts) and “n” is a complete system of general norms. The pair constitutes a creedal-normative state completely opinionated (Gibbard, 1990, p. 95).

According to Gibbard, any particular normative judgment holds or not, as a matter of logic, in the factual-normative world . That is, the pair is a set of sound and complete norms where, for each possible human behavior, we can state the normative status (Forbidden, Obligatory or Indifferent) associated with it. In this way each individual can understand the normative qualification of his or her action.

Consider a human observer who is uncertain both factually and normatively. When the observer will think about the rightness of a normative judgment, she or he will rule out any possible action which is not included into a set constituted by all the factual elements and all the normative elements in which that normative judgment is valid. Let’s take for instance, the modus ponens above:

1. If tormenting the cat is wrong, then getting your little brother to torment the cat is also wrong
2. Tormenting the cat is wrong
Therefore, getting your little brother to torment the cat is wrong.

The first premise rules out all the combinations in which it is not wrong to get your little brother to tell lies. The second premise rules out the set of combination between norms and facts in which is wrong to torment the cat. Therefore both premises together rules out the whole set of norms and facts in which it is not wrong to get your little brother to torment the cat; including any combination that the conclusion rules out.

What does it mean for a sentence to be valid in a particular factual-normative world? According to Gibbard it means that for each sentence containing a normative predicate there is a n-corresponding descriptive version which makes a normative predicate (such as “rational”) refer to a particular set of norms (that is “rational” according to the system n). Hence, Gibbard concludes, for any logically complex sentence S containing normative predicates in embedded contexts, we may construct the descriptive sentence Sn that arises from replacing all normative predicates in S by their n-corresponding version. Therefore we can operate with embedded contexts saying the sentence S holds in if and only if Sn holds in a possible world .

Actually Gibbard’s solution to the Geach-Frege problem is rather a bypass method to avoid the problem because he explains the functioning of normative language by means of descriptive language and semantical models. According to Sinnot-Armstrong’s criticism (1993), Gibbard’s analysis appears to be compatible with a realist view on norms because of his ambiguous use of normative judgment (which is a state of mind) and his use of possible world semantics.

5. The significance of the Geach-Frege Problem and Jorgensen’s Dilemma for non-cognitivism

The Geach-Frege problems and Jorgensen’s Dilemma are faces of the same coin. The first deals with the problem of mixed, or embedded, contexts (normative and descriptive) and how it is possible to deal with mixed sentences. The main problem here is the interpretation of connectives and logical operators in contexts that are partially lacking truth-values.

Jorgensen’s Dilemma, on the other hand, deals with making inferences between norms, that is, sentences that are lacking of truth-values, and to create a logical foundation that makes sense of inferences between norms we actually find sound in the everyday discourse. The Jorgensen’s Dilemma also tries to explain the very nature lying behind moral disagreements and the way we can rationally deliberate on them.

Both are questions involving the different illocutionary role of normative/expressive sentences and their solution represents a challenge to non-cognitivism. A positive solution to both challenges would open a room to the rationality of non-cognitive discourse in ethics. On the contrary, a negative one would show that the only option for rationalism in ethics is cognitivism or — in the worst case scenario — to irrationality and ethical nihilism.

Finally it is worth notice that while both cover a similar perspective, the Frege-Geach problem is more popular in moral philosophy, whereas Jorgensen’s Dilemma is more popular in the philosophy of law. It is difficult to understand the reasons for that different interest. We can only guess that it was because the analysis of sentences in terms of the Frege-Reichenbach model was popular among moral philosophers while it was virtually unknown (until the works by Alchourron and Bulygin, 1971) among philosophers of law.

6. A Taxonomy of Ethics

The following scheme is a development from R. M. Hare’s A Taxonomy of Ethical Theories (Hare, 1997, p. 42)

Descriptivism: Meanings of moral sentences are wholly determined by syntax and truth conditions.

Naturalism: Truth conditions of moral sentences are non-moral properties.

Objectivistic naturalism: These properties are objective.

Subjective naturalism: These properties are subjective.

Intuitionism: Truth conditions of moral sentences are sui generis moral properties.

Non-descriptivism: Meanings of moral sentences are not wholly determined by syntax and truth conditions.

Emotivism: Moral sentences are not governed by logic.

Rationalistic non-descriptivism: Moral sentences are governed by logic.

Universal prescriptivism: The logic, which governs moral sentences, is the logic of universal prescriptions.

Expressivism: The moral sentences are about beliefs and/or commitments; their logic is different from the logic of descriptive sentences.

7. References and Further Reading

  • Alchourrón, 1993: “Philosophical Foundations of Deontic Logic and the Logic of Defeasible Conditionals”, in Meyer e Wieringa (1993), Deontic Logic in Computer Science, Chichester, Wiley, pp.43-84.
  • Alchourrón, C. E. and Bulygin, E. (1981): “The Expressive Conception of Norms”, in Hilpinen, H. (ed.) (1981), New Essays in Deontic Logic, Dordrecht, D. Reidel, pp. 95-124
  • Alchourrón, C. E. and Bulygin, E. (1989): “Limits of Logic and Legal Reasoning”, in Martino, A.A. (ed.) (1989), Deontic Logic, Computational Linguistics and Legal Information Systems, Amsterdam, North-Holland, pp. 1-20.
  • Ayer, A. J. (1936): Language, Truth and Logic, London, Gollancz
  • Bentham, J. (1789): An Introduction to the Principles of Morals and Legislation, eds. Burns, J.H. and Hart, H.L.A., London, Athlone Press, 1970
  • Bentham, J. (1970): Of Laws in General, ed. Hart, H.L.A., London, Athlone Press, 1970.
  • Blackburn, S. (1984): Spreading the Word, Oxford, Clarendon.
  • Bulygin, E. (1982): “Norms, normative propositions and legal statements”, in Floistad, G. (ed.), Contemporary Philosophy A New Survey, The Hague, M. Nijhoff, pp. 157-163; rist. in Alchourron e Bulygin (1991), pp. 215-238.
  • Geach, P. T., (1958): “Imperative and Deontic Logic”, Analysis, 18, 3, pp. 49-56.
  • Geach, P. (1964): “Assertion”, Philosophical Review, 74, pp. 449-465
  • Gibbard, A. (1990): Wise Choices, Apt Feelings. A Theory of Normative Judgement, Oxford, Clarendon Press
  • Hale, B., (1993): “Can There Be a Logic of Attitudes?”, in Haldane, J., e Wright, C, (eds.) (1995), pp. 337-363
  • Hare, R. M. (1949): Imperatives Sentences, in Mind, LVIII;  in Hare (1971), pp.1-21.
  • Hare, R. M. (1952): The Language of Morals, Clarendon, Oxford.. Hare, R.M. (1963): Freedom and Reason, Oxford, Oxford U.P.
  • Hare, R. M. (1967): “Some Alleged Differences between Imperatives and Indicatives”, in Mind, LXXVI
  • Hare R. M. (1982): Moral Thinkings: Its Levels, Methods and Point, Oxford, Oxford U.P
  • Hare R. M. (1989): Essays in Ethical Theory, Oxford, Oxford U.P.
  • Hare R. M. (1997):Sorting Out Ethics, Oxford, O.U.P.
  • Jørgensen, J. (1937-38): “Imperatives and Logic”, in Erkenntnis, 7, pp. 288-296
  • Kelsen, H. (1941): “The Pure Theory of Law and Analytical Jurisprudence”, in Harvard Law Review, 60, pp. 44-70
  • Levinson, S. C. (1983): Pragmatics. Cambridge, Cambridge U.P.
  • Lyons, J. (1995): Linguistic Semantics. An Introduction, Cambridge, Cambridge U.P.
  • MacIntyre, A. (1957): “What Morality is Not”, Philosophia, XXXII (123), pp. 325-335.
  • Marcus, B. (1966): “Iterated Deontic Modalities”, Mind, 75, pp. 580-582.
  • Reichenbach, H (1947): Elements of Symbolic Logic, New York, McMillan
  • Russell, B. (1935): Religion and Science, Oxford U.P.
  • Searle, J.R. (1969): Speech Acts. An Essay in the Philosophy of Language, London, O.U.P.
  • Singer, M. (1985): “The Generalization Principle”, in Potter, N.T. e Simmons M. (eds.) Morality and Universality, Boston, Dordrecht, pp. 47-73.
  • Sinnott-Armstrong, W. (1993): “Some problems for Gibbard’s norm-expressivism”, Philosophical Studies, pp. 297-313.
  • Stevenson, C.L. (1944): Ethics and Language, New Haven, Yale U.P
  • Unwin, N. (1999): “Norms and Negation: A Problem for Gibbard’s Logic”, The Philosophical Quarterly, 51(202), pp.60-75
  • von Wright, G. H. (1963): Norm and Action. A Logical Inquiry, London, Routledge & Kegan Paul
  • Warnock, M. (1978): Ethics since 1900, Oxford, Oxford U.P.,
  • Williams, B. A. O. (1985): Ethics and the Limits of Philosophy, Cambridge (Mass.), Cambridge U.P.

Author Information

Antonio Marturano
Email: marturano@btinternet.com
University of Exeter
United Kingdom

Aristotle: Motion

Aristotle’s account of motion and its place in nature can be found in the Physics. By motion, Aristotle (384-322 B.C.E.) understands any kind of change. He defines motion as the actuality of a potentiality. Initially, Aristotle’s definition seems to involve a contradiction. However, commentators on the works of Aristotle, such as St. Thomas Aquinas, maintain that this is the only way to define motion.

In order to adequately understand Aristotle’s definition of motion it is necessary to understand what he means by actuality and potentiality. Aristotle uses the words energeia and entelechia interchangeably to describe a kind of action. A linguistic analysis shows that, by actuality, Aristotle means both energeia, which means being-at-work, and entelechia, which means being-at-an-end. These two words, although they have different meanings, function as synonyms in Aristotle’s scheme. For Aristotle, to be a thing in the world is to be at work, to belong to a particular species, to act for an end and to form material into enduring organized wholes. Actuality, for Aristotle, is therefore close in meaning to what it is to be alive, except it does not carry the implication of mortality.

From the Middle Ages to modern times, commentators disagreed on the interpretation of Aristotle’s account of motion. An accurate rendering of Aristotle’s definition must include apparently inconsistent propositions: (a) that motion is rest, and (b) that a potentiality, which must be, if anything, a privation of actuality, is at the same time that actuality of which it is the lack. St. Thomas Aquinas was prepared to take these propositions seriously. St. Thomas observes that to say that something is in motion is just to say that it is both what it is already and something else that it is not yet. Accordingly, motion is the mode in which the future belongs to the present, it is the present absence of just those particular absent things which are about to be. St. Thomas thus resolves the apparent contradiction between potentiality and actuality in Aristotle’s definition of motion by arguing that in every motion actuality and potentiality are mixed or blended.

St. Thomas’ interpretation of Aristotle’s definition of motion, however, is not free of difficulties. His interpretation seems to trivialize the meaning of entelechia. One implication of this interpretation is that whatever happens to be the case right now is an entelechia, as though something which is intrinsically unstable as the instantaneous position of an arrow in flight deserved to be described by the word which Aristotle everywhere else reserves for complex organized states which persist, which hold out in being against internal and external causes tending to destroy them.

In the Metaphysics, however, Aristotle draws a distinction between two kinds of potentiality. On the one hand, there are latent or inactive potentialities. On the other hand, there are active or at-work potentialities. Accordingly, every motion is a complex whole, an enduring unity which organizes distinct parts. Things have being to the extent that they are or are part of determinate wholes, so that to be means to be something, and change has being because it always is or is part of some determinate potentiality, at work and manifest in the world as change.

Table of Contents

  1. Introduction
  2. Energeia and Entelechia
  3. The Standard Account of Aristotle’s View of Motion
  4. Thomas’ Account of Aristotle’s View of Motion
  5. The Limits of Thomas’ Account
  6. Facing the Contradictions of Aristotle’s Account of Motion
  7. What Motion Is
  8. Zeno’s Paradoxes and Aristotle’s Definition of Motion
  9. References and Further Reading

1. Introduction

Aristotle defines motion, by which he means change of any kind, as the actuality of a potentiality as such (or as movable, or as a potentiality — Physics 201a 10-11, 27-29, b 4-5). The definition is a conjunction of two terms which normally contradict each other, along with, in Greek, a qualifying clause which seems to make the contradiction inescapable. Yet St. Thomas Aquinas called it the only possible way to define motion by what is prior to and better known than motion. At the opposite extreme is the young Descartes, who in the first book he wrote announced that while everyone knows what motion is, no one understands Aristotle’s definition of it. According to Descartes, “motion . . . is nothing more than the action by which any body passes from one place to another” (Principles II, 24). The use of the word “passes” makes this definition an obvious circle; Descartes might just as well have called motion the action by which a thing moves. But the important part of Descartes’ definition is the words “nothing more than,” by which he asserts that motion is susceptible of no definition which is not circular, as one might say “the color red is just the color red,” to mean that the term is not reducible to some modification of a wave, or analyzable in any other way. There must be ultimate terms of discourse, or there would be no definitions, and indeed no thought. The point is not that one cannot construct a non-circular definition of such a term, one claimed to be properly irreducible, but that one ought not to do so. The true atoms of discourse are those things which can be explained only by means of things less known than themselves. If motion is such an ultimate term, then to define it by means of anything but synonyms is willfully to choose to dwell in a realm of darkness, at the sacrifice of the understanding which is naturally ours in the form of “good sense” or ordinary common sense.

Descartes’ treatment of motion is explicitly anti-Aristotelian and his definition of motion is deliberately circular. The Cartesian physics is rooted in a disagreement with Aristotle about what the best-known things are, and about where thought should take its beginnings. There is, however, a long tradition of interpretation and translation of Aristotle’s definition of motion, beginning at least five hundred years before Descartes and dominating discussions of Aristotle today, which seeks to have things both ways. An unusually clear instance of this attitude is found in the following sentence from a medieval Arabic commentary: “Motion is a first entelechy of that which is in potentiality, insofar as it is in potentiality, and if you prefer you may say that it is a transition from potentiality to actuality.” You will recognize the first of these two statements presented as equivalent as a translation of Aristotle’s definition, and the second as a circular definition of the same type as that of Descartes. Motion is an entelechy; motion is a transition. The strangeness of the word “entelechy” masks the contradiction between these two claims. We must achieve an understanding of Aristotle’s word entelechia, the heart of his definition of motion, in order to see that what it says cannot be said just as well by such a word as “transition.”

2. Energeia and Entelechia

The word entelecheia was invented by Aristotle, but never defined by him. It is at the heart not only of his definition of motion, but of all his thought. Its meaning is the most knowable in itself of all possible objects of the intellect. There is no starting point from which we can descend to put together the cements of its meaning. We can come to an understanding of entelecheia only by an ascent from what is intrinsically less knowable than it, indeed knowable only through it, but more known because more familiar to us. We have a number of resources by which to begin such an ascent, drawing upon the linguistic elements out of which Aristotle constructed the word, and upon the fact that he uses the wordenergeia as a synonym, or all but a synonym, for entelecheia.

The root of energeia is ergonó deed, work, or actó from which comes the adjective energon used in ordinary speech to mean active, busy, or at work. Energeia is formed by the addition of a noun ending to the adjective energon; we might construct the word is-at-work-ness from Anglo-Saxon roots to translateenergeia into English, or use the more euphonious periphrastic expression, being-at-work. If we are careful to remember how we got there, we could alternatively use Latin roots to make the word “actuality” to translate energeia. The problem with this alternative is that the word “actuality” already belongs to the English language, and has a life of its own which seems to be at variance with the simple sense of being active. By the actuality of a thing, we mean not its being-in-action but its being what it is. For example, there is a fish with an effective means of camouflage: it looks like a rock but it is actually a fish. When an actuality is attributed to that fish, completely at rest at the bottom of the ocean, we don’t seem to be talking about any activity. But according to Aristotle, to be something always means to be at work in a certain way. In the case of the fish at rest, its actuality is the activity of metabolism, the work by which it is constantly transforming material from its environment into parts of itself and losing material from itself into its environment, the activity by which the fish maintains itself as a fish and as just the fish it is, and which ceases only when the fish ceases to be. Any static state which has any determinate character can only exist as the outcome of a continuous expenditure of effort, maintaining the state as it is. Thus even the rock, at rest next to the fish, is in activity: to be a rock is to strain to be at the center of the universe, and thus to be in motion unless constrained otherwise, as the rock in our example is constrained by the large quantity of earth already gathered around the center of the universe. A rock at rest at the center is at work maintaining its place, against the counter-tendency of all the earth to displace it. The center of the universe is determined only by the common innate activity of rocks and other kinds of earth. Nothing is which is not somehow in action, maintaining itself either as the whole it is, or as a part of some whole. A rock is inorganic only when regarded in isolation from the universe as a whole which is an organized whole just as blood considered by itself could not be called alive yet is only blood insofar as it contributes to the maintenance of some organized body. No existing rock can fail to contribute to the hierarchical organization of the universe; we can therefore call any existing rock an actual rock.

Energeia, then, always means the being-at-work of some definite, specific something; the rock cannot undergo metabolism, and once the fish does no more than fall to earth and remain there it is no longer a fish. The material and organization of a thing determine a specific capacity or potentiality for activity with respect to which the corresponding activity has the character of an end (telos). Aristotle says “the act is an end and the being-at-work is the act and since energeia is named from the ergon it also extends to the being-at-an-end (entelecheia)” (Metaphysics 1050a 21-23). The word entelecheia has a structure parallel to that of energeia. From the root word telos, meaning end, comes the adjective enteles, used in ordinary speech to mean complete, perfect, or full-grown. But while energeia, being-at-work, is made from the adjective meaning at work and a noun ending, entelecheia is made from the adjective meaning complete and the verb exein. Thus if we translate entelecheia as “completeness” or “perfection,” the contribution the meaning of exein makes to the term is not evident. Aristotle probably uses exein for two reasons which lead to the same conclusion: First, one of the common meanings of exein is “to be” in the sense of to remain, to stay, or to keep in some condition specified by a preceding adverb as in the idiomskalos exei, “things are going well,” or kakos exei, “things are going badly.” It means “to be” in the sense of to continue to be. This is only one of several possible meanings of exein, but there is a second fact which makes it likely that it is the meaning which would strike the ear of a Greek-speaking person of Aristotle’s time. There was then in ordinary use the word endelecheia, differing from Aristotle’s wordentelecheia only by a delta in place of the tau. Endelecheia means continuity or persistence. As one would expect, there was a good deal of confusion in ancient times between the invented and undefined term entelecheia and the familiar word endelecheia. The use of the pun for the serious philosophic purpose of saying at once two things for whose union the language has no word was a frequent literary device of Aristotle’s teacher Plato. In this striking instance, Aristotle seems to have imitated the playful style of his teacher in constructing the most important term in his technical vocabulary. The addition ofexein to enteles, through the joint action of the meaning of the suffix and the sound of the whole, superimposes upon the sense of “completeness” that of continuity. Entelecheia means continuing in a state of completeness, or being at an end which is of such a nature that it is only possible to be there by means of the continual expenditure of the effort required to stay there. Just as energeia extends toentelecheia because it is the activity which makes a thing what it is, entelecheia extends to energeiabecause it is the end or perfection which has being only in, through, and during activity. For the remainder of this entry, the word “actuality” translates both energeia and entelecheia, and “actuality” means just that area of overlap between being-at-work and being-at-an-end which expresses what it means to be something determinate. The words energeia and entelecheia have very different meanings, but function as synonyms because the world is such that things have identities, belong to species, act for ends, and form material into enduring organized wholes. The word actuality as thus used is very close in meaning to the word life, with the exception that it is broader in meaning, carrying no necessary implication of mortality.

Kosman [1969] interprets the definition in substantially the same way as it is interpreted above, utilizing examples of kinds of entelecheia given by Aristotle in On the Soul, and thus he succeeds in bypassing the inadequate translations of the word. The Sachs 1995 translation of Aristotle’s Physics translatesentelecheia as being-at-work-staying-itself.

3. The Standard Account of Aristotle’s View of Motion

We embarked on this quest for the meaning of entelecheia in order to decide whether the phrase “transition to actuality” could ever properly render it. The answer is now obviously “no.” An actuality is something ongoing, but only the ongoing activity of maintaining a state of completeness or perfection already reached; the transition into such a state always lacks and progressively approaches the perfected character which an actuality always has. A dog is not a puppy: the one is, among other things, capable of generating puppies and giving protection, while the other is incapable of generation and in need of protection. We might have trouble deciding exactly when the puppy has ceased to be a puppy and become a dog at the age of one year, for example, it will probably be fully grown and capable of reproducing, but still awkward in its movements and puppyish in its attitudes, but in any respect in which it has become a dog it has ceased to be a puppy.

But our concern was to understand what motion is, and it is obviously the puppy which is in motion, since it is growing toward maturity, while the dog is not in motion in that respect, since its activity has ceased to produce change and become wholly directed toward self-maintenance. If the same thing cannot be in the same respect both an actuality and a transition to actuality, it is clearly the transition that motion is, and the actuality that it isn’t. It seems that Descartes is right and Aristotle is wrong. Of course it is possible that Aristotle meant what Descartes said, but simply used the wrong word, that he called motion anentelecheia three times, at the beginning, middle, and end of his explanation of what motion is, when he really meant not entelecheia but the transition or passage to entelecheia. Now, this suggestion would be laughable if it were not what almost everyone who addresses the question today believes. Sir David Ross, certainly the most massively qualified authority on Aristotle of those who have lived in our century and written in our language, the man who supervised the Oxford University Press’s forty-five year project of translating all the works of Aristotle into English, in a commentary, on Aristotle’s definition of motion, writes: “entelecheia must here mean ‘actualization,’ not ‘actuality’; it is the passage to actuality that iskinesis” (Physics, text with commentary, London, 1936, p. 359). In another book, his commentary on the Metaphysics, Ross makes it clear that he regards the meaning entelecheia has in every use Aristotle makes of it everywhere but in the definition of motion as being not only other than but incompatible with the meaning “actualization.” In view of that fact, Ross’ decision that “entelecheia must here mean ‘actualization'” is a desperate one, indicating a despair of understanding Aristotle out of his own mouth. It is not translation or interpretation but plastic surgery.

Ross’ full account of motion as actualization (Aristotle, New York, 1966, pp. 81-82) cites no passages from Aristotle, and no authorities, but patiently explains that motion is motion and cannot, therefore, be an actuality. There are authorities he could have cited, including Moses Maimonides, the twelfth century Jewish philosopher who sought to reconcile Aristotle’s philosophy with the Old Testament and Talmud, and who defined motion as “the transition from potentiality to actuality,” and the most famous Aristotelian commentator of all time, Averroes, the twelfth century Spanish Muslim thinker, who called motion a passage from non-being to actuality and complete reality. In each case the circular definition is chosen in preference to the one which seems laden with contradictions. A circular statement, to the extent that it is circular, is at least not false, and can as a whole have some content: Descartes’ definition amounts to saying “whatever motion is, it is possible only with respect to place,” and that of Averroes, Maimonides, and Ross amounts to saying “whatever motion is, it results always in an actuality.” An accurate rendering of Aristotle’s definition would amount to saying (a) that motion is rest, and (b) that a potentiality, which must be, at a minimum, a privation of actuality, is at the same time that actuality of which it is the lack. There has been one major commentator on Aristotle who was prepared to take seriously and to make sense of both these claims.

4. Thomas’ Account of Aristotle’s View of Motion

St. Thomas Aquinas, in his interpretation of Aristotle’s definition of motion, (Commentary on Aristotle’s Physics, London, 1963, pp. 136-137), observes two principles: (1) that Aristotle meant what he wrote, and (2) that what Aristotle wrote is worth the effort of understanding. Writing a century after Maimonides and Averroes, Thomas disposes of their approach to defining motion with few words: it is not Aristotle’s definition and it is an error. A passage, a transition, an actualization, an actualizing, or any of the more complex substantives to which translators have resorted which incorporate in some more or less disguised form some progressive sense united to the meaning of actuality, all have in common that they denote a kind of motion. If motion can be defined, then to rest content with explaining motion as a kind of motion is certainly to err; even if one is to reject Aristotle’s definition on fundamental philosophical grounds, as Descartes was to do, the first step must be to see what it means. And Thomas explains clearly and simply a sense in which Aristotle’s definition is both free of contradiction and genuinely a definition of motion. One must simply see that the growing puppy is a dog, that the half formed lump of bronze on which the sculptor is working is a statue of Hermes, that the tepid water on the fire is hot; what it means to say that the puppy is growing, the bronze is being worked, or the water is being heated, is that each is not just the complex of characteristics it possesses right now; in each case, something that the thing is not yet, already belongs to it as that toward which it is, right now, ordered. To say that something is in motion is just to say that it is both what it is already and something else that it isn’t yet. What else do we mean by saying that the puppy is growing, rather than remaining what it is, that the bronze under the sculptor’s hand is in a different condition from the identically shaped lump of bronze he has discarded, or that the water is not just tepid but being heated? Motion is the mode in which the future belongs to the present, is the present absence of just those particular absent things which are about to be.

Thomas discusses in detail the example of the water being heated. Assume it to have started cold, and to have been heated so far to room temperature. The heat it now has, which has replaced the potentiality it previously had to be just that hot, belongs to it in actuality. The capacity it has to be still hotter belongs to it in potentiality. To the extent that it is actually hot it has been moved; to the extent that it is not yet as hot as it is going to be, it is not yet moved. The motion is just the joint presence of potentiality and actuality with respect to same thing, in this case heat.

In Thomas’ version of Aristotle’s definition one can see the alternative to Descartes’ approach to physics. Since Descartes regards motion as ultimate and given, his physics will give no account of motion itself, but describe the transient static configurations through which the moving things pass. By Thomas’ account, motion is not ultimate but is a consequence of the way in which present states of things are ordered toward other actualities which do not belong to them. One could build on such an account a physics of forces, that is, of those directed potentialities which cause a thing to move, to pass over from the actuality it possesses to another which it lacks but to which it is ordered. Motion will thus not have to be understood as the mysterious departure of things from rest, which alone can be described, but as the outcome of the action upon one another of divergent and conflicting innate tendencies of things. Rest will be the anomaly, since things will be understood as so constituted by nature as to pass over of themselves into certain states of activity, but states of rest will be explainable as dynamic states of balance among things with opposed tendencies. Leibniz, who criticized Descartes’ physics and invented a science of dynamics, explicitly acknowledged his debt to Aristotle (see, e.g., Specimen Dynamicum), whose doctrine of entelecheia he regarded himself as restoring in a modified form. From Leibniz we derive our current notions of potential and kinetic energy, whose very names, pointing to the actuality which is potential and the actuality which is motion, preserve the Thomistic resolutions of the two paradoxes in Aristotle’s definition of motion.

5. The Limits of Thomas’ Account

But though the modern science of dynamics can be seen in germ in St. Thomas’ discussion of motion, it can be seen also to reveal difficulties in Thomas’ conclusions. According to Thomas, actuality and potentiality do not exclude one another but co-exist as motion. To the extent that an actuality is also a potentiality it is a motion, and to the extent that an actuality is a motion it is a potentiality. The two seeming contradictions cancel each other in the dynamic actuality of the present state which is determined by its own future. But are not potential and kinetic energy two different things? A rock held six feet above the ground has been actually moved identically to the rock thrown six feet above the ground, and at that distance each strains identically to fall to earth; but the one is falling and the other isn’t. How can the description which is common to both, when one is moving and the other is at rest, be an account of what motion is? It seems that everything which Thomas says about the tepid water which is being heated can be said also of the tepid water which has been removed from the fire. Each is a coincidence of a certain actuality of heat with a further potentiality to the same heat. What does it mean to say that the water on the fire has, right now, an order to further heat which the water off the fire lacks? If we say that the fire is acting on the one and not on the other in such a way as to disturb its present state, we have begged the question and returned to the position of presupposing motion to explain motion. Thomas’ account of Aristotle’s definition of motion, though immeasurably superior to that of Sir David Ross as interpretation, and far more sophisticated as an approach to and specification of the conditions an account of motion would have to meet, seems ultimately subject to the same circularity. Maimonides, Averroes, and Ross fail to say how motion differs from rest. Thomas fails to say how any given motion differs from a corresponding state of balanced tension, or of strain and constraint.

The strength of Thomas’ interpretation of the definition of motion comes from his taking every word seriously. When Ross discusses Aristotle’s definition, he gives no indication of why the he toiouton, or “insofar as it is such,” clause should have been included. By Thomas’ account, motion is the actuality of any potentiality which is nevertheless still a potentiality. It is the actuality which has not canceled its corresponding potentiality but exists along with it. Motion then is the actuality of any potentiality insofar as it is still a potentiality. This is the formula which applies equally well to the dynamic state of rest and the dynamic state of motion. We shall try to advance our understanding by being still more careful about the meaning of the pronoun he.

Thomas’ account of the meaning of Aristotle’s definition forces him to construe the grammar of the definition in such a way that the clause introduced by the dative singular feminine relative pronoun he has as its antecedent, in two cases, the neuter participle tou ontos, and in the third, the neuter substantive adjective tou dunatou. It is true that this particular feminine relative pronoun often had an adverbial sense to which its gender was irrelevant, but in the three statements of the definition of motion there is no verb but estin. If the clause is understood adverbially, then, the sentence must mean something like: if motion is a potentiality, it is the actuality of a potentiality. Whatever that might mean, it could at any rate not be a definition of motion. Thus the clause must be understood adjectivally, and Thomas must make the relative pronoun dependent upon a word with which it does not agree in gender. He makes the sentence say that motion is the actuality of the potentiality in which there is yet potentiality. Reading the pronoun as dependent upon the feminine noun entelecheia with which it does agree, we find the sentence saying that motion is the actuality as which it is a potentiality of the potentiality, or the actuality as a potentiality of the potentiality.

6. Facing the Contradictions of Aristotle’s Account of Motion

This reading of the definition implies that potentialities exist in two ways, that it is possible to be a potentiality, yet not be an actual potentiality. The beginning of this entry says that Aristotle’s definition of motion was made by putting together two terms, actuality and potentiality, which normally contradict each other. Thomas resolved the contradiction by arguing that in every motion actuality and potentiality are mixed or blended, that the condition of becoming-hot of the water is just the simultaneous presence in the same water of some actuality of heat and some remaining potentiality of heat. Earlier it was stated that there was a qualifying clause in Aristotle’s definition which seemed to intensify, rather than relieve, the contradiction. This refers to the he toiouton, or he kineton, or he dunaton, which appears in each version of the definition, and which, being grammatically dependent on entelecheia, signifies something the very actuality of which is potentiality. The Thomistic blend of actuality and potentiality has the characteristic that, to the extent that it is actual it is not potential and to the extent that it is potential it is not actual; the hotter the water is, the less is it potentially hot, and the cooler it is, the less is it actually, the more potentially, hot.

The most serious defect in Saint Thomas’ interpretation of Aristotle’s definition is that, like Ross’ interpretation, it broadens, dilutes, cheapens, and trivializes the meaning of the word entelecheia. An immediate implication of the interpretations of both Thomas and Ross is that whatever happens to be the case right now is an entelecheia, as though being at 70 degrees Fahrenheit were an end determined by the nature of water, or as though something which is intrinsically so unstable as the instantaneous position of an arrow in flight deserved to be described by the word which Aristotle everywhere else reserves for complex organized states which persist, which hold out in being against internal and external causes tending to destroy them.

Aristotle’s definition of motion applies to any and every motion: the pencil falling to the floor, the white pages in the book turning yellow, the glue in the binding of the book being eaten by insects. Maimonides, Averroes, and Ross, who say that motion is always a transition or passage from potentiality to actuality, must call the being-on-the-floor of the pencil, the being-yellow of the pages, and the crumbled condition of the binding of the book actualities. Thomas, who says that motion is constituted at any moment by the joint presence of actuality and potentiality, is in a still worse position: he must call every position of the pencil on the way to the floor, every color of the pages on the way to being yellow, and every loss of a crumb from the binding an actuality. If these are actualities, then it is no wonder that philosophers such as Descartes rejected Aristotle’s account of motion as a useless redundancy, saying no more than that whatever changes, changes into that into which it changes.

We know however that the things Aristotle called actualities are limited in number, and constitute the world in its ordered finitude rather than in its random particularity. The actuality of the adult horse is one, although horses are many and all different from each other. Books and pencils are not actualities at all, even though they are organized wholes, since their organizations are products of human art, and they maintain themselves not as books and pencils but only as earth. Even the organized content of a book, such as that of the first three chapters of Book Three of Aristotle’s Physics, does not exist as an actuality, since it is only the new labor of each new reader that gives being to that content, in this case a very difficult labor. By this strict test, the only actualities in the world, that is, the only things which, by their own innate tendencies, maintain themselves in being as organized wholes, seem to be the animals and plants, the ever-the-same orbits of the ever-moving planets, and the universe as a whole. But Aristotle has said that every motion is an entelecheia; if we choose not to trivialize the meaning of entelecheia to make it applicable to motion, we must deepen our understanding of motion to make it applicable to the meaning of entelecheia.

7. What Motion Is

In the Metaphysics, Aristotle argues that if there is a distinction between potentiality and actuality at all, there must be a distinction between two kinds of potentiality. The man with sight, but with his eyes closed, differs from the blind man, although neither is seeing. The first man has the capacity to see, which the second man lacks. There are then potentialities as well as actualities in the world. But when the first man opens his eyes, has he lost the capacity to see? Obviously not; while he is seeing, his capacity to see is no longer merely a potentiality, but is a potentiality which has been put to work. The potentiality to see exists sometimes as active or at-work, and sometimes as inactive or latent. But this example seems to get us no closer to understanding motion, since seeing is just one of those activities which is not a motion. Let us consider, then, a man’s capacity to walk across the room. When he is sitting or standing or lying still, his capacity to walk is latent, like the sight of the man with his eyes closed; that capacity nevertheless has real being, distinguishing the man in question from a man who is crippled to the extent of having lost all potentiality to walk. When the man is walking across the room, his capacity to walk has been put to work. But while he is walking, what has happened to his capacity to be at the other side of the room, which was also latent before he began to walk? It too is a potentiality which has been put to work by the act of walking. Once he has reached the other side of the room, his potentiality to be there has been actualized in Ross’ sense of the term, but while he is walking, his potentiality to be on the other side of the room is not merely latent, and is not yet canceled by, an actuality in the weak sense, the so-called actuality of being on that other side of the room; while he is walking his potentiality to be on the other side of the room is actual just as a potentiality. The actuality of the potentiality to be on the other side of the room, as just that potentiality, is neither more nor less than the walking across the room.

A similar analysis will apply to any motion whatever. The growth of the puppy is not the actualization of its potentiality to be a dog, but the actuality of that potentiality as a potentiality. The falling of the pencil is the actuality of its potentiality to be on the floor, in actuality as just that: as a potentiality to be on the floor. In each case the motion is just the potentiality qua actual and the actuality qua potential. And the sense we thus give to the word entelecheia is not at odds with its other uses: a motion is like an animal in that it remains completely and exactly what it is through time. My walking across the room is no more a motion as the last step is being taken than at any earlier point. Every motion is a complex whole, an enduring unity which organizes distinct parts, such as the various positions through which the falling pencil passes. As parts of the motion of the pencil, these positions, though distinct, function identically in the ordered continuity determined by the potentiality of the pencil to be on the floor. Things have being to the extent that they are or are part of determinate wholes, so that to be means to be something, and change has being because it always is or is part of some determinate potentiality, at work and manifest in the world as change.

8. Zeno’s Paradoxes and Aristotle’s Definition of Motion

Consider the application of Aristotle’s account of motion to two paradoxes famous in antiquity. Zeno argued in various ways that there is no motion. According to one of his arguments, the arrow in flight is always in some one place, therefore always at rest, and therefore never in motion. We can deduce from Aristotle’s definition that Zeno has made the same error, technically called the fallacy of composition, as one who would argue that no animal is alive since its head, when cut off, is not alive, its blood, when drawn out, is not alive, its bones, when removed are not alive, and so on with each part in turn. The second paradox is one attributed to Heraclitus, and taken as proving that there is nothing but motion, that is, no identity, in the world. The saying goes that one cannot step into the same river twice. If the river flows, how can it continue to be itself? But the flux of the river, like the flight of the arrow, is an actuality of just the kind Aristotle formulates in his definition of motion. The river is always the same, as a river, precisely because it is never the same as water. To be a river is to be the always identical actuality of the potentiality of water to be in the sea.

For more discussion of Aristotle’s solution to Zeno’s paradoxes, see “Zeno: Aristotle’s Treatment of Zeno’s Paradoxes.”

9. References and Further Reading

  • Aristotle, Metaphysics, Joe Sachs (trans.), Green Lion Press, 1999.
  • Aristotle, Nicomachean Ethics, Joe Sachs (trans.), Focus Philosophical Library, Pullins Press, 2002.
  • Aristotle, On the Soul, Joe Sachs (trans.), Green Lion Press, 2001.
  • Aristotle, Poetics, Joe Sachs (trans.), Focus Philosophical Library, Pullins Press, 2006.
  • Aristotle, Physics, Joe Sachs (trans.), Rutgers U. P., 1995.
  • Kosman, L. A. “Aristotle’s Definition of Motion,” Phronesis, 1969.

Author Information

Joe Sachs
Email: joe.sachs@sjc.edu
St. John’s College
U. S. A.

Kashmiri Shaiva Philosophy

What is commonly called “Kashmiri Shaivism” is actually a group of several monistic and tantric religious traditions that flourished in Kashmir from the latter centuries of the first millennium C.E. through the early centuries of the second. These traditions have survived only in an attenuated form among the Brahmans of Kashmir, but there have recently been efforts to revive them in India and globally. These traditions must be distinguished from a dualistic Shaiva Siddhānta tradition that also flourished in medieval Kashmir. The most salient philosophy of monistic Kashmiri Shaivism is the Pratyabhijnā, or “Recognition,” system propounded in the writings of Utpaladeva (c. 925-975 C.E.) and Abhinavagupta (c. 975-1025 C.E.). Abhinavagupta’s disciple Kshemarāja (c. 1000-1050) and other successors interpreted that philosophy as defining retrospectively the significance of earlier monistic Shaiva theology and philosophy. This article will focus on the historical development and basic teachings of the Pratyabhijnā philosophy.

Table of Contents

  1. Historical Development of Monistic Shaiva Philosophy in Kashmir
    1. Tantra and Kashmiri Shaivism
    2. Basic Ritual Pattern of Kashmiri Shaivism
    3. Domestication of Kashmiri Shaiva Thought
    4. “Trika” Sub-tradition of Shaivism
  2. Basic Themes of Somānanda’s Shivadrishti
  3. Purposes and Methods of Utpaladeva’s and Abhinavagupta’s Pratyabhijnā System
  4. The Pratyabhijnā Epistemology
  5. The Pratyabhijnā Ontology: The Syntax of Empowered Identity
  6. References and Further Reading

1. Historical Development of Monistic Shaiva Philosophy in Kashmir

The great cultural dynamism of medieval Kashmir included a number of cults that scholars now classify as “tantric,” including the interweaving Shaiva (Siva worshiping) and Shākta (Goddess worshiping) lineages the Vaishnava Pancarātra (an esoteric tradition centered around the worship of Visnu) and the Buddhist Vajrāyana tradition.

a. Tantra and Kashmiri Shaivism

While tantrism is a complex and controversial subject, one of its most definitive characteristics for contemporary classifications—if not its most definitive one—is the pursuit of power. Tantric traditions are thus those that aim at increasing the power of the practitioner. The theological designation for the essence of such power is Shakti (the female counterpart to the male divine principle, whose essence is power). The manifestations of Shakti that the practitioner of tantra aspire after vary greatly, from relatively limited magical proficiencies (siddhis or vibhūtis), through royal power, to the deindividualized and liberated saint’s omnipotence to the performance of God’s cosmic acts.

In his seminal essay, “Purity and Power among the Brahmans of Kashmir,” the Oxford historian Alexis Sanderson elucidates that the tantric pursuit of such power transgresses orthodox, mainstream Hindu norms that delimit human agency for the sake of symbolic and ritual purity (shuddhi) (Sanderson 1985). Violating prescriptions regarding caste, sexuality, diet and death, many of the tantric rites were originally performed in cremation grounds.

Whereas in Shākta tantrism, Shakti as a Goddess is herself the ultimate deity, in monistic Kashmiri Shaivism she is incorporated into the metaphysical essence of the God Shiva. Shiva is the Shaktiman (the “possessor of Shakti”) encompassing her within his androgynous nature as his integral power and consort. According to the predominant monistic Shaiva myth, Shiva out of a kind of play divides himself from Shakti and then in sexual union emanates and controls the universe through her.

b. Basic Ritual Pattern of Kashmiri Shaivism

The basic pattern of spiritual practice, which also reflects the appropriation of Goddess worship (Shaktism) by Shaivism is the approach to Shiva through Shakti. As the Shaiva scripture Vijnāna-Bhairava proclaims, Shakti is the door. The adept pursues the realization of identity with the omnipotent Shiva by assuming his mythic agency in emanating and controlling the universe through Shakti. Thus in the sexual ritual a man realizes himself as the possessor of Shakti within his partner. In more frequent internalized “theosophical” contemplations one realizes oneself as the possessor of Shakti in all her immanent modalities with the aid of circular diagrams of cosmogenesis (mandalas) and mantras.

c. Domestication of Kashmiri Shaiva Thought

Scholars identify some of the preconditions for the eventual development of monistic Shaiva philosophical discourse in the trend of medieval tantric movements to “domesticize” themselves by assimilating to upper-caste Hindu norms. Radical practices were toned down, concealed under the guise of propriety, or interpreted as metaphors of internal contemplations.

An expression of this same process was the production by monistic Shaiva Brahmans of increasingly systematic manuals of doctrines and practices on the model of Sanskrit scholastic texts (shāstras). This creation of what may be described as a religious mission to the educated elites also led to the increasing consolidation of the various streams of monistic Shaivism. This development began in the ninth century with Vasugupta’s transmission of the manual Shiva Sūtra, ostensibly revealed to him by Shiva himself; and the further systematization of its teachings by either Vasugupta or his disciple Kallata in the Spanda Kārikā. These two works and their commentaries form the core texts of the “Spanda system” of monistic Shaivism, known for its interpretation of Shakti as spanda, “cosmic pulsation.”

d. “Trika” Sub-tradition of Shaivism

The tradition of monistic Shaivism called “Trika” (referring to its emphasis on various triads of modalities of Shakti and cosmic levels) produced the first work of full-fledged scholastic philosophy. This was the Shivadrishti, “Cognition of Shiva,” by Somānanda (c. 900-950 C.E.). (See the summary of themes of the Shivadrishti below.)

Utpaladeva, a student of Somānanda, wrote a commentary on the Shivadrishti, the Shivadrishtivritti. He also wrote several other works interpreting and furthering the work of Somānanda with much greater sophistication. Those texts are the foundational works of the Pratyabhijnā philosophy of focus in this article. The most comprehensive of these texts are the Īshvarapratyabhijnākārikā, “Verses on the Recognition of the Lord,” and two commentaries on the Verses, the short Īshvarapratyabhijnākārikāvritti, and the more detailed Īshvarapratyabhijnāvivriti. (The latter text has been accessible to contemporary scholars only in fragments.) Utpaladeva also wrote a trilogy of more specialized philosophical studies, the Siddhitrayī, “Three Proofs”—Īshvarasiddhi, “Proof of the Lord;” Ajadapramātrisiddhi, “Proof of a Subject who is not Insentient;” and Sambandhasiddhi, “Proof of Relation.”

Abhinavagupta, widely recognized as one of the greatest philosophers of South Asia, was a disciple of a disciple of Utpaladeva. Abhinava profoundly elaborated and augmented Utpaladeva’s arguments in long commentaries, one directly on the Verses, the Īshvarapratyabhijnāvimarshinī; and the other on Utpaladeva’s longer autocommentary, the Īshvarapratyabhijnāvivritivimarshinī.

While Abhinavagupta’s Pratyabhijnā commentaries are of paramount philosophical importance, this thinker’s greatest significance in the history of tantrism is probably his effort, in his monumental Tantrāloka and numerous other works, to systematize and provide a critical philosophical structure to non-philosophical tantric theology. Abhinava utilized categories from the Pratyabhijnā philosophy to interpret and organize the diverse aspects of doctrine and practice and Shaiva symbolism from the “Trika” sub-tradition; and he synthesized under the rubric of this philosophically rationalized Trika Shaivism an enormous range of symbolism and practice from other Shaiva and Shākta traditions as well. Abhinavagupta is also renowned for his works on Sanskrit poetics—in which he interpreted aesthetic experience as homologous to, and practically approaching the monistic Shaiva soteriological realization.

Abhinava’s own disciple, Kshemarāja, further pursued his teacher’s agendas with a simplified manual of monistic Shaiva doctrine and practice, the Pratyabhijnāhridaya, “Heart of Recognition,” and several lengthy commentaries on tantric scriptures. As further diffused through these and subsequent works, Utpaladeva’s and Abhinavagupta’s philosophical thought came to have a large influence on tantric and devotional (bhakti) traditions throughout South Asia.

2. Basic Themes of Somānanda’s Shivadrishti

While the focus of this article is on Utpaladeva’s and Abhinavagupta’s Pratyabhijnā philosophy, mention should be made of some of the basic themes of Somānanda’s precursory Shivadrishti.

Somānanda’s broadest concern is to explain how Shiva through the various modalities of his Shakti emanates a real universe that remains identical with himself. In establishing the Shaiva doctrine he refutes a number of alternative views on ultimate reality, the self, God and the metaphysical status of the world. He devotes the greatest polemical efforts against the theories of the 4th-6th century Vaiyākarana (or “Grammarian”) philosopher Bhartrihari.

According to Bhartrihari, the ultimate reality is the Word Absolute (shabdabrahman)—a super-linguistic plenum, which fragments and emanates into the multiplicity of forms of expressive speech and referents of that speech. Somānanda repudiates the view that a linguistic entity could be the ultimate reality, while at the same time identifying the true source of language as the Sound (nāda) integral to Shiva’s creative power.

Somānanda takes a less polemical approach towards Shāktism. He argues that there is ultimately no difference between Shakti and Shiva, who is the possessor of Shakti. He supports this contention with the analogy of the inseparability of heat from fire, which is the possessor of heat. Nevertheless, he asserts that it is more proper to refer to the ultimate reality as Shiva rather than Shakti. Other Hindu schools criticized by Somānanda include the Pancarātra as well as the Vedānta, Sāmkhya and Nyāya-Vaisheshika systems.

Somānanda briefly adduces some considerations against the Buddhist theory of momentariness, which were directly picked up and elaborated by Utpaladeva and Abhinavagupta. The most important of these was his advertence to the experience of recognition (pratyabhijnā) as evidence both for the continuity of entities from the past through the present, and for the self that connects the past and present experiences of those entities. It was originally the Nyāya-Vaisheshika school that adduced such considerations against the Buddhists, and the ninth-century Shaiva Siddhānta thinker Sadyojyoti in his Nareshvaraparīkshā had also recently employed these arguments. Somānanda introduced them to monistic Shaiva philosophical reflection with great future consequences.

Somānanda’s claims that synthetic categories or universals are more primitive than particulars, and his invocation of Sanskrit syntax to explain Shiva’s agency likewise had an important impact on Utpaladeva and Abhinavagupta. (See below.) Also noteworthy is Somānanda’s advocacy of a “panpsychist” theory that all things, which emanate from the consciousness of Shiva, have their own consciousness and agency. Somānanda additionally engages in reflecting on the contemplations that lead to the realization of identity with Shiva.

3. Purposes and Methods of Utpaladeva’s and Abhinavagupta’s Pratyabhijnā System

Utpaladeva and Abhinavagupta ambitiously conceive the Pratyabhijnā system as both a philosophical apologetics (which follows Sanskritic standards of scholastic argument) and an internalized form of tantric ritual that leads students directly to identification with Shiva. They explain the basic means by which the system conveys Shiva-identity according to the same basic ritual pattern described above, as shaktyāvishkarana, “the revealing of Shakti.”

The Pratyabhijnā philosophers, however, also frame Shakti as the reason of a publicly assessable inference, or “inference for the sake of others” (parārthānumāna). According to the scholastic logic, the reason identifies a quality in the inferential subject “I” known to be invariably concomitant with the predicate, “Shiva.” Thus I am Shiva because I have his quality, that is, Shakti, the capacity of emanating and controlling the universe.

4. The Pratyabhijnā Epistemology

In order to address debates on epistemology that were then current, Utpaladeva and Abhinavagupta further explain the mythic and ritual pattern of Shiva and Shakti in terms of recognition. The specific problem the writers address had been formulated by the Buddhist logic school of Dignāga and Dharmakīrti, which flourished in medieval Kashmir. Contemporary interpreters have characterized the philosophy of Buddhist logic as a species of phenomenalism akin to that of David Hume. According to this school, the foundation of knowledge is a series of momentary and discrete perceptual data (svalakshana). There are no grounds in those data for the recognitions of any enduring entities through ostensible cognitions utilizing linguistic or conceptual interpretation (savikalpaka jnāna). In debates over several centuries, the Buddhist logicians had propounded arguments attacking many concepts that seemed commonsensical and were religiously significant to the various orthodox Hindu philosophical schools—such as ideas of external objects, ordinary and ritual action, an enduring Self, God, and revelation.

The Pratyabhijnā philosophers’ response to the problematic posed by Buddhist logic revolutionized earlier approaches of the Nyaya philosophers, the Shaiva Siddhāntin Sadyojyoti and even Utpaladeva’s teacher Somānanda, and may be characterized as a form of transcendental argumentation. Utpaladeva and Abhinavagupta interpret their central myth of Shiva’s emanation and control of the universe through Shakti as itself an act of self-recognition (ahampratyavamarsha, pratyabhijnā). Furthermore, abjuring Somānanda’s agonistic stance towards Bhartrihari, they also equate Shiva’s self-recognition (Shakti) with the principle of Supreme Speech (parāvāk), which they derive from the Grammarian. They thereby appropriate the Grammarian’s explanation of creation as linguistic in nature. Thus the Kashmiri Shaiva philosophers ascribe to Speech a primordial status, denied by the Buddhist logicians.

As ritual recapitulates myth, the Pratyabhijnā system endeavors to lead the student to participate in the recognition “I am Shiva,” by demonstrating that all experiences and contents of experience are expressions of the recognition that “I am Shiva.” The paradox of the Pratyabhijnā formulation of the inference for the sake of others is that the self-recognition “I am Shiva,” as an interpretation of Shakti, becomes in effect both the conclusion and the reason. This circularity of conclusion and reason is a consequence of the Kashmiri Shaiva monism. From the intratraditional perspective, there is no fact that can be adduced in support of another separate fact, as everything is always the same in essential nature. From the intertraditional perspective of philosophical debate, however, the circularity is not necessarily destructive. The Shaiva technical studies of various topics of epistemology and ontology in effect provide further ostensible justification for this apparent circularity.

Utpaladeva’s and Abhinavagupta’s epistemology may best be illustrated by its approach to perceptual cognition. The Pratyabhijnā arguments on this subject may be divided into those centered around two sets of terms: prakāsha; and vimarsha and cognates such as pratyavamarsha and parāmarsha.

Prakāsha is the “bare subjective awareness” that validates each cognition, so that one knows that one knows. The thrust of the arguments about prakāsha is analogous to George Berkeley’s thesis of idealism that esse est percipi. The Shaivas contend that, as no object is known without validating awareness, this awareness actually constitutes all objects. There is no ground even for a “representationalist” inference of objects external to awareness that cause its diverse contents, because causality can be posited only between phenomena of which one has been aware. Furthermore, the Kashmiri Shaivas argue that there cannot be another subject outside of one’s own awareness. They conclude, however, not with solipsism as usually understood in the West, but a conception of a universal awareness. All sentient and insentient beings are essentially one awareness.

Vimarsha and its cognates have the significance of apprehension or judgment with a recognitive structure, and may be glossed as “recognitive apprehension.” (The recognitive is the act of recognizing or an awareness that something perceived has been perceived before.) Utpaladeva’s and Abhinavagupta’s arguments centering on these terms develop earlier considerations of Bhartrihari on the linguistic nature of experience. Utpaladeva and Abhinavagupta refute the Buddhist contention that recognition is a contingent reaction to direct experience by claiming that it is integral or transcendental to all experience. Some of the considerations they adduce to support this claim are the following: that children must build upon a subtle, innate form of linguistic apprehension in their learning of conventional language; that there must be a recognitive ordering of our most basic experiences of situations and movements in order to account for our ability to perform rapid behaviors; and that some form of subtle application of language in all experiences is necessary in order to account for our ability to remember them.

The two phases of argument operate together. The idealistic prakāsha arguments make the recognition shown by the vimarsha arguments to be integral to all epistemic processes, constitutive of them and their objects. Moreover, on the radical logic of the Kashmiri Shaiva idealism, the recognition generating all things belongs to one subject. It must therefore be his self-recognition. As it is through the monistic subject’s self-recognition that all phenomena are created, the Pratyabhijnā thinkers have ostensibly demonstrated their cosmogonic myth of Shiva’s emanation through Shakti in terms of self-recognition. The student, by coming to see this self-recognition as the inner reality of all that is experienced, is led to full participation in it.

Also noteworthy is the Kashmiri Shaiva theory of what may be called “semantic exclusion” (apoha). This concept had originally been formulated by the Buddhist logicians to explain a nonepistemic “coordination” (sārūpya) between language and momentary perceptual data as the basis for successful reference in communication and behaviors. According to the Buddhists, words have no isomorphism with the sense data, but only exclude other words that would not lead to successful behavior. The only reference of the word “cow” to a perceived particular is that it excludes non-cows, for example, a horse, a car, and so on. The Buddhist theory has an interesting point of agreement with contemporary structuralist and poststructuralist conceptions of the determination of linguistic value by difference, although it is not formulated like the latter (that is, on the basis of considerations about the systematicity of entire languages).

Utpaladeva and Abhinavagupta argue that exclusion itself depends upon a comparative synthesis, or recognition, of what does and does not fit within particular categories. We recognize that the cow is not a non-cow such as a horse. The Pratyabhijnā theorists thus in effect explain difference itself as a kind of similarity. Difference is identified in various circumstances like other forms of similarity. According to the Shaivas such difference-identification is one of the principal expressions of Shiva’s emanating self-recognition.

5. The Pratyabhijnā Ontology: The Syntax of Empowered Identity

Just as Utpaladeva and Abhinavagupta appropriate Bhartrihari in equating self-recognition with Supreme Speech and thereby interpreting recognitive apprehension as linguistic in nature, they also follow the Grammarian school in interpreting being or existence (sattā) (the generic referent of language) as action (kriyā). The Grammarian view itself originated in Brahmanic interpretations of the Veda as expressing injunctions for sacrifice. The Kashmiri Shaivas further agree with much of Vedic exegetics in conceiving being as both narrative and recapitulatory ritual action. Following the account above, it is Shiva’s mythic action through Shakti as self-recognition that constitutes all experience and objects of experience, and that is reenacted by philosophical discourse.

The Pratyabhijnā thinkers propound their philosophy of Shiva’s action to explain a wide range of topics of ontology. One of their concerns is to describe how Shiva’s action generates a multiplicity of relationships (sambandha) or universals (sāmānya) as the referents of discrete instances of recognitive apprehension. With this theory they attempt to subvert the Buddhist logicians’ contention that evanescent particulars are ontologically fundamental. For the Shaivas, categories are primitive, and particulars are formed out of syntheses of those categories.

Most illustrative of the Pratyabhijnā thinkers’ “mythico-ritual approach” to ontology is their use of theories of Sanskrit syntax to explain Shiva’s action. Again reflecting the Vedic roots of South Asian philosophies, many schools of Hinduism and Buddhism—even those which do not view all existence as action—frequently advert to considerations of action syntax in treating ontological or metaphysical topics. The relevant considerations pertain to how verbs articulating action relate to declined nouns indicating the concomitants of action (kārakas)—in English, roughly, the agent, object, instrument, purpose, source and location. Now, most Sanskritic philosophies, Hindu as well as Buddhist, have tended to delimit the syntactic role of the agent (kartri kāraka)—to different degrees, but sometimes quite strongly. The explicit and implicit reasons for this tendency are complex. At one level it evidently reflects the orthodox Brahmanic norms that subordinate the individual’s agency to the order of objective ritual behavior—pertaining to sacrifice, caste, life cycle, and so on. It also seems more broadly to reflect both Hindu and Buddhist concepts of the agent’s bondage to the process of action and result (karma) extending across rebirths (see Gerow 1982). The mainstream Buddhist philosophies completely deny the existence of a self in the dependent origination (pratītyasamutpāda) of karma.

Developing suggestions of Somānanda, the Pratyabhijnā philosophers expound a distinctive theory of agency to rationalize their tantric mythic and ritual drama of omnipotence. In their theory they take up several earlier understandings of the positive albeit delimited role of the agent and radicalize them. According to the Kashmiri Shaivas, all causal processes and other relationships constituting the universe are synthesized and impelled by the mythic agency of Shiva in his act of self-recognition. Shiva’s agency encompasses the actions of sentient beings as well as the motions and transformations of insentient beings. The Kashmiri Shaivas ultimately reduce the entire action of existence to agency. As Abhinavagupta explains, “Being is the agency of the act of becoming, that is, the freedom characteristic of an agent regarding all actions (Īshvarapratyabhijnāvimarshinī, 1.5.14, 1:258-59).”

Again, this theory of omnificent syntactic agency is ritually axiomatic as well as mythical. Utpaladeva describes the method of the Pratyabhijnā philosophy, in a manner homologous to the epistemology of recognition, as leading to salvation through the contemplation of one’s status as the agent of the universe. Abhinavagupta likewise, in his explanation of the preliminary ceremonies of the tantric ritual, identifies various components of the ritual—such as the location, ritual implements and object of sacrifice, flowers, and oblations—with the Sanskrit grammatical cases. He explains that the aspirant’s goal in the ritual action is identification with Shiva as agent of all the cases.

6. References and Further Reading

(References are given only to works available in English.)

  • Dyczkowski, Mark S.G. The Doctrine of Vibration: An Analysis of the Doctrines and Practices of Kashmir Shaivism. Albany, New York: State University of New York Press, 1987.
    • An historical introduction to monistic Kashmiri Shaiva religion and philosophy, centering on the Spanda system.
  • Dyczkowski, Mark S.G, trans. The Stanzas of Vibration: The Spandakārikā with Four Commentaries. Albany: State University of New York Press, 1992.
    • Elucidates how the Spanda system was interpreted in the light of the subsequent Pratyabhijnā philosophy.
  • Lawrence, David Peter. Rediscovering God with Transcendental Argument: A Contemporary Interpretation of Monistic Kashmiri Shaiva Philosophy. Albany: State University of New York Press, 1999.
    • Analyzes the Pratyabhijnā methodology and engages its substantive theories with Western philosophy and theology.
  • Muller-Ortega, Paul Eduardo. The Triadic Heart of Shiva: Kaula Tantricism of Abhinavagupta in the Non-Dual Shaivism of Kashmir. Albany: State University of New York Press, 1989.
    • Provides insight into Abhinavagupta’s synthetic spiritual theology, focusing on symbolism of the heart.
  • Pandey, K.C., trans. Īshvarapratyabhijnāvimarshinī of Abhinavagupta, Doctrine of Divine Recognition. Vol. 3. Delhi: Motilal Banarsidass, 1986.
    • The only published translation of Abhinavagupta’s shorter Pratyabhijnā commentary; a pioneering work, though problematic and rather opaque to nonspecialists.
  • Sanderson, Alexis. “Purity and Power Among the Brahmans of Kashmir.” In The Category of the Person: Anthropology, Philosophy, History, ed. Michael Carrithers, Steven Collins and Steven Lukes, 190-216. Cambridge: Cambridge University Press, 1985.
    • The first of a series of groundbreaking articles by this scholar on the social history of monistic Kashmiri Shaivism.
  • Singh, Jaideva, ed. and trans. Pratyabhijnāhridayam: The Secret of Self-Recognition. Delhi: Motilal Banarsidass, 1980.
    • A manual of basic principles of monistic Shaiva doctrine and practice in the light of Pratyabhijnā philosophy by Abhinavagupta’s disciple Kshemarāja.
  • Singh, Jaideva, ed. and trans. Shivasūtras: The Yoga of Supreme Identity; Text of the Sūtras and the Commentary Vimarshinī of Kshemarāja. Delhi: Motilal Banarsidass, 1979.
    • An accessible translation and introduction to one of the core texts of monistic Kashmiri Shaivism.
  • Torella, Raffaele, ed. and trans. The Īshvarapratyabhijnākārikā of Utpaladeva with the Author’s Vritti. Corrected Edition. Delhi: Motilal Banarsidass, 2002.
    • A foundational text and commentary on Pratyabhijnā philosophy with detailed scholarly annotations.
  • White, David. Kiss of the Yoginī. Chicago: University of Chicago Press, 2003.
    • An important though controversial recent work that argues—against “domesticizing” interpretations—that the tantric quest for power (Shakti) originated in ancient siddha practices aimed at gaining benefits from dangerous female divinities through offerings of sexual fluids.

Author Information

David Peter Lawrence
Email: davidptrlawrenc@netscape.net
University of Manitoba
Canada

Universals

Universals are a class of mind-independent entities, usually contrasted with individuals (or so-called “particulars”), postulated to ground and explain relations of qualitative identity and resemblance among individuals. Individuals are said to be similar in virtue of sharing universals. An apple and a ruby are both red, for example, and their common redness results from sharing a universal. If they are both red at the same time, the universal, red, must be in two places at once. This makes universals quite different from individuals; and it makes them controversial.

Whether universals are in fact required to explain relations of qualitative identity and resemblance among individuals has engaged metaphysicians for two thousand years. Disputants fall into one of three broad camps. Realists endorse universals. Conceptualists and Nominalists, on the other hand, refuse to accept universals and deny that they are needed. Conceptualists explain similarity among individuals by appealing to general concepts or ideas, things that exist only in minds. Nominalists, in contrast, are content to leave relations of qualitative resemblance brute and ungrounded. Numerous versions of Nominalism have been proposed, some with a great deal of sophistication. Contemporary philosophy has seen the rise of a new form of Nominalism, one that makes use of a special class of individuals, known as tropes. Familiar individuals have many properties, but tropes are single property instances. Whether Trope Nominalism improves on earlier Nominalist theories is the subject of much recent debate. In general, questions surrounding universals touch upon some of the oldest, deepest, and most abstract of philosophical issues.

Table of Contents

  1. Introduction
    1. The Nature of Universals
    2. Reasons to Postulate Universals
    3. The Problem of Universals
  2. Versions of Realism
    1. Extreme Realism
    2. Strong Realism
    3. Objections to Realism
  3. Versions of Anti-Realism
    1. Predicate Nominalism
    2. Resemblance Nominalism
    3. Trope Nominalism
    4. Conceptualism
  4. Concluding Thoughts
  5. References and Further Reading

1. Introduction

An inventory of reality’s most fundamental entities would almost certainly include individuals. Individuals are singular objects. They can exist over time, but in only one place at a time. Individuals also have properties (also called qualities), at least most of which can vary over time. A ripening apple goes from being green to being red, for instance. Almost everyone agrees that individual apples exist, and that they are colored, but are redness and greenness entities themselves? If so, what are they like? And if redness and greenness are not real entities, how could our apple be colored at all? Without its distinctive qualities, an apple wouldn’t even be an apple.

Let us use the term “universal” for properties (or qualities).  In a philosophical tone of voice we can now ask, “Are there really such universals? If so, what is their nature? How are they related to individuals?” These questions start us down a road philosophers have been exploring since philosophy itself was young.

We can approach the question about the existence of universals from a linguistic perspective. Consider how often we speak of things having properties: “That apple is red;” “The oven is hot;” or “My shirt is dirty.” Such sentences have a subject-predicate structure. The subject term refers to the individual described in the sentence. The predicate, on the other hand, describes; it tells us something about the way that individual is, how it is qualified. Do predicates also refer? Some philosophers think they do. Alongside the individuals picked out by subject terms of sentences, it is thought, there are entities of a different kind, picked out by predicates. Once again we can call these “universals”.

Prima facie, there seems to be every reason to believe in universals. They look to be just as much a part of our experience as individuals are. Philosophical questions and problems arise, however, when we try to specify their natures. If universals are real, but are not individuals, what are they? Some philosophers contend that universals are too strange to accept into our world view. In a similar vein, it has been alleged that any philosophical work done by universals can be done just as well without them; whether they are strange or not, many argue, universals are simply unnecessary. Of course, it would need to be shown that universals really can be dispensed with, and we’ll return to this controversy. But first we will examine competing Realist conceptions of the nature of universals.

a. The Nature of Universals

In fundamental debates in metaphysics, it can be useful to understand the type of entity or concept in contrastive terms. For instance, it is helpful to understand universals by contrasting them with individuals. What then, is an individual, or a particular, in the philosophical or metaphysical sense of the term?

Traditionally, the term “individual” is used to pick out members of a certain category of existents, each member of which is said to be unique. More precisely, individuals are said to be non-repeatable (not multi-exemplifiable), which means that they can’t be in more than one place at a time. Examples include the familiar objects of sense-experience, such as chairs or tigers. A room may contain many chairs that are virtually alike in their intrinsic qualities, but each chair is nonetheless a distinct thing in one place at one time. By contrast, the universal “chair” is repeated around the room.

The individuals familiar from experience are also said to be material: they fill regions of space with impenetrable “stuff,” and are locatable in space and time. Some philosophers are committed to other types of individuals, as well: immaterial ones (such as souls and sense-data) and even ones that are also outside space and time (such as numbers and God). The crucial contrast for our purposes, however, is between what are repeatable (universals) and what are not (individuals).

Although individuals are nonrepeatable, universals can serve their characteristic functions only if they differ from individuals in this respect. In order to ground relations of qualitative identity, for instance, universals must be multi-exemplifiable (or repeatable), able to be here and there at the same time. My apple and yours are both individuals, and this implies that each can be in only one place at a time. But if the redness they share is a universal, then the redness they share is a real non-individual, literally in both. The apples are similar in virtue of sharing this universal, redness. And if redness is shared in this way, then it is in at least two places at once.

As we proceed we will get more precise about these characterizations, and explore variations that have been defended in opposing Realist accounts. But we can appreciate already why some philosophers balk at the existence of universals. For, as just noted, all defenders want to say that universals are repeatable. It seems, however, that defenders of universals must also say that universals are wholly present in each of the places they exist.

To explain, suppose we were to destroy one of the apples considered above. We’d have one fewer individual, to be sure. Would there be a diminishment of redness itself? It doesn’t seem so, since redness is held to be an entity in its own right. Nor does it seem to make sense to say that redness increases when another apple ripens and turns red. These considerations suggest that a universal is wholly present in each of its instances, and that the existence of a universal at one place is unrelated to its simultaneous existence at any other place. It’s not clear, however, how universals could be both wholly present in each of the places they exist, and, at the same time, present in many different places at once. This certainly would make them unusual, to say the least.

Moreover, it seems to be a mark of materiality that a material thing can be in only one place at a time. If so, then universals cannot be material. This in turn creates a problem when it comes to causation. For as we usually understand causal relations, one thing affects another by interacting with it, say by colliding with it. But that seems possible only if the entities in question are material. For these reasons it is difficult to explain how universals interact with other things that exist. The puzzle becomes more acute when we wonder how we can know universals at all. Don’t they have to interact with our brains for us to know them? If they are not material, this interaction is quite mysterious.

In summation, we’ve seen that universals are quite different from individuals, and in ways that make them odd. Philosophers with low tolerance for strangeness tend to dismiss them for these reasons. Why, then, do some philosophers continue to believe in them, despite their unusual natures?

b. Reasons to Postulate Universals

Universals are called on to serve many philosophical functions. For most of this article, we’ll focus on one particularly famous one – the role universals play in professed solutions to what has come to be called “The Problem of Universals.”

First, a word or two about postulating entities is in order. Here we might compare the philosophical enterprise of deciding whether universals exist with the scientific enterprise of deciding whether strange unobservable entities, like quarks or neutrinos, exist. The scientific case is itself controversial, but many scientists and philosophers believe in the existence of unobservables, provided the theories that postulate them best explain the observable phenomena under study. For example, many believe the universe contains what physicists call “black holes,” in part because the best (perhaps only) way to explain a range of stellar phenomena is to suppose that black holes are responsible. Again, this is controversial, but if the explanation provided is the best (or only) explanation, many scientists and philosophers claim a right to believe the postulated unobservables exist.

In parallel, we now ask, “Are there any philosophical puzzles or problems that can best be solved by believing in universals?” In fact, universals have been called on to answer a range of philosophical questions. Recall our points about subjects, predicates and reference. Prima facie, a name wouldn’t be a name if there weren’t something for it to refer to. Some philosophers think that the meaning of a name just is its referent. What about general terms, terms that can be said of many things, such as “red“ or “wise”? What gives those terms meaning? Some have said that predicates must have referents to be meaningful, and universals fit the bill.

Universals have also been called on to solve problems in the theory of knowledge. Plato, for instance, said that for us to know something, that which is known must be unchanging. Since material individuals are subject to change, Plato argued, there must be things that don’t change, suitable as objects of genuine knowledge, not just belief. Universals might fit the bill here, too.

Relatedly, some philosophers have argued that we need universals to understand the stable, unchanging laws of nature that govern individuals’ changes. Indeed, it has been argued that a law of nature just is a relation among universals, by which one universal brings about, or necessitates, others.

Our focus in this essay concerns another role for universals, perhaps the most famous one. They are said to answer what seems a very simple question, but which turns out to be one of the most famous and long-standing issues in philosophy. This returns us to the so-called “Problem of Universals.”

c. The Problem of Universals

Often we predicate properties of individuals. When we say that both cherries and rubies are red, for instance, we seem to say individuals share common properties, those that make cherries cherries, those that make rubies rubies, and those that make both red. Predicates are said of many subjects, then, but is there anything in reality to match the linguistic one-over-many? Are there general truths? Is there commonality in nature, in reality; or is commonality imagined and illusory, perhaps a mere product of language? If the latter, how can we accommodate the intuition that it is the world, and not our conventions, that make predications true or false? The Problem of Universals arises when we ask these questions. Attempts to solve this problem divide into three broad strategies: Realism, Nominalism, and Conceptualism. We’ll take these in turn, and consider the pros and cons of each.

2. Versions of Realism

We’ll begin by examining versions of Realism, all of which claim that yes, there are universals; yes, there are truths about the general; yes, there is commonality in nature. Unless we accept universals into our world view, the Realist argues, we will be unable to explain a fundamental and apparent fact, namely, that there is genuine commonality and systematicity in nature. Again, experience suggests that the individuals we encounter share properties with other individuals. Some are red, and some are not; some are blue, and some are not; some are emeralds, and some are not. Realists claim what makes it the case that these individuals seem to share properties is that in fact they do. There is an entity, a universal, present in each of these individuals at once, which in turn explains our right to say that they are qualitatively identical.

a. Extreme Realism

The oldest, and most famous, variant of Realism comes from Plato. Plato’s position is that in order to explain the qualitative identity of distinct individuals, we must accept that there is another entity besides the resembling individuals, an entity we’ve called a universal, and which Plato would call a Form. If two apples, for example, are both red, this is because there is a Form of Red that is able to manifest itself in both those apples at once.

Really there are three different components in this picture. There is the individual, a particular apple; there is the red of that apple – which exists right “in” or with that apple; and finally, there is the Form of Red, which manifests itself in the red of this apple (and of course, the red of other apples). What, then, is the nature of the Form itself, which provides for the bit of red we see in this apple or in that?

On Plato’s view, Forms are immaterial. They are also outside of space and time altogether. They are wholly abstract, we might say. Of course, for the Form of Red to make an individual apple red, the Form must somehow be related to the apple. Plato postulates a relation of participation to meet this need, and speaks of things “participating” in Forms, and getting their qualities by virtue of this relation of participation. One last point about the nature of Forms proves crucial. For the Form of Red to explain or ground the redness of an apple, the Form of Red must itself be red, or so it seems. How could a Form make an apple red, if the Form were not itself red?

As we noted, Plato’s account of generality was the first one, and it has held great appeal ever since. But it is also subject to serious criticisms. Interestingly, one of the most devastating objections to the theory of Forms comes from Plato himself. We will return later to this famous objection, which has come to be known as the Third Man Argument. Because of the power of this argument, many philosophers sympathetic to Realism have looked elsewhere for a solution to the Problem of Universals. We’ll explore one alternative now.

b. Strong Realism

Although the first position is credited to Plato, this next one is widely thought to be inspired by Aristotle. The key in this position is its rejection of independently existing Forms. As we noted in Section 2a., Extreme Realists posit an explanatory triad involving an individual, the quality of this individual, and the Form that grounds the quality of this individual (and that one, and others). Strong Realists, in contrast, resist this triad. When an individual has a quality, there is simply the individual and its quality. No third, independent thing is needed to ground possession of the quality. A universal, on this view, just is the quality that is in this individual and any other qualitatively identical individuals. The universal red, for example, is in this apple, that apple, and all apples that are similarly red. It is not distinct and independent from the individuals that have this color. Because it is a universal it can exist in many places at once. According to Strong Realism, the universal red in my apple is numerically identical to the red in yours; one universal is in two individuals at once. It is wholly present in each place where it exists.

As we’ll see, Strong Realism is immune to the Third Man Argument. It also reduces the strangeness of Realism. We need not have Forms that are abstract, in the sense of being outside of space and time, mysteriously grounding the qualities of material individuals. The Strong Realist’s universals are in space and time, and are able to be in many places at once. Multiple exemplification may be considered strange, but it not as strange as existence outside space and time.

c. Objections to Realism

We turn now to objections. We’ve already seen what might be called the Strangeness Objection. This is the intuition some philosophers have that universals are just too odd-natured to be accepted into our world view. These philosophers typically countenance only what is material, spatiotemporal, and nonrepeatable; and universals just don’t fit the bill. Philosophers who believe in only individuals are known as Nominalists. We’ll return to them later. We should note, however, that there are other versions of Realism in addition to the two we’ve discussed. Medieval philosophers spent much time exploring these issues, and formulated many versions of Realism. This introduction to the Problem of Universals will not explore these other variants, though they too are vulnerable to the objection that closes this section.

Extreme Realism is challenged by the Third Man Argument. Recall the essentials of that position, in particular, what is said about the nature of the Forms. For any given quality had by an individual there is a Form of that quality, one that exists separately from individuals, and also from the quality found in each particular individual. There is the apple, the red of this apple (and the red of that apple), and the Form of Red. By participating in the Form of Red, the apple gets its particular bit of redness. And finally, as we saw, the Form Red must itself be red. Otherwise it couldn’t provide for the redness of the apple. Suppose we now ask, “What explains the red of the Form of Red, which itself, as we said, is red?” Coming to believe in the existence of Forms begins with the urge to explain the redness of apples and other material individuals, but once this step is taken, the Extreme Realist is forced to explain the redness of the Form of Red itself.

To explain the redness of the Form of Red, in Extreme Realist fashion, we will have to say that the Form of Red participates in a Form. After all, a fundamental tenet of Extreme Realism is that possession of a quality always results from participation in a Form. Presumably, a Form cannot participate in itself. Therefore, if the redness of the Form of Red is to be explained, we’ll need to say that the Form of Red participates in a higher-order Form, Red2 . Moreover, participation in Red2 will explain the redness of Red1 only if the higher-order Form, Red2, is itself red. Of course, now we will have to explain the redness of the Form of Red2, and that will require us to introduce yet another Form, in this case, the Form of Red3, which the Form of Red2 participates in to get its redness.

It is clear that this will go on indefinitely. So it seems that we will never have an explanation of why or how the Form of Red is actually red. That means we’ll never be able to explain why our original apple is red. That was what we wanted initially, and so it seems that Plato’s theory is unable to provide an answer. This has led many to reject Plato’s theory. (There is, not surprisingly, a large body of secondary literature which explores whether Plato’s theory can survive this objection and what Plato himself thought about it, since, as we’ve mentioned, it was Plato himself who first raised the objection.)

The Third Man Argument threatens only Extreme Realism. Strong Realists do not rely on independently existing Forms to explain the redness of individuals, and so they need not explain why an independent existent – the Form of Red – is itself red. Instead, Strong Realists can simply note that the universal present in each apple is itself red, and the red of this universal explains the red of each apple, and also their similarity with respect to color.

However, the objection to which we now turn threatens all variants of Realism. This final objection is not so much an argument that Realism is intrinsically flawed, but rather that Realism is unnecessary. A general principle governing many metaphysical debates is that, other things being equal, the fewer types or kinds of entities in one’s ontology, the better. Those opposed to Realism argue that they can meet the explanatory demands we’ve discussed without relying on universals. If qualitative resemblance and identity can be accounted for without universals, and if any other work done with universals can be done as well without them, then, the opponents of Realism argue, we should do without them. We will then have fewer categories in our ontology, which, other things being equal, is to be preferred.

For this reason, opponents of Realism try to solve the Problem of Universals without universals. The question we will track is whether such solutions are in fact adequate. If not, perhaps commitment to universals, however unpalatable, is necessary.

3. Versions of Anti-Realism

We’ll call any proposed solution to the Problem of Universals that doesn’t endorse universals a version of “Anti-Realism”. Anti-Realists divide into two camps: Nominalists and Conceptualists. Nominalists maintain that only individuals exist. They argue that the Problem of Universals can be solved through proper thinking about individuals, and by appeal to nothing more than the natures of, and relations among, individuals. Conceptualists, in contrast, deny that individuals suffice to solve the Problem, but they also resist appealing to mind-independent universals. Instead, qualitative identity and resemblance are explained by reference to concepts or ideas. We will explore this Conceptualist strategy at the conclusion of our discussion of Anti-Realism. First we will survey a range of Nominalist theories.

a. Predicate Nominalism

How can we explain the qualitative identity of distinct individuals without relying on universals? One strategy begins by giving an account of what makes a single individual, which we will call “Tom,” red. A minimal, but perhaps sufficient answer is to say that Tom is red because the predicate “is red” can be truly said of Tom. As for the predicate “is red” itself, it is just a particular string of words on a page (or this screen), or else a string of spoken sounds. Expanding this strategy we get the view that two individuals, say Tom and Bob, are red simply because the linguistic expression, the predicate “is red,” is truly said of both. We account for commonality in nature by reference to individuals—in this case the individuals Bob and Tom, and also linguistic expressions such as the predicate “is red.”

On this view then, all that exist are individuals and words for talking about those individuals. This seems metaphysically innocuous, but many philosophers charge that Predicate Nominalism ignores the Problem of Universals, and does not solve it. Why is it true to say that both Bob and Tom are red, for instance, and not green or blue? What is it about the world, the individuals, that explains why they are that way and not some other way? What explains their similarity? Predicate Nominalists just leave it as a brute fact that some things are red (or blue, or green). More precisely, what they leave brute is the fact that, for any given individual, some predicates correctly apply and others don’t. But when it comes to explaining these facts, Predicate Nominalism will go no further. This refusal to take the Problem of Universals seriously has even landed Predicate Nominalism the label “Ostrich Nominalism.”

b. Resemblance Nominalism

Another Nominalist strategy is to collect individuals into sets based on resemblance relations, and then account for qualitative identity and resemblance by appeal to commonalities of set membership. An individual’s redness, for example, is explained by the fact that it belongs to the set of red things. The fact that two individuals are both red is explained by their both belonging to the same set of red things. A given set, such as the set of red things, is constructed by adding to it individuals that resemble each other more closely than they resemble any nonmembers, that is, the individuals that aren’t red. In this way, Resemblance Nominalists explain individuals’ supposed shared qualities by talking only about resemblance relations. Things that resemble each other belong to a common set. Membership in a certain set defines what it is to have a certain property, and two members of a set can be said to share a property, or be qualitatively identical, in virtue of simply belonging to the same set of resembling individuals.

In the course of trying to account for two distinct properties, however, Resemblance Nominalists can end up constructing the same set twice. If two distinct properties were to pick out the same set, however, this would cause a serious problem. For instance, it is thought that everything that has a heart also has a kidney. If so, the set of individuals constructed for the property “has a heart” will have the same members as the set constructed for the property “has a kidney.” Two sets with the same members are really just one set, not two, by the very definition of “set,” so Resemblance Nominalists are forced to say that having a heart is one and the same property as having a kidney. But that is clearly false.

A second problem for the Resemblance Nominalist arises when we wonder about the method of set construction. Accounting for an individual’s redness requires building a set with that individual and other resembling individuals as members. But, unfortunately for Resemblance Nominalism, some members of the red-set actually turn out to not be red at all. To explain, remember that the construction of the set proceeds by grouping particulars that resemble each other, and, importantly, things can resemble each other in various respects. Our red apple resembles other red apples, red stop signs, and red books, and all those things would thus get into the set. But our red apple also resembles a green apple, of the same type, which isn’t ripe yet. So that green apple would go in the set. Other things, too, will resemble our apple, but not by being red. As such, it seems that Resemblance Nominalism “explains” our individual’s being red by reference to a set containing non-red things, which is just to say it doesn’t explain it at all.

The tempting reply here is, “Sure, the green apple does resemble our red apple, but not in the right way. If you stop building sets with the wrong kinds of resemblance, you won’t let non-red members into the set.” The problem with this reply is that the only way to stop these “bad” resemblances is to include in the set only things that are red. But remember, being red is what the Nominalist is trying to explain in the first place, and so we can’t use being red to guide set construction. To do so would be circular.

A third objection arises when we consider the resemblance relation itself. Resemblance Nominalism cannot succeed without this relation; it bears most of the explanatory load. Arguably, then, the position is committed to the existence of resemblance relations. This seems to generate a serious problem. Individuals resemble one another, of course, but resemblance itself is not an individual. So, if the position is committed to resemblance relations, and if resemblance relations are not individuals, then it seems that Resemblance Nominalism is a misnomer. Upon close inspection, the position looks to be a kind of Realism. Suppose three things (a, b, and c) resemble one another, and belong in the same set. We have three individuals in this case, but what about the instances of resemblance that hold among those individuals? Are they the same kind of resemblance? They had better be, if the previous objection is to be avoided! Resemblance Nominalists, then, need to posit instances of, and kinds of, resemblance, all of which suggests we actually have a universal here—namely, the resemblance relation that holds between a and b, between b and c, and between a and c. If resemblance itself is a universal, Resemblance Nominalists are committed to at least one universal. Perhaps they should make life easier (if not simpler) and let them all in!

The above objections have moved some Nominalists to develop alternative accounts. Many have turned to Trope Nominalism, which we will discuss next. Trope Nominalism is committed to a new kind of entity, tropes. This may seem surprising, since Nominalists insist on ontological simplicity. But while Nominalists allow only individuals into their ontology, this doesn’t preclude explanatory appeals to tropes. For tropes, as we will see, are a class of individuals. Perhaps with this innovation Nominalists will fare better.

c. Trope Nominalism

Though they were known to Medieval philosophers, tropes are relatively new to contemporary metaphysics, and have been called on to address a number of very different philosophical issues, including the Problem of Universals. Trope theory can be understood, somewhat paradoxically, as making properties into particulars. Tropes are a type of individual. While ordinary individuals are qualitatively complex, a trope is qualitatively simple, and is, in fact, a particular property instance. The blue of the sky is a particular trope numerically distinct from the blue-trope of your T-shirt, even if the two tropes are qualitatively identical.

For the tropist, ordinary individual objects can be conceived as bundles or collections of tropes; and an ordinary object, which is a complex particular, has a certain quality in virtue of having, as a member of the complex, a particular trope, which is that particular character. An apple thus is a complex of tropes—a red trope plus an apple-shape trope, plus a sweet trope, plus a crisp trope, and so forth. If the apple is red, that is because there is a red trope, a red individual, that is a member of that bundle or complex. Red is not a property the trope has; rather, the red trope is the red itself. (Instead of treating an ordinary object as nothing more than a bundle of tropes, another option is to treat an individual as a substance that possesses a bundle of tropes. For simplicity, we will set that option aside. Whether an object is, or instead has, a bundle of tropes, the coming points hold.)

Trope Nominalism explains qualitative identity between two distinct ordinary individuals by saying that the first individual has a constituent trope that is qualitatively identical to, but numerically distinct from, a trope had as constituent by the second individual. Two apples are red, for instance, because each has a red trope “in” them, and these tropes themselves are individuals that exactly resemble each other. Importantly, because this is a version of Nominalism, we don’t say the tropes resemble each other because they share a universal. Instead, they simply resemble each other. If we like, we can expand on the claim that red tropes resemble each other by constructing sets of resembling individuals. In this case, we would have a set of red tropes, the members of which resemble each other more closely than they resemble any other tropes. In summary, then, by appeal to qualitatively identical, but numerically distinct tropes, we can explain qualitative similarities among ordinary objects, all without reliance on universals.

How is this better than Resemblance Nominalism? Remember that Resemblance Nominalism was vulnerable because it explained qualitative identity of individuals by reference to sets of resembling individuals. The trouble was that the individuals collected into sets are ordinary objects, ones that have many properties, so they can resemble each other in many ways. For this reason, no noncircular criterion of set construction could exclude members with the wrong property. Tropes, however, have only one property, so if individual tropes are collected into sets, there won’t be members that don’t belong. The set of red tropes will have only red tropes in it. Trope Nominalists can now make unproblematic appeal to “resemblance among individuals.” This has convinced many that Trope Nominalism is a serious contender against Realism.

As well, recall that Resemblance Nominalism faced the charge that only a resemblance universal could account for resemblance relations among individuals. Trope Nominalism has a reply here too. (As always, in any complex philosophical discussion, there are various ways to reply to objections, just as there are many objections. We outline here just one of the ways Trope theories have responded to this objection.) Whereas Resemblance Nominalists seemed forced to countenance a resemblance universal, Trope Nominalists can appeal to resemblance tropes! Should we have, for example, three identical red tropes, then there will be a resemblance relation between a and b, a similar relation between b and c, and a similar relation between a and c. Trope Nominalism can treat each of these resemblances as distinct tropes. When three red tropes are mutually resembling, then, in addition to the red tropes themselves, there are three resemblance tropes. And just as the resemblance among the three red individuals is a basic fact, so too is the resemblance among these resemblance relations. Not all resemblances are alike, of course, but in this case they are. All properties are tropes, and properties include not just ones like “red,” but also ones like “resembles.”

But there are still problems, perhaps, for Trope Nominalism. Recall that we began by wondering how distinct ordinary things could be said to be qualitatively identical without introducing a universal common to both. Tropists instruct us to view ordinary particulars as complexes of tropes, and allow that there can be qualitatively similar but numerically distinct tropes present in different complexes. Qualitative similarity among ordinary objects is explained by the qualitative similarities of their constituent tropes. Finally, the qualitative similarity among distinct tropes is explained by the fact that some (for example, red) tropes resemble each other more closely than other (for example, non-red) tropes. The last point is the crucial one. We are told that it is simply a brute fact that some tropes resemble each other, and that others don’t. That is just the way things are, and there is no further explanation to be given. But tropes were meant to do explanatory work; so, at the level of tropes, we want and expect an account of generality. If trope theories are presented as a solution to the Problem of Universals, they should explain how there can be truths to explain the appearance of generality in reality. What we end up with, though, is brute and ungrounded qualitative identity among distinct tropes. In essence then, the tropist dismisses, but does not solve, a question about the nature of generality, by making generality a brute fact. Unlike Predicate Nominalism, the tropist goes to great lengths to develop a theory, but in the end seems to offer no more explanation of generality. We know that our original objects resemble each other. Why? Because they have tropes that resemble each other. But the latter resemblance is not explained. And so it seems we’ve not gone very far in explaining our original resemblance. What we want is an explanation of qualitative similarity. Accounting for it in terms of qualitative similarity—now at the level of tropes—does no more than relocate the question. The very relation we sought to understand reappears as our answer.

Again, qualitative similarity across ordinary particulars is explained by the relation of qualitative similarity holding among the tropes that constitute those particulars. But that seems either to postpone answering the question, or to answer it by appealing to the very fact we wanted explained. At best, this explanation is unsatisfying; at worst, it is circular. We are left with qualitative identity as a brute, unexplained phenomenon, triggering the reasonable question: What then have we really gained with trope theories?

d. Conceptualism

A final strategy for avoiding universals comes by making generality not a feature of reality, but instead a feature of our minds and the concepts or ideas in minds. Conceptualism thus seeks a third way, as they see it, between the excesses of Realism, and the unilluminating resemblance relations of Nominalism. Because many individuals can fall under the same concept, Conceptualism hopes to accommodate the intuition that qualitative identity and resemblance are grounded in the sharing of something, but in a way that doesn’t appeal to dubious items such as universals. According to this view, individuals a and b are red because the concept of redness applies to both. The concept red is general, not because it denotes a real non-individual, but only because many diverse particulars fall under, or conform to, that concept.

As tidy as this seems, it too suffers from problems. To see this, we need to realize that concepts can be misapplied in some cases, such as when we say of a cat that it is a dog. And misapplied concepts explain nothing deep about generality. Conceptualism’s appeal to concept application must concern only correct concept application. As such, it is fair to ask, “What makes it the case that the concept red is rightly applied to both a and b, but not of some third individual, c?” To treat this fact as brute and inexplicable is to revert to problematic Predicate Nominalism. So it seems the Conceptualist must say that the concept red applies to a and b, but not c, because a and b share a common feature, a feature c lacks. Otherwise, the application of red is unconstrained by the individuals to which it applies. But simply noting that a and b resemble each other isn’t going to help, because that just is the fact we originally sought to explain, put differently. The Conceptualist might now say that a and b share a property. But if this isn’t to amount to a restatement of the original datum, it must now be interpreted as the claim that some entity is in both a and b. That, of course, turns our supposed Conceptualist strategy back into Realism.

Critics say Conceptualism solves no problems on its own. In trying to ground our right to predicate the concept red of a and b, we are driven back to facts about a and b themselves and that leaves Conceptualism as an unstable position. It teeters back and forth between Realism, on the one hand, and Nominalism, on the other.

4. Concluding Thoughts

As with many issues in philosophy, we started with a fairly simple question and found it difficult to reach a satisfactory answer. Qualitative similarity is a seemingly undeniable feature of our experience of the world. And there seems to be every reason to expect an explanation for this common fact. But upon closer inspection we find that we must either accept some rather unusual items into our world view, or go through some fairly elaborate theorizing to reach an answer. And that elaborate theorizing itself seems full of problems.

Perhaps this explains why the Problem of Universals has had such a hold on philosophers for all these years. We sense that there must be an adequate solution to be found, but our failure to find one prods our reason and imagination. Of course, we’ve only skimmed the surface of this debate in this essay, and nearly every move we’ve discussed has been debated, reformulated, argued for and against, analyzed, accepted as obviously true and rejected as obviously false. A consensus does seem to be emerging though, as one of the main contributors to the debate in recent decades has articulated, that two genuine contenders are left: Strong Realism and Trope Nominalism. As always, there is much work to be done on this issue, despite its distinguished heritage. We hope this introduction to the problem has inspired you to seek a new path, to find a flaw in our reasoning, to note what hasn’t been noted before. You might turn out to be the next Plato.

5. References and Further Reading

  • Armstrong, D.M. Universals: An Opinionated Introduction (Boulder: Westview Press, 1989).
    • An excellent survey of nearly every position in the debate over universals, by one of the most important contributors to this century’s version of the debate.
  • Armstrong, D.M. What is a Law of Nature? (Cambridge: Cambridge University Press, 1983).
    • An overview of the debate over the laws of nature, with a defense of univerals as the required elements in an adequate account.
  • Campbell, K. Abstract Particulars (Oxford: Basil Blackwell Ltd., 1990).
    • An important introduction to the theory of tropes, showing the versatility and potential of this metaphysical category.
  • Loux, M. Metaphysics: A Contemporary Introduction (London: Routledge, 1998).
    • Covers foundational debates on a number of areas, with particular attention to the Problem of Universals.
  • Simons, P. “Particulars in Particular Clothing: Three Trope Theories of Substance,” Philosophy and Phenomenological Research 54 (1994), pp. 553-75.
    • A sophisticated exploration of various trope theories with important proposals for advancing this theory. Reveals the potential power of this position as an alternative to Realism.
  • Spade, P.V. (trans.) Five Texts on the Mediaeval Problem of Universals (Indianapolis: Hackett Publishing Co., 1994).
    • Indispensable collection of important Medieval texts with useful guides and comments.
  • Vlastos, G., “The Third Man Argument in the Parmenides,” Philosophical Review 63 (1954), pp. 319-49.
    • A landmark article on Plato’s Third Man Argument, one that rekindled widespread interest in Plato’s metaphysics.

Author Information

Mary C. MacLeod
Email: mmacleod@iup.edu
Indiana University of Pennsylvania
U. S. A.

and

Eric M. Rubenstein
Email: erubenst@iup.edu
Indiana University of Pennsylvania
U. S. A.

Johann Gottlieb Fichte (1762—1814)

fichte_j_gJohann Gottlieb Fichte is one of the major figures in German philosophy in the period between Kant and Hegel. Initially considered one of Kant’s most talented followers, Fichte developed his own system of transcendental philosophy, the so-called Wissenschaftslehre. Through technical philosophical works and popular writings Fichte exercised great influence over his contemporaries, especially during his years at the University of Jena. His influence waned towards the end of his life, and Hegel’s subsequent dominance relegated Fichte to the status of a transitional figure whose thought helped to explain the development of German idealism from Kant’s Critical philosophy to Hegel’s philosophy of Spirit. Today, however, Fichte is more correctly seen as an important philosopher in his own right, as a thinker who carried on the tradition of German idealism in a highly original form.

Table of Contents

  1. Fichte’s Beginnings (1762-1794)
    1. Early Life
    2. Fichte’s Sudden Rise to Prominence
  2. The Jena Period (1794-1799)
    1. Fichte’s Philosophical Vocation
    2. Fichte’s System, the Wissenschaftslehre
    3. Background to the Wissenschaftslehre
    4. Working Out the Wissenschaftslehre and the End of the Jena Period
  3. The Berlin Period (1800-1814)
    1. The Eclipse of Fichte’s Career
    2. Popular Writings from the Berlin Period
    3. Fichte’s Return to the University and his Final Years
  4. Conclusion
  5. References and Further Reading
    1. Fichte’s Writings in German
    2. Fichte’s Writings in English Translation
    3. Other Philosophers’ Writings in English Translation
    4. Suggested Secondary Literature in English, French, and German

1. Fichte’s Beginnings (1762-1794)

a. Early Life

Fichte was born on May 19, 1762 to a family of ribbon makers. Early in life he impressed everyone with his great intelligence, but his parents were too poor to pay for his schooling. Through the patronage of a local nobleman, he was able to attend the Pforta school, which prepared students for a university education, and then the universities of Jena and Leipzig. Unfortunately, little is known about this period of Fichte’s life, but we do know that he intended to obtain a degree in theology, and that he had to break off his studies for financial reasons around 1784, without obtaining a degree of any sort. Several years of earning his living as an itinerant tutor ensued, during which time he met Johanna Rahn, his future wife, while living in Zurich.

In the summer of 1790, while living in Leipzig and once again in financial distress, Fichte agreed to tutor a university student in the Kantian philosophy, about which he knew very little at the time. His immersion in Kant’s writings, according to his own testimony, revolutionized his thinking and changed his life, turning him away from a deterministic view of the world at odds with human freedom towards the doctrines of the Critical philosophy and its reconciliation of freedom and determinism.

b. Fichte’s Sudden Rise to Prominence

More wandering and frustration followed. Fichte decided to travel to Königsberg to meet Kant himself, and on July 4, 1791 the disciple had his first interview with the master. Unfortunately for Fichte, things did not go well, and Kant was not especially impressed by his visitor. In order to prove his expertise in the Critical philosophy, Fichte quickly composed a manuscript on the relation of the Critical philosophy to the question of divine revelation, an issue that Kant had yet to address in print. This time, Kant was justifiably impressed by the results and arranged for his own publisher to bring out the work, which appeared in 1792 under the title An Attempt at a Critique of all Revelation.

In this fledgling effort Fichte adhered to many of Kant’s claims about morality and religion by thoughtfully extending them to the concept of revelation. In particular, he took over Kant’s idea that all religious belief must ultimately withstand critical scrutiny if it is to make a legitimate claim on us. For Fichte, any alleged revelation of God’s activity in the world must pass a moral test: namely, no immoral command or action, i.e., nothing that violates the moral law, can be attributed to Him. Although Fichte himself did not explicitly criticize Christianity by appealing to this test, such a restriction on the content of a possible revelation, if consistently imposed, would overturn some aspects of orthodox Christian belief, including, for example, the doctrine of original sin, which states that everyone is born guilty as a result of Adam and Eve’s disobedience in the Garden of Eden. This element of Christian theology, which is said to be grounded in the revelations contained in the Bible, is hardly compatible with the view of justice underwritten by the moral law. Attentive readers should have instantly gleaned Fichte’s radical views from the placid Kantian prose.

For reasons that are still mysterious, Fichte’s name and preface were omitted from the first edition of An Attempt at a Critique of all Revelation, and thus the book, which displayed an extensive and subtle appreciation of Kant’s thought, was taken to be the work of Kant himself. Once it became known that Fichte was the author, he instantly became a philosophical figure of importance; no one whose work had been mistaken for Kant’s, however briefly, could be rightfully denied fame and celebrity in the German philosophical world.

Fichte continued working as a tutor while attempting to fashion his philosophical insights into a system of his own. He also anonymously published two political works, “Reclamation of the Freedom of Thought from the Princes of Europe, Who Have Oppressed It Until Now” and Contribution to the Rectification of the Public’s Judgment of the French Revolution. It became widely known that he was their author; consequently, from the very beginning of his public career, he was identified with radical causes and views.

In October 1793 he married his fiancée, and shortly thereafter unexpectedly received a call from the University of Jena to take over the chair in philosophy that Karl Leonhard Reinhold (1758-1823), a well-known exponent and interpreter of the Kantian philosophy, had recently vacated. Fichte arrived in Jena in May 1794.

2. The Jena Period (1794-1799)

a. Fichte’s Philosophical Vocation

In his years at Jena, which lasted until 1799, Fichte published the works that established his reputation as one of the major figures in the German philosophical tradition. Fichte never exclusively saw himself as an academic philosopher addressing the typical audience of fellow philosophers, university colleagues, and students. Instead, he considered himself a scholar with a wider role to play beyond the confines of academia, a view eloquently expressed in “Some Lectures Concerning the Scholar’s Vocation,” which were delivered to an overflowing lecture hall shortly after his much anticipated arrival in Jena. One of the tasks of philosophy, according to these lectures, is to offer rational guidance towards the ends that are most appropriate for a free and harmonious society. The particular role of the scholar — that is, of individuals such as Fichte himself, regardless of their particular academic discipline — is to be a teacher of mankind and a superintendent of its never-ending progress towards perfection.

Throughout his career Fichte alternated between composing, on the one hand, philosophical works for scholars and students of philosophy and, on the other hand, popular works for the general public. This desire to communicate to the wider public — to bridge the gap, so to speak, between theory and praxis — inspired his writings from the start. In fact, Fichte’s passion for the education of society as a whole should be seen as a necessary consequence of his philosophical system, which continues the Kantian tradition of placing philosophy in the service of enlightenment, i.e., the eventual liberation of mankind from its self-imposed immaturity. To become mature, according to Kant’s way of thinking, which Fichte had adopted, is to overcome our willing refusal to think for ourselves, and thus to accept responsibility for failing to think and act independently of the guidance of external authority.

b. Fichte’s System, the Wissenschaftslehre

Fichte called his philosophical system the Wissenschaftslehre. The usual English translations of this term, such as “science of knowledge,” “doctrine of science,” or “theory of science,” can be misleading, since today these phrases carry connotations that can be excessively theoretical or too reminiscent of the natural sciences. Therefore, many English-language commentators and translators prefer to use the German term as the untranslated proper name that designates Fichte’s system as a whole.

Another potential source of confusion is that Fichte’s book from 1794/95, whose full title is Foundations of the Entire Wissenschaftslehre, is sometimes simply referred to as the Wissenschaftslehre. Strictly speaking, this is incorrect, since this work, as its title indicates, was meant as the foundations of the system as a whole; the other parts of the system were to be written afterwards. Much of Fichte’s work in the remainder of the Jena period attempted to complete the system as it was envisioned in the 1794/95 Foundations.

c. Background to the Wissenschaftslehre

Before moving to Jena, and while he was living in the house of his father-in-law in Zurich, Fichte wrote two short works that presaged much of the Wissenschaftslehre that he devoted the rest of his life to developing. The first of these was a review of a skeptical critique of Kantian philosophy in general and Reinhold’s so-called Elementarphilosophie (“Elementary Philosophy”) in particular. The work under review, an anonymously published polemic called Aenesidemus, which was later discovered to have been written by Gottlob Ernst Schulze (1761-1833), and which appeared in 1792, greatly influenced Fichte, causing him to revise many of his views, but did not lead him to abandon Reinhold’s concept of philosophy as rigorous science, an interpretation of the nature of philosophy that demanded that philosophical principles be systematically derived from a single foundational principle known with certainty.

Reinhold had argued that this first principle was what he called the “principle of consciousness,” namely, the proposition that “in consciousness representation is distinguished through the subject from both object and subject and is related to both.” From this principle Reinhold attempted to deduce the contents of Kant’s Critical philosophy. He claimed that the principle of consciousness was a reflectively known fact of consciousness, and argued that it could lend credence to various Kantian views, including the distinction between the faculties of sensibility and understanding and the existence of things in themselves. Schulze responded by offering skeptical objections against the legitimacy of Kant’s (and thus Reinhold’s) concept of the thing in itself (construed as the causal origin of our representations) and by arguing that the principle of consciousness was neither a fundamental principle (since it was subject to the laws of logic, in that it had to be free of contradiction) nor one known with certainty (since it originated in merely empirical reflection on the contents of consciousness, which reflection Schulze, following David Hume, persuasively argued could not yield a principle grounded on indubitable evidence).

Fichte, to his consternation, found himself in agreement with much of Schulze’s critique. Although he was still eager to support the Kantian system, Fichte, as a result of reading Schulze, came to the conclusion that the Critical philosophy needed new foundations. Yet the search for new foundations, in Fichte’s mind, was never equivalent to a repudiation of the Kantian philosophy. As Fichte would frequently claim, he remained true to the spirit, if not the letter, of Kant’s thought. His review of Schulze’s Aenesidemus provides one especially tantalizing hint about how he would subsequently attempt to remain within the spirit of Kant’s thought while attempting to reconstruct it from the ground up: philosophy, he says, must begin with a first principle, as Reinhold maintained, but not with one that expresses a mere fact, a Tatsache; instead, Fichte countered, it must begin with a fact/act, a Tathandlung, that is not known empirically, but rather with self-evident certainty. The meaning and purpose of this new first principle would not become clear to his readers until the publication of the 1794/95 Foundations.

In addition to his review of the Schulze book, and still prior to his arrival in Jena, Fichte sketched out the nature and methodology of the Wissenschaftslehre in an essay entitled “Concerning the Concept of the Wissenschaftslehre,” which was intended to prepare his expectant audience for his classes and lectures. Here Fichte sets out his conception of philosophy as the science of science, i.e., as Wissenschaftslehre. The Wissenschaftslehre is devoted to establishing the foundation of individual sciences such as geometry, whose first principle is said to be the task of limiting space in accordance with a rule. Thus the Wissenschaftslehre seeks to justify the cognitive task of the science of geometry, i.e., its systematic efforts at spatial construction in the form of theorems validly deduced from axioms known with self-evident certainty. The Wissenschaftslehre, which itself is a science in need of a first principle, is said to be grounded on the Tathandlung first mentioned in the Aenesidemus review. The precise nature of this fact/act, with which the Wissenschaftslehre is supposed to begin, is much debated, even today. Yet it is the essential core of the Jena Wissenschaftslehre in general and the 1794/95 Foundations in particular.

d. Foundations of the Entire Wissenschaftslehre

In the 1794/95 Foundations Fichte expresses the content of the Tathandlung in its most general form as “the I posits itself absolutely.” Fichte is suggesting that the self, which he typically refers to as “the I,” is not a static thing with fixed properties, but rather a self-producing process. Yet if it is a self-producing process, then it also seems that it must be free, since in some as yet unspecified fashion it owes its existence to nothing but itself. This admittedly obscure starting point is subject to much scrutiny and qualification as the Wissenschaftslehre proceeds. In more modern language, and as a first approximation of its meaning, we can understand the Tathandlung as expressing the concept of a rational agent that constantly interprets itself in light of normative standards that it imposes on itself, in both the theoretical and practical realms, in its efforts to determine what it ought to believe and how it ought to act. (Fichte’s indebtedness to the Kantian notion of autonomy in the form of self-imposed lawfulness should be obvious to anyone familiar with the Critical philosophy.)

Given the difficulty of the notion, unfortunately, Fichte’s Tathandlung has perplexed his readers from its first appearance. The principle of the self-positing I was initially interpreted along the lines of Berkeley’s idealism, and thus as claiming that the world as a whole is somehow the product of an infinite mind. This interpretation is surely mistaken, even though one can find passages that seem to support it. More important, though, is the question of the epistemic status of the principle. Is it known with the self-evident certainty that Fichte, following Reinhold, claims must ground any attempt at systematic knowledge? Furthermore, how does it serve as a basis for deducing the rest of the Wissenschaftslehre?

Fichte’s method is sometimes said to be phenomenological, restricting itself to what we can discover by means of reflection. Yet Fichte does not claim that we simply find the fully formed Tathandlung residing somewhere within us; instead, we construct it in order to explain ourselves to ourselves, to render intelligible to ourselves our normative nature as finite rational beings. Thus the requisite reflection is not empirical but transcendental, i.e., an experimental postulate adopted for philosophical purposes. That is, the principle is presupposed as true in order to make sense of the conditions for the possibility of our ordinary experience.

Such a method leaves open the possibility of other explanations of our experience. Fichte claims, however, that the alternatives can actually take only one form. Either, he says, we can begin (as he does) with the I as the ground of all possible experience, or we can begin with the thing in itself outside of our experience. This dilemma involves, as he puts it, choosing between idealism and dogmatism. The former is transcendental philosophy; the latter, a naturalistic approach to experience that explains it solely in causal terms. As Fichte famously said in the first introduction to the Wissenschaftslehre from 1797, the choice between the two depends on the kind of person one is, because they are said to be mutually exclusive yet equally possible approaches.

If, however, such a choice between starting points is possible, then the principle of the self-positing I lacks the self-evident certainty that Fichte attributed to it in his earlier essay on the concept of the Wissenschaftslehre. There are, in fact, those who do not find it at all self-evident, namely, the dogmatists. Fichte clearly thinks that they are mistaken in their dogmatism, yet he offers no direct refutation of their position, claiming only that they cannot demonstrate what they hope to demonstrate, namely, that the ground of all experience lies solely in objects existing independently of the I. The dogmatist position, Fichte implies, ignores the normative aspects of our experience, e.g., warranted and unwarranted belief, correct and incorrect action, and thus attempts to account for our experience entirely in terms of our causal interaction with the world around us. Presumably, however, those who begin with a disavowal of normativity — as the dogmatists do, because they are that kind of person — can never be brought to agree with the idealists. There is thus an argumentative impasse between the two camps.

Fichte’s remarks about systematic form and certainty in “Concerning the Concept of the Wissenschaftslehre” give the impression that he intends to demonstrate the entirety of the Wissenschaftslehre from the principle of the self-positing I through a chain of logical inferences that merely set out the implications of the initial principle in such a way that the certainty of the first principle is transferred to the claims inferred from it. (The method of Spinoza’s Ethics comes to mind, but this time with only a single premise from which to begin the proofs.) Yet this hardly seems to be Fichte’s actual method, since he constantly introduces new concepts that cannot be plausibly interpreted as the logical consequences of the previous ones. In other words, the deductions in the Foundations of the Entire Wissenschaftslehre are more than merely analytical explications of the consequences of the original premise. Instead, they both articulate and refine the initial principle of the self-positing I in accordance with the demands made on the idealist who is attempting to clarify the nature of the self-positing I by means of reflection.

After Fichte postulates the self-positing I as the explanatory ground of all experience, he then begins to complicate the web of concepts required to make sense of this initial postulate, thereby carrying out the aforementioned construction of the self-positing I. The I posits itself insofar as it is aware of itself, not only as an object but also as a subject, and finds itself subject to normative constraints in both the theoretical and practical realms, e.g., that it must be free of contradiction and that there must be adequate reasons for what it believes and does. Furthermore, the I posits itself as free, since these constraints are ones that it imposes on itself. Next, by means of further reflection, the I becomes aware of a difference between “representations accompanied by a feeling of necessity” and “representations accompanied by a feeling a freedom” — that is, a difference between representations of what purports to be an objective world existing apart from our representations of it and representations that are merely the product of our own mental activity. To recognize this distinction in our representations, however, is to posit a distinction between the I and the not-I, i.e., the self and whatever exists independently of it. In other words, the I comes to posit itself as limited by something other than itself, even though it initially posits itself as free, for in the course of reflecting on its own nature the I discovers limitations on its activity.

Our understanding of the nature of this limitation is made increasingly more complex through further acts of reflection. First, the I posits a check, an Anstoß, on its theoretical and practical activity, in that it encounters resistance whenever it thinks or acts. This check is then developed into more refined forms of limitation: sensations, intuitions, and concepts, all united in the experience of the things of the natural world, i.e., the spatio-temporal realm ruled by causal laws. Moreover, this world is found to contain other finite rational beings. They too are free yet limited, and the recognition of their freedom places further constraints on our activity. In this way the I posits the moral law and restricts its treatment of others to actions that are consistent with respect for their freedom. Thus, by the end of Fichte’s deductions, the I posits itself as free yet limited by natural necessity and the moral law: its freedom becomes an infinite task in which it seeks to make the world conform to its normative standards, but only by doing so in an appropriately moral fashion that allows other free beings to do the same for themselves.

e. Working Out the Wissenschaftslehre and the End of the Jena Period

Fichte’s writings during the rest of the Jena period attempt to fill out and refine the entire system. The Foundations of Natural Right Based on the Wissenschaftslehre (1796/97) and The System of Ethical Theory Based on the Wissenschaftslehre (1798) concern themselves with political philosophy and moral philosophy, respectively. The task of the former work is to characterize the legitimate constraints that can be placed on individual freedom in order to produce a community of maximally free individuals who simultaneously respect the freedom of others. The task of the latter work is to characterize the specific duties of rational agents who freely produce objects and actions in the pursuit of their goals. These duties follow from our general obligation to determine ourselves freely, i.e., from the categorical imperative.

Besides filling out projected portions of the system, Fichte also began to revise the foundations themselves. Since he considered the mode of presentation of the Foundations of the Entire Wissenschaftslehre unsatisfactory, he began drawing up a new version in his lectures, which were given three times between 1796 and 1799, but which he never managed to publish. These lectures, which in some respects are superior to the Foundations of the Entire Wissenschaftslehre, were published posthumously and are now known as the Wissenschaftslehre nova methodo.

Prior to publishing any systematic presentation of his philosophy of religion, Fichte became embroiled in what is now known as the Atheismusstreit, the atheism controversy. In an essay from 1798 entitled “On the Basis of Our Belief in a Divine Governance of the World” Fichte argued that religious belief could be legitimate only insofar as it arose from properly moral considerations — a view clearly indebted to his book on revelation from 1792. Furthermore, he claimed that God has no existence apart from the moral world order. Because neither view was orthodox at the time, Fichte was accused of atheism and ultimately forced to leave Jena.

Two open letters, both from 1799 and written by philosophers whom Fichte fervently admired, compounded his troubles. First, Kant disavowed the Wissenschaftslehre for mistakenly having tried to infer substantive philosophical knowledge from logic alone. Such an inference, he claimed, was impossible, since logic abstracted from the content of knowledge and thus could not produce a new object of knowledge. Second, Friedrich Heinrich Jacobi accused the Wissenschaftslehre of nihilism: that is, of producing reality out of mere mental representations, and thus in effect from nothingness. Whether or not these criticisms were just (and Fichte certainly denied that they were), they further damaged Fichte’s philosophical reputation.

3. The Berlin Period (1800-1814)

a. The Eclipse of Fichte’s Career

In 1800 Fichte settled in Berlin and continued to philosophize. He was no longer a professor, because there was no university in Berlin at the time of his arrival. To earn a living, he published new works and gave private lectures. The Berlin years, while productive, represent a decline in Fichte’s fortunes, since he never regained the degree of influence among philosophers that he had enjoyed during the Jena years, although he remained a popular author among non-philosophers. His first major Berlin publication was a popular presentation of the Wissenschaftslehre designed to answer his critics on the question of atheism. Known as The Vocation of Man, it appeared in 1800 and is probably Fichte’s greatest literary production. (It seems, although this is never explicitly stated anywhere in the book, that much of it was inspired by the personally stinging critique of Jacobi’s open letter.)

Fichte continued to revise the Wissenschaftslehre, yet he published very little of the material developed in these renewed efforts to perfect his system, mostly because he feared being misunderstood as he had been during the Jena years. His reluctance to publish gave his contemporaries the false impression that he was more or less finished as an original philosopher. Except for a cryptic outline that appeared in 1810, his Berlin lectures on the Wissenschaftslehre, of which there are numerous versions, only appeared posthumously. In these manuscripts Fichte typically speaks of the absolute and its appearances, i.e., a philosophically suitable stand-in for a more traditional notion of God and the community of finite rational beings whose existence is grounded in the absolute. As a result, Fichte is sometimes said to have taken a religious turn in the Berlin period.

b. Popular Writings from the Berlin Period

In 1806 Fichte published two lecture series that were well-received by his contemporaries. The first, The Characteristics of the Present Age, employs the Wissenschaftslehre for the purposes of the philosophy of history. According to Fichte, there are five stages of history in which the human race progresses from the rule of instinct to the rule of reason. The present age, he says, is the third age, an epoch of liberation from instinct and external authority, out of which humanity will ultimately progress until it makes itself and the world it inhabits into a fully self-conscious representative of the life of reason. The second, The Way Towards the Blessed Life, which is sometimes said to be a mystical work, treats of morality and religion in a popular format.

Another famous series of lectures, Addresses to the German Nation, given in 1808 during the French occupation, was intended as a continuation of The Characteristics of the Present Age, but exclusively for a German audience. Here Fichte envisions a new form of national education that would enable the German nation, not yet in existence, to reach the fifth and final age outlined in the earlier lecture series. Once again, Fichte demonstrated his interest in larger matters, and in a manner perfectly consistent with his earlier insistence from the Jena period that the scholar has a cultural role to play.

c. Fichte’s Return to the University and his Final Years

When the newly founded Prussian university in Berlin opened in 1810, Fichte was made the head of the philosophy faculty; in 1811 he was elected the first rector of the university. He continued his philosophical work until the very end of his life, lecturing on the Wissenschaftslehre and writing on political philosophy and other subjects. When the War of Liberation broke out in 1813, Fichte canceled his lectures and joined the militia. His wife Johanna, who was serving as a volunteer nurse in a military hospital, contracted a life-threatening fever. She recovered, but Fichte fell ill with the same ailment. He died on January 29, 1814.

4. Conclusion

Although Fichte’s importance for the history of German philosophy is undisputed, the nature of his legacy is still very much debated. He has sometimes been seen as a mere transitional figure between Kant and Hegel, as little more than a philosophical stepping stone along Spirit’s path to absolute knowledge. This understanding of Fichte was encouraged by Hegel himself, and no doubt for self-serving reasons. Nowadays, however, Fichte is studied more and more for his own sake, in particular for his theory of subjectivity, i.e., the theory of the self-positing I, which is rightly seen as a sophisticated elaboration of Kant’s claim that finite rational beings are to be interpreted in theoretical and practical terms. The level of detail that Fichte provides on these matters exceeds that found in Kant’s writings. This fact alone would make Fichte’s work worthy of our attention. Yet perhaps the most persuasive testament to Fichte’s greatness as a philosopher is to be found in his relentless willingness to begin again, to start the Wissenschaftslehre anew, and never to rest content with any prior formulation of his thought. Although this leaves his readers perpetually dissatisfied and desirous of a definitive statement of his views, Fichte, true to his publically declared vocation, makes them into better philosophers through his own example of restless striving for the truth.

5. Suggestions for Further Reading

a. Fichte’s Writings in German

  • Gesamtausgabe der Bayerischen Akademie der Wissenschaften. Ed. R. Lauth, H. Jacobs, and H. Gliwitzky. Stuttgart-Bad Cannstatt: Frommann, 1964ff.
  • Fichtes Werke, 11 vols. Ed. Immanuel Hermann Fichte. Berlin: Walter de Gruyter & Co., 1971.
    • Reprint of the 19th century edition of Fichte’s writings.

b. Fichte’s Writings in English Translation

(Publication dates during Fichte’s lifetime are given in brackets.)

  • Fichte: Early Philosophical Writings [1790-1799]. Trans. and ed. Daniel Breazeale. Ithaca: Cornell University Press, 1988.
    • Includes “Review of Aenesidemus,” “Concerning the Concept of the Wissenschaftslehre,” and “Some Lectures Concerning the Scholar’s Vocation.”
  • Attempt at a Critique of all Revelation [17921, 17932]. Trans. Garrett Green. Cambridge: Cambridge University Press, 1978.
  • “Reclamation of the Freedom of Thought from the Princes of Europe, Who Have Oppressed It Until Now” [1793]. Trans. Thomas E. Wartenberg. In What is Enlightenment? Eighteenth-Century Answers and Twentieth-Century Questions, ed. James Schmidt. Berkeley: University of California Press, 1996.
  • “On the Spirit and the Letter in Philosophy” [1794]. Trans. Elizabeth Rubenstein. In German Aesthetic and Literary Criticism: Kant, Fichte, Schelling, Schopenhauer, Hegel, ed. David Simpson. Cambridge: Cambridge University Press, 1984.
  • Foundations of the Entire Science of Knowledge [1794/95]. In The Science of Knowledge, trans. and ed. Peter Heath and John Lachs. Cambridge: Cambridge University Press, 1982.
    • Also includes the two introductions to the Wissenschaftslehre from 1797.
  • “On the Linguistic Capacity and the Origin of Language” [1795]. In Language and German Idealism: Fichte’s Linguistic Philosophy, trans. and ed. Jere Paul Surber. Atlantic Highlands, NJ: Humanities Press, 1996.
  • Foundations of Transcendental Philosophy (Wissenschaftslehre) nova methodo (1796/99). Trans. and ed. Daniel Breazeale. Ithaca: Cornell University Press, 1992.
    • Posthumously published lectures given between 1796 and 1799.
  • Foundations of Natural Right [1796/97]. Trans. Michael Baur, ed. Frederick Neuhouser. Cambridge: Cambridge University Press, 2000.
  • Introductions to the Wissenschaftslehre and Other Writings [1797-1800]. Trans. and ed. Daniel Breazeale. Indianapolis: Hackett Publishing Company, 1994.
    • Includes the two introductions to the Wissenschaftslehre from 1797 as well as “On the Basis of Our Belief in a Divine Governance of the World” from 1798.
  • The Science of Ethics as Based on the Science of Knowledge [1798]. Trans. A E. Kroeger. London: Kegan Paul, 1897.
    • German title would be better translated as The System of Ethical Theory Based on the Wissenschaftslehre. An unreliable translation.
  • The Vocation of Man [1800]. Trans. Peter Preuss. Indianapolis: Hackett Publishing Company, 1987.
  • “A Crystal Clear Report to the General Public Concerning the Actual Essence of the Newest Philosophy: An Attempt to Force the Reader to Understand” [1801]. Trans. John Botterman and William Rasch. In Philosophy of German Idealism, ed. Ernst Behler. New York: Continuum, 1987.
  • The Characteristics of the Present Age and The Way Towards the Blessed Life [1806]. In The Popular Works of Johann Gottlieb Fichte, 2 vols., trans. and ed. William Smith. London: Chapman, 1848/49. Reprint ó London: Thoemmes Press, 1999.
  • Addresses to the German Nation [1808]. Trans. R. F. Jones and G. H. Turnbull. Chicago: Open Court, 1922. Reprint ó Westport, CT: Greenwood Press, Inc., 1979.
  • “The Science of Knowledge in its General Outline” [1810]. Trans. Walter E. Wright. Idealistic Studies 6 (1976): 106-117.

c. Other Philosophers’ Writings in English Translation

  • Di Giovanni, George and H. S. Harris, eds. Between Kant and Hegel: Texts in the Development of Post-Kantian Idealism. Albany: State University of New York Press, 1985. Revised edition ó Indianapolis, Indiana: Hackett Publishing Company, Inc., 2000.
    • Includes excerpts from Reinhold’s The Foundation of Philosophical Knowledge and Schulze’s Aenesidemus.
  • Jacobi, Friedrich Heinrich. The Main Philosophical Writings and the Novel Allwill. Trans. and ed. George di Giovanni. Montreal: McGill-Queen’s University Press, 1994.
    • Includes Jacobi to Fichte.

d. Suggested Secondary Literature in English, French, and German

  • Baumanns, Peter. J. G. Fichte: Kritische Gesamtdarstellung seiner Philosophie. Freiburg/M¸nchen: Verlag Karl Alber, 1990.
  • Beiser, Frederick C. German Idealism: The Struggle Against Subjectivism, 1781-1801. Cambridge, Massachusetts: Harvard University Press, 2002.
    • Part II interprets the Wissenschaftslehre from the point of view of Fichte’s critique of subjectivism.
  • Bowman, Curtis. “Johann Gottlieb Fichte: Foundations of the Entire Science of Knowledge.” In Central Works of Philosophy (Volume 3: The Nineteenth Century), ed. John Shand. Chesham: Acumen Publishing Limited, 2005.
    • An interpretation of Fichte’s best known book, suitable for first-time readers.
  • Breazeale, Daniel. “Fichte and Schelling: The Jena Period.” In The Age of German Idealism (Routledge History of Philosophy, Volume VI), ed. Robert C. Solomon and Kathleen M. Higgins. London: Routledge, 1993.
  • Breazeale, Daniel. “Fichte, Johann Gottlieb.” In Routledge Encyclopedia of Philosophy, vol. 3. London: Routledge, 1998.
  • Breazeale, Daniel and Tom Rockmore, eds. Fichte: Historical Contexts/Contemporary Controversies. Atlantic Highlands, New Jersey: Humanities Press, 1994.
  • Breazeale, Daniel. New Essays in Fichte’s Foundation of the Entire Doctrine of Scientific Knowledge. Amherst, New York: Humanity Books, 2001.
  • Breazeale, Daniel. New Essays on Fichte’s Later Jena Wissenschaftslehre. Evanston, Illinois: Northwestern University Press, 2002.
  • Breazeale, Daniel. New Perspectives on Fichte. New Jersey: Humanities Press, 1996.
  • Henrich, Dieter. “Fichte’s Original Insight.” Trans. David Lachterman. Contemporary German Philosophy 1 (1982): 15-53.
  • Jacobs, Wilhelm G. Johann Gottlieb Fichte. Reinbek bei Hamburg: Rowohlt, 1984.
    • A brief illustrated biography.
  • La Vopa, Anthony J. Fichte: The Self and the Calling of Philosophy, 1762-1799. Cambridge: Cambridge University Press, 2001.
    • Intellectual biography of Fichte’s early life and the Jena period.
  • Martin, Wayne. Idealism and Objectivity: Understanding Fichte’s Jena Project. Stanford: Stanford University Press, 1997.
  • Neuhouser, Frederick. Fichte’s Theory of Subjectivity. Cambridge: Cambridge University Press, 1990.
  • Philonenko, Alexis. L’oevre de Fichte. Paris: Libraire Philosophique J. Vrin, 1984.
  • Pinkard, Terry. German Philosophy, 1760-1860: The Legacy of Idealism. Cambridge: Cambridge University Press, 2002.
    • Chapter 5 is devoted to Fichte.
  • Rohs, Peter. Johann Gottlieb Fichte. Munich: C. H. Beck, 1991.
  • Seidel, George. Fichte’s Wissenschaftslehre of 1794: A Commentary on Part I. West Lafayette, Indiana: Purdue University Press, 1993.
  • Zöller, Günter. Fichte’s Transcendental Philosophy: The Original Duplicity of Intelligence and Will. Cambridge: Cambridge University Press, 1998.

Author Information

Curtis Bowman
Email: cbhome@earthlink.net
U. S. A.

Introspection

Introspection is the process by which someone comes to form beliefs about her own mental states. We might form the belief that someone else is happy on the basis of perception – for example, by perceiving her behavior. But a person typically does not have to observe her own behavior in order to determine whether she is happy. Rather, one makes this determination by introspecting.

When compared to other beliefs that we have, the beliefs that we acquire through introspection seem epistemically special. What exactly this amounts to is discussed in the first part of this essay. The second part addresses the nature of introspection. Though the term “introspection” literally means “looking within” (from the Latin “spicere” meaning “to look” and “intra” meaning “within”), whether introspecting should be treated analogously to looking – that is, whether introspection is a form of inner perception – is debatable. Philosophers have offered both observational and non-observational accounts of introspection. Following the discussion of these various issues about the epistemology and nature of introspection, the third section of this essay addresses an important use to which introspection has been put in philosophical discussions, namely, to draw metaphysical conclusions about the nature of mind.

Table of Contents

  1. 1. The Epistemic “Specialness” of Introspection
    1. a. Infallibility
    2. b. Self-intimation
    3. c. Self-warrant
    4. d. Immediacy
  2. 2. The Nature of Introspection
    1. a. Observational Models
    2. b. Non-Observational Models
    3. c. Skepticism about Introspection
  3. 3. Introspection and the Nature of Mind
    1. a. Introspectibility as a Mark of the Mental
    2. b. Introspective Arguments for Dualism
  4. 4. References and Further Reading

1. The Epistemic “Specialness” of Introspection

We form beliefs about our own mental states by introspection. How exactly introspection works will be discussed in the next section. But however it works, philosophers have long taken note of the fact that each individual’s introspective capacity seems to place her in a unique position to form beliefs, and gain knowledge, of her own mental states. An individual’s introspective beliefs about her own mental states seem in some way more secure than her beliefs about the external world, including her beliefs about the mental states of other people. Correspondingly, her introspective beliefs about her own mental states seem more secure than the beliefs that anyone else could form about her mental states. In these ways, there seems to be something epistemically special about the beliefs that we form on the basis of introspection. Typically, this specialness has been referred to as the privileged access that we have to our own mental states.

To say that an individual has privileged access to her own mental states is to say that she is in a better position than anyone else to acquire knowledge (or perhaps, justified beliefs) about them. But what exactly does privileged access amount to? In this section, of the numerous different claims that philosophers have made in this regard are discussed. (See Alston 1971 for a particularly comprehensive discussion of these and similar claims.)

a. Infallibility

In the Meditations on First Philosophy, Descartes worries that he may be deceived by an evil demon. As a result, all of his beliefs about the external world may well be false. But however powerful the demon may be, Descartes claims that it cannot deceive him about the contents of his own mind. Though it might not be true that he is seeing, hearing and feeling what he thinks he is, it is nonetheless true, he says, that “I certainly seem to see, to hear, and to be warmed. This cannot be false.” (Descartes 1641/1986)

This passage has been commonly interpreted in terms of infallibility. As such, it gives us one of the strongest claims that philosophers have made about the epistemic specialness of our self-knowledge: One cannot have a false belief about one’s own mental states. In this way, I am in a privileged position to make judgments about my mental states, since other people can have false beliefs about my mental states. But, necessarily, if I believe that I am in a particular mental state, then I am in that mental state.

Before discussing this thesis, it is worth noting that there has been some unfortunate terminological messiness in this area. Sometimes the terms “incorrigibility” or “indubitability” have been used as a synonym for what has just been referred to as “infallibility.” For example, when Armstrong (1963) asks whether introspective knowledge is incorrigible, he has in mind the claim that it is logically impossible for someone to be mistaken when she makes a sincere introspective report. He then explicitly uses the words “incorrigible” and “indubitable” interchangeably. (See also Shoemaker 1963, who uses the term “incorrigible” to refer to any sincere introspective report in which “it does not make sense to suppose, and nothing could be accepted as showing, that [the individual] is mistaken, i.e., that what he says is false.”) However, the terms “incorrigibility” and “indubitability” are also often distinguished from one another, and from “infallibility,” to pick out related, but different, kinds of epistemic specialness. On this usage, an individual’s introspective belief is said to be incorrigible when no one else can have grounds for correcting it; an individual’s introspective belief is said to be indubitable when she herself can have no grounds for rejecting it. (See Alston 1971 and Gallois 1996.) Note that these three kinds of epistemic specialness can clearly come apart. For example, we can conceive (at least in principle) of cases in which an individual’s introspective report was false even though no one else had grounds for correcting it, or in which the individual herself has no grounds to reject it. It thus seems best to keep separate the terms “infallibility,” “incorrigibility,” and “indubitability.” This essay reserves the term “infallibility” for the claim discussed above that it is not possible for me to believe that I am in a given mental state unless I am in that mental state.

One further qualification is also needed. As stated above, the infallibility thesis concerns our self-knowledge generally, rather than just our introspective knowledge, and is thus overly broad. Suppose that in the course of a polite disagreement, a friend accuses me of being angry at her. In fact, she is lying to cover her own anger at me. But, because she is normally reliable, I might take her accusation at face value and become convinced that I am angry at her. This case, in which I have the belief that I am angry even though I am not, shows that we can have fallible self-knowledge. (See Gertler 2003b for some similar examples.) The case does not show, however, that we can have fallible introspective knowledge. In fact, one might suppose that my belief in the case above is mistaken precisely because it was not formed on the basis of introspection, but rather on the basis of my friend’s testimony. Proponents of infallibility undoubtedly intend the infallibility thesis to apply only to introspective knowledge and not to self-knowledge more generally. To make this clear, we can insert the following qualification in the statement of the infallibility claim: Necessarily, if I believe on the basis of introspection that I am in a particular mental state, then I am in that mental state.

Thus understood, the infallibility thesis enjoys some intuitive support, particularly when it comes to certain types of mental states like sensations. How can I be wrong that I am in pain right now? (See Shoemaker 1990 for an attempt to flesh out the inherent plausibility of the infallibility thesis.) Nonetheless, it is now almost uniformly rejected by both philosophers and psychologists alike. Some obvious counterexamples come from our assessments of our emotional states and character traits. Individuals are notoriously poor judges of whether they are feeling jealous, for example. And of course there are widespread examples from literature and cinema where it is plain to everyone but the bickering hero and heroine themselves that, despite their protestations to the contrary, they are really in love.

Arguing against the infallibility thesis, Churchland (1988) suggests that we make mistakes in our introspective judgments because of expectation, presentation, and memory effects, – three phenomena that are familiar from the case of perception. As an example where expectations come into play, he offers the case of a captured spy whose interrogators have repeatedly tortured him by briefly pressing a hot iron against his back. What would happen if, after 19 times with the hot iron, the torturers surreptitiously use an ice cube instead? Since the spy strongly expects to feel pain, Churchland suggests that the spy’s immediate reaction to the ice cube will not differ significantly from the reactions that he had to the hot iron, i.e., he will mistakenly think he is feeling pain. (See also Warner 1993.) Likewise, Churchland argues that when a sensation is presented to us for a very short duration of time, mistakes are not just likely but inevitable. Finally, he asks us to consider someone who suffered neural damage at a young age and has subsequently not felt pain or any other tactile sensation for 50 years. Then suppose that her neural deficits were somehow overcome. In such a situation, Churchland argues that it would be quite implausible to suppose that she would be able instantly and infallibly to discriminate and identify all of her newly regained sensations.

Churchland’s criticisms of the infallibility thesis in some ways echo worries raised by James almost a century earlier. As James noted, “Even the writers who insist upon the absolute veracity of our immediate inner apprehension of a conscious state have to contrast with this the fallibility of our memory or observation of it, a moment later.” He concludes that “introspection is difficult and fallible; and that the difficulty is simply that of all observation of whatever kind.” (James 1890/1950)

Another line of objection to the claim of infallibility derives from some remarks of Wittgenstein (1958). In the course of offering his private language argument, he worries about how an individual in isolation would be able to develop a language to refer to her own sensations. The problem is that in such cases there “is no criterion of correctness. One would like to say: whatever is going to seem right to me is right. And that only means that here we can’t talk about ‘right.’” Armstrong (1963) fleshes out the objection as follows (see also Wright 1989):

If introspective mistake is ruled out by logical necessity, then what sense can we attach to the notion of gaining knowledge by introspection? We can speak of gaining knowledge only in cases where it makes sense to speak of thinking wrongly that we have gained knowledge. In the words of the slogan: ‘If you can’t be wrong, then you can’t be right either.’ If failure is logically impossible, then talk of success is meaningless.

In the empirical domain, work in a variety of areas provides important evidence for the fallibility of introspection. Influential studies by Nisbett and Wilson (1977) suggest that we often misdescribe our own reasoning processes. In one study, subjects were presented with four pairs of stockings and asked to indicate which pair had the highest quality. The leftmost pair was preferred by a factor of almost four to one. However, unbeknownst to the subjects, all four pairs of stockings were identical. Though position effects were clearly playing a role in the subjects’ choice, none of them identified position when asked to explain their reasoning, and those who were asked explicitly whether position played any role in their reasoning process all denied it. The evidence from this and other studies thus suggests that people often form mistaken beliefs about what reasoning processes they are utilizing; as Nisbett and Wilson conclude, the evidence is “consistent with the most pessimistic view concerning people’s ability to report accurately about their cognitive processes.”

However interesting this result, Nisbett and Wilson’s work might not seem especially threatening to most proponents of infallibility, since it concerns introspective access only to higher order reasoning processes, and in particular, the ability to recognize outside influences on those processes. But who would have ever thought that we were infallible with respect to that? In contrast, empirical work on “changeblindness,” which calls into question our introspective access to our current perceptual states, seems to pose a deeper threat. According to work done by Kevin O’Regan (who works, ironically, at the Universite Rene Descartes in France), subjects typically fail to notice even large changes to objects in their visual field, as long as the change occurs simultaneously with some other “disruption,” such as a blink or a mudsplash on a windshield. (See, e.g., O’Regan et al, 1999.)

One might try to qualify the infallibility thesis to address some of the above objections. For example, one might restrict the infallibility thesis only to those judgments that are made after careful reflection. Alternatively, one might restrict the infallibility thesis to a subclass of mental states. For example, Jackson (1973) defends a limited infallibility thesis, claiming that we are infallible only about our current phenomenal states. However, Schwitzgebel (2005) adduces numerous considerations to suggest that we should reject even these attenuated infallibility theses. According to Schwitzgebel, we are prone to gross error even in introspective judgments that are often taken to be epistemically the most secure, namely, those about currently ongoing visual experience. Though we typically assume that visual experience consists of a broad stable field with imprecision or haziness only at the borders, introspective experiments that force us to direct our attention away from the focal center reveal that a surprisingly small portion of one’s visual field has any real clarity and precision. (See also Dennett 1991.)

b. Self-intimation

Another account of our privileged access stems from the doctrine of self-intimation. A mental state is self-intimating if it is impossible for a person to be in that mental state and not know that she is that mental state. This doctrine is sometimes referred to as omniscience (see Alston 1971); if whenever an individual is in a mental state she has knowledge of that mental state, then that individual is omniscient with respect to her own mental life. This doctrine is also sometimes referred to as the transparency thesis – the claim that whatever happens within a mind is completely transparent to it. (See Shoemaker 1990.) As such, the doctrine is closely associated with the Cartesian conception of the mind. But though Descartes himself seemed to endorse both infallibility and self-intimation, it is useful to note that they can come apart. An individual might be infallible about her mental states without the mental states being self-intimating; in such a case, whatever beliefs she has about her mental states will be true, but there may nonetheless be some mental states about which she has no beliefs. Likewise, even if mental states are self-intimating, we might still have false introspective beliefs. Self-intimation requires that whenever an individual is in a mental state she will form the belief that she is in that mental state, but it does not rule out her falsely forming the very same belief when she is not in that mental state.

Like the infallibility thesis, the self-intimation thesis enjoys some inherent plausibility. In fact, self-intimation may even seem to follow from the very notion of a mental state. If what it is for an individual to have a mental state is for her to be conscious of it, how could self-intimation be denied? Insofar as we think of the mental in terms of the conscious, and insofar as we think of being conscious of a mental state as being aware of it, the self-intimation thesis seems like a truism.

Unfortunately for the proponent of self-intimation, however, there are two obvious problems with this line of reasoning. First, as the work of Freud has suggested, we should not limit the mental to the conscious. Second, the claim that consciousness should be analyzed in terms of awareness is itself highly controversial. (See e.g., Armstrong 1981; Block 1995.)

This second point relates to Armstrong’s case (1981) of the distracted truck driver, which is often offered as an objection to the self-intimation thesis. When driving for long periods of time at night, a truck driver may suddenly “come to” and realize that he has been driving for quite some time without being aware of what he has been doing. Though the truck driver was clearly in a conscious state while he was driving (after all, he was engaging in a fairly sophisticated activity), he had no introspective awareness of that state.

The self-intimation thesis also falls victim to many of the same objections that plague the infallibility thesis. Just as we can have false beliefs about many of our mental states, we may also fail to form beliefs about many of our mental states. Even if the jealous lover does not falsely believe that she is not jealous, she might nonetheless fail to recognize her feelings of jealousy. In fact, the only way that we are able to explain much of human behavior is to assume that individuals often lack knowledge of their own mental states. Why do the hero and the heroine bicker so much, to return to an example from above? Presumably this occurs because they are unaware of their true feelings for one another.

The proponent of the self-intimation thesis may be able to sidestep some of these objections by limiting the scope of the thesis in an appropriate way. Chisholm (1981) offers a self-intimation thesis limited to conscious states about which an individual reflects, i.e., whenever an individual who is in a conscious state reflects on whether she is in such a state, she will form a justified belief that she is in such a state. In recent years Shoemaker has also championed a limited version of the self-intimation thesis: “it is implicit in the nature of certain mental states that any subject of such states that has the capacity to conceive of itself as having them will be aware of having them when it does, or at least will become aware of this under certain conditions (e.g. if it reflects on the matter).” (Shoemaker 1988; see also Shoemaker 1995.) The mental states that Shoemaker has in mind are beliefs and desires. Shoemaker argues for his version of the self-intimation thesis by invoking considerations of Moore’s Paradox. Named for G.E. Moore, the paradox concerns assertions of the form “P, but I don’t believe that P” (e.g. “It is raining but I don’t believe that it is raining.”) In short, Shoemaker argues that any rational individual who has the first-order belief P will be able to avoid holding Moore-paradoxical beliefs. Thus, assuming rationality, the mere possession of a belief is enough to ensure that an individual will believe that he has that belief. We will return to Shoemaker’s view in our discussion of the nature of introspection in Section 2.

c. Self-warrant

A third account of privileged access can be found in the notion of self-warrant. As Alston (1976) defines the notion, “a self-warranted belief enjoys an immunity from lack of justification; it cannot be the belief it is and fail to be justified.” If privileged access is to be understood in terms of self-warrant, then that would mean that whenever an individual has a belief about her own mental states, she is justified in holding that belief. As was the case with the infallibility claim, for this claim to be plausible it must presumably be limited to beliefs formed by introspection: if an individual believes on the basis of introspection that she is in a particular mental state, then her belief is justified.

Importantly, in contrast to the proponent of infallibility, the proponent of self-warrant does not claim that the relevant belief must be true. Self-warrant leaves open the possibility of error. As such, it is a considerably weaker claim than either of the two claims previously considered. Moreover, there is something intuitively plausible about it. Suppose that, on the basis on introspection, I form the belief I intend to go to the faculty meeting this afternoon. Granted, I might be wrong, and perhaps other people could supply me with evidence that would convince me that I am wrong. But that said, I have no reason to reject the belief. And that alone – when introspective beliefs are in question – seems to justify me in holding the belief. This point generalizes our introspective beliefs about other conscious mental states as well. Typically, nothing is required to justify an introspective belief about one’s own conscious mental state other than the fact that it is a belief about one’s own conscious mental state. As Alston (1976) argues, if someone were to report to us that she presently is imagining a blue jay, or that she is thinking about lunch, or that she has an itch on her left leg, then we take it for granted that these reports are justified; “We would unhesitatingly brand as absurd a request for justification such as ‘Why do you believe that?’, ‘What reason do you have for supposing that?’, or ‘How do you know that?’”

Against this, Gallois (1996) argues that invoking self-warrant cannot provide an adequate explanation of the epistemic distinctiveness of our introspective beliefs. Gallois suggests that ultimately there is no way of understanding self-warrant except in terms of non-evidential justification; any other analysis will lead to the implausible conclusion that all beliefs are self-warranted. But that means that what is really doing the work to explain the distinctive epistemic nature of our introspective knowledge is the fact that it is non-evidentially justified – the notion of self-warrant itself does no explanatory work. Non-evidential justification will be discussed in connection with the notion of immediacy, below.

d. Immediacy

An additional claim that is often made about an individual’s introspective access to her own mental states is that it is immediate or direct. To claim that introspective access is immediate is to claim that our introspective beliefs are non-inferential and non-evidentially based. In this respect, our introspective beliefs are significantly different from perceptual beliefs (and perhaps, from all of our other beliefs as well).

Immediacy is often linked with infallibility. One reason that introspective beliefs might be thought to be infallible is that they are immediate; the fact that they are not inferred from any other beliefs or based on any other evidence bestows on them an immunity from error. This position is often associated with Russell, and in particular, his distinction between knowledge by description and knowledge by acquaintance: “We shall say that we have acquaintance with anything of which we are directly aware, without the intermediary of any process of inference or any knowledge of truths.” (Russell 1912) For Russell, the only things with which we have such acquaintance are our current mental particulars, and when we are acquainted with some such particular – when our access to it is immediate – our judgments about it cannot be wrong:

At any given moment, there are certain things of which a man is ‘aware,’ certain things which are ‘before his mind.’ … If I describe these objects, I may of course describe them wrongly, hence I cannot with certainty communicate to another what are the things of which I am aware. But if I speak to myself, and denote them by what may be called ‘proper names,’ rather than by descriptive words, I cannot be in error. (Russell 1910.)

Leaving aside the question of whether Russell is right to connect immediacy with infallibility, a further question remains: can immediacy provide us with an adequate understanding of privileged access? Many philosophers have argued that it cannot. For example, Alston (1971) complains that the notion of immediate awareness is not well-understood. It will not help to try to comprehend the notion in causal or special terms, since we do not have a good sense of how these notions apply to mental states. He suggests further that even once the notion is clarified, it still will not serve to explain our privileged access. (Alston 1976). The primary problem concerns the following question: What, exactly, are we supposed to have immediate awareness of? Alston notes that we can have awareness of particulars (my sensation of this patch of color) or facts (that this patch of color is red). But since we do not enjoy privileged access with respect to all of our beliefs about the particular, it looks as if immediate awareness to particulars cannot do the work that it is supposed to do. The problem does not arise if our immediate awareness is of a particular fact about the particular – an immediate awareness of the fact that this patch of color is red can explain why a belief in that fact would be epistemically privileged. However, here we have merely traded one problem for another, since it is not at all clear what sense it makes to say that facts can be immediately apprehended.

Heil (1988) offers an additional reason to deny that immediacy or directness gives us a sufficient explanation of privileged access. According to Heil, a mental state’s being one’s own is neither necessary nor sufficient for it to be knowable directly. It is possible, in principle, that I might fail to know many of my mental states directly, and it might further be possible that I might know someone else’s mental states directly. (Suppose, for example, that Anne could be wired in such a way so that she is connected to Emily’s nervous system. In this case, Anne might know Emily’s mental states directly.) As he concludes, “a characterization of my privileged access based exclusively on what is directly known is anemic, hence unsatisfactory.”

2. The Nature of Introspection

However we are to understand the special epistemic status of our introspective judgments, we might naturally think that this status owes to the nature of introspection. But what is the nature of our introspective capacity? Philosophers who have attempted to answer this question fall, broadly speaking, into two camps: those who give observational models of introspection, and those who give non-observational models of introspection. In what follows, we address each of these accounts in turn. We will also briefly consider the skeptical view of an additional camp of philosophers, those who deny that there is any special introspective capacity for which to account.

a. Observational Models

One of the most common accounts of introspection is modeled on perception: just as our perceptual capacity enables us to observe the outer world, our introspective capacity enables us to observe the inner world. As such, introspection can be thought of as an inner sense. This view is often thought to have originated with Locke, who claimed that one source of our ideas is:

the Perception of the Operations of our own Minds within us …. This Source of Ideas, every Man has wholly in himself: And though it be not Sense, as having nothing to do with external Objects; yet it is very like it, and might properly enough be call’d internal Sense. (Locke 1689/1975)

Armstrong (1968, 1981) is probably the main contemporary advocate of the inner sense view. In the course of advocating a materialist theory of mind, Armstrong advances a view of introspection as a self-scanning process in the brain. According to Armstrong, the scanning state and the state scanned must be distinct states: “although they are both mental states, it is impossible that the introspecting and the thing introspected should be one and the same mental state. A mental state cannot be aware of itself, any more than a man can eat himself up.” (Armstrong 1968, 324) Having offered this consideration, which is often referred to as the distinct existences argument, Armstrong also argues that the relationship between the two states is causal.

Given this picture of introspection, it is no surprise that proponents of the inner sense view typically reject several of the claims discussed in Section 1 above. Since they view the introspective state and the introspected state as distinct states, they claim that it must be possible for one to occur without the other. Thus, they reject the self-intimation claim. Since it seems possible that the scanning mechanism could malfunction, they also reject the infallibility claim.

This does not mean, however, that the inner sense view of introspection should be seen as deflationary. Lycan (1996), who offers a version of Armstrong’s self-scanning view, emphasizes the importance of introspection to our mental lives: “Introspective consciousness is no accident … As a matter of engineering, if we did not have the devices of introspection, there would be no we to argue about, or to do the arguing.” Here Lycan stresses the evolutionary advantages conferred by our capacity for introspection. The complexity of our sensory, cognitive and motor systems demands that we be able to engage in an internal monitoring of these systems.

In recent years, Shoemaker has been one of the most persistent critics of the inner sense model of introspection. According to Shoemaker (1994), if introspection were to conform to a perceptual model, even one broadly construed, then it would have to satisfy two conditions. The first is what he calls the “causal condition” – introspective beliefs about one’s own mental states are caused by those mental states, by a reliable belief-producing mechanism. The second is what he calls the “independence condition” – the existence of mental states is independent of any introspective beliefs about them. Shoemaker’s main concern with the inner sense model is that introspection fails to satisfy this second condition. His arguments here relate to his arguments for the self-intimation thesis, discussed above. According to Shoemaker, rationality demands that a creature be sensitive to her own mental states, and thus it is of the essence of mental states to reveal themselves to introspection. (See also Falvey 2000.)

Many of the additional criticisms of the inner sense view stem from alleged disanalogies with “outer” sense. For example, there is no organ of introspection the way that there are organs of sense perception. Armstrong (1968) dismisses this criticism by noting that even one of the outer senses – namely, proprioception – proceeds without a sensory organ. Lormand (2000) makes the further point that there are mental processes such as imagination, dreaming, and hallucination that we think of as “sensory” even though they do not proceed by way of organs of perception.

Another disanalogy arises from the fact that introspecting lacks any distinctive phenomenology. Lyons (1986) takes this to show that it cannot literally be a form of inner perception. Each of our other senses has a distinct phenomenology; think, for example, of the phenomenology of tasting or of touching. However, the phenomenology of introspecting seems to derive wholly from what is being introspected; in and of itself, there is nothing that it is like to introspect.

This last criticism relates to the so-called diaphanousness or transparency of experience (not to be confused with the epistemic transparency claim discussed above that is associated with the Cartesian conception of mind). Experience is said to be transparent in the sense that we ‘see’ right through it to the object of that experience, analogously to the way we see through a pane of glass to whatever is on the other side of it. For example, when I am having an experience of a red tomato, and I try to focus on the experience, there seems to be nothing on which I can train my focus except the tomato itself. If experience is transparent in this way, then introspection is not a matter of “looking within.”

Moved by considerations of experiential transparency, some philosophers – most notably Dretske (1995, 1999) – have offered a perceptual model of introspection that differs dramatically from the inner sense view. Dretske claims that all mental states are representational states. But this means that there is no longer any need, or any use, for the sort of internal scanning mechanism posited by proponents of the inner sense view. Instead:

One becomes aware of representational facts by an awareness of physical objects. One learns that A looks longer than B, not by an awareness of the experience that represents A as longer than B, but by an awareness of A and B, the objects the experience is an experience of. On a representational theory of the mind, introspection becomes an instance of displaced perception—knowledge of internal (mental) facts via an awareness of external (physical) facts. (Dretske 1995)

On this displaced perception view, then, not only should we reject the infallibility thesis and the self-intimation thesis, but we should also reject the immediacy thesis. Introspective knowledge for someone like Dretske will be inferential knowledge – inferred from our knowledge of the external world.

In addition to the displaced perception view, there are other views that are at least broadly speaking observational views of introspection but yet deny that introspection should be construed along the lines of the traditional inner sense view. For example, Nichols and Stich (2003a, 2003b; see also Nichols 2000) have offered a view of introspection that works by way of a “monitoring mechanism.” The input to the mechanism is one’s own mental state; the output is a belief that one has that mental state. As stated, the monitoring mechanism sounds very much like Armstrong’s self-scanning mechanism, and thus looks like a version of the inner sense model of introspection. However, the view proposed by Stich and Nichols differs from standard versions of the inner sense view in its explicit denial that the monitoring mechanism detects the presence of the inputted mental state by way of phenomenological features.

b. Non-Observational Models

In the previous section, we saw Shoemaker’s criticisms of the inner-sense model of introspection. Having developed these criticisms, Shoemaker (1988, 1990, 1994) offers his own view of how introspection works. This view is not observational. Rather, on Shoemaker’s view, there is a constitutive connection between being in a mental state and having introspective knowledge about that state: “Our minds are so constituted, or our brains are so wired, that for a wide range of mental states, one’s being in a certain mental state produces in one, under certain conditions, the belief that one is in that mental state.” (Shoemaker 1994)

For Shoemaker, this constitutive connection owes to the fact that we are rational creatures. It is an essential part of being rational that a being has the capacity for introspection. Shoemaker argues for this by primarily by invoking considerations of Moore’s Paradox (see above; section 1c). This argument aims to show that ‘self-blindness’ is not possible; in order to explain an individual’s possession of an introspective belief about a given mental state, we need only to invoke the fact that the individual has the relevant mental state plus normal intelligence, rationality, and conceptual capacity.

A similar account is offered by Gallois (1996), who argues that whenever I have a justified belief, I am entitled to infer from what I believe to the fact that I so believe it. This non-evidential inference will be made by any rational creature, since it is the only way that we can make sense of the world around us; in the absence of such an inference, an individual will not be able to contrast her beliefs about the world with the world as it actually is. What would result, according to Gallois, is an irrational view of the world around us. Thus, rationality demands the self-attribution of beliefs. Gallois then offers related considerations to show that rationality also demands the self-attribution of other mental states. For example, unless we attribute perceptual states to ourselves, we will be unable to contrast how the world appears to us with how it actually is.

Obviously, the plausibility of the sort of non-observational account that Shoemaker and Gallois offer will depend on the notion of rationality involved. Additionally, proponents of this sort of non-observational account must defend themselves against charges of circularity. Briefly put, the charge of circularity arises since it might naturally be thought that an adequate account of rationality will have to make reference to our introspective capacity. (See Kind 2003 and Siewert 2003 for criticisms of Shoemaker’s account.)

The Theory Theory of self-awareness (TTSA) offers a very different kind of non-observational model. TTSA derives directly from the “Theory Theory,” a view which claims that an individual’s network of commonsense folk-psychological beliefs constitute a theory which she uses to explain and predict the behavior of others. Typically, this inferential, theory-based understanding that we achieve of others’ mental states is contrasted with the direct, non-inferential understanding that we can have of our own mental states. Recent results from developmental psychology, however, call this contrast into question. For example, Gopnik (1993; see also Gopnik and Meltzoff 1994) presents evidence that very young children make errors about their own psychological states parallel to the kinds of errors that they make about others’ psychological states. These errors are not easily explained if we assume a sharp divide between the way we come to know about our own mental states and the way we come to know about others’ mental states. Gopnik thus concludes that the child’s theory of mind applies not only to others but to herself as well:

The important point is that the theoretical constructs themselves, and particularly the idea of intentionality, are not the result of some direct first-person apprehension that is then applied to others. Rather, they are the result of a cognitive construction. The child constructs a theory that explains a wide variety of facts about the child’s experience and behavior and about the behavior and language of others.

Recent research on autism and schizophrenia is also often cited by proponents of TTSA. For example, Carruthers (1996b) discusses experimental results suggesting that autistic individuals lack introspective access to many of their own current mental states. If we think of autism as a kind of “mind-blindness,” then these results are exactly what would be predicted by TTSA.

In developing his own version of TTSA, however, Carruthers (1996a) departs from Gopnik’s claim that self-knowledge is inferential. Rather, Carruthers thinks that mental states should be thought of as akin to the theoretical entities of physics; they are the theoretical entities of folk psychology. Introspection should likewise be thought of as akin to the kind of theory-laden perception that often goes on in the physical sciences. For example, armed with the appropriate background information, a physicist might sometimes simply see that electrons are being emitted by the substance that she is studying. Likewise, claims Carruthers, each of us can sometimes simply see – “that is, know intuitively and non-inferentially” – what mental states we have. Depending on what sense we make of Carruthers invocation of “seeing” here, this version of the TTSA might be best classified as an observational model of introspection (though obviously one that is quite different from the traditional inner-sense view).

Opponents of this view typically raise two very different sorts of criticisms. First, they criticize the data for the theory, suggesting that the research from developmental psychology does not in fact support the conclusions that proponents of TTSA want to draw. For example, Nichols (2000) argues that there are developmental asynchronies between a child’s ability to posit knowledge and ignorance to herself and her ability to posit knowledge and ignorance to others. Were TTSA to be true, however, we should expect these abilities to develop in parallel. Second, they criticize the theory itself. For example, Nichols and Stich (2003b) argue that the theory is underdescribed in one very critical respect. For TTSA to be plausible, the proponent has to allow that there is special information available in the first-person case that is not available in the third-person case. But proponents of TTSA have no plausible account of what this special information might be. Consider Gopnik’s remark that “we may well be equipped to detect certain kinds of internal cognitive activity in a vague and unspecified way, what we might call ‘the Cartesian buzz’.” (Gopnik 1993) Stich and Nichols reasonably note that the postulation of some mysterious ‘buzz’ does not offer much help in this regard.

c. Skepticism about Introspection

Many philosophers who take a skeptical view towards introspection were influenced by the views of Wittgenstein. Wittgenstein is often associated with a view called expressivism about introspection, i.e., the claim that what appear to be introspective reports of our mental states are in fact not reports at all, but rather mere expressions of those mental states. Saying “I am in pain” is akin to saying “ouch.” As expressions, rather than reports, of one’s pain, neither of these utterances has any propositional content. Such expressions, in other words, are non-cognitive. This view parallels expressivism in ethics, where utterances like “Giving money to charity is morally right” and “Killing an innocent person is wrong” are interpreted as expressions of approval and disapproval. Whether Wittgenstein actually was an expressivist about introspection is, as is often the case with Wittgensteinian interpretation, a complicated and controversial exegetical question. But certainly some of his remarks are at least suggestive of expressivism, as for example when he says: “the verbal expression of pain replaces crying and does not describe it.” (Wittgenstein 1958)

It is worth noting that some philosophers have recently embraced expressivism without embracing skepticism about introspection. The basic line is to divorce expressivism from non-cognitivism, i.e., to deny that mental state self-ascriptions are reports without denying that such self-ascriptions can be judged true or false. In this spirit, Falvey (2000) argues that the denial that mental state self-ascriptions are reports amounts only to the denial of the observational model of introspection. Mental state self-ascriptions can be truth-apt even if they are mere expressions. His subsequent account of self-knowledge hinges on the notion of sincerity of utterance. According to Falvey, when an individual sincerely self-ascribes a mental state, the sincerity of her utterance will guarantee that she is in that mental state. Although Falvey recognizes that in general the sincerity of an utterance is not sufficient for the truth of that utterance, he argues that mental state self-ascriptions are special in that the gap between sincerity and truth collapses. Moreover, the absence of this gap is what explains privileged access. (See Bar-On 2005 for a different version of neo-expressivism.)

An additional source of skepticism about introspection comes from the rejection of the Cartesian picture of the mind. Cartesianism encourages us to think of the mind like a theater in which the ongoing show can be viewed by only one individual, the person whose mind it is. Critics of Cartesianism suggest that this picture seduces us into falsely positing a faculty for viewing the show, i.e., a faculty of introspection. Along with the rejection of Cartesianism, they urge the rejection of any commitment to a faculty of introspection.

One such critic is Ryle, who argues that the standard philosophical view of introspection is a logical mess. (Ryle 1949) His primary criticism takes the form of a regress argument. On the standard view, self-knowledge consists in a higher-order attention to some lower-order state. But this entails that we would also have to attend to the higher-order state. And the situation is actually even worse than this, since the state of attending to that higher-order state would itself have to be attended to, and so on, leading to a vicious infinite regress.

Importantly, in rejecting introspection, Ryle does not deny that we can attain self-knowledge. We can achieve self-knowledge exactly the same way that we can achieve knowledge of other people, namely, by drawing inductive conclusions on the basis of observed behavior. As this suggests, skepticism about introspection goes along with a rejection of privileged access. On Ryle’s view, there is nothing epistemically special about our judgments about our own mental states. In fact, not only do we typically fail to be in a better position to make judgments about our own mental states than about others’ mental states, or than the position others are in with respect to one’s own mental states, but we might on occasion be in a worse position. After all, one is often inclined to view one’s self with a considerable lack of objectivity.

In a similar spirit to Ryle’s account of introspection is Lyons’ (1986) “replay” account of introspection, according to which introspection is simply a process of perceptual replay. For example, if someone introspects in order to determine whether she is angry at her colleague, Lyons claim that what she will do is to call to mind the things that she did when she was last with the colleague, – what she said, how she reacted, etc. In sum, for Lyons introspection “is not a special and privileged executive monitoring process, over and above the more plebeian processes or perception, memory, and imagination; it is those processes put to a certain use.”

Dennett, one of Ryle’s most famous students, is also skeptical of standard views of introspection. According to Dennett, in many instances where we think we are introspecting, we are actually theorizing. (Dennett 1991) Moreover, since we are notoriously bad at this theorizing, our first-person access to our own mental states is considerably less privileged than is commonly thought.

3. Introspection and the Nature of Mind

Having discussed the epistemic status and the nature of introspection, we now turn briefly to two claims about introspection which have played significant roles in discussions of the nature of mind. First, we discuss whether introspection can provide a criterion of mentality. Second, we discuss whether introspection can provide support for a dualist answer to the mind-body problem. Both of these claims are associated with Descartes, and both have come under fire in recent discussions of philosophy of mind.

a. Introspectibility as a Mark of the Mental

In claiming that the mind is transparent, Descartes was in essence making a claim about the scope of introspection: the introspective capacity has complete access to all of the contents of the mind. This gives rise to a further claim associated with a Cartesian conception of mind, namely, that introspectibility is the mark of the mental. For Descartes, there is nothing to the mind but that which is accessible to introspection.

In making this claim, Descartes should not be seen as committed to the implausibly strong view that a state must actually be introspected in order to count as a mental state. An individual can have mental states that, at any particular moment, are not present to her consciousness. For example, of the many beliefs that an individual holds, only a very few are occurrent at any point and time. Most of them are non-occurrent – they are standing beliefs that are recalled to consciousness only when needed. Take your belief that 6+7=13; presumably, before reading the previous sentence, that belief was not present to your consciousness. But the fact that it was not then being introspected does not incline us to deny that you then held the belief.

The accessibility that Descartes has in mind is accessibility in principle. Although prior to reading the sentence above you were not introspectively accessing your belief that 6+7=13, you could in principle have introspectively accessed that belief at any time. A belief remains introspectively accessible in principle even if there are many moments in time in which the belief is not being introspected. You might have some mental states to which it is more difficult to gain introspective access. In some cases it might require careful reflection; in other cases, it might even require some kind of psychoanalysis. But as long as the state can, in principle, be brought to consciousness, Descartes counts the relevant state as mental.

The problem, however, is that there are some states that we intuitively think of as mental states but that seem even in principle inaccessible to introspection. At least since the work of Freud, we have recognized the existence of mental states that are deeply unconsciousness. There can be some desires, for example, that are so deeply repressed that they cannot be made available to introspection even with the best psychoanalysis that money can buy. Such states, in other words, are not even in principle accessible to introspection.

With some slight tweaking to our accessibility-in-principle claim, it might be possible to avoid this problem. For example, Brook and Stainton (2000) offer the following suggestion. Consider some deeply unconscious states that we are assuming are not even introspectively accessible in principle. In other words, no matter how hard you were to try, you could not bring them to introspective awareness. Nonetheless: “were you to become aware of them, (directly aware of them, not aware of them by inferring them from behavior or something else), it would be by becoming able to introspect them.” The only way you could have direct access to such states, in other words, would be through introspection.

Even this suggestion, however, is not enough to save the claim that introspectibility is the mark of the mental. First of all, it is not clear how we should evaluate the above counterfactual conditional, given that the mental states in question are ex hypothesi inaccessible to introspection. Second of all, there is another class of mental states for which it is even harder to make sense of the supposition that we could become aware of them directly. Consider here any states that are typically thought to be at the “sub-personal” level. For example, if we accept Chomsky’s theory of language acquisition, each of us mentally represents all sorts of basic linguistic rules. These representations, however, are inaccessible in principle to introspection. Moreover, these states – unlike the sorts of repressed desires just considered – do not even seem to be suitable targets for introspective awareness.

For these reasons, it is unlikely that we will be able to use introspectibility as a criterion of the mental. Perhaps introspectibility can serve as a sufficient condition for a state’s being a mental state, but it cannot provide us with a necessary condition. Despite what Descartes thought, our mental life seems to outrun our introspective capacity.

b. Introspective Arguments for Dualism

In the Second Meditation, Descartes (1641) presents the famous line of reasoning often referred to as the Cogito – I think, therefore I am. Even if a powerful demon were to deceive me about the external world, “he will never bring it about that I am nothing so long as I think that I am something.” And so Descartes concludes that he can be certain that he exists.

Having achieved certainty about his existence, however, Descartes does not yet have any certain knowledge about what kind of being he is. He then goes on to examine the nature of the human mind. The course of this examination has suggested the following argument:

  1. Descartes cannot doubt that he (his mind) exists.
  2. Descartes can doubt that his body exists.
  3. Descartes’ mind is not the same thing as Descartes’ body, i.e., dualism is true.

Whether Descartes intended to be using the reflections of the Second Meditation to be offering this argument for dualism is a thorny exegetical question that we sidestep here. For our purposes, the question is whether these considerations do support dualism. More specifically, we are interested in closely related considerations that specifically invoke introspection:

  1. Mental states are known by introspection.
  2. Brain states are not known by introspection.
  3. Therefore, mental states are not identical to brain states.

According to Leibniz’ Law, if a has a property that b lacks, then a is not identical to b. Here we seem to have found a property that mental states have that brain states lack, namely, that they are known by introspection. Unfortunately for the dualist, however, this argument commits an intensional fallacy. For Leibniz’ Law to apply, the property in question must be extensional, that is, it must apply to an object independently of how we refer to that object. In this case, the property “is known by” fails to be extensional.

Faced with this objection, the dualist might offer the following amended argument:

  1. Mental states are knowable by introspection.
  2. Brain states are not knowable by introspection.
  3. Therefore, mental states are not identical to brain states.

The dualist can plausibly claim that the property invoked by this argument – being knowable by introspection – is a genuine, extensional property, and thus he can avoid the intensional fallacy committed by the previous argument. But this argument falls victim to a related objection, as explicated by Churchland (1985). According to Churchland, the materialist has no reason to accept premise 2: “if mental states are indeed identical with brain states, then it is really brain states that we have been introspecting all along, though without appreciating their fine-grained nature.” The fact that temperature is identical to mean molecular kinetic energy means that we can sense mean molecular kinetic energy by feeling, whether we realize that’s what we’re sensing by feeling or not. The fact that we don’t realize that we can introspect brain states does not mean that mental states are not identical to brain states.

In contemporary discussions of the mind-body problem, the above argument from introspection has not played much of a role. However, related considerations from introspection are still in play. For example, Chalmers (1996) offers an argument from “epistemic asymmetry” to show that consciousness cannot be reductively explained. According to this argument:

Our grounds for belief in consciousness derive solely from our own experience of it. Even if we knew every last detail about the physics of the universe … that information would not lead us to postulate the existence of conscious experience. My knowledge of consciousness, in the first instance, comes from my own case, not from any external observations. It is my first-person experience of consciousness that forces the problem on me.

Although this passage (and Chalmers’ discussion of the argument) does not specifically mention introspection, it seems clear that the way one gains first-person experience of consciousness is through introspection.

More generally, many of the contemporary arguments offered in discussions of the mind-body problem rely on premises that can only be supported by introspection, or by introspective projection. Consider, for example, Jackson’s Knowledge Argument. Mary, who is locked in a black and white room and has never had any color sensations, learns every physical fact there is about color. Nonetheless, claims Jackson, when she leaves the room and sees a ripe tomato for the first time, she will learn some new fact about the color red. Thus, there are facts that escape the physicalist story. (Jackson 1982) Whether or not this argument succeeds in establishing the falsity of physicalism is hotly debated, but for our purposes, what’s most important is the following question: how can we judge the truth of Jackson’s claim that Mary learns (or even seems to learn) a new fact about color when she leaves the room? What we must do, it seems, is to imagine ourselves in Mary’s position and judge what we think our epistemic position would be upon exiting the room. In other words, we engage in a sort of introspective projection. In this way, introspection continues to play a key role in this and many other arguments relating to the mind-body problem.

4. References and Further Reading

  • Armstrong, D. 1963. “Is Introspective Knowledge Incorrigible?” The Philosophical Review 72: 417-432.
  • Armstrong, D. 1968. A Materialist Theory of Mind. Humanities Press.
  • Armstrong, D. 1981. The Nature of Mind and Other Essays. Cornell University Press.
  • Alston, W. 1971. “Varieties of Privileged Access.” American Philosophical Quarterly 8: 223-241.
  • Alston, W. 1976. “Self-Warrant: A Neglected Form of Privileged Access.” American Philosophical Quarterly 13: 257-272.
  • Bar-On, D. 2005. Speaking My Mind: Expression and Self-Knowledge. Oxford University Press.
  • Bermudez, J. 2003. “The Elusiveness Thesis, Immunity to Error through Misidentification, and Privileged Access.” In Gertler 2003b: 213-231.
  • Block, N. 1995. “On a Confusion About a Function of Consciousness.” Behavioral and Brain Sciences 18: 227-247.
  • Brook, A. and Stainton, R. 2000. Knowledge and Mind. The MIT Press.
  • Carruthers, P. 1996a. “Simulation and Self-Knowledge: A Defence of Theory-Theory.” In Theories of Theories of Mind, ed. P. Carruthers and P. Smith. Cambridge University Press, 1996.
  • Carruthers, P. 1996b. “Autism as Mind-Blindness: An Elaboration and Partial Defence.” In Theories of Theories of Mind, ed. P. Carruthers and P. Smith. Cambridge University Press, 1996.
  • Cassam, Q. (ed.) 1994. Self-Knowledge. Oxford University Press.
  • Chalmers, D. 1996. The Conscious Mind. Oxford University Press.
  • Chisholm, R. 1981. The First Person. University of Minnesota Press.
  • Churchland, P. M. 1988. Matter and Consciousness. The MIT Press.
  • Dennett, D. 1991. Consciousness Explained. Little, Brown & Company.
  • Descartes, R. 1641. Meditations on First Philosophy. In The Philosophical Writings of Descartes, trans. J. Cottingham, R. Stoothoff and D. Murdoch. Cambridge University Press, 1985.
  • Dretske, F. 1995. Naturalizing the Mind. The MIT Press.
  • Dretske, F. 1999. “The Mind’s Awareness of Itself.” Philosophical Studies 95: 103-124.
  • Falvey, K. 2000. “The Basis of First-Person Authority.” Philosophical Topics 28: 69-99.
  • Gallois, A. 1996. The Mind Within, The World Without. Cambridge University Press.
  • Gertler, B. 2000. “The Mechanics of Self-Knowledge.” Philosophical Topics 28: 125-146.
  • Gertler, B. 2001. “Introspecting Phenomenal States.” Philosophy and Phenomenological Research 63: 305-328.
  • Gertler, B. (ed.) 2003a. Privileged Access: Philosophical Accounts of Self-Knowledge. Ashgate Press.
  • Gertler, B. 2003b. “Introduction: Philosophical Issues about Self-Knowledge.” In Gertler 2003a.
  • Gopnik, A. 1993. “How We Know Our Own Minds: The Illusion of First-Person Knowledge of Intentionality.” Behavioral and Brain Sciences 16:1-14.
  • Gopnik, A. and Meltzoff, A. 1994. “Minds, Bodies, and Persons: Young Children’s Understanding of the Self and Others As Reflected in Imitation and Theory of Mind Research.” In Self-Awareness in Animals and Humans, ed. S. Parker, R. Mitchell and M. Boccia. Cambridge University Press, 1994.
  • Heil, J. 1988. “Privileged Access.” Mind 97: 238-251. Reprinted in Externalism and Self-Knowledge, ed. P. Ludlow and N. Martin. CSLI Publications, 1998.
  • Jackson, F. 1973. “Is There a Good Argument Against the Incorrigibilty Thesis.” Australasian Journal of Philosophy 51: 51-62.
  • Jackson, F. 1982. “Epiphenomenal Qualia.” Philosophical Quarterly 32: 127-36.
  • James, W. 1890/1950. The Principles of Psychology. Dover Publications.
  • Kind, A. 2003. “Shoemaker, Self-Blindness and Moore’s Paradox,” The Philosophical Quarterly 53: 39-48.
  • Kornblith, H. 1998. “What Is It Like To Be Me?” Australasian Journal of Philosophy 76: 48-60.
  • Locke, J. 1689/1975. Essay Concerning Human Understanding, ed. P. Nidditch. Clarendon Press.
  • Lormand, E. 2000. “Shoemaker and ‘Inner Sense’.” Philosophical Topics 28.
  • Lycan, W. 2003. “Dretske’s Ways of Introspecting.” In Gertler 2003a.
  • Lycan, W. 1996. Consciousness. The MIT Press.
  • Lyons, W. 1986. The Disappearance of Introspection. The MIT Press.
  • O’Regan, J., Rensink, R. and Clark, J. 1999. “Blindness To Scene Changes Caused By “Mudsplashes.” Nature 398: 34.
  • Nichols, S. 2000. “The Mind’s ‘I’ and the Theory of Mind’s ‘I’: Introspection and Two Concepts of Self.” Philosophical Topics 28: 171-199.
  • Nichols, S. and Stich, S. 2003a. “How to Read Your Own Mind: A Cognitive Theory of Self-Consciousness.” In Consciousness: New Philosophical Perspectives, ed. Q. Smith and A. Jokic. Oxford University Press.
  • Nichols, S. and Stich, S. 2003b. Mindreading. Oxford Univerity Press.
  • Nisbett, R. and Wilson, T. 1977. “Telling More than we can Know: Verbal Reports on Mental Processes.” Psychological Review 84: 231-259.
  • Russell, B. 1912. The Problems of Philosophy. Oxford University Press.
  • Russell, B. 1910. “Knowledge by Acquaintance and Knowledge by Description.” Proceedings of the Aristotelian Society 11: 108-128.
  • Schwitzgebel, E. 2005. “The Unreliability of Naïve Introspection.” (Unpublished manuscript).
  • Shoemaker, S. 1963. Self-Knowledge and Self-Identity. Cornell University Press.
  • Shoemaker, S. 1988. “On Knowing One’s Own Mind.” In Philosophical Perspectives 2: Epistemology, ed. J. Tomberlin. Ridgeview Publishing Company. Reprinted in Shoemaker 1996.
  • Shoemaker, S. 1990. “First Person Access.” In Philosophical Perspectives 4: Action Theory and Philosophy of Mind, ed. J. Tomerlin. Ridgeview Publishing Company. Reprinted in Shoemaker 1996.
  • Shoemaker, S. 1994. “Self-Knowledge and ‘Inner-Sense’.” Philosophy and Phenomenological Research 54: 249-314. Reprinted in Shoemaker 1996.
  • Shoemaker, S. 1995. “Moore’s Paradox and Self-Knowledge.” Philosophical Studies 77: 211-228. Reprinted with revisions in Shoemaker 1996.
  • Shoemaker, S. 1996. The First-Person Perspective and Other Essays. Cambridge University Press.
  • Siewert, C. 2003. “Self-Knowledge and Rationality: Shoemaker on Self-Blindness.” In Gertler 2003a.
  • Warner, R. 1993. “Incorrigibility.” In Objections to Physicalism, ed. H. Robinson. Clarendon Press, 1993.
  • Wittgenstein, L. 1958. Philosophical Investigations, trans. G.E.M. Anscombe. Macmillan Publishing Co.
  • Wright, C. 1989. “Wittgenstein’s Later Philosophy of Mind: Sensation, Privacy, and Intention.” The Journal of Philosophy 86: 622-634.
  • Wright, C., Smith, B., and Macdonald, C. (eds.) 1998. Knowing Our Own Minds. Clarendon Press.

Author Information

Amy Kind
Email: amy.kind@claremontmckenna.edu
Claremont McKenna College
U. S. A.

John Rawls (1921—2002)

RawlsJohn Rawls was arguably the most important political philosopher of the twentieth century. He wrote a series of highly influential articles in the 1950s and ’60s that helped refocus Anglo-American moral and political philosophy on substantive problems about what we ought to do. His first book, A Theory of Justice [TJ] (1971), revitalized the social-contract tradition, using it to articulate and defend a detailed vision of egalitarian liberalism. In Political Liberalism [PL] (1993), he recast the role of political philosophy, accommodating it to the effectively permanent “reasonable pluralism” of religious, philosophical, and other comprehensive doctrines or worldviews that characterize modern societies. He explains how philosophers can characterize public justification and the legitimate, democratic use of collective coercive power while accepting that pluralism.

Although most of this article will be devoted to TJ, the exposition of that work will take account of Political Liberalism and other later works of Rawls. TJ sets out and defends the principles of Justice as Fairness. Rawls takes the basic structure of society as his subject matter and utilitarianism as his principal opponent. Part One of TJ designs a social-contract-type thought experiment, the Original Position (OP), and argues that parties in the OP will prefer Justice as Fairness to utilitarianism and various other views. In order to understand the argument from the OP, one must pay special attention to the motivation of the parties to the OP, which is philosophically stipulated and provided with a Kantian interpretation. Part Two of TJ checks the fit between the principles of Justice as Fairness and our more concrete considered views about just institutions, thereby helping move us towards a reflective equilibrium that supports those principles. Part Three of TJ addresses the stability of a society organized around Justice as Fairness, arguing that there will be an important congruence in such a society between people’s views about justice and what they value. By the time he wrote Political Liberalism, however, Rawls had decided that an inconsistency in TJ called for recasting the argument for stability. In other ways, the argument of TJ rested on important simplifications, which had the effect of setting aside questions about international justice, disability, and familial justice. Rawls turned to these “problems of extension,” as he called them, at the end of his career.

Table of Contents

  1. Biographical Sketch
  2. Rawls’s Mature Work: A Theory of Justice (1971)
    1. The Basic Structure of Society
    2. Utilitarianism as the Principal Opponent
    3. The Original Position
      1. The Conditions and Purpose of the Original Position
      2. The Motivations of the Parties to the Original Position
      3. Kantian Influence and Interpretation of the Original Position
    4. The Principles of Justice as Fairness
    5. The Argument from the Original Position
    6. Reflective Equilibrium
    7. Just Institutions
    8. Stability
    9. Congruence
  3. Recasting the Argument for Stability: Political Liberalism (1993)
  4. Problems of Extension
  5. References and Further Reading

1. Biographical Sketch

John Bordley Rawls was born and schooled in Baltimore, Maryland, USA. Although his family was of comfortable means, his youth was twice marked by tragedy. In two successive years, his two younger brothers contracted an infectious disease from him—diphtheria in one case and pneumonia in the other—and died. Rawls’s vivid sense of the arbitrariness of fortune may have stemmed in part from this early experience. His remaining, older brother attended Princeton for undergraduate studies and was a great athlete. Rawls followed his brother to Princeton. Although Rawls played baseball, he was, in later life at least, excessively modest about his success at that or at any other endeavor.

Rawls continued for his Ph.D. studies at Princeton and came under the influence of the first of a series of Wittgensteinean friends and mentors, Norman Malcolm. From them, he learned to avoid entanglement in metaphysical controversies when possible. Rawls’s doctoral dissertation (1950) already showed, however, that he would not be content to deconstruct our impulse to ask metaphysical questions; instead, he devoted himself to constructive philosophical tasks. Turning away from the then-influential program of attempting to analyze the meaning of the moral concepts, he replaced it with what was—for a philosopher—a more practically oriented task: that of characterizing a general method of moral decision making. Part of this dissertation work was the basis of his first published article, “Outline of a Decision Procedure for Ethics.” (1951). This was an early attempt to tackle the central question of Rawls’s mature theory: what sort of decision procedure can we imagine that would help us resolve disputed claims in a fair way?

Of equal significance to Rawls’s turn away from conceptual analysis and towards a more practical conception of moral philosophy was his encounter, during a year (1952-3) as a Fulbright Fellow in Oxford, with exciting, substantive work in legal and political philosophy, especially that of H.L.A. Hart and Isaiah Berlin. Hart had made progress in legal philosophy by connecting the idea of social practices with the institutions of the law. Rawls’s second published essay, “Two Concepts of Rules” (1955), uses a conception of social practices influenced by Hart to explore a kind of rule-utilitarianism. Compare TJ at 48n.. In Isaiah Berlin, Rawls met a brilliant historian of political thought—someone who, by his own account, had been driven away from philosophy by the aridity of mid-century conceptual analysis. Berlin influentially traced the historical careers of competing, large-scale values, such as liberty (which he distinguished as either negative or positive) and equality. Not long after his time in Oxford, Rawls embarked on what was to become a life-long project of finding a coherent and attractive way of combining freedom and equality into one conception of political justice. Cf. PL at 327. This project first took the form of a series of widely-discussed articles about justice published between 1958 and 1969.

After teaching at Cornell and MIT, Rawls took up a position in the philosophy department at Harvard in 1962. There he remained, being named a University Professor in 1979. Throughout his career, he devoted considerable attention to his teaching. In his lectures on moral and political philosophy, Rawls focused meticulously on great philosophers of the past—Locke, Hume, Rousseau, Leibniz, Kant, Hegel, Marx, Mill, and others—always approaching them deferentially and with an eye to what we could learn from them. Mentor to countless graduate students over the years, Rawls inspired many who have become influential interpreters of these philosophers.

The initial publication of A Theory of Justice in 1971 brought Rawls considerable renown. This complex book, which reveals Rawls’s thorough study of economics as well as his internalization of themes from the philosophers covered in his teaching, has since been translated into 27 languages. While there are those who would claim a greater originality for Political Liberalism, TJ remains the cornerstone of Rawls’s reputation.

2. Rawls’s Mature Work: A Theory of Justice (1971)

a. The Basic Structure of Society

The subject matter of Rawls’s theory is societal practices and institutions. Some social institutions can provoke envy and resentment. Others can foster alienation and exploitation. Is there a way of organizing society that can keep these problems within livable limits? Can society be organized around fair principles of cooperation in a way the people would stably accept?

Rawls’s original thought is that equality, or a fair distribution of advantages, is to be addressed as a background matter by constitutional and legal provisions that structure social institutions. While fair institutions will influence the life chances of everyone in society, they will leave individuals free to exercise their basic liberties as they see fit within this fair set of rules. To carry out this central idea, Rawls takes as the subject matter of TJ “the basic structure of society,” defined (as he later put it) as “the way in which the major social institutions fit together into one system, and how they assign fundamental rights and duties and shape the division of advantages that arises through social cooperation.” PL at 258. Rawls’s suggestion is, in effect, that we should put all our effort into seeing to it that “the rules of the game” are fair. Once society has been organized around a set of fair rules, people can set about freely “playing” the game, without interference.

b. Utilitarianism as the Principal Opponent

Rawls explains in the Preface to the first edition of TJ that one of the book’s main aims is to provide a “workable and systematic moral conception to oppose” utilitarianism. TJ at xvii. Utilitarianism comes in various forms. Classical utilitarianism, the nineteenth century theory of Jeremy Bentham and John Stuart Mill, is the philosophy of “the greatest good of the greatest number.” The more modern version is average utilitarianism, which asks us not to maximize the amount of good or happiness, but rather its average level in society. The utilitarian idea, as Rawls confronts it, is that society is to be arranged so as to maximize (the total or average) aggregate utility or expected well-being. Utilitarianism historically dominated the landscape of moral philosophy, often being “refuted,” but always rising again from the ashes. Rawls’s view was that until a sufficiently complete and systematic alternative is put on the table to compete with utilitarianism, its recurrence will be eternal. In addition to developing that constructive alternative, however, Rawls also offered some highly influential criticisms of utilitarianism. His critique of average utilitarianism will be described below. About classical utilitarianism, he famously complains that it “adopt[s] for society as a whole the principle of choice for one man.” In so doing, he suggests, it fails to “take seriously the distinction between persons.” TJ at 24.

c. The Original Position

Recognizing that social institutions distort our views (by sometimes generating envy, resentment, alienation, or false consciousness) and bias matters in their own favor (by indoctrinating and habituating those who grow up under them), Rawls saw the need for a justificatory device that would give us critical distance from them. The original position (OP) is his “Archimedean Point,” the fulcrum he uses to obtain critical leverage. TJ at 230-32. The OP is a thought experiment that asks: what principles of social justice would be chosen by parties thoroughly knowledgeable about human affairs in general but wholly deprived—by the “veil of ignorance”—of information about the particular person or persons they represent?

i. The Conditions and Purpose of the Original Position

The OP, as Rawls designs it, self-consciously builds on the long social-contract tradition in Western political philosophy. In classic presentations, such as John Locke’s Second Treatise of Civil Government (1690), the social contract was sometimes described as if it were an actual historical event. By contrast, Rawls’s social-contract device, like his earlier decision procedure, is frankly and completely hypothetical. While Rawls is most emphatic about this in his later work, for example, PL at 75, it is clear already in TJ. He insists there that it is up to the theorist to construct the social-contract thought-experiment in the way that makes the most sense given its task of helping us select principles of justice. Especially because of its frankly hypothetical nature, Rawls’s OP “carries to a higher level of abstraction the familiar theory of the social contract as found, say in Locke, Rousseau, and Kant.” TJ at 10.

The idea is to help justify a set of principles of social justice by showing that they would be selected in the OP. The OP is accordingly set up to build in the moral conditions deemed necessary for the resulting choice to be fair and to insulate the results from the influence of the extant social order. The veil of ignorance plays a crucial role in this set-up. TJ at sec. 23. It assures that each party to the choice is equally or symmetrically situated, with none enjoying greater power (or “threat advantage”) than any other. TJ at 116, 121. It also isolates the parties’ choice from the contingencies—the sheer luck—underlying the variations in people’s natural abilities and talents, their social backgrounds, and their particular society’s historical circumstances. About their society, Rawls has the parties simply assume that it is characterized by the “circumstances of justice,” which principally include (a) the fact that material goods are scarce, but moderately so and (b) that there is, within society, a plurality of worldviews—“conceptions of the good” —moral, religious, and secular. TJ at sec. 22.

It would be too fanciful to think of the parties to the OP as having the capacity to invent principles. The point of the thought experiment, rather, is to see which principles would be chosen in a fair set-up. To use the OP this way, we must offer the parties a menu of principles to choose from. Rawls offers them various principles to consider. Among them are his own principles (to be described below) and the two versions of utilitarianism, classical and average. The crux of Rawls’s appeal to the OP is whether he can show that the parties will prefer his principles to average utilitarianism.

Would rational parties behind a veil of ignorance choose average utilitarianism? The economist John Harsanyi argues that they would because it would be rational for parties lacking any other information to maximize their expectation of well-being. Harsanyi (1953) Since they do not know who they will be, they will therefore want to maximize the average level of well-being in society. Given Rawls’s opposition to utilitarianism, it would be ironic if Rawls’s thought experiment supported it. Because Rawls’s OP differs from Harsanyi’s choice situation in important ways, however, its parties will not prefer average utilitarianism to Rawls’s competing principles. The most crucial difference concerns the motivation that is attributed to the parties by stipulation. The veil deprives the parties of any knowledge of the values—the conception of the good—of the person into whose shoes they are to imagine stepping. What, then, are they to prefer? Since Harsanyi refuses to supply his parties with any definite motivation, his answer is somewhat mysterious. Cf. TJ at 152. Rawls instead defines the parties as having a determinate set of motivations.

ii. The Motivations of the Parties to the Original Position

The parties in the hypothetical OP are to choose on behalf of persons in society, for whom they are, in effect, trustees. PL at 76, 106. The veil of ignorance, however, prevents the parties from knowing anything particular about the preferences, likes or dislikes, commitments or aversions of those persons. They also know nothing particular about the society for which they are choosing. On what basis, then, can the parties choose? To ascribe to them a full theory of the human good would fly in the face of the facts of pluralism, for such theories are deeply controversial. Instead, Rawls suggests, we should ascribe to them a “thinner” or less controversial set of commitments. At the core of these are what he calls the “primary goods:” rights, liberties, and opportunities; income and wealth; and the social bases of self-respect. To give the parties a definite basis on which to reason, Rawls postulates that the parties “normally prefer more primary goods rather than less.” TJ at 123. This is the only motivation that TJ ascribes to the parties.

In their pursuit of the primary goods, the parties are defined as being “mutually disinterested:” each is motivated to obtain as many primary goods as he or she can and does not care if others attain primary goods. TJ at 12. The parties are motivated neither by benevolence nor by envy or spite. Many commentators think that this assumption of the parties’ mutual disinterest reflects an unattractively individualistic view of human nature, but, as with the motivations ascribed to the parties, the ascription of mutual disinterest is not intended to mirror human nature. The assumption of mutual disinterest reflects Rawls’s development of, and reaction against, both the sympathetic-spectator tradition in ethics, exemplified by David Hume and Adam Smith, and the more recent ideal-observer theory. The former tradition attempts to imagine the point of view of a fully benevolent spectator of the human scene who reacts impartially and sympathetically to all human travails and successes. The ideal-observer theory typically imagines a somewhat more dispassionate or impersonal, but still omniscient, observer of the human scene. Each of these approaches asks us to imagine what such a spectator or observer would morally approve.

Against these theories, Rawls raises a number of objections, which can be boiled down to this: either they involve neglecting the separateness of persons (in roughly the same way that utilitarianism does when it adds up everyone’s happiness), TJ at 164, or, if they seek to avoid utilitarian aggregation, they will find that “benevolence is at sea as long as its many loves are in opposition in the persons of its many objects.” TJ at 166. In other words, all difficult questions of human conflict will be simply reproduced within the sympathetic spectator’s breast. Rawls was determined to get beyond this impasse. He suggests that the OP should combine the mutual-disinterest assumption with the veil of ignorance. This combination, he argues, will achieve the rough moral equivalence of universal benevolence without either neglecting the separateness of persons or sacrificing definiteness of results. TJ at 128.

As we will see, the definite positive motivations that Rawls ascribes to the parties are crucial to explaining why they will prefer his principles to average utilitarianism. Because the parties’ motivations are essential to the arguments bearing on this central philosophical contest, it is important to attend to Rawls’s rationale for giving this motivation to the parties.

The primary goods are supposed to be uncontroversially worth seeking, albeit not for their own sakes. Initially, TJ presented the primary goods simply as goods that “normally have a use whatever a person’s plan of life.” TJ at 54. Although this claim seems quite modest, philosophers rebutted it by describing life plans or worldviews for which one or another of the primary goods is not useful. These counterexamples revealed the need for a different rationale for the primary goods. At roughly the same time, Rawls began to develop further the Kantian strand in his view. These Kantian ideas ended up providing a new rationale for the primary goods.

iii. Kantian Influence and Interpretation of the Original Position

Rawls had long admired Immanuel Kant’s moral philosophy, making it central to his teaching of the subject. See CP essays 13, 16, 23. TJ aims to build on Kant’s central ideas and to improve on them in certain respects. TJ at sec. 41. By insisting, as against utilitarianism, on the “separateness of persons,” Rawls carries on Kant’s theme of respect for persons. Kant held that the true principles of morality are not imposed on us by our psyches or by eternal conceptual relations that hold true independently of us; rather, Kant argued, the moral law is a law that our reason gives to itself. It is, in this sense, self-chosen or autonomous law. Kant’s position is not that morality requires whatever Ms. Smith or Mr. Jones chooses to believe it does. Rather, his claim is that the rational (or vernünftig) nature that each person shares shapes a single moral law, valid for all: “the categorical imperative.”

Rawls suggests that the OP well models Kant’s central ideas. The OP is set up so that the parties reflect our nature as “reasonable and rational”—Rawls’s dual way of rendering the Kantian adjective vernünftig. Once it is so set up the parties are to choose principles. Their task of choosing principles thus models the idea of autonomy. In designing the OP, Rawls also aimed to resolve what he took to be two crucial difficulties with Kant’s moral theory: the danger of empty abstractness early stressed by Hegel and the difficulty of assuring that the moral law’s dictates adequately express, as Kant thought they must, our nature as free and equal reasonable and rational beings. Rawls addresses the issue of abstractness in many ways—perhaps most fundamentally by dropping Kant’s aim of finding an a priori basis for morality. Although Rawls’s use of the veil of ignorance keeps particular facts at a distance, he insists, as against Kant, that “moral theory must be free to use contingent assumptions and general facts as it pleases.” TJ at 44. Another feature that reduces the abstractness of Rawls’s view is his focus on institutions—on the basic structure of society. In this light, we can see his institutional focus as carrying forward Hegel’s insight that the idea of human freedom can achieve an adequately concrete realization only by a unified social structure of a certain kind.

The OP also addresses the second problem with Kant’s moral theory—the problem of expression. The OP, Rawls suggests, “may be viewed … as a procedural interpretation of Kant’s conception of autonomy and the categorical imperative within the framework of an empirical theory.” TJ at 226. To be autonomous, for Kant, is to act on a law that one gives oneself, a law adequate to one’s nature as a free and equal, reasonable and rational person. The parties to the OP, in selecting principles, implement this idea of autonomy. How they represent equality and rationality are obvious, for they are equally situated and are rational by definition. Reasonableness enters the OP not principally by the rationality of the parties but by the constraints on them—most especially the veil of ignorance. They are also constrained in ways not yet mentioned and that we shall not discuss further, such as “the formal constraints of the concept of right.” TJ at sec. 23. The veil also expresses (or “models”) a crucial aspect of our freedom, namely our freedom to endorse principles in a way that is not controlled by the historical contingencies of the society into which we are born. TJ at 225.

Rawls’s attempt to solve the problem of expression also led him towards a fuller articulation of the parties’ motivations, ascribing to them certain “highest-order interests.” An intermediate step in this direction is his characterization of our three highest-order powers, the “moral powers” that persons have as reasonable and rational beings. “The rational” corresponds to Kant’s “hypothetical imperative” with its directive to take effective means to one’s ends; “the reasonable” corresponds to Kant’s categorical imperative, the moral law that demands that we do the right thing, irrespective of what our ends are. To conceive of persons as reasonable and rational, then, is to conceive of them as having certain higher-order powers. On the side of the rational, there is, first, the power to frame our ends—our “conception of the good”—and to pursue it by selecting effective means to satisfying them. Second, we can also revise our ends when we see reason to do so. Third, on the side of the reasonable, we have the power or capacity to act from “an effective sense of justice:” we can do the right thing.

This Kantian conception of the powers of reasonable and rational persons directly supports Rawls’s later account of the motivations of the parties. The parties are conceived as having highest-order interests that correspond directly to these highest-order powers. Although the account of the moral powers was present in TJ, it is only in his later works that Rawls uses this idea to defend and elaborate the motivation of the parties in the OP.

Rawls’s account of the moral powers explains why it makes sense to postulate that the parties are motivated to secure the primary goods. In various, complicated ways, in his later work, Rawls defends the primary goods as being required for free and equal citizens to promote and protect their three moral powers. This is to cast the primary goods as items objectively needed by moral persons occupying the role of free and equal citizens. While the list of primary goods may not be a perfect or complete account of what is needed to support this aspect of moral personality, Rawls claims that it is the “best available” account that we can muster in the face of the fact of reasonable pluralism. PL at 188-9.

In addition to providing a new rationale for the primary goods, Rawls’s account of the moral powers also became, in his later work, a basis for elaborating the motivations ascribed to the parties. In Political Liberalism, Rawls describes the motivation as: “The parties in the original position have no direct interests except an interest in the person each of them represents and they assess principles of justice in terms of primary goods. In addition, they are concerned with securing for the person they represent the higher-order interests we have in developing and exercising our … moral powers and in securing the conditions under which we can further our determinate conceptions of the good, whatever it is.” PL at 105-6. Here, the motivation of the parties is importantly extended by postulating that these hypothetical beings care about the moral powers of persons in society and also, by extension, about those persons’ ability to pursue what they particularly care about or are committed to.

Rawls’s assumptions about the motivations of the parties involve frankly moral content and are justified on openly moral grounds, as he had always avowed. His aim remains, nonetheless, to assemble in the OP a series of relatively uncontroversial, relatively fixed points among our considered moral judgments and to build an argument on that basis for the superiority of some principles of justice over others.

d. The Principles of Justice as Fairness

“Justice as Fairness” is Rawls’s name for the set of principles he defends in TJ. He refers to “the two principles of Justice as Fairness,” but the second has two parts. These principles address two different aspects of the basic structure of society: the “First Principle” addresses the essentials of the constitutional structure. It holds that society must assure each citizen “an equal claim to a fully adequate scheme of equal basic rights and liberties, which scheme is compatible with the same scheme for all.” PL at 5. The second principle addresses instead those aspects of the basic structure that shape the distribution of opportunities, offices, income, wealth, and in general social advantages. The first part of the second principle holds that the social structures that shape this distribution must satisfy the requirements of “fair equality of opportunity.” The second part of the second principle is the famous—or infamous—“Difference Principle.” It holds that ”social and economic inequalities … are to be to the greatest benefit of the least advantaged members of society.” PL at 6. Each of these three centrally addresses a different set of primary goods: the First Principle concerns rights and liberties; the principle of Fair Equality of Opportunity concerns opportunities; and the Difference Principle primarily concerns income and wealth. (That the view adequately secures the social basis of self-respect is something that Rawls argues more holistically). TJ at 477-8.

e. The Argument from the Original Position

The argument that the parties in the OP will prefer Justice as Fairness to utilitarianism and to the various other alternative principles with which they are presented divides into two parts. There is, first, the question whether the parties will insist upon securing a scheme of equal basic liberties and upon giving them top priority. Secondly, assuming that they will, there remains the question whether social inequalities should be governed by Rawls’s “second principle,” comprising Fair Equality of Opportunity and the Difference Principle, or else should be addressed in a utilitarian way. Making the latter choice, and so inserting utilitarianism into a position subordinate to the First Principle, yields what Rawls calls a “mixed conception.” TJ at 107.

Each of these parts of the argument from the OP is considerably aided by the clarified account of the primary goods that emerges in Rawls’s later work and that has been set out above in the section on the motivation of the parties to the OP. Regarding the first part of the argument from the OP, the crucial point is that the parties are stipulated to care about rights and liberties. They further know, as a general fact about human beings, that the determinate persons on whose behalf they are choosing are likely to have firmly and deeply-held “religious, philosophical, and moral views.” PL at 311 They also have a higher-order interest in protecting these persons’ abilities to advance these conceptions. Accordingly, “they cannot take chances by permitting a lesser liberty of conscience to minority religions, say, on the possibility that those they represent espouse a majority or dominant religion.” PL at 311. Rawls admits that persons’ deeply-held views are not always set in stone, but he insists that not all circumstances in which they may change are morally acceptable. He argues that protecting one’s ability to exercise one’s highest-order power to change one’s mind about such things requires an adequate scheme of basic liberties. PL at 312-3. In addition, he argues that securing the First Principle importantly serves the higher-order interest in an effective sense of justice—and does so better than the pure utilitarian alternative—by better promoting social stability, mutual respect, and social unity. PL at 317-24.

The second part of the argument from the OP takes the First Principle for granted and addresses the matter of social inequalities. Its sticking point has always been the Difference Principle, which strikingly and influentially articulates a liberal-egalitarian socioeconomic position. While there are questions about Rawls’s precise formulation and implementation of the principle of Fair Equality of Opportunity, it is far less controversial, both in theory and in practice. It is the Difference Principle that would most clearly demand deep reforms in existing societies. The set-up of the OP suggests the following, informal argument for the difference principle: because equality is an ideal fundamentally relevant to the idea of fair cooperation, the OP situates the parties symmetrically and deprives them of information that could distinguish them or allow one to gain bargaining advantage over another. Given this set-up, the parties will consider the situation of equal distribution a reasonable starting point in their deliberations. Since they know all the general facts about human societies, however, the parties will realize that society might depart from this starting point by instituting a system of social rules that differentially reward the especially productive and could achieve results that are better for everyone than are the results under rules guaranteeing full equality. This is the kind of inequality that the Difference Principle allows and requires: departures from full equality that make some better off and no one worse off.

While this is the intuitive idea behind the Difference Principle, Rawls’s statement of the principle is more careful and precise. Three main refinements are worth noting. First, because the principle pertains to the basic structure of society and because the parties are comparing different societies organized around different principles, the expectations that matter are not those of particular people but those of representative members of broad social classes. Second, to make his exposition a little simpler, Rawls makes some technical assumptions that let him focus only on the expectations of the least-well-off representative class in a given society. (These assumptions—of “close-knitness” and “chain-connection”—enable him to ignore, for instance, the possibility of increasing the inequality between the rich and the middle-class without affecting those on the bottom. For those who find these simplifying assumptions too restrictive, Rawls offers a multi-tiered, or “lexical,” version of the Difference Principle. TJ at 72. Allowed by these simplifying assumptions to focus only on the least well off representative persons, the Difference Principle thus holds that social rules allowing for inequalities in income and wealth are acceptable just in case those who are least well off under those rules are better off than the least-well-off representative persons under any alternative sets of social rules. This formulation already takes account of the third refinement, which recognizes that the people who are the worst off under one set of social arrangements may not be the same people as those who are worst off under some other set of social arrangements. Cf. PL at 7n.

The Difference Principle requires society to look out for the least well off. But would the parties to the OP prefer the Difference Principle to a utilitarian principle of distribution? Here, Rawls’s interpretation of the OP matters. It took a while for commentators to grasp the degree to which Rawls’s characterization of the OP departed from the much simpler one favored by Harsanyi, from the point of view of which Rawls’s argument for the Difference Principle appeared to be a plain mistake. For parties like Harsanyi’s, it would be irrational to choose the Difference Principle. Harsanyi’s parties lack any determinate motivation: as Rawls puts it, they are “bare-persons.” TJ at 152. With nothing but the bare idea of rationality to guide them, they will naturally choose any principle that will maximize their utility expectation. Since this is what the principle of Average Utilitarianism does, they will choose it. Yet as we have seen, Rawls departs from Harsanyi’s version of the thought experiment by attributing a determinate motivation to the parties, while denying that an index of the primary goods provides an interpretation of what the parties conceive to be good. Rawls never defends the primary goods as goods in themselves. Rather, he defends them as versatile means. In the later theory, the primary goods are defended as facilitating the pursuit and revision, by the persons the parties represent, of their conceptions of the good. While the parties do not know what those conceptions of the good are, they do care about whether the persons they represent can pursue and revise them.

With this departure from Harsanyi in mind, we may finally explain why the parties in the OP will prefer the principles of Justice as Fairness, including the Difference Principle, to average utilitarianism. In laying out the reasoning that favors the Difference Principle, Rawls argues that the parties will have reason to use the “maximin” rule. The maximin rule is a general rule for making choices under conditions of uncertainty. It is markedly different from the rule of maximizing expected value, the more “averaging” sort of rule that Harsanyi’s parties employ. The maximin rule directs one to select that alternative where the minimum place is higher (on whatever the relevant measure is) than the minimum place in any other alternative. Applied to the theory of social justice, maximin is an approach “a person would choose for the design of a society in which his enemy is to assign him his place.” TJ at 133.

The parties to Rawls’s OP are not “bare-persons” but “determinate-persons.” TJ at 152. They care about the primary goods and the highest-order moral powers, but they also know, in effect, that the primary goods that they are motivated to seek are not what the persons they represent ultimately care about. Accordingly, the parties will give special importance to protecting the persons they represent against social allocations of primary goods that might frustrate those persons’ ability to pursue their determinate conceptions of the good. If the parties knew they had in hand an adequate sketch of the good, they might use that to assess the gamble they face, choosing in a maximizing way like Harsanyi’s parties. But Rawls’s parties instead know that the primary goods that they are motivated to seek do not adequately match anyone’s conception of the good. Accordingly, it is rational for them to take a cautious approach. They must do what they can to assure to the persons they represent have a sufficient supply of primary goods for those persons to be able to pursue whatever it is that they do take to be good.

f. Reflective Equilibrium

Although the OP attempts to collect and express a set of crucial constraints that are appropriate to impose on the choice of principles of justice, Rawls recognized from the beginning that we could never just hand over the endorsement of those principles to this hypothetical device. Rather, he foresaw the need to “work from both ends,” pruning and adjusting things as we go. TJ at 18. That is, we need to stop and consider whether, on reflection, we can endorse the results of the OP. If those results clash with some of our more concrete considered judgments about justice, then we have reason to think about modifying the OP.

Alternatively—and this is what Rawls means by working “from both ends”—instead of modifying the OP, we might decide that the argument from the OP gives us good reason to modify the considered judgments of justice with which its conclusions clash. Eventually, we may hope that this process reaches a “reflective equilibrium.” If it does, Rawls wrote, “we shall find a description of the initial situation that matches our considered judgments duly pruned and adjusted.” Ibid.

The reflective equilibrium has been an immensely influential idea about moral justification. It is not a full theory of justification. When it was introduced, however, it suggested a different approach to justifying moral theories than was being commonly pursued. The idea of reflective equilibrium takes two steps away from the sort of conceptual analysis that was then prevalent. First, working on the basis of considered judgments suggests that it is not necessary to build moral theories on necessary or a priori premises. What matters, rather, is whether the premises are ones that “we do, in fact, accept.” TJ at 19. Rawls characterizes considered judgments as simply judgments reached under conditions where our sense of justice is likely to operate without distortion. TJ at 42. Second, the sort of pruning and adjusting that Rawls assumes will be involved in the search for reflective equilibrium implies that theories need not aim for a perfect fit with theory-independent “data.” Whereas the practitioners of conceptual analysis had raised to a fine art the method of generating counterexamples to a general theory, Rawls writes that “objections by way of counterexample are to be made with care.” TJ at 45. Checking a theory’s fit with one’s more concrete considered judgments is only a way-station on the route to reflective equilibrium. Reaching it might involve revising some of those more concrete judgments. A third novel idea about justification thus emerges from this picture: it involves arguments built in various different directions at once. The resulting justification, as Rawls puts it, “is a matter of the mutual support of many considerations.” TJ at 19, 507.

Eventually, the hope is that each person will reach a reflective equilibrium that coincides with every other person’s. Since it is up to each person, however, to determine which arguments are most compelling, Rawls stresses that the reader must make up his or her own mind, rather than trying to predict or anticipate what everyone else will think. TJ at 44.

g. Just Institutions

Part Two of TJ aims to show that Justice as Fairness fits our considered judgments on a whole range of more concrete topics in moral and political philosophy, such as the idea of the rule of law, the problem of justice between generations, and the justification of civil disobedience. Consistent with the idea of reflective equilibrium, Rawls suggests pruning and adjusting those judgments in a number of places. One of the thorniest such issues, that of tolerating the intolerant, recurs in PL. In addition to serving its main purpose of facilitating reflective equilibrium on Justice as Fairness, Part Two also offers a treasure trove of influential and insightful discussion of these and other topics in political philosophy. There is hardly space here even to summarize all the worthwhile points that Rawls makes about these topics. A summary of his controversial and influential discussion of the idea of desert (that is, getting what one deserves), however, will illustrate how he proceeds.

As we have seen, Rawls was deeply aware of the moral arbitrariness of fortune. He held that no one deserves the social position into which he or she is born or the physical characteristics with which he or she is endowed from birth. He also held that no one deserves the character traits he or she is born with, such as his or her capacity for hard work. As he wrote, “The natural distribution is neither just nor unjust; nor is it unjust that persons are born into society at some particular position. These are simply natural facts. What is just and unjust is the way that institutions deal with these facts.” TJ at 87.

In Part Two, Rawls sets out to square this stance on the moral arbitrariness of fortune with our considered judgments about desert, which do hold that desert is relevant to distributive claims. For instance, we tend to think that people who work harder deserve to be rewarded for their effort. We may also think that the talented deserve to be rewarded for the use of their talents, whether or not they deserved those talents in the first place. With these common-sense precepts of justice, Rawls does not disagree; but he clarifies them by responding to them dialectically. TJ at sec. 48. He questions whether these common-sense claims are meant to stand independently of any assumptions about whether or not the basic institutions of society—especially those institutions of property law, contract law, and taxation that, in effect, define the property claims and transfer rules that make up the marketplace—are just. It is unreasonable, Rawls argues, to say that desert is a direct basis for distributional claims even if the socio-economic system is unfair. It is much more reasonable to hold, he suggests, that whether one deserves the compensation one can command in the job marketplace, for instance, depends on whether the basic social institutions are fair. Are they set up so as to assure, among other things, an appropriate relationship between effort and reward? It is this justice of the basic structure that is Rawls’s topic.

Rawls’s alternative proposal is that the common-sense precepts about desert generally presuppose that the basic structure of society is itself fair. When they are qualified in line with this presupposition, Rawls supports them. To prevent the unqualified and the qualified claims from being confused with each other, however, he uses the term “legitimate expectations” as a term of art to express the claims of desert appropriately so qualified. A crucial idea of Justice as Fairness is that fundamental principles of justice must be respected for the rules of social cooperation to be fair, and that when they are, we should allow the free operation of the market largely to determine people’s legitimate expectations. (This dialectical clarification of the moral import of desert, however, did not satisfy all commentators. See Robert Nozick (1974).

h. Stability

In pursuing his novel topic of the justice of the basic structure of society, Rawls posed novel questions. One set of questions concerned what he calls the “stability” of those societies whose institutions live up to the requirements of a given set of principles of justice. The stability of the institutions called for by a given set of principles of justice—their ability to endure over time and to re-establish themselves after temporary disturbances—is a quality those principles must have if they are to serve their purposes.. TJ at 398-400. Unstable institutions would not secure the liberties, rights, and opportunities that the parties care about. If any set of institutions realizing a given set of principles were inherently unstable, that would suggest a need to revise those principles. Accordingly, Rawls argues, in Part Three of TJ, that institutions embodying Justice as Fairness would be stable – even more stable than institutions embodying the utilitarian principle.

In addressing the question of stability, Rawls never leaves behind the perspective of moral justification. Stability of a kind might be achieved by arranging a stand-off of opposing but equal armies. The results of such a balance of power are not of interest to Rawls. Rather, the stability question he asks concerns whether, in a society that conforms to the principles, citizens can wholeheartedly accept those principles. Wholeheartedness will require, for instance, that the reasons on the basis of which the citizens accept the principles are reasons affirmed by those very principles. PL at xlii. If stability can be grounded on such wholeheartedly moral reasons—as opposed to ulterior reasons—then it is “stability for the right reasons.” PL at xxxix. In TJ, the account of stability for the right reasons involved imagining that this wholeheartedness arose from individuals being thoroughly educated, along Kantian lines, to think of fairness in terms of the principles of Justice as Fairness. Cf. PL at lxii. As we will see, he later came to think that this account violated the assumption of pluralism.

The imaginative exercise of assessing the comparative stability of different principles would be useless and unfair if one were to compare, say, an enlightened and ideally-run set of institutions embodying Justice as Fairness with the stupidest possible set of institutions compatible with the utilitarian principle. In order to standardize the terms of comparison, Rawls discusses only the “well-ordered societies” corresponding to each of the rival sets of principles. His notion of a well-ordered society is complex. See CP at 232-5. The gist of it is that the relevant principles of justice are publicly accepted by everyone and that the basic social institutions are publicly known (or believed with good reason) to satisfy those principles.

Assessing the comparative stability of alternative well-ordered societies requires a complex imaginative effort at tracing likely phenomena of social psychology. As Rawls comments, “One conception of justice is more stable than another if the sense of justice that it tends to generate is stronger and more likely to override disruptive inclinations and if the institutions it allows foster weaker impulses and temptations to act justly.” CP at 398. In order to address the first of these issues, about the strength of the sense of justice, Chapter VIII develops a rich and somewhat original account of moral education. Drawing upon empirical research in developmental psychology, Rawls describes the gradual development of individuals’ senses of justice as involving three stages: the morality of authority, which is fostered in families; the morality of association; and the morality of principles. He argues that each of these stages of moral education will work more effectively under Justice as Fairness than it will under utilitarianism. TJ at chap. 8. He also argues that a society organized around the two principles of Justice as Fairness will be less prone to the disruptive effects of envy than will a utilitarian society. TJ at secs. 80-81.

i. Congruence

As we have seen, the veil of ignorance disconnects the argument from the OP from any given individual’s full conception of the good. The final question addressed by TJ attempts to reconnect justice to each individual’s good, not in general, but within the well-ordered society of Justice as Fairness. A stable society is one that generates attitudes, such as are encapsulated in an effective sense of justice, that support the just institutions of that society. If, in the well-ordered society, having those attitudes is also a good for the persons who have them, then there is a “match between justice and goodness” that Rawls calls “congruence.” TJ at 350.

In order to address this question of congruence, TJ develops an account of the good for individuals. Chapter VII of TJ, in fact, develops a quite general theory of goodness—called “goodness as rationality”—and then applies it to the special case of the good of an individual over a complete life. Rawls starts from the suggestion that “A is a good X if and only if A has the properties (to a higher degree than the average or standard X) which it is rational to want in an X, given what X’s are used for, or expected to do, and the like (whichever rider is appropriate).” TJ at 350-1. This idea, developed in dialogue with the leading alternatives from the middle of the 20th century, still repays attention. To work out this suggestion for the case of the good for persons, Rawls influentially developed and deployed the notion of a “life plan.” A rational plan of life for an individual, he argued, is answerable to certain principles of “deliberative rationality.” These Rawls sets out in a low-key way that masks the power and originality of his formulations. TJ at 359-72.

Rawls’s argument for congruence—that having an effective sense of justice built around the principles of Justice as Fairness will be a good for each individual—is a complex and philosophically deep one. It appeals to at least four types of intermediate good, each of which may be presumed to be of value to just about everyone: (i) the development and exercise of complex talents (which Rawls’s “Aristotelian Principle” presumes to be a good for human beings), TJ at 374, (ii) autonomy, (iii) community, and (iv) the unity of the self. Rawls’s argument for congruence is spread out across many sections of TJ. Some of its main threads are pulled together by Samuel Freeman in his contribution to The Cambridge Companion to Rawls. Freeman (2003). With regard to autonomy, to supplement the positive argument flowing from the Kantian interpretation of the OP, Rawls argues that the type of objectivity claimed for the principles of Justice as Fairness is not at odds with the idea of the autonomous establishment of principles. TJ at sec. 78. He further argues that Justice as Fairness supports the kind of tightly-knit community he calls “a social union of social unions,” marked by the shared purpose or “common aim of cooperating together to realize their own and another’s nature in ways allowed by the principles of justice.” TJ at 462. If Rawls is right about the congruence of goodness and justice, these “ways” are hardly trivial. (Not long after TJ was published, it came under attack by a set of critics who identified themselves as “communitarians,”  see for example MacIntyre (1984) and Sandel (1998). Ironically, the communitarian critique focused largely on Parts One and Two of TJ, giving short shrift to the powerful articulation of this ideal of community in Part Three.) Finally, regarding the unity of the self, Rawls criticizes the Procrustean sort of unity that could come from attaching oneself to a single “dominant end.” He notes the advantages of a conception of the unity of the self that hangs, instead, on the regulative status of principles of justice. TJ at secs. 83-85. The cumulative effect of these appeals to the development of talent, autonomy, community, and the unity of the self is to support the claim of Justice as Fairness to congruence. In a well-ordered society corresponding to Justice as Fairness, Rawls concludes, an effective sense of justice is a good for the individual who has it. In TJ, this congruence between justice and goodness is the main basis for concluding that individual citizens will wholeheartedly accept the principles of justice as fairness.

3. Recasting the Argument for Stability: Political Liberalism (1993)

Rawls has the parties to the OP assume that the society for which they are choosing principles is in the “circumstances of justice,” which include the presence of a plurality of irreconcilable moral, religious, and philosophical doctrines. But his argument for the comparative stability and the congruence of Justice as Fairness, imagines a well-ordered society in which everyone is brought up in ways deeply informed by the adherence by all adults to the same principles of justice. Accordingly, his discussion of stability and congruence in Part Three of TJ is at odds with the assumption of pluralism. In his second book, Political Liberalism [PL], he set out to rectify this “serious problem.” PL at xvii.

PL clarifies that the only acceptable way to rectify the problem is to modify the account of stability and congruence, because pluralism is no mere theoretical posit. Rather, pluralism has been endemic among the liberal democracies since the 16th century wars of religion. Moreover, pluralism is a permanent feature of liberal or non-repressive societies. It does not rest on irrationality. On the contrary, within a wide range such pluralism is “reasonable” and will not be erased by people’s attempts to cooperate reasonably. That is because a series of intractable “burdens of judgment” all but preclude reasoned convergence on fundamental and comprehensive principles about how to live. PL at 54-8. Accordingly, Rawls takes it as a fact that the kind of uniformity in fundamental moral and political beliefs that he imagined in Part Three of TJ can be maintained only by the oppressive use of state force. He calls this “the fact of oppression.” PL at 37. Since he also—unsurprisingly—holds that oppression is illegitimate, he refrains from offering fundamental and comprehensive principles of how to live. In this way, his insistence on the fact of oppression prompts a marked scaling back of the traditional aims of political philosophy.

The seminal idea of PL is “overlapping consensus.” In an overlapping consensus, each citizen—no matter which of society’s many “comprehensive conceptions” he or she endorses—ends up endorsing the same limited, “political conception” of justice, each for his or her own reasons. The principal role of the overlapping consensus is to replace TJ’s description of wholehearted acceptance. Unlike TJ’s description, the overlapping consensus conceptually reconciles wholehearted acceptance with the fact of reasonable pluralism.

Part of this newer approach is the distinction between “comprehensive conceptions,” which address all questions about how to live, and “political conceptions,” which address only political questions. This distinction has proven somewhat troublesome. The “domain of the political,” as Rawls calls it, is not completely distinct from morality. In concerning himself only with the political, he is not setting aside all moral principles and turning instead to mere strategy or Realpolitik. On the contrary, a political conception “is, of course, a moral conception,” but it is a moral conception that concerns itself only with the basic structure of society. PL at 11. Further, a political conception is one that may be developed in a “freestanding” way, drawing only upon the “very great values” of the political, rather than being presented as deriving from any more comprehensive moral or religious doctrine. PL at 139. A corollary of this approach is that such a political liberalism is not wholly neutral about the good. PL at 191-3. While Justice as Fairness is one such political conception, in PL Rawls makes a point of stressing that it is just one member of the broader family of views he refers to as the “reasonable liberal political conceptions.”

Armed with the idea of an overlapping consensus on a reasonable political conception, Rawls could have contented himself with describing the historical and sociological grounds for hoping that a reasonable overlapping consensus on a political liberalism might be reached. Hope is indeed the leitmotif of PL. E.g PL at,40, 65, 172, 246, 252, 392. But because Rawls never drops his role as an advocate of political liberalism, he must go beyond such disinterested sociological speculation. He must find and describe ways of advocating this view that are compatible with his full, late recognition of the fact of reasonable pluralism. This attempt is what makes PL so rich, difficult, and interesting.

The difficulty is this: to advocate Justice as Fairness or any other political liberalism as true would be to clash with many comprehensive religious and moral doctrines, including those that simply deny that truth or falsity apply to claims of political morality, as well as those that insist that political-moral truths derive only from some divine revelation. To preserve the possibility of an overlapping consensus on political liberalism, it might be thought that its defenders must deny that political liberalism is simply true, severely hampering their ability to defend it. To cope with this difficulty, Rawls pioneered a stance in political philosophy that mirrored his general personal modesty: a stance of avoidance. Using the “method of avoidance,” Rawls neither asserts nor denies such truth claims. CP at 395. “The central idea,” he writes, “is that political liberalism moves within the category of the political and leaves philosophy as it is.” PL at 375. Perhaps defending political liberalism as the most reasonable political conception is to defend it as true; but, again, Rawls neither asserts nor denies that this is so.

Developing a compelling freestanding presentation of political morality may be possible if we may draw upon a shared set of relevant moral ideas implicit in the “background culture” of democratic societies. PL at 14. Foremost among such shared ideas is the idea of fair cooperation among free and equal citizens. Much of PL is accordingly devoted to recasting the earlier argument for Justice as Fairness in terms that are “political, not metaphysical.” Many of the revisions concern the arguments for various features of the OP. Although these revisions occupy much of PL, they need not be covered further here, as most of them have been already anticipated in the above exposition of TJ. To have structured the exposition in this way is to have sided with those who see considerable unity in Rawls’s work, for example, Wenar (2004). One important change, however, is that PL goes to considerably further lengths to show that the values to which the view appeals are political, rather than being tied up in any particular comprehensive doctrine. For instance, that citizens are thought of as free is defended, not by general metaphysical truths about human nature, but rather by our widely shared political convictions. “On the road to Damascus Saul of Tarsus becomes Paul the Apostle. Yet such a conversion implies no change in our public or institutional identity.” PL at 31. On the contrary, our political rights ought not to vary with such changes. To think of political rights in this way is to think of citizens as free, in a relevant, political sense.

Instead of seeing a fundamental unity to Rawls’s work, some commentators emphasize what they take to be PL’s new focus on political legitimacy, as distinct from political justice, for example, Estlund (1998) and Dreben (2003). It is certainly true that Rawls prominently deploys a “liberal principle of legitimacy” that was not present in TJ. This principle states that

[O]ur exercise of political power is proper and hence justifiable only when it is exercised in accordance with a constitution the essentials of which all citizens may reasonably be expected to endorse in the light of principles and ideals acceptable to them as reasonable and rational. PL at 217; cf. 137.

This principle thus appears to connect Rawls’s view to that of others working in political and democratic theory who lean on the notion of “reasons that all can accept,” for example, Gutmann and Thompson (1996). Rawls, however, leans more heavily than most on the notion of reasonableness. This is apparent in a late essay, where he writes that “our exercise of political power is proper only when we … reasonably think that other citizens might also reasonably accept those reasons [on which it is based].” CP at 579.

These further qualifications hint at the relatively limited purpose for which Rawls appeals, within PL, to this principle of legitimacy. The principle is part of his account of “public reason” in pluralist societies. This account answers the question: how can we, in political society, reason with one another so as to set priorities and make political decisions, given the fact of reasonable pluralism and the burdens of judgment that make it permanent? Finding reasons that we reasonably think others might accept is a crucial part of the answer. The demand that we do so makes up the core of the duty of civility that binds citizens acting in any official capacity. Rawls’s limits on public reasoning have been highly controversial, but it is important to remember that they form part of his revised thought experiment about stability. The overall question of PL is similar to that of Part Three of TJ: what grounds do we have for thinking that a political liberalism would be stable? In this context, Rawls’s duty of civility may be seen as contributing his defense of the following conditional claim: if citizens of a pluralist society would abide by such restraints of civility, and if a political liberalism were the object of an overlapping consensus, then that political liberalism would be stable.

To this observation, some of the critics of Rawls’s account of public reason reply that accepting this kind of restraint on public dialogue would be too high a price to pay for a stable liberalism. See Richardson & Weithman vol. 5 (1999). Yet in his last essay on the subject, “The Idea of Public Reason Revisited” (in LP as well as CP), Rawls introduced qualifications to his duty of civility that have mollified some. To begin with, he emphasizes that this stricture is not meant to restrict public discussion in the “background culture” in any way, but only to constrain certain official interactions. He further introduces a “proviso” that allows one to rely, even in official contexts, on reasons dependent on one or another comprehensive doctrine, so long as “in due course” one provides “properly public reasons.” CP at 584. Even this revised account of civility remains highly debatable. Still, it should make a difference to the debate whether we consider the restriction only as part of a hypothetical consideration of the stability of a given well-ordered society (specifically, one that has reached overlapping consensus on some political liberalism) or rather as a doctrine about what civility requires in our society, here and now.

4. Problems of Extension

The modesty and restraint we have noted in Rawls’s general approach is also revealed in the way he set aside a number of difficult questions that properly arise within his self-assigned topic. Complicated as his view is, he was keenly aware of the many simplifying assumptions made by his argument. “We need to be tolerant of simplifications.” TJ at 45-6. His most prominent simplifications are the following two: the assumption (“for the time being”) that society is “a closed system isolated from other societies,” TJ at 7, and that “all citizens are fully cooperating members of a society over a complete life.” CP at 332; cf. PL at 20. These simplifications set aside questions about international justice and about justice for the disabled. An additional simplifying assumption implicit in the account of moral development in Part Three of TJ, is that families are just and caring. Relaxing each of these three simplifying assumptions gives rise to important and challenging “problems of extension” for a Rawlsian view.

In The Law of Peoples [LP] (1999), Rawls relaxes the assumption that society is a closed system that coincides with a nation-state. Once this assumption is dropped, the question that comes to the fore is: upon what principles should the foreign policy of a decent liberal regime be founded? Rawls first looks at this question from the point of view of ideal theory, which supposes that all peoples enjoy a decent liberal-democratic regime. At this level, with reference to a rather thinly-described global original position, Rawls develops basic principles concerning non-intervention, respect for human rights, and assistance for countries lacking the conditions necessary for a decent or just regime to arise. These principles govern one nation in its relations with others. He next discusses the principles that should govern decent liberal societies in their relations with peoples who are not governed by decent liberalisms. He articulates the idea of a “decent consultation hierarchy” to illustrate the sort of non-liberal society that is owed considerable tolerance by the people of a decent liberal society. In a part of the book devoted to non-ideal theory, Rawls impressively defends quite restrictive positions on the right of war and on the moral conduct of warfare. Surprisingly, questions of global distributive justice are confined to one brief section of LP. In that section, Rawls treats quite dismissively two earlier attempts to extend his theoretical framework to questions of international justice, those of Beitz (1979) and Pogge (1994). Drawing on the ideas of TJ, these philosophers had developed quite demanding principles of international distributive justice. In LP, Rawls instead favors a relatively minimal “duty of assistance,” with a definite “target and a cut-off point.” LP at 119.

As to justice for the disabled, Rawls never attempted an extension of his theory. He did direct some brief remarks to the topic in Political Liberalism, noting that the view generates a salient distinction between those whose disabilities permanently prevent them from being able to express their higher-order moral powers as fully cooperating citizens and those whose do not. PL at 183-6. While Rawls limited himself to this observation, Norman Daniels’ work on justice and health care may be viewed as an attempt to extend Rawls’s view in the direction the observation indicates. Daniels (1985). Nussbaum argues that Rawlsian social-contract theory is a deeply flawed basis for addressing questions of justice for the disabled and cannot be well extended to deal with them. Nussbaum (2005).

Responding to critics, Rawls did briefly address justice within the family in “The Idea of Public Reason Revisited.” CP at 595-601; LP at 156-164. He writes that he had “thought that J. S. Mill’s landmark The Subjection of Women … made clear that a decent liberal conception of justice (including what I have called Justice as Fairness) implied equal justice for women as well as men,” but admits that he “should have been more explicit about this.” CP at 595. He there affirms that “the family is part of the basic structure” and is subject to being regulated by the principles of political justice. The laws defining the rights of marriage, divorce, and the ownership and inheritance of property by families and family members are presumably all part of the basic structure of society, as are provisions of the criminal law protecting the basic rights of family members not to be abused.

In the case of the family as in economic transactions, Rawls’s stance illustrates once more how his focus on institutional justice structures his attempt to reconcile freedom and equality. Egalitarian concerns are addressed at the institutional level by assuring that protection for the appropriate rights and liberties is assured by the basic structure of society. Freedom is preserved by allowing individuals to pursue their reasonable conceptions of the good, whatever they may be, within those constitutional constraints.

5. References and Further Reading

Principal Works by John Rawls:

  • A Theory of Justice, rev. ed., Harvard University Press, 1999 [cited as TJ].
  • Political Liberalism, rev. ed., Columbia University Press, 1996 [cited as PL].
  • Collected Papers, ed. Samuel Freeman, Harvard University Press, 1999 [cited as CP].
  • The Law of Peoples, Harvard University Press, 1999 [cited as LP].
  • Lectures on the History of Moral Philosophy, ed. Barbara Herman, Harvard University Press, 2000.
  • Justice as Fairness: A Restatement, ed. Erin Kelly, Harvard University Press, 2001.
  • Lectures on the History of Political Philosophy, ed. Samuel Freeman, Harvard University Press, 2007.

Two useful gateways to the voluminous secondary literature on Rawls are the following:

  • Henry S. Richardson and Paul J. Weithman, eds., The Philosophy of Rawls (5 vols., Garland, 1999).
  • Samuel Freeman, ed., The Cambridge Companion to Rawls (Cambridge University Press, 2003).

On Rawls’s Life

  • Thomas Pogge, “A Brief Sketch of Rawls’s Life,” in Richardson & Weithman, eds., Vol. 1, pp. 1-15.

Other Works Cited:

  • Beitz, Charles. 1979. Political Theory and International Relations. Princeton University Press.
  • Daniels, Norman. 1985. Just Health Care. Cambridge University Press.
  • Dreben, Burton. 2003. On Rawls and Political Liberalism. In Freeman, 2003: 316-346.
  • Estlund, David. 1998. The Insularity of the Reasonable. Ethics 108: 252-75.
  • Gutmann, Amy and Dennis Thompson. 1996. Democracy and Disagreement. Harvard University Press.
  • Harsanyi, John C. 1953. Cardinal Utility in Welfare Economics and in the Theory of Risk-Taking. Journal of Political Economy 61: 453-5.
  • MacIntyre, Alasdair. 1984. After Virtue, 2d ed. (1st ed. 1981) (University of Notre Dame Press).
  • Nozick, Robert. 1974. Anarchy, State, and Utopia. NY: Basic Books.
  • Nussbaum, Martha C. 2005. Frontiers of Justice: Disability, Nationality, Species Membership (Harvard University Press).
  • Okin, Susan. 1989. Justice, Gender, and the Family. NY: Basic Books.
  • Pogge, Thomas. 1994. An Egalitarian Law of Peoples. Philosophy and Public Affairs 23: 195-224.
  • Sandel, Michael. 1998. Liberalism and the Limits of Justice, 2d ed. (1st ed. 1982) (Cambridge University Press).
  • Richardson, Henry S.  2006.  Rawlsian Social Contract Theory and the Severely Disabled.  Journal of Ethics 10: 419-462.
  • Urmson, J. O. 1950. On Grading. Mind 59: 526-29.
  • Wenar, Leif. 2004. The Unity of Rawls’s Work. Journal of Moral Philosophy 1: 265-275.

Author Information

Henry S. Richardson
Email: richardh@georgetown.edu
Georgetown University
U.S.A.

The Knowledge Argument Against Physicalism

Frank Jackson

The knowledge argument is one of the main challenges to physicalism, the doctrine that the world is entirely physical. The argument begins with the claim that there are truths about consciousness that cannot be deduced from the complete physical truth. For example, Frank Jackson’s Mary learns all the physical truths from within a black-and-white room. Then she leaves the room, sees a red tomato for the first time, and learns new truths—new phenomenal truths about what it is like to see red. The arguer infers that, contrary to physicalism, the complete physical truth is not the whole truth. The physical truth does not determine or metaphysically necessitate the whole truth about the world.

This article discusses that argument’s structure, compares Jackson’s version with others, compares the knowledge argument with other anti-physicalist arguments, and summarizes the main lines of response. Nine controversial assumptions are identified. These are the assumptions that:

  1. the notion of the physical is coherent;
  2. the complete physical truth is accessible to the pre-release Mary;
  3. upon leaving the room, she learns something;
  4. the kind of knowledge she acquires upon leaving the room is informational knowledge, rather than ability knowledge, acquaintance knowledge, or something else;
  5. she gains new information, rather than old information represented in a new way;
  6. if the complete-knowledge claim and the learning claim are true, then what Mary learns when she leaves the room cannot be a priori deduced (deduced by reason alone, without empirical investigation) from the complete physical truth.
  7. if there are phenomenal truths that cannot be a priori deduced from the complete physical truth, then the complete physical truth does not metaphysically necessitate those phenomenal truths;
  8. the knowledge argument and epiphenomenalism are consistent.
  9. physicalism entails that the physical metaphysically necessitates the phenomenal.

Various criticisms and defenses of these assumptions are discussed.

Table of Contents

  1. Introduction
  2. The Knowledge Intuition and the Inference to Physicalism’s Falsity
  3. Related Arguments
  4. More Physicalist Responses
  5. Non-physicalist Responses
  6. Other Responses
  7. Jackson’s Retraction
  8. Summary of Assumptions and Criticisms
  9. References and Further Reading

1. Introduction

The knowledge argument aims to refute physicalism, the doctrine that the world is entirely physical. Physicalism (also known as materialism) is widely accepted in contemporary philosophy. But some doubt that phenomenal consciousness—experience, the subjective aspect of the mind—is physical. The knowledge argument articulates one of the main forms this doubt has taken.

Frank Jackson gives the argument its classic statement in (Jackson 1982) and (Jackson 1986). He formulates the argument in terms of Mary, the super-scientist. Her story takes place in the future, when all physical facts have been discovered. These include “everything in completed physics, chemistry, and neurophysiology, and all there is to know about the causal and relational facts consequent upon all this, including of course functional roles” (Jackson 1982, p. 51). She learns all this by watching lectures on a monochromatic television monitor. But she spends her life in a black-and-white room and has no color experiences. Then she leaves the room and sees colors for the first time. Based on this case, Jackson argues roughly as follows. If physicalism were true, then Mary would know everything about human color vision before leaving the room. But intuitively, it would seem that she learns something new when she leaves. She learns what it’s like to see colors, that is, she learns about qualia, the properties that characterize what it’s like. Her new phenomenal knowledge includes knowledge of truths. Therefore, physicalism is false.

In the late 1990’s, Jackson changed his mind: he now defends physicalism and rejects the knowledge argument. But others defend the argument, and even those who reject it often disagree about where it goes awry. The knowledge argument has inspired a voluminous literature, which contains insights about consciousness, knowledge, the limits of third-person science, and the nature of the physical. It is also discussed in non-philosophical works, including a book by E. O. Wilson (1998), a work of fiction (Lodge 2001), and a T.V. series (Brainspotting). This article discusses the argument’s structure, compares Jackson’s version with others, compares the knowledge argument with other anti-physicalist arguments, and summarizes the main lines of response.

2. The Knowledge Intuition and the Inference to Physicalism’s Falsity

The knowledge argument has two parts. One says that physical knowledge is not sufficient for phenomenal knowledge. Call this the knowledge intuition (Stoljar and Nagasawa, 2004). The other says that the knowledge intuition entails the falsity of physicalism.

Thus described, the knowledge argument is not new with Jackson. Locke and other 18th Century British empiricists discussed the knowledge intuition. C. D. Broad gave a version of the knowledge argument in 1925. And other versions appear in more recent writings, such as Thomas Nagel’s 1974 “What is it Like to be a Bat?” What is distinctive about Jackson’s contribution?

Daniel Stoljar and Yujin Nagasawa (2004) answer this question in their introduction to a volume of essays on the knowledge argument. As they say, Jackson contributes at least two main ideas: his Mary example illustrates the knowledge intuition better than previous attempts; and he provides distinctive reasons for inferring physicalism’s falsity from the intuition. Let us take these points in order.

The Mary case divides the knowledge intuition into three claims:

  • The complete-knowledge claim: before leaving the room, Mary knows everything physical.
  • The learning claim: upon leaving, she learns something.
  • The non-deducibility claim: if the complete-knowledge claim and the learning claim are true, then what Mary learns when she leaves the room cannot be a priori deduced (deduced by reason alone, without empirical investigation) from the complete physical truth.

Physicalists may deny the knowledge intuition. But the Mary case suggests that doing so requires rejecting the complete-knowledge claim, the learning claim, or the non-deducibility claim.

The cases discussed by Broad, Nagel, and others do not deliver this result. Consider, for example, Broad’s “mathematical archangel,” a logically omniscient creature who knows all the physical truths about various chemical compounds. Broad calls these truths “mechanistic” instead of “physical,” but the point is the same. On his view, the archangel would know all such truths but still lack phenomenal knowledge concerning, for example, “the peculiar smell of ammonia.” And Broad infers that physicalism (“mechanism”) is false. But what if the physicalist denies that the archangel would lack the relevant phenomenal knowledge? We appear to be at an impasse. By contrast, if the physicalist claims that, while in the room, Mary knows what it’s like to see colors, he must explain why she seems to acquire this knowledge when she leaves. The Mary case breaks the deadlock in favor of the knowledge intuition. Other illustrations of the intuition that precede Jackson’s have further drawbacks. For example, Nagel’s claim that humans cannot imagine what it’s like to be a bat raises distracting issues about the limits of human imagination, about which physicalism carries no obvious commitments. Mary’s fame is just.

To explain the second of Jackson’s distinctive contributions, it will be useful to explain some terminology and abbreviations. First, there is the distinction between the a priori and the a posteriori. A priori truths are those that are justifiable by reason alone, without empirical investigation. Logical truths provide clear examples. For example, one can figure out without empirical investigation that the following claim is true: if Socrates is mortal, then either Socrates is mortal or Socrates is fat. Compare the claim that Socrates is mortal. While we believe the latter claim to be true, reason alone does not justify this belief. Instead, we rely on experience—empirical investigation. So, while it is a priori that if Socrates is mortal, then either Socrates is mortal or Socrates is fat, it is a posteriori that Socrates is mortal. We may also speak of truths that are a priori deducible from other truths. For example, although “Socrates is mortal” is a posteriori, that same truth is a priori deducible from two other truths: “All men are mortal” and “Socrates is a man.” In other words, the latter two truths, taken together, a priori entail that Socrates is mortal.

Second, there is the notion of metaphysically necessary truths. A necessary truth is a truth that could not have failed to be the case. Logical truths again provide clear examples: “Either Socrates is mortal or it is not the case that Socrates is moral” is usually regarded as necessary. Contrast that truth with “Socrates is mortal.” The latter is not necessary. Truths that are not necessary are also known as contingent. Philosophers often distinguish between different strengths or kinds of necessity. For example, there is arguably a sense in which it is a necessary truth that pigs cannot fly like birds. But if the laws of nature were different, then perhaps pigs would be able to fly like birds. So, perhaps it is not metaphysically impossible that pigs should be able to fly like birds. A metaphysically necessary truth is a truth that is necessary in the strictest possible sense: a truth that holds not just because of contingent laws of nature. Saul Kripke (1972) famously argues that there are metaphysically necessary truths that are not truths of pure logic. Indeed, he argues that there are metaphysically necessary truths that are not a priori. For example, on his view, that water is H2O is metaphysically necessary but a posteriori. He recognizes that there could have been substances that resemble water—substances that share water’s superficial qualities, such as its taste and visual appearance—but with a different molecular structure. But, he argues, these substances would not be water.

Third, let us introduce some abbreviations. On Jackson’s version of the knowledge argument, the assumption that Mary knows the complete physical truth about the world does not guarantee that she will be able to figure out the complete truth about human color vision. His reasoning involves the idea of the complete physical truth. Call the complete physical truth P. P can be seen as a long conjunction of all the particular physical truths, which, according to Jackson, Mary learns from watching science lectures. What about the truths that, according to Jackson, Mary does not learn until she leaves the room? Those would be included in the psychological truths about the world. Call the complete psychological truth Q. Finally, consider what Stoljar and Nagasawa call “the psychophysical conditional”: if P then Q, where P is the complete physical truth and Q is the complete psychological truth. As we will see, part of Jackson’s reasoning can be understood in terms of his view about the psychophysical conditional.

We are now in a position to state the second of Jackson’s distinctive contributions to the discussion of the knowledge argument. This contribution concerns his inference from the knowledge intuition to physicalism’s falsity. His inference assumes that if physicalism is true then the complete truth about human color vision is a priori deducible from the complete physical truth. But here a problem arises: why accept this assumption? Consider the psychophysical conditional, if P then Q (again, P is the complete physical truth and Q is the complete psychological truth). As Jackson conceives of physicalism, physicalism entails that the psychophysical conditional is a priori. If he is right, then all truths about color vision would be deducible from P (the complete physical truth). But here physicalists have a natural, obvious response: why not instead characterize physicalism as a Kripkean a posteriori necessity, akin to water is H2O? On this characterization, the psychophysical conditional is metaphysically necessary but not a priori.

In later work, Jackson criticizes this response. His argument is complex, but the basic idea is simple enough. In a 1995 “Postscript,” he reasons as follows. Consider the argument:

H2O covers most of the planet.
Therefore, water covers most of the planet.

The premise necessitates, but does not a priori entail, the conclusion. But, Jackson asks, why is there no a priori entailment? On his view, there is no such entailment because the argument’s premise gives us only part of the physical story. It is also part of the physical story that H2O does the other things that water does, that is, that H2O plays the water role. Playing the water role includes such things as being a substance that occupies oceans and lakes, looks clear to us, has little or no taste, is referred to as “water”, etc. So, let us add the following premise to the argument displayed above:

H2O plays the water role.

Now, says Jackson, the premises do a priori entail the conclusion. Moral: “a rich enough story about the H2O way things are does enable the a priori deduction of the water way things are” (Jackson 1995, p. 413). Likewise, physicalism entails that “knowing a rich enough story about the physical nature of our world is tantamount to knowing the psychological story about our world” (Jackson 1995, p. 414). But if physicalism is true, P should provide just that: a rich enough story. Thus, Jackson concludes, physicalism entails the apriority of the psychophysical conditional after all.

Jackson’s argument is controversial. But in developing it, he fills an important lacuna in the knowledge argument and thereby improves on earlier versions. Others, too, have attempted to fill this lacuna. Most notably, David Chalmers (1996, 2003, 2004, and 2006a) has given sophisticated arguments to this end, which are partly inspired by Jackson’s argument.

3. Related Arguments

The knowledge argument is one of several ways to articulate the suspicion that phenomenal consciousness is not physical. Another common way of articulating the doubt is through the conceivability argument. This argument descends from René Descartes’ main argument for mind-body substance dualism. He argued that, since he can clearly and distinctly conceive of his mind without his body and his body without his mind, they can exist without each other and are therefore distinct substances.

Contemporary versions of the conceivability argument usually rely on thought experiments concerning qualia. One such thought experiment involves inverted qualia. It seems conceivable that there be an individual exactly like me, except he and I are red/green inverted. We are physically and functionally identical, but the color experiences he has when viewing a ripe tomato (in normal light, without special contact lenses, and so forth) resemble the color experiences I have when viewing a ripe zucchini, and vice versa. Such a person would be my inverted twin. Likewise, it seems conceivable that there be a world exactly like ours in all physical and functional respects but without phenomenal consciousness. Creatures that lack consciousness but are physically and functionally identical to ordinary human beings are called zombies. If it is conceivable that there be creatures such as my inverted twin or my zombie twin, then, the conceivability argument runs, this supports the metaphysical possibility of such creatures. And most agree that if such creatures are metaphysically possible, then phenomenal consciousness is neither physical nor functional: physicalism is false.

Yet another related argument is the explanatory argument. This argument begins with the premise that physicalist accounts explain only structure (such as spatiotemporal structure) and function (such as causal role). Then it is argued that explaining structure and function does not suffice to explain consciousness, and so physicalist accounts are explanatorily inadequate.

As Chalmers (2003) notes, the knowledge argument, the conceivability argument, and the explanatory argument can be seen as instances of a general, three-step argument. The first step is to establish an epistemic gap between the physical and phenomenal domains. In the case of the knowledge argument, the gap is often put in terms of a priori deducibility: there are phenomenal truths that cannot be a priori deduced from physical truths. In the case of the conceivability argument, the gap is put in terms of conceivability: it is conceivable that there be inverted qualia or zombies. And in the case of the explanatory argument, the point is put in terms of an explanatory gap. After establishing an epistemic gap, these arguments take a second step and infer a corresponding metaphysical gap: a gap in the world, not just in our epistemic relation to it. The knowledge argument infers a difference in type of fact. The conceivability argument infers the metaphysical possibility of inverted qualia or zombies. And the explanatory argument infers that there are phenomena that cannot be physically explained. As a third step, all three results appear to conflict with physicalism. There are important differences among the arguments, and it is not obvious that they stand or fall together. Nevertheless, it is worth noting that they follow a single abstract pattern.

4. More Physicalist Responses

Most physicalist responses to the knowledge argument fall into three categories: those that reject the inference to physicalism’s falsity and thus deny the metaphysical gap; those that reject the knowledge intuition and thus deny the epistemic gap; and those that derive an absurdity from Jackson’s reasoning.

We have already noted one way of rejecting the inference from the knowledge intuition to physicalism’s falsity: one could defend a version of physicalism on which the psychophysical conditional is necessary but not a priori. There are other ways of rejecting the inference. One is to reject the assumption that phenomenal knowledge is propositional knowledge—knowledge of truths or information. That is, one could argue that the type of knowledge Mary gains when she leaves the room is non-propositional. The most popular version of this view is based on the ability hypothesis, the claim that to know what it’s like is to possess certain abilities, such as the ability to imagine, recognize, and remember experiences. On this view, Mary’s learning consists in her acquiring abilities rather than learning truths. As the view is sometimes put, she gains know-how, not knowledge-that. There are other versions, including the view that upon leaving the room Mary acquires only non-propositional acquaintance knowledge (Conee 1994, Bigelow and Pargetter 1990). On this version, her learning consists, not in acquiring information or abilities, but in becoming directly acquainted with the phenomenal character of color experiences, in the way that one can become acquainted with a city by visiting it.

These views allow the physicalist to accept the knowledge intuition without facing objections that Jackson, Chalmers, and others bring against a posteriori physicalism. But other problems arise. Regarding the ability hypothesis, some doubt that Mary’s learning could consist only in acquiring abilities. Her new knowledge appears to have characteristic marks of propositional knowledge because its content can be embedded in conditionals such as “if seeing red is like this, then it is not like that” (Loar 1990/97). And some philosophers question the significance of the distinction between know-how and knowledge-that on which the strategy of the ability-hypothesis seems to rely (Alter 2023, Stanley and Williamson 2001).

The idea that Mary acquires only acquaintance knowledge has similar difficulties. It is not clear that all she acquires is acquaintance knowledge or that the requisite distinction between acquaintance knowledge and propositional knowledge is tenable. Also, there is a danger of trading on an ambiguity: sometimes “acquaintance” refers to knowledge, sometimes to experience. On the former, epistemic interpretation, it is unclear that Mary’s new “acquaintance knowledge” includes no factual component. And on the latter, experiential interpretation, the acquaintance hypothesis trivializes the learning claim: no one denies that when Mary leaves the room she has new experiences.

Another way to reject the inference to physicalism’s falsity is to argue that Mary’s learning consists in acquiring new ways to represent facts she knew before leaving the room (Loar 1990, 1997, Lycan 1996, Horgan 1984, McMullen 1985, Pereboom 1994, Tye 2002). This view is often combined with an appeal to a posteriori necessity (see section 2 above). But it need not be: one could argue that while the psychophysical conditional is a priori knowable by those who possess the relevant phenomenal concepts, Mary lacks those concepts before leaving the room. The main challenge for this view concerns the status of her new concepts. It is not enough to say that she gains some new concept or other: her conceptual gain must explain her gain in knowledge. The concern is that any concepts adequate to the task—such as the concept having an experience with phenomenal feel f—might incorporate a non-physical component (Chalmers 2006b).

Philosophers have also devised ways to reject the knowledge intuition. Some believe that intuitions based on hypothetical cases should be given little or no weight. Also, specific strategies for rejecting the knowledge intuition have been developed. One is to reject the learning claim: to argue that on reflection Mary does not learn anything when she leaves the room. Some defend this position by arguing that we simply underestimate the power of complete physical knowledge. Suppose we try to fool Mary by greeting her when she leaves the room with a blue banana. Would she be fooled into thinking that seeing yellow is what we would describe as seeing blue? Not necessarily. She could use a brain scanner (perhaps a descendent of a PET device) to examine her own brain processes. She would notice that her brain processes correspond to people having blue experiences, and thereby evade our trap. Maybe our intuition that she learns something fails to take this sort of consideration into account (Dennett 1981, 2006). But other philosophers doubt that the intuition derives from any such error.

Another way to reject the knowledge intuition is to challenge the complete-knowledge claim: to argue that not all physical facts about seeing colors can be learned by watching black-and-white lectures. On this view, a fact might be physical but not discursively learnable. How could this be?

Some (for example, Horgan, 1984) use “physical” broadly, so that that the physical truths include high-level truths necessitated by the microphysical truths. These physicalists argue that phenomenal truths are themselves high-level physical truths, and that it is question-begging to assume that Mary knows all the physical truths simply because she watches lectures on chemistry, physics, etc. Chalmers (2004, 2006a) suggests a natural response to this move: use “physical” narrowly, so that the physical truths include only the microphysical truths (or those plus the truths in chemistry or some other specified domains). It is harder to deny that such truths would be accessible to the pre-release Mary. Of course, this entails that high-level biological truths, for example, will count as non-physical, and thus the existence of non-physical truths will not itself defeat physicalism. But if Jackson’s reasoning is sound, then there are phenomenal truths that are not metaphysically necessitated by the narrowly physical truths—and that result would defeat physicalism.

On another version of the view that the complete-knowledge claim is false, Mary’s science lectures allow her to deduce the truths involving structural-dynamical properties of physical phenomena, but not their intrinsic properties. The knowledge argument does not appear to refute this view. If this view can reasonably be called a physicalist view, then there is at least one version of physicalism that the knowledge argument appears to leave unchallenged. However, it is unclear that this is a significant deficiency. Arguably, on the view in question, consciousness (or protoconsciousness) is a fundamental feature of the universe—or at least no less fundamental than the properties describable in the language of physics, chemistry, etc. That sounds like the sort of view the knowledge argument should be used to establish, not refute.

5. Non-physicalist Responses

If we accept the knowledge argument, then how should we understand the relationship between consciousness and the physical world? Jackson (1982) defends epiphenomenalism, on which phenomenal properties or qualia are caused by but do not cause physical phenomena. But epiphenomenalism is only one non-physicalist view that the knowledge argument leaves open. For example, the knowledge argument is also consistent with interactionist dualism, on which there is two-way causal interaction between the mental and the physical. The knowledge argument is also consistent with Russellian monism, on which phenomenal properties (or protophenomenal properties) are the categorical, intrinsic bases of physical properties, which are at bottom dispositional and relational.

All of these views have significant costs and benefits. For example, interactionist dualism is commonsensical but hard to reconcile with the popular view that the physical world is causally closed, that is, the view that every physical event has a sufficient physical cause. To take another example: epiphenomenalism preserves causal closure but seems to conflict with the widespread naturalistic assumption that consciousness is an integrated part of the natural world.

Historically, epiphenomenalism is associated with Huxley (1874), interactionist dualism with Descartes (1641), and Russellian monism with Russell (1927). For later versions, see Jackson (1982) and Robinson (1982b, 1988) for epiphenomenalism; see Popper and Eccles (1977), Hart (1988), Foster (1991), and Hodgson (1991) for interactionist dualism; and see Rosenberg (2004), Chalmers (2013), Alter and Nagasawa (2015), and Goff (2017) for Russellian monism.

6. Other Responses

Some claim that Jackson’s position is internally inconsistent (Watkins 1989, Campbell 2003). The argument runs roughly as follows. On the knowledge argument, Mary acquires knowledge when she leaves the room because she has states with new qualia. But this is impossible if, as Jackson (1982) suggests, epiphenomenalism is true: on epiphenomenalism, qualia are causally inefficacious; so, how can qualia produce an increase in knowledge? So, Jackson cannot consistently maintain both epiphenomenalism and the learning claim.

However, the sort of epiphenomenalism Jackson defends implies, not that phenomenal features are inefficacious, but only that they have no effects on physical phenomena. He might therefore reply that phenomenal knowledge is not a physical phenomenon, and thus qualia may indeed cause Mary to acquire it. Also, he can reasonably complain that the objection assumes a causal theory of knowledge that is not appropriate for phenomenal knowledge (Nagasawa 2010).

Despite the availability of these replies, there is a serious problem in the vicinity of the inconsistency objection. We should expect physical or functional explanations of our judgments about qualia. But if the knowledge argument is sound, then qualia would seem to be explanatorily irrelevant to these judgments—including the judgment that qualia cannot be explained in physical or functional terms. This is what David Chalmers calls “the paradox of phenomenal judgment” (Chalmers 1996, chapter 5). It appears to be a real problem, which arises for any non-physicalist theory of consciousness.

Another important response to the knowledge argument should be noted. The argument seems to assume that “physical” has a clear meaning. But whether this notion can be adequately defined is not obvious. One problem is “Hempel’s dilemma” (Hempel 1966, Montero 1999). Arguably, we should not define the physical in terms of current physics, because current physics will be extended and presumably revised in substantial ways. We could define it in terms of ideal physics. But who knows what ideal physics will look like? Future physics may involve novel concepts that we cannot begin to imagine. If “physical” is defined in terms of such unknown concepts, then how can we judge whether Mary could learn all the physical facts from black-and-white lectures? And how else should we define the notion except by appeal to (current or ideal) physics?

Some take such considerations to show that the debate over whether consciousness is physical is misguided or meaningless (Chomsky 1980, 1988, Crane and Mellor 1990). But the difficulty may be surmountable (Wilson 2006). On one view, ideal physics will not be wholly unrecognizable: like today’s physics, it will be concerned entirely with structure and dynamics. And one may be able to argue that any structural/dynamical properties can in principle be imparted by black-and-white lectures.

7. Jackson’s Retraction

As we noted earlier, Jackson (1998, 2003, 2007, 2019) has come to embrace physicalism and reject the knowledge argument. More specifically, he rejects the claim that Mary learns new truths when she leaves the room. He argues that this claim derives from a mistaken conception of sensory experience—a conception that he thinks should be replaced with representationalism, the view that phenomenal states are representational states. Interestingly, he combines this view with the ability hypothesis. He writes,

Those who resist accounts in terms of ability acquisition tend to say things like “Mary acquires a new piece of propositional knowledge, namely, that seeing red is like this”, but for the representationalist there is nothing suitable to be the referent of the demonstrative.

We have ended up agreeing with Laurence Nemirow and David Lewis [the authors of the ability-hypothesis strategy] on what happens to Mary on her release. But, for the life of me, I cannot see how we could have known they were right without going via representationalism. (Jackson 2003, p. 439)

It is unclear why Jackson’s representationalism leads him to embrace the ability hypothesis. Despite his commitments to physicalism and the apriority of the psychophysical conditional, he has other options. For example, instead of explaining Mary’s epistemic progress in terms of newly acquired abilities, he might argue that her “progress” is an illusion; in other words, he might reject the learning claim. Moreover, it may be possible to formulate a representationalist version of the knowledge argument that inherits the force of the original (Alter, 2023).

8. Summary of Assumptions and Criticisms

As we have seen, the knowledge argument depends on several controversial assumptions. It will be useful to summarize some of these assumptions and some criticisms of them. I will also mention some sources for relevant arguments.

Assumption 1: The coherence of the notion of the physical: physicalism is a substantive doctrine with non-trivial content.

Criticism 1: The notion of the physical is not well defined, and there is no substantive issue of whether physicalism is true (Chomsky 1980, 1988, Crane and Mellor 1990; cf., Montero 1999). For replies, see Chalmers (1996, 2004), Stoljar (2000), Wilson (2006).

Assumption 2: The complete-knowledge claim (“truths” version): before leaving the room, Mary knows all physical truths.

Criticism 2a: Pre-release Mary does not know all the physical truths, because high-level physical truths cannot in general be a priori deduced from low-level physical truths (Horgan 1984, van Gulick 2004, Block and Stalnaker 1999). For replies, see Chalmers (2004) and Chalmers and Jackson (2001).

Criticism 2b: Pre-release Mary does not know all the physical truths, because truths about the intrinsic properties of physical phenomena cannot be discursively learned (Stoljar 2000, Howell 2013). For replies, see Chalmers (2004).

Assumption 3: The learning claim: upon leaving the room, Mary learns something.

Criticism 3a: We think Mary learns something because we fail to appreciate the implications of knowing all physical truths (Foss 1989, Stemmer 1989, Dennett 1991, 2004). For replies, see Chalmers (1996), Alter (2023), Robinson (1993), and Jacquette (1995).

Criticism 3b: We think Mary learns something because we fail to recognize that phenomenal properties are just representational properties (Jackson 2003, 2007, 2019). For a reply, see Alter (2013).

Criticism 3c: Mary gains only unjustified beliefs (Beisecker 2000).

Assumption 4: The non-deducibility claim: if Mary learns new phenomenal truths when she leaves the room, then those truths cannot be a priori deduced from the complete physical truth.

Criticism 4: Mary cannot deduce certain phenomenal truths from the complete physical truth only because she lacks the relevant concepts, such as the concept of phenomenal redness. Thus, even though Mary cannot deduce Q from P, the psychophysical conditional is a priori for those who have the relevant concepts (Kirk 2005, Montero 2007). For replies, see Alter (2023), Chalmers (2004) and Stoljar (2005).

Assumption 5: The propositional-knowledge claim: the kind of knowledge Mary gains upon leaving the room is propositional or factual—knowledge of information or truths.

Criticism 5a: Mary gains only abilities (Lewis 1983, 1988, Nemirow 1990, Mellor 1993, Meyer 2001). For replies, see Jackson (1986), Bigelow and Pargetter (1990), Loar (1990/97), Coleman (2009), Conee (1994), Nida-Rümelin (1995), Lycan (1996), Alter (2023), Gertler (1999), Tye (2002, chapter 1), Raymont (1999), and Papineau (2002). For counter-replies, see Tye (2002, chapter 1) and Nemirow (2007).

Criticism 5b: Mary gains only acquaintance knowledge (Conee 1994,Tye 2009, Pitt 2019). For replies, see Alter (2023) and Gertler (1999).

Criticism 5c: Mary gains non-propositional knowledge that does not fit easily into folk categories (Churchland 1985, 1989).

Assumption 6: The new-information claim: the information Mary gains upon leaving the room is genuinely new to her.

Criticism 6: Mary merely comes to know truths she already knew under new, phenomenal representations. This view is sometimes called the old-fact/new-representation view. It comes in at least two versions. On one, phenomenal knowledge is assimilated to indexical knowledge: Mary’s “learning” is comparable to the absent-minded U.S. historian’s learning that today is July 4th, America’s Independence Day (McMullen 1985). For replies, see Chalmers (1996, 2004). Another version attaches the old-fact/new-representation view to a posteriori physicalism. Advocates of this version include Loar (1990/97), Lycan (1996), Horgan (1984), and Pereboom (1994). For replies, see Alter (2023) Chalmers (1996, 2003, 2004) and Stoljar (2000).

Assumption 7: The claim that the knowledge intuition entails non-necessitation: if there are phenomenal truths that cannot be a priori deduced from the complete physical truth, then the complete physical truth does not metaphysically necessitate those phenomenal truths.

Criticism 7: Physicalism is an a posteriori necessity and is therefore compatible with the claim that the phenomenal truths are not deducible from the complete physical truth. For references, see the second version of criticism 6 above.

Assumption 8: The consistency claim: the knowledge argument and non-physicalism are consistent.

Criticism 8: The assumption that Mary gains knowledge is inconsistent with epiphenomenalism (Watkins 1989, Campbell 2003). For replies, see Nagasawa (2010).

Assumption 9: The assumption that physicalism entails that the physical metaphysically necessitates the phenomenal.

Criticism 9: Physicalism might be true even if the physical did not necessitate the chemical or the biological. Likewise, physicalism might be true even if the physical did not necessitate the phenomenal (Montero 2013, Montero and Brown 2018, Zhong 2021). For a reply, see Alter (2023).

The knowledge argument rests on other assumptions. For example, one is that if Mary gains new, non-physical information, then there are non-physical properties. Another is that if there are truths that are not metaphysically necessitated by the complete physical truth, then physicalism is false. For a detailed analysis and defense of the knowledge argument, see Alter (2023).

Some critics combine elements of different criticisms. For example, Michael Pelczar’s (2005) criticism appears to contain elements of the acquaintance hypothesis and the old-fact/new-representation view; Jackson both rejects the learning claim and endorses the ability hypothesis (Jackson 2003); and Robert van Gulick (2004) argues that the various physicalist criticisms of the knowledge argument can be seen as parts of a single, coherent reply. Those who endorse the knowledge argument (in addition to Jackson, before he changed his mind) include Robinson (1982a), Nida-Rümelin (1995), Chalmers (1996, 2004), Alter (2023), and Gertler (1999).

William Lycan (2003) writes, “Someday there will be no more articles written about the “Knowledge Argument”… That is beyond dispute. What is less certain is, how much sooner that day will come than the heat death of the universe.” At least for now, however, the knowledge argument continues to inspire fruitful reflection on the nature of consciousness and its place in the natural world.

9. References and Further Reading

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  • Beisecker, David. 2000. “There’s Something about Mary: Phenomenal Consciousness and Its Attributions”, Southwest Philosophy Review, 16, 143-52.
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  • Campbell, Neil 2003. “An Inconsistency in the Knowledge Argument”, Erkenntnis, 58, 261-66.
  • Chalmers, David J. 1996. The Conscious Mind: In Search of a Fundamental Theory, New York: Oxford University Press.
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  • Chalmers, David J. 2004. “Phenomenal Concepts and the Knowledge Argument.” In Ludlow, et. al. (2004), pp. 269-98.
  • Chalmers, David J. 2007. “Phenomenal Concepts and the Explanatory Gap”. In T. Alter and S. Walter 2007, pp. 167-94.  .
  • Chalmers, David J. 2013. “Panpsychism and panprotopsychism.” Amherst Lecture in Philosophy: http://www.amherstlecture.org/index.html. Also in T. Alter and Y. Nagasawa 2015, pp. 246-76.
  • Chalmers, David J. and Jackson, Frank (2001). Conceptual Analysis and Reductive Explanation. Philosophical Review110: 315-61.
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  • Churchland, Paul. 1989. “Knowing Qualia: A Reply to Jackson”, in A Neurocomputational Perspective, Cambridge: MIT Press, 67-76.
  • Coleman, Sam. (ed.) 2019. The Knowledge Argument. Cambridge: Cambridge University Press.
  • Coleman, Sam. 2009. “Why the ability hypothesis is best forgotten.“ Journal of Consciousness Studies 16: 74-97.
  • Conee, Earl. 1994. “Phenomenal Knowledge”, Australasian Journal of Philosophy, 72, 136-50.
  • Crane, Tim and Hugh Mellor 1990. “There is no question of physicalism”, Mind, 99, 185-206.
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  • Dennett Daniel C. 2005.  Sweet Dreams: Philosophical Obstacles to a Science of Consciousness. Cambridge, MA: MIT Press.
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  • Foss, Jeff. 1989. “On the Logic of What It Is Like to be a Conscious Subject”, Australasian Journal of Philosophy 67, pp. 305-20.
  • Gertler, Brie 1999. “A Defense of the Knowledge Argument”, Philosophical Studies, 93, 317-36.
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  • Howell, R. J. 2013. Consciousness and the Limits of Objectivity: The Case for Subjective Physicalism. Oxford: Oxford University Press.
  • Huxley, Thomas H. 1874. “On the Hypothesis that Animals are Automata, and its History”. In D. Chalmers (ed.) The Philosophy of Mind. New York: Oxford University Press, 2002, 24-30.
  • Jackson, Frank. 1982. “Epiphenomenal Qualia”, Philosophical Quarterly, 32, 127-36.
  • Jackson, Frank. 1986. “What Mary Didn’t Know”, Journal of Philosophy, 83, 291-5.
  • Jackson, Frank. 1995. “Postscript”, in Contemporary Materialism, ed. by Paul K. Moser and J. D. Trout, New York: Routledge, 184-9.
  • Jackson, Frank. 1998. “Postscript on Qualia.” In his Mind, Method, and Conditionals: Selected Essays: 76-79. London: Routledge.
  • Jackson, Frank. 2003. “Mind and Illusion”, in  Minds and Persons: Royal Institute of Philosophy Supplement 53, ed. by Anthony O’Hear, Cambridge: Cambridge University Press, 251-271.
  • Jackson, Frank. 2007. “The knowledge argument, diaphanousness, representationalism.” In T. Alter and S. Walter 2007, pp. 52-64.
  • Jackson, Frank. 2019. “The knowledge argument meets representationalism about colour experience.” In S. Coleman 2019, pp. 102-17.
  • Jacquette, Dale. 1995. “The Blue Banana Trick: Dennett on Jackson’s Color Scientist,” Theoria 61, pp. 217-30.
  • Kirk, Robert. 2005. Zombies and Consciousness. New York: Oxford University Press.
  • Kripke, Saul. 1972. “Naming and Necessity”. In The Semantics of Natural Language. Ed. G. Harman and D. Davidson. Dordrecht: Reidel. Reprinted as Naming and Necessity. Cambridge, MA: Harvard University Press, 1980.
  • Lewis, David. 1983. “Postscript to ‘Mad Pain and Martian Pain.’” In his Philosophical Papers, vol. 1. New York: Oxford University Press, pp. 130-32.
  • Lewis, David. 1988. “What Experience Teaches”, Proceedings of Russellian Society (University of Sydney), Reprinted in Lycan (1999); Block, Flanagan and Güzeldere (1997)
  • Loar, Brian. 1990. “Phenomenal States”, in Philosophical Perspectives IV: Action Theory and the Philosophy of Mind, ed. by James Tomberlin, Atascadero: Ridgeview Publishing, 81-108.
  • Loar, Brian. 1997. “Phenomenal States (Revised Version)”, in The Nature of Consciousness, ed. by Ned Block, Flanagan Owen and Güzeldere Güven, Cambridge, MA: MIT Press, 597-616.
  • Locke, John. 1690.  An Essay Concerning Human Understanding.
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Author Information

Torin Alter
Email: talter@ua.edu
The University of Alabama
U. S. A.

Events

Events are particular happenings, occurrences or changes, such as Rob’s drinking the strong espresso at noon, the 1864 re-election of Abraham Lincoln in the US, and so on. At least at first blush, events all seem to have something in common, metaphysically speaking, and some philosophers have inquired into what this common nature is. The main aim of a theory of events is to propose and defend an identity condition on events; that is, a condition under which two events are identical. For example, if Brutus kills Caesar by stabbing him, are there two events, the stabbing and the killing, or only one event?

Each of the leading theories of events is surveyed in this article. According to Jaegwon Kim, events are basically property instantiations. In contrast, Donald Davidson attempts to individuate events by their causes and effects. However, Davidson eventually rejects this view and, together with W.V.O. Quine, individuates events with respect to their location in spacetime. According to David Lewis, an event is a property of a spatiotemporal region. The selection of a theory of events is not a matter which one decides independently of one’s other metaphysical interests and commitments. This article discusses the relative strengths and weaknesses of several theories of events which can help to guide the reader’s own selection of a theory of events. Further philosophical developments may yield a theory of events which is more attractive than the approaches discussed here.

Table of Contents

  1. Kim’s Property-Exemplification Account of Events
    1. Constitutive Object or Region
    2. Properties
    3. Excessive Fine-Grainedness
      1. The Official Line
      2. The Fallback Position
    4. Is the Constitutive Object (Time, Property) Essential?
  2. Davidson’s Theories of Events
    1. The Causal Criterion
    2. The Spatiotemporal Criterion
    3. Events or Objects?
    4. Davidson and Ontological Commitment to Events
  3. David Lewis’s Theory of Events
    1. Preliminaries
    2. The Details of Lewis’ Theory
      1. A Non-Duplication Principle
      2. Regions
      3. Event Essences
      4. Fine-Grainedness and Logical Relations Between Events
  4. Conclusion
  5. References and Further Reading

1. Kim’s Property-Exemplification Account of Events

Events, according to Kim, are structured: they are constituted by an object (or number of objects), a property or relation, and a time (or an interval of time). For simplicity, the discussion will be restricted to monadic events, that is, events with a monadic property exemplified by a single object at a time. Kim’s theory of events consists of two basic principles, the first states the conditions under which any given event exists, the second gives the conditions under which events are identical. In stating the principles Kim represents events by expressions of the form

[x, P, t]

where the operator “[. . .]” is intended to be a special case of the description operator, read “the unique event, x’s having P at t.” Kim’s two principles are the following:

Existence Condition: [x, P, t] exists iff object x exemplifies the n-adic property P at time t.

That is, the unique event of object x’s having property P at time t exists if and only if the object x has P at a given time.

The second principle is the following:

Identity Condition: [x, P,t] = [y,Q, t’] iff x = y, P = Q, and t = t’.

This principle reads: the unique event, x’s having P at a given time t, is identical to the unique event, y’s having Q at a given time t’, if and only if x is identical to y, P is identical to Q, and t is identical to t’. It is sometimes also called the “non-duplication principle.”

According to Kim, (i) events are non-repeatable, concrete particulars, including not only changes but also states and conditions. (ii) Each event has a spatiotemporal location. (iii) Although events may exemplify any number of properties, only one property, the constitutive property, individuates the event. The constitutive properties are not exemplified by the event, but are exemplified by the constitutive substance:

Events themselves have (exemplify) properties; Brutus’ stabbing Caesar has the property of occurring in Rome, it was intentional, it led to the death of Caesar and caused grief in Calpurnia, and so on…. The properties an event exemplifies must be sharply distinguished from its constitutive property (which is exemplified, not by an event, but by the constitutive substance of the event)…. (Kim, 1993, p. 170).

With this in mind we might call attention to the difference between an event’s exemplifying a property from an event’s being an exemplification of a property. According to Kim the event is an exemplification of only the constitutive property while the event exemplifies any number of non-constitutive properties. (iv) Kim gets a type-token relation for events by regarding the constitutive property as the generic event. Particular exemplifications of the constitutive property by a constitutive object are tokens of the generic event. (v) Kimean events are not just ordered triples of the form . Consider the event of Oedipus’ marrying Jocasta at t. A triple exists when Oedipus,t, and marrying Jocasta exist. But the triple can exist while the event does not, namely, Oedipus may fail to have the property, marrying Jocasta, at t.

What follows are the main criticisms of Kim’s theory of events.

a. Constitutive Object or Region

Myles Brand criticizes the account for not being able to accommodate the intuition many have that an event might not have a constitutive object: “Leaving aside the controversial case of mental events, there are changing weather conditions, changing light conditions, changing fields, and so on.” (Brand, 1997, 335) Brand suggests that Kim modify his account by taking spatiotemporal regions as the constituents of events, rather saying that objects are the constituents. So, if an event involves a flash of lightning or a magnetic field increasing in strength, the event occupies (at minimum) the space in which the flash or field increase occurs. It is certainly open to Kim to modify his theory accordingly.

b. Properties

Since, on Kim’s view, events are property exemplifications, a natural question to ask is: what sorts of properties are acceptable as constitutive properties (and thereby as event types)? Kim provides little specification of what sort of view of properties the theory is to be wedded to. Indeed, Kim’s discussion of events does not even specify whether such properties are universals, tropes (as non-repeatables), natural classes, or something else. (Readers unfamiliar with the different views on the nature of properties should see Oliver, 1996). And we might ask whether the properties are sparse (such as Armstrong’s theory of universals) or abundant, corresponding to every predicate (or nearly every predicate). (Again, see Oliver, 1996). The following passage gives us a rough idea how Kim would answer this latter question:

. . . [T]he basic generic events may be best picked out relative to a scientific theory, whether the theory is a common-sense theory of the behavior of middle-sized objects or a highly sophisticated physical theory. They are among the important properties, relative to the theory, in terms of which lawful regularities can be discovered, described, and explained. The basic parameters in terms of which the laws of the theory are formulated would, on this view, give us our basic generic events, and the usual logical, mathematical, and perhaps other types of operations on them would yield complex, defined generic events. We commonly recognize such properties as motion, colors, temperatures, weights, pushing, and breaking, as generic events and states, but we must view this against the background of our common-sense explanatory and predictive scheme of the world around us. I think it highly likely that we cannot pick out generic events completely a priori. (Kim,1993, p.37)

So Kim would like a theory of events which provides a framework to develop theories of causation, explanation, and to explore the mind-body problem and the relation between micro and macro events more generally (Kim,1993, p.36). Such desiderata seem reasonable and, at least at first blush, Kim’s rough gesturing at a notion of properties seems suitable to such desiderata.

This passage also tells us that Kim is open to the view that an answer to the question, “What properties are there?” might involve an a posteriori element, left to scientific theory. But there are further issues that a proponent of the exemplification theory should eventually address. For instance, which properties can be constitutive of events? (i) If the account of properties selected allows that (purported) properties like being equal to the square root of two are in fact properties, such properties do not seem to be properties that can constitute events. (Brand, 1997, p. 335) (ii) If walking is a property constitutive of events, is walking slowly? (We will turn to ii. shortly).

Myles Brand has criticized the property exemplification view because it lacks a criterion for property identity. (Brand, 1997, p. 335) The problem is that Kim’s account is incomplete because we cannot determine when events are identical. We cannot do this because we do not know when they have the same properties. This objection may strike one as weak because it seems to require too much of the property exemplification account. As Brand notes “. . . solutions to a number of central philosophical problems — for instance the mind-body problem, scientific theory reduction and meaning change — also require identity conditions for properties.” (Brand, 1997, p.335) It seems excessive to require Kim to solve such problems to give a viable theory of events. We now turn to more serious criticisms of the theory.

c. Excessive Fine-Grainedness

Although Kim’s above passage gives us a better idea of what sorts of properties constitute events, it does not answer the following question: if “F” is a predicate or verb designating some generic event, (e.g., walking), and “M” is a predicate modifier, (e.g., slowly) does “M(F)” name a new generic event (walking slowly), or does the modifier indicate that the generic event (the walk) exemplifies the property (being slow)? If Sebastian strolls leisurely through the streets of Bologna at t is the stroll the same event as the leisurely stroll? Most people’s intuition is that they are the same event. Let’s call the need for a satisfactory answer to this question “The Problem of Predicate Modification.”

Indeed, the most serious criticism of Kim’s theory is that it yields events that are too fine-grained. That is, events are regarded as being distinct that, intuitively, are the same event. There are two basic types of prolificacy that worry critics. (i) First, there is the Problem of Predicate Modification. (ii) Second, there are sorts of prolificacy not arising from the M(F) operation but from the question: if S does x by doing y is S’s doing x the same event as S’s doing y? Let’s begin with a discussion of type (ii) cases.

Type (ii) prolificacy. To employ a well-known example, on Kim’s view the stabbing of Caesar is a different event from the killing of Caesar, because the properties of being a stabbing and being a killing are, by any reasonable account of property individuation, distinct. (Bennett, 1991) The criticism begins by noting that it is a historical fact that the method of killing was a stabbing. The critic interprets this as saying that the properties were co-instantiated. To this the critic adds that co-instantiation is sufficient for property identity, although, not, of course, sufficient for event identity. Kim’s account of events turns events into property tokens, getting the nature of events wrong. (Bennett, 1991)

Jonathan Bennett provides a detailed objection along such lines, but adding an additional, informative element to his claim that Kimean events are too fine-grained. First, his general claim:

Kim maintains that two nominals can pick out a single event only if (roughly speaking) their predicative parts are equivalent: so it cannot be true that the kick he gave her was the assault he made on her. I argue against this, contending that most of Kim’s prima facie evidence for it depends on his running events together with facts. It is beyond dispute that his kicking her is not the same as his assaulting her, these being different facts. (Bennett,1991, p.626)

His contention that Kim conflates events and facts is fueled by an informative distinction between imperfect and perfect nominals, which he links to a distinction between fact language and event language, respectively:

Following Vendler, I take it that these [event names] will be perfect and not imperfect nominals. Quisling’s betrayal of Norway (perfect) was an event; Quisling’s betraying Norway (imperfect) is a fact, namely the fact that Quisling betrayed Norway. Quisling’s betraying Norway is different from his doing Norway a disservice; these are two facts. His betrayal of Norway was his disservice to Norway; there was only the one event. (Bennett,1991, p. 625)

Perfect nominals, according to Vendler’s research, are our main device for event talk, passing all of the tests for being an event sortal. (Bennett, 1998, p. 6) (However, it should be noted that not all perfect nominals name events. For discussion of this see Bennett, 1988, p. 7). In contrast, imperfect nominals never refer to events because they “. . . don’t behave syntactically as though they were applicable to located particulars: they don’t take articles or attributive adjective, they don’t have plural forms, and so on. Their semantic behavior is wrong too: they don’t go comfortably into contexts about being observed, occurring at stated times or lasting for stated periods, and so on.” (Bennett, 1988, p.7) Instead of naming events imperfect nominals name facts (that is, states of affairs that obtain) and more generally, states of affairs. Vendler and Bennett provide the following argument to the conclusion that imperfect nominals name facts. First, they claim that there is a sort of imperfect nominal that contains a complete sentence in it, sentence nominals, which function as noun phrases which pass all the tests for being imperfect nominals. Bennett takes it that such constructions name facts. He calls these “that [S] constructions.” Bennett further claims:

I contend that any sentence using an imperfect gerundial nominal is synonymous with one in which that gerundial nominals work is done instead by a “that [S] nominal. Test this, and if you find no counterexamples you will agree that imperfect gerundial nominals are basically interchangeable with “that [S] nominals and are therefore names of facts. If you do find counterexamples, Vendler and I must back off, saying merely that many gerundial imperfect nominals name facts and that none name events, and it will be a further problem to know what marks of the fact names from the rest. But I shall stay with the stronger claim until it is refuted. (Bennett, 1988, p.8)

Bennett applies his claim that perfect nominals are our main device for referring to event kinds while imperfect nominals always refer to facts to help settle the dispute concerning type (ii) prolificacy cases. Bennett illustrates how the distinction is useful with respect to this issue by calling our attention to the following interchange between Kim and Davidson:

It is not at all absurd to say that Brutus’ killing Caesar is not the same as Brutus’ stabbing Caesar. Further, to explain Brutus’ killing Caesar (why Brutus killed Caesar) is not the same as to explain Brutus’ stabbing Caesar (why Brutus stabbed Caesar). (Kim, 1993, p 232)

Davidson remarks:

I turn. . . to Kim’s remark that it is not absurd to say that Brutus’ killing Caesar is not the same as Brutus’ stabbing Caesar. The plausibility of this is due, I think, to the undisputed fact that not all stabbings are killings. . . . But [this does not show] that this particular stabbing was not a killing. Brutus’ stabbing of Caesar did result in Caesar’s death so it was in fact, though not of course necessarily, identical with Brutus’ killing of Caesar. (Davidson, 1980, p. 171)

It does appear that, as Bennett aptly puts it, while Kim is saying true things about facts, Davidson is saying true things about events. The provisional conclusion that I draw on the criticism that Kimean events turn events into facts, getting the nature of events wrong, is the following: if one is impressed by the view that the stabbing of Caesar and the killing of Caesar are the same event then one must make sure that it is not because they find it plausible that Brutus’ killing Caesar and Brutus’ stabbing Caesar are distinct. For Bennett has given us reason to believe that such plausibility derives from the plausible distinctness of facts. (Further, Kim has not disputed Bennett’s distinction or its application to the type (ii) prolificacy dispute). On the other hand, perhaps a proponent of the property-exemplification view would like to dispute the linguistic data, or, instead, claim that while the data capture our ordinary event concept, a philosophical theory of events should not seek to satisfy the ordinary event concept, but should instead engage in a conceptual revision.

Type (i) prolificacy. Although Kim is not interested in renouncing the prolificacy of type (ii) he believes that it is a more serious matter that his view might allow adverbial modification to give rise to distinct generic events, (e.g., Sebastian’s strolling and Sebastian’s strolling leisurely are distinct events). That is, he takes such cases as being more plausible examples of excessive fine-grainedness: “it is more plausible to deny identity in cases like it (the stabbing case) than in cases like Sebastian’s stroll and Sebastian’s leisurely stroll (where we suppose Sebastian did stroll leisurely).” (Kim,1993, p. 44) Kim does not say why the stabbing case is more plausible case of distinct events; but he is certainly in tandem with most people’s intuitions in this regard. He offers two ways to deal with the Problem of Adverbial Modification, advancing one as “the official line” and the other as a fallback position.

i. The Official Line

Kim’s strategy is to regard the events as being different, but not entirely distinct events, by claiming that leisurely stroll includes the stroll. Kim does not explain the sort of inclusion that he is appealing to. It is certainly a different sort than a type of inclusion that we might normally apply to events: for example, we might conceive of a war as an extended event consisting of a number of battles, a buying a book as a standing at the register and handing the money and so forth. In each of these cases the extended event has the events of shorter duration as temporal parts. We might say that Sebastian’s stroll is like these by stipulating that there was a temporal part of the stroll that was not leisurely — say he leapt over a puddle. But this would be missing the point as one could just specify a different case such that an entire stroll was leisurely. Kim offers the following point to motivate the non-standard sort of event inclusion that he has in mind:

Take this table: the top of the table is not the same thing as the table. So there are two things, but of course one table — in fact, there are lots of things here if you include the legs, the molecules, the atoms, etc., making up the table. (Kim,1993, p. 46)

One can construct individuals, as counterintuitive to the layperson they may be, from the mereological sum of any spatio-temporal parts. But given a particular table, it would be quite odd to claim that the mereological sum of all of its parts is a new individual, and not, instead, that very same individual. Since the stroll and the leisurely stroll occupy the same space-time worm, the analogy with physical objects will not go through: for a physical object x to include distinct physical object y it requires at least one proper part that is had by object x that is not had by object y and that x have all of y’s parts as proper parts. There is no proper part (time-space region) occupied by the stroll that is not also occupied by the leisurely stroll. We thus have motivation for turning to the second option that Kim provides for dealing with the Problem of Adverbial Modification.

ii. The Fallback Position

The remaining option is to deny that modifiers, or at least a certain class of them, give rise to new generic events, instead, they indicate properties of the generic events. (For example, strolling leisurely is not a generic event, but being leisurely is exemplified by Sebastian’s stroll.) Kim views this option as bringing with it a major drawback: namely, it compromises his original motivation for supplying a theory of events in the first place — that events be the sort of entities that enter into causal relations and are objects of explanations: “But it is clear that we may want to explain not only why Sebastian strolled, i.e., Sebastian’s stroll, but also why he strolled leisurely, i.e., his leisurely stroll. Under the approach being considered, the second explanation would be of why Sebastian’s stroll was leisurely; we would be explaining why a certain event had a certain property, not why a certain event occurred.” (Kim,1993, p. 45)

d. Is the Constitutive Object (Time, Property) Essential?

A second major challenge to the property-exemplification view is the claim that it relies on dubious claims about the essential properties of events. Consider the constitutive object: could the very same event, the changing of the guard, have occurred if a guard was a different person? Could it have been the same event if, instead, it was slightly earlier? Both of these questions raise plausible possibilities.

Kim agrees that the time is not an essential feature of certain events : “it seems correct to say that the stroll could have occurred a little earlier or later than it actually did.”(Kim,1993, p. 48) Kim is also sympathetic to the claim that the property is not essential, although his concern is limited to cases in which modifiers give rise to new generic events. (Kim,1993, p. 47) However, Kim rejects the view that the constitutive substance is not essential.

The fact that someone other than Sebastian could have taken a stroll in his place does not make it the case that the very stroll that Sebastian took could have been taken by someone else. If Mario had been chosen to stroll that night, then there would have been another stroll, namely Mario’s. (Kim, 1993, p. 48)

One natural reaction is to disagree with this assessment because it seems plausible that in the changing of the guard case, the very same event, the changing of the guard, could have occurred if a guard was a different person. But perhaps it is better to not haggle intuitions; the real issue is how Kim, of all people, can be sympathetic to challenges to the non-essentiality of the constitutive time and property. Doesn’t he have to deny this? The matter hinges on whether it is plausible, as Kim seems to believe, that the following claims be held in tandem:

(1) The constitutive time and (in cases of modification) the constitutive property are non-essential

(2) Both of the following are true:

Identity Condition: [x, P,t] = [y,Q, t’] iff x = y, P = Q, and t = t’.

Existence Condition: [x, P, t] exists (occurs) iff object x exemplifies the n-adic property P at time t.

Begin with the first condition. Identity Conditions do not need to entirely specify an entity’s nature. As Kim notes: “It is at least a respectable identity criterion for physical objects that they are the same just in case they are completely coincident in space and time. From this it does not follow that a physically object is essentially where and when it in fact is.” (Kim,1993, p.48) Now consider the Existence Condition. It tells us something about the modal character of events: events are necessarily exemplifications of properties by objects at times. Kim agrees: “There is an essentialist consequence I am willing to accept: events are, essentially, structured complexes of the sort the theory says they are. Thus, events could not be substances, properties, and so on.” (Kim,1993, p.49) But it doesn’t tell us about the modal character of the event in the following sense: it doesn’t say whether the event can occur without any, or even all, of the constitutive entities. Hence, it doesn’t tell us whether any of the constitutive entities are essential. From these observations once can conclude that the conjunction of (1) and (2) are consistent. Consistent, but informative? Although our brief discussion concludes with the observation that Kim avoids a serious criticism, the discussion has also raised the point that Kim has only given a partial specification of the nature of events. To fully specify the nature of events more needs to be said about the modal character of the constitutive entities. Here, intuition haggling comes into play. As Kim comments, on this score, “the general problem is still open.” (Kim,1993, p.49)

2. Davidson’s Theories of Events

Kim defends a relatively fine grained theory of events, but Davidson types events in a rather coarse way. Davidson has advanced two conditions. Initially, he proposed the principle that no two events can have exactly the same causes and effects. Then, after discarding this principle, he proposed that no two events can occur in exactly the same space-time zone, a view which Quine also advanced. The following sections evaluate both non-duplication principles. The discussion of Davidson’s work on events concludes with some general remarks about his influential argument for the existence of events from the use of action sentences.

a. The Causal Criterion

In “The Individuation of Events,” Davidson sets himself the task of determining a criterion for the sameness and difference of events, where events are understood as particular, non-repeatable occurrences. After considering and rejecting various proposals Davidson settles on the following:

(DT1) events are identical iff they have exactly the same causes and effects

Noting “an air of circularity” about this suggestion, he formulates (DT1) as the following:

(DT1′) (Ax)(Ay)(Az)[x = y iff (z caused x iff z caused y) and (x caused z iff y caused z)]

He then writes: “No identities appear on the right of the biconditional.” (Davidson, 1980, p.179) Well, this is true, but (DT’) is nonetheless circular because, of course, x,y and z are events. The circularity is not excisable either, for the gist of Davidson’s suggestion is that events can be individuated by their causes and effects, but what is a cause or effect, for Davidson, if not an event? Davidson claims (inter alia) that events e and e’ are identical only if e and e’ have all the same causes. But causes are events, and to determine if e and e’ have the same causes we need to determine whether each of e’s causes has all the same effects as some cause that e’ has. And among these effects are e and e’, the very events we are trying to distinguish or, alternately, identify. (Lombard, 1998)

Davidson later concedes that (DT1′) is indeed circular and, in light of this, moves to a theory that he had previously rejected in his discussion of Lemmon’s proposal at (Davidson, 1980, p.178).

b. The Spatiotemporal Criterion

Lemmon’s proposal was:

(DT2) events are identical iff they occur in the same space at the same time

Davidson had previously rejected (DT2) because “. . . I thought one might want to hold that two different events used up the same portion of space-time. . .” (Davidson, 1985, p.175) Davidson’s discussion of Lemmon’s proposal will come back to haunt him. In particular, Davidson provided an intriguing example. This example, many believe, is decisive against DT2, the proposal that Davidson himself continued to favor.

Doubt comes easily in the case of events, for it seems natural to say that two different changes can come over the whole of a substance at the same time. For example, if a metal ball becomes warmer during a certain minute, and during the same minute rotates through 35 degrees, must we say that these are the same event? (Davidson, 1980, p.178)

There are two ways of interpreting the example which the discussions of this example sometimes fails to distinguish. Let us begin with one specification, which we will discard as not even superficially challenging the view that there can be different events in the same spacetime location.

(i) The rotation, although occurring during the same minute, temporally precedes the warming. This interpretation takes “at the same time” in the above passage as meaning, “during the same minute.” This could happen if both events occur at, say, 2:51 and the rotating precedes the warming by, say, ten seconds. This seems to be Simone Evnine’s interpretation of the case. (Evnine, 1991, p. 29) This reading of the problem is much easier to solve because the events would be (at least partly) spatiotemporally distinct. Evnine’s interpretation was probably encouraged by the fact that rotating an object will cause the object to warm slightly, in such cases the rotating will precede the warming. It doesn’t seem useful to conceive of the example in this way because it is not, even at first blush, a potential counterexample to the sufficiency of spacetime location for sameness of event because the spacetime locations obviously differ, although they partly overlap.

(ii) It may be suggested that we forget that rotating causes slight warming, and suppose, for the sake of argument, that some additional warming of the object occurs at the same time as the object rotates. Although Davidson does not note this, we can fairly construe his puzzle as being about the additional warming and its having the same spatiotemporal location as the rotating. We have the strong intuition that the additional warming (hereafter “warming”) and the rotating are different events; this is the interesting interpretation of the case because it raises a potential counterexample to (DT2).

Construed in this way, the matter is quite tricky. First, a general observation. When things warm up their molecules randomly jiggle about. This is a different sort of molecular motion than is involved in a thing’s rotating. Given this observation, it might seem like (DT2) is not challenged by the example, after all. One might have the belief that, given this observation, there should be some way to prove that different, (but not completely distinct), spacetime regions are involved. It is natural to be skeptical that such a maneuver is available, however. The same molecules that are randomly jiggling about, because of the heating, are also revolving. Similarly, one cannot assign different spacetime regions to Joe’s Northeasterly walk, although it is, in a sense, both a Northerly walk and an Easterly walk. So this appears to be a counterexample to Davidson’s proposal.

Now, assuming that one is a proponent of DT2, how should one respond to Davidson’s own example of a top’s spinning and heating up? The proponent could swallow the unintuitive result that the spinning and the heating are very same event, saying that DT2 is still in the running, as a non-duplication, principle, because other leading theories of events also have counterintuitive results in some cases. For recall that Kim holds that

(KT) [x,P,t] exists (occurs) iff object x exemplifies the n-adic property p at time t.

On this view the stabbing of Caesar is a different event from the killing of Caesar because the properties are distinct (according to any plausible property theory). This strikes many as being too fine-grained; the killing and the stabbing are not distinct events, although being a killing and being a stabbing are distinct properties. Selecting a theory of events involves an all-things considered judgment that weighs the various strengths and weaknesses of the competing theories. If other non-duplication principles have equally counterintuitive results, then, ceteris paribus, DT2 is still in the running.

c. Events or Objects?

Any critical evaluation of Davidson’s theory of events should (at least briefly) consider the other influential objection to DT2. A common view is that objects are identical if and only if they occupy the same space-time location. And this is precisely DT2, causing some to believe that it gets the nature of events wrong. The objector’s intuition that events are not objects is grounded in the view that events are occurrences and objects are not. So, by Leibniz’ Law, events and objects are distinct. For Davidson’s position to be convincing he needs to explain away the strong intuition that events are occurrences and objects are not. Davidson is concerned with the conflation, and in light of it offers the following suggestion:

. . . events and objects may be related to locations in spacetime in different ways; it may be, for example, that events occur at a time in a place while objects occupy places at times.

Occupying the same portion of spacetime, event and object differ. One is an object which remains the same object through changes, the other a change in an object or objects. Spatiotemporal areas do not distinguish them, but our predicates, our basic grammar, our ways of sorting do. Given my interest in the metaphysics implicit in our language, this is a distinction I do not want to give up. (Davidson, 1980, pp.176)

It does seem correct that when we conceive of events, we generally think of changes, or occurrences. This feature seems to rest at the kernel of our event-concept.

Evnine’s reaction to Davidson’s claim is that “this attempt to resist the assimilation of events to objects will only work if we are able to make a convincing distinction between occurring and occupying which does not itself rely on the distinction between events and objects.” (Evnine, 1991, p. 31) If Evnine is suggesting that an account of events would be circular should it fail to cash out the notion of occurring in a way that doesn’t presuppose eventhood this is not an entirely decisive objection — the concept of an occurrence could simply be taken as primitive in an analysis. However, some would find it unattractive that an unexplained notion, and one that seems so close to the concept of an event, that of an occurrence, is doing all the work in dividing objects from events.

The following, more decisive objection to Davidson’s suggestion may occur to one: there is an intuitive distinction between occurring and occupying — we see events unfold and objects occupy spaces — but it is important to note that many, including Lewis and Kim, consider events, as a metaphysical category, to include some non-happenings or non-occurrence as well as all happenings. And Bennett notes that Davidson himself has “never said that events must be changes and . . . did once express tolerance for the idea of such movements as standing fast.'” (Bennett, 1988, p.176, quoting Davidson) Davidson’s manner of distinguishing events from objects, in so far as it involves the claim that events are essentially occurrences, seems, at least at first blush, incompatible with the view that events are non-occurrences. If Davidson believes that some non-occurrences are events then, in order to preserve his original point, in addition to telling us more about his occurrence/occupation distinction he needs to answer the question: if non-occurrences can be events why are such non-occurrences not objects? Perhaps the only manner of preserving the idea that events are an ontological kind is by renouncing the view that some non-occurrences are events.

At this point it is not clear if Davidson would be interested in doing so. Here I can only gesture in the direction of a possible difficulty. In his chapter on adverbial modification, Bennett suggests that Davidson needs to consider unchanging events in order to

. . . smooth the way for applying his theory to many uses of adverbs to modify not verbs but adjectives. ‘Marvin was icily silent’ entails ‘Marvin was silent’ and it would be uncomfortable for a Davidsonian to have to exclude such entailments from the scope of his theory. It would be better for him to say that the former sentence had the form: For some x: x was an episode of silence, and Marvin was the subject of x, and x was icy. (Bennett, 1988, p.76)

It is likely that the Davidsonian would be interested in applying his theory to uses of adverbs that modify adjectives. This attractive feature will have to be balanced against any desire to distinguish events from objects.

d. Davidson and Ontological Commitment to Events

Finally, in our discussion thus far the existence of events has been taken for granted, the issue being how to individuate them. But Davidson’s work on events is not limited to a defense of a non-duplication principle, indeed, he argues that we need to posit events (inter alia) to explain the meanings of statements employing adverbial modifiers. In “The Individuation of Events” he writes:

. . . without events it does not seem possible to give a natural and acceptable account of the logical form of certain sentences of the most common sorts; it does not seem possible, that is, to show how the meanings of such sentences depend upon their composition. The situation may be sketched as follows. it is clear that the sentence ‘Sebastian strolled through the streets of Bologna at 2 a.m.” entails “Sebastian strolled through the streets of Bologna”, and does so by virtue of its logical form. This requires, it would seem, that the patent syntactical fact that the entailed sentence is contained in the entailing sentence be reflected in the logical form we assign to each sentence. Yet the usual way of formalizing these sentences does not show any such feature: it directs us to consider the first sentence as containing an irreducibly three-place predicate ‘x strolled through y at t’ while the second contains the unrelated predicate ‘x strolled through y.’ (Davidson, 1980, p.166-7)

Davidson suggests that we solve this puzzle by accepting the intuitive idea that “there are things like falls, devourings, and strolls for sentences such as these to be about.” The sentence

Sebastian strolled though the streets of Bologna at 2 a.m.

has the following logical form:

There is an event x such that Sebastian strolled x, x took place in the streets of Bologna, and x was going on at 2 a.m.

This logical form yields the problematic entailments. Davidson’s view is that this correct logical form for action sentences motivates the ontological commitment to events because quantification over a kind of entity involves an ontological commitment to the existence of entities of that kind.

Is Davidson’s argument plausible? (i) Although it is plausible in standard cases, it is unclear how Davidson’s account can be extended to manage various sorts of nonstandard modifiers. How, for instance, will Davidson analyze (S)”Sebastian almost strolled” to reveal that (S) entails “Sebastian didn’t stroll”? (ii) Terry Horgan objects that Davidson’s account is counterintuitive because most adverb constructions do not contain explicit quantification over events. (Horgan,1978, p.47) Horgan is correct, and in light of this, Davidson’s argument is significantly weakened if there is an equally attractive or (more damaging yet) superior alternate account of adverbial modification available that does not involve quantification over events. In light of (i) we can add that a competing account would be even more attractive if it could handle non-standard cases of modification that Davidson’s theory, as it stands, does not.

Indeed, Horgan has formulated an alternate account that does not involve quantification over events. (Horgan, 1978) Romane Clark’s has proposed an extension of standard first order quantification theory to handle predicate modification. (Clark, 1970) Horgan’s alternate account involves modifying Clark’s proposal in such a way that it does not appeal to states of affairs, which are frequently taken as ontological kinds that are either ontologically equivalent to events or include events as a subcategory. Instead, Horgan appeals to set theory, which is already appealed to in formal semantics. In light of this should we apply Occam’s Razor and deny the existence of events? This move would be premature. Davidson has provided a number of other reasons to quantify over events: “I do not believe we can give a cogent account of action, of explanation, of causality, or of the relation between the mental and the physical unless we accept events as individuals.”(Davidson, 1980, p.165) If any of these other considerations are apt, then quantification over events would be in order even if the Horgan/Clark proposal is superior, on balance, to Davidson’s account. Should all of the other considerations fail, the issue will turn on the problem of adverbial modification and any decision on this matter surely requires a detailed treatment of the relative advantages and disadvantages of each of the proposals.

This concludes the treatment of Davidson’s extensive work on events. Davidson obviously takes events very seriously, going as far as arguing that there are a number of reasons to quantify over them. Lewis, in contrast, has a rather opportunistic approach to events: he fashions a theory of events primarily to suit the theoretical needs of his theories of explanation and causation. Nonetheless, Lewis’s theory is regarded by many as being important in its own right.

3. David Lewis’s Theory of Events

The core conception of Lewis’ theory of events is that an event is a property of spatiotemporal regions. (Lewis, 1986, p. 244) Properties, like events, are not basic to Lewis’ ontological scheme. Lewis holds that, “By a property I mean simply a class. To have the property is to belong to the class. All the things that have the property, whether actual or merely possible, belong…The property that corresponds to an event, then, is the class of all regions, at most one per world – where the event occurs.” (Lewis, 1986, 244) This being said, Lewis proposes the following necessary condition for some entity e’s being an event:

(LT) e is an event only if it is a class of spatio-temporal regions, both thisworldy (assuming it occurs in the actual world) and otherworldly.

(LT) is a rough, first approximation of a theory of events. It only tells us which entities are formally eligible to be events — only such entities that are a class of thisworldly (assuming it occurs) and otherworldly spacetime regions. Any member of the class that is the event “occurs”; the event, itself, understood as the class, doesn’t occur. This would be a kind of category mistake because classes, as abstract entities, don’t occur, although they can exist.

We can get an intuitive grip on (LT) by noting a certain commonality with the previously discussed Quine-Davidson account of events, which holds that events are individuated by their spacetime locations: no two events can occupy the same spacetime location. Recall that one criticism of this theory of events is that it treats the simultaneous rotating and the heating of the sphere as being, counterintuitively, the same event. It can be noted that, in contrast, this is not a drawback for Lewis’ account. The Quine-Davidson account identified an event with a certain spacetime region; Lewis, in contrast, can say that an occurrence of an event can be located in the same region that another event is, claiming that the events, as classes, are nonetheless distinct because there will be some member that is in class A that is not in class B, namely, an occurrence in some region that is a member of A and not B. (Here, it is important to bear in mind that the different regions may be at different possible worlds). So it is available to Lewis to characterize the well known case of the sphere that both heats and spins at t as involving two distinct events because the rotating includes otherworldly regions that the heating does not include. So far, so good for Lewis.

But before going further into the strengths and weaknesses of the theory, it is necessary to say more about the theory.

a. Preliminaries

A few preliminary remarks about the process of evaluating Lewis’ theory are useful to keep in mind. As noted, Lewis is an event-opportunist, if you will, letting his interest in explanation and especially, his counterfactual analysis of causation dictate his theory of events; Bennett captures Lewis’ route nicely:

There remains the less ambitious course of basing judgments about the essences of events on the counterfactual analysis of event causation: start with our firm beliefs about what causes what, put them into their counterfactual form in accordance with the analysis and draw conclusions about what the essences of events must be like if we are not to be convicted of too much error in our causal beliefs. That is the third of my three approaches, and it is the one that Lewis adopts. (Bennett, 1988, p.61)

At least at first blush, there seem to be nothing objectionable about this route into events. After all, even Bennett has urged that our ordinary notion of events is not a notion that leads to a useful philosophical theory of events. Why not, then, begin elsewhere? Perhaps Lewis is less ambitious, but commendably more realistic.

Given this route of entry into a theory of events it is natural that those who are interested in Lewis’ influential counterfactual theory of causation would have a particular interest in his theory of events. (Lewis, 1970) Of course, even with a strong antecedent interest in Lewis’s theories of causation and explanation, one might nonetheless turn away from Lewis’s theory if it entails Modal Realism. Those who reject Modal Realism would agree that the following desideratum is a requirement that Lewis’ theory of events must satisfy:

D1: That the theory of events be formulable within the ersatz framework.

As is well known, Lewis is operating with a controversial notion of “possible world” according to which possible worlds are as real as this world, some containing flesh and blood creatures, solid mountains and planets, and so forth. Such worlds are non-actual in the sense that they are not in our world, but they are equally real as our world is. A world, according to Lewis, is a big object containing all objects that exist there as parts. (Lewis, 1986, p.69) So a world with a talking donkey is a world that has a talking donkey as a literal part.

Ersatzers attempt to avoid commitment to Lewis’ possible worlds, reducing possible worlds to other, more acceptable (but in at least some cases still controversial) sorts of entities. (Armstrong, 1989; Loux, 1980; Plantinga, 1976) Ersatz views hold that instead of a plurality of worlds in the modal realist’s sense, there is only one concrete world, with various abstract entities representing ways that our world might have been. Such theories are actualist; they hold that the actual entities represent (in some sense of the word) possibilia. Ersatz views take the abstract-concrete distinction as being well understood, taking the world and the entities that occupy it as being concrete, and taking the representations of the concrete entities as being abstract. There is one correct abstract representation and there are many misrepresentations; the former represents the concrete world, the misrepresentations of the actual world represent the various ways the concrete world might have been.

There are many ersatzers, although not all of the same variety; in contrast, there was only one modal realist — Lewis himself. (For a variety of ersatz theories see Loux, 1980) So it seems fair to say that D1 must be met by Lewis’ theory of events. If it turns out otherwise, even if the theory is clear and consistent, there will be very few adherents to the account of events. The following section lays out the basic details of the theory, then attention focuses on whether D1 is indeed satisfied.

b. The Details of Lewis’ Theory

We have investigated Lewis’s claim that some entity is an event only if it is a class of spatio-temporal regions, both thisworldly and otherworldy. We now turn to four more features of the theory.

i. A Non-Duplication Principle

From (LT), the axiom of extensionality, (which holds that two sets are identical if and only if they have all the same members) and the predicate logic, we can derive a non-duplication principle for Lewis events. Recalling that Lewis events are classes we can say:

(NP) (x)(y)(where x and y are events, x and y are different events if and only if there is at least one member of x that is not a member of y, (or vice versa)).

It is important to note that although (NP) may judge two events to be different, it is consistent with (NP) that they not be entirely distinct in the sense that one event may be a proper subset of another. Here the term “different” is used in the sense of “non-identical.” Think of “different” as meaning, “at least partly distinct.”

ii. Regions

Lewis outlines several features of the operative notion of spacetime regions: “An event occurs in a particular spatiotemporal region. Its region might be small or large; there are collisions of point particles and there are condensations of galaxies, but even the latter occupy regions small by astronomical standards.” (Lewis,1983, p. 243) Still, there are certain specifications on what can count as a region, namely, that no event occur in two different regions of a world and that an event occupy an entire region; in other words, an event can’t occur in any proper part of a region, although parts of it can. (Lewis, 1983, p.243) Lewis leaves it open whether any region is a region in which an event can occur, writing: “A smallish, connected, convex region may seem a more likely candidate than a widely scattered part of spacetime. But I leave this question unsettled, for lack of clear cases.” (Lewis, 1983, p. 243). It is not clear that there really aren’t cases that decide the issue: consider the televising of the Superbowl, it seems scattered throughout the regions of multiple homes, bars, and so forth. This seems a clear case of a very scattered event, although every part of the event is spatially connected.

Lewis says that his theory of events relies on the following assumption:

(A) Regions are individuals that are parts of possible worlds.

He admits that this is controversial but says that he need not defend (A) in his present discussion of events. Given the aforementioned Modal Realist view of possible worlds, we can appreciate the controversial nature of (A).

Now let us ask, can assumption (A) be recast in terms of an ersatz conception of possible worlds? It appears so; indeed, we will now see that desideratum (D1) can be met. That is, the theory of events, including assumption (A), can be recast in terms of an ersatz theory of possible worlds. This point will be illustrated by using a version of linguistic ersatzism.

“Linguistic ersatzism” (LE) is the generic name for the family of modal theories that takes worlds as being constructions out of words of a language; in broad strokes, possibilities are represented via the meanings that words are given. For instance, a typical LE view takes worlds as being maximal consistent sets of sentences (where a set S is maximal iff for every sentence B, S contains either it or its negation, and S is consistent iff it is possible for all the members of S to be true together). Notice that in contrast to Modal Realism, the building blocks of this typical linguistic ersatz view involve relatively uncontroversial entities (sentences and sets of things). (Of course, someone who appeals to ersatz worlds will have her own ontological scheme that is to account for such uncontroversial entities. The particular details will differ – the important thing is that ersatzism, unlike Modal Realism, does not prima facie require anything metaphysically ornate). So let us assume an ersatz theory along the above, generic, lines. As Lewis suggests, the linguistic ersatzer can take a possible individual as a maximal consistent set of open sentences. (Lewis, 1986, p.149) For instance consider what open sentences correspond to Ersatz Hunter Thompson:

Ersatz Thompson: {x is 6′ tall, x is the author of Fear and Loathing in Las Vegas, x is in LA on 4/5/77, …}

The set is consistent because it is possible for there to be an object such that all of the open sentences are true of it. It is maximal because for every open sentence with only “x” as the free variable the set contains either the sentence or its negation. We could do the same for regions. In this way regions are not mereological parts of possible worlds but are instead, subsets of ersatz possible worlds taken as sets. So (A) can be modified this way:

(A) Regions are individuals that are subsets of possible worlds.

where “possible worlds” refers to ersatz worlds, e.g., on the view considered here, maximally consistent sets of sentences. We can also understand the following condition

(LT) e is an event only if it is a set of spatio-temporal regions, both thisworldy (assuming it occurs in the actual world ) and otherworldly

As involving sets containing sets (regions according to (A), as members).

Finally, we can note that although Lewis reduces events to properties, and properties to classes of actual and otherworldy regions, the ersatzer need not adopt Lewis’ conception of properties to adopt (LT), but can just skip the intermediate step of Lewis’ reduction, taking events as classes of regions. Why is this important? First, the ersatzer may reject Lewis’ account of properties. Second, doing so avoids circularity worries for the proponents of ersatz theories that employ properties in constructing possible worlds (e.g., Armstrong, Plantinga). (Armstrong, 1989; Plantinga,1976) In any case, even if one wants or needs to adopt Lewis’ conception of properties, perhaps the direction of explanation could still be preserved if one adopts two conceptions of properties as Lewis does, one sparse and one abundant, employing the sparse conception in formulating the modal theory. But the ersatzer need not even do this.

iii. Event Essences

Lewis rejects the view that events are structured entities constituted by an essential time, object and property. Consider the nominalization “the death of Socrates at t”, while we may pick out the event, Socrates’ death, by this nominalization, it is conceivable that the very same death happened sooner. Now it might be reasonable, in this case, to say that the very same event couldn’t have had a different (so called) “constitutive” individual or property, but there seem to be other cases suggesting that the “constitutive” property and individual are also problematic: e. g, the firing squad shooting was done by Ned but it could have been done by Ted; the strolling could have been a striding. But this is not to say that Lewis is claiming that events don’t have essences; it is just that events aren’t structured in a Kimean way, rather, the essences are read off from the similarity between the members. This latter point is perhaps best illustrated by way of example: according to Lewis an event is essentially a change if and only if for each region something changes in it; an event essentially involves Socrates if and only if Socrates (more specifically, a temporal segment of Socrates’ counterpart) is present in each region; an event essentially occurs in spacetime region R if and only if each member is either R or a counterpart of R, and so on. (Lewis, 1983, p.248-9)

Essences are not to be mainly extrinsic, such as, for instance, an event that is essentially a widowing, nor are they to be overly varied disjuncts, that is, essences like, “an event that is essentially a walking and another that is essentially a talking.” Lewis’ rationale for these requirements stems from his interests in tailoring a theory of events to his accounts of explanation and counterfactuals. For instance, he rules out mainly extrinsic events, using the (purported) event of the widowing of Xantippe as an example, on the following grounds:

They offend our sense of economy. We would seem to count the death of Socrates twice over in our inventory of events. . .(2) they stand in relations of non-causal counterfactual dependence to those genuine events in virtue of which they occur. Without the death of Socrates the widowing of Xanthippe would not have occurred. (She might still have been widowed sooner or later. But recall that the widowing of Xanthippe, as I defined it, had its time essentially.). . .(3) They also stand in relations of non-causal counterfactual dependence to other genuine events, events logically independent of them. Without the widowing of Xanthippe, the subsequent cooling of Socrates’ body would not have occurred. (For in that case he would not have died when he did.) (Lewis, 1983, p.263)

iv. Fine-Grainedness and Logical Relations Between Events

The needs of Lewis’ counterfactual analysis of causation motivate Lewis to adopt a fine-grained notion of event. Suppose that John greets someone, and being rather tense, he says hello loudly. If he wasn’t tense he would have merely said hello softly. Lewis claims that two events of greeting occur:

John says “Hello.” He says it rather too loudly. Arguably there is one event that occurs which is essentially a saying “hello” and only accidentally loud; it would have occurred even if John had spoken softly. Arguably there is a second event that implies, but is not implied by, the first. This event is essentially a saying “Hello” loudly, and it would not have occurred if John had said “Hello” but said it softly. Both events actually occur, but the second could not have occurred without the first. (Lewis, 1983, p.255)

On this view two events of greeting occur, one with a richer essence than the other. The richer event, call it e1, is essentially a loud greeting and would not have occurred if the greeting was soft, e2 is essentially a greeting and is only accidentally loud. It would have occurred if the greeting was soft. As with Kim’s theory, many of those interested in a theory of events that tracks our ordinary event concept would find this result too fine-grained. From the vantage point of Lewis’ interests in his theory this unintuitive result is not a serious problem — again, capturing our ordinary event concept is not Lewis’ stated project. Lewis makes his motivation for the fine-grainedness clear in the following passage:

The real reason why we need both events. . . is that they differ causally. An adequate causal account of what happens cannot limit itself to either one of the two. The first event (the weak one) caused Fred to greet John in return. The second one (the strong one) didn’t. If the second one had not occurred — if John hadn’t said “Hello” so loudly — the first one still might have, in which case Fred still would have returned John’s greeting. Also there is a difference on the side of causes: the second event was, and the first wasn’t, caused inter alia by John’s state of tension. (Lewis, 1983, p. 255)

The rather counterintuitive fine-grainedness seems to be a necessary evil. As it happens, the events are regarded as being different in order that the theory of events can satisfy the needs of Lewis’s theory of causation. But doing so raises a problem: to regard the events as being distinct, when coupled with Lewis’ counterfactual theory of causation, would yield the undesirable result that the first event causes the second. This would be undesirable because the one event implies the other and intuitively, logically related events do not stand in causal relations with each other. Lewis’ way of handling this case is to regard the two events as being different, but not distinct, and to claim that non-distinct events do not stand in causal relations.

4. Conclusion

The selection of a theory of events is not a matter which one decides independently of one’s other metaphysical interests and commitments. In the context of our discussion, we have noted a number of relative strengths and weaknesses which can help to guide the reader’s own selection of a theory of events. Of course, further philosophical developments may yield a theory of events which is more attractive than the approaches discussed here. And there are some truly worthwhile, although less-influential, theories of events that have not been discussed in this article.

5. References and Further Reading

  • Armstrong, David. A Combinatorial Theory of Possibility, Cambridge: Cambridge University Press, 1989.
  • Bennett, Jonathan Francis. Events and Their Names. Indianapolis: Hackett Pub. Co., 1988.
  • Bennett, Jonathan Francis. “Precis of Events and Their Names,” Philosophy and Phenomenological Research 51 (1991): 625-628.
  • Brand, Myles. “Identity Conditions for Events.” American Philosophical Quarterly 14 (1997): 329-337.
  • Casati, Roberto, Varzi, Achille, “Events,” The Stanford Encyclopedia of Philosophy (Fall 2002 Edition), Edward N. Zalta (ed.), URL = http://plato.stanford.edu/archives/fall2002/entries/events/.
  • Clark, Romane. “Concerning the Logic of Predicate Modifiers,” Noûs. 4 (1970): 311-335.
  • Davidson, Donald. Essays on Actions and Events. New York: Oxford University Press, 1980.
  • Davidson, Donald. “Reply to Quine on Events,” In Actions and Events: Perspectives on the Philosophy of Donald Davidson. eds. Lepore, E. and B. Mc Laughlin. Oxford: Basil Blackwell, pp. 172-176, 1985.
  • Evnine, Simone. Donald Davidson. Stanford: Stanford Univ. Press, 1991.
  • Horgan, Terence. “The Case Against Events,” Philosophical Review 87 (1978): 28-47.
  • Kim, Jaegwan. Supervenience and Mind: Selected Philosophical Essays. New York: Cambridge University Press, 1993.
  • Lewis, David. Counterfactuals. Oxford: Blackwell, 1973.
  • Lewis, David. “New Work for a Theory of Universals,” Australasian Journal of Philosophy 61 (1983): 343-377.
  • Lewis, David. Philosophical Papers. Oxford: Oxford University Press, 1983.
  • Lewis, David. On the Plurality of Worlds. Oxford: Basil Blackwell, 1986.
  • Lawrence Lombard, “Ontologies of Events” in Macdonald, Cynthia and Stephen Laurence, Eds. Contemporary Readings in the Foundations of Metaphysics. Oxford: Blackwell, 1998.
  • Loux, Michael. The Possible and the Actual: Readings in the Metaphysics of Modality. New York: Cornell University Press, 1980.
  • Oliver, Alex. “The Metaphysics of Properties,” Mind 105 (1996): 1-80.
  • Plantinga, A., 1976, “Actualism and Possible Worlds,” Theoria 42.
  • Quine, W.V.O. “Events and Reification” in Actions and Events: Perspectives on the Philosophy of Donald Davidson. eds. Lepore, E. and B. Mc Laughlin. Oxford: Basil Blackwell, pp. 162-171, 1985.

Author Information

Susan Schneider
Email: Susan@moravian.edu
Moravian College
U. S. A.

The Brain in a Vat Argument

The Brain in a Vat thought-experiment is most commonly used to illustrate global or Cartesian skepticism. You are told to imagine the possibility that at this very moment you are actually a brain hooked up to a sophisticated computer program that can perfectly simulate experiences of the outside world. Here is the skeptical argument. If you cannot now be sure that you are not a brain in a vat, then you cannot rule out the possibility that all of your beliefs about the external world are false. Or, to put it in terms of knowledge claims, we can construct the following skeptical argument. Let “P” stand for any belief or claim about the external world, say, that snow is white.

  1. If I know that P, then I know that I am not a brain in a vat
  2. I do not know that I am not a brain in a vat
  3. Thus, I do not know that P.

The Brain in a Vat Argument is usually taken to be a modern version of René Descartes’ argument (in the Meditations on First Philosophy) that centers on the possibility of an evil demon who systematically deceives us. The hypothesis was the premise behind the 1999 movie The Matrix, in which the entire human race has been placed into giant vats and fed a virtual reality at the hands of malignant artificial intelligence (our own creations, of course).

One of the ways some modern philosophers have tried to refute global skepticism is by showing that the Brain in a Vat scenario is not possible. In his Reason, Truth and History (1981), Hilary Putnam first presented the argument that we cannot be brains in a vat, which has since given rise to a large discussion with repercussions for the realism debate and for central theses in the philosophy of language and mind. As we shall see, however, it remains far from clear how exactly Putnam’s argument should be taken and what it actually proves.

Table of Contents

  1. Skepticism and Realism
  2. Putnam’s argument
  3. Reconstructions of the Argument
  4. Brains in a Vat and Self-Knowledge
  5. Significance of the Argument
  6. References and Further Reading

1. Skepticism and Realism

Putnam’s argument is designed to attack the possibility of global skepticism that is implied by metaphysical realism. Putnam defines metaphysical realism as the view which holds that “…the world consists of some fixed totality of mind-independent objects. There is exactly one true and complete description of ‘the way the world is.’ Truth involves some sort of correspondence relation between words or thought-signs and sets of things.” (1981, 49). This construal brings out the idea that for metaphysical realists, truth is not reducible to epistemic notions but concerns the nature of a mind-independent reality. This characterization finds an accurate target in those scientific materialists who believe in a “ready-made” world of scientific kinds independent of human classification and conceptualization. There are, however, many self-professed metaphysical realists who are not happy with Putnam’s definition; it saddles the realist with the classical difficulty of matching words to objects and of providing for a correspondence relation between sentences and mind-independent “facts.” The metaphysical realist is forced to construe her thesis ontologically, as an adherence to some fixed furniture of objects in the world, which ignores the possibility that ontological commitment may be specified not as a commitment to a set of entities but rather to the truth of a class of sentences or even of whole theories of the world.

One proposal is to construe metaphysical realism as the position that there are no a priori epistemically derived constraints on reality (Gaifman, 1993). By stating the thesis negatively, the realist sidesteps the thorny problems concerning correspondence or a “ready made” world, and shifts the burden of proof on the challenger to refute the thesis. One virtue of this construal is that it defines metaphysical realism at a sufficient level of generality to apply to all philosophers who currently espouse metaphysical realism. For Putnam’s metaphysical realist will also agree that truth and reality cannot be subject to “epistemically derived constraints.” This general characterization of metaphysical realism is enough to provide a target for the Brains in a Vat argument. For there is a good argument to the effect that if metaphysical realism is true, then global skepticism is also true, that is, it is possible that all of our referential beliefs about the world are false. As Thomas Nagel puts it, “realism makes skepticism intelligible,” (1986, 73) because once we open the gap between truth and epistemology, we must countenance the possibility that all of our beliefs, no matter how well justified, nevertheless fail to accurately depict the world as it really is. [See Fallibilism.] Donald Davidson also emphasizes this aspect of metaphysical realism: “metaphysical realism is skepticism in one of its traditional garbs. It asks: why couldn’t all my beliefs hang together and yet be comprehensively false about the actual world?” (1986, 309)

The Brain in a Vat scenario is just an illustration of this kind of global skepticism: it depicts a situation where all our beliefs about the world would presumably be false, even though they are well justified. Thus if one can prove that we cannot be brains in a vat, by modus tollens one can prove that metaphysical realism is false. Or, to put it in more schematic form:

  1. If metaphysical realism is true, then global skepticism is possible
  2. If global skepticism is possible, then we can be brains in a vat
  3. But we cannot be brains in a vat
  4. Thus, metaphysical realism is false (1,2,3)

This article focuses mostly on claim (3), although some philosophers question (2), believing there may be ways of presenting the skeptical thesis even while granting Putnam’s argument.

2. Putnam’s argument

The major premise that underwrites Putnam’s argument is what he calls a “causal constraint” on reference:

(CC) A term refers to an object only if there is an appropriate causal connection between that term and the object

To understand this criterion we need to unravel what is meant by “appropriate causal connection.” If an ant were to accidentally draw a picture of Winston Churchill in the sand, few would claim that the ant represented or referred to Churchill. Similarly, if I accidentally sneeze “Genghis Khan,” just because I verbalize the words does not mean that I refer to the infamous Mongolian conqueror, for I may have never heard of him before. Reference cannot simply be an accident: or, as Putnam puts it, words do not refer to objects “magically” or intrinsically. Now establishing just what would count as necessary and sufficient conditions for a term to refer to an object turns out to be tricky business, and there have been many “causal theories” of reference supplied to do just that. Many have taken the virtue of Putnam’s constraint (CC) to be its generality: it merely states a necessary condition for reference and need not entail anything more controversial. Sometimes it is claimed that endorsing (CC) commits you to semantic externalism but the issues are more complex, since many internalists (for example, John Searle) appear to agree with (CC). The relation between externalism and Putnam’s argument will be considered in more detail later (in the section “Brains in a Vat and Self-Knowledge”).

With the causal constraint established, Putnam goes on to describe the Brain in a Vat scenario. It is important to note exactly what the thought-experiment is, for failure to appreciate the ways in which Putnam has changed the standard skeptical nightmare has lead to many mistaken “refutations” of the argument. The standard picture has a mad-scientist (or race of aliens, or AI programs…) envatting brains in a laboratory then inducing a virtual reality through a sophisticated computer program. On this picture, there is an important difference between viewing the brains from a first or third person viewpoint. There is the point of view of the brains in a vat (henceforth BIVs), and the point of view of someone outside the vat. Clearly when the mad-scientist says “that is a brain in a vat” of a BIV, he would be saying something true, no matter the question of what the BIV means when it says it is a brain in a vat. Furthermore, presumably a BIV could pick up referential terms by borrowing them from the mad-scientist. Thus when a BIV says “there is a tree” referring to a simulation of a tree, it would be saying something false, since its term “tree,” picked up from the mad-scientist to refer to an actual tree, in fact refers to something else, like his sense-impressions of the tree. Putnam thus stipulates that all sentient beings are brains in a vat, hooked up to one another through a powerful computer that has no programmer: “that’s just how the universe is.” We are then asked, given at least the physical possibility of this scenario, whether we could say or think it. Putnam answers that we could not: the assertion “we are brains in a vat” would be sense self-refuting in the same way that the general statement “all general statements are false” is.

The thought-experiment stipulates that brains in a vat would have qualitatively identical thoughts to those unenvatted; or at least they have the same “notional world.” The difference is that in the vat-world, there are no external objects. When a BIV says “There is a tree in front of me,” there is in fact no tree in front of him, only a simulated tree produced by the computer’s program. However, if there are no trees, there could be no causal connection between a BIV’s tokens of trees and actual trees. By (CC), “tree” does not refer to tree. This leads to some interesting consequences.

A standard reading of a BIV’s utterance of “There is a tree” would have the statement come out false, since there are no trees for the BIV to refer to. But that would be only assuming that “tree” refers to tree in the BIV’s language. If “tree” does not refer to tree, then the semantic evaluation of the sentence becomes unclear. Sometimes Putnam suggests that a BIV’s tokens refer to images or sense-impressions. At other times he agrees with Davidson who claims that the truth-conditions would be facts about the electronic impulses of the computer that are causally responsible for producing the sense-impressions. Davidson has a good reason to choose these truth-conditions: through the principle of charity he would want to interpret the BIV’s sentences to come out true, but he would not want the truth-conditions to be phenomenalistic. Thus it turns out that when a BIV says “There is a tree in front of me,” he is saying something true—if in fact the computer is sending the right impulses to him.

Another suggestion is that the truth-conditions of the BIV’s utterances would be empty: the BIV asserts nothing at all. This seems to be rather strong, however: surely the BIV would mean something when it utters “There is a tree in front of me,” even if its statement gets evaluated differently because of the radical difference of its environment. One thing is clear, however; a BIV’s tokening of “tree” or any other such referential term would have a different reference assignment from that of a non-envatted person’s tokenings. According to (CC), my tokening of “tree” refers to trees because there is an appropriate causal link between it and actual trees (assuming of course I am not a BIV). A brain in a vat however would not be able to refer to trees since there are no trees (and even if there were trees there would not be the appropriate causal relation between its tokenings of “tree” and real trees, unless we bring back the standard fantasy and assume it picked up the terms from the mad scientist). Now one might be inclined to think that because there are at least brains and vats in the universe, a BIV would be able to refer to brains and vats. But the tokening of “brain” is never actually caused by a brain except only in the very indirect sense that its brain causes all of its tokenings. The minimal constraint (CC) then will ensure that “brain” and “vat” in the BIV language does not refer to brain and vat.

We are now in a position to give Putnam’s argument. It has the form of a conditional proof :

  1. Assume we are brains in a vat
  2. If we are brains in a vat, then “brain” does not refer to brain, and “vat” does not refer to vat (via CC)
  3. If “brain in a vat” does not refer to brains in a vat, then “we are brains in a vat” is false
  4. Thus, if we are brains in a vat, then the sentence “We are brains in a vat” is false (1,2,3)

Putnam adds that “we are brains in a vat” is necessarily false, since whenever we assume it is true we can deduce its contradictory. The argument is valid and its soundness seems to depend on the truth of (3), assuming (CC) is true. One immediate problem is determining the truth-conditions for “we are brains in a vat” on the assumption we are brains in a vat, speaking a variation of English (call it Vatese). From (CC) we know that “brains in a vat” does not refer to brain in a vat. But it doesn’t follow from this alone that “we are brains in a vat” is false. Compare:

(A) “Grass is green” is true iff grass is green
(B) “Grass is green” is true iff one has sense-impressions of grass being green
(C) “Grass is green” is true iff one is in electronic state Q

On the assumption that we are brains in a vat, (CC) would appear to rule out (A): “grass” does not refer to grass since there is no appropriate causal connection between “grass” and actual grass. Thus the truth-conditions for the statement “grass is green” would be nonstandard. If we take them to be those captured in (B), then “Grass is green” as spoken by a brain in a vat would be true. Consequently the truth-conditions for “we are brains in a vat” would be captured by (D):

(D) “We are brains in a vat” is true iff we have sense impressions of being brains in a vat

On this construal of the truth-conditions, “We are brains in a vat” as uttered by a BIV would presumably be false, since a brain in a vat would not have sense-impressions of being a brain in a vat: recall a BIV’s notional world would be equivalent to the unenvatted, and he would appear to himself to be a normally embodied person with a real body etc. However, if we follow Davidson and adopt the truth-conditions of (C), we would have the following:

(E) “We are brains in a vat” is true if and only if we are in electronic state Q

Now it is no longer clear that “We are brains in a vat” is false: for if the brain is in the appropriate electronic state, the truth-conditions could well be fulfilled. There are other reconstructions of the argument that do not depend on specifying the truth-conditions of a BIV’s utterances. What is important is the idea that the truth-conditions would be non-standard, as in:

(F) “We are brains in a vat” is true if and only if we are BIVs*

Now since being a BIV* (whatever that is) is not the same as being a BIV, we can construct the following conditional proof argument:

  1. Assume we are BIVs
  2. If we are BIVs, “we are brains in a vat” is true if and only we are BIVs*
  3. If we are BIVs, we are not BIVs*
  4. If we are BIVs, then “we are BIVs” is false (2,3)
  5. If we are BIVs, then we are not BIVs (4)

Notice that the argument leaves the antecedent of the conditional open, what Wright calls an “open subjunctive.” We do not want the premises of the argument to be counterfactual, following the train of thought “If we were brains in a vat, the causal constraint would entail that my words ‘brain in a vat’ would come to denote something different, BIV*.” For then we would be assuming that we are not brains in a vat, when that is what the argument is supposed to prove.

Nevertheless, there are still problems with the appeal to disquotation to get us from (4) to (5). Even if, by virtue of the causal constraint, the sentence “We are BIVs” is false, an intuitive objection runs that this change of language should not entail falsity of the proposition that we are brains in a vat. As we shall see, many recent reconstructions of Putnam’s argument are sensitive to this point and try to account for it in various ways. In the following section, I shall focus on two of the more popular reconstructions of the argument put forward by Brueckner (1986) and Wright (1994).

3. Reconstructions of the Argument

Brueckner (1986) argues that even if we grant the reasoning of the above argument up to (4), the most the argument proves is that if we are brains in a vat, then the sentence “We are brains in a vat” (as uttered by a BIV) is false, and that if we are not brains in a vat, then “We are brains in a vat” is false (now expressing a different false proposition). If correct then the argument would prove that whether or not we are brains in a vat, “we are brains in a vat” expresses some false proposition. Assuming the truth-conditions of a BIV would be those captured in (D) we could then devise the following constructive dilemma type argument:

  1. Either I am a BIV or I am not a BIV
  2. If I am a BIV, then “I am a BIV” is true iff I have sense impressions of being a BIV
  3. If I am a BIV, then I do not have sense-impressions of being a BIV
  4. If I am a BIV, then “I am a BIV” is false (2,3)
  5. If I am not a BIV, then “I am a BIV” is true iff I am a BIV
  6. If I am not a BIV, then “I am a BIV” is false (5)
  7. “I am a BIV” is false (1, 4, 6)

If “I am a BIV” expresses the proposition that I am a brain in a vat, and we know from the argument that “I am a BIV” is false, then it follows that I know I am not a brain in a vat, thus refuting premise (2) of the skeptical argument. However, can I know that “I am a brain in a vat” expresses the proposition that I am a brain in a vat? If I am a brain in a vat, then “I am a brain in a vat” would, via the causal constraint on reference, express some different proposition (say, that I am a brain in a vat in the image). So even if “I am a BIV” is false whether or not I am a BIV, I might not be in the position to identify which false proposition I am expressing, in which case I cannot claim to know that my sentence “I am not a brain in a vat” expresses the true proposition that I am not a brain in a vat.

Some philosophers have gone even further, claiming that if the argument ends here, it actually can be used to strengthen skepticism. The metaphysical realist can claim that there are truths not expressible in any language: perhaps the proposition that we are brains in a vat is true, even if no one can meaningfully utter it. As Nagel puts it:

If I accept the argument, I must conclude that a brain in a vat can’t think truly that it is a brain in a vat, even though others can think this about it. What follows? Only that I cannot express my skepticism by saying “Perhaps I am a brain in a vat.” Instead I must say “Perhaps I can’t even think the truth about what I am, because I lack the necessary concepts and my circumstances make it impossible for me to acquire them!” If this doesn’t qualify as skepticism, I don’t know what does. (Nagel, 1986)

Putnam makes it clear that he is not merely talking about semantics: he wants to provide a metaphysical argument that we cannot be brains in a vat, not just a semantic one that we cannot assert we are. If he is just proving something about meaning, it is open for the skeptic to say that the bonds between language and reality can diverge radically, perhaps in ways we can never discern.

There is yet another worry with the argument, centering once again on the appropriate characterization of the truth-conditions in (2). If one claimed in response to the above objection that in fact I do know that “I am a brain in a vat” expresses the proposition that I am a brain in a vat (whether or not I am a brain in a vat), one may have in mind some general disquotation principle:

(DQ): “Grass is green” is true iff grass is green

If it is an a priori truth that any meaningful sentence in my language homophonically disquotes, then we can a priori know that the following is also true:

(F): “I am a brain in a vat” is true iff I am a brain in a vat

Here is the obvious problem: if we are not to beg the question, we have to be open to the possibility that we are brains in a vat, speaking Vatese. Then we would get:

(G): If I am a BIV, then “I am a BIV” is true iff I am a brain in a vat.

However, (G) gives us truth-conditions that differ from premise (2) of Brueckner’s argument:

(2) If I am a BIV, then “I am a BIV” is true iff I have sense-impressions of being a BIV

If we assume (CC), then (G) and (2) are inconsistent, since the term “BIV” would refer to distinct entities. No contradiction ensues if we assume we are speaking in English: for then (G) would presumably be false (appealing to CC). But the problem is that we cannot beg the question by assuming we are speaking in English: if we assume that, then we know in advance of any argument that we are not speaking in Vatese and hence that we are not brains in a vat. But if we do not know which language we are speaking in, then we cannot properly assert (2).

One response to this is to formulate two different arguments, one whose meta-language is in English, the other whose meta-language is in Vatese, and show that distinct arguments can be run to prove that “I am a BIV” is false. Even if successful, however, these arguments run into the objection canvassed before: if I do not know which language I am speaking in, even if I know “I am a brain in a vat” is false, I do not know which false proposition I am expressing and hence cannot infer that I know that I am not a brain in a vat.

Similar worries plague Crispin’s Wright’s popular formulation of the argument (1994):

  1. My language disquotes
  2. In BIVese, “brains in a vat” does not refer to brains in a vat
  3. In my language, “brains in a vat” is a meaningful expression
  4. In my language, “brains in a vat” refers to brains in a vat
  5. My language is not BIVese (2,4)
  6. If I am a BIV, then my language is BIVese
  7. I am not a BIV

There are several virtues to this reconstruction: first of all, it gets us to the desired conclusion without specifying what the truth-conditions of a BIV’s utterances would be. They could be sense-impressions, facts about electronic impulses, or the BIV’s sentences may not refer at all. All that is needed for the argument is that there is a difference between the truth-conditions for a BIV’s sentences and those of my own language. The other virtue of the argument is that it clearly brings out the appeal to the disquotation principle that was implicit in the previous arguments. If indeed (DQ) is an a priori truth, as many philosophers maintain, and if we accept (CC) as a condition of reference, the argument appears to be sound. So have we proven that we are not brains in a vat?

Not so fast. The previous objection can be restated: if I do not yet know whether or not I am a brain in a vat before the argument is completed, I do not know which language I am speaking (English or Vatese). If I am speaking Vatese, then so long as it is a meaningful language, I can appeal to disquotation to establish that “brains in a vat” does refer to brains in a vat. But this contradicts premise (2). The problem seems to be that (DQ) is being used too liberally. Clearly we do not want to say that every meaningful term disquotes in the strong sense required for reference. If so, we could take it to be an a priori truth that “Santa Claus” refers to Santa Claus. But “Santa Claus” does not refer to Santa Claus, since there is no Santa Claus. We could introduce a new term “pseudo-reference” and hold that “Santa Claus” pseudo-refers to Santa Claus, and then attach further conditions on reference in order to establish what it would take for the term to truly refer. One proposal (Weiss, 2000) is the following principle:

W: If “x” psuedo-refers to x in L, and x exists, then “x” refers to x in L

Thus, given the disquotation principle we know that in my language “Santa Claus” pseudo-refers to Santa Claus. Supposing to the joyful adulation of millions that Santa Claus is discovered to actually exist, then given (W) “Santa Claus” refers to Santa Claus. Now this also seems too simplistic: as Putnam pointed out, in order for a term to refer to an object we must establish more than the mere existence of the object. There has to be the appropriate causal relation between the word and object, or we are back to claiming that in accidentally sneezing “Genghis Khan” I am referring to Genghis Khan. But whether we accept (W) or attach stronger conditions to reference, it is clear that any such move would make Wright’s formulation invalid. For then we would have:

  1. My language disquotes
  2. In BIVese, “brains in a vat” does not refer to brains in a vat (CC)
  3. In my language “brain in a vat” is a meaningful expression
  4. In my language, “brain in a vat” pseudo-refers to brains in a vat (DQ)
  5. My language is not BIVese (2,4)
  6. If I am a BIV, then my language is BIVese
  7. I am not a BIV

(5) no longer follows from (2) and (4) given the ambiguity of “refers” in (2) and (4). If on the other hand we insist on a univocal sense of reference, then either (2) will contradict the (DQ) principle, or we are not entitled to appeal to (1), insofar as it would beg the question that we are speaking English, a language for which the (DQ) principle applies.

4. Brains in a Vat and Self-Knowledge

Ted Warfield (1995) has sought to provide an argument that we are not brains in a vat based on considerations of self-knowledge. He defends two premises that seem reasonably true, and then he argues for the desired metaphysical conclusion:

  1. I think that water is wet
  2. No brain in a vat can think that water is wet
  3. Thus, I am not a brain in a vat (2.3)

Premise (1) is said to follow from the thesis of privileged access, which holds that we can at least know the contents of our own occurring thoughts without empirical investigation of our environment or behavior. Warfield’s strategy is to present each premise as non-question begging against the global skeptic, in which case at no point can we appeal to the external environment as justification. Since the thesis of privileged access is said to be known a priori whether we are brains in a vat or not, premise (1) can be known non-empirically.

Premise (2) is a little trickier to establish non-empirically. The main argument for it is by analogy with other arguments in the literature that have been used to establish content externalism. The main strategy is derived from Putnam’s Twin Earth argument (1975): imagine a world that is indistinguishable from Earth except for one detail: the odorless, drinkable liquid that flows in the rivers and oceans is composed of the chemicals XYZ and not H20. If we take Oscar on Earth and his twin on Twin-earth, Putnam argues that they would refer to two different substances and hence mean two different things: when Oscar says “pass me some water” he refers to H20 and means water, but when Twin-Oscar says “pass me some water” he refers to XYZ and thus means twin-water. As Tyler Burge and others have pointed out, if the meaning of their words are different, then the concepts that compose their beliefs should differ as well, in which case Oscar would believe that water is wet whereas Twin-Oscar would believe that twin-water is wet. While Putnam’s original slogan was “meanings just ain’t in the head,” the argument can be extended to beliefs as well: “beliefs just ain’t in the head,” but depend crucially on the layout of one’s environment.

If we accept content externalism, then the motivation for (2) is as follows. In order for someone’s belief to be about water, there must be water in that person’s environment: externalism rejects the Cartesian idea that one can simply read off one’s belief internally (if so then we would have to say that Oscar and his twin have the same beliefs since they are internally the same). So it doesn’t seem possible that a BIV could ever come to hold a belief about water (unless of course he picked up the term from the mad-scientist or someone outside the vat, but here we must assume again Putnam’s scenario that there is no mad-scientist or anyone else he could have borrowed the term from). As Warfield puts it, premise (2) is a conceptual truth, established on the basis of Twin-earth style arguments, a matter of “armchair” a priori reflection and thus able to be established non-empirically.

The problem with establishing (2) non-empirically though is that the externalist arguments succeed only on the assumption that our own use of “water” refers to a substantial kind, and this seems to be a matter of empirical investigation. Imagine a world where “water” does not refer to any liquid substance but is rather a complex hallucination that never gets discovered. On this “Dry Earth,” “water” would not refer to a substantial kind but rather a superficial kind. The analogy to the BIV case is clear: since it is not an a priori truth that “water” refers to a substantial kind in the BIV’s language, it cannot be known non-empirically that “water” is substantial or superficial; if it is a superficial kind, then a BIV could very well think that water is wet so long as it has the relevant sense-impressions.

5. Significance of the Argument

Some philosophers have claimed that even if Putnam’s argument is sound, it doesn’t do much to dislodge Cartesian or global skepticism. Crispin Wright (1994) argues that the argument does not affect certain versions of the Cartesian nightmare, such as my brain being taken out of my skull last night and hooked up to a computer. Someone of a Positivist bent might argue that if there is no empirical evidence to appeal to in order to establish whether we are brains in a vat or not, then the hypothesis is meaningless, in which case we do not need an argument to refute it. While few philosophers today would hold onto such a strong verifiability theory of meaning, many would maintain that such metaphysical possibilities do not amount to real cases of doubt and thus can be summarily dismissed. Still others see the possibility of being a brain in a vat an important challenge for cognitive science and the attempt to create a computer model of the world that can simulate human cognition. Dennett (1991) for example has argued that it is physically impossible for a brain in a vat to replicate the qualitative phenomenology of a non-envatted human being. Nevertheless, one should hesitate before making possibility claims when it comes to future technology. And as films like the Matrix, Existenz, and even the Truman Show indicate, the idea of living in a simulated world indistinguishable from the real one is likely to continue to fascinate the human mind for many years to come—whether or not it is a brain in a vat.

6. References and Further Reading

  • Boghossian, Paul. 1999. What the Externalist can Know A Priori. Philosophical Issues 9
  • Brueckner, Anthony. 1986. Brains in a Vat. Journal of Philosophy 83: 148-67
  • Brueckner, Anthony. 1992. If I am a Brain in a vat, then I am not a Brain in a Vat. Mind 101:123-128
  • Burge, T. 1982. Other Bodies. In A. Woodfield. Ed., Thought and Object: Essays on Intentionality. Oxford: Oxford University Press, 91-120.
  • Casati, R. and Dokic J. 1991. Brains in a Vat, Language and Metalanguage. Analysis 51: 91-93.
  • Collier, J. 1990. Could I Conceive Being a Brain in a Vat? Australasian Journal of Philosophy 68: 413-419.
  • Davidson, Donald. 1986. “A Coherence Theory of Truth and Knowledge,” in Truth and Interpretation: Perspectives on the Philosophy of Donald Davidson. Oxford: Blackwell.
  • Davies, D. 1995. Putnam’s Thought-Teaser. Canadian Journal of Philosophy 25(2):203-227.
  • Ebbs, G. (1992), “Skepticism, Objectivity and Brains in Vats”, Pacific Philosophical Quarterly 73
  • Forbes, G. 1995. Realism and Skepticism: Brains in a Vat Revisited. Journal of Philosophy 92(4): 205-222
  • Gaifman, Haim. 1994. Metaphysical Realism and Vats in a Brain. (unpublished ms)
  • Nagel, Thomas. 1986. The View from Nowhere. Cambridge: Cambridge University Press.
  • Noonan, Harold. 1998. Reflections on Putnam, Wright and brains in a vat. Analysis 58:59-62
  • Putnam, Hilary 1975. The Meaning of “Meaning.” Mind, Language and Reality: Philosophical Papers, Vol 1. Cambridge: Cambridge University Press
  • Putnam, Hilary. 1982. Reason, Truth and History. Cambridge: Cambridge University Press.
  • Putnam, Hilary. 1994. Reply to Wright. In P. Clark and B. Hale, eds. Reading Putnam. Oxford, Blackwell.
  • Sawyer, Sarah. 1999. My Language Disquotes. Analysis, vol. 59:3: 206-211
  • Smith, P. (1984), Could We Be Brains in a Vat?, Canadian Journal of Philosophy 14
  • Steinitz, Y. Brains in a vat? Different Perspectives. Philosophical Quarterly 44 (175): 213-222
  • Tymoczko, T. 1989. In Defense of Putnam’s Brains. Philosophical Studies 57(3) 281-297
  • Warfield, Ted. 1995. Knowing the World and Knowing our Minds. Philosophy and Phenomenological Research 55 (3): 525-545.
  • Weiss, B. 2000. Generalizing Brains in a Vat. Analysis 60: 112-123
  • Wright, Crispin. 1994. On Putnam’s Proof that we cannot be brains in a vat. In P. Clark and B. Hale. Eds, Reading Putnam. Oxford: Blackwell.

Author Information

Lance P. Hickey
Email: lance1001@optonline.net
Southern Connecticut State University
U. S. A.

Charles Sanders Peirce: Architectonic Philosophy

peirceThe subject matter of architectonic is the structure of all human knowledge. The purpose of providing an architectonic scheme is to classify different types of knowledge and explain the relationships that exist between these classifications. The architectonic system of C. S. Peirce (1839-1914) divides knowledge according to it status as a “science” and then explains the interrelation of these different scientific disciplines. His belief was that philosophy must be placed within this systematic account of knowledge as science. Peirce adopts his architectonic ambitions of structuring all knowledge, and organizing philosophy within it, from his great philosophical hero, Kant. This systematizing approach became crucial for Peirce in his later work. However, his belief in a structured philosophy related systematically to all other scientific disciplines was important to him throughout his philosophical life.

Table of Contents

  1. The Architectonic System
  2. Mathematics and Philosophy
  3. Philosophy
    1. Phenomenology
    2. The Normative Sciences
      1. Aesthetics and Ethics
      2. Logic
    3. Metaphysics
  4. The Importance of the Systematic Interpretation
  5. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. The Architectonic System

In later work, Peirce began to organize and systematize his philosophy in terms of its relation to other areas of knowledge. More crucially for his philosophy, though, this enabled him to make explicit the structure and interrelation of different areas of his philosophical thought. In work like his 1902 Carnegie Institute Application, letters to friends, and more conventional writings, Peirce placed his philosophy within a hierarchical classification of sciences. Within this systematization of sciences, “science” is a broad term meaning any organization of human knowledge. The result is that disciplines like history, biographical study and art criticism count as “science.” The sheer number of sciences involved in Peirce’s classification, then, meant that he needed to sub-divide them further. The basis of Peirce’s sub-divisions is not altogether clear or straightforward, but he seems to count Philosophy as a “formal science of discovery.” What Peirce means by this is that Philosophy is concerned with discovering the formal or necessary conditions for the objects with which it concerns itself. Whether this is an accurate classification of philosophy is hard to say, but the idea is that philosophy shares some formal (i.e. quest for necessary conditions) concerns with mathematics and shares a concern for discovering knowledge with the empirical or physical sciences, like chemistry or physics; hence philosophy is a “formal science of discovery.” The hierarchical classification of sciences in relation to philosophy and the hierarchical structure of philosophy itself, then, looks, roughly, as follows:

1) MATHEMATICS

2) PHILOSOPHY

which consists of:

a) Phenomenology

b) Normative Science

which consists of:

i) AESTHETICS

ii) ETHICS

iii) LOGIC

which consists of:

a) Philosophical Grammar

b) Critical Logic

c) Methodeutic

c) Metaphysics

3) PHYSICAL SCIENCE
Figure 1

In creating a systematized classification of science, Peirce hoped to make the connection between different areas of his thought clear, not only to others, but also to himself. If Peirce was able to see how his pragmatism, say, was related to other areas of his philosophy, and how his philosophy in general related to other sciences, he might be able to gain insights into the theory of pragmatism as a consequence. Peirce was, however, aware that a systematic classification of sciences is, to some extent, an abstraction that simplifies the relations between sciences. For the most part, though, he found that it accurately represented his thoughts on philosophy and was a useful tool for organizing his theories.

As suggested already, the sciences and philosophy are organized in a hierarchical fashion. So, from Figure 1., we can see that Mathematics is super-ordinate to philosophy, and philosophy super-ordinate to the physical sciences. Similar relations of super and sub-ordinacy also exist within philosophy and within particular branches of philosophy. The first thing to clarify is that the sub-ordinacy of philosophy to mathematics, or metaphysics to phenomenology, is not sub-ordinacy in the sense of embeddedness, i.e., philosophy is not a sub-branch of mathematics. Of course, embedded sub-ordinacy does occur in Peirce’s classification where, for instance, aesthetics is a sub-branch of Normative Science, just as ethics and logic are. However, ethics and logic are not sub-branches of aesthetics, even though they are sub-ordinate to it. So, what is the nature of the non-embedded sub-ordinacy of, say, philosophy to mathematics?

Non-embedded sub-ordinacy is more a notion of linear priority than topical subsumption. This is because Peirce is organizing sciences in a fashion popularized by Auguste Comte in the nineteenth century, whereby super-ordinate sciences provide general laws or principles for sub-ordinate sciences which provide concrete, realized cases of those general principles. Super-ordinacy, then, is meant to be linear priority in terms of prior provision of general principles, and sub-ordinacy, the posterior realization of those general principles. A contrived example of how this works may go something as follows:

Psychology provides general principles that suggest that the emotional states of human beings are manipulable through sound, i.e., human emotion is susceptible to auditory suggestion. Using that principle, musicians can discover that musical arrangements in minor keys, particularly D minor, invoke sadness amongst listeners. Wagner, for instance, discovered that all chords have a corresponding chord which “resolves” the sequence, leaving the listener satisfied. By consistently refusing to “resolve” chords in his music, Wagner was able to induce tension and anxiety amongst his listeners wherever he wished to do so. These cases of actual musical practice provide concrete, confirming phenomena of the general psychological principle. Psychology, then, is super-ordinate to music, in the sense that it provides general principles for musical practice.

Applied to the hierarchy in figure 1., mathematics provides general laws, which Peirce often calls guiding or leading principles, for philosophy. Philosophy, in turn, provides concrete or confirming cases of those laws. Similar relations exist within philosophy itself, and between philosophy and the empirical sciences. Peirce is not always forthcoming with explicit examples of guiding principles, but, as we shall examine in more detail below, in the case of philosophy and its super-ordinate science, mathematics, he gives us a good indication of what he has in mind.

2. Mathematics and Philosophy

Peirce divides mathematics into three areas that correspond roughly to discrete mathematics, mathematics of the infinite, and mathematical or formal logic. We now think of Peirce’s groundbreaking work in mathematical logic as belonging to logic proper rather than being a branch of mathematics. More important though is the role of mathematics as the provider of guiding principles for subsequent sciences, and particularly philosophy. Following his father, Peirce treated mathematics as “the science which draws necessary conclusions.” What Peirce means is that mathematics is free from existential concerns about its constructs. In this sense, it is hypothetical and abstract. Peirce, for instance, states that mathematics “makes constructions in the imagination according to abstract precepts, and then observes these imaginary objects, finding in them relations of parts not specified in the precept of construction.” What Peirce means is that mathematics creates hypothetical constructions, i.e., constructions which are abstracted and not necessarily actual, and then derives logically necessary connections between them and about them. These “necessary conclusions” about mathematical constructs provide general laws or principles for deriving logically necessary connections between and about all constructs, imaginary or actual. In short, the kinds of reasoning employed in mathematics provide general rules of reasoning, and function as principles to guide our reasoning in subsequent science, particularly philosophy.

For example, we can see the provision of guiding or leading principles from mathematics through the following story about irrational numbers. An irrational number is a number which cannot be expressed as the ratio of two integers. That is, the irrational number is a non-terminating, non-repeating decimal. How did our number systems develop to include numbers other than rational integers? One thought is that Pythagoras realized that there necessarily exists no pair of rational integers such that one can be expressed as the twice the square of the other. The way he came to this conclusion is by noting that in a square whose sides measure one unit in length, the diagonal measures neither one unit nor two units. Consequently, there must exist some other kind of non-rational number which enables us to explain the length of a square’s diagonal in relation to its sides. Now, the way in which Pythagoras came about this conclusion was to note certain features about some diagram (of a square), abstract important features from that particular case, and draw a more general conclusion. These methods of abstraction and generalization are precisely the kind of thing that Peirce has in mind when he says that mathematics, as a super-ordinate science, provides guiding principles for philosophy.

3. Philosophy

Philosophy is divided into three orders: phenomenology, or the science of how things appear to us; the normative sciences, which study how we ought to act; and metaphysics, the study of what is real. Philosophy takes from mathematics the principles of drawing necessary consequences from hypotheses. Further, the three branches of philosophy have hierarchical relationships. Phenomenology uses the principles of mathematics and theorizes on the necessary qualities that all phenomena must have. After this, the normative and metaphysical sciences use, reflect and provide concrete cases of these phenomenological findings.

Similar divisions occur within the branches of philosophy but the most interesting of these is the division within normative science between aesthetics, ethics and logic. Logic within normative science is conceived as semiotics, or the study of signs, and is strongly epistemological in its concern with the structure of knowledge and understanding. As the hierarchy suggests, logic is dependent upon ethics and ethics upon aesthetics. All of these are dependent upon the principles of phenomenology and, more broadly still, upon mathematics. Further, they are all super-ordinate to metaphysics. This is largely because metaphysics concerns itself with the reality and place within nature of these objects. Metaphysics, as the science of what is real, is most similar to the physical sciences and is in many ways meant to be a bridging discipline between philosophy and natural science. As should be clear, the hierarchy moves from abstract disciplines to those whose study involves phenomena that are more concrete.

We know how the three philosophical sub-disciplines are meant to relate to each other in terms of the hierarchy. However, we have yet to examine Peirce’s theories of phenomenology, normative science, and metaphysics in any detail. In the following sections, though, we shall examine each of the three sub-disciplines, and in the case of normative science its sub-sub-disciplines, and look a little more closely at what Peirce take these topics to concern.

a. Phenomenology

The first and most abstract of philosophy’s sub-disciplines is phenomenology. For Peirce, phenomenology is the science of appearances and is abstract in the sense that its subject matter is still general and hypothetical, just as the constructs of mathematics are. However, whereas the general hypothetical subject of mathematics and mathematical reasoning is any theoretical construct, for phenomenology the constructs are those of experience, considered in generalized terms.

In his discussion of phenomenology, Peirce divides all our experience into three general, universal categories and names them firstness, secondness, and thirdness. Peirce’s categories are notoriously hard to understand. Indeed, Peirce thought it to be a science which we could only gain a hazy grasp of until we discovered the categories for ourselves in the course of our own experiences. The major problem with the categories, though, is that they are general and therefore difficult to explain in readily comprehensible terms. The best way to understand the categories, then, is to look at concrete examples that, in some way, exemplify firstness, secondness, or thirdness.

Peirce usually attempts to explain firstness, in general terms, as quality or feeling. It is perhaps more intuitive to grasp firstness this way: think of William James, Charles Peirce and Karl Marx; they all share the quality of being bearded. Let us abstract “beardedness” from this group of men and, when we consider that abstraction in and of itself, we are considering a firstness which those philosophers all share. Of course, the general concept of firstness is purer than this; “beardedness” is just an exemplification of it. Another example might come from Wittgenstein’s discussion in the Philosophical Investigations of how we attend to shapes and colors of some objects. When I try to observe the shape of a vase, in separation from its color, size, etc., by squinting my eyes and tilting my head, I am attempting to observe a firstness of that object.

Resistance, existence or otherness, are all examples of secondness. Peirce often uses the scholastic concept of haecceity, or “thisness,” to explain our experience of secondness. The idea is that when we experience some thing, we experience it as separate from other phenomena and as a brute thing of existence. It is this brute confrontational singularity that a thing experienced must have that Peirce thinks exemplifies secondness. It is our experience of an object as a thing separate to others within the universe that is an experience of secondness. A rather strange example might prove helpful in coming to understand what our experience of secondness might be like. Some historical commentaries of the first landings of the Spanish Conquistadors in South America report how the natives were in awe of these strange four-legged, two-armed, two headed God-like creatures. It seems that the Spanish rode ashore on horse back. Having never seen horses or white men before (let alone white men riding horses), the natives assumed that this was one creature. This seems like a rather strange case, but it perhaps provides a startling example of how we must re-organize our understanding when our experience fails to distinguish two instances of secondness. Of course, the minute the Conquistadors dismounted, the natives experienced the invader as separate to his horse, thereby experiencing his secondness.

Our experiences of mediation, intelligibility or understanding are examples of thirdness. When we place some experience within the structure of our understanding, when we assimilate an experience, we are experiencing thirdness. In many ways, thirdness is similar to the Hegelian notion of “synthesis” and captures the notions of development and growth. When we experience thirdness, we experience some sense of bringing phenomena into order with our knowledge. Principle exemplifiers of thirdness, then, are phenomena like laws, habits, conventions, reason, etc. Extending our previous example of the Conquistador, when the native saw him dismounted and experienced him as separate from his horse, he might also have come to understand that this stranger was, in fact, a man. This experience of understanding how this phenomenon fits into the world is, according to Peirce, meant to be an experience of thirdness.

The three categories are present in all experience but to differing degrees. Consequently, an experience of a quality like redness has firstness, secondness and thirdness; but it has firstness to a greater extent and so exemplifies that category. To see this, we should at least be clear that, as a quality, “redness” is a firstness just as “beardedness” is. However, our experience of the “redness” as existing means that it has secondness. Otherwise, we would be unable to experience it. And the fact that we are able to understand our experience of “redness” as just such an experience, means that it must also have an element of thirdness, otherwise we would be unable to assimilate that experience. So, our experience of “redness” has all three categories to some extent. However, the actual qualitative aspects of the experience, the very reason we call this an experience of “redness,” are what predominate, and this is why we classify “redness” as a first, even though all of the categories are present to some extent.

Furthermore, despite the abstract nature of phenomenology, i.e., the hypothetical status of its constructs, it is not at odds with Peirce’s scientific and experiential approach. As suggested earlier, Peirce maintains that phenomenology is something that we each must carry out and confirm for ourselves in our own experience. So, despite the initially abstract and theoretical appearance of phenomenology, it remains grounded in practice.

Finally, the universal categories are ever present in Peirce’s work. In some respects, the categories are already present in the antecedent science of mathematics where Peirce describes them in terms of relations. The mathematical equivalent of firstness is one-place relational predicates like, “x is bearded”; of secondness is two-place relational predicates like, “x is the barber of y”; and of thirdness is three-place relational predicates like “x shaves y with z.” The explanation of the categories in terms of relational predicates is an early attempt to explain firstness, secondness and thirdness on Peirce’s part and as such should not be taken as reflecting upon the phenomenological account we are looking at here. It is, however, instructive to see one of Peirce’s alternative attempts at explaining the universal categories. The phenomenological derivation of the categories that we are looking at here is a later development in Peirce’s work, and reflects thought about categories that Peirce had always harbored, and is crucial to his systematic vision of philosophy.

b. The Normative Sciences

The normative sciences study the norms of worldly interaction. As Phenomenology studies the necessary qualities of experience, the normative sciences prescribe our response to those experiences. Further, there are three sub-areas within the normative sciences: aesthetics, ethics and logic. Aesthetics is the most abstract of the three normative sciences and provides foundational aims for the other prescriptive disciplines. Ethics explores these aims in relation to conduct, and logic explores those aims in relation to reasoning, a particular form of conduct.

i. Aesthetics and Ethics

Peirce’s theories of aesthetics and ethics are not well developed. In many respects, Peirce self-consciously developed them for his system in order to provide foundations for logic. Consequently, his theories of aesthetics and ethics do not look too much like traditional theories. They are aesthetical and ethical in the sense of being theories of what is unconditionally admirable, and what is of value in human conduct, but they are not systematic or extensive. The two disciplines hold the usual hierarchical relations, with the super-ordinate science of aesthetics providing a general, guiding principle for its sub-ordinate science ethics, which in turn provides realized cases of that principle.

The only guiding principle from aesthetics to ethics that Peirce hints at is what he calls the “ultimate aesthetic ideal.” The ultimate aesthetic ideal is, for Peirce, the growth of reason or rationality. He calls this the “growth of concrete reasonableness.” For instance, the discovery that our galaxy is heliocentric and not geocentric marks a growth in concrete reasonableness, i.e., an increase in our grasp upon reality. Ethics, then, must take this general aesthetic ideal of the unconditionally admirable and ask, “What is admirable in the way of human conduct?” This makes ethics, for Peirce, a question of what kind of conduct is likely to see the growth of reason or rationality. The right action will take us towards achieving the aesthetic ideal, the wrong action will not.

Right conduct, then, is conduct that is self-controlled and deliberate. Further, it is self-controlled and deliberate in an attempt to achieve the aesthetic ideal. What is more, this self-controlled conduct is not simply about action for the individual in isolation; it is also about setting a precedent and providing an example for a community. For instance, I decide that I will never act without reflection upon rumors. I try, through self-controlled and deliberate response, to reflect upon the content and plausibility of the rumors I hear and to find out whether they are truthful or not. Only when I have done this do I act. Here is a case of adopting a particular kind of conduct with the aim of seeing the world become a more reasoned and rational place. However, when I die, my contribution to concrete reasonableness passes with me, unless I can spread this deliberate conduct further. This is precisely what Peirce thinks our ethical conduct should do; not by being purely about individual conduct, but by contributing habits, tendencies and general principles in conduct that others can see and adopt. Our contribution to achieving the aesthetic ideal, then, is not just the adoption of self-controlled conduct, but also establishing such conduct as a communal habit or convention. The growth of concrete reasonableness requires more than just action; it requires continued action.

Peirce has very little more to say about aesthetics and ethics. It appears the notions of the ultimate aesthetic ideal and what is unconditionally admirable in the way of human conduct are only interesting to Peirce as general guiding principles for the sub-ordinate discipline of logic.

ii. Logic

The third of the normative sciences, logic, takes the aim of aesthetics and the principles of ethics and applies them to reasoning. Logic, then, is self-controlled reasoning aimed at the growth of concrete reasonableness. It is as a form of conduct that logic takes a sub-ordinate position to ethics in the philosophical hierarchy.

Logic itself has three branches: Philosophical Grammar, Critical Logic and Methodeutic. Philosophical Grammar, often called Speculative Grammar, is a theoretical explanation and exploration of the nature of signs. This is the area within the hierarchy for Peirce’s famous theory of Semiotics. It is located within logic conceived as the self-controlled conduct of reasoning because Peirce takes all thought, and so all reasoning, to occur through the use of signs. Philosophical Grammar, then, studies the nature of the basic phenomena of reasoning: signs. Signs are essentially triadic phenomena on Peirce’s account, consisting of a sign vehicle, an object and an interpretant or interpreting thought which takes the sign to stand for its object. For instance, a fever is a sign of illness, which I understand as requiring treatment with medicine. The fever is the sign, the illness is its object, and my understanding of this connection is the interpretant. Peirce continually developed complex classifications for signs depending on the inter-relation between the sign, the object and the interpretant.

In many ways, we can see the sign as a concrete case of a general principle from phenomenology, which tells us that each experience will have firstness, secondness and thirdness. Indeed, Peirce sees the sign-vehicle as a firstness, the object as a secondness and the interpretant as a thirdness. However, after 1903, Peirce did not press this reflection of the phenomenological categories in his semiotic too far, even though he remained convinced that it existed.

The second branch of logic is Critical Logic, which studies types of argument. However, Peirce discusses more than just deductive arguments or reasoning within this branch of logic. He also includes discussion of inductive and abductive reasoning. Inductive reasoning, for Peirce, is quantitative reasoning and bears close resemblance to statistical analysis. On Peirce’s analysis, induction is reasoning or argument to a general rule for a population based upon a sample from it. For instance, my sample of the metals in coins leads me to conclude that the pennies in current circulation have approximately 30% copper content. I have induced a general rule about the copper content of all pennies from a random sample of, say, 5% of the pennies in circulation. The more sampling I do the more accurate my general rule will become.

Abductive reasoning is similar to the inference to best explanation and provides conjectures for general rules by proffering some explanatory hypothesis based on some phenomena that we already know. A quick and simple way to grasp how Peirce thinks that abduction and induction are argument forms is to look at their structure in relation to the standard deductive syllogism. Consider the deductively valid argument: all felines are furry; all lions are felines; so all lions are furry. We can recast this to reflect the inductive form of argument like this: all lions are furry; all lions are felines; so all felines are furry. This is obviously a probabilistic argument based on sampling from a general population. We take what we know of some sample population – in this case, that lions as a sample of the general feline population are furry – and conclude that this is present in the population as a whole.

Again, we can recast the structure of the deductive argument to reflect abductive reasoning like this: all felines are furry; all lions are furry; so all lions are felines. Here we are taking two phenomena, the furriness of felines and the furriness of lions, and providing a conjecture that attempts to explain both phenomena with a single general rule.

Obviously, neither induction nor abduction are deductively valid, but Peirce still considers them to be important forms of reasoning and devotes discussion to them within the Critical Logic. Critical Logic also explains, through a discussion of how these arguments are useful, what counts as good or bad reasoning. Consequently, it further explains the purpose of the normative discipline of logic considered as a form of self-controlled conduct.

The third branch of logic is Methodeutic. Methodeutic is home to Peirce’s theories of truth and inquiry and his pragmatic maxim. It concerns the use of signs and argument to create habits and forms of conduct conducive to achieving the logical take on the aesthetic ideal, a steady state of doubt resistant beliefs. For Peirce, the aim of logic or reasoning is to achieve a settled state of belief. The growth of this steady state comes from our desire to eradicate doubt, which causes considerable consternation according to Peirce. Whenever we encounter some phenomenon that casts doubt upon a belief of ours, we feel compelled to find the cause of the recalcitrant experience and settle our beliefs once more. This leads to a steady growth in our body of recalcitrant proof beliefs. Methodeutic, then, is the study of inquiry: or growth through reasoning in action.

c. Metaphysics

The final branch of philosophy is Metaphysics, the study of what is real. As phenomenology studies the necessary qualities of our experience, and the normative sciences prescribe our response to them, Metaphysics studies whether or not the objects of experience are real.

The first thing to note about Peirce’s metaphysics is that it is still a distinctly “hands on” affair. Peirce’s metaphysics, commonly labeled “scientific metaphysics,” attempts to explain the reality of the phenomenological categories and of the methods and principles of inquiry as expounded in the normative sciences. This is all in contra-distinction to “Ontological Metaphysics,” or metaphysics conducted by a priori reasoning. Peirce’s pragmatism means that he is at odds with this kind of metaphysical endeavor. Since a concept’s meaning relies upon its practical bearings, and the bulk of a priori metaphysics make no difference to practice or experience, the bulk of a priori metaphysics is meaningless. Again, this is similar to the verificationist’s anti-metaphysical arguments, but where the logical positivists take this to mean the death of metaphysics, Peirce takes this to mean that a worthwhile metaphysics must be scientific, fallible, cautiously approached, and sub-ordinate to logic.

As with the normative sciences, Peirce makes various distinctions within the branch of metaphysics. Most interesting are his discussions of the reality of his phenomenological categories of firstness, secondness and thirdness and his evolutionary cosmology. In his discussion of the reality of the phenomenological categories, Peirce returns to the subject of his first philosophical discipline, phenomenology, where he identifies the three categories of firstness, secondness and thirdness as general features of all experience. Here, in his metaphysical work, Peirce turns his discussion to the reality of these phenomenological categories. His concern is to ask whether all or any of those categories are real independently of you or I. Does thirdness, for instance, really exist? If it does, then, on Peirce’s view, “possibles” exist.

Peirce places himself with Aristotle, Kant and the Scottish Common-sense philosopher Thomas Reid in taking all three of the phenomenological categories to be real. However, since he takes his own “three category realism” to most strongly reflect the work of John Duns Scotus, Peirce labels himself a “scholastic realist.” Peirce also characterizes other theories and philosophers depending on their own commitments to the reality of the phenomenological categories. For instance, in Peirce’s opinion, “nominalism” does not take the category of thirdness to be real. Although the term “nominalism” is more normally part of mediaeval debate on the existence (or not) of universals, Peirce uses the term to refer to any theory that seems too hardheadedly committed to the explanation of phenomena in terms of concrete existent particulars. It is for this reason that Peirce labels as nominalist any theory which does not take the real existence of laws, generalities, possibilities, etc. seriously (i.e. is not committed to the existence of thirds or thirdness). Of course, it is possible, in Peirce’s opinion, to move too far in the opposite direction. According to Peirce, Hegel’s philosophy, for instance, places too much emphasis on thirdness at the expense of the other categories. Peirce’s, own commitment to a three-category realism, though, is the source of the acute anti-nominalism which affects much of his other philosophical work.

Peirce’s cosmological metaphysics is perhaps the most interesting of his metaphysical writings. Where his general metaphysics discusses the reality of the phenomenological categories, his cosmological work studies the reality and relation to the universe of his work in the normative sciences. The cosmological metaphysics looks at the aesthetic ideal (the growth of concrete reasonableness) and its attainment through growth and habit in the universe at large. In Peirce’s cosmology, the universe grows from a state of nothingness to chaos, or all pervasive firstness. From the state of chaos, it develops to a state in which time and space exist, or a state of secondness, and from there to a state where it is governed by habit and law, i.e. a state of thirdness. The universe does this, not in a mechanistic or deterministic way, but by tending towards habit and a law-like nature through chance and spontaneous transition. This chance-like transition towards thirdness is the growth of concrete reasonableness, i.e. the attainment of the aesthetic ideal through the spontaneous development of habit.

Peirce’s evolutionary cosmology has left many commentators uneasy about its relation to the rest of his work. His development of it during his own life time led some of his friends to fear for his sanity. Indeed, Peirce’s turn towards cosmological metaphysics is often attributed to a mystical experience and crisis of faith in the 1890’s. In truth, Peirce takes his cosmological work to be the logical upshot of the normative sciences and logic, which show the nature and desirability of the growth of reason. Cosmological metaphysics merely shows how the growth of concrete reasonableness occurs in the universe at large.

4. The Importance of the Systematic Interpretation

Traditionally, the systematic background to Peirce’s theories of, say, pragmatism, inquiry, or the categories is ignored. This has lead to a failure to appreciate its significance to the detail of individual theories. Instead, the assessment of Peirce’s philosophy is often made on an issue by issue basis. Take, for instance, Peirce’s pragmatism. Its relation to the broader system enables Peirce to state his pragmatism and show how it need not lapse into nominalism, which is generally the outcome of pragmatic or verificationist principles. Understanding Peirce’s devout anti-nominalism requires some grasp of his system and the place of the pragmatic maxim within it.

This, of course, is not to say that Peirce’s philosophy must live and die by the systematic view. It is possible to take Peirce’s views on individual topics and find much of value in them. However, interpreting Peirce’s philosophy without any appreciation of the systematic background faces the danger of making serious mistakes about the import and intent of Peirce’s work. Returning again to the Peirce’s account of pragmatism, without the systematic background to provide some sense of Peirce’s commitment to anti-nominalism and belief in the possibility of a scientific metaphysics, his pragmatism looks like a simple forerunner of the Logical Positivist’s verification principle. Although common, such an interpretation fails to reflect the nuances of Peirce theory. Reaching a full understanding of Peirce’s work on individual topics, then, is always best achieved with an eye on the systematic background.

5. References and Further Reading

a. Primary Sources

  • Peirce, C.S. 1931-58. The Collected Papers of Charles Sanders Peirce, eds. C. Hartshorne, P. Weiss (Vols. 1-6) and A. Burks (Vols. 7-8). (Cambridge MA: Harvard University Press).
    • The first widespread presentation of Peirce’s work both published and unpublished; its topical arrangement makes it misleading but it is still the first source for most people.
  • Peirce, C.S. 1982-. The Writings of Charles S. Peirce: A Chronological Edition, eds. M. Fisch, C. Kloesel, E. Moore, N. Houser et al. (Bloomington IN: Indiana University Press).
    • The ongoing vision of the late Max Fisch and colleagues to produce an extensive presentation of Peirce’s views on a par with The Collected Papers, but without its idiosyncrasies. Currently published in eight volumes (of thirty) up to 1884, it is rapidly superseding its predecessor.
  • Peirce, C.S. 1992-94. The Essential Peirce, eds. N. Houser and C. Kloesel (Vol. 1) and the Peirce Edition Project (Vol. 2). (Bloomington IN: Indiana University Press).
    • A crucial two volume reader of the cornerstone works of Peirce’s writings. Equally important are the introductory commentaries, particularly by Nathan Houser in Volume 1.

b. Secondary Sources

  • Anderson, D. 1995. The Strands of System. (West Lafayette, IN: Purdue University Press).
    • A systematic reading of Peirce’s thought which, in its introduction, makes an in-depth breakdown of the elements of the system and their relation to each other. Its main body reproduces two important papers by Peirce with accompanying commentary.
  • Hookway, C.J. 1985. Peirce. (London: Routledge and Kegan Paul).
    • Important treatment of Peirce as a systematic philosopher but with emphasis on Peirce’s Kantian inheritance and later rejection of the transcendental approach to truth, logic and inquiry.

Author Information:

Albert Atkin
Email: pip99aka@sheffield.ac.uk
University of Sheffield
United Kingdom

Jean-Jacques Rousseau (1712—1778)

rousseauJean-Jacques Rousseau was one of the most influential thinkers during the Enlightenment in eighteenth century Europe. His first major philosophical work, A Discourse on the Sciences and Arts, was the winning response to an essay contest conducted by the Academy of Dijon in 1750. In this work, Rousseau argues that the progression of the sciences and arts has caused the corruption of virtue and morality. This discourse won Rousseau fame and recognition, and it laid much of the philosophical groundwork for a second, longer work, The Discourse on the Origin of Inequality. The second discourse did not win the Academy’s prize, but like the first, it was widely read and further solidified Rousseau’s place as a significant intellectual figure. The central claim of the work is that human beings are basically good by nature, but were corrupted by the complex historical events that resulted in present day civil society.Rousseau’s praise of nature is a theme that continues throughout his later works as well, the most significant of which include his comprehensive work on the philosophy of education, the Emile, and his major work on political philosophy, The Social Contract: both published in 1762. These works caused great controversy in France and were immediately banned by Paris authorities. Rousseau fled France and settled in Switzerland, but he continued to find difficulties with authorities and quarrel with friends. The end of Rousseau’s life was marked in large part by his growing paranoia and his continued attempts to justify his life and his work. This is especially evident in his later books, The Confessions, The Reveries of the Solitary Walker, and Rousseau: Judge of Jean-Jacques.

Rousseau greatly influenced Immanuel Kant’s work on ethics. His novel Julie or the New Heloise impacted the late eighteenth century’s Romantic Naturalism movement, and his political ideals were championed by leaders of the French Revolution.

Table of Contents

  1. Life
    1. Traditional Biography
    2. The Confessions: Rousseau’s Autobiography
  2. Background
    1. The Beginnings of Modern Philosophy and the Enlightenment
    2. The State of Nature as a Foundation for Ethics and Political Philosophy
  3. The Discourses
    1. Discourse on the Sciences and Arts
    2. Discourse on the Origin of Inequality
    3. Discourse on Political Economy
  4. The Social Contract
    1. Background
    2. The General Will
    3. Equality, Freedom, and Sovereignty
  5. The Emile
    1. Background
    2. Education
    3. Women, Marriage, and Family
    4. The Profession of Faith of the Savoyard Vicar
  6. Other Works
    1. Julie or the New Heloise
    2. Reveries of the Solitary Walker
    3. Rousseau: Judge of Jean Jacques
  7. Historical and Philosophical Influence
  8. References and Further Reading
    1. Works by Rousseau
    2. Works about Rousseau

1. Life

a. Traditional Biography

Jean-Jacques Rousseau was born to Isaac Rousseau and Suzanne Bernard in Geneva on June 28, 1712. His mother died only a few days later on July 7, and his only sibling, an older brother, ran away from home when Rousseau was still a child. Rousseau was therefore brought up mainly by his father, a clockmaker, with whom at an early age he read ancient Greek and Roman literature such as the Lives of Plutarch. His father got into a quarrel with a French captain, and at the risk of imprisonment, left Geneva for the rest of his life. Rousseau stayed behind and was cared for by an uncle who sent him along with his cousin to study in the village of Bosey. In 1725, Rousseau was apprenticed to an engraver and began to learn the trade. Although he did not detest the work, he thought his master to be violent and tyrannical. He therefore left Geneva in 1728, and fled to Annecy. Here he met Louise de Warens, who was instrumental in his conversion to Catholicism, which forced him to forfeit his Genevan citizenship (in 1754 he would make a return to Geneva and publicly convert back to Calvanism). Rousseau’s relationship to Mme. de Warens lasted for several years and eventually became romantic. During this time he earned money through secretarial, teaching, and musical jobs.

In 1742 Rousseau went to Paris to become a musician and composer. After two years spent serving a post at the French Embassy in Venice, he returned in 1745 and met a linen-maid named Therese Levasseur, who would become his lifelong companion (they eventually married in 1768). They had five children together, all of whom were left at the Paris orphanage. It was also during this time that Rousseau became friendly with the philosophers Condillac and Diderot. He worked on several articles on music for Diderot and d’Alembert’s Encyclopedie. In 1750 he published the Discourse on the Arts and Sciences, a response to the Academy of Dijon’s essay contest on the question, “Has the restoration of the sciences and arts tended to purify morals?” This discourse is what originally made Rousseau famous as it won the Academy’s prize. The work was widely read and was controversial. To some, Rousseau’s condemnation of the arts and sciences in the First Discourse made him an enemy of progress altogether, a view quite at odds with that of the Enlightenment project. Music was still a major part of Rousseau’s life at this point, and several years later, his opera, Le Devin du Village (The Village Soothsayer) was a great success and earned him even more recognition. But Rousseau attempted to live a modest life despite his fame, and after the success of his opera, he promptly gave up composing music.

In the autumn of 1753, Rousseau submitted an entry to another essay contest announced by the Academy of Dijon. This time, the question posed was, “What is the origin of inequality among men, and is it authorized by the natural law?” Rousseau’s response would become the Discourse on the Origin of Inequality Among Men. Rousseau himself thought this work to be superior to the First Discourse because the Second Discourse was significantly longer and more philosophically daring. The judges were irritated by its length as well its bold and unorthodox philosophical claims; they never finished reading it. However, Rousseau had already arranged to have it published elsewhere and like the First Discourse, it also was also widely read and discussed.

In 1756, a year after the publication of the Second Discourse, Rousseau and Therese Levasseur left Paris after being invited to a house in the country by Mme. D’Epinay, a friend to the philosophes. His stay here lasted only a year and involved an affair with a woman named Sophie d’Houdetot, the mistress of his friend Saint-Lambert. In 1757, after repeated quarrels with Mme. D’Epinay and her other guests including Diderot, Rousseau moved to lodgings near the country home of the Duke of Luxemburg at Montmorency.

It was during this time that Rousseau wrote some of his most important works. In 1761 he published a novel, Julie or the New Heloise, which was one of the best selling of the century. Then, just a year later in 1762, he published two major philosophical treatises: in April his definitive work on political philosophy, The Social Contract, and in May a book detailing his views on education, Emile. Paris authorities condemned both of these books, primarily for claims Rousseau made in them about religion, which forced him to flee France. He settled in Switzerland and in 1764 he began writing his autobiography, his Confessions. A year later, after encountering difficulties with Swiss authorities, he spent time in Berlin and Paris, and eventually moved to England at the invitation of David Hume. However, due to quarrels with Hume, his stay in England lasted only a year, and in 1767 he returned to the southeast of France incognito.

After spending three years in the southeast, Rousseau returned to Paris in 1770 and copied music for a living. It was during this time that he wrote Rousseau: Judge of Jean-Jacques and the Reveries of the Solitary Walker, which would turn out to be his final works. He died on July 3, 1778. His Confessions were published several years after his death; and his later political writings, in the nineteenth century.

b. The Confessions: Rousseau’s Autobiography

Rousseau’s own account of his life is given in great detail in his Confessions, the same title that Saint Augustine gave his autobiography over a thousand years earlier. Rousseau wrote the Confessions late in his career, and it was not published until after his death. Incidentally, two of his other later works, the “Reveries of the Solitary Walker” and “Rousseau Judge of Jean Jacques” are also autobiographical. What is particularly striking about the Confessions is the almost apologetic tone that Rousseau takes at certain points to explain the various public as well as private events in his life, many of which caused great controversy. It is clear from this book that Rousseau saw the Confessions as an opportunity to justify himself against what he perceived as unfair attacks on his character and misunderstandings of his philosophical thought.

His life was filled with conflict, first when he was apprenticed, later in academic circles with other Enlightenment thinkers like Diderot and Voltaire, with Parisian and Swiss authorities and even with David Hume. Although Rousseau discusses these conflicts, and tries to explain his perspective on them, it is not his exclusive goal to justify all of his actions. He chastises himself and takes responsibility for many of these events, such as his extra-marital affairs. At other times, however, his paranoia is clearly evident as he discusses his intense feuds with friends and contemporaries. And herein lays the fundamental tension in the Confessions. Rousseau is at the same time trying both to justify his actions to the public so that he might gain its approval, but also to affirm his own uniqueness as a critic of that same public.

2. Background

a. The Beginnings of Modern Philosophy and the Enlightenment

Rousseau’s major works span the mid to late eighteenth century. As such, it is appropriate to consider Rousseau, at least chronologically, as an Enlightenment thinker. However, there is dispute as to whether Rousseau’s thought is best characterized as “Enlightenment” or “counter-Enlightenment.” The major goal of Enlightenment thinkers was to give a foundation to philosophy that was independent of any particular tradition, culture, or religion: one that any rational person would accept. In the realm of science, this project has its roots in the birth of modern philosophy, in large part with the seventeenth century philosopher, René Descartes. Descartes was very skeptical about the possibility of discovering final causes, or purposes, in nature. Yet this teleological understanding of the world was the very cornerstone of Aristotelian metaphysics, which was the established philosophy of the time. And so Descartes’ method was to doubt these ideas, which he claims can only be understood in a confused way, in favor of ideas that he could conceive clearly and distinctly. In the Meditations, Descartes claims that the material world is made up of extension in space, and this extension is governed by mechanical laws that can be understood in terms of pure mathematics.

b. The State of Nature as a Foundation for Ethics and Political Philosophy

The scope of modern philosophy was not limited only to issues concerning science and metaphysics. Philosophers of this period also attempted to apply the same type of reasoning to ethics and politics. One approach of these philosophers was to describe human beings in the “state of nature.” That is, they attempted to strip human beings of all those attributes that they took to be the results of social conventions. In doing so, they hoped to uncover certain characteristics of human nature that were universal and unchanging. If this could be done, one could then determine the most effective and legitimate forms of government.

The two most famous accounts of the state of nature prior to Rousseau’s are those of Thomas Hobbes and John Locke. Hobbes contends that human beings are motivated purely by self-interest, and that the state of nature, which is the state of human beings without civil society, is the war of every person against every other. Hobbes does say that while the state of nature may not have existed all over the world at one particular time, it is the condition in which humans would be if there were no sovereign. Locke’s account of the state of nature is different in that it is an intellectual exercise to illustrate people’s obligations to one another. These obligations are articulated in terms of natural rights, including rights to life, liberty and property. Rousseau was also influenced by the modern natural law tradition, which attempted to answer the challenge of skepticism through a systematic approach to human nature that, like Hobbes, emphasized self-interest. Rousseau therefore often refers to the works of Hugo Grotius, Samuel von Pufendorf, Jean Barbeyrac, and Jean-Jacques Burlamaqui. Rousseau would give his own account of the state of nature in the Discourse on the Origin and Foundations of Inequality Among Men, which will be examined below.

Also influential were the ideals of classical republicanism, which Rousseau took to be illustrative of virtues. These virtues allow people to escape vanity and an emphasis on superficial values that he thought to be so prevalent in modern society. This is a major theme of the Discourse on the Sciences and Arts.

3. The Discourses

a. Discourse on the Sciences and Arts

This is the work that originally won Rousseau fame and recognition. The Academy of Dijon posed the question, “Has the restoration of the sciences and arts tended to purify morals?” Rousseau’s answer to this question is an emphatic “no.” The First Discourse won the academy’s prize as the best essay. The work is perhaps the greatest example of Rousseau as a “counter-Enlightenment” thinker. For the Enlightenment project was based on the idea that progress in fields like the arts and sciences do indeed contribute to the purification of morals on individual, social, and political levels.

The First Discourse begins with a brief introduction addressing the academy to which the work was submitted. Aware that his stance against the contribution of the arts and sciences to morality could potentially offend his readers, Rousseau claims, “I am not abusing science…I am defending virtue before virtuous men.” (First Discourse, Vol. I, p. 4). In addition to this introduction, the First Discourse is comprised of two main parts.

The first part is largely an historical survey. Using specific examples, Rousseau shows how societies in which the arts and sciences flourished more often than not saw the decline of morality and virtue. He notes that it was after philosophy and the arts flourished that ancient Egypt fell. Similarly, ancient Greece was once founded on notions of heroic virtue, but after the arts and sciences progressed, it became a society based on luxury and leisure. The one exception to this, according to Rousseau, was Sparta, which he praises for pushing the artists and scientists from its walls. Sparta is in stark contrast to Athens, which was the heart of good taste, elegance, and philosophy. Interestingly, Rousseau here discusses Socrates, as one of the few wise Athenians who recognized the corruption that the arts and sciences were bringing about. Rousseau paraphrases Socrates’ famous speech in the Apology. In his address to the court, Socrates says that the artists and philosophers of his day claim to have knowledge of piety, goodness, and virtue, yet they do not really understand anything. Rousseau’s historical inductions are not limited to ancient civilizations, however, as he also mentions China as a learned civilization that suffers terribly from its vices.

The second part of the First Discourse is an examination of the arts and sciences themselves, and the dangers they bring. First, Rousseau claims that the arts and sciences are born from our vices: “Astronomy was born from superstition; eloquence from ambition, hate, flattery, and falsehood; geometry from avarice, physics from vain curiosity; all, even moral philosophy, from human pride.” (First Discourse, Vol. I, p. 12). The attack on sciences continues as Rousseau articulates how they fail to contribute anything positive to morality. They take time from the activities that are truly important, such as love of country, friends, and the unfortunate. Philosophical and scientific knowledge of subjects such as the relationship of the mind to the body, the orbit of the planets, and physical laws that govern particles fail to genuinely provide any guidance for making people more virtuous citizens. Rather, Rousseau argues that they create a false sense of need for luxury, so that science becomes simply a means for making our lives easier and more pleasurable, but not morally better.

The arts are the subject of similar attacks in the second part of the First Discourse. Artists, Rousseau says, wish first and foremost to be applauded. Their work comes from a sense of wanting to be praised as superior to others. Society begins to emphasize specialized talents rather than virtues such as courage, generosity, and temperance. This leads to yet another danger: the decline of military virtue, which is necessary for a society to defend itself against aggressors. And yet, after all of these attacks, the First Discourse ends with the praise of some very wise thinkers, among them, Bacon, Descartes, and Newton. These men were carried by their vast genius and were able to avoid corruption. However, Rousseau says, they are exceptions; and the great majority of people ought to focus their energies on improving their characters, rather than advancing the ideals of the Enlightenment in the arts and sciences.

b. Discourse on the Origin of Inequality

The Second Discourse, like the first, was a response to a question put forth by the academy of Dijon: “What is the origin of inequality among men; and is it authorized by the natural law?” Rousseau’s response to this question, the Discourse on the Origin of Inequality, is significantly different from the First Discourse for several reasons. First, in terms of the academy’s response, the Second Discourse was not nearly as well received. It exceeded the desired length, it was four times the length of the first, and made very bold philosophical claims; unlike the First Discourse, it did not win the prize. However, as Rousseau was now a well-known and respected author, he was able to have it published independently. Secondly, if the First Discourse is indicative of Rousseau as a “counter-Enlightenment” thinker, the Second Discourse, by contrast, can rightly be considered to be representative of Enlightenment thought. This is primarily because Rousseau, like Hobbes, attacks the classical notion of human beings as naturally social. Finally, in terms of its influence, the Second Discourse is now much more widely read, and is more representative of Rousseau’s general philosophical outlook. In the Confessions, Rousseau writes that he himself sees the Second Discourse as far superior to the first.

The Discourse on the Origin of Inequality is divided into four main parts: a dedication to the Republic of Geneva, a short preface, a first part, and a second part. The scope of Rousseau’s project is not significantly different from that of Hobbes in the Leviathan or Locke in the Second Treatise on Government. Like them, Rousseau understands society to be an invention, and he attempts to explain the nature of human beings by stripping them of all of the accidental qualities brought about by socialization. Thus, understanding human nature amounts to understanding what humans are like in a pure state of nature. This is in stark contrast to the classical view, most notably that of Aristotle, which claims that the state of civil society is the natural human state. Like Hobbes and Locke, however, it is doubtful that Rousseau meant his readers to understand the pure state of nature that he describes in the Second Discourse as a literal historical account. In its opening, he says that it must be denied that men were ever in the pure state of nature, citing revelation as a source which tells us that God directly endowed the first man with understanding (a capacity that he will later say is completely undeveloped in natural man). However, it seems in other parts of the Second Discourse that Rousseau is positing an actual historical account. Some of the stages in the progression from nature to civil society, Rousseau will argue, are empirically observable in so-called primitive tribes. And so the precise historicity with which one ought to regard Rousseau’s state of nature is the matter of some debate.

Part one is Rousseau’s description of human beings in the pure state of nature, uncorrupted by civilization and the socialization process. And although this way of examining human nature is consistent with other modern thinkers, Rousseau’s picture of “man in his natural state,” is radically different. Hobbes describes each human in the state of nature as being in a constant state of war against all others; hence life in the state of nature is solitary, poor, nasty, brutish, and short. But Rousseau argues that previous accounts such as Hobbes’ have all failed to actually depict humans in the true state of nature. Instead, they have taken civilized human beings and simply removed laws, government, and technology. For humans to be in a constant state of war with one another, they would need to have complex thought processes involving notions of property, calculations about the future, immediate recognition of all other humans as potential threats, and possibly even minimal language skills. These faculties, according to Rousseau, are not natural, but rather, they develop historically. In contrast to Hobbes, Rousseau describes natural man as isolated, timid, peaceful, mute, and without the foresight to worry about what the future will bring.

Purely natural human beings are fundamentally different from the egoistic Hobbesian view in another sense as well. Rousseau acknowledges that self-preservation is one principle of motivation for human actions, but unlike Hobbes, it is not the only principle. If it were, Rousseau claims that humans would be nothing more than monsters. Therefore, Rousseau concludes that self-preservation, or more generally self-interest, is only one of two principles of the human soul. The second principle is pity; it is “an innate repugnance to see his fellow suffer.” (Second Discourse, Vol. II, p. 36). It may seem that Rousseau’s depiction of natural human beings is one that makes them no different from other animals. However, Rousseau says that unlike all other creatures, humans are free agents. They have reason, although in the state of nature it is not yet developed. But it is this faculty that makes the long transition from the state of nature to the state of civilized society possible. He claims that if one examines any other species over the course of a thousand years, they will not have advanced significantly. Humans can develop when circumstances arise that trigger the use of reason.

Rousseau’s praise of humans in the state of nature is perhaps one of the most misunderstood ideas in his philosophy. Although the human being is naturally good and the “noble savage” is free from the vices that plague humans in civil society, Rousseau is not simply saying that humans in nature are good and humans in civil society are bad. Furthermore, he is not advocating a return to the state of nature, though some commentators, even his contemporaries such as Voltaire, have attributed such a view to him. Human beings in the state of nature are amoral creatures, neither virtuous nor vicious. After humans leave the state of nature, they can enjoy a higher form of goodness, moral goodness, which Rousseau articulates most explicitly in the Social Contract.

Having described the pure state of nature in the first part of the Second Discourse, Rousseau’s task in the second part is to explain the complex series of historical events that moved humans from this state to the state of present day civil society. Although they are not stated explicitly, Rousseau sees this development as occurring in a series of stages. From the pure state of nature, humans begin to organize into temporary groups for the purposes of specific tasks like hunting an animal. Very basic language in the form of grunts and gestures comes to be used in these groups. However, the groups last only as long as the task takes to be completed, and then they dissolve as quickly as they came together. The next stage involves more permanent social relationships including the traditional family, from which arises conjugal and paternal love. Basic conceptions of property and feelings of pride and competition develop in this stage as well. However, at this stage they are not developed to the point that they cause the pain and inequality that they do in present day society. If humans could have remained in this state, they would have been happy for the most part, primarily because the various tasks that they engaged in could all be done by each individual. The next stage in the historical development occurs when the arts of agriculture and metallurgy are discovered. Because these tasks required a division of labor, some people were better suited to certain types of physical labor, others to making tools, and still others to governing and organizing workers. Soon, there become distinct social classes and strict notions of property, creating conflict and ultimately a state of war not unlike the one that Hobbes describes. Those who have the most to lose call on the others to come together under a social contract for the protection of all. But Rousseau claims that the contract is specious, and that it was no more than a way for those in power to keep their power by convincing those with less that it was in their interest to accept the situation. And so, Rousseau says, “All ran to meet their chains thinking they secured their freedom, for although they had enough reason to feel the advantages of political establishment, they did not have enough experience to foresee its dangers.” (Second Discourse, Vol. II, p. 54).

The Discourse on the Origin of Inequality remains one of Rousseau’s most famous works, and lays the foundation for much of his political thought as it is expressed in the Discourse on Political Economy and Social Contract. Ultimately, the work is based on the idea that by nature, humans are essentially peaceful, content, and equal. It is the socialization process that has produced inequality, competition, and the egoistic mentality.

c. Discourse on Political Economy

The Discourse on Political Economy originally appeared in Diderot and d’Alembert’s Encyclopedia. In terms of its content the work seems to be, in many ways, a precursor to the Social Contract, which would appear in 1762. And whereas the Discourse on the Sciences and Arts and the Discourse on the Origin of Inequality look back on history and condemn what Rousseau sees as the lack of morality and justice in his own present day society, this work is much more constructive. That is, the Discourse on Political Economy explains what he takes to be a legitimate political regime.

The work is perhaps most significant because it is here that Rousseau introduces the concept of the “general will,” a major aspect of his political thought which is further developed in the Social Contract. There is debate among scholars about how exactly one ought to interpret this concept, but essentially, one can understand the general will in terms of an analogy. A political society is like a human body. A body is a unified entity though it has various parts that have particular functions. And just as the body has a will that looks after the well-being of the whole, a political state also has a will which looks to its general well-being. The major conflict in political philosophy occurs when the general will is at odds with one or more of the individual wills of its citizens.

With the conflict between the general and individual wills in mind, Rousseau articulates three maxims which supply the basis for a politically virtuous state: (1) Follow the general will in every action; (2) Ensure that every particular will is in accordance with the general will; and (3) Public needs must be satisfied. Citizens follow these maxims when there is a sense of equality among them, and when they develop a genuine respect for law. This again is in contrast to Hobbes, who says that laws are only followed when people fear punishment. That is, the state must make the penalty for breaking the law so severe that people do not see breaking the law to be of any advantage to them. Rousseau claims, instead, that when laws are in accordance with the general will, good citizens will respect and love both the state and their fellow citizens. Therefore, citizens will see the intrinsic value in the law, even in cases in which it may conflict with their individual wills.

4. The Social Contract

a. Background

The Social Contract is, like the Discourse on Political Economy, a work that is more philosophically constructive than either of the first two Discourses. Furthermore, the language used in the first and second Discourses is crafted in such a way as to make them appealing to the public, whereas the tone of the Social Contract is not nearly as eloquent and romantic. Another more obvious difference is that the Social Contract was not nearly as well-received; it was immediately banned by Paris authorities. And although the first two Discourses were, at the time of their publication, very popular, they are not philosophically systematic. The Social Contract, by contrast, is quite systematic and outlines how a government could exist in such a way that it protects the equality and character of its citizens. But although Rousseau’s project is different in scope in the Social Contract than it was in the first two Discourses, it would be a mistake to say that there is no philosophical connection between them. For the earlier works discuss the problems in civil society as well as the historical progression that has led to them. The Discourse on the Sciences and Arts claims that society has become such that no emphasis is put on the importance of virtue and morality. The Discourse on the Origin of Inequality traces the history of human beings from the pure state of nature through the institution of a specious social contract that results in present day civil society. The Social Contract does not deny any of these criticisms. In fact, chapter one begins with one of Rousseau’s most famous quotes, which echoes the claims of his earlier works: “Man was/is born free; and everywhere he is in chains.” (Social Contract, Vol. IV, p. 131). But unlike the first two Discourses, the Social Contract looks forward, and explores the potential for moving from the specious social contract to a legitimate one.

b. The General Will

The concept of the general will, first introduced in the Discourse on Political Economy, is further developed in the Social Contract although it remains ambiguous and difficult to interpret. The most pressing difficulty that arises is in the tension that seems to exist between liberalism and communitarianism. On one hand, Rousseau argues that following the general will allows for individual diversity and freedom. But at the same time, the general will also encourages the well-being of the whole, and therefore can conflict with the particular interests of individuals. This tension has led some to claim that Rousseau’s political thought is hopelessly inconsistent, although others have attempted to resolve the tension in order to find some type of middle ground between the two positions. Despite these difficulties, however, there are some aspects of the general will that Rousseau clearly articulates. First, the general will is directly tied to Sovereignty: but not Sovereignty merely in the sense of whomever holds power. Simply having power, for Rousseau, is not sufficient for that power to be morally legitimate. True Sovereignty is directed always at the public good, and the general will, therefore, speaks always infallibly to the benefit of the people. Second, the object of the general will is always abstract, or for lack of a better term, general. It can set up rules, social classes, or even a monarchial government, but it can never specify the particular individuals who are subject to the rules, members of the classes, or the rulers in the government. This is in keeping with the idea that the general will speaks to the good of the society as a whole. It is not to be confused with the collection of individual wills which would put their own needs, or the needs of particular factions, above those of the general public. This leads to a related point. Rousseau argues that there is an important distinction to be made between the general will and the collection of individual wills: “There is often a great deal of difference between the will of all and the general will. The latter looks only to the common interest; the former considers private interest and is only a sum of private wills. But take away from these same wills the pluses and minuses that cancel each other out, and the remaining sum of the differences is the general will.” (Social Contract, Vol. IV, p. 146). This point can be understood in an almost Rawlsian sense, namely that if the citizens were ignorant of the groups to which they would belong, they would inevitably make decisions that would be to the advantage of the society as a whole, and thus be in accordance with the general will.

c. Equality, Freedom, and Sovereignty

One problem that arises in Rousseau’s political theory is that the Social Contract purports to be a legitimate state in one sense because it frees human beings from their chains. But if the state is to protect individual freedom, how can this be reconciled with the notion of the general will, which looks always to the welfare of the whole and not to the will of the individual? This criticism, although not unfounded, is also not devastating. To answer it, one must return to the concepts of Sovereignty and the general will. True Sovereignty, again, is not simply the will of those in power, but rather the general will. Sovereignty does have the proper authority to override the particular will of an individual or even the collective will of a particular group of individuals. However, as the general will is infallible, it can only do so when intervening will be to the benefit of the society. To understand this, one must take note of Rousseau’s emphasis on the equality and freedom of the citizens. Proper intervention on the part of the Sovereign is therefore best understood as that which secures the freedom and equality of citizens rather than that which limits them. Ultimately, the delicate balance between the supreme authority of the state and the rights of individual citizens is based on a social contract that protects society against factions and gross differences in wealth and privilege among its members.

5. The Emile

a. Background

The Emile or On Education is essentially a work that details Rousseau’s philosophy of education. It was originally published just several months after the Social Contract. Like the Social Contract, the Emile was immediately banned by Paris authorities, which prompted Rousseau to flee France. The major point of controversy in the Emile was not in his philosophy of education per se, however. Rather, it was the claims in one part of the book, the Profession of Faith of the Savoyard Vicar in which Rousseau argues against traditional views of religion that led to the banning of the book. The Emile is unique in one sense because it is written as part novel and part philosophical treatise. Rousseau would use this same form in some of his later works as well. The book is written in first person, with the narrator as the tutor, and describes his education of a pupil, Emile, from birth to adulthood.

b. Education

The basic philosophy of education that Rousseau advocates in the Emile, much like his thought in the first two Discourses, is rooted in the notion that human beings are good by nature. The Emile is a large work, which is divided into five Books, and Book One opens with Rousseau’s claim that the goal of education should be to cultivate our natural tendencies. This is not to be confused with Rousseau’s praise of the pure state of nature in the Second Discourse. Rousseau is very clear that a return the state of nature once human beings have become civilized is not possible. Therefore, we should not seek to be noble savages in the literal sense, with no language, no social ties, and an underdeveloped faculty of reason. Rather, Rousseau says, someone who has been properly educated will be engaged in society, but relate to his or her fellow citizens in a natural way.

At first glance, this may seem paradoxical: If human beings are not social by nature, how can one properly speak of more or less natural ways of socializing with others? The best answer to this question requires an explanation of what Rousseau calls the two forms of self-love: amour-propre and amour de soi. Amour de soi is a natural form of self-love in that it does not depend on others. Rousseau claims that by our nature, each of us has this natural feeling of love toward ourselves. We naturally look after our own preservation and interests. By contrast, amour-propre is an unnatural self-love that is essentially relational. That is, it comes about in the ways in which human beings view themselves in comparison to other human beings. Without amour-propre, human beings would scarcely be able to move beyond the pure state of nature Rousseau describes in the Discourse on Inequality. Thus, amour-propre can contribute positively to human freedom and even virtue. Nevertheless, amour-propre is also extremely dangerous because it is so easily corruptible. Rousseau often describes the dangers of what commentators sometimes refer to as ‘inflamed’ amour-propre. In its corrupted form, amour-propre is the source of vice and misery, and results in human beings basing their own self worth on their feeling of superiority over others. While not developed in the pure state of nature, amour-propre is still a fundamental part of human nature. Therefore goal of Emile’s natural education is in large part to keep him from falling into the corrupted form of this type of self-love.

Rousseau’s philosophy of education, therefore, is not geared simply at particular techniques that best ensure that the pupil will absorb information and concepts. It is better understood as a way of ensuring that the pupil’s character be developed in such a way as to have a healthy sense of self-worth and morality. This will allow the pupil to be virtuous even in the unnatural and imperfect society in which he lives. The character of Emile begins learning important moral lessons from his infancy, thorough childhood, and into early adulthood. His education relies on the tutor’s constant supervision. The tutor must even manipulate the environment in order to teach sometimes difficult moral lessons about humility, chastity, and honesty.

c. Women, Marriage, and Family

As Emile’s is a moral education, Rousseau discusses in great detail how the young pupil is to be brought up to regard women and sexuality. He introduces the character of Sophie, and explains how her education differs from Emile’s. Hers is not as focused on theoretical matters, as men’s minds are more suited to that type of thinking. Rousseau’s view on the nature of the relationship between men and women is rooted in the notion that men are stronger and therefore more independent. They depend on women only because they desire them. By contrast, women both need and desire men. Sophie is educated in such a way that she will fill what Rousseau takes to be her natural role as a wife. She is to be submissive to Emile. And although Rousseau advocates these very specific gender roles, it would be a mistake to take the view that Rousseau regards men as simply superior to women. Women have particular talents that men do not; Rousseau says that women are cleverer than men, and that they excel more in matters of practical reason. These views are continually discussed among both feminist and Rousseau scholars.

d. The Profession of Faith of the Savoyard Vicar

The Profession of Faith of the Savoyard Vicar is part of the fourth Book of the Emile. In his discussion of how to properly educate a pupil about religious matters, the tutor recounts a tale of an Italian who thirty years before was exiled from his town. Disillusioned, the young man was aided by a priest who explained his own views of religion, nature, and science. Rousseau then writes in the first person from the perspective of this young man, and recounts the Vicar’s speech.

The priest begins by explaining how, after a scandal in which he broke his vow of celibacy, he was arrested, suspended, and then dismissed. In his woeful state, the priest began to question all of his previously held ideas. Doubting everything, the priest attempts a Cartesian search for truth by doubting all things that he does not know with absolute certainty. But unlike Descartes, the Vicar is unable to come to any kind of clear and distinct ideas that could not be doubted. Instead, he follows what he calls the “Inner Light” which provides him with truths so intimate that he cannot help but accept them, even though they may be subject to philosophical difficulties. Among these truths, the Vicar finds that he exists as a free being with a free will which is distinct from his body that is not subject to physical, mechanical laws of motion. To the problem of how his immaterial will moves his physical body, the Vicar simply says “I cannot tell, but I perceive that it does so in myself; I will to do something and I do it; I will to move my body and it moves, but if an inanimate body, when at rest, should begin to move itself, the thing is incomprehensible and without precedent. The will is known to me in its action, not in its nature.” (Emile, p. 282). The discussion is particularly significant in that it marks the most comprehensive metaphysical account in Rousseau’s thought.

The Profession of Faith also includes the controversial discussion of natural religion, which was in large part the reason why Emile was banned. The controversy of this doctrine is the fact that it is categorically opposed to orthodox Christian views, specifically the claim that Christianity is the one true religion. The Vicar claims instead that knowledge of God is found in the observation of the natural order and one’s place in it. And so, any organized religion that correctly identifies God as the creator and preaches virtue and morality, is true in this sense. Therefore, the Vicar concludes, each citizen should dutifully practice the religion of his or her own country so long as it is in line with the religion, and thus morality, of nature.

6. Other Works

a. Julie or the New Heloise

Julie or the New Heloise remains one of Rousseau’s popular works, though it is not a philosophical treatise, but rather a novel. The work tells the story of Julie d’Etange and St. Preux, who were one time lovers. Later, at the invitation of her husband, St. Preux unexpectedly comes back into Julie’s life. Although not a work of philosophy per se, Julie or the New Heloise is still unmistakably Rousseau’s. The major tenets of his thought are clearly evident; the struggle of the individual against societal norms, emotions versus reason, and the goodness of human nature are all prevalent themes.

b. Reveries of the Solitary Walker

Rousseau began writing the Reveries of the Solitary Walker in the fall of 1776. By this time, he had grown increasingly distressed over the condemnation of several of his works, most notably the Emile and the Social Contract. This public rejection, combined with rifts in his personal relationships, left him feeling betrayed and even as though he was the victim of a great conspiracy. The work is divided into ten “walks” in which Rousseau reflects on his life, what he sees as his contribution to the public good, and how he and his work have been misunderstood. It is interesting that Rousseau returns to nature, which he had always praised throughout his career. One also recognizes in this praise the recognition of God as the just creator of nature, a theme so prevalent in the Profession of Faith of the Savoyard Vicar. The Reveries of the Solitary Walker, like many of Rousseau’s other works, is part story and part philosophical treatise. The reader sees in it, not only philosophy, but also the reflections of the philosopher himself.

c. Rousseau: Judge of Jean Jacques

The most distinctive feature of this late work, often referred to simply as the Dialogues, is that it is written in the form of three dialogues. The characters in the dialogues are “Rousseau” and an interlocutor identified simply as a “Frenchman.” The subject of these characters’ conversations is the author “Jean-Jacques,” who is the actual historical Rousseau. This somewhat confusing arrangement serves the purpose of Rousseau judging his own career. The character “Rousseau,” therefore, represents Rousseau had he not written his collected works but instead had discovered them as if they were written by someone else. What would he think of this author, represented in the Dialogues as the character “Jean-Jacques?” This self-examination makes two major claims. First, like the Reveries, it makes clearly evident the fact that Rousseau felt victimized and betrayed, and shows perhaps even more so than the Reveries, Rousseau’s growing paranoia. And second, the Dialogues represent one of the few places that Rousseau claims his work is systematic. He claims that there is a philosophical consistency that runs throughout his works. Whether one accepts that such a system is present in Rousseau’s philosophy or not is a question that was not only debated during Rousseau’s time, but is also continually discussed among contemporary scholars.

7. Historical and Philosophical Influence

It is difficult to overestimate Rousseau’s influence, both in the Western philosophical tradition, and historically. Perhaps his greatest directly philosophical influence is on the ethical thought of Immanuel Kant. This may seem puzzling at first glance. For Kant, the moral law is based on rationality, whereas in Rousseau, there is a constant theme of nature and even the emotional faculty of pity described in the Second Discourse. This theme in Rousseau’s thought is not to be ignored, and it would be a mistake to understand Rousseau’s ethics merely as a precursor to Kant; certainly Rousseau is unique and significant in his own respect. But despite these differences, the influence on Kant is undeniable. The Profession of Faith of the Savoyard Vicar is one text in particular that illustrates this influence. The Vicar claims that the correct view of the universe is to see oneself not at the center of things, but rather on the circumference, with all people realizing that we have a common center. This same notion is expressed in the Rousseau’s political theory, particularly in the concept of the general will. In Kant’s ethics, one of the major themes is the claim that moral actions are those that can be universalized. Morality is something separate from individual happiness: a view that Rousseau undoubtedly expresses as well.

A second major influence is Rousseau’s political thought. Not only is he one of the most important figures in the history of political philosophy, later influencing Karl Marx among others, but his works were also championed by the leaders of the French Revolution. And finally, his philosophy was largely instrumental in the late eighteenth century Romantic Naturalism movement in Europe thanks in large part to Julie or the New Heloise and the Reveries of the Solitary Walker.

Contemporary Rousseau scholarship continues to discuss many of the same issues that were debated in the eighteenth century. The tension in his political thought between individual liberty and totalitarianism continues to be an issue of controversy among scholars. Another aspect of Rousseau’s philosophy that has proven to be influential is his view of the family, particularly as it pertains to the roles of men and women.

8. References and Further Reading

a. Works by Rousseau

Below is a list of Rousseau’s major works in chronological order. The titles are given in the original French as well as the English translation. Following the title is the year of the work’s first publication and, for some works, a brief description:

  • Discours sur les Sciences et les Arts (Discourse on the Sciences and Arts), 1750.
    • Often referred to as the “First Discourse,” this work was a submission to the Academy of Dijon’s essay contest, which it won, on the question, “Has the restoration of the sciences and arts tended to purify morals?”
  • Le Devin du Village (The Village Soothsayer), 1753.
    • Rousseau’s opera: it was performed in France and widely successful.
  • Narcisse ou l’amant de lui-même (Narcissus or the lover of himself), 1753.
    • A play written by Rousseau.
  • Lettre sur la musique francaise (Letter on French music), 1753.
  • Discours sur l’origine et les fondments de l’inegalite (Discourse on the Origin and Foundations of Inequality), 1755.
    • Often referred to as the “Second Discourse,” this was another submission to an essay contest sponsored by the Academy of Dijon, though unlike the First Discourse, it did not win the prize. The Second Discourse is a response to the question, “What is the Origin of Inequality Among Men and is it Authorized by the Natural Law?”
  • Discours sur l’Économie politique (Discourse on Political Economy), 1755.
    • Sometimes called the “Third Discourse,” this work originally appeared in the Encyclopédie of Diderot and d’Alembert.
  • Lettre á d’Alembert sur les Spectacles (Letter to Alembert on the Theater), 1758.
  • Juli ou la Nouvelle Héloïse (Julie or the New Heloise), 1761.
    • A novel that was widely read and successful immediately after its publication.
  • Du Contract Social (The Social Contract), 1762.
    • Rousseau’s most comprehensive work on politics.
  • Émile ou de l’Éducation (Émile or On Education), 1762.
    • Rousseau’s major work on education. It also contains the Profession of Faith of the Savoyard Vicar, which documents Rousseau’s views on metaphysics, free will, and his controversial views on natural religion for which the work was banned by Parisian authorities.
  • Lettre á Christophe de Beaumont, Archévêque de Paris (Letter to Christopher de Beaumont, Archbishop of Paris), 1763.
  • Lettres écrites de la Montagne (Letters Written from the Mountain), 1764.
  • Dictionnaire de Musique (Dictionary of Music), 1767.
  • Émile et Sophie ou les Solitaires (Émile and Sophie or the Solitaries), 1780.
    • A short sequel to the Émile.
  • Considérations sur le gouverment de la Pologne (Considerations on the Government of Poland), 1782.
  • Les Confessions (The Confessions), Part I 1782, Part II 1789.
    • Rousseau’s autobiography.
  • Rousseau juge de Jean-Jacques, Dialogues (Rousseau judge of Jean-Jacques, Dialogues), First Dialogue 1780, Complete 1782.
  • Les Rêveries du Promeneur Solitaire (Reveries of the Solitary Walker), 1782.

b. Works about Rousseau

The standard original language edition is Ouevres completes de Jean Jacques Rousseau, eds. Bernard Gagnebin and Marcel Raymond, Paris: Gallimard, 1959-1995. The most comprehensive English translation of Rousseau’s works is the Collected Writings of Rousseau, series eds. Roger Masters and Christopher Kelly, Hanover: University Press of New England, 1990-1997. References are given by the title of the work, the volume number (in Roman Numerals), and the page number. The Collected Works do not include the Emile. References to this work are from Emile, trans. Barbara Foxley, London: Everyman, 2000. The following is a brief list of widely available secondary texts.

  • Cooper, Laurence D. Rousseau and Nature: The Problem of the Good Life. Penn State UP, 1999. Cranston, Maurice. Jean-Jacques: The Early Life and Work of Jean-Jacques, 1712- 1754. University of Chicago Press, 1991.
  • Cranston, Maurice. The Noble Savage: Jean-Jacques Rousseau, 1754-1762. University of Chicago Press, 1991.
  • Cranston, Maurice. The Solitary Self: Jean-Jacques Rousseau in Exile and Adversity. University of Chicago Press, 1997.
  • Dent, N.J.H. Rousseau. Blackwell, 1988.
  • Gourevitch, Victor. Rousseau: The ‘Discourses’ and Other Early Political Writings. Cambridge UP, 1997.
  • Gourevitch, Victor. Rousseau: The ‘Social Contract’ and Other Later Political Writings. Cambridge UP, 1997.
  • Melzer, Arthur. The Natural Goodness of Man: On the Systems of Rousseau’s Thought. University of Chicago Press, 1990.
  • Neuhouser, Frederick. Rousseau’s Theodicy of Self-Love: Evil, Rationality, and the Drive for Recognition. Oxford University Press, 2008.

  • O’Hagan, Timothy. Rousseau. Routledge, 1999.
  • Riley, Patrick, ed. The Cambridge Companion to Rousseau. Cambridge UP, 2001.
  • Reisert, Joseph. Jean-Jacques Rousseau: A Friend of Virtue. Cornell UP, 2003.
  • Rosenblatt, Helena. Rousseau and Geneva. Cambridge: Cabridge UP, 1997.
  • Starobinski, Jean. Jean-Jacques Rousseau: Transparency and Obstruction. Chicago: University of Chicago Press, 1988.
  • Wokler, Robert. Rousseau. Oxford: Oxford UP, 1995.
  • Wokler, Robert, ed. Rousseau and Liberty. Manchester: Manchester UP, 1995.

Author Information

James J. Delaney
Email: jdelaney@niagara.edu
Niagara University
U. S. A.

The Classical Theory of Concepts

The classical theory of concepts is one of the five primary theories of concepts, the other four being prototype or exemplar theories, atomistic theories, theory-theories, and neoclassical theories. The classical theory implies that every complex concept has a classical analysis, where a classical analysis of a concept is a proposition giving metaphysically necessary and jointly sufficient conditions for being in the extension across possible worlds for that concept. That is, a classical analysis for a complex concept C gives a set of individually necessary conditions for being a C (or conditions that must be satisfied in order to be a C) that together are sufficient for being a C (or are such that something’s satisfying every member of that set of necessary conditions entails its being a C). The classical view also goes by the name of “the definitional view of concepts,” or “definitionism,” where a definition of a concept is given in terms of necessary and jointly sufficient conditions.

This article provides information on the classical theory of concepts as present in the historical tradition, on concepts construed most generally, on the nature of classical conceptual analysis, and on the most significant of the objections raised against the classical view.

Table of Contents

  1. Historical Background and Advantages of the Classical View
  2. Concepts in General
    1. Concepts as Semantic Values
    2. Concepts as Universals
    3. Concepts as Mind-Dependent or Mind-Independent
    4. Concepts as the Targets of Analysis
    5. The Classical View and Concepts in General
  3. Classical Analyses
    1. Necessary and Sufficient Conditions
    2. Logical Constitution
    3. Other Conditions on Classical Analyses
    4. Testing Candidate Analyses
    5. Apriority and Analyticity with respect to Classical Analyses
  4. Objections to the Classical View
    1. Plato’s Problem
    2. The Argument from Categorization
    3. Arguments from Vagueness
    4. Quine’s Criticisms
    5. Scientific Essentialist Criticisms
  5. References and Further Reading

1. Historical Background and Advantages of the Classical View

The classical view can be traced back to at least the time of Socrates, for in many of Plato’s dialogues Socrates is clearly seeking a classical analysis of some notion or other. In the Euthyphro, for instance, Socrates seeks to know the nature of piety: Yet what he seeks is not given in terms of, for example, a list of pious people or actions, nor is piety to be identified with what the gods love. Instead, Socrates seeks an account of piety in terms of some specification of what is shared by all things pious, or what makes pious things pious—that is, he seeks a specification of the essence of piety itself. The Socratic elenchus is a method of finding out the nature or essence of various kinds of things, such as friendship (discussed in the Lysis), courage (the Laches), knowledge (the Theatetus), and justice (the Republic). That method of considering candidate definitions and seeking counterexamples to them is the same method one uses to test candidate analyses by seeking possible counterexamples to them, and thus Socrates is in effect committed to something very much like the classical view of concepts.

One sees the same sort of commitment throughout much of the Western tradition in philosophy from the ancient Greeks through the present. Clear examples include Aristotle’s notion of a definition as “an account [or logos] that signifies the essence” (Topics I) by way of a specification of essential attributes, as well as his account of definitions for natural kinds in terms of genus and difference. Particular examples of classical-style analyses abound after Aristotle: For instance, Descartes (in Meditation VI) defines body as that which is extended in both space and time, and mind as that which thinks. Locke (in the Essay Concerning Human Understanding, Ch. 21) defines being free with respect to doing an action A as choosing/willing to do A where one’s choice is part of the cause of one’s actually doing A. Hume defines a miracle (in Enquiry Concerning Human Understanding, §X) as an event that is both a violation of the laws of nature and caused by God. And so on. The classical view looks to be a presumption of the early analytic philosophers as well (with Wittgenstein being a notable exception). The classical view is present in the writings of Frege and Russell, and the view receives its most explicit treatment by that time in G.E. Moore’s Lectures on Philosophy and other writings. Moore gives a classical analysis of the very notion of a classical analysis, and from then on the classical view (or some qualified version of it) has been one of the pillars of analytic philosophy itself.

One reason the classical view has had such staying power is that it provides the most obvious grounding for the sort of inquiry within philosophy that Socrates began. If one presumes that there are answers to What is F?-type questions, where such questions ask for the nature of knowledge, mind, goodness, etc., then that entails that there is such a thing as the nature of knowledge, mind, goodness, etc. The nature of knowledge, for example, is that which is shared by all cases of knowledge, and a classical analysis of the concept of knowledge specifies the nature of knowledge itself. So the classical view fits neatly with the reasonable presumption that there are legitimate answers to philosophical questions concerning the natures or essences of things. As at least some other views of concepts reject the notion that concepts have metaphysically necessary conditions, accepting such other views is tantamount to rejecting (or at least significantly revising) the legitimacy of an important part of the philosophical enterprise.

The classical view also serves as the ground for one of the most basic tools of philosophy—the critical evaluation of arguments. For instance, one ground of contention in the abortion debate concerns whether fetuses have the status of moral persons or not. If they do, then since moral persons have the right not to be killed, generally speaking, then it would seem to follow that abortion is immoral. The classical view grounds the natural way to address the main contention here, for part of the task at hand is to find a proper analysis of the concept of being a moral person. If that analysis specifies features such that not all of them are had by fetuses, then fetuses are not moral persons, and the argument against the moral permissibility of abortion fails. But without there being analyses of the sort postulated by the classical view, it is far from clear how such critical analysis of philosophical arguments is to proceed. So again, the classical view seems to underpin an activity crucial to the practice of philosophy itself.

In contemporary philosophy, J. J. Katz (1999), Frank Jackson (1994, 1998), and Christopher Peacocke (1992) are representative of those who hold at least some qualified version of the classical view. There are others as well, though many philosophers have rejected the view (at least in part due to the criticisms to be discussed in section 4 below). The view is almost universally rejected in contemporary psychology and cognitive science, due to both theoretical difficulties with the classical view and the arrival of new theories of concepts over the last quarter of the twentieth century.

2. Concepts in General

The issue of the nature of concepts is important in philosophy generally, but most perspicuously in philosophy of language and philosophy of mind. Most generally, concepts are thought to be among those things that count as semantic values or meanings (along with propositions). There is also reason to think that concepts are universals (along with properties, relations, etc.), and what general theory of universals applies to concepts is thus a significant issue with respect to the nature of concepts. Whether concepts are mind-dependent or mind-independent is another such issue. Finally, concepts tend to be construed as the targets of analysis. If one then treats analysis as classical analysis, and holds that all complex concepts have classical analyses, then one accepts the classical view. Other views of concepts might accept the thesis that concepts are targets of analysis, but differ from the classical view over the sort of analysis that all complex concepts have.

a. Concepts as Semantic Values

As semantic values, concepts are the intensions or meanings of sub-sentential verbal expressions such as predicates, adjectives, verbs, and adverbs. Just as the sentence “The sun is a star” expresses the proposition that the sun is a star, the predicate “is a star” expresses the concept of being a star (or [star], to introduce notation to be used in what follows). Further, just as the English sentence “Snow is white” expresses the proposition that snow is white, and so does the German sentence “Schnee ist Weiss,” the predicates “is white” in English and “ist Weiss” in German both express the same concept, the concept of being white (or [white]). The intension or meaning of a sentence is a proposition. The intensions or meanings of many sub-sentential entities are concepts.

b. Concepts as Universals

Concepts are also generally thought to be universals. The reasons for this are threefold:

(1) A given concept is expressible using distinct verbal expressions. This can occur in several different ways. My uttering “Snow is white” and your uttering “Snow is white” are distinct utterances, and their predicates are distinct expressions of the same concept [white]. My uttering “Snow is white” and your uttering “Schnee ist Weiss” are distinct sentences with their respective predicates expressing the same concept ([white], again). Even within the same language, my uttering “Grisham is the author of The Firm” and your uttering “Grisham is The Firm’s author” are distinct sentences with distinct predicates, yet their respective predicates express the same concept (the concept [the author of The Firm], in this case).

(2) Second, different agents can possess, grasp, or understand the same concept, though such possession might come in degrees. Most English speakers possess the concept [white], and while many possess [neutrino], not many possess that concept to such a degree that one knows a great deal about what neutrinos themselves are.

(3) Finally, concepts typically have multiple exemplifications or instantiations. Many distinct things are white, and thus there are many exemplifications or instances of the concept [white]. There are many stars and many neutrinos, and thus there are many instances of [star] and [neutrino]. Moreover, distinct concepts can have the very same instances. The concepts [renate] and [cardiate] have all the same actual instances, as far as we know, and so does [human] and [rational animal]. Distinct concepts can also have necessarily all of the same instances: For instance, the concepts [triangular figure] and [trilateral figure] must have the same instances, yet the predicates “is a triangular figure” and “is a trilateral figure” seem to have different meanings.

As universals, concepts may be treated under any of the traditional accounts of universals in general. Realism about concepts (considered as universals) is the view that concepts are distinct from their instances, and nominalism is the view that concepts are nothing over and above, or distinct from, their instances. Ante rem realism (or platonism) about concepts is the view that concepts are ontologically prior to their instances—that is, concepts exist whether they have instances or not. In re realism about concepts is the view that concepts are in some sense “in” their instances, and thus are not ontologically prior to their instances. Conceptualism with respect to concepts holds that concepts are mental entities, being either immanent in the mind itself as a sort of idea, as constituents of complete thoughts, or somehow dependent on the mind for their existence (perhaps by being possessed by an agent or by being possessible by an agent). Conceptualist views also include imagism, the view (dating from Locke and others) that concepts are a sort of mental image. Finally, nominalist views of concepts might identify concepts with classes or sets of particular things (with the concept [star] being identified with the set of all stars, or perhaps the set of all possible stars). Linguistic nominalism identifies concepts with the linguistic expressions used to express them (with [star] being identified with the predicate “is a star,” perhaps). Type linguistic nominalism identifies concepts with types of verbal expressions (with [star] identified with the type of verbal expression exemplified by the predicate “is a star”).

c. Concepts as Mind-Dependent or Mind-Independent

On many views, concepts are things that are “in” the mind, or “part of” the mind, or at least are dependent for their existence on the mind in some sense. Other views deny such claims, holding instead that concepts are mind-independent entities. Conceptualist views are examples of the former, and platonic views are examples of the latter. The issue of whether concepts are mind-dependent or mind-independent carries great weight with respect to the clash between the classical view and other views of concepts (such as prototype views and theory-theories). If concepts are immanent in the mind as mental particulars, for instance, then various objections to the classical view have more force; if concepts exist independently of one’s ideas, beliefs, capacities for categorizing objects, etc., then some objections to the classical view have much less force.

d. Concepts as the Targets of Analysis

Conceptual analysis is of concepts, and philosophical questions of the form What is F? (such as “What is knowledge?,” “What is justice?,” “What is a person?,” etc.) are questions calling for conceptual analyses of various concepts (such as [knowledge], [justice], [person], etc.). Answering the further question “What is a conceptual analysis?” is yet another way to distinguish among different views of concepts. For instance, the classical view holds that all complex concepts have classical analyses, where a complex concept is a concept having an analysis in terms of other concepts. Alternatively, prototype views analyze concepts in terms of typical features or in terms of a prototypical or exemplary case. For instance, such a view might analyze the concept of being a bird in terms of such typical features as being capable of flight, being small, etc., which most birds share, even if not all of them do. A second sort of prototype theory (sometimes called “the exemplar view”) might analyze the concept of being a bird in terms of a most exemplary case (a robin, say, for the concept of being a bird). So-called theory-theories analyze a concept in terms of some internally represented theory about the members of the extension of that concept. For example, one might have an overall theory of birds, and the concept one expresses with one’s use of ‘bird’ is then analyzed in terms of the role that concept plays in that internally represented theory. Neoclassical views of concepts preserve one element of the classical view, namely the claim that all complex concepts have metaphysically necessary conditions (in the sense that, for example, being unmarried is necessary for being a bachelor), but reject the claim that all complex concepts have metaphysically sufficient conditions. Finally, atomistic views reject all notions of analysis just mentioned, denying that concepts have analyses at all.

e. The Classical View and Concepts in General

The classical view claims simply that all complex concepts have classical analyses. As such, the classical view makes no claims as to the status of concepts as universals, or as being mind-dependent or mind-independent entities. The classical view also is consistent with concepts being analyzable by means of other forms of analysis. Yet some views of universals are more friendly to the classical view than others, and the issue of the mind-dependence or mind-independence of concepts is of some importance to whether the classical view is correct or not. For instance, if concepts are identical to ideas present in the mind (as would be true on some conceptualist views), then if the contents of those ideas fail to have necessary and sufficient defining conditions, then the classical view looks to be false (or at least not true for all concepts). Alternatively, on platonic views of concepts, such a lack of available necessary and jointly sufficient conditions for the contents of our own ideas is of no consequence to the classical view, since ideas are not concepts according to platonic accounts.

3. Classical Analyses

There are two components to an analysis of a complex concept (where a complex concept is a concept that has an analysis in terms of other “simpler” concepts): The analysandum, or the concept being analyzed, and the analysans, or the concept that “does the analyzing.” For a proposition to be a classical analysis, the following conditions must hold:

(I) A classical analysis must specify a set of necessary and jointly sufficient conditions for being in the analysandum’s extension (where a concept’s extension is everything to which that concept could apply). (Other classical theorists deny that all classical analysis specify jointly sufficient conditions, holding instead that classical analyses merely specify necessary and sufficient conditions.)

(II) A classical analysis must specify a logical constitution of the analysandum.

Other suggested conditions on classical analysis are given below.

a. Necessary and Sufficient Conditions

Consider an arbitrary concept [F]. A necessary condition for being an F is a condition such that something must satisfy that condition in order for it to be an F. For instance, being male is necessary for being a bachelor, and being four-sided is necessary for being a square. Such characteristics specified in necessary conditions are shared by, or had in common with, all things to which the concept in question applies.

A sufficient condition for being an F is a condition such that if something satisfies that condition, then it must be an F. Being a bachelor is sufficient for being male, for instance, and being a square is sufficient for being a square.

A necessary and sufficient condition for being an F is a condition such that not only must a thing satisfy that condition in order to be an F, but it is also true that if a thing satisfies that condition, then it must be an F. For instance, being a four-sided regular, plane figure is both necessary and sufficient for being a square. That is, a thing must be a four-sided regular plane figure in order for it to be a square, and if a thing is a four-sided regular plane figure, then it must be a square. [The word “regular” means that all sides are the same length.]

Finally, for a concept [F], necessary and jointly sufficient conditions for being an F is a set of necessary conditions such that satisfying all of them is sufficient for being an F. The conditions of being four-sided and of being a regular figure are each necessary conditions for being a square, for instance, and the conjunction of them is a sufficient condition for being a square.

b. Logical Constitution

A classical analysis also gives a logical constitution of the concept being analyzed, in keeping with Moore’s idea that an analysis breaks a concept up into its components or constituents. In an analysis, it is the logical constituents that an analysis specifies, where a logical constituent of a concept is a concept entailed by that concept. (A concept entails another concept when being in the extension of the former entails being in the extension of the latter.) For instance, [four-sided] is a logical constituent of [square], since something’s being a square entails that it is four-sided.

For a logical constitution specified by a classical analysis, a logical constitution of a concept [F] is a collection of concepts, where each member of that collection is entailed by [F], and where [F] entails all of them taken collectively.

Most complex concepts will have more than one logical constitution, given that there are different ways of analyzing the same concept. For instance, “A square is a four-sided regular figure” expresses an analysis of [square], but so does “A square is a four-sided, closed plane figure having sides all the same length and having neighboring sides orthogonal to one another.” The first analysis gives one logical constitution for [square], and the second analysis seems to give another.

c. Other Conditions on Classical Analyses

In addition to conditions (I) and (II), other conditions on classical analyses have been proposed. Among them are the following:

(III) A classical analysis must not include the analysandum as either its analysans or as part of its analysans. That is, a classical analysis cannot be circular. “A square is a square” does not express an analysis, and neither does “A true sentence is a sentence that specifies a true correspondence between the proposition it expresses and the world.”

(IV) A classical analysis must not have its analysandum be more complex than its analysans. That is, while “A square is a four-sided regular figure” expresses an analysis, “A four-sided regular figure is a square” does not. While the latter sentence is true, it does not express an analysis of [four-sided regular figure]. The concept [four-sided regular figure] analyzes [square], not the other way around.

(V) A classical analysis specifies a precise extension of the concept being analyzed, in the sense of specifying for any possible particular whether it is definitely in or definitely not in that concept’s extension.

(VI) A classical analysis does not include any vague concepts in either its analysandum or its analysans.

The last two conditions concern vagueness. It might be thought that an analysis has to specify in some very precise way what is, and what is not, in that concept’s extension (condition (V)), and also that an expression of an analysis itself cannot include any vague terms (condition (VI)).

d. Testing Candidate Analyses

In seeking a correct analysis for a concept, one typically considers some number of so-called candidate analyses. A correct analysis will have no possible counterexamples, where such counterexamples might show a candidate analysis to be either too broad or too narrow. For instance, let

“A square is a four-sided, closed plane figure”

express a candidate analysis for the concept of being a square. This candidate analysis is too broad, since it would include some things as being squares that are nevertheless not squares. Counterexamples include any trapezoid or rectangle (that is not itself a square, that is).

On the other hand, the candidate analysis expressed by

“A square is a red four-sided regular figure”

is too narrow, as it rules out some genuine squares as being squares, as it is at least possible for there to be squares other than red ones. Assuming for sake of illustration that squares are the sorts of things that can be colored at all, a blue square counts as a counterexample to this candidate analysis, since it fails one of the stated conditions that a square be red.

It might be wondered as to why correct analyses have no possible counterexamples, instead of the less stringent condition that correct analyses have no actual counterexamples. The reason is that analyses are put forth as necessary truths. An analysis of a concept like the concept of being a mind, for instance, is a specification of what is shared by all possible minds, not just what is in common among those minds that actually happen to exist. Similarly, in seeking an analysis of the concept of justice or piety (as Socrates sought), what one seeks is not a specification of what is in common among all just actions or all pious actions that are actual. Instead, what one seeks is the nature of justice or piety, and that is what is in common among all possible just actions or pious actions.

e. Apriority and Analyticity with respect to Classical Analyses

Classical analyses are commonly thought to be both a priori and analytic. They look to be a priori since there is no empirical component essential to their justification, and in that sense classical analyses are knowable by reason alone. In fact, the method of seeking possible counterexamples to a candidate analysis is a paradigmatic case of justifying a proposition a priori. Classical analyses also appear to be analytic, since on the rough construal of analytic propositions as those propositions “true by meaning alone,” classical analyses are indeed that sort of proposition. For instance, “A square is a four-sided regular figure” expresses an analysis, and if “square” and “four-sided regular figure” are identical in meaning, then the analysis is true by meaning alone. On an account of analyticity where analytic propositions are those propositions where what is expressed by the predicate expression is “contained in” what is expressed in the subject expression, classical analyses turn out to be analytic. If what is expressed by “four-sided regular figure” is contained in what is expressed by “square,” then “A square is a four-sided regular figure” is such that the meaning of its predicate expression is contained in what its subject expresses. Finally, on an account of analyticity treating analytic propositions as those where substitution of codesignating terms yields a logical truth, classical analyses turn out to be analytic propositions once more. For since “square” and “four-sided regular figure” have the same possible-worlds extension, then substituting “square” for “four-sided regular figure” in “A square is a four-sided regular figure” yields “A square is a square,” which is a logical truth. (For a contrary view holding that analyses are synthetic propositions, rather than analytic, see Ackerman 1981, 1986, and 1992.)

4. Objections to the Classical View

Despite its history and natural appeal, in many circles the classical view has long since been rejected for one reason or another. Even in philosophy, many harbor at least some skepticism of the thesis that all complex concepts have classical analyses with the character described above. A much more common view is that some complex concepts follow the classical model, but not all of them. This section considers six fairly common objections to the classical view.

a. Plato’s Problem

Plato’s problem is that after over two and a half millennia of seeking analyses of various philosophically important concepts, few if any classical analyses of such concepts have ever been discovered and widely agreed upon as fact. If there are classical analyses for all complex concepts, the critics claim, then one would expect a much higher rate of success in finding such analyses given the effort expended so far. In fact, aside from ordinary concepts such as [bachelor] and [sister], along with some concepts in logic and mathematics, there seems to be no consensus on analyses for any philosophically significant concepts. Socrates’ question “What is justice?,” for instance, has received a monumental amount of attention since Socrates’ time, and while there has been a great deal of progress made with respect to what is involved in the nature of justice, there still is not a consensus view as to an analysis of the concept of justice. The case is similar with respect to questions such as “What is the mind?,” “What is knowledge?,” “What is truth?,” “What is freedom?,” and so on.

One might think that such an objection holds the classical view to too high a standard. After all, even in the sciences there is rarely universal agreement with respect to a particular scientific theory, and progress is ongoing in furthering our understanding of entities such as electrons and neutrinos, as well as events like the Big Bang—there is always more to be discovered. Yet it would be preposterous to think that the scientific method is flawed in some way simply because such investigations are ongoing, and because there is not universal agreement with respect to various theories in the sciences. So why think that the method of philosophical analysis, with its presumption that all complex concepts have classical analyses, is flawed in some way because of the lack of widespread agreement with respect to completed or full analyses of philosophically significant concepts?

Yet while there are disagreements in the sciences, especially in cases where a given scientific theory is freshly proposed, such disagreements are not nearly as common as they are in philosophy. For instance, while there are practicing scientists that claim to be suspicious of quantum mechanics, of the general theory of relativity, or of evolution, such detractors are extremely rare compared to what is nearly a unanimous opinion that those theories are correct or nearly correct. In philosophy, however, there are widespread disagreements concerning even the most basic questions in philosophy. For instance, take the questions “Are we free?” and “Does being free require somehow being able to do otherwise?” The first question asks for an analysis of what is meant by “free,” and the second asks whether being able to do otherwise is a necessary condition on being free. Much attention has been paid to such basic questions, and the critics of the classical view claim that one would expect some sort of consensus as to the answers to them if the concept of freedom really has a classical analysis. So there is not mere disagreement with respect to the answers to such questions, but such disagreements are both widespread and involve quite fundamental issues as well. As a result, the difficulty in finding classical analyses has led many to reject the classical view.

b. The Argument from Categorization

There are empirical objections to the classical view as well. The argument from categorization takes as evidence various data with respect to our sorting or categorizing things into various categories, and infers that such behavior shows that the classical view is false. The evidence shows that we tend not to use any set of necessary and sufficient conditions to sort things in to one category or another, where such sorting behavior is construed as involving the application of various concepts. It is not as if one uses a classical analysis to sort things into the bird category, for instance. Instead, it seems that things are categorized according to typical features of members of the category in question, and the reason for this is that more typical members of a given category are sorted into that category more quickly than less typical members of that same category. Robins are sorted into the bird category more quickly than eagles, for instance, and eagles are sorted into the bird category more quickly than ostriches. What this suggests is that if concepts are used for acts of categorization, and classical analyses are not used in all such categorization tasks, then the classical view is false.

One presumption of the argument is that when one sorts something into one category or another, one uses one’s understanding of a conceptual analysis to accomplish the task. Yet classical theorists might complain that this need not be the case. One might use a set of typical features to sort things into the bird category, even if there is some analysis not in terms of typical features that gives the essential features shared by all birds. In other words (as Rey (1983) points out), there is a difference between what it is to look like a bird and what it is to be a bird. An analysis of a concept gives the conditions on which something is an instance of that concept, and it would seem that a concept can have an analysis (classical or otherwise) even if agents use some other set of conditions in acts of categorization.

Whether this reply to the argument from categorization rebuts the argument remains to be seen, but many researchers in cognitive psychology have taken the empirical evidence from acts of categorization to be strong evidence against the classical view. For such evidence also serves as evidence in favor of a view of concepts in competition with the classical view: the so-called prototype view of concepts. According to the prototype view, concepts are analyzed not in terms of necessary and jointly sufficient conditions, but in terms of lists of typical features. Such typical features are not shared by all instances of a given concept, but are shared by at least most of them. For instance, a typical bird flies, is relatively small, and is not carnivorous. Yet none of these features is shared by all birds. Penguins don’t fly, albatrosses are quite large, and birds of prey are carnivores. Such a view of concepts fits much more neatly with the evidence concerning our acts of categorization, so such critics reject the classical view.

c. Arguments from Vagueness

Vagueness has also been seen as problematic for the classical view. For one might think that in virtue of specifying necessary and jointly sufficient conditions, a classical analysis thus specifies a precise extension for the concept being analyzed (where a concept C has a precise extension if and only if for all x, x is either definitely in the extension of C or definitely not in the extension of C). Yet most complex concepts seem not to have such precise extensions. Terms like “bald,” “short,” and “old” all seem to have cases where it is unclear whether the term applies or not. That is, it seems that the concepts expressed by those terms are such that their extensions are unclear. For instance, it seems that there is no precise boundary between the bald and the non-bald, the short and the non-short, and the old and the non-old. But if there are no such precise boundaries to the extensions for many concepts, and a classical analysis specifies such precise boundaries, then there cannot be classical analyses for what is expressed by vague terms.

Two responses deserve note. One reply on behalf of the classical view is that vagueness is not part of the world itself, but instead is a matter of our own epistemic shortcomings. We find unclear cases simply because we don’t know where the precise boundaries for various concepts lie. There could very well be a precise boundary between the bald and the non-bald, for instance, but we find “bald” to be vague simply because we do not know where that boundary lies. Such an epistemic view of vagueness would seem to be of assistance to the classical view, though such a view of vagueness needs a defense, particularly given the presence of other plausible views of vagueness. The second response is that one might admit the presence of unclear cases, and admit the presence of vagueness or “fuzziness” as a feature of the world itself, but hold that such fuzziness is mirrored in the analyses of the concepts expressed by vague terms. For instance, the concept of being a black cat might be analyzed in terms of [black] and [cat], even if “black” and “cat” are both vague terms. So classical theorists might reply that if the vagueness of a term can be mirrored in an analysis in such a way, then the classical view can escape the criticisms.

d. Quine’s Criticisms

A family of criticisms of the classical view is based on W.V.O. Quine’s (1953/1999, 1960) extensive attack on analyticity and the analytic/synthetic distinction. According to Quine, there is no philosophically clear account of the distinction between analytic and synthetic propositions, and as such there is either no such distinction at all or it does no useful philosophical work. Yet classical analyses would seem to be paradigmatic cases of analytic propositions (for example, [bachelors are unmarried males], [a square is a four-sided regular figure]), and if there are no analytic propositions then it seems there are no classical analyses. Furthermore, if there is no philosophically defensible distinction between analytic and synthetic propositions, then there is no legitimate criterion by which to delineate analyses from non-analyses. Those who hold that analyses are actually synthetic propositions face the same difficulty. If analyses are synthetic, then one still needs a principled difference between analytic and synthetic propositions in order to distinguish between analyses and non-analyses.

The literature on Quine’s arguments is vast, and suffice it to say that criticism of Quine’s arguments and of his general position is widespread as well. Yet even among those philosophers who reject Quine’s arguments, most admit that there remains a great deal of murkiness concerning the analytic/synthetic distinction, despite its philosophical usefulness. With respect to the classical view of concepts, the options available to classical theorists are at least threefold: Either meet Quine’s arguments in a satisfactory way, reject the notion that all analyses are analytic (or that all are synthetic), or characterize classical analysis in a way that is neutral with respect to the analytic/synthetic distinction.

e. Scientific Essentialist Criticisms

Scientific essentialism is the view that the members of natural kinds (like gold, tiger, and water) have essential properties at the microphysical level of description, and that identity statements between natural kind terms and descriptions of such properties are metaphysically necessary and knowable only a posteriori. Some versions of scientific essentialism include the thesis that such identity statements are synthetic. That such statements are a posteriori and synthetic looks to be problematic for the classical view. For sake of illustration, let “Water is H2O” express an analysis of what is meant by the natural kind term “water.” According to scientific essentialism, such a proposition is metaphysically necessary in that it is true in all possible worlds, but it is a necessary truth discovered via empirical science. As such, it is not discovered by the a priori process of seeking possible counterexamples, revising candidate analyses in light of such counterexamples, and so on. But if water’s being H2O is known a posteriori, this runs counter to the usual position that all classical analyses are a priori. Furthermore, given that what is expressed by “Water is H2O” is a posteriori, this entails that it is synthetic, rather than analytic as the classical view would normally claim.

Again, the literature is vast with respect to scientific essentialism, identity statements involving natural kind terms, and the epistemic and modal status of such statements. For classical theorists, short of denying the basic theses of scientific essentialism, some options that save some portion of the classical view include holding that the classical view holds for some concepts (such as those in logic and mathematics) but not others (such as those expressed by natural kind terms), or characterizing classical analysis in a way that is neutral with respect to the analytic/synthetic distinction. How successful such strategies would be remains to be seen, and such a revised classical view would have to be weighed against other theories of concepts that handle all complex concepts with a unified treatment.

5. References and Further Reading

  • Ackerman, D. F. 1981. “The Informativeness of Philosophical Analysis.” In P. French, et al. (Eds.), Midwest Studies in Philosophy, vol. 6. Minneapolis, Minnesota: University of Minnesota Press, 313-320.
  • Ackerman, D. F. 1986. “Essential Properties and Philosophical Analysis.” In P. French, et al. (Eds.), Midwest Studies in Philosophy, vol. 11. Minneapolis, Minnesota: University of Minnesota Press, 304-313.
  • Ackerman, D. F. 1992. “Analysis and Its Paradoxes.” In E. Ullman-Margalit (Ed.), The Scientific Enterprise: The Israel Colloquium Studies in History, Philosophy, and Sociology of Science, vol. 4. Norwell, Massachusetts: Kluwer.
  • Bealer, George. 1982. Quality and Concept. Oxford: Clarendon Press.
  • Bealer, George. 1996. “A Priori Knowledge and the Scope of Philosophy.” Philosophical Studies 81, 121-142.
  • Bonjour, Laurence. 1998. In Defense of Pure Reason: A Rationalist Account of A Priori Justification. Cambridge: Cambridge University Press.
  • Chalmers, David J. and Jackson, Frank. 2001. “Conceptual Analysis and Reductive Explanation” [On-line]. Available: http://www.u.arizona.edu/~chalmers/papers/analysis.html
  • Donnellan, Keith. 1983. “Kripke and Putnam on Natural Kind Terms.” In C. Ginet and S. Shoemaker (Eds.), Knowledge and Mind. Oxford: Oxford University Press, 84-104.
  • Fodor, Jerry A. 1998. Concepts: Where Cognitive Science Went Wrong. Oxford: Clarendon Press.
  • Fodor, Jerry A., Garrett, M. F., Walker, E. C. T., and Parkes, C. H. 1980/1999. “Against Definitions.” In Margolis and Laurence 1999, 491-512.
  • Grice, H. P. and Strawson, P. F. 1956. “In Defense of a Dogma.” The Philosophical Review 65 (2), 141-158.
  • Hanna, Robert. 1998. “A Kantian Critique of Scientific Essentialism.” Philosophy and Phenomenological Research 58 (3), 497-528.
  • Harman, Gilbert. 1999. “Doubts About Conceptual Analysis.” In Gilbert Harman, Reasoning, Meaning, and Mind, Oxford: Oxford University Press, 138-143.
  • Jackson, Frank. 1994. “Armchair Metaphysics.” In M. Michael and J. O’Leary-Hawthorne (Eds.), Philosophy in Mind. Dordrecht: Kluwer.
  • Jackson, Frank. 1998. From Metaphysics to Ethics: A Defence of Conceptual Analysis. Oxford: Clarendon Press.
  • Katz, J. J. 1999.
  • Keefe, Rosanna and Smith, Peter (Eds.). 1999. Vagueness: A Reader. Cambridge, Massachusetts: M.I.T. Press.
  • King, Jeffrey C. 1998. “What is a Philosophical Analysis?” Philosophical Studies 90, 155-179.
  • Kripke, Saul A. 1980. Naming and Necessity. Cambridge, Massachusetts: Harvard University Press.
  • Kripke, Saul A. 1993. “Identity and Necessity.” In A. W. Moore, Meaning and Reference. Oxford: Oxford University Press, 162-191.
  • Langford, C. H. 1968. “The Notion of Analysis in Moore’s Philosophy.” In Schlipp 1968, 321-342.
  • Laurence, Stephen and Margolis, Eric. 1999. “Concepts and Cognitive Science.” In Margolis and Laurence 1999, 3-81.
  • Margolis, Eric and Laurence, Stephen (Eds.). 1999. Concepts: Core Readings. M.I.T. Press.
  • Moore, G. E. 1966. Lectures on Philosophy. Ed. C. Lewy. London: Humanities Press.
  • Moore, G. E. 1968. “A Reply to My Critics.” In Schlipp 1968, 660-677.
  • Murphy, Gregory L. 2002. The Big Book of Concepts. Cambridge: M.I.T. Press.
  • Peacocke, Christopher. 1992. A Study of Concepts. Cambridge: M.I.T. Press.
  • Pitt, David. 1999. “In Defense of Definitions.” Philosophical Psychology 12 (2), 139-156.
  • Plato. 1961a. The Collected Dialogues of Plato. Ed. Edith Hamilton and Huntington Cairns. Princeton, New Jersey: Princeton University Press.
  • Plato. 1961b. Euthyphro. Trans. L. Cooper. In Plato 1961a, 169-185.
  • Plato. 1961c. Laches. Trans. L. Cooper. In Plato 1961a, 123-144.
  • Plato. 1961d. Lysis. Trans. L. Cooper. In Plato 1961a, 145-168.
  • Plato. 1961e. Theatetus. Trans. L. Cooper. In Plato 1961a, 845-919.
  • Plato. 1992. Republic. Trans. G. M. A. Grube. Indianapolis, Indiana: Hackett.
  • Prinz, Jesse J. 2002. Furnishing the Mind: Concepts and Their Perceptual Basis. Cambridge: M.I.T. Press.
  • Putnam, Hilary. 1962. “It Ain’t Necessarily So.” Journal of Philosophy 59 (22), 658-671.
  • Putnam, Hilary. 1966. “The Analytic and the Synthetic.” In H. Feigl and G. Maxwell, eds., Minnesota Studies in the Philosophy of Science, vol. III. Minneapolis, Minnesota: University of Minnesota Press, 358-397. Putnam,
  • Hilary. 1970. “Is Semantics Possible?” In H. Keifer and M. Munitz, eds., Language, Belief, and Metaphysics. New York: State University of New York Press, 50-63.
  • Putnam, Hilary. 1975. “The Meaning of ‘Meaning’.” In Keith Gunderson (Ed.), Minnesota Studies in the Philosophy of Science, vol. VII. Minneapolis, Minnesota: University of Minnesota Press, 131-193.
  • Putnam, Hilary. 1983. “‘Two Dogmas’ Revisited.” In Hilary Putnam, Realism and Reason: Philosophical Papers, Volume 3. Cambridge: Cambridge University Press, 87-97.
  • Putnam, Hilary. 1990. “Is Water Necessarily H2O?” In James Conant (Ed.), Realism with a Human Face. Cambridge: Harvard University Press, 54-79.
  • Quine, W. V. O. 1953/1999. “Two Dogmas of Empiricism.” In Margolis and Laurence 1999, 153-170.
  • Quine, W. V. O. 1960. Word and Object. Cambridge: The M.I.T. Press.
  • Ramsey, William. 1992. “Prototypes and Conceptual Analysis.” Topoi 11, 59-70.
  • Rey, Georges. 1983. “Concepts and Stereotypes.” Cognition 15, 237-262.
  • Rey, Georges. 1985. “Concepts and Conceptions: A Reply to Smith, Medin and Rips.” Cognition 19, 297-303.
  • Rosch, Eleanor. 1999. “Principles of Categorization.” In Margolis and Laurence 1999, 189-206.
  • Schlipp, P. (Ed.). 1968. The Philosophy of G. E. Moore. LaSalle, Illinois: Open Court.
  • Smith, Edward E. 1989. “Three Distinctions About Concepts and Categorization.” Mind and Language 4 (1, 2), 57-61.
  • Smith, Edward E., and Medin, Douglas L. 1981. Categories and Concepts. Cambridge: Harvard University Press.
  • Smith, Edward E. 1999. “The Exemplar View.” In Margolis and Laurence 1999, 207-221.
  • Smith, Edward E., Medin, Douglas L., and Rips, Lance J. 1984. “A Psychological Approach to Concepts: Comments on Rey’s ‘Concepts and Stereotypes.’” Cognition 17, 265-274.
  • Sosa, Ernest. 1983. “Classical Analysis.” Journal of Philosophy 80 (11), 695-710.
  • Stalnaker, Robert. 2001. “Metaphysics Without Conceptual Analysis.” Philosophy and Phenomenological Research 62 (3), 631-636.
  • Williamson, Timothy. 1994. Vagueness. New York: Routledge. Williamson, Timothy. 1999. “Vagueness and Ignorance.” In Keefe and Smith 1999, 265-280.

Author Information

Dennis Earl
Email: dearl@coastal.edu
Coastal Carolina University
U. S. A.

Giorgio Agamben (1942– )

Giorgio Agamben is one of the leading figures in Italian philosophy and radical political theory, and in recent years, his work has had a deep impact on contemporary scholarship in a number of disciplines in the Anglo-American intellectual world. Born in Rome in 1942, Agamben completed studies in Law and Philosophy with a doctoral thesis on the political thought of Simone Weil, and participated in Martin Heidegger’s seminars on Hegel and Heraclitus as a postdoctoral scholar. He has taught at various universities, including the Universities of Macerata and Verona and was Director of Programmes at the Collège Internationale de Paris. He has been a Visiting Professor at various universities in the United States of America, and was a Distinguished Professor at the New School, University in New York. He caused a controversy when he refused to submit to the “biopolitical tattooing” requested by the United States Immigration Department for entry to the USA in the wake of the September 11, 2001 attacks.

Agamben’s work does not follow a straightforward chronological path of development either conceptually or thematically. Instead, his work constitutes an elaborate and multifaceted recursive engagement with the problems introduced into Western philosophy by the highly original and often enigmatic works of Walter Benjamin, most notably in his book on German trauerspielThe Origins of German Tragic Drama, but also in associated essays and fragments, such as his “Critique of Violence.” This is not to say that Agamben is not influenced by, nor engaged with, a number of other canonical or contemporary figures in Western philosophy and political, aesthetic and linguistic theory. He certainly is, most notably Heidegger and Hegel, as well as the scholarship that follows from them, but also Aby Warburg’s iconography (Agamben worked at the Warburg Institute Library in 1974-5), Italian Autonomism and Situationism (especially Guy Debord’s influential Society of the Spectacle), Aristotle, Emile Benveniste, Carl Schmitt and Hannah Arendt amongst others. Beyond this philosophical heritage, Agamben also engages in multilayered discussions of the Jewish Torah and Christian biblical texts, Greek and Roman law, Midrashic literature, as well as of a number of Western literary figures and poets, including Dante, Holderlin, Kafka, Pessoa, and Caproni to name but a few. This breadth of reference and the critical stylistics it gives rise to no doubt contribute to the appearance of intimidating density characteristic of Agamben’s work. Even so, Agamben’s engagement with these figures is often mediated by his deep conceptual and thematic debt to Benjamin (he served as editor of the Italian edition of Benjamin’s collected works from 1979 to 1994) evident in his central focus on questions of language and representation, history and temporality, the force of law, politics of the spectacle, and the ethos of humanity.

Table of Contents

  1. Language and Metaphysics
  2. Aesthetics
  3. Politics
  4. Ethics
  5. Messianism
  6. References and Further Reading

1. Language and Metaphysics

As Agamben indicates in the 1989 preface to the English translation of Infancy and History, the key question that unites his disparate explorations is that of what it means for language to exist, what it means that “I speak.” In taking up this question throughout his work, and most explicitly in texts such as Infancy and HistoryLanguage and Death, and most recently, The Open, Agamben reinvigorates consideration of philosophical anthropology through a critical questioning of the metaphysical presuppositions that inform it, and in particular, the claim that the defining essence of man is that of having language. In taking up this question, Agamben proposes the necessity of an“experimentum linguae” in which what is experienced is language itself, and the limits of language become apparent not in the relation of language to a referent outside of it, but in the experience of language as pure self-reference.

Published in Italian in 1978, Infancy and History constitutes one of Agamben’s earliest attempts to grasp and articulate the implications of such an as experience of language as such. Consisting of a series on interconnected essays on concepts such as history, temporality, play, and gesture, Infancy and History provides an importance entrance to Agamben’s later work on politics and ethics, particularly in the eponymous essay of the edition on the concept of infancy understood as an experiment of language as such. In this, Agamben argues that the contemporary age is marked by the destruction or loss of experience, in which the banality of everyday life cannot be experienced per se but only undergone, a condition which is in part brought about by the rise of modern science and the split between the subject of experience and of knowledge that it entails. Against this destruction of experience, which is also extended in modern philosophies of the subject such as Kant and Husserl, Agamben argues that the recuperation of experience entails a radical rethinking of experience as a question of language rather than of consciousness, since it is only in language that the subject has its site and origin. Infancy, then, conceptualizes an experience of being without language, not in a temporal or developmental sense of preceding the acquisition of language in childhood, but rather, as a condition of experience that precedes and continues to reside in any appropriation of language.

Agamben continues this reflection on the self-referentiality of language as a means of transforming the link between language and metaphysics that underpins Western philosophical anthropology inLanguage and Death, originally published in 1982. Beginning from Heidegger’s suggestion of an essential relation between language and death, Agamben argues that Western metaphysics have been fundamentally tied to a negativity that is increasingly evident at the heart of the ethos of humanity. While this collapse of metaphysics into ethics is increasingly evident as nihilism, contemporary thought has yet to escape from this condition. Agamben seeks to understand and ultimately escape this collapse through a rigorous philosophy of the experience of language suggested in Infancy and History. In his analysis of Heidegger and Hegel, Agamben isolates their reliance upon and indeed radicalization of negativity, by casting Da and Diese as grammatical shifters that refer to the pure taking place of language. Here, Agamben draws upon the linguistic notion of deixis to isolate the self-referentiality of language in pronouns or grammatical shifters, which he argues do not refer to anything beyond themselves but only to their own utterance (LD, 16-26). The problem for Agamben, though, is that both Hegel and Heidegger ultimately maintain a split within language – which he sees as a consistent element of Western thought from Aristotle to Wittgenstein – in their identification of an ineffability or unspeakability that cannot be brought into human discourse but which is nevertheless its condition. Agamben calls this mute condition of language “Voice,” and concludes that a philosophy that thinks only from the foundation of Voice cannot deliver the resolution of metaphysics that the nihilism toward which we are moving demands. Instead, he suggests, this is only possible in an experience of infancy that has never yet been: it is only in existing “in language without being called there by any Voice” and dying “without being called by death” (LD 96) that humanity can return to its proper dwelling place or ethos, to which it has never been and from which it has never left.

One further dimension of Agamben’s engagement with Western metaphysics and attempt to develop an alternative ontology is worth mentioning here, since it is one of the most consistent threads throughout his work. This is the problem of potentiality, the rethinking of which Agamben takes to be central to the task of overcoming contemporary nihilism. Citing Aristotle’s proposal in Book Theta of his Metaphysics, that “a thing is said to be potential if, when the act of which it is said to be potential is realized, there will be nothing im-potential (“that is, there will be nothing able not to be,” (in HS, 45) Agamben argues that this ought not be taken to mean simply that “what is not impossible is possible” but rather, highlights the suspension or setting aside of im-potentiality in the passage to actuality. This suspension, though, does not amount to a destruction of im-potentiality, but rather to its fulfilment; that is, through the turning back of potentiality upon itself, which amounts to its “giving of itself to itself,” im-potentiality, or the potentiality to not be, is fully realized in its own suspension such that actuality appears as nothing other than the potentiality to not not-be. While this relation is central to the passage of voice to speech or signification and to attaining toward the experience of language as such, Agamben also claims that in this formulation Aristotle bequeaths to Western philosophy the paradigm of sovereignty, since it reveals the undetermined or sovereign founding of being. As Agamben concludes, ‘“an act is sovereign when it realizes itself by simply taking away its own potentiality not to be, letting itself be, giving itself to itself’” (HS 46). In this way then, the relation of potentiality to actuality described by Aristotle accords perfectly with the logic of the ban that Agamben argues is characteristic of sovereign power, thereby revealing the fundamental integration of metaphysics and politics.

These reflections on metaphysics and language thus yield two inter-related problems for Agamben, which he addresses in his subsequent work; the first of these lies in the broad domain of aesthetics, in which Agamben considers the stakes of the appropriation of language in prose and poetry in order to further critically interrogate the distinction between philosophy and poetry. The second lies in the domains of politics and ethics, for Agamben’s conception of the destruction of experience and of potentiality directly feed into an analysis of the political spectacle and of sovereignty. These also necessitate, according to Agamben, a reformulation of ethics as ethos, which in turn requires rethinking community.

2. Aesthetics

In Language and Death, Agamben raises the question of the relation of philosophy and poetry by asking whether poetry allows a different experience of language than that of the “unspeakable experience of Voice” that grounds philosophy. From a brief reflection on Plato’s identification of poetry as the “invention of the Muses,” Agamben argues that both philosophy and poetry attain toward the unspeakable as the condition of language, though both also “demonstrate this asunattainable.” Thus rejecting a straightforward prioritization of poetry over philosophy, or verse over prose, Agamben concludes that “perhaps only a language in which the pure prose of philosophy would intervene at a certain point to break apart the verse of the poetic word, and in which the verse of poetry would intervene to bend the prose of philosophy into a ring, would be the true human language” (LD, 78). This thematic subsequently drives Agamben’s contributions to aesthetics, and in doing so, the distinction between philosophy and poetry grounds a complex exercise of language and representation, experience and ethos, developed throughout his works in this area and designed to surpass the distinction itself as well as those that attend it.

Agamben’s first major contribution to contemporary philosophy of aesthetics was his acclaimed book Stanzas, in which he develops a dense and multifaceted analysis of language and phantasm, entailing engagement with modern linguistic and philosophy, as well as psychoanalysis and philology. While dedicated to the memory of Martin Heidegger, whom Agamben here names as the last of Western philosophers within this book, also most evidently bears the influence of Aby Warburg. Agamben argues in Stanzas that to the extent that Western culture accepts the distinction between philosophy and poetry, knowledge founders on a division in which “philosophy has failed to elaborate a proper language… and poetry has developed neither a method nor self-consciousness” (S, xvii). The urgent task of thought, and particularly that which Agamben names “criticism,” is to rediscover “the unity of our own fragmented word.” Criticism is situated at the point at which language is split from itself—in for instance, the distinction of signified and signifier and its task is to point toward a “unitary status for the utterance,” in which criticism “neither represents nor knows, but knows the representation” (S, xvii). Thus, against both philosophy and poetry, criticism “opposes the enjoyment of what cannot be possessed and the possession of what cannot be enjoyed” (S, xvii).

In order to pursue this task, Agamben develops a model of knowledge evident in the relations of desire and appropriation of an object that Freud identifies as melancholia and fetishism. In this, he also questions the “primordial situation” of the distinction between the signifier and the signified, to which Western reflections on the sign are beholden. He concludes this study—which encompasses discussion of fetishism and commodity fetishism, dandyism, the psychoanalysis of toys, and the myths of Narcissus, Eros and Oedipus amongst other things—with a brief discussion of Saussurian linguistics, claiming that Saussure’s triumph lay in recognizing the impossibility of a science of language based on the distinction of signified and signifier. However, to isolate the sign as a positive unity from Saussure’s problematic position is to “push the science of the sign back into metaphysics.” (S 155) This idea of a link between the notion of the unity of the sign and Western metaphysics, is in Agamben’s view, confirmed by Jacques Derrida’s formulation of grammatology as an attempt to overcome the metaphysics of presence that Derrida diagnoses as predominant within western philosophy from Plato onwards. Yet, Agamben argues that Derrida does not achieve the overcoming he hopes for, since he has in fact misdiagnosed the problem: metaphysics. Metaphysics is not simply the interpretation of presence in the fractures of essence and appearance, sensibility and intelligibility and so on. Rather; rather, the origin of Western metaphysics lies in the conception that “original experience be always already caught in a fold… that presence be always already caught in a signification” (S 156). Hence, logos is the fold that “gathers and divides all things in the ‘putting together’ of presence” (S, 156). Ultimately, then, an attempt to truly overcome metaphysics requires that the semiological algorithm must reduce to solely the barrier itself rather than one side or the other of the distinction, understood as the “topological game of putting things together and articulating” (S 156).

It is in the framework established here then that Agamben’s next work in aesthetics, The Idea of Prose, might be said to achieve its real importance…. Published in Italian in 1985, The Idea of Prose takes up the question of the distinction between philosophy and poetry through a series of fragments on poetry, prose, language, politics, justice, love and shame amongst other topics. This enigmatic text is perhaps especially difficult to understand, because these fragments do not constitute a consistent argument throughout the book. In the light of the foregoing though, it is possible to say that what Agamben is doing is performing and indeed undermining a difference between poetry and philosophy by breaking apart the strictures of logos. In bringing into play various literary techniques such as the fable, the riddle, the aphorism and the short story, Agamben is practically demonstrating an exercise of criticism, in which thought is returned to a prosaic experience or awakening, in which what is known is representation itself.

3. Politics

The most influential dimension of Agamben’s work in recent years has been his contributions to political theory, a contribution that springs directly from his engagements in metaphysics and the philosophy of language. Undoubtedly, Homo Sacer: Sovereign Power and Bare Life is Agamben’s best-known work, and probably also the most controversial. It is in this book that Agamben develops his analysis of the condition of biopolitics, first identified by Michel Foucault in the first volume of his History of Sexuality series and associated texts. In this volume, Foucault argued that modern power was characterized by a fundamentally different rationality than that of sovereign power. Whereas sovereign power was characterized by a right over life and death, summarized by Foucault in the dictum of “killing or letting live,” modern power is characterized by a productive relation to life, encapsulated in the dictum of “fostering life or disallowing it.” For Foucault, the “threshold of modernity” was reached with the transition from sovereign power to biopower, in which the “new political subject” of the population became the target of a regime of power that operates through governance of the vicissitudes of biological life itself. Thus, in his critical revision of Aristotle, Foucault writes that “for millennia, man remained… a living animal with the additional capacity for a political existence; modern man is an animal whose politics places his existence as a living being in question” (HS1 143).

Agamben is explicitly engaged with Foucault’s thesis on biopower in Homo Sacer, claiming that he aims to “correct or at least complete” it, though in fact he rejects a number of Foucault’s historico-philosophical commitments and claims. Suggesting that Foucault has failed to elucidate the points at which sovereign power and modern techniques of power coincide, Agamben rejects the thesis that the historical rise of biopower marked the threshold of modernity. Instead, he claims that biopower and sovereignty are fundamentally integrated, to the extent that “it can even be said that the production of a biopolitical body is the original activity of sovereign power.” (HS 6) What distinguishes modern democracy from the Ancient polis then, is not so much the integration of biological life into the sphere of politics, but rather, the fact that modern State power brings the nexus between sovereignty and the biopolitical body to light in an unprecedented way. This is because in modern democracies, that which was originally excluded from politics as the exception that stands outside but nevertheless founds the law has now become the norm: As Agamben writes, “In Western politics, bare life has the peculiar privilege of being that whose exclusions found the city of men.” (HS 7)

Several theoretical innovations inform this thesis, two of which are especially important. The first is a re-conception of political power, developed through a complex reflection upon Aristotelian metaphysics and especially the concept of potentiality, alongside a critical engagement with the theory of sovereignty posited by Carl Schmitt, which is developed through Walter Benjamin’s own engagement with Schmitt. The second innovation introduced by Agamben is his provocative theorization of “bare life” as the central protagonist of contemporary politics.

Of the first of these, it might be argued that the key motivation within Homo Sacer is not so much an attempt to correct or complete Foucault’s account of biopolitics, as an attempt to complete Benjamin’s critique of Schmitt. In Political Theology, Carl Schmitt—the German jurist infamous for joining the Nazi party and becoming one of its strongest intellectual supporters—summarizes his strongly decisionistic account of sovereignty by claiming that the sovereign is the one that decides on the exception. For Schmitt, it is precisely in the capacity to decide on whether a situation is normal or exceptional, and thus whether the law applies or not—since the law requires a normal situation for its application—that sovereignty is manifest. Against this formulation of sovereignty, Benjamin posits in his “Theses on the Philosophy of History” that the state of emergency has in fact become the rule. Further, what is required is the inauguration of a real state of exception in order to combat the rise of Fascism, here understood as a nihilistic emergency that suspends the law while leaving it in force.

In addressing this conflict between Schmitt and Benjamin, Agamben argues that in contemporary politics, the state of exception identified by Schmitt in which the law is suspended by the sovereign, has in fact become the rule. This is a condition that he identifies as one of abandonment, in which the law is in force but has no content or substantive meaning—it is “in force without significance.” The structure of the exception, he suggests, is directly analogous to the structure of the ban identified by Jean-Luc Nancy in his essay “Abandoned Being, in which Nancy claims that in the ban the law only applies in no longer applying. The subject of the law is simultaneously turned over to the law and left bereft by it. The figure that Agamben draws on to elaborate this condition is that of homo sacer, which is taken from Roman law and indicates one who ‘“can be killed but not sacrificed.” According to Agamben, the sacredness of homo sacer does not so much indicate a conceptual ambiguity internal to the sacred, as many have argued, as the abandoned status of sacred man in relation to the law. The sacred man is “taken outside” both divine and profane law as the exception and is thus abandoned by them. Importantly, for Agamben, the fact that the exception has become the norm or rule of contemporary politics means that it is not the case that only some subjects are abandoned by the law; rather, he states that in our age, “we are all virtually homines sacri.” (HS 115).

As provocative as it is, understanding this claim also requires an appreciation of the notion of “bare life” that Agamben develops from the Ancient Greek distinction between natural life—zoe—and a particular form of life—bios, especially as it is articulated in Aristotle’s account of the origins of the polis. The importance of this distinction in Aristotle is that it allows for the relegation of natural life to the domain of the household (oikos), while also allowing for the specificity of the good life characteristic of participation in the polis—bios politikos. More importantly though, for Agamben, this indicates the fact that Western politics is founded upon that which it excludes from politics—the natural life that is simultaneously set outside the domain of the political but nevertheless implicated inbios politicos. The question arises, then, of how life itself or natural life is politicized. The answer to this question is through abandonment to an unconditional power of death, that is, the power of sovereignty. It is in this abandonment of natural life to sovereign violence—and Agamben sees the relation of abandonment that obtains between life and the law as “originary”—that “bare life” makes its appearance. For bare life is not natural life per se—though it is often confused with it in critical readings of Agamben, partly as a consequence of Agamben’s own inconsistency—but rather, it is the politicized form of natural life. Being neither bios nor zoe, then, bare life emerges from within this distinction and can be defined as “life exposed to death,” especially in the form of sovereign violence. (compare HS 88)

The empirical point of conjuncture of these two theses on the exception and on the production of bare life is the historical rise of the concentration camp, which, Agamben argues, constitutes the state of exception par excellence. As such though, it is not an extraordinary situation in the sense of entailing a fundamental break with the political rationality of modernity, but in fact reveals the ‘“nomos of the modern’” and the increasing convergence of democracy and totalitarianism. According to Agamben, the camp is the space opened when the exception becomes the rule or the normal situation, as was the case in Germany in the period immediately before and throughout World War 2. Further, what is characteristic of the camp is the indistinguishability of law and life, in which bare life becomes the “threshold in which law constantly passes over into fact and fact into law” (HS 171). This indiscernability of life and law effectively contributes to a normative crisis, for here it is no longer the case that the rule of law bears upon or applies to the living body, but rather, the living body has become “the rule and criterion of its own application” (HS 173) thereby undercutting recourse to the transcendence or independence of the law as its source of legitimacy. What is especially controversial about this claim is that if the camps are in fact the “nomos” or “hidden matrix” of modern politics, then the normative crisis evident in them is not specifically limited to them, but is actually characteristic of our present condition, a condition that Agamben describes as one of “imperfect nihilism.”

Importantly, in addition to this, Agamben argues that the logic of the “inclusive exclusion” that structures the relation of natural life to the polis, the implications of which are made most evident in the camps, is perfectly analogous to the relation of the transition from voice to speech that constitutes the political nature of “man” in Aristotle’s account. For Aristotle, the transition from voice to language is a founding condition of political community, since speech makes possible a distinction between the just and the unjust. Agamben writes that the question of how natural bare life dwells in the polis corresponds exactly with the question of how a living being has language, since in the latter question “the living being has logos by taking away and conserving its own voice in it, even as it dwells in the polis by letting its own bare life be excluded, as an exception, within it” (HS 8). Hence, for Agamben, the rift or caesura introduced into the human by the definition of man as the living animal who has language and therefore politics is foundational for biopolitics; it is this disjuncture that allows the human to be reduced to bare life in biopolitical capture. In this way then, metaphysics and politics are fundamentally entwined, and it is only by overcoming the central dogmas of Western metaphysics that a new form of politics will be possible.

This damning diagnosis of contemporary politics does not, however, lead Agamben to a position of political despair. Rather, it is exactly in the crisis of contemporary politics that the means for overcoming the present dangers also appear. Agamben’s theorization of the “coming politics”—which in its present formulation is under-developed in a number of significant ways—relies upon a logic of “euporic” resolution to the aporias that characterise modern democracy, including the aporia of bare life (P 217). In Means without End, he argues for a politics of pure means that is not altogether dissimilar to that projected by Walter Benjamin, writing that “politics is the sphere neither of an end in itself nor of means subordinated to an end; rather, it is the sphere of a pure mediality without end intended as the field of human action and of human thought” (ME 117). In developing this claim, Agamben claims that the coming politics must reckon with the dual problem of the post-Hegelian theme of the end of history and with the Heideggerian theme of Ereignis, in order to formulate a new life and politics in which both history and the state come to an end simultaneously. This “experiment” of a new politics without reference to sovereignty and associated concepts such as nation, the people and democracy, requires the formulation of a new “happy life,” in which bare life is never separable as a political subject and in which what is at stake is the experience of communicability itself.

4. Ethics

Given this critique of the camps and the status of the law that is revealed in, but by no means limited to, the exceptional space of them, it is no surprise that Agamben takes the most extreme manifestation of the condition of the camps as a starting point for an elaboration of an ethics without reference to the law, a term that is taken to encompass normative discourse in its entirety. InRemnants of Auschwitz, published as the third instalment of the Homo Sacer series, Agamben develops an account of an ethics of testimony as an ethos of bearing witness to that for which one cannot bear witness. Taking up the problem of skepticism in relation to the Nazi concentration camps of World War II—also discussed by Jean-Francois Lyotard and others—Agamben castsRemnants as an attempt to listen to a lacuna in survivor testimony, in which the factual condition of the camps cannot be made to coincide with that which is said about them. However, Agamben is not concerned with the epistemological issues that this non-coincidence of “fact and truth” raises, but rather, with the ethical implications, which, he suggests, our age has as yet failed to reckon with.

The key figure in his account of an ethics of testimony is that of the Muselmann, or those in the camps who had reached such a state of physical decrepitude and existential disregard that “one hesitates to call them living: one hesitates to call their death death” (Levi cited in RA 44). But rather than seeing the Muselmann as the limit-figure between life and death, Agamben argues that theMuselmann is more correctly understood as the limit-figure of the human and inhuman. As the threshold between the human and the inhuman, however, the Muselmann does not simply mark the limit beyond which the human is no longer human. Agamben argues that such a stance would merely repeat the experiment of Auschwitz, in which the Muselmann is put outside the limits of human and the moral status that attends that categorization. Instead then, the Muselmann indicates a more fundamental indistinction between the human and the inhuman, in which it is impossible to definitively separate one from the other, and in that calls into question the moral distinctions that rest on this designation. The key question that arises for Agamben then, is whether there is in fact a “humanity to the human” over and above biologically belonging to the species, and it is in reflection upon this question that Agamben develops his own account of ethics. In this, he rejects recourse to standard moral concepts such as dignity and respect, claiming that “Auschwitz marks the end and the ruin of every ethics of dignity and conformity to a norm…. The Muselmann… is the guard on the threshold of a new ethics, an ethics of a form of life that begins where dignity ends” (RA 69).

In order to elaborate on or at least provide “signposts” for this new ethical terrain, Agamben returns to the definition of the human as the being who has language, as well as his earlier analyses of deixis, to bring out a double movement in the human being’s appropriation of language. In an analysis of pronouns such as “I” that allow a speaker to put language to use, he argues that the subjectification effected in this appropriation is conditioned by a simultaneous and inevitable de-subjectification. Because pronouns are nothing other than grammatical shifters or “indicators of enunciation,” such that they refer to nothing other than the taking place of language itself, the appropriation of language in the identification of oneself as a speaking subject requires that the psychosomatic individual simultaneously erase or desubjectify itself. Consequently, it is not strictly the “I” that speaks, and nor is it the living individual: rather, as Agamben writes, “in the absolute present of the event of discourse, subjectification and desubjectification coincide at every point and both the flesh and blood individual and the subject of enunciation are perfectly silent.” (RA 117)

Importantly, Agamben argues that it is precisely this non-coincidence of the speaking being and living being and the impossibility of speech revealed in it that provides the condition of possibility of testimony. Testimony, he claims, is possible only “if there is no articulation between the living being and language, if the “I” stands suspended in this disjunction” (RA, 130). The question that arises here then is what Agamben means by testimony, since it is clear that he does not use the term in the standard sense of giving an account of an event that one has witnessed. Instead, he argues that what is at stake in testimony is bearing witness to what is unsayable, that is, bearing witness to the impossibility of speech and making it appear within speech. In this way, he suggests, the human is able to endure the inhuman. More generally then, testimony is no longer understood as a practice of speaking, but as an ethos, understood as the only proper “dwelling place” of the subject. The additional twist that Agamben adds here to avoid a notion of returning to authenticity in testimony, is to highlight the point that while testimony is the proper dwelling place or “only possible consistency” of the subject, it is not something that the subject can simply assume as its own. As the account of subjectification and desubjectification indicates, there can be no simple appropriation of language that would allow the subject to posit itself as the ground of testimony, and nor can it simply realise itself in speaking. Instead, testimony remains forever unassumable.

This also gives rise, then, to Agamben’s account of ethical responsibility. Against juridical accounts of responsibility that would understand it in terms of sponsorship, debt and culpabililty, Agamben argues that responsibility must be thought as fundamentally unassumable, as something which the subject is consigned to, but which it can never fully appropriate as its own. Responsibility, he suggests, must be thought without reference to the law, as a domain of “irresponsibility” or “non-responsibility” that necessarily precedes the designations of good and evil and entails a “confrontation with a responsibility that is infinitely greater than any we could ever assume…” While it may seem as if Agamben is leaning toward a conception of ethical responsibility akin to Emmanuel Levinas’ conception of infinite responsibility toward the absolute Other, this is not wholly the case, since Agamben sees Levinas as simply radicalising the juridical relation of sponsorship in unexpiatable guilt. In distinction from this, Agamben argues that “ethics is the sphere that recognizes neither guilt nor responsibility; it is… the doctrine of happy life” (RA 24).

5. Messianism

Clearly then, the conception of politics and of ethics that Agamben develops converge in the notion of “happy life,” or what he calls “form-of-life” at other points. What Agamben means by this is particularly unclear, not least because he sees elaboration of these concepts as requiring a fundamental overturning of the metaphysical grounds of western philosophy, but also because they gesture toward a new politics and ethics that remain largely to be thought. What is clear within this though is that Agamben is drawing upon Benjamin’s formulation of the necessity of a politics of pure means and, correlative to that, his conception of temporality and history, which taps a deep vein of messianism that runs through Judeo-Christian thought. This vein of messianism emerges in Agamben’s thought in a number of formulations, particularly those of “infancy,” “happy life” and “form-of-life,” and the notion of “whatever singularities.” What is also common to all these concepts is a concern with the figuration of humanity at the end of history, a concern that Agamben develops in discussion of the debates between Bataille and Kojeve over the Hegelian thesis of the end of history.

In the concept of “happy life” or “form of life,” Agamben points toward a new conception of life in which it is never possible to isolate bare life as the biopolitical subject, which, he argues ought to provide the foundation of political philosophy. As he states,

The “happy life”on which political philosophy should be founded thus cannot be either the naked life that sovereignty posits as a presupposition so as to turn it into its own subject or the impenetrable extraneity of science and of modern biopolitics that everybody tries in vain to sacralize. This “happy life” should be rather, an absolutely profane “sufficient life.” that has reached the perfection of its own power and its own communicability – a life over which sovereignty and right no longer have any hold (ME 114-115).

Happy life will be such that no separation between bios and zoe is possible, and life will find its unity in a pure immanence to itself, in “the perfection of its own power.” In this then, he seeks a politico-philosophical redefinition of life no longer founded upon the bloody separation of the natural life of the species and political life, but which is beyond every form of relation insofar as happy life is life lived in pure immanence, grounded on itself alone. This conception of a “form of life” or happy life that exceeds the biopolitical caesurae that cross the human being is developed in reference to Benjamin’s conception of happiness as he articulates it in “Theologico-Political Fragment,” a short text in which he paints a picture of two arrows pointing in different directions but nevertheless reinforcing each other, one of which indicates the force of historical time and the other that of Messianic time. For Benjamin, while happiness is not and cannot bring about the redemption of Messianic time on its own, it is nevertheless the profane path to its realization – happiness allows for the fulfilment of historical time, since the Messianic kingdom is “not the goal of history but the end (TPF 312). Drawing on this figuration, Agamben appears to construe happiness as that which allows for the overturning of contemporary nihilism in the form of the metaphysico-political nexus of biopower.

This debt also brings into focus Agamben’s reliance on the Benjaminian formulation of communicability as such, or communicability without communication, a thematic which emerges more strongly in Agamben’s somewhat anomalous essay published as The Coming Community, in which he develops the notion of “whatever singularities.” It is here that Agamben most explicitly addresses the rethinking of community that his early analyses of language and metaphysics suggested was required. In taking up the problem of community, Agamben enters into a broader engagement with this concept by others such as Maurice Blanchot and Jean-Luc Nancy, and in the Anglo-American scene, Alphonso Lingis. The broad aim of the engagement is to develop a conception of community that does not presuppose commonality or identity as a condition of belonging. Within this, Agamben’s conception of “whatever singularity” indicates a form of being that rejects any manifestation of identity or belonging and wholly appropriates being to itself, that is, in its own “being-in-language.” Whatever singularity allows for the formation of community without the affirmation of identity or “representable condition of belonging,” in nothing other than the “co-belonging” of singularities itself. Importantly though, this entails neither a mystical communion nor a nostalgic return to a Gemeinschaft that has been lost; instead, the coming community has never yet been. Interestingly, Agamben argues in this elliptical text that the community and politics of whatever singularity are heralded in the event of Tianenmen square, which he. He takes this event to indicate that the coming politics will not be a struggle between states, but, instead, a struggle between the state and humanity as such, insofar as it exists in itself without expropriation in identity. Correlatively, the coming politics do not entail a sacralization of humanity, for the existence of whatever singularity is always irreparably abandoned to itself; as Agamben writes, ‘“The Irreparable is that things are just as they are, in this or that mode, consigned without remedy to their way of being. States of things are irreparable, whatever they may be: sad or happy, atrocious or blessed. How you are, how the world is—this is the irreparable….”(CC 90)

Agamben returns to this thematic within a critical analysis of the definition of man as the being that has language in his recent book, The Open. Agamben begins this text with reflection on an image of the messianic banquet of the righteous on the last day, preserved in a thirteenth- century Hebrew Bible, in which the righteous are presented not with human heads, but with those of animals. In taking up the rabbinic tradition of interpretation of this image, Agamben suggests that the righteous or “concluded humanity” are effectively the “remnant” or remainder of Israel, who are still alive at the coming of the Messiah. The enigma presented by the image of the righteous with animal heads appears to be that of the transformation of the relation of animal and human and the ultimate reconciliation of man with his own animal nature on the last day. But for Agamben, reflection on the enigma of the posthistorical condition of man thus presented necessitates a fundamental overturning of the metaphysico-political operations by which something like man is produced as distinct from the animal in order for its significance to be fully grasped. Agamben concludes this text—which is pragmatically an extended reflection on the Bataille-Kojeve debate—with the warning that what is required to stop the “anthropological machine” is not tracing the “no longer human or animal contours of a new creation,” but rather risking ourselves in the hiatus and central emptiness that separates the human and animal within man. Thus, for Agamben, “the righteous with animal heads… do not represent a new declension of the man-animal relation,” but instead indicates a zone of non-knowledge that allows them to be outside of being, “saved precisely in their being unsavable” (TO, 92). This articulation of the unsavable reiterates a number of Agamben’s previous comments on redemption and beatitude and provides some clearer articulation of his resolution of the dilemma of the post-historical condition of humanity as distinct from those of his precursors. But how Agamben will develop this resolution and the ethico-political implications of it in large part remains to be seen.

6. References and Further Reading

  • Agamben, Giorgio. The Coming Community, tr. Michael Hardt, University of Minnesota Press, Minneapolis, 1993; La communità che viene, Einaudi, 1990. (CC)
  • Agamben, Giorgio. Language and Death: The Place of Negativity, tr. Karen E. Pinkus and Michael Hardt, University of Minnesota Press, Minneapolis, 1991; Il linguaggio e la morte: Un seminario sul luogo della negatività, Giulio. Einuadi , 1982. (LD)
  • Agamben, Giorgio. Stanzas: Word and Phantasm in Western Culture, tr. Ronald L. Martinez, University of Minnesota Press, Minneapolis, 1993; Stanze: La Parola e il fantasma nella cultura occidentale, Giulio Einuadi, Turin, 1977. (S)
  • Agamben, Giorgio. The Idea of Prose, tr. Michael Sullivan and Sam Whitsitt, SUNY Press, Albany, 1995; Idea della prosa, Giangiacomo Feltrinelli, Milano, 1985.
  • Agamben, Giorgio. Infancy and History, Verso, London, 1993; Infanzia et storia, Giulio Einuadi, 1978 (IH)
  • Agamben, Giorgio. Language and Death: The Place of Negativity, tr. Karen E. Pinkus, University of Minnesota, Minneapolis, 1991; Il linguaggio e la morte: Un Seminario sul luogo, Giulio Einuadi, 1982.
  • Agamben, Giorgio. Homo Sacer: Sovereign Power and Bare Life. tr. Daniel Heller-Roazen, Stanford University Press, Stanford, 1998; Homo sacer: Il potere sovrano e la nuda vita, Giulio Einuadi, 1995. (HS)
  • Agamben, Giorgio. The Man without Content, tr. Georgia Albert, Stanford University Press, Stanford, 1999; L’”uomo senza contenuto, Quodlibet, 1994.
  • Agamben, Giorgio. The End of the Poem: Studies in Poetics, tr. Daniel Heller-Roazen, Stanford University Press, Stanford, 1999. Categorie Italiane: Studi di poetica, Marsilio Editori, 1996. (EP)
  • Agamben, Giorgio. Potentialities: Collected Essays in Philosophy, ed. and tr. Daniel Heller-Roazen, Stanford University Press, Stanford, 1999. (P)
  • Agamben, Giorgio. Remnants of Auschwitz, tr. Daniel Heller-Roazen, Zone Books, New York, 1999; Quel che resta di Auschwitz, (RA)
  • Agamben, Giorgio. Means without End: Notes on Politics, tr. Vincenzo Binetti and Cesare Casarino, University of Minnesota Press, Minneapolis, 2000; Mezzi sensa fine, Bollati Boringhieri, 1996. (ME)
  • Agamben, Giorgio. The Open: Man and Animal, tr. Kevin Attell, Stanford University Press, Stanford, 2004; L’aperto: L’uomo e l’animale, Bollati Boringhieri, 2002 (TO)
  • Agamben, Giorgio. State of Exception, tr. Kevin Attell, The University of Chicago Press, Chicago; 2005; Il Stato eccezione, Bollati Boringhieri, 2003. (SE)
  • Benjamin, Walter. “Critique of Violence,” Reflections: Essays, Aphorisms, Autobiographical Writings, ed. Peter Demetz, tr. Edmund Jephcott, Schocken Books, New York: 1978, 277-300. (TPF)
  • Agamben, Giorgio. “Theologico-Political Fragment,” Reflections: Essays, Aphorisms, Autobiographical Writings, ed. Peter Demetz, tr. Edmund Jephcott, Schocken Books, New York: 1978, 312.
  • Benjamin, Walter. “Theses on the Philosophy of History” Illuminations, ed. Hannah Arendt, tr. Harry Zohn, Fontana, 1973.
  • Foucault, M. History of Sexuality, Volume 1: An Introduction, tr. R Hurley, Penguin, London: 1981.

Author Information:

Catherine Mills
University of New South Wales
Email: catherine.mills@unsw.edu.au
U. S. A.

Fallibilism

Fallibilism is the epistemological thesis that no belief (theory, view, thesis, and so on) can ever be rationally supported or justified in a conclusive way. Always, there remains a possible doubt as to the truth of the belief. Fallibilism applies that assessment even to science’s best-entrenched claims and to people’s best-loved commonsense views. Some epistemologists have taken fallibilism to imply skepticism, according to which none of those claims or views are ever well justified or knowledge. In fact, though, it is fallibilist epistemologists (which is to say, the majority of epistemologists) who tend not to be skeptics about the existence of knowledge or justified belief. Generally, those epistemologists see themselves as thinking about knowledge and justification in a comparatively realistic way — by recognizing the fallibilist realities of human cognitive capacities, even while accommodating those fallibilities within a theory that allows perpetually fallible people to have knowledge and justified beliefs. Still, although that is the aim of most epistemologists, the question arises of whether it is a coherent aim. Are they pursuing a coherent way of thinking about knowledge and justification? Much current philosophical debate is centered upon that question. Epistemologists generally seek to understand knowledge and justification in a way that permits fallibilism to be describing a benign truth about how we can gain knowledge and justified beliefs. One way of encapsulating that project is by asking whether it is possible for a person ever to have fallible knowledge and justification.

Table of Contents

  1. Introduction
  2. Formulating Fallibilism: Preliminaries
  3. Formulating Fallibilism: A Thesis about Justification
  4. Formulating Fallibilism: Necessary Truths
  5. Empirical Evidence of Fallibility
  6. Philosophical Sources of Fallibilism: Hume
  7. Philosophical Sources of Fallibilism: Descartes
  8. Implications of Fallibilism: No Knowledge?
  9. Implications of Fallibilism: Knowing Fallibly?
  10. Implications of Fallibilism: No Justification?
  11. References and Further Reading

1. Introduction

The term “fallibilism” comes from the nineteenth century American philosopher Charles Sanders Peirce, although the basic idea behind the term long predates him. According to that basic idea, no beliefs (or opinions or views or theses, and so on) are so well justified or supported by good evidence or apt circumstances that they could not be false. Fallibilism tells us that there is no conclusive justification and no rational certainty for any of our beliefs or theses. That is fallibilism in its strongest form, being applied to all beliefs without exception. In principle, it is also possible to be a restricted fallibilist, accepting a fallibilism only about some narrower class of beliefs. For example, we might be fallibilists about whatever beliefs we gain through the use of our senses — even while remaining convinced that we possess the ability to reason in ways that can, at least sometimes, manifest infallibility. Thus, one special case of this possible selectivity would have us being fallibilists about empirical science even while exempting mathematical reasoning from that verdict. For simplicity, though (and because it represents the thinking of most epistemologists), in what follows I will generally discuss fallibilism in its unrestricted form. (The exception will be section 6, where a particularly significant, but seemingly narrower, form of fallibilism will be presented.)

Fallibilism is an epistemologically pivotal thesis, and our initial priority must be to formulate it carefully. Almost all contemporary epistemologists will say that they are fallibilists. Yet the vast majority of them also wish not to be skeptics. They would rather not be committed to embracing principles about the nature of knowledge and justification which commit them to denying that there can be any knowledge or justified belief. This desire coexists, nonetheless, with the belief that fallibility is rampant. Many epistemological debates, it transpires, can be understood in terms of how they try to balance these epistemologically central desires. So, can we find a precise philosophical understanding of ourselves as being perpetually fallible even though reassuringly rational and, for the most part, knowledgeable?

2. Formulating Fallibilism: Preliminaries

An initial statement of fallibilism might be this:

All beliefs are fallible. (No belief is infallible.)

But what, exactly, is that saying? Here are three claims it is not making.

(1) Fallible people. It is not saying just that all believers — all people — are fallible. A person as such is fallible if, at least sometimes, he is capable of forming false beliefs. But that is compatible with the person’s often — on some other occasions — believing infallibly. And that is not a state of affairs which is compatible with fallibilism.

(2) Actually false beliefs. Nor is fallibilism the thesis that in fact all beliefs are false. That possibility is allowed — but it is not required — by fallibilism. Hence, it is false to portray fallibilism — as commentators on science, in particular, sometimes do — in these terms:

All scientific beliefs are false. This includes all scientific theories, of course. (After all, even scientific theories are only theories. So they are fallible — and therefore false.)

Regardless of whether or not that is a correct claim about scientific beliefs and theories, it is not an accurate portrayal of what fallibilism means to say. The key term in fallibilism, as we have so far formulated it, is “fallible.” And this conveys — through its use of “-ible” — only some kind of possibility of falsity, rather than the definite presence of actual falsity.

(3) Contingent truths. Take the belief that there are currently at least one thousand kangaroos alive in Australia. That belief is true, although it need not have been. It could have been false — in that the world need not have been such as to make it true. So, the belief is only contingently true (as philosophers say). By definition, any contingent truth could have failed to be true. But even if we were to accept that all truths are only contingently true, we would not be committed to fallibilism. The recognition that contingent truths exist is not what underlies fallibilism. The claim that any contingent truth could instead have been false is not the fallibilist claim, because fallibilism is not a thesis about truths in themselves. Instead, it is about our attempts in themselves to accept or believe truths. It concerns a kind of fundamental limitation first and foremost upon our powers of rational thought and representation. And although a truth’s being contingent means that it did not have to be true, this does not mean that it will, or even that it can, be altering its truth-value (by becoming false) in such a way as to deceive you. For instance, the truth that there are now more than one thousand kangaroos alive in Australia is not made false even by there being only five kangaroos alive in Australia in two days time from now.

3. Formulating Fallibilism: A Thesis about Justification

Given section 2’s details, a better (and routine) expression of fallibilism is this:

F: All beliefs are only, at best, fallibly justified.

F’s main virtue, as a formulation of fallibilism, is its locating the culprit fallibility as arising within the putative justification that is present on behalf of a given belief. The kind of justification in question is called “epistemic justification” by epistemologists. And the suggested formulation, F, of fallibilism is saying that there is never conclusive justification for the truth of a given belief.

There are competing epistemological theories of what, exactly, epistemic justification is. Roughly speaking, though, it is whatever would make a belief more, rather than less, rationally well supported or established. This sort of rationality is meant to be truth-directed. For example (as Conee and Feldman 2004 would argue), whenever some evidence is providing epistemic support — justification — for a belief, this is a matter of its supporting the truth of that belief. In that sense, the evidence provides good reason to adopt the belief — to adopt it as true. Or (to take another example, such as would be approved of by the kind of theory from Goldman 1979) a believer might have formed her belief within some circumstance or in some way that — regardless of whether she can notice this — makes her belief likely to be true. (And when are these kinds of justificatory support present? In particular, are they only ever present if they are guaranteeing that the belief being supported is true? Are any actually false beliefs ever justified? Section 10 will focus on the question of whether fallible justification is ever present, either for true or for false beliefs.)

Just as there are competing interpretations of the nature of epistemic justification, epistemologists exercise care in how they read F. Perhaps the most natural reading of it says that no one is ever so situated — even when possessing evidence in favor of the truth of a particular belief — that, if she were to be rational in the sense of respecting and understanding and responding just to that evidence, she could not proceed to doubt that the belief is true. More generally, the idea behind F is that, no matter how good one’s justification is in support of a particular belief’s being true, that justification is never so good as to be conclusive — leaving no room for anyone who might be rationally attending to that justification not to have the belief it is supporting. At any stage, according to F, doubt could sensibly (in some relevant sense of “sensibly”) arise as to the truth of the particular belief.

Often, therefore, this kind of possible doubt is called a rational doubt. This is not to say that, necessarily, the most rational reaction is to be swayed by the doubt, accepting it as decisive; whether one should react like that is a separate issue, probably deserving to be decided only after some subtle argument. The term “rational doubt” is meant only to distinguish this sort of actual or possible doubt from a patently irrational one — a doubt that is psychologically, but not even prima facie rationally, available. How might a doubt that is not even prima facie rational arise? Here is one possible way. Imagine a person who is attending to evidence for the truth of a particular belief, yet who refuses to accept the belief’s being true. Suppose that this refusal is due either (i) to her misunderstanding the evidence or (ii) to some psychological quirk such as a general lack of respect for evidence at all or such as mere obstinacy (without her supplying counter-reasons disputing the truth or power of the evidence). There is no accounting for why some people will in fact doubt a given belief: psychologically, doubt could be an option even in the face of rationally conclusive evidence. Nevertheless, fallibilism is not a thesis about that psychological option. The option it describes concerns rationality. Fallibilism is about what it claims to be the ever-present availability of rational doubt.

Accordingly, one possible way of misinterpreting F would involve confusing the concept of a rational doubt with that of a subjectively felt doubt or, maybe more generally, a psychologically present doubt. Rational doubts need not be psychologically actual doubts, just as psychologically actual ones need not be rational. In theory, a person might have or feel some doubt as to whether a particular claim is true — some doubt which she should not have or feel. (Perhaps she is misevaluating the strength of the evidence she has in support of that claim.) Equally, someone might have or feel no doubt as to the truth of a belief he has — when he should have or feel some such doubt. (Perhaps he, too, is misevaluating the strength of the evidence he has in support of his belief.) In either case, the way in which the person is in fact reacting — by having, or by not having, an actual doubt — does not determine whether his or her evidence is in fact providing rationally conclusive support. That is because a particular reaction — of doubting or of not doubting — might not be as justified or rational in itself as is possible. (By analogy, we may keep in mind the case — unfortunately, all too common a kind of case — of a brutal tyrant who claims, sincerely, to have a clear conscience at the end of his life. The morality of his actions is more obviously to be explicated in terms of what his conscience should be telling him rather than of what it is telling him.) In effect, F is saying that no matter what evidence you have, no matter how carefully you have accumulated it, and no matter how rationally you use and evaluate it, you can never thereby have conclusive justification for a belief which you wish to support via all that evidence. Equally, F is saying that no matter what circumstance you occupy, and no matter how you are forming a particular belief, no guarantee is thereby being provided of your belief being true. In those respects (according to F), any justification you have is fallible — and it will remain so, no matter what you do with it, no matter how assiduously you attend to it, no matter what the circumstances are in which you are operating. The problem will also remain, no matter how you might supplement or try to improve your evidence or circumstances. Any possible addition or alteration that you might make will continue leaving open at least a possibility — one to which a careful and rational thinker would in principle respond respectfully if she were to notice it — of your belief’s being false.

In that way, fallibilism — as a thesis about justification — travels more deeply into the human cognitive condition than it would do if it were a point merely about logic, say. It is not saying that no belief is ever supported by evidence whose content logically entails the first belief’s content. An example of that situation would be provided by a person’s having, as evidence, the belief that he is a living, breathing Superman — from which he infers that he is alive. The evidence’s content (“I am a living, breathing Superman”) does logically entail the truth of the inferred content (“I am alive”). (This attribution of logical validity or entailment means — from standard deductive logic — that it is impossible for the first content to be true without the second one also being true.) But the justification being supplied is fallible, because — obviously — the person will have, at best, inconclusive justification for thinking that he is a living, breathing Superman in the first place. The putative justification is the belief (about being Superman) and its history, not only its content and the associated logical relations. Yet fallibilism says that, even when all such further features are taken into account, some potential will remain for rational doubt to be present.

4. Formulating Fallibilism: Necessary Truths

Nevertheless, a modification of F (in section 3) is required, it seems, if fallibilism is to apply to beliefs like mathematical ones or to beliefs reporting theses of pure logic, for instance. Most philosophers would accept that it is possible to be fallible in holding such a belief — and that this is so, even given that there is a sense in which such a belief, when true, could not ever be false. Thus, perhaps mathematical believing is a fallible process, able to lead to false beliefs. Perhaps this is so, even if mathematical truths themselves never “just happen” to be true — never depending upon changeable surrounding circumstances for their truth, hence never being susceptible to being rendered false by some change in those surrounding circumstances. How should we modify F, therefore, so as to understand the way in which fallibility can nonetheless be present in such a case? More generally, how should we modify F, so as to understand the prospect of a person ever having fallible beliefs (let alone only fallible ones) in what philosophers call necessary truths?

By definition, any truth which is not contingent is necessary. The class of necessary truths is the class of propositions or contents which, necessarily, are true. They could not have failed to be true. And that class will generally be thought to contain — maybe most significantly — mathematical truths. Consider, then, the belief that 2 + 2 = 4. In itself (almost every philosopher will concur), there is no possibility of that belief’s being false. However, if it is impossible for that belief to be false, then there is also no possible evidence on the basis of which — in coming to believe that 2 + 2 = 4 — a person could be forming a false belief. In this way, no belief that 2 + 2 = 4 could be merely fallibly justified — at least as this phenomenon has been portrayed in F. Yet it is clear — or so most epistemologists will aver — that mathematical believing can be fallible. Indeed, if fallibilism is true, all mathematical beliefs will be subject to some sort of fallibility: even mathematical beliefs would, at best, be only fallibly justified. How, therefore, is this to be understood?

Here is one suggestion — F* — which modifies F by drawing upon some standard epistemological thinking. The aim in moving from F to F* would be to allow for the possibility of having a fallible belief in a necessary truth:

F*: All beliefs are, at best, only fallibly justified. (And a belief is fallibly justified when — even if the belief, considered in itself, could not be false — the justification for it exemplifies or reflects some more general way or process of thinking or forming beliefs, a way or process which is itself fallible due to its capacity to result in false beliefs.)

Sections 5 and 7 will describe a few possible reasons for a fallibilist to regard your belief that 2 + 2 = 4 as being fallible. In the meantime, we need only note schematically how F* would accommodate those possible reasons. The basic approach would be as follows. Although your belief that 2 + 2 = 4 cannot be false (once it is present), your supposed justification for it is fallible. This could be so in a few ways. For a start, maybe you are merely repeating by rote something you were told many years ago by a somewhat unreliable school teacher. (Imagine the teacher having been poor at making accurate claims within most other areas of mathematics. Even with respect to the elements of mathematics about which she was accurate, she might have been merely repeating by rote what she had been told by her own early — and similarly unreliable — teachers.) The fallibility of memory is also relevant: over the years, one forgets much. Still, your current belief that 2 + 2 = 4 seems accurate. And it need not be present only because of your fallible memory of what your fallible teacher told you. Suppose that you are now very sophisticated in your mathematical thinking: in particular, your justification for your belief that 2 + 2 = 4 is purely mathematical in content. That justification involves clever representation, via precisely defined symbols, of abstract ideas. Nevertheless, even such purely mathematical reasoning can mislead you (no matter that it has not done so on this occasion). Really proving that 2 + 2 = 4 is quite difficult; and when people are seeking to grasp and to implement such proofs, human fallibility may readily intrude. Actual attempts to establish mathematical truths need not always lead to accurate or true beliefs.

At any rate, that is how a fallibilist might well analyze the case.

5. Empirical Evidence of Fallibility

How can we ascertain which of our ways of thinking are fallible? Both ordinary observation and sophisticated empirical research are usually regarded as able to help us here, by revealing some of the means by which fallibility enters our cognitive lives. I will list several of the seemingly fallible means of belief-formation and belief-maintenance that have been noticed.

(1) Misusing evidence. Apparently, people often misevaluate the strength of their evidence. By taking it to be stronger or weaker support than in fact it is for the truth of a particular belief, a person could easily be led to adopt or retain a false, rather than true, belief. Indeed, there are many possible ways not to use evidence properly. For example, people do not always notice, let alone compare and resolve, conflicting pieces of evidence. They might overlook some of the evidence available to them. There can be inattention to details of their evidence. And so forth.

(2) Unreliable senses. How many of us have wholly reliable — always accurate — senses? Shortsightedness is not so rare. The same is true of long-sightedness. People can have poor hearing, not to mention less-than-perfectly discerning senses of smell, taste, and so on. Sensory illusions and hallucinations affect us, too. The road seems to ripple under the heat of the sun; the stick appears to bend as it enters the glass of water; and so forth. In such cases we will think, upon reflection, that what we seem to sense is something we only seem to sense.

(3) Unreliable memory. At times, people suffer lapses of memory; and they can realize this, experiencing “blanks” as they endeavor to recall something. They can also feel as though they are remembering something, when actually this feeling is inaccurate. (A “false memory” is like that. The event which a person seems to recall, for instance, never actually happened.)

(4) Reasoning fallaciously. To reason in a logically invalid way is to reason in a way which, even given the truth of one’s premises or evidence, can lead to falsity. It is thereby to reason fallibly. Do we often reason like that? Seemingly, yes. Of course, often we and others realize that we are doing so. And we and those others might generally be satisfied with our admittedly fallible reasoning. (But should we ever regard it with satisfaction? Section 10 will consider this kind of question.) There are times, though, when we and others do not notice the fallibility in our reasoning. On those occasions, we are — without realizing this about ourselves — reasoning fallaciously. That is, we are reasoning in ways which are logically invalid but which most people mistakenly, albeit routinely, regard as being logically valid.

(5) Intelligence limitations. Is each of us so intelligent as never to make mistakes which a more intelligent person would be less likely (all else being equal) to make? Presumably none of us escape that limitation. Do we notice people making mistakes due to their exercising (and perhaps possessing) less intelligence than was needed not to make those mistakes? We appear to do so. Sometimes (often too late), we observe this in ourselves, too.

(6) Representational limitations. We use language and thought to represent or describe reality — hopefully, to do this accurately. But people have often, we believe, made mistakes about the world around them because of inadequacies in their representational or descriptive resources. For example, they can have been applying misleading and clumsily constructed concepts — ones which could well be replaced within an improved science. (And this sort of problem — at least to judge by the apparent inescapability of disputes among its practitioners — might be even more acute within such areas of thought as philosophy.)

(7) Situational limitations. It is not uncommon for people to make mistakes of fact because they have biases or prejudices that impede their ability to perceive or represent or reflect accurately upon those facts. Such mistakes may be made when people are manifesting an insufficiently developed awareness of pertinent aspects of the world. Maybe a person’s early upbringing, and how she has subsequently lived her life, has not exposed her to a particularly wide range of ideas. Perhaps she has not encountered what are, as it happens, more accurate ideas or principles than the ones she is applying in her attempts to understand the world. All of this might well prevent her even noticing some relevant aspects of the world. (When both I and a doctor gaze at an X-ray, only one of us notices much of medical relevance.)

That list of realistically possible sources of fallibility — philosophers will suspect — could be continued indefinitely. And its scope is disturbingly expansive. Thus, even when you do not feel as though a belief of yours has been formed or maintained in some way that manifests any of those failings, you could be mistaken about that. This is a factual matter; or so most philosophers will say. On any given occasion, it is an empirical question as to whether in fact you are being fallible in one of those ways. (Notably, it is not simply a matter of whether you are feeling fallible.) Accordingly, many epistemologists have paid attention to pertinent empirical research by psychiatrists, neurologists, biologists, anthropologists, and the like, into actual limitations upon human cognitive powers. Data uncovered so far have unveiled the existence of much fallibility. (See, for example, Nisbett and Ross 1980; Kahneman, Slovic, and Tversky 1982.)

Some epistemologists have found this to be worrying in itself. Still, has enough fallibility thereby been uncovered to justify an acceptance of fallibilism? (Remember that fallibilism, in its most general form, is the thesis that all of our beliefs are fallible.) This, too, is at least partly an empirical question. It is the question of just how fallible people are as a group — and, naturally, of just how much a given individual ever manages to transcend such limitations upon people in general. How fallibly, as it happens, do people ever form and maintain beliefs? Is every single one of us fallible enough to render every single one of our beliefs fallible?

It is difficult, perhaps impossible, to use personal observations and empirical research to answer those questions conclusively. (And fallibilism would deny that this is possible anyway.) For presumably such fallibilities would also afflict people as observers and as scientific inquirers. Hence, this would occur even when theorists — let alone casual observers — are investigating those fallibilities. The history of science reveals that many scientific theories which were at one time considered to be true have subsequently been supplanted, with later theories deeming the earlier ones to have been false.

Is science therefore especially fallible as a way of forming beliefs about the world? That is a matter of some philosophical dispute. Empirical science is performed by fallible people, often involving much fallible coordination among themselves. It relies on the fallible process of observation. And it can generate quite complicated theories and beliefs — with that complexity affording scope for marked fallibility. Yet in spite of these sources of fallibility nestling within it (when it is conceived of as a method), science might well (when it is conceived of as a body of theses and doctrines) encompass the most cognitively impressive store of knowledge that humans have ever amassed. Even if not all of its theories and beliefs are true (and therefore not all of them are knowledge), a significant percentage of them seem to have a strong case for being knowledge. Is that compatible with science’s fallibility, even its inherent fallibility, as a method? Or are none of its theories and beliefs knowledge, simply because (as later scientists will realize) some of them are not? Alternatively, are none of them knowledge, because none of them are conclusively justified? That depends on what kind of knowledge scientific knowledge would be. This is a subtle matter, asking us first to consider in general whether there can be inconclusively justified knowledge at all. Section 9 will indicate how epistemologists might take a step towards answering that question. It will do so by discussing the idea of fallible knowledge. (And section 10 will comment on science and fallible justification.)

6. Philosophical Sources of Fallibilism: Hume

Section 5 indicated some empirical grounds on which fallibilism might be thought to be true. Epistemologists have also provided non-empirical arguments for fallibilism, both in its strongest form and in important-but-weaker forms. This section and the next will present two of those arguments.

One of them comes from the eighteenth-century Scottish philosopher David Hume’s classic invention of what is now called inductive skepticism. (For a succinct version of his argument, see his 1902 [1748], sec. IV. For some sense of the philosophical and historical dimensions of that notion, see Buckle 2001: part 2, ch. 4.) At the core of his skeptical argument was an important-even-if-possibly-not-wholly-general fallibilism. Hume’s argument showed, at the very least, the inescapable fallibility of an extremely significant kind of belief — any belief which either is or could be an inductive extrapolation from observational data. According to Hume, no beliefs about what is yet to be observed (by a particular person or some group) can be infallibly established on the basis of what has been observed (by that person or that group). Consider any use of present and past observations, perhaps to derive and at least to support, some view that aims to describe aspects of the world that have not yet been observed. (Standard examples include people’s seeking to justify the belief that the sun will rise tomorrow, by using past observations of it having risen, and people’s many observations of black ravens supposedly justifying the belief that all ravens are black.) Hume noticed that observations can never provide conclusive assurance — a proof — that the world is not about to change from what it has thus far been observed to be like. Even if all observed Fs have been Gs, say, this does not entail that any, let alone all, of the currently unobserved Fs are also Gs. No such guarantee can be given by the past observations. And this is so, no matter how many observations of Fs have been made (short of having observed all of them, while realizing that this has occurred).

Hume presents his argument as one that uncovers a limitation upon the power or reach of reason — that is, upon how much can be revealed to us by reason as such. Possibly, this is in part because that is the non-trivial aspect of his argument. Overall, his argument is describing a limitation upon the power or reach both of reason and of observation — upon how far these faculties or capacities can take us towards proving the truth of various beliefs which, inevitably, we find ourselves having. But that limitation reflects both a point that is non-trivially true (about reason) and one that is trivially true (about observation). Hume combines those two points (as follows) to attain his fallibilism. (1) It is trivially true that any observations that have been made at and before a given time have not been of what, at that time, is yet to be observed. (2) It is true (although not trivially so) that our powers of reason face a limitation of their own, one that leaves them unable to overcome (1)’s limitation upon observation. Our capacity to reason — our powers simply of reflection — must concede that, regardless of however unlikely this might seem at the time, the unobserved Fs could be different in a relevant way from those that have been observed. Hence, in particular, whatever powers of reason we might use in seeking to move beyond our observations will be unable to eliminate the possibility that the presently unobserved Fs are quite different (as regards being Gs) from the Fs that have been observed. Our powers of reason must concede — again, even if this seems unlikely at the time — that continued observations of Fs might be about to begin giving results that are quite different to what such observations have previously revealed about Fs being Gs. Obviously, the past observations of Fs (all of which, we are supposing, were Gs) do not tell us that this is likely to occur, let alone that it is about to do so. But, crucially, pure reason tells us that it could be about to occur. (3) Consequently, if we combine (1) and (2), we reach this result:

Neither observation nor reason can reveal with rational certainty anything about the nature of any of the Fs that are presently unobserved.

In other words, there is always a “logical gap” between the observations of Fs that have been made (either by some individual or a group) and any conclusion regarding Fs that have not yet been observed (by either that individual or that group).

Our appreciation of that gap’s existence is made specific — even dramatic — by the Humean thought that the world could be about to change in the relevant respect. We thus see that fallibility cannot be excluded from any justification which we might think is present for a belief that either is or could be an extrapolation from some observations. Such a belief could be about the future (“The sun will rise tomorrow”), the presently unobserved past (“Dinosaurs used to live here”), populations (“The cats in this neighborhood are vicious”), and so on. Beliefs like that are pivotal in our mental lives, it seems.

Indeed, as some philosophers argue, they can be all-but-ubiquitous — even surprisingly so. When you believe that you are seeing a cat, is this an extrapolation from observations? At first glance, it seems straightforwardly observational itself. Yet maybe it is an extrapolation in a less obvious way. Perhaps it is an extrapolation from both your present sensory experience and similar ones that you have had in the past. Perhaps it is implicitly a prediction that the object in front of you is not about to begin looking and acting like a dog, and that it will continue looking and acting like a cat. (Is this part of what it means to say that the object is a cat — a genuine-flesh-and-blood-physical-object cat?) Are even simple observational beliefs therefore concealed or subtle extrapolations? If they are to be justified, will this need to be inductive justification?

If so, the Humean verdict (when formulated in contemporary epistemological language) remains that, even at best, such beliefs are only fallibly justified. Any justification for them would need to be observations from which they might have been extrapolated (even if in fact this is not, psychologically speaking, how they were reached). And no such justification could ever rationally eliminate the possibility that any group of apparently supportive observations is misleading as to what the world would be found to be like if further observations were to be made.

That is Hume’s inductive fallibilism — a fallibilism about all actual or possible inductive extrapolations from observations. Many interpreters believe that his argument established — or at least that Hume meant it to establish — more than a kind of fallibilism. This is why it is generally called an argument for inductive skepticism, not just for inductive fallibilism. (On Hume’s transition from fallibilism to skepticism, see Stove 1973.) Accordingly, his conclusion is sometimes presented more starkly, as saying that observations never rationally show or establish or support or justify at all any extrapolations beyond observational data, even ones that purport only to describe a likelihood of some observed pattern’s being perpetuated. At its most combative, his conclusion might be said — and sometimes is, especially by non-philosophers — to reveal that predictions are rationally useless or untenable, or that any beliefs “going beyond” observational reports are, rationally speaking, nothing more than guesses. Whether or not that skeptical thesis is true depends, for a start, upon whether there can be such a thing as fallible justification — or whether, once fallibility is present, justification departs. Section 10 will consider that issue.

In any case, Hume’s fallibilism is generally considered by philosophers (for instance, see Quine 1969; Miller 1994: 2-13; Howson 2000: ch. 1) to have struck a serious blow against the otherwise beguiling picture of science as delivering conclusive knowledge of the inner continuing workings of the world. It is not uncommon for people to react to this interpretation of Hume’s result by inferring that therefore science — with its reliance upon observations as data, with which it supports its predictions and more general principles and posits — never really gives us knowledge of a world beyond those observations. The appropriateness of that skeptical inference depends on whether or not there can be such a thing as fallible knowledge — or whether, once fallibility is present, knowledge departs. Section 9 will consider that issue.

7. Philosophical Sources of Fallibilism: Descartes

Does Hume’s reasoning (described in section 6) support fallibilism in its most general form? It does, if all beliefs depend for their justification upon extrapolations from observational experience. And section 6 also indicated briefly how there can be more beliefs like that than we might realize. Nevertheless, the usual philosophical reading of Hume’s argument does not assume that the argument shows that all beliefs are to be supported either fallibly or not at all. We should therefore pay attention to another equally famous philosophical argument, one whose conclusion is definitely that no beliefs at all are conclusively justified.

This argument comes to us from the seventeenth-century French philosopher René Descartes. In his seminal Meditations on First Philosophy (1911 [1641]), Descartes ended Meditation I skeptically, denying himself all knowledge. How was that skeptical conclusion derived? It was based upon a fallibilism — a wholly general fallibilism. And his argument for that fallibilism — the Evil Genius (or Evil Demon) argument, as it is often called — may be presented in this way:

Any beliefs you have about … well, anything … could be present within you merely because some evil genius or demon has installed them there. And they might have been installed so as to deceive you: maybe any or all of them are false. Admittedly, you do not feel as if this has happened within you. Nonetheless, it could have done so. Note that the evil genius is not simply some other person, even an especially clever one. Rather, it would be God-like in pertinent powers although malevolent in accompanying intent — mysteriously able to implant any false beliefs within you so that their presence will feel natural to you, leaving you unaware that any of your beliefs are bedeviled by this untoward causal origin. You will never notice the evil genius’s machinations. All will seem normal to you within your mind. It will feel just as it would if you were observing and thinking carefully and insightfully.

Is that state of affairs possible? Indeed it is (said Descartes, and most epistemologists have since agreed with him about that). Moreover, if it is always present as a possibility, then one pressing part of it — your being mistaken — is always present as a possibility. This is always present, as a possibility afflicting each of your beliefs. What is true of you in this respect, too, is true of everyone. The evil genius could be manipulating all of our minds. Hence, any belief could be false, no matter who has it and no matter how much evidence they have on its behalf. Even the evidence, after all, could have been installed and controlled by an evil genius.

Interestingly, the reference to an evil genius as such, provocative though it is, was not essential even to Descartes’ own reasoning. In Meditation I, he had already — immediately prior to outlining the Evil Genius argument — presented a sufficiently fallibilist worry. It concerned the possibility of his having been formed or created in some way — whatever way that might be — which would leave him perpetually fallible. He wanted to believe that God was his creator. However (he wondered), would God create him as a being who constantly makes mistakes, or who is at least always liable to do so? God would be powerful enough to do this. But (Descartes also thought) surely God would have had no reason to allow him to make even some mistakes. Yet manifestly Descartes does make them. So (he inferred), he could not take for granted at this early stage of his inquiry (as it is portrayed in his Meditations) that he has actually been formed or created by a perfect God. The evidence of his fallibility opens the door to the possibility that he does not have that causal background. So (he continues), maybe his causal origins are something less than perfect, as of course they would be if anything less than a perfect God were involved in them. In that event, however, he is even more likely to make mistakes than he would be if God was his creator. In one way or the other, therefore (concludes Descartes), fallibility is unavoidable for him: no belief of his is immune from the possibility of being mistaken. Thus, fallibilism is thrust upon Descartes by this reasoning. (He realizes, nonetheless, that it is subtle reasoning. He might not retain it in his thinking. He might overlook his fallibility, if he is not mentally vigilant. Hence, he proceeds to describe the evil genius possibility to himself, as a graphic way of holding the fallibilism fast in his mind. The Evil Genius argument is, in effect, a philosophical mnemonic for him.)

Descartes himself did not remain a fallibilist. He believed that (in his Meditation II) he had found a convincing answer to that fallibilist argument. This answer was his Cogito, one of philosophy’s emblematic moments, and it arose via the following reasoning. Descartes thought that if ever in fact he is being deceived by an evil genius, at least he will thereby be in existence at these moments. (It is impossible to be an object of deception without existing.) The deception would be inflicted upon him while he exists as a thinker — specifically, as someone thinking whatever false thoughts are being controlled within him by the evil genius. But this entails (reasoned Descartes) that there is a kind of thought about which he cannot be deceived, even by an evil genius. Because he can know that he is having a particular thought, he can know that he exists at that time. And so he thought, “I think, therefore I am.” (This is the usual translation into English of the “Cogito, ergo sum” from Latin. The latter version is from Descartes’ Discourse on Method.) He would thereby know that much, at any rate (inferred Descartes). He need not — and at this point in his inquiry he does not think that he can — know which, if any, of his beliefs about the wider world are true. Nonetheless, he has knowledge of his inner world — knowledge of his own thinking. He would know not only that he is thinking, but even what it is that he is thinking. These beliefs about his mental life are conclusively supported, too, because — as he has just argued — they are beyond the relevant reach of any evil genius. No evil genius can give him these thoughts (that he is thinking and hence existing) and thereby be deceiving him.

But most subsequent epistemologists have been more swayed by the fallibilism emerging from the Evil Genius argument than by Descartes’ reply to that argument. (For a discussion of these issues in Descartes’ project, see Curley 1978; Wilson 1978.) One common epistemological objection to his use of the Cogito is as follows. How could Descartes have known that it was he in particular who was thinking? Shouldn’t he have rested content with the more cautious and therefore less dubitable thought, “There is some thinking occurring” — instead of inferring the less cautious and therefore more dubitable thought, “I am thinking”? That objection was proposed by Georg Lichtenberg in the eighteenth century. (For a criticism of it, see Williams 1978: ch. 3.) An advocate of it might call upon such reasoning as this:

In order to know that it is his own thinking, as against just some thinking or other, Descartes has to know already — on independent grounds — that he exists. However, in that event he would not know of his existing, only through his knowing of the thinking actually occurring: he would have some other source of knowledge of his existence. Yet his Cogito had been relied upon by him because he was assuming that his knowing of the thinking actually occurring was (in the face of the imagined evil genius) the only way for him to know of his existence.

That reasoning would claim to give us the following results. (1) Descartes does not know that he is thinking — because he would have to know already that he exists (in order to be the subject of the thinking which is noticed), and because he can know that he exists only if he already knows that he is thinking (the latter knowledge being all that is claimed to be invulnerable to the Evil Genius argument). (2) Similarly, Descartes does not know that he exists — because he would have to know already that he is thinking (this being all that is claimed to be invulnerable to the evil genius argument), and because he could know that he is thinking only by already knowing that he exists (thereby being able to be the subject of the thinking that is being noticed). (3) And once we combine those two results, (1) and (2), what do we find? The objection’s conclusion is that Descartes knows of his thinking and of his existence all at once — or not at all. In short, he is not entitled — as a knower — to the “therefore” in his “I think, therefore I exist.”

That is one possible objection to the Cogito. Still, even if it succeeds on its own terms, it leaves open the following question. Can Descartes have all of that knowledge — the knowledge of his thinking and the knowledge of his existence — all at once? This depends on whether, once he has doubted as strongly and widely as he has done, he can have knowledge even of what is in his own mind. In the mid-twentieth century, the Austrian philosopher Ludwig Wittgenstein mounted a deep challenge to anything like the Cogito as a way of grounding our thought and knowledge. Was Descartes legitimately using words at all so as to form clearly known thoughts, such as “I am thinking”? How could he know what these even mean, unless he is applying some understood language? And Wittgenstein argued that no one could genuinely be thinking thoughts which are not depending upon an immersion in a “public” language, presumably a language shared by other speakers, certainly one already built up over time. In which case, Descartes would be mistaken in believing that, even if the possibility of an evil genius imperils all of his other knowledge, he could retain the knowledge of his own thinking. For even that thinking would have its content only by using terms borrowed from a public language. Hence, Descartes would have to be presupposing some knowledge of that public world, even when supposedly retreating to the inner comfort and security of knowing just what he is thinking. (It should be noted that Wittgenstein himself did not generally direct his reasoning — his Private Language argument, as it came to be called — specifically against Descartes by name. For Wittgenstein’s reasoning, see his 1978 [1953] secs. 243-315, 348-412.)

Of course, even if the Cogito does in fact succeed, epistemologists all-but-unite in denying that such conclusiveness would be available for many — or perhaps any — other beliefs. Accordingly, we would still confront an all-but-universal fallibilism, with Descartes having provided an easy way to remember our all-but-inescapable fallibility. In any case, it remains possible that the Cogito does not succeed, and that instead the evil genius argument shows that no belief is ever conclusively justified. Descartes’ argument is not the only one for such a fallibilism. But most epistemologists still refer to it routinely and with some respect, as being a paradigm argument for the most general form of fallibilism.

8. Implications of Fallibilism: No Knowledge?

If we were to accept that fallibilism is true, to what else would we thereby be committed? In particular, what further philosophical views must we hold (all else being equal) if we hold fallibilism?

Probably the most significant idea that arises, in response to that question, is the suggestion that any fallibilist about justification has to be a skeptic about the existence of knowledge. (There is also the proposal that she must be a skeptic about the existence of justification. Section 10 will discuss that proposal.) This potential implication has made fallibilism particularly interesting to many philosophers. Should we accept the skeptical thesis that because (as fallibilists claim) no one is ever holding a belief infallibly, no one ever has a belief which amounts to being knowledge? In this section and the next, we will consider that question — first (in this section) by examining how one might argue for the skeptical thesis, next (in section 9) by seeing how one might argue against it.

That hypothesized skeptic is reasoning along these lines:

  1. Any belief, if it is to be knowledge, needs to be conclusively justified.
  2. No belief is conclusively justified. [Fallibilism tells us this.]
  3. Hence, no belief is knowledge. [This follows from 1-plus-2.]

Fallibilism gives us 2; deductive logic gives us 3 (as following from 1 and 2); and in this section we are not asking whether fallibilism is true. (We are assuming – for the sake of argument – that it is.) So, our immediate challenge is to ask whether 1 is true. Is it a correct thesis about knowledge? Does knowledge require infallibility (as 1 claims it does)? The rest of this section will evaluate what are probably the two most commonly encountered arguments for the claim that knowledge is indeed like that.

(1) Impossibility. Many people say this about knowledge:

If you have knowledge of some aspect of the world, it is impossible for you to be mistaken about that aspect. (An example: “If you know that it’s a dog, you can’t be mistaken about its being one.”)

We may call that the Impossibility of Mistake thesis. Its advocates might infer, from the conjunction of it with fallibilism, that no one ever has any knowledge. Their reasoning would be like this:

Because no one ever has conclusive justification for a belief, mistakes are always possible within one’s beliefs. Hence, no beliefs attain the rank of knowledge. (We would just think — mistakenly — that often knowledge is present.)

But almost all epistemologists would regard that sort of inference as reflecting a misunderstanding of what the Impossibility of Mistake thesis is actually saying. More specifically, they will say that there is a misunderstanding of how the term “impossible” is being used in that thesis. Here are two possible claims that the Impossibility of Mistake thesis could be thought to be making:

Any instance of knowledge is — indeed, it must be — directed at what is true.  (Knowledge entails truth.)

Any instance of knowledge has as its content what, in itself, could not possibly be false. (Knowledge entails necessary truth.)

The first of those two interpretations of the Impossibility of Mistake thesis says that knowledge, in itself, has to be knowledge of what is true. The second of the two possible interpretations says that knowledge is of what, in itself, has to be true. The two claims will be correlatively different in what they imply.

Epistemologists will insist that the first possible interpretation (which could be called the Necessarily, Knowledge Is of What Is True thesis) is manifestly true — but that it does not join together with fallibilism to entail skepticism. Recall (from (2) in section 2) that fallibilism does not deny that there can be truths among our claims and thoughts. It denies only that we are ever conclusively justified in any specific claim or thought as to which claims or thoughts are true. So, while the Necessarily, Knowledge Is of What Is True thesis entails that any case of knowledge would be knowledge of a truth, fallibilism — because it does not deny that there are truths — does not entail that there is no knowledge.

Epistemologists will also deny that the second possible interpretation (which may be called the Knowledge Is of What Is Necessarily True thesis), even if it is true, entails skepticism. Recall (this time from (3) in section 2) that fallibilism is not a thesis which denies that knowledge could ever be of contingent truths. So, while the Knowledge Is of What Is Necessarily True thesis entails that any case of knowledge would be knowledge of a necessary truth, fallibilism — because it does not, in itself, deny that there is knowledge of contingent truths — does not entail that there is no knowledge. (But most epistemologists, incidentally, will deny that the Knowledge Is of What Is Necessarily True thesis is true. They believe that — if there can be knowledge at all — there can be knowledge of contingent truths, not only of necessary ones.)

(2) Linguistic oddity. Another way in which people are sometimes led to deny that a wholly general fallibilism is compatible with people ever having knowledge is by their reflecting on some supposed linguistic infelicities. Imagine saying or thinking something like this:

“I know that’s true, even though I could be mistaken about its being true.” (An example: “I know that it’s raining, even though I could be mistaken in thinking that it is.”)

That is indeed an odd way to speak or think. Let us refer to it as The Self-Doubting Knowledge Claim. Epistemologists also refer to such claims as concessive knowledge-attributions — for short, as CKAs. Should we infer, from that claim’s being so linguistically odd, that no instance of knowledge can allow the possibility (corresponding to the “could” in The Self-Doubting Knowledge Claim) of being mistaken? Would this imply the incompatibility of fallibilism with anyone’s ever having knowledge? Does this show that, whenever one’s evidence in support of a belief does not provide a conclusive proof, the belief fails to be knowledge?

Few epistemologists will think so. They are yet to agree on what, exactly, the oddity of a sentence like The Self-Doubting Knowledge Claim reflects. (Very roughly: there is some oddity in that claim’s expressed mixture of confidence and caution.) But few of them believe that the oddity — however, ultimately, it is to be understood — will imply that knowledge cannot ever be fallible. Their usual view is that the oddity will be found to reside only in the talking or the thinking — in someone’s actively using — any such sentence. And this could be so (they continue) without the sentence’s also actually being false, even when it is being used. Some sentences which clearly are internally logically consistent — and hence which in some sense could be true — cannot be used without a similar linguistic oddity being manifested. Try saying, for example, “It’s raining, but I don’t believe that it is.” As the twentieth-century English philosopher G. E. Moore remarked (and his observation has come to be called Moore’s Paradox), something is amiss in any utterance of that kind of sentence. (For more on Moore’s Paradox, see Sorensen 1988, ch. 1; Baldwin 1990: 226-32.) This particular sentence — “It’s raining, but I don’t believe that it is” — is manifestly odd, seemingly in a similar way to any utterance of The Self-Doubting Knowledge Claim. Yet this does not entail the sentence’s being false. For each half of it could well be true; and they could be true together. The fact that it is raining is logically consistent with the speaker’s not believing that it is. (She could be quite unaware of the weather at the time.) So, the sentence could be true within itself, no matter that it cannot sensibly be uttered, say. That is, its content — what it reports — could be true, even if it cannot sensibly be asserted — as a case of reporting — in living-and-breathing speech or thought.

And the same is true (epistemologists will generally concur) of The Self-Doubting Knowledge Claim, the analogous sentence about knowledge and the possibility of being mistaken. Are they correct about that? The next section engages with that question.

9. Implications of Fallibilism: Knowing Fallibly?

The question with which section 8 ended amounts to this: is it possible for there to be fallible knowledge? If The Self-Doubting Knowledge Claim could ever be true, this would be because at least some beliefs are capable of being knowledge even when there is an accompanying possibility of their being mistaken. Any such belief, it seems, would thereby be both knowledge and fallible.

Many epistemologists, probably the majority, wish to accept that there can be fallible knowledge (although they do not always call it this). Few of them are skeptics about knowledge: almost all epistemologists believe that everyone has much knowledge. But what do they believe about the nature of such knowledge? When an epistemologist attributes knowledge, what — more fully — is being attributed? In general, epistemologists also accept that (for reasons such as those outlined in sections 5 through 7) knowledge is rarely, if ever, based upon infallible justification: they believe that there is little, if any, infallible justification. Hence, most epistemologists, it seems, accept that when people do gain knowledge, this usually, maybe always, involves fallibility.

Epistemologists generally regard this fallibilist approach as more likely to generate a realistic conception of knowledge, too. Their aim is to be tolerant of the cognitive fallibilities that people have as inquirers, while nevertheless according people knowledge (usually a great deal of it). The knowledge would therefore be gained in spite of the fallibility. And, significantly, it would be a kind of knowledge which somehow reflects and incorporates the fallibility. Indeed, it would thereby be fallible knowledge. (It would not be infallible knowledge coexisting with fallibility existing only elsewhere in people’s thinking.) With this strategy in mind, then, epistemologists who are fallibilists tend not to embrace skepticism.

Nor (if section 8 is right) should they do so. That section reported (i) the two reasons most commonly thought to show that fallibility in one’s support for a belief is not good enough if the belief is to be knowledge, along with (ii) the explanations of why (according to most epistemologists) those reasons mentioned in (i) are not good enough to entail their intended result. Given (ii), therefore, (i) will at least fail to give us infallible justification for thinking that fallible knowledge is not possible. Accordingly, perhaps such knowledge is possible. But if it is, then what form would it take?

Almost all epistemologists will adopt this generic conception of it:

Any instance of fallible knowledge is a true belief which is at least fallibly (and less than infallibly) justified.

(And remember that F*, in section 4, gave us some sense of what fallible justification is.) Let us call this the Fallible Knowledge Thesis. It is an application, to fallible knowledge in particular, of what is commonly called the Justified-True-Belief Analysis of Knowledge. (For an overview of that sort of analysis, see Hetherington 1996.) As stated, the Fallible Knowledge Thesis is quite general, in that it says almost nothing about what specific forms the justification within knowledge might take; all that it does require is that the justification would provide only fallible support.

Nonetheless, generic though it is, the question still arises of whether the Fallible Knowledge Thesis is ever satisfiable, let alone actually satisfied. And that question readily leads into this more specific one: Can a true belief ever be knowledge without having its truth entailed by the justification which is contributing to making the belief knowledge? (Sometimes this talk of justification is replaced by references to warrant, where this designates the justification and/or anything else that is being said to be needed if a particular true belief is to be knowledge. For that use of the term “warrant,” see Plantinga 1993.) Section 8 has disposed of some objections to there being any fallible knowledge; and the previous paragraph has gestured at how — via the Justified-True-Belief Analysis — one might conceive of fallible knowledge. Nonetheless, there could be residual resistance to accepting that there can be fallible knowledge like that. Undoubtedly, some people will think, “There just seems to be something wrong with allowing a belief or claim to be knowledge when it could be mistaken.”

That residual resistance is not clearly decisive, though. It could well owe its existence to a failure to distinguish between two significantly different kinds of question. The first asks whether a particular belief, given the justification supporting it, is true (and thereby fallible knowledge). The other question asks whether, given that belief’s being true, there is enough supporting justification in order for it to be (fallible) knowledge. The former question is raised from “within” a particular inquiry into the truth of a particular belief. The latter question arises from “outside” that inquiry into that belief’s being true (even if this question is arising within another inquiry, perhaps an epistemological one). There is no epistemologically standard way of designating the relevant difference between those kinds of question. Perhaps the following is a helpful way to clarify that difference.

(1) The not-necessarily-epistemological question as to whether a belief is true. Imagine trying to ascertain whether some actual or potential belief or claim is true. You ask yourself, say, “Do I know whether I passed that exam?” Suppose that you have good — fallibly good — evidence in favor of your having passed the exam. (You studied well. You concentrated hard. You felt confident. Your earlier marks in similar exams have been good.) And now suppose that you recall the Justified-True-Belief Analysis. You apply it to your case. What does it tell you? It tells you just that if your actual or possible belief (namely, the belief that you passed the exam) is true, then — given your having fallibly good evidence supporting the belief — the belief is or would be knowledge, albeit fallible knowledge. But does this reasoning tell you whether the belief is knowledge? It does not. All that you have been given is this conditional result: If your belief is true, then (given the justification you have in support of it) the belief is also knowledge. You have no means other than your justification, though, of determining whether the belief is true; and because the justification is fallible, it gives you no guarantee of the belief’s being true (and thereby of being knowledge). Moreover, if fallibilism is true, then any justification which you might have, no matter how extensive or detailed it is, would not save you from that plight. Thus (given fallibilism), you are trapped in the situation of being able to reach, at best, the following conclusion: “Because my evidence provides fallible justification for my belief, the belief is fallible knowledge if it is true.” At which point, most probably, you will wonder, “Is it true? That’s what I still don’t know. (I have no other way of knowing it to be true.)” And so — right there and then — you are denying that your belief is knowledge, because you are denying that you know it to be true. The fallibility in your justification leaves you dissatisfied, as an inquirer into the truth of a particular belief, at the idea of allowing that it could be knowledge, even fallible knowledge. When still inquiring into the truth of a particular belief, it is natural for you to deny that (even if, as it happens, the belief is true) your having fallible justification is enough to make the belief knowledge.

(2) The epistemological question as to whether a belief is knowledge. But the epistemologist’s question (asked at the start of this section) as to whether there can be fallible knowledge is not asked from the sort of inquirer’s perspective described in (1). The epistemologist is not asking whether your particular belief is true (while noting the justification you have for the belief). That is the question you are restricted to asking, when you are proceeding as the inquirer in (1). The epistemological question is subtly different. It does not imagine a fallibly justified belief — before asking, without making any actual or hypothetical commitment as to the belief’s truth, whether the belief is knowledge. Rather, the epistemologist’s question considers the conceptual combination of the belief plus the justification for it plus the belief’s being true — which is to say, the whole package that, in this case, is deemed by the Justified-True-Belief Analysis to be knowledge — before proceeding to ask whether this entirety is an instance of knowledge. To put that observation more simply, this epistemological question asks whether a belief which is fallibly justified, and which is true, is (fallible) knowledge. This is the question of whether your belief is knowledge, given (even if only for argument’s sake) that it is true. In (1), your focus was different to that. In wondering whether you had passed the exam, you were asking whether the belief is true: you were still leaving open the issue of whether or not the belief is true. And, as you realized, your fallible justification was also leaving open that question. For it left open the possibility of the belief’s falsity.

Consequently, from (1), it is obvious why an inquirer might want infallibility in her justification for a belief’s truth. Infallibility would mean her not having to leave open the question of the belief’s truth. Without infallibility, the possibility is left open by her justification (which is her only indication of whether her belief is true) of her belief being false — and hence not knowledge. (This is so, even if we demand that, in order for an inquirer’s belief to be knowledge, she has to know that it is. That demand is called the KK-thesis (with its most influential analysis and defense coming from Hintikka 1962: ch. 5) — because one’s having a piece of knowledge is taken to require one’s Knowing that one has that Knowledge. Yet even satisfying that demand does not remove the rational doubt described in (1). If the extra knowledge — the knowledge of the initial belief’s being knowledge — is not required to be infallible itself, then scope for doubt will remain as to whether the initial belief really is knowledge.) But if we can either (i) know or (ii) suppose (for the sake of another kind of inquiry) that the belief is true, then we may switch our perspective, so as to be asking a different question. That is what the epistemologist is doing in (2), by adopting the latter, (ii), of these two options. She supposes, for the sake of argument, that the belief is true; then she can ask, “Would the belief’s being both true and fallibly justified suffice for it to be knowledge?” She can do this without knowing at all, let alone infallibly, whether the belief is true. (She will also not know infallibly, at least not via this questioning, whether the belief is knowledge. Yet what else is to be expected if fallibilism is true?)

It is also obvious, from (1), why an inquirer might want infallibility in her justification, insofar as she is wondering whether to say or claim that some actual or potential belief of hers is knowledge. Nonetheless, this does not entail her needing such justification if her belief is to be knowledge. Remember — from (2) in section 8 — that whether one has a specific piece of knowledge could be quite a different matter to whether one may properly claim to have it. Similarly, most epistemologists will advise us not to confuse what makes a belief knowledge with what rationally assures someone that her belief is knowledge. For example, it is possible — according to fallibilist epistemologists in general — for a person to have some fallible knowledge, even if she does not know infallibly which of her beliefs attain that status.

This section began by asking the epistemological question of whether there can be fallible knowledge. And with our having seen — in this section’s (2) — what that question is actually asking, along with — in this section’s (1) — what it is not asking, we should end the section by acknowledging that, in asking that epistemological question, we need not be crediting epistemological observers with having a special insight into whether, in general, people’s beliefs are true. The question of whether those beliefs are true is not the question being posed by the epistemological observer. She is asking whether a particular belief is knowledge, given (even if only for argument’s sake) that it is true and fallibly justified. She is asking this from “above” or “outside” the various “lower level” or “inner” attempts to know whether the given beliefs are true. The other (“lower level”) inquirers, in contrast, are asking whether their fallibly justified beliefs are true. There is fallibility in each of those processes of questioning; they just happen to have somewhat different subject-matters and methods.

We should not leave a discussion of the Fallible Knowledge Thesis without observing that, even if it is correct in its general thrust, epistemologists have faced severe challenges in their attempts to complete its details — to make it more precise and less generic. Over the past forty or so years, there have been many such attempts. But these have encountered one problem after another, mostly as epistemologists have struggled to solve what is often called the Gettier Problem, stemming from a 1963 article by Edmund Gettier.

A very brief word on that problem is in order here. It has become the epistemological challenge of defining knowledge precisely, so as to understand all actual or possible cases of knowledge — where one of the project’s guiding assumptions has been that it is possible for instances of knowledge to involve justification which supplies only fallible support. In other words, the project has striven to find a precise analysis of what the Fallible Knowledge Thesis would deem to be fallible knowledge; and, unfortunately, the Gettier Problem is generally thought by epistemologists still to be awaiting a definitive solution. Such a solution would determine wholly and exactly how fallible a particular justified true belief can be, and in what specific ways it can be fallible, without that justified true belief failing to be knowledge. In the meantime (while awaiting that sort of solution), epistemologists incline towards accepting the Justified-True-Belief Analysis — represented here in the Fallible Knowledge Thesis — as being at least approximately correct. Certainly in practice, most epistemologists treat the analysis as being correct enough — so that it functions well as giving us a concept of knowledge that is adequate to whatever demands we would place upon a concept of knowledge within most of the contexts where we need a concept of knowledge at all. Such epistemologists take the difficulties that have been encountered in the attempts to ascertain exactly how a fallibly justified true belief can manage to be knowledge as being difficulties of mere (and maybe less important) detail, not ones of insuperable and vital principle. Those epistemologists tend to assume that eventually the needed details will emerge, that these will be agreed upon by epistemologists, and hence that the basic idea behind the Fallible Knowledge Thesis will finally and definitively be vindicated. (For more on the history of that epistemological project, see Shope 1983 and Hetherington 2016.)

But again, that definitive vindication is yet to be achieved. And, of course, it will not eventuate if we should be answering “No” to the question (discussed earlier in this section) of whether a true belief which is less than infallibly justified is able to be knowledge. When there is fallibility in the justification for a particular true belief, is this fact already sufficient to prevent that belief from being knowledge? Few epistemologists wish to believe so. What we have found in this section is that they are at least not obviously mistaken in that optimistic interpretation.

10. Implications of Fallibilism: No Justification?

Sometimes epistemologists believe that fallibilism opens the door upon an even more striking worry than the one discussed in section 9 (namely, the possibility of there being no knowledge, due to the impossibility of knowledge’s ever being fallible). Sometimes they infer, from the presence of fallibility, that even justification (let alone knowledge) is absent. That is, once fallibility enters, even justification — all justification — departs. Consequently, those epistemologists — once they accept that a universal fallibilism obtains — are skeptics even about the existence of justification. (For an example of such an approach, see Miller 1994: ch. 3.)

How would that interpretation of the impact of fallibilism be articulated? In effect, the idea is that if evidence, say, is to provide even good (let alone very good or excellent or perfect) guidance as to which beliefs are true, it is not allowed to be fallible. No justification worthy of the name is able to be merely fallible. And from that viewpoint, of course, skepticism beckons insofar as no one is ever capable of having any infallible justification. If fallibility is rampant, yet infallibility is required if evidence or the like is ever to be supplying real justification, then no real justification is ever supplied. In short, no beliefs are ever justified.

That is a wholly general skepticism about justification, emerging from a wholly general fallibilism. A possible example of that form of skepticism would be the one with which Descartes ended his Meditation I. Cartesian evil genius skepticism would say that, because there is always the possibility of Descartes’ evil genius (in section 7) controlling our minds, any evidence or reasoning that one ever has could be a result just of the evil genius’s hidden intrusion into one’s mind. The evil genius — by making everything within one’s mind false and misleading — could render false all of one’s evidence, along with all of one’s ideas as to what is good reasoning. None of one’s evidence, and none of one’s beliefs as to how to use that evidence, would be true. However, if there were no truth anywhere in one’s thinking (with one never realizing this), then no components of one’s thinking would be truth-indicative or truth-conducive. No part of one’s thinking would ever lead one to have an accurate belief. Continually, one would both begin and end with falsity. And there are many epistemologists in whose estimation this would mean that no part of one’s thinking is ever really justifying some other part of one’s thinking. For justification is usually supposed to have some relevant link to truth. And presumably there would be no such link, if every single element in one’s thinking is misleading — as would be the case if an evil genius was at work. Is that possible, then? Moreover, is it so dramatic a possibility that if we are forever unable to prove that it is absent, then our minds will never contain real justification for even some of our beliefs?

A potentially less general skepticism about justification would be a Humean inductive skepticism (mentioned in section 6). The thinking behind this sort of skepticism infers — from the inherent fallibility of any inductive extrapolations that could be made from some observations — that no such extrapolation is ever even somewhat rational or justifying. Again, the skeptical interpretation of Humean inductive fallibilism is that, given that all possible extrapolations from observations are fallible, neither logic nor any other form of reason can favor one particular extrapolation over another. The fallibilism implies that there is fallibility within any extrapolation: none are immune. And the would-be skeptic infers from this that, once there is such widespread fallibility, there may as well be a complete absence of any pretence at rationality. The fallibility will be inescapable, even as we seek to defend the rationality of one extrapolation over another. Why is that? Well, we could mount such a defense only by pointing to one sort of extrapolation’s possessing a better past record of predictive success, say. But we would be pointing to that better past record, only in order to infer that such an extrapolation is more trustworthy on the present occasion. And that inference would itself be an inductive extrapolation. It, too, is therefore fallible. Accordingly, if there was previously a need to overcome inductive fallibility (with this need being the reason for consulting the past records of success in the first place), then there remains such a need, even after past records of success have been consulted. In this way, it is the fallibility’s inescapability that generates the skepticism.

Yet, as we noted earlier, most epistemologists would wish to evade or undermine skeptical arguments such as those ones — arguments that seek to convert a kind of fallibilism into a corresponding skepticism. How might this non-skeptical maneuver be achieved? There has been a plethora of attempts, too many to mention here. (For one survey, see Rescher 1980.) Moreover, no consensus has developed on how to escape skeptical arguments like these. That issue is beyond the scope of this article.

What may usefully (even if generically) be described here, however, is a fundamental choice as to how to interpret the force of fallibilism within our cognitive lives. Any response to the skeptical challenges will make that choice (even if usually implicitly and in some more specific way). The basic choice will be between the following two underlying pictures of what a wholly general fallibilism would tell us about ourselves:

(A) The inescapable fallibility of one’s cognitive efforts would be like the inescapable limits — whatever, precisely, these are — upon one’s bodily muscles. These limit what one’s body is capable of — while nonetheless being part of how it achieves whatever it does achieve. Inescapable fallibility would thus be like a background limitation — always present, sometimes a source of frustration, but rarely a danger. When used appropriately, muscles strengthen themselves in accomplished yet limited ways. Would the constant presence of fallibility be like a (fallibly) self-correcting mechanism?

(B) Inescapable fallibility would be like a debilitating illness which “feeds upon” itself. It would become ever more dangerous, as its impact is compounded by repeated use. This would badly lower the quality of one’s thinking. (For a model of that process, notice how easily instances of minor fallibility can interact so as to lead to major fallibility. For example, a sequence in which one slightly fallible piece of evidence after another is used as support for the next can end up providing very weak — overly fallible — support: [80%-probabilification X 80%-probabilification X 80%-probabilification X 80%-probabilification]

How are we to choose between (A) and (B) — between the Limited Muscles model of fallibilism and the Debilitating Illness model of it?

Because most epistemologists are non-skeptics, they favor (A) — the Limited Muscles model. This is not to insist that thinking in an (A)-influenced way is bound to succeed against skeptical arguments. The point right now is simply that this way of thinking is one possible goal for an epistemologist. It is the goal of finding some means of successfully understanding and defending an instance of the Limited Muscles model. What is described by that model would be such a theorist’s desired way to conceive, if this is possible, of the general idea of inescapable fallibility. She will seek to conceive of inescapable fallibility as being manageable, even useful. Hence, the Limited Muscles model is a framework which — in extremely general terms — she will hope allows her to understand — in more specific terms — the nature and significance of fallibilism. Perhaps the most influential modern example of this approach was Quine’s (1969), centered upon a famous metaphor from Neurath (1959 [1932/33], sec. 201). That metaphor portrays human cognitive efforts as akin to a boat, afloat at sea. The boat has its own sorts of fallibility. It is subject to stresses and cracks. And how worrying is that? Must the boat sink whenever those weaknesses manifest themselves? No, because that is not how boats usually function. In general, repairs can be made. This may occur even while the boat is still at sea. Structurally, it is strong enough to support repairs to itself, even as it continues being used, even while making progress towards its destination. Neurath regarded cognitive progress as being like that — as did Quine, who further developed Neurath’s model. On what Quine called his “naturalized” conception of epistemology (a conception that many subsequent thinkers have sought to make more detailed and to apply more widely), human observation and reason make cognitive progress in spite of their fallibility. They do so, even when discovering their own fallibility — finding their own stresses and cracks. Must they then sink, floundering in futility? No. They continue being used, often while repairing their own stresses and cracks — reliably correcting their own deliverances and predictions. Section 5 asked whether science is an especially fallible method. As was also noted, though, science provides impressive results. Indeed, it was Quine’s favored example of large-scale cognitive progress. How can that occur? How can scientific claims — including so many striking ones — be justified, in spite of the fallibility that remains? Maybe science is like a ship that carries within it some skilled and imaginative artisans (carpenters, welders, electricians, and the like). Not only can it survive; it can become more grand and capable when being repaired at sea. (Even so, is such cognitive progress best described in probabilistic terms? On that possibility, implied by Humean fallibilism, see Howson 2000.)

Naturally, in contrast to that optimistic model for thinking about fallible justification, skeptics will prefer (B) — the Debilitating Illness model. We have examined (in sections 6 and 7) a couple of specific ways in which they might try to instantiate that general model. We have also seen (in sections 8 through 10) some reasons why those skeptics might not be right. Perhaps they overstate the force of fallibilism — inferring too much from the facts of fallibility. In any case, the present point is that skeptics (like non-skeptics) seek specific arguments in pursuit of a successful articulation and defense of an underlying picture of inescapable fallibility. Both skeptics and non-skeptics thereby search for an understanding of fallibilism’s nature and significance. They simply reach for opposed conceptions of what fallibilism implies about people’s ability to observe and to reason justifiably.

So, there is a substantial choice to be made; and each of us makes it, more or less carefully and consciously, when reflecting upon these topics. Which of those two basic interpretive directions, then, should we follow? The intellectual implications of this difficult choice are exhilaratingly deep.

11. References and Further Reading

  • Baldwin, T. G. E. Moore. London: Routledge, 1990. 226-32.
    • On Moore’s paradox.
  • Buckle, S. Hume’s Enlightenment Tract: The Unity and Purpose of An Enquiry Concerning Human Understanding. Oxford: Oxford University Press, 2001. Part 2, chapter 4.
    • On Hume’s famous skeptical reasoning in his first Enquiry.
  • Conee, E. and Feldman, R. Evidentialism: Essays in Epistemology. Oxford: Oxford University Press, 2004.
    • A traditional (and popular) approach to understanding the nature of epistemic justification.
  • Curley, E. M. Descartes against the Skeptics. Cambridge, Mass.: Harvard University Press, 1978.
    • On Descartes’ skeptical doubting.
  • Descartes, R. The Philosophical Works of Descartes, Vol. I, (eds. and trans.) E. S. Haldane and G. R. T. Ross. Cambridge: Cambridge University Press, 1911 [1641].
    • Contains both the Discourse and the Meditations. These include both the Evil Genius argument and the Cogito.
  • Feldman, R. “Fallibilism and Knowing That One Knows.” The Philosophical Review 90 (1981): 266-82.
    • On the nature and availability of fallible knowledge.
  • Gettier, E. L. “Is Justified True Belief Knowledge?” Analysis 23 (1963): 121-3.
    • The genesis of the Gettier Problem.
  • Goldman, A. I. “What is Justified Belief?” In G. S. Pappas (ed.), Justification and Knowledge: New Studies in Epistemology. Dordrecht: D. Reidel, 1979.
    • An influential analysis of the nature of epistemic justification.
  • Hetherington, S. Knowledge Puzzles: An Introduction to Epistemology. Boulder, Colo.: Westview Press, 1996.
    • Includes an overview of many of the commonly noticed difficulties posed by the Gettier problem for our attaining a full understanding of fallible knowledge.
  • Hetherington, S. “Knowing Failably.” Journal of Philosophy 96 (1999): 565-87.
    • Describes the genus of which fallible knowledge is a species.
  • Hetherington, S. “Fallibilism and Knowing That One Is Not Dreaming.” Canadian Journal of Philosophy 32 (2002): 83-102.
    • Shows how fallibilism need not lead to skepticism about knowledge.
  • Hetherington, S. “Concessive Knowledge-Attributions: Fallibilism and Gradualism.” Synthese 190 (2013): 2835-51.
    • A fallibilist interpretation of concessive knowledge-attributions (instances of the Self-Doubting Knowledge Claim).
  • Hetherington, S. Knowledge and the Gettier Problem. Cambridge: Cambridge University Press (2016).
    • A critical analysis of the history of the Gettier Problem.
  • Hintikka, J. Knowledge and Belief: An Introduction to the Logic of the Two Notions Ithaca, NY: Cornell University Press, 1962. ch. 5.
    • On the KK-thesis — that is, on knowing that one knows.
  • Howson, C. Hume’s Problem: Induction and the Justification of Belief. Oxford: Oxford University Press, 2000.
    • A technically detailed response to Hume’s fallibilist challenge to the possibility of inductively justified belief.
  • Hume, D. An Enquiry Concerning Human Understanding, in Hume’s Enquiries, (ed.) L. A. Selby-Bigge, 2nd edn. Oxford: Oxford University Press, 1902 [1748].
    • This includes, in section IV, the most generally cited version of Hume’s inductive fallibilism and inductive skepticism.
  • Kahneman, D., Slovic, P., and Tversky, A. (eds.). Judgment under Uncertainty: Heuristics and Biases. Cambridge: Cambridge University Press, 1982.
    • On empirical evidence of people’s cognitive fallibilities.
  • Merricks, T. “More on Warrant’s Entailing Truth.” Philosophy and Phenomenological Research 57 (1997): 627-31.
    • Argues against the possibility of there being fallible knowledge.
  • Miller, D. Critical Rationalism: A Restatement and Defence. Chicago: Open Court, 1994.
    • Discusses many ideas (including a skepticism about epistemic justification) that might arise if fallibilism is true.
  • Morton, A. A Guide through the Theory of Knowledge, 3rd edn. Malden, Mass.: Blackwell, 2003. ch. 5.
    • On the basic idea, plus some possible forms, of fallibilism.
  • Nagel, T. The View from Nowhere. New York: Oxford University Press, 1986.
    • See especially chapters I and V. Discusses the interplay of different perspectives (“inner” and “outer” ones) that a person might seek upon herself, especially as greater objectivity is sought. (This bears upon section 9’s distinction between two possible kinds of question that can be asked about whether a particular belief is fallible knowledge.)
  • Neurath, O. “Protocol Sentences,” in A. J. Ayer (ed.), Logical Positivism. Glencoe, Ill.: The Free Press, 1959 [1932/33].
    • Includes the famous “boat at sea” metaphor.
  • Nisbett, R. and Ross, L. Human Inference: Strategies and Shortcomings of Social Judgment. Englewood Cliffs, NJ: Prentice-Hall, 1980.
    • On empirical evidence of people’s cognitive fallibilities.
  • Peirce, C. S. Collected Papers, (eds.) C. Hartshorne and P. Weiss. Cambridge, Mass.: Harvard University Press, 1931-60.
    • See, for example, 1.120, and 1.141 through 1.175, for some of Peirce’s originating articulation of the concept of fallibilism as such.
  • Plantinga, A. Warrant: The Current Debate. New York: Oxford University Press, 1993.
    • An analysis of some proposals as to what warrant might be within (fallible) knowledge.
  • Quine, W. V. “Epistemology Naturalized,” in Ontological Relativity and Other Essays. New York: Columbia University Press, 1969.
    • A bold and prominent statement of the program of naturalized epistemology, trying to understand fallibility as a part of, rather than a threat to, the justified uses of observation and reason.
  • Reed, B. “How to Think about Fallibilism.” Philosophical Studies 107 (2002): 143-57.
    • An attempt to define fallible knowledge.
  • Rescher, N. Scepticism: A Critical Reappraisal. Oxford: Blackwell, 1980.
    • On fallibilism and many associated skeptical issues about knowledge and justification.
  • Shope, R. K. The Analysis of Knowing: A Decade of Research Princeton: Princeton University Press, 1983.
    • Presents much of the earlier history of attempts to solve the Gettier problem — and thereby to define fallible knowledge.
  • Sorensen, R. A. Blindspots. Oxford: Oxford University Press, 1988. ch. 1.
    • A philosophical analysis of the kinds of thought or sentence that constitute Moore’s paradox.
  • Stove, D. C. Probability and Hume’s Inductive Scepticism. Oxford: Oxford University Press, 1973.
    • Explains how Hume’s inductive fallibilism gives way to his inductive skepticism.
  • Williams, B. Descartes: The Project of Pure Enquiry. Hassocks: The Harvester Press, 1978.
    • Analysis of Descartes’ skeptical doubts.
  • Wilson, M. D. Descartes. London: Routledge & Kegan Paul, 1978.
    • Includes an account of Descartes’ skeptical endeavors.
  • Wittgenstein, L. Philosophical Investigations, (trans.) G. E. M. Anscombe. Oxford: Blackwell, 1978 [1953]. Sections 243-315, 348-412.
    • Presents the private language argument (against the possibility of anyone’s being able to think in a language which only they could understand).

Author Information

Stephen Hetherington
Email: s.hetherington@unsw.edu.au
University of New South Wales
Australia

Yang Xiong (53 B.C.E.—18 C.E.)

Yang_XiongYang Xiong (Yang Hsiung) was a prolific yet reclusive court poet whose writings and tragic life spanned the collapse of the Former Han dynasty (202 B.C.E.-9 C.E.) and the brief and catastrophic usurpation of the throne by the Imperial Regent Wang Mang (9-23 C.E.). He is best known for his assertion that human nature originally is neither good (as argued by Mencius) nor depraved (as argued by Xunzi) but rather comes into existence as a mixture of both. Yang Xiong’s chief philosophical writings – an abstruse book of divination known as the Tai xuan (The Great Dark Mystery) and his Fa yan (Words to Live By), a collection of aphorisms and dialogues on a variety of historical and philosophical topics – are little known even among Chinese scholars. These works combine a Daoist concern for cosmology, but may be best described as a product of the intellectual and spiritual syncretism characteristic of the Han dynasty (202 B.C.E.-220 C.E.). As a social critic and classical scholar, he is considered to be the chief representative of the Old Text School (guxue) of Confucianism. Although some think he was one of the most important writers of the late Former Han, he had little influence during his own time and was vilified for his association with the usurper Wang Mang. Consequently, his works have largely been left out of the Confucian canon.

Table of Contents

  1. Life and Writings
  2. Intellectual Context
    1. Han Syncretism and Correlative Cosmology
    2. The Old Text / New Text Controversy
  3. Tai xuan (The Great Dark Mystery)
    1. Date and Significance
    2. The Influence of the Laozi and the Yijing
    3. Correlative Cosmology in the Tai xuan
  4. Fa yan (Words to Live By)
    1. Date and Significance
    2. The Influence of the Lunyu
    3. Syncretism in the Fa yan
    4. Old Text Themes in the Fa yan
    5. Political Philosophy in the Fa yan
    6. View of Human Nature
  5. Poetical Works
  6. References and Further Reading

1. Life and Writings

Yang Xiong was born in 53 B.C.E. in the western city of Chengdu in the province of Shu. His biography in the Qian Han Shu (History of the Former Han) remarks that Yang Xiong was fond of learning, was unconcerned with wealth, office, and reputation, and suffered from a speech impediment and consequently spoke little. As a youth he probably was a student of Zhuang Zun, a reclusive marketplace fortune teller who refused to take office, opting instead to use divination and fortune-telling as a means to encourage virtue among the common people. Before coming to the capital he gained renown for his poetic writings, in particular for his fu, a poetic genre associated with an earlier native of Shu, Sima Xiangru (179-117 B.C.E.). Yang Xiong’s reputation as a poet eventually reached the capital of Chang’an, and around 20 B.C.E. he was summoned to the court of Emperor Cheng. Between the years 14-10 B.C.E., Yang Xiong submitted several poetic pieces commemorating imperial sacrifices and hunts, and finally in 10 B.C.E. he was appointed to the humble office of “Gentleman in Attendance” and “Servitor at the Yellow Gate,” where he would remain until his final days. While not much is known of Yang Xiong’s activities as a lowly official at the Han court, it appears that, as far back as 9 B.C.E., Emperor Cheng issued a decree excusing him from the direct official service, while maintaining an official title, salary, and access to the imperial library for him.

Shortly after his appointment, Yang Xiong became disillusioned with the rectifying power of his poetry and stopped writing it for the court. Yang Xiong’s decision appears to have coincided with the death of his son, a tragedy which left him despondent and financially impoverished. Over the next two decades he produced his two works on philology: Cang Jie xun zuan (Annotations to the Cang Jie), a compilation of annotations to the Qin dynasty’s official imperial dictionary, and Fang yan (Dialects), a collection of regional expressions. During this period, he also produced his Tai xuan (The Great Dark Mystery), which he completed around 2 B.C.E., and Fa yan (Words to Live By), which he completed in 9 CE – right about the time that the Imperial Regent Wang Mang usurped the throne and established the brief Xin dynasty (9-23 CE).

Yang Xiong’s life and writings were overshadowed by the rise and fall of the notorious Wang Mang (45 B.C.E.-23 CE). A nephew of the wife of Emperor Yuan (who reigned 48-32 B.C.E.), Wang Mang rose to the rank of Imperial Regent. In 9 CE, through a combination of court intrigue, political machinations, manipulation of popular superstitions, and opportunity, he seized the throne from the founding House of Liu and declared himself the rightful possessor of the Mandate of Heaven. His short-lived Xin dynasty marks the dividing line between the Former or Western Han (202 B.C.E.-9 C.E.) and the Later or Eastern Han (25-220 CE) and, due to widespread rebellion and a series of natural catastrophes, is widely considered one of the most calamitous periods in Chinese history.

While little is known of Yang Xiong’s activities during his final years, his biography notes that, shortly after Wang Mang’s usurpation Yang Xiong attempted suicide when he was named in a scandal involving one of his former students. He survived the attempt. When Wang Mang heard of it, he ordered all charges against Yang Xiong dropped, proclaiming that the poet had never been involved in any political affairs at court. His final work, Ju qin mei xin, appears to have been a controversial memorial presented to Wang Mang around 14 CE; its title is translated by Knechtges as Denigrating Qin and Praising Xin. Yang Xiong died four years later at the age of 71.

2. Intellectual Context

a. Han Syncretism and Correlative Cosmology

The focus of Yang Xiong’s writings during the middle years of his life is commonly seen as reflecting the Han trend toward syncretism and correlative cosmology. While the disunity of the Warring States period (475-221 B.C.E.) provided fertile soil for the flourishing of the “One Hundred Schools of Thought” (baijia), the unification brought about by the Qin (221-206 B.C.E.) and the Former Han dynasties provided the impetus for their coalescence. This combination of diverse views during the Qin and the Han periods can be seen in works such as the Lushi chunqiu (The Spring and Autumn Annals of Mr. Lu) and the Huainanzi (The Master of Huainan), which blend various streams of ancient Chinese thought, including Daoism, Confucianism, Legalism, Huang-Lao thought, Militarism, Mohism, and yinyang and wuxing (Five Phase) thought.

Though Confucianism became the dominant and official school of thought in the Han, it borrowed heavily from earlier schools, particularly the yinyang and wuxing schools. The former explains all entities and events in terms of the interaction between two interdependent properties, yin (associated with darkness, passivity, and femininity) and yang (associated with light, activity, and masculinity). The latter takes a similar approach to understanding natural phenomena but includes the idea that “Five Phases” (each associated with metal, wood, water, fire, and earth, respectively) succeed one another in a never-ending cyclical process. The amalgamation of Confucianism, yinyang, and wuxing theory is especially evident in the writings of the scholar Dong Zhongshu (179-104 B.C.E.), whose Chunqiu fanlu (Luxuriant Dew of the Spring and Autumn Annals) illustrates a synthesis between Confucian ethics and an amalgam of yinyang and wuxing cosmology. Attempts to develop exhaustive systems of classification (leishu) were also common during this period and can be seen as part of the larger trend toward syncretization. These tables often use a Five Phase cosmological framework in which things are organized analogically on the basis of their relevant associations, rather than on the basis of some discrete essence. As can be seen in Yang Xiong’s Tai xuan, the correlations which form the basis of these classification systems can be bewildering – especially to anyone unfamiliar with the sorts of complex associations found in early Chinese culture.

b. The Old Text / New Text Controversy

Many historians of Chinese philosophy have identified Yang Xiong’s final and best-known work, the Fa yan (Words to Live By), as representative of a more rational and sober-minded form of Confucianism known as the Old Text School (guxue). In contrast to the New Text School, which relied on versions of the classics written in the simpler and officially recognized script of the Han dynasty known as “new script” (jinwen), the Old Text School relied on versions written in the archaic scripts (guwen) and characters of the Zhou dynasty (c. 1100-221 B.C.E.). Legend has it that these latter texts survived the book burnings of the Qin dynasty by lying concealed in the walls of the home of Confucius. Generally speaking, the Old Text School was associated with the simpler, more pragmatic philosophy of Confucius’s native state of Lu, while the New Text school was associated with the often fantastic writings of Zou Yan (305-240 B.C.E.), a native of Qi and founder of the yinyang and wuxing schools of thought.

Through much of the late Former Han dynasty, Confucianism was under the influence of the yinyang and wuxing theories promoted by New Text adherents. During this period, New Text scholars increasingly became interested in esoteric readings of the classics, cosmological speculation, and calamity and portent interpretation. The chief representatives of this period were classical scholars who commonly employed wuxing and yinyang correlations, numerical calculations, and various techniques of divination to fathom the harmony and continuity of humanity, nature, and the ancestral spirits – and to forecast disruptions.

By the reigns of the last Former Han Emperors, the use of yinyang and wuxing theory in interpreting the classics and the progress of history closely paralleled methods found in apocryphal oracle books and commentaries that treated the classics as fortune-telling handbooks and used reports of unusual phenomena not to boldly admonish the Emperor – as did Zou Yan and Dong Zhongshu – but to curry favor with those in power. This trend reached its climax with Wang Mang, whose rise to power and eventual usurpation was associated with, and to a large extent legitimated by, hundreds of favorable omens and the generous rewarding of those who reported them.

While scholars are divided on whether the Old Text School originated from Xunzi’s branch of Confucianism, most characterize this movement as a rational response to the excesses of the New Text school, whose influence had left the Han court and its scholars heavily dependent upon yinyang and wuxing thinking. More broadly, the Old Text school can be seen as a response to the often irrational and superstitious world of the late Former Han – a world that interpreted the classics as containing secret magical formulas and prognostications, was fascinated by talk of immortals, saw itself near the bottom in the historical cycle of rise and decline, and interpreted the passing of each childless Emperor and reports of calamities as portents to be dreaded.

3. Tai xuan (The Great Dark Mystery)

a. Date and Significance

Completed around 2 B.C.E., the Tai xuan is Yang Xiong’s longest and most difficult work. Few scholars have taken time to study it, and those who have often disagree about its import. Some scholars view the main focus of the text to be wuxing theory, others view its main focus to be the Five Constant Virtues (wuchang) of Confucianism, and still others view the Tai xuan as political satire of Wang Mang and other historical figures of the late Former Han. (See Michael Nylan’s translation and commentary of the Tai Xuan (1993)). While the Tai xuan is more a manual of divination than a philosophical treatise, it embodies a number of assumptions about the nature of the world, its cycles of transformation, and the central importance of timeliness in making one’s way in the world. Just as in his earlier poetry, in the Tai xuan Yang Xiong reiterates the view that success and failure do not all come down to individual effort but have much to do with the times and circumstances in which one lives, and that if one does not meet one’s proper time for acting, then one should retire or withdraw and wait for more advantageous times.

b. The Influence of the Laozi and the Yijing

The term xuan in the title is typically used in Chinese literature as a modifier to describe that which is dark, black, mysterious, profound, abstruse or hidden. Yang Xiong, however, uses the term xuan much like the term dao in the Laozi to refer to the hidden fountainhead or initial state out of which things emerge and the mysterious process through which they unfold. While Yang Xiong’s conception of xuan seems to be derived from the Laozi, the text of the Tai xuan is modeled on the Yijing (Book of Changes), certainly the most enigmatic philosophical document in early Chinese literature. Like the Yijing, the Tai xuan is a book of divination based on an evolving sequence of figures that, when taken together, map out the cycles of transformation underlying all things. In both texts, each figure-image-circumstance is articulated through an evolving series of statements that describes and appraises the unfolding of the situation and the meaning of the image. Appended to both the Yijing and the Tai xuan is a set of commentaries that elaborates on the inner meanings of their respective texts.

In some ways, the Tai xuan is even more complex than its model. While the Yijing is made up of 64 hexagrams, the Tai xuan is made up of 81 tetragrams. In the Yijing, each hexagram line can be solid or broken (representing the polarities of yin and yang). In the Tai xuan, each tetragram line can be solid, broken once, or broken twice (representing the triad of heaven, earth, and man), and each of the 81 tetragrams is correlated with, among other things, yin or yang, one of the “Five Phases,” a hexagram from the Yijing, a constellation, days of the calendar, and a musical note.

c. Correlative Cosmology in the Tai xuan

In the Tai xuan, each tetragram is articulated though an evolving series of nine appraisals or judgments (whereas in the Yijing, each hexagram is articulated through a series of six line statements). These line appraisals unfold in a cyclical pattern corresponding to periods of time, the transformations of yin and yang, and a continuous cycle of commencement, maturity and decline. The appraisals can also be divided into those that address the commoner, the noble, and the Emperor.

Also, the often obscure correlative-poetic organization of the images and their associated line appraisals can be seen in the Tai xuan commentary “Numbers of the Dark Mystery,” an example of the Han genre of classificatory works known as leishu. For example, “Numbers of the Mystery” correlates the number five with the earth, the color yellow, fear, wind omens, tumuli, the naked animal (humankind), fur, bottles, weaving, sleeping mats, complying, verticality, glue, sacks, hubs, calves, coffins, bows and arrows, stupidity, and the center courtyard rain well. The basis of these associations is analogical; A is to B as C is to D. The organization scheme is fivefold. The five numerical categories (three and eight, four and nine, two and seven, one and six, and five) correspond to the five directions (east, west, south, north, center), the five phases (wood, metal, fire, water, earth), the seasons (spring, autumn, summer, winter, four seasons), the five colors (green, white, red, black, yellow), the five trades (carpentry, metal smithing, working with fire, waterworks, earth works), and the like.

4. Fa yan (Words to Live By)

a. Date and Significance

Unlike Yang Xiong’s other works, the dating of the Fa yan is fairly certain. In the final passage of the text, there is a reference to Wang Mang as the Duke of Han. The fact that Wang Mang held this title from 1-9 CE implies that the Fa yan could not have been submitted after 9 CE when he took the title of Emperor. In Fa yan 13:34 there is a reference to the Han dynasty as having ruled for 210 years. If the founding of the Han is taken to be 202 B.C.E., then the passage would have been written no earlier than 8 CE. Whatever the date of completion, there is little doubt that the Fa Yan was written during a period when Wang Mang held in his hands the reigns of power and the destiny of his sovereign. It remains his best-known work.

b. The Influence of the Lunyu

In his autobiography, Yang Xiong notes that, just as he modeled his Tai xuan on the greatest of the classics, the Yijing, so he modeled his Fa yan on the text he saw as the greatest of the commentaries – the Confucian Lunyu (Analects). Like the Lunyu, the Fa yan consists of a series of aphorisms and dialogues on a wide variety of historical and philosophical topics. Also like the Lunyu, the language of the Fa yan is archaic, its style terse, and its organization puzzling. While the form, language, and style of the Fa yan all seem to be derived from the Lunyu, the two works are most similar in their underlying concerns.

Both the Lunyu and the Fa Yan focus on the perennial Confucian theme of self-cultivation while emphasizing the importance of learning, friendship, role models, rites and music, and the human virtues. Both works look back to the ancient sage kings, the ways of the Zhou dynasty, and the teachings of the classics as models for their own troubled times. Each work has been read as a subtle attack on the predominant political powers. Finally, both the Lunyu and Fa yan can be characterized as works of frustration that lament the political instability of their respective times, the tendency of princes and officials to overstep their roles, and the failure of Confucius (Kongzi) and Yang Xiong to gain recognition or to exercise political influence.

c. Syncretism in the Fa yan

Among the disjointed sayings and dialogues of the Fa yan, one finds a wide variety of topics and themes. As noted, the most central of these are the perennial Confucian themes: self-cultivation, learning, the natural tendencies, the human virtues, the value of the classics, rites and music, the princely person, the sage, ruling, filial responsibility, and so forth. One also finds in the Fa yan discussions of concepts and themes usually associated with Daoism such as dao (way), de (potency), ziran (spontaneity), wuwei (non-coercive action), minimizing desire, and withdrawing from public life. These topics are often explicated through discussions of an unusually broad assortment of historical figures, including poets, philosophers, rhetoricians, rulers, officials, generals, merchants, rebels, assassins, jesters, recluses, and others. These topics are similarly interpreted through discussions of historical events, such as the collapse of the Zhou dynasty, the intrigues of the Warring States, the rise of the Qin dynasty and its rapid fall, the struggle between Xiang Ji (233-202 B.C.E.) and the Han dynastic founder Liu Bang (247-195 B.C.E.), and the founding of the Han dynasty.

Also included among the numerous topics discussed in the Fa yan are more immediate concerns of the late Former Han. These include the assimilation of heterodox teachings and popular superstitions into commentaries and interpretations of the classics, the decline of the ruling house of Han, the popularity of portents and the rise of Wang Mang, and government reforms in taxation, punishment, division of land, and relations with barbarian tribes. Finally, there are sayings and dialogues which address the concerns of scholar officials living not only in the troubled late Former Han, but throughout much of China’s long history – the practicality and viability of the Confucian way of life, the vanity of the desires for wealth, office and renown, and the challenges of surviving and maintaining one’s integrity in a time of disorder.

d. Old Text Themes in the Fa yan

Throughout the Fa yan, Yang Xiong sets the tone for subsequent representatives of the Old Text School by repeatedly poking fun at questions on magic, immortals, spirits, omens and portents, and esoteric interpretations of the classics. Instead he redirects attention toward concerns directly affecting the living: wealth and poverty, gain and loss, glory and disgrace, success and failure, friendship, joy, integrity, the dangers of public office, ruling the Empire, fate and circumstance, fleeing the world, and death. While the Tai xuan might be described as a synthesis of the various schools of early Chinese thought, the Fa yan elevates the Confucian school above all the others. In aphorism after aphorism, the Fa yan praises Confucius and the classics as the standards, stresses the importance of learning, rites and music, the five virtues, the five relations, and filial responsibility, while at the same time offering sardonic remarks on Daoist, Legalist, and yinyang and wuxing thinkers and their doctrines.

e. Political Philosophy in the Fa yan

On governing, the Fa yan can be seen as advancing a Reformist position. While the literary world of the late Former Han is often explicated in terms of the New and the Old Text schools, the political world of this period is similarly explicated in terms of two opposing camps: Modernists who, like earlier Legalists, advocated policies that sought to enrich the wealth and power of the state through conquering border tribes, opening trade routes, and establishing government monopolies, and Reformists who accused Modernists of ignoring the welfare of the people and advocated instead for a more frugal form of government that emphasized retrenchment in foreign policy, abolition of government monopolies, and land reform. In the Fa yan, Yang Xiong aligns himself with the Reformists by speaking out against government monopolies and expensive military campaigns and voices support for an easing of heavy burdens on the populace and the reinstitution of Zhou dynasty practices and policies.

The Reformist tone of the Fa yan gives credence to the association of Yang Xiong with “the Usurper,” Wang Mang, which has become standard throughout generations of Chinese scholarship. While Wang Mang’s rise to power met with opposition and spurred a number of insurrections, he seems to have found support in the ranks of court scholars for his display of Confucian virtue and his attempts to reorganize the social institutions of the Han along the lines of the Zhou dynasty – the system of rites and institutions highly prized by Confucian scholars since the Warring States period. Some have even seen Wang Mang as genuine in his espousal of Confucian ideals and as a sincere believer that reviving the institutions and rites of the Zhou dynasty would lead to a period of great peace and harmony. The more typical view, dating back to the account of Ban Gu (32-92 CE) in the Qian Han Shu (History of the Former Han), portrays Wang Mang as an ambitious, duplicitous, and murderous charlatan who rebelled against his sovereign and left the Empire in ruins.

Little is known of Yang Xiong’s actual political leanings in the face of Wang Mang’s rise to power. Those who portray Yang Xiong as a Wang Mang partisan point to the fact that, when Wang Mang declared himself Emperor, Yang Xiong did not commit suicide or leave court to become a recluse as did many other Han officials. His supporters, however, point out that, in his earlier poetic works and in the Fa yan, Yang Xiong has a great deal to say – most of it critical – about men who, in the name of principle, committed suicide or fled to the mountains. As noted above, it appears that Yang Xiong preferred instead to follow his teacher Zhuang Zun – though not as a recluse among men, but as a recluse at court. Although the Fa yan was written during Wang Mang’s rise in power and apparently finished shortly before his usurpation, he is mentioned only once in it. Nonetheless, some read the text as an apology for Wang Mang’s usurpation and the Confucian reforms he attempted to institute. Others read the Fa yan as consisting of a number of cleverly veiled attacks on Wang Mang’s penchant for superstition, his insatiable ambition, and his pretense to being a humble Confucian.

Some passages of the Fa yan have been read as offering neither flattery nor ridicule but bold admonitions, counseling Wang Mang to remember his filial duties and to return the reigns of power to the rightful ruler. For example, in Fa yan 8:21, there is a terse passage that reads, “The Red and Black Bows and Arrows do not amount to having it.” Centuries earlier the Imperial house of the Zhou dynasty awarded princes a set of bows and arrows as symbol of investiture to punish all within their jurisdiction. In an attempt to follow this ancient tradition, a set of red and black bows and arrows was awarded to Wang Mang in 5 CE as part of the “Conferment of the Nine Distinctions” bestowed on him by ministers, officials, and scholars of the Han court. While commentators uniformly read the phrase “red and black bows and arrows” in Fa yan 8:21 as a reference to this award, they are divided over its meaning. While some see 8:21 as flattering praise, others see it as reminding Wang Mang that having been bestowed the honor of the “Red and Black Bows and Arrows” does not amount to the possession of the mandate.

The passage most frequently cited as evidence of Yang Xiong’s political leanings is found in Fa yan 13:34, where Wang Mang is compared to two of the greatest ministers in Chinese history: Zhou Gong (the Duke of Zhou, c. 12th century B.C.E.) and Yi Yin (c. 18th century B.C.E.). Given the location of this passage at the very end of the text, some have considered it to be a forgery. Others have seen it as a flattering endorsement of Wang Mang. The great Neo-Confucian philosopher Zhu Xi (1130-1200 CE), for example, reads this passage as lavish praise of Wang Mang’s achievements and, on the basis of it, dismisses Yang Xiong as “Wang Mang’s Grandee.” Still others have seen it as admonishing Wang Mang to be like Yi Yin and Zhou Gong before him and to return the reigns of power to his rightful sovereign. It is important to point out that, like Wang Mang, both Yi Yin and Zhou Gong served as Imperial Regents. Like Yi Yin, Wang Mang stood in the wings through a series of short-lived reigns. As in the case of Yi Yin, it fell on Wang Mang to name a successor to the throne. Both Yi Yin and Wang Mang served as regents while their hand-picked successors lacked maturity. But while Yi Yin and Zhou Gong are remembered for handing back the reigns of power, Wang Mang is popularly remembered in the chengyu (proverb) as one who “usurped the Han and named himself Emperor.”

f. View of Human Nature

As Wing-tsit Chan and others have pointed out, the view for which Yang Xiong has become most famous – that human nature is a mixture of good and evil – is articulated only in a single passage of the Fa yan (3:2) and is not elaborated any further:

Human nature is a muddle [hun] of good and evil tendencies. Cultivating the good tendencies makes a person good. Cultivating the evil ones makes a person depraved. This force [qi] – is it not like a horse that drives one towards good or evil?

This hardly amounts to the kind of sustained development of a view of human nature found, for example, in the work of Mencius or Xunzi, who represent opposite poles on the continuum of ancient Chinese views of human nature. Nonetheless, Yang Xiong’s view here, although undefended in philosophical terms, contradicts Mencius’ view that human nature originally is good and can only be warped (but never entirely destroyed) through neglect or negative influences. After Mencius’ view became the orthodox one among Confucians, especially during the Neo-Confucian movement of medieval and early modern China, Yang Xiong’s work came in for a great deal of criticism from Confucians. Thus, rather like Xunzi, Yang Xiong may be seen as something of a black sheep among early Confucians because of his deviation from what became Confucian orthodoxy in a later age.

5. Poetical Works

Before being summoned to court, Yang Xiong wrote a number of poetic pieces of which only one – Fan sao (Refuting Sorrow) – survives. As Yang Xiong explains in his autobiography, Fan Sao was written in response to Li sao (Encountering Sorrow), a poem by the legendary Warring States poet Qu Yuan (340-278 B.C.E.). According to the Shiji (Historical Records) account, Qu Yuan served as a trusted official to King Huai of Chu, but, after he was slandered by a jealous minister, he fell from favor and was exiled. Qu Yuan desperately wished to return to the service of King Huai, but in the end he gave up hope and after composing Li sao, he drowned himself.

While Yang Xiong’s Fan sao is similar in style to Qu Yuan’s Li sao, its outlook is very different. Qu Yuan saw suicide as the only option left to persons of character living in a corrupt age. Yang Xiong, on the other hand, compares Qu Yuan’s response to failure in the political sphere with the response of Confucius. Unlike Qu Yuan, Confucius’s disappointments in searching for rulers who would employ him in “making good government” did not stop him from living a full life of travel, teaching, and writing. Here and in his later philosophical works, we find Yang Xiong maintaining that success and failure do not come down to individual effort but have much to do with the times and circumstances in which one lives. If one does not meet one’s proper time for acting, then one should retire or withdraw and like a snake or dragon lie submerged or like a phoenix remain concealed and wait for more advantageous times.

While at court, Yang Xiong composed a number of primarily autobiographical poetic pieces where he reflects on his poverty, lowly position, lack of recognition, and the ridicule and difficulties these frustrations have engendered. In Jie chao (Dissolving Ridicule), for example, Yang Xiong portrays himself as ridiculed for his low position and his failure to influence the court. In responding, Yang Xiong reiterates a familiar theme in his writings, arguing that in an age beset with chaos, it is better to remain silent and unknown since, as David R. Knechtges translates it, “those who grab for power die, and those who remain silent survive; those who reach the highest positions endanger their family, while those who maintain themselves intact survive.” In Zhu bin (Expelling Poverty), Yang Xiong expels an unwelcome guest named “Poverty” whose lingering presence in the poet’s life has labored his body and afflicted his health, cut him off from friends, and slowed his promotion in office. After listening to Yang Xiong vent, Poverty humbly agrees to leave, but first reminds Yang Xiong of the virtue of the impoverished sage Shun, warns him of the greed of the tyrants Jie and Zhi, and offers the consolation that it is only because of his privation that the poet is able to bear heat and cold, and to live freely with equanimity. Enlightened, Yang Xiong apologizes to Poverty and welcomes him as an honored guest.

Yang Xiong wrote several pieces in a genre known as fu, a term translated by Knechtges as “rhapsody.” Marked by its florid imagery and ecstatic tone, this genre was commonly employed by Han court officials as a means of offering indirect criticism and admonition to the Emperor. As Knechtges points out, most of the well known early writers of rhapsodies, such as Lu Jia (228-140 B.C.E.) and Jia Yi (200-168 B.C.E.), were not only poets but also scholar-officials who saw it as their duty to offer advice and remonstrance (jian) to rulers and did so through their poetic works. In the rhapsodies of later Former Han writers like Sima Xiangru, however, verbal decoration and entertainment took precedence over instruction and admonition.

In his early years at the court of Emperor Cheng, Yang Xiong submitted a number of rhapsodies. At first glance, these works appear to be little more than ornate, fanciful, and flattering descriptions of Imperial spectacles. In Fa yan (Words to Live By) and in the autobiographical section of his biography, however, Yang Xiong stresses that, like earlier poets, he envisioned the primary purpose of these works to be remonstrance – a dangerous political task widely recognized as one of the most central duties of the Confucian scholar. While, on the surface, Yang Xiong’s rhapsodies heap lavish praise on the Emperor, they also contain stern reprimands and warning. For example, within the fanciful descriptions of Imperial grandeur found in the Ganquan fu (Sweet Springs Rhapsody), Yang Xiong indirectly admonishes Emperor Cheng to be more solemn in conducting affairs, suggesting through allusion that, like the lascivious tyrant kings Jie and Xia, Emperor Cheng’s wanton conduct would lead to his downfall. In the Jiaolie fu (Barricade Hunt Rhapsody) and the Changyang fu (Changyang Palace Rhapsody), both of which commemorate imperial hunts, Yang Xiong indirectly criticizes the hunts as lavish, wasteful spectacles that burden the peasants and destroy their farms and farmlands. In his later writings, Yang Xiong claims that he eventually came to see the ornate style of rhapsody as excessive, and realizing that the moral admonitions he tried to provide had gone unheeded (if not unnoticed), he renounced it. He never gave up writing poetry altogether, however.

6. References and Further Reading

There are very few published studies of Yang Xiong in English. Of these, Nylan’s pioneering translation and commentary of the Tai Xuan (1993) is the most complete account of Yang Xiong’s philosophy, while Knechtges’s studies of Yang Xiong’s fu poetry (1976, 1977) and his Qian Han Shu biography (1982) offer superb translations and interpretations of Yang Xiong’s life and literary works. Colvin (2001) provides a translation of the Fa yan and an examination of the seemingly haphazard organization of its aphorisms and dialogues. For a fuller understanding of Yang Xiong’s thought, readers are encouraged to explore the more general accounts of the literary, intellectual, and political contexts of the Former Han dynasty in Bielenstein (1984), Feng (1953), Loewe (1974, 1986), Thomsen (1988), Xiao (1979), and Yu (1967).

  • Bielenstein, Hans. “Han Portents and Prognostications.” Museum of Far Eastern Antiquities 56 (1984): 97-112.
  • Chan, Wing-tsit. “Taoistic Confucianism: Yang Hsiung.” In A Source Book in Chinese Philosophy, ed. Wing-tsit Chan (Princeton: Princeton University Press, 1963), 289-291.
  • Colvin, Andrew. Patterns of Coherence in Yang Xiong’s Fa Yan. Ph.D. dissertation, University of Hawaii at Manoa, 2001.
  • Doeringer, Franklin M. Yang Xiong and his Formulation of a Classicism. Ph.D. dissertation, Columbia University, 1971.
  • Feng, Yulan. A History of Chinese Philosophy, Vol. 2: The Period of Classical Learning. Trans. Derke Bodde. Princeton: Princeton University Press, 1953.
  • Knechtges, David R. The Han Rhapsody: A Study of the Fu of Yang Xiong (53 B.C.- A.D.18). Cambridge: Cambridge University Press, 1976.
  • Knechtges, David R. “Uncovering the Sauce Jar: A Literary Interpretation of Yang Hsiung’s Chu ch’in mei Hsin.” In Ancient China: Studies in Early Civilization, eds. David T. Roy et al (Hong Kong: Chinese University Press, 1977), 229-252.
  • Knechtges, David R. “The Liu Hsin /Yang Hsiung Correspondence on the Fang Yen.” Monumenta Serica 33 (1977): 309-325.
  • Knechtges, David R. The Han Shu Biography of Yang Xiong (53 B.C. to A.D. 18). Tempe: Arizona State University Press, 1982.
  • Loewe, Michael. Crisis and Conflict in Han China 104 B.C. to A.D. 9. London: George Allen and Unwin, 1974.
  • Nylan, Michael. The Canon of Supreme Mystery by Yang Xiong: A Translation with Commentary of the T’ai Hsüan Ching. Albany: State University of New York Press, 1993.
  • Nylan, Michael. “Han Classicists Writing in Dialogue about their Own Tradition.” Philosophy East & West 47/2 (1996): 133-188.
  • Thomsen, Rudi. Ambition and Confucianism: A Biography of Wang Mang. Aarhus: Aarhus University Press, 1988.
  • Twichett, Denis, and Michael Loewe, eds. The Cambridge History of China, Vol. 1: The Ch’in and Han Empires, 221 B.C. – A.D. 220. Cambridge: Cambridge University Press, 1986.
  • Xiao, Gongjun. A History of Chinese Political Thought, Vol. 1: From the Beginnings to the Sixth Century A.D. Trans. F.W. Mote. Princeton: Princeton University Press, 1979.
  • Yu, Yingshi. Trade and Expansion in Han China. Berkeley: University of California Press, 1967.

Author Information

Andrew Colvin
Email: andrew.colvin@sru.edu
Slippery Rock University
U. S. A.

Aristotle: Biology

Aristotle (384-322 B.C.E.) may be said to be the first biologist in the Western tradition. Though there are physicians and other natural philosophers who remark on various flora and fauna before Aristotle, none of them brings to his study a systematic critical empiricism. Aristotle’s biological science is important to understand, not only because it gives us a view into the history and philosophy of science, but also because it allows us more deeply to understand his non-biological works, since certain key concepts from Aristotle’s biology repeat themselves in his other writings. Since a significant portion of the corpus of Aristotle’s work is on biology, it is natural to expect his work in biology to resonate in his other writings. One may, for example, use concepts from the biological works to better understand the ethics or metaphysics of Aristotle.

This article will begin with a brief explanation of his biological views and move toward several key explanatory concepts that Aristotle employs. These concepts are essential because they stand as candidates for a philosophy of biology. If Aristotle’s principles are insightful, then he has gone a long way towards creating the first systematic and critical system of biological thought. It is for this reason (rather than the particular observations themselves) that moderns are interested in Aristotle’s biological writings.

Table of Contents

  1. His Life
  2. The Scope of Aristotle’s Biological Works
  3. The Specialist and the Generalist
  4. The Two Modes of Causal Explanation
  5. Aristotle’s Theory of Soul
  6. The Biological Practice: Outlines of a Systematics
  7. “The more and the less” and “Epi to polu”
  8. Significant Achievements and Mistakes
  9. Conclusion
  10. References and Further Reading
    1. Primary Text
    2. Key Texts in Translation
    3. Selected Secondary Sources

1. His Life

Aristotle was born in the year 384 B.C. in the town of Stagira (the modern town Stavros), a coastal Macedonian town to the north of Greece. He was raised at the court of Amyntas where he probably met and was friends with Philip (later to become king and father to Alexander, the Great). When Aristotle was around 18, he was sent to Athens to study in Plato’s Academy. Aristotle spent twenty years at the Academy until Plato’s death, although Diogenes says Aristotle left before Plato’s death. When Plato was succeeded by his nephew, Speusippus, as head of the Academy, Aristotle accepted an invitation to join a former student, Hermeias, who was gathering a Platonic circle about him in Assos in Mysia (near Troy). Aristotle spent three years in this environment. During this time, he may have done some of the natural investigations that later became The History of Animals.

At the end of Aristotle’s stay in Mysia, he moved to Lesbos (an adjacent island). This move may have been prompted by Theophrastus, a fellow of the Academy who was much influenced by Aristotle. It is probable (according to D’Arcy Thompson) that Aristotle performed some important biological investigations during this period.

Aristotle returned to Athens (circa 334-5). This began a period of great productivity. He rented some grounds in woods sacred to Apollo. It was here that Aristotle set-up his school (Diog. Laert V, 51).

At his school Aristotle also accumulated a large number of manuscripts and created a library that was a model for later libraries in Alexandria and Pergamon. According to one tradition, Alexander (his former pupil) paid him a handsome sum of money each year as a form of gratitude (as well as some exotic animals for Aristotle to study that Alexander encountered in his conquests).

At the death of Alexander in 323, Athens once again was full of anti-Macedonian sentiment. A charge of impiety was brought against Aristotle due to a poem he had written for Hermeias. One martyr for philosophy (Socrates) was enough for Aristotle and so he left his school to his colleague, Theophrastus, and fled to the Macedonian Chalcis. Here in 322 he died of a disease that is still the subject of speculation.

2. The Scope of Aristotle’s Biological Works

There is some dispute as to which works should be classified as the biological works of Aristotle. This is indeed a contentious question that is especially difficult for a systematic philosopher such as Aristotle. Generally speaking, a systematic philosopher is one who constructs various philosophical distinctions that, in turn, can be applied to a number of different contexts. Thus, a distinction such as “the more and the less” that has its roots in biology explaining that certain animal parts are greater (bigger) among some individuals and smaller among others, can also be used in the ethics as a cornerstone of the doctrine of the mean as a criterion for virtue. That is, one varies from the mean by the principle of the more and the less. For example, if courage is the mean, then the defect of excess would be “foolhardiness” while the defect of paucity would be “cowardice.” The boundary between what we’d consider “biology” proper vs. what we’d think of as psychology, philosophy of mind, and metaphysics is often hard to draw in Aristotle. That’s because Aristotle’s understanding of biology informs his metaphysics and philosophy of mind, but likewise, he often uses the distinctions drawn in his metaphysics in order to deal with biological issues.

In this article, the biological works are: (a) works that deal specifically with biological topics such as: The Parts of Animals (PA), The Generation of Animals (GA), The History of Animals (HA), The Movement of Animals, The Progression of Animals, On Sense and Sensible Objects, On Memory and Recollection, On Sleep and Waking, On Dreams, On Prophecy in Sleep, On Length and Shortness of Life, On Youth and Old Age, On Life and Death, On Respiration, On Breath, and On Plants, and  (b) the work that deals with psuche (soul), On the Soul—though this work deals with metaphysical issues very explicitly, as well. This list does not include works such as the Metaphysics, Physics, Posterior Analytics, Categories, Nicomachean Ethics, or The Politics even though they contain many arguments that are augmented by an understanding of Aristotle’s biological science. Nor does this article examine any of the reputedly lost works (listed by ancient authors but not existing today) such as Dissections, On Composite Animals, On Sterility, On Physiognomy, and On Medicine . Some of these titles may have sections that have survived in part within the present corpus, but this is doubtful.

3. The Specialist and the Generalist

The distinction between the specialist and the generalist is a good starting point for understanding Aristotle’s philosophy of biology. The specialist is one who has a considerable body of experience in practical fieldwork while the generalist is one who knows many different areas of study. This distinction is brought out in Book One of the Parts of Animals (PA). At PA 639a 1-7 Aristotle says,

In all study and investigation, be it exalted or mundane, there appear to be two types of proficiency: one is that of exact, scientific knowledge while the other is a generalist’s understanding. (my tr.)

Aristotle does not mean to denigrate or to exalt either. Both are necessary for natural investigations. The generalist’s understanding is holistic and puts some area of study into a proper genus, while scientific knowledge deals with causes and definitions at the level of the species. These two skills are demonstrated by the following example:

An example of what I mean is the question of whether one should take a single species and state its differentia independently, for example, homo sapiens nature or the nature of Lions or Oxen, etc., or should we first set down common attributes or a common character (PA 639a 15-19, my tr.).

In other words, the methodology of the specialist would be to observe and catalogue each separate species by itself. The generalist, on the other hand, is drawn to making more global connections through an understanding of the common character of many species. Both skills are needed. Here and elsewhere Aristotle demonstrates the limitations of a single mode of discovery. We cannot simply set out a single path toward scientific investigation—whether it be demonstrative (logical) exactness (the specialist’s understanding) or holistic understanding (the generalist’s knowledge). Neither direction (specialist or generalist) is the one and only way to truth. Really, it is a little of both working in tandem. Sometimes one half takes the lead and sometimes the other. The adoption of several methods is a cornerstone of Aristotelian pluralism, a methodological principle that characterizes much of his work.

When discussing biological science, Aristotle presents the reader two directions: (a) the modes of discovery (genetic order) and (b) the presentation of a completed science (logical order). In the mode of discovery, the specialist sets out all the phenomena in as much detail as possible while the generalist must use her inter-generic knowledge to sort out what may or may not be significant in the event taking place before her. This is because in the mode of discovery, the investigator is in the genetic order. Some possible errors that could be made in this order (for example) might be mistaking certain animal behaviors for an end for which they were not intended. For example, it is very easy to mistake mating behavior for aggressive territorial behavior. Since the generalist has seen many different types of animals, she may be in the best position (on the basis of generic analogy) to classify the sort of behavior in question.

In the mode of discovery one begins with the phenomenon and then seeks to create a causal explanation (PA 646a 25). But how does one go about doing this? In the Posterior Analytics II.19, Aristotle suggests a process of induction that begins with the particular and then moves to the universal. Arriving at the universal entails a comprehensive understanding of some phenomenon. For example, if one wanted to know whether fish sleep, one would first observe fish in their environment. If one of the behaviors of the fish meets the common understanding of sleep (such as being deadened to outside stimulus, showing little to no movement, and so forth), then one may move to the generalization that fish sleep (On Sleeping and Waking 455b 8, cf. On Dreams 458b 9). But one cannot stop there. Once one has determined that fish sleep (via the inductive mode of discovery), it is now up to the researcher to ferret out the causes and reasons why, in a systematic fashion. This second step is the mode of presentation. In this mode the practitioner of biological science seeks to understand why the universal is as it is. Going back to the example of sleeping fish, the scientist would ask why fish need to sleep. Is it by analogy to humans and other animals that seem to gather strength through sleep? What ways might sleep be dangerous (say by opening the individual fish to being eaten)? What do fish do to avoid this?

These, and other questions require the practitioner to work back and forth with what has been set down in the mode of discovery for the purpose of providing an explanation. The most important tools for this exercise are the two modes of causal explanation.

4. The Two Modes of Causal Explanation

For Aristotle there are four causes: material, efficient, formal, and final. The material cause is characterized as “That out of which something existing becomes” (Phys. 194b 24). The material has the potential for the range of final products. Within the material is, in a potential sense, that which is to be formed. Obviously, one piece of wood or metal has the potential to be many artifacts; yet the possibilities are not infinite. The material itself puts constraint upon what can be produced from it. One can execute designs in glass, for example, which could never be brought forth from brass.

The efficient cause is depicted as “that from whence comes the first principle of kinetic change or rest” (Phys. 194b 30). Aristotle gives the example of a male fathering a child as showing an efficient cause. The efficient cause is the trigger that starts a process moving.

The formal cause constitutes the essence of something while the final cause is the purpose of something. For example, Aristotle believed the tongue to be for the purpose of either talking or not. If the tongue was for the purpose of talking (final cause), then it had to be shaped in a certain way, wide and supple so that it might form subtle differences in sound (formal cause). In this way the purpose of the tongue for speaking dovetails with the structural way it might be brought about (P.A. 660a 27-32).

It is generally the case that Aristotle in his biological science interrelates the final and formal causes. For example Aristotle says that the efficient cause may be inadequate to explain change. In the On Generation and Corruption 336a Aristotle states that all natural efficient causes are regulated by formal causes. “It is clear then that fire itself acts and is acted upon.” What this means is that while the fire does act as efficient cause, the manner of this action is regulated by a formal/final cause. The formal cause (via the doctrine of natural place—that arranges an ascending hierarchy among the elements, earth, water, air and fire) dictates that fire is the highest level of the sub-lunar phenomena. Thus, its essence defines its purpose, namely, to travel upward toward its own natural place. In this way the formal and final cause act together to guide the actions of fire (efficient cause) to point upward toward its natural place.

Aristotle (at least in the biological works) invokes a strategy of redundant explanation. Taken at its simplest level, he gives four accounts of everything. However, in the actual practice, it comes about that he really only offers two accounts. In the first account he presents a case for understanding an event via material/kinetic means. For the sake of simplicity, let us call this the ME (materially-based causal explanation) account.

In the second case he presents aspects of essence (formal cause) and purpose (final cause). These are presented together. For the sake of simplicity, let us call this the TE (teleologically-based causal explanation) account. For an example of how these work together, consider respiration.

Aristotle believes that material and efficient causes can give one account of the motions of the air in and out of the lungs for respiration. But this is only part of the story. One must also consider the purpose of respiration and how this essence affects the entire organism (PA 642a 31-642b 4). Thus the combination of the efficient and material causes are lumped together as one sort of explanation ME that focus upon how the nature of hot and cold air form a sort of current that brings in new air and exhales the old. The final and formal causes are linked together as another sort of explanation TE that is tied to why we have respiration in the first place.

In Aristotle’s account respiration we are presented with a partner to TE and ME: necessity. When necessity attaches itself to ME it is called simple or absolute necessity. When necessity attaches itself to TE it is called conditional necessity. Let us return to our example of respiration and examine these concepts in more detail.

First, then there is the formal/final cause of respiration. Respiration exists so that air might be brought into the body for the creation of pneuma (a vital force essential for life). If there were no respiration, there would be no intake of air and no way for it to be heated in the region of the heart and turned intopneuma—an element necessary for life among the blooded animals who live out of water. Thus the TE for respiration is for the sake of producing an essential raw material for the creation of pneuma.

The second mode of explanation, ME, concerns the material and efficient causes related to respiration. These have to do with the manner of a quasi-gas law theory. The hot air in the lungs will tend to stay there unless it is pushed out by the cold incoming air that hurries its exit (cf. On Breath 481b 11). (This is because ‘hot’ and ‘cold’ are two of the essential contraries hot/cold & wet/dry). It is the material natures of the elements that dictate its motions. This is the realm of the ME.

ME is an important mode of explanation because it grounds the practitioner in the empirical facts so that he may not incline himself to offer mere a priori causal accounts. When one is forced to give material and kinetic accounts of some event, then one is grounded in the tangible dynamics of what is happening. This is one important requirement for knowledge.

Now to necessity. Necessity can be represented as a modal operator that can attach itself to either TE or to ME. When it attaches itself to TE, the result is conditional necessity. In conditional necessity one must always begin with the end to be achieved. For example, if one assumes the teleological assumption of natural efficiency, Nature does nothing in vain (GA 741b 5, cf. 739b20, et. al.) then the functions of various animal parts must be viewed within that frame. If we know that respiration is necessary for life, then what animal parts are necessary to allow respiration within different species? The acceptance of the end of respiration causes the investigator to account for how it can occur within a species. The same could be said for other given ends such as “gaining nutrition,” “defending one’s self from attack,” and “reproduction,” among others. When the biologist begins his investigation with some end (whether in the mode of discovery or the mode of scientific presentation), he is creating an account of conditional necessity.

The other sort of necessity is absolute necessity that is the result of matter following its nature (such as fire moving to its natural place). The very nature of the material, itself, creates the dynamics—such as the quasi gas law interactions between the hot and cold air in the lungs. These dynamics may be described without proximate reference to the purpose of the event. In this way ME can function by itself along with simple necessity to give one complete account of an event.

In biological science Aristotle believes that conditional necessity is the most useful of the two necessities in discovery and explanation (PA 639b 25). This is because, in biology, there is a sense that the entire explanation always requires the purpose to set out the boundaries of what is and what is not significant. However, in his practice it is most often the case that Aristotle employs two complete accounts ME and TE in order to reveal different modes of explanation according to his doctrine of pluralism.

5. Aristotle’s Theory of Soul

The word for ‘soul’ in Aristotle is psuche. In Latin it is translated as anima. For many readers, it is the use of the Latin term (particularly as it was used by Christian, Moslem, and Jewish theologians) that forms the basis of our modern understanding of the word. Under the theological tradition, the soul meant an immaterial, detached ruling power within a human. It was immortal and went to God after death. This tradition gave rise to Descartes’ metaphysical dualism: the doctrine that there are two sorts of things that exist (soul and matter), and that soul ruled matter.

Aristotle does not think of soul as the aforementioned theologians do. This is because matter (hyle) and shape (morphe) combine to create a unity not a duality. The philosopher can intellectually abstract out the separate constituents, but in reality they are always united. This unity is often termed hylomorphism (after its root words). Using the terminology of the last section we can identify hyle with ME and morphe with TE. Thus, Aristotle’s doctrine of the soul (understood as hylomorphism) represents a unity of form and function within matter.

From the biological perspective, soul demarcates three sorts of living things: plants, animals, and human beings. In this way soul acts as the cause of a body’s being alive (De An 415b 8). This amalgamation (soul and body) exhibits itself through the presentation of a particular power that characterizes what it means to be alive for that sort of living thing.

The soul is the form of a living body thus constituting its first actuality. Together the body and soul form an amalgamation. This is because when we analyze the whole into its component parts the particular power of the amalgamation is lost. Matter without TE, as we have seen, acts through the nature of its elements (earth, air, fire, and water) and not for its organic purpose. An example that illustrates the relationship between form and matter is the human eye. When an eye is situated in a living body, the matter (and the motions of that matter) of the eye works with the other parts of the body to present the actualization of a particular power: sight. When governed by the actuality (or fulfillment) of its purpose, an eyeball can see (De An 412b 17). Both the matter of the eyeball and its various neural connections (hyle, understood as ME) along with the formal and final causes (morphe, understood as TE) are necessary for sight. Each part has its particular purpose, and that purpose is given through its contribution to the basic tasks associated with essence of the sort of thing in question: plant, animal, human.

It is important not to slip into the theological cum Cartesian sense of anima here. To say that plants and animals have souls is not to assert that there is a Divine rose garden or hound Heaven. We must remember that soul for Aristotle is a hylomorphic unity representing a monism and not a dualism. (The rational soul’s status is less clear since it is situated in no particular organ since Aristotle rejected the brain as the organ of thinking relegating it to a cooling mechanism, PA652b 21-25). It is the dynamic, vital organizing principle of life—nothing more, nothing less.

Plants exhibit the most basic power that living organisms possess: nutrition and reproduction (De An 414a 31). The purpose of a plant is to take in and process materials in such a way that the plant grows. Several consequences follow (for the most part) from an individual plant having a well-operating nutritive soul. Let’s examine one sort of plant, a tree. If a plant exhibits excellence in taking in and processing nutrition it will exhibit various positive effects. First, the tree will have tallness and girth that will see it through different weather conditions. Second, it will live longer. Third, it will drop lots of seeds giving rise to other trees. Thus, if we were to compare two individual trees (of the same species), and one was tall and robust while the other was small and thin, then we would be able to render a judgment about the two individual trees on the basis of their fulfillment of their purpose as plants within that species. The tall and robust tree of that species would be a better tree (functionally). The small and thin tree would be condemned as failing to fulfill its purpose as a plant within that species.

Animals contain the nutritive soul plus some of the following powers: appetite, sensation, and locomotion (De An 414a 30, 414b 1-415a 13). Now, not all animals have all the same powers. For example, some (like dogs) have a developed sense of smell, while others (like cats) have a developed ability to run quickly with balance. This makes simple comparisons between species more difficult, but within one species the same sort of analysis used with plants also holds. That is, between two individual dogs one dog can (for example) smell his prey up to 200 meters away while the other dog can only detect his prey up to 50 meters. (This assumes that being able to detect prey from a distance allows the individual to eat more often.) The first dog is better because he has fulfilled his soul’s function better than the second. The first dog is thus a good dog while the second a bad example of one. What is important here is that animals judged as animals must fulfill that power (soul) particular to it specifically in order to be functionally excellent. This means that dogs (for example) are proximately judged on their olfactory sense and remotely upon their ability to take in nutrition and to reproduce.

Humans contain the nutritive soul and the appetitive-sensory-locomotive souls along with the rational soul. This power is given in a passive, active, and imaginative sense (De An III 3-5). What this means is that first there is a power in the rational soul to perceive sensation and to process it in such a way that it is intelligible. Next, one is able to use the data received in the first step as material for analysis and reflection. This involves the active agency of the mind. Finally, the result (having both a sensory and ratiocinative element) can be arranged in a novel fashion so that the universal mixes with the perceived particular. This is imagination (De An III.3). For example, one might perceive in step-one that your door is hanging at a slant. In step-two you examine the hinges and ponder why the door is hanging in just this way. Finally, in step-three you consider types of solutions that might solve the problem—such as taking a plane to the top of the door, or inserting a “shim” behind one of the hinges. You make your decision about this door in front of you based upon your assessment of the various generic solutions.

The rational soul, thus understood as a multi-step imaginative process, gives rise to theoretical and practical knowledge that, in turn, have other sub-divisions (EN VI). Just as the single nutritive soul of plants was greatly complicated by the addition of souls for the animals, so also is the situation even more complicated with the addition of the rational soul for humans. This is because it has so many different applications. For example, one person may know right and wrong and can act on this knowledge and create habits of the same while another may have productive knowledge of an artist who is able to master the functional requirements of his craft in order to produce well-wrought artifacts. Just as it is hard to compare cats and dogs among animal souls, so it is difficult to judge various instantiations of excellence among human rational souls. However, it is clear that between two persons compared on their ethical virtues and two artists compared on their productive wisdom, we may make intra-category judgments about each. These sorts of judgments begin with a biological understanding of what it means to be a human being and how one may fulfill her biological function based on her possession of the human rational soul (understood in one of the sub-categories of reason). Again, a biological understanding of the soul has implications beyond the field of biology/psychology.

6. The Biological Practice: Outlines of a Systematics

Systematics is the study of how one ought to create a system of biological classification and thus perform taxonomy. (“Systematics” is not to be confused with being a “systematic philosopher.” The former term has a technical meaning related to the theoretical foundations of animal classification and taxonomy. The latter phrase has to do with a tightly structured interlocking philosophical account.) In Aristotle’s logical works, he creates a theory of definition. According to Aristotle, the best way to create a definition is to find the proximate group in which the type of thing resides. For example, humans are a type of thing (species) and their proximate group is animal (or blooded animal). The proximate group is called thegenus. Thus the genus is a larger group of which the species is merely one proper subset. What marks off that particular species as unique? This is the differentia or the essential defining trait. In our example with humans the differentia is “rationality.” Thus the definition of “human” is a rational animal. “Human” is the species, “animal” is the genus and “rationality” is the differentia.

In a similar way, Aristotle adapts his logical theory of genus and species to biology. By thinking in terms of species and their proximate genus, Aristotle makes a statement about the connections between various types of animals. Aristotle does not create a full-blown classification system that can describe all animals, but he does lay the theoretical foundations for such.

The first overarching categories are the blooded and the non-blooded animals. The animals covered by this distinction roughly correspond to the modern distinction between vertebrates and invertebrates. There are also two classes of dualizers that are animals that fit somewhat between categories. Here is a sketch of the categorization:

I. Blooded Animals

A. Live bearing animals

1. Homo Sapiens2. Other mammals without a distinction for primates

B. Egg-laying animals

1. Birds2. Fish

I. Non-Blooded Animals

A. Shell skinned sea animals: testaceaB. Soft shelled sea animals: Crustacea

C. Non-shelled soft skinned sea animals: Cephalopods

D. Insects

E. Bees

I. Dualizers (animals that share properties of more than one group)

A. Whales, seals and porpoises—they give live birth yet they live in the seaB. Bats—they have four appendages yet they fly

C. Sponges—they act like both plants and like animals

Aristotle’s proto-system of classification differs from that of his predecessors who used habitat and other non-functional criteria to classify animals. For example, one theory commonly set out three large groups: air, land, and sea creatures. Because of the functional orientation of Aristotle’s TE, Aristotle repudiates any classification system based upon non-functional accidents. What is important is that the primary activities of life are carried out efficiently through specially designated body parts.

Though Aristotle’s work on classification is by no means comprehensive (but is rather a series of reflections on how to create one), it is appropriate to describe it as meta-systematics. Such reflections are consistent with his other key explanatory concepts of functionalism (TE and ME) as well as his work on logic in the Organon with respect to the utilization of genus and species. Though incomplete, this again is a blueprint of how to construct a systematics. The general structure of meta-systematics also acts as an independent principle that permits Aristotle to examine animals together that are functionally similar. Such a move enhances the reliability of analogy as a tool of explanation.

7. “The more and the less” and “Epi to polu”

“The more and the less” is an explanatory concept that is allied to the ME account. Principally, it is a way that individuation occurs in the non-uniform parts. Aristotle distinguishes two sorts of parts in animals: the uniform and the non-uniform. The uniform parts are those that if you dumped them into a bucket and cut the bucket in half, they would still remain the same. For example, blood is a uniform part. Dump blood into a bucket and cut it in half and it’s still the same blood (just half the quantity). The same is true of tissue, cartilage, tendons, skin, et al. Non-uniform parts change when the bucket test is applied. If you dump a lung into a bucket and cut it in half, you no longer have a proper organ. The same holds true of other organs: heart, liver, pancreas, and so forth, as well as the skeleton (Uniform Parts—PA 646b 20, 648b, 650a 20, 650b, 651b 20, 652a 23; Non-Uniform Parts—PA 656b 25, 622a 17, 665b 20, 683a 20, 684a 25.)

When an individual has excess nutrition (trophe), the excess (perittoma) often is distributed all around (GA 734b 25). An external observer does not perceive the changes to the uniform parts—except, perhaps, stomach fat. But such an observer would perceive the difference in a child who has been well fed (whose non-uniform parts are bigger) than one who hasn’t. The difference is accounted for by the principle of the more and the less.

How does an external observer differentiate between any two people? The answer is that the non-uniform parts (particularly the skeletal structure) differ. Thus, one person’s nose is longer, another stands taller, a third is broader in the shoulders, etc. We all have noses, stand within a range of height and broadness of shoulders, etc. The particular mix that we each possess makes us individuals.

Sometimes, this mix goes beyond the range of the species (eidos). In these instances a part becomes non-functional because it has too much material or too little. Such situations are beyond the natural range one might expect within the species. Because of this, the instance involved is characterized as being unnatural (para phusin).

The possibility of unnatural events occurring in nature affects the status of explanatory principles in biology. We remember from above that there are two sorts of necessity: conditional and absolute. The absolute necessity never fails. It is the sort of necessity that one can apply to the stars that exist in the super lunar realm. One can create star charts of the heavens that will be accurate for a thousand years forward or backward. This is because of the mode of absolute necessity.

However, because conditional necessity depends upon its telos, and because of the principle of the more and the less that is non-teleologically (ME) driven, there can arise a sort of spontaneity (cf. automaton, Phys. II.6) that can alter the normal, expected execution of a task because spontaneity is purposeless. In these cases the input from the material cause is greater or lesser than is usually the case. The result is an unnatural outcome based upon the principle of the more and the less. An example of this might be obesity. Nourishment is delivered to the body in a hierarchical fashion beginning with the primary needs. When all biological needs are met, then the excess goes into hair, nails and body fat. Excess body fat can impair proper function, but not out of design.

Because of the possibility of spontaneity and its unintended consequences, the necessary operative in biological events (conditional necessity) is only “for the most part” (hôs epi to polu). We cannot expect biological explanatory principles to be of the same order as those of the stars. Ceteris paribis principles are the best the biological realm can give. This brute fact gives rise to a different set of epistemic expectations than are often raised in the Prior Analytics and the Posterior Analytics. Our expectations for biology are for general rules that are true in most cases but have many exceptions. This means that biology cannot be an exact science, unlike astronomy. If there are always going to be exceptions that are contrary to nature, then the biologist must do his biology with toleration for these sorts of peripheral anomalies. This disposition is characterized by the doctrine of epi to polu.

8. Significant Achievements and Mistakes

This section will highlight a few of Aristotle’s biological achievements from the perspective of over 2,300 years of hindsight. For simplicity’s sake let us break these up into “bad calls” (observations and conclusions that have proven to be wrong) and “good calls” (observations and conclusions that have proven to be very accurate).

We begin with the bad calls: let’s start with a few of Aristotle’s mistakes. First, Aristotle believed that thinking occurred in the region around the heart and not in the brain (a cooling organ, PA 652b 21-25, cf. HA 514a 16-22). Second, Aristotle thought that men were hotter than women (the opposite is the case). Third, Aristotle overweighed the male contribution in reproduction. Fourth, little details are often amiss such as the number of teeth in women. Fifth, Aristotle believed that spontaneous generation could occur. For example, Aristotle observed that from animal dung certain flies could appear (even though careful observation did not reveal any flies mating and laying their eggs in the dung. The possibility of the eggs already existing in the abdomen of the animal did not occur to Aristotle.) However, these sorts of mistakes are more often than not the result of an a priori principle such as “women being colder and less perfectly formed than men” or the application of his method on (in principle) unobservables—such as human conception in which it is posited that the male provides the efficient, formal, and final cause while the woman provides merely the material cause.

Good Calls: Aristotle examined over 500 different species of animals. Some species came from fishermen, hunters, farmers, and perhaps Alexander. Many other species were viewed in nature by Aristotle. There are some very exact observations made by Aristotle during his stay at Lesbos. It is virtually certain that his early dissection skills were utilized solely upon animals (due to the social prohibition on dissecting humans). One example of this comes from the Generation of Animals in which Aristotle breaks open fertilized chicken eggs at carefully controlled intervals to observe when visible organs were generated. The first organ Aristotle saw was the heart. (In fact it is the spinal cord and the beginnings of the nervous system, but this is not visible without employing modern staining techniques.) On eggs opened later, Aristotle saw other organs. This led Aristotle to come out against a popular theory of conception and development entitled, “the pre-formation theory.” In the pre-formation theory, whose advocates extended until the eighteenth century, all the parts appear all at once and development is merely the growth of these essential parts. The contrary theory that Aristotle espouses is the epigenetic theory. According to epigenesis, the parts are created in a nested hierarchical order. Thus, through his observation, Aristotle saw that the heart was formed first, then he postulated that other parts were formed (also backed-up by observation). Aristotle concludes,

I mean, for instance, not that the heart once formed, fashions the liver, and then the liver fashions something else; but that the one is formed after the other (just as man is formed in time after a child), not by it. The reason of this is that so far as the things formed by nature or by human art are concerned, the formation of that which is potentially brought about by that which is in actuality; so that the form of B would have to be contained in A, e.g., the form of liver would have to be in the heart—which is absurd. (GA 734a 28-35, Peck trans.)

In epigenesis the controlling process of development operates according to the TE plan of creating the most important parts first. Since the heart is the principle (arche) of the body, being the center of blood production and sensation/intelligence, it is appropriate that it should be created first. Then other parts such as the liver, etc. are then created in their appropriate order. The epigenesis-preformation debate lasted two thousand years and Aristotle got it right.

Another interesting observation by Aristotle is the discovery of the reproductive mode of the dog shark,Mustelus laevis (HA 6.10, 565b 1ff.). This species is externally viviparous (live bearing) yet internally oviparous (egg bearing). Such an observation could only have come from dissections and careful observations.

Another observation concerns the reproductive habits of cuttlefish. In this process of hectocotylization, the sperm of the Argonauta among other allied species comes in large spermataphores that the male transfers to the mantle cavity of the female. This complicated maneuver, described in HA 524a 4-5, 541b 9-15, cf. 544a 12, GA 720b 33, was not fully verified by moderns until 1959!

Though Aristotle’s observations on bees in HA seems to be entirely from the beekeeper’s point of view (HA 625b7-22), he does note that there are three classes of bees and that sexual reproduction requires that one class give way. He begins his discussion in the Generation of Animals with the following remark, “The generation of bees is beset with many problems” (GA 759a 9). If there are three classes and two genders, then something is amiss. Aristotle goes through what he feels to be all the possibilities. Though the observations are probably second-hand, Aristotle is still able to evaluate the data. He employs his systematic theory using the over-riding meta-principle that Nature always acts in an orderly way (GA 760a 32) to form his explanation of the function of each type of bee. This means that there must be a purposeful process (TE) that guides generation. However, since neither Aristotle nor the beekeepers had ever seen bee copulation, and since Aristotle allows for asexual generation in some fish, he believes that the case of bees offers him another case in which one class is sterile (complies with modern theory on worker bees), another class creates its own kind and another (this is meant to correspond to the Queen bee—that Aristotle calls a King Bee because it has a stinger and females in nature never have defensive weapons), while the third class creates not its own class but another (this is the drone).

Aristotle has got some of this right and some of it wrong. What he has right is first, bees are unusual in having three classes. Second, one class is infertile and works for the good of the whole. Third, one class (the Queen) is a super-reproducer. However, in the case of bees it is Aristotle’s method rather than his results that stirs admiration. Three meta-principles cause particular note:

  1. Reproduction works with two groups not three. The quickest “solution” would have been to make one group sterile and then make the other two male and female. [This would have been the correct response.] However, since none of the beekeepers reported anything like reproductive behavior among bees and because Aristotle’s own limited observations also do not note this, he is reluctant to make such a reply. It is on the basis of the phainomena that Aristotle rejects bee copulation (GA 759a 10).
  2. Aristotle holds that a priori argument alone is not enough. One must square the most likely explanation with the observed facts.
  3. Via analogy, Aristotle notes that some fish seem not to reproduce and even some flies are generated spontaneously. Thus, assigning the roles to the various classes that he does, Aristotle does not create a sui generis instance. By analogy to other suppositions of his biological theory, Aristotle is able to “solve” a troublesome case via reference to analogy. (Aristotle is also admirably cautious about his own theory, saying that more work is needed.)

What is most important in Aristotle’s accomplishments is his combination of keen observations with a critical scientific method that employs his systematic categories to solve problems in biology and then link these to other issues in human life.

9. Conclusion

Since Aristotle’s biological works comprise almost a third of his writings that have come down to us, and since these writings may have occurred early in his career, it is very possible that the influence of the biological works upon Aristotle’s other writings is considerable. Aristotle’s biological works (so often neglected) should be brought to the fore, not only in the history of biology, but also as a way of understanding some of Aristotle’s non-biological writings.

10. References and Further Reading

a. Primary Text

  • Bekker, Immanuel (ed) update by Olof Gigon , Aristotelis Opera. Berlin, Deutsche Akademie der Wissenschaften, 1831-1870, rpt. W. de Gruyter, 1960-1987.

b. Key Texts in Translation

  • Barnes, Jonathan (ed). The Complete Works of Aristotle: the Revised Oxford Translation. Princeton, NJ: Princeton University Press, 1984.
  • The Clarendon Series of Aristotle:
  • Balme, David (tr and ed). Updated by Allan Gotthelf, De Partibus Animalium I with De Generatione Animalium I (with passages from II 1-3). Oxford: Clarendon Press, 1993).
  • Lennox, James G. (tr and ed) Aristotle on the Parts of Animals I-4. Oxford: Clarendon Press, 2002.
  • The Loeb Series of Aristotle (opposite pages of Greek and English).

c. Selected Secondary Sources

  • Balme, David. “Aristotle’s Use of Differentiae in Zoology.” Aristote et les Problèms de Méthode.Louvain: Publications Universitaires 1961.
  • Balme, David. “GENOS and EIDOS in Aristotle’s Biology” The Classical Quarterly. 12 (1962): 81-88.
  • Balme, David. “Aristotle’s Biology was not Essentialist” Archiv Für Geschichte der Philosophie. 62.1 (1980): 1-12.
  • Bourgey, Louis. Observation et Experiénce chez Aristote. Paris: J. Vrin, 1955.
  • Boylan, Michael. “Mechanism and Teleology in Aristotle’s Biology” Apeiron 15.2 (1981): 96-102.
  • Boylan, Michael. “The Digestive and ‘Circulatory’ Systems in Aristotle’s Biology” Journal of the History of Biology 15.1 (1982): 89-118.
  • Boylan, Michael. Method and Practice in Aristotle’s Biology. Lanham, MD and London: University Press of America, 1983.
  • Boylan, Michael. “The Hippocratic and Galenic Challenges to Aristotle’s Conception Theory” Journal of the History of Biology 15.1 (1984): 83-112.
  • Boylan, Michael. “The Place of Nature in Aristotle’s Biology” Apeiron 19.1 (1985).
  • Boylan, Michael. “Galen’s Conception Theory” Journal of the History of Biology 19.1 (1986): 44-77.
  • Boylan, Michael. “Monadic and SystemicTEleology” in Modern Problems in Teleology ed. Nicholas Rescher (Washington, D.C.: University Press of America, 1986).
  • Charles, David. Aristotle on Meaning and Essence. Oxford: Oxford University Press, 2000.
  • Deverreux, Daniel and Pierre Pellegrin. Eds. Biologie, Logique et Métaphysique chez Aristote. Paris: Éditions du Centre National de la Recherche Scientifique,1990.
  • Düring, Ingemar. Aristotles De Partibus Animalium, Critical and Literary Commentary. Goeteborg, 1943, rpt. NY.: Garland, 1980.
  • Ferejohn, M. The Origins of Aristotelian Science. New Haven, CT: Yale University Press, 1990.
  • Gotthelf, Allan and James G. Lennox, eds. Philosophical Issues in Aristotle’s Biology. NY: Cambridge University Press, 1987.
  • Grene, Marjorie. A Portrait of Aristotle. Chicago: University of Chicago Press, 1963.
  • Joly, Robert. “La Charactérologie Antique Jusqu’ à Aristote. Revue Belge de Philologie et d’Histoire40 (1962): 5-28.
  • Kullmann, Wolfgang. Wissenscaft und Methode: Interpretationen zur Aristotelischen Theorie der Naturwissenschaft. Berlin: de Gruyter, 1974.
  • Kullmann, Wolfgang. Aristoteles und die moderne Wissenschaft Stuttgart: F. Steiner, 1998.
  • Kullmann, Wolfgang. “Aristotles’ wissenschaftliche Methode in seinen zoologischen Schriften” in Wörhle, G., ed. Geschichte der Mathematik und der Naturwissenschaften. Band 1 Stuttgart: F. Steiner, 1999, pp. 103-123.
  • Kullmann, Wolfgang. “Zoologische Sammelwerk in der Antike” in Wörhle, G., ed. Geschichte der Mathematik und der Naturwissenschaften. Band 1 Stuttgart: F. Steiner 1999, pp. 181-198.
  • Kung, Joan. “Some Aspects of Form in Aristotle’s Biology” Nature and System 2 (1980): 67-90.
  • Kung, Joan. “Aristotle on Thises, Suches and the Third Man Argument” Phronesis 26 (1981): 207-247.
  • Le Blonde, Jean Marie. Aristote, Philosophie de la Vie. Paris: Éditions Montaigne, 1945.
  • Lesher, James. “NOUS in the Parts of Animals.” Phronesis 18 (1973): 44-68.
  • Lennox, James. “Teleology, Chance, and Aristotle’s Theory of Spontaneous Generation” Journal of the History of Philosophy 20 (1982): 219-232.
  • Lennox, James. “The Place of Mankind in Aristotle’s Zoology” Philosophical Topics 25.1 (1999): 1-16.
  • Lennox, James. Aristotle’s Philosophy of Biology: Studies in the Origins of Life Sciences. NY: Cambridge University Press, 2001.
  • Lloyd, G.E.R. “Right and Left in Greek Philosophy” Journal of Hellenic Studies. 82 (1962): 67-90.
  • Lloyd, G.E.R. Polarity and Analogy. Cambridge: Cambridge University Press, 1966.
  • Lloyd, G.E.R. Aristotle: The Growth and Structure of his Thought. Cambridge: Cambridge University Press, 1969.
  • Lloyd, G.E.R. “Saving the Appearances” Classical Quarterly. n.s. 28 (1978): 202-222.
  • Lloyd, G.E.R. Magic, Reason, and Experience. Cambridge: Cambridge University Press, 1979.
  • Lloyd, G.E.R. The Revolutions of Wisdom. Berkeley, CA: University of California Press, 1987
  • Lloyd, G.E.R. Methods and Problems in Greek Science. Cambridge: Cambridge University Press, 1991.
  • Lloyd, G.E.R. Aristotelian Explorations. Cambridge: Cambridge University Press, 1996.
  • Louis, Pierre. “La Génération Spontanée chez Aristote” Congrèss International d’Histoire des Sciences (1968): 291-305.
  • Louis, Pierre. La Découverte de la Vie. Paris: Hermann, 1975.
  • Owen, G.E.L. “TITHENAI TA PHAINOMENA” Aristote et les Problèms de Méthode. Louvain, 1975.
  • Owen, G.E.L. The Platonism of Aristotle. London: British Academy: Dawes Hicks Lecture on Philosophy, 1965.
  • Pellegrin, Pierre. La Classification des Animaux chez Aristote: Statut de la Biologie et Unite de l’Aristotélisme. Paris: Societé d’édition “Les Belles Lettres,” 1982.
  • Pellegrin, Pierre. “Logical Difference and Biological Difference: The Unity of Aristotle’s Thought” in Gotthelf, Allan and James G. Lennox, eds. Philosophical Issues in Aristotle’s Biology. NY: Cambridge University Press, 1987, pp. 313-338.
  • Pellegrin, Pierre. “Taxonomie, moriologie, division” in Deverreux, Daniel and Pierre Pellegrin. Eds.Biologie, Logique et Métaphysique chez Aristote. Paris, 1990, 37-48.
  • Preus, Anthony. “Aristotle’s Parts of Animals 2.16 659b 13-19: Is it Authentic?” Classical Quarterly18.2 (1968): 170-178.
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Author Information

Michael Boylan
Email: michael.boylan@marymount.edu
Marymount University
U. S. A.

 

 

 

 

Gettier Problems

Gettier problems or cases are named in honor of the American philosopher Edmund Gettier, who discovered them in 1963. They function as challenges to the philosophical tradition of defining knowledge of a proposition as justified true belief in that proposition. The problems are actual or possible situations in which someone has a belief that is both true and well supported by evidence, yet which — according to almost all epistemologists — fails to be knowledge. Gettier’s original article had a dramatic impact, as epistemologists began trying to ascertain afresh what knowledge is, with almost all agreeing that Gettier had refuted the traditional definition of knowledge. They have made many attempts to repair or replace that traditional definition of knowledge, resulting in several new conceptions of knowledge and of justificatory support. In this respect, Gettier sparked a period of pronounced epistemological energy and innovation — all with a single two-and-a-half page article. There is no consensus, however, that any one of the attempts to solve the Gettier challenge has succeeded in fully defining what it is to have knowledge of a truth or fact. So, the force of that challenge continues to be felt in various ways, and to various extents, within epistemology. Sometimes, the challenge is ignored in frustration at the existence of so many possibly failed efforts to solve it. Often, the assumption is made that somehow it can — and will, one of these days — be solved. Usually, it is agreed to show something about knowledge, even if not all epistemologists concur as to exactly what it shows.

Table of Contents

  1. Introduction
  2. The Justified-True-Belief Analysis of Knowledge
  3. Gettier’s Original Challenge
  4. Some other Gettier Cases
  5. The Basic Structure of Gettier Cases
  6. The Generality of Gettier Cases
  7. Attempted Solutions: Infallibility
  8. Attempted Solutions: Eliminating Luck
  9. Attempted Solutions: Eliminating False Evidence
  10. Attempted Solutions: Eliminating Defeat
  11. Attempted Solutions: Eliminating Inappropriate Causality
  12. Attempted Dissolutions: Competing Intuitions
  13. Attempted Dissolutions: Knowing Luckily
  14. Gettier Cases and Analytic Epistemology
  15. References and Further Reading

1. Introduction

Gettier problems or cases arose as a challenge to our understanding of the nature of knowledge. Initially, that challenge appeared in an article by Edmund Gettier, published in 1963. But his article had a striking impact among epistemologists, so much so that hundreds of subsequent articles and sections of books have generalized Gettier’s original idea into a more wide-ranging concept of a Gettier case or problem, where instances of this concept might differ in many ways from Gettier’s own cases. Philosophers swiftly became adept at thinking of variations on Gettier’s own particular cases; and, over the years, this fecundity has been taken to render his challenge even more significant. This is especially so, given that there has been no general agreement on how to solve the challenge posed by Gettier cases as a group — Gettier’s own ones or those that other epistemologists have observed or imagined. (Note that sometimes this general challenge is called the Gettier problem.) What, then, is the nature of knowledge? And can we rigorously define what it is to know? Gettier’s article gave to these questions a precision and urgency that they had formerly lacked. The questions are still being debated — more or less fervently at different times — within post-Gettier epistemology.

2. The Justified-True-Belief Analysis of Knowledge

Gettier cases are meant to challenge our understanding of propositional knowledge. This is knowledge which is described by phrases of the form “knowledge that p,” with “p” being replaced by some indicative sentence (such as “Kangaroos have no wings”). It is knowledge of a truth or fact — knowledge of how the world is in whatever respect is being described by a given occurrence of “p”. Usually, when epistemologists talk simply of knowledge they are referring to propositional knowledge. It is a kind of knowledge which we attribute to ourselves routinely and fundamentally.

Hence, it is philosophically important to ask what, more fully, such knowledge is. If we do not fully understand what it is, will we not fully understand ourselves either? That is a possibility, as philosophers have long realized. Those questions are ancient ones; in his own way, Plato asked them.

And, prior to Gettier’s challenge, different epistemologists would routinely have offered in reply some more or less detailed and precise version of the following generic three-part analysis of what it is for a person to have knowledge that p (for any particular “p”):

  1. Belief. The person believes that p. This belief might be more or less confident. And it might — but it need not — be manifested in the person’s speech, such as by her saying that p or by her saying that she believes that p. All that is needed, strictly speaking, is for her belief to exist (while possessing at least the two further properties that are about to be listed).
  2. Truth. The person’s belief that p needs to be true. If it is incorrect instead, then — no matter what else is good or useful about it — it is not knowledge. It would only be something else, something lesser. Admittedly, even when a belief is mistaken it can feel to the believer as if it is true. But in that circumstance the feeling would be mistaken; and so the belief would not be knowledge, no matter how much it might feel to the believer like knowledge.
  3. Justification. The person’s belief that p needs to be well supported, such as by being based upon some good evidence or reasoning, or perhaps some other kind of rational justification. Otherwise, the belief, even if it is true, may as well be a lucky guess. It would be correct without being knowledge. It would only be something else, something lesser.

Supposedly (on standard pre-Gettier epistemology), each of those three conditions needs to be satisfied, if there is to be knowledge; and, equally, if all are satisfied together, the result is an instance of knowledge. In other words, the analysis presents what it regards as being three individually necessary, and jointly sufficient, kinds of condition for having an instance of knowledge that p.

The analysis is generally called the justified-true-belief form of analysis of knowledge (or, for short, JTB). For instance, your knowing that you are a person would be your believing (as you do) that you are one, along with this belief’s being true (as it is) and its resting (as it does) upon much good evidence. That evidence will probably include such matters as your having been told that you are a person, your having reflected upon what it is to be a person, your seeing relevant similarities between yourself and other persons, and so on.

It is important to bear in mind that JTB, as presented here, is a generic analysis. It is intended to describe a general structuring which can absorb or generate comparatively specific analyses that might be suggested, either of all knowledge at once or of particular kinds of knowledge. It provides a basic outline — a form — of a theory. In practice, epistemologists would suggest further details, while respecting that general form. So, even when particular analyses suggested by particular philosophers at first glance seem different to JTB, these analyses can simply be more specific instances or versions of that more general form of theory.

Probably the most common way for this to occur involves the specific analyses incorporating, in turn, further analyses of some or all of belief, truth, and justification. For example, some of the later sections in this article may be interpreted as discussing attempts to understand justification more precisely, along with how it functions as part of knowledge. In general, the goal of such attempts can be that of ascertaining aspects of knowledge’s microstructure, thereby rendering the general theory JTB as precise and full as it needs to be in order genuinely to constitute an understanding of particular instances of knowing and of not knowing. Steps in that direction by various epistemologists have tended to be more detailed and complicated after Gettier’s 1963 challenge than had previously been the case. Roderick Chisholm (1966/1977/1989) was an influential exemplar of the post-1963 tendency; A. J. Ayer (1956) famously exemplified the pre-1963 approach.

3. Gettier’s Original Challenge

Gettier’s article described two possible situations. This section presents his Case I. (It is perhaps the more widely discussed of the two. The second will be mentioned in the next section.) Subsequent sections will use this Case I of Gettier’s as a focal point for analysis.

The case’s protagonist is Smith. He and Jones have applied for a particular job. But Smith has been told by the company president that Jones will win the job. Smith combines that testimony with his observational evidence of there being ten coins in Jones’s pocket. (He had counted them himself — an odd but imaginable circumstance.) And he proceeds to infer that whoever will get the job has ten coins in their pocket. (As the present article proceeds, we will refer to this belief several times more. For convenience, therefore, let us call it belief b.) Notice that Smith is not thereby guessing. On the contrary; his belief b enjoys a reasonable amount of justificatory support. There is the company president’s testimony; there is Smith’s observation of the coins in Jones’s pocket; and there is Smith’s proceeding to infer belief b carefully and sensibly from that other evidence. Belief b is thereby at least fairly well justified — supported by evidence which is good in a reasonably normal way. As it happens, too, belief b is true — although not in the way in which Smith was expecting it to be true. For it is Smith who will get the job, and Smith himself has ten coins in his pocket. These two facts combine to make his belief b true. Nevertheless, neither of those facts is something that, on its own, was known by Smith. Is his belief b therefore not knowledge? In other words, does Smith fail to know that the person who will get the job has ten coins in his pocket? Surely so (thought Gettier).

That is Gettier’s Case I, as it was interpreted by him, and as it has subsequently been regarded by almost all other epistemologists. The immediately pertinent aspects of it are standardly claimed to be as follows. It contains a belief which is true and justified — but which is not knowledge. And if that is an accurate reading of the case, then JTB is false. Case I would show that it is possible for a belief to be true and justified without being knowledge. Case I would have established that the combination of truth, belief, and justification does not entail the presence of knowledge. In that sense, a belief’s being true and justified would not be sufficient for its being knowledge.

But if JTB is false as it stands, with what should it be replaced? (Gettier himself made no suggestions about this.) Its failing to describe a jointly sufficient condition of knowing does not entail that the three conditions it does describe are not individually necessary to knowing. And if each of truth, belief, and justification is needed, then what aspect of knowledge is still missing? What feature of Case I prevents Smith’s belief b from being knowledge? What is the smallest imaginable alteration to the case that would allow belief b to become knowledge? Would we need to add some wholly new kind of element to the situation? Or is JTB false only because it is too general — too unspecific? For instance, are only some kinds of justification both needed and enough, if a true belief is to become knowledge? Must we describe more specifically how justification ever makes a true belief knowledge? Is Smith’s belief b justified in the wrong way, if it is to be knowledge?

4. Some other Gettier Cases

Having posed those questions, though, we should realize that they are merely representative of a more general epistemological line of inquiry. The epistemological challenge is not just to discover the minimal repair that we could make to Gettier’s Case I, say, so that knowledge would then be present. Rather, it is to find a failing — a reason for a lack of knowledge — that is common to all Gettier cases that have been, or could be, thought of (that is, all actual or possible cases relevantly like Gettier’s own ones). Only thus will we be understanding knowledge in general — all instances of knowledge, everyone’s knowledge. And this is our goal when responding to Gettier cases.

Sections 7 through 11 will present some attempted diagnoses of such cases. In order to evaluate them, therefore, it would be advantageous to have some sense of the apparent potential range of the concept of a Gettier case. I will mention four notable cases.

The lucky disjunction (Gettier’s second case: 1963). Again, Smith is the protagonist. This time, he possesses good evidence in favor of the proposition that Jones owns a Ford. Smith also has a friend, Brown. Where is Brown to be found at the moment? Smith does not know. Nonetheless, on the basis of his accepting that Jones owns a Ford, he infers — and accepts — each of these three disjunctive propositions:

  • Either Jones owns a Ford, or Brown is in Boston.
  • Either Jones owns a Ford, or Brown is in Barcelona.
  • Either Jones owns a Ford, or Brown is in Brest-Litovsk.

No insight into Brown’s location guides Smith in any of this reasoning. He realizes that he has good evidence for the first disjunct (regarding Jones) in each of those three disjunctions, and he sees this evidence as thereby supporting each disjunction as a whole. Seemingly, he is right about that. (These are inclusive disjunctions, not exclusive. That is, each can, if need be, accommodate the truth of both of its disjuncts. Each is true if even one — let alone both — of its disjuncts is true.) Moreover, in fact one of the three disjunctions is true (albeit in a way that would surprise Smith if he were to be told of how it is true). The second disjunction is true because, as good luck would have it, Brown is in Barcelona — even though, as bad luck would have it, Jones does not own a Ford. (As it happened, the evidence for his doing so, although good, was misleading.) Accordingly, Smith’s belief that either Jones owns a Ford or Brown is in Barcelona is true. And there is good evidence supporting — justifying — it. But is it knowledge?

The sheep in the field (Chisholm 1966/1977/1989). Imagine that you are standing outside a field. You see, within it, what looks exactly like a sheep. What belief instantly occurs to you? Among the many that could have done so, it happens to be the belief that there is a sheep in the field. And in fact you are right, because there is a sheep behind the hill in the middle of the field. You cannot see that sheep, though, and you have no direct evidence of its existence. Moreover, what you are seeing is a dog, disguised as a sheep. Hence, you have a well justified true belief that there is a sheep in the field. But is that belief knowledge?

The pyromaniac (Skyrms 1967). A pyromaniac reaches eagerly for his box of Sure-Fire matches. He has excellent evidence of the past reliability of such matches, as well as of the present conditions — the clear air and dry matches — being as they should be, if his aim of lighting one of the matches is to be satisfied. He thus has good justification for believing, of the particular match he proceeds to pluck from the box, that it will light. This is what occurs, too: the match does light. However, what the pyromaniac did not realize is that there were impurities in this specific match, and that it would not have lit if not for the sudden (and rare) jolt of Q-radiation it receives exactly when he is striking it. His belief is therefore true and well justified. But is it knowledge?

The fake barns (Goldman 1976). Henry is driving in the countryside, looking at objects in fields. He sees what looks exactly like a barn. Accordingly, he thinks that he is seeing a barn. Now, that is indeed what he is doing. But what he does not realize is that the neighborhood contains many fake barns — mere barn facades that look like real barns when viewed from the road. And if he had been looking at one of them, he would have been deceived into believing that he was seeing a barn. Luckily, he was not doing this. Consequently, his belief is justified and true. But is it knowledge?

In none of those cases (or relevantly similar ones), say almost all epistemologists, is the belief in question knowledge. (Note that some epistemologists do not regard the fake barns case as being a genuine Gettier case. There is a touch of vagueness in the concept of a Gettier case.)

5. The Basic Structure of Gettier Cases

Although the multitude of actual and possible Gettier cases differ in their details, some characteristics unite them. For a start, each Gettier case contains a belief which is true and well justified without — according to epistemologists as a whole — being knowledge. The following two generic features also help to constitute Gettier cases:

  1. Fallibility. The justification that is present within each case is fallible. Although it provides good support for the truth of the belief in question, that support is not perfect, strictly speaking. This means that the justification leaves open at least the possibility of the belief’s being false. The justification indicates strongly that the belief is true — without proving conclusively that it is.
  2. Luck. What is most distinctive of Gettier cases is the luck they contain. Within any Gettier case, in fact the well-but-fallibly justified belief in question is true. Nevertheless, there is significant luck in how the belief manages to combine being true with being justified. Some abnormal or odd circumstance is present in the case, a circumstance which makes the existence of that justified and true belief quite fortuitous.

Here is how those two features, (1) and (2), are instantiated in Gettier’s Case I. Smith’s evidence for his belief b was good but fallible. This left open the possibility of belief b being mistaken, even given that supporting evidence. As it happened, that possibility was not realized: Smith’s belief b was actually true. Yet this was due to the intervention of some good luck. Belief b could easily have been false; it was made true only by circumstances which were hidden from Smith. That is, belief b was in fact made true by circumstances (namely, Smith’s getting the job and there being ten coins in his pocket) other than those which Smith’s evidence noticed and which his evidence indicated as being a good enough reason for holding b to be true. What Smith thought were the circumstances (concerning Jones) making his belief b true were nothing of the sort. Luckily, though, some facts of which he had no inkling were making his belief true.

Similar remarks pertain to the sheep-in-the-field case. Within it, your sensory evidence is good. You rely on your senses, taking for granted — as one normally would — that the situation is normal. Then, by standard reasoning, you gain a true belief (that there is a sheep in the field) on the basis of that fallible-but-good evidence. Nonetheless, wherever there is fallibility there is a chance of being mistaken — of gaining a belief which is false. And that is exactly what would have occurred in this case (given that you are actually looking at a disguised dog) — if not, luckily, for the presence behind the hill of the hidden real sheep. Only luckily, therefore, is your belief both justified and true. And because of that luck (say epistemologists in general), the belief fails to be knowledge.

6. The Generality of Gettier Cases

JTB says that any actual or possible case of knowledge that p is an actual or possible instance of some kind of well justified true belief that p — and that any actual or possible instance of some kind of well justified true belief that p is an actual or possible instance of knowledge that p. Hence, JTB is false if there is even one actual or possible Gettier situation (in which some justified true belief fails to be knowledge). Accordingly, since 1963 epistemologists have tried — again and again and again — to revise or repair or replace JTB in response to Gettier cases. The main aim has been to modify JTB so as to gain a ‘Gettier-proof’ definition of knowledge.

How extensive would such repairs need to be? After all, even if some justified true beliefs arise within Gettier situations, not all do so. In practise, such situations are rare, with few of our actual justified true beliefs ever being “Gettiered.” Has Gettier therefore shown only that not all justified true beliefs are knowledge? Correlatively, might JTB be almost correct as it is — in the sense of being accurate about almost all actual or possible cases of knowledge?

On the face of it, Gettier cases do indeed show only that not all actual or possible justified true beliefs are knowledge — rather than that a belief’s being justified and true is never enough for its being knowledge. Nevertheless, epistemologists generally report the impact of Gettier cases in the latter way, describing them as showing that being justified and true is never enough to make a belief knowledge. Why do epistemologists interpret the Gettier challenge in that stronger way?

The reason is that they wish — by way of some universally applicable definition or formula or analysis — to understand knowledge in all of its actual or possible instances and manifestations, not only in some of them. Hence, epistemologists strive to understand how to avoid ever being in a Gettier situation (from which knowledge will be absent, regardless of whether such situations are uncommon). But that goal is, equally, the aim of understanding what it is about most situations that constitutes their not being Gettier situations. If we do not know what, exactly, makes a situation a Gettier case and what changes to it would suffice for its no longer being a Gettier case, then we do not know how, exactly, to describe the boundary between Gettier cases and other situations.

We call various situations in which we form beliefs “everyday” or “ordinary,” for example. In particular, therefore, we might wonder whether all “normally” justified true beliefs are still instances of knowledge (even if in Gettier situations the justified true beliefs are not knowledge). Yet even that tempting idea is not as straightforward as we might have assumed. For do we know what it is, exactly, that makes a situation ordinary? Specifically, what are the details of ordinary situations that allow them not to be Gettier situations — and hence that allow them to contain knowledge? To the extent that we do not understand what it takes for a situation not to be a Gettier situation, we do not understand what it takes for a situation to be a normal one (thereby being able to contain knowledge). Understanding Gettier situations would be part of understanding non-Gettier situations — including ordinary situations. Until we adequately understand Gettier situations, we do not adequately understand ordinary situations — because we would not adequately understand the difference between these two kinds of situation.

7. Attempted Solutions: Infallibility

To the extent that we understand what makes something a Gettier case, we understand what would suffice for that situation not to be a Gettier case. Section 5 outlined two key components — fallibility and luck — of Gettier situations. In this section and the next, we will consider whether removing one of those two components — the removal of which will suffice for a situation’s no longer being a Gettier case — would solve Gettier’s epistemological challenge. That is, we will be asking whether we may come to understand the nature of knowledge by recognizing its being incompatible with the presence of at least one of those two components (fallibility and luck).

There is a prima facie case, at any rate, for regarding justificatory fallibility with concern in this setting. So, let us examine the Infallibility Proposal for solving Gettier’s challenge. There have long been philosophers who doubt (independently of encountering Gettier cases) that allowing fallible justification is all that it would take to convert a true belief into knowledge. (“If you know that p, there must have been no possibility of your being mistaken about p,” they might say.) The classic philosophical expression of that sort of doubt was by René Descartes, most famously in his Meditations on First Philosophy (1641). Contemporary epistemologists who have voiced similar doubts include Keith Lehrer (1971) and Peter Unger (1971). In the opinion of epistemologists who embrace the Infallibility Proposal, we can eliminate Gettier cases as challenges to our understanding of knowledge, simply by refusing to allow that one’s having fallible justification for a belief that p could ever adequately satisfy JTB’s justification condition. Stronger justification than that is required within knowledge (they will claim); infallibilist justificatory support is needed. (They might even say that there is no justification present at all, let alone an insufficient amount of it, given the fallibility within the cases.)

Thus, for instance, an infallibilist about knowledge might claim that because (in Case I) Smith’s justification provided only fallible support for his belief b, this justification was always leaving open the possibility of that belief being mistaken — and that this is why the belief is not knowledge. The infallibilist might also say something similar — as follows — about the sheep-in-the-field case. Because you were relying on your fallible senses in the first place, you were bound not to gain knowledge of there being a sheep in the field. (“It could never be real knowledge, given the inherent possibility of error in using one’s senses.”) And the infallibilist will regard the fake-barns case in the same way, claiming that the potential for mistake (that is, the existence of fallibility) was particularly real, due to the existence of the fake barns. And that is why (infers the infallibilist) there is a lack of knowledge within the case — as indeed there would be within any situation where fallible justification is being used.

So, that is the Infallibility Proposal. The standard epistemological objection to it is that it fails to do justice to the reality of our lives, seemingly as knowers of many aspects of the surrounding world. In our apparently “ordinary” situations, moving from one moment to another, we take ourselves to have much knowledge. Yet we rarely, if ever, possess infallible justificatory support for a belief. And we accept this about ourselves, realizing that we are not wholly — conclusively — reliable. We accept that if we are knowers, then, we are at least not infallible knowers. But the Infallibility Proposal — when combined with that acceptance of our general fallibility — would imply that we are not knowers at all. It would thereby ground a skepticism about our ever having knowledge.

Accordingly, most epistemologists would regard the Infallibility Proposal as being a drastic and mistaken reaction to Gettier’s challenge in particular. In response to Gettier, most seek to understand how we do have at least some knowledge — where such knowledge will either always or almost always be presumed to involve some fallibility. The majority of epistemologists still work towards what they hope will be a non-skeptical conception of knowledge; and attaining this outcome could well need to include their solving the Gettier challenge without adopting the Infallibility Proposal.

8. Attempted Solutions: Eliminating Luck

The other feature of Gettier cases that was highlighted in section 5 is the lucky way in which such a case’s protagonist has a belief which is both justified and true. Is it this luck that needs to be eliminated if the situation is to become one in which the belief in question is knowledge? In general, must any instance of knowledge include no accidentalness in how its combination of truth, belief, and justification is effected? The Eliminate Luck Proposal claims so.

Almost all epistemologists, when analyzing Gettier cases, reach for some version of this idea, at least in their initial or intuitive explanations of why knowledge is absent from the cases. Unger (1968) is one who has also sought to make this a fuller and more considered part of an explanation for the lack of knowledge. He says that a belief is not knowledge if it is true only courtesy of some relevant accident. That description is meant to allow for some flexibility. Even so, further care will still be needed if the Eliminate Luck Proposal is to provide real insight and understanding. After all, if we seek to eliminate all luck whatsoever from the production of the justified true belief (if knowledge is thereby to be present), then we are again endorsing a version of infallibilism (as described in section 7). If no luck is involved in the justificatory situation, the justification renders the belief’s truth wholly predictable or inescapable; in which case, the belief is being infallibly justified. And this would be a requirement which (as section 7 explained) few epistemologists will find illuminating, certainly not as a response to Gettier cases.

What many epistemologists therefore say, instead, is that the problem within Gettier cases is the presence of too much luck. Some luck is to be allowed; otherwise, we would again have reached for the Infallibility Proposal. But too large a degree of luck is not to be allowed. This is why we often find epistemologists describing Gettier cases as containing too much chance or flukiness for knowledge to be present.

Nevertheless, how helpful is that kind of description by those epistemologists? How much luck is too much? That is a conceptually vital question. Yet there has been no general agreement among epistemologists as to what degree of luck precludes knowledge. There has not even been much attempt to determine that degree. (It is no coincidence, similarly, that epistemologists in general are also yet to determine how strong — if it is allowed to be something short of infallibility — the justificatory support needs to be within any case of knowledge.) A specter of irremediable vagueness thus haunts the Eliminate Luck Proposal.

Perhaps understandably, therefore, the more detailed epistemological analyses of knowledge have focused less on delineating dangerous degrees of luck than on characterizing substantive kinds of luck that are held to drive away knowledge. Are there ways in which Gettier situations are structured, say, which amount to the presence of a kind of luck which precludes the presence of knowledge (even when there is a justified true belief)? Most attempts to solve Gettier’s challenge instantiate this form of thinking. In sections 9 through 11, we will encounter a few of the main suggestions that have been made.

9. Attempted Solutions: Eliminating False Evidence

A lot of epistemologists have been attracted to the idea that the failing within Gettier cases is the person’s including something false in her evidence. This would be a problem for her, because she is relying upon that evidence in her attempt to gain knowledge, and because knowledge is itself always true. To the extent that falsity is guiding the person’s thinking in forming the belief that p, she will be lucky to derive a belief that p which is true. And (as section 8 indicated) there are epistemologists who think that a lucky derivation of a true belief is not a way to know that truth. Let us therefore consider the No False Evidence Proposal.

In Gettier’s Case I, for example, Smith includes in his evidence the false belief that Jones will get the job. If Smith had lacked that evidence (and if nothing else were to change within the case), presumably he would not have inferred belief b. He would probably have had no belief at all as to who would get the job (because he would have had no evidence at all on the matter). If so, he would thereby not have had a justified and true belief b which failed to be knowledge. Should JTB therefore be modified so as to say that no belief is knowledge if the person’s justificatory support for it includes something false? JTB would then tell us that one’s knowing that p is one’s having a justified true belief which is well supported by evidence, none of which is false.

That is the No False Evidence Proposal. But epistemologists have noticed a few possible problems with it.

First, as Richard Feldman (1974) saw, there seem to be some Gettier cases in which no false evidence is used. Imagine that (contrary to Gettier’s own version of Case I) Smith does not believe, falsely, “Jones will get the job.” Imagine instead that he believes, “The company president told me that Jones will get the job.” (He could have continued to form the first belief. But suppose that, as it happens, he does not form it.) This alternative belief would be true. It would also provide belief b with as much justification as the false belief provided. So, if all else is held constant within the case (with belief b still being formed), again Smith has a true belief which is well-although-fallibly justified, yet which might well not be knowledge.

Second, it will be difficult for the No False Evidence Proposal not to imply an unwelcome skepticism. Quite possibly, there is always some false evidence being relied upon, at least implicitly, as we form beliefs. Is there nothing false at all — not even a single falsity — in your thinking, as you move through the world, enlarging your stock of beliefs in various ways (not all of which ways are completely reliable and clearly under your control)? If there is even some falsity among the beliefs you use, but if you do not wholly remove it or if you do not isolate it from the other beliefs you are using, then — on the No False Evidence Proposal — there is a danger of its preventing those other beliefs from ever being knowledge. This is a worry to be taken seriously, if a belief’s being knowledge is to depend upon the total absence of falsity from one’s thinking in support of that belief.

Unsurprisingly, therefore, some epistemologists, such as Lehrer (1965), have proposed a further modification of JTB — a less demanding one. They have suggested that what is needed for knowing that p is an absence only of significant and ineliminable (non-isolable) falsehoods from one’s evidence for p’s being true. Here is what that means. First, false beliefs which you are — but need not have been — using as evidence for p are eliminable from your evidence for p. And, second, false beliefs whose absence would seriously weaken your evidence for p are significant within your evidence for p. Accordingly, the No False Evidence Proposal now becomes the No False Core Evidence Proposal. The latter proposal says that if the only falsehoods in your evidence for p are ones which you could discard, and ones whose absence would not seriously weaken your evidence for p, then (with all else being equal) your justification is adequate for giving you knowledge that p. The accompanying application of that proposal to Gettier cases would claim that because, within each such case, some falsehood plays an important role in the protagonist’s evidence, her justified true belief based on that evidence fails to be knowledge. On the modified proposal, this would be the reason for the lack of that knowledge.

One fundamental problem confronting that proposal is obviously its potential vagueness. To what extent, precisely, need you be able to eliminate the false evidence in question if knowledge that p is to be present? How easy, exactly, must this be for you? And just how weakened, exactly, may your evidence for p become — courtesy of the elimination of false elements within it — before it is too weak to be part of making your belief that p knowledge? Such questions still await answers from epistemologists.

10. Attempted Solutions: Eliminating Defeat

Section 9 explored the suggestion that the failing within any Gettier case is a matter of what is included within a given person’s evidence: specifically, some core falsehood is accepted within her evidence. A converse idea has also received epistemological attention — the thought that the failing within any Gettier case is a matter of what is not included in the person’s evidence: specifically, some notable truth or fact is absent from her evidence. This proposal would not simply be that the evidence overlooks at least one fact or truth. Like the unmodified No False Evidence Proposal (with which section 9 began), that would be far too demanding, undoubtedly leading to skepticism. Because there are always some facts or truths not noticed by anyone’s evidence for a particular belief, there would be no knowledge either. No one’s evidence for p would ever be good enough to satisfy the justification requirement that is generally held to be necessary to a belief that p’s being knowledge.

Epistemologists therefore restrict the proposal, turning it into what is often called a defeasibility analysis of knowledge. It can also be termed the No Defeat Proposal. The thought behind it is that JTB should be modified so as to say that what is needed in knowing that p is an absence from the inquirer’s context of any defeaters of her evidence for p. And what is a defeater? A particular fact or truth t defeats a body of justification j (as support for a belief that p) if adding t to j, thereby producing a new body of justification j*, would seriously weaken the justificatory support being provided for that belief that p — so much so that j* does not provide strong enough support to make even the true belief that p knowledge. This means that t is relevant to justifying p (because otherwise adding it to j would produce neither a weakened nor a strengthened j*) as support for p — but damagingly so. In effect, insofar as one wishes to have beliefs which are knowledge, one should only have beliefs which are supported by evidence that is not overlooking any facts or truths which — if left overlooked — function as defeaters of whatever support is being provided by that evidence for those beliefs.

In Case I, for instance, we might think that the reason why Smith’s belief b fails to be knowledge is that his evidence includes no awareness of the facts that he will get the job himself and that his own pocket contains ten coins. Thus, imagine a variation on Gettier’s case, in which Smith’s evidence does include a recognition of these facts about himself. Then either (i) he would have conflicting evidence (by having this evidence supporting his, plus the original evidence supporting Jones’s, being about to get the job), or (ii) he would not have conflicting evidence (if his original evidence about Jones had been discarded, leaving him with only the evidence about himself). But in either of those circumstances Smith would be justified in having belief b — concerning “the person,” whoever it would be, who will get the job. Moreover, in that circumstance he would not obviously be in a Gettier situation — with his belief b still failing to be knowledge. For, on either (i) or (ii), there would be no defeaters of his evidence — no facts which are being overlooked by his evidence, and which would seriously weaken his evidence if he were not overlooking them.

Unfortunately, however, this proposal — like the No False Core Evidence Proposal in section 9 — faces a fundamental problem of vagueness. As we have seen, defeaters defeat by weakening justification: as more and stronger defeaters are being overlooked by a particular body of evidence, that evidence is correlatively weakened. (This is so, even when the defeaters clash directly with one’s belief that p. And it is so, regardless of the believer’s not realizing that the evidence is thereby weakened.) How weak, exactly, can the justification for a belief that p become before it is too weak to sustain the belief’s being knowledge that p? This question — which, in one form or another, arises for all proposals which allow knowledge’s justificatory component to be satisfied by fallible justificatory support — is yet to be answered by epistemologists as a group. In the particular instance of the No Defeat Proposal, it is the question, raised by epistemologists such as William Lycan (1977) and Lehrer and Paxson (1969), of how much — and which aspects — of one’s environment need to be noticed by one’s evidence, if that evidence is to be justification that makes one’s belief that p knowledge. There can be much complexity in one’s environment, with it not always being clear where to draw the line between aspects of the environment which do — and those which do not — need to be noticed by one’s evidence. How strict should we be in what we expect of people in this respect?

11. Attempted Solutions: Eliminating Inappropriate Causality

It has also been suggested that the failing within Gettier situations is one of causality, with the justified true belief being caused — generated, brought about — in too odd or abnormal a way for it to be knowledge. This Appropriate Causality Proposal — initially advocated by Alvin Goldman (1967) — will ask us to consider, by way of contrast, any case of observational knowledge. Seemingly, a necessary part of such knowledge’s being produced is a stable and normal causal pattern’s generating the belief in question. You use your eyes in a standard way, for example. A belief might then form in a standard way, reporting what you observed. That belief will be justified in a standard way, too, partly by that use of your eyes. And it will be true in a standard way, reporting how the world actually is in a specific respect. All of this reflects the causal stability of normal visually-based belief-forming processes. In particular, we realize that the object of the knowledge — that perceived aspect of the world which most immediately makes the belief true — is playing an appropriate role in bringing the belief into existence.

Within Gettier’s Case I, however, that pattern of normality is absent. The aspects of the world which make Smith’s belief b true are the facts of his getting the job and of there being ten coins in his own pocket. But these do not help to cause the existence of belief b. (That belief is caused by Smith’s awareness of other facts — his conversation with the company president and his observation of the contents of Jones’s pocket.) Should JTB be modified accordingly, so as to tell us that a justified true belief is knowledge only if those aspects of the world which make it true are appropriately involved in causing it to exist?

Epistemologists have noticed problems with that Appropriate Causality Proposal, though.

First, some objects of knowledge might be aspects of the world which are unable ever to have causal influences. In knowing that 2 + 2 = 4 (this being a prima facie instance of what epistemologists term a priori knowledge), you know a truth — perhaps a fact — about numbers. And do they have causal effects? Most epistemologists do not believe so. (Maybe instances of numerals, such as marks on paper being interpreted on particular occasions in specific minds, can have causal effects. Yet — it is usually said — such numerals are merely representations of numbers. They are not the actual numbers.) Consequently, it is quite possible that the scope of the Appropriate Causality Proposal is more restricted than is epistemologically desirable. The proposal would apply only to empirical or a posteriori knowledge, knowledge of the observable world — which is to say that it might not apply to all of the knowledge that is actually or possibly available to people. And (as section 6 explained) epistemologists seek to understand all actual or possible knowledge, not just some of it.

Second, to what extent will the Appropriate Causality Proposal help us to understand even empirical knowledge? The problem is that epistemologists have not agreed on any formula for exactly how (if there is to be knowledge that p) the fact that p is to contribute to bringing about the existence of the justified true belief that p. Inevitably (and especially when reasoning is involved), there will be indirectness in the causal process resulting in the formation of the belief that p. But how much indirectness is too much? That is, are there degrees of indirectness that are incompatible with there being knowledge that p? And if so, how are we to specify those critical degrees?

For example, suppose that (in an altered Case I of which we might conceive) Smith’s being about to be offered the job is actually part of the causal explanation of why the company president told him that Jones would get the job. The president, with his mischievous sense of humor, wished to mislead Smith. And suppose that Smith’s having ten coins in his pocket made a jingling noise, subtly putting him in mind of coins in pockets, subsequently leading him to discover how many coins were in Jones’s pocket. Given all of this, the facts which make belief b true (namely, those ones concerning Smith’s getting the job and concerning the presence of the ten coins in his pocket) will actually have been involved in the causal process that brings belief b into existence. Would the Appropriate Causality Proposal thereby be satisfied — so that (in this altered Case I) belief b would now be knowledge? Or should we continue regarding the situation as being a Gettier case, a situation in which (as in the original Case I) the belief b fails to be knowledge? If we say that the situation remains a Gettier case, we need to explain why this new causal ancestry for belief b would still be too inappropriate to allow belief b to be knowledge.

Most epistemologists will regard the altered case as a Gettier case. But in that event they continue to owe us an analysis of what makes a given causal history inappropriate. Often, they talk of deviant causal chains. And that is an evocative phrase. But how clear is it? Once more, we will wonder about vagueness. In particular, we will ask, how deviant can a causal chain (one that results in some belief-formation) become before it is too deviant to be able to be bringing knowledge into existence? As we also found in sections 9 and 10, a conceptually deep problem of vagueness thus remains to be solved.

12. Attempted Dissolutions: Competing Intuitions

Sections 9 through 11 described some of the main proposals that epistemologists have made for solving the Gettier challenge directly. Those proposals accept the usual interpretation of each Gettier case as containing a justified true belief which fails to be knowledge. Each proposal then attempts to modify JTB, the traditional epistemological suggestion for what it is to know that p. What is sought by those proposals, therefore, is an analysis of knowledge which accords with the usual interpretation of Gettier cases. That analysis would be intended to cohere with the claim that knowledge is not present within Gettier cases. And why is it so important to cohere with the latter claim? The standard answer offered by epistemologists points to what they believe is their strong intuition that, within any Gettier case, knowledge is absent. Almost all epistemologists claim to have this intuition about Gettier cases. They treat this intuition with much respect. (It seems that most do so as part of a more general methodology, one which involves the respectful use of intuitions within many areas of philosophy. Frank Jackson [1998] is a prominent proponent of that methodology’s ability to aid our philosophical understanding of key concepts.)

Nonetheless, a few epistemological voices dissent from that approach (as this section and the next will indicate). These seek to dissolve the Gettier challenge. Instead of accepting the standard interpretation of Gettier cases, and instead of trying to find a direct solution to the challenge that the cases are thereby taken to ground, a dissolution of the cases denies that they ground any such challenge in the first place. And one way of developing such a dissolution is to deny or weaken the usual intuition by which almost all epistemologists claim to be guided in interpreting Gettier cases.

One such attempt has involved a few epistemologists — Jonathan Weinberg, Shaun Nichols, and Stephen Stich (2001) — conducting empirical research which (they argue) casts doubt upon the evidential force of the usual epistemological intuition about the cases. When epistemologists claim to have a strong intuition that knowledge is missing from Gettier cases, they take themselves to be representative of people in general (specifically, in how they use the word “knowledge” and its cognates such as “know,” knower,” and the like). That intuition is therefore taken to reflect how “we” — people in general — conceive of knowledge. It is thereby assumed to be an accurate indicator of pertinent details of the concept of knowledge — which is to say, “our” concept of knowledge. Yet what is it that gives epistemologists such confidence in their being representative of how people in general use the word “knowledge”? Mostly, epistemologists test this view of themselves upon their students and upon other epistemologists. The empirical research by Weinberg, Nichols, and Stich asked a wider variety of people — including ones from outside of university or college settings — about Gettier cases. And that research has reported encountering a wider variety of reactions to the cases. When people who lack much, or even any, prior epistemological awareness are presented with descriptions of Gettier cases, will they unhesitatingly say (as epistemologists do) that the justified true beliefs within those cases fail to be knowledge? The empirical evidence gathered so far suggests some intriguing disparities in this regard — including ones that might reflect varying ethnic ancestries or backgrounds. In particular, respondents of east Asian or Indian sub-continental descent were found to be more open than were European Americans (of “Western” descent) to classifying Gettier cases as situations in which knowledge is present. A similar disparity seemed to be correlated with respondents’ socio-economic status.

Those data are preliminary. (And other epistemologists have not sought to replicate those surveys.) Nonetheless, the data are suggestive. At the very least, they constitute some empirical evidence that does not simply accord with epistemologists’ usual interpretation of Gettier cases. Hence, a real possibility has been raised that epistemologists, in how they interpret Gettier cases, are not so accurately representative of people in general. Their shared, supposedly intuitive, interpretation of the cases might be due to something distinctive in how they, as a group, think about knowledge, rather than being merely how people as a whole regard knowledge. In other words, perhaps the apparent intuition about knowledge (as it pertains to Gettier situations) that epistemologists share with each other is not universally shared. Maybe it is at least not shared with as many other people as epistemologists assume is the case. And if so, then the epistemologists’ intuition might not merit the significance they have accorded it when seeking a solution to the Gettier challenge. (Indeed, that challenge itself might not be as distinctively significant as epistemologists have assumed it to be. This possibility arises once we recognize that the prevalence of that usual putative intuition among epistemologists has been important to their deeming, in the first place, that Gettier cases constitute a decisive challenge to our understanding of what it is to know that p.)

Epistemologists might reply that people who think that knowledge is present within Gettier cases are not evaluating the cases properly — that is, as the cases should be interpreted. The question thus emerges of whether epistemologists’ intuitions are particularly trustworthy on this topic. Are they more likely to be accurate (than are other people’s intuitions) in what they say about knowledge — in assessing its presence in, or its absence from, specific situations? Presumably, most epistemologists will think so, claiming that when other people do not concur that in Gettier cases there is a lack of knowledge, those competing reactions reflect a lack of understanding of the cases — a lack of understanding which could well be rectified by sustained epistemological reflection.

Potentially, that disagreement has methodological implications about the nature and point of epistemological inquiry. For we should wonder whether those epistemologists, insofar as their confidence in their interpretation of Gettier cases rests upon their more sustained reflection about such matters, are really giving voice to intuitions as such about Gettier cases when claiming to be doing so. Or are they instead applying some comparatively reflective theories of knowledge? The latter alternative need not make their analyses mistaken, of course. But it would make more likely the possibility that the analyses of knowledge which epistemologists develop in order to understand Gettier cases are not based upon a directly intuitive reading of the cases. This might weaken the strength and independence of the epistemologists’ evidential support for those analyses of knowledge.

For example, maybe the usual epistemological interpretation of Gettier cases is manifesting a commitment to a comparatively technical and demanding concept of knowledge, one that only reflective philosophers would use and understand. Even if the application of that concept feels intuitive to them, this could be due to the kind of technical training that they have experienced. It might not be a coincidence, either, that epistemologists tend to present Gettier cases by asking the audience, “So, is this justified true belief within the case really knowledge?” — thereby suggesting, through this use of emphasis, that there is an increased importance in making the correct assessment of the situation. The audience might well feel a correlative caution about saying that knowledge is present. They could feel obliged to take care not to accord knowledge if there is anything odd — as, clearly, there is — about the situation being discussed. When that kind of caution and care are felt to be required, then — as contextualist philosophers such as David Lewis (1996) have argued is appropriate — we are more likely to deny that knowledge is present.

Hence, if epistemologists continue to insist that the nature of knowledge is such as to satisfy one of their analyses (where this includes knowledge’s being such that it is absent from Gettier cases), then there is a correlative possibility that they are talking about something — knowledge — that is too difficult for many, if any, inquirers ever to attain. How should people — as potential or actual inquirers — react to that possibility? Mark Kaplan (1985) has argued that insofar as knowledge must conform to the demands of Gettier cases (and to the usual epistemological interpretation of them), knowledge is not something about which we should care greatly as inquirers. And the fault would be knowledge’s, not ours. Kaplan advocates our seeking something less demanding and more realistically attainable than knowledge is if it needs to cohere with the usual interpretation of Gettier cases. (An alternative thought which Kaplan’s argument might prompt us to investigate is that of whether knowledge itself could be something less demanding — even while still being at least somewhat worth seeking. Section 13 will discuss that idea.)

Those pivotal issues are currently unresolved. In the meantime, their presence confirms that, by thinking about Gettier cases, we may naturally raise some substantial questions about epistemological methodology — about the methods via which we should be trying to understand knowledge. Those questions include the following ones. What evidence should epistemologists consult as they strive to learn the nature of knowledge? Should they be perusing intuitions? If so, whose? Their own? How should competing intuitions be assessed? And how strongly should favored intuitions be relied upon anyway? Are they to be decisive? Are they at least powerful? Or are they no more than a starting-point for further debate — a provider, not an adjudicator, of relevant ideas?

13. Attempted Dissolutions: Knowing Luckily

Section 12 posed the question of whether supposedly intuitive assessments of Gettier situations support the usual interpretation of the cases as strongly — or even as intuitively — as epistemologists generally believe is the case. How best might that question be answered? Sections 5 and 8 explained that when epistemologists seek to support that usual interpretation in a way that is meant to remain intuitive, they typically begin by pointing to the luck that is present within the cases. That luck is standardly thought to be a powerful — yet still intuitive — reason why the justified true beliefs inside Gettier cases fail to be knowledge.

Nevertheless, a contrary interpretation of the luck’s role has also been proposed, by Stephen Hetherington (1998; 2001). It means to reinstate the sufficiency of JTB, thereby dissolving Gettier’s challenge. That contrary interpretation could be called the Knowing Luckily Proposal. And it analyses Gettier’s Case I along the following lines.

This alternative interpretation concedes (in accord with the usual interpretation) that, in forming his belief b, Smith is lucky to be gaining a belief which is true. More fully: He is lucky to do so, given the evidence by which he is being guided in forming that belief, and given the surrounding facts of his situation. In that sense (we might say), Smith came close to definitely lacking knowledge. (For in that sense he came close to forming a false belief; and a belief which is false is definitely not knowledge.) But to come close to definitely lacking knowledge need not be to lack knowledge. It might merely be to almost lack knowledge. So (as we might also say), it could be to know, albeit luckily so. Smith would have knowledge, in virtue of having a justified true belief. (We would thus continue to regard JTB as being true.) However, because Smith would only luckily have that justified true belief, he would only luckily have that knowledge.

Most epistemologists will object that this sounds like too puzzling a way to talk about knowing. Their reaction is natural. Even this Knowing Luckily Proposal would probably concede that there is very little (if any) knowledge which is lucky in so marked or dramatic a way. And because there is so little (if any) such knowledge, our everyday lives leave us quite unused to thinking of some knowledge as being present within ourselves or others quite so luckily: we would actually encounter little (if any) such knowledge. To the extent that the kind of luck involved in such cases reflects the statistical unlikelihood of such circumstances occurring, therefore, we should expect at least most knowledge not to be present in that lucky way. (Otherwise, this would be the normal way for knowledge to be present. It would not in fact be an unusual way. Hence, strictly speaking, the knowledge would not be present only luckily.)

But even if the Knowing Luckily Proposal agrees that, inevitably, at least most knowledge will be present in comparatively normal ways, the proposal will deny that this entails the impossibility of there ever being at least some knowledge which is present more luckily. Ordinarily, when good evidence for a belief that p accompanies the belief’s being true (as it does in Case I), this combination of good evidence and true belief occurs (unlike in Case I) without any notable luck being needed. Ordinary knowledge is thereby constituted, with that absence of notable luck being part of what makes instances of ordinary knowledge ordinary in our eyes. What is ordinary to us will not strike us as being present only luckily. Again, though, is it therefore impossible for knowledge ever to be constituted luckily? The Knowing Luckily Proposal claims that such knowledge is possible even if uncommon. The proposal will grant that there would be a difference between knowing that p in a comparatively ordinary way and knowing that p in a comparatively lucky way. Knowing comparatively luckily that p would be (i) knowing that p (where this might remain one’s having a justified true belief that p), even while also (ii) running, or having run, a greater risk of not having that knowledge that p. In that sense, it would be to know that p less securely or stably or dependably, more fleetingly or unpredictably.

There are many forms that the lack of stability — the luck involved in the knowledge’s being present — could take. Sometimes it might include the knowledge’s having one of the failings found within Gettier cases. The knowledge — the justified true belief — would be present in a correspondingly lucky way. One interpretive possibility — from Hetherington (2001) — is that of describing this knowledge that p as being of a comparatively poor quality as knowledge that p. Normally, knowledge that p is of a higher quality than this — being less obviously flawed, by being less luckily present. The question persists, though: Must all knowledge that p be, in effect, normal knowledge that p — being of a normal quality as knowledge that p? Or could we sometimes — even if rarely — know that p in a comparatively poor and undesirable way? The Knowing Luckily Proposal allows that this is possible — that this is a conceivable form for some knowledge to take.

That proposal is yet to be widely accepted among epistemologists. Their main objection to it has been what they have felt to be the oddity of talking of knowledge in that way. Accordingly, the epistemological resistance to the proposal partly reflects the standard adherence to the dominant (“intuitive”) interpretation of Gettier cases. Yet this section and the previous one have asked whether epistemologists should be wedded to that interpretation of Gettier cases. So, this section leaves us with the following question: Is it conceptually coherent to regard the justified true beliefs within Gettier cases as instances of knowledge which are luckily produced or present? And how are we to answer that question anyway? With intuitions? Whose? Once again, we encounter section 12’s questions about the proper methodology for making epistemological progress on this issue.

14. Gettier Cases and Analytic Epistemology

Since the initial philosophical description in 1963 of Gettier cases, the project of responding to them (so as to understand what it is to know that p) has often been central to the practice of analytic epistemology. Partly this recurrent centrality has been due to epistemologists’ taking the opportunity to think in detail about the nature of justification — about what justification is like in itself, and about how it is constitutively related to knowledge. But partly, too, that recurrent centrality reflects the way in which, epistemologists have often assumed, responding adequately to Gettier cases requires the use of a paradigm example of a method that has long been central to analytic philosophy. That method involves the considered manipulation and modification of definitional models or theories, in reaction to clear counterexamples to those models or theories.

Thus (we saw in section 2), JTB purported to provide a definitional analysis of what it is to know that p. JTB aimed to describe, at least in general terms, the separable-yet-combinable components of such knowledge. Then Gettier cases emerged, functioning as apparently successful counterexamples to one aspect — the sufficiency — of JTB’s generic analysis. That interpretation of the cases’ impact rested upon epistemologists’ claims to have reflective-yet-intuitive insight into the absence of knowledge from those actual or possible Gettier circumstances. These claims of intuitive insight were treated by epistemologists as decisive data, somewhat akin to favored observations. The claims were to be respected accordingly; and, it was assumed, any modification of the theory encapsulated in JTB would need to be evaluated for how well it accommodated them. So, the entrenchment of the Gettier challenge at the core of analytic epistemology hinged upon epistemologists’ confident assumptions that (i) JTB failed to accommodate the data provided by those intuitions — and that (ii) any analytical modification of JTB would need (and would be able) to be assessed for whether it accommodated such intuitions. That was the analytical method which epistemologists proceeded to apply, vigorously and repeatedly.

Nevertheless, the history of post-1963 analytic epistemology has also contained repeated expressions of frustration at the seemingly insoluble difficulties that have accompanied the many attempts to respond to Gettier’s disarmingly simple paper. Precisely how should the theory JTB be revised, in accord with the relevant data? Exactly which data are relevant anyway? We have seen in the foregoing sections that there is much room for dispute and uncertainty about all of this. For example, we have found a persistent problem of vagueness confronting various attempts to revise JTB. This might have us wondering whether a complete analytical definition of knowledge that p is even possible.

That is especially so, given that vagueness itself is a phenomenon, the proper understanding of which is yet to be agreed upon by philosophers. There is much contemporary discussion of what it even is (see Keefe and Smith 1996). On one suggested interpretation, vagueness is a matter of people in general not knowing where to draw a precise and clearly accurate line between instances of X and instances of non-X (for some supposedly vague phenomenon of being X, such as being bald or being tall). On that interpretation of vagueness, such a dividing line would exist; we would just be ignorant of its location. To many philosophers, that idea sounds regrettably odd when the vague phenomenon in question is baldness, say. (“You claim that there is an exact dividing line, in terms of the number of hairs on a person’s head, between being bald and not being bald? I find that claim extremely hard to believe.”) But should philosophers react with such incredulity when the phenomenon in question is that of knowing, and when the possibility of vagueness is being prompted by discussions of the Gettier problem? For most epistemologists remain convinced that their standard reaction to Gettier cases reflects, in part, the existence of a definite difference between knowing and not knowing. But where, exactly, is that dividing line to be found? As we have observed, the usual epistemological answers to this question seek to locate and to understand the dividing line in terms of degrees and kinds of justification or something similar. Accordingly, the threats of vagueness we have noticed in some earlier sections of this article might be a problem for many epistemologists. Possibly, those forms of vagueness afflict epistemologists’ knowing that a difference between knowledge and non-knowledge is revealed by Gettier cases. Epistemologists continue regarding the cases in that way. Are they right to do so? Do they have that supposed knowledge of what Gettier cases show about knowledge?

The Gettier challenge has therefore become a test case for analytically inclined philosophers. The following questions have become progressively more pressing with each failed attempt to convince epistemologists as a group that, in a given article or talk or book, the correct analysis of knowledge has finally been reached. Will an adequate understanding of knowledge ever emerge from an analytical balancing of various theories of knowledge against relevant data such as intuitions? Must any theory of the nature of knowledge be answerable to intuitions prompted by Gettier cases in particular? And must epistemologists’ intuitions about the cases be supplemented by other people’s intuitions, too? What kind of theory of knowledge is at stake? What general form should the theory take? And what degree of precision should it have? If we are seeking an understanding of knowledge, must this be a logically or conceptually exhaustive understanding? (The methodological model of theory-being-tested-against-data suggests a scientific parallel. Yet need scientific understanding always be logically or conceptually exhaustive if it is to be real understanding?)

The issues involved are complex and subtle. No analysis has received general assent from epistemologists, and the methodological questions remain puzzling. Debate therefore continues. There is uncertainty as to whether Gettier cases — and thereby knowledge — can ever be fully understood. There is also uncertainty as to whether the Gettier challenge can be dissolved. Have we fully understood the challenge itself? What exactly is Gettier’s legacy? As epistemologists continue to ponder these questions, it is not wholly clear where their efforts will lead us. Conceptual possibilities still abound.

15. References and Further Reading

  • Ayer, A. J. (1956). The Problem of Knowledge (London: Macmillan), ch. 1.
    • Presents a well-regarded pre-Gettier JTB analysis of knowledge.
  • Chisholm, R. M. (1966/1977/1989). Theory of Knowledge (any of the three editions). (Englewood Cliffs, NJ: Prentice Hall).
    • Includes the sheep-in-the-field Gettier case, along with attempts to repair JTB.
  • Descartes, R. (1911 [1641]). The Philosophical Works of Descartes, Vol. I, (eds. and trans.) E. S. Haldane and G. R. T. Ross. (Cambridge: Cambridge University Press).
    • Contains the Meditations, which develops and applies Descartes’s conception of knowledge as needing to be infallible.
  • Feldman, R. (1974). “An Alleged Defect in Gettier Counterexamples.” Australasian Journal of Philosophy 52: 68-9. Reprinted in Moser (1986).
    • Presents a Gettier case in which, it is claimed, no false evidence is used by the believer.
  • Gettier, E. L. (1963). “Is Justified True Belief Knowledge?” Analysis 23: 121-3. Reprinted in Roth and Galis (1970) and Moser (1986).
  • Goldman, A. I. (1967). “A Causal Theory of Knowing.” Journal of Philosophy 64: 357-72. Reprinted, with revisions, in Roth and Galis (1970).
    • The initial presentation of a No Inappropriate Causality Proposal.
  • Goldman, A. I.. (1976). “Discrimination and Perceptual Knowledge.” Journal of Philosophy 73: 771-91. Reprinted in Pappas and Swain (1978).
    • Includes the fake-barns Gettier case.
  • Hetherington, S. (1996). Knowledge Puzzles: An Introduction to Epistemology (Boulder, Colo.: Westview Press).
    • Includes an introduction to the justified-true-belief analysis of knowledge, and to several responses to Gettier’s challenge.
  • Hetherington, S. (1998). “Actually Knowing.” Philosophical Quarterly 48: 453-69.
    • Includes a version of the Knowing Luckily Proposal.
  • Hetherington, S. (2001). Good Knowledge, Bad Knowledge: On Two Dogmas of Epistemology (Oxford: Oxford University Press).
    • Extends the Knowing Luckily Proposal, by explaining the idea of having qualitatively better or worse knowledge that p.
  • Jackson, F. (1998). From Metaphysics to Ethics: A Defence of Conceptual Analysis (Oxford: Oxford University Press).
    • Includes discussion of Gettier cases and the role of intuitions and conceptual analysis.
  • Kaplan, M. (1985). “It’s Not What You Know That Counts.” Journal of Philosophy 82: 350-63.
    • Argues that, given Gettier cases, knowledge is not what inquirers should seek.
  • Keefe, R. and Smith, P. (eds.) (1996). Vagueness: A Reader (Cambridge, Mass.: The MIT Press).
    • Contains both historical and contemporary analyses of the nature and significance of vagueness in general.
  • Kirkham, R. L. (1984). “Does the Gettier Problem Rest on a Mistake?” Mind 93: 501-13.
    • Argues that the usual interpretation of Gettier cases depends upon applying an extremely demanding conception of knowledge to the described situations, a conception with skeptical implications.
  • Lehrer, K. (1965). “Knowledge, Truth and Evidence.” Analysis 25: 168-75. Reprinted in Roth and Galis (1970).
    • Presents a No Core False Evidence Proposal.
  • Lehrer, K. (1971). “Why Not Scepticism?” The Philosophical Forum 2: 283-98. Reprinted in Pappas and Swain (1978).
    • Outlines a skepticism based on an Infallibility Proposal about knowledge.
  • Lehrer, K., and Paxson, T. D. (1969). “Knowledge: Undefeated Justified True Belief.” Journal of Philosophy 66: 225-37. Reprinted in Pappas and Swain (1978).
    • Presents a No Defeat Proposal.
  • Lewis, D. (1996). “Elusive Knowledge.” Australasian Journal of Philosophy 74: 549-67.
    • Includes a much-discussed response to Gettier cases which pays attention to nuances in how people discuss knowledge.
  • Lycan, W. G. (1977). “Evidence One Does not Possess.” Australasian Journal of Philosophy 55: 114-26.
    • Discusses potential complications in a No Defeat Proposal.
  • Lycan, W. G. (2006). “On the Gettier Problem Problem.” In Epistemology Futures, (ed.) S. Hetherington. (Oxford: Oxford University Press).
    • A recent overview of the history of attempted solutions to the Gettier problem.
  • Moser, P. K. (ed.) (1986). Empirical Knowledge: Readings in Contemporary Epistemology (Totowa, NJ: Rowman & Littlefield).
    • Contains some influential papers on Gettier cases.
  • Pappas, G. S., and Swain, M. (eds.) (1978). Essays on Knowledge and Justification (Ithaca, NY: Cornell University Press).
    • A key anthology, mainly on the Gettier problem.
  • Plato. Meno 97a-98b.
    • For what epistemologists generally regard as being an early version of JTB.
  • Plato. Theatetus 200d-210c.
    • For seminal philosophical discussion of some possible instances of JTB.
  • Roth, M. D., and Galis, L. (eds.) (1970). Knowing: Essays in the Analysis of Knowledge (New York: Random House).
    • Includes some noteworthy papers on Gettier’s challenge.
  • Shope, R. K. (1983). The Analysis of Knowing: A Decade of Research (Princeton: Princeton University Press).
    • Presents many Gettier cases; discusses several proposed analyses of them.
  • Skyrms, B. (1967). “The Explication of ‘X Knows that p’.” Journal of Philosophy 64: 373-89. Reprinted in Roth and Galis (1970).
    • Includes the pyromaniac Gettier case.
  • Unger, P. (1968). “An Analysis of Factual Knowledge.” Journal of Philosophy 65: 157-70. Reprinted in Roth and Galis (1970).
    • Presents an Eliminate Luck Proposal.
  • Unger, P. (1971). “A Defense of Skepticism.” The Philosophical Review 30: 198-218. Reprinted in Pappas and Swain (1978).
    • Defends and applies an Infallibility Proposal about knowledge.
  • Weinberg, J., Nichols, S., and Stich, S. (2001). “Normativity and Epistemic Intuitions.” Philosophical Topics 29: 429-60.
    • Includes empirical data on competing (‘intuitive’) reactions to Gettier cases.
  • Williamson, T. (2000). Knowledge and Its Limits (Oxford: Oxford University Press), Intro., ch. 1.
    • Includes arguments against responding to Gettier cases with an analysis of knowledge.

Author Information

Stephen Hetherington
Email: s.hetherington@unsw.edu.au
University of New South Wales
Australia

Egoism

In philosophy, egoism is the theory that one’s self is, or should be, the motivation and the goal of one’s own action. Egoism has two variants, descriptive or normative. The descriptive (or positive) variant conceives egoism as a factual description of human affairs. That is, people are motivated by their own interests and desires, and they cannot be described otherwise. The normative variant proposes that people should be so motivated, regardless of what presently motivates their behavior. Altruism is the opposite of egoism. The term “egoism” derives from “ego,” the Latin term for “I” in English. Egoism should be distinguished from egotism, which means a psychological overvaluation of one’s own importance, or of one’s own activities.

People act for many reasons; but for whom, or what, do or should they act—for themselves, for God, or for the good of the planet? Can an individual ever act only according to her own interests without regard for others’ interests. Conversely, can an individual ever truly act for others in complete disregard for her own interests? The answers will depend on an account of free will. Some philosophers argue that an individual has no choice in these matters, claiming that a person’s acts are determined by prior events which make illusory any belief in choice. Nevertheless, if an element of choice is permitted against the great causal impetus from nature, or God, it follows that a person possesses some control over her next action, and, that, therefore, one may inquire as to whether the individual does, or, should choose a self-or-other-oriented action. Morally speaking, one can ask whether the individual should pursue her own interests, or, whether she should reject self-interest and pursue others’ interest instead: to what extent are other-regarding acts morally praiseworthy compared to self-regarding acts?

Table of Contents

  1. Descriptive and Psychological Egoism
  2. Normative Egoism
    1. Rational Egoism
    2. Ethical Egoism
      1. Conditional Egoism
  3. Conclusion
  4. References and Further Reading

1. Descriptive and Psychological Egoism

The descriptive egoist’s theory is called “psychological egoism.” Psychological egoism describes human nature as being wholly self-centered and self-motivated. Examples of this explanation of human nature predate the formation of the theory, and, are found in writings such as that of British Victorian historian, Macaulay, and, in that of British Reformation political philosopher, Thomas Hobbes. To the question, “What proposition is there respecting human nature which is absolutely and universally true?”, Macaulay, replies, “We know of only one . . . that men always act from self-interest.” (Quoted in Garvin.) In Leviathan, Hobbes maintains that, “No man giveth but with intention of good to himself; because gift is voluntary; and of all voluntary acts the object to every man is his own pleasure.” In its strong form, psychological egoism asserts that people always act in their own interests, and, cannot but act in their own interests, even though they may disguise their motivation with references to helping others or doing their duty.

Opponents claim that psychological egoism renders ethics useless. However, this accusation assumes that ethical behavior is necessarily other-regarding, which opponents would first have to establish. Opponents may also exploit counterfactual evidence to criticize psychological egoism— surely, they claim, there is a host of evidence supporting altruistic or duty bound actions that cannot be said to engage the self-interest of the agent. However, what qualifies to be counted as apparent counterfactual evidence by opponents becomes an intricate and debatable issue. This is because, in response to their opponents, psychological egoists may attempt to shift the question away from outward appearances to ultimate motives of acting benevolently towards others; for example, they may claim that seemingly altruistic behavior (giving a stranger some money) necessarily does have a self-interested component. For example, if the individual were not to offer aid to a stranger, he or she may feel guilty or may look bad in front of a peer group.

On this point, psychological egoism’s validity turns on examining and analyzing moral motivation. But since motivation is inherently private and inaccessible to others (an agent could be lying to herself or to others about the original motive), the theory shifts from a theoretical description of human nature–one that can be put to observational testing–to an assumption about the inner workings of human nature: psychological egoism moves beyond the possibility of empirical verification and the possibility of empirical negation (since motives are private), and therefore it becomes what is termed a “closed theory.”

A closed theory is a theory that rejects competing theories on its own terms and is non-verifiable and non-falsifiable. If psychological egoism is reduced to an assumption concerning human nature and its hidden motives, then it follows that it is just as valid to hold a competing theory of human motivation such as psychological altruism.

Psychological altruism holds that all human action is necessarily other-centered, and other-motivated. One’s becoming a hermit (an apparently selfish act) can be reinterpreted through psychological altruism as an act of pure noble selflessness: a hermit is not selfishly hiding herself away, rather, what she is doing is not inflicting her potentially ungraceful actions or displeasing looks upon others. A parallel analysis of psychological altruism thus results in opposing conclusions to psychological egoism. However, psychological altruism is arguably just as closed as psychological egoism: with it one assumes that an agent’s inherently private and consequently unverifiable motives are altruistic. If both theories can be validly maintained, and if the choice between them becomes the flip of a coin, then their soundness must be questioned.

A weak version of psychological egoism accepts the possibility of altruistic or benevolent behavior, but maintains that, whenever a choice is made by an agent to act, the action is by definition one that the agent wants to do at that point. The action is self-serving, and is therefore sufficiently explained by the theory of psychological egoism. Let one assume that person A wants to help the poor; therefore, A is acting egoistically by actually wanting to help; again, if A ran into a burning building to save a kitten, it must be the case that A wanted or desired to save the kitten. However, defining all motivations as what an agent desires to do remains problematic: logically, the theory becomes tautologous and therefore unable to provide a useful, descriptive meaning of motivation because one is essentially making an arguably philosophically uninteresting claim that an agent is motivated to do what she is motivated to do. Besides which, if helping others is what A desires to do, then to what extent can A be continued to be called an egoist? A acts because that is what A does, and consideration of the ethical “ought” becomes immediately redundant. Consequently, opponents argue that psychological egoism is philosophically inadequate because it sidesteps the great nuances of motive. For example, one can argue that the psychological egoist’s notion of motive sidesteps the clashes that her theory has with the notion of duty, and, related social virtues such as honor, respect, and reputation, which fill the tomes of history and literature.

David Hume, in his Enquiry Concerning the Principles of Morals (Appendix II—Of Self Love), offers six rebuttals of what he calls the “selfish hypothesis,” an arguably archaic relative of psychological egoism. First, Hume argues that self-interest opposes moral sentiments that may engage one in concern for others, and, may motivate one’s actions for others. These moral sentiments include love, friendship, compassion, and gratitude. Second, psychological egoism attempts to reduce human motivation to a single cause, which is a ‘fruitless’ task—the “love of simplicity…has been the source of much false reasoning in philosophy.” Third, it is evident that animals act benevolently towards one another, and, if it is admitted that animals can act altruistically, then how can it be denied in humans? Fourth, the concepts we use to describe benevolent behavior cannot be meaningless; sometimes an agent obviously does not have a personal interest in the fortune of another, yet will wish her well. Any attempt to create an imaginary vested interest, as the psychological egoist will attempt, proves futile. Fifth, Hume asserts that we have prior motivations to self-interest; we may have, for example, a predisposition towards vanity, fame, or vengeance that transcends any benefit to the agent. Finally, Hume claims that even if the selfish hypothesis were true, there are a sufficient number of dispositions to generate a wide possibility of moral actions, allowing one person to be called vicious and another humane; and he claims that the latter is to be preferred over the former.

2. Normative Egoism

The second variant of egoism is normative in that it stipulates the agent ought to promote the self above other values. Herbert Spencer said, “Ethics has to recognize the truth, recognized in unethical thought, that egoism comes before altruism. The acts required for continued self-preservation, including the enjoyments of benefits achieved by such arts, are the first requisites to universal welfare. Unless each duly cares for himself, his care for all others is ended in death, and if each thus dies there remain no others to be cared for.” He was echoing a long history of the importance of self-regarding behavior that can be traced back to Aristotle’s theory of friendship in the Nichomachaean Ethics. In his theory, Aristotle argues that a man must befriend himself before he can befriend others. The general theory of normative egoism does not attempt to describe human nature directly, but asserts how people ought to behave. It comes in two general forms: rational egoism and ethical egoism.

a. Rational Egoism

Rational egoism claims that the promotion of one’s own interests is always in accordance with reason. The greatest and most provocative proponent of rational egoism is Ayn Rand, whose The Virtue of Selfishness outlines the logic and appeal of the theory. Rand argues that: first, properly defined, selfishness rejects the sacrificial ethics of the West’s Judaic-Christian heritage on the grounds that it is right for man to live his own life; and, Rand argues that, second, selfishness is a proper virtue to pursue. That being said, she rejects the “selfless selfishness” of irrationally acting individuals: “the actor must always be the beneficiary of his action and that man must act for his own rational self-interest.” To be ethically selfish thus entails a commitment to reason rather than to emotionally driven whims and instincts.

In the strong version of rational egoism defended by Rand, not only is it rational to pursue one’s own interests, it is irrational not to pursue them. In a weaker version, one may note that while it is rational to pursue one’s own interests, there may be occasions when not pursuing them is not necessarily irrational.

Critics of rational egoism may claim that reason may dictate that one’s interests should not govern one’s actions. The possibility of conflicting reasons in a society need not be evoked in this matter; one need only claim that reason may invoke an impartiality clause, in other words, a clause that demands that in a certain situation one’s interests should not be furthered. For example, consider a free-rider situation. In marking students’ papers, a teacher may argue that to offer inflated grades is to make her life easier, and, therefore, is in her self-interest: marking otherwise would incur negative feedback from students and having to spend time counseling on writing skills, and so on. It is even arguably foreseeable that inflating grades may never have negative consequences for anyone. The teacher could conceivably free-ride on the tougher marking of the rest of the department or university and not worry about the negative consequences of a diminished reputation to either. However, impartiality considerations demand an alternative course—it is not right to change grades to make life easier. Here self-interest conflicts with reason. Nonetheless, a Randian would reject the teacher’s free-riding being rational: since the teacher is employed to mark objectively and impartially in the first place, to do otherwise is to commit a fraud both against the employing institution and the student. (This is indeed an analogous situation explored in Rand’s The Fountainhead, in which the hero architect regrets having propped up a friend’s inabilities).

A simpler scenario may also be considered. Suppose that two men seek the hand of one woman, and they deduce that they should fight for her love. A critic may reason that the two men rationally claim that if one of them were vanquished, the other may enjoy the beloved. However, the solution ignores the woman’s right to choose between her suitors, and thus the men’s reasoning is flawed.

In a different scenario, game theory (emanating from John von Neumann’s and Oskar Morgenstern’s Theory of Games and Economic Behaviour, 1944) points to another possible logical error in rational egoism by offering an example in which the pursuit of self-interest results in both agents being made worse off.

This is famously described in the Prisoner’s Dilemma.

Prisoner B
Confess Don’t confess
_ 

Prisoner A

Confess 5,5 ½,10
Don’t Confess 10,½ 2,2

From the table, two criminals, A and B, face different sentences depending on whether they confess their guilt or not. Each prisoner does not know what his partner will choose and communication between the two prisoners is not permitted. There are no lawyers and presumably no humane interaction between the prisoners and their captors.

Rationally (i.e., from the point of view of the numbers involved), we can assume that both will want to minimize their sentences. Herein lies the rub – if both avoid confessing, they will serve 2 years each – a total of 4 years between them. If they both happen to confess, they each serve 5 years each, or 10 years between them.

However they both face a tantalizing option: if A confesses while his partner doesn’t confess, A can get away in 6 months leaving B to languish for 10 years (and the same is true for B): this would result in a collective total of 10.5 years served.

For the game, the optimal solution is assumed to be the lowest total years served, which would be both refusing to confess and each therefore serving 2 years each.
The probable outcome of the dilemma though is that both will confess in the desire to get off in 6 months, but therefore they will end up serving 10 years in total.
This is seen to be non-rational or sub-optimal for both prisoners as the total years served is not the best collective solution.

The Prisoner’s Dilemma offers a mathematical model as to why self-interested action could lead to a socially non-optimal equilibrium (in which the participants all end up in a worse scenario). To game theorists, many situations can be modeled in a similar way to the classic Prisoner’s Dilemma including issues of nuclear deterrence, environmental pollution, corporate advertising campaigns and even romantic dates.

Supporters identify a game “as any interaction between agents that is governed by a set of rules specifying the possible moves for each participant and a set of outcomes for each possible combination of moves.” They add: “One is hard put to find an example of social phenomenon that cannot be so described.” (Hargreaves-Heap and Varoufakis, p.1).

Nonetheless, it can be countered that the nature of the game artificially pre-empts other possibilities: the sentences are fixed not by the participants but by external force (the game masters), so the choices facing the agents are outside of their control. Although this may certainly be applied to the restricted choices facing the two prisoners or contestants in a game, it is not obvious that every-day life generates such limited and limiting choices. The prisoner’s dilemma is not to be repeated: so there are no further negotiations based on what the other side chose.

More importantly, games with such restricting options and results are entered into voluntarily and can be avoided (we can argue that the prisoners chose to engage in the game in that they chose to commit a crime and hence ran the possibility of being caught!). Outside of games, agents affect each other and the outcomes in many different ways and can hence vary the outcomes as they interact – in real life, communication involves altering the perception of how the world works, the values attached to different decisions, and hence what ought to be done and what potential consequences may arise.

In summary, even within the confines of the Prisoner’s Dilemma the assumptions that differing options be offered to each such that their self-interest works against the other can be challenged logically, ethically and judicially. Firstly, the collective outcomes of the game can be changed by the game master to produce a socially and individually optimal solution – the numbers can be altered. Secondly, presenting such a dilemma to the prisoners can be considered ethically and judicially questionable as the final sentence that each gets is dependent on what another party says, rather than on the guilt and deserved punished of the individual.

Interestingly, repeated games tested by psychologists and economists tend to present a range of solutions depending on the stakes and other rules, with Axelrod’s findings (The Evolution of Cooperation, 1984) indicating that egotistic action can work for mutual harmony under the principle of “tit for tat” – i.e., an understanding that giving something each creates a better outcome for both.

At a deeper level, some egoists may reject the possibility of fixed or absolute values that individuals acting selfishly and caught up in their own pursuits cannot see. Nietzsche, for instance, would counter that values are created by the individual and thereby do not stand independently of his or her self to be explained by another “authority”; similarly, St. Augustine would say “love, and do as you will”; neither of which may be helpful to the prisoners above but which may be of greater guidance for individuals in normal life.

Rand exhorts the application of reason to ethical situations, but a critic may reply that what is rational is not always the same as what is reasonable. The critic may emphasize the historicity of choice, that is, she may emphasize that one’s apparent choice is demarcated by, and dependent on, the particular language, culture of right and consequence and environmental circumstance in which an individual finds herself living: a Victorian English gentleman perceived a different moral sphere and consequently horizon of goals than an American frontiersman. This criticism may, however, turn on semantic or contextual nuances. The Randian may counter that what is rational is reasonable: for one can argue that rationality is governed as much by understanding the context (Sartre’s facticity is a highly useful term) as adhering to the laws of logic and of non-contradiction.

b. Ethical Egoism

Ethical egoism is the normative theory that the promotion of one’s own good is in accordance with morality. In the strong version, it is held that it is always moral to promote one’s own good, and it is never moral not to promote it. In the weak version, it is said that although it is always moral to promote one’s own good, it is not necessarily never moral to not. That is, there may be conditions in which the avoidance of personal interest may be a moral action.

In an imaginary construction of a world inhabited by a single being, it is possible that the pursuit of morality is the same as the pursuit of self-interest in that what is good for the agent is the same as what is in the agent’s interests. Arguably, there could never arise an occasion when the agent ought not to pursue self-interest in favor of another morality, unless he produces an alternative ethical system in which he ought to renounce his values in favor of an imaginary self, or, other entity such as the universe, or the agent’s God. Opponents of ethical egoism may claim, however, that although it is possible for this Robinson Crusoe type creature to lament previous choices as not conducive to self-interest (enjoying the pleasures of swimming all day, and not spending necessary time producing food), the mistake is not a moral mistake but a mistake of identifying self-interest. Presumably this lonely creature will begin to comprehend the distinctions between short, and long-term interests, and, that short-term pains can be countered by long-term gains.

In addition, opponents argue that even in a world inhabited by a single being, duties would still apply; (Kantian) duties are those actions that reason dictates ought to be pursued regardless of any gain, or loss to self or others. Further, the deontologist asserts the application of yet another moral sphere which ought to be pursued, namely, that of impartial duties. The problem with complicating the creature’s world with impartial duties, however, is in defining an impartial task in a purely subjective world. Impartiality, the ethical egoist may retort, could only exist where there are competing selves: otherwise, the attempt to be impartial in judging one’s actions is a redundant exercise. (However, the Cartesian rationalist could retort that need not be so, that a sentient being should act rationally, and reason will disclose what are the proper actions he should follow.)

If we move away from the imaginary construct of a single being’s world, ethical egoism comes under fire from more pertinent arguments. In complying with ethical egoism, the individual aims at her own greatest good. Ignoring a definition of the good for the present, it may justly be argued that pursuing one’s own greatest good can conflict with another’s pursuit, thus creating a situation of conflict. In a typical example, a young person may see his greatest good in murdering his rich uncle to inherit his millions. It is the rich uncle’s greatest good to continue enjoying his money, as he sees fit. According to detractors, conflict is an inherent problem of ethical egoism, and the model seemingly does not possess a conflict resolution system. With the additional premise of living in society, ethical egoism has much to respond to: obviously there are situations when two people’s greatest goods – the subjectively perceived working of their own self-interest – will conflict, and, a solution to such dilemmas is a necessary element of any theory attempting to provide an ethical system.

The ethical egoist contends that her theory, in fact, has resolutions to the conflict. The first resolution proceeds from a state of nature examination. If, in the wilderness, two people simultaneously come across the only source of drinkable water a potential dilemma arises if both make a simultaneous claim to it. With no recourse to arbitration they must either accept an equal share of the water, which would comply with rational egoism. (In other words, it is in the interest of both to share, for both may enjoy the water and each other’s company, and, if the water is inexhaustible, neither can gain from monopolizing the source.) But a critic may maintain that this solution is not necessarily in compliance with ethical egoism. Arguably, the critic continues, the two have no possible resolution, and must, therefore, fight for the water. This is often the line taken against egoism generally: that it results in insoluble conflict that implies, or necessitates a resort to force by one or both of the parties concerned. For the critic, the proffered resolution is, therefore, an acceptance of the ethical theory that “might is right;” that is, the critic maintains that the resolution accepts that the stronger will take possession and thereby gain proprietary rights.

However, ethical egoism does not have to logically result in a Darwinian struggle between the strong and the weak in which strength determines moral rectitude to resources or values. Indeed, the “realist” position may strike one as philosophically inadequate as that of psychological egoism, although popularly attractive. For example, instead of succumbing to insoluble conflict, the two people could cooperate (as rational egoism would require). Through cooperation, both agents would, thereby, mutually benefit from securing and sharing the resource. Against the critic’s pessimistic presumption that conflict is insoluble without recourse to victory, the ethical egoist can retort that reasoning people can recognize that their greatest interests are served more through cooperation than conflict. War is inherently costly, and, even the fighting beasts of the wild instinctively recognize its potential costs, and, have evolved conflict-avoiding strategies.

On the other hand, the ethical egoist can argue less benevolently, that in case one man reaches the desired resource first, he would then be able to take rightful control and possession of it – the second person cannot possess any right to it, except insofar as he may trade with its present owner. Of course, charitable considerations may motivate the owner to secure a share for the second comer, and economic considerations may prompt both to trade in those products that each can better produce or acquire: the one may guard the water supply from animals while the other hunts. Such would be a classical liberal reading of this situation, which considers the advance of property rights to be the obvious solution to apparently intractable conflicts over resources.

A second conflict-resolution stems from critics’ fears that ethical egoists could logically pursue their interests at the cost of others. Specifically, a critic may contend that personal gain logically cannot be in one’s best interest if it entails doing harm to another: doing harm to another would be to accept the principle that doing harm to another is ethical (that is, one would be equating “doing harm” with “one’s own best interests”), whereas, reflection shows that principle to be illogical on universalistic criteria. However, an ethical egoist may respond that in the case of the rich uncle and greedy nephew, for example, it is not the case that the nephew would be acting ethically by killing his uncle, and that for a critic to contend otherwise is to criticize personal gain from the separate ethical standpoint that condemns murder. In addition, the ethical egoist may respond by saying that these particular fears are based on a confusion resulting from conflating ethics (that is, self-interest) with personal gain; The ethical egoist may contend that if the nephew were to attempt to do harm for personal gain, that he would find that his uncle or others would or may be permitted to do harm in return. The argument that “I have a right to harm those who get in my way” is foiled by the argument that “others have a right to harm me should I get in the way.” That is, in the end, the nephew variously could see how harming another for personal gain would not be in his self-interest at all.

The critics’ fear is based on a misreading of ethical egoism, and is an attempt to subtly reinsert the “might is right” premise. Consequently, the ethical egoist is unfairly chastised on the basis of a straw-man argument. Ultimately, however, one comes to the conclusion reached in the discussion of the first resolution; that is, one must either accept the principle that might is right (which in most cases would be evidentially contrary to one’s best interest), or accept that cooperation with others is a more successful approach to improving one’s interests. Though interaction can either be violent or peaceful, an ethical egoist rejects violence as undermining the pursuit of self-interest.

A third conflict-resolution entails the insertion of rights as a standard. This resolution incorporates the conclusions of the first two resolutions by stating that there is an ethical framework that can logically be extrapolated from ethical egoism. However, the logical extrapolation is philosophically difficult (and, hence, intriguing) because ethical egoism is the theory that the promotion of one’s own self-interest is in accordance with morality whereas rights incorporate boundaries to behavior that reason or experience has shown to be contrary to the pursuit of self-interest. Although it is facile to argue that the greedy nephew does not have a right to claim his uncle’s money because it is not his but his uncle’s, and to claim that it is wrong to act aggressively against the person of another because that person has a legitimate right to live in peace (thus providing the substance of conflict-resolution for ethical egoism), the problem of expounding this theory for the ethical egoist lies in the intellectual arguments required to substantiate the claims for the existence of rights and then, once substantiated, connecting them to the pursuit of an individual’s greatest good.

i. Conditional Egoism

A final type of ethical egoism is conditional egoism. This is the theory that egoism is morally acceptable or right if it leads to morally acceptable ends. For example, self-interested behavior can be accepted and applauded if it leads to the betterment of society as a whole; the ultimate test rests not on acting self-interestedly but on whether society is improved as a result. A famous example of this kind of thinking is from Adam Smith’s The Wealth of Nations, in which Smith outlines the public benefits resulting from self-interested behavior (borrowing a theory from the earlier writer Bernard Mandeville and his Fable of the Bees). Smith writes: “It is not from the benevolence of the butcher, the brewer, or the baker, that we expect our dinner, but from their regard to their own interest. We address ourselves, not to their humanity but to their self-love, and never talk to them of our own necessities but of their advantages” (Wealth of Nations, I.ii.2).

As Smith himself admits, if egoistic behavior lends itself to society’s detriment, then it ought to be stopped. The theory of conditional egoism is thus dependent on a superior moral goal such as an action being in the common interest, that is, the public good. The grave problem facing conditional egoists is according to what standard ought the limits on egoism be placed? In other words, who or what is to define the nature of the public good? If it is a person who is set up as the great arbitrator of the public, then it is uncertain if there can be a guarantee that he or she is embodying or arguing for an impartial standard of the good and not for his or her own particular interest. If it is an impartial standard that sets the limit, one that can be indicated by any reasonable person, then it behooves the philosopher to explain the nature of that standard.

In most “public good” theories, the assumption is made that there exists a collective entity over and above the individuals that comprise it: race, nation, religion, and state being common examples. Collectivists then attempt to explain what in particular should be held as the interest of the group. Inevitably, however, conflict arises, and resolutions have to be produced. Some seek refuge in claiming the need for perpetual dialogue (rather than exchange), but others return to the need for force to settle apparently insoluble conflicts; nonetheless, the various shades of egoism pose a valid and appealing criticism of collectivism: that individuals act; groups don’t. Karl Popper’s works on methodological individualism are a useful source in criticizing collectivist thinking (for example, Popper’s The Poverty of Historicism).

3. Conclusion

Psychological egoism is fraught with the logical problem of collapsing into a closed theory, and hence being a mere assumption that could validly be accepted as describing human motivation and morality, or be rejected in favor of a psychological altruism (or even a psychological ecologism in which all actions necessarily benefit the agent’s environment).

Normative egoism, however, engages in a philosophically more intriguing dialogue with protractors. Normative egoists argue from various positions that an individual ought to pursue his or her own interest. These may be summarized as follows: the individual is best placed to know what defines that interest, or it is thoroughly the individual’s right to pursue that interest. The latter is divided into two sub-arguments: either because it is the reasonable/rational course of action, or because it is the best guarantee of maximizing social welfare.

Egoists also stress that the implication of critics’ condemnation of self-serving or self-motivating action is the call to renounce freedom in favor of control by others, who then are empowered to choose on their behalf. This entails an acceptance of Aristotle’s political maxim that “some are born to rule and others are born to be ruled,” also read as “individuals are generally too stupid to act either in their own best interests or in the interests of those who would wish to command them.” Rejecting both descriptions (the first as being arrogant and empirically questionable and the second as unmasking the truly immoral ambition lurking behind attacks on selfishness), egoists ironically can be read as moral and political egalitarians glorifying the dignity of each and every person to pursue life as they see fit. Mistakes in securing the proper means and appropriate ends will be made by individuals, but if they are morally responsible for their actions they not only will bear the consequences but also the opportunity for adapting and learning. When that responsibility is removed and individuals are exhorted to live for an alternative cause, their incentive and joy in improving their own welfare is concomitantly diminished, which will, for many egoists, ultimately foster an uncritical, unthinking mass of obedient bodies vulnerable to political manipulation: when the ego is trammeled, so too is freedom ensnared, and without freedom ethics is removed from individual to collective or government responsibility.

Egoists also reject the insight into personal motivation that others – whether they are psychological or sociological “experts” – declare they possess, and which they may accordingly fine-tune or encourage to “better ends.” Why an individual acts remains an intrinsically personal and private act that is the stuff of memoirs and literature, but how they should act releases our investigations into ethics of what shall define the good for the self-regarding agent.

4. References and Further Reading

  • Aristotle. Nichomachaean Ethics. Various translations available. Book IX being most pertinent.
  • Baier, Kurt. “Egoisim” in A Companion to Ethics. Ed. Peter Singer. Blackwell: Oxford. 1990.
  • Feinberg, Joel. “Psychological Egoism” in Ethics: History, Theory, and Contemporary Issues. Oxford University Press: Oxford. 1998.
  • Garvin, Lucius. A Modern Introduction to Ethics. Houghton Mifflin: Cambrirdge, MA, 1953.
  • Hargreaves-Heap, Shaun P. and Yanis Varoufakis. Game Theory: A Critical Introduction. Routledge: London, 1995.
  • Holmes, S.J. Life and Morals. MacMillan: London, 1948.
  • Hospers, John. “Ethical Egoism,” in An Introduction to Philosophical Analysis. 2nd Edition. Routledge, Kegan Paul: London, 1967.
  • Hume, David. Enquiry Concerning the Principles of Morals.
  • Peikoff, Leonard. Objectivism: The Philosophy of Ayn Rand. Meridian: London, 1993.
  • Popper, Karl. Poverty of Historicism. Routledge & Kegan Paul: London, 1976.
  • Rachels, James. Elements of Moral Philosophy. Mcgraw-Hill: London, 1995.
  • Rand, Ayn. Virtue of Selfishness. Signet: New York, 1964.
  • Rand, Ayn. The Fountainhead. Harper Collins: New York. 1961.
  • Sidgwick, Henry. The Methods of Ethics. MacMillan: London, 1901.
  • Smith, Adam. Wealth of Nations.
  • Smith, Adam. Theory of Moral Sentiments.

Author Information

Alexander Moseley
Email: alexandermoseley@icloud.com
United Kingdom

Plato: Theaetetus

platoThe Theaetetus is one of the middle to later dialogues of the ancient Greek philosopher Plato. Plato was Socrates’ student and Aristotle’s teacher. As in most of Plato’s dialogues, the main character is Socrates. In the Theaetetus, Socrates converses with Theaetetus, a boy, and Theodorus, his mathematics teacher. Although this dialogue features Plato’s most sustained discussion on the concept of knowledge, it fails to yield an adequate definition of knowledge, thus ending inconclusively. Despite this lack of a positive definition, the Theaetetus has been the source of endless scholarly fascination. In addition to its main emphasis on the nature of cognition, it considers a wide variety of philosophical issues: the Socratic Dialectic, Heraclitean Flux, Protagorean Relativism, rhetorical versus philosophical life, and false judgment. These issues are also discussed in other Platonic dialogues.

The Theaetetus poses a special difficulty for Plato scholars trying to interpret the dialogue: in light of Plato’s metaphysical and epistemological commitments, expounded in earlier dialogues such as the Republic, the Forms are the only suitable objects of knowledge, and yet the Theaetetus fails explicitly to acknowledge them. Might this failure mean that Plato has lost faith in the Forms, as the Parmenides suggests, or is this omission of the Forms a calculated move on Plato’s part to show that knowledge is indeed indefinable without a proper acknowledgement of the Forms? Scholars have also been puzzled by the picture of the philosopher painted by Socrates in the digression: there the philosopher emerges as a man indifferent to the affairs of the city and concerned solely with “becoming as much godlike as possible.” What does this version of the philosophic life have to do with a city-bound Socrates whose chief concern was to benefit his fellow citizens? These are only two of the questions that have preoccupied Plato scholars in their attempt to interpret this highly complex dialogue.

Table of Contents

  1. The Characters of Plato’s Theaetetus
  2. Date of Composition
  3. Outline of the Dialogue
    1. Knowledge as Arts and Sciences (146c – 151d)
    2. Knowledge as Perception (151d – 186e)
    3. Knowledge as True Judgment (187a – 201c)
    4. Knowledge as True Judgment with Logos (201c – 210d)
  4. References and Further Reading
    1. General Commentaries
    2. Knowledge as Arts and Sciences
    3. Knowledge as Perception
    4. Knowledge as True Judgment
    5. Knowledge as True Judgment with Logos

1. The Characters of Plato’s Theaetetus

In the Theaetetus, Socrates converses with two mathematicians, Theaetetus and Theodorus. Theaetetus is portrayed as a physically ugly but extraordinarily astute boy, and Theodorus is his mathematics teacher. According to the Oxford Classical Dictionary, Theaetetus lived in Athens (c. 415–369 BCE) and was a renowned geometer. He is credited with the theory of irrational lines, a contribution of fundamental importance for Euclid’s Elements X. He also worked out constructions of the regular solids like those in Elements XIII. Theodorus lived in Cyrene in the late fifth century BCE. In the dialogue, he is portrayed as a friend of Protagoras, well-aware of the Sophist’s teachings, and quite unfamiliar with the intricacies of Socratic Dialectic. As far as his scientific work is concerned, the only existing source is Plato’s Theaetetus: In the dialogue, Theodorus is portrayed as having shown the irrationality of the square roots of 3, 5, 6, 7, … ,17.  Irrational numbers are numbers equal to an ordinary fraction, a fraction that has whole numbers in its numerator and denominator. The passage has been interpreted in many different ways, and its historical accuracy has been disputed.

2. Date of Composition

The introduction of the dialogue informs the reader that Theaetetus is being carried home dying of wounds and dysentery after a battle near Corinth. There are two known battles that are possibly the one referred to in the dialogue: the first one took place at about 394 BCE, and the other occurred at around 369 BCE. Scholars commonly prefer the battle of 369 BCE as the battle referred to in the dialogue. The dialogue is a tribute to Theaetetus’ memory and was probably written shortly after his death, which most scholars date around 369 – 367 BCE. It is uncontroversial that the Theaetetus, the Sophist and the Statesman were written in that order. The primary evidence for this order is that the Sophist begins with a reference back to the Theaetetus and a reference forward to the Statesman. In addition, there is a number of thematic continuities between the Theaetetus and the Sophist (for instance, the concept of “false belief,” and the notions of “being,” “sameness,” and “difference”) and between the Sophist and the Statesman (such as the use of the method of “collection and division”).

3. Outline of the Dialogue

The dialogue examines the question, “What is knowledge (episteme)?” For heuristic purposes, it can be divided into four sections, in which a different answer to this question is examined: (i) Knowledge is the various arts and sciences; (ii) Knowledge is perception; (iii) Knowledge is true judgment; and (iv) Knowledge is true judgment with an “account” (Logos). The dialogue itself is prefaced by a conversation between Terpsion and Euclid, in the latter’s house in Megara. From this conversation we learn about Theaetetus’ wounds and impending death and about Socrates’ prophecy regarding the future of the young man. In addition, we learn about the dialogue’s recording method: Euclid had heard the entire conversation from Socrates, he then wrote down his memoirs of the conversation, while checking the details with Socrates on subsequent visits to Athens. Euclid’s role did not consist simply in writing down Socrates’ memorized version of the actual dialogue; he also chose to cast it in direct dialogue, as opposed to narrative form, leaving out such connecting sentences as “and I said” and “he agreed.” Finally, Euclid’s product is read for him and for Terpsion by a slave. This is the only Platonic dialogue which is being read by a slave.

a. Knowledge as Arts and Sciences (146c – 151d)

To Socrates’ question, “What is knowledge?,” Theaetetus responds by giving a list of examples of knowledge, namely geometry, astronomy, harmonics, and arithmetic, as well as the crafts or skills (technai) of cobbling and so on (146c–d). These he calls “knowledges,” presumably thinking of them as the various branches of knowledge. As Socrates correctly observes, Theaetetus’ answer provides a list of instances of things of which there is knowledge. Socrates states three complaints against this response: (a) what he is interested in is the one thing common to all the various examples of knowledge, not a multiplicity of different kinds of knowledge; (b) Theaetetus’ response is circular, because even if one knows that, say, cobbling is “knowledge of how to make shoes,” one cannot know what cobbling is, unless one knows what knowledge is; (c) The youth’s answer is needlessly long-winded, a short formula is all that is required. The definition of clay as “earth mixed with water,” which is also evoked by Aristotle in Topics 127a, is representative of the type of definition needed here. Theaetetus offers the following mathematical example to show that he understands Socrates’ definitional requirements: the geometrical equivalents of what are now called “surds” could be grouped in one class and given a single name (“powers”) by dint of their common characteristic of irrationality or incommensurability. When he tries to apply the same method to the question about knowledge, however, Theaetetus does not know how to proceed. In a justly celebrated image, Socrates, like an intellectual midwife, undertakes to assist him in giving birth to his ideas and in judging whether or not they are legitimate children. Socrates has the ability to determine who is mentally pregnant, by knowing how to use “medicine” and “incantations” to induce mental labor. Socrates also has the ability to tell in whose company a young man may benefit academically. This latter skill is not one that ordinary midwives seem to have, but Socrates insists that they are the most reliable matchmakers, and in order to prove his assertion he draws upon an agricultural analogy: just as the farmer not only tends and harvests the fruits of the earth, but also knows which kind of earth is best for planting various kinds of seed, so the midwife’s art should include a knowledge of both “sowing” and “harvesting.” But unlike common midwives, Socrates’ art deals with the soul and enables him to distinguish and embrace true beliefs rather than false beliefs. By combining the technê of the midwife with that of the farmer, Socrates provides in the Theaetetus the most celebrated analogy for his own philosophical practice.

b. Knowledge as Perception (151d – 186e)

Encouraged by Socrates’ maieutic intervention, Theaetetus comes up with a serious proposal for a definition: knowledge is perception. Satisfied with at least the form of this definition, Socrates immediately converts it into Protagoras’ homo-mensura doctrine, “Man is the measure of all things, of the things that are that [or how] they are, of the things that are not that [or how] they are not.” The Protagorean thesis underscores the alleged fact that perception is not only an infallible but also the sole form of cognition, thereby bringing out the implicit assumptions of Theaetetus’ general definition. Socrates effects the complete identity between knowledge and perception by bringing together two theses: (a) the interpretation of Protagoras’ doctrine as meaning “how things appear to an individual is how they are for that individual” (e.g., “if the wind appears cold to X, then it is cold for X”); and (b) the equivalence of “Y appears F to X” with “X perceives Y as F” (e.g., “the wind appears cold to Socrates” with “Socrates perceives the wind as cold”). His next move is to build the ontological foundation of a world that guarantees perceptual infallibility. For that, Socrates turns to the Heraclitean postulate of Radical Flux, which he attributes to Protagoras as his Secret Doctrine. Nearly all commentators acknowledge that Protagoras’ secret teaching is unlikely to be a historically accurate representation of either Protagoras’ ontological commitments or Heraclitus’ Flux doctrine. The notion of Universal Flux makes every visual event—for example the visual perception of whiteness—the private and unique product of interaction between an individual’s eyes and an external motion. Later this privacy is explained with the metaphor of the perceiver and the perceived object as parents birthing a twin offspring, the object’s whiteness and the subject’s corresponding perception of it. Both parents and offspring are unique and unrepeatable: there can be no other, identical interaction between either the same parents or different parents able to produce the same offspring. No two perceptions can thus ever be in conflict with each other, and no one can ever refute anyone else’s perceptual judgments, since these are the products of instantaneous perceptual relations, obtaining between ever-changing perceiving subjects and ever-changing perceived objects. Although the assimilation of Protagorean Relativism to Theaetetus’ definition requires the application of the doctrine to Perceptual Relativism—which explains Socrates’ extensive focus on the mechanics of perception—one should bear in mind that the man-as-measure thesis is broader in scope, encompassing all judgments, especially judgments concerning values, such as “the just” and “the good,” and not just narrowly sensory impressions. Socrates launches a critique against both interpretations of Protagoreanism, beginning with its broad—moral and epistemological—dimensions, and concluding with its narrow, perceptual aspects.

Socrates attacks broad Protagoreanism from within the standpoint afforded him by three main arguments. First, Socrates asks how, if people are each a measure of their own truth, some, among whom is Protagoras himself, can be wiser than others. The same argument appears in Cratylus 385e–386d as a sufficient refutation of the homo-mensura doctrine. The Sophists’ imagined answer evinces a new conceptualization of wisdom: the wisdom of a teacher like Protagoras has nothing to do with truth, instead it lies in the fact that he can better the way things appear to other people, just as the expert doctor makes the patient feel well by making his food taste sweet rather than bitter, the farmer restores health to sickly plants by making them feel better, and the educator “changes a worse state into a better state” by means of words (167a).

The second critique of Protagoras is the famous self-refutation argument. It is essentially a two-pronged argument: the first part revolves around false beliefs, while the second part, which builds on the findings of the first, threatens the validity of the man-as-measure doctrine. The former can be sketched as follows: (1) many people believe that there are false beliefs; therefore, (2) if all beliefs are true, there are [per (1)] false beliefs; (3) if not all beliefs are true, there are false beliefs; (4) therefore, either way, there are false beliefs (169d–170c). The existence of false beliefs is inconsistent with the homo-mensura doctrine, and hence, if there are false beliefs, Protagoras’ “truth” is false. But since the homo-mensura doctrine proclaims that all beliefs are true, if there are false beliefs, then the doctrine is manifestly untenable. The latter part of Socrates’ second critique is much bolder—being called by Socrates “the most subtle argument”—as it aims to undermine Protagoras’ own commitment to relativism from within the relativist framework itself (170e–171c). At the beginning of this critique Socrates asserts that, according to the doctrine under attack, if you believe something to be the case but thousands disagree with you about it, that thing is true for you but false for the thousands. Then he wonders what the case for Protagoras himself is. If not even he believed that man is the measure, and the many did not either (as indeed they do not), this “truth” that he wrote about is true for no one. If, on the other hand, he himself believed it, but the masses do not agree, the extent to which those who do not think so exceed those who do, to that same extent it is not so more than it is so. Subsequently, Socrates adds his “most subtle” point: Protagoras agrees, regarding his own view, that the opinion of those who think he is wrong is true, since he agrees that everybody believes things that are so. On the basis of this, he would have to agree that his own view is false. On the other hand, the others do not agree that they are wrong, and Protagoras is bound to agree, on the basis of his own doctrine, that their belief is true. The conclusion, Socrates states, inevitably undermines the validity of the Protagorean thesis: if Protagoras’ opponents think that their disbelief in the homo-mensura doctrine is true and Protagoras himself must grant the veracity of that belief, then the truth of the Protagorean theory is disputed by everyone, including Protagoras himself.

In the famous digression (172a–177c), which separates the second from the third argument against broad Protagoreanism, Socrates sets up a dichotomy between the judicial and the philosophical realm: those thought of as worldly experts in issues of justice are blind followers of legal practicalities, while the philosophical mind, being unrestricted by temporal or spatial limitations, is free to investigate the true essence of justice. Civic justice is concerned with the here-and-now and presupposes a mechanical absorption of rules and regulations, whereas philosophical examination leads to an understanding of justice as an absolute, non-relativistic value. This dichotomy between temporal and a-temporal justice rests on a more fundamental conceptual opposition between a civic morality and a godlike distancing from civic preoccupations. Godlikeness, Socrates contends, requires a certain degree of withdrawal from earthly affairs and an attempt to emulate divine intelligence and morality. The otherworldliness of the digression has attracted the attention of, among others, Aristotle, in Nicomachean Ethics X 7, and Plotinus, who in Enneads I 2, offers an extended commentary of the text.

In his third argument against broad Protagoreanism, Socrates exposes the flawed nature of Protagoras’ definition of expertise, as a skill that points out what is beneficial, by contrasting sensible properties—such as hot, which may indeed be immune to interpersonal correction—and values, like the good and the beneficial, whose essence is independent from individual appearances. The reason for this, Socrates argues, is that the content of value-judgments is properly assessed by reference to how things will turn out in the future. Experts are thus people who have the capacity to foresee the future effects of present causes. One may be an infallible judge of whether one is hot now, but only the expert physician is able accurately to tell today whether one will be feverish tomorrow. Thus the predictive powers of expertise cast the last blow on the moral and epistemological dimensions of Protagorean Relativism.

In order to attack narrow Protagoreanism, which fully identifies knowledge with perception, Socrates proposes to investigate the doctrine’s Heraclitean underpinnings. The question he now poses is: how radical does the Flux to which the Heracliteans are committed to must be in order for the definition of knowledge as perception to emerge as coherent and plausible? His answer is that the nature of Flux that sanctions Theaetetus’ account must be very radical, indeed too radical for the definition itself to be either expressible or defensible. As we saw earlier, the Secret Doctrine postulated two kinds of motion: the parents of the perceptual event undergo qualitative change, while its twin offspring undergoes locomotive change. To the question whether the Heracliteans will grant that everything undergoes both kinds of change, Socrates replies in the affirmative because, were that not the case, both change and stability would be observed in the Heraclitean world of Flux. If then everything is characterized by all kinds of change at all times, what can we say about anything? The answer is “nothing” because the referents of our discourse would be constantly shifting, and thus we would be deprived of the ability to formulate any words at all about anything. Consequently, Theaetetus’ identification of knowledge with perception is deeply problematic because no single act can properly be called “perception” rather than “non perception,” and the definiendum is left with no definiens.

After Socrates has shown that narrow Protagoreanism, from within the ontological framework of radical Heracliteanism, is untenable, he proceeds to reveal the inherent faultiness of Theaetetus’ definition of knowledge as perception. In his final and most decisive argument, Socrates makes the point that perhaps the most basic thought one can have about two perceptible things, say a color and a sound, is that they both “are.” This kind of thought goes beyond the capacity of any one sense: sight cannot assess the “being” of sound, nor can hearing assess that of color. Among these “common” categories, i.e., categories to which no single sensual organ can afford access, Socrates includes “same,” “different,” “one,” and “two,” but also values, such as “fair” and “foul.” All of these are ascertained by the soul through its own resources, with no recourse to the senses. Theaetetus adds that the soul “seems to be making a calculation within itself of past and present in relation to future” (186b). This remark ties in with Socrates’ earlier attribution to expertise of the ability to predict the future outcome of present occurrences. But it also transcends that assertion in the sense that now a single unified entity, the soul, is given cognitive supremacy, in some cases with the assistance of the senses whereas in other cases the soul “itself by itself.” Perception is thus shown to be an inadequate candidate for knowledge, and the discussion needs to foreground the activity of the soul when “it is busying itself over the things-which-are” (187a). The name of that activity is judging, and it is to this that the second part of the conversation now turns.

c. Knowledge as True Judgment (187a – 201c)

While true judgment, as the definiens of knowledge, is the ostensible topic of the discussants’ new round of conversation, the de facto topic turns out to be false judgment. Judgment, as the soul’s internal reasoning function, is introduced into the discussion at this juncture, which leads Theaetetus to the formulation of the identification of knowledge with true judgment. But Socrates contends that one cannot make proper sense of the notion of “true judgment,” unless one can explain what a false judgment is, a topic that also emerges in such dialogues as Euthydemus, Cratylus, Sophist, Philebus, and Timaeus. In order to examine the meaning of “false judgment,” he articulates five essentially abortive ways of looking at it: (a) false judgment as “mistaking one thing for another” (188a–c); (b) false judgment as “thinking what is not” (188c–189b); (c) false judgment as “other-judgment” (189b–191a); (d) false judgment as the inappropriate linkage of a perception to a memory – the mind as a wax tablet (191a–196c); and (e) potential and actual knowledge – the mind as an aviary (196d–200c).

The impossibility of false judgment as “mistaking one thing for another” is demonstrated by the apparent plausibility of the following perceptual claim: one cannot judge falsely that one person is another person, whether one knows one of them, or both of them, or neither one nor the other. The argument concerning false judgment as “thinking what is not” rests on an analogy between sense-perception and judgment: if one hears or feels something, there must be something which one hears or feels. Likewise, if one judges something, there must be something that one judges. Hence, one cannot judge “what is not,” for one’s judgment would in that case have no object, one would judge nothing, and so would make no judgment at all. This then cannot be a proper account of false judgment. The interlocutors’ failure prompts a third attempt at solving the problem: perhaps, Socrates suggests, false judgment occurs “when a man, in place of one of the things that are, has substituted in his thought another of the things that are and asserts that it is. In this way, he is always judging something which is, but judges one thing in place of another; and having missed the thing which was the object of his consideration, he might fairly be called one who judges falsely” (189c). False judgment then is not concerned with what-is-not, but with interchanging one of the things-which-are with some other of the things-which-are, for example beautiful with ugly, just with unjust, odd with even, and cow with horse. The absurdity of this substitution is reinforced by Socrates’ definition of judgment as the final stage of the mind’s conversing with itself. How is it possible, then, for one to conclude one’s silent, internal dialogue with the preposterous equation of two mutually exclusive attributes, and actually to say to oneself, “an odd number is even,” or “oddness is evenness”?

The next attempt at explaining false judgment invokes the mental acts of remembering and forgetting and the ways in which they are implicated in perceptual events. Imagine the mind as a wax block, Socrates asks Theaetetus, on which we stamp what we perceive or conceive. Whatever is impressed upon the wax we remember and know, so long as the image remains in the wax; whatever is obliterated or cannot be impressed, we forget and do not know (191d-e). False judgment consists in matching the perception to the wrong imprint, e.g., seeing at a distance two men, both of whom we know, we may, in fitting the perceptions to the memory imprints, transpose them; or we may match the sight of a man we know to the memory imprint of another man we know, when we only perceive one of them. Theaetetus accepts this model enthusiastically but Socrates dismisses it because it leaves open the possibility of confusing unperceived concepts, such as numbers. One may wrongly think that 7+5 = 11, and since 7+5 = 12, this amounts to thinking that 12 is 11. Thus arithmetical errors call for the positing of a more comprehensive theoretical account of false judgment.

Socrates’ next explanatory model, the aviary, is meant to address this particular kind of error. What Aristotle later called a distinction between potentiality and actuality becomes the conceptual foundation of this model. Socrates invites us to think of the mind as an aviary full of birds of all sorts. The owner possesses them, in the sense that he has the ability to enter the aviary and catch them, but does not have them, unless he literally has them in his hands. The birds are pieces of knowledge, to hand them over to someone else is to teach, to stock the aviary is to learn, to catch a particular bird is to remember a thing once learned and thus potentially known. The possibility of false judgment emerges when one enters the aviary in order to catch, say, a pigeon but instead catches, say, a ring-dove. To use an arithmetical example, one who has learned the numbers knows, in the sense that he possesses the knowledge of, both 11 and 12. If, when asked what is 7+5, one replies 11, one has hunted in one’s memory for 12 but has activated instead one’s knowledge of 11. Although the aviary’s distinction between potential and actual knowledge improves our understanding of the nature of episteme, it is soon rejected by Socrates on the grounds that it explains false judgment as “the interchange of pieces of knowledge” (199c). Even if one, following Theaetetus’ suggestion, were willing to place in the aviary not only pieces of knowledge but also pieces of ignorance—thereby making false judgment be the apprehension of a piece of ignorance—the question of false judgment would not be answered satisfactorily; for in that case, as Socrates says, the man who catches a piece of ignorance would still believe that he has caught a piece of knowledge, and therefore would behave as if he knew. To go back to the arithmetical example mentioned earlier, Theaetetus suggests that the mistaking of 11 for 12 happens because the man making the judgment mistakes a piece of ignorance for a piece of knowledge but acts as if he has activated his capacity for knowing. The problem is, as Socrates says, that we would need to posit another aviary to explain how the judgment-maker mistakes a piece of ignorance for a piece of knowledge.

Socrates attributes their failure to explain false judgment to their attempting to do so before they have settled the question of the nature of knowledge. Theaetetus repeats his definition of knowledge as true judgment but Socrates rejects it by means of the following argument: suppose, he says, the members of a jury are “justly persuaded of some matter, which only an eye-witness could know and which cannot otherwise be known; suppose they come to their decision upon hearsay, forming a true judgment. Hence, they have decided the case without knowledge, but, granted they did their job well, they were correctly persuaded” (201b-c). This argument shows that forming a true opinion about something by means of persuasion is different from knowing it by an appeal to the only method by means of which it can be known—in this case by seeing it—and thus knowledge and true judgment cannot be the same. After the failure of this attempt, Socrates and Theaetetus proceed to their last attempt to define knowledge.

d. Knowledge as True Judgment with Logos (201c – 210d)

Theaetetus remembers having heard that knowledge is true judgment accompanied by Logos (account), adding that only that which has Logos can be known. Since Theaetetus remembers no more, Socrates decides to help by offering a relevant theory that he once heard.

According to the Dream Theory (201d-206b), the world is composed of complexes and their elements. Complexes have Logos, while elements have none, but can only be named. It is not even possible to say of an element that “it is” or “it is not,” because adding Being or non-Being to it would be tantamount to making it a complex. Elements cannot be accounted for or known, but are perceptible. Complexes, on the contrary, can be known because one can have a true belief about them and give an account of them, which is “essentially a complex of names” (202b).

After Theaetetus concedes that this is the theory he has in mind, he and Socrates proceed to examine it. In order to pinpoint the first problematic feature of the theory, Socrates uses the example of letters and syllables: the Logos of the syllable “so” – the first syllable of Socrates’ name – is “s and o”; but one cannot give a similar Logos of the syllable’s elements, namely of “s” and “o,” since they are mere noises. In that case, Socrates wonders, how can a complex of unknowable elements be itself knowable? For if the complex is simply the sum of its elements, then the knowledge of it is predicated on knowledge of its elements, which is impossible; if, on the other hand, the complex is a “single form” produced out of the collocation of its elements, it will still be an indefinable simple. The only reasonable thing to say then is that the elements are much more clearly known than the complexes.

Now, turning to the fourth definition of knowledge as true judgment accompanied by Logos, Socrates wishes to examine the meaning of the term Logos, and comes up with three possible definitions. First, giving an account of something is “making one’s thought apparent vocally by means of words and verbal expressions” (206c). The problem with this definition is that Logos becomes “a thing that everyone is able to do more or less readily,” unless one is deaf or dumb, so that anyone with a true opinion would have knowledge as well. Secondly, to give an account of a thing is to enumerate all its elements (207a). Hesiod said that a wagon contains a hundred timbers. If asked what a wagon is, the average person will most probably say, “wheels, axle, body, rails, yoke.” But that would be ridiculous, Socrates says, because it would be the same as giving the syllables of a name to someone’s asking for an account of it. The ability to do that does not preclude the possibility that a person identifies now correctly and now incorrectly the elements of the same syllable in different contexts. Finally, giving an account is defined as “being able to tell some mark by which the object you are asked about differs from all other things” (208c). As an example, Socrates uses the definition of the sun as the brightest of the heavenly bodies that circle the earth. But here again, the definition of knowledge as true judgment with Logos is not immune to criticism. For if someone, who is asked to tell what distinguishes, say, Theaetetus, a man of whom he has a correct judgment, from all other things, were to say that he is a man, and has a nose, mouth, eyes, and so on, his account would not help to distinguish Theaetetus from all other men. But if he had not already in his mind the means of differentiating Theaetetus from everyone else, he could not judge correctly who Theaetetus was and could not recognize him the next time he saw him. So to add Logos in this sense to true judgment is meaningless, because Logos is already part of true judgment, and so cannot itself be a guarantee of knowledge. To say that Logos is knowledge of the difference does not solve the problem, since the definition of knowledge as “true judgment plus knowledge of the difference” begs the question of what knowledge is.

The definition of knowledge as “true judgment plus Logos” cannot be sustained on any of the three interpretations of the term Logos. Theaetetus has nothing else to say, and the dialogue ends inconclusively. Its achievement, according to Socrates, has been to rid Theaetetus of several false beliefs so that “if ever in the future [he] should attempt to conceive or should succeed in conceiving other theories, they will be better ones as the result of this enquiry” (210b–c).

Despite its failure to produce a viable definition of knowledge, the Theaetetus has exerted considerable influence on modern philosophical thought. Socrates’ blurring of the distinction between sanity and madness in his examination of knowledge as perception was picked up in the first of Descartes’ Meditations (1641); echoes of Protagorean Relativism have appeared in important works of modern philosophy, such as Quine’s Ontological Relativity and Other Essays (1969) and Kuhn’s The Structure of Scientific Revolutions (1970); In Siris: A Chain of Philosophical Reflexions and Inquiries Concerning the Virtues of Tar-Water (1744), Bishop Berkeley thought that the dialogue anticipated the central tenets of his own theory of knowledge; in Studies in Humanism (1907), the English pragmatist F.C.S. Schiller saw in the section 166a ff. the pragmatist account of truth, first expounded and then condemned; and L. Wittgenstein, in Philosophical Investigations (1953), found in the passage 201d–202b the seed of his Logical Atomism, espoused also by Russell, and found it reminiscent of certain theses of his Tractatus Logico-Philosophicus.

4. References and Further Reading

a. General Commentaries

  • Bostock, D. Plato’s Theaetetus. Oxford, 1988.
  • Burnyeat, M. F. The Theaetetus of Plato. Trans. M.J. Levett. Indianapolis and Cambridge, 1990.
  • Campbell, L. The Theaetetus of Plato. 2nd Ed. Oxford, 1883.
  • Cornford, F. M. Plato’s Theory of Knowledge. The Theaetetus and the Sophist of Plato. Trans. F. M. Cornford. London, 1935.
  • McDowell, J. Plato: Theaetetus. Trans. J. McDowell. Oxford, 1973.
  • Polansky, R. Philosophy and Knowledge: A Commentary on Plato’s Theaetetus. Lewisburg, 1992.
  • Sedley, D. N. The Midwife of Platonism: Text and Subtext in Plato’s Theaetetus. Oxford, 2004.

b. Knowledge as Arts and Sciences

  • Burnyeat, M. F. “The Philosophical Sense of Theaetetus’ Mathematics.” Isis 69 (1978). 489–513.
  • Burnyeat, M. F. “Socratic Midwifery, Platonic Inspiration.” Bulletin of the Institute of the Classical Studies 24 (1977). 7–16.
  • Santas, G. “The Socratic Fallacy.” Journal of the History of Philosophy 10 (1972). 127–41.

c. Knowledge as Perception

  • Bolton, R. “Plato’s Distinction between Being and Becoming.” Review of Metaphysics 29 (1975/6). 66–95.
  • Burnyeat, M. F. “Protagoras and Self Refutation in Plato’s Theaetetus.” Philosophical Review 85 (1976). 172–95.
  • Burnyeat, M. F. “Plato on the Grammar of Perceiving.” Classical Quarterly 26 (1976). 29–51.
  • Burnyeat, M.F. “Idealism and Greek Philosophy: What Descartes Saw and Berkeley Missed.” Philosophical Review 90 (1982). 3–40.
  • Cole, A. T. “The Apology of Protagoras.” Yale Classical Studies 19 (1966). 101–18.
  • Cooper, J. M. “Plato on Sense Perception and Knowledge: Theaetetus 184 to 186.” Phronesis 15 (1970). 123–46.
  • Lee, E.N. “Hoist with His Own Petard: Ironic and Comic Elements in Plato’s Critique of Protagoras (Tht. 161–171),” in E.N. Lee and A.P.D. Mourelatos (eds.) Exegesis and Argument: Studies in Greek Philosophy Presented to Gregory. Vlastos. Assen, 1973. 225–61.
  • Matthen, M. “Perception, Relativism, and Truth: Reflections on Plato’s Theaetetus 152 – 160.” Dialogue 24 (1985). 33–58.
  • McCabe, M.M. Plato and his Predecessors: The Dramatisation of Reason. Cambridge, 2000.
  • Modrak, D.K. “Perception and Judgment in the Theaetetus.” Phronesis 26 (1981). 35–54.
  • Rowe, C.J. et al. “Knowledge, Perception, and Memory: Theaetetus 166B.” Classical Quarterly 32 (1982). 304–6.
  • Silverman, A. “Flux and Language in the Theaetetus.” Oxford Studies in Ancient Philosophy 18 (2000). 109–52.
  • Waterlow, S. “Protagoras and Inconsistency.” Archiv für Geschichte der Philosophie 59 (1977). 19–36.

d. Knowledge as True Judgment

  • Ackrill, J. “Plato on False Belief: Theaetetus 187–200.” Monist 50 (1966). 383–402.
  • Burnyeat, M.F. and J. Barnes, “Socrates and the Jury: Paradoxes in Plato’s Distinction Between Knowledge and True Belief.” Aristotelian Society Supplementary Volume 54 (1980). 173-91 and 193–206.
  • Denyer, N. Language, Thought and Falsehood in Ancient Greek Philosophy. London, 1991.
  • Lewis, F.A. “Foul Play in Plato’s Aviary: Theaetetus 195Bff,” in E.N. Lee and A.P.D. Mourelatos (eds.) Exegesis and Argument: Studies in Greek Philosophy Presented to Gregory. Vlastos. Assen, 1973. 262–84.
  • G.B. Matthews, G.B. “A Puzzle in Plato: Theaetetus 189b–190e,” in David F. Austin (ed.) Philosophical Analysis: A Defense by Example. Dordrecht, 1988. 3–15.
  • Rudebusch, G. “Plato on Sense and Reference.” Mind 104 (1985). 526–37.
  • C.F.J. Williams, C.F.J. “Referential Opacity and False Belief in the Theaetetus.” Philosophical Quarterly 22 (1972). 289-302.

e. Knowledge as True Judgment with Logos

  • Annas, J. “Knowledge and Language: The Theaetetus and the Cratylus,” in Malcolm Schofield and Martha C. Nussbaum (eds.) Language and Logos: Studies in Ancient Greek Philosophy presented to G.E.L. Owen. Cambridge, 1982. 95–114.
  • Fine, G.J. “Knowledge and Logos in the Theaetetus.” Philosophical Review 88 (1979). 366–97.
  • Gallop, D. “Plato and the Alphabet.” Philosophical Review 72 (1963). 364–76.
  • Morrow, G.R. ”Plato and the Mathematicians: An Interpretation of Socrates’ Dream in the Theaetetus.” Philosophical Review 79 (1970). 309–33.
  • Ryle, G. “Letters and Syllables in Plato.” Philosophical Review 69 (1960). 431–51.

Author Information

Zina Giannopoulou
Email: zgiannop@uci.edu
University of California, Irvine
U. S. A.

Wang Yangming (1472—1529)

wangyangmingWang Yangming, also known as Wang Shouren (Wang Shou-jen), is one of the most influential philosophers in the Confucian tradition. He is best known for his theory of the unity of knowledge and action. A capable and principled administrator and military official, he was exiled from 1507 to 1510 for his protest against political corruption. Although he studied the thought of Zhu Xi [Chu His] (1130-1200 CE) seriously in his teenage years, it was during this period of exile that he developed his contribution to what has become known as Neo-Confucianism (Daoxue, [Tao-hsueh or “Learning of the Way”). With Neo-Confucianism in general, Wang Yangming’s thought can be best understood as an attempt to propose personal morality as the main way to social well-being. Wang’s legacy in Neo-Confucian tradition and Confucian philosophy as a whole is his claim that the fundamental root of social problems lies in the fact that one fails to gain a genuine understanding of one’s self and its relation to the world, and thus fails to live up to what one could be.

Table of Contents

  1. Intellectual Context
  2. Philosophical Anthropology
  3. Redefinition of the World
  4. The Unity of Knowledge and Action
  5. Recent Scholarship on Wang Yangming
  6. References and Further Reading

1. Intellectual Context

Neo-Confucians, above all, urged people to engage in what they thought was “true learning,” which led to the genuine realization of the self. However, the cultural landscape of early and mid-Ming dynasty China (1368-1644 CE) did not unfold as Neo-Confucians wished. To understand the shared theoretical challenge that Wang Yangming confronted, one should first note that quite a number of Neo-Confucians at that time had contempt for what they thought was a certain vulgarized form of Confucian learning. This “vulgar learning” (suxue) included such activities as memorization and recitation (jisong), literary composition (cizhang), textual studies (xungu), and broad learning (boxue). To the eyes of Neo-Confucians, all these forms of learning represent learning that is aimed at accumulating external knowledge for its own sake. As a consequence, these forms of learning disregarded what Neo-Confucians considered to be the true purpose of the learning: construction of the moral self.

Ironically, the rampant increase in charges that certain work is “vulgar” was linked to the very triumph of Neo-Confucianism in general, and to Zhu Xi’s learning in particular, through its official recognition by the Ming state. While is true that, by the early Ming, “Cheng-Zhu” learning (named after the brothers Cheng Yi [Ch’eng I] and Cheng Hao [Ch’eng Hao] as well as the aforementioned Zhu Xi) had already enjoyed official recognition for over one hundred years, it was at this time that the institutionalization of the Cheng-Zhu teaching in early Ming was relatively complete. As is well known, by the time of the Yongle reign (1403-24), Cheng-Zhu learning had become fully established as the basis for the civil service examination that was the exclusive pathway to government service in imperial China. The Emperor Cheng Zu embraced Cheng-Zhu Neo-Confucianism and ordered Hu Kuang (1370-1418) and others to compile an official version of Zhu Xi’s commentaries on the Four Books (the Confucian Lunyu or Analects, the Mengzi or Mencius, the Daxue or Great Learning, and the Zhongyong or Doctrine of the Mean) and Five Classics (the Shujing or Classic of History, the Shijing or Classic of Poetry, the Yijing or Classic of Changes, Liji or Record of Rituals, and the Xiaojing or Classic of Filial Piety). Their effort resulted in the comprehensive anthology of the Great Compendia on the Five Classics and the Four Books.

The establishment of Neo-Confucianism as the examination curriculum contributed to what some thinkers considered to be the “vulgarization” of Neo-Confucian moral teaching. As Cheng-Zhu learning served as the basis of the civil examinations, those who wanted to get involved in the political arena had to master it regardless of whether or not they agreed with the essence of its teaching. In other words, they studied it for the sake of their worldly interests rather than out of concern for moral self-fulfillment. Wang Yangming was one of the most prominent among those thinkers who found it difficult to accept both “vulgar learning” and the form of Neo-Confucian learning that was vulnerable to degeneration into “vulgar learning.” One can find Wang’s lengthy critique of “vulgar learning” in the section of “Pulling up the root and stopping up the source” in Chuan xi lu (“Instructions for Practical Living” in Wing-tsit Chan’s translation).

While Cheng-Zhu learning was different from “vulgar learning” in its fundamental orientation, Wang Yangming thought that Cheng-Zhu style of “investigation of things” (gewu) was particularly susceptible to degeneration into “vulgar learning. So, what was at stake in Wang Yangming’s reformulation of Neo-Confucianism was the issue of how to reinvent Confucian learning in a way different from the way of Cheng-Zhu Neo-Confucianism, which turned out to be susceptible to “vulgarization.”

2. Philosophical Anthropology

In Wang’s mind, given the fact that the practitioners of “vulgar learning” devote their attention only to the accumulation of external knowledge, what is potentially problematic in Cheng-Zhu style of “investigation of things” is its search for moral principle (li) in the external world (as well as in the mind, xin [hsin]). Wang believed that the internalization of li resolved many problems that “vulgar learning” created. Wang’s idea that “the mind is principle” (xin ji li) expresses his belief succinctly. The most apparent and significant implication of xin ji li is the change of the locus of li from the external world (and the mind) to solely the mind. However, the proposition of xin ji li indicates more than the locus of li.

First, li does not simply reside in the mind but is coextensive with the mind. Accordingly, li does not exist as a distinguishable, searchable entity in the mind. Rather we call li the state in which the mind is so well preserved that it responds to the situation properly. In this sense, xin ji li meant a kind of evaluation that the mind could embody, a desirable quality represented by the concept of li, rather than a formula expressing the relationship between two distinct entities. Since li was not conceived as a static principle that one could discern and hold fast to, being attuned to li involved nothing other than having no selfish desires. In other words, we should not “seek the Principle of Nature” because principle is not something we can “seek.”

Second, the identification of xin and li brought about significant changes in the understanding of the mind as well. These changes in the understanding of the mind entailed a new philosophical anthropology. The mind — the unstable entity that was formerly understood in terms of qi (ch’i, vital force) and believed to be vulnerable to evil — is now conceived as li, the perfect moral entity.

Many of Wang’s statements, such as “The nature of all humans is good” and “[T]he original substance of the mind is characterized by the highest good; is there anything in the original substance of the mind that is not good?” show that he upheld the typical Neo-Confucian premise of the goodness of human nature. However, Wang’s philosophical anthropology was different from that of Cheng-Zhu Neo-Confucianism in that it pushed the premise of the goodness of human nature to its extreme.

In Cheng-Zhu Neo-Confucianism, xin means the operation of the subjective consciousness, or the location where the operation of the subjective consciousness takes place. If xin represents the immediate self as a current flow of consciousness while li is a normative state that should be embodied, xin ji li means, above all, that the mind ceases to be one of the loci where the moral principle resides; it achieves the very status of moral principle itself. This identification of xin and xing (hsing, nature) means creating a notion of the self-sufficient moral agent by negating the distinction between the potential goodness of the self and the actual state of the self.

While this notion of a self-sufficient moral agent is encouraging, it was not without problems for a group of intellectuals. For example, Luo Qinshun thought that the identification of the subjective function of the mind with the objective reality of principle constituted “a case of an infinitesimal mistake in the beginning leading to an infinite error at the end.” How so?

In the view of people like Luo, the notion of a self-sufficient moral agent contained in the formula of xin ji li appears virtually bereft of any viable tension between the ideal and the actual: the immediate, actual self is the ideal. This absence of a normative tension poses a certain threat to the rigor of morality. This is why they criticized the notion of a self-sufficient moral agent as being a source of arbitrariness and subjectivism in moral behavior. However, normative tension is not completely out of sight for those who advocate the formula of xin ji li. For one thing, Wang’s distinction between the mind in itself (xin zhi benti) and the so-called human mind (renxin) provides one with a standard with which to distinguish between the normative state and the actual state of the self. For Wang, the “mind in itself” represents the original state of the mind, which possesses the perfect faculty of moral judgment. The “human mind” represents the state of the mind that is “obscured” by selfish human desires, and thus does not realize the perfect faculty of moral judgment. Since the immediate state of the mind often remains at the level of the human mind, one is expected to endeavor to recover the mind in itself.

As long as Wang maintains a distinction between the mind in itself and the human mind, what is really at issue is not whether to posit a normative ideal, but how to conceptualize a normative ideal. Most important to his conceptualization, Wang does not conceive the normative ideal independently of the functioning of the mind. That is, there is no ontological difference between the normative ideal and the actual, for both the mind in itself and the human mind represent certain states of our consciousness. The only difference between the mind in itself and the human mind is whether or not the mind is clouded by selfish desire.

Thus, the main consequence of this way of conceiving a normative ideal is that our current state of mind is able to return to its original state simply by getting rid of selfish desires, without a separate effort to apprehend normative principle.

Distinguishing the goodness that reflects the original state of the mind from the badness that stems from selfish desires is absolutely critical in the process of returning to the original state of the mind. Such knowledge is just another aspect of the self-sufficient nature of the self. Following the Mencian tradition, Wang called this knowledge liangzhi (innate knowing). According to Wang, liangzhi possesses several intriguing features:

  1. Everyone without exception possesses liangzhi.
  2. Liangzhi is innate, not something acquired by learning. Thus, effort is necessary not for forming liangzhi but for setting it in motion.
  3. Liangzhi is not subject to variation or change due to time and place. One’s inner source of moral guidance can be simply applied to human conduct or society irrespective of the circumstances. Also, one can understand and make perfect judgments about things without much information.
  4. We can never lose liangzhi. At worst, we simply lose sight of it. Since liangzhi is always present in the mind, one can always activate it anytime if one desires it. “Once determined to reform, he recovers at once his own mind.”
  5. The character of liangzhi is intuitive. For Wang, the power of liangzhi lies in its ability properly to respond to any situation, rather than in factual knowledge that involves concrete information. In this way, Wang emphasized the intuitive power of the mind. Wang’s invoking of the image of the mirror and balance well expresses his emphasis on the intuitive moral sensitivity that liangzhi possesses. Both the mirror and balance give us knowledge of a given object by making it possible to reflect and weigh it without previous understanding. This aspect of Wang’s learning can be characterized as anti-“over-intellectualizing.”
  6. Despite its intuitional character, liangzhi is perfect. People often tend to lose sight of liangzhi because of selfish human desire. But once one gets rid of selfish human desire, the perfect power of liangzhi is completely restored. Simply put, “it [innate knowledge] knows everything” In short, when liangzhi is rendered as innate knowledge, knowledge means the capacity for moral judgment rather than factual knowledge. Thus, if we were but in full contact with liangzhi, liangzhi would make people perfectly moral rather than erudite. For Wang, however, such moral judgment presupposes a total understanding of a given situation.
  7. For Wang, who believed in the perfect, intuitive power of liangzhi, resolution based on confidence was important: “There is the sage in everyone. Only one who has not enough self-confidence buries his own chance.”
  8. Trusting in innate moral knowing, Wang seemed to simplify the cumbersome process of learning, considering it to be a matter of eliminating selfish desires: “In learning to become a sage, the student needs only to get rid of selfish human desires and preserve the Principle of Nature, which is like refining gold and achieving perfection in quality.” People are no longer under the burden of any other business except for getting rid of selfish desire.

All of the above points together explain the populist ethos in Wang’s learning, as we see in Wang’s famous statement: “All the people filling the street are sages.” For Wang, becoming a fully moral agent is simple and easy. “Just don’t try to deceive it [liangzhi] but sincerely and truly follow in whatever you do. Then the good will be perceived and evil will be removed. What security and joy there is in this!” It cannot but be easy because we are already fully moral agents. As self-sufficient moral subjects we do not need to engage in the exploration of the external world.

3. Redefinition of the World

Wang wanted to show that moral awareness depended on the self. While the importance of the moral agent is quite understandable in the moral sphere, it begs the question of what kind of relation moral principle has to the world out there if the ontological status of moral principle hinges solely on the moral agent. In other words, how could it be that one’s moral principle is completely in the mind and, at the same time, vitally connected to the world out there? Answering this question is absolutely critical if Wang’s reassertion of personal morality is to be socially responsible. Wang’s sense of social responsibility is clear when he wants to distinguish his own convictions from those of Buddhists, whom Confucians have regarded as forsaking the external world. “In nourishing the mind, we Confucians have never departed from things and events.”

On what ground, then, could Wang maintain that his learning was focused on the mind and, at the same time, did not depart from the external world? How did Wang resolve this contradiction? As is expected in his rhetorical question, “Is there any affair in the world outside of the mind?” the answer lay in his redefinition of the world in such a way that there was no affair outside of the mind.

According to Wang, the external world is not something out there, as distinct from the mind, but “that to which the operation of the mind is directed.” This redefinition of the external world is based on the insight that everything we can know about the world is mediated by experience. This experience is made possible by our sense organs. The activity of these sense organs is associated with the mind. Thus, all things that we encounter in our lives are necessarily associated with the mind. The world so conceived is no longer an independent entity external to the mind, but an inseparable part of the mind. According to this picture, the external world exists always in reference to the self.

This position makes one wonder if the external world does not exist without the operation of one’s mind. However, what Wang Yangming cares about is not (scientific) investigation of the existence of the world itself — which is a question of modern epistemology — but the perspective from which we can properly understand our relationship to the world. When Wang asks rhetorically, “Is there any affair in the world outside of the mind?” the message he is trying to convey is that all the things and affairs in our lives exist in an activated state, so that is what we should have in mind when we think about the world.

How, then, is the world in an activated state? The practitioners of “vulgar learning” often take the world as something statically “out there.” When they produce factual knowledge, they assume a static world-picture to the extent that they can produce fixed knowledge. However, if we accept Wang’s definition of things as “that to which the operation of the mind is directed,” the real world in our lives turns out to be the experienced world. In other words, the world is not silent, inert, and vacant, but activated and awakened. Indeed, life manifests itself in movements like eating, going to bed, and speaking rather than seeing while stationary. To be exact, we are, in a sense, moving when we are stationary, for we are experiencing something incessantly. Common metaphors of life — such as passage, travel, voyage, and journey — are related to this kind of mobility in our life-experience. What are the implications of Wang’s redefinition of the external world?

First, the most significant implication of this change in the meaning of the external world is that Wang has in principle dismissed the necessity of exploring the external world independent of the self. Under this framework, to take the mind seriously is none other than to do justice to the external world. Thus, Wang said, “The mind is the master of Heaven-and-Earth and myriad things. The mind is none other than Heaven. If we mention the mind, Heaven-and-Earth and the myriad things all are also mentioned automatically.”

Second, what we notice in Wang’s redefinition of the world is a reformulation of the relation between the mind as subject and the world as object. Wang suspected that the distinction between the mind as perceiving subject and the world as perceived object could, by creating a gap between self and world, make genuine Confucian learning liable to degenerate into “vulgar learning,” which justified the pursuit of external knowledge that was irrelevant to the self. Thus, Wang saw our experienced and lived reality as constituted in and through an inseparable relation between the mind and the world. In his reconceptualization of this relationship, inner and outer were unified because the mind was the world. This seamless conception of the mind and the world overcame the gulf between the subject and the object that “vulgar learning” engenderd.

Third, this rearrangement of the mind’s relation to the world makes the mind and the world coextensive. For Wang, the mind and the external world are not fully distinguishable, for the world is no more than that to which the operation of the mind is directed. This new arrangement of the mind’s relation to the world gives us total contact with both the self and the larger world from the beginning. We can say that the distance between the world and us is shortened in the sense that our access to the world is unmediated, and there is no world that exists beyond the scope of the self.

4. The Unity of Knowledge and Action

Wang’s theory of the unity of knowledge and action (zhixing heyi) is probably the most well-known aspect of Wang’s philosophy. Some of the most puzzling aspects of Wang’s theory of the unity of knowledge and action can be best understood by way of Wang’s conception of self and world.

The issue of the relationship between knowledge and action concerns the relationship between knowledge about (moral) matters and doing what the knowledge calls for. Traditionally, Chinese thought in general, and Zhu Xi in particular, maintained that once one acquired knowledge, one should do one’s best to put such knowledge into practice. In discussing Wang’s theory of the unity of knowledge and action, however, we first need to make clear that by his theory of the unity of knowledge and action, Wang was not asserting a traditional idea. Indeed, this was precisely the position that Wang wished to repudiate.

Despite the emphasis on the need for knowledge to be put into practice, the traditional position presupposed two possibilities: first, that one can have knowledge without/prior to corresponding action; and second, that one can know what is the proper action, but still fail to act. Because of these two possibilities, the traditional position left open the possibility of separating knowledge and action, but called for the overcoming of this separation.

However, Wang denied both possibilities. These two denials constitute the essence of Wang’s theory of the unity of knowledge and action. First, according to Wang, it is only through simultaneous action that one can obtain knowledge: “If you want to know bitterness, you have to eat a bitter melon yourself.” Wang denied any other possible routes to obtain knowledge.

According to Wang, it is not possible for one to put something into practice after acquiring knowledge. This is because knowledge and action are unified already, from beginning to end. We cannot unify knowledge and action because they are already unified. Of course, Wang was aware of the claims that “there are people who know that parents should be served with filial piety and elder brothers with respect but cannot put these things into practice. This shows that knowledge and action are clearly two different things.” Wang’s answer was: “The knowledge and action you refer to are already separated by selfish desires and are no longer knowledge and action in their original state.” In other words, knowledge necessarily/automatically leads to action in its original state. We cannot have knowledge while preventing it from leading to action.

Understanding these two apparently non-commonsensical ideas is crucial for understanding of Wang’s theory of the unity of knowledge and action, for they are the points that differentiated Wang’s position from preceding positions. In order to understand them, we need to examine what Wang meant by “knowledge” and “action.” Furthermore, considering Wang’s view of self and world is indispensable to any examination of Wang’s notions of “knowledge” and “action.”

First, knowledge in Wang’s theory of the unity of knowledge and action may not necessarily be the knowledge we conventionally imagine. What Wang meant by knowledge in his discussion of knowledge and action is not grasping information that was “out there” — which is prevalent in what Wang characterized as “vulgar learning.” What Wang meant was knowledge of how to act in a given situation, as we will confirm in Wang’s statements concerning the unity of knowledge and action. Where, then, does knowledge of how to act come from? This question brings us to Wang’s theory of philosophical anthropology and his notion of liangzhi. Liangzhi is supposed to provide that kind of certainty for action. The English translation of liangzhi is innate knowledge or innate knowing, which suggests that we already possess all the knowledge we need to have. We do not have to spend any time to acquire knowledge. Precisely speaking, we cannot acquire knowledge, for we, as self-sufficient moral agents, already possess it from the very beginning. Thus, it would be nonsense to say that we need to know before in order to act. In this sense, what we mean by “knowing” is not to attain from outside what is previously absent but to experience the operation of our innate knowledge/knowing in the concrete situations of our own lives. “To ‘obtain’ means to get in the mind; it is not infused from without.” From this we can understand Wang’s strange idea that it is only through simultaneous action that one can obtain knowledge. For action is the process of activating our innate knowledge. Thus, Wang said, “Can anyone learn without action?” What we conventionally think of as attaining knowledge is nothing other than experiencing knowledge that we already have.

But what, precisely, is action? Wang did not think of moral action in terms of willing and then performing an action. For him, the true perception of a situation automatically and immediately sets action into motion. In emphasizing the setting-in-motion of action followed by the perception of a situation, the action in Wang’s theory does not exactly correspond to the kinds of acts we have conventionally in mind. For Wang, action means all responses to a given situation. This includes studying, which was not conventionally regarded as belonging to the realm of action.

At the same time, Wang tended to consider action as responses to given situations rather than action in a vacuum. This point is evident in his examples of responses to such things as color, smell, and taste. When action is conceived largely as a response to a given situation, we cannot avoid acting. We never depart from the “situation” in which we find ourselves.

To understand further why Wang conceived of action as a response to a given situation, we need to remember his redefinition of the world. To describe the actual fabric of life that Wang had in mind, we have invoked the sense of movement, which posited an alternative to the more static conception of experience — one that deceived one into thinking that one stood outside the actual world. For Wang, our lives consist of living in the moment.

With this understanding of Wang’s notion of knowledge and action in mind, let us imagine the situation in which one acts with one’s knowledge. First of all, one does not spend any time to attain knowledge. All one needs is to respond to a given situation. Knowledge is not fixed knowledge, but consists of ever-changing responses to shifting situations: “Innate knowledge is to minute details and varying circumstances as compasses and measures are to areas and lengths. Details and circumstances cannot be predetermined, just as areas and lengths are infinite in number and cannot be entirely covered.” Wang is invoking “the radically context sensitive and particularist nature of moral judgement.” Accordingly, the knowledge is intuitive. As action is the natural inner workings of liangzhi in the form of reaction, there is no gap between knowledge and action.

Keeping the above understanding of knowledge and action in mind, we can understand the aforementioned two idiosyncratic points in Wang’s theory of the unity of knowledge and action. First, it is only through simultaneous action that one can obtain knowledge. This is because one already possesses knowledge. What seems to be a process of obtaining knowledge is in reality the process of activating innate knowledge. Knowledge is activated through the contact with the situation, and this is called “action.” Second, knowledge necessarily/automatically leads to action. For Wang, knowledge means knowing how to respond to a given situation and action is responding to a given situation. Furthermore, one cannot help responding to the world because one is “moving” in every moment. Action is no longer an operation subsequent to the formulation of knowledge of the world, but a fundamental mode of human life. Given that one innately has knowledge of how to act in all situations, and that one cannot help acting, knowledge necessarily leads to action. When knowledge and action appear to be separate, it is because one has not activated one’s true knowledge — a result of delusion due to selfish desire or false learning: “There have never been people who know but do not act. Those who are supposed to know but do not act simply do not yet know.”

According to Wang, the normative picture of the universe is that moral agents are living their lives actualizing their liangzhi in the form of the unity of knowledge and action. In this picture, the betterment of society depends on the expansion of the self’s ability to respond morally to the world. Thus, Wang repeatedly reasserts the validity of the Neo-Confucian promise — the salvation of the world through personal morality — which is based on the assumption that “Governance depends on human beings (wei zheng zai ren).”

In his own time, Wang’s teaching was enthusiastically received. Although Wang’s new mode of thinking was rapidly gaining currency among intellectuals, for those who did not subscribe to his ideas Wang’s formulation was nothing more than a mistaken answer to the problem. Thus, Wang came to serve as a catalyst for complex and wide-ranging debates and controversies. No matter how later generation of thinkers would evaluate the legacy of Wang’s learning, it could hardly be denied that with Wang Yangming the tradition of Chinese philosophy became richer and more complex.

5. Recent Scholarship on Wang Yangming

Leaving aside Wang Yangming’s importance in his own time, he deserves attention because of his tremendous, long-lived influence on Chinese intellectual history. Not surprisingly, therefore, important studies of Wang Yangming have been produced all the way up to the present.

In Anglophone scholarship, the work of Frederick Goodrich Henke (1916) and Wing-tsit Chan (1963) has made available translations of Wang’s major works. Wing-tsit Chan (1970) provides a bird’s-eye view on the flow of thought from the early Ming through Wang’s era by scrutinizing the evolution of “the learning of mind” in early Ming thinkers. Wang’s thought also has been explored by Tu Weiming (1976) in terms of the interaction between his life history and the formation of his major doctrines. Wm. Theodore de Bary (1970) has discussed the progression of thought in the late Ming in terms of the unfolding of “Wang Learning.” The work of Julia Ching (1976) also merits consideration. More recently, P. J. Ivanhoe (2002) has discussed Mencius’ and Wang’s philosophies from a comparative perspective.

In Japanese scholarship, the compilation of Yōmeigaku Taikei (Compendium of Yangming Learning) is most prominent among many works. In his classic study, Shushigaku to Yōmeigaku (Zhu Xi Learning and Yangming Learning) (1967), Shimada Kenzi attempts to compare the thought of Wang with that of Zhu Xi. However, his analysis does not pay attention to the specific historical contents of their philosophical movements, while Togawa Yoshio’s Jukyōshi (A History of Confucianism) (1987) pays relatively more attention to this issue.

In mainland China, Wang’s thought has been interpreted as subjective idealism and criticized by Marxist scholars despite the fact that the influence of Marxist ideology has become relatively weak since the end of Cultural Revolution (c. 1966-1976). Yang Guorong (1990) diachronically narrates the development of the structure of Wang’s philosophy. The work of Chen Lai (1991) also is worthy of attention.

6. References and Further Reading

  • Araki Kengo, et al, comp. Yōmeigaku Taikei. 12 vols. Tokyo: Meitoku shuppansha, 1971-73.
  • Chan, Wing-tsit, trans. Instructions for Practical Living and Other Neo-Confucian Writings by Wang Yang-ming. New York: Columbia University Press, 1963.
  • Chan, Wing-tsit. “The Ch’eng-Chu School of Early Ming.” In Self and Society in Ming Thought, ed. W. T. de Bary (New York: Columbia University Press, 1970): 29-51.
  • Chen Lai. Youwuzhijing: Wang Yangming zhuxue de jingshen (The Realm of Being and Non-being: The Spirit of Wang Yangming’s Philosophy). Beijing: Renmin Chubanshe, 1991.
  • Ching, Julia, ed. To Acquire Wisdom: The Way of Wang Yang-ming. New York: Columbia University Press, 1976.
  • de Bary, W. T. “Individualism and Humanitarianism in Late Ming Thought.” In Self and Society in Ming Thought, ed. W. T. de Bary (New York: Columbia University Press, 1970): 145-247.
  • Henke, Frederick Goodrich. The Philosophy of Wang Yang-Ming. Chicago: Open Court, 1916.
  • Ivanhoe, P.J. Ethics in the Confucian Tradition. 2nd ed. Indianapolis: Hackett, 2002.
  • Shimada Kenji. Shushigaku to Yōmeigaku (Zhu Xi Learning and Yangming Learning). Tokyo: Iwanami shoten, 1967.
  • Togawa Yoshio, et al. Jukyōshi (A History of Confucianism). Tokyo: Yamakawa Shuppansha, 1987.
  • Tu Weiming. Neo-Confucian Thought in Action: Wang Yang-ming’s Youth (1472-1509). Berkeley and Los Angeles: University of California Press, 1976.
  • Yang Guorong. Wangxue tonglun (A Comprehensive Study of Wang Learning). Shanghai: Shanghai sanlianshudian, 1990.

Author Information

Youngmin Kim
Email: kimyoungmin@snu.ac.kr
Seoul National University
South Korea

Stoic Philosophy of Mind

Stoicism was one of the most important and enduring philosophies to emerge from the Greek and Roman world. The Stoics are well known for their contributions to moral philosophy, and more recently they have also been recognized for their work in logic, grammar, philosophy of language, and epistemology. This article examines the Stoics’ contributions to philosophy of mind. The Stoics constructed one of the most advanced and philosophically interesting theories of mind in the classical world. As in contemporary cognitive science, the Stoics rejected the idea that the mind is an incorporeal entity. Instead they argued that the mind (or soul) must be something corporeal and something that obeys the laws of physics. Moreover, they held that all mental states and acts were states of the corporeal soul. The soul (a concept broader than the modern concept of mind) was believed to be a hot, fiery breath [pneuma] that infused the physical body. As a highly sensitive substance, pneuma pervades the body establishing a mechanism able to detect sensory information and transmit the information to the central commanding portion of the soul in the chest. The information is then processed and experienced. The Stoics analyzed the activities of the mind not only on a physical level but also on a logical level. Cognitive experience was evaluated in terms of its propositional structure, for thought and language were closely connected in rational creatures. The Stoic doctrine of perceptual and cognitive presentation (phantasia) offered a way to coherently analyze mental content and intentional objects. As a result of their work in philosophy of mind the Stoics developed a rich epistemology and a powerful philosophy of action. Finally, the Stoics denied Plato’s and Aristotle’s view that the soul has both rational and irrational faculties. Instead, they argued that the soul is unified and that all the faculties are rational concluding that the passions are the result not of a distinct irrational faculty but of errors in judgement.

Table of Contents

  1. Introduction
    1. Philosophy of Mind and the Parts of Philosophy
  2. Philosophy of Mind and Stoic Physics
    1. The Substance of the Soul
    2. Pneuma and Tension, and the Scala naturae
    3. Death
    4. The Parts of the Soul
  3. Philosophy of Mind and Stoic Logic
    1. Presentation (phantasia), Memory, and Concept Formation
    2. Impulse, Assent, and Action
  4. Philosophy of Mind and Stoic Ethics
    1. Primary Impulse and Prolepsis
    2. Passion and Eupatheia
  5. References and Further Reading
    1. Collections of Stoic texts
    2. Recommended Readings on Stoic Psychology

1. Introduction

Greek and Roman philosophers did not recognize philosophy of mind as a distinct field of study. However, topics now considered central to philosophy of mind such as perception, imagination, thought, intelligence, emotion, memory, identity, and action were often discussed under the title Peri psychês or On the Soul. This article surveys some of the ideas held by the ancient Stoics addressing the soul and related topics which roughly correspond to themes prevalent in contemporary philosophy of mind and philosophical psychology.

a. Philosophy of Mind and the Parts of Philosophy

The ancient Greek concept of soul differs in many ways from the modern (post-Cartesian) idea of mind. Contemporary thinkers tend to sharply contrast the mind and body. When we think of mind we think primarily of cognitive faculties and perhaps our sense of identity. The Greek concept of the soul is much broader and more closely connected to basic bodily functions. The soul is first and foremost the principle of life; it is that which animates the body. Although the soul accounts for our ability to think, perceive, imagine, and reason, it is also responsible for biological processes such as respiration, digestion, procreation, growth, and motion. Perhaps the closest we come to a Cartesian concept of the soul in ancient Greek thought would be Plato, the Pythagoreans, and their successors. Stoic psychology represents the other end of the spectrum: a corporeal or physicalist model of soul.

Since there is no clear subject in Stoicism corresponding to contemporary philosophy of mind, evidence must be gleaned from various departments of the Stoic philosophical system. The Stoics divided philosophy into three general “parts”: Physics, Logic, and Ethics. Teachings regarding the soul can be found in all three parts. In physics the Stoics analyzed the substance of the soul, its relationship to God and the cosmos, and its role in the functioning of the human body. In logic the Stoics developed a theory of meaning and truth, both of which are dependent upon a theory of perception, thinking, and other psychological concepts. Here the Stoics developed a sophisticated theory of mental content and intentionality and wrestled with the ontological ramifications of such a theory. Finally, in ethics the Stoics developed a complex theory of emotion and a psychology of action that ultimately had a great impact on their moral philosophy. The development of one’s cognitive faculties was believed to be inseparable from ethics. In short, Stoic psychology was central to Stoicism as a whole.

2. Philosophy of Mind and Stoic Physics

a. The Substance of the Soul

Zeno of Citium (335-263 BCE), the founder of Stoicism, was very interested in the nature of the soul. He and his protégé Cleanthes (331-232 BCE) emphasized the active nature of the mind by identifying it as an internal fire or vital heat. It was not until Chrysippus (c. 280-207 BCE) that Stoic psychology reached its mature state. According to Chrysippus, the human soul consists of a breath-like substance called pneuma. Cognitive faculties were identified with the specific activities of the pneuma. In addition to being the substance of the particular souls of living organisms, pneuma was also held to be the organizing principle of the cosmos, that is, the world-soul. The Stoics identified this world-soul with God or Zeus. One source described God as an intelligent, artistic fire that systematically creates the cosmos as it expands; in the same passage God is called a pneuma that pervades the whole cosmos as the human soul pervades the mortal body. In contrast to contemporary physics and cosmology, the Stoics saw the world as a living organism.

Stoic psychology is inseparable from Stoic physics and cosmology. The pneuma of the human soul (pneuma psychikon) is said to be a mixture of air and fire. Some Stoics saw this soul as a literal mixture of fire and air, others associated it with a refined fire (similar to aether) or vital heat. The pneuma permeating the body was held to be a portion of the divine pneuma permeating and directing the cosmos. The human soul is a portion of God within us, both animating us and endowing us with reason and intelligence.

The Stoics argued that the soul is a bodily (corporeal) substance. Although the soul is a body, it is best to avoid calling Stoic psychology materialist. The Stoics contrasted soul and matter. For this reason scholars generally prefer to call Stoic psychology corporealist, physicalist, or vitalist. Matter is but one of two principles underlying every bodily substance. These two principles are the active [to poioun] and the passive [to paschon]. Matter is identified with the passive principle. Its complement, the active principle, is reason [logos] or God and is held to extend through matter providing it with motion, form, and structure. Both principles are bodily or corporeal principles (that is, they occupy space and are causally efficient) but neither exists in isolation. Substances can be dominated by either principle; the more active the substance, the more rational and divine it is; the more passive, the more material.

The Stoics also made a distinction between principles [archai] and elements [stoicheia]. The basic elements are earth, water, air, and fire. Earth and water are heavy, passive elements, dominated by the passive principle. Air and fire, on the other hand, are active and closely connected with sentience and intelligence. The Stoics held that the soul is nourished from the exhalations from the passive elements. Biological bodies are distinguished from non-biological bodies by the presence of a specific kind of activity associated with the presence of the active elements in the body.

b. Pneuma and Tension, and the Scala naturae

Pneuma was the central theoretical tool of both Stoic physics and Stoic psychology. In contrast to the atomists, the Stoics argued for a continuum theory which denied the existence of void in the cosmos. The cosmos was seen as a single continuum of pneuma-charged substance. Qualitative difference between individual substances, such as between a rock and a pool of water, is determined by the degree of the tensional motion of the pneuma pervading the substance. Tensional motion [tonikê kinêsis] seems to be the motion of the pneuma in a body that simultaneously moves from the center to the surface and from the surface back to the center. Passive elements (earth and water) and dense bodies have a low degree of tensional activity, while active elements (fire and air) and the soul were seen to possess a high level of tensional motion. The Stoics organized all natural substances into different classes based on a hierarchy of powers or a scala naturae. The concept of tensional motion allowed the Stoics to have a unified physical theory based on pneuma, while at the same time having one that distinguished and explained the difference between organic and inorganic substances. Consequently Stoic physics showed that there exists a physical connection and continuity between mind and matter.

The Stoic scala naturae is a hierarchy of the powers in nature based on the activity and organization of the pneuma. Pneuma at its lowest level of organization and concentration produces simple cohesion in the matter in which it dwells; it holds together individual unified bodies. This state of cohesion and coherence is called hexis [cohesive state]. Bodies hold together on account of an internal flow of pneuma that begins at the center of the object extending to the surface and flowing back upon itself producing a tension from a two-way motion. Hence, even the most stable object possesses internal motion according to the Stoics. Wood and stones are example of things which possess hexis.

When the pneuma in a body is organized with a greater degree of activity, there is phusis or organic nature. Things that have phusis grow and reproduce but do not show signs of cognitive power. The pneuma that produces phusis also provides the stability or cohesion of hexis. The Stoics held that each power on this scala naturae subsumes the power below it. Plants are obvious examples of organisms that have both hexis and phusis but not soul.

The next tier of this hierarchy of pneumatic activity is soul [ psuchê]. The characteristic marks of this level of organization are the presence of impulse and perception. Non-rational animals have hexis [cohesive state], phusis [an organic nature], and psuchê [soul].

Only human beings and gods possess the highest level of pneumatic activity, reason [logos]. Reason was defined as a collection of conceptions and preconceptions; it is especially characterized by the use of language. In fact, the difference between how animals think and how humans think seems to be that human thinking is linguistic — not that we must vocalize thoughts (for parrots can articulate human sounds), but that human thinking seems to follow a syntactical and propositional structure in the manner of language. The Stoics considered thinking in rational animals as a form of internal speech.

The Stoic hierarchy of pneuma should not be confused with Aristotle’s theory of the hierarchy of the soul to which there is some resemblance. While the Stoic scala naturae explains both organic and inorganic substances, Aristotle’s hierarchy is limited to biological organisms. Aristotle’s theory is also based on a very different idea of soul.

The physical theory underlying Stoic psychology has some rather startling implications. For example, the Stoics held that active substances could pervade passive substances. Hence the soul, which is a body, is able to pervade the physical body. The soul does not pervade the body like the water in a sponge, that is, by occupying interstitial spaces; rather, the Stoics held that the corporeal pneuma occupied the exact same space as the passive matter, that is, both substances are mutually coextended [antiparektasis]. The soul permeates the body in the same way as heat pervades the iron rod, occupying the same space but being qualitatively distinct. The Stoics called this sort of mixture crasis or total blending.

Total blending should be contrasted with particulate mixture and fusion mixture. An example of a particulate mixture is the mixture of different kinds of seeds. Each seed remains unaffected by the mixture, only the distribution is altered. This is sometimes called juxtaposition. Fusion mixture occurs when the items mixed are physically altered and a new, single substance emerges. Once eggs, milk, yeast, and flour are mixed together a new substance is produced (bread). In contrast to fusion mixture, in total mixture or crasis the blended substances (such as water and wine) were held to retain their properties and in principle could be separated.

A particular and highly controversial characteristic of total blending is that for mutual coextension to occur, it is not necessary that both bodies be of the same in quantity. Thus Chrysippus provocatively claimed that in total blending a drop of wine could pervade (coextend through) the entire ocean. This is an explicit rejection of Aristotle’s theory of mixture in De generatione et corruptione. The pneuma in active substances seems to have great elasticity and is able to exist in a very rarified form while maintaining distinct properties.

c. Death

The doctrine of pneuma and total blending allowed the Stoics to adopt Plato’s definition of death as “the separation of the soul from the body.” The Stoics, however, used this definition against Plato, arguing that since only physical things can separate from physical things, the soul must be corporeal. Since the soul pervades the body as a crasis type mixture, separation is possible. The separation seems to occur by a loosening of the tension of the soul. Sleep is said to be a kind of mild relaxing, whereas death is a total relaxing of the tension which results in the departure of the soul from the body.

Dying is not the end of a person’s existence, according to the Stoics. Once the soul has separated from the body it maintains its own cohesion for a period of time. Chrysippus and Cleanthes disagreed regarding the fate of the soul after death. Cleanthes held that the souls of all men could survive until the conflagration, a time in which the divine fire totally consumes all matter. Chrysippus, on the other hand, held that only the souls of the wise are able to endure. The souls of the unwise will exist for a limited time before they are destroyed or reabsorbed into the cosmic pneuma. The souls of irrational beasts are destroyed with their bodies. In no case is there any indication that the survival of the soul after death had any direct benefit to the individual or that the Stoics used this as a motivator toward ethical or intellectual behavior. There is no heaven or hell in Stoicism; the time to live one’s life and to perfect one’s virtues is in the present.

d. The Parts of the Soul

The pneuma of the soul has a specific structure which helps account for its capacities. The Stoics held that the soul consists of eight parts which are spatially recognized portions or streams of pneuma. The eight parts of the soul are the five senses (sight, hearing, smell, taste, touch), the reproductive faculty, the speech faculty, and the central commanding faculty [hêgemonikon]. All of the parts of the soul can be seen as extensions of pneuma originating in the hêgemonikon. Several analogies were employed to explain the structure of the soul: the soul is like an octopus, a tree, a spring of water, and even a spider’s web. The analogies of the octopus, tree, and spring emphasize the unity of the soul and the idea that the individual powers or faculties are rooted in or sprout from the hêgemonikon in the heart. The Stoics, like Aristotle and Praxagoras of Cos, believed that the cognitive center is in the chest and not the head. These analogies are also consistent with Stoic views on embryological development; for the Stoics recognized that the heart is the first functioning organ of the fetus and held that the pneuma of the soul begins in the heart of the fetus and extends through the body, refining its powers as the fetus grows. The powers of sense perception, speech, and reproduction are extensions of the pneuma of the hêgemonikon which reaches its mature state as the child approaches adulthood.

Some have compared the Stoic contrast between the commanding faculty and the distal faculties to the modern distinction between the central and peripheral nervous systems. This comparison can be justified by the fact that the Stoics held that the higher cognitive functions and all cognitive experience take place exclusively in the hêgemonikon . While Aristotle seemed to be comfortable with attributing the experience of touch to the flesh and sight to the eyes, the Stoics tell us that the senses merely report the information to the central faculty where it is experienced and processed.

The idea of sensation as the transmission [diadosis] of sensory information is illustrated in the final two analogies of the soul. The first states that activity of the soul is like a king who sends out messengers. When the messengers acquire information they report it back to the king. Likewise, the hêgemonikon extends its pneuma to the sense organs, and when these in turn acquire sensory information, the pneuma transmits the information back to the heart. The second analogy states that the soul is like a spider in a web. When the web is disturbed by an insect the movement is transmitted through vibrations to the spider sitting at the center. The human soul in a like manner extends through the body like a sensory grid establishing a sensory tension [tonos]. All perceptual information is transmitted by a tensional motion [kinesis tonikê]. In the case of the senses of hearing and sight, the external medium between the sense organs and the sense object operates as an extension of the soul-pneuma. Air also contains a degree of tension which a sound disturbs like a pebble tossed into a calm pool; the sound is transmitted through the air and sends the auditory information in a spherical pattern. Once the tensional motion of the sound reaches the ears, the sound pattern is picked up by the pneuma of the body which in turn transmits the information to the hêgemonikon . Vision works similarly; the pneuma from the eyes interacts with external light to establish a cone shaped visual field. This tensed field can detect the shapes of the objects within as though by touch. Indeed all of the senses were thought to be forms of touch. Color was held to be a sort of surface texture on the object; apparently the Stoics held that each color had its own pattern of disturbance in the visual pneuma.

These analogies capture the relationship between the commanding faculty and the senses; they do not as effectively capture or explain the remaining two distal faculties: speech and reproduction. Whereas the senses are passive insofar as they receive the tensional motion of a sense object and communicate it to the command center, in the case of speech and reproduction the motion goes in the opposite direction. Speech is an expression and articulation of the tensional motion produced by the construction of thought in the hêgemonikon. Interestingly, it is the fact that speech is produced in conjunction with breath that Chrysippus used as a central argument for the location of the hêgemonikon in the heart and not the brain. Little survives on how the Stoics viewed the relationship between the commanding faculty and the reproductive faculty. Sources do tell us that seminal information which produces the child is drawn from the entire body of both parents; this is in contrast to the Aristotelian claim that the male parent contributes the form and the female the matter.

In addition to the eight parts of the soul, the human hêgemonikon itself was characterized by four basic powers: presentation [phantasia], impulse [hormê], assent [sugkatathesis], and reason [logos]. Iamblicus tells us that the eight parts of the soul differ in bodily substrata while the four powers of the hêgemonikon must be individuated by quality in regards to the same. In other words, the four powers of the hêgemonikon are not individually isolated in space; their identity seems to be characterized exclusively by their function.

3. Philosophy of Mind and Stoic Logic

a. Presentation (phantasia), Memory, and Concept Formation

The most basic power of the hêgemonikon is the ability to form presentations [phantasiai]. Other psychological states and activities such as mental assent, cognition, impulse, and knowledge are all either extensions or responses to presentations. Zeno defined a presentation as an imprinting [tupôsis] in the commanding faculty. He suggested that the soul is imprinted by the senses much in the same way as a signet ring imprints its shape in soft wax. At birth the hêgemonikon is said to be like a blank sheet of paper which is ready to receive writing; all our cognitive experience is drawn either directly or indirectly from sense experience, that is, empirically. Zeno held that the term phantasia comes from the word for light [phôs]. Like light, the presentation is said to reveal itself and its cause. Although few agree with his etymology, the report shows that Zeno saw the phantasia as containing two elements: the phenomenal experience of its object and the representational content (i.e. it represents an object in the world). The Stoics sometimes called the phantasia an affection [pathos] in the soul; this seems to emphasize that there is a qualitative experience inseparable from the representational information. When we see a red circle, we don’t just acquire information, we also experience it as a red circle.

Chrysippus was not comfortable with the imprint analogy that Zeno and Cleanthes employed. Taken literally the analogy fails to capture the complexity of mental content. What kind of imprint would a color or sound make? How could the pneuma within the chest maintain and store such a rich collection of patterns and information? Chrysippus suggested that the imprinting metaphor must be abandoned and instead preferred to call presentations “alterations” [alloiôsis or heteroiôsis] of the hêgemonikon . He stated that just as the same air can be simultaneously altered by many sounds, maintaining each, so the hêgemonikon could retain such diverse and complex information. Although this is a far from satisfying solution, we should remember that contemporary philosophy of mind still has much work to do in explaining memory and concept retention.

The Stoics distinguished presentations drawn directly from the senses [aisthetike phantasiai] and those which are produced by the mind from previously experienced phantasiai. The doctrine of presentation also provided the foundation for a theory of memory and concept formation. Memory was seen to be stored phantasiai. Conceptions [ennoêmata] on the other hand seemed to be collections or patterns of stored phantasiai. The Stoic theory is flexible enough to account for real and fictional (intentional) objects, thereby establishing a plausible theory of imagination. The Stoics distinguished between phantasia, phantaston, phantastikon, and phantasma. The phantaston is the object producing the phantasia. A phantastikon is a phantasia which does not come from a real object, such as those produced by the imagination. Imagination was explained as the manipulation of mental content. By taking elements from stored experience and enlarging, shrinking, transposing, or negating parts of the phantasiai it is possible imagine monsters; thus one can produce mental content which has no real object. For example we can create a mermaid by transposing a body of a fish onto a young woman’s torso. Although mermaids and monsters don’t exist, we need to explain how non-existing things can be the object of thought and even produce desire or attraction. The Stoics did this by drawing a distinction between the imagined object (phantasma), i.e., the mermaid, and the mental construct (phantastikon), the thought of the mermaid. We are not attracted to the idea or mental image of the mermaid but to the intentional object of the idea, namely to the mermaid herself. Similar distinctions were pursued in the early 20th century by philosophers such as Meninong and Russell.

The Stoics made a further distinction in their doctrine of presentations: some presentations are rational, some are not. Rational presentations are limited to human beings and are said to be “thoughts” [noeseis]. Thoughts, like other phantasiai, are physical states of the soul-pneuma. The characteristic feature of a rational presentation seems to be its structure or syntax. Something is said about something, and consequently the thought now has meaning — and if it is a proposition, it has a truth value associated with it. Simple thoughts, when expressed in language, have three elements: the object (thing signified), the sound (the signifier), and the linguistic/mental content (what is said). For example, in the sentence “The cat is black” the thing signified is the black cat; the signifier is the sounds of the words uttered; and finally the thing signified is the content of what is being said, namely, the claim regarding the color of a specific animal. The latter, the intelligible content of the statement, is called a lekton which is said to subsist with the rational presentation or thought; it is the content which is either true or false, not the object or the sound. A lekton is not a corporeal entity like a thought or the soul; it seems to be a theoretical entity which loosely corresponds to the contemporary notion of a proposition, a statement, or perhaps even the meaning of an utterance. It is the lekton that makes the sounds of a sentence to be more than just sounds. The doctrine of the lekta has generated much controversy in current scholarship and is recognized to be an important link between Stoic theory of mind and Stoic logic.

b. Impulse, Assent, and Action

Although we may entertain and experience all sorts of presentations, we do not necessarily accept or respond to them all. Hence the Stoics held that some phantasiai receive assent and some do not. Assent occurs when the mind accepts a phantasia as true (or more accurately accepts the subsisting lekton as true). Assent is also a specifically human activity, that is, it assume the power of reason. Although the truth value of a proposition is binary, true or false, there are various levels of recognizing truth. According to the Stoics, opinion (doxa) is a weak or false belief. The sage avoids opinions by withholding assent when conditions do not permit a clear and certain grasp of the truth of a matter. Some presentations experienced in perceptually ideal circumstances, however, are so clear and distinct that they could only come from a real object; these were said to be kataleptikê (fit to grasp). The kataleptic presentation compels assent by its very clarity and, according to some Stoics, represents the criterion for truth. The mental act of apprehending the truth in this way was called katalepsis which means having a firm epistemic grasp.

The idea of katalepsis as a firm grasp reappears in Zeno’s famous analogy of the fist. According to Cicero, Zeno compared the phantasia to an open hand, assent, to a closing hand, the katalepsis, to a closed fist, and knowledge to a closed fist grasped by the other hand. Zeno’s analogy however may be a little misleading if the reader assumes there to be a temporal succession and a series of discreet processes. Other evidence indicates that this is not the point of the analogy. For example, katalepsis was defined as a kind of assent, not as a discrete post-assent process. A katalepsis is an assent to a kataleptic presentation. Moreover knowledge [epistemê] was defined as a katalepsis that is secure and unchangeable by reason. The point of the fist analogy then seems to be that the central powers of the commanding faculty have different and progressively greater epistemic weight. The analogy emphasizes the epistemic progression from simple presentations to the systematic coherence of knowledge (it being confirmed by and consistent with other katalepseis); the analogy is not fundamentally about the discreteness of the psychological powers.

The emphasis on assent in Stoic psychology and epistemology is an important contribution to ancient philosophy. The Stoics used assent to indicate that a phantasia had been accepted by the mind. It also allows the agent to entertain a cognition while at the same time reject it. Indeed, philosophical prudence often demands that we withhold assent in cases of doubt. The introduction of assent as a distinct process provided a plausible way to explain how an agent may entertain a specific thought without necessarily accepting it.

In addition to epistemology, assent plays an important role in the Stoic theory of action. Presentational content often provokes an inclination to act by representing something as desirable. This kind of presentation was called phantasia hormetikê or impulse-generating presentation and was held to produce an impulse to act. The impulse is therefore a sort of call to action which is manifested as a motion of pneuma directed toward the specific organs of action.

The basic function of impulse is to initiate motion. When we perceive an object or event in the physical world, a phantasia or presentation is produced in the commanding faculty which is then evaluated by the rational faculty. Depending on the content of the presentation and the individual’s conception of what is good, the object of perception may be classified as good, evil, or indifferent. The faculty of assent in conjunction with reason will accept, reject, or withhold judgement based on the value of the object. If the object is deemed good, an impulse is initiated as a kind of motion in the soul substratum. If the object is bad, repulsion [aphormê] is produced, and the agent withdraws from the object under consideration.

4. Philosophy of Mind and Stoic Ethics

a. Primary Impulse and Prolepsis

We have seen that the Stoics held that at birth the soul is free of experiential content. The Stoics, however, did not hold that this excluded the possibility that we are born with innate characteristics and psychological impulses. The most basic impulse found in new-born creatures is the impulse toward self-preservation. This is the primary human impulse and the starting point of Stoic ethics. This impulse is implanted by Nature and entails a certain consciousness of things appropriate to (or belonging to) the organism and of things alien or hostile to the creature. In contrast to the Epicureans, who held that the primary impulse was toward pleasure, the Stoics argued that the innate impulse toward self-regard and an awareness of one’s own constitution was even more elementary. This innate impulse explains how animals naturally know how to use their limbs and defensive organs and why it is that animals naturally recognize predators as enemies.

Children and animals, however, are not rational; Nature must therefore supply the primary impulse as a foundation for behavior. In the case of animals the innate impulses explain a range of complex behavior, which in many cases appears intelligent. For example, the Stoics held that a spider does not possess rationality despite the apparently intelligent use of a web to catch insects. Primary impulses in animals are therefore identified with complex instincts. In the case of human beings, primary impulse is ideally a transitional mechanism. As children mature into adults, they develop rationality so that the impulse toward self-preservation falls under the scrutiny of reason. Rationality permits the agent to develop the notion of duty and virtue, which may at times take precedence over self-preservation. As the agent progresses in virtue and reason, children, family members, neighbors, fellow citizens, and finally all humankind are likewise seen as intrinsically valuable and incorporated into the agent’s sphere of concern and interest. This process is called oikeiôsis or the doctrine of appropriation and is central to the Stoic ethics.

Also closely associated with the doctrine of the primary impulse is the Stoic doctrine of preconception [prolepsis]. A preconception is an innate disposition to form certain conceptions. The most frequently mentioned preconceptions are the concept of the good and the concept of God. Since the Stoics held that the soul is a blank sheet at birth, the preconception cannot be a specific cognition but only an innate disposition to form certain concepts.

b. Passion and Eupatheia

The final element of Stoic philosophy of mind to be presented in this article is the doctrine of the passions. Plato and Aristotle held that the soul had both rational and irrational parts and used this view to explain mental conflict. For example, the irrational “appetitive part” of the soul may desire a steady diet of rich and fatty foods. The rational part of the soul, however, will resist the demands of the irrational part since such a diet is unhealthy. The result is emotional conflict and in somecases moral conflict. Most Stoics (Posidonius being the most famous exception), in contrast, denied the existence of an irrational faculty. However, in order to explain the phenomenon of mental conflict, the Stoics developed a theory of passion which they believed could do the same work as Plato’s or Aristotle’s.

The Stoics defined passion in several ways, each emphasizing a different facet of the term. The four most common accounts or definitions of passion are:

  1. An excessive impulse.
  2. An impulse disobedient to (the dictates of) reason.
  3. A false judgement or opinion.
  4. A fluttering [ptoia] of the soul.

Each definition emphasizes a different aspect of passion. The first two definitions tell us that a passion is a kind of impulse. The first of these focuses on force. A passion is a runaway impulse or emotion. Chrysippus compared a passion to a person running downhill and unable to stop at will. The soul is carried away by the sheer force and strength of the impulse. Passions often develop a momentum that cannot easily be stopped. Some texts also emphasize that there is a temporal dimension to passion. The fresher the passion, the stronger the impulse; passions usually weaken over time.

The second and third definitions emphasize the logical side of passion. Passions are unruly and contrary to reason. They are based on mistaken thinking or false opinions. The fact that passions are irrational does not mean that they come from an irrational faculty. They can be errors produced by the rational faculty. Having a rational faculty does not imply infallibility. Rather, it implies that cognitive states are produced through an inferential process which operates with a syntax similar to language. Mathematics operates in a similar fashion. When we make mathematical errors, we do not appeal to a non-mathematic part of the soul which conflicts with the mathematical. Rather we attribute the error to a single, though limited and fallible, rational faculty. The Stoics saw passion in the same way. Passions are false judgements or mistakes in regards to the value of something and are thereby misdirected impulses. According to Stoic ethics, only virtues are truly good, whereas externals such as wealth, honor, power, and pleasure are indifferent to our happiness since each can also harm us and each ultimately lies beyond our control. These externals then are said to be morally “indifferent” (adiaphoron). When we mistakenly value something indifferent as though it were a genuine good, we form a false judgement and experience passion.

The traditional Stoic passions can be broken down into four different kinds or classes of errors in judgement. These errors concern the good and bad (value), and the present and the future (time):

Present Future
Good Pleasure Appetite
Bad Distress Fear

When one identifies something as good in the present when in fact it is not truly a good we have the passion called pleasure and its subspecies. When we do the same in the future we have appetite. Likewise when we misidentify something as bad in the present, we experience the passion called distress; when we err regarding something in the future we call it fear.

The fourth and final definition of passion as “a fluttering in the soul” is most likely a physical description of passion much as Aristotle describes anger as a boiling of blood around the heart. As corporealists, the Stoics frequently described activities as physical descriptions of the pneuma of the soul. The Stoics defined the individual passions as an irrational swelling or rising [heparsis]. When our impulses are excessive and unruly, the pneuma in one’s chest canfeel like a fluttering. In contrast, Zeno described happiness, a state which presupposed rationality and virtue, as a smooth flowing soul. The fluttering may also signify the instability of passions as judgements. Chrysippus illustrated emotional disruption caused by the fluttering of passion with the example of Euripides’ Medea, who continually flipped back and forth from one judgement to another.

These four definitions or descriptions of passion are in agreement though each emphasizes a different aspect of passion. For example, grief over lost or stolen property is considered a passion, a species of distress. Since the object of concern (the stolen property) is in truth of no moral worth (indifferent), for it is only our virtuous response to the situation that qualifies as morally good or bad, the impulse identified with the grief is excessive (1). Since we do not heed reason which would tell us that happiness lies in virtue alone, it is also an impulse disobedient to reason (2). Likewise, since the value attributed to an object does not represent its true worth, it is a false judgement (3). Finally, the distress which we experience in the grief manifests itself not as a smooth calm state but as a fluttering or disturbance in our soul (4).

If passions are excessive impulses and mistaken judgements resulting in emotional disquietude, there must also be appropriate impulses and correct judgements resulting in emotional peace. It is a mistake to assume that if the Stoics reject passion that they seek a life void of any emotion, that is, that they seek to be emotionally flat. A better reading of Stoicism is that the goal is not absence of emotion, but a well-disposed emotional life. This is a life in which impulses are rational, moderate, and held in check. It is a state in which one’s impulses are appropriate to and consistent with the nature of things, both regarding the truth of the judgement and the degree of the response. This view is supported by the Stoic doctrine of the eupatheiai. Calling positive emotions “good-passions” may have been an attempt to rectify the misrepresentation of their school as being void of emotion. Examples of the eupatheiai are joy [khara], caution [eulabeia], and reasonable wishing [boulêsis]. Joy is said to be the counterpart of pleasure, caution is contrasted with fear, and reasonable wishing is contrasted with appetite. The difference is that in the eupatheiai the force of the impulse is appropriate to the value of the object, the impulse is consistent with rational behavior, and finally the belief or judgement regarding the nature of the object is true.

One should note that there are only three categories for the eupatheiai in contrast to the four for passions. There is no eupatheia corresponding to distress. This is due to the Stoic conception of moral invincibility. Distress was defined as an incorrect judgement regarding a present evil. The Stoics, however, held that the good lies not in external events or objects but in the virtuous response of the moral agent to any situation. Since it is always possible to respond virtuously, there is no true evil in the present. The good is always possible here and now.

5. References and Further Reading

a. Collections of Stoic texts

  • Clark, Gordon H. (ed.). 1940. Selections From Hellenistic Philosophy. New York: Croft.
  • Edelstein, L. and Kidd, I. G. (eds.) 1972. Posidonius. The Fragments, 4 vols. Cambridge: University Press.
  • Hülser, Karlheinz. (ed.). 1987. Die Fragmente zur Dialektik der Stoiker. 4 vols. Stuttgart: Frommann-Holzboog.
  • Inwood, Brad and Gerson, L. P. (eds.). 1997. Hellenistic Philosophy: Introductory Readings, 2nd edition. Indianapolis: Hackett.
  • Long, A.A. and Sedley, D.N. (eds.). 1987. The Hellenistic Philosophers, 2 vols. Cambridge: Cambridge University Press.
  • Saunders, Jason L. (ed.). 1996. Greek and Roman Philosophy after Aristotle. New York: Free Press.
  • von Arnim, Ioannes (ed.). 1903-1905. Stoicorum Veterum Fragmenta. Leipzig: Teubner.

b. Recommended Readings on Stoic Psychology

  • Algra, Keimpe, et al. (eds.) 1999. The Cambridge History of Hellenistic Philosophy. Cambridge: Cambridge University Press.
  • Annas, Julia. 1992. Hellenistic Philosophy of Mind. Berkeley: University of California Press.
  • Arthur, E. P. 1983. “The Stoic analysis of the mind’s reaction to presentations”, Hermes 111: 69-78.
  • Brennan, Tad. 1996. “Reasonable Impressions in Stoicism”, Phronesis 41.3: 318-334.
  • Brennan, Tad. 1998. “The Old Stoic Theory of Emotion”, in Sihvola and Engberg-Pedersen (eds.) 1998: 21-70.
  • Brunschwig, Jacques. 1986. “The cradle argument in Epicureanism and Stoicism”, in Schofield and Striker 1986: 113-144.
  • Brunschwig, Jacques. 1994. Papers in Hellenistic Philosophy. Cambridge: Cambridge University Press. Translated by Janet Lloyd.
  • Brunschwig, J. and Nussbaum, M. C. (eds.) 1993. Passions & Perceptions: studies in Hellenistic philosophy of mind. Proceedings of the Fifth Symposium Hellenisticum. Cambridge: Cambridge University Press.
  • Caston, Victor. 1999. “Something and Nothing: The Stoics on concepts and universals” Oxford Studies in Ancient Philosophy 17: 145-213.
  • Chiesa, M. C. 1991. “Le problème du langage intérieur chez les Stoïciens”, Revue Internationale de Philosophie 3, 301-321.
  • Cooper, John. 1998. “Posidonius on Emotions”, in Sihvola and Engberg-Pedersen, 1998: 71-112.
  • Doty, Ralph. 1992. The Criterion of Truth. American University Studies. Series V Philosophy, vol. 108. New York: Peter Lang.
  • Engberg-Pedersen, Troels. 1998. “Marcus Aurelius on Emotions”, in Sihvola and Engberg-Pedersen, 1998: 305-338.
  • Everson, Stephen. 1990. Epistemology. Companions to Ancient Thought. Vol. 1. Cambridge: Cambridge University Press.
  • Everson, Stephen. 1991. Psychology. Companions to Ancient Thought. Vol. 2. Cambridge: Cambridge University Press.
  • Everson, Stephen. 1994. Language. Companions to Ancient Thought. Vol. 3. Cambridge: Cambridge University Press.
  • Frede, Michael. 1983. “Stoics and Skeptics on clear and distinct impressions”, in Essays in Ancient Philosophy. Minneapolis: University of Minnesota.: 65-93.
  • Frede, Michael. 1994. “The Stoic notion of lekton”, in Everson 1994: 109-128.
  • Gill, Christopher. 1991. “Is there a concept of person in Greek philosophy?”, in Everson 1991: 166-193.
  • Gill, Christopher. 1998. “Did Galen Understand Platonic and Stoic Thinking on Emotion”, in Sihvola and Engberg-Pedersen, 1998: 113-148.
  • Glibert-Thirry, A. 1977. “La théorie stoïcienne de la passion chez Chrysippe et son évolution chez Posidonius”, Revue philosophique de Louvain 75: 393-435.
  • Gould, J. 1970. The Philosophy of Chrysippus. Leiden: Brill.
  • Hahm, David E. 1977. The Origins of Stoic Cosmology. Columbus: Ohio State University Press.
  • Hahm, David E. 1978. “Early Hellenistic theories of vision and the perception of color”, in Machamer & Turnbull 1978: 60-95.
  • Imbert, Claude. 1978. “Théorie de la representation et doctrine logique dans le stoicisme ancien”, in Brunschwig 1978: 223-249.
  • Ingenkamp, Heinz Gerd. 1971. “Zur stoischen Lehre vom Sehen”, Rheinisches Museum für Philologie 114: 240-246.
  • Inwood, Brad. 1985. Ethics and Human Action in Early Stoicism. Oxford: Clarendon Press.
  • Inwood, Brad. 1993. “Seneca and psychological dualism”, in Brunschwig and Nussbaum 1993: 150-183.
  • Inwood, Brad. 1999. “Rules and Reasoning in Stoic Ethics”, in Topics in Stoic Philosophy, Ierodikonou, Katerina (ed.): 95-127.
  • Ioppolo, Anna-Maria. 1990. “Presentation and assent: A physical and cognitive problem in early Stoicism”, Classical Quarterly 40: 433-449.
  • Kerferd, George B. 1978. “The search for personal identity in Stoic thought”, Bulletin of the John Ryland Library 55: 177-196.
  • Kerferd, George B. 1978. “The problem of synkathesis and katalepsis in Stoic doctrine”, in Brunschwig 1978: 251-272.
  • Kidd, I.G. 1971. “Posidonius on Emotions” in Long 1971: 200-215.
  • Lesses, Glenn. 1998. “Content, Cause, and Stoic Impressions”, Phronesis 43.1: 1-25.
  • Lewis, Eric. 1995. “The Stoics on identity and individuation”, Phronesis 40: 89-108.
  • Lloyd, A.C. 1978. “Emotion and decision in Stoic psychology”, in Rist 1978: 233-246.
  • Long, A. A. (ed.). 1971. Problems in Stoicism. London: Athlone Press.
  • Long, A. A. 1971. “Language and thought in Stoicism”, in Long 1971: 75-113.
  • Long, A. A. 1974. Hellenistic Philosophy. 2nd ed. London: Duckworth.
  • Long, A. A. 1978. “The Stoic distinction between truth and the true”, in Brunschwig 1978: 297-315.
  • Long, A. A. 1982. “Soul and Body in Stoicism”, Phronesis 27: 34-57.
  • Long, A. A. 1991. “Representation and the self in Stoicism”, 102-120 in Everson 1991.
  • Nussbaum, Martha. 1993. “Poetry and the passions: two Stoic views” in Brunschwig and Nussbaum 1993: 97-149.
  • Nussbaum, Martha. 1994. The Therapy of Desire: Theory and Practice in Hellenistic Ethics. Princeton, NJ: Princeton University Press.
  • Modrak, Deborah K. 1993. “Stoics, Epicureans and mental content”, Apeiron 26: 97-108.
  • Ostenfeld, Erik. 1987. Ancient Greek Psychology and the Modern Mind-Body Debate. Aarhus, Denmark: Aarhus University Press.
  • Pembroke, S. G. 1971. “Oikeiôsis”, in Long 1971: 114-149.
  • Reale, Giovanni. 1990. A History of Ancient Philosophy, vol. 4. The Schools of the Imperial Age. Albany, NY: State University of New York Press. [Edited. & translated by John R. Catan].
  • Reesor, Margaret, E. 1989. The Nature of Man in Early Stoic Philosophy. London: Duckworth.
  • Rist, John M. 1969. Stoic Philosophy. Cambridge: Cambridge University Press.
  • Rist, John M. 1985. “On Greek biology, Greek cosmology and some sources of theological pneuma“, Prudentia. The Concept of Spirit. Supplementary Number 1985, 27-47.
  • Rist, John M. (ed.). 1978. The Stoics. Berkeley, Los Angeles, and London: University of California Press.
  • Rorty, Amélie Oksenberg. 1998. “The Two Faces of Stoicism: Rousseau and Freud”, in Sihvola and Engberg-Pedersen, 1998: 243-270.
  • Sakezles, Priscilla. 1998. “Aristotle and Chrysippus on the physiology of human action”, Apeiron 31.2, 127-166.
  • Sandbach, F. H. 1971. “phantasia kataleptike”, in Long 1971: 9-21.
  • Schofield, M., Burnyeat, M. and Barnes, J. (eds.). 1980. Doubt and Dogmatism: studies in Hellenistic epistemology. Oxford: Clarendon Press.
  • Schofield, M. and Striker, G. (eds.). 1986. The Norms of Nature. Cambridge: Cambridge University Press.
  • Sedley, David. 1993. “Chrysippus on psychophysical causality”, in Brunschwig and Nussbaum 1993: 313-331.
  • Sharples, R. W. 1996. Stoics, Epicureans, and Sceptics: An Introduction to Hellenistic Philosophy. London: Routledge.
  • Sihvola, Juha and Engberg-Pedersen, Troels (eds.) 1998. The Emotions in Hellenistic Philosophy. Dordrecht: Kluwer Academic Publishers.
  • Sorabji, Richard. 1990. “Perceptual content in the Stoics”, Phronesis 35, 301-314.
  • Sorabji, Richard. Animal Minds & Human Morals. Ithaca: Cornell University Press.
  • Sorabji, Richard. 1998. “Chrysippus – Posidonius – Seneca: A High Level Debate on Emotion”, in Sihvola and Engberg-Pedersen, 1998: 149-170.
  • Striker, Gisela. 1996. Essays on Hellenistic Epistemology and Ethics. Cambridge: Cambridge University Press.
  • Todd, Robert B. 1974. “‘Synentasis’ and the Stoic theory of perception”, Grazer Beiträge 2, 251-261.
  • Todd, Robert B. 1976. Alexander of Aphrodisias on Stoic Physics. Leiden: Brill.
  • von Staden, Heinrich. 1978. “The Stoic theory of perception and its ‘Platonic’ critics”, 96-136 in Machamer & Turnbull 1978.
  • Watson, Gerard. 1988. “Discovering the imagination: Platonists and Stoics on phantasia“, 208-233 in Dillon and Long 1988.
  • Watson, Gerard. 1994. “The concept of ‘phantasia‘ from the late Hellenistic period to early Neoplatonism”, Aufstieg und Niedergang der Römischen Welt (ANRW) II.36.7: 4765-4810.
  • Williams, Bernard. 1994. “Stoic Philosophy and the Emotions: reply to Richard Sorabji”, Aristotle and After, 21-214.

Author Information

Scott Rubarth
Email: srubarth@rollins.edu
Rollins College
U. S. A.

Aristotle: Politics

In his Nicomachean Ethics, Aristotle (384-322 B.C.E.) describes the happy life intended for man by nature as one lived in accordance with virtue, and, in his Politics, he describes the role that politics and the political community must play in bringing about the virtuous life in the citizenry.

The Politics also provides analysis of the kinds of political community that existed in his time and shows where and how these cities fall short of the ideal community of virtuous citizens.

Although in some ways we have clearly moved beyond his thought (for example, his belief in the inferiority of women and his approval of slavery in at least some circumstances), there remains much in Aristotle’s philosophy that is valuable today.

In particular, his views on the connection between the well-being of the political community and that of the citizens who make it up, his belief that citizens must actively participate in politics if they are to be happy and virtuous, and his analysis of what causes and prevents revolution within political communities have been a source of inspiration for many contemporary theorists, especially those unhappy with the liberal political philosophy promoted by thinkers such as John Locke and John Stuart Mill.

Table of Contents

  1. Biography and History
  2. The Texts
  3. Challenges of the Texts
  4. Politics and Ethics
  5. The Importance of Telos
  6. The Text of the Politics
  7. The Politics, Book I
    1. The Purpose of the City
    2. How the City Comes Into Being
    3. Man, the Political Animal
    4. Slavery
    5. Women
  8. The Politics, Book II
    1. What Kind of Partnership Is a City?
    2. Existing Cities: Sparta, Crete, Carthage
  9. The Politics, Book III
    1. Who Is the Citizen?
    2. The Good Citizen and the Good Man
    3. Who Should Rule?
  10. The Politics, Book IV
    1. Polity: The Best Practical Regime
    2. The Importance of the Middle Class
  11. The Politics, Book V
    1. Conflict Between the Rich and the Poor
    2. How to Preserve Regimes
  12. The Politics, Book VI
    1. Varieties of Democracy
    2. The Best Kind of Democracy
    3. The Role of Wealth in a Democracy
  13. The Politics, Book VII
    1. The Best Regime and the Best Men
    2. Characteristics of the Best City
  14. The Politics, Book VIII
    1. The Education of the Young
  15. References and Further Reading

1. Biography and History

Aristotle’s life was primarily that of a scholar. However, like the other ancient philosophers, it was not the stereotypical ivory tower existence. His father was court physician to Amyntas III of Macedon, so Aristotle grew up in a royal household. Aristotle also knew Philip of Macedon (son of Amyntas III) and there is a tradition that says Aristotle tutored Philip’s son Alexander, who would later be called “the Great” after expanding the Macedonian Empire all the way to what is now India. Clearly, Aristotle had significant firsthand experience with politics, though scholars disagree about how much influence, if any, this experience had on Aristotle’s thought. There is certainly no evidence that Alexander’s subsequent career was much influenced by Aristotle’s teaching, which is uniformly critical of war and conquest as goals for human beings and which praises the intellectual, contemplative lifestyle. It is noteworthy that although Aristotle praises the politically active life, he spent most of his own life in Athens, where he was not a citizen and would not have been allowed to participate directly in politics (although of course anyone who wrote as extensively and well about politics as Aristotle did was likely to be politically influential).

Aristotle studied under Plato at Plato’s Academy in Athens, and eventually opened a school of his own (the Lyceum) there. As a scholar, Aristotle had a wide range of interests. He wrote about meteorology, biology, physics, poetry, logic, rhetoric, and politics and ethics, among other subjects. His writings on many of these interests remained definitive for almost two millennia. They remained, and remain, so valuable in part because of the comprehensiveness of his efforts. For example, in order to understand political phenomena, he had his students collect information on the political organization and history of 158 different cities. The Politics makes frequent reference to political events and institutions from many of these cities, drawing on his students’ research. Aristotle’s theories about the best ethical and political life are drawn from substantial amounts of empirical research. These studies, and in particular the Constitution of Athens, will be discussed in more detail below (Who Should Rule?). The question of how these writings should be unified into a consistent whole (if that is even possible) is an open one and beyond the scope of this article. This article will not attempt to organize all of Aristotle’s work into a coherent whole, but will draw on different texts as they are necessary to complete one version of Aristotle’s view of politics.

2. The Texts

The most important text for understanding Aristotle’s political philosophy, not surprisingly, is the Politics. However, it is also important to read Nicomachean Ethics in order to fully understand Aristotle’s political project. This is because Aristotle believed that ethics and politics were closely linked, and that in fact the ethical and virtuous life is only available to someone who participates in politics, while moral education is the main purpose of the political community. As he says in Nicomachean Ethics at 1099b30, “The end [or goal] of politics is the best of ends; and the main concern of politics is to engender a certain character in the citizens and to make them good and disposed to perform noble actions.” Most people living today in Western societies like the United States, Canada, Germany, or Australia would disagree with both parts of that statement. We are likely to regard politics (and politicians) as aiming at ignoble, selfish ends, such as wealth and power, rather than the “best end”, and many people regard the idea that politics is or should be primarily concerned with creating a particular moral character in citizens as a dangerous intrusion on individual freedom, in large part because we do not agree about what the “best end” is. In fact, what people in Western societies generally ask from politics and the government is that they keep each of us safe from other people (through the provision of police and military forces) so that each of us can choose and pursue our own ends, whatever they may be. This has been the case in Western political philosophy at least since John Locke. Development of individual character is left up to the individual, with help from family, religion, and other non-governmental institutions. More will be said about this later, but the reader should keep in mind that this is an important way in which our political and ethical beliefs are not Aristotle’s. The reader is also cautioned against immediately concluding from this that Ar istotle was wrong and we are right. This may be so, but it is important to understand why, and the contrast between Aristotle’s beliefs and ours can help to bring the strengths and weaknesses of our own beliefs into greater clarity.

The reference above to “Nicomachean Ethics at 1099b30″ makes use of what is called Bekker pagination. This refers to the location of beginning of the cited text in the edition of Aristotle’s works produced by Immanuel Bekker in Berlin in 1831 (in this case, it begins on page 1099, column b, line 30). Scholars make use of this system for all of Aristotle’s works except the Constitution of Athens (which was not rediscovered until after 1831) and fragmentary works in order to be able to refer to the same point in Aristotle’s work regardless of which edition, translation, or language they happen to be working with. This entry will make use of the Bekker pagination system, and will also follow tradition and refer to Nicomachean Ethics as simply Ethics. (There is also a Eudemian Ethics which is almost certainly by Aristotle (and which shares three of the ten books of the Nicomachean Ethics) and a work on ethics titled Magna Moralia which has been attributed to him but which most scholars now believe is not his work. Regardless, most scholars believe that the Nicomachean Ethics is Aristotle’s fullest and most mature expression of his ethical theory). The translation is that of Martin Ostwald; see the bibliography for full information. In addition to the texts listed above, the student with an interest in Aristotle’s political theory may also wish to read the Rhetoric, which includes observations on ethics and politics in the context of teaching the reader how to be a more effective speaker, and the Constitution of Athens, a work attributed to Aristotle, but which may be by one of his students, which describes the political history of the city of Athens.

3. Challenges of the Texts

Any honest attempt to summarize and describe Aristotle’s political philosophy must include an acknowledgment that there is no consensus on many of the most important aspects of that philosophy. Some of the reasons for this should be mentioned from the outset.

One set of reasons has to do with the text itself and the transmission of the text from Aristotle’s time to ours. The first thing that can lead to disagreement over Aristotle’s beliefs is the fact that the Politics andEthics are believed by many scholars to be his lecture notes, for lectures which were intended to be heard only by his own students. (Aristotle did write for general audiences on these subjects, probably in dialogue form, but only a few fragments of those writings remain). This is also one reason why many students have difficulty reading his work: no teacher’s lecture notes ever make complete sense to anyone else (their meaning can even elude their author at times). Many topics in the texts are discussed less fully than we would like, and many things are ambiguous which we wish were more straightforward. But if Aristotle was lecturing from these writings, he could have taken care of these problems on the fly as he lectured, since presumably he knew what he meant, or he could have responded to requests for clarification or elaboration from his students.

Secondly, most people who read Aristotle are not reading him in the original Attic Greek but are instead reading translations. This leads to further disagreement, because different authors translate Aristotle differently, and the way in which a particular word is translated can be very significant for the text as a whole. There is no way to definitively settle the question of what Aristotle “really meant to say” in using a particular word or phrase.

Third, the Aristotelian texts we have are not the originals, but copies, and every time a text gets copied errors creep in (words, sentences, or paragraphs can get left out, words can be changed into new words, and so forth). For example, imagine someone writing the sentence “Ronald Reagan was the lastcompetent president of the United States.” It is copied by hand, and the person making the copy accidentally writes (or assumes that the author must have written) “Ronald Reagan was the leastcompetent president of the United States.” If the original is then destroyed, so that only the copy remains, future generations will read a sentence that means almost exactly the opposite of what the author intended. It may be clear from the context that a word has been changed, but then again it may not, and there is always hesitation in changing the text as we have it. In addition, although nowadays it is unacceptable to modify someone else’s work without clearly denoting the changes, this is a relatively recent development and there are portions of Aristotle’s texts which scholars believe were added by later writers. This, too, complicates our understanding of Aristotle.

Finally, there are a number of controversies related to the text of the Politics in particular. These controversies cannot be discussed here, but should be mentioned. For more detail consult the works listed in the “Suggestions for further reading” below. First, there is disagreement about whether the books of the Politics are in the order that Aristotle intended. Carnes Lord and others have argued based on a variety of textual evidence that books 7 and 8 were intended by Aristotle to follow book 3. Rearranging the text in this way would have the effect of joining the early discussion of the origins of political life and the city, and the nature of political justice, with the discussion of the ideal city and the education appropriate for it, while leaving together books 4-6 which are primarily concerned with existing varieties of regimes and how they are preserved and destroyed and moving them to the conclusion of the book. Second, some authors, notably Werner Jaeger, have argued that the different focus and orientation of the different portions of the Politics is a result of Aristotle writing them at different times, reflecting his changing interests and orientation towards Plato‘s teachings. The argument is that at first Aristotle stuck very closely to the attitudes and ideas of his teacher Plato, and only later developed his own more empirical approach. Thus any difficulties that there may be in integrating the different parts of the Politicsarise from the fact that they were not meant to be integrated and were written at different times and with different purposes. Third, the Politics as we have it appears to be incomplete; Book 6 ends in the middle of a sentence and Book 8 in the middle of a discussion. There are also several places in the Politicswhere Aristotle promises to consider a topic further later but does not do so in the text as we have i t (for example, at the end of Book II, Chapter 8). It is possible that Aristotle never finished writing it; more likely there is material missing as a result of damage to the scrolls on which it was written. The extent and content of any missing material is a matter of scholarly debate.

Fortunately, the beginning student of Aristotle will not need to concern themselves much with these problems. It is, however, important to get a quality translation of the text, which provides an introduction, footnotes, a glossary, and a bibliography, so that the reader is aware of places where, for example, there seems to be something missing from the text, or a word can have more than one meaning, or there are other textual issues. These will not always be the cheapest or most widely available translations, but it is important to get one of them, from a library if need be. Several suggested editions are listed at the end of this article.

4. Politics and Ethics

In Book Six of the Ethics Aristotle says that all knowledge can be classified into three categories: theoretical knowledge, practical knowledge, and productive knowledge. Put simply, these kinds of knowledge are distinguished by their aims: theoretical knowledge aims at contemplation, productive knowledge aims at creation, and practical knowledge aims at action. Theoretical knowledge involves the study of truth for its own sake; it is knowledge about things that are unchanging and eternal, and includes things like the principles of logic, physics, and mathematics (at the end of the Ethics Aristotle says that the most excellent human life is one lived in pursuit of this type of knowledge, because this knowledge brings us closest to the divine). The productive and practical sciences, in contrast, address our daily needs as human beings, and have to do with things that can and do change. Productive knowledge means, roughly, know-how; the knowledge of how to make a table or a house or a pair of shoes or how to write a tragedy would be examples of this kind of knowledge. This entry is concerned with practical knowledge, which is the knowledge of how to live and act. According to Aristotle, it is the possession and use of practical knowledge that makes it possible to live a good life. Ethics and politics, which are the practical sciences, deal with human beings as moral agents. Ethics is primarily about the actions of human beings as individuals, and politics is about the actions of human beings in communities, although it is important to remember that for Aristotle the two are closely linked and each influences the other.

The fact that ethics and politics are kinds of practical knowledge has several important consequences. First, it means that Aristotle believes that mere abstract knowledge of ethics and politics is worthless. Practical knowledge is only useful if we act on it; we must act appropriately if we are to be moral. He says at Ethics 1103b25: “The purpose of the present study [of morality] is not, as it is in other inquiries, the attainment of theoretical knowledge: we are not conducting this inquiry in order to know what virtue is, but in order to become good, else there would be no advantage in studying it.”

Second, according to Aristotle, only some people can beneficially study politics. Aristotle believes that women and slaves (or at least those who are slaves by nature) can never benefit from the study of politics, and also should not be allowed to participate in politics, about which more will be said later. But there is also a limitation on political study based on age, as a result of the connection between politics and experience: “A young man is not equipped to be a student of politics; for he has no experience in the actions which life demands of him, and these actions form the basis and subject matter of the discussion” (Ethics 1095a2). Aristotle adds that young men will usually act on the basis of their emotions, rather than according to reason, and since acting on practical knowledge requires the use of reason, young men are unequipped to study politics for this reason too. So the study of politics will only be useful to those who have the experience and the mental discipline to benefit from it, and for Aristotle this would have been a relatively small percentage of the population of a city. Even in Athens, the most democratic city in Greece, no more than 15 percent of the population was ever allowed the benefits of citizenship, including political participation. Athenian citizenship was limited to adult males who were not slaves and who had one parent who was an Athenian citizen (sometimes citizenship was further restricted to require both parents to be Athenian citizens). Aristotle does not think this percentage should be increased – if anything, it should be decreased.

Third, Aristotle distinguishes between practical and theoretical knowledge in terms of the level of precision that can be attained when studying them. Political and moral knowledge does not have the same degree of precision or certainty as mathematics. Aristotle says at Ethics 1094b14: “Problems of what is noble and just, which politics examines, present so much variety and irregularity that some people believe that they exist only by convention and not by nature….Therefore, in a discussion of such subjects, which has to start with a basis of this kind, we must be satisfied to indicate the truth with a rough and general sketch: when the subject and the basis of a discussion consist of matters that hold good only as a general rule, but not always, the conclusions reached must be of the same order.” Aristotle does not believe that the noble and the just exist only by convention, any more than, say, the principles of geometry do. However, the principles of geometry are fixed and unchanging. The definition of a point, or a line, or a plane, can be given precisely, and once this definition is known, it is fixed and unchanging for everyone. However, the definition of something like justice can only be known generally; there is no fixed and unchanging definition that will always be correct. This means that unlike philosophers such as Hobbes and Kant, Aristotle does not and in fact cannot give us a fixed set of rules to be followed when ethical and political decisions must be made. Instead he tries to make his students the kind of men who, when confronted with any particular ethical or political decision, will know the correct thing to do, will understand why it is the correct choice, and will choose to do it for that reason. Such a man will know the general rules to be followed, but will also know when and why to deviate from those rules. (I will use “man” and “men” when referring to citizens so that the reader keeps in mind that Aristotle, and the Greeks generally, excluded women from political part icipation. In fact it is not until the mid-19th century that organized attempts to gain the right to vote for women really get underway, and even today in the 21st century there are still many countries which deny women the right to vote or participate in political life).

5. The Importance of Telos

I have already noted the connection between ethics and politics in Aristotle’s thought. The concept that most clearly links the two is that which Aristotle called telos. A discussion of this concept and its importance will help the reader make sense of what follows. Aristotle himself discusses it in Book II, Chapter 3 of the Physics and Book I, Chapter 3 of the Metaphysics.

The word telos means something like purpose, or goal, or final end. According to Aristotle, everything has a purpose or final end. If we want to understand what something is, it must be understood in terms of that end, which we can discover through careful study. It is perhaps easiest to understand what a telos is by looking first at objects created by human beings. Consider a knife. If you wanted to describe a knife, you would talk about its size, and its shape, and what it is made out of, among other things. But Aristotle believes that you would also, as part of your description, have to say that it is made to cut things. And when you did, you would be describing its telos. The knife’s purpose, or reason for existing, is to cut things. And Aristotle would say that unless you included that telos in your description, you wouldn’t really have described – or understood – the knife. This is true not only of things made by humans, but of plants and animals as well. If you were to fully describe an acorn, you would include in your description that it will become an oak tree in the natural course of things – so acorns too have a telos. Suppose you were to describe an animal, like a thoroughbred foal. You would talk about its size, say it has four legs and hair, and a tail. Eventually you would say that it is meant to run fast. This is the horse’s telos, or purpose. If nothing thwarts that purpose, the young horse will indeed become a fast runner.

Here we are not primarily concerned with the telos of a knife or an acorn or a foal. What concerns us is the telos of a human being. Just like everything else that is alive, human beings have a telos. What is it that human beings are meant by nature to become in the way that knives are meant to cut, acorns are meant to become oak trees, and thoroughbred ponies are meant to become race horses? According to Aristotle, we are meant to become happy. This is nice to hear, although it isn’t all that useful. After all, people find happiness in many different ways. However, Aristotle says that living happily requires living a life of virtue. Someone who is not living a life that is virtuous, or morally good, is also not living a happy life, no matter what they might think. They are like a knife that will not cut, an oak tree that is diseased and stunted, or a racehorse that cannot run. In fact they are worse, since they have chosen the life they lead in a way that a knife or an acorn or a horse cannot.

Someone who does live according to virtue, who chooses to do the right thing because it is the right thing to do, is living a life that flourishes; to borrow a phrase, they are being all that they can be by using all of their human capacities to their fullest. The most important of these capacities is logos – a word that means “speech” and also means “reason” (it gives us the English word “logic”). Human beings alone have the ability to speak, and Aristotle says that we have been given that ability by nature so that we can speak and reason with each other to discover what is right and wrong, what is good and bad, and what is just and unjust.

Note that human beings discover these things rather than creating them. We do not get to decide what is right and wrong, but we do get to decide whether we will do what is right or what is wrong, and this is the most important decision we make in life. So too is the happy life: we do not get to decide what really makes us happy, although we do decide whether or not to pursue the happy life. And this is an ongoing decision. It is not made once and for all, but must be made over and over again as we live our lives. Aristotle believes that it is not easy to be virtuous, and he knows that becoming virtuous can only happen under the right conditions. Just as an acorn can only fulfill its telos if there is sufficient light, the right kind of soil, and enough water (among other things), and a horse can only fulfill its telos if there is sufficient food and room to run (again, among other things), an individual can only fulfill their telos and be a moral and happy human being within a well constructed political community. The community brings about virtue through education and through laws which prescribe certain actions and prohibit others.

And here we see the link between ethics and politics in a different light: the role of politics is to provide an environment in which people can live fully human, ethical, and happy lives, and this is the kind of life which makes it possible for someone to participate in politics in the correct way. As Aristotle says at Ethics1103a30: “We become just by the practice of just actions, self-controlled by exercising self-control, and courageous by performing acts of courage….Lawgivers make the citizens good by inculcating [good] habits in them, and this is the aim of every lawgiver; if he does not succeed in doing that, his legislation is a failure. It is in this that a good constitution differs from a bad one.” This is not a view that would be found in political science textbooks today, but for Aristotle it is the central concern of the study of politics: how can we discover and put into practice the political institutions that will develop virtue in the citizens to the greatest possible extent?

6. The Text of the Politics

Having laid out the groundwork for Aristotle’s thought, we are now in a position to look more closely at the text of the Politics. The translation we will use is that of Carnes Lord, which can be found in the list of suggested readings. This discussion is by no means complete; there is much of interest and value in Aristotle’s political writings that will not be considered here. Again, the reader is encouraged to investigate the list of suggested readings. However, the main topics and problems of Aristotle’s work will be included. The discussion will, to the extent possible, follow the organization of the Politics.

7. The Politics, Book I

a. The Purpose of the City

Aristotle begins the Politics by defining its subject, the city or political partnership. Doing so requires him to explain the purpose of the city. (The Greek word for city is polis, which is the word that gives us English words like “politics” and “policy”). Aristotle says that “It is clear that all partnerships aim at some good, and that the partnership that is most authoritative of all and embraces all the others does so particularly, and aims at the most authoritative good of all. This is what is called the city or the political partnership” (1252a3) (See also III.12). In Greece in Aristotle’s time the important political entities were cities, which controlled surrounding territories that were farmed. It is important to remember that the city was not subordinate to a state or nation, the way that cities are today; it was sovereign over the territory that it controlled. To convey this, some translations use the word “city-state” in place of the world “polis.” Although none of us today lives in a polis , we should not be too quick to dismiss Aristotle’s observations on the way of life of the polis as irrelevant to our own political partnerships.

Notice that Aristotle does not define the political community in the way that we generally would, by the laws that it follows or by the group that holds power or as an entity controlling a particular territory. Instead he defines it as a partnership. The citizens of a political community are partners, and as with any other partnership they pursue a common good. In the case of the city it is the most authoritative or highest good. The most authoritative and highest good of all, for Aristotle, is the virtue and happiness of the citizens, and the purpose of the city is to make it possible for the citizens to achieve this virtue and happiness. When discussing the ideal city, he says “[A] city is excellent, at any rate, by its citizens’ – those sharing in the regime – being excellent; and in our case all the citizens share in the regime” (1332a34). In achieving the virtue that is individual excellence, each of them will fulfill his telos. Indeed, it is the shared pursuit of virtue that makes a city a city.

As I have already noted at the beginning of this text, he says in the Ethics at 1099b30: “The end of politics is the best of ends; and the main concern of politics is to engender a certain character in the citizens and to make them good and disposed to perform noble actions.” As has been mentioned, most people today would not see this as the main concern of politics, or even a legitimate concern. Certainly almost everyone wants to see law-abiding citizens, but it is questionable that changing the citizens’ character or making them morally good is part of what government should do. Doing so would require far more governmental control over citizens than most people in Western societies are willing to allow.

Having seen Aristotle’s definition of the city and its purpose, we then get an example of Aristotle’s usual method of discussing political topics. He begins by examining opinions which are “generally accepted,” which means, as he says in the Topics at 100b21, “are accepted by everyone or by the majority or by the philosophers – i.e. by all, or by the majority, or by the most notable and illustrious of them” on the grounds that any such opinions are likely to have at least some truth to them. These opinions (the Greek word isendoxa), however, are not completely true. They must be systematically examined and modified by scholars of politics before the truths that are part of these opinions are revealed. Because Aristotle uses this method of examining the opinions of others to arrive at truth, the reader must be careful to pay attention to whether a particular argument or belief is Aristotle’s or not. In many cases he is setting out an argument in order to challenge it. It can be difficult to tell when Aristotle is arguing in his own voice and when he is considering the opinions of others, but the reader must carefully make this distinction if they are to understand Aristotle’s teachings. (It has also been suggested that Aristotle’s method should be seen as an example of how political discussion ought to be conducted: a variety of viewpoints and arguments are presented, and the final decision is arrived at through a consideration of the strengths and weaknesses of these viewpoints and arguments). For a further discussion of Aristotle’s methodology, see his discussion of reasoning in general and dialectical reasoning in particular in the Topics. Further examples of his approach can be found in Ethics I.4 and VII.1.

In this case, Aristotle takes up the popular opinion that political rule is really the same as other kinds of rule: that of kings over their subjects, of fathers over their wives and children, and of masters over their slaves. This opinion, he says, is mistaken. In fact, each of these kinds of rule is different. To see why, we must consider how the city comes into being, and it is to this that Aristotle next turns in Book I, Chapter 2.

b. How the City Comes Into Being

Here Aristotle tells the story of how cities have historically come into being. The first partnerships among human beings would have been between “persons who cannot exist without one another” (1252a27). There are two pairs of people for whom this is the case. One pair is that of male and female, for the sake of reproduction. This seems reasonable enough to the modern reader. The other pair, however, is that of “the naturally ruling and ruled, on account of preservation” (1252a30). Here Aristotle is referring to slavery. By “preservation” he means that the naturally ruling master and naturally ruled slave need each other if they are to preserve themselves; slavery is a kind of partnership which benefits both master and slave. We will see how later. For now, he simply says that these pairs of people come together and form a household, which exists for the purpose of meeting the needs of daily life (such as food, shelter, clothing, and so forth). The family is only large enough to provide for the bare necessities of life, sustaining its members’ lives and allowing for the reproduction of the species.

Over time, the family expands, and as it does it will come into contact with other families. Eventually a number of such families combine and form a village. Villages are better than families because they are more self-sufficient. Because villages are larger than families, people can specialize in a wider array of tasks and can develop skills in things like cooking, medicine, building, soldiering, and so forth which they could not develop in a smaller group. So the residents of a village will live more comfortable lives, with access to more goods and services, than those who only live in families.

The significant change in human communities, however, comes when a number of villages combine to form a city. A city is not just a big village, but is fundamentally different: “The partnership arising from [the union of] several villages that is complete is the city. It reaches a level of full self-sufficiency, so to speak; and while coming into being for the sake of living, it exists for the sake of living well” (1252b27). Although the founders of cities create them for the sake of more comfortable lives, cities are unique in making it possible for people to live well. Today we tend to think of “living well” as living a life of comfort, family satisfaction, and professional success, surrounded by nice things. But this is not what Aristotle means by “living well”. As we have seen, for Aristotle “living well” means leading a life of happiness and virtue, and by so doing fulfilling one’s telos. Life in the city, in Aristotle’s view, is therefore necessary for anyone who wishes to be completely human. (His particular concern is with the free men who are citizens). “He who is without a city through nature rather than chance is either a mean sort or superior to man,” Aristotle says (1253a3), and adds “One who is incapable of participating or who is in need of nothing through being self-sufficient is no part of a city, and so is either a beast or a god” (1253a27). Humans are not capable of becoming gods, but they are capable of becoming beasts, and in fact the worst kind of beasts: “For just as man is the best of the animals when completed, when separated from law and adjudication he is the worst of all” (1253a30). Outside of the context of life in a properly constructed city, human happiness and well-being is impossible. Even here at the very beginning of the Politics Aristotle is showing the link between ethics and politics and the importance of a well-constructed city in making it possible for the citizens to live well.

There is therefore a sense in which the city “is prior by nature to the household and to each of us” (1253a19). He compares the individual’s relationship with the city to the relationship of a part of the body to the whole body. The destruction of the whole body would also mean the destruction of each of its parts; “if the whole [body] is destroyed there will not be a foot or a hand” (1253a20). And just as a hand is not able to survive without being attached to a functioning body, so too an individual cannot survive without being attached to a city. Presumably Aristotle also means to imply that the reverse is not true; a body can survive the loss of a foot or a hand, although not without consequence. Thus the individual needs the city more than the city needs any of its individual citizens; as Aristotle says in Book 8 before beginning his discussion of the desirable education for the city’s children, “one ought not even consider that a citizen belongs to himself, but rather that all belong to the city; for each individual is a part of the city” (1337a26).

If the history that he has described is correct, Aristotle points out, then the city is natural, and not purely an artificial human construction, since we have established that the first partnerships which make up the family are driven by natural impulses: “Every city, therefore, exists by nature, if such also are the first partnerships. For the city is their end….[T]he city belongs among the things that exist by nature, and…man is by nature a political animal” (1252b30-1253a3). From the very first partnerships of male and female and master and slave, nature has been aiming at the creation of cities, because cities are necessary for human beings to express their capacities and virtues at their best, thus fulfilling their potential and moving towards such perfection as is possible for human beings. While most people today would not agree that nature has a plan for individual human beings, a particular community, or humanity as a whole (although many people would ascribe such a plan to a god or gods), Aristotle believes that nature does indeed have such a plan, and human beings have unique attributes that when properly used make it possible for us to fulfill that plan. What are those attributes?

c. Man, the Political Animal

That man is much more a political animal than any kind of bee or any herd animal is clear. For, as we assert, nature does nothing in vain, and man alone among the animals has speech….[S]peech serves to reveal the advantageous and the harmful and hence also the just and unjust. For it is peculiar to man as compared to the other animals that he alone has a perception of good and bad and just and unjust and other things of this sort; and partnership in these things is what makes a household and a city (1253a8).

Like bees and herd animals, human beings live together in groups. Unlike bees or herd animals, humans have the capacity for speech – or, in the Greek, logos. As we have seen, logos means not only speech but also reason. Here the linkage between speech and reason is clear: the purpose of speech, a purpose assigned to men by nature, is to reveal what is advantageous and harmful, and by doing so to reveal what is good and bad, just and unjust. This knowledge makes it possible for human beings to live together, and at the same time makes it possible for us to pursue justice as part of the virtuous lives we are meant to live. Other animals living in groups, such as bees, goats, and cows, do not have the ability to speak or to reason as Aristotle uses those terms. Of course, they do not need this ability. They are able to live together without determining what is just and unjust or creating laws to enforce justice among themselves. Human beings, for better or worse, cannot do this.

Although nature brings us together – we are by nature political animals – nature alone does not give us all of what we need to live together: “[T]here is in everyone by nature an impulse toward this sort of partnership. And yet the one who first constituted [a city] is responsible for the greatest of goods” [1253a29]. We must figure out how to live together for ourselves through the use of reason and speech, discovering justice and creating laws that make it possible for human community to survive and for the individuals in it to live virtuous lives. A group of people that has done this is a city: “[The virtue of] justice is a thing belonging to the city. For adjudication is an arrangement of the political partnership, and adjudication is judgment as to what is just” (1253a38). And in discovering and living according to the right laws, acting with justice and exercising the virtues that allow human society to function, we make possible not only the success of the political community but also the flourishing of our own individual virtue and happiness. Without the city and its justice, human beings are the worst of animals, just as we are the best when we are completed by the right kind of life in the city. And it is the pursuit of virtue rather than the pursuit of wealth or security or safety or military strength that is the most important element of a city: “The political partnership must be regarded, therefore, as being for the sake of noble actions, not for the sake of living together” (1281a1).

d. Slavery

Having described the basic parts of the city, Aristotle returns in Chapter 3 of Book I to a discussion of the household, beginning with the matter of slavery, including the question of whether slavery is just (and hence an acceptable institution) or not. This, for most contemporary readers is one of the two most offensive portions of Aristotle’s moral and political thought (the other is his treatment of women, about which more will be said below). For most people today, of course, the answer to this is obvious: slavery is not just, and in fact is one of the greatest injustices and moral crimes that it is possible to commit. (Although it is not widely known, there are still large numbers of people held in slavery throughout the world at the beginning of the 21st century. It is easy to believe that people in the “modern world” have put a great deal of moral distance between themselves and the less enlightened people in the past, but it is also easy to overestimate that distance).

In Aristotle’s time most people – at least the ones that were not themselves slaves – would also have believed that this question had an obvious answer, if they had asked the question at all: of course slavery is just. Virtually every ancient Mediterranean culture had some form of the institution of slavery. Slaves were usually of two kinds: either they had at one point been defeated in war, and the fact that they had been defeated meant that they were inferior and meant to serve, or else they were the children of slaves, in which case their inferiority was clear from their inferior parentage. Aristotle himself says that the sort of war that involves hunting “those human beings who are naturally suited to be ruled but [are] unwilling…[is] by nature just” (1256b25). What is more, the economies of the Greek city-states rested on slavery, and without slaves (and women) to do the productive labor, there could be no leisure for men to engage in more intellectual lifestyles. The greatness of Athenian plays, architecture, sculpture, and philosophy could not have been achieved without the institution of slavery. Therefore, as a practical matter, regardless of the arguments for or against it, slavery was not going to be abolished in the Greek world. Aristotle’s willingness to consider the justice of slavery, however we might see it, was in fact progressive for the time. It is perhaps also worth noting that Aristotle’s will specified that his slaves should be freed upon his death. This is not to excuse Aristotle or those of his time who supported slavery, but it should be kept in mind so as to give Aristotle a fair hearing.

Before considering Aristotle’s ultimate position on the justness of slavery – for who, and under what circumstances, slavery is appropriate – it must be pointed out that there is a great deal of disagreement about what that position is. That Aristotle believes slavery to be just and good for both master and slave in some circumstances is undeniable. That he believes that some people who are currently enslaved are not being held in slavery according to justice is also undeniable (this would apparently also mean that there are people who should be enslaved but currently are not). How we might tell which people belong in which group, and what Aristotle believes the consequences of his beliefs about slavery ought to be, are more difficult problems.

Remember that in his discussion of the household, Aristotle has said that slavery serves the interest of both the master and the slave. Now he tells us why: “those who are as different [from other men] as the soul from the body or man from beast – and they are in this state if their work is the use of the body, and if this is the best that can come from them – are slaves by nature….For he is a slave by nature who is capable of belonging to another – which is also why he belongs to another – and who participates in reason only to the extent of perceiving it, but does not have it” (1254b16-23). Notice again the importance of logos – reason and speech. Those who are slaves by nature do not have the full ability to reason. (Obviously they are not completely helpless or unable to reason; in the case of slaves captured in war, for example, the slaves were able to sustain their lives into adulthood and organize themselves into military forces. Aristotle also promises a discussion of “why it is better to hold out freedom as a reward for all slaves” (1330a30) which is not in the Politics as we have it, but if slaves were not capable of reasoning well enough to stay alive it would not be a good thing to free them). They are incapable of fully governing their own lives, and require other people to tell them what to do. Such people should be set to labor by the people who have the ability to reason fully and order their own lives. Labor is their proper use; Aristotle refers to slaves as “living tools” at I.4. Slaves get the guidance and instructions that they must have to live, and in return they provide the master with the benefits of their physical labor, not least of which is the free time that makes it possible for the master to engage in politics and philosophy.

One of the themes running through Aristotle’s thought that most people would reject today is the idea that a life of labor is demeaning and degrading, so that those who must work for a living are not able to be as virtuous as those who do not have to do such work. Indeed, Aristotle says that when the master can do so he avoids labor even to the extent of avoiding the oversight of those who must engage in it: “[F]or those to whom it is open not to be bothered with such things [i.e. managing slaves], an overseer assumes this prerogative, while they themselves engage in politics or philosophy” (1255b35).

This would seem to legitimate slavery, and yet there are two significant problems.

First, Aristotle points out that although nature would like us to be able to differentiate between who is meant to be a slave and who is meant to be a master by making the difference in reasoning capacity visible in their outward appearances, it frequently does not do so. We cannot look at people’s souls and distinguish those who are meant to rule from those who are meant to be ruled – and this will also cause problems when Aristotle turns to the question of who has a just claim to rule in the city.

Second, in Chapter Six, Aristotle points out that not everyone currently held in slavery is in fact a slave by nature. The argument that those who are captured in war are inferior in virtue cannot, as far as Aristotle is concerned, be sustained, and the idea that the children of slaves are meant to be slaves is also wrong: “[T]hey claim that from the good should come someone good, just as from a human being comes from a human being and a beast from beasts. But while nature wishes to do this, it is often unable to” (1255b3). We are left with the position that while some people are indeed slaves by nature, and that slavery is good for them, it is extremely difficult to find out who these people are, and that therefore it is not the case that slavery is automatically just either for people taken in war or for children of slaves, though sometimes it is (1256b23). In saying this, Aristotle was undermining the legitimacy of the two most significant sources of slaves. If Aristotle’s personal life is relevant, while he himself owned slaves, he was said to have freed them upon his death. Whether this makes Aristotle’s position on slavery more acceptable or less so is left to the reader to decide.

In Chapter 8 of Book I Aristotle says that since we have been talking about household possessions such as slaves we might as well continue this discussion. The discussion turns to “expertise in household management.” The Greek word for “household” is oikos, and it is the source of our word “economics.” In Aristotle’s day almost all productive labor took place within the household, unlike today, in modern capitalist societies, when it mostly takes place in factories, offices, and other places specifically developed for such activity.

Aristotle uses the discussion of household management to make a distinction between expertise in managing a household and expertise in business. The former, Aristotle says, is important both for the household and the city; we must have supplies available of the things that are necessary for life, such as food, clothing, and so forth, and because the household is natural so too is the science of household management, the job of which is to maintain the household. The latter, however, is potentially dangerous. This, obviously, is another major difference between Aristotle and contemporary Western societies, which respect and admire business expertise, and encourage many of our citizens to acquire and develop such expertise. For Aristotle, however, expertise in business is not natural, but “arises rather through a certain experience and art” (1257a5). It is on account of expertise in business that “there is held to be no limit to wealth and possessions” (1257a1). This is a problem because some people are led to pursue wealth without limit, and the choice of such a life, while superficially very attractive, does not lead to virtue and real happiness. It leads some people to “proceed on the supposition that they should either preserve or increase without limit their property in money. The cause of this state is that they are serious about living, but not about living well; and since that desire of theirs is without limit, they also desire what is productive of unlimited things” (1257b38).

Aristotle does not entirely condemn wealth – it is necessary for maintaining the household and for providing the opportunity to develop one’s virtue. For example, generosity is one of the virtues listed in the Ethics, but it is impossible to be generous unless one has possessions to give away. But Aristotle strongly believes that we must not lose sight of the fact that wealth is to be pursued for the sake of living a virtuous life, which is what it means to live well, rather than for its own sake. (So at 1258b1 he agrees with those who object to the lending of money for interest, upon which virtually the entire modern global economy is based). Someone who places primary importance on money and the bodily satisfactions that it can buy is not engaged in developing their virtue and has chosen a life which, however it may seem from the outside or to the person living it, is not a life of true happiness.

This is still another difference between Aristotle and contemporary Western societies. For many if not most people in such societies, the pursuit of wealth without limit is seen as not only acceptable but even admirable. At the same time, many people reject the emphasis Aristotle places on the importance of political participation. Many liberal democracies fail to get even half of their potential voters to cast a ballot at election time, and jury duty, especially in the United States, is often looked on as a burden and waste of time, rather than a necessary public service that citizens should willingly perform. In Chapter 11, Aristotle notes that there is a lot more to be said about enterprise in business, but “to spend much time on such things is crude” (1258b35). Aristotle believes that we ought to be more concerned with other matters; moneymaking is beneath the attention of the virtuous man. (In this Aristotle is in agreement with the common opinion of Athenian aristocrats). He concludes this discussion with a story about Thales the philosopher using his knowledge of astronomy to make a great deal of money, “thus showing how easy it is for philosophers to become wealthy if they so wish, but it is not this they are serious about” (1259a16). Their intellectual powers, which could be turned to wealth, are being used in other, better ways to develop their humanity.

In the course of discussing the various ways of life open to human beings, Aristotle notes that “If, then, nature makes nothing that is incomplete or purposeless, nature must necessarily have made all of these [i.e. all plants and animals] for the sake of human beings” (1256b21). Though not a directly political statement, it does emphasize Aristotle’s belief that there are many hierarchies in nature, as well as his belief that those who are lower in the natural hierarchy should be under the command of those who are higher.

e. Women

In Chapter 12, after the discussion of business expertise has been completed, Aristotle returns to the subject of household rule, and takes up the question of the proper forms of rule over women and children. As with the master’s rule over the slave, and humanity’s rule over plants and other animals, Aristotle defines these kinds of rule in terms of natural hierarchies: “[T]he male, unless constituted in some respect contrary to nature, is by nature more expert at leading than the female, and the elder and complete than the younger and incomplete” (1259a41). This means that it is natural for the male to rule: “[T]he relation of male to female is by nature a relation of superior to inferior and ruler to ruled” (1245b12). And just as with the rule of the master over the slave, the difference here is one of reason: “The slave is wholly lacking the deliberative element; the female has it but it lacks authority; the child has it but it is incomplete” (1260a11).

There is a great deal of scholarly debate about what the phrase “lacks authority” means in this context. Aristotle does not elaborate on it. Some have suggested that it means not that women’s reason is inferior to that of men but that women lack the ability to make men do what they want, either because of some innate psychological characteristic (they are not aggressive and/or assertive enough) or because of the prevailing culture in Greece at the time. Others suggest that it means that women’s emotions are ultimately more influential in determining their behavior than reason is so that reason lacks authority over what a woman does. This question cannot be settled here. I will simply point out the vicious circle in which women were trapped in ancient Greece (and still are in many cultures). The Greeks believed that women are inferior to men (or at least those Greeks who wrote philosophy, plays, speeches, and so forth did. These people, of course, were all men. What Greek women thought of this belief is impossible to say). This belief means that women are denied access to certain areas of life (such as politics). Denying them access to these spheres means that they fail to develop the knowledge and skills to become proficient in them. This lack of knowledge and skills then becomes evidence to reinforce the original belief that they are inferior.

What else does Aristotle have to say about the rule of men over women? He says that the rule of the male over the female and that of the father over children are different in form from the rule of masters over slaves. Aristotle places the rule of male over female in the household in the context of the husband over the wife (female children who had not yet been married would have been ruled by their father. Marriage for girls in Athens typically took place at the age of thirteen or fourteen). Aristotle says at 1259a40 that the wife is to be ruled in political fashion. We have not yet seen what political rule looks like, but here Aristotle notes several of its important features, one of which is that it usually involves “alternation in ruling and being ruled” (1259b2), and another is that it involves rule among those who “tend by their nature to be on an equal footing and to differ in nothing” (1259b5). In this case, however, the husband does not alternate rule with the wife but instead always rules. Apparently the husband is to treat his wife as an equal to the degree that it is possible to do so, but must retain ultimate control over household decisions.

Women have their own role in the household, preserving what the man acquires. However, women do not participate in politics, since their reason lacks the authority that would allow them to do so, and in order to properly fulfill this role the wife must pursue her own telos. This is not the same as that of a man, but as with a man nature intends her to achieve virtues of the kind that are available to her: “It is thus evident that…the moderation of a woman and a man is not the same, nor their courage or justice…but that there is a ruling and a serving courage, and similarly with the other virtues” (1260a19). Unfortunately Aristotle has very little to say about what women’s virtues look like, how they are to be achieved, or how women should be educated. But it is clear that Aristotle believes that as with the master’s superiority to the slave, the man’s superiority to a woman is dictated by nature and cannot be overcome by human laws, customs, or beliefs.

Aristotle concludes the discussion of household rule, and the first book of the Politics, by stating that the discussion here is not complete and “must necessarily be addressed in the [discourses] connected with the regimes” (1260a11). This is the case because both women and children “must necessarily be educated looking to the regime, at least if it makes any difference with a view to the city’s being excellent that both its children and its women are excellent. But it necessarily makes a difference…” (1260a14). “Regime” is one of the ways to translate the Greek word politeia, which is also often translated as “constitution” or “political system.” Although there is some controversy about how best to translate this word, I will use the word “regime” throughout this article. The reader should keep in mind that if the word “constitution” is used this does not mean a written constitution of the sort that most contemporary nation-states employ. Instead, Aristotle uses politeia (however it is translated) to mean the way the state is organized, what offices there are, who is eligible to hold them, how they are selected, and so forth. All of these things depend on the group that holds political power in the city. For example, sometimes power is held by one man who rules in the interest of the city as a whole; this is the kind of regime called monarchy. If power is held by the wealthy who rule for their own benefit, then the regime is an oligarchy.

We will have much more to say later on the topic of regimes. Here Aristotle is introducing another important idea which he will develop later: the idea that the people living under a regime, including the women and children, must be taught to believe in the principles that underlie that regime. (In Book II, Chapter 9, Aristotle severely criticizes the Spartan regime for its failure to properly educate the Spartan women and shows the negative consequences this has had for the Spartan regime). For a monarchy to last, for example, the people must believe in the rightness of monarchical rule and the principles which justify it. Therefore it is important for the monarch to teach the people these principles and beliefs. In Books IV-VI Aristotle develops in much more detail what the principles of the different regimes are, and the Politics concludes with a discussion of the kind of education that the best regime ought to provide its citizens.

8. The Politics, Book II

“Cities…that are held to be in a fine condition” In Book II, Aristotle changes his focus from the household to the consideration of regimes that are “in use in some of the cities that are said to be well managed and any others spoken about by certain persons that are held to be in a fine condition” (1260a30). This examination of existing cities must be done both in order to find out what those cities do properly, so that their successes can be imitated, and to find out what they do improperly so that we can learn from their mistakes. This study and the use of the knowledge it brings remains one of the important tasks of political science. Merely imitating an existing regime, no matter how excellent its reputation, is not sufficient. This is the case “because those regimes now available are in fact not in a fine condition” (1260a34). In order to create a better regime we must study the imperfect ones found in the real world. He will do this again on a more theoretical level in Books IV-VI. We should also examine the ideal regimes proposed by other thinkers. As it turns out, however fine these regimes are in theory, they cannot be put into practice, and this is obviously reason enough not to adopt them. Nevertheless, the ideas of other thinkers can assist us in our search for knowledge. Keep in mind that the practical sciences are not about knowledge for its own sake: unless we put this knowledge to use in order to improve the citizens and the city, the study engaged in by political science is pointless. We will not consider all the details of the different regimes Aristotle describes, but some of them are important enough to examine here.

a. What Kind of Partnership Is a City?

Aristotle begins his exploration of these regimes with the question of the degree to which the citizens in a regime should be partners. Recall that he opened the Politics with the statement that the city is a partnership, and in fact the most authoritative partnership. The citizens of a particular city clearly share something, because it is sharing that makes a partnership. Consider some examples of partnerships: business partners share a desire for wealth; philosophers share a desire for knowledge; drinking companions share a desire for entertainment; the members of a hockey team share a desire to win their game.

So what is it that citizens share? This is an important question for Aristotle, and he chooses to answer this question in the context of Socrates’ imagined community in Plato‘s dialogue The Republic. Aristotle has already said that the regime is a partnership in adjudication and justice. But is it enough that the people of a city have a shared understanding of what justice means and what the laws require, or is the political community a partnership in more than these things? Today the answer would probably be that these things are sufficient – a group of people sharing territory and laws is not far from how most people would define the modern state. In the Republic, Socrates argues that the city should be unified to the greatest degree possible. The citizens, or at least those in the ruling class, ought to share everything, including property, women, and children. There should be no private families and no private property. But this, according to Aristotle, is too much sharing. While the city is clearly a kind of unity, it is a unity that must derive from a multitude. Human beings are unavoidably different, and this difference, as we saw earlier, is the reason cities were formed in the first place, because difference within the city allows for specialization and greater self-sufficiency. Cities are preserved not by complete unity and similarity but by “reciprocal equality,” and this principle is especially important in cities where “persons are free and equal.” In such cities “all cannot rule at the same time, but each rules for a year or according to some other arrangement or period of time. In this way, then, it results that all rule…” (1261a30). This topic, the alternation of rule in cities where the citizens are free and equal, is an important part of Aristotle’s thought, and we will return to it later.

There would be another drawback to creating a city in which everything is held in common. Aristotle notes that people value and care for what is their own: “What belongs in common to the most people is accorded the least care: they take thought for their own things above all, and less about things common, or only so much as falls to each individually” (1261b32). (Contemporary social scientists call this a problem of “collective goods”). Therefore to hold women and property in common, as Socrates proposes, would be a mistake. It would weaken attachments to other people and to the common property of the city, and this would lead to each individual assuming that someone else would care for the children and property, with the end result being that no one would. For a modern example, many people who would not throw trash on their own front yard or damage their own furniture will litter in a public park and destroy the furniture in a rented apartment or dorm room. Some in Aristotle’s time (and since) have suggested that holding property in common will lead to an end to conflict in the city. This may at first seem wise, since the unequal distribution of property in a political community is, Aristotle believes, one of the causes of injustice in the city and ultimately of civil war. But in fact it is not the lack of common property that leads to conflict; instead, Aristotle blames human depravity (1263b20). And in order to deal with human depravity, what is needed is to moderate human desires, which can be done among those “adequately educated by the laws” (1266b31). Inequality of property leads to problems because the common people desire wealth without limit (1267b3); if this desire can be moderated, so too can the problems that arise from it. Aristotle also includes here the clam that the citizens making up the elite engage in conflict because of inequality of honors (1266b38). In other words, they engage in conflict with the other citizens because of their desire for an unequal share of honor, which leads them to treat the many with condescension and arrogance. Holding property in common, Aristotle notes, will not remove the desire for honor as a source of conflict.

b. Existing Cities: Sparta, Crete, Carthage

In Chapters 9-11 of Book II, Aristotle considers existing cities that are held to be excellent: Sparta in Chapter 9, Crete in Chapter 10, and Carthage (which, notably, was not a Greek city) in Chapter 11. It is noteworthy that when Athens is considered following this discussion (in Chapter 12), Aristotle takes a critical view and seems to suggest that the city has declined since the time of Solon. Aristotle does not anywhere in his writings suggest that Athens is the ideal city or even the best existing city. It is easy to assume the opposite, and many have done so, but there is no basis for this assumption. We will not examine the particulars of Aristotle’s view of each of these cities. However, two important points should be noted here. One general point that Aristotle makes when considering existing regimes is that when considering whether a particular piece of legislation is good or not, it must be compared not only to the best possible set of arrangements but also the set of arrangements that actually prevails in the city. If a law does not fit well with the principles of the regime, although it may be an excellent law in the abstract, the people will not believe in it or support it and as a result it will be ineffective or actually harmful (1269a31). The other is that Aristotle is critical of the Spartans because of their belief that the most important virtue to develop and the one that the city must teach its citizens is the kind of virtue that allows them to make war successfully. But war is not itself an end or a good thing; war is for the sake of peace, and the inability of the Spartans to live virtuously in times of peace has led to their downfall. (See also Book VII, Chapter 2, where Aristotle notes the hypocrisy of a city whose citizens seek justice among themselves but “care nothing about justice towards others” (1324b35) and Book VII, Chapter 15).

9. The Politics, Book III

a. Who Is the Citizen?

In Book III, Aristotle takes a different approach to understanding the city. Again he takes up the question of what the city actually is, but here his method is to understand the parts that make up the city: the citizens. “Thus who ought to be called a citizen and what the citizen is must be investigated” (1274b41). For Americans today this is a legal question: anyone born in the United States or born to American citizens abroad is automatically a citizen. Other people can become citizens by following the correct legal procedures for doing so. However, this rule is not acceptable for Aristotle, since slaves are born in the same cities as free men but that does not make them citizens. For Aristotle, there is more to citizenship than living in a particular place or sharing in economic activity or being ruled under the same laws. Instead, citizenship for Aristotle is a kind of activity: “The citizen in an unqualified sense is defined by no other thing so much as by sharing in decision and office” (1275a22). Later he says that “Whoever is entitled to participate in an office involving deliberation or decision is, we can now say, a citizen in this city; and the city is the multitude of such persons that is adequate with a view to a self-sufficient life, to speak simply” (1275b17). And this citizen is a citizen “above all in a democracy; he may, but will not necessarily, be a citizen in the others” (1275b4). We have yet to talk about what a democracy is, but when we do, this point will be important to defining it properly. When Aristotle talks about participation, he means that each citizen should participate directly in the assembly – not by voting for representatives – and should willingly serve on juries to help uphold the laws. Note again the contrast with modern Western nation-states where there are very few opportunities to participate directly in politics and most people struggle to avoid serving on juries.

Participation in deliberation and decision making means that the citizen is part of a group that discusses the advantageous and the harmful, the good and bad, and the just and unjust, and then passes laws and reaches judicial decisions based on this deliberative process. This process requires that each citizen consider the various possible courses of action on their merits and discuss these options with his fellow citizens. By doing so the citizen is engaging in reason and speech and is therefore fulfilling his telos, engaged in the process that enables him to achieve the virtuous and happy life. In regimes where the citizens are similar and equal by nature – which in practice is all of them – all citizens should be allowed to participate in politics, though not all at once. They must take turns, ruling and being ruled in turn. Note that this means that citizenship is not just a set of privileges, it is also a set of duties. The citizen has certain freedoms that non-citizens do not have, but he also has obligations (political participation and military service) that they do not have. We will see shortly why Aristotle believed that the cities existing at the time did not in fact follow this principle of ruling and being ruled in turn.

b. The Good Citizen and the Good Man

Before looking more closely at democracy and the other kinds of regimes, there are still several important questions to be discussed in Book III. One of the most important of these from Aristotle’s point of view is in Chapter 4. Here he asks the question of “whether the virtue of the good man and the excellent citizen is to be regarded as the same or as not the same” (1276b15). This is a question that seems strange, or at least irrelevant, to most people today. The good citizen today is asked to follow the laws, pay taxes, and possibly serve on juries; these are all good things the good man (or woman) would do, so that the good citizen is seen as being more or less subsumed into the category of the good person. For Aristotle, however, this is not the case. We have already seen Aristotle’s definition of the good man: the one who pursues his telos, living a life in accordance with virtue and finding happiness by doing so. What is Aristotle’s definition of the good citizen?

Aristotle has already told us that if the regime is going to endure it must educate all the citizens in such a way that they support the kind of regime that it is and the principles that legitimate it. Because there are several different types of regime (six, to be specific, which will be considered in more detail shortly), there are several different types of good citizen. Good citizens must have the type of virtue that preserves the partnership and the regime: “[A]lthough citizens are dissimilar, preservation of the partnership is their task, and the regime is [this] partnership; hence the virtue of the citizen must necessarily be with a view to the regime. If, then, there are indeed several forms of regime, it is clear that it is not possible for the virtue of the excellent citizen to be single, or complete virtue” (1276b27).

There is only one situation in which the virtue of the good citizen and excellent man are the same, and this is when the citizens are living in a city that is under the ideal regime: “In the case of the best regime, [the citizen] is one who is capable of and intentionally chooses being ruled and ruling with a view to the life in accordance with virtue” (1284a1). Aristotle does not fully describe this regime until Book VII. For those of us not living in the ideal regime, the ideal citizen is one who follows the laws and supports the principles of the regime, whatever that regime is. That this may well require us to act differently than the good man would act and to believe things that the good man knows to be false is one of the unfortunate tragedies of political life.

There is another element to determining who the good citizen is, and it is one that we today would not support. For Aristotle, remember, politics is about developing the virtue of the citizens and making it possible for them to live a life of virtue. We have already seen that women and slaves are not capable of living this kind of life, although each of these groups has its own kind of virtue to pursue. But there is another group that is incapable of citizenship leading to virtue, and Aristotle calls this group “the vulgar”. These are the people who must work for a living. Such people lack the leisure time necessary for political participation and the study of philosophy: “it is impossible to pursue the things of virtue when one lives the life of a vulgar person or a laborer” (1278a20). They are necessary for the city to exist – someone must build the houses, make the shoes, and so forth – but in the ideal city they would play no part in political life because their necessary tasks prevent them from developing their minds and taking an active part in ruling the city. Their existence, like those of the slaves and the women, is for the benefit of the free male citizens. Aristotle makes this point several times in the Politics: see, for example, VII.9 and VIII.2 for discussions of the importance of avoiding the lifestyle of the vulgar if one wants to achieve virtue, and I.13 and III.4, where those who work with their hands are labeled as kinds of slaves.

The citizens, therefore, are those men who are “similar in stock and free,” (1277b8) and rule over such men by those who are their equals is political rule, which is different from the rule of masters over slaves, men over women, and parents over children. This is one of Aristotle’s most important points: “[W]hen [the regime] is established in accordance with equality and similarity among the citizens, [the citizens] claim to merit ruling in turn” (1279a8). Throughout the remainder of the Politics he returns to this point to remind us of the distinction between a good regime and a bad regime. The correct regime of polity, highlighted in Book IV, is under political rule, while deviant regimes are those which are ruled as though a master was ruling over slaves. But this is wrong: “For in the case of persons similar by nature, justice and merit must necessarily be the same according to nature; and so if it is harmful for their bodies if unequal persons have equal sustenance and clothing, it is so also [for their souls if they are equal] in what pertains to honors, and similarly therefore if equal persons have what is unequal” (1287a12).

c. Who Should Rule?

This brings us to perhaps the most contentious of political questions: how should the regime be organized? Another way of putting this is: who should rule? In Books IV-VI Aristotle explores this question by looking at the kinds of regimes that actually existed in the Greek world and answering the question of who actually does rule. By closely examining regimes that actually exist, we can draw conclusions about the merits and drawbacks of each. Like political scientists today, he studied the particular political phenomena of his time in order to draw larger conclusions about how regimes and political institutions work and how they should work. As has been mentioned above, in order to do this, he sent his students throughout Greece to collect information on the regimes and histories of the Greek cities, and he uses this information throughout the Politics to provide examples that support his arguments. (According to Diogenes Laertius, histories and descriptions of the regimes of 158 cities were written, but only one of these has come down to the present: the Constitution of Athens mentioned above).

Another way he used this data was to create a typology of regimes that was so successful that it ended up being used until the time of Machiavelli nearly 2000 years later. He used two criteria to sort the regimes into six categories.

The first criterion that is used to distinguish among different kinds of regimes is the number of those ruling: one man, a few men, or the many. The second is perhaps a little more unexpected: do those in power, however many they are, rule only in their own interest or do they rule in the interest of all the citizens? “[T]hose regimes which look to the common advantage are correct regimes according to what is unqualifiedly just, while those which look only to the advantage of the rulers are errant, and are all deviations from the correct regimes; for they involve mastery, but the city is a partnership of free persons” (1279a16).

Having established these as the relevant criteria, in Book III Chapter 7 Aristotle sets out the six kinds of regimes. The correct regimes are monarchy (rule by one man for the common good), aristocracy (rule by a few for the common good), and polity (rule by the many for the common good); the flawed or deviant regimes are tyranny (rule by one man in his own interest), oligarchy (rule by the few in their own interest), and democracy (rule by the many in their own interest). Aristotle later ranks them in order of goodness, with monarchy the best, aristocracy the next best, then polity, democracy, oligarchy, and tyranny (1289a38). People in Western societies are used to thinking of democracy as a good form of government – maybe the only good form of government – but Aristotle considers it one of the flawed regimes (although it is the least bad of the three) and you should keep that in mind in his discussion of it. You should also keep in mind that by the “common good” Aristotle means the common good of the citizens, and not necessarily all the residents of the city. The women, slaves, and manual laborers are in the city for the good of the citizens.

Almost immediately after this typology is created, Aristotle clarifies it: the real distinction between oligarchy and democracy is in fact the distinction between whether the wealthy or the poor rule (1279b39), not whether the many or the few rule. Since it is always the case that the poor are many while the wealthy are few, it looks like it is the number of the rulers rather than their wealth which distinguishes the two kinds of regimes (he elaborates on this in IV.4). All cities have these two groups, the many poor and the few wealthy, and Aristotle was well aware that it was the conflict between these two groups that caused political instability in the cities, even leading to civil wars (Thucydides describes this in his History of the Peloponnesian War, and the Constitution of Athens also discusses the consequences of this conflict). Aristotle therefore spends a great deal of time discussing these two regimes and the problem of political instability, and we will focus on this problem as well.

First, however, let us briefly consider with Aristotle one other valid claim to rule. Those who are most virtuous have, Aristotle says, the strongest claim of all to rule. If the city exists for the sake of developing virtue in the citizens, then those who have the most virtue are the most fit to rule; they will rule best, and on behalf of all the citizens, establishing laws that lead others to virtue. However, if one man or a few men of exceptional virtue exist in the regime, we will be outside of politics: “If there is one person so outstanding by his excess of virtue – or a number of persons, though not enough to provide a full complement for the city – that the virtue of all the others and their political capacity is not commensurable…such persons can no longer be regarded as part of the city” (1284a4). It would be wrong for the other people in the city to claim the right to rule over them or share rule with them, just as it would be wrong for people to claim the right to share power with Zeus. The proper thing would be to obey them (1284b28). But this situation is extremely unlikely (1287b40). Instead, cities will be made up of people who are similar and equal, which leads to problems of its own.

The most pervasive of these is that oligarchs and democrats each advance a claim to political power based on justice. For Aristotle, justice dictates that equal people should get equal things, and unequal people should get unequal things. If, for example, two students turn in essays of identical quality, they should each get the same grade. Their work is equal, and so the reward should be too. If they turn in essays of different quality, they should get different grades which reflect the differences in their work. But the standards used for grading papers are reasonably straightforward, and the consequences of this judgment are not that important, relatively speaking – they certainly are not worth fighting and dying for. But the stakes are raised when we ask how we should judge the question of who should rule, for the standards here are not straightforward and disagreement over the answer to this question frequently does lead men (and women) to fight and die.

What does justice require when political power is being distributed? Aristotle says that both groups – the oligarchs and democrats – offer judgments about this, but neither of them gets it right, because “the judgment concerns themselves, and most people are bad judges concerning their own things” (1280a14). (This was the political problem that was of most concern to the authors of the United States Constitution: given that people are self-interested and ambitious, who can be trusted with power? Their answer differs from Aristotle’s, but it is worth pointing out the persistence of the problem and the difficulty of solving it). The oligarchs assert that their greater wealth entitles them to greater power, which means that they alone should rule, while the democrats say that the fact that all are equally free entitles each citizen to an equal share of political power (which, because most people are poor, means that in effect the poor rule). If the oligarchs’ claim seems ridiculous, you should keep in mind that the American colonies had property qualifications for voting; those who could not prove a certain level of wealth were not allowed to vote. And poll taxes, which required people to pay a tax in order to vote and therefore kept many poor citizens (including almost all African-Americans) from voting, were not eliminated in the United States until the mid-20th century. At any rate, each of these claims to rule, Aristotle says, is partially correct but partially wrong. We will consider the nature of democracy and oligarchy shortly.

Aristotle also in Book III argues for a principle that has become one of the bedrock principles of liberal democracy: we ought, to the extent possible, allow the law to rule. “One who asks the law to rule, therefore, is held to be asking god and intellect alone to rule, while one who asks man adds the beast. Desire is a thing of this sort; and spiritedness perverts rulers and the best men. Hence law is intellect without appetite” (1287a28). This is not to say that the law is unbiased. It will reflect the bias of the regime, as it must, because the law reinforces the principles of the regime and helps educate the citizens in those principles so that they will support the regime. But in any particular case, the law, having been established in advance, is impartial, whereas a human judge will find it hard to resist judging in his own interest, according to his own desires and appetites, which can easily lead to injustice. Also, if this kind of power is left in the hands of men rather than with the laws, there will be a desperate struggle to control these offices and their benefits, and this will be another cause of civil war. So whatever regime is in power should, to the extent possible, allow the laws to rule. Ruling in accordance with one’s wishes at any particular time is one of the hallmarks of tyranny (it is the same way masters rule over slaves), and it is also, Aristotle says, typical of a certain kind of democracy, which rules by decree rather than according to settled laws. In these cases we are no longer dealing with politics at all, “For where the laws do not rule there is no regime” (1292b30). There are masters and slaves, but there are no citizens.

10. The Politics, Book IV

a. Polity: The Best Practical Regime

In Book IV Aristotle continues to think about existing regimes and their limitations, focusing on the question: what is the best possible regime? This is another aspect of political science that is still practiced today, as Aristotle combines a theory about how regimes ought to be with his analysis of how regimes really are in practice in order to prescribe changes to those regimes that will bring them more closely in line with the ideal. It is in Book VII that Aristotle describes the regime that would be absolutely the best, if we could have everything the way we wanted it; here he is considering the best regime that we can create given the kinds of human beings and circumstances that cities today find themselves forced to deal with, “For one should study not only the best regime but also the regime that is [the best] possible, and similarly also the regime that is easier and more attainable for all” (1288b37).

Aristotle also provides advice for those that want to preserve any of the existing kinds of regime, even the defective ones, showing a kind of hard-headed realism that is often overlooked in his writings. In order to do this, he provides a higher level of detail about the varieties of the different regimes than he has previously given us. There are a number of different varieties of democracy and oligarchy because cities are made up of a number of different groups of people, and the regime will be different depending on which of these groups happens to be most authoritative. For example, a democracy that is based on the farming element will be different than a democracy that is based on the element that is engaged in commerce, and similarly there are different kinds of oligarchies. We do not need to consider these in detail except to note that Aristotle holds to his position that in either a democracy or an oligarchy it is best if the law rules rather than the people possessing power. In the case of democracy it is best if the farmers rule, because farmers will not have the time to attend the assembly, so they will stay away and will let the laws rule (VI.4).

It is, however, important to consider polity in some detail, and this is the kind of regime to which Aristotle next turns his attention. “Simply speaking, polity is a mixture of oligarchy and democracy” (1293b32). Remember that polity is one of the correct regimes, and it occurs when the many rule in the interest of the political community as a whole. The problem with democracy as the rule of the many is that in a democracy the many rule in their own interest; they exploit the wealthy and deny them political power. But a democracy in which the interests of the wealthy were taken into account and protected by the laws would be ruling in the interest of the community as a whole, and it is this that Aristotle believes is the best practical regime. The ideal regime to be described in Book VII is the regime that we would pray for if the gods would grant us our wishes and we could create a city from scratch, having everything exactly the way we would want it. But when we are dealing with cities that already exist, their circumstances limit what kind of regime we can reasonably expect to create. Creating a polity is a difficult thing to do, and although he provides many examples of democracies and oligarchies Aristotle does not give any examples of existing polities or of polities that have existed in the past.

One of the important elements of creating a polity is to combine the institutions of a democracy with those of an oligarchy. For example, in a democracy, citizens are paid to serve on juries, while in an oligarchy, rich people are fined if they do not. In a polity, both of these approaches are used, with the poor being paid to serve and the rich fined for not serving. In this way, both groups will serve on juries and power will be shared. There are several ways to mix oligarchy and democracy, but “The defining principle of a good mixture of democracy and oligarchy is that it should be possible for the same polity to be spoken of as either a democracy or an oligarchy” (1294b14). The regime must be said to be both – and neither – a democracy and an oligarchy, and it will be preserved “because none of the parts of the city generally would wish to have another regime” (1294b38).

b. The Importance of the Middle Class

In addition to combining elements from the institutions of democracy and oligarchy, the person wishing to create a lasting polity must pay attention to the economic situation in the city. In Book II of the EthicsAristotle famously establishes the principle that virtue is a mean between two extremes. For example, a soldier who flees before a battle is guilty of the vice of cowardice, while one who charges the enemy singlehandedly, breaking ranks and getting himself killed for no reason, is guilty of the vice of foolhardiness. The soldier who practices the virtue of courage is the one who faces the enemy, moves forward with the rest of the troops in good order, and fights bravely. Courage, then, is a mean between the extremes of cowardice and foolhardiness. The person who has it neither flees from the enemy nor engages in a suicidal and pointless attack but faces the enemy bravely and attacks in the right way.

Aristotle draws a parallel between virtue in individuals and virtue in cities. The city, he says, has three parts: the rich, the poor, and the middle class. Today we would probably believe that it is the rich people who are the most fortunate of those three groups, but this is not Aristotle’s position. He says: “[I]t is evident that in the case of the goods of fortune as well a middling possession is the best of all. For [a man of moderate wealth] is readiest to obey reason, while for one who is [very wealthy or very poor] it is difficult to follow reason. The former sort tend to become arrogant and base on a grand scale, the latter malicious and base in petty ways; and acts of injustice are committed either through arrogance or through malice” (1295b4). A political community that has extremes of wealth and poverty “is a city not of free persons but of slaves and masters, the ones consumed by envy, the others by contempt. Nothing is further removed from affection and from a political partnership” (1295b22). People in the middle class are free from the arrogance that characterizes the rich and the envy that characterizes the poor. And, since members of this class are similar and equal in wealth, they are likely to regard one another as similar and equal generally, and to be willing to rule and be ruled in turn, neither demanding to rule at all times as the wealthy do or trying to avoid ruling as the poor do from their lack of resources. “Thus it is the greatest good fortune for those who are engaged in politics to have a middling and sufficient property, because where some possess very many things and others nothing, either [rule of] the people in its extreme form must come into being, or unmixed oligarchy, or – as a result of both of these excesses – tyranny. For tyranny arises from the most headstrong sort of democracy and from oligarchy, but much less often from the middling sorts [of regime] and those close to them” (1295b39).

There can be an enduring polity only when the middle class is able either to rule on its own or in conjunction with either of the other two groups, for in this way it can moderate their excesses: “Where the multitude of middling persons predominates either over both of the extremities together or over one alone, there a lasting polity is capable of existing” (1296b38). Unfortunately, Aristotle says, this state of affairs almost never exists. Instead, whichever group, rich or poor, is able to achieve power conducts affairs to suit itself rather than considering the interests of the other group: “whichever of the two succeeds in dominating its opponents does not establish a regime that is common or equal, but they grasp for preeminence in the regime as the prize of victory” (1296a29). And as a result, neither group seeks equality but instead each tries to dominate the other, believing that it is the only way to avoid being dominated in turn. This is a recipe for instability, conflict, and ultimately civil war, rather than a lasting regime. For the polity (or any other regime) to last, “the part of the city that wants the regime to continue must be superior to the part not wanting this” in quality and quantity (1296b16). He repeats this in Book V, calling it the “great principle”: “keep watch to ensure that that the multitude wanting the regime is superior to that not wanting it” (1309b16), and in Book VI he discusses how this can be arranged procedurally (VI.3).

The remainder of Book IV focuses on the kinds of authority and offices in the city and how these can be distributed in democratic or oligarchic fashion. We do not need to concern ourselves with these details, but it does show that Aristotle is concerned with particular kinds of flawed regimes and how they can best operate and function in addition to his interest in the best practical government and the best government generally.

11. The Politics, Book V

a. Conflict between the Rich and the Poor

In Book V Aristotle turns his attention to how regimes can be preserved and how they are destroyed. Since we have seen what kind of regime a polity is, and how it can be made to endure, we are already in a position to see what is wrong with regimes which do not adopt the principles of a polity. We have already seen the claims of the few rich and the many poor to rule. The former believe that because they are greater in material wealth they should also be greater in political power, while the latter claim that because all citizens are equally free political power should also be equally distributed, which allows the many poor to rule because of their superior numbers. Both groups are partially correct, but neither is entirely correct, “And it is for this reason that, when either [group] does not share in the regime on the basis of the conception it happens to have, they engage in factional conflict” which can lead to civil war (1301a37). While the virtuous also have a claim to rule, the very fact that they are virtuous leads them to avoid factional conflict. They are also too small a group to be politically consequential: “[T]hose who are outstanding in virtue do not engage in factional conflict to speak of; for they are few against many” (1304b4). Therefore, the conflict that matters is the one between the rich and poor, and as we have seen, whichever group gets the upper hand will arrange things for its own benefit and in order to harm the other group. The fact that each of these groups ignores the common good and seeks only its own interest is why both oligarchy and democracy are flawed regimes. It is also ultimately self-destructive to try to put either kind of regime into practice: “Yet to have everywhere an arrangement that is based simply on one or the other of these sorts of equality is a poor thing. This is evident from the result: none of these sorts of regimes is lasting” (1302a3). On the other hand, “[O]ne should not consider as characteristic of popular rule or of oligarchy something tha t will make the city democratically or oligarchically run to the greatest extent possible, but something that will do so for the longest period of time” (1320a1). Democracy tends to be more stable than oligarchy, because democracies only have a conflict between rich and poor, while oligarchies also have conflicts within the ruling group of oligarchs to hold power. In addition, democracy is closer to polity than oligarchy is, and this contributes to its greater stability. And this is an important goal; the more moderate a regime is, the longer it is likely to remain in place.

Why does factional conflict arise? Aristotle turns to this question in Chapter 2. He says: “The lesser engage in factional conflict in order to be equal; those who are equal, in order to be greater” (1302a29). What are the things in which the lesser seek to be equal and the equal to be greater? “As for the things over which they engage in factional conflict, these are profit and honor and their opposites….They are stirred up further by arrogance, by fear, by preeminence, by contempt, by disproportionate growth, by electioneering, by underestimation, by [neglect of] small things, and by dissimilarity” (1302a33). Aristotle describes each of these in more detail. We will not examine them closely, but it is worth observing that Aristotle regards campaigning for office as a potentially dangerous source of conflict. If the city is arranged in such a way that either of the major factions feels that it is being wronged by the other, there are many things that can trigger conflict and even civil war; the regime is inherently unstable. We see again the importance of maintaining a regime which all of the groups in the city wish to see continue.

Aristotle says of democracies that “[D]emocracies undergo revolution particularly on account of the wanton behavior of the popular leaders” (1304b20). Such leaders will harass the property owners, causing them to unify against the democracy, and they will also stir up the poor against the rich in order to maintain themselves in power. This leads to conflict between the two groups and civil war. Aristotle cites a number of historical examples of this. Oligarchies undergo revolution primarily “when they treat the multitude unjustly. Any leader is then adequate [to effect revolution]” (1305a29). Revolution in oligarchical regimes can also come about from competition within the oligarchy, when not all of the oligarchs have a share in the offices. In this case those without power will engage in revolution not to change the regime but to change those who are ruling.

b. How to Preserve Regimes

However, despite all the dangers to the regimes, and the unavoidable risk that any particular regime will be overthrown, Aristotle does have advice regarding the preservation of regimes. In part, of course, we learn how to preserve the regimes by learning what causes revolutions and then avoiding those causes, so Aristotle has already given us useful advice for the preservation of regimes. But he has more advice to offer: “In well-blended regimes, then, one should watch out to ensure there are no transgressions of the laws, and above all be on guard against small ones” (1307b29). Note, again, the importance of letting the laws rule.

It is also important in every regime “to have the laws and management of the rest arranged in such a way that it is impossible to profit from the offices….The many do not chafe as much at being kept away from ruling – they are even glad if someone leaves them the leisure for their private affairs – as they do when they suppose that their rulers are stealing common [funds]; then it pains them both not to share in the prerogatives and not to share in the profits” (1308b32).

And, again, it is beneficial if the group that does not have political power is allowed to share in it to the greatest extent possible, though it should not be allowed to hold the authoritative offices (such as general, treasurer, and so forth). Such men must be chosen extremely carefully: “Those who are going to rule in the authoritative offices ought to have three things: first, affection for the established regime; next, a very great capacity for the work involved in rule; third, virtue and justice – in each regime the sort that is relative to the regime…” (1309a33). It is difficult to find all three of these in many men, but it is important for the regime to make use of the men with these qualities to the greatest degree possible, or else the regime will be harmed, either by sedition, incompetence, or corruption. Aristotle also reminds us of the importance of the middling element for maintaining the regime and making it long-lasting; instead of hostility between the oligarchs and democrats, whichever group has power should be certain always to behave benevolently and justly to the other group (1309b18).

“But the greatest of all the things that have been mentioned with a view to making regimes lasting – though it is now slighted by all – is education relative to the regimes. For there is no benefit in the most beneficial laws, even when these have been approved by all those engaging in politics, if they are not going to be habituated and educated in the regime – if the laws are popular, in a popular spirit, if oligarchic, in an oligarchic spirit” (1310a13). This does not mean that the people living in a democracy should be educated to believe that oligarchs are enemies of the regime, to be oppressed as much as possible and treated unjustly, nor does it mean that the wealthy under an oligarchy should be educated to believe that the poor are to be treated with arrogance and contempt. Instead it means being educated in the principles of moderate democracy and moderate oligarchy, so that the regime will be long-lasting and avoid revolution.

In the remainder of Book V Aristotle discusses monarchy and tyranny and what preserves and destroys these types of regimes. Here Aristotle is not discussing the kind of monarchies with which most people today are familiar, involving hereditary descent of royal power, usually from father to son. A monarch in Aristotle’s sense is one who rules because he is superior to all other citizens in virtue. Monarchy therefore involves individual rule on the basis of merit for the good of the whole city, and the monarch because of his virtue is uniquely well qualified to determine what that means. The tyrant, on the other hand, rules solely for his own benefit and pleasure. Monarchy, therefore, involving the rule of the best man over all, is the best kind of regime, while tyranny, which is essentially the rule of a master over a regime in which all are slaves, is the worst kind of regime, and in fact is really no kind of regime at all. Aristotle lists the particular ways in which both monarchy and tyranny are changed and preserved. We do not need to spend much time on these, for Aristotle says that in his time “there are many persons who are similar, with none of them so outstanding as to match the extent and the claim to merit of the office” that would be required for the rule of one man on the basis of exceptional virtue that characterizes monarchy (1313a5), and tyranny is inherently extremely short lived and clearly without value. However, those wishing to preserve either of these kinds of regimes are advised, as oligarchs and democrats have been, to pursue moderation, diminishing the degree of their power in order to extend its duration.

12. The Politics, Book VI

a. Varieties of Democracy

Most of Book VI is concerned with the varieties of democracy, although Aristotle also revisits the varieties of oligarchy. Some of this discussion has to do with the various ways in which the offices, laws, and duties can be arranged. This part of the discussion we will pass over. However, Aristotle also includes a discussion of the animating principle of democracy, which is freedom: “It is customarily said that only in this sort of regime do [men] share in freedom, for, so it is asserted, every democracy aims at this” (1317a40). In modern liberal democracies, of course, the ability of all to share in freedom and for each citizen to live as one wants is considered one of the regime’s strengths. However, keep in mind that Aristotle believes that human life has a telos and that the political community should provide education and laws that will lead to people pursuing and achieving this telos. Given that this is the case, a regime that allows people to do whatever they want is in fact flawed, for it is not guiding them in the direction of the good life.

b. The Best Kind of Democracy

He also explains which of the varieties of democracy is the best. In Chapter 4, we discover that the best sort of democracy is the one made up of farmers: “The best people is the farming sort, so that it is possible also to create [the best] democracy wherever the multitude lives from farming or herding. For on account of not having much property it is lacking in leisure, and so is unable to hold frequent assemblies. Because they do not have the necessary things, they spend their time at work and do not desire the things of others; indeed, working is more pleasant to them than engaging in politics and ruling, where there are not great spoils to be gotten from office” (1318b9). This is a reason why the authoritative offices can be in the hands of the wealthy, as long as the people retain control of auditing and adjudication: “Those who govern themselves in this way must necessarily be finely governed. The offices will always be in the hands of the best persons, the people being willing and not envious of the respectable, while the arrangement is satisfactory for the respectable and notable. These will not be ruled by others who are their inferiors, and they will rule justly by the fact that others have authority over the audits” (1318b33). By “adjudication” Aristotle means that the many should be certain that juries should be made up of men from their ranks, so that the laws will be enforced with a democratic spirit and the rich will not be able to use their wealth to put themselves above the law. By “authority over the audits” Aristotle refers to an institution which provided that those who held office had to provide an accounting of their activities at regular intervals: where the city’s funds came from, where they went, what actions they took, and so forth. They were liable to prosecution if they were found to have engaged in wrongdoing or mismanagement, and the fear of this prosecution, Aristotle says, will keep them honest and ensure that they act according to the wishes of the democracy.

So we see again that the institutions and laws of a city are important, but equally important is the moral character of the citizens. It is only the character of the farming population that makes the arrangements Aristotle describes possible: “The other sorts of multitude out of which the remaining sorts of democracy are constituted are almost all much meaner than these: their way of life is a mean one, with no task involving virtue among the things that occupy the multitude of human beings who are vulgar persons and merchants or the multitude of laborers” (1319a24). And while Aristotle does not say it here, of course a regime organized in this way, giving a share of power to the wealthy and to the poor, under the rule of law, in the interest of everyone, would in fact be a polity more than it would be a democracy.

c. The Role of Wealth in a Democracy

In Chapter 5 of Book VI he offers further advice that would move the city in the direction of polity when he discusses how wealth should be handled in a democracy. Many democracies offer pay for serving in the assembly or on juries so that the poor will be able to attend. Aristotle advises minimizing the number of trials and length of service on juries so that the cost will not be too much of a burden on the wealthy where there are not sources of revenue from outside the city (Athens, for example, received revenue from nearby silver mines, worked by slaves). Where such revenues exist, he criticizes the existing practice of distributing surpluses to the poor in the form of cash payments, which the poor citizens will take while demanding more. However, poverty is a genuine problem in a democracy: “[O]ne who is genuinely of the popular sort (i.e. a supporter of democracy) should see to it that the multitude is not overly poor, for this is the reason for democracy being depraved” (1320a33). Instead the surplus should be allowed to accumulate until enough is available to give the poor enough money to acquire land or start a trade. And even if there is no external surplus, “[N]otables who are refined and sensible will divide the poor among themselves and provide them with a start in pursuing some work” (1320b8). It seems somewhat unusual for Aristotle to be advocating a form of welfare, but that is what he is doing, on the grounds that poverty is harmful to the character of the poor and this harms the community as a whole by undermining its stability.

13. The Politics, Book VII

a. The Best Regime and the Best Men

It is in Book VII that Aristotle describes the regime that is best without qualification. This differs from the discussion of the best regime in Book IV because in Book IV Aristotle’s concern was the best practical regime, meaning one that it would be possible to bring about from the material provided by existing regimes. Here, however, his interest is in the best regime given the opportunity to create everything just as we would want it. It is “the city that is to be constituted on the basis of what one would pray for” (1325b35). As would be expected, he explicitly ties it to the question of the best way of life: “Concerning the best regime, one who is going to undertake the investigation appropriate to it must necessarily discuss first what the most choiceworthy way of life is. As long as this is unclear, the best regime must necessarily be unclear as well…” (1323a14). We have already discussed the best way of life, as well as the fact that most people do not pursue it: “For [men] consider any amount of virtue to be adequate, but wealth, goods, power, reputation, and all such things they seek to excess without limit” (1323a35). This is, as we have said more than once, a mistake: “Living happily…is available to those who have to excess the adornments of character and mind but behave moderately in respect to the external acquisition of good things” (1323b1). And what is true for the individual is also true for the city. Therefore “the best city is happy and acts nobly. It is impossible to act nobly without acting [to achieve] noble things; but there is no noble deed either of a man or of a city that is separate from virtue and prudence. The courage, justice, and prudence of a city have the same power and form as those human beings share in individually who are called just, prudent, and sound.” (1324b30). The best city, like any other city, must educate its citizens to support its principles. The difference between this city and other cities is that the principles that it teaches its citizens are the correct principles for living the good life. It is here, and nowhere else, that the excellent man and the good citizen are the same.

b. Characteristics of the Best City

What would be the characteristics of the best city we could imagine? First of all, we want the city to be the right size. Many people, Aristotle says, are confused about what this means. They assume that the bigger the city is, the better it will be. But this is wrong. It is certainly true that the city must be large enough to defend itself and to be self-sufficient, but “This too, at any rate, is evident from the facts: that it is difficult – perhaps impossible – for a city that is too populous to be well managed” (1326a26). So the right size for the city is a moderate one; it is the one that enables it to perform its function of creating virtuous citizens properly. “[T]he [city] that is made up of too few persons is not self-sufficient, though the city is a self-sufficient thing, while the one that is made up of too many persons is with respect to the necessary things self-sufficient like a nation, but is not a city; for it is not easy for a regime to be present” (1326b3). There is an additional problem in a regime that is too large: “With a view to judgment concerning the just things and with a view to distributing offices on the basis of merit, the citizens must necessarily be familiar with one another’s qualities; where this does not happen to be the case, what is connected with the offices and with judging must necessarily be carried on poorly” (1326b13).

The size of the territory is also an important element of the ideal regime, and it too must be tailored to the purpose of the regime. Aristotle says “[the territory should be] large enough so that the inhabitants are able to live at leisure in liberal fashion and at the same time with moderation” (1326b29). Again Aristotle’s main concern is with life at peace, not life at war. On the other hand, the city and its territory should be such as to afford its inhabitants advantages in times of war; “it ought to be difficult for enemies to enter, but readily exited by [the citizens] themselves,” and not so big that it cannot be “readily surveyable” because only such a territory is “readily defended” (1326b41). It should be laid out in such a way as to be readily defensible (Book VII, Chapters 11-12). It should also be defensible by sea, since proper sea access is part of a good city. Ideally the city will (like Athens) have a port that is several miles away from the city itself, so that contact with foreigners can be regulated. It should also be in the right geographical location.

Aristotle believed that geography was an important factor in determining the characteristics of the people living in a certain area. He thought that the Greeks had the good traits of both the Europeans (spiritedness) and Asians (souls endowed with art and thought) because of the Greek climate (1327b23). While the harsh climate to the north made Europeans hardy and resilient, as well as resistant to being ruled (although Aristotle did not know about the Vikings, they are perhaps the best example of what he is talking about), and the climate of what he called Asia and we now call the Middle East produced a surplus of food that allowed the men the leisure to engage in intellectual and artistic endeavors while robbing them of spiritedness, the Greeks had the best of both worlds: “[I]t is both spirited and endowed with thought, and hence both remains free and governs itself in the best manner and at the same time is capable of ruling all…” (1327b29).

However, despite the necessary attention to military issues, when we consider the ideal city, the principles which we have already elaborated about the nature of the citizens remain central. Even in the ideal city, constructed to meet the conditions for which we would pray, the need for certain tasks, such as farming and laboring, will remain. Therefore there will also be the need for people to do these tasks. But such people should not be citizens, for (as we have discussed) they will lack the leisure and the intellect to participate in governing the city. They are not really even part of the city: “Hence while cities need possessions, possessions are no part of the city. Many animate things (i.e. slaves and laborers) are part of possessions. But the city is a partnership of similar persons, for the sake of a life that is the best possible” (1328a33). The citizens cannot be merchants, laborers, or farmers, “for there is a need for leisure both with a view to the creation of virtue and with a view to political activities” (1329a1). So all the people living in the city who are not citizens are there for the benefit of the citizens. Any goals, wishes, or desires that they might have are irrelevant; in Kant’s terms, they are treated as means rather than ends.

Those that live the lives of leisure that are open to citizens because of the labor performed by the non-citizens (again, including the women) are all similar to one another, and therefore the appropriate political arrangement for them is “in similar fashion to participate in ruling and being ruled in turn. For equality is the same thing [as justice] for persons who are similar, and it is difficult for a regime to last if its constitution is contrary to justice” (1332b25). These citizens will only be able to rule and be ruled in turn if they have had the proper upbringing, and this is the last major topic that Aristotle takes up in the Politics. Most cities make the mistake of neglecting education altogether, leaving it up to fathers to decide whether they will educate their sons at all, and if so what subject matter will be covered and how it will be taught. Some cities have in fact paid attention to the importance of the proper education of the young, training them in the virtues of the regime. Unfortunately, these regimes have taught them the wrong things. Aristotle is particularly concerned with Sparta here; the Spartans devoted great effort to bringing up their sons to believe that the virtues related to war were the only ones that mattered in life. They were successful; but because war is not the ultimate good, their education was not good. (Recall that the Spartan education was also flawed because it neglected the women entirely).

It is important for the person devising the ideal city to learn from this mistake. Such cities do not last unless they constantly remain at war (which is not an end in itself; no one pursues war for its own sake). Aristotle says “Most cities of this sort preserve themselves when at war, but once having acquired [imperial] rule they come to ruin; they lose their edge, like iron, when they remain at peace. The reason is that the legislator has not educated them to be capable of being at leisure” (1334a6). The proper education must be instilled from the earliest stages of life, and even before; Aristotle tells us the ages that are appropriate for marriage (37 for men, 18 for women) in order to bring about children of the finest quality, and insists on the importance of a healthful regimen for pregnant women, specifying that they take sufficient food and remain physically active. He also says that abortion is the appropriate solution when the population threatens to grow too large (1335b24).

14. The Politics, Book VIII

a. The Education of the Young

Book VIII is primarily concerned with the kind of education that the children of the citizens should receive. That this is a crucial topic for Aristotle is clear from its first sentence: “That the legislator must, therefore, make the education of the young his object above all would be disputed by no one” (1337a10). It is so important that it cannot be left to individual families, as was the custom in Greece. Instead, “Since there is a single end for the city as a whole, it is evident that education must necessarily be one and the same for all, and that the superintendence of it should be common and not on a private basis….For common things the training too should be made common” (1337a21). The importance of a common education shaping each citizen so as to enable him to serve the common good of the city recalls the discussion of how the city is prior to the individual in Book I Chapter 2; as has been quoted already in the discussion above, “one ought not even consider that a citizen belongs to himself, but rather that all belong to the city; for each individual is a part of the city” (1337a26).

He elaborates on the content of this education, noting that it should involve the body as well as the mind. Aristotle includes physical education, reading and writing, drawing, and music as subjects which the young potential citizens must learn. The aim of this education is not productive or theoretical knowledge. Instead it is meant to teach the young potential citizens practical knowledge – the kind of knowledge that each of them will need to fulfill his telos and perform his duties as a citizen. Learning the subjects that fall under the heading of productive knowledge, such as how to make shoes, would be degrading to the citizen. Learning the subjects that would fall under the heading of theoretical knowledge would be beyond the ability of most of the citizens, and is not necessary to them as citizens.

15. References and Further Reading

The list below is not intended to be comprehensive. It is limited to works published from 1962 to 2002. Most of these have their own bibliographies and suggested reading lists, and the reader is encouraged to take advantage of these.

Translations of Aristotle

  • Barnes, Jonathan, ed. The Complete Works of Aristotle: The Revised Oxford Translation. Princeton: Princeton University Press, 1984. Two volumes.
    • The standard edition of Aristotle’s complete works.
  • Irwin, Terence, and Gail Fine, eds. Aristotle: Introductory Readings. Indianapolis, IN: Hackett Publishing Company, Inc., 1996
    • As the title suggests, this book includes excerpts from Aristotle’s writings. Understanding any of Aristotle’s texts means reading it in its entirety, but if you want a book by your side to check cross-references from whichever of his texts you are reading (for example, if the editor of the edition of the Politics you are reading refers to the Ethics), this one should do the trick.
  • Aristotle. Nicomachean Ethics. Translated and edited by Roger Crisp. Cambridge: Cambridge University Press, 2000.
    • This translation lacks the scholarly and critical apparatus of the Rowe translation but is still a fine choice.
  • Aristotle. Nicomachean Ethics. Translated and edited by Terry Irwin. Indianapolis: Hackett Publishing, 1999.
  • Aristotle. Nicomachean Ethics. Translated and with an introduction by Martin Ostwald. New York: Macmillan Publishing Company, 1962.
    • The translation used in preparing this entry. A good basic translation.
  • Aristotle. Nicomachean Ethics. Translated and with an introduction by David Ross. Revised by J.L. Ackrill and J.O. Urmson. Oxford: Oxford University Press, 1980.
    • Updated and revised version of a classic translation from 1925. See also Ross’ book on Aristotle below.
  • Aristotle. Nicomachean Ethics. Translation and historical introduction by Christopher Rowe; philosophical introduction and commentary by Sarah Broadie. Oxford: Oxford University Press, 2002.
    • A very thorough introduction and commentary are included with this translation of theEthics. A good choice for the beginning student – but remember that the introduction and commentary are not meant to substitute for actually reading the text!
  • Aristotle. The Politics. Translated and with an introduction by Carnes Lord. Chicago: University of Chicago Press, 1984.
    • The translation used in preparing this entry. A useful introduction and very thorough notes, identifying names, places, and terms with which the reader may not be familiar.
  • Aristotle. The Politics. Translated by C.D.C. Reeve. Indianapolis : Hackett Publishing, 1998.
  • Aristotle. The Politics of Aristotle. Translated by Peter Simpson. Chapel Hill: University of North Carolina Press, 1997.
  • Aristotle. The Politics and The Constitution of Athens. Edited by Stephen Everson. Cambridge: Cambridge University Press, 1996.
    • If you’re looking for The Constitution of Athens this is a good place to go – and with thePolitics in the same book it’s easy to compare the two books to each other. However, the texts are lacking in footnotes, which is a particular problem with the Constitution since it records Athenian history. So, for example, on page 237 we learn that during the rule of the Thirty Tyrants in Athens the rulers chose “ten colleagues to govern the Peiraeus,” without any indication that the Peiraeus was the Athenian harbor and its surrounding community, five miles from the city (it is also the setting of Plato’s Republic). It would help to have names, places, and concepts defined and explained through footnotes for the beginning student. The more advanced student may wish to consult the four volumes on the Politics in the Oxford University Press’s Clarendon Aristotle Series. Volume I, covering Books I and II of the Politics, is by Trevor Saunders; Volume II, on Books III and IV, is by Richard Robinson; Volume III, on Books V and VI, is by David Keyt, and Volume IV, on Books VII and VIII, is by Richard Kraut.
  • Aristotle. The Rhetoric. In George A. Kennedy, Aristotle On Rhetoric: A Theory of Civic Discourse.Translated and with an introduction by George A. Kennedy. New York: Oxford University Press, 1991.
    • The Rhetoric includes observations on politics and ethics in the context of teaching the reader how to become a rhetorician. Whether or not this requires the student to behave ethically is a matter of some debate. Speaking well in public settings was crucial to attaining political success in the Athenian democracy (and is still valuable today) and much of Aristotle’s practical advice remains useful.

Secondary literature – general works on Aristotle

  • Ackrill, J. L. Aristotle the Philosopher. New York: Oxford University Press, 1981.
  • Adler, Mortimer. Aristotle for Everybody: Difficult Thought Made Easy. New York: Macmillan Publishing Co., Inc., 1978.
    • This is probably the easiest-to-read exposition of Aristotle available; Adler says that it is aimed at “everybody – of any age, from twelve or fourteen years upward.” Obviously the author has had to make some sacrifices in the areas of detail and complexity to accomplish this, and anyone who has spent any time at all with Aristotle will probably wish to start elsewhere. Nevertheless, the author succeeds to a very great degree in delivering on the promise of the subtitle, expressing the basics of Aristotle’s thought in simple language using common examples and straightforward descriptions.
  • Barnes, Jonathan. Aristotle: A Very Short Introduction. New York: Oxford University Press, 2000.
  • Barnes, Jonathan, ed. The Cambridge Companion to Aristotle. Cambridge: Cambridge University Press, 1995.
    • “The Companion is intended for philosophical readers who are new to Aristotle,” Barnes writes in the Introduction, and the book delivers. Chapter Seven, by D.S. Hutchinson, covers Aristotle’s ethical theory; Chapter Eight, by C.C.W. Taylor, his political theory. Barnes himself writes the first chapter on Aristotle’s life and work, as well as an excellent introduction which includes an explanation of why no book (or, I would add, encyclopedia article) can substitute for reading the original Aristotelian texts. It also includes the following: “Plato had an influence second only to Aristotle…. But Plato’s philosophical views are mostly false, and for the most part they are evidently false; his arguments are mostly bad, and for the most part they are evidently bad.” If those remarks provoke any kind of emotional or intellectual response in you, you may as well give up: you are on the way to being a student of philosophy.
  • Guthrie, W.K.C. Aristotle: An Encounter. Cambridge: Cambridge University Press, 1981.
    • Volume 6 of his six volume Cambridge History of Ancient Greek Philosophy written between 1962 and 1981.
  • Robinson, Timothy A. Aristotle in Outline. Indianapolis: Hackett Publishing Company, Inc., 1995.
    • Another short (125 pages) introduction to Aristotle’s thought, with three sections: Wisdom and Science, Aristotle’s Ethics, and Politics. It would be an excellent choice for the beginning student or anyone who just wants to be introduced to Aristotle’s philosophy. Robinson is sympathetic to Aristotle but also to his readers, keeping things easy to read while at the same time offering enough detail about Aristotle’s doctrines to illuminate his entire system and making the interconnections among the various elements of Aristotle’s system clear.
  • Ross, Sir David. Aristotle. With an introduction by John L. Ackrill. Sixth edition. London: Routledge, 1995.
    • This is a classic in the field, now in its sixth edition, having first been published in 1923. Not many books can stay useful for eighty years. “It is not an elementary introduction for the absolute beginner,” the introduction says, and that seems right to me, but neither does it require the reader to be an expert. It covers all of Aristotle’s work, with chapters on Logic, Philosophy of Nature, Biology, Psychology, Metaphysics, Ethics, Politics, and Rhetoric and Poetics.
  • Thompson, Garrett and Marshall Missner. On Aristotle. Belmont, CA: Wadsworth, 2000.
    • Another short (100 page) overview of Aristotle’s thought that is too short to be adequate for any one topic (Chapter Nine, Aristotle’s view of politics, is less than six pages long) but might be useful for the new student of Aristotle interested in a brief look at the breadth of Aristotle’s interests. The book by Barnes included above is to be preferred.

Secondary literature – books on Aristotle’s Politics

  • Keyt, David, and Fred Miller, eds. A Companion to Aristotle’s Politics. London: Blackwell, 1991.
  • Kraut, Richard. Aristotle: Political Philosophy. Oxford: Oxford University Press, 2002.
    • An exceptional work of scholarship. Detailed, insightful, and as close to being comprehensive as anyone is likely to get in one book. The text is clearly broken down by topic and sub-topic, and the bibliography will help steer the Aristotle student in the right direction for future research. Kraut also notes other authors who disagree with his interpretation and why he believes they are wrong; this too is helpful for further research. Highly recommended.
  • Miller, Fred. Nature, Justice and Rights in Aristotle’s Politics. New York: Oxford University Press, 1995.
  • Mulgan, R.G. Aristotle’s Political Theory: An Introduction for Students of Political Theory. Oxford: Clarendon Press, 1977.
    • Mulgan’s book “is intended for students of political theory who are meeting the Politics for the first time and in an English translation.” It is divided into subjects rather than following the topics in the order discussed in the Politics as this article has done, with footnotes to the relevant passages in Aristotle’s texts. It is nicely detailed and offers excellent discussions (and criticisms) of Aristotle’s thought.
  • Simpson, Peter. A Philosophical Commentary on the Politics of Aristotle. Chapel Hill: University of North Carolina Press, 1998.

Author Information:

Edward Clayton
Email: clayt1ew@cmich.edu
Central Michigan University
U. S. A.

Aristotle: Poetics

The Poetics of Aristotle (384-322 B.C.E.) is a much-disdained book. So unpoetic a soul as Aristotle’s has no business speaking about such a topic, much less telling poets how to go about their business. He reduces the drama to its language, people say, and the language itself to its least poetic element, the story, and then he encourages insensitive readers like himself to subject stories to crudely moralistic readings, that reduce tragedies to the childish proportions of Aesop-fables. Strangely, though, the Poetics itself is rarely read with the kind of sensitivity its critics claim to possess, and the thing criticized is not the book Aristotle wrote but a caricature of it. Aristotle himself respected Homer so much that he personally corrected a copy of the Iliad for his student Alexander, who carried it all over the world. In his Rhetoric (III, xvi, 9), Aristotle criticizes orators who write exclusively from the intellect, rather than from the heart, in the way Sophocles makes Antigone speak. Aristotle is often thought of as a logician, but he regularly uses the adverb logikôs, logically, as a term of reproach contrasted with phusikôs, naturally or appropriately, to describe arguments made by others, or preliminary and inadequate arguments of his own. Those who take the trouble to look at the Poetics closely will find, I think, a book that treats its topic appropriately and naturally, and contains the reflections of a good reader and characteristically powerful thinker.

Table of Contents

  1. Poetry as Imitation
  2. The Character of Tragedy
  3. Tragic Catharsis
  4. Tragic Pity
  5. Tragic Fear and the Image of Humanity
  6. The Iliad, the Tempest, and Tragic Wonder
  7. Excerpts from Aristotle’s Poetics
  8. References and Further Reading

1. Poetry as Imitation

The first scandal in the Poetics is the initial marking out of dramatic poetry as a form of imitation. We call the poet a creator, and are offended at the suggestion that he might be merely some sort of recording device. As the painter’s eye teaches us how to look and shows us what we never saw, the dramatist presents things that never existed until he imagined them, and makes us experience worlds we could never have found the way to on our own. But Aristotle has no intention to diminish the poet, and in fact says the same thing I just said, in making the point that poetry is more philosophic than history. By imitation, Aristotle does not mean the sort of mimicry by which Aristophanes, say, finds syllables that approximate the sound of frogs. He is speaking of the imitation of action, and by action he does not mean mere happenings. Aristotle speaks extensively of praxis in the Nicomachean Ethics. It is not a word he uses loosely, and in fact his use of it in the definition of tragedy recalls the discussion in the Ethics.

Action, as Aristotle uses the word, refers only to what is deliberately chosen, and capable of finding completion in the achievement of some purpose. Animals and young children do not act in this sense, and action is not the whole of the life of any of us. The poet must have an eye for the emergence of action in human life, and a sense for the actions that are worth paying attention to. They are not present in the world in such a way that a video camera could detect them. An intelligent, feeling, shaping human soul must find them. By the same token, the action of the drama itself is not on the stage. It takes form and has its being in the imagination of the spectator. The actors speak and move and gesture, but it is the poet who speaks through them, from imagination to imagination, to present to us the thing that he has made. Because that thing he makes has the form of an action, it has to be seen and held together just as actively and attentively by us as by him. The imitation is the thing that is re-produced, in us and for us, by his art. This is a powerful kind of human communication, and the thing imitated is what defines the human realm. If no one had the power to imitate action, life might just wash over us without leaving any trace.

How do I know that Aristotle intends the imitation of action to be understood in this way? In De Anima, he distinguishes three kinds of perception (II, 6; III, 3). There is the perception of proper sensibles-colors, sounds, tastes and so on; these lie on the surfaces of things and can be mimicked directly for sense perception. But there is also perception of common sensibles, available to more than one of our senses, as shape is grasped by both sight and touch, or number by all five senses; these are distinguished by imagination, the power in us that is shared by the five senses, and in which the circular shape, for instance, is not dependent on sight or touch alone. These common sensibles can be mimicked in various ways, as when I draw a messy, meandering ridge of chalk on a blackboard, and your imagination grasps a circle. Finally, there is the perception of that of which the sensible qualities are attributes, the thing–the son of Diares, for example; it is this that we ordinarily mean by perception, and while its object always has an image in the imagination, it can only be distinguished by intellect, no°s (III,4). Skilled mimics can imitate people we know, by voice, gesture, and so on, and here already we must engage intelligence and imagination together. The dramatist imitates things more remote from the eye and ear than familiar people. Sophocles and Shakespeare, for example, imitate repentance and forgiveness, true instances of action in Aristotle’s sense of the word, and we need all the human powers to recognize what these poets put before us. So the mere phrase imitation of an action is packed with meaning, available to us as soon as we ask what an action is, and how the image of such a thing might be perceived.

Aristotle does understand tragedy as a development out of the child’s mimicry of animal noises, but that is in the same way that he understands philosophy as a development out of our enjoyment of sight-seeing (Metaphysics I, 1). In each of these developments there is a vast array of possible intermediate stages, but just as philosophy is the ultimate form of the innate desire to know, tragedy is considered by Aristotle the ultimate form of our innate delight in imitation. His beloved Homer saw and achieved the most important possibilities of the imitation of human action, but it was the tragedians who, refined and intensified the form of that imitation, and discovered its perfection.

2. The Character of Tragedy

A work is a tragedy, Aristotle tells us, only if it arouses pity and fear. Why does he single out these two passions? Some interpreters think he means them only as examples–pity and fear and other passions like that–but I am not among those loose constructionists. Aristotle does use a word that means passions of that sort (toiouta), but I think he does so only to indicate that pity and fear are not themselves things subject to identification with pin-point precision, but that each refers to a range of feeling. It is just the feelings in those two ranges, however, that belong to tragedy. Why? Why shouldn’t some tragedy arouse pity and joy, say, and another fear and cruelty? In various places, Aristotle says that it is the mark of an educated person to know what needs explanation and what doesn’t. He does not try to prove that there is such a thing as nature, or such a thing as motion, though some people deny both. Likewise, he understands the recognition of a special and powerful form of drama built around pity and fear as the beginning of an inquiry, and spends not one word justifying that restriction. We, however, can see better why he starts there by trying out a few simple alternatives.

Suppose a drama aroused pity in a powerful way, but aroused no fear at all. This is an easily recognizable dramatic form, called a tear-jerker. The name is meant to disparage this sort of drama, but why? Imagine a well written, well made play or movie that depicts the losing struggle of a likable central character. We are moved to have a good cry, and are afforded either the relief of a happy ending, or the realistic desolation of a sad one. In the one case the tension built up along the way is released within the experience of the work itself; in the other it passes off as we leave the theater, and readjust our feelings to the fact that it was, after all, only make-believe. What is wrong with that? There is always pleasure in strong emotion, and the theater is a harmless place to indulge it. We may even come out feeling good about being so compassionate. But Dostoyevski depicts a character who loves to cry in the theater, not noticing that while she wallows in her warm feelings her coach-driver is shivering outside. She has day-dreams about relieving suffering humanity, but does nothing to put that vague desire to work. If she is typical, then the tear-jerker is a dishonest form of drama, not even a harmless diversion but an encouragement to lie to oneself.

Well then, let’s consider the opposite experiment, in which a drama arouses fear in a powerful way, but arouses little or no pity. This is again a readily recognizable dramatic form, called the horror story, or in a recent fashion, the mad-slasher movie. The thrill of fear is the primary object of such amusements, and the story alternates between the build-up of apprehension and the shock of violence. Again, as with the tear-jerker, it doesn’t much matter whether it ends happily or with uneasiness, or even with one last shock, so indeterminate is its form. And while the tearjerker gives us an illusion of compassionate delicacy, the unrestrained shock-drama obviously has the effect of coarsening feeling. Genuine human pity could not co-exist with the so-called graphic effects these films use to keep scaring us. The attraction of this kind of amusement is again the thrill of strong feeling, and again the price of indulging the desire for that thrill may be high.

Let us consider a milder form of the drama built on arousing fear. There are stories in which fearsome things are threatened or done by characters who are in the end defeated by means similar to, or in some way equivalent to, what they dealt out. The fear is relieved in vengeance, and we feel a satisfaction that we might be inclined to call justice. To work on the level of feeling, though, justice must be understood as the exact inverse of the crime–doing to the offender the sort of thing he did or meant to do to others. The imagination of evil then becomes the measure of good, or at least of the restoration of order. The satisfaction we feel in the vicarious infliction of pain or death is nothing but a thin veil over the very feelings we mean to be punishing. This is a successful dramatic formula, arousing in us destructive desires that are fun to feel, along with the self-righteous illusion that we are really superior to the character who displays them. The playwright who makes us feel that way will probably be popular, but he is a menace.

We have looked at three kinds of non-tragedy that arouse passions in a destructive way, and we could add others. There are potentially as many kinds as there are passions and combinations of passions. That suggests that the theater is just an arena for the manipulation of passions in ways that are pleasant in the short run and at least reckless to pursue repeatedly. At worst, the drama could be seen as dealing in a kind of addiction, which it both produces and holds the only remedy for. But we have not yet tried to talk about the combination of passions characteristic of tragedy.

When we turn from the sort of examples I have given, to the acknowledged examples of tragedy, we find ourselves in a different world. The tragedians I have in mind are five: Aeschylus, Sophocles, and Euripides; Shakespeare, who differs from them only in time; and Homer, who differs from them somewhat more, in the form in which he composed, but shares with them the things that matter most. I could add other authors, such as Dostoyevski, who wrote stories of the tragic kind in much looser literary forms, but I want to keep the focus on a small number of clear paradigms.

When we look at a tragedy we find the chorus in Antigone telling us what a strange thing a human being is, that passes beyond all boundaries (lines 332 ff.), or King Lear asking if man is no more than this, a poor, bare, forked animal (III, iv, 97ff.), or Macbeth protesting to his wife “I dare do all that may become a man; who dares do more is none” (I, vii, 47-8), or Oedipus taunting Teiresias with the fact that divine art was of no use against the Sphinx, but only Oedipus’ own human ingenuity (Oed. Tyr. 39098), or Agamemnon, resisting walking home on tapestries, saying to his wife “I tell you to revere me as a man, not a god” (925), or Cadmus in the Bacchae saying “I am a man, nothing more” (199), while Dionysus tells Pentheus “You do not know what you are” (506), or Patroclus telling Achilles “Peleus was not your father nor Thetis your mother, but the gray sea bore you, and the towering rocks, so hard is your heart” (Iliad XVI, 335 ). I could add more examples of this kind by the dozen, and your memories will supply others. Tragedy seems always to involve testing or finding the limits of what is human. This is no mere orgy of strong feeling, but a highly focussed way of bringing our powers to bear on the image of what is human as such. I suggest that Aristotle is right in saying that the powers which first of all bring this human image to sight for us are pity and fear.

It is obvious that the authors in our examples are not just putting things in front of us to make us cry or shiver or gasp. The feelings they arouse are subordinated to another effect. Aristotle begins by saying that tragedy arouses pity and fear in such a way as to culminate in a cleansing of those passions, the famous catharsis. The word is used by Aristotle only the once, in his preliminary definition of tragedy. I think this is because its role is taken over later in the Poetics by another, more positive, word, but the idea of catharsis is important in itself, and we should consider what it might mean.

3. Tragic Catharsis

First of all, the tragic catharsis might be a purgation. Fear can obviously be an insidious thing that undermines life and poisons it with anxiety. It would be good to flush this feeling from our systems, bring it into the open, and clear the air. This may explain the appeal of horror movies, that they redirect our fears toward something external, grotesque, and finally ridiculous, in order to puncture them. On the other hand, fear might have a secret allure, so that what we need to purge is the desire for the thrill that comes with fear. The horror movie also provides a safe way to indulge and satisfy the longing to feel afraid, and go home afterward satisfied; the desire is purged, temporarily, by being fed. Our souls are so many-headed that opposite satisfactions may be felt at the same time, but I think these two really are opposite. In the first sense of purgation, the horror movie is a kind of medicine that does its work and leaves the soul healthier, while in the second sense it is a potentially addictive drug. Either explanation may account for the popularity of these movies among teenagers, since fear is so much a fact of that time of life. For those of us who are older, the tear-jerker may have more appeal, offering a way to purge the regrets of our lives in a sentimental outpouring of pity. As with fear, this purgation too may be either medicinal or drug-like.

This idea of purgation, in its various forms, is what we usually mean when we call something cathartic. People speak of watching football, or boxing, as a catharsis of violent urges, or call a shouting match with a friend a useful catharsis of buried resentment. This is a practical purpose that drama may also serve, but it has no particular connection with beauty or truth; to be good in this purgative way, a drama has no need to be good in any other way. No one would be tempted to confuse the feeling at the end of a horror movie with what Aristotle calls “the tragic pleasure,” nor to call such a movie a tragedy. But the English word catharsis does not contain everything that is in the Greek word. Let us look at other things it might mean.

Catharsis in Greek can mean purification. While purging something means getting rid of it, purifying something means getting rid of the worse or baser parts of it. It is possible that tragedy purifies the feelings themselves of fear and pity. These arise in us in crude ways, attached to all sorts of objects. Perhaps the poet educates our sensibilities, our powers to feel and be moved, by refining them and attaching them to less easily discernible objects. There is a line in The Wasteland, “I will show you fear in a handful of dust.” Alfred Hitchcock once made us all feel a little shudder when we took showers. The poetic imagination is limited only by its skill, and can turn any object into a focus for any feeling. Some people turn to poetry to find delicious and exquisite new ways to feel old feelings, and consider themselves to enter in that way into a purified state. It has been argued that this sort of thing is what tragedy and the tragic pleasure are all about, but it doesn’t match up with my experience. Sophocles does make me fear and pity human knowledge when I watch the Oedipus Tyrannus, but this is not a refinement of those feelings but a discovery that they belong to a surprising object. Sophocles is not training my feelings, but using them to show me something worthy of wonder.

The word catharsis drops out of the Poetics because the word wonder, to rhaumaston, replaces it, first in chapter 9, where Aristotle argues that pity and fear arise most of all where wonder does, and finally in chapters 24 and 25, where he singles out wonder as the aim of the poetic art itself, into which the aim of tragedy in particular merges. Ask yourself how you feel at the end of a tragedy. You have witnessed horrible things and felt painful feelings, but the mark of tragedy is that it brings you out the other side. Aristotle’s use of the word catharsis is not a technical reference to purgation or purification but a beautiful metaphor for the peculiar tragic pleasure, the feeling of being washed or cleansed.

The tragic pleasure is a paradox. As Aristotle says, in a tragedy, a happy ending doesn’t make us happy. At the end of the play the stage is often littered with bodies, and we feel cleansed by it all. Are we like Clytemnestra, who says she rejoiced when spattered by her husband’s blood, like the earth in a Spring rain (Ag. 1389-92)? Are we like Iago, who has to see a beautiful life destroyed to feel better about himself (Oth. V, i, 18-20)? We all feel a certain glee in the bringing low of the mighty, but this is in no way similar to the feeling of being washed in wonderment. The closest thing I know to the feeling at the end of a tragedy is the one that comes with the sudden, unexpected appearance of something beautiful. In a famous essay on beauty (Ennead I, tractate 6), Plotinus says two things that seem true to me: “Clearly [beauty] is something detected at a first glance, something that the soul… recognizes, gives welcome to, and, in a way, fuses with” (beginning sec. 2). What is the effect on us of this recognition? Plotinus says that in every instance it is “an astonishment, a delicious wonderment” (end sec. 4). Aristotle is insistent that a tragedy must be whole and one, because only in that way can it be beautiful, while he also ascribes the superiority of tragedy over epic poetry to its greater unity and concentration (ch. 26). Tragedy is not just a dramatic form in which some works are beautiful and others not; tragedy is itself a species of beauty. All tragedies are beautiful.

By following Aristotle’s lead, we have now found five marks of tragedy: (1) it imitates an action, (2) it arouses pity and fear, (3) it displays the human image as such, (4) it ends in wonder, and (5) it is inherently beautiful. We noticed earlier that it is action that characterizes the distinctively human realm, and it is reasonable that the depiction of an action might show us a human being in some definitive way, but what do pity and fear have to do with that showing? The answer is everything.

4. Tragic Pity

First, let us consider what tragic pity consists in. The word pity tends to have a bad name these days, and to imply an attitude of condescension that diminishes its object. This is not a matter of the meanings of words, or even of changing attitudes. It belongs to pity itself to be two-sided, since any feeling of empathy can be given a perverse twist by the recognition that it is not oneself but another with whom one is feeling a shared pain. One of the most empathetic characters in all literature is Edgar in King Lear. He describes himself truly as “a most poor man, made tame to fortune’s blows, Who, by the art of known and feeling sorrows, Am pregnant to good pity” (IV, vi, 217-19). Two of his lines spoken to his father are powerful evidence of the insight that comes from suffering oneself and taking on the suffering of others: “Thy life’s a miracle” (IV, vi, 5 5 ), he says, and “Ripeness is all” (V, ii, 11), trying to help his father see that life is still good and death is not something to be sought. Yet in the last scene of the play this same Edgar voices the stupidest words ever spoken in any tragedy, when he concludes that his father just got what he deserved when he lost his eyes, since he had once committed adultery (V, iii, 171-4). Having witnessed the play, we know that Gloucester lost his eyes because he chose to help Lear, when the kingdom had become so corrupt that his act of kindness appeared as a walking fire in a dark world (I1I, iv, 107). There is a chain of effects from Gloucester’s adultery to his mutilation, but it is not a sequence that reveals the true cause of that horror. The wholeness of action that Shakespeare shapes for us shows that Gloucester’s goodness, displayed in a courageous, deliberate choice, and not his weakness many years earlier, cost him his eyes. Edgar ends by giving in to the temptation to moralize, to chase after the “fatal flaw” which is no part of tragedy, and loses his capacity to see straight.

This suggests that holding on to proper pity leads to seeing straight, and that seems exactly right. But what is proper pity? There is a way of missing the mark that is opposite to condescension, and that is the excess of pity called sentimentality. There are people who use the word sentimental for any display of feeling, or any taking seriously of feeling, but their attitude is as blind as Edgar’s. Sentimentality is inordinate feeling, feeling that goes beyond the source that gives rise to it. The woman in Dostoyevski’s novel who loves pitying for its own sake is an example of this vice. But between Edgar’s moralizing and her gushing there is a range of appropriate pity. Pity is one of the instruments by which a poet can show us what we are. We pity the loss of Gloucester’s eyes because we know the value of eyes, but more deeply, we pity the violation of Gloucester’s decency, and in so doing we feel the truth that without such decency, and without respect for it, there is no human life. Shakespeare is in control here, and the feeling he produces does not give way in embarrassment to moral judgment, nor does it make us wallow mindlessly in pity because it feels so good; the pity he arouses in us shows us what is precious in us, in the act of its being violated in another.

5. Tragic Fear and the Image of Humanity

Since every boundary has two sides, the human image is delineated also from the outside, the side of the things that threaten it. This is shown to us through the feeling of fear. As Aristotle says twice in the Rhetoric, what we pity in others, we fear for ourselves (1382b 26, 1386a 27). In our mounting fear that Oedipus will come to know the truth about himself, we feel that something of our own is threatened. Tragic fear, exactly like tragic pity, and either preceding it or simultaneous with it, shows us what we are and are unwilling to lose. It makes no sense to say that Oedipus’ passion for truth is a flaw, since that is the very quality that makes us afraid on his behalf. Tragedy is never about flaws, and it is only the silliest of mistranslations that puts that claim in Aristotle’s mouth. Tragedy is about central and indispensable human attributes, disclosed to us by the pity that draws us toward them and the fear that makes us recoil from what threatens them.

Because the suffering of the tragic figure displays the boundaries of what is human, every tragedy carries the sense of universality. Oedipus or Antigone or Lear or Othello is somehow every one of us, only more so. But the mere mention of these names makes it obvious that they are not generalized characters, but altogether particular. And if we did not feel that they were genuine individuals, they would have no power to engage our emotions. It is by their particularity that they make their marks on us, as though we had encountered them in the flesh. It is only through the particularity of our feelings that our bonds with them emerge. What we care for and cherish makes us pity them and fear for them, and thereby the reverse also happens: our feelings of pity and fear make us recognize what we care for and cherish. When the tragic figure is destroyed it is a piece of ourselves that is lost. Yet we never feel desolation at the end of a tragedy, because what is lost is also, by the very same means, found. I am not trying to make a paradox, but to describe a marvel. It is not so strange that we learn the worth of something by losing it; what is astonishing is what the tragedians are able to achieve by making use of that common experience. They lift it up into a state of wonder.

Within our small group of exemplary poetic works, there are two that do not have the tragic form, and hence do not concentrate all their power into putting us in a state of wonder, but also depict the state of wonder among their characters and contain speeches that reflect on it. They are Homer’s Iliad and Shakespeare’s Tempest. (Incidentally, there is an excellent small book called Woe or Wonder, the Emotional Effect of Shakespearean Tragedy, by J. V. Cunningham, that demonstrates the continuity of the traditional understanding of tragedy from Aristotle to Shakespeare.) The first poem in our literary heritage, and Shakespeare’s last play, both belong to a conversation of which Aristotle’s Poetics is the most prominent part.

6. The Iliad, the Tempest, and Tragic Wonder

In both the Iliad and the Tempest there are characters with arts that in some ways resemble that of the poet. It is much noticed that Prospero’s farewell to his art coincides with Shakespeare’s own, but it may be less obvious that Homer has put into the Iliad a partial representation of himself. But the last 150 lines of Book XVIII of the Iliad describe the making of a work of art by Hephaestus. I will not consider here what is depicted on the shield of Achilles, but only the meaning in the poem of the shield itself. In Book XVIII, Achilles has realized what mattered most to him when it is too late. The Greeks are driven back to their ships, as Achilles had prayed they would be, and know that they are lost without him. “But what pleasure is this to me now,” he says to his mother, “when my beloved friend is dead, Patroclus, whom I cherished beyond all friends, as the equal of my own soul; I am bereft of him” (80-82). Those last words also mean “I have killed him.” In his desolation, Achilles has at last chosen to act. “I will accept my doom,” he says (115 ). Thetis goes to Hephaestus because, in spite of his resolve, Achilles has no armor in which to meet his fate. She tells her son’s story, concluding “he is lying on the ground, anguishing at heart” (461). Her last word, anguishing, acheuôn, is built on Achilles’ name.

Now listen to what Hephaestus says in reply: “Take courage, and do not let these things distress you in your heart. Would that I had the power to hide him far away from death and the sounds of grief when grim fate comes to him, but I can see that beautiful armor surrounds him, of such a kind that many people, one after another, who look on it, will wonder” (463-67). Is it not evident that this source of wonder that surrounds Achilles, that takes the sting from his death even in a mother’s heart, is the Iliad itself? But how does the Iliad accomplish this?

Let us shift our attention for a moment to the Tempest. The character Alonso, in the power of the magician Prospero, spends the length of the play in the illusion that his son has drowned. To have him alive again, Alonso says, “I wish Myself were mudded in that oozy bed Where my son lies” (V, i, 150-2). But he has already been there for three hours in his imagination; he says earlier “my son i’ th’ ooze is bedded; and I’ll seek him deeper than e’er plummet sounded And with him there lie mudded” (III, iii, 100-2). What is this muddy ooze? It is Alonso’s grief, and his regret for exposing his son to danger, and his self-reproach for his own past crime against Prospero and Prospero’s baby daughter, which made his son a just target for divine retribution; the ooze is Alonso’s repentance, which feels futile to him since it only comes after he has lost the thing he cares most about. But the spirit Ariel sings a song to Alonso’s son: “Full fathom five thy father lies; Of his bones are coral made; Those are pearls that were his eyes; Nothing of him that doth fade But doth suffer a sea change Into something rich and strange” (I, ii, 397-402). Alonso’s grief is aroused by an illusion, an imitation of an action, but his repentance is real, and is slowly transforming him into a different man. Who is this new man? Let us take counsel from the “honest old councilor” Gonzalo, who always has the clearest sight in the play. He tells us that on this voyage, when so much seemed lost, every traveller found himself “When no man was his own” (V, i, 206-13). The something rich and strange into which Alonso changes is himself, as he was before his life took a wrong turn. Prospero’s magic does no more than arrest people in a potent illusion; in his power they are “knit up In their distractions” (III, iii, 89-90). When released, he says, “they shall be themselves” (V, i, 32).

On virtually every page of the Tempest, the word wonder appears, or else some synonym for it. Miranda’s name is Latin for wonder, her favorite adjective brave seems to mean both good and out-of-the-ordinary, and the combination rich and strange means the same. What is wonder? J. V. Cunningham describes it in the book I mentioned as the shocked limit of all feeling, in which fear, sorrow, and joy can all merge. There is some truth in that, but it misses what is wonderful or wondrous about wonder. It suggests that in wonder our feelings are numbed and we are left limp, wrung dry of all emotion. But wonder is itself a feeling, the one to which Miranda is always giving voice, the powerful sense that what is before one is both strange and good. Wonder does not numb the other feelings; what it does is dislodge them from their habitual moorings. The experience of wonder is the disclosure of a sight or thought or image that fits no habitual context of feeling or understanding, but grabs and holds us by a power borrowed from nothing apart from itself. The two things that Plotinus says characterize beauty, that the soul recognizes it at first glance and spontaneously gives welcome to it, equally describe the experience of wonder. The beautiful always produces wonder, if it is seen as beautiful, and the sense of wonder always sees beauty.

But are there really no wonders that are ugly? The monstrosities that used to be exhibited in circus side-shows are wonders too, are they not? In the Tempest, three characters think first of all of such spectacles when they lay eyes on Caliban (II, ii, 28-31; V, i, 263-6), but they are incapable of wonder, since they think they know everything that matters already. A fourth character in the same batch, who is drunk but not insensible, gives way at the end of Act II to the sense that this is not just someone strange and deformed, nor just a useful servant, but a brave monster. But Stephano is not like the holiday fools who pay to see monstrosities like two-headed calves or exotic sights like wild men of Borneo. I recall an aquarium somewhere in Europe that had on display an astoundingly ugly catfish. People came casually up to its tank, were startled, made noises of disgust, and turned away. Even to be arrested before such a sight feels in some way perverse and has some conflict in the feeling it arouses, as when we stare at the victims of a car wreck. The sight of the ugly or disgusting, when it is felt as such, does not have the settled repose or willing surrender that are characteristic of wonder. “Wonder is sweet,” as Aristotle says.

This sweet contemplation of something outside us is exactly opposite to Alonso’s painful immersion in his own remorse, but in every other respect he is a model of the spectator of a tragedy. We are in the power of another for awhile, the sight of an illusion works real and durable changes in us, we merge into something rich and strange, and what we find by being absorbed in the image of another is ourselves. As Alonso is shown a mirror of his soul by Prospero, we are shown a mirror of ourselves in Alonso, but in that mirror we see ourselves as we are not in witnessing the Tempest, but in witnessing .a tragedy. The Tempest is a beautiful play, suffused with wonder as well as with reflections on wonder, but it holds the intensity of the tragic experience at a distance. Homer, on the other hand, has pulled off a feat even more astounding than Shakespeare’s, by imitating the experience of a spectator of tragedy within a story that itself works on us as a tragedy.

In Book XXIV of the Iliad, forms of the word tham bos, amazement, occur three times in three lines (482-4), when Priam suddenly appears in the hut of Achilles and “kisses the terrible man-slaughtering hands that killed his many sons” (478-9), but this is only the prelude to the true wonder. Achilles and Priam cry together, each for his own grief, as each has cried so often before, but this time a miracle happens. Achilles’ grief is transformed into satisfaction, and cleansed from his chest and his hands (513-14). This is all the more remarkable, since Achilles has for days been repeatedly trying to take out his raging grief on Hector’s dead body. The famous first word of the Iliad, mÍnis, wrath, has come back at the beginning of Book XXIV in the participle meneainôn (22), a constant condition that Lattimore translates well as “standing fury.” But all this hardened rage evaporates in one lamentation, just because Achilles shares it with his enemy’s father. Hermes had told Priam to appeal to Achilles in the names of his father, his mother, and his child, “in order to stir his heart” (466-7), but Priam’s focussed misery goes straight to Achilles’ heart without diluting the effect. The first words out of Priam’s mouth are “remember your father” (486). Your father deserves pity, Priam says, so “pity me with him in mind, since I am more pitiful even than he; I have dared what no other mortal on earth ever dared, to stretch out my lips to the hand of the man who murdered my children” (503-4).

Achilles had been pitying Patroclus, but mainly himself, but the feeling to which Priam has directed him now is exactly the same as tragic pity. Achilles is looking at a human being who has chosen to go to the limits of what is humanly possible to search for something that matters to him. The wonder of this sight takes Achilles out of his self-pity, but back into himself as a son and as a sharer of human misery itself. All his old longings for glory and revenge fall away, since they have no place in the sight in which he is now absorbed. For the moment, the beauty of Priam’s terrible action re-makes the world, and determines what matters and what doesn’t. The feeling in this moment out of time is fragile, and Achilles feels it threatened by tragic fear. In the strange fusion of this scene, what Achilles fears is himself; “don’t irritate me any longer now, old man,” he says when Priam tries to hurry along the return of Hector’s body, “don’t stir up my heart in its griefs any more now, lest I not spare even you yourself’ (560, 568-9). Finally, after they share a meal, they just look at each other. “Priam wondered at Achilles, at how big he was and what he was like, for he seemed equal to the gods, but Achilles wondered at Trojan Priam, looking on the worthy sight of him and hearing his story” (629-32). In the grip of wonder they do not see enemies. They see truly. They see the beauty in two men who have lost almost everything. They see a son a father should be proud of and a father a son should revere.

The action of the Iliad stretches from Achilles’ deliberate choice to remove himself from the war to his deliberate choice to return Hector’s body to Priam. The passion of the Iliad moves from anger through pity and fear to wonder. Priam’s wonder lifts him for a moment out of the misery he is enduring, and permits him to see the cause of that misery as still something good. Achilles’ wonder is similar to that of Priam, since Achilles too sees the cause of his anguish in a new light, but in his case this takes several steps. When Priam first appears in his hut, Homer compares the amazement this produces to that with which people look at a murderer who has fled from his homeland (480-84). This is a strange comparison, and it recalls the even stranger fact disclosed one book earlier that Patroclus, whom everyone speaks of as gentle and kind-hearted (esp. XVII, 670-71), who gives his life because he cannot bear to see his friends destroyed to satisfy Achilles’ anger, this same Patroclus began his life as a murderer in his own country, and came to Achilles’ father Peleus for a second chance at life. When Achilles remembers his father, he is remembering the man whose kindness brought Patroclus into his life, so that his tears, now for his father, now again for Patroclus (XXIV, 511-12), merge into a single grief. But the old man crying with him is a father too, and Achilles’ tears encompass Priam along with Achilles’ own loved ones. Finally, since Priam is crying for Hector, Achilles’ grief includes Hector himself, and so it turns his earlier anguish inside out. If Priam is like Achilles’ father, then Hector must come to seem to Achilles to be like a brother, or to be like himself.

Achilles cannot be brought to such a reflection by reasoning, nor do the feelings in which he has been embroiled take him in that direction. Only Priam succeeds in unlocking Achilles’ heart, and he does so by an action, by kissing his hand. From the beginning of Book XVIII (23, 27, 33), Achilles’ hands are referred to over and over and over, as he uses them to pour dirt on his head, to tear his hair, and to kill every Trojan he can get his hands on. Hector, who must go up against those hands, is mesmerized by them; they are like a fire, he says, and repeats it. “His hands seem like a fire” (XX, 371-2). After Priam kisses Achilles’ hand, and after they cry together, Homer tells us that the desire for lamentation went out of Achilles’ chest and out of his hands (XXIV, 514). His murderous, manslaughtering hands are stilled by a grief that finally has no enemy to take itself out on. When, in Book XVIII, Achilles had accepted his doom (115), it was part of a bargain; “I will lie still when I am dead,” he had said, “but now I must win splendid glory” (121). But at the end of the poem, Achilles has lost interest in glory. He is no longer eaten up by the desire to be lifted above Hector and Priam, but comes to rest in just looking at them for what they are. Homer does surround Achilles in armor that takes the sting from his misery and from his approaching death, by working that misery and death into the wholeness of the Iliad. But the Iliad is, as Aristotle says, the prototype of tragedy; it is not a poem that aims at conferring glory but a poem that bestows the gift of wonder.

Like Alonso in the Tempest, Achilles ultimately finds himself. Of the two, Achilles is the closer model of the spectator of a tragedy, because Alonso plunges deep into remorse before he is brought back into the shared world. Achilles is lifted directly out of himself, into the shared world, in the act of wonder, and sees his own image in the sorrowing father in front of him. This is exactly what a tragedy does to us, and exactly what we experience in looking at Achilles. In his loss, we pity him. In his fear of himself, on Priam’s behalf, we fear for him, that he might lose his new-won humanity. In his capacity to be moved by the wonder of a suffering fellow human, we wonder at him. At the end of the Iliad, as at the end of every tragedy, we are washed in the beauty of the human image, which our pity and our fear have brought to sight. The five marks of tragedy that we learned of from Aristotle’s Poetics–that it imitates an action, arouses pity and fear, displays the human image as such, ends in wonder, and is inherently beautiful–give a true and powerful account of the tragic pleasure.

7. Excerpts from Aristotle’s Poetics

Ch. 6 A tragedy is an imitation of an action that is serious and has a wholeness in its extent, in language that is pleasing (though in distinct ways in its different parts), enacted rather than narrated, culminating, by means of pity and fear, in the cleansing of these passions …So tragedy is an imitation not of people, but of action, life, and happiness or unhappiness, while happiness and unhappiness have their being in activity, and come to completion not in a quality but in some sort of action …Therefore it is deeds and the story that are the end at which tragedy aims, and in all things the end is what matters most …So the source that governs tragedy in the way that the soul governs life is the story.

Ch. 7 An extended whole is that which has a beginning, middle and end. But a beginning is something which, in itself, does not need to be after anything else, while something else naturally is the case or comes about after it; and an end is its contrary, something which in itself is of such a nature as to be after something else, either necessarily or for the most part, but to have nothing else after it-It is therefore needful that wellput-together stories not begin from just anywhere at random, nor end just anywhere at random …And beauty resides in size and order …the oneness and wholeness of the beautiful thing being present all at once in contemplation …in stories, just as in human organizations and in living things.

Ch. 8 A story is not one, as some people think, just because it is about one person …And Homer, just as he is distinguished in all other ways, seems to have seen this point beautifully, whether by art or by nature.

Ch. 9 Now tragedy is an imitation not only of a complete action, but also of objects of fear and pity, and these arise most of all when events happen contrary to expectation but in consequence of one another; for in this way they will have more wonder in them than if they happened by chance or by fortune, since even among things that happen by chance, the greatest sense of wonder is from those that seem to have happened by design.

Chs. 13-14 Since it is peculiar to tragedy to be an imitation of actions arousing pity and fear …and since the former concerns someone who is undeserving of suffering and the latter concerns someone like us …the story that works well must …depict a change from good to bad fortune, resulting not from badness one that arises from the actions themselves, the astonishment coming about through things that are likely, as in the Oedipus of Sophocles. A revelation, as the word indicates, is a change from ignorance to knowledge, that produces either friendship or hatred in people marked out for good or bad fortune. The most beautiful of revelations occurs when reversals of condition come about at the same time, as is the case in the Oedipus.–Ch. 11

Chs. 24-5 Wonder needs to be produced in tragedies, but in the epic there is more room for that which confounds reason, by means of which wonder comes about most of all, since in the epic one does not see the person who performs the action; the events surrounding the pursuit of Hector would seem ridiculous if they were on stage …But wonder is sweet …And Homer most of all has taught the rest of us how one ought to speak of what is untrue …One ought to choose likely impossibilities in preference to unconvincing possibilities …And if a poet has, represented impossible things, then he has missed the mark, but that is the right thing to do if he thereby hits the mark that is the end of the poetic art itself, that is, if in that way he makes that or some other part more wondrous.

8. References and Further Reading

  • Aristotle, Metaphysics, Joe Sachs (trans.), Green Lion Press, 1999.
  • Aristotle, Nicomachean Ethics, Joe Sachs (trans.), Focus Philosophical Library, Pullins Press, 2002.
  • Aristotle, On the Soul, Joe Sachs (trans.), Green Lion Press, 2001.
  • Aristotle, Poetics, Joe Sachs (trans.), Focus Philosophical Library, Pullins Press, 2006.
  • Aristotle, Physics, Joe Sachs (trans.), Rutgers U. P., 1995.

Author Information

Joe Sachs
Email: joe.sachs@sjc.edu
St. John’s College
U. S. A.

Chinese Room Argument

The Chinese room argument is a thought experiment of John Searle. It is one of the best known and widely credited counters to claims of artificial intelligence (AI), that is, to claims that computers do or at least can (or someday might) think. According to Searle’s original presentation, the argument is based on two key claims: brains cause minds and syntax doesn’t suffice for semantics. Its target is what Searle dubs “strong AI.” According to strong AI, Searle says, “the computer is not merely a tool in the study of the mind, rather the appropriately programmed computer really is a mind in the sense that computers given the right programs can be literally said to understand and have other cognitive states”. Searle contrasts strong AI with “weak AI.” According to weak AI, computers just simulate thought. Their seeming understanding is not real understanding (just as-if); their seeming calculation is only as-if calculation, and so forth. Nevertheless, computer simulation is useful for studying the mind (as for studying the weather and other things).

Table of Contents

  1. The Chinese Room Thought Experiment
  2. Replies and Rejoinders
    1. The Systems Reply
    2. The Robot Reply
    3. The Brain Simulator Reply
    4. The Combination Reply
    5. The Other Minds Reply
    6. The Many Mansions Reply
  3. Searle’s “Derivation from Axioms”
  4. Continuing Dispute
    1. Initial Objections & Replies
    2. The Connectionist Reply
  5. Summary Analysis
  6. Postscript
  7. References and Further Reading

1. The Chinese Room Thought Experiment

Against “strong AI,” Searle (1980a) asks you to imagine yourself a monolingual English speaker “locked in a room, and given a large batch of Chinese writing” plus “a second batch of Chinese script” and “a set of rules” in English “for correlating the second batch with the first batch.” The rules “correlate one set of formal symbols with another set of formal symbols”; “formal” (or “syntactic”) meaning you “can identify the symbols entirely by their shapes.” A third batch of Chinese symbols and more instructions in English enable you “to correlate elements of this third batch with elements of the first two batches” and instruct you, thereby, “to give back certain sorts of Chinese symbols with certain sorts of shapes in response.” Those giving you the symbols “call the first batch ‘a script’ [a data structure with natural language processing applications], “they call the second batch ‘a story’, and they call the third batch ‘questions’; the symbols you give back “they call . . . ‘answers to the questions'”; “the set of rules in English . . . they call ‘the program'”: you yourself know none of this. Nevertheless, you “get so good at following the instructions” that “from the point of view of someone outside the room” your responses are “absolutely indistinguishable from those of Chinese speakers.” Just by looking at your answers, nobody can tell you “don’t speak a word of Chinese.” Producing answers “by manipulating uninterpreted formal symbols,” it seems “[a]s far as the Chinese is concerned,” you “simply behave like a computer”; specifically, like a computer running Schank and Abelson’s (1977) “Script Applier Mechanism” story understanding program (SAM), which Searle’s takes for his example.

But in imagining himself to be the person in the room, Searle thinks it’s “quite obvious . . . I do not understand a word of the Chinese stories. I have inputs and outputs that are indistinguishable from those of the native Chinese speaker, and I can have any formal program you like, but I still understand nothing.” “For the same reasons,” Searle concludes, “Schank’s computer understands nothing of any stories” since “the computer has nothing more than I have in the case where I understand nothing” (1980a, p. 418). Furthermore, since in the thought experiment “nothing . . . depends on the details of Schank’s programs,” the same “would apply to any [computer] simulation” of any “human mental phenomenon” (1980a, p. 417); that’s all it would be, simulation. Contrary to “strong AI,” then, no matter how intelligent-seeming a computer behaves and no matter what programming makes it behave that way, since the symbols it processes are meaningless (lack semantics) to it, it’s not really intelligent. It’s not actually thinking. Its internal states and processes, being purely syntactic, lack semantics (meaning); so, it doesn’t really have intentional (that is, meaningful) mental states.

2. Replies and Rejoinders

Having laid out the example and drawn the aforesaid conclusion, Searle considers several replies offered when he “had the occasion to present this example to a number of workers in artificial intelligence” (1980a, p. 419). Searle offers rejoinders to these various replies.

a. The Systems Reply

The Systems Reply suggests that the Chinese room example encourages us to focus on the wrong agent: the thought experiment encourages us to mistake the would-be subject-possessed-of-mental-states for the person in the room. The systems reply grants that “the individual who is locked in the room does not understand the story” but maintains that “he is merely part of a whole system, and the system does understand the story” (1980a, p. 419: my emphases).

Searle’s main rejoinder to this is to “let the individual internalize all . . . of the system” by memorizing the rules and script and doing the lookups and other operations in their head. “All the same,” Searle maintains, “he understands nothing of the Chinese, and . . . neither does the system, because there isn’t anything in the system that isn’t in him. If he doesn’t understand then there is no way the system could understand because the system is just part of him” (1980a, p. 420). Searle also insists the systems reply would have the absurd consequence that “mind is everywhere.” For instance, “there is a level of description at which my stomach does information processing” there being “nothing to prevent [describers] from treating the input and output of my digestive organs as information if they so desire.” Besides, Searle contends, it’s just ridiculous to say “that while [the] person doesn’t understand Chinese, somehow the conjunction of that person and bits of paper might” (1980a, p. 420).

b. The Robot Reply

The Robot Reply – along lines favored by contemporary causal theories of reference – suggests what prevents the person in the Chinese room from attaching meanings to (and thus presents them from understanding) the Chinese ciphers is the sensory-motoric disconnection of the ciphers from the realities they are supposed to represent: to promote the “symbol” manipulation to genuine understanding, according to this causal-theoretic line of thought, the manipulation needs to be grounded in the outside world via the agent’s causal relations to the things to which the ciphers, as symbols, apply. If we “put a computer inside a robot” so as to “operate the robot in such a way that the robot does something very much like perceiving, walking, moving about,” however, then the “robot would,” according to this line of thought, “unlike Schank’s computer, have genuine understanding and other mental states” (1980a, p. 420).

Against the Robot Reply, Searle maintains “the same experiment applies” with only slight modification. Put the room, with Searle in it, inside the robot; imagine “some of the Chinese symbols come from a television camera attached to the robot” and that “other Chinese symbols that [Searle is] giving out serve to make the motors inside the robot move the robot’s legs or arms.” Still, Searle asserts, “I don’t understand anything except the rules for symbol manipulation.” He explains, “by instantiating the program I have no [mental] states of the relevant [meaningful, or intentional] type. All I do is follow formal instructions about manipulating formal symbols.” Searle also charges that the robot reply “tacitly concedes that cognition is not solely a matter of formal symbol manipulation” after all, as “strong AI” supposes, since it “adds a set of causal relation[s] to the outside world” (1980a, p. 420).

c. The Brain Simulator Reply

The Brain Simulator Reply asks us to imagine that the program implemented by the computer (or the person in the room) “doesn’t represent information that we have about the world, such as the information in Schank’s scripts, but simulates the actual sequence of neuron firings at the synapses of a Chinese speaker when he understands stories in Chinese and gives answers to them.” Surely then “we would have to say that the machine understood the stories”; or else we would “also have to deny that native Chinese speakers understood the stories” since “[a]t the level of the synapses” there would be no difference between “the program of the computer and the program of the Chinese brain” (1980a, p. 420).

Against this, Searle insists, “even getting this close to the operation of the brain is still not sufficient to produce understanding” as may be seen from the following variation on the Chinese room scenario. Instead of shuffling symbols, we “have the man operate an elaborate set of water pipes with valves connecting them.” Given some Chinese symbols as input, the program now tells the man “which valves he has to turn off and on. Each water connection corresponds to synapse in the Chinese brain, and the whole system is rigged so that after . . . turning on all the right faucets, the Chinese answer pops out at the output end of the series of pipes.” Yet, Searle thinks, obviously, “the man certainly doesn’t understand Chinese, and neither do the water pipes.” “The problem with the brain simulator,” as Searle diagnoses it, is that it simulates “only the formal structure of the sequence of neuron firings”: the insufficiency of this formal structure for producing meaning and mental states “is shown by the water pipe example” (1980a, p. 421).

d. The Combination Reply

The Combination Reply supposes all of the above: a computer lodged in a robot running a brain simulation program, considered as a unified system. Surely, now, “we would have to ascribe intentionality to the system” (1980a, p. 421).

Searle responds, in effect, that since none of these replies, taken alone, has any tendency to overthrow his thought experimental result, neither do all of them taken together: zero times three is naught. Though it would be “rational and indeed irresistible,” he concedes, “to accept the hypothesis that the robot had intentionality, as long as we knew nothing more about it” the acceptance would be simply based on the assumption that “if the robot looks and behaves sufficiently like us then we would suppose, until proven otherwise, that it must have mental states like ours that cause and are expressed by its behavior.” However, “[i]f we knew independently how to account for its behavior without such assumptions,” as with computers, “we would not attribute intentionality to it, especially if we knew it had a formal program” (1980a, p. 421).

e. The Other Minds Reply

The Other Minds Reply reminds us that how we “know other people understand Chinese or anything else” is “by their behavior.” Consequently, “if the computer can pass the behavioral tests as well” as a person, then “if you are going to attribute cognition to other people you must in principle also attribute it to computers” (1980a, p. 421).

Searle responds that this misses the point: it’s “not. . . how I know that other people have cognitive states, but rather what it is that I am attributing when I attribute cognitive states to them. The thrust of the argument is that it couldn’t be just computational processes and their output because the computational processes and their output can exist without the cognitive state” (1980a, p. 420-421: my emphases).

f. The Many Mansions Reply

The Many Mansions Reply suggests that even if Searle is right in his suggestion that programming cannot suffice to cause computers to have intentionality and cognitive states, other means besides programming might be devised such that computers may be imbued with whatever does suffice for intentionality by these other means.

This too, Searle says, misses the point: it “trivializes the project of Strong AI by redefining it as whatever artificially produces and explains cognition” abandoning “the original claim made on behalf of artificial intelligence” that “mental processes are computational processes over formally defined elements.” If AI is not identified with that “precise, well defined thesis,” Searle says, “my objections no longer apply because there is no longer a testable hypothesis for them to apply to” (1980a, p. 422).

3. Searle’s “Derivation from Axioms”

Besides the Chinese room thought experiment, Searle’s more recent presentations of the Chinese room argument feature – with minor variations of wording and in the ordering of the premises – a formal “derivation from axioms” (1989, p. 701). The derivation, according to Searle’s 1990 formulation proceeds from the following three axioms (1990, p. 27):

(A1) Programs are formal (syntactic).
(A2) Minds have mental contents (semantics).
(A3) Syntax by itself is neither constitutive of nor sufficient for semantics.

to the conclusion:

(C1) Programs are neither constitutive of nor sufficient for minds.

Searle then adds a fourth axiom (p. 29):

(A4) Brains cause minds.

from which we are supposed to “immediately derive, trivially” the conclusion:

(C2) Any other system capable of causing minds would have to have causal powers (at least) equivalent to those of brains.

whence we are supposed to derive the further conclusions:

(C3) Any artifact that produced mental phenomena, any artificial brain, would have to be able to duplicate the specific causal powers of brains, and it could not do that just by running a formal program.
(C4) The way that human brains actually produce mental phenomena cannot be solely by virtue of running a computer program.

On the usual understanding, the Chinese room experiment subserves this derivation by “shoring up axiom 3” (Churchland & Churchland 1990, p. 34).

4. Continuing Dispute

To call the Chinese room controversial would be an understatement. Beginning with objections published along with Searle’s original (1980a) presentation, opinions have drastically divided, not only about whether the Chinese room argument is cogent; but, among those who think it is, as to why it is; and, among those who think it is not, as to why not. This discussion includes several noteworthy threads.

a. Initial Objections & Replies

Initial Objections & Replies to the Chinese room argument besides filing new briefs on behalf of many of the forenamed replies(for example, Fodor 1980 on behalf of “the Robot Reply”) take, notably, two tacks. One tack, taken by Daniel Dennett (1980), among others, decries the dualistic tendencies discernible, for instance, in Searle’s methodological maxim “always insist on the first-person point of view” (Searle 1980b, p. 451). Another tack notices that the symbols Searle-in-the-room processes are not meaningless ciphers, they’re Chinese inscriptions. So they are meaningful; and so is Searle’s processing of them in the room; whether he knows it or not.

In reply to this second sort of objection, Searle insists that what’s at issue here is intrinsic intentionality in contrast to the merely derived intentionality of inscriptions and other linguistic signs. Whatever meaning Searle-in-the-room’s computation might derive from the meaning of the Chinese symbols which he processes will not be intrinsic to the process or the processor but “observer relative,” existing only in the minds of beholders such as the native Chinese speakers outside the room. “Observer-relative ascriptions of intentionality are always dependent on the intrinsic intentionality of the observers” (Searle 1980b, pp. 451-452). The nub of the experiment, according to Searle’s attempted clarification, then, is this: “instantiating a program could not be constitutive of intentionality, because it would be possible for an agent [e.g., Searle-in-the-room] to instantiate the program and still not have the right kind of intentionality” (Searle 1980b, pp. 450-451: my emphasis); the intrinsic kind. Though Searle unapologetically identifies intrinsic intentionality with conscious intentionality, still he resists Dennett’s and others’ imputations of dualism. Given that what it is we’re attributing in attributing mental states is conscious intentionality, Searle maintains, insistence on the “first-person point of view” is warranted; because “the ontology of the mind is a first-person ontology”: “the mind consists of qualia [subjective conscious experiences] . . . right down to the ground” (1992, p. 20). This thesis of Ontological Subjectivity, as Searle calls it in more recent work, is not, he insists, some dualistic invocation of discredited “Cartesian apparatus” (Searle 1992, p. xii), as his critics charge; it simply reaffirms commonsensical intuitions that behavioristic views and their functionalistic progeny have, for too long, highhandedly, dismissed. This commonsense identification of thought with consciousness, Searle maintains, is readily reconcilable with thoroughgoing physicalism when we conceive of consciousness as both caused by and realized in underlying brain processes. Identification of thought with consciousness along these lines, Searle insists, is not dualism; it might more aptly be styled monist interactionism (1980b, p. 455-456) or (as he now prefers) “biological naturalism” (1992, p. 1).

b. The Connectionist Reply

The Connectionist Reply (as it might be called) is set forth—along with a recapitulation of the Chinese room argument and a rejoinder by Searle—by Paul and Patricia Churchland in a 1990 Scientific American piece. The Churchlands criticize the crucial third “axiom” of Searle’s “derivation” by attacking his would-be supporting thought experimental result. This putative result, they contend, gets much if not all of its plausibility from the lack of neurophysiological verisimilitude in the thought-experimental setup. Instead of imagining Searle working alone with his pad of paper and lookup table, like the Central Processing Unit of a serial architecture machine, the Churchlands invite us to imagine a more brainlike connectionist architecture. Imagine Searle-in-the-room, then, to be just one of very many agents, all working in parallel, each doing their own small bit of processing (like the many neurons of the brain). Since Searle-in-the-room, in this revised scenario, does only a very small portion of the total computational job of generating sensible Chinese replies in response to Chinese input, naturally he himself does not comprehend the whole process; so we should hardly expect him to grasp or to be conscious of the meanings of the communications he is involved, in such a minor way, in processing.

Searle counters that this Connectionist Reply—incorporating, as it does, elements of both systems and brain-simulator replies—can, like these predecessors, be decisively defeated by appropriately tweaking the thought-experimental scenario. Imagine, if you will, a Chinese gymnasium, with many monolingual English speakers working in parallel, producing output indistinguishable from that of native Chinese speakers: each follows their own (more limited) set of instructions in English. Still, Searle insists, obviously, none of these individuals understands; and neither does the whole company of them collectively. It’s intuitively utterly obvious, Searle maintains, that no one and nothing in the revised “Chinese gym” experiment understands a word of Chinese either individually or collectively. Both individually and collectively, nothing is being done in the Chinese gym except meaningless syntactic manipulations from which intentionality and consequently meaningful thought could not conceivably arise.

5. Summary Analysis

Searle’s Chinese Room experiment parodies the Turing test, a test for artificial intelligence proposed by Alan Turing (1950) and echoing René Descartes’ suggested means for distinguishing thinking souls from unthinking automata. Since “it is not conceivable,” Descartes says, that a machine “should produce different arrangements of words so as to give an appropriately meaningful answer to whatever is said in its presence, as even the dullest of men can do” (1637, Part V), whatever has such ability evidently thinks. Turing embodies this conversation criterion in a would-be experimental test of machine intelligence; in effect, a “blind” interview. Not knowing which is which, a human interviewer addresses questions, on the one hand, to a computer, and, on the other, to a human being. If, after a decent interval, the questioner is unable to tell which interviewee is the computer on the basis of their answers, then, Turing concludes, we would be well warranted in concluding that the computer, like the person, actually thinks. Restricting himself to the epistemological claim that under the envisaged circumstances attribution of thought to the computer is warranted, Turing himself hazards no metaphysical guesses as to what thought is – proposing no definition or no conjecture as to the essential nature thereof. Nevertheless, his would-be experimental apparatus can be used to characterize the main competing metaphysical hypotheses here in terms their answers to the question of what else or what instead, if anything, is required to guarantee that intelligent-seeming behavior really is intelligent or evinces thought. Roughly speaking, we have four sorts of hypotheses here on offer. Behavioristic hypotheses deny that anything besides acting intelligent is required. Dualistic hypotheses hold that, besides (or instead of) intelligent-seeming behavior, thought requires having the right subjective conscious experiences. Identity theoretic hypotheses hold it to be essential that the intelligent-seeming performances proceed from the right underlying neurophysiological states. Functionalistic hypotheses hold that the intelligent-seeming behavior must be produced by the right procedures or computations.

The Chinese experiment, then, can be seen to take aim at Behaviorism and Functionalism as a would-be counterexample to both. Searle-in-the-room behaves as if he understands Chinese; yet doesn’t understand: so, contrary to Behaviorism, acting (as-if) intelligent does not suffice for being so; something else is required. But, contrary to Functionalism this something else is not – or at least, not just – a matter of by what underlying procedures (or programming) the intelligent-seeming behavior is brought about: Searle-in-the-room, according to the thought-experiment, may be implementing whatever program you please, yet still be lacking the mental state (e.g., understanding Chinese) that his behavior would seem to evidence. Thus, Searle claims, Behaviorism and Functionalism are utterly refuted by this experiment; leaving dualistic and identity theoretic hypotheses in control of the field. Searle’s own hypothesis of Biological Naturalism may be characterized sympathetically as an attempt to wed – or unsympathetically as an attempt to waffle between – the remaining dualistic and identity-theoretic alternatives.

6. Postscript

Debate over the Chinese room thought experiment – while generating considerable heat – has proven inconclusive. To the Chinese room’s champions – as to Searle himself – the experiment and allied argument have often seemed so obviously cogent and decisively victorious that doubts professed by naysayers have seemed discreditable and disingenuous attempts to salvage “strong AI” at all costs. To the argument’s detractors, on the other hand, the Chinese room has seemed more like “religious diatribe against AI, masquerading as a serious scientific argument” (Hofstadter 1980, p. 433) than a serious objection. Though I am with the masquerade party, a full dress criticism is, perhaps, out of place here (see Hauser 1993 and Hauser 1997). I offer, instead, the following (hopefully, not too tendentious) observations about the Chinese room and its neighborhood.

(1) Though Searle himself has consistently (since 1984) fronted the formal “derivation from axioms,” general discussion continues to focus mainly on Searle’s striking thought experiment. This is unfortunate, I think. Since intuitions about the experiment seem irremediably at loggerheads, perhaps closer attention to the derivation could shed some light on vagaries of the argument (see Hauser 1997).

(2) The Chinese room experiment, as Searle himself notices, is akin to “arbitrary realization” scenarios of the sort suggested first, perhaps, by Joseph Weizenbaum (1976, Ch. 2), who “shows in detail how to construct a computer using a roll of toilet paper and a pile of small stones” (Searle 1980a, p. 423). Such scenarios are also marshaled against Functionalism (and Behaviorism en passant) by others, perhaps most famously, by Ned Block (1978). Arbitrary realizations imagine would-be AI-programs to be implemented in outlandish ways: collective implementations (e.g., by the population of China coordinating their efforts via two-way radio communications), imagine programs implemented by groups; Rube Goldberg implementations (e.g., Searle’s water pipes or Weizenbaum’s toilet paper roll and stones), imagine programs implemented bizarrely, in “the wrong stuff.” Such scenarios aim to provoke intuitions that no such thing – no such collective or no such ridiculous contraption – could possibly be possessed of mental states. This, together with the premise – generally conceded by Functionalists – that programs might well be so implemented, yields the conclusion that computation, the “right programming” does not suffice for thought; the programming must be implemented in “the right stuff.” Searle concludes similarly that what the Chinese room experiment shows is that “[w]hat matters about brain operations is not the formal shadow cast by the sequences of synapses but rather the actual properties of the synapses” (1980, p. 422), their “specific biochemistry” (1980, p. 424).

(3) Among those sympathetic to the Chinese room, it is mainly its negative claims – not Searle’s positive doctrine – that garner assent. The positive doctrine – “biological naturalism,” is either confused (waffling between identity theory and dualism) or else it just is identity theory or dualism.

(4) Since Searle argues against identity theory, on independent grounds, elsewhere (e.g., 1992, Ch. 5); and since he acknowledges the possibility that some “specific biochemistry” different than ours might suffice to produce conscious experiences and consequently intentionality (in Martians, say), and speaks unabashedly of “ontological subjectivity” (see, e.g., Searle 1992, p. 100); it seems most natural to construe Searle’s positive doctrine as basically dualistic, specifically as a species of “property dualism” such as Thomas Nagel (1974, 1986) and Frank Jackson (1982) espouse. Nevertheless, Searle frequently and vigorously protests that he is not any sort of dualist. Perhaps he protests too much.

(5) If Searle’s positive views are basically dualistic – as many believe – then the usual objections to dualism apply, other-minds troubles among them; so, the “other-minds” reply can hardly be said to “miss the point.” Indeed, since the question of whether computers (can) think just is an other-minds question, if other minds questions “miss the point” it’s hard to see how the Chinese room speaks to the issue of whether computers really (can) think at all.

(6) Confusion on the preceding point is fueled by Searle’s seemingly equivocal use of the phrase “strong AI” to mean, on the one hand, computers really do think, and on the other hand, thought is essentially just computation. Even if thought is not essentially just computation, computers (even present-day ones), nevertheless, might really think. That their behavior seems to evince thought is why there is a problem about AI in the first place; and if Searle’s argument merely discountenances theoretic or metaphysical identification of thought with computation, the behavioral evidence – and consequently Turing’s point – remains unscathed. Since computers seem, on the face of things, to think, the conclusion that the essential nonidentity of thought with computation would seem to warrant is that whatever else thought essentially is, computers have this too; not, as Searle maintains, that computers’ seeming thought-like performances are bogus. Alternately put, equivocation on “Strong AI” invalidates the would-be dilemma that Searle’s intitial contrast of “Strong AI” to “Weak AI” seems to pose:

Strong AI (they really do think) or Weak AI (it’s just simulation).
Not Strong AI (by the Chinese room argument).
Therefore, Weak AI.

To show that thought is not just computation (what the Chinese room — if it shows anything — shows) is not to show that computers’ intelligent seeming performances are not real thought (as the “strong” “weak” dichotomy suggests) .

7. References and Further Reading

  • Block, Ned. 1978. “Troubles with Functionalism.” In C. W. Savage, ed., Perception and Cognition: Issues in the Foundations of Psychology, Minnesota Studies in the Philosophy of Science, Vol. 9, 261-325. Minneapolis: University of Minnesota Press.
  • Churchland, Paul, and Patricia Smith Churchland. 1990. “Could a machine think?” Scientific American 262(1, January): 32-39.
  • Dennett, Daniel. 1980. “The milk of human intentionality.” Behavioral and Brain Sciences 3: 429-430.
  • Descartes, René. 1637. Discourse on method. Trans. John Cottingham, Robert Stoothoff and Dugald Murdoch. In The philosophical writings of Descartes, Vol. I, 109-151. New York: Cambridge University Press.
  • Fodor, Jerry. 1980. “Searle on what only brains can do.” Behavioral and Brain Sciences 3: 431-432.
  • Hauser, Larry. 1993. Searle’s Chinese Box: The Chinese Room Argument and Artificial Intelligence. East Lansing, Michigan: Michigan State University (Doctoral Dissertation). URL = http://members.aol.com/wutsamada/disserta.html.
  • Hauser, Larry. 1997. “Searle’s Chinese Box: Debunking the Chinese Room Argument.” Minds and Machines, Volume 7, Number 2, pp. 199-226. URL = http://members.aol.com/lshauser/chiboxab.html.
  • Jackson, Frank. 1982. “Epiphenomenal qualia.” Philosophical Quarterly 32:127-136.
  • Nagel, Thomas. 1974. What is it like to be a bat? Philosophical Review 83:435-450.
  • Nagel, Thomas. 1986. The View from Nowhere. Oxford: Oxford University Press.
  • Schank, Roger C., and Robert P. Abelson. 1977. Scripts, Plans, Goals, and Understanding. Hillsdale, NJ: Lawrence Erlbaum Press.
  • Searle, John. 1980a. “Minds, Brains, and Programs.” Behavioral and Brain Sciences 3, 417-424.
  • Searle, John. 1980b. “Intrinsic Intentionality.” Behavioral and Brain Sciences 3: 450-456.
  • Searle, John. 1984. Minds, Brains, and Science. Cambridge: Harvard University Press.
  • Searle, John. 1989. “Reply to Jacquette.” Philosophy and Phenomenological Research XLIX: 701-708.
  • Searle, John. 1990. “Is the Brain’s Mind a Computer Program?” Scientific American 262: 26-31.
  • Searle, John. 1992. The Rediscovery of the Mind, Cambridge, MA: MIT Press.
  • Turing, Alan. 1950. “Computing Machinery and Intelligence.” Mind LIX: 433-460.
  • Weizenbaum, Joseph. 1976. Computer Power and Human Reason. San Francisco: W. H. Freeman.

Author Information

Larry Hauser
Email: hauser@alma.edu
Alma College
U. S. A.

Ethical Criticism of Art

Traditionally, there were two opposing philosophical positions taken with respect to the legitimacy of the ethical evaluation of art: ‘moralism’ and ‘autonomism’, where moralism is the view that the aesthetic value of art should be determined by, or reduced to, its moral value, while autonomism holds that it is inappropriate to apply moral categories to art; they should be evaluated by ‘aesthetic’ standards alone. Recent work on the ethical criticism of art has proposed several new positions; more moderate versions of autonomism and moralism which lie between the two extremes described above. The issue has now become not one of whether moral evaluations of art works are appropriate, but rather, whether they should be described as aesthetic evaluations. The contemporary debate focuses on narrative art, which is seen as having unique features to which ethical criticism is particularly pertinent. Attempts have been made to simplify the issue of the ethical criticism of art by distancing peripheral issues such as causal claims about the effects of art on its audience and censorship. However, there is still considerable interest in the possibility of certain narrative artworks having the potential to play an important role in moral education. The debate over the ethical criticism of art therefore highlights some of the central reasons why we value narrative art, as well as questioning the scope, or the parameters, of our concept of the aesthetic.

Table of Contents

  1. Introduction
  2. Radical Autonomism and Radical Moralism
  3. Moderate Autonomism and Moderate Moralism
    1. Moderate Autonomism
    2. Moderate Moralism
    3. Moderate Autonomism vs Moderate Moralism
  4. Moderate Moralism and Ethicism
    1. Distinguishing Moderate Moralism from Ethicism
    2. Ethicism vs Moderate Moralism
  5. The Causal Thesis
    1. Literature and Moral Education
    2. Ethical Criticism and Censorship
  6. References and Further Reading

1. Introduction

‘Ethical criticism’ refers to the inclusion of an ethical component in the interpretation and evaluation of art. The two traditional opposing positions taken with respect to ethical criticism are ‘autonomism’ and ‘moralism’. The former claims that ethical criticism is never legitimate since moral and aesthetic value are autonomous, while the latter reduces aesthetic value to moral value. The extreme versions of autonomism and moralism, their appeal and their flaws, are discussed in section two.

In recent years, debate over ethical criticism has resurfaced, partly through the Ethical Criticism Symposium featured in Philosophy and Literature in 1997-8, which is discussed in the final section of this article, since it bears on the consideration of the causal thesis that certain literature can have positive moral effects on its audience. A second arm of the ethical criticism debate saw several more moderate, and more plausible, positions proposed. These are ‘moderate autonomism’, ‘moderate moralism’ and ‘ethicism’. In this body of literature too, the focus was on narrative art. What is at issue in the current debate is whether the realm of aesthetic value should be taken to include the moral value of narrative art (a) never, (b) only sometimes when an artwork displays moral features (merits or defects), or (c) whenever an artwork displays moral features (merits or defects). Due to differences between the modes of expression and content matter of the different art forms, it seems likely that what is true of the ethical criticism of narrative art, which often deals explicitly with human affairs and morality, may not be true of abstract art forms such as music and some fine arts and dance. Such art forms would require separate consideration and this is something which has not thus far been undertaken in the philosophical literature.

Section 3 considers the debate between moderate autonomism, defended by Anderson and Dean, and Noel Carroll’s moderate moralism, examining Carroll’s reasons for arguing that at least sometimes the moral features of narrative artworks are also aesthetic features. Section 4 introduces Berys Gaut’s ‘ethicism’, and examines the contention, made primarily by Anderson and Dean, that moderate moralism and ethicism are one and the same position. This claim is shown to be false, and the two positions are clearly distinguished. Much of the recent debate over ethical criticism – that is the debate between moderate autonomism, moderate moralism and ethicism – focusses on the flaws in the specific arguments presented for moderate moralism and ethicism. In fact, the central issue in the debate over ethical criticism, which is somewhat masked by the details, is how broadly the aesthetic should be defined. While the extreme positions, radical autonomism and radical moralism define the aesthetic most narrowly, the position which defines the aesthetic most broadly and inclusively is ethicism.

2. Radical Autonomism and Radical Moralism

There are two extreme positions traditionally taken with respect to the relationship between art and morality; one is autonomism, or aestheticism, which is the view that it is inappropriate to apply moral categories to artworks, and that only aesthetic categories are relevant, while at the other end of the scale is moralism, the view that aesthetic objects should be judged wholly or centrally with respect to moral standards or values. Both autonomism and moralism are widely recognised to be problematic, as they are based on inadequate conceptions of art and aesthetic value.

Radical Moralism is the view that the aesthetic value of an artwork is determined by its moral value. The most extreme version of this position reduces all aesthetic value to moral value. Proponents of radical moralism include Tolstoy, who, arguing against definitions of art that equated art with beauty, said: “The inaccuracy of all these definitions arises from the fact that in them all … the object considered is the pleasure art may give, and not the purpose it may serve in the life of man and of humanity.” Tolstoy emphasised the moral significance of art in society as essential to the (aesthetic) value of art. Social reductionism, such as the ‘popular aesthetic’ endorsed by Pierre Bourdieu, Roger Taylor and others, is also a version of radical moralism. Radical moralism has been widely criticised for ignoring certain fundamental aspects of aesthetic value, such as formal features. The radical moralist will have some difficulty explaining how art can be distinguished from other cultural products, including such things as political speeches, due to their failure to include in their criteria for making judgments about aesthetic value anything that is a unique feature of art.

Autonomism and aestheticism are essentially the same position. The label ‘autonomism’ captures the fact that this position holds that aesthetic value is autonomous from other kinds of value, such as moral value. The label ‘aestheticism’ captures the fact that the position emphasises the importance of focussing on theaesthetic, that is, the pure aesthetic, features of artworks. Pure aesthetic qualities may include formal features and beauty or, for some autonomists, formal features only. It is important to note that formalism and autonomism are not identical positions, although advocates of formalism will tend to be autonomists. Formalism, rejected earlier, is the view that the proper way to respond to art is to respond to its formal features or, in other words, that the aesthetic value of an artwork is determined solely by its formal features. A formalist, such as Clive Bell, would not include beauty as something we should respond to in art, but those formalists who do include beauty regard it as something that is determined by the formal features the artwork possesses.

“Aestheticism’ is perhaps the more appropriate label for the extreme position subscribed to by the aesthete – that aesthetic value is the highest of all values. Interestingly, although the aesthete might not be interested in defending their position, any attempt to do so would likely involve appeals to moral standards; that is, they would have to give a justification for their view that one should take on a predominantly aesthetic attitude in life in terms of moral value. For example, Richard Posner, in ‘Against Ethical Criticism’, appears to identify himself as an aesthete, but, ironically, an aesthete who wants to provide a moral justification for his position: “The aesthetic outlook is a moral outlook, one that stresses the values of openness, detachment, hedonism, curiosity, tolerance, the cultivation of the self, and the preservation of a private sphere – in short, the values of liberal individualism.”(1997, p. 2) Aestheticism, in it’s most extreme form, could almost be seen as a version of radical moralism. In any case, both positions are equally reductive with respect to the scope of aesthetic value.

However, ‘aestheticism’ does not always refer to the extreme position, and the terms ‘autonomism’ and ‘aestheticism’ can be used interchangeably. Autonomism has become the predominant term used in recent literature, most likely because it does capture the notion that aesthetic value is held to be an autonomous realm of value by those who subscribe to any version of this position. Radical Autonomism is the view that the proper way to respond to art is to respond only to the pure aesthetic qualities, or what is ‘in the work itself’; while to bring moral values, or other social values, to bear on art is a mistake. The radical autonomist’s motto is ‘art for art’s sake’. Oscar Wilde is an example of a radical autonomist. He wrote in the Preface to The Picture of Dorien Gray: “…to art’s subject matter we should be more or less indifferent,” and “Life is the solvent that breaks up art, the enemy that lays waste her house.” Wilde’s statements on the topic of and and morality are those of an autonomist, although the subject matter of his own work dealt explicitly with moral issues. His position appears to have been not that literary art can’t deal with moral issues as part of its subject matter, but simply that they are irrelevant to the aesthetic value of the art, and should not influence the audience’s, or critic’s, aesthetic response to the work. An autonomist position such as this is based on a narrow understanding of the aesthetic value of art, which values the way in which the subject matter of such art is represented (which may include formal features and beauty), but not the subject matter itself (which may include moral features). However, autonomism, while purporting to give aesthetic value primacy, neglects many of the potential ways in which art can have aesthetic value. Such a view ignores the fact that certain art forms are culturally embedded, and, as such, are inextricably bound up with important social values, such as moral value.

Noel Carroll explains the appeal of radical autonomism with reference to the “common denominator argument”; that is, the argument that it is only those features common to all art that are the essential defining features of art, and it is only these features that should properly be regarded as being within the realm of the aesthetic. (See ‘Moderate Moralism’, BJA, 36:3, 1996) As Carroll points out, the fact that radical autonomists have a ready answer to the questions -What are the unique and essential features common to all art? – or – What are the defining features of art? – is a central reason for the appeal of their position. This feature of autonomism appears to provide a straightforward way of distinguishing art from non-art, as well as providing specific grounds upon which to defend the objectivity of aesthetic value. A further reason autonomism initially seems intuitive is that it is difficult to see how moral considerations could be pertinent across whole art forms, such as music, and abstract art of various kinds.(p. 226) The above reasons make radical autonomism an attractive position, but its narrow construal of the aesthetic is too narrow to adequately account for the aesthetic value of certain art forms, or particular artworks. Besides, as was discussed earlier, attempting to define art in terms of essential criteria common to all artworks is not a promising strategy; the nature of art defies such restrictions. Carroll argues that “we can challenge [the radical autonomist’s] appeal to the nature of art with appeals to the natures of specific art forms or genres which, given what they are, warrant at least additional criteria of evaluation to supplement whatever the autonomist claims is the common denominator of aesthetic evaluation.” (p. 227)

What Carroll specifically has in mind is the role our moral understanding plays in our appreciation of narrative art. Carroll claims that narrative artworks are always incomplete, and that a certain amount of information has to be filled in by the reader or audience in order to make the work intelligible. This includes information which must be supplied by our moral understanding. He says: “…it is vastly improbable that there could be any substantial narrative of human affairs, especially a narrative artwork, that did not rely upon activating the moral powers of readers, viewers and listeners. Even modernist novels that appear to eschew ‘morality’ typically do so in order to challenge bourgeois morality and to enlist the reader in sharing their ethical disdain for it.” (p. 228) Examples of works which require the input of our moral understanding in order to make the narrative intelligible include Jane Austin’s Emma, George Elliot’s Middlemarch, and (ironically) Oscar Wilde’s The Picture of Dorian Gray.

3. Moderate Autonomism and Moderate Moralism

a. Moderate Autonomism

Moderate autonomism, defended by J. Anderson and J. Dean, is a more plausible position than radical autonomism; it recognises that moral merits or defects can feature in the content of certain art forms and that sometimes moral judgments of artworks are pertinent. However, moderate autonomism is still an autonomist position in the sense that it maintains that the aesthetic value and the moral value of artworks are autonomous. According to moderate autonomism: “an artwork will never be aesthetically better in virtue of its moral strengths, and will never be worse because of its moral defects. / On a strict reading of moderate autonomism, one of its decisive claims is that defective moral understanding never counts against the aesthetic merit of a work. An artwork may invite an audience to entertain a defective moral perspective and this will not detract from its aesthetic value.”(Carroll, 1996, p. 232) It is this central claim that both Carroll and Gaut argue against.

b. Moderate Moralism

Moderate autonomism stands in opposition to ‘Moderate moralism’: “[Moderate moralism] contends that some works of art may be evaluated morally (contra radical autonomism) and that sometimes the moral defects and/or merits of a work may figure in the aesthetic evaluation of the work.” (p. 236) The crucial difference between moderate autonomism and moderate moralism, then, is that while both agree that moral judgments can be legitimately made about certain artworks, moderate moralists contend that sometimes such judgments are aesthetic evaluations, while moderate autonomists hold that moral judgments about works of art are always outside the realm of the aesthetic. On the one hand, Anderson and Dean say, “some of the knowledge that art brings home to us may be moral knowledge. All this is granted when we agree that art is properly subject to moral evaluation. But why is this value aesthetic value?” (Anderson & Dean p. 160) On the other hand, Carroll says, “Moderate autonomists overlook the degree to which moral presuppositions play a structural role in the design of many artworks.”(Carroll 1996 p. 233) Carroll does not suggest that this is the only way in which moral features may contribute to a work’s aesthetic value; a more general account of this is described in the following section.

c. Moderate Autonomism vs Moderate Moralism

What is really at issue in the debate over ethical criticism is how broadly we define the aesthetic. But this is not simply arbitrary – what in fact are the boundaries of the aesthetic? Carroll aims to show, with reference to specific examples, that there are actual cases where a narrow construal of the aesthetic, such as the one adopted by moderate autonomists, is an inadequate way of understanding that work’s aesthetic value, and an inadequate way of understanding how we appreciate such artworks qua artworks. Even if moderate moralism is not the best way to explain the moral value of narrative artworks, Carroll is wise to turn to critical analysis of actual examples to support his argument, for this is where we can most clearly see the problems with moderate autonomism.

The central argument for moderate moralism (hereafter MM) is described as the ‘Common Reason Argument.’ Having first argued that many narrative artworks are incomplete in ways that require us to use our moral understanding in order to comprehend the work, Carroll then argues, with reference to examples, that because of this fact about narrative artworks, it is sometimes the case that a moral defect in a work will also be an aesthetic defect since it prevents us from fully engaging with that work. In other words, Carroll argues that in some cases the reason a work is morally flawed is the same reason the work is aesthetically flawed, and so in these cases the judgment that the work is morally flawed is also an aesthetic evaluation of that work. (Anderson & Dean, 1998, pp. 156-7) Mary Devereaux’s analysis ofTriumph of the Will provides an excellent example of this. (See her article ‘Beauty and Evil’ in Levinson,Aesthetics & Ethics, 1998). According to Devereaux, Triumph of the Will is morally problematic because it presents the Nazi regime as appealing. Although a morally sensitive audience might be able to appreciate some of the formal features exhibited in the film, such as the innovative camera work, such an audience would be unable to fully engage with the film due to an inability to accept the film’s central vision, that is, the glorification of Hitler and the Nazi regime. If the audience is unable to fully engage with the film’s central vision, this, according to Carroll’s MM, will count as an aesthetic defect in the film (because the magnitude of our aesthetic experience will be limited by our inability to fully engage with the film’s central theme). So, the very feature that makes the film morally defective is also one of most significant aesthetic defects in the film. Hence, the moral defectiveness and the aesthetic defectiveness are due to a common reason in this particular case.

In their argument against MM, Anderson and Dean construct two arguments, a ‘moral defect argument’ and an ‘aesthetic defect argument’, which, together, they take to represent the ‘common reason argument.’ The two arguments are presented as follows:

The Moral Defect Argument

  1. The perspective of the work in question is immoral.
  2. Therefore, the work ‘invites us to share [this morally] defective perspective’ (In one case we are invited to find an evil person sympathetic; in the other case, we are invited to find gruesome acts humorous.)
  3. Any work which invites us to share a morally defective perspective is, itself, morally defective.
  4. Therefore, the work in question is morally defective

The Aesthetic Defect Argument

  1. The perspective of the work in question is immoral.
  2. The immorality portrayed subverts the possibility of uptake. (In the case of the tragedy, the response of pity is precluded; in the case of the satire the savouring of parody is precluded.)
  3. Any work which subverts its own genre is aesthetically defective.
  4. Therefore, the work in question is aesthetically defective. (pp. 156-7)

Anderson and Dean focus their objection to MM on the fact that the one premise the moral defect argument and the aesthetic defect argument share (1) is not sufficient to establish either moral defectiveness or aesthetic defectiveness.(p. 157) This may be so, but Carroll responds to this by pointing out the common reason doesn’t need to be a sufficient reason. There may be other reasons that contribute to both the aesthetic evaluation and the moral evaluation of artworks, but in some cases these two groups of reasons overlap; where a reason is common to both groups, and is a central, if not sufficient, reason for both the conclusion that a work is morally defective, and the conclusion that the work is aesthetically defective. As Carroll puts it in his response to Anderson and Dean:

But why suppose that the relevant sense of reason here is sufficient reason? Admittedly a number of factors will contribute to the moral defectiveness and the aesthetic defectiveness of the work in question. The moderate moralist need only contend that among the complex of factors that account for the moral defectiveness of the artwork in question, on the one hand, and the complex of factors that explain the aesthetic defectiveness of the artwork, on the other hand, the evil perspective of the artwork will play a central, though perhaps not sufficient, explanatory role in both. (Carroll, 1998a, p423)

Carroll’s response to Anderson and Dean’s objection is convincing. There seems no reason to object to MM simply because the common reason shared the aesthetic defect argument and the moral defect argument is not a sufficient reason in either case.

Anderson and Dean eschew specific examples in their defense of MA, saying: ‘because of the complexity of particular cases, we have taken pains not to rest our case on the examination of them.” (A&D, 1998, p. 164). Since MM holds that moral judgments about artworks can be aesthetic evaluations in some cases, it is only necessary to show that the reason a work is morally defective is the same as the reason that work is aesthetically defective in a few actual cases in order to support MM. Carroll does give us some convincing examples, and Anderson and Dean do not show why Carroll is wrong in these particular cases. Given that there are at least some cases, such as Devereaux’s analysis of Triumph of the Will, in which it has been convincingly shown that the reason a work is morally meritorious or defective is the same reason that work is aesthetically meritorious or defective, it follows that moderate autonomism is false.

4. Moderate Moralism and Ethicism

a. Distinguishing Moderate Moralism from Ethicism

As previously mentioned, ‘moderate moralism’ holds that: “some works of art may be evaluated morally (contra radical autonomism) and that sometimes themoral defects and/or merits of a work may figure in the aesthetic evaluation of the work.” (Carroll, 1996, p. 236, my italics) ‘Ethicism’ holds that: “the ethical assessment of attitudes manifested by works of art is a legitimate aspect of the aesthetic evaluation of those works, such that, if a work manifests ethically reprehensible attitudes, it is to that extent aesthetically defective, and if a work manifest ethically commendable attitudes, it is to that extent aesthetically meritorious.” (See Berys Gaut’s ‘The Ethical Criticism of Art’ in Levinson, 1998, p. 182)

Anderson and Dean claim that MM and ethicism are ‘similar, if not identical’ (A&D, 1998, p. 157). They must mean that the positions are similar or identical in terms of scope, since Carroll and Gaut’s arguments clearly differ in detail. However, they are incorrect about this. The inclusion of ‘sometimes’ in Carroll’s statement of his position indicates that MM is a weaker position than ethicism – since there is no such qualification in Gaut’s statement of ethicism. As Carroll himself says, in his reply to Anderson and Dean: “…my case is more limited in scope than Gaut’s. Gaut seems willing to consider virtually every moral defect in a work of art an aesthetic defect, whereas I defend a far weaker claim – namely that sometimes a moral defect in an artwork can count as an aesthetic defect…” (Carroll, 1998a p. 419)

If we look at Gaut’s arguments for ethicism, it is clear how ethicism differs from MM in scope, as well as simply in detail. The argument for ethicism runs as follows (this is taken directly from “The Ethical Criticism of Art,” but I have numbered each step in the argument):

  1. A work’s manifestation of an attitude is a matter of the work’s prescribing certain responses toward the events described.
  2. If those responses are unmerited, because unethical, we have reason not to respond in the way prescribed.
  3. Our having reason not to respond in the way prescribed is a failure of the work.
  4. What responses the work prescribes is of aesthetic relevance.
  5. So the fact that we have reason not to respond in the way prescribed is an aesthetic failure of the work, that is to say, is an aesthetic defect.
  6. So a work’s manifestation of ethically bad attitudes is an aesthetic defect in it.
  7. Mutatis mutandis, a parallel argument shows that a work’s manifestation of ethically commendable attitudes is an aesthetic merit in it, since we have reason to adopt a prescribed response that is ethically commendable.
  8. So Ethicism is true. (Gaut, in Levinson, 2000, pp. 195-6)

Notice that this argument, in particular step (2), commit Gaut to the thesis that whenever a narrative artwork displays moral features, either merits or defects, these will always impact on the aesthetic value of that work to some degree. Certain flaws in Gaut’s argument have been identified by Anderson and Dean and by Carroll. The most significant of these will be examined a little later.

Early in his article, Gaut explicitly outlines the scope of ethicism. It is important to note that “ethicism does not entail the casual thesis that good art ethically improves people,” nor the reverse claim; that bad art corrupts.(p. 184) Gaut describes “the ethicist principle [as] a pro tanto one: it holds that a work is aesthetically meritorious (or defective) insofar as it manifests ethically admirable (or reprehensible) attitudes. (The claim could also be put like this: manifesting ethically admirable attitudes counts towardthe aesthetic merit of a work, and manifesting ethically reprehensible attitudes counts against its aesthetic merit.) (p. 182) There is an additional qualification, that, “the ethicist does not hold that manifesting ethically commendable attitudes is a necessary condition for a work to be aesthetically good: there can be good, even great, works of art that are ethically flawed. . . .Nor does the ethicist thesis hold that manifesting ethically good attitudes is a sufficient condition for a work to be aesthetically good.” (pp. 182-3) Gaut explains that “the ethicist can deny these necessity and sufficiency claims, because she holds that there are a plurality of aesthetic values, of which the ethical values of artworks are but a single kind,” and he suggests “we … need to make an all-things-considered judgment, balancing these aesthetic merits and demerits against one another to determine whether the work is, all things considered, good.”(p. 183) It is these features of ethicism – its recognition of a plurality of aesthetic qualities of which moral features are one kind and its commitment to an all-things-considered judgment of aesthetic value – which make ethicism a better way of understanding how the moral features of artworks impact on their aesthetic value than MM. Ethicism does not claim that every artwork, or even every narrative artwork, does contain moral features, only that when they do, these impact on the aesthetic value of the works to some extent.

As previously noted, not only do the arguments for MM and ethicism differ in scope, but they also differ in detail; and in the detail of each arguments there are possible flaws. A possible difficulty with MM – a difficulty that Oliver Conolly identifies – lies in its reliance on the notion of an’ideal’, or ‘morally sensitive’ audience – the normative element in MM. (See Conolly, ‘Ethicism & Moderate Moralism, BJA, 40:3, 2000)

Carroll wants to make clear that his ‘ideal sensitive viewer’ is not one who simply makes “whatever the work has to offer inaccessible to himself because it at first offends their moral sensibilities”. He explains that “the reluctance that the moderate moralist has in mind is not that the ideally sensitive audience member voluntarily puts on the brakes; rather, it is that he can’t depress the accelerator because it is jammed. He tries, but fails. And he fails because there is something wrong with the structure of the artwork. It has not been designed properly on its own terms.” (Carroll, 2000, p. 378) This appears to avoid the objection that ‘morally sensitive audiences’ will simply impose their own moral views on artworks. However, even with this clarification, the notion of an’ideal’ or, ‘morally sensitive’, audience still seems problematic.

b. Ethicism vs Moderate Moralism

Conolly suggests that there are four possible interpretations of MM; Optimistic Instrumental MM, Ideal-Spectator Instrumental MM, Standard Instrumental MM and Standard Intrinsic MM. According to Optimistic Instrumental MM, “moral virtues always happen to lead to greater audience-absorption, owing to a uniformly moral audience.”(Conolly, 2000, p. 308) This interpretation of MM is not only far too optimistic, but also explicitly rejected by Carroll, who distinguishes his ‘morally sensitive audiences’ from actual audiences, saying, “sometimes actual audiences may fail to be deterred by a moral defect in a work because, given the circumstances, they are not as morally sensitive as they should be…”(Carroll, 2000 p. 378) He gives the example of an audience during the midst of war. This clarification also avoids the problem of explaining the moral and aesthetic value of artworks simply in terms of popular opinion. Hence, the appeal to the normative notion of an ideal audience, rather than actual audiences avoids relativism. However, Conolly points out that MM’s reliance on this normative element leads to a collapse of MM into ethicism. According to Ideal Spectator MM, “[i]f only ideally moral audiences count, then … it follows that all moral virtues / defects are also aesthetic virtues / defects.” (Conolly, 2000, p. 306) Conolly explains that “[t]his is because ‘morally sensitive audiences’ will always react favourably to moral virtue and unfavourably to moral vice. That, one takes it, is what makes them morally sensitive.”(p. 306) Conolly goes on to argue that the two other possible interpretations of MM are wrong, but I will not follow him there. The central point is that, to the extent that it relies on the notion of the ideal audience, MM collapses into ethicism, because in actual fact moral features (merits or defects) will always be aesthetic features also (merits or defects). However, it should be noted that MM’s reliance on ‘ideal’ or ‘morally sensitive’ audiences means that Carroll doesn’t specify particular criteria upon which to base judgments about the moral defectiveness or moral virtue of artworks, but his position is compatible with such criteria, which would render the ideal audience redundant.

However, although there are valuable aspects to MM – in particular, the common reason argument has its merits – it nevertheless seems more plausible to claim, as the ethicist does, that the moral features of narrative artworks are always aesthetically relevant, i.e. they are always also aesthetic features in the sense that they impact to some degree on the overall aesthetic value of those works. One reason for this is that since MM states that moral features will only sometimes also be aesthetic features, there must be some moral features of artworks that are not aesthetically relevant, whereas no such category is required by ethicism. Carroll never explains what would distinguish a case in which moral features were aesthetically relevant from a case in which they weren’t – it seems only to be a question of degree – and I suggest that it makes more sense to simply say that moral features can impact on aesthetic value to varying degrees.

I have previously mentioned that MM is more limited in scope than ethicism. Although he is not unsympathetic to Gaut’s view, Carroll attempts to show that ethicism is harder to defend than MM. Carroll claims that there is a problem with what exactly is built into the notion of an unmerited response. He says that according to ethicism “[a]ll immoral responses are alleged to be unmerited in a way that is relevant to aesthetic response.”(Carroll, 2000 p. 375) But Carroll questions this assumption by drawing an analogy with immoral humour. He argues: “if the ethicist means by ‘unmerited’ “unwarranted,” then the claim with respect to artworks that all prescribed, though immoral, responses are unmerited is false, since, like a joke, the structure and content of an artwork may warrant a prescribed response that is immoral. On the other hand, if the ethicist protests that by (aesthetically) ‘unmerited’ he means to include “morally unmerited,” then he can be charged with begging the question.”(p. 376) So, Carroll concludes, the ‘merited response argument’ can be criticised on the grounds that “not all ethically unmerited responses to artworks are unmerited aesthetically.”(p. 376) This objection can be challenged on Carroll’s own terms, since ideally moral audiences presumably would not find an immoral joke (for instance a racist joke) amusing, any more than they would find Triumph of the Will engaging, it can also be challenged on the grounds that laughing at a joke is not the same thing as judging an artwork to have high aesthetic value. Sometimes we laugh at ‘bad jokes’, such as pathetic puns, even while we recognise them as such. Likewise, we might be entertained by a ‘bad film’, such as ‘Revenge of the Killer Tomatoes’ or ‘Girl On a Motorcycle’, or other such cult films, while recognising it as such all the while.

5. The Causal Thesis

While much of the recent research on ethical criticism has wrangled over what should and should not count as an aesthetic feature, a more commonplace concern about literary, or narrative, art and morality would be concerned with the possible effects those works might have on their audiences. For example, the popular Ben Elton novel Popcorn is a black comedy dealing with the issue of the effects of violent films portraying killers as attractive and powerful. However, it is desirable to keep causal claims about the harmful or ‘edifying’ effects of art at a distance when discussing the aesthetic relevance of the moral features of literary artworks. One of the main objections to ethical criticism made by radical autonomists is the anti-consequentialist objection that there is no evidence for causal claims about either the harmful or edifying effects of art. However, this objection assumes that ethical criticism is consequentialist, whereas it needn’t be at all. (A consequentialist version of ethical criticism would hold that the moral value of artworks, or certain artworks, was determined by that work’s actual effects on its audience. An expectational-consequentialist version of ethical criticism would hold that the moral value of art is determined by its likely effects on its audience.) If one rejects a consequentialist, or expectational-consequentialist, account of the moral value of art, then consideration of the effects (actual or likely) of literary artworks is a only matter for further consideration once the question of a work’s moral status has been decided; it is not relevant to the judgment of that work’s moral status. More work could certainly be done on the effects of artworks, however it is an area where empirical research would be required, and this is another reason causal claims have not figured highly in recent work on ethical criticism, although it should be mentioned that there is an imbalance is the extent to which positive and negative causal claims about the effects of narrative art have featured in this research.

Hence, it comes as no surprise that many of those who attempt to defend ethical criticism distance themselves from the causal thesis that morally bad art corrupts, and its counterpart, that art with high moral value morally improves its audience. Although most advocates of ethical criticism successfully avoid the negative causal thesis that bad art corrupts, many do in fact defend a version of the positive causal thesis that good art morally improves its audience. Thus, the negative thesis is avoided more assiduously than the positive, and the positive causal thesis has been more thoroughly developed. I think there are two main reasons for this. The first is that the negative thesis is not only more difficult to prove conceptually, but work in this area leads to fears about censorship of works deemed harmful. As discussed later, this fear need not preclude research on the negative effects of artworks, as the discovery that a work can have negative, or even harmful, effects on its audience does not necessarily entail that it should be censored. Another reason for the imbalance between the two sides of the causal thesis is that the positive causal thesis is more obviously relevant to discussions of the role, and value, of art in society.

It should be remembered that both the positive and negative sides of the causal thesis comprise a set of claims varying in degree. The strongest causal claims about art would be that bad art always corrupts its audience, while good art always brings about moral improvement; but any thesis this strong is intuitively implausible, and would be difficult to prove. The theses that bad art has the capacity to encourage immoral behaviour or attitudes in its audience, and that good art has the capacity to play an important role in our moral education (with the implication that these capacities may go unrealised) are rather more plausible. Martha Nussbaum has been the strongest advocate of the latter, while the former has not, to my knowledge, yet been fully explored. The following sub-section considers Nussbaum’s contribution to the ethical criticism debate, in particular with respect to the role that realist literature can play in moral education.

a. Literature and Moral Education

The ‘Ethical Criticism Symposium’, is a debate which took place, mostly within two issues of Philosophy and Literature, (Volumes 21-22) between Richard Posner on the one hand, who argued vehemently against the legitimacy of ethical criticism, and Martha Nussbaum and Wayne Booth on the other, who defended ethical criticism. Posner has already been introduced, and identified as at least a radical autonomist, and probably an extreme autonomist / aestheticist, or in other words, an aesthete. Against those who engage in ethical criticism, with a particular focus on Martha Nussbaum and Wayne Booth, Posner employs three of the most common objections to ethical criticism: autonomism / aestheticism, cognitive triviality and anti-consequentialism. However, Posner’s arguments rely on a narrow understanding of the ways in which literature can manifest moral features, and I will argue here that a broader moral context, such as that explicated in Nussbaum’s work on morality and literature, makes her claims about the moral value of literature plausible. Posner’s narrow understanding of moral knowledge and moral education mean that his criticisms of Nussbaum miss their mark. Nussbaum could be described as a moderate moralist (although her position is also compatible with ethicism) for although she never explicitly argues for MM, she makes two claims in her article “Exactly and Responsibly: A Defense of Ethical criticism”, in which her views are strikingly similar to Carroll’s ‘Common Reason Argument’:

  • “Consider Booth’s marvelous critique of Peter Benchley’s novel Jaws … Booth records his critique as a moral evaluation of Benchley. But isn’t it just these features of the text – its superficiality, its human barrenness, its formulaic use of persons as objects – that one would mention in an aesthetic critique?”
  • “I suggest that in general and for the most part, and only where novels are concerned, we find aesthetically pleasing only works that treat human beings as humans and not just animals or objects, that contain what I have called respect before the soul. But this quality is also moral, so we might say that in the novel aesthetic interest and moral interest are not altogether unrelated.” (Nussbaum, 1998, p. 357) Carroll’s overview of ethical criticism also suggests some ways of responding to the sort of objections to ethical criticism made by Posner.

Some of the main arguments against radical autonomism were presented earlier, and the position was shown to be an inadequate way of understanding aesthetic value, particularly the aesthetic value of literary art. Nussbaum, however, criticizes Posner’s autonomist position on more specific grounds, claiming:

Nor, it turns out, does Posner himself consistently hold the aesthetic-detachment position. Indeed, the role he imputes to literature in human life is clearly a moral one in my sense . . . Literature, he says, ‘helps us make sense of our lives, helps us to fashion an identity for ourselves.’ Reading a poem of Donne, he continues, won’t persuade someone who never thought about love that love is the most important thing in the world. But it may ‘make you realize that this is what you think, and so may serve to clarify yourself to yourself.’ That, of course, is what I have been saying all along. (p359)

Nussbaum is right to point out the inconsistency. As with the rather ironic quotation, in which Posner provides a moral justification for an extreme aestheticism (see section two), there are times when he uses moral discourse in his analysis of the aesthetic value of a work of literature – only he doesn’t seem to recognise it as such. There appear to be two main reasons why Posner objects so strongly to ethical criticism, and especially to Nussbaum’s employment of it. First, Posner’s understanding of ethics is very much a traditional ‘justice ethics’, and thus he is already at odds with Nussbaum, who’s understanding of ethics is somewhat broader. She says:

One can think of works of art which can be contemplated reasonably well without asking any urgent questions about how one should live. Abstract formalist paintings are sometimes of this character, and some intricate but non-programmatic works of music (though by no means all). But it seems highly unlikely that a responsive reading of any complex literary work is utterly detached from concerns about time and death, about pain and the transcendence of pain, and so on — all the material of ‘how one should live’ questions as I have conceived it. Thus, even with regard to works I don’t talk about at all — poetic dramas, lyric poems, novels by novelists very different from Dickens and James — the aesthetic-detachment thesis is implausible if we use ‘ethical’ and ‘moral’ in the broad sense that I have consistently and explicitly given it. (Nussbaum, 1998, p. 358)

Nussbaum’s understanding of morality is informed not only by Aristotle, but also by Iris Murdoch’s work, and by the insights of feminist moral philosophy.

Nussbaum’s main concern is with moral philosophy, and her interest in ethical criticism appears to stem from the desire to show the value and usefulness of a particular selection of literature to moral philosophy, and to the development of important moral skills. Thus, her perspective on ethical criticism differs from that of anyone who is approaching the topic with a central focus on aesthetics. However, Nussbaum recognises that literature can have many different purposes (1998 p. 347); she is merely pursuing one avenue. Among her responses to Posner’s criticisms, she makes explicit her specific purposes in the two books to which he refers:

Posner’s attack is directed at two very different works: Love’s Knowledge, where my primary concern is with moral philosophy, and with the claim that moral philosophy needs certain carefully selected works of narrative literature in order to pursue its own task in a complete way; and Poetic Justice, where my concern is with the conduct of public deliberations in democracy, and where my claim is that literature of a carefully specified sort can offer valuable assistance to such deliberations by both cultivating and reinforcing valuable moral abilities. In neither work do I make any general claims about ‘literature’ as such; indeed, I explicitly eschew such claims in both works, and I insist that my argument is confined to a narrow group of pre-selected works . . . (1998 p. 346)

Nussbaum goes so far as to say that is her contention that, “certain novels are, irreplaceably, works of moral philosophy. But I shall go further … the novel can be a paradigm of moral activity.” (1987 p. 170) Nussbaum’s central purposes for her selected literature are to demonstrate that this literature has a place amongst moral philosophy, and to argue that such literature has important role in moral education due to its capacity to help develop certain moral abilities.

Posner objects to the idea that literature should be used or interpreted as an extension of moral philosophy, and that it can contribute to moral education. There are two main objections; the first is that literature is not a unique or particularly good source of moral knowledge, the second that there is no evidence to suggest that certain literature can morally improve its audience. With reference to the former, Posner argues:

There is neither evidence nor a theoretical reason for a belief that literature provides a straighter path to knowledge about man and society than other sources of such knowledge, including writings in other fields, such as history and science, and interactions with real people. Some people prefer to get their knowledge of human nature from novels, but it doesn’t follow that novels are a superior source of such knowledge to life and to the various genres of nonfiction. (Posner, 1997, p. 10)

This objection is characteristic of those Carroll describes as arguments from cognitive triviality. (Carroll, 2000, pp. 353-355) The two main claims that make up this objection are; first, that “the moral theses associated with artworks are usually in the nature of truisms,” which “would hardly count as moral discoveries.”(Carroll, 2000, p. 354) And secondly, the claim made explicitly by Posner (above), that the knowledge (in this case, moral knowledge), imparted by artworks is not superior to (and some object that it is actually inferior to) that imparted by moral philosophy and the sciences. As Carroll notes, one way of countering this objection:

. . . is to claim that the model of knowledge employed by the skeptic is too narrow. The skeptic, albeit encouraged by the apparent practice of many ethical critics, thinks that the knowledge that is relevant to ethical criticism takes the form of propositions — propositions such as ‘that hypocrisy is noxious’ — and goes on to say that where such propositions are abstractable from artworks they are generally overwhelmingly trivial. But some ethical critics counter that there are more forms of knowledge than ‘knowledge that.’ (p. 361)

As an alternative to this narrow approach to the way in which literature may be morally informative, Carroll proposes the ‘acquaintance approach’ as an alternative, which is best summed up in the following paragraph:

It is one thing to be told that roadways in Mumbai are massively overcrowded, it is another thing to be given a detailed description full of illustrative incidents, emotively and perceptively portrayed. The first presents the fact: the second suggests the flavour. The first tells you that the streets are congested: the second gives a sense of what that congestion is like. The ethical critic, or at least some ethical critics, then, answer skeptics by first agreeing that the propositional knowledge available in art is often trivial or platitudinous; art is not competitive with science, philosophy, history, or even much journalism in supplying ‘knowledge that.’ But this is not the only type of knowledge there is. There is also ‘knowledge of what such and such would be like.’ . . . Moreover, this kind of knowledge is especially relevant for moral reasoning. In entertaining alternative courses of action, there is a place for the imagination. (p. 362)

This is a promising strategy, and one that is consistent with Nussbaum’s views. Nussbaum, again drawing on Henry James, tells us that moral knowledge restricted to propositions would be incomplete, what is needed is a broader understanding of moral knowledge: “Moral knowledge, James suggests, is not simply intellectual grasp of propositions; it is not even simply intellectual grasp of particular facts; it is perception, It is seeing a complex, concrete reality in a highly lucid and richly responsive way; it is taking in what is there, with imagination and feeling.” (Nussbaum, 1987 p. 174)

Nussbaum’s views are informed by the views of Iris Murdoch, as well as James, and one of the important features of Murdoch’s work Nussbaum draws on is the notion that our inner lives, our perceptions, self-awareness and so on, can be moral achievements. Speaking of Maggie, a character in James’ The Golden Bowl, Nussbaum says, “Her perceptions are necessary to her effort to give him up and to preserve his dignity. They are also moral achievements in their own right: expressions of love, protections of the loved, creations of a new and richer bond between them.” (p. 175)) The artistic conventions and stylistic devices available to the literary artist make it possible to represent our inner lives in a very full and realistic way, through the engagement of the audiences’ imaginations. Nussbaum suggests that there are some morally relevant aspects of our inner lives that can only be represented accurately through artistic representation:

I have said that these picturings, describings, feelings and communications — actions in their own right — have a moral value that is not reducible to that of the overt acts they engender. I have begun, on this basis, to build a case for saying that the morally valuable aspects of this exchange [between Maggie and Adam] could not be captured in a summary or paraphrase. Now I shall begin to close the gap between action and description from the other side, showing that a responsible action, as James conceives it, is a highly context-specific and nuanced and responsive thing whose rightness could not be captured in a description that fell short of the artistic. (1987 p. 176)

Thus, objections to the idea that literature can play an important role in moral education which are based on claims of cognitive-triviality are based on too narrow an understanding of moral knowledge. As Carroll argues, it is quite plausible to suppose that there are types of moral knowledge other than those which fall within a propositional model. Accounts of morality such as those proposed by Murdoch and Nussbaum, which emphasis the importance of our inner lives, provide obvious morally relevant subject matter, for which artistic representation is a highly appropriate means of communication.

However, the causal thesis Nussbaum proposes, that certain literature can help us to develop moral abilities, has not yet been fully defended here. Posner especially objects to the proposal that literature can morally improve its audience. His three main anti-consequentialist objections are; the importance of a good upbringing, literature loving Nazi’s and English professors who are no more moral than anyone else. (Posner, 1997 pp. 4-5) Nussbaum responds to this by clarifying the scope of her claims about the positive effects of literature, pointing out that:

I am fully in agreement with Posner that the phenomenon he designates as ’empathy’ is not sufficient to motivate good action; I never suggest that it is, and early in Poetic Justice I insist that empathy is likely to be hooked up with compassion in someone who has had a good early education in childhood, one that teaches concern for others. (Nussbaum, 1998 p. 352)

And, with respect to the latter two points:

Booth and I are talking about the interaction between novel and mind during the time of reading. We do not claim that this part of one’s life invariably dominates, although we do think that if the novels are ethically good it will have a good influence, other things equal; nor do we claim that spending more time reading novels will make it more likely that this part will dominate. Moreover, reading can only have the good effects we claim for it if one reads with immersion, not just as a painful duty. (1998 p. 353)

Having thus clarified that hers is a moderate causal thesis about the possible positive effects of morally commendable literature, as one among many influences, Nussbaum’s position seems to stand up to Posner’s objections quite well. She only says that such literature can have morally beneficial effects, not that it will. Posner’s objections are not good ones; literature may have the capacity to aid in the moral education of those who are already predisposed to learn what literature specifically has to offer, but this does not mean that this capacity will always be realised. A novel’s full potential may not be realised all that often in ways other than the audience’s failure to see its full moral import; the novel’s fine stylistic features may also go unappreciated by many readers.

It now remains to consider the specific ways in which literature may morally educate. Carroll has some suggestions, which he collects under the heading, ‘the cultivation approach’. He explains that a further response to a skeptic such as Posner would be to:

…maintain that the skeptic’s conception of education is too narrow. For the skeptic, education is the acquisition of insightful propositions about the moral life. For the advocate of the cultivation approach, education may also involve other things, including the honing of ethically relevant skills and powers (such as the capacity for finer perceptual discrimination, the imagination, the emotions, and the overall ability to conduct moral reflection) as well as the exercise and refinement of moral understanding (that is, the improvement and sometimes the expansion of our understanding of the moral precepts and concepts we already possess). As the label for this approach indicates, the educative value of art resides in its potential to cultivate our moral talents. (Carroll, 2000, p. 367)

This is clearly in keeping with Nussbaum’s sentiments regarding the value of literature to moral education. What is required to make this causal thesis plausible is a departure from rigid views of the realms of aesthetics, morality and education. Rather, an account such as Nussbaum’s, which emphasises those important aspects of moral education which Carroll summarizes above, finds the common ground between ethics, education and literature.

It turns out that Posner’s criticisms of Nussbaum’s position are based on an understanding of morality, and moral education, which is too narrow. Posner’s conception of the aesthetic, and the value of art, is also too narrow; so narrow in fact that it misses some of the central reasons why we value literary art. Rather, it may be that the moral value of literary artworks is just one feature among many contributing to their overall aesthetic value, within a broad conception of the aesthetic, such as that proposed by Gaut’s ethicism. Nussbaum does not discuss what other aesthetic features might be relevant to an ‘all-things-considered’ judgment of aesthetic value, because it is not relevant to her primary interest. It is true that she takes certain literary works and uses them for a specific purpose which focuses on just one aspect of the whole aesthetic value of those works, but she says in her defense:

It is, of course, true that ethical and political considerations have played, and continue to play, a central role in my own literary projects. But one should not infer from this that I believe this is the only legitimate way of approaching literature — any more than one would rightly infer from the fact that a person makes a career of playing the clarinet that this person thinks the flute an instrument not worth playing. . . . In short . . . I am a pluralist about literary approaches, holding that there are many that deserve to be respected and fostered. (1998 p. 347)

Certainly this seems a healthy attitude. Respecting approaches to literature which have a specific purpose, such as Nussbaum’s work on the usefulness of literature to moral philosophy and moral development, can help us gain a more comprehensive understanding of the various reasons for which we value literary art, and the artists who create it.

b. Ethical Criticism and Censorship

Unfortunately, censorship decisions are often seen as being closely linked to judgments about the moral value of art. Censorship which restricts those art and entertainment objects available to us due to the imposition of a strict and rigid moral code is one of the great fears of the radical autonomist. However, the link between the moral value of artworks and censorship is often overemphasised. Although the ability to make judgments about the moral value, or perhaps even the effects of artworks, would sometimes be pertinent to informed, responsible decisions about censorship, judgments about the moral value, or effects, of artworks are neither sufficient nor necessary grounds upon which to base censorship decisions, since there are other relevant, and important, considerations.

To begin with, it has been maintained above that to judge a literary artwork as being morally problematic is not equivalent to judging that that work will have, or even could have, a corrupting influence on its audience; claims about the negative moral effects of artworks require a further step. As discussed earlier, causal claims about the effects of artworks, especially negative causal claims, are difficult to prove. But even if it could be shown that a particular artwork had the potential to corrupt audience members, it still does not automatically follow that that work should be censored.

There are, of course, issues of rights at stake; for instance the artist’s right to the freedom of expression, and the (mature) audience’s right to ‘make up their own minds’ about the value of particular works, as opposed to the public’s ‘right’ to be protected from corrupting influences and/or obscenity. There is a large body of literature which deals with the possible effects of pornography on society (this appears to have been researched far more than the possible immoral effects of artworks), on what exactly constitutes obscenity, and on issues of competing rights and responsibilities relevant to censorship. When one reviews the extent of this literature, it becomes clear that there are a great many issues to be considered with respect to censorship, of which the moral value of artworks is but one.

In fact, it is possible for partial censorship decisions, that is, restricted access rather than a complete ban, to be made without any reference to a work’s moral value at all. As discussed earlier, the strong causal thesis that certain artworks will corrupt their audience is implausible, given that at least some audience members may resist the corrupting influence of the artwork, and would be very difficult to prove; empirical as well as conceptual investigation would be required. It seems likely that the most we could be sure of is that a certain artwork had the potential to corrupt some audience members. The obvious next question is which audience members would be most likely to be affected. This is partly what is behind the film and television classification scheme; a kind of scaled censorship. The criterion here for the recommended restrictions on the audience is simply age. But the possibility that such works might morally corrupt some of their audience is not the only reason for classifying some such works as suitable for only an adult audience. More often the concern is simply that the issues raised by certain films or television programs are issues only a person of a certain age could properly grasp. Some films might be deemed too confusing, too frightening, or too explicit for a young audience’s comfort level, for instance, regardless of the moral status of those films. In these cases, a limited censorship is decided largely by judging what is appropriate for certain age groups, and this need not have anything to do with a work’s moral value.

This very brief comment on censorship is only intended to point out that although the ability to make sound moral judgments about artworks is sometimes relevant to censorship decisions, it isn’t always, and, furthermore, the judgment that a work is immoral is not sufficient grounds for that work to be censored; there are other pertinent issues to be taken into account. While a thesis such as this one could provide a starting point for further discussion on those censorship decisions which are based on judgments about the moral value of literary artworks, the issue of censorship is a substantial topic, which needs to be dealt with separately from the subject of the moral value of literary art.

6. References and Further Reading

  • Anderson, J.C. & Dean, J.T., “Moderate Autonomism,” British Journal of Aesthetics, (Vol. 38, Issue 2, 1998).
    • Defends ‘moderate autonomism’, arguing against both moderate moralism and ethicism.
  • Beardsley, M.C., Aesthetics: Problems in the Philosophy of Criticism, (New York: Harcourt, Brace & World, Inc., 1958).
    • Considers some of the main issues in philsophical aesthetics.
  • Beardsmore, R.W., Art & Morality, (London: Macmillan, 1971).
    • This book covers the more traditional positions on the ethical criticism of art.
  • Bell, C., “Significant Form,” (1914) in J. Hospers (ed.), Introductory Readings in Aesthetics, (N.Y.: The Free Press, 1969).
    • An argument for a narrow version of ‘formalism’ with respect to the evaluation of art.
  • Booth, W., “Why Banning Ethical Criticism is a Serious Mistake,” Philosophy and Literature, (Vol. 22, 1998).
    • A defence of the practice of the ethical criticism of art; particularly targetting Posner’s arguments against it.
  • Carroll, N., “Moderate Moralism,” British Journal of Aesthetics, (Vol. 36, No. 3, 1996).
    • Introduces and defines the positions ‘moderate autonomism’ and ‘moderate moralism’, defending the latter against any form of autonomism.
  • Carroll, N., “Moderate Moralism versus Moderate Autonomism,” British Journal of Aesthetics, (Vol. 38, Issue 4, 1998a).
    • A further defence of ‘moderate moralism’ against objections from moderate autonomists, J.C. Anderson and J.T. Dean.
  • Carroll, N., “Art, Narrative and Moral Understanding,” in Levinson, J. (ed.), Aesthetics and Ethics, (Cambridge: CUP, 1998b).
    • An argument for the leitimacy of the ethical criticism of narrative froms of art.
  • Carroll, N., “Art and Ethical Criticism: An Overview of Recent Directions of Research,” Ethics, (Vol. 110, 2000).
    • Explains the three main forms of objection to ethical criticism – autonomism, cognitive triviality and anti-consequentialism – and attempts to answer each of these objections, defnding ‘moderate moralism.
  • Conolly, O., “Ethicism and Moderate Moralism,” British Journal of Aesthetics, (Vol. 40, Issue 3), 2000.
    • Considers some possible interpretations of ‘moderate moralism’, compares moderate moralism with ‘ethicism’ and defends ethicism as the more plausible of the two positions
  • Devereaux, M., “Beauty and Evil: the case of Leni Riefensthal’s Triumph of the Will,” in J. Levinson (ed.), Aesthetics and Ethics, (Cambridge: CUP, 1998).
    • Gives a detailed analysis of the morally problematic film Triumph of the Will, and through this analysis argues that ‘formalism’ and sophisticated formalism’ are inadequate ways of responding to such a film.
  • Gaut, B., “The Ethical Criticism of Art,” in Levinson, J. (ed.), Aesthetics and Ethics, (Cambridge: CUP, 1998).
    • Proposes a new position with respect to the ethical criticism of art, ethicism, which argues for an ‘all-things-considered’ evaluation of aesthetic value which takes into account any moral merits or defects exhibited by an artwork.
  • Kieran, M., “In Defence of the Ethical Evaluation of Art,” British Journal of Aesthetics, (Vol. 41, Issue 1, 2001).
    • Argues for an ammendment to Carroll’s ‘moderate moralism’, called ‘most moderate moralism’, which focusses on the intelligibility of artworks.
  • Levinson, J. (ed.), Aesthetics & Ethics, (Cambridge: CUP, 1998).
    • A selection of essays at the interesection of ethics and aesthetics, most of the essays dealing with ethical issues in narrative art.
  • Nussbaum, M., “Exactly and Responsibly: A Defense of Ethical Criticism,” Philosophy and Literature, (Vol. 22, 1998).
    • A defense of the practice of ethical criticism; in particular a defense of Nussbaum’s thesis that certain works of literature potentially play an important supplementary role in moral education.
  • Nussbaum, M., “Finely Aware and Richly Responsible: Literature and the Moral Imagination,” in Cascardi, A.J. (ed.), Literature and the Question of Philosophy, (Baltimore and London: The John Hopkins University Press, 1987).
    • Explains the view described above with detailed reference to the novels of Henry James.
  • Posner, R., “Against Ethical Criticism,” Philosophy and Literature, (Vol. 21, 1997).
    • Argues against the practice of ethical criticism on the grounds of autonomism, cognitive triviality and anti-consequentialism.
  • Posner, R., “Against Ethical Criticism: Part Two,” Philosophy and Literature, (Vol. 22:2, 1998).
    • Responds to Nussbaum and Booth’s defence of ethical criticism against Posner’s original article.
  • Stow, S., “Unbecoming Virulence: The Politics of the Ethical Criticism Debate,” Philosophy and Literature, (Vol. 24, 2000).
    • Suggests ways in which the debate between Posner, Nussbaum and Booth over the ethical criticism of art was heavily influenced by their respective political differences.
  • Tolstoy, L., What Is Art? (London: Bristol Classical Press, 1994).
    • For the purposes of this subject, the significant aspect of Tolstoy’s book is his emphasis on the moral import of art in society as essential to the (aesthetic) value of that art. Tolstoy is a ‘radical moralist’ with respect to the ethical criticism of art.
  • Wilde, O., “The Preface to The Picture of Dorian Gray,” in Wilde, O., Plays, Prose Writings and Poems, (London: J.M. Dent & Sons, 1975).
    • In the preface to his, ironically, very moral story, Wilde claims that the moral merits or defects of art should in no way influence its aesthetic evaluation.

Author Information

Ella Peek
Email: ella@cyllene.uwa.edu.au
Australia

Art and Epistemology

SartreThe relationship between art and epistemology has been forever tenuous and fraught with much debate. It seems fairly obvious that we gain something meaningful from experiences and interactions with works of art. It does not seem so obvious whether or not the experiences we have with art can produce propositional knowledge that is constituted by true justified belief. This article gives some historical background on the debate and fleshes out some of the important issues surrounding the question “(What) can we learn from art?”

While engaging objects aesthetically is both a perceptual and emotionally laden activity, it is also fundamentally cognitive. As such, aesthetic engagement is wedded to a number of epistemological concerns. For example, we commonly claim to know things about art, and we respect what critics say about various genres of art. We say that we thought the play was good or bad, that the emotions it produced were warranted, justified, manipulative, or appropriate. People commonly claim that they learn from art, that art changes their perception of the world, and that art has an impact on the way that they see and make sense of the world. It is also widely believed that works of art, especially good works of art, can engender beliefs about the world and can, in turn, provide knowledge about the world. But what is it exactly that we can know about art?

The fact that we do respond to works of art, and that we commonly believe we can and do learn from such works, is not enough to justify that learning actually occurs. However, it is enough to make us examine our presuppositions about what constitutes knowledge, and perhaps may lead us to reconceive knowledge in such a way that we may eventually come to understand how it can be gained non-propositionally.

Table of Contents

  1. Introduction
  2. Plato and Aristotle
  3. Rationalists, Empiricists, and Romantics
  4. Knowledge Claims about the Arts
  5. Art and Moral Knowledge
  6. Additional Objections
  7. Conclusion
  8. References and Further Reading

1. Introduction

While engaging objects aesthetically is both a perceptual and emotionally laden activity, it is also fundamentally cognitive. As such, aesthetic engagement is wedded to a number of epistemological concerns. For example, we commonly claim to know things about art, and we respect what critics say about various genres of art. We say that we thought the play was good or bad, that the emotions it produced were warranted, justified, manipulative, or appropriate. People commonly claim that they learn from art, that art changes their perception of the world, and that art has an impact on the way that they see and make sense of the world. It is also widely believed that works of art, especially good works of art, can engender beliefs about the world and can, in turn, provide knowledge about the world. But what is it exactly that we can know about art? What is it precisely that art can teach us? Is there any sort of propositional content that art can provide which resembles the content that we claim to need for other kinds of knowledge claims? These are the sorts of questions that frame the debate about whether, and in what sense, art is cognitive.

2. Plato and Aristotle

The question whether or not we can learn from art goes as far back as Plato, as he warned about the dangers of indulging in both mimetic and narrative representations of the world and of human actions. The ensuing debate has endured in the contemporary philosophical literature and has spurred the further question of how we can learn from art. The arguments both for and against the notion that we can learn from art have developed as well. The debate is not any less complicated than it was historically, nor is it any closer to being resolved.

There are two extreme positions that one could take in answer to the question, “Can we learn from art?” Either we can, and do, learn from art, or we cannot in any meaningful sense attain knowledge that is non-propositional. Those who argue that we can learn from art generally argue that our engagement with art arouses certain emotions or activities that are able to facilitate or produce knowledge. They would argue that there is some aspect of the artwork which can help to produce greater understanding of the world around us. Art is thus seen as a source of insight and awareness that cannot be put into propositional language; but it can help us to see the world in a new or different way.

Those who deny that we can learn from art often argue that there can be no knowledge that is not propositionally-based knowledge. Jerome Stolnitz, for example, claims in a 1992 article that art does not and cannot contribute to knowledge primarily because it does not generate any sort of truths. Those who argue this line want to defend the notion that since art cannot provide facts or generate arguments, then we cannot learn from it. Further, those who believe we cannot learn from art argue that art cannot be understood as a source of knowledge because it is not productive of knowledge, taken in the traditional sense of justified true belief. Art does not have propositional content that can be learned in a traditional way, even though it can been seen to have effects that promote knowledge and that can either encourage or undermine the development of understanding. Art can thus be rejected as a source of knowledge because it does not provide true beliefs, and because it does not and cannot justify the beliefs that it does convey. Both extremes agree that if art can be seen as a source of knowledge, the only way that it could possibly fulfill such a function would be if that knowledge reflected something essential to art’s nature and value.

Plato points out in the Republic (595-601) that it is possible to make a representation of something without having knowledge of the thing represented. Painters represent cobblers when the painters have no knowledge of shoemaking themselves, and poets write about beauty and courage without necessarily having any clear knowledge of these virtues. Only philosophers, the lovers of wisdom, and especially those who strive to intuit the Forms and employ abstract reasoning, can really have knowledge of these virtues. Artists mislead their viewers into thinking that knowledge lies in the represented (mimetic) object. Plato’s concern in the Republic extends to the literary arts in particular, which are created with the express purpose to move us emotionally in such a way that one’s character could be corrupted (605-608). The more one indulges in emotions aroused by representation, according to Plato, the more likely one is to suffer the effects of an unbalanced soul, and ultimately the development of a bad character.

Aristotle agreed with Plato that art could indeed influence the development of one’s moral character. While Plato thought that we can learn from art and that it is detrimental to one’s character, however, Aristotle argued that indulging in the same mimetic emotions that Plato warned us of can actually benefit one’s character by producing an emotional catharsis (Poetics 1449b24-29). By purging the tragic emotions in particular, Aristotle held, one has a better chance of being more rational in everyday life. Thus, while both philosophers believed that we learn from art, one (Plato) argued that the knowledge gained was detrimental while the other (Aristotle) argued that it was beneficial.

3. Rationalists, Empiricists, and Romantics

Continuing with the line of argument Aristotle began, all the way through the Renaissance and beyond, philosophers have defended the notion that we can learn from art, and that poetry and fiction engage the emotions in a helpful, rather than detrimental, way. The Romantics dealt with this question in a manner that the earlier rationalists and empiricists did not. The rationalists rejected the idea that the imagination could be considered a source of knowledge, with Descartes going so far as to dismiss what he called “the blundering constructions of the imagination.” Returning to the ideals of Plato, the rationalists strictly employed a knowledge requirement involving justified true belief. Empiricist epistemology too is particularly unhelpful when it comes to explaining how we might gain justified knowledge from fictional or representational situations. For it seems impossible to learn actual things from fictional situations.

The Romantics provided the real beginnings of an argument against the passive accounts of knowledge for which the empiricists argued. Romantic epistemology emphasizes the role of the imagination in addition to (or over) reason. This allowed for the notion that there is not merely one right way to know, and that there is not only one right way to view, experience, understand, and construct the world.

The Romantics adopted three main tenets concerning the relationship between literature (and art more generally) and truth. The first denied that there is any one point of view from which Truth can be determined. The second began to question the Augustinian conviction that art and literature, like science, should concern only general features of nature. The third tenet, which the Romantics developed more fully, concerned the notion of transcendence, especially in association with growth. Natural science is able to describe the physical world, but only from a single point of view (Harrison 1998). Art and literature can describe the world in a myriad of ways, transcending experience of the physical world into the emotional and even the supernatural. Although art does not record truths about the world in the same way that science does, it can give insight into the different ways that we understand the world and with different degrees of accuracy. It is those degrees of accuracy that continue to be called into question.

4. Knowledge Claims about the Arts

David Novitz (1998) points out that there are three basic kinds of knowledge claims we can make about the arts, all of which are distinguished by their objects. The first concerns what we claim to know or believe about the art object itself and whatever imaginary or fictional worlds might be connected to that object. For example, I can claim to know things about the way the light reflects in Monet’s Water Lilies. I can also claim to know things about Anna Karenina’s relationships with her husband and with her lover, Vronsky. Beyond this, we may feel justified in our pity for Anna, because of the way Tolstoy’s novel presents her story. Can my knowledge of Anna be meaningful, however, or be considered knowledge at all in the traditional sense (justified true belief) if Anna Karenina is a non-referring name? Further, how can one’s interpretation of her situation be any more legitimate than anyone else’s? Can single interpretations hold value over time and across cultures? Without the propositional content used to legitimize the standard analysis of knowledge, it seems that the knowledge claims we have about the content of an artwork will never have the same kind of validity. Whether or not that same kind of validity is required also needs to be called into question.

The second kind of knowledge claim we can make about art concerns what we know or believe to be an appropriate or warranted emotional response to the artwork. We often believe that works of art are only properly understood if we have a certain kind of emotional response to them. One problem here, of course, concerns how it is that we know what kind of response is appropriate to a particular work. On occasion we talk to friends about a response they had to a particular work of art that was manifestly different from the one we had. How is it possible to judge which response is more appropriate or justified? Even suggesting that one should respond as if a novel, for example, were to be taken as an account of true events, with responses following as if the events depicted therein were actually happening or had happened, does not solve the problem. For one thing, not all emotional responses to real events are taken as equally justified. For another, most novels are not meant to be taken as true (despite the “report model” of emotive response [see Matravers 1997]). The fact that we do respond emotively to art, and to fiction in particular, would seem to indicate that there is something in the artwork that is worth responding to, even if it is not the same thing possessed by the objects we respond to outside the art world.

The third kind of knowledge claim we can have about art concerns the sort of information art can provide about the world. That is, how is it that we can gain real knowledge from fictional or non-real events or activities? It is widely accepted that art does, in fact, convey important insight into the way we order and understand the world. It is also widely acknowledged that art gives a certain degree of meaning to our lives. Art, and literature in particular, can elicit new beliefs and even new knowledge about the world. But the concern is this: fiction is not produced in a way that is reflective of the world as it actually is. It might be quite dangerous, in fact, for one to obtain knowledge about human affairs only from fiction. For example, it could be downright unhealthy for me to get my sense of what it is like to be in love from romance novels alone.

We can easily be experientially misled by art. The so-called empathic beliefs, those we gain from experiencing art, should be based on and enhanced by our broader experience of the world and should not arise independently of our other beliefs. But here the problem of justification returns. That is, if the empathic beliefs we gain from our experience of art actually coincide with our experience of the real world, then they can pass as empathic knowledge (that is, beliefs become true and justified when they are connected to other justified beliefs). The problem is that often the emotions and beliefs that we adopt empathically turn out to be temporary, since they are not grounded in concrete experience. Can the experience we have with a work of art be confirming in and of itself, or must there be another, external authority to make the experience, or at least the knowledge gained from the experience, legitimate? It seems that much of what we learn about the world does come from art, and thus the justificatory claims to knowledge must be reconsidered.

The propositional theory of knowledge holds that one must have justified true belief in the content of a proposition in order to have knowledge. This appears reasonable under normal circumstances, but seems not to work at all in the case of art. It seems odd, in fact, to hold that in order to show that one has learned from a work of fiction, one must show that the work has propositional content of a general or philosophical nature, or that it provides experience that cannot be gained in any other way. If we can learn from art, we must be able to do so in a manner that diverges from the traditional notion of justified true belief, but that still holds some sort of legitimate ground.

What kind of justification is needed to ground these potential knowledge claims that art provides? First of all, we must be at least somewhat aware of what the new knowledge consists of. Moreover, one’s engagement with the artwork should provide at least some degree of justification (e.g., I feel pity for Anna Karenina because she is in an unfortunate set of circumstances that she feels she has no control over. I am justified in my emotional response to her if I can see that she is in a truly pitiable situation). It is important to distinguish learning from art from merely being affected or influenced by it, or even from being challenged by it. Accounts of knowledge provided by art should be able to identify clearly what it is about the artwork itself, qua artwork, which prompts knowledge. A cognitivist account in particular will require first that the content of the work be specifiable (what is it we learn?); second, that the demands for justification be respected; and third, that these accounts appeal directly to aesthetic experience (Freeland 1997).

5. Art and Moral Knowledge

It would seem that there is indeed something about the content of an artwork that can be said to be knowledge-producing. But how can that be so? The artist himself or herself is not the ultimate authority here, since his/her knowledge or expertise is not necessarily directly transferred into the artwork. Furthermore, even if it were capable of being transferred clearly, it is not always the case that observers will interpret the meaning or significance of a work of art in any standard way. What the artist knows and how others experience his/her art are not directly related enough to justify epistemic legitimacy. It also seems unjustified to assume that there are intrinsic features of an artwork that are always clearly identifiable. So the knowledge we gain from art has more to do with the relationship between the art object and the consumer than anything else.

Another way we might argue for the possibility of gaining knowledge from art is by rejecting the justified true belief account of knowledge. There might be more than one way to know, in other words, and more than one way to learn. One of the most common alternative suggestions concerning the knowledge that art elicits is that it is moral knowledge that we gain. These arguments are based primarily of the presumption that art, and literature especially, can provide experiential and emotional stimulation, and that moral knowledge is not simply propositional in nature. It has been objected, however, that such stimulation is not equal to the propositional content that more traditional forms of knowledge can provide.

Eileen John (2001) identifies two arguments for the claim that moral knowledge can be gained from art. The first argument stresses the capacity of art to give us examples of, and exercise in, certain morally pertinent activities. Thus, we come across circumstances and situations in art and literature that we might not otherwise come across in our daily lives. If we simulate our own reactions to the situations the work presents us with, we have an idea of how we might respond or how we would feel (see especially Kendall Walton’s theory of Make-Believe and Simulation Theory). On this view, works of art can provide us with simulated or “off-line” emotional responses that could not be achieved otherwise.

The second argument is based on the assumption that we can acquire specific substantive moral knowledge from art. That is, works of art are taken to possess the ability to give us imaginative and epistemic access to certain kinds of experiences relevant to moral knowledge and judgment. Not only can we respond emotionally to particular moral situations presented through artworks; we cannot help but find ourselves morally outraged or saddened by the plights of certain fictional characters.

6. Additional Objections

Noël Carroll (2002) lays out three additional objections to the suggestion that art can provide knowledge. The first objection he calls the “banality argument”: the idea that “the significant truths that many claim art and literature may afford—that is, general truths about life, usually of an implied nature (as opposed to what is ‘true in the fiction’)—are in the main, trivial.” Compared to the knowledge we are able to obtain from propositional statements and arguments, the kind of things works of literature are can point out are so obvious as to be useless. Carroll continues by stating that “art and knowledge are not sources of moral knowledge, but, at best, occasions for activating antecedently possessed knowledge.” The best it seems that art and literature can do is to point out things we already know and believe.

The second objection Carroll outlines against the notion that we can learn from art is what he calls the “no-evidence argument.” This focuses on the fact that not only is anything we gain from art and literature banal, but for any knowledge to be legitimate, it needs to be warranted and must be supported by evidence. Few artworks, however, supply any evidence at all in defense of a particular view. One of the reasons interpretations seem to legitimately vary so widely is precisely due to this lack of solid evidence. Moreover, fiction is not a reliable source of evidence when it comes to literature and other arts.

Carroll calls the third objection the “no-argument argument.” As he explains, “it maintains that even if artworks contained or implied general truths, neither the artworks themselves nor the critical discourse that surrounds them engages in argument, analysis, and debate in defense of the alleged truths.” If artworks do indeed suggest any sort of knowledge, Carroll points out, it can only be suggested or implied but never argued for or defended. Furthermore, the critical discourse that surrounds artworks is not generally focused on arguing for or against any of the claims made in the artwork itself.

7. Conclusion

The fact that we do respond to works of art, and that we commonly believe we can and do learn from such works, is not enough to justify that learning actually occurs. However, it is enough to make us examine our presuppositions about what constitutes knowledge, and perhaps may lead us to reconceive knowledge in such a way that we may eventually come to understand how it can be gained non-propositionally.

8. References and Further Reading

  • Bender, John. “Art as a Source of Knowledge: Linking Analytic Aesthetics and Epistemology.” In Contemporary Philosophy of Art, ed. John Bender and Gene Blocker. Englewood Cliffs, NJ: Prentice Hall, 1993.
  • Carroll, Noël. “Art, Narrative, and Moral Understanding.” In Aesthetics and Ethics: Essays at the Intersection, ed. Jerrold Levinson. Cambridge: Cambridge University Press, 1998.
  • Carroll, Noël. “Moderate Moralism.” British Journal of Aesthetics 36 (1996): 223-38.
  • Carroll, Noël. “The Wheel of Virtue: Art, Literature, and Moral Knowledge.” Journal of Aesthetics and Art Criticism 60.1 (Winter 2002): 3-26.
  • Diffey, T.J. “What Can We Learn From Art?” Australasian Journal of Philosophy 73 (1995): 202-11.
  • Freeland, Cynthia. “Art and Moral Knowledge.” Philosophical Topics 25.1 (Spring 1997): 11-36.
  • Graham, Gordon. “Value and the Visual Arts.” Journal of Aesthetic Education 28 (1994): 1-14.
  • Graham, Gordon. “Learning From Art.” British Journal of Aesthetics 35 (1995): 26-37.
  • Harrison, Bernard. “Literature and Cognition.” In Encyclopedia of Aesthetics, ed. Michael Kelly. Oxford: Oxford University Press, 1998.
  • John, Eileen. “Reading Fiction and Conceptual Knowledge: Philosophical Thought in Literary Context.” Journal of Aesthetics and Art Criticism 56 (1998): 331-48.
  • John, Eileen. “Art and Knowledge.” The Routledge Companion to Aesthetics, eds. Berys Gaut and Dominic McIver Lopes. London: Routledge, 2001.
  • Feagin, Susan. “Paintings and Their Places.” Australasian Journal of Philosophy 73.2 (1995): 260-68.
  • Kieran, Matthew. “Art, Imagination, and the Cultivation of Morals.” Journal of Aesthetics and Art Criticism 54 (1996): 337-51.
  • Lamarque, Peter and Stein Olsen. Truth, Fiction, and Literature. Oxford: Oxford University Press, 1994.
  • Matravers, Derek. “The Report Model versus the Perceptual Model.” In Emotion and the Arts, eds. Mette Hjort and Sue Laver. Oxford: Oxford University Press, 1997, 78-92.
  • Novitz, David. “Aesthetics and Epistemology.” In Encyclopedia of Aesthetics, ed. Michael Kelly. Oxford: Oxford University Press, 1998.
  • Nussbaum, Martha. Love’s Knowledge: Essays on Philosophy and Literature. Oxford: Oxford University Press, 1990.
  • Nussbaum, Martha. Poetic Justice: The Literary Imagination and Public Life. Boston: Beacon Press, 1995.
  • Reid, Louis Arnaud. “Art and Knowledge.” British Journal of Aesthetics 25 (1985): 115-24.
  • Robinson, Jennifer. “L’Education Sentimentale.” Australasian Journal of Philosophy 73 (1995): 212-26.
  • Stolnitz, Jerome. “On the Cognitive Triviality of Art.” British Journal of Aesthetics 32 (July 1992): 191-200.
  • Walton, Kendall. Mimesis as Make Believe: On the Foundations of the Representational Arts. Cambridge: Harvard University Press, 1990.
  • Wilson, Catherine. “Literature and Knowledge.” Philosophy 58 (1983): 489-96.
  • Young, James O. Art and Knowledge. London: Routledge, 2001.

Author Information

Sarah E. Worth
Email: Sarah.Worth@furman.edu
Furman University
U. S. A.

Aesthetics

Aesthetics may be defined narrowly as the theory of beauty, or more broadly as that together with the philosophy of art. The traditional interest in beauty itself broadened, in the eighteenth century, to include the sublime, and since 1950 or so the number of pure aesthetic concepts discussed in the literature has expanded even more. Traditionally, the philosophy of art concentrated on its definition, but recently this has not been the focus, with careful analyses of aspects of art largely replacing it. Philosophical aesthetics is here considered to center on these latter-day developments. Thus, after a survey of ideas about beauty and related concepts, questions about the value of aesthetic experience and the variety of aesthetic attitudes will be addressed, before turning to matters which separate art from pure aesthetics, notably the presence of intention. That will lead to a survey of some of the main definitions of art which have been proposed, together with an account of the recent “de-definition” period. The concepts of expression, representation, and the nature of art objects will then be covered.

Table of Contents

  1. Introduction
  2. Aesthetic Concepts
  3. Aesthetic Value
  4. Aesthetic Attitudes
  5. Intentions
  6. Definitions of Art
  7. Expression
  8. Representation
  9. Art Objects
  10. References and Further Reading

1. Introduction

The full field of what might be called “aesthetics” is a very large one. There is even now a four-volume encyclopedia devoted to the full range of possible topics. The core issues in Philosophical Aesthetics, however, are nowadays fairly settled (see the book edited by Dickie, Sclafani, and Roblin, and the monograph by Sheppard, among many others).

Aesthetics in this central sense has been said to start in the early eighteenth century, with the series of articles on “The Pleasures of the Imagination” which the journalist Joseph Addison wrote in the early issues of the magazine The Spectator in 1712. Before this time, thoughts by notable figures made some forays into this ground, for instance in the formulation of general theories of proportion and harmony, detailed most specifically in architecture and music. But the full development of extended, philosophical reflection on Aesthetics did not begin to emerge until the widening of leisure activities in the eighteenth century.

By far the most thoroughgoing and influential of the early theorists was Immanuel Kant, towards the end of the eighteenth century. Therefore it is important, first of all, to have some sense of how Kant approached the subject. Criticisms of his ideas, and alternatives to them, will be presented later in this entry, but through him we can meet some of the key concepts in the subject by way of introduction.

Kant is sometimes thought of as a formalist in art theory; that is to say, someone who thinks the content of a work of art is not of aesthetic interest. But this is only part of the story. Certainly he was a formalist about the pure enjoyment of nature, but for Kant most of the arts were impure, because they involved a “concept.” Even the enjoyment of parts of nature was impure, namely when a concept was involved— as when we admire the perfection of an animal body or a human torso. But our enjoyment of, for instance, the arbitrary abstract patterns in some foliage, or a color field (as with wild poppies, or a sunset) was, according to Kant, absent of such concepts; in such cases, the cognitive powers were in free play. By design, art may sometimes obtain the appearance of this freedom: it was then “Fine Art”—but for Kant not all art had this quality.

In all, Kant’s theory of pure beauty had four aspects: its freedom from concepts, its objectivity, the disinterest of the spectator, and its obligatoriness. By “concept,” Kant meant “end,” or “purpose,” that is, what the cognitive powers of human understanding and imagination judge applies to an object, such as with “it is a pebble,” to take an instance. But when no definite concept is involved, as with the scattered pebbles on a beach, the cognitive powers are held to be in free play; and it is when this play is harmonious that there is the experience of pure beauty. There is also objectivity and universality in the judgment then, according to Kant, since the cognitive powers are common to all who can judge that the individual objects are pebbles. These powers function alike whether they come to such a definite judgment or are left suspended in free play, as when appreciating the pattern along the shoreline. This was not the basis on which the apprehension of pure beauty was obligatory, however. According to Kant, that derived from the selflessness of such an apprehension, what was called in the eighteenth century its “disinterest.” This arises because pure beauty does not gratify us sensuously; nor does it induce any desire to possess the object. It “pleases,” certainly, but in a distinctive intellectual way. Pure beauty, in other words, simply holds our mind’s attention: we have no further concern than contemplating the object itself. Perceiving the object in such cases is an end in itself; it is not a means to a further end, and is enjoyed for its own sake alone.

It is because Morality requires we rise above ourselves that such an exercise in selfless attention becomes obligatory. Judgments of pure beauty, being selfless, initiate one into the moral point of view. “Beauty is a symbol of Morality,” and “The enjoyment of nature is the mark of a good soul” are key sayings of Kant. The shared enjoyment of a sunset or a beach shows there is harmony between us all, and the world.

Among these ideas, the notion of “disinterest” has had much the widest currency. Indeed, Kant took it from eighteenth century theorists before him, such as the moral philosopher, Lord Shaftesbury, and it has attracted much attention since: recently by the French sociologist Pierre Bourdieu, for instance. Clearly, in this context “disinterested” does not mean “uninterested,” and paradoxically it is closest to what we now call our “interests,” that is, such things as hobbies, travel, and sport, as we shall see below. But in earlier centuries, one’s “interest” was what was to one’s advantage, that is, it was “self-interest,” and so it was the negation of that which closely related aesthetics to ethics.

2. Aesthetic Concepts

The eighteenth century was a surprisingly peaceful time, but this turned out to be the lull before the storm, since out of its orderly classicism there developed a wild romanticism in art and literature, and even revolution in politics. The aesthetic concept which came to be more appreciated in this period was associated with this, namely sublimity, which Edmund Burke theorized about in his “A Philosophical Enquiry into the Origin of our ideas of the Sublime and Beautiful.” The sublime was connected more with pain than pure pleasure, according to Burke, since threats to self-preservation were involved, as on the high seas, and lonely moors, with the devilish humans and dramatic passions that artists and writers were about to portray. But in these circumstances, of course, it is still “delightful horror,” as Burke appreciated, since one is insulated by the fictionality of the work in question from any real danger.

“Sublime” and “beautiful” are only two amongst the many terms which may be used to describe our aesthetic experiences. Clearly there are “ridiculous” and “ugly,” for a start, as well. But the more discriminating will have no difficulty also finding something maybe “fine,” or “lovely” rather than “awful” or “hideous,” and “exquisite” or “superb” rather than “gross” or “foul.” Frank Sibley wrote a notable series of articles, starting in 1959, defending a view of aesthetic concepts as a whole. He said that they were not rule- or condition-governed, but required a heightened form of perception, which one might call taste, sensitivity, or judgment. His full analysis, however, contained another aspect, since he was not only concerned with the sorts of concepts mentioned above, but also with a set of others which had a rather different character. For one can describe works of art, often enough, in terms which relate primarily to the emotional and mental life of human beings. One can call them “joyful,” “melancholy,” “serene,” “witty,” “vulgar,” and “humble,” for instance. These are evidently not purely aesthetic terms, because of their further uses, but they are still very relevant to many aesthetic experiences.

Sibley’s claim about these concepts was that there were no sufficient conditions for their application. For many concepts—sometimes called “closed” concepts, as a result—both necessary and sufficient conditions for their application can be given. To be a bachelor, for instance, it is necessary to be male and unmarried, though of marriageable age, and together these three conditions are sufficient. For other concepts, however, the so-called “open” ones, no such definitions can be given— although for aesthetic concepts Sibley pointed out there were still some necessary conditions, since certain facts can rule out the application of, for example, “garish,” “gaudy,” or “flamboyant.”

The question therefore arises: how do we make aesthetic judgments if not by checking sufficient conditions? Sibley’s account was that, when the concepts were not purely perceptual they were mostly metaphoric. Thus, we call artworks “dynamic,” or “sad,” as before, by comparison with the behaviors of humans with those qualities. Other theorists, such as Rudolph Arnheim and Roger Scruton, have held similar views. Scruton, in fact, discriminated eight types of aesthetic concept, and we shall look at some of the others below.

3. Aesthetic Value

We have noted Kant’s views about the objectivity and universality of judgments of pure beauty, and there are several ways that these notions have been further defended. There is a famous curve, for instance, obtained by the nineteenth century psychologist Wilhelm Wundt, which shows how human arousal is quite generally related to complexity of stimulus. We are bored by the simple, become sated, even over-anxious, by the increasingly complex, while in between there is a region of greatest pleasure. The dimension of complexity is only one objective measure of worth which has been proposed in this way. Thus it is now known, for instance, that judgments of facial beauty in humans are a matter of averageness and symmetry. Traditionally, unity was taken to be central, notably by Aristotle in connection with Drama, and when added to complexity it formed a general account of aesthetic value. Thus Francis Hutcheson, in the eighteenth century, asserted that “Uniformity in variety always makes an object beautiful.” Monroe Beardsley, more recently, has introduced a third criterion—intensity—to produce his three “General Canons” of objective worth. He also detailed some “Special Canons.”

Beardsley called the objective criteria within styles of Art “Special Canons.” These were not a matter of something being good of its kind and so involving perfection of a concept in the sense of Kant. They involved defeasible “good-making” and “bad-making” features, more in the manner Hume explained in his major essay in this area, “Of the Standard of Taste” (1757). To say a work of art had a positive quality like humor, for instance, was to praise it to some degree, but this could be offset by other qualities which made the work not good as a whole. Beardsley defended all of his canons in a much more detailed way than his eighteenth century predecessor however: through a lengthy, fine-grained, historical analysis of what critics have actually appealed to in the evaluation of artworks. Also, he explicitly made the disclaimer that his canons were the only criteria of value, by separating these “objective reasons” from what he called “affective” and “genetic” reasons. These two other sorts of reasons were to do with audience response, and the originating artist and his times, respectively, and either “The Affective Fallacy” or “The Intentional Fallacy,” he maintained, was involved if these were considered. The discrimination enabled Beardsley to focus on the artwork and its representational relations, if any, to objects in the public world.

Against Beardsley, over many years, Joseph Margolis maintained a “Robust Relativism.” Thus he wanted to say that “aptness,” “partiality,” and “non-cognitivism” characterize art appreciation, rather than “truth,” “universality,” and “knowledge.” He defended this with respect to aesthetic concepts, critical judgments of value, and literary interpretations in particular, saying, more generally, that works of art were “culturally emergent entities” not directly accessible, because of this, to any faculty resembling sense perception. The main debate over aesthetic value, indeed, concerns social and political matters, and the seemingly inevitable partiality of different points of view. The central question concerns whether there is a privileged class, namely those with aesthetic interests, or whether their set of interests has no distinguished place, since, from a sociological perspective, that taste is just one amongst all other tastes in the democratic economy. The sociologist Arnold Hauser preferred a non-relativistic point of view, and was prepared to give a ranking of tastes. High art beat popular art, Hauser said, because of two things: the significance of its content, and the more creative nature of its forms. Roger Taylor, by contrast, set out very fully the “leveller’s” point of view, declaring that “Aida” and “The Sound of Music” have equal value for their respective audiences. He defended this with a thorough philosophical analysis, rejecting the idea that there is such a thing as truth corresponding to an external reality, with the people capable of accessing that truth having some special value. Instead, according to Taylor, there are just different conceptual schemes, in which truth is measured merely by coherence internal to the scheme itself. Janet Wolff looked at this debate more disinterestedly, in particular studying the details of the opposition between Kant and Bourdieu.

4. Aesthetic Attitudes

Jerome Stolnitz, in the middle of the last century, was a Kantian, and promoted the need for a disinterested, objective attitude to art objects. It is debatable, as we saw before, whether this represents Kant’s total view of art, but the disinterested treatment of art objects which Stolnitz recommended was very commonly pursued in his period.

Edward Bullough, writing in 1912, would have called “disinterested attention” a “distanced” attitude, but he used this latter term to generate a much fuller and more detailed appreciation of the whole spectrum of attitudes which might be taken to artworks. The spectrum stretched from people who “over-distance” to people who “under-distance.” People who over-distance are, for instance, critics who merely look at the technicalities and craftwork of a production, missing any emotional involvement with what it is about. Bullough contrasted this attitude with what he called “under-distancing,” where one might get too gripped by the content. The country yokel who jumps upon the stage to save the heroine, and the jealous husband who sees himself as Othello smothering his wife, are missing the fact that the play is an illusion, a fiction, just make-believe. Bullough thought there was, instead, an ideal mid-point between his two extremes, thereby solving his “antinomy of distance” by deciding there should be the least possible distance without its disappearance.

George Dickie later argued against both “disinterest” and “distance” in a famous 1964 paper, “The Myth of the Aesthetic Attitude.” He argued that we should be able to enjoy all objects of awareness, whether “pure aesthetic” or moral. In fact, he thought the term “aesthetic” could be used in all cases, rejecting the idea that there was some authorized way of using the word just to apply to surface or formal features— the artwork as a thing in itself. As a result, Dickie concluded that the aesthetic attitude, when properly understood, reduced to just close attention to whatever holds one’s mind in an artwork, against the tradition which believed it had a certain psychological quality, or else involved attention just to certain objects.

Art is not the only object to draw interest of this pleasurable kind: hobbies and travel are further examples, and sport yet another, as was mentioned briefly above. In particular, the broadening of the aesthetic tradition in recent years has led theorists to give more attention to sport. David Best, for instance, writing on sport and its likeness to art, highlighted how close sport is to the purely aesthetic. But he wanted to limit sport to this, and insisted it had no relevance to ethics. Best saw art forms as distinguished expressly by their having the capacity to comment on life situations, and hence bring in moral considerations. No sport had this further capacity, he thought, although the enjoyment of many sports may undoubtedly be aesthetic. But many art forms—perhaps more clearly called “craft-forms” as a result— also do not comment on life situations overmuch, for example, décor, abstract painting, and non-narrative ballet. And there are many sports which are pre-eminently seen in moral, “character-building” terms, for example, mountaineering, and the various combat sports (like boxing and wrestling). Perhaps the resolution comes through noting the division Best himself provides within sport-forms, between, on the one hand, “task” or “non-purposive” sports like gymnastics, diving, and synchronized swimming, which are the ones he claims are aesthetic, and on the other hand the “achievement,” or “purposive’ sports, like those combat sports above. Task sports have less “art” in them, since they are not as creative as the purposive ones.

5. Intentions

The traditional form of art criticism was biographical and sociological, taking into account the conceptions of the artist and the history of the traditions within which the artist worked. But in the twentieth century a different, more scientific and ahistorical form of literary criticism grew up in the United States and Britain: The New Criticism. Like the Russian Formalists and French Structuralists in the same period, the New Critics regarded what could be gleaned from the work of art alone as relevant to its assessment, but their specific position received a much-discussed philosophical defense by William Wimsatt and Monroe Beardsley in 1946. Beardsley saw the position as an extension of “The Aesthetic Point of View”; Wimsatt was a practical critic personally engaged in the new line of approach. In their essay “The Intentional Fallacy,” Wimsatt and Beardsley claimed “the design or intention of the artist is neither available nor desirable as a standard for judging the success of a work of literary art.” It was not always available, since it was often difficult to obtain, but, in any case, it was not appropriately available, according to them, unless there was evidence for it internal to the finished work of art. Wimsatt and Beardsley allowed such forms of evidence for a writer’s intentions, but would allow nothing external to the given text.

This debate over intention in the literary arts has raged with full force into more recent times. A contemporary of Wimsatt and Beardsley, E.D. Hirsch, has continued to maintain his “intentionalist” point of view. Against him, Steven Knapp and Walter Benn Michaels have taken up an ahistorical position. Frank Cioffi, one of the original writers who wrote a forceful reply to Wimsatt and Beardsley, aligned himself with neither camp, believing different cases were “best read” sometimes just as, sometimes other than as, the artist knowingly intended them. One reason he rejected intention, at times, was because he believed the artist might be unconscious of the full significance of the artwork.

A similar debate arises in other art forms besides Literature, for instance Architecture, Theater, and Music, although it has caused less professional comment in these arts, occurring more at the practical level in terms of argument between “purists” and “modernizers.” Purists want to maintain a historical orientation to these art forms, while modernizers want to make things more available for contemporary use. The debate also has a more practical aspect in connection with the visual arts. For it arises in the question of what devalues fakes and forgeries, and by contrast puts a special value on originality. There have been several notable frauds perpetrated by forgers of artworks and their associates. The question is: if the surface appearance is much the same, what especial value is there in the first object? Nelson Goodman was inclined to think that one can always locate a sufficient difference by looking closely at the visual appearance. But even if one cannot, there remain the different histories of the original and the copy, and also the different intentions behind them.

The relevance of such intentions in visual art has entered very prominently into philosophical discussion. Arthur Danto, in his 1964 discussion of “The Artworld,” was concerned with the question of how the atmosphere of theory can alter how we see artworks. This situation has arisen in fact with respect to two notable paintings which look the same, as Timothy Binkley has explained, namely Leonardo’s original “Mona Lisa” and Duchamp’s joke about it, called “L.H.O.O.Q. Shaved.” The two works look ostensibly the same, but Duchamp, one needs to know, had also produced a third work, “L.H.O.O.Q.,” which was a reproduction of the “Mona Lisa,” with some graffiti on it: a goatee and moustache. He was alluding in that work to the possibility that the sitter for the “Mona Lisa” might have been a young male, given the stories about Leonardo’s homosexuality. With the graffiti removed the otherwise visually similar works are still different, since Duchamp’s title, and the history of its production, alters what we think about his piece.

6. Definitions of Art

Up to the “de-definition” period, definitions of art fell broadly into three types, relating to representation, expression, and form. The dominance of representation as a central concept in art lasted from before Plato’s time to around the end of the eighteenth century. Of course, representational art is still to be found to this day, but it is no longer pre-eminent in the way it once was. Plato first formulated the idea by saying that art is mimesis, and, for instance, Bateaux in the eighteenth century followed him, when saying: “Poetry exists only by imitation. It is the same thing with painting, dance and music; nothing is real in their works, everything is imagined, painted, copied, artificial. It is what makes their essential character as opposed to nature.”

In the same century and the following one, with the advent of Romanticism, the concept of expression became more prominent. Even around Plato’s time, his pupil Aristotle preferred an expression theory: art as catharsis of the emotions. And Burke, Hutcheson, and Hume also promoted the idea that what was crucial in art were audience responses: pleasure in Art was a matter of taste and sentiment. But the full flowering of the theory of Expression, in the twentieth century, has shown that this is only one side of the picture.

In the taxonomy of art terms Scruton provided, Response theories concentrate on affective qualities such as “moving,” “exciting,” “nauseous,” “tedious,” and so forth. But theories of art may be called “expression theories” even though they focus on the embodied, emotional, and mental qualities discussed before, like “joyful,” “melancholy,” “humble,” “vulgar,” and “intelligent.” As we shall see below, when recent studies of expression are covered in more detail, it has been writers like John Hospers and O.K. Bouwsma who have preferred such theories. But there are other types of theory which might, even more appropriately, be called “expression theories.” What an artist is personally expressing is the focus of self-expression theories of art, but more universal themes are often expressed by individuals, and art-historical theories see the artist as merely the channel for broader social concerns.

R. G. Collingwood in the 1930s took art to be a matter of self-expression: “By creating for ourselves an imaginary experience or activity, we express our emotions; and this is what we call art.” And the noteworthy feature of Marx’s theory of art, in the nineteenth century, and those of the many different Marxists who followed him into the twentieth century, was that they were expression theories in the “art-Historical” sense. The arts were taken, by people of this persuasion, to be part of the superstructure of society, whose forms were determined by the economic base, and so art came to be seen as expressing, or “reflecting” those material conditions. Social theories of art, however, need not be based on materialism. One of the major social theorists of the late nineteenth century was the novelist Leo Tolstoy, who had a more spiritual point of view. He said: “Art is a human activity consisting in this, that one man consciously, by means of certain external signs, hands on to others feelings he has lived through, and that others are infected by these feelings and also experience them.”

Coming into the twentieth century, the main focus shifted towards abstraction and the appreciation of form. The aesthetic, and the arts and crafts movements, in the latter part of the nineteenth century drew people towards the appropriate qualities. The central concepts in aesthetics are here the pure aesthetic ones mentioned before, like “graceful,” “elegant,” “exquisite,” “glorious,” and “nice.” But formalist qualities, such as organization, unity, and harmony, as well as variety and complexity, are closely related, as are technical judgments like “well-made,” “skilful,” and “professionally written.” The latter might be separated out as the focus of Craft theories of art, as in the idea of art as “Techne” in ancient Greece, but Formalist theories commonly focus on all of these qualities, and “aesthetes” generally find them all of central concern. Eduard Hanslick was a major late nineteenth century musical formalist; the Russian Formalists in the early years of the revolution, and the French Structuralists later, promoted the same interest in Literature. Clive Bell and Roger Fry, members of the influential Bloomsbury Group in the first decades of the twentieth century, were the most noted early promoters of this aspect of Visual art.

Bell’s famous “Aesthetic Hypothesis” was: “What quality is shared by all objects that provoke our aesthetic emotions? Only one answer seems possible— significant form. In each, lines and colors combined in a particular way; certain forms and relations of forms, stir our aesthetic emotions. These relations and combinations of lines and colors, these aesthetically moving forms, I call ‘Significant Form’; and ‘Significant Form’ is the one quality common to all works of visual art.” Clement Greenberg, in the years of the Abstract Expressionists, from the 1940s to the 1970s, also defended a version of this Formalism.

Abstraction was a major drive in early twentieth century art, but the later decades largely abandoned the idea of any tight definition of art. The “de-definition” of art was formulated in academic philosophy by Morris Weitz, who derived his views from some work of Wittgenstein on the notion of games. Wittgenstein claimed that there is nothing which all games have in common, and so the historical development of them has come about through an analogical process of generation, from paradigmatic examples merely by way of “family resemblances.”

There are, however, ways of providing a kind of definition of art which respects its open texture. The Institutional definition of art, formulated by George Dickie, is in this class: “a work of art is an artefact which has had conferred upon it the status of candidate for appreciation by the artworld.” This leaves the content of art open, since it is left up to museum directors, festival organizers, and so forth, to decide what is presented. Also, as we saw before, Dickie left the notion of “appreciation” open, since he allowed that all aspects of a work of art could be attended to aesthetically. But the notion of “artefact,” too, in this definition is not as restricted as it might seem, since anything brought into an art space as a candidate for appreciation becomes thereby “artefactualized,” according to Dickie— and so he allowed as art what are otherwise called (natural) “Found Objects,” and (previously manufactured) “Readymades.” Less emphasis on power brokers was found in Monroe Beardsley’s slightly earlier aesthetic definition of art: “an artwork is something produced with the intention of giving it the capacity to satisfy the aesthetic interest”— where “production” and “aesthetic” have their normal, restricted content. But this suggests that these two contemporary definitions, like the others, merely reflect the historical way that art developed in the associated period. Certainly traditional objective aesthetic standards, in the earlier twentieth century, have largely given way to free choices in all manner of things by the mandarins of the public art world more recently.

7. Expression

Response theories of art were particularly popular during the Logical Positivist period in philosophy, that is, around the 1920s and 1930s. Science was then contrasted sharply with Poetry, for instance, the former being supposedly concerned with our rational mind, the latter with our irrational emotions. Thus the noted English critic I. A. Richards tested responses to poems scientifically in an attempt to judge their value, and unsurprisingly found no uniformity. Out of this kind of study comes the common idea that “art is all subjective”: if one concentrates on whether people do or do not like a particular work of art then, naturally, there can easily seem to be no reason to it.

We are now more used to thinking that the emotions are rational, partly because we now distinguish the cause of an emotion from its target. If one looks at what emotions are caused by an artwork, not all of these need target the artwork itself, but instead what is merely associated with it. So what the subjective approach centrally overlooks are questions to do with attention, relevance, and understanding. With those as controlling features we get a basis for normalizing the expected audience’s emotions in connection with the artwork, and so move away from purely personal judgments such as “Well, it saddened me” to more universal assessments like “it was sad.”

And with the “it” more focused on the artwork we also start to see the significance of the objective emotional features it metaphorically possesses, which were what Embodiment theorists like Hospers settled on as central. Hospers, following Bouwsma, claimed that the sadness of some music, for instance, concerns not what is evoked in us, nor any feeling experienced by the composer, but simply its physiognomic similarity to humans when sad: “it will be slow not tripping; it will be low not tinkling. People who are sad move more slowly, and when they speak they speak softly and low.” This was also a point of view developed at length by the gestalt psychologist Rudolph Arnheim.

The discriminations do not stop there, however. Guy Sircello, against Hospers, pointed out first that there are two ways emotions may be embodied in artworks: because of their form (which is what Hospers chiefly had in mind), and because of their content. Thus, a picture may be sad not because of its mood or color, but because its subject matter or topic is pathetic or miserable. That point was only a prelude, however, to an even more radical criticism of Embodiment theories by Sircello. For emotion words can also be applied, he said, on account of the “artistic acts” performed by the artists in presenting their attitude to their subject. If we look upon an artwork from this perspective, we are seeing it as a “symptom” in Suzanne Langer’s terms; however, Langer believed one should see it as a “symbol” holding some meaning which can be communicated to others.

Communication theorists all combine the three elements above, namely the audience, the artwork, and the artist, but they come in a variety of stamps. Thus, while Clive Bell and Roger Fry were Formalists, they were also Communication Theorists. They supposed that an artwork transmitted “aesthetic emotion” from the artist to the audience on account of its “significant form.” Leo Tolstoi was also a communication theorist but of almost the opposite sort. What had to be transmitted, for Tolstoi, was expressly what was excluded by Bell and (to a lesser extent) Fry, namely the “emotions of life.” Tolstoi wanted art to serve a moral purpose: helping to bind communities together in their fellowship and common humanity under God. Bell and Fry saw no such social purpose in art, and related to this difference were their opposing views regarding the value of aesthetic properties and pleasure. These were anathema to Tolstoi, who, like Plato, thought they led to waste; but the “exalted” feelings coming from the appreciation of pure form were celebrated by Bell and Fry, since their “metaphysical hypothesis” claimed it put one in touch with “ultimate reality.” Bell said, “What is that which is left when we have stripped a thing of all sensations, of all its significance as a means? What but that which philosophers used to call ‘the thing in itself’ and now call ‘ultimate reality’.”

This debate between moralists and aesthetes continues to this day with, for instance, Noël Carroll supporting a “Moderate Moralism” while Anderson and Dean support “Moderate Autonomism.” Autonomism wants aesthetic value to be isolated from ethical value, whereas Moralism sees them as more intimately related.

Communication theorists generally compare art to a form of Language. Langer was less interested than the above theorists in legislating what may be communicated, and was instead concerned to discriminate different art languages, and the differences between art languages generally and verbal languages. She said, in brief, that art conveyed emotions of various kinds, while verbal language conveyed thoughts, which was a point made by Tolstoy too. But Langer spelled out the matter in far finer detail. Thus, she held that art languages were “presentational” forms of expression, while verbal languages were “discursive”— with Poetry, an art form using verbal language, combining both aspects, of course. Somewhat like Hospers and Bouwsma, Langer said that art forms presented feelings because they were “morphologically similar” to them: an artwork, she held, shared the same form as the feeling it symbolizes. This gave rise to the main differences between presentational and discursive modes of communication: verbal languages had a vocabulary, a syntax, determinate meanings, and the possibility of translation, but none of these were guaranteed for art languages, according to Langer. Art languages revealed “what it is like” to experience something— they created “virtual experiences.”

The detailed ways in which this arises with different art forms Langer explained in her 1953 book Feeling and Form. Scruton followed Langer in several ways, notably by remarking that the experience of each art form is sui generis, that is, “each of its own kind.” He also spelled out the characteristics of a symbol in even more detail. Discussions of questions specific to each art form have been pursued by many other writers; see, for instance, Dickie, Sclafani, and Roblin, and the recent book by Gordon Graham.

8. Representation

Like the concept of Expression, the concept of Representation has been very thoroughly examined since the professionalization of Philosophy in the twentieth century.

Isn’t representation just a matter of copying? If representation could be understood simply in terms of copying, that would require “the innocent eye,” that is, one which did not incorporate any interpretation. E. H. Gombrich was the first to point out that modes of representation are, by contrast, conventional, and therefore have a cultural, socio-historical base. Thus perspective, which one might view as merely mechanical, is only a recent way of representing space, and many photographs distort what we take to be reality— for instance, those from the ground of tall buildings, which seem to make them incline inwards at the top.

Goodman, too, recognized that depiction was conventional; he likened it to denotation, that is, the relation between a word and what it stands for. He also gave a more conclusive argument against copying being the basis of representation. For that would make resemblance a type of representation, whereas if a resembles b, then b resembles a— yet a dog does not represent its picture. In other words, Goodman is saying that resemblance implies a symmetric relationship, but representation does not. As a result, Goodman made the point that representation is not a craft but an art: we create pictures of things, achieving a view of those things by representing them as this or as that. As a result, while one sees the objects depicted, the artist’s thoughts about those objects may also be discerned, as with Sircello’s “artistic arts.” The plain idea that just objects are represented in a picture was behind Richard Wollheim’s account of representational art in the first edition of his book Art and Its Objects (1968). There, the paint in a picture was said to be “seen as” an object. But in the book’s second edition, Wollheim augmented this account to allow for what is also “seen in” the work, which includes such things as the thoughts of the artist.

There are philosophical questions of another kind, however, with respect to the representation of objects, because of the problematic nature of fictions. There are three broad categories of object which might be represented: individuals which exist, like Napoleon; types of thing which exist, like kangaroos; and things which do not exist, like Mr. Pickwick, and unicorns. Goodman’s account of representation easily allowed for the first two categories, since, if depictions are like names, the first two categories of painting compare, respectively, with the relations between the proper name “Napoleon” and the person Napoleon, and the common name “kangaroo” and the various kangaroos. Some philosophers would think that the third category was as easily accommodated, but Goodman, being an Empiricist (and so concerned with the extensional world), was only prepared to countenance existent objects. So for him pictures of fictions did not denote or represent anything; instead, they were just patterns of various sorts. Pictures of unicorns were just shapes, for Goodman, which meant that he saw the description “picture of a unicorn” as unarticulated into parts. What he preferred to call a “unicorn-picture” was merely a design with certain named shapes within it. One needs to allow there are “intensional” objects as well as extensional ones before one can construe “picture of a unicorn’ as parallel to “picture of a kangaroo.” By contrast with Goodman, Scruton is one philosopher more happy with this kind of construal. It is a construal generally more congenial to Idealists, and to Realists of various persuasions, than to Empiricists.

The contrast between Empiricists and other types of philosopher also bears on other central matters to do with fictions. Is a fictional story a lie about this world, or a truth about some other? Only if one believes there are other worlds, in some kind of way, will one be able to see much beyond untruths in stories. A Realist will settle for there being “fictional characters,” often enough, about which we know there are some determinate truths— wasn’t Mr. Pickwick fat? But one difficulty then is knowing things about Mr. Pickwick other than what Dickens tells us— was Mr. Pickwick fond of grapes, for instance? An Idealist will be more prepared to consider fictions as just creatures of our imaginations. This style of analysis has been particularly prominent recently, with Scruton essaying a general theory of the imagination in which statements like “Mr. Pickwick was fat” are entertained in an “unasserted” fashion. One problem with this style of analysis is explaining how we can have emotional relations with, and responses to, fictional entities. We noticed this kind of problem before, in Burke’s description “delightful horror”: how can audiences get pleasure from tragedies and horror stories when, if those same events were encountered in real life, they would surely be anything but pleasurable? On the other hand, unless we believe that fictions are real, how can we, for instance, be moved by the fate of Anna Karenina? Colin Radford, in 1975, wrote a celebrated paper on this matter which concluded that the “paradox of emotional response to fiction” was unsolvable: adult emotional responses to fictions were “brute facts,” but they were still incoherent and irrational, he said. Radford defended this conclusion in a series of further papers in what became an extensive debate. Kendall Walton, in his 1990 book Mimesis and Make-Believe, pursued at length an Idealist’s answer to Radford. At a play, for instance, Walton said the audience enters into a form of pretence with the actors, not believing, but making believe that the portrayed events and emotions are real.

9. Art Objects

What kind of thing is a work of art? Goodman, Wollheim, Wolterstorff, and Margolis have been notable contributors to the contemporary debate.

We must first distinguish the artwork from its notation or “recipe,” and from its various physical realizations. Examples would be: some music, its score, and its performances; a drama, its script, and its performances; an etching, its plate, and its prints; and a photograph, its negative, and its positives. The notations here are “digital” in the first two cases, and “analogue” in the second two, since they involve discrete elements like notes and words in the one case, and continuous elements like lines and color patches in the other. Realizations can also be divided into two broad types, as these same examples illustrate: there are those that arise in time (performance works) and those that arise in space (object works). Realizations are always physical entities. Sometimes there is only one realization, as with architect-designed houses, couturier-designed dresses, and many paintings, and Wollheim concluded that in these cases the artwork is entirely physical, consisting of that one, unique realization. However, a number a copies were commonly made of paintings in the middle ages, and it is theoretically possible to replicate even expensive clothing and houses.

Philosophical questions in this area arise mainly with respect to the ontological status of the idea which gets executed. Wollheim brought in Charles Peirce’s distinction between types and tokens, as an answer to this: the number of different tokens of letters (7), and different types of letter (5), in the string “ABACDEC,” indicates the difference. Realizations are tokens, but ideas are types, that is, categories of objects. There is a normative connection between them as Margolis and Nicholas Wolterstorff have explained, since the execution of ideas is an essentially social enterprise.

That also explains how the need for a notation arises: one which would link not only the idea with its execution, but also the various functionaries. Broadly, there are the creative persons who generate the ideas, which are transmitted by means of a recipe to manufacturers who generate the material objects and performances. “Types are created, particulars are made” it has been said, but the link is through the recipe. Schematically, two main figures are associated with the production of many artworks: the architect and the builder, the couturier and the dressmaker, the composer and the performer, the choreographer and the dancer, the script-writer and the actor, and so forth. But a much fuller list of operatives is usually involved, as is very evident with the production of films, and other similar large entertainments. Sometimes the director of a film is concerned to control all its aspects, when we get the notion of an “auteur” who can be said to be the author of the work, but normally, creativity and craft thread through the whole production process, since even those designated “originators” still work within certain traditions, and no recipe can limit entirely the end product.

The associated philosophical question concerns the nature of any creativity. There is not much mystery about the making of particulars from some recipe, but much more needs to be said about the process of originating some new idea. For creation is not just a matter of getting into an excited mental state— as in a “brainstorming” session, for instance. That is a central part of the “creative process theory,” a form of which is to be found in the work of Collingwood. It was in these terms that Collingwood distinguished the artist from the craftsperson, namely with reference to what the artist was capable of generating just in his or her mind. But the major difficulty with this kind of theory is that any novelty has to be judged externally in terms of the artist’s social place amongst other workers in the field, as Jack Glickman has shown. Certainly, if it is to be an original idea, the artist cannot know beforehand what the outcome of the creative process will be. But others might have had the same idea before, and if the outcome was known already, then the idea thought up was not original in the appropriate sense. Thus the artist will not be credited with ownership in such cases. Creation is not a process, but a public achievement: it is a matter of breaking the tape ahead of others in a certain race.

10. References and Further Reading

  • Arnheim, R.1954, Art and Visual Perception. University of California Press, Berkeley.
    • A study of physiognomic properties from the viewpoint of gestalt psychology.
  • Beardsley, M.C. 1958, Aesthetics, Harcourt Brace, New York.
    • The classic mid-twentieth century text, with a detailed, practical study of the principles of art criticism.
  • Bell, C. 1914, Art, Chatto and Windus, London.
    • Manifesto for Formalism defending both his Aesthetic Hypothesis, and his Metaphysical Hypothesis.
  • Best, D. 1976, Philosophy and Human Movement, Allen and Unwin, London.
    • Applies aesthetic principles to Sport, and assesses its differences from Art.
  • Bourdieu, P. 1984, Distinction, trans. R.Nice, Routledge and Kegan Paul, London.
    • Studies contemporary French taste empirically, with special attention to the place of the “disinterested” class.
  • Carroll, N 1990, The Philosophy of Horror; or, Paradoxes of the Heart, Routledge, London and New York.
    • Investigation into the form and aesthetics of horror film and fiction, including discussion of the paradox of emotional response to fiction and the paradox of “horror-pleasure”.
  • Collingwood, R.G. 1958, The Principles of Art, Oxford University Press, Oxford.
    • Argues for important theses about Creativity, Art versus Craft, and Self-Expression.
  • Cooper, D. E. (ed.) 1995, A Companion to Aesthetics, Blackwell, Oxford.
    • Short notes about many aspects of, and individuals in Art and aesthetic theory.
  • Crawford, D.W. 1974, Kant’s Aesthetic Theory, University of Wisconsin Press, Madison.
    • Commentary on Kant’s third critique.
  • Curtler, H. (ed.) 1983, What is Art? Haven, New York.
    • Collects a number of papers discussing Beardsley’s aesthetics.
  • Danto, A. C. 1981, The Transfiguration of the Commonplace, Harvard University Press, Cambridge MA.
    • Contains Danto’s developed views about the influence of art theory.
  • Davies, S. 1991, Definitions of Art, Cornell University Press, Ithaca.
    • Contains a thorough study of the respective worth of Beardsley’s, and Dickie’s recent definitions of art.
  • Dickie, G. 1974, Art and the Aesthetic: An Institutional Analysis, Cornell University Press, Ithaca.
    • Dickie’s first book on his definition of Art.
  • Dickie, G. 1984, The Art Circle, Haven, New York.
    • Dickie’s later thoughts about his definition of Art.
  • Dickie, G. 1996, The Century of Taste, Oxford University Press, Oxford.
    • Contains a useful discussion of Hutcheson, Hume, and Kant, and some of their contemporaries.
  • Dickie, G., Sclafani, R.R., and Roblin, R. (eds) 1989, Aesthetics a Critical Anthology, 2nd ed. St Martin’s Press, New York.
    • Collection of papers on historic and contemporary Aesthetics, including ones on the individual arts.
  • Eagleton, T. 1990, The Ideology of the Aesthetic, Blackwell, Oxford.
    • A study of Aesthetics from the eighteenth century onwards, from the point of view of a Marxist, with particular attention to German thinkers.
  • Freeland, C. 2001, But Is it Art?, Oxford University Press, Oxford.
    • Discusses why innovation and controversy are valued in the arts, weaving together philosophy and art theory.
  • Gaut, B. and Lopes, D.M. (eds) 2001, The Routledge Companion to Aesthetics, Routledge, London and New York.
    • A series of short articles on most aspects of aesthetics, including discussions of the individual arts.
  • Gombrich, E.H. 1960, Art and Illusion, Pantheon Books, London.
    • Historical survey of techniques of pictorial representation, with philosophical commentary.
  • Goodman, N. 1968, Languages of Art, Bobbs-Merrill, Indianapolis.
    • Discusses the nature of notations, and the possibility of fakes.
  • Graham, G. 1997, Philosophy of the Arts; an Introduction to Aesthetics, Routledge, London.
    • Has separate chapters on Music, Painting and Film, Poetry and Literature, and Architecture.
  • Hanfling, O. (ed.) 1992, Philosophical Aesthetics, Blackwell, Oxford.
    • Summary papers on the core issues in Aesthetics, prepared for the Open University.
  • Hauser, A.1982, The Sociology of Art, Chicago University Press, Chicago.
    • Major historical study of Art’s place in society over the ages.
  • Hjort, M. and Laver, S. (eds) 1997, Emotion and the Arts, Oxford University Press, Oxford.
    • Papers on various aspects of art and emotion.
  • Hospers (ed) 1969, Introductory Readings in Aesthetics, Macmillan, New York.
    • Collection of major papers, including Stolnitz and Dickie on aesthetic attitudes, Hospers on Expression, and Bell, Fry, Langer and Beardsley about their various theories.
  • Hospers, J. (ed.) 1971, Artistic Expression, Appleton-Century-Crofts, New York.
    • Large collection of historical readings on Expression.
  • Kant, I. 1964, The Critique of Judgement, trans. J.C.Meredith, Oxford University Press, Oxford.
    • The original text of Kant’s third critique.
  • Iseminger, G. (ed.) 1992, Intention and Interpretation, Temple University Press, Philadelphia.
    • Contains papers by Hirsch, and Knapp and Michaels, amongst others, updating the debate over Intention.
  • Kelly, M. (ed.) 1998, Encyclopedia of Aesthetics, Oxford University Press, Oxford.
    • Four volumes not just on Philosophical Aesthetics, but also on historical, sociological, and biographical aspects of Art and Aesthetics worldwide.
  • Langer, S. 1953, Feeling and Form, Routledge and Kegan Paul, London.
    • Detailed study of the various art forms, and their different modes of expression.
  • Langer, S. 1957, Problems in Art, Routledge and Kegan Paul, London.
  • Langer, S. 1957, Philosophy in a New Key, Harvard University Press, Cambridge, MA.
    • Langer’s more theoretical writings.
  • Levinson, J. (ed.) 1998, Aesthetics and Ethics, Cambridge University Press, Cambridge.
    • Contains papers by Carroll, and Anderson and Dean, amongst others, updating the debate over aestheticism.
  • Manns, J.W. 1998, Aesthetics, M.E.Sharpe, Armonk.
    • Recent monograph covering the main topics in the subject.
  • Margolis, J. (ed.) 1987, Philosophy Looks at the Arts, 3rd ed., Temple University Press, Philadelphia.
    • Central papers in recent Aesthetics, including many of the core readings discussed in the text.
  • Mothersill, M. 1984, Beauty Restored, Clarendon, Oxford.
    • Argues for a form of Aesthetic Realism, against Sibley, and with a discussion of Hume and Kant.
  • Richards, I. A. 1970, Poetries and Sciences, Routledge and Kegan Paul, London.
    • Defends a subjectivist view of Art.
  • Scruton, R.1974, Art and Imagination, Methuen, London.
    • A sophisticated and very detailed theory of most of the major concepts in Aesthetics.
  • Sheppard, A. D. R. 1987, Aesthetics: an Introduction to the Philosophy of Art, Oxford University Press, Oxford.
    • An introductory monograph on the whole subject.
  • Taylor, R. 1981, Beyond Art, Harvester, Brighton.
    • Defends the right of different classes to their own tastes.
  • Tolstoi, L. 1960, What is Art? Bobbs-Merrill, Indianapolis.
    • Tolstoi’s theory of Art and Aesthetics.
  • Walton, K.L. 1990, Mimesis as Make Believe, Harvard University Press, Cambridge MA.
    • A thorough view of many arts, motivated by the debate over emotional responses to fictions.
  • Wolff, J. 1993, Aesthetics and the Sociology of Art, 2nd ed., University of Michigan Press, Ann Arbor.
    • On the debate between objective aesthetic value, and sociological relativism.
  • Wollheim, R. 1980, Art and its Objects, 2nd ed. Cambridge University Press, Cambridge.
    • A philosophical study of the nature of art objects.
  • Wolterstorff, N. 1980, Works and Worlds of Art, Clarendon, Oxford.
    • A very comprehensive study.

Author Information

Barry Hartley Slater
Email: slaterbh@cyllene.uwa.edu.au
University of Western Australia
Australia

Punishment

Punishment involves the deliberate infliction of suffering on a supposed or actual offender for an offense such as a moral or legal transgression. Since punishment involves inflicting a pain or deprivation similar to that which the perpetrator of a crime inflicts on his victim, it has generally been agreed that punishment requires moral as well as legal and political justification. While philosophers almost all agree that punishment is at least sometimes justifiable, they offer various accounts of how it is to be justified as well as what the infliction of punishment is designed to protect – rights, personal autonomy and private property, a political constitution, or the democratic process, for instance. Utilitarians attempt to justify punishment in terms of the balance of good over evil produced and thus focus our attention on extrinsic or consequentialist considerations. Retributivists attempt a justification that links punishment to moral wrongdoing, generally justifying the practice on the grounds that it gives to wrongdoers what they deserve; their focus is thus on the intrinsic wrongness of crime that thereby merits punishment. “Compromise” theorists attempt to combine these two types of theories in a way that retains their perceived strengths while overcoming their perceived weaknesses. After discussing the various attempts at justification, utilitarian and retributive approaches to determining the amount of punishment will be examined. Finally, the controversial issue of capital punishment will be briefly discussed.

Table of Contents

  1. Utilitarianism
    1. Utilitarian Justification
    2. Objection and Response
  2. Retributivism
    1. Retributive Justification
    2. Objection and Response
  3. Compromise Theories
    1. Hart’s Theory
    2. Objection and Response
  4. Amount of Punishment
    1. Utilitarians on Amount
    2. Retributivists on Amount
  5. Capital Punishment
  6. Conclusion
  7. References and Further Reading

1. Utilitarianism

a. Utilitarian Justification

Utilitarianism is the moral theory that holds that the rightness or wrongness of an action is determined by the balance of good over evil that is produced by that action. Philosophers have argued over exactly how the resulting good and evil may be identified and to whom the greatest good should belong. Jeremy Bentham identified good with pleasure and evil with pain and held that the greatest pleasure should belong to the greatest number of people. John Stuart Mill, perhaps the most notable utilitarian, identified good with happiness and evil with unhappiness and also held that the greatest happiness should belong to the greatest number. This is how utilitarianism is most often discussed in the literature, so we will follow Mill in our discussion.

When attempting to determine whether a punishment is justifiable, utilitarians will attempt to anticipate the likely consequences of carrying out the punishment. If punishing an offender would most likely produce the greatest balance of happiness over unhappiness compared with the other available options (not taking any action, publicly denouncing the offender, etc.), then the punishment is justified. If another available option would produce a greater balance of happiness over unhappiness, then that option should be chosen and punishment is unjustified.

Clearly, crimes tend to produce unhappiness, so in seeking to promote a state of affairs in which the balance of happiness over unhappiness is maximized, a utilitarian will be highly concerned with reducing crime. Traditionally, utilitarians have focused on three ways in which punishment can reduce crime. First, the threat of punishment can deter potential offenders. If an individual is tempted to commit a certain crime, but he knows that it is against the law and a punishment is attached to a conviction for breaking that law, then, generally speaking, that potential offender will be less likely to commit the crime. Second, punishment can incapacitate offenders. If an offender is confined for a certain period of time, then that offender will be less able to harm others during that period of time. Third, punishment can rehabilitate offenders. Rehabilitation involves making strides to improve an offender’s character so that he will be less likely to re-offend.

Although utilitarians have traditionally focused on these three ways in which punishment can reduce crime, there are other ways in which a punishment can affect the balance of happiness over unhappiness. For example, whether or not a given offender is punished will affect how the society views the governmental institution that is charged with responding to violations of the law. The degree to which they believe this institution is functioning justly will clearly affect their happiness. Utilitarians are committed to taking into account every consequence of a given punishment insofar as it affects the balance of happiness over unhappiness.

b. Objection and Response

Perhaps the most common objection to the utilitarian justification of punishment is that its proponent is committed to punishing individuals in situations in which punishment would clearly be morally wrong. H.J. McCloskey offers the following example:

Suppose a utilitarian were visiting an area in which there was racial strife, and that, during his visit, a Negro rapes a white woman, and that race riots occur as a result of the crime, white mobs, with the connivance of the police, bashing and killing Negroes, etc. Suppose too that our utilitarian is in the area of the crime when it is committed such that his testimony would bring about the conviction of a particular Negro. If he knows that a quick arrest will stop the riots and lynchings, surely, as a utilitarian, he must conclude that he has a duty to bear false witness in order to bring about the punishment of an innocent person (127).

A utilitarian is committed to endorsing the act that would be most likely to produce the greatest balance of happiness over unhappiness, and, in this situation, it appears that the act that meets this criterion is bearing false witness against an innocent person. But, so the argument goes, it cannot be morally permissible, let alone morally mandatory, to perform an act that leads directly to the punishment of an innocent person. Therefore, since the utilitarian is committed to performing this clearly wrong act, the utilitarian justification must be incorrect.

The standard utilitarian response to this argument demands that we look more closely at the example. Once we do this, it supposedly becomes clear that the utilitarian is not committed to performing this clearly wrong act. In his reply to McCloskey’s argument, T.L.S. Sprigge states that if faced with the decision presented in the example, a “sensible utilitarian” will attach a great deal of weight to the near-certain fact that framing an innocent man would produce a great deal of misery for that man and his family. This consideration would receive such weight because “the prediction of misery… rests on well confirmed generalizations” (72). Furthermore, the sensible utilitarian will not attach much weight to the possibility that framing the man would stop the riots. This is because this prediction “will be based on a hunch about the character of the riots” (72). Since well confirmed generalizations are more reliable than hunches, happiness is most likely to be maximized when individuals give the vast majority of the weight to such well confirmed generalizations when making moral decisions. Therefore, since the relevant well confirmed generalization tells us that at least a few people (the innocent man and his family) would be made miserable by the false testimony, the utilitarian would give much weight to this consideration and choose not to bear false witness against an innocent man.

This type of response can in turn be challenged in various ways, but perhaps the best way to challenge it is to point out that even if it is true that the greatest balance of good over evil would not be promoted by punishing an innocent person in this situation, that is not the reason why punishing an innocent person would be wrong. It would be wrong because it would be unjust. The innocent man did not rape the woman, so he does not deserve to be punished for that crime. Because utilitarianism focuses solely on the balance of happiness over unhappiness that is produced by various actions, it is unable to take into account important factors such as justice and desert. If justice and desert cannot be incorporated into the theory, then the punishment of innocents cannot be ruled out as unjust, so a prohibition against it will have to be dependent upon the likelihood of various consequences. This strikes many theorists as problematic.

2. Retributivism

a. Retributive Justification

Regarding retributive theories, C.L. Ten states that, “There is no complete agreement about what sorts of theories are retributive except that all such theories try to establish an essential link between punishment and moral wrongdoing” (38). He is surely right about this, so, therefore, it is difficult to give a general account of retributive justification. However, it is possible to state certain features that characterize retributive theories generally. Concepts of desert and justice occupy a central place in most retributive theories: in accordance with the demands of justice, wrongdoers are thought to deserve to suffer, so punishment is justified on the grounds that it gives to wrongdoers what they deserve. It is instructive to look at the form that a particular retributive theory can take, so we will examine the views of Immanuel Kant.

Kant invokes what he refers to as the “principle of equality” in his discussion of punishment. If this principle is obeyed, then “the pointer of the scale of justice is made to incline no more to the one side than the other” (104). If a wrongful act is committed, then the person who has committed it has upset the balance of the scale of justice. He has inflicted suffering on another, and therefore rendered himself deserving of suffering. So in order to balance the scale of justice, it is necessary to inflict the deserved suffering on him. But it is not permissible to just inflict any type of suffering. Kant states that the act that the person has performed “is to be regarded as perpetrated on himself” (104). This he refers to as the “principle of retaliation”. Perhaps the most straightforward application of this principle demands that murderers receive the penalty of death. So, for Kant, the justification of punishment is derived from the principle of retaliation, which is grounded in the principle of equality.

The concepts of desert and justice play a central role in Kant’s theory, and they are applied in a way that rules out the possibility of justifying the punishment of innocents. Since an innocent person does not deserve to be punished, a Kantian is not committed to punishing an innocent person, and since it seems to some that utilitarians are committed to punishing innocents (or participating in the punishment of innocents) in certain circumstances, Kant’s theory may seem to be superior in this respect. Recall that the failure to take desert and justice into consideration is thought by many to be a major problem with utilitarian theory. However, while Kantian theory may seem superior because it takes desert and justice into account, an influential criticism of the theory challenges the idea that punishment can be justified on the grounds of justice and desert without requiring that the balance of happiness over unhappiness be taken into account.

b. Objection and Response

Gertrude Ezorsky argues that we should test the Kantian position and other retributive positions that resemble it “by imagining a world in which punishing criminals has no further effects worth achieving” (xviii). In this world, punishment does not deter or rehabilitate. For whatever reason, incapacitation is impossible. In addition, victims receive no satisfaction from the punishment of those who have harmed them. In this world, a Kantian would be committed to the position that punishments still ought to be inflicted upon wrongdoers. Furthermore, the individuals that populated this world would be morally obligated to punish wrongdoers. If they failed to punish wrongdoers, they would be failing to abide by the dictates of justice. But surely it is quite odd to hold that these individuals would be morally obligated to punish when doing so would not produce any positive effects for anyone. According to Ezorsky, this terribly odd consequence suggests that the Kantian theory is problematic.

Kant would not agree that this consequence of his theory is odd. According to Kant, “if justice and righteousness perish, human life would no longer have any value in the world” (104). So, even the inhabitants of our imaginary world are obliged to ensure that “every one may realize the desert of his deeds” (106). If they do not live up to this obligation, then they will be failing to abide by the dictates of justice, and their lives will be of lesser value. Of course, critics of the Kantian theory are unlikely to be persuaded by this response. Indeed, it is appropriate to be highly skeptical of a conception of justice that holds that justice can be promoted without anyone’s welfare being promoted.

As stated earlier, many of the theories that are referred to as “retributive” vary significantly from one another. However, as the Kantian theory possesses many central features that other retributive theories possess, criticisms similar to Ezorsky’s have been leveled against many of them. Predictably, the responses to these criticisms vary depending on the particular theory.

3. Compromise Theories

Many theorists have attempted to take features of utilitarianism and retributivism and combine them into a theory that retains the strengths of both while overcoming their weaknesses. The impetus for attempting to develop this sort of theory is clear: the idea that punishment should promote good consequences, such as the reduction of crime, surely seems attractive. However, the idea that it would be justified to punish an innocent in any circumstance where such punishment would be likely to promote the greatest balance of happiness over unhappiness surely seems wrong. Likewise, the idea that justice and the desert of the offender should play a central role in a justification of punishment is attractive, while being committed to punishing an offender even when nobody’s welfare would be promoted as a result seems to be problematic. So, each type of theory seems to have positive and negative aspects. But how to combine these seemingly opposed theories and produce a better one? Is a compromise between them really possible? In an attempt to explore this possibility, we will examine the theory of H.L.A. Hart.

a. Hart’s Theory

According to Hart, in order to clarify our thinking on the subject of punishment,

What is needed is the realization that different principles… are relevant at different points in any morally acceptable account of punishment. What we should look for are answers to a number of different questions such as: What justifies the general practice of punishment? To whom may punishment be applied? (3)

The failure to separate these questions from one another and consider that they might be answered by appealing to different principles has prevented many previous theorists from generating an acceptable account of punishment. Hart states that the first question (“What justifies the general practice of punishment?”) is a question of “General Justifying Aim” and ought to be answered by citing utilitarian concerns. The second (“To whom may punishment be applied?”) is a question of “Distribution” and ought to be answered by citing retributive concerns. So, the general practice is to be justified by citing the social consequences of punishment, the main social consequence being the reduction of crime, but we ought not be permitted to punish whenever inflicting a punishment is likely to reduce crime. In other words, we may not apply punishment indiscriminately. We may only punish “an offender for an offense” (9). With few exceptions, the individual upon whom punishment is inflicted must have committed an offense, and the punishment must be attached to that offense.

Hart’s theory attempts to avoid what may have appeared to be an impasse blocking the construction of an acceptable theory of punishment. Utilitarian concerns play a major role in his theory: the practice of punishment must promote the reduction of crime, or else it is not justifiable. But retributive concerns also play a major role: the range of acceptable practices that can be engaged in by those concerned with reducing crime is to be constrained by a retributive principle allowing only the punishment of an offender for an offense. Hart’s theory, at the very least, represents a plausible attempt at a “compromise” between those inclined towards utilitarianism and those inclined towards retributivism.

Hart does admit that on certain occasions the principle stating that we may only punish an offender for an offense (referred to as the principle of “retribution in Distribution”) may be overridden by utilitarian concerns. When the utilitarian case for punishing an innocent person is particularly compelling, it may be good for us to do so, but “we should do so with the sense of sacrificing an important principle” (12). Many people will agree with Hart that it may be necessary to punish an innocent person in extreme cases, and it is thought to be an advantage of his theory that it captures the sense that, in these cases, an important principle is being overridden.

b. Objection and Response

This overriding process, however, cannot work in the opposite direction. In Hart’s theory, some social good must be promoted or some social evil must be reduced in order for punishment to be justified. Because of this, it is unjustifiable to punish a person who seems to deserve punishment unless some utilitarian aim is being furthered. Imagine the most despicable character you can think of, a mass-murderer perhaps. The justifiability of punishing a person guilty of such crimes is beholden to the social consequences of the punishment. That a depraved character would suffer for his wrongdoing is not enough. So, for Hart, considerations of desert cannot override utilitarian considerations in this way. Some theorists find this consequence of his theory unacceptable. Ten argues that, “it would be unfair to punish an offender for a lesser offense and yet not punish another offender for a more serious offense” (80). If we are behaving in accordance with Hart’s theory, we may, on occasion, have to avoid punishing serious offenders while continuing to punish less serious offenders for utilitarian reasons. Since doing so would be unfair, it seems that Hart’s theory may be seriously flawed.

In order to assess Ten’s criticism, it is important to ask the following question: If we were to avoid punishing the more serious offender, to whom would we be being unfair? In an effort to answer this question, we must consider whether the offender who has committed the lesser crime has grounds for complaint if the more serious offender is not punished. By stipulation, the lesser offender committed the crime and cannot thereby claim a violation of justice on those grounds. Is the justification of his punishment contingent upon the punishment of others? Arguably not: The punishment of the lesser offender is justified regardless of whoever else is punished. He may bemoan his bad luck and wish that his punishment were not likely to further any utilitarian aims so that he may avoid it, but he cannot rightly accuse society of a violation of justice for failing to punish others when he does in fact deserve the punishment that is being inflicted upon him. The attractiveness of Ten’s argument is derived from the fact that its conclusion fits with our intuitions regarding the idea that some people just deserve to suffer no matter what. Perhaps we ought to reexamine that intuition and consider that it may be rooted in an urge to revenge, not a concern for justice.

4. Amount of Punishment

The belief that, in most cases, the amount of punishment should vary directly with the seriousness of the offense is widely accepted. However, utilitarians and retributivists have different ways of arriving at this general conclusion.

a. Utilitarians on Amount

Bentham, a utilitarian, states that, “The greater the mischief of the offence, the greater is the expense, which it may be worth while to be at, in the way of punishment” (181). Crime and punishment both tend to cause unhappiness. Recall that utilitarianism is solely concerned with the balance of happiness over unhappiness produced by an action. When attempting to determine the amount of punishment that ought to be permitted for a given offense, it is necessary to weigh the unhappiness that would be caused by the offense against the unhappiness caused by various punishments. The greater the unhappiness caused by a given offense, the greater the amount of punishment that may be inflicted for that offense in order to reduce its occurrence before the unhappiness caused by the punishment outweighs the unhappiness caused by the offense (Ten, 143).

So, utilitarians would often be committed to abiding by the rule that the amount of punishment should vary directly with the seriousness of the offense. However, it seems that there are cases in which they would be committed to violating this rule. Critics argue that utilitarians would sometimes be committed to inflicting a severe punishment for a relatively minor offense. Ten asks us to imagine a society in which there are many petty thefts and thieves are very difficult to catch. Since there are many thefts, the total amount of unhappiness caused by them is great. Imagine that one thief is caught and the authorities are deciding how severely to punish him. If these authorities were utilitarians, they would be committed to giving him a very severe sentence, 10 years perhaps, if this were the only way to deter a significant number of petty thieves. But surely making an example of the one thief who was unlucky or unskilled enough to be caught is unjust. Since utilitarians are sometimes committed to inflicting such harsh punishments for relatively minor offenses, their approach must be inadequate (143-144).

b. Retributivists on Amount

Retributivists argue that more serious offenses should be punished more severely because offenders who commit more serious crimes deserve harsher punishment than those who commit less serious crimes. Given our previous discussion of retributivism, it should not come as a surprise that the concept of desert plays a central role here. According to many classic versions of retributivism, including Kant’s, the deserved punishment is determined by invoking the lex talionis. The old adage, “An eye for an eye, a tooth for a tooth,” is derived from the lex talionis, which “requires imposing a harm on a criminal identical to the one he imposed on his victim” (Shafer-Landau, 773). Those who argue that murderers ought to be put to death have often invoked this principle, but it is rarely invoked when attempting to determine the proper punishment for other crimes. Its lack of popularity can be explained by noting a couple of objections. First, it is difficult to apply to many offenses, and it seems to be outright inapplicable to some. How should we punish the counterfeiter, the hijacker, or the childless kidnapper? Applying the lex talionis to these crimes is, at the very least, problematic. Second, there are many cases in which it would require that we punish offenders by performing actions that ought not to be carried out by any government (773). Surely we should not rape rapists! For these and other reasons, except when the topic at hand is capital punishment, appeals to the lex talionis in the contemporary literature are rare.

Many contemporary retributivists hold that the principle of proportionality should be used in order to determine the amount of punishment to be meted out in particular cases. This principle states that, “the amount of punishment should be proportionate to the moral seriousness or moral gravity of offenses…” (Ten, 154). Different versions of the proportionality principle call for different ways of establishing how severe a punishment must be in order to meet the demands set by the principle. Must it merely be the case that there be a direct relationship between the amount of punishment and the seriousness of the offense, or must offenders suffer the same amount as their victim(s) in order for the demands of the principle to be met? Retributivists are not in complete agreement on how to answer this question.

While retributivists seem to have an easier time ensuring that there be a direct relationship between the amount of punishment and the seriousness of the offense, their position is subject to criticism. Because they are committed to inflicting the deserved punishment, they must do so even when a lesser punishment would produce the same social effects. Clearly, this criticism runs parallel to the objection to retributivism discussed in section 2: if the retributivist is committed to inflicting the deserved punishment regardless of the social effects, then it seems that he is committed to inflicting gratuitous pain on an offender. Of course, some resist the idea that inflicting suffering in such a case would be gratuitous, which is why this debate continues. In any case, the perceived shortcomings of both the utilitarian and retributive approaches have led theorists to attempt to develop approaches that combine elements of both. For reasons similar to those cited in support of the aforementioned “compromise” theories, it seems that these approaches are the most promising.

5. Capital Punishment

Capital punishment involves the deliberate killing of a supposed or actual offender for an offense. Throughout history and across different societies, criminals have been executed for a variety of offenses, but much of the literature is devoted to examining whether those convicted of murder ought to be executed, and this discussion will be similarly focused.

A combination of utilitarian and retributive considerations are usually invoked in an effort to justify the execution of murderers. The centerpiece of most arguments in favor of capital punishment is retributive: Murderers deserve to be put to death. This is usually argued for along Kantian lines: By deliberately causing an innocent person’s death, the murderer has rendered himself deserving of death. Utilitarian considerations generally play a large role as well. Proponents argue that the threat of capital punishment can deter potential murderers. Since many human beings’ greatest fear is death, the intuitive plausibility of this claim is clear. In addition, proponents point to the fact that capital punishment is the ultimate incapacitation. Clearly, if a murderer is dead, then he can never harm anyone again.

Opponents of capital punishment challenge proponents on each of these points. Albert Camus denies that murder and capital punishment are equivalent to one another:

But what is capital punishment if not the most premeditated of murders, to which no criminal act, no matter how calculated, can be compared? If there were to be a real equivalence, the death penalty would have to be pronounced upon a criminal who had forewarned his victim of the very moment he would put him to a horrible death, and who, from that time on, had kept him confined at his own discretion for a period of months. It is not in private life that one meets such monsters (25).

This argument and others that resemble it are often put forth in an attempt to counter the retributive argument. Also, any criminal justice system that executes convicted criminals runs the risk of executing some individuals who do not deserve to be executed: the wrongfully convicted. Some argue that a fallible criminal justice system ought not to impose a penalty that removes the possibility of mistakes being rectified. The utilitarian arguments have also come under attack. Some argue that the proponents of capital punishment have overstated its deterrent value, and it has been argued that it may even incite some people to commit murder (Bedau, 198-200). Regarding incapacitation, it has been argued that the danger involved in failing to execute murderers has been similarly overstated (196-198).

6. Conclusion

These issues introducing punishment have received a great deal of attention in the professional literature, and many philosophers continue to discuss them and offer various answers to the questions that are raised. However, the issues raised here are not the only ones. There are many, including the role of excuses and mitigating circumstances, the usage of insanity as a defense, the imprisonment of offenders, and the cultural and historical context of punishment.

7. References and Further Reading

  • Beccaria, Cesare. On Crimes and Punishments. Trans. David Young. Indianapolis: Hackett Publishing Company, 1986.
  • Bedau, Hugo Adam. “Capital Punishment.” In Matters of Life and Death: New Introductory Essays in Moral Philosophy. Ed. Tom Regan. New York: Random House, 1986. 175-212.
  • Bedau, Hugo Adam, and Paul Cassell, eds. Debating the Death Penalty: Should America Have Capital Punishment? The Experts on Both Sides Make Their Best Case. New York: Oxford University Press, 2004.
  • Bentham, Jeremy. The Principles of Morals and Legislation. New York: Hafner Publishing Company, 1948.
  • Camus, Albert. Reflections on the Guillotine. Trans. Richard Howard. Michigan City, IN: Fridtjof-Karla Publications, 1959.
  • Duff, R.A. “Penal Communications: Recent Work in the Philosophy of Punishment.” Crime and Justice 20 (1996): 1-97.
  • Duff, R.A., and David Garland, eds. A Reader on Punishment. New York: Oxford University Press, 1994.
  • Ezorsky, Gertrude. “The Ethics of Punishment.” In Philosophical Perspectives on Punishment. Ed. Gertrude Ezorsky. Albany: State University of New York Press, 1972. xi-xxvii.
  • Foucault, Michel. Discipline and Punish: The Birth of the Prison. Trans. Alan Sheridan. New York: Random House, 1977.
  • Hart, H.L.A. “Prolegomenon to the Principles of Punishment.” In Punishment and Responsibility: Essays in the Philosophy of Law. New York: Oxford University Press, 1968. 1-27.
  • Kant, Immanuel. “Justice and Punishment.” Trans. W. Hastie. In Philosophical Perspectives on Punishment. Ed. Gertrude Ezorsky. Albany: State University of New York Press, 1972. 102-106.
  • McCloskey, H.J. “A Non-Utilitarian Approach to Punishment.” In Philosophical Perspectives on Punishment. Ed. Gertrude Ezorsky. Albany: State University of New York Press, 1972. 119-134.
  • Mill, John Stuart. Utilitarianism. Indianapolis: Hackett Publishing Company, 1979. Shafer-Landau, Russ. “The Failure of Retributivism.” In Philosophy of Law. Ed. Joel Feinberg and Jules Coleman. Belmont, CA: Wadsworth/Thompson Learning, 2000. 769-779.
  • Sprigge, T.L.S. “A Utilitarian Reply to Dr. McCloskey.” In Philosophical Perspectives on Punishment. Ed. Gertrude Ezorsky. Albany: State University of New York Press, 1972. 66-79.
  • Ten, C.L. Crime, Guilt, and Punishment. Oxford: Clarendon Press, 1987.

Author Information

Kevin Murtagh
Email: KevinJMurtagh@aol.com
John Jay College of Criminal Justice
U. S. A.

Comparative Philosophy

Comparative philosophy—sometimes called “cross-cultural philosophy”—is a subfield of philosophy in which philosophers work on problems by intentionally setting into dialogue various sources from across cultural, linguistic, and philosophical streams. The ambition and challenge of comparative philosophy is to include all the philosophies of global humanity in its vision of what is constituted by philosophy.

This approach distinguishes comparative philosophy from several other approaches to philosophy. First, comparative philosophy is distinct from both area studies philosophy (in which philosophers investigate topics in particular cultural traditions, for example, Confucianism) and world philosophy (in which philosophers construct a philosophical system based on the fullness of global traditions of thought). Second, comparative philosophy differs from more traditional philosophy in which ideas are compared among thinkers within a particular tradition; comparative philosophy intentionally compares the ideas of thinkers of very different traditions, especially culturally distinct traditions.

With the unique approach of comparative philosophy also comes unique difficulties and challenges that are not as characteristic of doing philosophy within a particular tradition. Difficulties to be avoided include descriptive chauvinism (recreating another tradition in the image of one’s own), normative skepticism (merely narrating or describing the views of different philosophers and traditions, suspending all judgment about their adequacy), incommensurability (the inability to find the common ground among traditions needed as a basis for comparison), and perennialism (failure to realize that philosophical traditions evolve, that they are not perennial in the sense of being monolithic or static). Furthermore, since comparative philosophy involves an approach that is not dominant in academic philosophy, it has been somewhat neglected by the mainstream of the profession. However, comparative philosophy is fairly early in its developmental stages.

Table of Contents

  1. What is Comparative Philosophy?
  2. Historical Development of Comparative Philosophy
  3. Some Difficulties Facing the Comparative Philosopher
    1. Chauvinism
    2. Skepticism
    3. Incommensurability
    4. Perennialism
  4. Prospects for Comparative Philosophy
  5. References and Further Reading
    1. Comparative Philosophy – General
    2. Comparative Philosophy – Chinese-Western
    3. Comparative Philosophy – Indian-Western
    4. Comparative Philosophy – Japanese-Western
    5. Comparative Philosophy – Other

1. What is Comparative Philosophy?

Comparative philosophy—sometimes called cross-cultural philosophy—is a subfield of philosophy in which philosophers work on problems by intentionally setting into dialogue sources from across cultural, linguistic, and philosophical streams. Comparative philosophers most frequently engage topics in dialogue between modern Western (for example, American and Continental European) and Classical Asian (for example, Chinese, Indian, or Japanese) traditions, but work has been done using materials and approaches from Islamic and African philosophical traditions as well as from classical Western traditions (for example, Judaism, Christianity, Platonism).

It is important to distinguish comparative philosophy from both area studies philosophy and world philosophy. Unlike comparative philosophy, in area studies philosophy, the focus is on a single region. Chinese philosophy, Indian philosophy, and African philosophy are examples of area studies philosophy fields, in which the work done need not be comparative. Area studies philosophers do not necessarily compare the texts and thinkers with which they work with any ideas outside of the circumscribed area. For example, Chinese philosophers may study Confucius, various forms of Confucianism, criticisms of Confucianism in Chinese Daoism and Buddhism, and even Confucianism in the contemporary world, but they need not make any attempt to compare Confucian thought with philosophical texts and thinkers from other cultures. (For this reason, the bibliography to the present entry does not have categories that fit area studies philosophy rather than comparative philosophy.)

World philosophy, like area studies philosophy, should be distinguished from comparative philosophy. World philosophy may be thought of as an effort at constructive philosophy that takes into account the great variety of philosophical writings and traditions across human cultures and endeavors to weave them into a coherent world view. As such, it is an extension of comparative philosophy, because comparison is fundamental to the constructivist task. But comparative philosophy need not become world philosophy. The comparative philosopher may be working on isolated topics, or with two or more philosophers, just for the sake of gaining clarity on some specific issue. Likewise, those wanting to construct a world philosophy often find a place for the thought of other traditions in the system they construct, but it is fair to wonder whether they really allow the voice of the other to express itself in its strongest form.

2. Historical Development of Comparative Philosophy

Comparative philosophy as cross-cultural philosophy is a relative newcomer to the field of philosophy. It has its antecedents in the Western awareness of different traditions, especially Asian ones, in the eighteenth century. Much of the work done during this period and just afterward does not conform to the definition of comparative philosophy outlined above. As Jonathan Spence (1998) has pointed out, the earliest treatments of China by Western philosophers, such as that of Hegel, really cannot properly be called comparative philosophy because they lack any serious engagement from the Chinese side.

The story is quite different in Asia, where cultural traditions mingled and clashed with considerably more frequency than in the relatively provincial West. For instance, the spread of Buddhism into China from India and central Asia beginning in the first few centuries CE sparked a long tradition of philosophical reaction to its “foreign” ideas from Confucian and Daoist intellectuals—much of it hostile, some of it appreciative and appropriating, but all of it at least implicitly comparative. The story of Chinese Buddhism over the next two millennia is very much the story of the dialogue between and among foreign and indigenous traditions, as is the story of Confucianism and Daoism during the same period. Similar patterns of dialogue between indigenous traditions and Buddhism are found in Korea, Japan, Sri Lanka, Thailand and Vietnam; parallel patterns may be identified among other players in India. It is, perhaps, because of this long familiarity with cross-cultural dialogue and the willingness to take one’s partners seriously that many of the earliest works comparing Eastern and Western philosophies that are still important came not from Westerners but from non-Westerners responding to Western ideas. Sri Aurobindo (1872-1950) and Sarvepalli Radhakrishnan (1888-1975) were perhaps the most prominent and influential voices responding from India in the early part of the last century, presenting Indian philosophical ideas and comparing, contrasting, and even fusing Eastern and Western philosophy and religion. In Japan, Nishida Kitaro’s An Inquiry into the Good (1911) initiated a creative, critical appropriation of Western philosophy and religion from a perspective anchored in Mahayana Buddhism that continues today in the work of members of the Kyoto School, most notably Keiji Nishitani and Masao Abe.

Partially as a result of the emergence of comparative studies in nineteenth-century Anglo-European intellectual history, the University of Hawaii sponsored the first in a sequence of East-West Philosophers’ Conferences in 1939. Since that time comparative philosophy, area studies philosophy, and world philosophy have continued to grow and cross fertilize each other. Nevertheless, comparative philosophy as a field is only now becoming fully self-conscious, methodologically and substantively, about its role and function in the larger enterprises of philosophy and area studies.

Mainstream Western philosophy has been slow to accept comparative philosophy. Philosophy departments rarely create space for it in their curricula, and comparative philosophers often find it difficult to publish their work in mainline journals. In November of 1996, comparative philosopher Bryan Van Norden wrote an “Open Letter to the APA.” Van Norden complained directly that philosophers writing on comparative subjects were being segregated out of the mainstream philosophical journals. Although Van Norden does not make it entirely clear in his letter, his complaint seems to be directed toward two ways in which scholars of comparative philosophy have been disenfranchised from mainstream journals in the past.

One way in which this has happened is that these scholars must go to area studies journals, such as those dealing with China, India, Asia, the Middle East, or Islam. Another way in which this has happened was that their comparative work was subsumed under area studies philosophy journals such as the Journal of Chinese Philosophy, African Philosophy, Journal of Indian Philosophy, Journal of Jewish Thought and Philosophy, Philosophy in Japan, or Asian Philosophy. The distinctively comparative journals still remain small in number: Philosophy East and West and Dao: A Journal in Comparative Philosophy (which has a restricted area of comparison).

Nevertheless, the Society of Asian and Comparative Philosophy now convenes its own sections in the annual meetings of the American Philosophical, the American Academy of Religion, and the Association of Asian Studies. The Association of Asian Studies also has published a monograph series featuring works in any area of Asian philosophy (or in any other field of philosophy examined from a comparative perspective) since 1974. Some presses, such as the State University of New York Press and Lexington Books also have specific book series devoted to topics in comparative philosophy. Examples of work in these series include Varieties of Ethical Reflection: New Directions for Ethics in a Global Context, edited by Michael Barnhart (2003) and Self as Person in Asian Thought, edited by Roger Ames, Wilmal Dissanayake, and Thomas Kasulis (1994).

Until very recently, most introductory philosophy courses focused exclusively on the Western tradition, indeed mainly on the Anglo-European classics and thinkers. But now there is a much wider variety of work available for introducing students to philosophy that is either explicitly comparative in itself, or that at least makes possible comparative philosophical work. (Some of these works are listed in the bibliography below.)

3. Some Difficulties Facing the Comparative Philosopher

a. Chauvinism

Martha Nussbaum (1997) warns against several kinds of vices that infect comparative analysis and some of the activities she cautions against may represent the kinds of methodological procedures or dispositions toward belief to which comparative philosophers might fall victim.

Descriptive chauvinism is that fault which consists in recreating the other tradition in the image of one’s own. This is reading a text from another tradition and assuming that it asks the same questions or constructs responses or answers in a similar manner as that one with which one is most familiar. For example, philosophers who read Confucius as a virtue ethicist on the model of Aristotle must be on constant guard against this kind of chauvinism. David Hall and Roger Ames (1995) have argued against translating the name of the Chinese text Zhongyong as The Doctrine of the Mean, because they do not think that it pursues the same kinds of virtue analysis in practical reason that Aristotle does in his Nicomachean Ethics.

On the opposite end, but still an example of a kind of chauvinistic vice, is what Nussbaum calls normative chauvinism. This is the tendency found in many philosophers to believe that their tradition is best and that insofar as the others are different, they are inferior or in error. Ideally, philosophers should hold those views that are most defensible and credible. But the criteria for making this decision may be tradition-dependent. So, if a philosopher is unwilling to revisit his own criteria in light of another tradition, he may find himself committed to little else other than a form of normative chauvinism. For example, finding that Zhuangzi’s antirationalism moves through quietude and stillness to effortless action might lead some philosophers to dismiss this approach because it does not employ the sorts of evidential standards one holds. A common form of normative chauvinism is the belief that unless philosophy is done in a certain kind of way (for example, ratiocinative argument), then it cannot properly be considered philosophy. Many philosophy departments in Europe, Britain, and America have never thought about including courses in comparative philosophy, or even area studies philosophies such as those from China, India, or Japan because these traditions are not perceived as doing “real philosophy.” Some comparative philosophers believe this is analogous to a person listening to Indian music, realizing that it sounds very different from Western music, and concluding that it is not “real music.” What gets overlooked in such cases is that, while the whole concept of a “philosophical work” or “musical work” often differs according to each tradition, each tradition-dependent example is intellectually robust and meaningful nonetheless.

b. Skepticism

Normative skepticism may not actually be considered a vice by some philosophers, even if Nussbaum names it as one. It consists of narrating the views of different philosophers and traditions and suspending all judgment about their adequacy. When teaching the history of Western philosophy, some philosophers never really offer any critical view that puts aside a thinker’s claims. But many philosophers hold that some views are less defensible than others, and some are just wrong. They believe this is not only true when considering thinkers within the history of Western philosophy, but also when doing cross-cultural comparative philosophy. While it is true that not all Western philosophy has it right, it is equally true that neither does any other tradition. Some Buddhist, Indian, Confucian, Daoist, and Islamic views should be challenged, and sometimes they will be found deficient either according to agreed-on cross-cultural standards, or because of some form of internal incoherence. Being a comparative philosopher does not entail an uncritical acceptance of the other traditions simply because they are different. It is not expressed in a kind of Romanticism that might think of some philosophical tradition from another culture as always right, or preferable to Western philosophy. Nor does comparative philosophy require a suspension of all critical judgment. Indeed, it is built on the fundamental premise that the conversation across traditions will burn away some dross and refine and confirm some truths. But because philosophical viewpoints sometimes differ so dramatically, it is not always obvious how one might show itself preferable to another on any philosophical grounds. Forming grounds for deciding among views is one of the fundamental tasks of comparative philosophy.

c. Incommensurability

David Wong (1989) has offered a view of the ways in which philosophical traditions may be incommensurable. One kind of incommensurability involves the inability to translate some concepts in one tradition into meaning and reference in some other tradition. A second sort is that some philosophical models differ from others in such fundamental ways as to make it impossible for the advocates to understand each other. Wong thinks that some forms of life may be so far from a person’s experience and philosophical tradition that she is unable to see the merits in another view. The third version of incommensurability is that the traditions differ on what counts as evidence and grounds for decidability, thus making it impossible to make a judgment between them. There is no common or objective decision criterion justifying the preference for one set of claims over another, much less one tradition in its entirety over another. Wong proposes learning about the other tradition as a remedy. The idea is that each philosopher infects the other with a way of seeing. So, the task is to come to an understanding of how the other philosophical tradition is tied to a life that humans have found satisfying and meaningful.

It is often the case that philosophers who realize that critical work must be a part of the comparative project go on to conclude that traditions should be seen as rivals. Alasdair MacIntyre (1991) has explored this very impasse. He thinks that once the comparative project has passed beyond the initial stage of partial incomprehension and partial misrepresentation of the other, and an accurate representation of the other emerges, then the task of showing which rival tradition is rationally superior to the other comes into view. The triumph of one tradition over another may be a result of one standpoint acknowledging, based on its own internal standards, that it is inferior to another viewpoint. And when the resources available for the corrections of these inadequacies are not present in their own tradition, then those persons holding the failed view may transfer their assent to the tradition that has those resources or which has provided an explanation for why the previously held system failed. MacIntyre thinks that this situation can occur even if the two traditions have no common or shared philosophical beliefs or methods; that is, even if they are totally incommensurable. In those situations in which comparative philosophers find themselves in rational debate with those of another tradition, MacIntyre says that each philosopher has a responsibility to see his own standpoint from as problematic a view as possible, admitting the possibility of fallibilism. But he also takes the view that in any comparison of views philosophically, we must be comparing from some standpoint. There is no neutral ground. This is what he means when he says that comparative philosophy eventually becomes the comparison of comparisons.

MacIntyre considers the question whether the comparative philosophical project is a matter of choosing, and even of rational debate. Raising an imaginary objection to his own views, he says, that if one accuses him of presupposing that conception of rational order that is characteristic of the West and not found in Chinese thought, then he simply must say that this is the standpoint from which he stands and he could not have done otherwise. This is a view of the comparative philosophical task, while describing the way in which some comparative philosophers work, is by no means true of them all. Many comparative philosophers (such as those listed in the bibliography below) typically do not think of their work as enabling a decision between rival theories in a rational way. They conceive of their work as a process of conversation in which philosophical progress is made and all the traditions are altered in the resulting narrative.

d. Perennialism

The difficulty of commensurability is not the only one facing comparative philosophers. A mistake made by many comparative philosophers is that they overlook that philosophical traditions have a present as well as a past. While the classical texts of various traditions are formative and become the basis for much of the distinct evolution of a tradition, a philosopher cannot focus only on them. As those who study any philosophical tradition in depth know very well, all philosophical traditions are evolving. They are not “perennial” in the sense of being monolithic or static. They not only have tensions with other traditions, but they contain internal conflict as well. The point at which a comparative philosopher steps into the stream of another tradition is always important. He must understand not only the reasons for why a particular view is held in another tradition, but also that it is only one view among others that are possible within that particular tradition. For example, if one wants to do comparative morality, focusing on Chinese moral culture, what should he study? The Confucian, the Daoist, the Buddhist, the Marxist critique of all three? And with what aspects of his own tradition will he compare Chinese moral culture? The deontological, the utilitarian, the Aristotelian?

4. Prospects for Comparative Philosophy

In the end, one may object that actually there is no such thing as comparative philosophy, as a discrete sub-discipline of philosophical work, because all philosophical work is comparative. After all, one thing philosophers habitually do is to compare the work of various thinkers with those of others, or with their own. Philosophers require a thorough survey of the full range of significant views on a question before giving assent. Each view must be tested against others. This is a characteristically comparative project. For example, if one sets Hume’s discussion of personal identity alongside of Locke’s, a comparison is made. It is not self-evident that there is really a difference in comparing Confucius’ views on morality and those of Aristotle, and those of Aquinas and Aristotle on the same subject. Furthermore, if one compares Descartes’ epistemology and truth theory to Hegel’s one is not only making a comparison, but some philosophers would say that the two approaches are so different from each other as to be incommensurable (that is, lacking any common basis for comparison). This means that not only is the task of comparison fundamental to what philosophers do, but also the thought worlds examined may be incommensurable even though they come from the same cultural stream. Descartes and Hegel may be incommensurable on truth in much the same way that Buddhism’s approach to the fundamental problem of humanity and how to handle it is unlike the way Pragmatism thinks of this problem.

One may take the position that Aristotle compared with Confucius on morality is different only in degree from a comparison between Aristotle and Aquinas. However, as Alfred North Whitehead pointed out, a difference in degree may sometimes become a difference in kind. Even if the difference between what philosophers regularly do when comparing thinkers within the Western tradition and what they do when comparing a Western thinker with one from India, for example, is not a matter of kind, still the degree of these differences might be important. But no formal or general rule or criteria can be laid down for distinguishing these types of comparisons. There are ways in which comparing philosophical ideas between traditions and comparing those within the same tradition are similar. Part of the task of comparative philosophers who work cross-culturally is to reveal, in the pursuit of their own work, wherein the differences between these comparative approaches are dramatic and philosophically significant.

Properly speaking, comparative philosophy does not lead toward the creation of a synthesis of philosophical traditions (as in world philosophy). What is being created is not a new theory but a different sort of philosopher. The goal of comparative philosophy is learning a new language, a new way of talking. The comparative philosopher does not so much inhabit both of the standpoints represented by the traditions from which he draws as he comes to inhabit an emerging standpoint different from them all and which is thereby creatively a new way of seeing the human condition.

5. References and Further Reading

a. Comparative Philosophy – General

  • Allen, Douglas, ed. Culture and Self: Philosophical and Religious Perspectives, East and West. Boulder, CO: Westview Press, 1997.
  • Ames, Roger, ed. The Aesthetic Turn: Reading Eliot Deutsch on Comparative Philosophy. Chicago: Open Court, 1999.
  • Ames, Roger and Wilmal Dissanayake. Self and Deception: A Cross Cultural Perspective. Albany: State University of New York Press, 1996.
  • Ames, Roger, Joel Marks, and Robert Solomon. Emotions in Asian Thought. Albany: State University of New York Press, 1995.
  • Ames, Roger, Wilmal Dissanayake, and Thomas Kasulis. Self as Image in Asian Theory and Practice. Albany: State University of New York Press, 1998.
  • Ames, Roger, Wilmal Dissanayake, and Thomas Kasulis. Self as Person in Asian Thought. Albany: State University of New York Press, 1994.
  • Ames, Roger, Wilmal Dissanayake, and Thomas Kasulis. Self as Body in Asian Theory and Practice. Albany: State University of New York Press, 1992.
  • Ames, Roger and J. Baird Callicott, eds. Nature in Asian Traditions of Thought: Essays in Environmental Philosophy. Albany: State University of New York Press, 1989.
  • Barnhart, Michael. Varieties of Ethical Reflection: New Directions in Ethics in a Global Context. Lanham, MD: Lexington Books, 2003.
  • Bonevac, Daniel and Stephen Phillips, eds. Understanding Non-Western Philosophy: Introductory Readings. Mountain View, CA: Mayfield Publishing, 1993.
  • Blocker, H. Gene. World Philosophy: An East-West Comparative Introduction to Philosophy. Upper Saddle River, NJ: Prentice Hall, 1999.
  • Carmody, Denise and John Carmody. Ways to the Center. 3rd ed. Belmont, CA: Wadsworth Publishing, 2001.
  • Clarke, J. J. Oriental Enlightenment: The Encounter Between Asian and Western Thought. London: Routledge, 1997.
  • Davidson, Donald. “On the Very Idea of a Conceptual Scheme.” In Relativism: Cognitive and Moral, eds. Jack Meiland and Michael Krausz (Notre Dame: Notre Dame University Press, 1982): 66-81.
  • Deutsch, Eliot. Introduction to World Philosophies. Upper Saddle River, NJ: Prentice Hall, 1997.
  • Deutsch, Eliot and Ron Bontekoe, eds. A Companion to World Philosophies. Oxford: Blackwell, 1997.
  • Dilworth, David. Philosophy in World Perspective: A Comparative Hermeneutic of the Major Theories. New Haven: Yale University Press, 1989.
  • Fleischacker, Samuel. Integrity and Moral Relativism. Leiden: E. J. Brill, 1992.
  • Hackett, Stuart. Oriental Philosophy: A Westerner’s Guide to Eastern Thought. Madison: University of Wisconsin Press, 1979.
  • Hershock, Peter, Marietta Stepaniants and Roger Ames, eds. Technology and Cultural Values: On The Edge of the Third Millennium. Honolulu: University of Hawaii Press, 2003.
  • Inada, Kenneth, ed. East-West Dialogues in Aesthetics. Buffalo: State University of New York at Buffalo, 1978.
  • Larson, Gerald James and Eliot Deutsch, eds. Interpreting Across Boundaries: New Essays in Comparative Philosophy. Princeton: Princeton University Press, 1988.
  • MacIntyre, Alasdair. “Incommensurability, Truth, and the Conversation Between Confucians and Aristotelians about the Virtues.” In Culture and Modernity: East-West Philosophic Perspectives, ed. Eliot Deutsch (Honolulu: University of Hawaii Press, 1991): 104-123.
  • Masson-Oursel, Paul. Comparative Philosophy. London: Routledge, 2000.
  • Matilal, Bimal. “Pluralism, Relativism, and Interaction between Cultures.” In Culture and Modernity: East-West Philosophic Perspectives, ed. Eliot Deutsch (Honolulu: University of Hawaii Press, 1991): 141-161.
  • Mohany, Jitendra. “Phenomenological Rationality and the Overcoming of Relativism.” In Relativism: Interpretation and Confrontation, ed. Michael Krausz (Notre Dame: Notre Dame University Press, 1989): 326-339.
  • Nussbaum, Martha. Cultivating Humanity: A Classical Defense of Reform in Liberal Education. Cambridge, MA: Harvard University Press, 1997.
  • Parkes, Graham, ed. Heidegger and Asian Thought. Honolulu: University of Hawaii Press, 1987.
  • Parkes, Graham. Nietzsche and Asian Thought. Chicago: University of Chicago Press, 1991.
  • Putnam, Hilary. “Truth and Convention: On Davidson’s Refutation of Conceptual Relativism.” In Relativism: Interpretation and Confrontation, ed. Michael Krausz (Notre Dame: Notre Dame University Press, 1989): 173-182.
  • Raju, P. T. Introduction to Comparative Philosophy. Reprint ed. Delhi: Motilal Banarsidass, 1997.
  • Reynolds, Frank, ed. Religion and Practical Reason: New Essays in the Comparative Philosophy of Religions. Albany: State University of New York, 1994.
  • Rorty, Richard. “Solidarity or Objectivity?” In Relativism: Interpretation and Confrontation, ed. Michael Krausz (Notre Dame: Notre Dame University Press, 1989): 35-51.
  • Scharfstein, Ben-Ami. A Comparative History of World Philosophy: From the Upanishads to Kant. Albany: State University of New York Press, 1998.
  • Solomon, Robert and Kathleen Higgins. World Philosophy: A Text with Readings. New York: McGraw Hill, 1995.
  • Solomon, Robert and Kathleen Higgins, eds. From Africa to Zen: An Invitation to World Philosophy. Lanham, MD: Rowman & Littlefield Publishers, 1993.
  • Van Norden, Byran. “An Open Letter to the APA.” Proceedings and Addresses of the APA. Newark, DE: American Philosophical Association, 1996.
  • Wong, David. “Three Kinds of Incommensurability.” In Relativism: Interpretation and Confrontation, ed. Michael Krausz (Notre Dame: Notre Dame University Press, 1989): 140-159.

b. Comparative Philosophy – Chinese-Western

  • Ames, Roger and Joseph Grange. John Dewey, Confucius and Global Philosophy. Albany: State University of New York Press, 1996.
  • Carr, Karen and Philip J. Ivanhoe, eds. The Sense of Antirationalism: The Religious Thought of Zhuangzi and Kierkegaard. New York: Seven Bridges Press, 2000.
  • Hall, David and Roger Ames. The Democracy of the Dead: Dewey, Confucius and the Hope for Democracy in China. Chicago: Open Court, 1999.
  • Hall, David and Roger Ames. Anticipating China: Thinking Through the Narratives of Chinese and Western Culture. Albany: State University of New York Press, 1995.
  • Kjellberg, Paul and Philip J. Ivanhoe, eds. Essays in Skepticism, Relativism and Ethics in the Zhuangzi. Albany: State University of New York Press, 1996.
  • Li Chenyang, ed. The Tao Encounters the West: Explorations in Comparative Philosophy. Albany: State University of New York Press, 1999.
  • Mou Bo, ed. Comparative Approaches to Chinese Philosophy. Aldershot, UK: Ashgate Press, 2003.
  • Neville, Robert. Boston Confucianism: Portable Tradition in the Late-Modern World. Albany: State University of New York Press, 2000.
  • Spence, Jonathan. The Chan’s Great Continent: China in Western Minds. New York: W. W. Norton, 1998.
  • Yearley, Lee. Mencius and Aquinas: Theories of Virtue and Conceptions of Courage. Albany: State University of New York Press, 1990.

c. Comparative Philosophy – Indian-Western

  • Halbfass, Wilhelm. India and Europe: An Essay in Understanding. Albany: State University of New York Press, 1988.
  • Matilal, Bimal and Jaysankar Shaw, eds. Analytical Philosophy in Comparative Perspective: Exploratory Essays in Current Theories & Classical Indian Theories of Meaning. London: Kluwer Publishing, 1985.
  • McEvilley, Thomas. The Shape of Ancient Thought: Comparative Studies in Greek and Indian Philosophies. New York: Allworth Press, 2002.
  • Radahkrishan, S. The Concept of Man: A Study in Comparative Philosophy. Ed. P. T. Raju. Columbia, MO: South Asia Books, 1999.
  • Rafique, M. Indian and Muslim Philosophies. Columbia, MO: South Asia Books, 1988.
  • Tuck, Andrew. Comparative Philosophy and the Philosophy of Scholarship: On the Western Interpretation of Nagarjuna. Oxford: Oxford University Press, 1990.

d. Comparative Philosophy – Japanese-Western

  • Franck, Frederick, ed. The Buddha Eye: An Anthology of the Kyoto School. New York: Crossroads, 1991.
  • Abe, Masao and William Lafleur, eds. Zen and Western Thought. Honolulu: University of Hawaii Press, 1989.
  • Loy, David. Nonduality: A Study in Comparative Philosophy. New Haven: Yale University Press, 1988.
  • Nishida, Kitaro. An Inquiry into the Good. Trans. Masao Abe and Christopher Ives. New Haven: Yale University Press, 1990.
  • Nishida, Kitaro. Last Writings: Nothingness and the Religious Worldview. Trans. David A. Dilworth. Honolulu: University of Hawai’i Press, 1987.
  • Nishitani, Keiji. Religion and Nothingness. Trans. Jan Van Bragt. Berkeley: University of California Press, 1982.

e. Comparative Philosophy – Other

  • An, Ok Sun. Compassion and Benevolence: A Comparative Study of Early Buddhist and Classical Confucian Ethics. New York: Peter Lang Publishing, 1998.
  • Taylor, Mark. Journeys to Selfhood: Hegel and Kierkegaard. Berkeley: University of California Press, 1980.

Author Information

Ronnie Littlejohn
Email: ronnie.littlejohn@belmont.edu
Belmont University
U. S. A.

Propositional Logic

Propositional logic, also known as sentential logic and statement logic, is the branch of logic that studies ways of joining and/or modifying entire propositions, statements or sentences to form more complicated propositions, statements or sentences, as well as the logical relationships and properties that are derived from these methods of combining or altering statements. In propositional logic, the simplest statements are considered as indivisible units, and hence, propositional logic does not study those logical properties and relations that depend upon parts of statements that are not themselves statements on their own, such as the subject and predicate of a statement. The most thoroughly researched branch of propositional logic is classical truth-functional propositional logic, which studies logical operators and connectives that are used to produce complex statements whose truth-value depends entirely on the truth-values of the simpler statements making them up, and in which it is assumed that every statement is either true or false and not both. However, there are other forms of propositional logic in which other truth-values are considered, or in which there is consideration of connectives that are used to produce statements whose truth-values depend not simply on the truth-values of the parts, but additional things such as their necessity, possibility or relatedness to one another.

Table of Contents

  1. Introduction
  2. History
  3. The Language of Propositional Logic
    1. Syntax and Formation Rules of PL
    2. Truth Functions and Truth Tables
    3. Definability of the Operators and the Languages PL’ and PL”
  4. Tautologies, Logical Equivalence and Validity
  5. Deduction: Rules of Inference and Replacement
    1. Natural Deduction
    2. Rules of Inference
    3. Rules of Replacement
    4. Direct Deductions
    5. Conditional and Indirect Proofs
  6. Axiomatic Systems and the Propositional Calculus
  7. Meta-Theoretic Results for the Propositional Calculus
  8. Other Forms of Propositional Logic
  9. References and Further Reading

1. Introduction

A statement can be defined as a declarative sentence, or part of a sentence, that is capable of having a truth-value, such as being true or false. So, for example, the following are statements:

  • George W. Bush is the 43rd President of the United States.
  • Paris is the capital of France.
  • Everyone born on Monday has purple hair.

Sometimes, a statement can contain one or more other statements as parts. Consider for example, the following statement:

  • Either Ganymede is a moon of Jupiter or Ganymede is a moon of Saturn.

While the above compound sentence is itself a statement, because it is true, the two parts, “Ganymede is a moon of Jupiter” and “Ganymede is a moon of Saturn”, are themselves statements, because the first is true and the second is false.

The term proposition is sometimes used synonymously with statement. However, it is sometimes used to name something abstract that two different statements with the same meaning are both said to “express”. In this usage, the English sentence, “It is raining”, and the French sentence “Il pleut”, would be considered to express the same proposition; similarly, the two English sentences, “Callisto orbits Jupiter” and “Jupiter is orbited by Callisto” would also be considered to express the same proposition. However, the nature or existence of propositions as abstract meanings is still a matter of philosophical controversy, and for the purposes of this article, the phrases “statement” and “proposition” are used interchangeably.

Propositional logic, also known as sentential logic, is that branch of logic that studies ways of combining or altering statements or propositions to form more complicated statements or propositions. Joining two simpler propositions with the word “and” is one common way of combining statements. When two statements are joined together with “and”, the complex statement formed by them is true if and only if both the component statements are true. Because of this, an argument of the following form is logically valid:

Paris is the capital of France and Paris has a population of over two million.
Therefore, Paris has a population of over two million.

Propositional logic largely involves studying logical connectives such as the words “and” and “or” and the rules determining the truth-values of the propositions they are used to join, as well as what these rules mean for the validity of arguments, and such logical relationships between statements as being consistent or inconsistent with one another, as well as logical properties of propositions, such as being tautologically true, being contingent, and being self-contradictory. (These notions are defined below.)

Propositional logic also studies way of modifying statements, such as the addition of the word “not” that is used to change an affirmative statement into a negative statement. Here, the fundamental logical principle involved is that if a given affirmative statement is true, the negation of that statement is false, and if a given affirmative statement is false, the negation of that statement is true.

What is distinctive about propositional logic as opposed to other (typically more complicated) branches of logic is that propositional logic does not deal with logical relationships and properties that involve the parts of a statement smaller than the simple statements making it up. Therefore, propositional logic does not study those logical characteristics of the propositions below in virtue of which they constitute a valid argument:

  1. George W. Bush is a president of the United States.
  2. George W. Bush is a son of a president of the United States.
  3. Therefore, there is someone who is both a president of the United States and a son of a president of the United States.

The recognition that the above argument is valid requires one to recognize that the subject in the first premise is the same as the subject in the second premise. However, in propositional logic, simple statements are considered as indivisible wholes, and those logical relationships and properties that involve parts of statements such as their subjects and predicates are not taken into consideration.

Propositional logic can be thought of as primarily the study of logical operators. A logical operator is any word or phrase used either to modify one statement to make a different statement, or join multiple statements together to form a more complicated statement. In English, words such as “and”, “or”, “not”, “if … then…”, “because”, and “necessarily”, are all operators.

A logical operator is said to be truth-functional if the truth-values (the truth or falsity, etc.) of the statements it is used to construct always depend entirely on the truth or falsity of the statements from which they are constructed. The English words “and”, “or” and “not” are (at least arguably) truth-functional, because a compound statement joined together with the word “and” is true if both the statements so joined are true, and false if either or both are false, a compound statement joined together with the word “or” is true if at least one of the joined statements is true, and false if both joined statements are false, and the negation of a statement is true if and only if the statement negated is false.

Some logical operators are not truth-functional. One example of an operator in English that is not truth-functional is the word “necessarily”. Whether a statement formed using this operator is true or false does not depend entirely on the truth or falsity of the statement to which the operator is applied. For example, both of the following statements are true:

  • 2 + 2 = 4.
  • Someone is reading an article in a philosophy encyclopedia.

However, let us now consider the corresponding statements modified with the operator “necessarily”:

  • Necessarily, 2 + 2 = 4.
  • Necessarily, someone is reading an article in a philosophy encyclopedia.

Here, the first example is true but the second example is false. Hence, the truth or falsity of a statement using the operator “necessarily” does not depend entirely on the truth or falsity of the statement modified.

Truth-functional propositional logic is that branch of propositional logic that limits itself to the study of truth-functional operators. Classical (or “bivalent”) truth-functional propositional logic is that branch of truth-functional propositional logic that assumes that there are are only two possible truth-values a statement (whether simple or complex) can have: (1) truth, and (2) falsity, and that every statement is either true or false but not both.

Classical truth-functional propositional logic is by far the most widely studied branch of propositional logic, and for this reason, most of the remainder of this article focuses exclusively on this area of logic. In addition to classical truth-functional propositional logic, there are other branches of propositional logic that study logical operators, such as “necessarily”, that are not truth-functional. There are also “non-classical” propositional logics in which such possibilities as (i) a proposition’s having a truth-value other than truth or falsity, (ii) a proposition’s having an indeterminate truth-value or lacking a truth-value altogether, and sometimes even (iii) a proposition’s being both true and false, are considered. (For more information on these alternative forms of propositional logic, consult Section VIII below.)

2. History

The serious study of logic as an independent discipline began with the work of Aristotle (384-322 BCE). Generally, however, Aristotle’s sophisticated writings on logic dealt with the logic of categories and quantifiers such as “all”, and “some”, which are not treated in propositional logic. However, in his metaphysical writings, Aristotle espoused two principles of great importance in propositional logic, which have since come to be called the Law of Excluded Middle and the Law of Contradiction. Interpreted in propositional logic, the first is the principle that every statement is either true or false, the second is the principle that no statement is both true and false. These are, of course, cornerstones of classical propositional logic. There is some evidence that Aristotle, or at least his successor at the Lyceum, Theophrastus (d. 287 BCE), did recognize a need for the development of a doctrine of “complex” or “hypothetical” propositions, that is, those involving conjunctions (statements joined by “and”), disjunctions (statements joined by “or”) and conditionals (statements joined by “if… then…”), but their investigations into this branch of logic seem to have been very minor.

More serious attempts to study statement operators such as “and”, “or” and “if… then…” were conducted by the Stoic philosophers in the late 3rd century BCE. Since most of their original works—if indeed, these writings were even produced—are lost, we cannot make many definite claims about exactly who first made investigations into what areas of propositional logic, but we do know from the writings of Sextus Empiricus that Diodorus Cronus and his pupil Philo had engaged in a protracted debate about whether the truth of a conditional statement depends entirely on it not being the case that its antecedent (if-clause) is true while its consequent (then-clause) is false, or whether it requires some sort of stronger connection between the antecedent and consequent—a debate that continues to have relevance for modern discussion of conditionals. The Stoic philosopher Chrysippus (roughly 280-205 BCE) perhaps did the most in advancing Stoic propositional logic, by marking out a number of different ways of forming complex premises for arguments, and for each, listing valid inference schemata. Chrysippus suggested that the following inference schemata are to be considered the most basic:

  1. If the first, then the second; but the first; therefore the second.
  2. If the first, then the second; but not the second; therefore, not the first.
  3. Not both the first and the second; but the first; therefore, not the second.
  4. Either the first or the second [and not both]; but the first; therefore, not the second.
  5. Either the first or the second; but not the second; therefore the first.

Inference rules such as the above correspond very closely to the basic principles in a contemporary system of natural deduction for propositional logic. For example, the first two rules correspond to the rules of modus ponens and modus tollens, respectively. These basic inference schemata were expanded upon by less basic inference schemata by Chrysippus himself and other Stoics, and are preserved in the work of Diogenes Laertius, Sextus Empiricus and later, in the work of Cicero.

Advances on the work of the Stoics were undertaken in small steps in the centuries that followed. This work was done by, for example, the second century logician Galen (roughly 129-210 CE), the sixth century philosopher Boethius (roughly 480-525 CE) and later by medieval thinkers such as Peter Abelard (1079-1142) and William of Ockham (1288-1347), and others. Much of their work involved producing better formalizations of the principles of Aristotle or Chrysippus, introducing improved terminology and furthering the discussion of the relationships between operators. Abelard, for example, seems to have been the first to clearly differentiate exclusive disjunction from inclusive disjunction (discussed below), and to suggest that inclusive disjunction is the more important notion for the development of a relatively simple logic of disjunctions.

The next major step forward in the development of propositional logic came only much later with the advent of symbolic logic in the work of logicians such as Augustus DeMorgan (1806-1871) and, especially, George Boole (1815-1864) in the mid-19th century. Boole was primarily interested in developing a mathematical-style “algebra” to replace Aristotelian syllogistic logic, primarily by employing the numeral “1” for the universal class, the numeral “0” for the empty class, the multiplication notation “xy” for the intersection of classes x and y, the addition notation “x + y” for the union of classes x and y, etc., so that statements of syllogistic logic could be treated in quasi-mathematical fashion as equations; for example, “No x is y” could be written as “xy = 0”. However, Boole noticed that if an equation such as “x = 1” is read as “x is true”, and “x = 0” is read as “x is false”, the rules given for his logic of classes can be transformed into a logic for propositions, with “x + y = 1” reinterpreted as saying that either x or y is true, and “xy = 1” reinterpreted as meaning that x and y are both true. Boole’s work sparked rapid interest in logic among mathematicians. Later, “Boolean algebras” were used to form the basis of the truth-functional propositional logics utilized in computer design and programming.

In the late 19th century, Gottlob Frege (1848-1925) presented logic as a branch of systematic inquiry more fundamental than mathematics or algebra, and presented the first modern axiomatic calculus for logic in his 1879 work Begriffsschrift. While it covered more than propositional logic, from Frege’s axiomatization it is possible to distill the first complete axiomatization of classical truth-functional propositional logic. Frege was also the first to systematically argue that all truth-functional connectives could be defined in terms of negation and the material conditional.

In the early 20th century, Bertrand Russell gave a different complete axiomatization of propositional logic, considered on its own, in his 1906 paper “The Theory of Implication”, and later, along with A. N. Whitehead, produced another axiomatization using disjunction and negation as primitives in the 1910 work Principia Mathematica. Proof of the possibility of defining all truth functional operators in virtue of a single binary operator was first published by American logician H. M. Sheffer in 1913, though American logician C. S. Peirce (1839-1914) seems to have discovered this decades earlier. In 1917, French logician Jean Nicod discovered that it was possible to axiomatize propositional logic using the Sheffer stroke and only a single axiom schema and single inference rule.

The notion of a “truth table” is often utilized in the discussion of truth-functional connectives (discussed below). It seems to have been at least implicit in the work of Peirce, W. S. Jevons (1835-1882), Lewis Carroll (1832-1898), John Venn (1834-1923), and Allan Marquand (1853-1924). Truth tables appear explicitly in writings by Eugen Müller as early as 1909. Their use gained rapid popularity in the early 1920s, perhaps due to the combined influence of the work of Emil Post, whose 1921 work makes liberal use of them, and Ludwig Wittgenstein’s 1921 Tractatus Logico-Philosophicus, in which truth tables and truth-functionality are prominently featured.

Systematic inquiry into axiomatic systems for propositional logic and related metatheory was conducted in the 1920s, 1930s and 1940s by David Hilbert, Paul Bernays, Alfred Tarski, Jan Łukasiewicz, Kurt Gödel, Alonzo Church, and others. It is during this period, that most of the important metatheoretic results such as those discussed in Section VII were discovered.

Complete natural deduction systems for classical truth-functional propositional logic were developed and popularized in the work of Gerhard Gentzen in the mid-1930s, and subsequently introduced into influential textbooks such as that of F. B. Fitch (1952) and Irving Copi (1953).

Modal propositional logics are the most widely studied form of non-truth-functional propositional logic. While interest in modal logic dates back to Aristotle, by contemporary standards the first systematic inquiry into this modal propositional logic can be found in the work of C. I. Lewis in 1912 and 1913. Among other well-known forms of non-truth-functional propositional logic, deontic logic began with the work of Ernst Mally in 1926, and epistemic logic was first treated systematically by Jaakko Hintikka in the early 1960s. The modern study of three-valued propositional logic began in the work of Jan Łukasiewicz in 1917, and other forms of non-classical propositional logic soon followed suit. Relevance propositional logic is relatively more recent; dating from the mid-1970s in the work of A. R. Anderson and N. D. Belnap. Paraconsistent logic, while having its roots in the work of Łukasiewicz and others, has blossomed into an independent area of research only recently, mainly due to work undertaken by N. C. A. da Costa, Graham Priest and others in the 1970s and 1980s.

3. The Language of Propositional Logic

The basic rules and principles of classical truth-functional propositional logic are, among contemporary logicians, almost entirely agreed upon, and capable of being stated in a definitive way. This is most easily done if we utilize a simplified logical language that deals only with simple statements considered as indivisible units as well as complex statements joined together by means of truth-functional connectives. We first consider a language called PL for “Propositional Logic”. Later we shall consider two even simpler languages, PL’ and PL”.

a. Syntax and Formation Rules of PL

In any ordinary language, a statement would never consist of a single word, but would always at the very least consist of a noun or pronoun along with a verb. However, because propositional logic does not consider smaller parts of statements, and treats simple statements as indivisible wholes, the language PL uses uppercase letters ‘A‘, ‘B‘, ‘C‘, etc., in place of complete statements. The logical signs ‘\land‘, ‘\lor‘, ‘→’, ‘↔’, and ‘\neg‘ are used in place of the truth-functional operators, “and”, “or”, “if… then…”, “if and only if”, and “not”, respectively. So, consider again the following example argument, mentioned in Section I.

Paris is the capital of France and Paris has a population of over two million.
Therefore, Paris has a population of over two million.

If we use the letter ‘C‘ as our translation of the statement “Paris is the captial of France” in PL, and the letter ‘P‘ as our translation of the statement “Paris has a population of over two million”, and use a horizontal line to separate the premise(s) of an argument from the conclusion, the above argument could be symbolized in language PL as follows:

\( \begin{array}{l} C \land P\\ \hline P \end{array} \)

In addition to statement letters like ‘C‘ and ‘P‘ and the operators, the only other signs that sometimes appear in the language PL are parentheses which are used in forming even more complex statements. Consider the English compound sentence, “Paris is the most important city in France if and only if Paris is the capital of France and Paris has a population of over two million.” If we use the letter ‘I‘ in language PL to mean that Paris is the most important city in France, this sentence would be translated into PL as follows:

I \leftrightarrow (C \land P)

The parentheses are used to group together the statements ‘C‘ and ‘P‘ and differentiate the above statement from the one that would be written as follows:

(I \leftrightarrow C) \land P

This latter statement asserts that Paris is the most important city in France if and only if it is the capital of France, and (separate from this), Paris has a population of over two million. The difference between the two is subtle, but important logically.

It is important to describe the syntax and make-up of statements in the language PL in a precise manner, and give some definitions that will be used later on. Before doing this, it is worthwhile to make a distinction between the language in which we will be discussing PL, namely, English, from PL itself. Whenever one language is used to discuss another, the language in which the discussion takes place is called the metalanguage, and language under discussion is called the object language. In this context, the object language is the language PL, and the metalanguage is English, or to be more precise, English supplemented with certain special devices that are used to talk about language PL. It is possible in English to talk about words and sentences in other languages, and when we do, we place the words or sentences we wish to talk about in quotation marks. Therefore, using ordinary English, I can say that “parler” is a French verb, and “I \land C” is a statement of PL. The following expression is part of PL, not English:

(I \leftrightarrow C) \land P

However, the following expression is a part of English; in particular, it is the English name of a PL sentence:

(I \leftrightarrow C) \land P

This point may seem rather trivial, but it is easy to become confused if one is not careful.

In our metalanguage, we shall also be using certain variables that are used to stand for arbitrary expressions built from the basic symbols of PL. In what follows, the Greek letters ‘\alpha‘, ‘\beta‘, and so on, are used for any object language (PL) expression of a certain designated form. For example, later on, we shall say that, if \alpha is a statement of PL, then so is \ulcorner \neg \alpha \urcorner. Notice that ‘\alpha‘ itself is not a symbol that appears in PL; it is a symbol used in English to speak about symbols of PL. We will also be making use of so-called “Quine corners”, written ‘\ulcorner‘ and ‘\urcorner‘, which are a special metalinguistic device used to speak about object language expressions constructed in a certain way. Suppose \alpha is the statement “(I \leftrightarrow C)” and \beta is the statement “(P \land C)“; then \ulcorner \alpha \lor \beta \urcorner is the complex statement “(I \leftrightarrow C) \lor (P \land C)“.

Let us now proceed to giving certain definitions used in the metalanguage when speaking of the language PL.

Definition: A statement letter of PL is defined as any uppercase letter written with or without a numerical subscript.

Note: According to this definition, ‘A‘, ‘B‘, ‘B_2‘, ‘C_3‘, and ‘P_{14}‘ are examples of statement letters. The numerical subscripts are used just in case we need to deal with more than 26 simple statements: in that case, we can use ‘P_1‘ to mean something different than ‘P_2‘, and so forth.

Definition: A connective or operator of PL is any of the signs ‘\neg‘, ‘\land‘, ‘\lor‘, ‘→’, and ‘↔’.

Definition: A well-formed formula (hereafter abbreviated as wff) of PL is defined recursively as follows:

  1. Any statement letter is a well-formed formula.
  2. If \alpha is a well-formed formula, then so is \ulcorner \neg \alpha \urcorner.
  3. If \alpha and \beta are well-formed formulas, then so is \ulcorner (\alpha \land \beta) \urcorner.
  4. If \alpha and \beta are well-formed formulas, then so is \ulcorner (\alpha \lor \beta) \urcorner.
  5. If \alpha and \beta are well-formed formulas, then so is \ulcorner (\alpha \rightarrow \beta) \urcorner.
  6. If \alpha and \beta are well-formed formulas, then so is \ulcorner (\alpha \leftrightarrow \beta) \urcorner.
  7. Nothing that cannot be constructed by successive steps of (1)-(6) is a well-formed formula.

Note: According to part (1) of this definition, the statement letters ‘C‘, ‘P‘ and ‘M‘ are wffs. Because ‘C‘ and ‘P‘ are wffs, by part (3), “(C \land P)” is a wff. Because it is a wff, and ‘M‘ is also a wff, by part (6), “(M \leftrightarrow (C \land P))” is a wff. It is conventional to regard the outermost parentheses on a wff as optional, so that “M \leftrightarrow (C \land P)” is treated as an abbreviated form of “(M \leftrightarrow (C \land P))“. However, whenever a shorter wff is used in constructing a more complicated wff, the parentheses on the shorter wff are necessary.

The notion of a well-formed formula should be understood as corresponding to the notion of a grammatically correct or properly constructed statement of language PL. This definition tells us, for example, that “\neg (Q \lor \neg R)” is grammatical for PL because it is a well-formed formula, whereas the string of symbols, “\neg Q \neg \lor ( \leftrightarrow P \land“, while consisting entirely of symbols used in PL, is not grammatical because it is not well-formed.

b. Truth Functions and Truth Tables

So far we have in effect described the grammar of language PL. When setting up a language fully, however, it is necessary not only to establish rules of grammar, but also describe the meanings of the symbols used in the language. We have already suggested that uppercase letters are used as complete simple statements. Because truth-functional propositional logic does not analyze the parts of simple statements, and only considers those ways of combining them to form more complicated statements that make the truth or falsity of the whole dependent entirely on the truth or falsity of the parts, in effect, it does not matter what meaning we assign to the individual statement letters like ‘P‘, ‘Q‘ and ‘R‘, etc., provided that each is taken as either true or false (and not both).

However, more must be said about the meaning or semantics, of the logical operators ‘\land‘, ‘\lor‘, ‘→’, ‘↔’, and ‘\neg‘. As mentioned above, these are used in place of the English words, ‘and’, ‘or’, ‘if… then…’, ‘if and only if’, and ‘not’, respectively. However, the correspondence is really only rough, because the operators of PL are considered to be entirely truth-functional, whereas their English counterparts are not always used truth-functionally. Consider, for example, the following statements:

  1. If Bob Dole is president of the United States in 2004, then the president of the United States in 2004 is a member of the Republican party.
  2. If Al Gore is president of the United States in 2004, then the president of the United States in 2004 is a member of the Republican party.

For those familiar with American politics, it is tempting to regard the English sentence (1) as true, but to regard (2) as false, since Dole is a Republican but Gore is not. But notice that in both cases, the simple statement in the “if” part of the “if… then…” statement is false, and the simple statement in the “then” part of the statement is true. This shows that the English operator “if… then…” is not fully truth-functional. However, all the operators of language PL are entirely truth-functional, so the sign ‘→’, though similar in many ways to the English “if… then…” is not in all ways the same. More is said about this operator below.

Since our study is limited to the ways in which the truth-values of complex statements depend on the truth-values of the parts, for each operator, the only aspect of its meaning relevant in this context is its associated truth-function. The truth-function for an operator can be represented as a table, each line of which expresses a possible combination of truth-values for the simpler statements to which the operator applies, along with the resulting truth-value for the complex statement formed using the operator.

The signs ‘\land‘, ‘\lor‘, ‘→’, ‘↔’, and ‘\neg‘, correspond, respectively, to the truth-functions of conjunction, disjunction, material implication, material equivalence, and negation. We shall consider these individually.

Conjunction: The conjunction of two statements \alpha and \beta, written in PL as \ulcorner (\alpha \land \beta) \urcorner, is true if both \alpha and \beta are true, and is false if either \alpha is false or \beta is false or both are false. In effect, the meaning of the operator ‘\land‘ can be displayed according to the following chart, which shows the truth-value of the conjunction depending on the four possibilities of the truth-values of the parts:

\alpha \beta (\alpha \land \beta)
T
T
F
F
T
F
T
F
T
F
F
F

Conjunction using the operator ‘\land‘ is language PL’s rough equivalent of joining statements together with ‘and’ in English. In a statement of the form \ulcorner (\alpha \land \beta) \urcorner, the two statements joined together, \alpha and \beta, are called the conjuncts, and the whole statement is called a conjunction.

Instead of the sign ‘\land‘, some other logical works use the signs ‘\&‘ or ‘\bullet‘ for conjunction.

Disjunction: The disjunction of two statements \alpha and \beta, written in PL as \ulcorner (\alpha \lor \beta) \urcorner, is true if either \alpha is true or \beta is true, or both \alpha and \beta are true, and is false only if both \alpha and \beta are false. A chart similar to that given above for conjunction, modified for to show the meaning of the disjunction sign ‘\lor‘ instead, would be drawn as follows:

\alpha \beta (\alpha \lor \beta)
T
T
F
F
T
F
T
F
T
T
T
F

This is language PL’s rough equivalent of joining statements together with the word ‘or’ in English. However, it should be noted that the sign ‘\lor‘ is used for disjunction in the inclusive sense. Sometimes when the word ‘or’ is used to join together two English statements, we only regard the whole as true if one side or the other is true, but not both, as when the statement “Either we can buy the toy robot, or we can buy the toy truck; you must choose!” is spoken by a parent to a child who wants both toys. This is called the exclusive sense of ‘or’. However, in PL, the sign ‘\lor‘ is used inclusively, and is more analogous to the English word ‘or’ as it appears in a statement such as (for example, said about someone who has just received a perfect score on the SAT), “either she studied hard, or she is extremely bright”, which does not mean to rule out the possibility that she both studied hard and is bright. In a statement of the form \ulcorner (\alpha \lor \beta) \urcorner, the two statements joined together, \alpha and \beta, are called the disjuncts, and the whole statement is called a disjunction.

Material Implication: This truth-function is represented in language PL with the sign ‘→’. A statement of the form \ulcorner (\alpha \rightarrow \beta) \urcorner, is false if \alpha is true and \beta is false, and is true if either \alpha is false or \beta is true (or both). This truth-function generates the following chart:

\alpha \beta (\alpha \rightarrow \beta)
T
T
F
F
T
F
T
F
T
F
T
T

Because the truth of a statement of the form \ulcorner (\alpha \rightarrow \beta) \urcorner rules out the possibility of \alpha being true and \beta being false, there is some similarity between the operator ‘→’ and the English phrase, “if… then…”, which is also used to rule out the possibility of one statement being true and another false; however, ‘→’ is used entirely truth-functionally, and so, for reasons discussed earlier, it is not entirely analogous with “if… then…” in English. If \alpha is false, then \ulcorner (\alpha \rightarrow \beta) \urcorner is regarded as true, whether or not there is any connection between the falsity of \alpha and the truth-value of \beta. In a statement of the form \ulcorner (\alpha \rightarrow \beta) \urcorner, we call \alpha the antecedent, and we call \beta the consequent, and the whole statement \ulcorner (\alpha \rightarrow \beta) \urcorner is sometimes also called a (material) conditional.

The sign ‘\supset‘ is sometimes used instead of ‘→’ for material implication.

Material Equivalence: This truth-function is represented in language PL with the sign ‘↔’. A statement of the form \ulcorner (\alpha \leftrightarrow \beta) \urcorner is regarded as true if \alpha and \beta are either both true or both false, and is regarded as false if they have different truth-values. Hence, we have the following chart:

\alpha \beta (\alpha \leftrightarrow \beta)
T
T
F
F
T
F
T
F
T
F
F
T

Since the truth of a statement of the form \ulcorner (\alpha \leftrightarrow \beta) \urcorner requires \alpha and \beta to have the same truth-value, this operator is often likened to the English phrase “…if and only if…”. Again, however, they are not in all ways alike, because ‘↔’ is used entirely truth-functionally. Regardless of what \alpha and \beta are, and what relation (if any) they have to one another, if both are false, \ulcorner (\alpha \leftrightarrow \beta) \urcorner is considered to be true. However, we would not normally regard the statement “Al Gore is the President of the United States in 2004 if and only if Bob Dole is the President of the United States in 2004” as true simply because both simpler statements happen to be false. A statement of the form \ulcorner (\alpha \leftrightarrow \beta) \urcorner is also sometimes referred to as a (material) biconditional.

The sign ‘\equiv‘ is sometimes used instead of ‘↔’ for material equivalence.

Negation: The negation of statement \alpha, simply written \ulcorner \neg \alpha \urcorner in language PL, is regarded as true if \alpha is false, and false if \alpha is true. Unlike the other operators we have considered, negation is applied to a single statement. The corresponding chart can therefore be drawn more simply as follows:

\alpha \neg \alpha
T
F
F
T

The negation sign ‘\neg‘ bears obvious similarities to the word ‘not’ used in English, as well as similar phrases used to change a statement from affirmative to negative or vice-versa. In logical languages, the signs ‘\sim‘ or ‘-‘ are sometimes used in place of ‘\neg‘.

The five charts together provide the rules needed to determine the truth-value of a given wff in language PL when given the truth-values of the independent statement letters making it up. These rules are very easy to apply in the case of a very simple wff such as “(P \land Q)“. Suppose that ‘P‘ is true, and ‘Q‘ is false; according to the second row of the chart given for the operator, ‘\land‘, we can see that this statement is false.

However, the charts also provide the rules necessary for determining the truth-value of more complicated statements. We have just seen that “(P \land Q)” is false if ‘P‘ is true and ‘Q‘ is false. Consider a more complicated statement that contains this statement as a part, for example, “((P \land Q) \rightarrow \neg R)“, and suppose once again that ‘P‘ is true, and ‘Q‘ is false, and further suppose that ‘R‘ is also false. To determine the truth-value of this complicated statement, we begin by determining the truth-value of the internal parts. The statement “(P \land Q)“, as we have seen, is false. The other substatement, “\neg R“, is true, because ‘R‘ is false, and ‘\neg‘ reverses the truth-value of that to which it is applied. Now we can determine the truth-value of the whole wff, “((P \land Q) \rightarrow \neg R)“, by consulting the chart given above for ‘→’. Here, the wff “(P \land Q)” is our \alpha, and “\neg R” is our \beta, and since their truth-values are F and T, respectively, we consult the third row of the chart, and we see that the complex statement “((P \land Q) \rightarrow \neg R)” is true.

We have so far been considering the case in which ‘P‘ is true and ‘Q‘ and ‘R‘ are both false. There are, however, a number of other possibilities with regard to the possible truth-values of the statement letters, ‘P‘, ‘Q‘ and ‘R‘. There are eight possibilities altogether, as shown by the following list:

P
Q
R
T
T
T
T
F
F
F
F
T
T
F
F
T
T
F
F
T
F
T
F
T
F
T
F

Strictly speaking, each of the eight possibilities above represents a different truth-value assignment, which can be defined as a possible assignment of truth-values T or F to the different statement letters making up a wff or series of wffs. If a wff has n distinct statement letters making up, the number of possible truth-value assignments is 2n. With the wff, “((P \land Q) \rightarrow \neg R)“, there are three statement letters, ‘P‘, ‘Q‘ and ‘R‘, and so there are 8 truth-value assignments.

It then becomes possible to draw a chart showing how the truth-value of a given wff would be resolved for each possible truth-value assignment. We begin with a chart showing all the possible truth-value assignments for the wff, such as the one given above. Next, we write out the wff itself on the top right of our chart, with spaces between the signs. Then, for each, truth-value assignment, we repeat the appropriate truth-value, ‘T’, or ‘F’, underneath the statement letters as they appear in the wff. Then, as the truth-values of those wffs that are parts of the complete wff are determined, we write their truth-values underneath the logical sign that is used to form them. The final column filled in shows the truth-value of the entire statement for each truth-value assignment. Given the importance of this column, we highlight it in some way. Here, we highlight it in yellow.

P
Q
R
|
((P
\land
Q)
\neg
R)
T
T
T
T
F
F
F
F
T
T
F
F
T
T
F
F
T
F
T
F
T
F
T
F
T
T
T
T
F
F
F
F
T
T
F
F
F
F
F
F
T
T
F
F
T
T
F
F
F
T
T
T
T
T
T
T
F
T
F
T
F
T
F
T
T
F
T
F
T
F
T
F

Charts such as the one given above are called truth tables. In classical truth-functional propositional logic, a truth table constructed for a given wff in effects reveals everything logically important about that wff. The above chart tells us that the wff “((P \land Q) \rightarrow \neg R)” can only be false if ‘P‘, ‘Q‘ and ‘R‘ are all true, and is true otherwise.

c. Definability of the Operators and the Languages PL’ and PL”

The language PL, as we have seen, contains operators that are roughly analogous to the English operators ‘and’, ‘or’, ‘if… then…’, ‘if and only if’, and ‘not’. Each of these, as we have also seen, can be thought of as representing a certain truth-function. It might be objected however, that there are other methods of combining statements together in which the truth-value of the statement depends wholly on the truth-values of the parts, or in other words, that there are truth-functions besides conjunction, (inclusive) disjunction, material implication, material equivalence and negation. For example, we noted earlier that the sign ‘\lor‘ is used analogously to ‘or’ in the inclusive sense, which means that language PL has no simple sign for ‘or’ in the exclusive sense. It might be thought, however, that the langauge PL is incomplete without the addition of an additional symbol, say ‘\veebar‘, such that \ulcorner (\alpha \veebar \beta) \urcorner would be regarded as true if \alpha is true and \beta is false, or \alpha is false and \beta is true, but would be regarded as false if either both \alpha and \beta are true or both \alpha and \beta are false.

However, a possible response to this objection would be to make note that while language PL does not include a simple sign for this exclusive sense of disjunction, it is possible, using the symbols that are included in PL, to construct a statement that is true in exactly the same circumstances. Consider, for example, a statement of the form \ulcorner \neg (\alpha \leftrightarrow \beta) \urcorner. It is easily shown, using a truth table, that any wff of this form would have the same truth-value as a would-be statement using the operator ‘\veebar‘. See the following chart:

\alpha
\beta
|
\neg
(\alpha
\beta)
T
T
F
F
T
F
T
F
F
T
T
F
T
T
F
F
T
F
F
T
T
F
T
F

Here we see that a wff of the form \ulcorner \neg (\alpha \leftrightarrow \beta) \urcorner is true if either \alpha or \beta is true but not both. This shows that PL is not lacking in any way by not containing a sign ‘\veebar‘. All the work that one would wish to do with this sign can be done using the signs ‘↔’ and ‘\neg‘. Indeed, one might claim that the sign ‘\veebar‘ can be defined in terms of the signs ‘↔’, and ‘\neg‘, and then use the form \ulcorner (\alpha \veebar \beta) \urcorner as an abbreviation of a wff of the form \ulcorner \neg (\alpha \leftrightarrow \beta) \urcorner, without actually expanding the primitive vocabulary of language PL.

The signs ‘\land‘, ‘\lor‘, ‘→’, ‘↔’ and ‘\neg‘, were chosen as the operators to include in PL because they correspond (roughly) the sorts of truth-functional operators that are most often used in ordinary discourse and reasoning. However, given the preceding discussion, it is natural to ask whether or not some operators on this list can be defined in terms of the others. It turns out that they can. In fact, if for some reason we wished our logical language to have a more limited vocabulary, it is possible to get by using only the signs ‘\neg‘ and ‘→’, and define all other possible truth-functions in virtue of them. Consider, for example, the following truth table for statements of the form \ulcorner \neg (\alpha \rightarrow \neg \beta) \urcorner:

\alpha
\beta
|
\neg
(\alpha
\neg
\beta)
T
T
F
F
T
F
T
F
T
F
F
F
T
T
F
F
F
T
T
T
F
T
F
T
T
F
T
F

We can see from the above that a wff of the form \ulcorner \neg (\alpha \rightarrow \neg \beta) \urcorner always has the same truth-value as the corresponding statement of the form \ulcorner (\alpha \land \beta) \urcorner. This shows that the sign ‘\land‘ can in effect be defined using the signs ‘\neg‘ and ‘→’.

Next, consider the truth table for statements of the form \ulcorner (\neg \alpha \rightarrow \beta) \urcorner:

\alpha
\beta
|
(\neg
\alpha
\beta)
T
T
F
F
T
F
T
F
F
F
T
T
T
T
F
F
T
T
T
F
T
F
T
F

Here we can see that a statement of the form \ulcorner (\neg \alpha \rightarrow \beta) \urcorner always has the same truth-value as the corresponding statement of the form \ulcorner (\alpha \lor \beta) \urcorner. Again, this shows that the sign ‘\lor‘ could in effect be defined using the signs ‘→’ and ‘\neg‘.

Lastly, consider the truth table for a statement of the form \ulcorner \neg (( \alpha \rightarrow \beta) \rightarrow \neg (\beta \rightarrow \alpha)) \urcorner:

\alpha
\beta
|
\neg
((\alpha
\beta)
\neg
(\beta
\alpha))
T
T
F
F
T
F
T
F
T
F
F
T
T
T
F
F
T
F
T
T
T
F
T
F
F
T
T
F
F
F
T
F
T
F
T
F
T
T
F
T
T
T
F
F

From the above, we see that a statement of the form \ulcorner \neg (( \alpha \rightarrow \beta) \rightarrow \neg (\beta \rightarrow \alpha)) \urcorner always has the same truth-value as the corresponding statement of the form \ulcorner (\alpha \leftrightarrow \beta) \urcorner. In effect, therefore, we have shown that the remaining operators of PL can all be defined in virtue of ‘→’, and ‘\neg‘, and that, if we wished, we could do away with the operators, ‘\land‘, ‘\lor‘ and ‘↔’, and simply make do with those equivalent expressions built up entirely from ‘→’ and ‘\neg‘.

Let us call the language that results from this simplication PL’. While the definition of a statement letter remains the same for PL’ as for PL, the definition of a well-formed formula (wff) for PL’ can be greatly simplified. In effect, it can be stated as follows:

Definition: A well-formed formula (or wff) of PL’ is defined recursively as follows:

  1. Any statement letter is a well-formed formula.
  2. If \alpha is a well-formed formula, then so is \ulcorner \neg \alpha \urcorner.
  3. If \alpha and \beta are well-formed formulas, then so is \ulcorner (\alpha \rightarrow \beta) \urcorner.
  4. Nothing that cannot be constructed by successive steps of (1)-(3) is a well-formed formula.

Strictly speaking, then, the langauge PL’ does not contain any statements using the operators ‘\lor‘, ‘\land‘, or ‘↔’. One could however, utilize conventions such that, in language PL’, an expression of the form \ulcorner (\alpha \land \beta) \urcorner is to be regarded as a mere abbreviation or short-hand for the corresponding statement of the form \ulcorner \neg (\alpha \rightarrow \neg \beta) \urcorner, and similarly that expressions of the forms \ulcorner (\alpha \lor \beta) \urcorner and \ulcorner (\alpha \leftrightarrow \beta) \urcorner are to be regarded as abbreviations of expressions of the forms \ulcorner (\neg \alpha \rightarrow \beta) \urcorner or \ulcorner \neg (( \alpha \rightarrow \beta) \rightarrow \neg (\beta \rightarrow \alpha)) \urcorner, respectively. In effect, this means that it is possible to translate any wff of language PL into an equivalent wff of language PL’.

In Section VII, it is proven that not only are the operators ‘\neg‘ and ‘→’ sufficient for defining every truth-functional operator included in language PL, but also that they are sufficient for defining any imaginable truth-functional operator in classical propositional logic.

Nevertheless, the choice of ‘\neg‘ and ‘→’ for the primitive signs used in language PL’ is to some extent arbitrary. It would also have been possible to define all other operators of PL (including ‘→’) using the signs ‘\neg‘ and ‘\lor‘. On this approach, \ulcorner (\alpha \land \beta) \urcorner would be defined as \ulcorner \neg (\neg \alpha \lor \neg \beta) \urcorner, \ulcorner (\alpha \rightarrow \beta) \urcorner would be defined as \ulcorner (\neg \alpha \lor \beta) \urcorner, and \ulcorner (\alpha \leftrightarrow \beta) \urcorner would be defined as \ulcorner \neg (\neg(\neg \alpha \lor \beta) \lor \neg (\neg \beta \lor \alpha)) \urcorner. Similarly, we could instead have begun with ‘\neg‘ and ‘\land‘ as our starting operators. On this way of proceeding, \ulcorner (\alpha \lor \beta) \urcorner would be defined as \ulcorner \neg (\neg \alpha \land \neg \beta) \urcorner, \ulcorner (\alpha \rightarrow \beta) \urcorner would be defined as \ulcorner \neg (\alpha \land \neg \beta) \urcorner, and \ulcorner (\alpha \leftrightarrow \beta) \urcorner would be defined as \ulcorner (\neg (\alpha \land \neg \beta) \land \neg (\beta \land \neg \alpha) \urcorner.

There are, as we have seen, multiple different ways of reducing all truth-functional operators down to two primitives. There are also two ways of reducing all truth-functional operators down to a single primitive operator, but they require using an operator that is not included in language PL as primitive. On one approach, we utilize an operator written ‘|’, and explain the truth-function corresponding to this sign by means of the following chart:

\alpha \beta (\alpha | \beta)
T
T
F
F
T
F
T
F
F
T
T
T

Here we can see that a statement of the form \ulcorner (\alpha | \beta) \urcorner is false if both \alpha and \beta are true, and true otherwise. For this reason one might read ‘|’ as akin to the English expression, “Not both … and …”. Indeed, it is possible to represent this truth-function in language PL using an expression of the form, \ulcorner \neg (\alpha \land \beta) \urcorner. However, since it is our intention to show that all other truth-functional operators, including ‘\neg‘ and ‘\land‘ can be derived from ‘|’, it is better not to regard the meanings of ‘\neg‘ and ‘\land‘ as playing a part of the meaning of ‘|’, and instead attempt (however counterintuitive it may seem) to regard ‘|’ as conceptually prior to ‘\neg‘ and ‘\land‘.

The sign ‘|’ is called the Sheffer stroke, and is named after H. M. Sheffer, who first publicized the result that all truth-functional connectives could be defined in virtue of a single operator in 1913.

We can then see that the connective ‘\land‘ can be defined in virtue of ‘|’, because an expression of the form \ulcorner ((\alpha | \beta) | (\alpha | \beta)) \urcorner generates the following truth table, and hence is equivalent to the corresponding expression of the form \ulcorner (\alpha \land \beta) \urcorner:

\alpha
\beta
|
((\alpha
|
\beta)
|
(\alpha
|
\beta))
T
T
F
F
T
F
T
F
T
T
F
F
F
T
T
T
T
F
T
F
T
F
F
F
T
T
F
F
F
T
T
T
T
F
T
F

Similarly, we can define the operator ‘\lor‘ using ‘|’ by noting that an expression of the form \ulcorner ((\alpha | \alpha) | (\beta | \beta)) \urcorner always has the same truth-value as the corresponding statement of the form \ulcorner (\alpha \lor \beta) \urcorner:

\alpha
\beta
|
((\alpha
|
\alpha)
|
(\beta
|
\beta))
T
T
F
F
T
F
T
F
T
T
F
F
F
F
T
T
T
T
F
F
T
T
T
F
T
F
T
F
F
T
F
T
T
F
T
F

The following truth table shows that a statement of the form \ulcorner (\alpha | (\beta | \beta)) \urcorner always has the same truth table as a statement of the form \ulcorner (\alpha \rightarrow \beta) \urcorner:

\alpha
\beta
|
(\alpha
|
(\beta
|
\beta))
T
T
F
F
T
F
T
F
T
T
F
F
T
F
T
T
T
F
T
F
F
T
F
T
T
F
T
F

Although far from intuitively obvious, the following table shows that an expression of the form \ulcorner (((\alpha | \alpha) | (\beta | \beta)) | (\alpha | \beta)) \urcorner always has the same truth-value as the corresponding wff of the form \ulcorner (\alpha \leftrightarrow \beta) \urcorner:

\alpha
\beta
|
(((\alpha
|
\alpha)
|
(\beta
|
\beta))
|
(\alpha
|
\beta))
T

T
F
F

T
F
T
F
T
T
F
F
F
F
T
T
T
T
F
F
T
T
T
F
T
F
T
F
F
T
F
T
T
F
T
F
T
F
F
T
T
T
F
F
F
T
T
T
T
F
T
F

This leaves only the sign ‘\neg‘, which is perhaps the easiest to define using ‘|’, as clearly \ulcorner (\alpha | \alpha) \urcorner, or, roughly, “not both \alpha and \alpha“, has the opposite truth-value from \alpha itself:

\alpha
|
(\alpha
|
\alpha)
T

F

T
F
F
T
T
F

If, therefore, we desire a language for use in studying propositional logic that has as small a vocabulary as possible, we might suggest using a language that employs the sign ‘|’ as its sole primitive operator, and defines all other truth-functional operators in virtue of it. Let us call such a language PL”. PL” differs from PL and PL’ only in that its definition of a well-formed formula can be simplified even further:

Definition: A well-formed formula (or wff) of PL” is defined recursively as follows:

  1. Any statement letter is a well-formed formula.
  2. If \alpha and \beta are well-formed formulas, then so is \ulcorner (\alpha | \beta) \urcorner.
  3. Nothing that cannot be constructed by successive steps of (1)-(2) is a well-formed formula.

In language PL”, strictly speaking, ‘|’ is the only operator. However, for reasons that should be clear from the above, any expression from language PL that involves any of the operators ‘\neg‘, ‘\land‘, ‘\lor‘, ‘→’, or ‘↔’ could be translated into language PL” without the loss of any of its important logical properties. In effect, statements using these signs could be regarded as abbreviations or shorthand expressions for wffs of PL” that only use the operator ‘|’.

Even here, the choice of ‘|’ as the sole primitive is to some extent arbitrary. It would also be possible to reduce all truth-functional operators down to a single primitive by making use of a sign ‘\downarrow‘, treating it as roughly equivalent to the English expression, “neither … nor …”, so that the corresponding chart would be drawn as follows:

\alpha \beta (\alpha \downarrow \beta)
T
T
F
F
T
F
T
F
F
F
F
T

If we were to use ‘\downarrow‘ as our sole operator, we could again define all the others. \ulcorner \neg \alpha \urcorner would be defined as \ulcorner (\alpha \downarrow \alpha) \urcorner; \ulcorner (\alpha \lor \beta) \urcorner would be defined as \ulcorner ((\alpha \downarrow \beta) \downarrow (\alpha \downarrow \beta)) \urcorner; \ulcorner (\alpha \land \beta) \urcorner would be defined as \ulcorner ((\alpha \downarrow \alpha) \downarrow (\beta \downarrow \beta)) \urcorner; and similarly for the other operators. The sign ‘\downarrow‘ is sometimes also referred to as the Sheffer stroke, and is also called the Peirce/Sheffer dagger.

Depending on one’s purposes in studying propositional logic, sometimes it makes sense to use a rich language like PL with more primitive operators, and sometimes it makes sense to use a relatively sparse language such as PL’ or PL” with fewer primitive operators. The advantage of the former approach is that it conforms better with our ordinary reasoning and thinking habits; the advantage of the latter is that it simplifies the logical language, which makes certain interesting results regarding the deductive systems making use of the language easier to prove.

For the remainder of this article, we shall primarily be concerned with the logical properties of statements formed in the richer language PL. However, we shall consider a system making use of language PL’ in some detail in Section VI, and shall also make brief mention of a system making use of language PL”.

4. Tautologies, Logical Equivalence and Validity

Truth-functional propositional logic concerns itself only with those ways of combining statements to form more complicated statements in which the truth-values of the complicated statements depend entirely on the truth-values of the parts. Owing to this, all those features of a complex statement that are studied in propositional logic derive from the way in which their truth-values are derived from those of their parts. These features are therefore always represented in the truth table for a given statement.

Some complex statements have the interesting feature that they would be true regardless of the truth-values of the simple statements making them up. A simple example would be the wff “P \lor \neg P“; that is, “P or not P“. It is fairly easy to see that this statement is true regardless of whether ‘P‘ is true or ‘P‘ is false. This is also shown by its truth table:

P
|
P
\lor
\neg
P
T

F

T
F
T
T
F
T
T
F

There are, however, statements for which this is true but it is not so obvious. Consider the wff, “R \rightarrow ((P \rightarrow Q) \lor \neg (R \rightarrow Q))“. This wff also comes out as true regardless of the truth-values of ‘P‘, ‘Q‘ and ‘R‘.

P
Q
R
|
R
((P
Q)
\lor
\neg
(R
Q))
T
T
T
T
F
F
F
F
T
T
F
F
T
T
F
F
T
F
T
F
T
F
T
F
T
F
T
F
T
F
T
F
T
T
T
T
T
T
T
T
T
T
T
T
F
F
F
F
T
T
F
F
T
T
T
T
T
T
F
F
T
T
F
F
T
T
T
F
T
T
T
T
F
F
T
F
F
F
T
F
T
F
T
F
T
F
T
F
T
T
F
T
T
T
F
T
T
T
F
F
T
T
F
F

Statements that have this interesting feature are called tautologies. Let us define this notion precisely.

Definition: a wff is a tautology if and only if it is true for all possible truth-value assignments to the statement letters making it up.

Tautologies are also sometimes called logical truths or truths of logic because tautologies can be recognized as true solely in virtue of the principles of propositional logic, and without recourse to any additional information.

On the other side of the spectrum from tautologies are statements that come out as false regardless of the truth-values of the simple statements making them up. A simple example of such a statement would be the wff “P \land \neg P“; clearly such a statement cannot be true, as it contradicts itself. This is revealed by its truth table:

P
|
P
\land
\neg
P
T

F

T
F
F
F
F
T
T
F

To state this precisely:

Definition: a wff is a self-contradiction if and only if it is false for all possible truth-value assignments to the statement letters making it up.

Another, more interesting, example of a self-contradiction is the statement “\neg (P \rightarrow Q) \land \neg (Q \rightarrow P)“; this is not as obviously self-contradictory. However, we can see that it is when we consider its truth table:

P
Q
|
\neg
(P
Q)
\land
\neg
(Q
P)
T

T
F
F

T
F
T
F
F
T
F
F
T
T
F
F
T
F
T
T
T
F
T
F
F
F
F
F
F
F
T
F
T
F
T
F
T
T
F
T
T
T
F
F

A statement that is neither self-contradictory nor tautological is called a contingent statement. A contingent statement is true for some truth-value assignments to its statement letters and false for others. The truth table for a contingent statement reveals which truth-value assignments make it come out as true, and which make it come out as false. Consider the truth table for the statement “(P \rightarrow Q) \land (P \rightarrow \neg Q)“:

P
Q
|
(P
Q)
\land
(P
\neg
Q)
T

T
F
F

T
F
T
F
T
T
F
F
T
F
T
T
T
F
T
F
F
F
T
T
T
T
F
F
F
T
T
T
F
T
F
T
T
F
T
F

We can see that of the four possible truth-value assignments for this statement, two make it come as true, and two make it come out as false. Specifically, the statement is true when ‘P‘ is false and ‘Q‘ is true, and when ‘P‘ is false and ‘Q‘ is false, and the statement is false when ‘P‘ is true and ‘Q‘ is true and when ‘P‘ is true and ‘Q‘ is false.

Truth tables are also useful in studying logical relationships that hold between two or more statements. For example, two statements are said to be consistent when it is possible for both to be true, and are said to be inconsistent when it is not possible for both to be true. In propositional logic, we can make this more precise as follows.

Definition: two wffs are consistent if and only if there is at least one possible truth-value assignment to the statement letters making them up that makes both wffs true.

Definition: two wffs are inconsistent if and only if there is no truth-value assignment to the statement letters making them up that makes them both true.

Whether or not two statements are consistent can be determined by means of a combined truth table for the two statements. For example, the two statements, “P \lor Q” and “\neg (P \leftrightarrow \neg Q)” are consistent:

P
Q
|
P
\lor
Q
\neg
(P
\neg
Q)
T

T
F
F

T
F
T
F
T
T
F
F
T
T
T
F
T
F
T
F
T
F
F
T
T
T
F
F
F
T
T
F
F
T
F
T
T
F
T
F

Here, we see that there is one truth-value assignment, that in which both ‘P‘ and ‘Q‘ are true, that makes both “P \lor Q” and “\neg (P \leftrightarrow \neg Q)” true. However, the statements “(P \rightarrow Q) \land P” and “\neg (Q \lor \neg P)” are inconsistent, because there is no truth-value assignment in which both come out as true.

P
Q
|
(P
Q)
\land
P
\neg
(Q
\lor
\neg
P))
T

T
F
F

T
F
T
F
T
T
F
F
T
F
T
T
T
F
T
F
T
F
F
F
T
T
F
F
F
T
F
F
T
F
T
F
T
F
T
T
F
F
T
T
T
T
F
F

Another relationship that can hold between two statements is that of having the same truth-value regardless of the truth-values of the simple statements making them up. Consider a combined truth table for the wffs “\neg P \rightarrow \neg Q” and “\neg (Q \land \neg P)“:

P
Q
|
\neg
P
\neg
Q
\neg
(Q
\land
\neg
P))
T

T
F
F

T
F
T
F
F
F
T
T
T
T
F
F
T
T
F
T
F
T
F
T
T
F
T
F
T
T
F
T
T
F
T
F
F
F
T
F
F
F
T
T
T
T
F
F

Here we see that these two statements necessarily have the same truth-value.

Definition: two statements are said to be logically equivalent if and only if all possible truth-value assignments to the statement letters making them up result in the same resulting truth-values for the whole statements.

The above statements are logically equivalent. However, the truth table given above for the statements “P \lor Q” and “\neg (P \leftrightarrow \neg Q)” show that they, on the other hand, are not logically equivalent, because they differ in truth-value for three of the four possible truth-value assignments.

Finally, and perhaps most importantly, truth tables can be utilized to determine whether or not an argument is logically valid. In general, an argument is said to be logically valid whenever it has a form that makes it impossible for the conclusion to be false if the premises are true. (See the encyclopedia article on “Validity and Soundness“.) In classical propositional logic, we can give this a more precise characterization.

Definition: a wff \beta is said to be a logical consequence of a set of wffs \alpha_1, \alpha_2, ..., \alpha_n, if and only if there is no truth-value assignment to the statement letters making up these wffs that makes all of \alpha_1, \alpha_2, ..., \alpha_n true but does not make \beta true.

An argument is logically valid if and only if its conclusion is a logical consequence of its premises. If an argument whose conclusion is \beta and whose only premise is \alpha is logically valid, then \alpha is said to logically imply \beta.

For example, consider the following argument:

\( \begin{array}{l} P \rightarrow Q\\ \neg Q \rightarrow P\\ \hline Q \end{array} \)

We can test the validity of this argument by constructing a combined truth table for all three statements.

P
Q
|
P
Q
\neg
Q
P
Q
T

T
F
F

T
F
T
F
T
T
F
F
T
F
T
T
T
F
T
F
F
T
F
T
T
F
T
F
T
T
T
F
T
T
F
F
T
F
T
F

Here we see that both premises come out as true in the case in which both ‘P‘ and ‘Q‘ are true, and in which ‘P‘ is false but ‘Q‘ is true. However, in those cases, the conclusion is also true. It is possible for the conclusion to be false, but only if one of the premises is false as well. Hence, we can see that the inference represented by this argument is truth-preserving. Contrast this with the following example:

\( \begin{array}{l} P \rightarrow Q\\ \hline \neg Q \lor \neg P \end{array} \)

Consider the truth-value assignment making both ‘P‘ and ‘Q‘ true. If we were to fill in that row of the truth-value for these statements, we would see that “P \rightarrow Q” comes out as true, but “\neg Q \lor \neg P” comes out as false. Even if ‘P‘ and ‘Q‘ are not actually both true, it is possible for them to both be true, and so this form of reasoning is not truth-preserving. In other words, the argument is not logically valid, and its premise does not logically imply its conclusion.

One of the most striking features of truth tables is that they provide an effective procedure for determining the logical truth, or tautologyhood of any single wff, and for determining the logical validity of any argument written in the language PL. The procedure for constructing such tables is purely rote, and while the size of the tables grows exponentially with the number of statement letters involved in the wff(s) under consideration, the number of rows is always finite and so it is in principle possible to finish the table and determine a definite answer. In sum, classical propositional logic is decidable.

5. Deduction: Rules of Inference and Replacement

a. Natural Deduction

Truth tables, as we have seen, can theoretically be used to solve any question in classical truth-functional propositional logic. However, this method has its drawbacks. The size of the tables grows exponentially with the number of distinct statement letters making up the statements involved. Moreover, truth tables are alien to our normal reasoning patterns. Another method for establishing the validity of an argument exists that does not have these drawbacks: the method of natural deduction. In natural deduction an attempt is made to reduce the reasoning behind a valid argument to a series of steps each of which is intuitively justified by the premises of the argument or previous steps in the series.

Consider the following argument stated in natural language:

Either cat fur or dog fur was found at the scene of the crime. If dog fur was found at the scene of the crime, officer Thompson had an allergy attack. If cat fur was found at the scene of the crime, then Macavity is responsible for the crime. But officer Thompson didn’t have an allergy attack, and so therefore Macavity must be responsible for the crime.

The validity of this argument can be made more obvious by representing the chain of reasoning leading from the premises to the conclusion:

  1. Either cat fur was found at the scene of the crime, or dog fur was found at the scene of the crime. (Premise)
  2. If dog fur was found at the scene of the crime, then officer Thompson had an allergy attack. (Premise)
  3. If cat fur was found at the scene of the crime, then Macavity is responsible for the crime. (Premise)
  4. Officer Thompson did not have an allergy attack. (Premise)
  5. Dog fur was not found at the scene of the crime. (Follows from 2 and 4.)
  6. Cat fur was found at the scene of the crime. (Follows from 1 and 5.)
  7. Macavity is responsible for the crime. (Conclusion. Follows from 3 and 6.)

Above, we do not jump directly from the premises to the conclusion, but show how intermediate inferences are used to ultimately justify the conclusion by a step-by-step chain. Each step in the chain represents a simple, obviously valid form of reasoning. In this example, the form of reasoning exemplified in line 5 is called modus tollens, which involves deducing the negation of the antecedent of a conditional from the conditional and the negation of its consequent. The form of reasoning exemplified in step 5 is called disjunctive syllogism, and involves deducing one disjunct of a disjunction on the basis of the disjunction and the negation of the other disjunct. Lastly, the form of reasoning found at line 7 is called modus ponens, which involves deducing the truth of the consequent of a conditional given truth of both the conditional and its antecedent. “Modus ponens” is Latin for affirming mode, and “modus tollens” is Latin for denying mode.

A system of natural deduction consists in the specification of a list of intuitively valid rules of inference for the construction of derivations or step-by-step deductions. Many equivalent systems of deduction have been given for classical truth-functional propositional logic. In what follows, we sketch one system, which is derived from the popular textbook by Irving Copi (1953). The system makes use of the language PL.

b. Rules of Inference

Here we give a list of intuitively valid rules of inference. The rules are stated in schematic form. Any inference in which any wff of language PL is substituted unformly for the schematic letters in the forms below constitutes an instance of the rule.

Modus ponens (MP):

\( \begin{array}{l} \alpha \rightarrow \beta, \alpha\\ \hline \beta \end{array} \)

(Modus ponens is sometimes also called “modus ponendo ponens”, “detachment” or a form of “→-elimination”.)

Modus tollens (MT):

\( \begin{array}{l} \alpha \rightarrow \beta, \neg \beta\\ \hline \neg \alpha \end{array} \)

(Modus tollens is sometimes also called “modus tollendo tollens” or a form of “→-elimination”.)

Disjunctive syllogism (DS): (two forms)

\( \begin{array}{l} \alpha \lor \beta, \neg \alpha\\ \hline \beta \end{array} \)

\( \begin{array}{l} \alpha \lor \beta, \neg \beta\\ \hline \alpha \end{array} \)

(Disjunctive syllogism is sometimes also called “modus tollendo ponens” or “\lor-elimination”.)

Addition (Add): (two forms)

\( \begin{array}{l} \alpha\\ \hline \alpha \lor \beta \end{array} \)

\( \begin{array}{l} \beta\\ \hline \alpha \lor \beta \end{array} \)

(Addition is sometimes also called “disjunction introduction” or “\lorintroduction”.)

Simplification (Simp): (two forms)

\( \begin{array}{l} \alpha \land \beta\\ \hline \alpha \end{array} \)

\( \begin{array}{l} \alpha \land \beta\\ \hline \beta \end{array} \)

(Simplification is sometimes also called “conjunction elimination” or “\land-elimination”.)

Conjunction (Conj):

\( \begin{array}{l} \alpha, \beta\\ \hline \alpha \land \beta \end{array} \)

(Conjunction is sometimes also called “conjunction introduction”, “\land-introduction” or “logical multiplication”.)

Hypothetical syllogism (HS):

\( \begin{array}{l} \alpha \rightarrow \beta, \beta \rightarrow \gamma\\ \hline \alpha \rightarrow \gamma \end{array} \)

(Hypothetical syllogism is sometimes also called “chain reasoning” or “chain deduction”.)

Constructive dilemma (CD):

\( \begin{array}{l} (\alpha \rightarrow \gamma) \land (\beta \rightarrow \delta), \alpha \lor \beta\\ \hline \gamma \lor \delta \end{array} \)

Absorption (Abs):

\( \begin{array}{l} \alpha \rightarrow \beta\\ \hline \alpha \rightarrow (\alpha \land \beta) \end{array} \)

c. Rules of Replacement

The nine rules of inference listed above represent ways of inferring something new from previous steps in a deduction. Many systems of natural deduction, including those initially designed by Gentzen, consist entirely of rules similar to the above. If the language of a system involves signs introduced by definition, it must also allow the substitution of a defined sign for the expression used to define it, or vice versa. Still other systems, while not making use of defined signs, allow one to make certain substitutions of expressions of one form for expressions of another form in certain cases in which the expressions in question are logically equivalent. These are called rules of replacement, and Copi’s natural deduction system invokes such rules. Strictly speaking, rules of replacement differ from inference rules, because, in a sense, when a rule of replacement is used, one is not inferring something new but merely stating what amounts to the same thing using a different combination of symbols. In some systems, rules for replacement can be derived from the inference rules, but in Copi’s system, they are taken as primitive.

Rules of replacement also differ from inference rules in other ways. Inference rules only apply when the main operators match the patterns given and only apply to entire statements. Inference rules are also strictly unidirectional: one must infer what is below the horizontal line from what is above and not vice-versa. However, replacement rules can be applied to portions of statements and not only to entire statements; moreover, they can be implemented in either direction.

The rules of replacement used by Copi are the following:

Double negation (DN):

\ulcorner \neg \neg \alpha \urcorner is interreplaceable with \alpha

(Double negation is also called “\neg-elimination”.)

Commutativity (Com): (two forms)

\ulcorner \alpha \land \beta \urcorner is interreplaceable with \ulcorner \beta \land \alpha \urcorner
\ulcorner \alpha \lor \beta \urcorner is interreplaceable with \ulcorner \beta \lor \alpha \urcorner

Associativity (Assoc): (two forms)

\ulcorner (\alpha \land \beta) \land \gamma \urcorner is interreplaceable with \ulcorner \alpha \land (\beta \land \gamma) \urcorner
\ulcorner (\alpha \lor \beta) \lor \gamma \urcorner is interreplaceable with \ulcorner \alpha \lor (\beta \lor \gamma) \urcorner

Tautology (Taut): (two forms)

\alpha is interreplaceable with \ulcorner \alpha \land \alpha \urcorner
\alpha is interreplaceable with \ulcorner \alpha \lor \alpha \urcorner

DeMorgan’s Laws (DM): (two forms)

\ulcorner \neg (\alpha \land \beta) \urcorner is interreplaceable with \ulcorner \neg \alpha \lor \neg \beta \urcorner
\ulcorner \neg (\alpha \lor \beta) \urcorner is interreplaceable with \ulcorner \neg \alpha \land \neg \beta \urcorner

Transposition (Trans):

\ulcorner \alpha \rightarrow \beta \urcorner is interreplaceable with \ulcorner \neg \beta \rightarrow \neg \alpha \urcorner

(Transposition is also sometimes called “contraposition”.)

Material Implication (Impl):

\ulcorner \alpha \rightarrow \beta \urcorner is interreplaceable with \ulcorner \neg \alpha \lor \beta \urcorner

Exportation (Exp):

\ulcorner \alpha \rightarrow (\beta \rightarrow \gamma) \urcorner is interreplaceable with \ulcorner (\alpha \land \beta) \rightarrow \gamma \urcorner

Distribution (Dist): (two forms)

\ulcorner \alpha \land (\beta \lor \gamma) \urcorner is interreplaceable with \ulcorner (\alpha \land \beta) \lor (\alpha \land \gamma) \urcorner
\ulcorner \alpha \lor (\beta \land \gamma) \urcorner is interreplaceable with \ulcorner (\alpha \lor \beta) \land (\alpha \lor \gamma) \urcorner

Material Equivalence (Equiv): (two forms)

\ulcorner \alpha \leftrightarrow \beta \urcorner is interreplaceable with \ulcorner (\alpha \rightarrow \beta) \land (\beta \rightarrow \alpha) \urcorner
\ulcorner \alpha \leftrightarrow \beta \urcorner is interreplaceable with \ulcorner (\alpha \land \beta) \lor (\neg \alpha \land \neg \beta) \urcorner

(Material equivalence is sometimes also called “biconditional introduction/elimination” or “↔-introduction/elimination”.)

d. Direct Deductions

A direct deduction of a conclusion from a set of premises consists of an ordered sequence of wffs such that each member of the sequence is either (1) a premise, (2) derived from previous members of the sequence by one of the inference rules, (3) derived from a previous member of the sequence by the replacement of a logically equivalent part according to the rules of replacement, and such that the conclusion is the final step of the sequence.

To be even more precise, a direct deduction is defined as an ordered sequence of wffs, \beta_1, \beta_2, ..., \beta_n, such that for each step \beta_i where i is between 1 and n inclusive, either (1) \beta_i is a premise, (2) \beta_i matches the form given below the horizontal line for one of the 9 inference rules, and there are wffs in the sequence prior to \beta_i matching the forms given above the horizontal line, (3) there is a previous step in the sequence \beta_j where j < i and \beta_j differs from \beta_i at most by matching or containing a part that matches one of the forms given for one of the 10 replacement rules in the same place in whcih \beta_i contains the wff of the corresponding form, and such that the conclusion of the argument is \beta_n.

Using line numbers and the abbreviations for the rules of the system to annotate, the chain of reasoning given above in English, when transcribed into language PL and organized as a direct deduction, would appear as follows:

1. C \lor D Premise
2. C \rightarrow O Premise
3. D \rightarrow M Premise
4. \neg O Premise
5. \neg C 2,4 MT
6. D 1,5 DS
7. M 2,6 MP

There is no unique derivation for a given conclusion from a given set of premises. Here is a distinct derivation for the same conclusion from the same premises:

1. C \lor D Premise
2. C \rightarrow O Premise
3. D \rightarrow M Premise
4. \neg O Premise
5. (C \rightarrow O) \land (D \rightarrow M) 2,3 Conj
6. O \lor M 1,5 CD
7. M 4,6 DS

Consider next the argument:

\( \begin{array}{l} P \leftrightarrow Q\\ (S \lor T) \rightarrow Q\\ \neg P \lor (\neg T \land R)\\ \hline T \rightarrow U \end{array} \)

This argument has six distinct statement letters, and hence constructing a truth table for it would require 64 rows. The table would have 22 columns, thereby requiring 1,408 distinct T/F calculations. Happily, the derivation of the conclusion of the premises using our inference and replacement rules, while far from simple, is relatively less exhausting:

1. P \leftrightarrow Q Premise
2. (S \lor T) \rightarrow Q Premise
3. \neg P \lor (\neg T \land R) Premise
4. (P \rightarrow Q) \land (Q \rightarrow P) 1 Equiv
5. Q \rightarrow P 4 Simp
6. (S \lor T) \rightarrow P 2,5 HS
7. P \rightarrow (\neg T \land R) 3 Impl
8. (S \lor T) \rightarrow (\neg T \land R) 6,7 HS
9. \neg (S \lor T) \lor (\neg T \land R) 8 Impl
10. (\neg S \land \neg T) \lor (\neg T \land R) 9 DM
11. ((\neg S \land \neg T) \lor \neg T) \land ((\neg S \land \neg T) \lor R) 10 Dist
12. (\neg S \land \neg T) \lor \neg T 11 Simp
13. \neg T \lor (\neg S \land \neg T) 12 Com
14. (\neg T \lor \neg S) \land (\neg T \lor \neg T) 13 Dist
15. \neg T \lor \neg T 14 Simp
16. \neg T 15 Taut
17. \neg T \lor U 16 Add
18. T \rightarrow U 17 Impl

e. Conditional and Indirect Proofs

Together the nine inference rules and ten rules of replacement are sufficient for creating a deduction for any logically valid argument, provided that the argument has at least one premise. However, to cover the limiting case of arguments with no premises, and simply to facillitate certain deductions that would be recondite otherwise, it is also customary to allow for certain methods of deduction other than direct derivation. Specifically, it is customary to allow the proof techniques known as conditional proof and indirect proof.

A conditional proof is a derivation technique used to establish a conditional wff, that is, a wff whose main operator is the sign ‘→’. This is done by constructing a sub-derivation within a derivation in which the antecedent of the conditional is assumed as a hypothesis. If, by using the inference rules and rules of replacement (and possibly additional sub-derivations), it is possible to arrive at the consequent, it is permissible to end the sub-derivation and conclude the truth of the conditional statement within the main derivation, citing the sub-derivation as a conditional proof, or ‘CP’ for short. This is much clearer by considering the following example argument:

\( \begin{array}{l} P \rightarrow (Q \lor R)\\ P \rightarrow \neg S\\ S \leftrightarrow Q\\ \hline P \rightarrow R \end{array} \)

While a direct derivation establishing the validity of this argument is possible, it is easier to establish the validity of this argument using a conditional derivation.

1. P \rightarrow (Q \lor R) Premise
2. P \rightarrow \neg S Premise
3. S \leftrightarrow Q Premise
4. P Assumption
5. Q \lor R 1,4 MP
6. \neg S 2,4 MP
7. (S \rightarrow Q) \land (Q \rightarrow S) 3 Equiv
8. Q \rightarrow S 7 Simp
9. \neg Q 6,8 MT
10. R 5,9 DS
11. P \rightarrow R 4-10 CP

Here in order to establish the conditional statement “P \rightarrow R“, we constructed a sub-derivation, which is the portion found at lines 4-10. First, we assumed the truth of ‘P‘, and found that with it, we could derive ‘R‘. Given the premises, we therefore had shown that if ‘P‘ were also true, so would be ‘R‘. Therefore, on the basis of the sub-derivation we were justified in concluding “P \rightarrow R“. This is the usual methodology used in logic and mathematics for establishing the truth of a conditional statement.

Another common method is that of indirect proof, also known as proof by reductio ad absurdum. (For a fuller discussion, see the article on reductio ad absurdum in the encyclopedia.) In an indirect proof (‘IP’ for short), our goal is to demonstrate that a certain wff is false on the basis of the premises. Again, we make use of a sub-derivation; here, we begin by assuming the opposite of that which we’re trying to prove, that is, we assume that the wff is true. If on the basis of this assumption, we can demonstrate an obvious contradiction, that is, a statement of the form \ulcorner \alpha \land \neg \alpha \urcorner, we can conclude that the assumed statement must be false, because anything that leads to a contradiction must be false.

For example, consider the following argument:

\( \begin{array}{l} P \rightarrow Q\\ P \rightarrow (Q \rightarrow \neg P)\\ \hline \neg P \end{array} \)

While, again, a direct derivation of the conclusion for this argument from the premises is possible, it is somewhat easier to prove that “\neg P” is true by showing that, given the premises, it would be impossible for ‘P‘ to be true by assuming that it is and showing this to be absurd.

1. P \rightarrow Q Premise
2. P \rightarrow (Q \rightarrow \neg P) Premise
3. P Assumption
4. Q 1,3 MP
5. Q \rightarrow \neg P 2,3 MP
6. \neg P 4,5 MP
7. P \land \neg P 3,6 Conj
8. \neg P 3-7 IP

Here we were attempting to show that “\neg P” was true given the premises. To do this we assumed instead that ‘P‘ was true. Since this assumption was impossible, we were justified in concluding that ‘P‘ is false, that is, that “\neg P” is true.

When making use of either conditional proof or indirect proof, once a sub-derivation is finished, the lines making it up cannot be used later on in the main derivation or any additional sub-derivations that may be constructed later on.

This completes our characterization of a system of natural deduction for the language PL.

The system of natural deduction just described is formally adequate in the following sense. Earlier, we defined a valid argument as one in which there is no possible truth-value assignment to the statement letters making up its premises and conclusion that makes the premises all true but the conclusion untrue. It is provable that an argument in the language of PL is formally valid in that sense if and only if it is possible to construct a derivation of the conclusion of that argument from the premises using the above rules of inference, rules of replacement and techniques of conditional and indirect proof. Space limitations preclude a full proof of this in the metalanguage, although the reasoning is very similar to that given for the axiomatic Propositional Calculus discussed in Sections VI and VII below.

Informally, it is fairly easy to see that no argument for which a deduction is possible in this system could be invalid according to truth tables. Firstly, the rules of inference are all truth-preserving. For example, in the case of modus ponens, it is fairly easy to see from the truth table for any set of statements of the appropriate form that no truth-value assignment could make both \ulcorner \alpha \rightarrow \beta \urcorner and \alpha true while making \beta false. A similar consideration applies for the others. Moreover, truth tables can easily be used to verify that statements of one of the forms mentioned in the rules of replacement are all logically equivalent with those the rule allows one to swap for them. Hence, the statements could never differ in truth-value for any truth-value assignment. In case of conditional proof, note that any truth-value assignment must make either the conditional true, or it must make the antecedent true and consequent false. The antecedent is what is assumed in a conditional proof. So, if the truth-value assignment makes both it and the premises of the argument true, because the other rules are all truth-preserving, it would be impossible to derive the consequent unless it were also true. A similar consideration justifies the use of indirect proof.

This system represents a useful method for establishing the validity of an argument that has the advantage of coinciding more closely with the way we normally reason. (As noted earlier, however, there are many equivalent systems of natural deduction, all coinciding relatively closely to ordinary reasoning patterns.) One disadvantage this method has, however, is that, unlike truth tables, it does not provide a means for recognizing that an argument is invalid. If an argument is invalid, there is no deduction for it in the system. However, the system itself does not provide a means for recognizing when a deduction is impossible.

Another objection that might be made to the system of deduction sketched above is that it contains more rules and more techniques than it needs to. This leads us directly into our next topic.

6. Axiomatic Systems and the Propositional Calculus

The system of deduction discussed in the previous section is an example of a natural deduction system, that is, a system of deduction for a formal language that attempts to coincide as closely as possible to the forms of reasoning most people actually employ. Natural systems of deduction are typically contrasted with axiomatic systems. Axiomatic systems are minimalist systems; rather than including rules corresponding to natural modes of reasoning, they utilize as few basic principles or rules as possible. Since so few kinds of steps are available in a deduction, relatively speaking, an axiomatic system usually requires more steps for the deduction of a conclusion from a given set of premises as compared to a natural deduction system.

Typically, an axiomatic system consists in the specification of certain wffs that are specified as “axioms”. An axiom is something that is taken as a fundamental truth of the system that does not itself require proof. To allow for the deduction of results from the axioms or the premises of an argument, the system typically also includes at least one (and often only one) rule of inference. Usually, an attempt is made to limit the number of axioms to as few as possible, or at least, limit the number of forms axioms can take.

Because axiomatic systems aim to be minimal, typically they employ languages with simplified vocabularies whenever possible. For classical truth-functional propositional logic, this might involve using a simpler language such as PL’ or PL” instead of the full language PL.

For most of the remainder of this section, we shall sketch an axiomatic system for classical truth-functional propositional logic, which we shall dub the Propositional Calculus (or PC for short). The Propositional Calculus makes use of language PL’, described above. That is, the only connectives it uses are ‘→’ and ‘\neg‘, and the other operators, if used at all, would be understood as shorthand abbreviations making use of the definitions discussion in Section III(c).

System PC consists of three axiom schemata, which are forms a wff fits if it is axiom, along with a single inference rule: modus ponens. We make this more precise by specifying certain definitions.

Definition: a wff of language PL’ is an axiom of PC if and only if it is an instance of one of the following three forms:

\alpha \rightarrow (\beta \rightarrow \alpha) (Axiom Schema 1, or AS1)
(\alpha \rightarrow (\beta \rightarrow \gamma)) \rightarrow ((\alpha \rightarrow \beta) \rightarrow (\alpha \rightarrow \gamma)) (Axiom Schema 2, or AS2)
(\neg \alpha \rightarrow \neg \beta) \rightarrow ((\neg \alpha \rightarrow \beta) \rightarrow \alpha) (Axiom Schema 3, or AS3)

Note that according to this definition, every wff of the form \ulcorner \alpha \rightarrow (\beta \rightarrow \alpha) \urcorner is an axiom. This includes an infinite number of different wffs, from simple cases such as “P \rightarrow (Q \rightarrow P)“, to much more complicated cases such as “(\neg R \rightarrow \neg \neg S) \rightarrow (\neg(\neg M \rightarrow N) \rightarrow (\neg R \rightarrow \neg \neg S))“.

An ordered step-by-step deduction constitutes a derivation in system PC if and only if each step in the deduction is either (1) a premise of the argument, (2) an axiom, or (3) derived from previous steps by modus ponens. Once again we can make this more precise with the following (more recondite) definition:

Definition: an ordered sequence of wffs \beta_1, \beta_2, ..., \beta_n is a derivation in system PC of the wff \beta_n from the premises \alpha_1, \alpha_2, ..., \alpha_m if and only if, for each wff \beta_i in the sequence \beta_1, \beta_2, ..., \beta_n, either (1) \beta_i is one of the premises \alpha_1, \alpha_2, ..., \alpha_m, (2) \beta_i is an axiom of PC, or (3) \beta_i follows from previous members of the series by the inference rule modus ponens (that is, there are previous members of the sequence, \beta_j and \beta_k, such that \beta_j takes the form \ulcorner \beta_k \rightarrow \beta_i \urcorner).

For example, consider the following argument written in the language PL’:

\( \begin{array}{l} P\\ (R \rightarrow P) \rightarrow (R \rightarrow (P \rightarrow S))\\ \hline R \rightarrow S \end{array} \)

The following constitutes a derivation in system PC of the conclusion from the premises:

1. P Premise
2. (R \rightarrow P) \rightarrow (R \rightarrow (P \rightarrow S)) Premise
3. P \rightarrow (R \rightarrow P) Instance of AS1
4. R \rightarrow P 1,3 MP
5. R \rightarrow (P \rightarrow S) 2,4 MP
6. (R \rightarrow (P \rightarrow S)) \rightarrow ((R \rightarrow P) \rightarrow (R \rightarrow S)) Instance of AS2
7. (R \rightarrow P) \rightarrow (R \rightarrow S) 5,6 MP
8. R \rightarrow S 4,7 MP

Historically, the original axiomatic systems for logic were designed to be akin to other axiomatic systems found in mathematics, such as Euclid’s axiomatization of geometry. The goal of developing an axiomatic system for logic was to create a system in which to derive truths of logic making use only of the axioms of the system and the inference rule(s). Those wffs that can be derived from the axioms and inference rule alone, that is, without making use of any additional premises, are called theorems or theses of the system. To make this more precise:

Definition: a wff \alpha is said to be a theorem of PC if and only if there is an ordered sequence of wffs, specifically, a derivation, \beta_1, \beta_2, ..., \beta_n such that, \alpha is \beta_n and each wff \beta_i in the sequence \beta_1, \beta_2, ..., \beta_n, is such that either (1) \beta_i is an axiom of PC, or (2) \beta_i follows from previous members of the series by modus ponens.

One very simple theorem of system PC is the wff “P \rightarrow P“. We can show that it is a theorem by constructing a derivation of “P \rightarrow P” that makes use only of axioms and MP and no additional premises.

1. P \rightarrow (P \rightarrow P) Instance of AS1
2. P \rightarrow ((P \rightarrow P) \rightarrow P) Instance of AS1
3. (P \rightarrow ((P \rightarrow P) \rightarrow P)) \rightarrow ((P \rightarrow (P \rightarrow P)) \rightarrow (P \rightarrow P)) Instance of AS2
4. (P \rightarrow (P \rightarrow P)) \rightarrow (P \rightarrow P) 2,3 MP
5. P \rightarrow P 1,4 MP

It is fairly easy to see that not only is “P \rightarrow P” a theorem of PC, but so is any wff of the form \ulcorner \alpha \rightarrow \alpha \urcorner. Whatever \alpha happens to be, there will be a derivation in PC of the same form:

1. \alpha \rightarrow (\alpha \rightarrow \alpha) Instance of AS1
2. \alpha \rightarrow ((\alpha \rightarrow \alpha) \rightarrow \alpha) Instance of AS1
3. (\alpha \rightarrow ((\alpha \rightarrow \alpha) \rightarrow \alpha)) \rightarrow ((\alpha \rightarrow (\alpha \rightarrow \alpha)) \rightarrow (\alpha \rightarrow \alpha)) Instance of AS2
4. (\alpha \rightarrow (\alpha \rightarrow \alpha)) \rightarrow (\alpha \rightarrow \alpha) 2,3 MP
5. \alpha \rightarrow \alpha 1,4 MP

So even if we make \alpha in the above the more complicated wff, for example, “\neg (\neg M \rightarrow N)“, a derivation with the same form shows that “\neg (\neg M \rightarrow N) \rightarrow \neg (\neg M \rightarrow N)” is also a theorem of PC. Hence, we call \ulcorner \alpha \rightarrow \alpha \urcorner a theorem schema of PC, because all of its instances are theorems of PC. From now on, let’s call it “Theorem Schema 1”, or “TS1” for short.

The following are also theorem schemata of PC:

\alpha \rightarrow \neg \neg \alpha (Theorem Schema 2, or TS2)
\neg \alpha \rightarrow (\alpha \rightarrow \beta) (TS3)
\alpha \rightarrow (\neg \beta \rightarrow \neg (\alpha \rightarrow \beta)) (TS4)
(\alpha \rightarrow \beta) \rightarrow ((\neg \alpha \rightarrow \beta) \rightarrow \beta) (TS5)

You may wish to verify this for yourself by attempting to construct the appropriate proofs for each. Be warned that some require quite lengthy derivations!

It is common to use the notation:

\vdash \beta

to mean that β is a theorem. Similarly, it is common to use the notation:

\alpha_1, \alpha_2, ..., \alpha_m \vdash \beta

to mean that it is possible to construct a derivation of \beta making use of \alpha_1, \alpha_2, ..., \alpha_m as premises.

Considered in terms of number of rules it employs, the axiomatic system PC is far less complex than the system of natural deduction sketched in the previous section. The natural deduction system made use of nine inference rules, ten rules of replacement and two additional proof techniques. The axiomatic system instead, makes use of three axiom schemata and a single inference rule and no additional proof techniques. Yet, the axiomatic system is not lacking in any way.

Indeed, for any argument using language PL’ that is logically valid according to truth tables it is possible to construct a derivation in system PC for that argument. Moreover, every wff of language PL’ that is a logical truth, that is, a tautology according to truth tables, is a theorem of PC. The reverse of these results is true as well; every theorem of PC is a tautology, and every argument for which a derivation in system PC exists is logically valid according to truth tables. These and other features of the Propositional Calculus are discussed, and some are even proven in the next section below.

While the Propositional Calculus is simpler in one way than the natural deduction system sketched in the previous section, in many ways it is actually more complicated to use. For any given argument, a deduction of the conclusion from the premises conducted in PC is likely to be far longer and less psychologically natural than one carried out in a natural deduction system. Such deductions are only simpler in the sense that fewer distinct rules are employed.

System PC is only one of many possible ways of axiomatizing propositional logic. Some systems differ from PC in only very minor ways. For example, we could alter our definition of “axiom” so that a wff is an axiom iff it is an instance of (A1), an instance of (A2), or an instance of the following:

(A3′) (\neg \alpha \rightarrow \neg \beta) \rightarrow (\beta \rightarrow \alpha)

Replacing axiom schema (A3) with (A3′), while altering the way certain deductions must be constructed (making the proofs of many important results longer), has little effect otherwise; the resulting system would have all the same theorems and every argument for which a deduction is possible in the system above would also have a deduction in the revised system, and vice versa.

We also noted above that, strictly speaking, there are an infinite number of axioms of system PC. Instead of utilizing an infinite number of axioms, we might alternatively have utilized only three axioms, namely, the specific wffs:

(A1*) P \rightarrow (Q \rightarrow P)
(A2*) (P \rightarrow (Q \rightarrow R)) \rightarrow ((P \rightarrow Q) \rightarrow (P \rightarrow R))
(A3*) (\neg P \rightarrow \neg Q) \rightarrow ((\neg P \rightarrow Q) \rightarrow P)

Note that (A1*) is just a unique wff; on this approach, the wff “(\neg R \rightarrow \neg \neg S) \rightarrow (\neg(\neg M \rightarrow N) \rightarrow (\neg R \rightarrow \neg \neg S))” would not count as an axiom, even though it shares a common form with (A1*). To such a system it would be necessary to add an additional inference rule, a rule of substitution or uniform replacement. This would allow one to infer, from a theorem of the system, the result of uniformly replacing any given statement letter (for example, ‘P‘ or ‘Q‘) that occurs within the theorem, with any wff, simple or complex, provided that the same wff replaces all occurrences of the same statement letter in the theorem. On this approach, “(\neg R \rightarrow \neg \neg S) \rightarrow (\neg(\neg M \rightarrow N) \rightarrow (\neg R \rightarrow \neg \neg S))“, while not an axiom, would still be a theorem because it could be derived from the rule of uniform replacement twice, that is, by first replacing ‘P‘ in (A1*) with “(\neg R \rightarrow \neg \neg S)“, and then replacing ‘Q‘ with “\neg(\neg M \rightarrow N)“. The resulting system differs in only subtle ways from our earlier system PC. System PC, strictly speaking, uses only one inference rule, but countenances an infinite number of axioms. This system uses only three axioms, but makes use of an additional rule. System PC, however, avoids this additional inference rule by allowing everything that one could get by substitution in (A1*) to be an axiom. For every theorem \alpha, therefore, if \beta is a wff obtained from \alpha by uniformly substituting wffs for statement letters in \alpha, then \beta is also a theorem of PC, because there would always be a proof of \beta analogous to the proof of \alpha only beginning from different axioms.

It is also possible to construct even more austere systems. Indeed, it is possible to utilize only a single axiom schema (or a single axiom plus a rule of replacement). One possibility, suggested by C. A. Meredith (1953), would be to define an axiom as any wff matching the following form:

((((\alpha \rightarrow \beta) \rightarrow (\neg \gamma \rightarrow \neg \delta)) \rightarrow \gamma) \rightarrow \epsilon) \rightarrow ((\epsilon \rightarrow \alpha) \rightarrow (\delta \rightarrow \alpha))

The resulting system is equally powerful as system PC and has exactly the same set of theorems. However, it is far less psychologically intuitive and straightforward, and deductions even for relatively simple results are often very long.

Historically, the first single axiom schema system made use, instead of language PL’, the even simpler language PL” in which the only connective is the Sheffer stroke, ‘|’, as discussed above. In that case, it is possible to make use only of the following axiom schema:

(\alpha | (\beta | \gamma)) | ((\delta | (\delta | \delta)) | ((\epsilon | \beta) | ((\alpha | \epsilon) | (\alpha | \epsilon))))

The inference rule of MP is replaced with the rule that from wffs of the form \ulcorner \alpha | (\beta | \gamma) \urcorner and \alpha, one can deduce the wff \gamma. This system was discovered by Jean Nicod (1917). Subsequently, a number of possible single axiom systems have been found, some faring better than others in terms of the complexity of the single axiom and in terms of how long deductions for the same results are required to be. (For research in this area, consult McCune et. al. 2002.) Generally, however the more the system allows, the shorter the deductions.

Besides axiomatic and natural deduction forms, deduction systems for propositional logic can also take the form of a sequent calculus; here, rather than specifying definitions of axioms and inference rules, the rules are stated directly in terms of derivability or entailment conditions; for example, one rule might state that if (either \alpha \vdash \beta or \alpha \vdash \gamma) then if \gamma, \alpha \vdash \beta then \alpha \vdash \beta. Sequent calculi, like modern natural deduction systems, were first developed by Gerhard Gentzen. Gentzen’s work also suggests the use of tree-like deduction systems rather than linear step-by-step deduction systems, and such tree systems have proven more useful in automated theorem-proving, that is, in the creation of algorithms for the mechanical construction of deductions (for example, by a computer). However, rather then exploring the details of these and other rival systems, in the next section, we focus on proving things about the system PC, the axiomatic system treated at length above.

7. Important Meta-Theoretic Results for the Propositional Calculus

Note: this section is relatively more technical, and is designed for audiences with some prior background in logic or mathematics. Beginners may wish to skip to the next section.

In this section, we sketch informally the proofs given for certain important features of the Propositional Calculus. Our first topic, however, concerns the language PL’ generally.

Metatheoretic result 1: Language PL’ is expressively adequate, that is, within the context of classical bivalent logic, there are no truth-functions that cannot be represented in it.

We noted in Section III(c) that the connectives ‘\land‘, ‘↔’ and ‘\lor‘ can be defined using the connectives of PL’ (‘→’ and ‘\neg‘). More generally, metatheoretic result 1 holds that any statement built using truth-functional connectives, regardless of what those connectives are, has an equivalent statement formed using only ‘→’ and ‘\neg‘. Here’s the proof.

1. Assume that \alpha is some wff built in some language containing any set of truth-functional connectives, including those not found in PL, PL’ or PL”. For example, \alpha might make use of some three or four-place truth-functional connectives, or connectives such as the exclusive or, or the sign ‘\downarrow‘, or any others you might imagine.

2. We need to show that there is a wff \beta formed only with the connectives ‘→’ and ‘\neg‘ that is logically equivalent with \alpha. Because we have already shown that forms equivalent to those built from ‘\land‘, ‘↔’, and ‘\lor‘ can be constructed from ‘→’ and ‘\neg‘, we are entitled to use them as well.

3. In order for it to be logically equivalent to \alpha, the wff \beta that we construct must have the same final truth-value for every possible truth-value assignment to the statement letters making up \alpha, or in other words, it must have the same final column in a truth table.

4. Let p_1, p_2, ..., p_n be the distinct statement letters making up \alpha. For some possible truth-value assignments to these letters, \alpha may be true, and for others \alpha may be false. The only hard case would be the one in which \alpha is contingent. If \alpha were not contingent, it must either be a tautology, or a self-contradiction. Since clearly tautologies and self-contradictions can be constructed in PL’, and all tautologies are logically equivalent to one another, and all self-contradictions are equivalent to one another, in those cases, our job is easy. Let us suppose instead that \alpha is contingent.

5. Let us construct a wff \beta in the following way.

(a) Consider in turn each truth-value assignment to the letters p_1, p_2, ..., p_n. For each truth-value assignment, construct a conjunction made up of those letters the truth-value assignment makes true, along with the negations of those letters the truth-value assignment makes false. For instance, if the letters involved are ‘A‘, ‘B‘ and ‘C‘, and the truth-value assignment makes ‘A‘ and ‘C‘ true but ‘B‘ false, consider the conjunction ‘((A \land \neg B) \land C)‘.

(b) From the resulting conjunctions, form a complex disjunction formed from those conjunctions formed in step (a) for which the corresponding truth-value assignment makes \alpha true. For example, if the truth-value assignment making ‘A‘ and ‘C‘ true but ‘B‘ false makes \alpha true, include it the disjunction. Suppose, for example, that this truth-value assignment does make \alpha true, as does that assignment in which ‘A‘ and ‘B‘ and ‘C‘ are all made false, but no other truth-value assignment makes \alpha true. In that case, the resulting disjunction would be ‘((A \land \neg B) \land C) \lor ((\neg A \land \neg B) \land \neg C)‘.

6. The wff \beta constructed in step 5 is logically equivalent to \alpha. Consider that for those truth-value assignments making \alpha true, one of the conjunctions making up the disjunction \beta is true, and hence the whole disjunction is true as well. For those truth-value assignments making \alpha false, none of the conjunctions making up \beta is true, because each conjunction will contain at least one conjunct that is false on that truth-value assignment.

7. Because \beta is constructed using only ‘\land‘, ‘\lor‘ and ‘\neg‘, and these can in turn be defined using only ‘\neg‘ and ‘→’, and because \beta is equivalent to \alpha, there is a wff built up only from ‘\neg‘ and ‘→’ that is equivalent to \alpha, regardless of the connectives making up \alpha.

8. Therefore, PL’ is expressively adequate.

Corollary 1.1: Language PL” is also expressively adequate.

The corollary follows at once from metatheoretic result 1, along with the fact, noted in Section III(c), that ‘→’, and ‘\neg‘ can be defined using only ‘|’.

Metatheoretic result 2 (a.k.a. “The Deduction Theorem”): In the Propositional Calculus, PC, whenever it holds that \alpha_1, ..., \alpha_n \vdash \beta, it also holds that \alpha_1, ..., \alpha_{n-1} \vdash \alpha_n \rightarrow \beta

What this means is that whenever we can prove a given result in PC using a certain number of premises, then it is possible, using all the same premises leaving out one exception, \alpha_n, to prove the conditional statement made up of the removed premise, \alpha_n, as antecedent and the conclusion of the original derivation, \beta, as consequent. The importance of this result is that, in effect, it shows that the technique of conditional proof, typically found in natural deduction (see Section V), is unnecessary in PC, because whenever it is possible to prove the consequent of a conditional by taking the antecedent as an additional premise, a derivation directly for the conditional can be found without taking the antecedent as a premise.

Here’s the proof:

1. Assume that \alpha_1, ..., \alpha_n \vdash \beta. This means that there is a derivation of \beta in the Propositional Calculus from the premises \alpha_1, ..., \alpha_n. This derivation takes the form of an ordered sequence \gamma_1, \gamma_2, ..., \gamma_m, where the last member of the sequence, \gamma_m, is \beta, and each member of the sequence is either (1) a premise, that is, it is one of \alpha_1, ..., \alpha_n, (2) an axiom of PC, (3) derived from previous members of the sequence by modus ponens.

2. We need to show that there is a derivation of \ulcorner \alpha_n \rightarrow \beta \urcorner, which, while possibly making use of the other premises of the argument, does not make use of \alpha_n. We’ll do this by showing that for each member, \gamma_i, of the sequence of the original derivation: \gamma_1, \gamma_2, ..., \gamma_m, one can derive \ulcorner \alpha_n \rightarrow \gamma_i \urcorner without making use of \alpha_n as a premise.

3. Each step \gamma_i in the sequence of the original derivation was gotten at in one of three ways, as mentioned in (1) above. Regardless of which case we are dealing with, we can get the result that \alpha_1, ..., \alpha_{n-1} \vdash \alpha_n \rightarrow \gamma_i. There are three cases to consider:

Case (a): Suppose \gamma_i is a premise of the original argument. Then \gamma_i is either one of \alpha_1, ..., \alpha_{n-1} or it is \alpha_n itself. In the latter subcase, what we desire to get is that \ulcorner \alpha_n \rightarrow \alpha_n \urcorner can be gotten at without using \alpha_n as a premise. Because \ulcorner \alpha_n \rightarrow \alpha_n \urcorner is an instance of TS1, we can get it without using any premises. In the latter case, notice that \gamma_i is one of the premises we’re allowed to use in the new derivation. We’re also allowed to introduce the instance of AS1, \ulcorner \gamma_i \rightarrow (\alpha_n \rightarrow \gamma_i) \urcorner. From these, we can get \ulcorner \alpha_n \rightarrow \gamma_i \urcorner by modus ponens.

Case (b): Suppose \gamma_i is an axiom. We need to show that we can get \ulcorner \alpha_n \rightarrow \gamma_i \urcorner without using \alpha_n as a premise. In fact, we can get it without using any premises. Because \gamma_i is an axiom, we can use it in the new derivation as well. As in the last case, we have \ulcorner \gamma_i \rightarrow (\alpha_n \rightarrow \gamma_i) \urcorner as another axiom (an instance of AS1). From these two axioms, we arrive at \ulcorner \alpha_n \rightarrow \gamma_i \urcorner by modus ponens.

Case (c): Suppose that \gamma_i was derived from previous members of the sequence by modus ponens. Specifically, there is some \gamma_j and \gamma_k such that both j and k are less than i, and \gamma_j takes the form \ulcorner \gamma_k \rightarrow \gamma_i \urcorner. We can assume that we have already been able to derive both \ulcorner \alpha_n \rightarrow \gamma_j \urcorner—that is, \ulcorner \alpha_n \rightarrow (\gamma_k \rightarrow \gamma_i) \urcorner—and \ulcorner \alpha_n \rightarrow \gamma_k \urcorner in the new derivation without making use of \alpha_n. (This may seem questionable in the case that either \gamma_j or \gamma_k was itself gotten at by modus ponens. But notice that this just pushes the assumption back, and eventually one will reach the beginning of the original derivation. The first two steps of the sequence, namely, \gamma_1 and \gamma_2, cannot have been derived by modus ponens, since this would require there to have been two previous members of the sequence, which is impossible.) So, in our new derivation, we already have both \ulcorner \alpha_n \rightarrow (\gamma_k \rightarrow \gamma_i) \urcorner and \ulcorner \alpha_n \rightarrow \gamma_k \urcorner.
Notice that \ulcorner (\alpha_n \rightarrow (\gamma_k \rightarrow \gamma_i)) \rightarrow ((\alpha_n \rightarrow \gamma_k) \rightarrow (\alpha_n \rightarrow \gamma_i)) \urcorner is an instance of AS2, and so it can be introduced in the new derivation. By two steps of modus ponens, we arrive at \ulcorner \alpha_n \rightarrow \gamma_i \urcorner, again without using \alpha_n as a premise.

4. If we continue through each step of the original derivation, showing for each such step \gamma_i, we can get \ulcorner \alpha_n \rightarrow \gamma_i \urcorner without using \alpha_n as a premise, eventually, we come to the last step of the original derivation, \gamma_m, which is \beta itself. Applying the procedure from step (3), we get that \ulcorner \alpha_n \rightarrow \beta \urcorner without making use of \alpha_n as a premise. Therefore, the new derivation formed in this way shows that \alpha_1, ..., \alpha_{n-1} \vdash \alpha_n \rightarrow \beta, which is what we were attempting to show.

What’s interesting about this proof for metatheoretic result 2 is that it provides a recipe, given a derivation for a certain result that makes use of one or more premises, for transforming that derivation into one of a conditional statement in which one of the premises of the original argument has become the antecedent. This may be much clearer with an example.

Consider the following derivation for the result that Q \rightarrow R \vdash (P \rightarrow Q) \rightarrow (P \rightarrow R):

1. Q \rightarrow R Premise
2. (Q \rightarrow R) \rightarrow (P \rightarrow (Q \rightarrow R)) AS1
3. P \rightarrow (Q \rightarrow R) 1,2 MP
4. (P \rightarrow (Q \rightarrow R)) \rightarrow ((P \rightarrow Q) \rightarrow (P \rightarrow R)) AS2
5. (P \rightarrow Q) \rightarrow (P \rightarrow R) 3,4 MP

It is possible to transform the above derivation into one that uses no premises and that shows that \ulcorner (Q \rightarrow R) \rightarrow ((P \rightarrow Q) \rightarrow (P \rightarrow R)) \urcorner is a theorem of PC. The procedure for such a transformation involves looking at each step of the original derivation, and for each one, attempting to derive the same statement, only beginning with “(Q \rightarrow R) \rightarrow ...“, without making use of “(Q \rightarrow R)” as a premise. How this is done depends on whether the step is a premise, an axiom, or a result of modus ponens, and depending on which it is, applying one of the three procedures sketched in the proof above. The result is the following:

1. (Q \rightarrow R) \rightarrow (Q \rightarrow R) TS1
2. (Q \rightarrow R) \rightarrow (P \rightarrow (Q \rightarrow R)) AS1
3. ((Q \rightarrow R) \rightarrow (P \rightarrow (Q \rightarrow R))) \rightarrow ((Q \rightarrow R) \rightarrow ((Q \rightarrow R) \rightarrow (P \rightarrow (Q \rightarrow R)))) AS1
4. (Q \rightarrow R) \rightarrow ((Q \rightarrow R) \rightarrow (P \rightarrow (Q \rightarrow R))) 2,3 MP
5. ((Q \rightarrow R) \rightarrow ((Q \rightarrow R) \rightarrow (P \rightarrow (Q \rightarrow R)))) \rightarrow (((Q \rightarrow R) \rightarrow (Q \rightarrow R)) \rightarrow ((Q \rightarrow R) \rightarrow (P \rightarrow (Q \rightarrow R)))) AS2
6. ((Q \rightarrow R) \rightarrow (Q \rightarrow R)) \rightarrow ((Q \rightarrow R) \rightarrow (P \rightarrow (Q \rightarrow R)))) 4,5 MP
7. (Q \rightarrow R) \rightarrow (P \rightarrow (Q \rightarrow R)) 1,6 MP
8. (P \rightarrow (Q \rightarrow R)) \rightarrow ((P \rightarrow Q) \rightarrow (P \rightarrow R)) AS2
9. ((P \rightarrow (Q \rightarrow R)) \rightarrow ((P \rightarrow Q) \rightarrow (P \rightarrow R))) \rightarrow \big((Q \rightarrow R) \rightarrow ((P \rightarrow (Q \rightarrow R)) \rightarrow ((P \rightarrow Q) \rightarrow (P \rightarrow R)))\big) AS1
10. (Q \rightarrow R) \rightarrow ((P \rightarrow (Q \rightarrow R)) \rightarrow ((P \rightarrow Q) \rightarrow (P \rightarrow R))) 8,9 MP
11. \big((Q \rightarrow R) \rightarrow ((P \rightarrow (Q \rightarrow R)) \rightarrow ((P \rightarrow Q) \rightarrow (P \rightarrow R)))\big) \rightarrow (((Q \rightarrow R) \rightarrow (P \rightarrow (Q \rightarrow R))) \rightarrow ((Q \rightarrow R) \rightarrow ((P \rightarrow Q) \rightarrow (P \rightarrow R)))) AS2
12. ((Q \rightarrow R) \rightarrow (P \rightarrow (Q \rightarrow R))) \rightarrow ((Q \rightarrow R) \rightarrow ((P \rightarrow Q) \rightarrow (P \rightarrow R))) 10,11 MP
13. (Q \rightarrow R) \rightarrow ((P \rightarrow Q) \rightarrow (P \rightarrow R)) 7,12 MP

The procedure for transforming one sort of derivation into another is purely rote. Moreover, the result is quite often not the most elegant or easy way to show that which you were trying to show. Notice, for example, in the above that lines (2) and (7) are redudant, and more steps were taken than necessary. However, the purely rote procedure is effective.

This metatheoretic result is due to Jacques Herbrand (1930).

It is interesting on its own, especially when one reflects on it as a substitution or replacement for the conditional proof technique. However, it is also very useful for proving other metatheoretic results, as we shall see below.

Metatheoretic result 3: If \alpha is a wff of language PL’, and the statement letters making it up are p_1, p_2, ..., p_n, then if we consider any possible truth-value assignment to these letters, and consider the set of premises, \Delta, that contains p_1 if the truth-value assignment makes p_1 true, but contains \ulcorner \neg p_1 \urcorner if the truth-value assignment makes p_1 false, and similarly for p_2, ..., p_n, if the truth-value assignment makes \alpha true, then in PC, it holds that \Delta \vdash \alpha, and if it makes \alpha false, then \Delta \vdash \neg \alpha.

Here’s the proof.

1. By the definition of a wff, \alpha is either itself a statement letter, or ultimately built up from statement letters by the connectives ‘\neg‘ and ‘→’.

2. If \alpha is itself a statement letter, then obviously either it or its negation is a member of \Delta. It is a member of \Delta if the truth-value assignment makes it true. In that case, obviously, there is a derivation of \alpha from \Delta, since a premise maybe introduced at any time. If the truth-value assignment makes it false instead, then \ulcorner \neg \alpha \urcorner is a member of \Delta, and so we have a derivation of \ulcorner \neg \alpha \urcorner from \Delta, since again a premise may be introduced at any time. This covers the case in which our wff is simply a statement letter.

3. Suppose that \alpha is built up from some other wff \beta with the sign ‘\neg‘, that is, suppose that \alpha is \ulcorner \neg \beta \urcorner. We can assume that we have already gotten the desired result for \beta. (Either \beta is a statement letter, in which case the result holds by step (2), or is itself ultimately built up from statement letters, so even if verifying this assumption requires making a similar assumption, ultimately we will get back to statement letters.) That is, if the truth-value assignment makes \beta true, then we have a derivation of \beta from \Delta. If it makes it false, then we have a derivation of \ulcorner \neg \beta \urcorner from \Delta. Suppose that it makes \beta true. Since \alpha is the negation of \beta, the truth-value assignment must make \alpha false. Hence, we need to show that there is a derivation of \ulcorner \neg \alpha \urcorner from \Delta . Since \alpha is \ulcorner \neg \beta \urcorner, \ulcorner \neg \alpha \urcorneris \ulcorner \neg \neg \beta \urcorner. If we append to our derivation of \beta from \Delta the derivation of \ulcorner \beta \rightarrow \neg \neg \beta \urcorner, an instance of TS2, we can reach a derivation of \ulcorner \neg \neg \beta \urcorner by modus ponens, which is what was required. If we assume instead that the truth-value assignment makes \beta false, then by our assumption, there is a derivation of \ulcorner \neg \beta \urcorner from \Delta. Since \alpha is the negation of \beta, this truth-value assigment must make \alpha true. Now, \alpha simply is \ulcorner \neg \beta \urcorner, so we already have a derivation of it from \Delta.

4. Suppose instead that \alpha is built up from other wffs \beta and \gamma with the sign ‘→’, that is, suppose that \alpha is \ulcorner \beta \rightarrow \gamma \urcorner. Again, we can assume that we have already gotten the desired result for \beta and \gamma. (Again, either they themselves are statement letters or built up in like fashion from statement letters.) Suppose that the truth-value assignment we are considering makes \alpha true. Because \alpha is \ulcorner \beta \rightarrow \gamma \urcorner, by the semantics for the sign ‘→’, the truth-value assignment must make either \beta false or \gamma true. Take the first subcase. If it makes \beta false, then by our assumption, there is a derivation of \ulcorner \neg \beta \urcorner from \Delta. If we append to this the derivation of the instance of TS3, \ulcorner \neg \beta \rightarrow (\beta \rightarrow \gamma) \urcorner, by modus ponens we arrive at derivation of \ulcorner \beta \rightarrow \gamma \urcorner, that is, \alpha, from \Delta. If instead, the truth-value assignment makes \gamma true, then by our assumption there is a derivation of \gamma from \Delta. If we add to this derivation the instance of AS1, \ulcorner \gamma \rightarrow (\beta \rightarrow \gamma) \urcorner, by modus ponens, we then again arrive at a derivation of \ulcorner \beta \rightarrow \gamma \urcorner, that is, \alpha, from \Delta. If instead, the truth-value assignment makes \alpha false, then since \alpha is \ulcorner \beta \rightarrow \gamma \urcorner, the truth-value assignment in question must make \beta true and \gamma false. By our assumption, then it is possible to prove both \beta and \ulcorner \neg \gamma \urcorner from \Delta. If we concatenate these two derivations, and add to them the derivation of the instance of TS4, \ulcorner \beta \rightarrow (\neg \gamma \rightarrow \neg (\beta \rightarrow \gamma)) \urcorner, then by two applications of modus ponens, we can derive \ulcorner \neg (\beta \rightarrow \gamma) \urcorner, which is simply \ulcorner \neg \alpha \urcorner, which is what was desired.

From the above we see that the Propositional Calculus PC can be used to demonstrate the appropriate results for a complex wff if given as premises either the truth or falsity of all its simple parts. This is of course the foundation of truth-functional logic, that the truth or falsity of those complex statements one can make in it be determined entirely by the truth or falsity of the simple statements entering in to it. Metatheoretic result 3 is again interesting on its own, but it plays a crucial role in the proof of completeness, which we turn to next.

Metatheoretic result 4 (Completeness): If \alpha is a wff of language PL’ and a tautology, then \alpha is a theorem of the Propositional Calculus.

This feature of the Propositional Calculus is called completeness because it shows that the Propositional Calculus, as a deductive system aiming to capture all the truths of logic, is a success. Every wff true solely in virtue of the truth-functional nature of the connectives making it up is something that one can prove using only the axioms of PC along with modus ponens. Here’s the proof:

1. Suppose that \alpha is a tautology. This means that every possible truth-value assignment to its statement letters makes it true.

2. Let the statement letters making up \alpha be p_1, p_2, ..., p_n, arranged in some order (say alphabetically and by the numerical order of their subscripts). It follows from (1) and metatheoretic result 3, that there is a derivation in PC of \alpha using any possible set of premises that consists, for each statement letter, of either it or its negation.

3. By metatheoretic result 2, we can remove from each of these sets of premises either p_n or \ulcorner \neg p_n \urcorner, depending on which it contains, and make it an antecedent of a conditional in which \alpha is consequent, and the result will be provable without using p_n or \ulcorner \neg p_n \urcorner as a premise. This means that for every possible set of premises consisting of either p_1 or \ulcorner \neg p_1 \urcorner and so on, up until p_{n-1}, we can derive both \ulcorner p_n \rightarrow \alpha \urcorner and \ulcorner \neg p_n \rightarrow \alpha \urcorner.

4. The wff \ulcorner (p_n \rightarrow \alpha) \rightarrow ((\neg p_n \rightarrow \alpha) \rightarrow \alpha) \urcorner is an instance of TS5. Therefore, for any set of premises from which one can derive both \ulcorner p_n \rightarrow \alpha \urcorner and \ulcorner \neg p_n \rightarrow \alpha \urcorner, by two applications of modus ponens, one can also derive \alpha itself.

5. Putting (3) and (4) together, we have the result that \alpha can be derived from every possible set of premises consisting of either p_1 or \ulcorner \neg p_1 \urcorner and so on, up until p_{n-1}.

6. We can apply the same reasoning given in steps (3)-(5) to remove p_{n-1} or its negation from the premise sets by the deduction theorem, arriving at the result that for every set of premises consisting of either p_1 or \ulcorner \neg p_1 \urcorner and so on, up until p_{n-2}, it is possible to derive \alpha. If we continue to apply this reasoning, eventually, we’ll get the result that we can derive \alpha with either p_1 or its negation as our sole premise. Again, applying the deduction theorem, this means that both \ulcorner p_1 \rightarrow \alpha \urcorner and \ulcorner \neg p_1 \rightarrow \alpha \urcorner can be proven in PC without using any premises, that is, they are theorems. Concatenating the derivations of these theorems, along with the instance of TS5, \ulcorner (p_1 \rightarrow \alpha) \rightarrow ((\neg p_1 \rightarrow \alpha) \rightarrow \alpha) \urcorner, and by two applications of modus ponens, it follows that \alpha itself is a theorem, which is what we sought to demonstrate.

The above proof of the completeness of system PC is easier to appreciate when visualized. Suppose, just for the sake of illustration, that the tautology we wish to demonstrate in system PC has three statement letters, ‘P‘, ‘Q‘ and ‘R‘. There are eight possible truth-value assignments to these letters, and since \alpha is a tautology, all of them make \alpha true. We can sketch in at least this much of \alpha‘s truth table:

P
Q
R
|
\alpha
T
T
T
T
F
F
F
F
T
T
F
F
T
T
F
F
T
F
T
F
T
F
T
F
T
T
T
T
T
T
T
T

Now, given this feature of \alpha, it follows from metatheoretic result 3, that for every possible combination of premises that consists of either ‘P‘ or “\neg P” (but not both), either ‘Q‘ or “\neg Q“, and ‘R‘ or “\neg R“, it is possible from those premises to construct a derivation showing \alpha. This can be visualized as follows:

P, Q, R \vdash \alpha
P, Q, \neg R \vdash \alpha
P, \neg Q, R \vdash \alpha
P, \neg Q, \neg R \vdash \alpha
\neg P, Q, R \vdash \alpha
\neg P, Q, \neg R \vdash \alpha
\neg P, \neg Q, R \vdash \alpha
\neg P, \neg Q, \neg R \vdash \alpha

By the deduction theorem, we can pull out the last premise from each list of premises and make it an antecedent. However, because from the same remaining list of premises we get both \ulcorner R \rightarrow \alpha \urcorner and \ulcorner \neg R \rightarrow \alpha \urcorner, we can get \alpha by itself from those premises according to TS5. Again, to visualize this:

P, Q \vdash R \rightarrow \alpha … and so P, Q \vdash \alpha
P, Q \vdash \neg R \rightarrow \alpha
P, \neg Q \vdash R \rightarrow \alpha … and so P, \neg Q \vdash \alpha
P, \neg Q \vdash \neg R \rightarrow \alpha
\neg P, Q \vdash R \rightarrow \alpha … and so \neg P, Q \vdash \alpha
\neg P, Q \vdash \neg R \rightarrow \alpha
\neg P, \neg Q \vdash R \rightarrow \alpha … and so \neg P, \neg Q \vdash \alpha
\neg P, \neg Q \vdash \neg R \rightarrow \alpha

We can continue this line of reasoning until all the premises are removed.

P, Q \vdash \alpha P \vdash Q \rightarrow \alpha and so P \vdash \alpha and so \vdash P \rightarrow \alpha and so \vdash \alpha
P, \neg Q \vdash \alpha P \vdash \neg Q \rightarrow \alpha
\neg P, Q \vdash \alpha \neg P \vdash Q \rightarrow \alpha and so \neg P \vdash \alpha and so \vdash \neg P \rightarrow \alpha
\neg P, \neg Q \vdash \alpha \neg P \vdash \neg Q \rightarrow \alpha

At the end of this process, we see that \alpha is a theorem. Despite only having three axiom schemata and a single inference rule, it is possible to prove any tautology in the simple Propositional Calculus, PC. It is complete in the requisite sense.

This method of proving the completeness of the Propositional Calculus is due to Kalmár (1935).

Corollary 4.1: If a given wff \beta of language PL’ is a logical consequence of a set of wffs \alpha_1, \alpha_2, ..., \alpha_n, according to their combined truth table, then there is a derivation of \beta with \alpha_1, \alpha_2, ..., \alpha_n as premises in the Propositional Calculus.

Without going into the details of the proof of this corollary, it follows from the fact that if \beta is a logical consequence of \alpha_1, \alpha_2, ..., \alpha_n, then the wff of the form \ulcorner (\alpha_1 \rightarrow (\alpha_2 \rightarrow ... (\alpha_n \rightarrow \beta)...)) \urcorner is a tautology. As a tautology, it is a theorem of PC, and so if one begins with its derivation in PC and appends a number of steps of modus ponens using \alpha_1, \alpha_2, ..., \alpha_n as premises, one can derive \beta.

Metatheoretic result 5 (Soundness): If a wff \alpha is a theorem of the Propositional Calculus (PC), then \alpha is a tautology.

Above, we saw that all tautologies are theorems of PC. The reverse is also true: all theorems of PC are tautologies. Here’s the proof:

1. Suppose that \alpha is a theorem of PC. This means that there is an ordered sequence of steps, each of which is either (1) an axiom of PC, or (2) derived from previous members of the sequence by modus ponens, and such that \alpha is the last member of the sequence.

2. We can show that not only is \alpha a tautology, but so are all the members of the sequence leading to it. The first thing to note is that every axiom of PC is a tautology. To be an axiom of PC, a wff must match one of the axiom schemata AS1, AS2 or AS3. All such wffs must be tautologous; this can easily be verified by constructing truth tables for AS1, AS2 and AS3. (This is left to the reader.)

3. The rule of modus ponens preserves tautologyhood. If \alpha is a tautology and \ulcorner \alpha \rightarrow \beta \urcorner is also a tautology, \beta must be a tautology as well. This is because if \beta were not a tautology, it would be false on some truth-value assignments. However, \alpha, as a tautology, is true for all truth-value assignments. Because a statement of the form \ulcorner \alpha \rightarrow \beta \urcorner is false for any truth-value assignment making \alpha true and \beta false, it would then follow that some truth-value assignment makes \ulcorner \alpha \rightarrow \beta \urcorner false, which is impossible if it too is a tautology.

4. Hence, we see that the axioms with which we begin the sequence, and every step derived from them using modus ponens, must all be tautologies, and consequently, the last step of the sequence, \alpha, must also be a tautology.

This result is called the soundness of the Propositional Calculus; it shows that in it, one cannot demonstrate something that is not logically true.

Corollary 5.1: A wff \alpha of language PL’ is a tautology if and only if \alpha is a theorem of system PC.

This follows immediately from metatheoretic results 4 and 5.

Corollary 5.2 (Consistency): There is no wff \alpha of language PL’ such that both \alpha and \ulcorner \neg \alpha \urcorner are theorems of the Propositional Calculus (PC).

Due to metatheoretic result 5, all theorems of PC are tautologies. It is therefore impossible for both \alpha and \ulcorner \neg \alpha \urcorner to be theorems, as this would require both to be tautologies. That would mean that both are true for all truth-value assignments, but obviously, they must have different truth-values for any given truth-value assignment, and cannot both be true for any, much less all, such assignments.

This result is called consistency because it guarantees that no theorem of system PC can be inconsistent with any other theorem.

Corollary 5.3: If there is a derivation of the wff \beta with \alpha_1, \alpha_2, ..., \alpha_n as premises in the Propositional Calculus, then \beta is a logical consequence of the set of wffs \alpha_1, \alpha_2, ..., \alpha_n, according to their combined truth table.

This is the converse of Corollary 4.1. It follows by the reverse reasoning involved in that corollary. If there is a derivation of \beta taking \alpha_1, \alpha_2, ..., \alpha_n as premises, then by multiple applications of the deduction theorem (Metatheoretic result 2), it follows that \ulcorner (\alpha_1 \rightarrow (\alpha_2 \rightarrow ... (\alpha_n \rightarrow \beta)...)) \urcorner is a theorem of PC. By metatheoretic result 5, \ulcorner (\alpha_1 \rightarrow (\alpha_2 \rightarrow ... (\alpha_n \rightarrow \beta)...)) \urcorner must be a tautology. If so, then there cannot be a truth-value assignment making all of \alpha_1, \alpha_2, ..., \alpha_n true while making \beta false, and so \beta is a logical consequence of \alpha_1, \alpha_2, ..., \alpha_n.

Corollary 5.4: There is a derivation of the wff \beta with \alpha_1, \alpha_2, ..., \alpha_n as premises in the Propositional Calculus if and only if \beta is a logical consequence of \alpha_1, \alpha_2, ..., \alpha_n, according to their combined truth table.

This follows at once from corollaries 4.1 and 5.3. In sum, then, the Propositional Calculus method of demonstrating something to follow from the axioms of logic is extensionally equivalent to the truth table method of determining whether or not something is a logical truth. Similarly, the truth-table method for testing the validity of an argument is equivalent to the test of being able to construct a derivation for it in the Propositional Calculus. In short, the Propositional Calculus is exactly what we wanted it to be.

Corollary 5.5 (Decidability): The Propositional Calculus (PC) is decidable, that is, there is a finite, effective, rote procedure for determining whether or not a given wff \alpha is a theorem of PC or not.

By Corollary 5.1, a wff \alpha is a theorem of PC if and only if it is a tautology. Truth tables provide a rote, effective, and finite procedure for determining whether or not a given wff is a tautology. They therefore also provide such a procedure for determining whether or not a given wff is a theorem of PC.

8. Forms of Propositional Logic

So far we have focused only on classical, truth-functional propositional logic. Its distinguishing features are (1) that all connectives it uses are truth-functional, that is, the truth-values of complex statements formed with those connectives depend entirely on the truth-values of the parts, and (2) that it assumes bivalence: all statements are taken to have exactly one of two truth-values—truth or falsity—with no statement assigned both truth-values or neither. Classical truth-functional propositional logic is the most widely studied and discussed form, but there are other forms of propositional logic.

Perhaps the most well known form of non-truth-functional propositional logic is modal propositional logic. Modal propositional logic involves introducing operators into the logic involving necessity and possibility, usually along with truth-functional operators such as ‘→’, ‘\land‘, ‘\neg‘, etc.. Typically, the sign ‘\Box‘ is used in place of the English operator, “it is necessary that…”, and the sign ‘\Diamond‘ is used in place of the English operator “it is possible that…”. Sometimes both these operators are taken as primitive, but quite often one is defined in terms of the other, since \ulcorner \neg \Box \neg \alpha \urcorner would appear to be logically equivalent with \ulcorner \Diamond \alpha \urcorner. (Roughly, it means the same to say that something is not necessarily not true as it does to say that it is possibly true.)

To see that modal propositional logic is not truth-functional, just consider the following pair of statements:

\Box P
\Box (P \lor \neg P)

The first states that it is necessary that P. Let us suppose in fact that ‘P‘ is true, but might have been false. Since P is not necessarily true, the statement “\Box P” is false. However, the statement “P \lor \neg P” is a tautology and so it could not be false. Hence, the statement “\Box (P \lor \neg P)” is true. Notice that both ‘P‘ and “P \lor \neg P” are true, but different truth-values result when the operator ‘\Box‘ is added. So, in modal propositional logic, the truth-value of a statement does not depend entirely on the truth-values of the parts.

The study of modal propositional logic involves identifying under what conditions statements involving the operators ‘\Box‘ and ‘\Diamond‘ should be regarded as true. Different notions or conceptions of necessity lead to different answers to that question. It also involves discovering what inference rules or systems of deduction would be appropriate given the addition of these operators. Here, there is more controversy than with classical truth-functional logic. For example, in the context of discussions of axiomatic systems for modal propositional logic, very different systems result depending on whether instances of the following schemata are regarded as axiomatic truths, or even truths at all:

\Box \alpha \rightarrow \Box \Box \alpha
\Diamond \alpha \rightarrow \Box \Diamond \alpha

If a statement is necessary, is it necessarily necessary? If a statement is possible, is it necessarily possible? A positive answer to the first question is a key assumption in a logical system known as S4 modal logic. Positive answers to both these questions are key assumptions in a logical system known as S5 modal logic. Other systems of modal logic that avoid such assumptions have also been developed. (For an excellent introduction survey, see Hughes and Cresswell 1996.)

Deontic propositional logic and epistemic propositional logic are two other forms of non-truth-functional propositional logic. The former involves introduction of operators similar to the English operators “it is morally obligatory that…” and “it is morally permissible that…”. Obviously, some things that are in fact true were not morally obligatory, whereas some things that are true were morally obligatory. Again, the truth-value of a statement in deontic logic does not depend wholly on the truth-value of the parts. Epistemic logic involves the addition of operators similar to the English operators “it is known that…” and “it is believed that …”. While everything that is known to be the case is in fact the case, not everything that is the case is known to be the case, so a statement built up with a “it is known that…” will not depend entirely on the truth of the proposition it modifies, even if it depends on it to some degree.

Yet another widely studied form of non-truth-functional propositional logic is relevance propositional logic, which involves the addition of an operator ‘Rel‘ used to connect two statements \alpha and \beta to form a statement \ulcorner Rel(\alpha, \beta) \urcorner, which is interpreted to mean that \alpha is related to \beta in theme or subject matter. For example, if ‘P‘ means that Ben loves Jennifer and ‘Q‘ means that Jennifer is a pop star, then the statement “Rel(P, Q)” is regarded as true; whereas if ‘S‘ means The sun is shining in Tokyo, then “Rel(P, S)” is false, and hence “\neg Rel(P, S)” is true. Obviously, whether or not a statement formed using the connective ‘Rel‘ is true does not depend solely on the truth-value of the propositions involved.

One of the motivations for introducing non-truth-functional propositional logics is to make up for certain oddities of truth-functional logic. Consider the truth table for the sign ‘→’ used in Language PL. A statement of the form \ulcorner \alpha \rightarrow \beta \urcorner is regarded as true whenever its antecedent is false or consequent is true. So if we were to translate the English sentence, “if the author of this article lives in France, then the moon is made of cheese” as “E \rightarrow M“, then strangely, it comes out as true given the semantics of the sign ‘→’ because the antecedent, ‘E‘, is false. In modal propositional logic it is possible to define a much stronger sort of operator to use to translate English conditionals as follows:

\ulcorner \alpha\beta \urcorner is defined as \ulcorner \Box (\alpha \rightarrow \beta) \urcorner

If we transcribe the English “if the author of this article lives in France, then the moon is made of cheese” instead as “EM“, then it does not come out as true, because presumably, it is possible for the author of this article to live in France without the moon being made of cheese. Similarly, in relevance logic, one could also define a stronger sort of connective as follows:

\ulcorner \alpha \Rightarrow \beta \urcorner is defined as \ulcorner Rel(\alpha, \beta) \land (\alpha \rightarrow \beta) \urcorner

Here too, if we were to transcribe the English “if the author of this article lives in France, then the moon is made of cheese” as “E \Rightarrow M” instead of simply “E \rightarrow M“, it comes out as false, because the author of this article living in France is not related to the composition of the moon.

Besides non-truth-functional logic, other logical systems differ from classical truth-functional logic by allowing statements to be assigned truth-values other than truth or falsity, or to be assigned neither truth nor falsity or both truth and falsity. These sorts of logical systems may still be truth-functional in the sense that the truth-value of a complex statement may depend entirely on the truth-values of the parts, but the rules governing such truth-functionality would be more complicated than for classical logic, because it must consider possibilities that classical logic rejects.

Many-valued or multivalent logics are those that consider more than two truth-values. They may admit anything from three to an infinite number of possible truth-values. The simplest sort of many-valued logic is one that admits three truth-values, for example, truth, falsity and indeterminancy. It might seem, for example, that certain statements such as statements about the future, or paradoxical statements such as “this sentence is not true” cannot easily be assigned either truth or falsity, and so, it might be concluded, must have an indeterminate truth-value. The admission of this third truth-value requires one to expand the truth tables given in Section III(a). There, we gave a truth table for statements formed using the operator ‘→’; in three-valued logic, we have to decide what the truth-value of a statement of the form \ulcorner \alpha \rightarrow \beta \urcorner is when either or both of \alpha and \beta has an indeterminate truth-value. Arguably, if any component of a statement is indeterminate in truth-value, then the whole statement is indeterminate as well. This would lead to the following expanded truth table:

\alpha \beta (\alpha \rightarrow \beta)
T
T
T
I
I
I
F
F
F
T
I
F
T
I
F
T
I
F
T
I
F
I
I
I
T
I
T

However, we might wish to retain the feature of classical logic that a statement of the form \ulcorner \alpha \rightarrow \beta \urcorner is always true when its antecedent is false or its consequent is true, and hold that it is indeterminate only when its antecedent is indeterminate and its consequent false or when its antecedent is true and its consequent indeterminate, so that its truth table appears:

\alpha \beta (\alpha \rightarrow \beta)
T
T
T
I
I
I
F
F
F
T
I
F
T
I
F
T
I
F
T
I
F
T
T
I
T
T
T

Such details will have an effect on the remainders of the logical systems. For example, if an axiomatic or natural deduction system is created, and a desirable feature is that something be provable from no premises if and only if it is a tautology in the sense of being true (and not just not false) for all possible truth-value assignments, if we make use of the first truth table for ‘→’, then “P \rightarrow P” should not be provable, because it is indeterminate when ‘P‘ is, whereas if we use the second truth table, then “P \rightarrow P” should be provable, since it is a tautology according to that truth table, that is, it is true regardless of which of the three truth-values is assigned to ‘P‘.

Here we get just a glimpse at the complications created by admitting more than two truth-values. If more than three are admitted, and possibly infinitely many, then the issues become even more complicated.

Intuitionistic propositional logic results from rejecting the assumption that every statement is true or false, and countenances statements that are neither. The result is a sort of logic very much akin to a three-valued logic, since “neither true nor false”, while strictly speaking the rejection of a truth-value, can be thought of as though it were a third truth-value. In intuitionistic logic, the so-called “law of excluded middle,” that is, the law that all statements of the form \ulcorner \alpha \lor \neg \alpha \urcorner are true is rejected. This is because intuitionistic logic takes truth to coincide with direct provability, and it may be that certain statements, such as Goldbach’s conjecture in mathematics, are neither provably the case nor provably not the case.

Paraconsistent propositional logic is even more radical, in countenancing statements that are both true and false. Again, depending on the nature of the system, semantic rules have to be given that determine what the truth-value or truth-values a complex statement has when its component parts are both true and false. Such decisions determine what sorts of new or restricted rules of inference would apply to the logical system. For example, paraconsistent logics, if not trivial, must restrict the rules of inference allowable in classical truth-functional logic, because in systems such as those sketched in Sections V and VI above, from a contradiction, that is, a statement of the form \ulcorner \alpha \land \neg \alpha \urcorner, it is possible to deduce any other statement. Consider, for example, the following deduction in the natural deduction system sketched in Section V.

1. P \land \neg P Premise
2. P 1 Simp
3. \neg P 1 Simp
4. P \lor Q 2 Add
5. Q 3,4 DS

In order to avoid this result, paraconsistent logics must restrict the notion of a valid inference. In order for an inference to be considered valid, not only must it be truth-preserving, that is, that it be impossible to arrive at something untrue when starting with true premises, it must be falsity-avoiding, that is, it must be impossible, starting with true premises, to arrive at something that is false. In paraconsistent logic, where a statement can be both true and false, these two requirements do not coincide. The inference rule of disjunctive syllogism, while truth-preserving, is not falsity-avoiding. In cases in which its premises are true, its conclusion can still be false; more specifically, provided that at least one of its premises is both true and false, its conclusion can be false.

Other forms of non-classical propositional logic, and non-truth-functional propositional logic, continue to be discovered. Obviously any deviance from classical bivalent propositional logic raises complicated logical and philosophical issues that cannot be fully explored here. For more details both on non-classical logic, and on non-truth-functional logic, see the recommended reading section.

9. Suggestions for Further Reading

  • Anderson, A. R. and N. D. Belnap [and J. M. Dunn]. 1975 and 1992. Entailment. 2 vols. Princeton, NJ: Princeton University Press.
  • Bocheński, I. M. 1961. A History of Formal Logic. Notre Dame, Ind.: University of Notre Dame Press.
  • Boole, George. 1847. The Mathematical Analysis of Logic. Cambridge: Macmillan.
  • Boole, George. 1854. An Investigation into the Laws of Thought. Cambridge: Macmillan.
  • Carroll, Lewis. 1958. Symbolic Logic and the Game of Logic. London: Dover.
  • Church, Alonzo. 1956. Introduction to Mathematical Logic. Princeton, NJ: Princeton University Press.
  • Copi, Irving. 1953. Introduction to Logic. New York: Macmillan.
  • Copi, Irving. 1974. Symbolic Logic. 4th ed. New York: Macmillan.
  • da Costa, N. C. A. 1974. “On the Theory of Inconsistent Formal Systems,” Notre Dame Journal of Formal Logic 25: 497-510.
  • De Morgan, Augustus. 1847. Formal Logic. London: Walton and Maberly.
  • Fitch, F. B. 1952. Symbolic Logic: An Introduction. New York: Ronald Press.
  • Frege, Gottlob. 1879. Begriffsschrift, ene der arithmetischen nachgebildete Formelsprache des reinen Denkens. Halle: L. Nerbert. Published in English as Conceptual Notation, ed. and trans. by Terrell Bynum. Clarendon: Oxford, 1972.
  • Frege, Gottlob. 1923. “Gedankengefüge,” Beträge zur Philosophie des deutchen Idealismus 3: 36-51. Published in English as “Compound Thoughts,” in The Frege Reader, edited by Michael Beaney. Oxford: Blackwell, 1997.
  • Gentzen, Gerhard. 1934. “Untersuchungen über das logische Schließen” Mathematische Zeitschrift 39: 176-210, 405-31. Published in English as “Investigations into Logical Deduction,” in Gentzen 1969.
  • Gentzen, Gerhard. 1969. Collected Papers. Edited by M. E. Szabo. Amsterdam: North-Holland Publishing.
  • Haack, Susan. 1996. Deviant Logic, Fuzzy Logic. Chicago: University of Chicago Press.
  • Herbrand, Jacques. 1930. “Recherches sur la théorie de la démonstration,” Travaux de la Société des Sciences et de la Lettres de Varsovie 33: 133-160.
  • Hilbert, David and William Ackermann. 1950. Principles of Mathematical Logic. New York: Chelsea.
  • Hintikka, Jaakko. 1962. Knowledge and Belief: An Introduction to the Logic of the Two Notions. Ithaca: Cornell University Press.
  • Hughes, G. E. and M. J. Cresswell. 1996. A New Introduction to Modal Logic. London: Routledge.
  • Jevons, W. S. 1880. Studies in Deductive Logic. London: Macmillan.
  • Kalmár, L. 1935. “Über die Axiomatisierbarkeit des Aussagenkalküls,” Acta Scientiarum Mathematicarum 7: 222-43.
  • Kleene, Stephen C. 1952. Introduction to Metamathematics. Princeton, NJ: Van Nostrand.
  • Kneale, William and Martha Kneale. 1962. The Development of Logic. Clarendon: Oxford.
  • Lewis, C. I. and C. H. Langford. 1932. Symbolic Logic. New York: Dover.
  • Łukasiewicz, Jan. 1920. “O logice trojwartosciowej,” Ruch Filozoficny 5: 170-171. Published in English as “On Three-Valued Logic,” in Łukasiewicz 1970.
  • Łukasiewicz, Jan. 1970. Selected Works. Amsterdam: North-Holland.
  • Łukasiewicz, Jan and Alfred Tarski. 1930. “Untersuchungen über den Aussagenkalkül,” Comptes Rendus des séances de la Société des Sciences et de la Lettres de Varsovie 32: 30-50. Published in English as “Investigations into the Sentential Calculus,” in Tarski 1956.
  • Mally, Ernst. 1926. Grundgesetze des Sollens: Elemente der Logik des Willens. Graz: Leuschner und Lubensky.
  • McCune, William, Robert Veroff, Branden Fitelson, Kenneth Harris, Andrew Feist and Larry Wos. 2002. “Short Single Axioms for Boolean Algebra,” Journal of Automated Reasoning 29: 1-16.
  • Mendelson, Elliot. 1997. Introduction to Mathematical Logic. 4th ed. London: Chapman and Hall.
  • Meredith, C. A. 1953. “Single Axioms for the Systems (C, N), (C, O) and (A, N) of the Two-valued Propositional Calculus,” Journal of Computing Systems 3: 155-62.
  • Müller, Eugen, ed. 1909. Abriss der Algebra der Logik, by E. Schröder. Leipzig: Teubner.
  • Nicod, Jean. 1917. “A Reduction in the Number of the Primitive Propositions of Logic,” Proceedings of the Cambridge Philosophical Society 19: 32-41.
  • Peirce, C. S. 1885. “On the Algebra of Logic,” American Journal of Mathematics 7: 180-202.
  • Post, Emil. 1921. “Introduction to a General Theory of Propositions,” American Journal of Mathematics 43: 163-185.
  • Priest, Graham, Richard Routley and Jean Norman, eds. 1990. Paraconsistent Logic. Munich: Verlag.
  • Prior, Arthur. 1990. Formal Logic. 2nd. ed. Oxford: Oxford University Press.
  • Read, Stephen, 1988. Relevant Logic. New York: Blackwell.
  • Rescher, Nicholas. 1966. The Logic of Commands. London: Routledge and Kegan Paul.
  • Rescher, Nicholas. 1969. Many-Valued Logic. New York: McGraw Hill.
  • Rosser, J. B. 1953. Logic for Mathematicians. New York: McGraw Hill.
  • Russell, Bertrand. 1906. “The Theory of Implication,” American Journal of Mathematics 28: 159-202.
  • Schlesinger, G. N. 1985. The Range of Epistemic Logic. Aberdeen: Aberdeen University Press.
  • Sheffer, H. M. 1913. “A Set of Five Postulates for Boolean Algebras with Application to Logical Constants,” Transactions of the American Mathematical Society 14: 481-88.
  • Smullyan, Raymond. 1961. Theory of Formal Systems. Princeton: Princeton University Press.
  • Tarski, Alfred. 1956. Logic, Semantics and Meta-Mathematics. Oxford: Oxford University Press.
  • Urquhart, Alasdair. 1986. “Many-valued Logic,” In Handbook of Philosophical Logic, vol. 3, edited by D. Gabbay and F. Guenthner. Dordrecht: Reidel.
  • Venn, John. 1881. Symbolic Logic. London: Macmillan.
  • Whitehead, Alfred North and Bertrand Russell. 1910-1913. Principia Mathematica. 3 vols. Cambridge: Cambridge University Press.
  • Wittgenstein, Ludwig. 1922. Tractatus Logico-Philosophicus. London: Routledge and Kegan Paul.

Author Information

Kevin C. Klement
Email: klement@philos.umass.edu
University of Massachusetts, Amherst
U. S. A.

Aristippus (c. 435—356 B.C.E.)

Aristippus was a follower of Socrates, and the founder of the Cyrenaic school of philosophy.  Like other Greek ethical thinkers, Aristippus’ ethics are centered around the question of what the ‘end’ is; that is, what goal our actions aim at and what is valuable for its own sake. Aristippus identified the end as pleasure. This identification of pleasure as the end makes Aristippus a hedonist. Most of the pleasures that Aristippus is depicted as pursuing have to do with sensual gratification, such as sleeping with courtesans and enjoying fine food and old wines. He taught that we should not defer pleasures that are ready at hand for the sake of future pleasures. He was willing to break the social conventions of his day and engage in behavior that was considered undignified or shocking for the sake of obtaining pleasurable experiences. His ideal life would be branded by most Greeks as being enslaved to pleasure.The Cyrenaic school developed these ideas further and influenced Epicurus and the later Greek skeptics.

Table of Contents

  1. Life and Sources
  2. Hedonism and Future Concern
  3. Iconoclasm and Freedom
  4. References and Further Reading

1. Life and Sources

Aristippus was born in Cyrene, a Greek colony in Northern Africa. He moved to Athens and became one of the young men who followed Socrates about as Socrates questioned the citizens of Athens and exposed their ignorance. He was probably the most scandalous of Socrates’ followers because of his advocacy of a life of sensual pleasure and his willingness to accept money for his instruction, as the sophists did. He gathered a number of disciples, including his daughter Arete, to whom he taught philosophy, and these students formed the basis for the Cyrenaic school.

Beyond these spare facts, it is difficult to ascertain much with great confidence about Aristippus. This is because our main source for information on Aristippus is the Lives of the Philosophers by Diogenes Laertius, who wrote over 500 years after Aristippus died. Diogenes Laertius simply collated what others had said about various philosophers, without any regard for the sources’ reliability. Because of the contempt that the hedonism of Aristippus and the Cyrenaics inspired, Aristippus became a natural focal point for many scandalous stories that were supposed to provide fitting illustrations of his thought. Most of these stories are probably false. However, they still can be used as sources for popular attitudes toward Aristippus and to reconstruct what features of his thought and life inspired these stories.

Although Aristippus founded the Cyrenaic school, it is not clear how much of the developed Cyrenaic position was actually promulgated by him. This is because Aristippus’ grandson, also named Aristippus, is reported to have systematized much of the Cyrenaic philosophy, and thus it is difficult to disentangle which parts of the Cyrenaic philosophy were Aristippus the Elder’s, and which parts his grandson’s. For the purposes of this article, therefore, only those positions that can be confidently ascribed to Aristippus the Elder himself will be discussed, and the more developed epistemology and ethics of the school he founded are discussed in the article on the Cyrenaics.

2. Hedonism and Future Concern

Like other Greek ethical thinkers, Aristippus’ ethics are centered around the question of what the ‘end’ is; that is, what goal our actions aim at and what is valuable for its own sake. Aristippus identified the end as pleasure. This identification of pleasure as the end makes Aristippus a hedonist. Most of the pleasures that Aristippus is depicted as pursuing have to do with sensual gratification, such as sleeping with courtesans and enjoying fine food and old wines.

Xenophon, a hostile contemporary of Aristippus’, reports that Aristippus rejected delaying any gratification. Aristippus advocated simply deriving pleasure from whatever is present, and not producing trouble for oneself by toiling to obtain things which may bring one pleasure in the future.

Both of these features of Aristippus’ thought were developed further by the Cyrenaics.

3. Iconoclasm and Freedom

In his pursuit of sensual gratification, Aristippus showed little regard for the standards of propriety reigning in Greece at the time. Although many of the sensationalistic stories about Aristippus are probably false, they depict a man who is willing to engage in activity that is shocking, undignified, and callous for the sake of his own pleasure, and who displays disdain for conventional standards as being mere societal prejudices.

For instance, when Aristippus was upbraided for sleeping with a courtesan, he asked whether there was any difference between taking a house in which many people have lived in before or none, or between sailing on a ship in which many people have sailed and none. When it was answered that there is no important difference, he replied that it likewise makes no difference whether the woman you sleep with has been with many people or none. Aristippus was also notorious for currying favor with King Dionysius of Syracuse, and he was called the “king’s poodle” for his willingness to do things like putting on a woman’s robes and dancing when the king demanded it, or falling at the feet of the king in order to have a request of his fulfilled. And when he was reproached for exposing his infant son to die as if it were not his own, he replied that “phlegm and vermin are also of our own begetting, but we still cast them as far away from us as possible because they are useless.”

Such a life would be branded by most Greeks as being enslaved to pleasure. Aristippus, however, thought that his willingness to do anything whatsoever for the sake of pleasure, his total flexibility, brought him a kind of freedom. Aristippus was able to do whatever the circumstances demanded of him, and his single-mindedness and disregard of social conventions made him master of himself. Aristippus said that he possessed the courtesan Laïs, but was not possessed by her, and that “what is best is not abstaining from pleasures, but instead controlling them without being controlled.” That is, as long as you are clear-headed and single-minded in your pursuit of pleasure, it is not as though pursuing pleasure in this way is making you do anything unwillingly, or making you lose your self-control.

4. References and Further Reading

There is no recent book-length treatment of Aristippus available in English. However, recent books that deal with the Cyrenaics in general also have valuable summaries of information on Aristippus in particular, as well as extensive bibliographies that include articles on Aristippus. For those looking for more ancient gossip and witty banter than included here, Diogenes Laertius’ account of Aristippus is in book two of his Lives of the Philosophers. The Loeb Classical Library, published by Harvard University Press, has a good translation by R.D. Hicks, revised by Herbert S. Long (1972). This edition includes a valuable introduction to Diogenes Laertius, written by Long, which discusses Diogenes’ sources, his methods of composition, and his limitations.

Author Information

Tim O’Keefe
Email: see www.gsu.edu/~phltso/mail-tim.html
Georgia State University
U. S. A.

Hannah Arendt (1906—1975)

arendt

Hannah Arendt is a twentieth century political philosopher whose writings do not easily come together into a systematic philosophy that expounds and expands upon a single argument over a sequence of works. Instead, her thoughts span totalitarianism, revolution, the nature of freedom and the faculties of thought and judgment.

The question with which Arendt engages most frequently is the nature of politics and the political life, as distinct from other domains of human activity. Arendt’s work, if it can be said to do any one thing, essentially undertakes a reconstruction of the nature of political existence. This pursuit takes shape as one that is decidedly phenomenological, a pointer to the profound influence exerted on her by Heidegger and Jaspers. Beginning with a phenomenological prioritization of the experiential character of human life and discarding traditional political philosophy’s conceptual schema, Arendt in effect aims to make available the objective structures and characteristics of political being-in-the-world as a distinct mode of human experience. This investigation spans the rest of Arendt’s life and works. During its course, recurrent themes emerge that help to organize her thought–themes such as the possibility and conditions of a humane and democratic public life, the forces that threaten such a life, conflict between private and public interests, and intensified cycles of production and consumption. As these issues reappear, Arendt elaborates on them and refines them, rarely relaxing the enquiry into the nature of political existence. The most famous facet of this enquiry, often considered also to be the most original, is Arendt’s outline of the faculty of human judgment. Through this, she develops a basis upon which publicly-minded political judgment can survive, in spite of the calamitous events of the 20th century which she sees as having destroyed the traditional framework for such judgment.

The article proceeds by charting a roughly chronological map of her major works. It endeavours to illuminate the continuities and connections within these works in an attempt to synchronize them as a coherent but fully-functioning body of thought.

Table of Contents

  1. Chronology of Life and Works
  2. Arendt’s Thought: Context and Influences
  3. On Totalitarianism
  4. The Human Condition
    1. The Vita Activa: Labor, Work and Action
      1. Labor: Humanity as Animal Laborans
      2. Work: Humanity as Homo Faber
      3. Action: Humanity as Zoon Politikon
  5. On Revolution
  6. Eichmann and the “Banality of Evil”
  7. Thinking and Judging
  8. Influence
  9. Criticisms and Controversies
  10. References and Further Reading
    1. Major Works by Arendt
    2. Recommended Further Reading

1. Chronology of Life and Works

The political philosopher, Hannah Arendt (1906-1975), was born in Hanover, Germany, in 1906, the only child of secular Jews. During childhood, Arendt moved first to Königsberg (East Prussia) and later to Berlin. In 1922-23, Arendt began her studies (in classics and Christian theology) at the University of Berlin, and in 1924 entered Marburg University, where she studied philosophy with Martin Heidegger. In 1925 she began a romantic relationship with Heidegger, but broke this off the following year. She moved to Heidelberg to study with Karl Jaspers, the existentialist philosopher and friend of Heidegger. Under Jasper’s supervision, she wrote her dissertation on the concept of love in St. Augustine’s thought. She remained close to Jaspers throughout her life, although the influence of Heidegger’s phenomenology was to prove the greater in its lasting influence upon Arendt’s work.

In 1929, she met Gunther Stern, a young Jewish philosopher, with whom she became romantically involved, and subsequently married (1930). In 1929, her dissertation (Der Liebesbegriff bei Augustin) was published. In the subsequent years, she continued her involvement in Jewish and Zionist politics, which began from 1926 onwards. In 1933, fearing Nazi persecution, she fled to Paris, where she subsequently met and became friends with both Walter Benjamin and Raymond Aron. In 1936, she met Heinrich Blücher, a German political refugee, divorced Stern in ’39, and the following year she and Blücher married in 1940.

After the outbreak of war, and following detention in a camp as an “enemy alien,” Arendt and Blücher fled to the USA in 1941. Living in New York, Arendt wrote for the German language newspaper Aufbau and directed research for the Commission on European Jewish Cultural Reconstruction. In 1944, she began work on what would become her first major political book, The Origins of Totalitarianism. In 1946, she published “What is Existenz Philosophy,” and from 1946 to 1951 she worked as an editor at Schoken Books in New York. In 1951, The Origins of Totalitarianism was published, after which she began the first in a sequence of visiting fellowships and professorial positions at American universities and she attained American citizenship.

In 1958, she published The Human Condition and Rahel Varnhagen: The Life of a Jewess. In 1959, she published “Reflections on Little Rock,” her controversial consideration of the emergent Black civil rights movement. In 1961, she published Between Past and Future, and traveled to Jerusalem to cover the trial of Nazi Adolf Eichmann for the New Yorker.

In 1963 she published her controversial reflections on the Eichmann trial, first in the New Yorker, and then in book form as Eichmann in Jerusalem: A Report on the Banality of Evil. In this year, she also published On Revolution. In 1967, having held positions at Berkeley and Chicago, she took up a position at the New School for Social Research in New York. In 1968, she published Men in Dark Times.

In 1970, Blücher died. That same year, Arendt gave her seminar on Kant’s philosophy of judgement at the New School (published posthumously as Reflections on Kant’s Political Philosophy, 1982). In 1971 she published “Thinking and Moral Considerations,” and the following year Crisis of the Republicappeared. In the next years, she worked on her projected three-volume work, The Life of the Mind. Volumes 1 and 2 (on “Thinking” and “Willing”) were published posthumously. She died on December 4, 1975, having only just started work on the third and final volume, Judging.

2. Arendt’s Thought: Context and Influences

Hannah Arendt is a most challenging figure for anyone wishing to understand the body of her work in political philosophy. She never wrote anything that would represent a systematic political philosophy, a philosophy in which a single central argument is expounded and expanded upon in a sequence of works. Rather, her writings cover many and diverse topics, spanning issues such as totalitarianism, revolution, the nature of freedom, the faculties of “thinking” and “judging,” the history of political thought, and so on. A thinker of heterodox and complicated argumentation, Arendt’s writings draw inspiration from Heidegger, Aristotle, Augustine, Kant, Nietzsche, Jaspers, and others. This complicated synthesis of theoretical elements is evinced in the apparent availability of her thought to a wide and divergent array of positions in political theory: for example, participatory democrats such as Benjamin Barber and Sheldon Wolin, communitarians such as Sandel and MacIntyre, intersubjectivist neo-Kantians such as Habermas, Albrecht Wellmer, Richard Bernstein and Seyla Benhabib, etc. However, it may still be possible to present her thought not as a collection of discrete interventions, but as a coherent body of work that takes a single question and a single methodological approach, which then informs a wide array of inquiries. The question, with which Arendt’s thought engages, perhaps above all others, is that of the nature of politics and political life, as distinct from other domains of human activity. Her attempts to explicate an answer to this question and, inter alia, to examine the historical and social forces that have come to threaten the existence of an autonomous political realm, have a distinctly phenomenological character. Arendt’s work, if it can be said to do anything, can be said to undertake a phenomenological reconstruction of the nature of political existence, with all that this entails in way of thinking and acting.

The phenomenological nature of Arendt’s examination (and indeed defense) of political life can be traced through the profound influence exerted over her by both Heidegger and Jaspers. Heidegger in particular can be seen to have profoundly impacted upon Arendt’s thought in for example: in their shared suspicion of the “metaphysical tradition’s” move toward abstract contemplation and away from immediate and worldly understanding and engagement, in their critique of modern calculative and instrumental attempts to order and dominate the world, in their emphasis upon the ineliminable plurality and difference that characterize beings as worldly appearances, and so on. This is not, however, to gloss over the profound differences that Arendt had with Heidegger, with not only his political affiliation with the Nazis, or his moves later to philosophical-poetic contemplation and his corresponding abdication from political engagement. Nevertheless, it can justifiably be claimed that Arendt’s inquiries follow a crucial impetus from Heidegger’s project in Being & Time.

Arendt’s distinctive approach as a political thinker can be understood from the impetus drawn from Heidegger’s “phenomenology of Being.” She proceeds neither by an analysis of general political concepts (such as authority, power, state, sovereignty, etc.) traditionally associated with political philosophy, nor by an aggregative accumulation of empirical data associated with “political science.” Rather, beginning from a phenomenological prioritization of the “factical” and experiential character of human life, she adopts a phenomenological method, thereby endeavoring to uncover the fundamental structures of political experience. Eschewing the “free-floating constructions” and conceptual schema imposed a posterioriupon experience by political philosophy, Arendt instead follows phenomenology’s return “to the things themselves” (zu den Sachen selbst), aiming by such investigation to make available the objective structures and characteristics of political being-in-the-world, as distinct from other (moral, practical, artistic, productive, etc.) forms of life.

Hence Arendt’s explication of the constitutive features of the vita activa in The Human Condition(labor, work, action) can be viewed as the phenomenological uncovering of the structures of human action qua existence and experience rather then abstract conceptual constructions or empirical generalizations about what people typically do. That is, they approximate with respect to the specificity of the political field the ‘existentials’, the articulations of Dasein‘s Being set out be Heidegger in Being and Time.

This phenomenological approach to the political partakes of a more general revaluation or reversal of the priority traditionally ascribed to philosophical conceptualizations over and above lived experience. That is, the world of common experience and interpretation (Lebenswelt) is taken to be primary and theoretical knowledge is dependent on that common experience in the form of a thematization or extrapolation from what is primordially and pre-reflectively present in everyday experience. It follows, for Arendt, that political philosophy has a fundamentally ambiguous role in its relation to political experience, insofar as its conceptual formulations do not simply articulate the structures of pre-reflective experience but can equally obscure them, becoming self-subsistent preconceptions which stand between philosophical inquiry and the experiences in question, distorting the phenomenal core of experience by imposing upon it the lens of its own prejudices. Therefore, Arendt sees the conceptual core of traditional political philosophy as an impediment, because as it inserts presuppositions between the inquirer and the political phenomena in question. Rather than following Husserl’s methodological prescription of a “bracketing” (epoché) of the prevalent philosophical posture, Arendt’s follows Heidegger’s historical Abbau or Destruktion to clear away the distorting encrustations of the philosophical tradition, thereby aiming to uncover the originary character of political experience which has for the most part been occluded.

There is no simple way of presenting Arendt’s diverse inquiries into the nature and fate of the political, conceived as a distinctive mode of human experience and existence. Her corpus of writings present a range of arguments, and develop a range of conceptual distinctions, that overlap from text to text, forming a web of inter-related excurses. Therefore, perhaps the only way to proceed is to present a summation of her major works, in roughly chronological order, while nevertheless attempting to highlight the continuities that draw them together into a coherent whole.

3. On Totalitarianism

Arendt’s first major work, published in 1951, is clearly a response to the devastating events of her own time – the rise of Nazi Germany and the catastrophic fate of European Jewry at its hands, the rise of Soviet Stalinism and its annihilation of millions of peasants (not to mention free-thinking intellectual, writers, artists, scientists and political activists). Arendt insisted that these manifestations of political evil could not be understood as mere extensions in scale or scope of already existing precedents, but rather that they represented a completely ‘novel form of government’, one built upon terror and ideological fiction. Where older tyrannies had used terror as an instrument for attaining or sustaining power, modern totalitarian regimes exhibited little strategic rationality in their use of terror. Rather, terror was no longer a means to a political end, but an end in itself. Its necessity was now justified by recourse to supposed laws of history (such as the inevitable triumph of the classless society) or nature (such as the inevitability of a war between “chosen” and other “degenerate” races).

For Arendt, the popular appeal of totalitarian ideologies with their capacity to mobilize populations to do their bidding, rested upon the devastation of ordered and stable contexts in which people once lived. The impact of the First World War, and the Great Depression, and the spread of revolutionary unrest, left people open to the promulgation of a single, clear and unambiguous idea that would allocate responsibility for woes, and indicate a clear path that would secure the future against insecurity and danger. Totalitarian ideologies offered just such answers, purporting discovered a “key to history” with which events of the past and present could be explained, and the future secured by doing history’s or nature’s bidding. Accordingly the amenability of European populations to totalitarian ideas was the consequence of a series of pathologies that had eroded the public or political realm as a space of liberty and freedom. These pathologies included the expansionism of imperialist capital with its administrative management of colonial suppression, and the usurpation of the state by the bourgeoisie as an instrument by which to further its own sectional interests. This in turn led to the delegitimation of political institutions, and the atrophy of the principles of citizenship and deliberative consensus that had been the heart of the democratic political enterprise. The rise of totalitarianism was thus to be understood in light of the accumulation of pathologies that had undermined the conditions of possibility for a viable public life that could unite citizens, while simultaneously preserving their liberty and uniqueness (a condition that Arendt referred to as “plurality”).

In this early work, it is possible to discern a number of the recurrent themes that would organize Arendt’s political writings throughout her life. For example, the inquiry into the conditions of possibility for a humane and democratic public life, the historical, social and economic forces that had come to threaten it, the conflictual relationship between private interests and the public good, the impact of intensified cycles of production and consumption that destabilized the common world context of human life, and so on. These themes would not only surface again and again in Arendt’s subsequent work, but would be conceptually elaborated through the development of key distinctions in order to delineate the nature of political existence and the faculties exercised in its production and preservation.

4. The Human Condition

The work of establishing the conditions of possibility for political experience, as opposed to other spheres of human activity, was undertaken by Arendt in her next major work, The Human Condition (1958). In this work she undertakes a thorough historical-philosophical inquiry that returned to the origins of both democracy and political philosophy in the Ancient Greek world, and brought these originary understandings of political life to bear on what Arendt saw as its atrophy and eclipse in the modern era. Her goal was to propose a phenomenological reconstruction of different aspects of human activity, so as to better discern the type of action and engagement that corresponded to present political existence. In doing so, she offers a stringent critique of traditional of political philosophy, and the dangers it presents to the political sphere as an autonomous domain of human practice.

 

The Human Condition is fundamentally concerned with the problem of reasserting the politics as a valuable ream of human action, praxis, and the world of appearances. Arendt argues that the Western philosophical tradition has devalued the world of human action which attends to appearances (the vita activa), subordinating it to the life of contemplation which concerns itself with essences and the eternal (the vita contemplativa). The prime culprit is Plato, whose metaphysics subordinates action and appearances to the eternal realm of the Ideas. The allegory of The Cave in The Republic begins the tradition of political philosophy; here Plato describes the world of human affairs in terms of shadows and darkness, and instructs those who aspire to truth to turn away from it in favor of the “clear sky of eternal ideas.” This metaphysical hierarchy, theôria is placed above praxis and epistêmê over mere doxa. The realm of action and appearance (including the political) is subordinated to and becomes instrumental for the ends of the Ideas as revealed to the philosopher who lives the bios theôretikos. In The Human Condition and subsequent works, the task Arendt set herself is to save action and appearance, and with it the common life of the political and the values of opinion, from the depredations of the philosophers. By systematically elaborating what this vita activa might be said to entail, she hopes to reinstate the life of public and political action to apex of human goods and goals.

a. The Vita Activa: Labor, Work and Action

In The Human Condition Arendt argues for a tripartite division between the human activities of labor, work, and action. Moreover, she arranges these activities in an ascending hierarchy of importance, and identifies the overturning of this hierarchy as central to the eclipse of political freedom and responsibility which, for her, has come to characterize the modern age.

i. Labor: Humanity as Animal Laborans

Labor is that activity which corresponds to the biological processes and necessities of human existence, the practices which are necessary for the maintenance of life itself. Labor is distinguished by its never-ending character; it creates nothing of permanence, its efforts are quickly consumed, and must therefore be perpetually renewed so as to sustain life. In this aspect of its existence humanity is closest to the animals and so, in a significant sense, the least human (“What men [sic] share with all other forms of animal life was not considered to be human”). Indeed, Arendt refers to humanity in this mode as animal laborans. Because the activity of labor is commanded by necessity, the human being as laborer is the equivalent of the slave; labor is characterized by unfreedom. Arendt argues that it is precisely the recognition of labor as contrary to freedom, and thus to what is distinctively human, which underlay the institution of slavery amongst the ancient Greeks; it was the attempt to exclude labor from the conditions of human life. In view of this characterization of labor, it is unsurprising that Arendt is highly critical of Marx’s elevation of animal laborans to a position of primacy in his vision of the highest ends of human existence. Drawing on the Aristotelian distinction of the oikos (the private realm of the household) from the polis (the public realm of the political community), Arendt argues that matters of labor, economy and the like properly belong to the former, not the latter. The emergence of necessary labor , the private concerns of the oikos, into the public sphere (what Arendt calls “the rise of the social”) has for her the effect of destroying the properly political by subordinating the public realm of human freedom to the concerns mere animal necessity. The prioritization of the economic which has attended the rise of capitalism has for Arendt all but eclipsed the possibilities of meaningful political agency and the pursuit of higher ends which should be the proper concern of public life.

ii. Work: Humanity as Homo Faber

If labor relates to the natural and biologically necessitated dimension of human existence, then work is “the activity which corresponds to the unnaturalness of human existence, which is not embedded in, and whose mortality is not compensated by, the species’ ever-recurring life-cycle.” Work (as both technê andpoiesis) corresponds to the fabrication of an artificial world of things, artifactual constructions which endure temporally beyond the act of creation itself. Work thus creates a world distinct from anything given in nature, a world distinguished by its durability, its semi-permanence and relative independence from the individual actors and acts which call it into being. Humanity in this mode of its activity Arendt names homo faber; he/she is the builder of walls (both physical and cultural) which divide the human realm from that of nature and provide a stable context (a “common world”) of spaces and institutions within which human life can unfold. Homo faber‘s typical representatives are the builder, the architect, the craftsperson, the artist and the legislator, as they create the public world both physically and institutionally by constructing buildings and making laws.

It should be clear that work stands in clear distinction from labor in a number of ways. Firstly, whereas labor is bound to the demands of animality, biology and nature, work violates the realm of nature by shaping and transforming it according to the plans and needs of humans; this makes work a distinctly human (i.e. non-animal) activity. Secondly, because work is governed by human ends and intentions it is under humans’ sovereignty and control, it exhibits a certain quality of freedom, unlike labor which is subject to nature and necessity. Thirdly, whereas labor is concerned with satisfying the individual’s life-needs and so remains essentially a private affair, work is inherently public; it creates an objective and common world which both stands between humans and unites them. While work is not the mode of human activity which corresponds to politics, its fabrications are nonetheless the preconditions for the existence of a political community. The common world of institutions and spaces that work creates furnish the arena in which citizens may come together as members of that shared world to engage in political activity. In Arendt’s critique of modernity the world created by homo faber is threatened with extinction by the aforementioned “rise of the social.” The activity of labor and the consumption of its fruits, which have come to dominate the public sphere, cannot furnish a common world within which humans might pursue their higher ends. Labor and its effects are inherently impermanent and perishable, exhausted as they are consumed, and so do not possess the qualities of quasi-permanence which are necessary for a shared environment and common heritage which endures between people and across time. In industrial modernity “all the values characteristic of the world of fabrication – permanence, stability, durability…are sacrificed in favor of the values of life, productivity and abundance.” The rise of animal laborans threatens the extinction of homo faber, and with it comes the passing of those worldly conditions which make a community’s collective and public life possible (what Arendt refers to as “world alienation”).

iii. Action: Humanity as Zoon Politikon

So, we have the activity of labor which meets the needs that are essential for the maintenance of humanities physical existence, but by virtue of its necessary quality occupies the lowest rung on the hierarchy of the vita activa. Then we have work, which is a distinctly human (i.e. non-animal) activity which fabricates the enduring, public and common world of our collective existence. However, Arendt is at great pains to establish that the activity of homo faber does not equate with the realm of human freedom and so cannot occupy the privileged apex of the human condition. For work is still subject to a certain kind of necessity, that which arises from its essentially instrumental character. As technê andpoiesis the act is dictated by and subordinated to ends and goals outside itself; work is essentially ameans to achieve the thing which is to be fabricated (be it a work of art, a building or a structure of legal relations) and so stands in a relation of mere purposiveness to that end. (Again it is Plato who stands accused of the instrumentalization of action, of its conflation with fabrication and subordination to an external teleology as prescribed by his metaphysical system). For Arendt, the activity of work cannot be fully free insofar as it is not an end in itself, but is determined by prior causes and articulated ends. The quality of freedom in the world of appearances (which for Arendt is the sine qua non of politics) is to be found elsewhere in the vita activa, namely with the activity of action proper.

The fundamental defining quality of action is its ineliminable freedom, its status as an end in itself and so as subordinate to nothing outside itself. Arendt argues that it is a mistake to take freedom to be primarily an inner, contemplative or private phenomenon, for it is in fact active, worldly and public. Our sense of an inner freedom is derivative upon first having experienced “a condition of being free as a tangible worldly reality. We first become aware of freedom or its opposite in our intercourse with others, not in the intercourse with ourselves.” In defining action as freedom, and freedom as action, we can see the decisive influence of Augustine upon Arendt’s thought. From Augustine’s political philosophy she takes the theme of human action as beginning:

To act, in its most general sense, means to take initiative, to begin (as the Greek word archein, ‘to begin,’ ‘to lead,’ and eventually ‘to rule’ indicates), to set something in motion. Because they are initium, newcomers and beginners by virtue of birth, men take initiative, are prompted into action.

And further, that freedom is to be seen:

as a character of human existence in the world. Man does not so much possess freedom as he, or better his coming into the world, is equated with the appearance of freedom in the universe; man is free because he is a beginning…

In short, humanity represents/articulates/embodies the faculty of beginning. It follows from this equation of freedom, action and beginning that freedom is “an accessory of doing and acting;” “Men are free…as long as they act, neither before nor after; for to be free and to act are the same.” This capacity for initiation gives actions the character of singularity and uniqueness, as “it is in the nature of beginning that something new is started which cannot be expected from whatever happened before.” So, intrinsic to the human capacity for action is the introduction of genuine novelty, the unexpected, unanticipated and unpredictable into the world:

The new always happens against the overwhelming odds of statistical laws and their probability, which for all practical, everyday purposes amounts to certainty; the new therefore always appears in the guise of a miracle.

This “miraculous,” initiatory quality distinguishes genuine action from mere behavior i.e. from conduct which has an habituated, regulated, automated character; behavior falls under the determinations ofprocess, is thoroughly conditioned by causal antecedents, and so is essentially unfree. The definition of human action in terms of freedom and novelty places it outside the realm of necessity or predictability. Herein lies the basis of Arendt’s quarrel with Hegel and Marx, for to define politics or the unfolding of history in terms of any teleology or immanent or objective process is to deny what is central to authentic human action, namely, its capacity to initiate the wholly new, unanticipated, unexpected, unconditioned by the laws of cause and effect.

It has been argued that Arendt is a political existentialist who, in seeking the greatest possible autonomy for action, falls into the danger of aestheticising action and advocating decisionism. Yet political existentialism lays great stress on individual will and on decision as “an act of existential choice unconstrained by principles or norms.” In contradistinction, Arendt’s theory holds that actions cannot be justified for their own sake, but only in light of their public recognition and the shared rules of a political community. For Arendt, action is a public category, a worldly practice that is experienced in our intercourse with others, and so is a practice that “both presupposes and can be actualized only in a human polity.” As Arendt puts it:

Action, the only activity that goes on directly between men…corresponds to the human condition of plurality, to the fact that men, not Man, live on the earth and inhabit the world. While all aspects of the human condition are somehow related to politics, this plurality is specifically the condition – not only theconditio sine qua non, but the conditio per quam – of all political life .

Another way of understanding the importance of publicity and plurality for action is to appreciate that action would be meaningless unless there were others present to see it and so give meaning to it. The meaning of the action and the identity of the actor can only be established in the context of human plurality, the presence others sufficiently like ourselves both to understand us and recognize the uniqueness of ourselves and our acts. This communicative and disclosive quality of action is clear in the way that Arendt connects action most centrally to speech. It is through action as speech that individuals come to disclose their distinctive identity: “Action is the public disclosure of the agent in the speech deed.” Action of this character requires a public space in which it can be realized, a context in which individuals can encounter one another as members of a community. For this space, as for much else, Arendt turns to the ancients, holding up the Athenian polis as the model for such a space of communicative and disclosive speech deeds. Such action is for Arendt synonymous with the political; politics is the ongoing activity of citizens coming together so as to exercise their capacity for agency, to conduct their lives together by means of free speech and persuasion. Politics and the exercise of freedom-as-action are one and the same:

…freedom…is actually the reason that men live together in political organisations at all. Without it, political life as such would be meaningless. The raison d’être of politics is freedom, and its field of experience is action.

5. On Revolution

From the historical-philosophical treatment of the political in The Human Condition, it might appear that for Arendt an authentic politics (as freedom of action, public deliberation and disclosure) has been decisively lost in the modern era. Yet in her next major work, On Revolution (1961) she takes her rethinking of political concepts and applies them to the modern era, with ambivalent results.

Arendt takes issue with both liberal and Marxist interpretations of modern political revolutions (such as the French and American). Against liberals, the disputes the claim that these revolutions were primarily concerned with the establishment of a limited government that would make space for individual liberty beyond the reach of the state. Against Marxist interpretations of the French Revolution, she disputes the claim that it was driven by the “social question,” a popular attempt to overcome poverty and exclusion by the many against the few who monopolized wealth in the ancien regime. Rather, Arendt claims, what distinguishes these modern revolutions is that they exhibit (albeit fleetingly) the exercise of fundamental political capacities – that of individuals acting together, on the basis of their mutually agreed common purposes, in order to establish a tangible public space of freedom. It is in this instauration, the attempt to establish a public and institutional space of civic freedom and participation, that marks out these revolutionary moments as exemplars of politics qua action.

Yet Arendt sees both the French and American revolutions as ultimately failing to establish a perduring political space in which the on-going activities of shared deliberation, decision and coordinated action could be exercised. In the case of the French Revolution, the subordination of political freedom to matters of managing welfare (the “social question”) reduces political institutions to administering the distribution of goods and resources (matters that belong properly in the oikos, dealing as they do with the production and reproduction of human existence). Meanwhile, the American Revolution evaded this fate, and by means of the Constitution managed to found a political society on the basis of comment assent. Yet she saw it only as a partial and limited success. America failed to create an institutional space in which citizens could participate in government, in which they could exercise in common those capacities of free expression, persuasion and judgement that defined political existence. The average citizen, while protected from arbitrary exercise of authority by constitutional checks and balances, was no longer a participant “in judgement and authority,” and so became denied the possibility of exercising his/her political capacities.

6. Eichmann and the “Banality of Evil”

Published in the same year as On Revolution, Arendt’s book about the Eichmann trial presents both a continuity with her previous works, but also a change in emphasis that would continue to the end of her life. This work marks a shift in her concerns from the nature of political action, to a concern with the faculties that underpin it – the interrelated activities of thinking and judging.

She controversially uses the phrase “the banality of evil” to characterize Eichmann’s actions as a member of the Nazi regime, in particular his role as chief architect and executioner of Hitler’s genocidal “final solution” (Endlosung) for the “Jewish problem.” Her characterization of these actions, so obscene in their nature and consequences, as “banal” is not meant to position them as workaday. Rather it is meant to contest the prevalent depictions of the Nazi’s inexplicable atrocities as having emanated from a malevolent will to do evil, a delight in murder. As far as Arendt could discern, Eichmann came to his willing involvement with the program of genocide through a failure or absence of the faculties of sound thinking and judgement. From Eichmann’s trial in Jerusalem (where he had been brought after Israeli agents found him in hiding in Argentina), Arendt concluded that far from exhibiting a malevolent hatred of Jews which could have accounted psychologically for his participation in the Holocaust, Eichmann was an utterly innocuous individual. He operated unthinkingly, following orders, efficiently carrying them out, with no consideration of their effects upon those he targeted. The human dimension of these activities were not entertained, so the extermination of the Jews became indistinguishable from any other bureaucratically assigned and discharged responsibility for Eichmann and his cohorts.

Arendt concluded that Eichmann was constitutively incapable of exercising the kind of judgement that would have made his victims’ suffering real or apparent for him. It was not the presence of hatred that enabled Eichmann to perpetrate the genocide, but the absence of the imaginative capacities that would have made the human and moral dimensions of his activities tangible for him. Eichmann failed to exercise his capacity of thinking, of having an internal dialogue with himself, which would have permitted self-awareness of the evil nature of his deeds. This amounted to a failure to use self-reflection as a basis forjudgement, the faculty that would have required Eichmann to exercise his imagination so as to contemplate the nature of his deeds from the experiential standpoint of his victims. This connection between the complicity with political evil and the failure of thinking and judgement inspired the last phase of Arendt’s work, which sought to explicate the nature of these faculties and their constitutive role for politically and morally responsible choices.

7. Thinking and Judging

Arendt’s concern with thinking and judgement as political faculties stretches back to her earliest works, and were addressed subsequently in a number of essays written during the 1950s and 1960s. However, in the last phase of her work, she turned to examine these faculties in a concerted and systematic way. Unfortunately, her work was incomplete at the time of her death – only the first two volumes of the projected 3-volume work, Life of the Mind, had been completed. However, the posthumously publishedLectures on Kant’s Political Philosophy delineate what might reasonably be supposed as her “mature” reflections on political judgement.

In the first volume of Life of the Mind, dealing with the faculty of thinking, Arendt is at pains to distinguish it from “knowing.” She draws upon Kant’s distinction between knowing or understanding (Verstand) and thinking or reasoning (Vernunft). Understanding yields positive knowledge – it is the quest for knowable truths. Reason or thinking, on the other hand, drives us beyond knowledge, persistently posing questions that cannot be answered from the standpoint of knowledge, but which we nonetheless cannot refrain from asking. For Arendt, thinking amounts to a quest to understand the meaning of our world, the ceaseless and restless activity of questioning that which we encounter. The value of thinking is not that it yields positive results that can be considered settled, but that it constantly returns to question again and again the meaning that we give to experiences, actions and circumstances. This, for Arendt, is intrinsic to the exercise of political responsibility – the engagement of this faculty that seeks meaning through a relentless questioning (including self-questioning). It was precisely the failure of this capacity that characterized the “banality” of Eichmann’s propensity to participate in political evil.

The cognate faculty of judgement has attracted most attention is her writing on, deeply inter-connected with thinking, yet standing distinct from it. Her theory of judgement is widely considered as one of the most original parts of her oeuvre, and certainly one of the most influential in recent years.

Arendt’s concern with political judgement, and its crisis in the modern era, is a recurrent theme in her work. As noted earlier, Arendt bemoans the “world alienation” that characterizes the modern era, the destruction of a stable institutional and experiential world that could provide a stable context in which humans could organize their collective existence. Moreover, it will be recalled that in human action Arendt recognizes (for good or ill) the capacity to bring the new, unexpected, and unanticipated into the world. This quality of action means that it constantly threatens to defy or exceed our existing categories of understanding or judgement; precedents and rules cannot help us judge properly what is unprecedented and new. So for Arendt, our categories and standards of thought are always beset by their potential inadequacy with respect to that which they are called upon to judge. However, this aporia of judgement reaches a crisis point in the 20th century under the repeated impact of its monstrous and unprecedented events. The mass destruction of two World Wars, the development of technologies which threaten global annihilation, the rise of totalitarianism, and the murder of millions in the Nazi death camps and Stalin’s purges have effectively exploded our existing standards for moral and political judgement. Tradition lies in shattered fragments around us and “the very framework within which understanding and judging could arise is gone.” The shared bases of understanding, handed down to us in our tradition, seem irretrievably lost. Arendt confronts the question: on what basis can one judge the unprecedented, the incredible, the monstrous which defies our established understandings and experiences? If we are to judge at all, it must now be “without preconceived categories and…without the set of customary rules which is morality;” it must be “thinking without a banister.” In order to secure the possibility of such judgement Arendt must establish that there in fact exists “an independent human faculty, unsupported by law and public opinion, that judges anew in full spontaneity every deed and intent whenever the occasion arises.” This for Arendt comes to represent “one of the central moral questions of all time, namely…the nature and function of human judgement.” It is with this goal and this question in mind that the work of Arendt’s final years converges on the “unwritten political philosophy” of Kant’s Critique of Judgement.

Arendt eschews “determinate judgement,” judgement that subsumes particulars under a universal or rule that already exists. Instead, she turns to Kant’s account of “reflective judgement,” the judgement of a particular for which no rule or precedent exists, but for which some judgement must nevertheless be arrived at. What Arendt finds so valuable in Kant’s account is that reflective judgement proceeds from the particular with which it is confronted, yet nevertheless has a universalizing moment – it proceeds from the operation of a capacity that is shared by all beings possessed of the faculties of reason and understanding. Kant requires us to judge from this common standpoint, on the basis of what we share with all others, by setting aside our own egocentric and private concerns or interests. The faculty of reflective judgement requires us to set aside considerations which are purely private (matters of personal liking and private interest) and instead judge from the perspective of what we share in common with others (i.e. must bedisinterested). Arendt places great weight upon this notion of a faculty of judgement that “thinks from the standpoint of everyone else.” This “broadened way of thinking” or “enlarged mentality” enables us to “compare our judgement not so much with the actual as rather with the merely possible judgement of others, and [thus] put ourselves in the position of everybody else…” For Arendt, this “representative thinking” is made possible by the exercise of the imagination – as Arendt beautifully puts it, “To think with an enlarged mentality means that one trains one’s imagination to go visiting.” “Going visiting” in this way enables us to make individual, particular acts of judgement which can nevertheless claim a public validity. In this faculty, Arendt find a basis upon which a disinterested and publicly-minded form of political judgement could subvene, yet be capable of tackling the unprecedented circumstances and choices that the modern era confronts us with.

8. Influence

We can briefly consider the influence that Arendt’s work has exerted over other political thinkers. This is not easy to summarize, as many and varied scholars have sought inspiration from some part or other of Arendt’s work. However, we may note the importance that her studies have had for the theory and analysis of totalitarianism and the nature and origins of political violence. Similarly, her reflections on the distinctiveness of modern democratic revolutions have been important in the development of republican thought, and for the recent revival of interest in civic mobilizations and social movements (particularly in the wake of 1989’s ‘velvet revolutions’ in the former communist states of Eastern and Central Europe).

More specifically, Arendt has decisively influenced critical and emancipatory attempts to theorize political reasoning and deliberation. For example, Jürgen Habermas admits the formative influence of Arendt upon his own theory of communicative reason and discourse ethics. Particularly important is the way in which Arendt comes to understand power, namely as “the capacity to agree in uncoerced communication on some community action.” Her model of action as public, communicative, persuasive and consensual reappears in Habermas’ thought in concepts such as that of “communicative power” which comes about whenever members of a life-world act in concert via the medium of language. It also reappears in his critique of the “scientization of politics” and his concomitant defense of practical, normative reason in the domain of life-world relations from the hegemony of theoretical and technical modes of reasoning. Others (such as Jean-Luc Nancy) have likewise been influenced by her critique of the modern technological “leveling” of human distinctiveness, often reading Arendt’s account in tandem with Heidegger’s critique of technology. Her theory of judgement has been used by Critical Theorists and Postmoderns alike. Amongst the former, Seyla Benhabib draws explicitly and extensively upon it in order to save discourse ethics from its own universalist excesses; Arendt’s attention to the particular, concrete, unique and lived phenomena of human life furnishes Benhabib with a strong corrective for Habermas’ tendency for abstraction, while nonetheless preserving the project of a universalizing vision of ethical-political life. For the Postmoderns, such as Lyotard, the emphasis placed upon reflective judgement furnishes a “post-foundational” or “post-universalist” basis in which the singularity of moral judgements can be reconciled with some kind of collective adherence to political principles.

9. Criticisms and Controversies

It is worth noting some of the prominent criticisms that have been leveled against Arendt’s work.

Primary amongst these is her reliance upon a rigid distinction between the “private” and “public,” the oikos and the polis, to delimit the specificity of the political realm. Feminists have pointed out that the confinement of the political to the realm outside the household has been part and parcel of the domination of politics by men, and the corresponding exclusion of women’s experiences of subjection from legitimate politics. Marxists have likewise pointed to the consequences of confining matters of material distribution and economic management to the extra-political realm of the oikos, thereby delegitimating questions of material social justice, poverty, and exploitation from political discussion and contestation. The shortcoming of this distinction in Arendt’s work is amply illustrated by a well-known and often-cited incident. While attending a conference in 1972, she was put under question by the Frankfurt School Critical Theorist Albrecht Wellmer, regarding her distinction of the “political” and the “social,” and its consequences. Arendt pronounced that housing and homelessness (themes of the conference) were not political issues, but that they were external to the political as the sphere of the actualization of freedom; the political is about human self-disclosure in speech and deed, not about the distribution of goods, which belongs to the social realm as an extension of the oikos. It may be said that Arendt’s attachment to a fundamental and originary understanding of political life precisely misses the fact that politics is intrinsically concerned with the contestation of what counts as a legitimate public concern, with the practice of politics attempting to introduce new, heretofore ‘non-political’ issues, into realm of legitimate political concern.

Arendt has also come under criticism for her overly enthusiastic endorsement of the Athenian polis as an exemplar of political freedom, to the detriment of modern political regimes and institutions. Likewise, the emphasis she places upon direct citizen deliberation as synonymous with the exercise of political freedom excludes representative models, and might be seen as unworkable in the context of modern mass societies, with the delegation, specialization, expertise and extensive divisions of labor needed to deal with their complexity. Her elevation of politics to the apex of human good and goals has also been challenged, demoting as it does other modes of human action and self-realization to a subordinate status. There are also numerous criticisms that have been leveled at her unorthodox readings of other thinkers, and her attempts to synthesize conflicting philosophical viewpoints in attempt to develop her own position (for example, her attempt to mediate Aristotle’s account of experientially-grounded practical judgement (phronesis) with Kant’s transcendental-formal model).

All these, and other criticisms notwithstanding, Arendt remains one of the most original, challenging and influential political thinkers of the 20th century, and her work will no doubt continue to provide inspiration for political philosophy as we enter the 21st.

10. References and Further Reading

a. Major Works by Arendt

  • The Origins of Totalitarianism, New York, Harcourt, 1951
  • The Human Condition, Chicago, University of Chicago Press, 1958
  • Between Past and Future, London, Faber & Faber, 1961
  • On Revolution. New York, Penguin, 1962
  • Eichmann in Jerusalem: a Report on the Banality of Evil, London, Faber & Faber, 1963
  • On Violence, New York, Harcourt, 1970
  • Men in Dark Times, New York, Harcourt, 1968
  • Crisis of the Republic, New York, Harcourt, 1972
  • The Life of the Mind, 2 vols., London, Secker & Warburg, 1978
  • Lectures on Kant’s Political Philosophy, Brighton, Harvester Press, 1982
  • Love and St. Augustin, Chicago, University of Chicago Press, 1996

b. Recommended Further Reading

  • Benhabib, Seyla: The Reluctant Modernism of Hannah Arendt. London, Sage, 1996
  • Bernstein, Richard J: ‘Hannah Arendt: The Ambiguities of Theory and Practice’, in Political Theory and Praxis: New Perspectives, Terence Ball (ed.). Minneapolis, University of Minnesota Press, 1977
  • Bernstein, Richard J: Philosophical Profiles: Essays in a Pragmatic Mode. Cambridge, Polity Press, 1986
  • Critchley, Simon & Schroeder, William (eds): A Companion to Continental Philosophy. Oxford, Blackwell, 1998
  • d’Entrèves, Maurizio Passerin: The Political Philosophy of Hannah Arendt. London, Routledge, 1994
  • Flynn, Bernard: Political Philosophy at the Closure of Metaphysics. New Jersey/London: Humanities Press International, 1992
  • Habermas, Jürgen: ‘Hannah Arendt: On the Concept of Power’ in Philosophical-Political Profiles. London, Heinemman, 1983
  • Hinchman, Lewis P. & Hinchman, Sandra K: ‘In Heidegger’s Shadow: Hannah Arendt’s Phenomenological Humanism’, in The Review of Politics, 46, 2, 1984, pp 183-211
  • Kielmansegg, Peter G., Mewes, Horst & Glaser-Schmidt, Elisabeth(eds): Hannah Arendt and Leo Strauss: German Emigrés and American Political Thought after World War II. Cambridge, Cambridge University Press, 1995
  • Lacoue-Labarthe, Philippe & Nancy, Jean-Luc: Retreating the Political, Simon Sparks (ed). London, Routledge, 1997
  • Parekh, Bhikhu: Hannah Arendt & The Search for a New Political Philosophy. London & Basingstoke, Macmillan Press, 1981
  • Villa, Dana: Arendt and Heidegger: The Fate of the Political. Princeton, New Jersey, Princeton University Press, 1996
  • Villa, Dana (ed): The Cambridge Companion to Arendt. Cambridge, Cambridge University Press, 2000

Author Information

Majid Yar
Email: m_yar@hotmail.com
Lancaster University
United Kingdom

Aristotle: Metaphysics

When Aristotle articulated the central question of the group of writings we know as his Metaphysics, he said it was a question that would never cease to raise itself. He was right. He also regarded his own contributions to the handling of that question as belonging to the final phase of responding to it. I think he was right about that too. The Metaphysics is one of the most helpful books there is for contending with a question the asking of which is one of the things that makes us human. In our time that question is for the most part hidden behind a wall of sophistry, and the book that could lead us to rediscover it is even more thoroughly hidden behind a maze of misunderstandings.

Paul Shorey, a scholar whose not-too-bad translation of the Republic is the Hamilton edition of the Collected Works of Plato, has called the Metaphysics “a hopeless muddle” not to be made sense of by any “ingenuity of conjecture.” I think it is safe to say that more people have learned important things from Aristotle than from Professor Shorey, but what conclusion other than his can one come to about a work that has two books numbered one, that descends from the sublime description of the life of the divine intellect in its twelfth book to end with two books full of endless quarreling over minor details of the Platonic doctrine of forms, a doctrine Aristotle had already decisively refuted in early parts of the book, those parts, that is, in which he is not defending it? The book was certainly not written as one whole; it was compiled, and once one has granted that, must not one admit that it was compiled badly, crystallizing as it does an incoherent ambivalence toward the teachings of Plato? After three centuries in which no one has much interest in it at all, the Metaphysics becomes interesting to nineteenth century scholars just as a historical puzzle: how could such a mess have been put together?

I have learned the most from reading the Metaphysics on those occasions when I have adopted the working hypothesis that it was compiled by someone who understood Aristotle better than I or the scholars do, and that that someone (why not call him Aristotle?) thought that the parts made an intelligible whole, best understood when read in that order. My main business here will be to give you some sense of how the Metaphysics looks in its wholeness, but the picture I will sketch depends on several hypotheses independent of the main one. One cannot begin to read the Metaphysics without two pieces of equipment: one is a set of decisions about how to translate Aristotle’s central words. No translator of Aristotle known to me is of any help here; they will all befuddle you, more so in the Metaphysics even than in Aristotle’s other works. The other piece of equipment, and equally indispensable I think, is some perspective on the relation of the Metaphysics to the Platonic dialogues. In this matter the scholars, even the best of them, have shown no imagination at all. In the dialogues, in their view, Plato sets forth a “theory” by putting it into the mouth of Socrates. There is some room for interpretation, but on the whole we are all supposed to know that theory. Aristotle must accept that theory or reject it. If he appears to do both it is because passages written by some Platonist have been inserted into his text, or because things he wrote when he was young and a Platonist were lumped together with other things on similar subjects which he wrote when he was older and his thoughts were different and his own.

Table of Contents

  1. Aristotle and Plato
  2. Translating Aristotle
  3. The Meaning of Ousia (Being) in Plato
  4. Ousia in Aristotle
  5. The Doctrine of Categories
  6. The Central Question of the Metaphysics
  7. The World as Cosmos
  8. Forms, Wholeness, and Thinghood
  9. The Being of Sensible Things
  10. Matter and Form in Aristotle
  11. References and Further Reading

1. Aristotle and Plato

The Plato we are supposed to know from his dialogues is one who posited that, for every name we give to bodies in the world there is a bodiless being in another world, one while they are many, static while they are changing, perfect while they are altogether distasteful. Not surprisingly, those for whom this is Plato find his doctrine absurd, and welcome an Aristotle whom they find saying that being in its highest form is found in an individual man or horse, that mathematical things are abstractions from sensible bodies, and that, if there is an ideal man apart from men, in virtue of whom they are all called men, then there must be yet a third kind of man, in virtue of whom the form and the men can have the same name, and yet a fourth, and so on. You can’t stop adding new ideal men until you are willing to grant that it was absurd to add the first one, or anything at all beyond just plain men. This is hard-headed, tough-minded Aristotle, not to be intimidated by fancy, mystical talk, living in the world we live in and knowing it is the only world there is. This Aristotle, unfortunately, is a fiction, a projection of our unphilosophic selves. He lives only in a handful of sentences ripped out of their contexts. The true Aristotle indeed takes at face value the world as we find it and all our ordinary opinions about it–takes them, examines them, and finds them wanting. It is the world as we find it which continually, for Aristotle, shows that our ordinary, materialist prejudices are mistaken, and the abandonment of those prejudices shows in turn that the world as we found it was not a possible world, that the world as we must reflect upon it is a much richer world, mysterious and exciting.

Those of you for whom reading the Platonic dialogues was a battle you won by losing, an eye-opening experience from which, if there is no going forward, there is certainly no turning back, should get to know this Aristotle. But you will find standing in your way all those passages in which Aristotle seems to be discussing the dialogues and does so in a shallow way. Each dialogue has a surface in which Socrates speaks in riddles, articulates half-truths which invite qualification and correction, argues from answers given by others as though he shared their opinions, and pretends to be at a loss about everything. Plato never straightens things out for his readers, any more than Socrates does for his hearers. To do so would be to soothe us, to lull us to sleep as soon as we’ve begun to be distressed by what it feels like to be awake. Platonic writing, like Socratic talk, is designed to awaken and guide philosophic thinking, by presenting, defending, and criticizing plausible responses to important questions. The Platonic-Socratic words have only done their work when we have gone beyond them, but they remain in the dialogues as a collection of just what they were intended to be — unsatisfactory assertions. Hippocrates Apostle finds 81 places in the Metaphysics where Aristotle disagrees with Plato. It is not surprising that Aristotle himself uses Plato’s name in almost none of those places. Aristotle is addressing an audience of students who have read the dialogues and is continuing the work of the dialogues. Many, perhaps most, of Aristotle’s students would, like scholars today, find theories and answers in Plato’s dialogues. Aristotle would not be earning his keep as a teacher of philosophy if he did not force his students beyond that position. Aristotle constantly refers to the dialogues because they are the best and most comprehensive texts he and his students share. Aristotle disagrees with Plato about some things, but less extensively and less deeply than he disagrees with every other author that he names. The Metaphysics inevitably looks like an attack on Plato just because Plato’s books are so much better than anything left by Thales, Empedocles or anyone else.

My first assumption, then, was that the Metaphysics is one book with one complex argument, and my second is that, in cohering within itself, the Metaphysics may cohere with the Platonic dialogues. I assume that discussions in the dialogues may be taken as giving flesh to Aristotle’s formulations, while they in turn may be taken as giving shape to those discussions. One need only try a very little of this to find a great deal beginning to fall into place. For example, listen to Aristotle in Book I, Chapter 9 of the Metaphysics: “the Forms …are not the causes of motion or of any other change …And they do not in any way help either towards the knowledge of the other things..or towards their existence …Moreover, all other things do not come to be from the Forms in any of the usual senses of ‘from.’ And to say that the Forms are patterns and that the other things participate in them is to use empty words and poetic metaphors.” A devastating attack on Plato, is it not? Or is it? Aristotle says that positing the Forms explains no single thing that one wants to know. But doesn’t Socrates say in the Phaedo that to call beauty itself the cause of beauty in beautiful things is a “safe but stupid answer”–that one must begin with it but must also move beyond it? Again, everyone knows that the Platonic Socrates claimed that the forms were separate from the things in the sensible world, off by themselves, while Aristotle insisted that the forms were in the things. Recall the Phaedo passage just referred to. Does not Socrates say that the cause of heat in a hot thing is not heat itself but fire? Where, then, is the form for Socrates? Aristotle taught that the causes of characteristics of things were to be looked for not in a separate world of forms but in the primary instances of those characteristics right here in the world. This doctrine may seem to be a rejection of Plato’s chief postulate, but listen to Aristotle himself explain it in Book II, Chapter 1 of the Metaphysics: “of things to which the same predicate belongs, the one to which it belongs in the highest degree is that in virtue of which it belongs also to the others. For example, fire is the hottest of whatever is truly called ‘hot’, for fire is cause of hotness in the others.” Do you hear an echo? Again, Aristotle teaches that form is to be understood as always at work, never static as is the Platonic form, or is it? Do not the Stranger and Theaetetus agree in the Sophist that it would be “monstrous and absurd” to deny that life, motion, and soul belong to the intelligible things? Do they not indeed define being as a power to act or be affected? Does not Socrates in the Theaetetus entertain the same definition when he construes the world as made up of an infinity of powers to act and be affected? Plato’s dialogues do not set forth a theory of forms. They set forth a way to get started with the work of philosophic inquiry, and Aristotle moves altogether within that way. Much in his writings that is a closed book to those who insist on seeing him as Plato’s opponent opens up when one lets the dialogues serve as the key.

2. Translating Aristotle

Then we shall not hesitate to take whatever light we can find in the dialogues and shine it on Aristotle’s text at least to see if anything comes into the light. And this brings me to a third assumption: the English word substance is of no help in understanding Aristotle’s word ousia. The central question of theMetaphysics is, What is ousia? Aristotle claims that it is the same as the question, What is being? and that it is in fact the question everyone who has ever done any philosophy or physics has been asking. Since we do not share Aristotle’s language we cannot know what claim he is making until we find a way to translate ousia. The translators give us the word substance only because earlier translators and commentators did so, while they in turn did so because still earlier translators into Latin rendered it assubstantia. Early modern philosophy, in all the European languages, is full of discussions of substance which stem from Latin versions of Aristotle. Though oral traditions keep meanings alive this written tradition has buried Aristotle’s meaning irretrievably. We must ignore it, and take our access to the meaning of ousia from Plato’s use of it, but before we do so a quick look at where the word substance came from may help us bury it.

The earliest Latin translations of Aristotle tried a number of ways of translating ousia, but by the fourth century AD, when St. Augustine lived, only two remained in use: essentia was made as a formal parallel to ousia, from the feminine singular participle of the verb to be plus an abstract noun ending, so that the whole would be roughly equivalent to an English translation being-ness; the second translation,substantia, was an attempt to get closer to ousia by interpreting Aristotle’s use of it as something like “persisting substratum”. Augustine, who had no interest in interpreting Aristotle, thought that, while everything in the world possesses substantia, a persisting underlying identity, the fullness of being suggested by the word essentia could belong to no created thing but only to their creator. Aristotle, who is quite explicit on the point that creation is impossible, believed no such thing, and Augustine didn’t think he did. But Augustine’s own thinking offered a consistent way to distinguish two Latin words whose use had become muddled. Boethius, in his commentaries on Aristotle, followed Augustine’s lead, and hence always translated ousia as substantia, and his usage seems to have settled the matter. And so a word designed by the anti-Aristotelian Augustine to mean a low and empty sort of being turns up in our translations of the word whose meaning Aristotle took to be the highest and fullest sense of being. Descartes, in his Meditations, uses the word substance only with his tongue in his cheek; Locke explicitly analyzes it as an empty notion of an I-don’t-know-what; and soon after the word is laughed out of the vocabulary of serious philosophic endeavor. It is no wonder that the Metaphysics ceased to have any influence on living thinking: its heart had been cut out of it by its friends.

3. The Meaning of Ousia (Being) in Plato

What does ousia mean? It is already a quirky, idiomatic word in ordinary use when Plato gets hold of it. By a quirk of our own language one may say indeed that it means substance, but only, I repeat only, in the sense in which a rich man is called a man of substance. You may safely allow your daughter to marry him because you know where he will be and what he will be doing tomorrow and twenty years from now.Ousia meant permanent property, real estate, non-transferable goods: not the possessions we are always using up or consuming but those that remain–land, houses, wealth of the kind one never spends since it breeds new wealth with no expense of itself. When Socrates asks Meno for the ousia of the bee he is not using a technical philosophical term but a metaphor: what is the estate of a bee that each one inherits simply by being born a bee? A man of substance who has permanent wealth is who he is because of what he owns. A bee is to his permanent and his variable characteristics as a man is to his permanent and his spendable wealth. The metaphor takes a second step when applied to virtue: the varying instances of virtue in a man, a woman, a slave, and the rest must all have some unvarying core which makes them virtues. There must be some single meaning to which we always refer when we pronounce anything a virtue. This is the step Socrates continually insists that Meno must take. But remember, in the slave-boy scene, Socrates twice entices the slave-boy into giving plausible incorrect answers about the side of the double square. Is there an ousia of virtue? Socrates uses the word not as the result of an induction or abstraction or definition, but by stretching an already strained metaphor. People have disposable goods which come and go and ousiatic goods which remain; bees have some characteristics in which they differ, and others in which they share; the virtues differ, but are they the same in anything but name? Even if they are, must it be a definition that they share? Not all men have ousia. Ordinarily only a few men do. The rest of us work for them, sell to them, marry them, gather in the hills to destroy them, but do not have what they have. Perhaps there are only a few virtues, or only one.

The word ousia, as Plato’s Socrates handles it, seems to be a double-edged weapon. It explicitly rejects Meno’s way of saying what virtue is, but implicitly suggests that the obvious alternative may fail as well. If virtue is not simply a meaningless label used ambiguously for many unconnected things, that does not mean that it must unambiguously name the same content in each of the things it names. Since ousia is our metaphor, let us ask what wealth means. If a poor man has a hut and a cow and some stored-up food, are they his wealth? He is certainly not wealthy. On the other hand, King Lear says that “our basest beggars Are in poorest thing superfluous”; no human life is cut so fine as to lack anything beyond what satisfies bare need. The beggar, like the family on welfare, does not have the means to satisfy need, but need not for that reason forego those possessions which give life comfort or continuity. His wealth is derived from the wealth of others. The small farmer may maintain something of the independence a wealthy man enjoys, but one bad year could wipe him out. He will either accumulate enough to become wealthy himself, or his life will remain a small-scale analogy to that of the wealthy. Wealth means, first of all, only that which a few people have and the rest of us lack, but because it means that, it also, at the same time, means secondarily something that all of us possess. There is an ambiguity at work in the meaning of the word “wealth” which is not a matter of a faulty vocabulary and not a matter of language at all: it expresses the way things are. Wealth of various kinds exists by derivation from and analogy to wealth in the emphatic sense. Indeed Meno, who spontaneously defines virtue by listing virtues, is equally strongly inclined to say that the power to rule over men and possessions is the only virtue there is. He cannot resolve the logical difficulties Socrates raises about his answers, but they are all resolvable. Meno in fact believes that virtue is ousia in its simple sense of big money, and that women, children, and slaves can only have virtue derivatively and ambiguously. Socrates’ question is one of those infuriatingly ironic games he is always playing. The ousia of virtue, according to Meno and Gorgias, is ousia.

4. Ousia in Aristotle

When the word ousia turns up in texts of Aristotle, it is this hidden history of its use, and not its etymology, which is determining its meaning. First of all, the word fills a gap in the language of being, since Greek has no word for thing. The two closest equivalents are to on and to chrema. To on simply means whatever is, and includes the color blue, the length two feet, the action walking, and anything at all that can be said to be. To chrema means a thing used, used up, spent, or consumed; any kind of possession, namely, that is not ousiaousia holds together, remains, and makes its possessor emphatically somebody. In the vocabulary of money, ousia is to to chremata as whatever remains constant in a thing is to all theonta that come and go. ousia also carries with it the sense of something that belongs somehow to all but directly and fully only to a few. The word is ready-made to be the theme of Aristotle’s investigation of being, because both the word and the investigation were designed by Plato. For Aristotle, the inquiry into the nature of being begins with the observation that being is meant in many ways. It is like Meno’s beginning, and it must be subjected to the same Socratic questioning.

Suppose that there is some one core of meaning to which we refer whenever we say that something is. What is its content? Hegel says of being as being:

“it is not to be felt, or perceived by sense, or pictured in imagination… it is mere abstraction… the absolutely negative… just Nothing.”

And isn’t he right, as Parmenides was before him? Leave aside all those characteristics in which beings differ, and what is left behind? To Aristotle, this means that being is not a universal or a genus. If being is the comprehensive class to which everything belongs, how does it come to have sub-classes? It would have to be divided with respect to something outside itself. Beings would have to be distinguished by possessing or failing to possess some characteristic, but that characteristic would have to be either a class within being, already separated off from the rest by reference to something prior, or a non-being. Since both are impossible, being must come already divided: the highest genera or ultimate classes of things must be irreducibly many. This is Aristotle’s doctrine of the categories, and according to him being means at least eight different things.

5. The Doctrine of Categories

The categories have familiar names: quality, quantity, relation, time, place, action, being-acted upon. The question Socrates asked about things, What is it?, is too broad, since it can be answered truly with respect to any of the categories that apply, and many times in some of them. For example, I’ll describe something to you: it is backstage now; it is red; it is three feet high; it is lying down and breathing. I could continue telling you what it is in this fashion for as long as I pleased and you would not know what it is. It is an Irish setter. What is different about that last answer? To be an Irish setter is not to be a quality or quantity or time or action but to be a whole which comprises many ways of being in those categories, and much change and indeterminacy in them. The redness, three-foot-high-ness, respiration and much else cohere in a thing which I have named in its thinghood by calling it an Irish setter. Aristotle calls this way of being ousia. Aristotle’s logical works reflect upon the claims our speech makes about the world. The principal result of Aristotle’s inquiry into the logical categories of being is, I think, the claim that the thinghood of things in the world is never reducible in our speech to any combination of qualities, quantities, relations, actions, and so on: that ousia or thinghood must be a separate category. What happens when I try to articulate the being of a thing such as an Irish setter? I define it as a dog with certain properties. But what then is a dog? It is an animal with certain properties, and an animal is an organism with certain properties, and an organism is a thing with the property life. At each level I meet, as dog, animal, organism, what Aristotle calls secondary ousia or secondary thinghood.

I set out to give an account of what makes a certain collection of properties cohere as a certain thing, and I keep separating off some of them and telling you that the rest cohere as a whole. At my last step, when I say that an organism is a living thing, the problem of secondary thinghood is present in its nakedness. Our speech, no matter how scientific, must always leave the question of the hanging-together of things as things a question.

6. The Central Question of the Metaphysics

Thus the logical inquiries bequeath to the Metaphysics its central question, which we are now in a position to translate. The question that was asked of old and will always be asked by anyone who is alive enough to wonder about anything is, What is being? What is a thing? What is the thinghood of things? What makes our world a world of things at all? We are here at the deepest postulate of Aristotelian philosophizing: the integrity of the world as a world and of anything in it which endures as itself for any time at all, is not self-explanatory, is something to be wondered at, is caused.

We are taught that a moving thing, if nothing disturbs it, will continue moving forever. Do you believe that? It is certainly true that a heavy thing in motion is as hard to stop as it was to set in motion, and that we cannot step out of moving automobiles without continuing, for a while, to share their motions. But these are evidences of persistence of motion, not at all the same thing as inertia of motion. There is no evidence of the latter. In principle there cannot be, because we cannot abolish all the world to observe an undisturbed moving thing. There is a powerful and in its way, beautiful, account of the world which assumes inertia, appealing to those experiences which suggest that motion at an unchanging speed is a state no different from that of rest. The hidden premise which leads from that step to the notion of inertia is the assumption that rest is an inert state. If it is not, the same evidence could lead to the conclusion that an unchanging speed is a fragile and vulnerable thing, as unlikely and as hard to come by as an unchanging anything. How can a balloon remain unchanged? It does so only so long as the air inside pushes out no harder and no less hard than the air outside pushes in. Is the air inside the balloon at rest? Can it be at rest as long as it is performing a task? Can the balloon be at rest if the air inside it cannot be? It can certainly remain in a place, like other apparently inert things, say a table. If you pulled the legs from under a table the top would fall, and if you removed the top the legs would fall. Leave them together and leave them alone and they do not move, but is the table at rest? Surely no more so than a pair of arm wrestlers, straining every muscle but unable to budge each other, can be said to be resting. But can’t we find an inert thing anywhere in the world? How about a single lump of rock? But if I throw it in the air it will return to find a resting place. It seems to rest only when something blocks it, and if I let it rest on my hand or my head, something will make me uncomfortable. Can the rock be doing nothing? And if we cannot find inertia in a rock, where could it be? An animal is either full of circulating and respirating or it is rotting, and the same seems true of plants. But what in the world is not animal-like, plant-like, rock-like, or table-like? The world contains living and non-living natural beings, and it contains products of human making, and all of them are busy. From Aristotle’s wondering and wonderful perspective, everything in the world is busy just continuing to be itself. This is not a “theory” of Aristotle’s; it is a way of bringing the world to sight with the questioning intellect awake. Try that way of looking on for size: the world has nothing to lose for ceasing to be taken for granted. Consider an analogy. Ptolemy is content to say that Venus and Mercury happen to have the same longitudinal period as the sun and that Mars, Jupiter, and Saturn all happen to lag just as far behind the sun in any time as they have moved in anomaly. Copernicus, in the most passionate and convincing part of his argument, shows that these facts can be explained. Lucretius (whom we may substitute for Aristotle’s favorite materialist, Empedocles) thought that cats and dogs and giraffes just happened to come about by accumulation, like the sands on the beach. Lucretius’ failure to wonder at a giraffe, his reduction of the living to the blind and dead, is, from Aristotle’s standpoint, a failure to recognize what is truly one, what is not just a heap, what is genuinely a thing.

The least thoughtful, least alert way of being in the world is to regard everything which remains itself as doing so causelessly, inertly. To seek a cause for the being-as-it-is of any thing is already to be in the grip of the question Aristotle says must always be asked. To seek the causes and sources of the being-as-it-is of everything that is, is to join Aristotle in his Copernican revolution which regards every manifestation of persistence, order, or recurrence as a marvel, an achievement. That everything in the world disclosed to our senses is in a ceaseless state of change, most of us would grant. That the world nevertheless hangs together enough to be experienced at all is a fact so large that we rarely take notice of it. But the two together–change, and a context of persistence out of which change can emerge–force one to acknowledge some non-human cause at work: for whichever side of the world–change or rest, order or dissolution–is simply its uncaused, inert way, the other side must be the result of effort. Something must be at work in the world, hidden to us, visible only in its effects, pervading all that is, and it must be either a destroyer or a preserver.

7. The World as Cosmos

That much seems to me to be demonstrable, but the next step is a difficult one to take because the world presents to us two faces: the living and the non-living. The thinghood of living things consists in organized unity, maintained through effort, at work in a variety of activities characteristic of each species; but a rock or a flame or some water or some dirt or some air is a thing in a much different way, unified only by accidental boundaries, indifferent to being divided or heaped together, at work only in some one local motion, up or down. Which is the aberration, life or non-life? For Aristotle the choice need not be made, since the distinction between the two forms of being only results from a confusion. Flesh, blood, bone, and hair would seem inorganic and inanimate if they were not organized into and animated as, say a cat. But earth, air, fire, and water, all of it, is always organized into and animate as the cosmos. The heavens enclose an organized body which has a size, a shape, and a hierarchical structure all of which it maintains by ceaseless, concerted activity. You may think that in believing this, Aristotle betrays an innocence which we cannot recover. But not only Aristotle and Ptolemy, but also Copernicus and Kepler believed the visible heaven to be a cosmos, and not only they, but also, amazingly, Newton himself. In our century, Einstein calculated the volume of the universe, and cosmology has once again become a respectable scientific pursuit. Moderns, for whom the spherical motion of the heavens no longer indicates that the heavens have boundaries, draw the same conclusion from the fact that there is darkness. Anyone who would take the assertion that his outlook is modern to include the denial that there is a cosmos would make a very shallow claim, one having more to do with poetic fashion than with reasoned conviction. The question of the cosmos has not been made obsolete, and the very least we must admit is that the appearance of an inorganic, inanimate nature is not conclusive and would result from our human-sized perspective whether there is a cosmos or not.

If the world is a cosmos, then it is one more instance of the kind of being that belongs to every animal and plant in it. And if that is so, there is nothing left to display any other kind of being. Try it: take inventory. What is there? The color red is, only if it is the color of some thing. Color itself is, only if it is some one color, and the color of a thing. The relation “taller than” is, only if it is of two or more things. What has being but is not a thing must depend on some thing for its being. But on the other hand a mere thing, mere matter as we call it, using the word differently than Aristotle ever does, is an impossibility too. Relatively inert, rock-like being is the being of a part of what comes only in wholes–cosmos, plant, or animal. And all man-made things must borrow their material from natural things and their very holding-together from the natural tendencies of the parts of the cosmos. To be is to be alive; all other being is borrowed being. Any comprehensive account of things must come to terms with the special being of animals and plants: for Lucretius, living things are not marvels but a problem which he solves by dissolving them into the vast sea of inert purposelessness. For Aristotle, as for Plato, wonder is not a state to be dissolved but a beckoning to be followed, and for Aristotle the wonderful animals and plants point the way to being itself, to that being qua being which is the source of all being, for we see it in the world in them and only in them.

Thus when Aristotle begins in Book 7 of the Metaphysics to ask what makes a thing a thing, he narrows the question to apply only to living things. All other being is, in one way or another, their effect. He is asking for their cause. At that point, his inquiry into the causes and sources of being itself, simply as being, merges with the inquiry in Book 2 of his Physics, where the question is, What is nature? The answer, as well, must be the same, and just as Aristotle concludes that nature is form, he concludes that being is form. Does the material of an animal make it what it is? Yes, but it cannot be the entire or even principal cause. If there is anything that is not simply the sum of its parts, it is an animal. It is continually making itself, by snatching suitable material from its environment and discarding unsuitable material. Add some sufficiently unsuitable material, like arsenic, and the sum of parts remains, but the animal ceases to be. The whole which is not accounted for by the enumeration of its parts is the topic of the last section of theTheaetetus, where Socrates offers several playful images of that kind of being: a wagon, a melody, the number six, and the example discussed at most length, which Aristotle borrows, the syllable.

8. Forms, Wholeness, and Thinghood

Aristotle insists that the syllable is never the sum of its letters. Socrates, of course, argues both sides of the question, and Theaetetus agrees both times. Let’s try it ourselves. Take the word “put”, p-u-t. voice the letters separately, as well as you can, and say them in succession, as rapidly as you can. I think you will find that, as long as you attempt to add sound to sound, you will have a grunt surrounded by two explosions of breath. When you voice the whole syllable as one sound, the a is already present when you begin sounding the p, and the t sound is already shaping the u. Try to pronounce the first two letters and add the third as an afterthought, and you will get two sounds. I have tried all this, and think it’s true, but you must decide for yourself. Aristotle says that the syllable is the letters, plus something else besides; Socrates calls the something else a form, an eidos, while Aristotle calls it the thinghood of the thing. When I pronounce the syllable “put”, I must have in mind the whole syllable in its wholeness before I can voice any of its parts in such a way as to make them come out parts of it. Now a syllable is about as transitory a being as one could imagine: it is made of breath, and it is gone as soon as it is uttered. But a craftsman works the same way as a maker of syllables. If he simply begins nailing and gluing together pieces of wood, metal, and leather, he is not likely to end up with a wagon; to do so, he must have the whole shape and work of the wagon in mind in each of his joinings and fittings. Even so, when he is finished, what he has produced is only held together by nails and glue. As soon as it is made, the wagon begins falling apart, and it does so the more, the more it is used. All the more perplexing then, is the animal or plant. It is perpetually being made and re-made after the form of its species, yet there is no craftsman at work on it. It is a composite of material and form, yet it is the material in it that is constantly being used up and replaced, while the form remains intact. The form is not in any artist’s imagination, nor can it be an accidental attribute of its material. In the Physics, nature was traced back to form, and in the first half of the Metaphysics all being is traced to the same source. But what is form? Where is it? Is it a cause or is it caused? Most important of all, does it have being alone, on its own, apart from bodies? Does it emerge from the world of bodies, or is a body a thing impossible to be unless a form is somehow already present for it to have? Or is there something specious about the whole effort to make form either secondary to material or primary? Are they perhaps equal and symmetrical aspects of being, inseparable, unranked? Just as ultimate or first material, without any characteristics supplied by form, cannot be, why should not a pure form, not the form of anything, be regarded as its opposite pole and as equally impossible? Or have we perhaps stumbled on a nest of unanswerable questions? If form is the first principle of the science of physics, might it not be a first principle simply, behind which one cannot get, to which one may appeal for explanation but about which one cannot inquire? Aristotle says that if there were not things apart from bodies, physics would be first philosophy. But he calls physics second philosophy, and half theMetaphysics lies on the other side of the questions we have been posing. It consists in the uncovering of beings not disclosed to our senses, beings outside of and causal with respect to what we naively and inevitably take to be the whole world.

Aristotle marks the center and turning point of the Metaphysics with these words: “One must inquire about (form), for this is the greatest impasse. Now it is agreed that some of what is perceptible arethings, and so one must search first among these. For it is preferable to proceed toward what is better known. For learning occurs in all things in this way: through what is by nature less known toward the things more known. And just as in matters of action the task is to make the things that are good completely be good for each person, from out of the things that seem good to each, so also the task here is, from out of the things more known to one, to make the things known by nature known to him. Now what is known and primary to each of us is often known slightly, and has little or nothing of being; nevertheless, from the things poorly known but known to one, one must try to know the things that are known completely.” (1029a 33 – b 11) The forest is dark, but one cannot get out of it without passing through it, carefully, calmly, attentively. It will do no good to move in circles. The passage just quoted connects with the powerful first sentence of the Metaphysics: “All human beings are by nature stretched out toward a state of knowing.” Our natural condition is one of frustration, of being unable to escape a task of which the goal is out of reach and out of sight. Aristotle here likens our frustration as theoretical beings to our condition as practical beings: unhappiness has causes–we achieve it by seeking things–and if we can discover what we were seeking we might be able to make what is good ours. Similarly, if we cannot discern the goal of wisdom, we can at least begin examining the things that stand in our way.

9. The Being of Sensible Things

The next section of the Metaphysics, from Book 7, Chapter 4 through Book 9, is the beginning of an intense forward motion. These books are a painstaking clarification of the being of the things disclosed to our senses. It is here that Aristotle most heavily uses the vocabulary that is most his own, and everything he accomplishes in these books depends on the self-evidence of the meanings of these expressions. It is these books especially which Latinizing translators turn into gibberish. Words like essence, individual, and actuality must either be vague or be given arbitrary definitions. The words Aristotle uses are neither vague nor are they conceptual constructions; they call forth immediate, direct experiences which one must have at hand to see what Aristotle is talking about. They are not the kinds of words that books can explain; they are words of the kind that people must share before there can be books. That is why understanding a sentence of Aristotle is so often something that comes suddenly, in an insight that seems discontinuous from the puzzlement that preceded it. It is simply a matter of directing one’s gaze. We must try to make sense of Books 7-9 because they are crucial to the intention of the Metaphysics. Aristotle has an argument independent of those books, which he makes in Book 8 of the Physics and uses again in Book 12 of the Metaphysics that there must be an immortal, unchanging being, ultimately responsible for all wholeness and orderliness in the sensible world. And he is able to go on in Book 12 to discover a good deal about that being. One could, then, skip from the third chapter of Book 7 to Book 12, and, having traced being to form, trace form back to its source. Aristotle would have done that if his whole intention had been to establish that the sensible world has a divine source, but had he done so he would have left no foundation for reversing the dialectical motion of his argument to understand the things in the world on the basis of their sources. Books 7-9 provide that foundation.

The constituents of the world we encounter with our senses are not sensations. The sensible world is not a mosaic of sensible qualities continuous with or adjacent to one another, but meets our gaze organized into things which stand apart, detached from their surroundings. I can indicate one of them to you by the mere act of pointing, because it has its own boundaries and holds them through time. I need not trace out the limits of the region of the visual field to which I refer your attention, because the thing thrusts itself out from, holds itself aloof from what is visible around it, making that visible residue mere background. My pointing therefore has an object, and it is an object because it keeps being itself, does not change randomly or promiscuously like Proteus, but holds together sufficiently to remain the very thing at which I pointed. This way of being, Aristotle calls being a “this”. If I want to point out to you just this red of just this region of this shirt, I will have to do a good deal more than just point. .A “this” as Aristotle speaks of it is what comes forth to meet the act of pointing, is that for which à need not point and say “not that or that or that but just this,” but need do nothing but point, since it effects its own separation from what it is not.

A table, a chair, a rock, a painting–each is a this, but a living thing is a this in a special way. It is the author of its own this-ness. It appropriates from its surroundings, by eating and drinking and breathing, what it organizes into and holds together as itself. This work of self-separation from its environment is never finished but must go on without break if the living thing is to be at all. Let us consider as an example of a living this, some one human being. Today his skin is redder than usual, because he has been in the sun; there is a cut healing on his hand because he chopped onions two days ago; he is well educated, because, five years ago, his parents had the money and taste to send him to Harvard. All these details, and innumerably many more, belong to this human being. But in Aristotle’s way of speaking, the details I have named are incidental to him: he is not sunburned, wounded on the hand, or Harvard-educated because he is a human being. He is each of those things because his nature bumped into that of something else and left him with some mark, more or less intended, more or less temporary, but in any case aside from what he is on his own, self-sufficiently. What he is on his own, as a result of the activity that makes him be at all, is: two-legged, sentient, breathing, and all the other things he is simply as a human being. There is a difference between all the things he happens to be and the things he necessarily is on account of what he is. Aristotle formulates the latter, the kind of being that belongs to a thing not by happenstance but inevitably, as the “what it kept on being in the course of being at all” for a human being, or a duck, or a rosebush. The phrase to en einai is Aristotle’s answer to the Socratic question, ti esti? What is a giraffe? Find some way of articulating all the things that every giraffe always is, and you will have defined the giraffe. What each of them is throughout its life, is the product at any instant for any one of them, of the activity that is causing it to be. That means that the answer to the question “What is a giraffe?”, and the answer to the question “What is this giraffe?” are the same. Stated generally, Aristotle’s claim is that a this, which is in the world on its own, self-sufficiently, has a what-it-always-was-to-be, and is just its what-it-always-was-to-be. This is not a commonplace thought, but it is a comprehensible one; compare it with the translators’ version, “a per-se individual is identical with its essence.”

10. Matter and Form in Aristotle

The living thing as it is present to my looking seems to be richer, fuller, more interesting than it can possibly be when it is reduced to a definition in speech, but this is a confusion. All that belongs to the living thing that is not implied by the definition of its species belongs to it externally, as a result of its accidental interactions with the other things in its environment. The definition attempts to penetrate to what it is in itself, by its own activity of making itself be whole and persist. There is nothing fuller than the whole, nothing richer than the life which is the winning and expressing of that wholeness, nothing more interesting than the struggle it is always waging unnoticed, a whole world of priority deeper and more serious than the personal history it must drag along with the species-drama it is constantly enacting. The reduction of the living thing to what defines it is like the reduction of a rectangular block of marble to the form of Hermes: less is more. Strip away the accretion of mere facts, and what is left is that without which even those facts could not have gained admittance into the world: the forever vulnerable foundation of all that is in the world, the shaping, ruling form, the incessant maintenance of which is the only meaning of the phrase self-preservation. Indeed even the bodily material of the living thing is present in the world only as active, only as forming itself into none of the other things it might have been but just this one thoroughly defined animal or plant. And this, finally, is Aristotle’s answer to the question, What is form? Form is material at work according to a persisting definiteness of kind. Aristotle’s definition of the soul in De Anima, soul is the being-at-work-staying-the-same of an organized body, becomes the definition of form in Book 8 of the Metaphysics, and is, at that stage of the inquiry, his definition of being.

Book 9 spells out the consequences of this clarification of form. Form cannot be derivative from or equivalent with material, because material on its own must be mere possibility. It cannot enter the world until it has achieved definiteness by getting to work in some way, and it cannot even be thought except as the possibility of some form. Books 7-9 demonstrate that materiality is a subordinate way of being. The living body does not bring form into the world, it must receive form to come into the world. Form is primary and causal, and the original source of all being in the sensible world must be traced beyond the sensible world, to that which confers unity on forms themselves. If forms had no integrity of their own, the world and things could not hang together and nothing would be. At the end of Book 9, the question of being has become the question of formal unity, the question, What makes each form one? In the woven texture of the organization of the Metaphysics, what comes next, at the beginning of Book 10, is a laying out of all the ways things may be one. Glue, nails, and rope are of no use for the problem at hand, nor, any longer, are natural shapes and motions, which have been shown to have a derivative sort of unity. All that is left in Aristotle’s array of possibilities is the unity of that of which the thinking or the knowing is one.

This thread of the investigation, which we may call for convenience the biological one, converges in Book 12 with a cosmological one. The animal and plant species take care of their own perpetuation by way of generation, but what the parents pass on to the offspring is an identity which must hold together thanks to a timeless activity of thinking. The cosmos holds together in a different way: it seems to be literally and directly eternal by way of a ceaseless repetition of patterns of locomotion. An eternal motion cannot result from some other motion, but must have an eternal, unchanging cause. Again, Aristotle lays out all the possibilities. What can cause a motion without undergoing a motion? A thing desired can, and so can a thing thought. Can you think of a third? Aristotle says that there are only these two, and that, moreover, the first reduces to the second. When I desire an apple it is the fleshy apple and not the thought of it toward which I move, but it is the thought or imagining of the fleshy apple that moves me toward the apple. The desired object causes motion only as an object of thought. Just as the only candidate left to be the source of unity of form among the animals and plants was the activity of thinking, so again the only possible unmoved source for the endless circlings of the stars is an eternal activity of thinking. Because it is deathless and because the heavens and nature and all that is depend upon it, Aristotle calls this activity God. Because it is always altogether at work, nothing that is thought by it is ever outside or apart from it: it is of thinking, simply. Again, because it is always altogether at work, nothing of it is ever left over outside of or apart from its work of thinking: it is thinking, simply. It is the pure holding-together of the pure holdable-together, activity active, causality caused. The world is, in all its being most deeply, and in its deepest being wholly, intelligible. So far is Aristotle from simply assuming the intelligibility of things, that he requires twelve books of argument to account for it. All being is dependent on the being of things; among things, the artificial are derived from the natural; because there is a cosmos, all natural things have being as living things; because all living things depend on either a species-identity or an eternal locomotion, there must be a self-subsisting activity of thinking.

The fact that there are a Book 13 and a Book 14 to the Metaphysics indicates that, in Aristotle’s view, the question of being has not yet undergone its last transformation. With the completion of Book 12, the question of being becomes: What is the definition of the world? What is the primary intelligible structure that implies all that is permanent in the world? Books 13 and 14 of the Metaphysics examine the only two answers that anyone has ever proposed to that question outside of myths. They are: that the divine thinking is a direct thinking of all the animal and plant species, and that it is a thinking of the mathematical sources of things. The conclusions of these two books are entirely negative. The inquiry into being itself cannot come to rest by transferring to the divine source the species-identities which constitute the world, nor can they be derived from their mathematical aspects. Aristotle’s final transformation of the question of being is into a question. Books 13 and 14 are for the sake of rescuing the question as one which does not and cannot yield to a solution but insists on being faced and thought directly. Repeatedly, through the Metaphysics, Aristotle says that the deepest things must be simple. One cannot speak the truth about them, nor even ask, a question about them, because they have no parts. They have no articulation in speech, but only contact with that which thinks. The ultimate question of the Metaphysics, which is at once What is all being at its roots? and What is the life of God?, and toward which the whole Metaphysics has been designed to clear the way, takes one beyond the limits of speech itself. The argument of the Metaphysics begins from our direct encounter with the sensible world, absorbs that world completely into speech, and carries its speech to the threshold of that on which world and speech depend. The shape of the book is a zig-zag, repeatedly encountering the inexpressible simple things and veering away. By climbing to that life which is the being-at-work of thinking, and then ending with a demonstration of what that life is not, Aristotle leaves us to disclose that life to ourselves in the only way possible, in the privacy of lived thinking. The Metaphysics is not an incomplete work: it is the utmost gift that a master of words can give.

11. References and Further Reading

  • Aristotle, Metaphysics, Joe Sachs (trans.), Green Lion Press, 1999.
  • Aristotle, Nicomachean Ethics, Joe Sachs (trans.), Focus Philosophical Library, Pullins Press, 2002.
  • Aristotle, On the Soul, Joe Sachs (trans.), Green Lion Press, 2001.
  • Aristotle, Poetics, Joe Sachs (trans.), Focus Philosophical Library, Pullins Press, 2006.
  • Aristotle, Physics, Joe Sachs (trans.), Rutgers U. P., 1995.

Author Information

Joe Sachs
Email: joe.sachs@sjc.edu
St. John’s College
U. S. A.

Aristotle: Ethics

Standard interpretations of Aristotle’s Nichomachean Ethics usually maintain that Aristotle (384-322 B.C.E.) emphasizes the role of habit in conduct. It is commonly thought that virtues, according to Aristotle, are habits and that the good life is a life of mindless routine.

These interpretations of Aristotle’s ethics are the result of imprecise translations from the ancient Greek text. Aristotle uses the word hexis to denote moral virtue. But the word does not merely mean passive habituation. Rather, hexis is an active condition, a state in which something must actively hold itself.

Virtue, therefore, manifests itself in action. More explicitly, an action counts as virtuous, according to Aristotle, when one holds oneself in a stable equilibrium of the soul, in order to choose the action knowingly and for its own sake. This stable equilibrium of the soul is what constitutes character.

Similarly, Aristotle’s concept of the mean is often misunderstood. In the Nichomachean Ethics, Aristotle repeatedly states that virtue is a mean. The mean is a state of clarification and apprehension in the midst of pleasures and pains that allows one to judge what seems most truly pleasant or painful. This active state of the soul is the condition in which all the powers of the soul are at work in concert. Achieving good character is a process of clearing away the obstacles that stand in the way of the full efficacy of the soul.

For Aristotle, moral virtue is the only practical road to effective action. What the person of good character loves with right desire and thinks of as an end with right reason must first be perceived as beautiful. Hence, the virtuous person sees truly and judges rightly, since beautiful things appear as they truly are only to a person of good character. It is only in the middle ground between habits of acting and principles of action that the soul can allow right desire and right reason to make their appearance, as the direct and natural response of a free human being to the sight of the beautiful.

Table of Contents

  1. Habit
  2. The Mean
  3. Noble
  4. References and Further Reading

1. Habit

In many discussions, the word “habit” is attached to the Ethics as though it were the answer to a multiple-choice question on a philosophy achievement test. Hobbes‘ Leviathan? Self-preservation. Descartes‘ Meditations? Mind-body problem. Aristotle’s Ethics? Habit. A faculty seminar I attended a few years ago was mired in the opinion that Aristotle thinks the good life is one of mindless routine. More recently, I heard a lecture in which some very good things were said about Aristotle’s discussion of choice, yet the speaker still criticized him for praising habit when so much that is important in life depends on openness and spontaneity. Can it really be that Aristotle thought life is lived best when thinking and choosing are eliminated?

On its face this belief makes no sense. It is partly a confusion between an effect and one of its causes. Aristotle says that, for the way our lives turn out, “it makes no small difference to be habituated this way or that way straight from childhood, but an enormous difference, or rather all the difference.” (1103b, 23-5) Is this not the same as saying those lives are nothing but collections of habits? If this is what sticks in your memory, and leads you to that conclusion, then the cure is easy, since habits are not the only effects of habituation, and a thing that makes all the difference is indispensable but not necessarily the only cause of what it produces.

We will work through this thought in a moment, but first we need to notice that another kind of influence may be at work when you recall what Aristotle says about habit, and another kind of medicine may be needed against it. Are you thinking that no matter how we analyze the effects of habituation, we will never get around the fact that Aristotle plainly says that virtues are habits? The reply to that difficulty is that he doesn’t say that at all. He says that moral virtue is a hexis. Hippocrates Apostle, and others, translate hexis as habit, but that is not at all what it means. The trouble, as so often in these matters, is the intrusion of Latin. The Latin habitus is a perfectly good translation of the Greek hexis, but if that detour gets us to habit in English we have lost our way. In fact, a hexisis pretty much the opposite of a habit.

The word hexis becomes an issue in Plato‘s Theaetetus. Socrates makes the point that knowledge can never be a mere passive possession, stored in the memory the way birds can be put in cages. The word for that sort of possession, ktÎsis, is contrasted with hexis, the kind of having-and-holding that is never passive but always at work right now. Socrates thus suggests that, whatever knowledge is, it must have the character of a hexis in requiring the effort of concentrating or paying attention. A hexis is an active condition, a state in which something must actively hold itself, and that is what Aristotle says a moral virtue is.

Some translators make Aristotle say that virtue is a disposition, or a settled disposition. This is much better than calling it a “habit,” but still sounds too passive to capture his meaning. In De Anima, when Aristotle speaks of the effect produced in us by an object of sense perception, he says this is not a disposition (diathesis) but a hexis. (417b, 15-17) His whole account of sensing and knowing depends on this notion that receptivity to what is outside us depends on an active effort to hold ourselves ready. In Book VII of the Physics, Aristotle says much the same thing about the way children start to learn: they are not changed, he says, nor are they trained or even acted upon in any way, but they themselves get straight into an active state when time or adults help them settle down out of their native condition of disorder and distraction. (247b, 17-248a, 6) Curtis Wilson once delivered a lecture at St. John’s College, in which he asked his audience to imagine what it would be like if we had to teach children to speak by deliberately and explicitly imparting everything they had to do. We somehow set them free to speak, and give them a particular language to do it in, but they–Mr. Wilson called them “little geniuses”–they do all the work.

Everyone at St. John’s has thought about the kind of learning that does not depend on the authority of the teacher and the memory of the learner. In the Meno it is called “recollection.” Aristotle says that it is an active knowing that is always already at work in us. In Plato’s image we draw knowledge up out of ourselves; in Aristotle’s metaphor we settle down into knowing. In neither account is it possible for anyone to train us, as Gorgias has habituated Meno into the mannerisms of a knower. Habits can be strong but they never go deep. Authentic knowledge does engage the soul in its depths, and with this sort of knowing Aristotle links virtue. In the passage cited from Book VII of the Physics, he says that, like knowledge, virtues are not imposed on us as alterations of what we are; that would be, he says, like saying we alter a house when we put a roof on it. In the Categories, knowledge and virtue are the two examples he gives of what hexis means (8b, 29); there he says that these active states belong in the general class of dispositions, but are distinguished by being lasting and durable. The word “disposition” by itself he reserves for more passive states, easy to remove and change, such as heat, cold, and sickness.

In the Ethics, Aristotle identifies moral virtue as a hexis in Book II, chapter 4. He confirms this identity by reviewing the kinds of things that are in the soul, and eliminating the feelings and impulses to which we are passive and the capacities we have by nature, but he first discovers what sort of thing a virtue is by observing that the goodness is never in the action but only in the doer. This is an enormous claim that pervades the whole of the Ethics, and one that we need to stay attentive to. No action is good or just or courageous because of any quality in itself. Virtue manifests itself in action, Aristotle says, only when one acts while holding oneself in a certain way. This is where the word hexis comes into the account, from pÙs echÙn, the stance in which one holds oneself when acting. The indefinite adverb is immediately explained: an action counts as virtuous when and only when one holds oneself in a stable equilibrium of the soul, in order to choose the action knowingly and for its own sake. I am translating as “in a stable equilibrium” the words bebaiÙs kai ametakinÍtÙs; the first of these adverbs means stably or after having taken a stand, while the second does not mean rigid or immovable, but in a condition from which one can’t be moved all the way over into a different condition. It is not some inflexible adherence to rules or duty or precedent that is conveyed here, but something like a Newton’s wheel weighted below the center, or one of those toys that pops back upright whenever a child knocks it over.

This stable equilibrium of the soul is what we mean by having character. It is not the result of what we call “conditioning.” There is a story told about B. F. Skinner, the psychologist most associated with the idea of behavior modification, that a class of his once trained him to lecture always from one corner of the room, by smiling and nodding whenever he approached it, but frowning and faintly shaking their heads when he moved away from it. That is the way we acquire habits. We slip into them unawares, or let them be imposed on us, or even impose them on ourselves. A person with ever so many habits may still have no character. Habits make for repetitive and predictable behavior, but character gives moral equilibrium to a life. The difference is between a foolish consistency wholly confined to the level of acting, and a reliability in that part of us from which actions have their source. Different as they are, though, character and habit sound to us like things that are linked, and in Greek they differ only by the change of an epsilon to an eta, making Íthos from ethos

We are finally back to Aristotle’s claim that character, Íthos, is produced by habit, ethos. It should now be clear though, that the habit cannot be any part of that character, and that we must try to understand how an active condition can arise as a consequence of a passive one, and why that active condition can only be attained if the passive one has come first. So far we have arranged three notions in a series, like rungs of a ladder: at the top are actives states, such as knowledge, the moral virtues, and the combination of virtues that makes up a character; the middle rung, the mere dispositions, we have mentioned only in passing to claim that they are too shallow and changeable to capture the meaning of virtue; the bottom rung is the place of the habits, and includes biting your nails, twisting your hair, saying “like” between every two words, and all such passive and mindless conditions. What we need to notice now is that there is yet another rung of the ladder below the habits.

We all start out life governed by desires and impulses. Unlike the habits, which are passive but lasting conditions, desires and impulses are passive and momentary, but they are very strong. Listen to a child who can’t live without some object of appetite or greed, or who makes you think you are a murderer if you try to leave her alone in a dark room. How can such powerful influences be overcome? To expect a child to let go of the desire or fear that grips her may seem as hopeless as Aristotle’s example of training a stone to fall upward, were it not for the fact that we all know that we have somehow, for the most part, broken the power of these tyrannical feelings. We don’t expel them altogether, but we do get the upper hand; an adult who has temper tantrums like those of a two-year old has to live in an institution, and not in the adult world. But the impulses and desires don’t weaken; it is rather the case that we get stronger.

Aristotle doesn’t go into much detail about how this happens, except to say that we get the virtues by working at them: in the give-and-take with other people, some become just, others unjust; by acting in the face of frightening things and being habituated to be fearful or confident, some become brave and others cowardly; and some become moderate and gentle, others spoiled and bad-tempered, by turning around from one thing and toward another in the midst of desires and passions. (1103 b, 1422) He sums this up by saying that when we are at-work in a certain way, an active state results. This innocent sentence seems to me to be one of the lynch-pins that hold together the Ethics, the spot that marks the transition from the language of habit to the language appropriate to character. If you read the sentence in Greek, and have some experience of Aristotle’s other writings, you will see how loaded it is, since it says that a hexis depends upon an energeia. The latter word, that can be translated as being-at-work, cannot mean mere behavior, however repetitive and constant it may be. It is this idea of being-at-work, which is central to all of Aristotle’s thinking, that makes intelligible the transition out of childhood and into the moral stature that comes with character and virtue. (See Aristotle: Motion for as discussion energeia.)

The moral life can be confused with the habits approved by some society and imposed on its young. We at St. John’s College still stand up at the beginning and end of Friday-night lectures because Stringfellow Barr — one of the founders of the current curriculum — always stood when anyone entered or left a room. What he considered good breeding is for us mere habit; that becomes obvious when some student who stood up at the beginning of a lecture occasionally gets bored and leaves in the middle of it. In such a case the politeness was just for show, and the rudeness is the truth. Why isn’t all habituation of the young of this sort? When a parent makes a child repeatedly refrain from some desired thing, or remain in some frightening situation, the child is beginning to act as a moderate or brave person would act, but what is really going on within the child? I used to think that it must be the parent’s approval that was becoming stronger than the child’s own impulse, but I was persuaded by others in a study group that this alone would be of no lasting value, and would contribute nothing to the formation of an active state of character. What seems more likely is that parental training is needed only for its negative effect, as a way of neutralizing the irrational force of impulses and desires.

We all arrive on the scene already habituated, in the habit, that is, of yielding to impulses and desires, of instantly slackening the tension of pain or fear or unfulfilled desire in any way open to us, and all this has become automatic in us before thinking and choosing are available to us at all. This is a description of what is called “human nature,” though in fact it precedes our access to our true natural state, and blocks that access. This is why Aristotle says that “the virtues come about in us neither by nature nor apart from nature” (1103a, 24-5). What we call “human nature,” and some philosophers call the “state of nature,” is both natural and unnatural; it is the passive part of our natures, passively reinforced by habit. Virtue has the aspect of a second nature, because it cannot develop first, nor by a continuous process out of our first condition. But it is only in the moral virtues that we possess our primary nature, that in which all our capacities can have their full development. The sign of what is natural, for Aristotle, is pleasure, but we have to know how to read the signs. Things pleasant by nature have no opposite pain and no excess, because they set us free to act simply as what we are (1154b, 15-21), and it is in this sense that Aristotle calls the life of virtue pleasant in its own right, in itself (1099a, 6-7, 16-17). A mere habit of acting contrary to our inclinations cannot be a virtue, by the infallible sign that we don’t like it.

Our first or childish nature is never eradicated, though, and this is why Aristotle says that our nature is not simple, but also has in it something different that makes our happiness assailable from within, and makes us love change even when it is for the worse. (1154b, 21-32) But our souls are brought nearest to harmony and into the most durable pleasures only by the moral virtues. And the road to these virtues is nothing fancy, but is simply what all parents begin to do who withhold some desired thing from a child, or prevent it from running away from every irrational source of fear. They make the child act, without virtue, as though it had virtue. It is what Hamlet describes to his mother, during a time that is out of joint, when a son must try to train his parent (III, Ìv,181-9):

Assume a virtue if you have it not.
That monster, custom, who all sense doth eat
Of habits evil, is angel yet in this,
That to the use of actions fair and good
He likewise gives a frock or livery,
That aptly is put on. Refrain tonight,
And that shall lend a kind of easiness
To the next abstinence; the next more easy;
For use almost can change the stamp of nature…

Hamlet is talking to a middle-aged woman about lust, but the pattern applies just as well to five-year-olds and candy. We are in a position to see that it is not the stamp of nature that needs to be changed but the earliest stamp of habit. We can drop Hamlet’s “almost” and rid his last quoted line of all paradox by seeing that the reason we need habit is to change the stamp of habit. A habit of yielding to impulse can be counteracted by an equal and opposite habit. This second habit is no virtue, but only a mindless inhibition, an automatic repressing of all impulses. Nor do the two opposite habits together produce virtue, but rather a state of neutrality. Something must step into the role previously played by habit, and Aristotle’s use of the word energeia suggests that this happens on its own, with no need for anything new to be imposed. Habituation thus does not stifle nature, but rather lets nature make its appearance. The description from Book VII of the Physics of the way children begin to learn applies equally well to the way human character begins to be formed: we settle down, out of the turmoil of childishness, into what we are by nature.

We noticed earlier that habituation is not the end but the beginning of the progress toward virtue. The order of states of the soul given by Aristotle went from habit to being-at-work to the hexis or active state that can give the soul moral stature. If the human soul had no being-at-work, no inherent and indelible activity, there could be no such moral stature, but only customs. But early on, when first trying to give content to the idea of happiness, Aristotle asks if it would make sense to think that a carpenter or shoemaker has work to do, but a human being as such is inert. His reply, of course, is that nature has given us work to do, in default of which we are necessarily unhappy, and that work is to put into action the power of reason. (1097b, 24-1098a, 4) Note please that he does not say that everyone must be a philosopher, nor even that human life is constituted by the activity of reason, but that our work is to bring the power of logos forward into action. Later, Aristotle makes explicit that the irrational impulses are no less human than reasoning is. (1111 b, 1-2) His point is that, as human beings, our desires need not be mindless and random, but can be transformed by thinking into choices, that is desires informed by deliberation. (1113a, 11) The characteristic human way of being-at-work is the threefold activity of seeing an end, thinking about means to it, and choosing an action. Responsible human action depends upon the combining of all the powers of the soul: perception, imagination, reasoning, and desiring. These are all things that are at work in us all the time. Good parental training does not produce them, or mold them, or alter them, but sets them free to be effective in action. This is the way in which, according to Aristotle, despite the contributions of parents, society, and nature, we are the co-authors of the active states of our own souls (1114b, 23-4).

2. The Mean

Now this discussion has shown that habit does make all the difference to our lives without being the only thing shaping those lives and without being the final form they take. The same discussion also points to a way to make some sense of one of the things that has always puzzled me most in the Ethics, the insistence that moral virtue is always in its own nature a mean condition. Quantitative relations are so far from any serious human situation that they would seem to be present only incidentally or metaphorically, but Aristotle says that “by its thinghood and by the account that unfolds what it is for it to be, virtue is a mean.” (1107a, 7-8) This invites such hopeless shallowness as in the following sentences from a recent article in the journal Ancient Philosophy (Vol. 8, pp. 101-4): “To illustrate …0 marks the mean (e.g. Courage); …Cowardice is -3 while Rashness is 3…In our number language…’Always try to lower the absolute value of your vice.’ ” This scholar thinks achieving courage is like tuning in a radio station on an analog dial. Those who do not sink this low might think instead that Aristotle is praising a kind of mediocrity, like that found in those who used to go to college to get “gentlemen’s C’s.” But what sort of courage could be found in these timid souls, whose only aim in life is to blend so well into their social surroundings that virtue can never be chosen in preference to a fashionable vice? Aristotle points out twice that every moral virtue is an extreme (1107a, 8-9, 22-4), but he keeps that observation secondary to an over-riding sense in which it is a mean.

Could there be anything at all to the notion that we hone in on a virtue from two sides? There is a wonderful image of this sort of thing in the novel Nop’s Trials by Donald McCaig. The protagonist is not a human being, but a border collie named Nop. The author describes the way the dog has to find the balance point, the exact distance behind a herd of sheep from which he can drive the whole herd forward in a coherent mass. When the dog is too close, the sheep panic and run off in all directions; when he is too far back, the sheep ignore him, and turn in all directions to graze. While in motion, a good working dog keeps adjusting his pace to maintain the exact mean position that keeps the sheep stepping lively in the direction he determines. Now working border collies are brave, tireless, and determined. They have been documented as running more than a hundred miles in a day, and they love their work. There is no question that they display virtue, but it is not human virtue and not even of the same form. Some human activities do require the long sustained tension a sheep dog is always holding on to, an active state stretched to the limit, constantly and anxiously kept in balance. Running on a tightrope might capture the same flavor. But constantly maintained anxiety is not the kind of stable equilibrium Aristotle attributes to the virtuous human soul.

I think we may have stumbled on the way that human virtue is a mean when we found that habits were necessary in order to counteract other habits. This does accord with the things Aristotle says about straightening warped boards, aiming away from the worse extreme, and being on guard against the seductions of pleasure. (1109a, 30- b9) The habit of abstinence from bodily pleasure is at the opposite extreme from the childish habit of yielding to every immediate desire. Alone, either of them is a vice, according to Aristotle. The glutton, the drunkard, the person enslaved to every sexual impulse obviously cannot ever be happy, but the opposite extremes, which Aristotle groups together as a kind of numbness or denial of the senses (1107b, 8), miss the proper relation to bodily pleasure on the other side. It may seem that temperance in relation to food, say, depends merely on determining how many ounces of chocolate mousse to eat. Aristotle’s example of Milo the wrestler, who needs more food than the rest of us do to sustain him, seems to say this, but I think that misses the point. The example is given only to show that there is no single action that can be prescribed as right for every person and every circumstance, and it is not strictly analogous even to temperance with respect to food. What is at stake is not a correct quantity of food but a right relation to the pleasure that comes from eating.

Suppose you have carefully saved a bowl of chocolate mousse all day for your mid-evening snack, and just as you are ready to treat yourself, a friend arrives unexpectedly to visit. If you are a glutton, you might hide the mousse until the friend leaves, or gobble it down before you open the door. If you have the opposite vice, and have puritanically suppressed in yourself all indulgence in the pleasures of food, you probably won’t have chocolate mousse or any other treat to offer your visitor. If the state of your soul is in the mean in these matters, you are neither enslaved to nor shut out from the pleasure of eating treats, and can enhance the visit of a friend by sharing them. What you are sharing is incidentally the 6 ounces of chocolate mousse; the point is that you are sharing the pleasure, which is not found on any scale of measurement. If the pleasures of the body master you, or if you have broken their power only by rooting them out, you have missed out on the natural role that such pleasures can play in life. In the mean between those two states, you are free to notice possibilities that serve good ends, and to act on them.

It is worth repeating that the mean is not the 3 ounces of mousse on which you settled, since if two friends had come to visit you would have been willing to eat 2 ounces. That would not have been a division of the food but a multiplication of the pleasure. What is enlightening about the example is how readily and how nearly universally we all see that sharing the treat is the right thing to do. This is a matter of immediate perception, but it is perception of a special kind, not that of any one of the five senses, Aristotle says, but the sort by which we perceive that a triangle is the last kind of figure into which a polygon can be divided. (1142a, 28-30) This is thoughtful and imaginative perceiving, but it has to be perceived. The childish sort of habit clouds our sight, but the liberating counter-habit clears that sight. This is why Aristotle says that the person of moral stature, the spoudaios, is the one to whom things appear as they truly are. (1113a, 30-1) Once the earliest habits are neutralized, our desires are disentangled from the pressure for immediate gratification, we are calm enough to think, and most important, we can see what is in front of us in all its possibility. The mean state here is not a point on a dial that we need to fiddle up and down; it is a clearing in the midst of pleasures and pains that lets us judge what seems most truly pleasant and painful.

Achieving temperance toward bodily pleasures is, by this account, finding a mean, but it is not a simple question of adjusting a single varying condition toward the more or the less. The person who is always fighting the same battle, always struggling like the sheep dog to maintain the balance point between too much and too little indulgence, does not, according to Aristotle, have the virtue of temperance, but is at best selfrestrained or continent. In that case, the reasoning part of the soul is keeping the impulses reined in. But those impulses can slip the reins and go their own way, as parts of the body do in people with certain disorders of the nerves. (1102b, 14-22) Control in self-restrained people is an anxious, unstable equilibrium that will lapse whenever vigilance is relaxed. It is the old story of the conflict between the head and the emotions, never resolved but subject to truces. A soul with separate, self-contained rational and irrational parts could never become one undivided human being, since the parties would always believe they had divergent interests, and could at best compromise. The virtuous soul, on the contrary, blends all its parts in the act of choice.

This is arguably the best way to understand the active state of the soul that constitutes moral virtue and forms character. It is the condition in which all the powers of the soul are at work together, making it possible for action to engage the whole human being. The work of achieving character is a process of clearing away the obstacles that stand in the way of the full efficacy of the soul. Someone who is partial to food or drink, or to running away from trouble or to looking for trouble, is a partial human being. Let the whole power of the soul have its influence, and the choices that result will have the characteristic look that we call “courage” or “temperance” or simply “virtue.” Now this adjective “characteristic” comes from the Greek word charactÍr, which means the distinctive mark scratched or stamped on anything, and which is apparently never used in the Nicomachean Ethics. In the sense of character of which we are speaking, the word for which is Íthos, we see an outline of the human form itself. A person of character is someone you can count on, because there is a human nature in a deeper sense than that which refers to our early state of weakness. Someone with character has taken a stand in that fully mature nature, and cannot be moved all the way out of it.

But there is also such a thing as bad character, and this is what Aristotle means by vice, as distinct from bad habits or weakness. It is possible for someone with full responsibility and the free use of intellect to choose always to yield to bodily pleasure or to greed. Virtue is a mean, first because it can only emerge out of the stand-off between opposite habits, but second because it chooses to take its stand not in either of those habits but between them. In this middle region, thinking does come into play, but it is not correct to say that virtue takes its stand in principle; Aristotle makes clear that vice is a principled choice that following some extreme path toward or away from pleasure is right. (1146b, 22-3) Principles are wonderful things, but there are too many of them, and exclusive adherence to any one of them is always a vice.

In our earlier example, the true glutton would be someone who does not just have a bad habit of always indulging the desire for food, but someone who has chosen on principle that one ought always to yield to it. In Plato’s Gorgias, Callicles argues just that, about food, drink, and sex. He is serious, even though he is young and still open to argument. But the only principled alternative he can conceive is the denial of the body, and the choice of a life fit only for stones or corpses. (492E) This is the way most attempts to be serious about right action go astray. What, for example, is the virtue of a seminar leader? Is it to ask appropriate questions but never state an opinion? Or is it to offer everything one has learned on the subject of discussion? What principle should rule?–that all learning must come from the learners, or that without prior instruction no useful learning can take place? Is there a hybrid principle? Or should one try to find the mid-way point between the opposite principles? Or is the virtue some third kind of thing altogether?

Just as habits of indulgence always stand opposed to habits of abstinence, so too does every principle of action have its opposite principle. If good habituation ensures that we are not swept away by our strongest impulses, and the exercise of intelligence ensures that we will see two worthy sides to every question about action, what governs the choice of the mean? Aristotle gives this answer: “such things are among particulars, and the judgment is in the act of sense-perception.” (1109b, 23-4) But this is the calmly energetic, thought-laden perception to which we referred earlier. The origin of virtuous action is neither intellect nor appetite, but is variously described as intellect through-and-through infused with appetite, or appetite wholly infused with thinking, or appetite and reason joined for the sake of something; this unitary source is called by Aristotle simply anthropos. (1139a, 34, b, S-7) But our thinking must contribute right reason (ho orthos logos) and our appetites must contribute rightdesire (hÍ orthÍ orexis) if the action is to have moral stature. (1114b, 29, 1139a, 24-6, 31-2) What makes them right can only be the something for the sake of which they unite, and this is what is said to be accessible only to sense perception. This brings us to the third word we need to think about.

3. Noble

Aristotle says plainly and repeatedly what it is that moral virtue is for the sake of, but the translators are afraid to give it to you straight. Most of them say it is the noble. One of them says it is the fine. If these answers went past you without even registering, that is probably because they make so little sense. To us, the word “noble” probably connotes some sort of high-minded naiveté, something hopelessly impractical. But Aristotle considers moral virtue the only practical road to effective action. The word “fine” is of the same sort but worse, suggesting some flimsy artistic soul who couldn’t endure rough treatment, while Aristotle describes moral virtue as the most stable and durable condition in which we can meet all obstacles. The word the translators are afraid of is to kalon, the beautiful. Aristotle singles out as the distinguishing mark of courage, for example, that it is always “for the sake of the beautiful, for this is the end of virtue.” (111 S b, 12-13) Of magnificence, or large-scale philanthropy, he says it is “for the sake of the beautiful, for this is common to the virtues.” (1122 b, 78) What the person of good character loves with right desire and thinks of as an end with right reason must first be perceived as beautiful.

The Loeb translator explains why he does not use the word “beautiful” in the Nicomachean Ethics. He tells us to kalon has two different uses, and refers both to “(1) bodies well shaped and works of art …well made, and (2) actions well done.” (p. 6) But we have already noticed that Aristotle says the judgment of what is morally right belongs to sense-perception. And he explicitly compares the well made work of art to an act that springs from moral virtue. Of the former, people say that it is not possible add anything to it or take anything from it, and Aristotle says that virtue differs from art in that respect only in being more precise and better. (1106b, 10-15) An action is right in the same way a painting might get everything just right. Antigone contemplates in her imagination the act of burying her brother, and says “it would be a beautiful thing to die doing this.” (Antigone, line 72) This is called “courage.” Neoptolemus stops Philoctetes from killing Odysseus with the bow he has just returned, and says “neither for me nor for you is this a beautiful thing.” (Philoctetes, line 1304) This is a recognition that the rightness of returning the bow would be spoiled if it were used for revenge. This is not some special usage of the Greek language, but one that speaks to us directly, if the translators let it. And it is not a kind of language that belongs only to poetic tragedy, since the tragedians find their subjects by recognizing human virtue in circumstances that are most hostile to it.

In the most ordinary circumstances, any mother might say to a misbehaving child, in plain English, “don’t be so ugly.” And any of us, parent, friend, or grudging enemy, might on occasion say to someone else, “that was a beautiful thing you did.” Is it by some wild coincidence that twentieth-century English and fourth-century BC Greek link the same pair of uses under one word? Aristotle is always alert to the natural way that important words have more than one meaning. The inquiry in his Metaphysics is built around the progressive narrowing of the word “being” until its primary meaning is discovered. In the Physics the various senses of motion and change are played on like the keyboard of a piano, and serve to uncover the double source of natural activity. The inquiry into ethics is not built in this fashion; Aristotle asks about the way the various meanings of the good are organized, but he immediately drops the question, as being more at home in another sort of philosophic inquiry. (1096b, 26-32) It is widely claimed that Aristotle says there is no good itself, or any other form at all of the sort spoken of in Plato’s dialogues. This is a misreading of any text of Aristotle to which it is referred. Here in the study of ethics it is a failure to see that the idea of the good is not rejected simply, but only held off as a question that does not arise as first for us. Aristotle praises Plato for understanding that philosophy does not argue from first principles but toward them. (1095a, 31-3)

But while Aristotle does not make the meanings of the good an explicit theme that shapes his inquiry, he nevertheless does plainly lay out its three highest senses, and does narrow down the three into two and indirectly into one. He tells us there are three kinds of good toward which our choices look, the pleasant, the beautiful, and the beneficial or advantageous. (1104b, 31-2) The last of these is clearly subordinate to the other two, and when the same issue comes up next, it has dropped out of the list. The goods sought for their own sake are said to be of only two kinds, the pleasant and the beautiful. (1110b, 9-12) That the beautiful is the primary sense of the good is less obvious, both because the pleasant is itself resolved into a variety of senses, and because a whole side of virtue that we are not considering in this lecture aims at the true, but we can sketch out some ways in which the beautiful emerges as the end of human action.

Aristotle’s first description of moral virtue required that the one acting choose an action knowingly, out of a stable equilibrium of the soul, and for its own sake. The knowing in question turned out to be perceiving things as they are, as a result of the habituation that clears our sight. The stability turned out to come from the active condition of all the powers of the soul, in the mean position opened up by that same habituation, since it neutralized an earlier, opposite, and passive habituation to self-indulgence. In the accounts of the particular moral virtues, an action’s being chosen for its own sake is again and again specified as meaning chosen for no reason other than that it is beautiful. In Book III, chapter 8, Aristotle refuses to give the name courageous to anyone who acts bravely for the sake of honor, out of shame, from experience that the danger is not as great as it seems, out of spiritedness or anger or the desire for revenge, or from optimism or ignorance. Genuinely courageous action is in no obvious way pleasant, and is not chosen for that reason, but there is according to Aristotle a truer pleasure inherent in it. It doesn’t need pleasure dangled in front of it as an extra added attraction. Lasting and satisfying pleasure never comes to those who seek pleasure, but only to the philokalos, who looks past pleasure to the beautiful. (1099a, 15-17, 13)

In our earlier example of temperance, I think most of us would readily agree that the one who had his eye only the chocolate mousse found less pleasure than the one who saw that it would be a better thing to share it. And Aristotle does say explicitly that the target the temperate person looks to is the beautiful. (1119b, 15-17) But since there are three primary moral virtues, courage, temperance, and justice, it is surprising that in the whole of Book V, which discusses justice, Aristotle never mentions the beautiful. It must somehow be applicable, since he says it is common to all the moral virtues, but in that case it would seem that the account of justice could not be complete if it is not connected to the beautiful. I think this does happen, but in an unexpected way.

Justice seems to be not only a moral virtue, but in some pre-eminent way the moral virtue. And Aristotle says that there is a sense of the word in which the one we call “just” is the person who has all moral virtue, insofar as it affects other people. (1129b, 26-7) In spite of all this, I believe that Aristotle treats justice as something inherently inadequate, a condition of the soul that cannot ever achieve the end at which it aims. Justice concerns itself with the right distribution of rewards and punishments within a community. This would seem to be the chief aim of the lawmakers, but Aristotle says that they do not take justice as seriously as friendship. They accord friendship a higher moral stature than justice. (1155a, 23-4) It seems to me now that Aristotle does too, and that the discussion of friendship in Books VIII and IX replaces that of justice.

What is the purpose of reward and punishment? I take Aristotle’s answer to be homonoia, the like-mindedness that allows a community to act in concord. For the sake of this end, he says, it is not good enough that people be just, while if they are friends they have no need to be just: (1155a, 24-9) So far, this sounds as though friendship is merely something advantageous for the social or political good, but Aristotle immediately adds that it is also beautiful. The whole account of friendship, you will recall, is structured around the threefold meaning of the good. Friendships are distinguished as being for use, for pleasure, or for love of the friend’s character.

Repeatedly, after raising questions about the highest kind of friendship, Aristotle resolves them by looking to the beautiful: it is a beautiful thing to do favors for someone freely, without expecting a return (1163a, 1, 1168a, 10-13); even in cases of urgent necessity, when there is a choice about whom to benefit, one should first decide whether the scale tips toward the necessary or the beautiful thing (1165a, 4-5 ); to use money to support our parents is always more beautiful than to use it for ourselves (1165a, 22-4); someone who strives to achieve the beautiful in action would never be accused of being selfish (1168b, 25-8). These observations culminate in the claim that, “if all people competed for the beautiful, and strained to do the most beautiful things, everything people need in common, and the greatest good for each in particular, would be achieved …for the person of moral stature will forego money, honor, and all the good things people fight over to achieve the beautiful for himself.” (1169a, 8-11, 20-22) This does not mean that people can do without such things as money and honor, but that the distribution of such things takes care of itself when people take each other seriously and look to something higher.

The description of the role of the beautiful in moral virtue is most explicit in the discussion of courage, where the emphasis is on the great variety of things that resemble courage but fail to achieve it because they are not solely for the sake of the beautiful. That discussion is therefore mostly negative. We can now see that the discussion of justice was also of a negative character, since justice itself resembles the moral virtue called “friendship” without achieving it, again because it does not govern its action by looking to the beautiful. The discussion of friendship contains the largest collection of positive examples of actions that are beautiful. There is something of a tragic feeling to the account of courage, pointing to the extreme situation of war in which nothing might be left to choose but a beautiful death. But the account of friendship points to the healthy community, in which civil war and other conflicts are driven away by the choice of what is beautiful in life. (1155a, 24-7) By the end of the ninth book, there is no doubt that Aristotle does indeed believe in a primary sense of the good, at least in the human realm, and that the name of this highest good is the beautiful.

And it should be noticed that the beautiful is at work not only in the human realm. In De Anima, Aristotle argues that, while the soul moves itself in the act of choice, the ultimate source of its motion is the practical good toward which it looks, which causes motion while it is itself motionless. (433a, 29-30, b, 11-13) This structure of the motionless first mover is taken up in Book XII of the Metaphysics, where Aristotle argues that the order of the cosmos depends on such a source, which causes motion in the manner of something loved; he calls this source, as one of its names, “the beautiful,” that which is beautiful not in seeming but in being. (1072a, 26-b, 4) Like Diotima in Plato’s Symposium, Aristotle makes the beautiful the good itself.

A final word, on the fact that the beautiful in the Ethics is not an object of contemplation simply, but the source of action: In an article on the Poetics, I discussed the intimate connection of beauty with the experience of wonder. The sense of wonder seems to be the way of seeing which allows things to appear as what they are, since it holds off our tendencies to make things fit into theories or opinions we already hold, or use things for purposes that have nothing to do with them. But this is what Aristotle says repeatedly is the ultimate effect of moral virtue, that the one who has it sees truly and judges rightly, since only to someone of good character do the things that are beautiful appear as they truly are (1113 a, 29-35), that practical wisdom depends on moral virtue to make its aim right (1144a, 7-9), and that the eye of the soul that sees what is beautiful as the end or highest good of action gains its active state only with moral virtue (1144a, 26-33). It is only in the middle ground between habits of acting and between principles of action that the soul can allow right desire and right reason to make their appearance, as the direct and natural response of a free human being to the sight of the beautiful.

4. References and Further Reading

  • Aristotle, Metaphysics, Joe Sachs (trans.), Green Lion Press, 1999.
  • Aristotle, Nicomachean Ethics, Joe Sachs (trans.), Focus Philosophical Library, Pullins Press, 2002.
  • Aristotle, On the Soul, Joe Sachs (trans.), Green Lion Press, 2001.
  • Aristotle, Poetics, Joe Sachs (trans.), Focus Philosophical Library, Pullins Press, 2006.
  • Aristotle, Physics, Joe Sachs (trans.), Rutgers U. P., 1995.

Author Information

Joe Sachs
Email: joe.sachs@sjc.edu
St. John’s College
U. S. A.

Imagery and Imagination

imageryBoth imagery and imagination play an important part in our mental lives. This article, which has three main sections, discusses both of these phenomena, and the connection between them. The first part discusses mental images and, in particular, the dispute about their representational nature that has become known as the imagery debate. The second part turns to the faculty of the imagination, discussing the long philosophical tradition linking mental imagery and the imagination—a tradition that came under attack in the early part of the twentieth century with the rise of behaviorism. Finally, the third part of this article examines modal epistemology, where the imagination has been thought to serve an important philosophical function, namely, as a guide to possibility.

Table of Contents

  1. The Imagery Debate
    1. Two Views About Mental Images: Pictorialism vs. Descriptionalism
    2. The Argument from Introspection
    3. Objections to Pictorialism
    4. A Remaining Question About Pictorial vs. Descriptional Representation
  2. Accounts of Imagination
    1. Image-Based Theories
    2. Non-Image-Based Theories
  3. Imagination and Possibility
  4. References and Further Reading

1. The Imagery Debate

Consider the following list of questions:

  • What shape are a beagle’s ears?
  • How many windows are in your bedroom?
  • Which is a darker shade of green, a pine tree or a frozen pea?
  • When a person stands up straight, which is higher, her navel or her wrist?
  • If the letter D is turned on its back and put on top of a J, what does the combination remind you of?

When attempting to answer these questions, which are adapted from Pinker (1997) and Kosslyn (1995), you undoubtedly produced mental imagery—images of beagles, of windows, and of peas. For some of these questions, you probably had to produce two different images to compare to one another, while for some of the other questions, you probably had to rotate the image you produced from the orientation at which it started. These tasks probably also seemed routine—the production and manipulation of mental images are common aspects of our mental lives. But what are these mental images? What role do they play in our mental life? In attempting to answer these questions, philosophers and cognitive scientists have given two very different sorts of answer.

a. Two Views About Mental Images: Pictorialism vs. Descriptionalism

We are naturally inclined to think of mental images as analogous to non-mental images. Consider, for example, my mental image of the Grand Canyon and a photograph of the Grand Canyon. Intuitively, the two are similar sorts of representations. Both are pictures—only the latter is in a frame while the former is in my head.

This view of mental images, commonly referred to as pictorialism, is defended most prominently by Fodor (1975) and Kosslyn (1980). (See also Kosslyn and Pomerantz 1977.) In addition to its intuitive attractiveness, pictorialism derives support from various empirical experiments concerning mental image rotation and scanning (Shepard and Metzler 1971; Kosslyn 1973; Shepard and Cooper 1982). In one such experiment, subjects were asked to identify whether a pair of figures, such as letters, digits, or block formations, were identical or different. In each pair, the second figure had been rotated to an orientation different from the first. The experimenters discovered that subjects’ response times varied directly with the degree of rotation between the figures, a finding that suggests that the subjects were mentally rotating images of the objects.

Despite this intuitive and empirical support, however, pictorialism runs into trouble in its attempt to account for the mental pictures (or, at least, the quasi-pictures—see Kosslyn 1980) that it posits. If such pictures are non-physical, then they are not made of the right sort of “stuff” for use in a scientific conception of the mind. In order to avoid dualism, then, the pictorialist seems forced to suppose that these pictures in the head are located in the brain. Unfortunately, this supposition is also problematic, as it is not clear that there are any structures in the brain that could plausibly be construed as these physical pictures.

Motivated in large part by such worries, many philosophers and other researchers in contemporary cognitive science advocate an alternative view called descriptionalism. Among its most prominent defenders are Dennett (1969, 1979) and Pylyshyn (1973, 1978). While pictorialists claim that mental images represent roughly in the way that pictures represent, descriptionalists claim that they represent roughly in the way that language represents. Consider a state of affairs where George W. Bush is seated to the right of Dick Cheney. One way to represent this situation is by drawing a picture of Bush and Cheney with Bush sitting to Cheney’s right. As we have seen, pictorialists claim that this provides us with a model for the way that mental images represent. But another way to represent the same state of affairs is with a sentence such as, “George W. Bush is sitting to the right of Dick Cheney.” Descriptionalists claim that this provides a better model for the way that mental images represent.

Natural language descriptions, however, are by no means the only kind of representations that count as descriptional in the sense intended by descriptionalists. In fact, for the descriptionalists, a representation can count as descriptional even if it is not literally descriptive of the states of affairs represented. Consider one such representation: the binary language of a computer. In a computational system, a particular string of 0s and 1s might represent the above state of affairs. Alternatively, consider a representation of this state of affairs that proceeds by defining a certain operator, the “RIGHT-OF” operator, that takes an ordered argument pair: RIGHT-OF(George W. Bush, Dick Cheney). Like the sentence “George W. Bush is sitting to the right of Dick Cheney,” the binary representation and the operator representation are clearly not pictorial in nature. One important reason is that these representations do not look like what they represent. What sets pictorial representations apart from other representations is that they represent in virtue of having at least one visual characteristic (e.g., form, shape, or color) in common with what they represent. So, for example, though a black-and-white photograph can represent a pumpkin pictorially, a drawing of a purple triangle cannot.

The dispute between the pictorialists and the descriptionalists, known as the imagery debate, has generated considerable controversy and discussion in the last thirty years. As we have seen, the imagery debate concerns the representative nature of mental images. The descriptionalists challenge the pictorialists’ claim that mental images represent in a pictorial way. Unfortunately, the imagery debate is commonly mischaracterized as a debate over the existence of mental images. Descriptionalists are often taken to be denying the existence of mental images, while pictorialists are often taken to be defending their existence. (See Block 1981a for discussion of this mischaracterization.) The situation is exacerbated by the very participants in the debate, who themselves often obfuscate the issue between them. Dennett (1979) describes the debate as “a war between the believers and the skeptics, the lovers of mental images … and those who decry or deny them,” and he frequently puts his own position in terms of “abandoning” mental images. Likewise, Fodor (1975) cites empirical studies in an effort to “argue forcibly for the psychological reality of images.” The pictorialist, however, should really be seen as arguing for the psychological reality of pictorial representation, which is also what the descriptionalist should be seen as abandoning.

b. The Argument from Introspection

It is also important to note that the imagery debate is not a debate over whether we “think in words” or “think in images.” To see this, it will be useful to consider the argument from introspection that is directed at descriptionalism. When we introspect, it seems to us that our mental images look like what they represent. This introspective judgment is often taken as definitive support for pictorialism, since pictorial representations look like what they represent while descriptional representations do not.

Block (1983) and Tye (1991) each argue persuasively that this argument should be rejected. Properly understood, the evidence from introspection can be seen to be neutral with respect to the imagery debate. To see this, we need to distinguish the experience of imaging from the representation that underlies or accounts for this experience. Consider the following analogy: Suppose you were to come across a box on whose surface was displayed a crude black and white image of a rabbit in a meadow. You might then ask: What is going on inside this box to account for the rabbit-image? One possibility is that some sort of slide projector inside the box projects the rabbit-image onto the box’s surface. If this were the case, then what underlies the image would be a pictorial process. But another possibility is that a computer inside the box produces the rabbit-image by way of binary code – strings of 0s and 1s that turn certain pixels on the surface of the box to black, certain pixels to gray, and so on, such that the rabbit image appears. If this were the case, then what underlies the image would be a non-pictorial process.

As this analogy suggests, the pictorialists claim that underlying the experience of mental imagery is some sort of representation that is pictorial in nature while the descriptionalists claim that underlying the experience of mental imagery is some sort of representation that is descriptional or linguistic in nature. By distinguishing between experiences and the underlying representations, we undercut the force of the introspective judgment that lies at the heart of the argument from introspection, namely, that mental images look like what they represent.

Pictorialists and descriptionalists alike thus accept that we sometimes think in images. In other words, pictorialists and descriptionalists agree that we have certain imagistic experiences, that we experience what we would call “imaging.” When we introspect, when we look within, it seems to us as if we are experiencing mental pictures. But the experience is one thing, the representation that accounts for this experience another. The pictorialists think that the introspective data should be interpreted just as it seems—our mind manipulates representations that are pictorial in nature. The pictorialist view thus offers us a unified conception of our experiences and the representations that underlie them. In contrast, the descriptionalists think that the introspective data is misleading in a certain sense; our experiences are not quite as they seem. Insofar as it seems to us that we have certain mental representations that are pictorial in nature, we are the victims of an illusion.

In defending descriptionalism against the argument from introspection, Tye (1991) makes the further point that all that introspection really suggests is that imaging is like perception: “to assert that a mental image of my brother, say, looks to me like my brother is merely to assert that my imagistic experience is like the perceptual experience I undergo when I view my brother with my eyes.” Empirical experiments have tended to confirm introspective reports that imaging resembles perceiving. Perky (1910) placed a number of people in a room, facing a screen, and asked them to produce mental images of various ordinary objects on the screen. The subjects were not aware of the fact that, after they had reported that they were engaged in the requested imaging (of a banana, for example), an image of a banana was lightly projected onto the screen. The projected image was slowly increased in intensity until, eventually, it was visible to any newcomer entering the room. Nonetheless, the subjects never realized that they were seeing an image of a banana. The only differences that they noted in their subjective experiences were changes in the size and the orientation of the banana they had been imaging. In this highly controlled setting at least, seeing was mistaken for visual imaging.

Additional empirical evidence strongly suggests that the mechanisms underlying imagery and underlying perception are the same. (For an overview of some such experiments, see Finke and Shepard 1986.) One set of important results was generated by Kosslyn (1993), who demonstrated using positron emission tomography (PET) that areas of the brain activated when we engage in object recognition are also activated when we produce visual mental imagery. Other important results come from studies on patients who have suffered damage to parts of their visual system. Bisiach and Luzzatti (1978) studied patients who suffer from hemi-neglect, i.e., patients who ignore objects in one half of their visual field. These patients were discovered also to neglect objects in the same half when producing mental images. To give another example, prosopagnosiacs, who cannot recognize faces, have been shown to suffer from similar difficulties when interpreting mental imagery (Levine, Warach, and Farah 1985).

Given the totality of the evidence, both introspective and empirical, it seems reasonable to assume that the representations underlying the experience of imagery are like the representations that underlie the experience of perception. Importantly, however, the representations that underlie the experience of perception may themselves be descriptional in nature. Thus, without a theory of the nature of the representation underlying perceptual experience, evidence connecting mental imagery with perception cannot be taken as support for pictorialism.

c. Objections to Pictorialism

While the above considerations suggest that the argument from introspection should be rejected, they do not entail the truth of descriptionalism. So why would anyone embrace descriptionalism? One influential consideration, as noted earlier, comes from the seeming incompatibility of pictorialism and materialism. This problem, at least in part, is what Block (1983) has called the No Seeum Objection: when we look in the brain, we do not see any pictures.

Of course, when we look in the brain, we do not see any descriptions either. But, in contrast to the pictorialists, the descriptionalists seem to have an easy response to the No Seeum charge. Sterelny (1986) notes that, since sentences are not medium-dependent, accounting for descriptional representations in the brain is unproblematic: “Sentences can come as sound waves, marks on paper, electrical pulses, punched cards, and so on. Why not then as patterns of neural firings as well?”

Interestingly, Block (1983) argues that we can extend this sort of response to protect pictorialism from the No Seeum objection as well. To know whether you are looking at a descriptional representation, you must be familiar with the representational medium that is in use. Block proposes that the pictorialist can adopt this same line of reasoning. What makes something the sort of representation that it is, regardless of whether it is pictorial or descriptional, depends in large part on the system of representation in which it functions. Thus, until we know more about how the representational system of the brain works, we are unlikely even to be able to tell which structures in the brain are representations, let alone what sort of representations they are.

Descriptionalism has also been thought to gain support from the Paraphernalia Objection to pictorialism: even if we were to discover pictures in the brain, these pictures could not play a role in our cognitive processes unless there were an internal eye to see the pictures, and since there is no such internal eye, pictorialism must be false. (See Rey 1981, Block 1983 for discussion of this objection.) Dennett (1969) voices the Paraphernalia objection by way of an apt analogy:

Imagine a fool putting a television camera on his car and connecting it to a small receiver under the bonnet so the engine could ‘see where it is going’. The madness in this is that although an image has been provided, no provision has been made for anyone or anything analogous to a perceiver to watch the image.

According to the Paraphernalia objection, the pictorialist is like this fool. Block (1983) and Kosslyn (1980) each suggest responses that the pictorialist can make to this objection; in short, the basic strategy is to invoke mechanistic explanation.

Finally, Dennett (1969) presents two examples that seem to cause trouble for pictorialism and provide support for descriptionalism. The first example involves a striped tiger. (See also Armstrong 1968 for a related example involving a speckled hen.) Form a mental image of a tiger and then try to answer the following question: How many stripes does that tiger have? Invariably, the question cannot be answered; the mental images that we form typically do not contain that information. However, just as all tigers have a definite number of stripes, so too do all pictures of tigers. Thus, if mental images were pictorial, a mental image of a tiger should reveal a definite number of stripes. More formally, the objection to pictorialism that the striped tiger example poses can be stated as follows:

  1. Mental images can be indeterminate with respect to visual properties (e.g., the number of stripes on a tiger).
  2. Pictorial representations cannot be indeterminate with respect to visual properties.
  3. So, mental images are not pictorial representations.

Dennett’s second example attempts to show that mental images can be noncommittal in a way in which pictorial representations generally cannot. (See also Shorter 1952. In what follows, I slightly modify Dennett’s example. See Block 1981a for a discussion of why the example needs modification.) Form a mental image of a tall woman wearing a hat and then try to answer the following questions: What kind of hat was it? Was she sitting or standing? Was she indoors or outdoors? Was she wearing shoes? Was she wearing a watch? Though you can undoubtedly answer some of these questions—probably you can tell what kind of hat the woman was wearing in your image, be it a beret or a cowboy hat or a baseball cap—you were probably unable to answer some of the others. When asked whether she was indoors or outdoors, or whether she was wearing a watch, you probably did not have enough information to answer the question. And this need not be because you imagined her only from the neck up. Even if you imagined her full-figure before you, your image likely did not go into sufficient detail to enable you to answer whether she was wearing a watch.

Consider next a picture of a tall woman wearing a hat. Dennett argues that in a pictorial representation of the woman, assuming that her wrists are in view, she must either be depicted wearing a watch or not wearing a watch. The only way for the picture to avoid addressing the issue would be to have something obscuring the woman’s wrists. This seems to differentiate the representational nature of a mental image from the representational nature of a picture. Your image can be inexplicitly noncommittal about whether she is wearing a watch, but a picture can only be explicitly noncommittal about it. (This terminology derives from Block 1981a.)

Finally, consider a written description of the woman. Clearly a description can be inexplicitly noncommittal. Your description might be very short, for example, which would make it impossible to tell whether the woman was wearing a watch or not. Dennett thus concludes that mental imagery has to be descriptional, and not pictorial, in nature.

In response to this example, Block (1981a), Fodor (1975), and Tye (1991) have each argued that Dennett is operating with too narrow a conception of pictorial representation, accusing him of committing the photographic fallacy. If we consider photographs, which are one kind of pictorial representation, then it might seem that Dennett is right: photographs are incapable of being inexplicitly noncommittal about visual features. But consideration of photographs does not show that pictorial representation in general lacks this option. In particular, consider children’s drawings or stick figures. In drawing a stick figure of a woman, you might simply fail to go into the matter of the woman’s wristwear. There are lots of different kinds of pictorial representation, and although both stick figure drawings and photographs represent pictorially, they do so in very different ways. The pictorialists’ claim that mental images represent pictorially should not force one to the position that mental images are like mental snapshots; they might be more like mental stick-figure drawings.

Interestingly, these points about the photographic fallacy do not protect the pictorialist from the striped tiger example. Since there is a difference between being inexplicitly noncommittal and being indeterminate, the fact that some pictorial representations, like stick figures, are able to be inexplicitly noncommittal about certain visual features does not show that they can be indeterminate about these visual features. The descriptionalist might argue that just as a photograph has to depict a determinate number of stripes on the tiger, so too does a stick-figure drawing.

Fodor (1975) suggests a way to deny the first premise of the above argument. It might be that there is some definite answer to the question, “how many stripes does my image-tiger have?” but that I cannot answer the question because images are labile (changing constantly, plastic); the problem is that we cannot hold onto our images long enough to count the stripes. Ultimately, however, Fodor rejects the second premise of the above argument, suggesting that on blurry or out-of-focus pictures there may not be a determinate answer to the question, “How many stripes are there on the photograph?” (See Hannay 1971 for a similar treatment of the problem.)

Alternatively, the pictorialist might reject the move that Dennett seems to make from the claim:

(a) I cannot count the stripes on the tiger in my mental image

to the claim:

(b)The mental image is indeterminate with respect to the number of stripes.

Your mental image might well be determinate without your being able to count the stripes. For example, if you only get a fleeting glance at an actual tiger, you are not going to be able to count his stripes. (See Lyons 1984 for a suggestion of this sort.) But that does not entail that the tiger has an indeterminate number of stripes.

d. A Remaining Question About Pictorial vs. Descriptional Representation

Above, in explaining the descriptionalist view, I noted that descriptional representations need not be literally descriptive. Descriptional representations are characterized primarily negatively, i.e., for the purposes of understanding the imagery debate, a representation will count as descriptional as long as it is not pictorial. This assumes, however, that we have a clear understanding of what makes a representation pictorial. Unfortunately, spelling out exactly what makes a representation a pictorial one—or, to put it another way, spelling out the nature of depiction—turns out to be rather difficult.

It is standardly noted that a pictorial representation must have at least one feature in common with what it is representing. Not just any feature will do, so we will have to limit ourselves to visual features. Suppose that we could specify, without begging any questions, what a visual feature is. In any case, we can surely identify some uncontroversial examples of visual features, such as color and shape, even if we cannot give a precise specification of what makes something a visual feature. Nonetheless, it soon becomes apparent that merely sharing the visual feature of color with the thing represented seems insufficient to make a representation pictorial. To take an obvious example, writing the noun “apple” in red ink does not make it a pictorial representation of an apple. (See Rey 1981 and Hopkins 1995 for further discussion of the nature of depiction.)

In the absence of a clear characterization of pictorial representation, some recent accounts of mental images may seem difficult to classify as either pictorialist or descriptionalist. For example, Tye (1991) claims that his own view of mental imagery—which treats images as interpreted, symbol-filled arrays—is a “hybrid” one. Since these arrays are in some respects like pictures but in other respects like linguistic representations, Tye claims that his view cannot be easily classified as either pictorialist or descriptionalist.

2. Accounts of Imagination

Mental imagery clearly plays a role in many mental activities. For example, memory often proceeds by way of imagery. But no mental activity is more prominently linked with mental imagery than that of imagining. In this section, I will discuss different accounts of the imagination, paying particular attention to the connections between imagery and imagination.

a. Image-Based Theories

René Descartes’ treatment of the imagination (1642/1984) is representative of a long philosophical tradition that analyzes imagination in terms of mental imagery. As he says in his Meditations on First Philosophy:

[I]f I want to think of a chiliagon, although I understand that it is a figure consisting of a thousand sides just as well as I understand the triangle to be a three-sided figure, I do not in the same way imagine the thousand sides or see them as if they were present before me. … But suppose I am dealing with a pentagon: I can of course understand the figure of a pentagon, just as I can the figure of a chiliagon, without the help of the imagination; but I can also imagine a pentagon, by applying the mind’s eye to its five sides and the area contained within them. And in doing this I notice quite clearly that imagination requires a peculiar effort of mind which is not required for understanding.

Presumably, what he means by this “peculiar effort of mind” is the effort to produce an image. In this way, Descartes sharply distinguishes the act of imagining from the related intellectual act of conceiving (or, in his terms, the act of understanding).

On this understanding of the imagination, imagining is thought of as importantly analogous to perception. This fits well with various experimental data (notably, Perky 1910) and corresponds to a long philosophical tradition of treating imagining as an inferior kind of perceiving. For example, Thomas Hobbes (1651/1968) refers to imagining as “decaying sense” and George Berkeley (1734/1965) claims that sense perceptions are “more strong, lively, and distinct” than our imaginings.

This analogy between imagining and perceiving makes it natural to consider imagination as a kind of perception with the “mind’s eye.” Again, Descartes’ discussion of the imagination in the Sixth Meditation provides a representative example of this:

When I imagine a triangle, for example, I do not merely understand that it is a figure bounded by three lines, but at the same time I also see the three lines with my mind’s eye as if they were present before me; and this is what I call imagining. (1642/1984)

Of course, there are clear instances of imagining in which the mind’s “eye” is not doing any work at all, i.e., in which visual images are not involved. Vendler (1984) gives examples such as imagining the roar of the lion, imagining the smell of onions frying on a grill, imagining the heat of the sun, imagining the pain in one’s molar. The image-based account thus must extend the notion of image to encompass imagistic representations from other sensory modalities. Presumably, there are counterparts to visual images for each of the other senses—auditory images, olfactory images, and so on. The case of imagining the pain in one’s molar can be dealt with in a parallel way. Although pain is not perceived by one of the five traditional senses, there is an analogue to sensory images that comes into play in this case: what is often called an affective image.

Even with this broad understanding of the notion of image, however, there are instances of uses of the word “imagine” in everyday language that do not seem to involve mental imagery. Consider cases where “imagine” is used to signal supposition (or, even more commonly, false supposition), as when a parent who says, “I imagined that my daughter was in her room last night, when in fact I now learn that she snuck out her bedroom window.” Consider also cases where “imagine” is used as part of various idiomatic expressions, as when someone says, “Imagine that!” in response to some surprising news.

Fortunately for the proponent of an image-based account, such cases can be easily dismissed. Surely it is unreasonable to expect that we should have to accommodate every ordinary language use of “imagine” or its cognates when giving an account of the imagination. (But see White 1990 for a contrary view.) Rather, what we should focus on are the cases where the imagination is actually being exercised and attempt to explain the nature of such imaginative exercises. This is what the proponent of the image-based account attempts to do.

So let us focus on actual exercises of the imagination. Are there any such exercises in which there is no mental imagery? Ryle (1949) answers in the affirmative. Though he grants that acts commonly described as “having a mental picture” of something are instances of imagining, he argues that concentrating on these sorts of examples to the exclusion of others gives us a misleading picture of what the imagination is. Consider:

  1. a witness who lies when she takes the stand
  2. an inventor who contemplates the machine she is working on
  3. a novelist working out the plot of her next book
  4. a group of children who are pretending that they are bears.

In these cases, Ryle claims that the witness, the inventor, the novelist, and the children may be exercising their imaginations without accompanying imagery. (In fact, the exercises of the imagination that occur when the judge listens to the lying witness’ story, the inventor’s colleague comments on the new machine, someone reads the novel, and the mother ignores the growls emanating from the “bears,” also might well proceed without imagery.) Think about what is going on when a group of children “play bears.” They get down on their hands and knees, growl at each other, probably rearrange the sofa cushions to make dens for themselves, and so on—but while engaging in this activity, they need not produce mental imagery of, say, furry paws and the snowbound den.

In response to Ryle’s discussion, the proponent of an image-based conception of the imagination might argue that these cases conflate being imaginative with exercising the imagination. But even if this suggestion covers the above cases, there are additional examples for which the suggestion lacks plausibility. White (1990) suggests that “we can imagine, or be unable to imagine, what the neighbours will think or why someone should try to kill us, just as we can imagine that the neighbours envy us or that someone is trying to kill us. Yet none of these imagined situations is something picturable in visual, auditory or tangible terms and, therefore, none is something pertaining to imagery.” Likewise, although we can imagine George W. Bush playing the electric guitar, how (assuming that imagining requires imagery) can we imagine his having a secret desire to be a rock and roll musician? What image could we produce to imagine, as John Lennon exhorts us to do, that there’s no heaven?

In addition to dealing with counterexamples such as these, there are two questions that any proponent of an image-based account must answer:

(1)What role does the image play in imagining?

(2)What makes an imagining the imagining that it is?

Image-based theories have often been saddled with an unfortunate answer to the first of these questions. First, once someone invokes mental images in an account of imagination, she appears to commit herself to the claim that such images are the objects of our imaginings—a highly implausible claim. (For development of this argument, see Vendler 1984.) In brief, the problem with this view is that when I imagine something, say George W. Bush, my imagining is about George W. Bush, not about a mental image. The proponent of an image-based account thus must find some other way of answering question (1).

Interestingly, image-based theories have also often been saddled with an unfortunate answer to the second question, namely, that the image involved in an imagining serves to individuate the imagining from other imaginings. The problem, however, is that imagery seems neither necessary nor sufficient to make an imagining the imagining it is. The basic worry traces back to Wittgenstein (1953), who wrote, “What makes my image of him into an image of him? Not its looking like him.” (See also Tidman 1994.) Consider the following two examples from White (1990):

One is imagining exactly the same thing when one imagines that, for example, a sailor is scrambling ashore on a desert island, however varied one’s imagery may be.

The imagery of a sailor scrambling ashore could be exactly the same as that of his twin brother crawling backwards into the sea, yet to imagine one of these is quite different from imagining the other.

Although proponents of image-based theories have various options for answering both of these questions (see Kind 2001), the associated problems have often led to the abandonment of image-based accounts.

b. Non-Image-Based Theories

In response to the apparent problems besetting image-based accounts (particularly the apparent counterexamples discussed above), many theorists deemphasize the role and importance of mental imagery in imagination. While accepting that some exercises of the imagination involve imagery, they deny that the imagery plays any sort of essential role in making a mental act an act of the imagination; moreover, they also claim that there are other instances of imagining that do not involve imagery. Scruton (1974) and Walton (1990) both offer theories of this sort. Scruton claims that “imagining may, and often does, involve imagery” but that “neither [imagination nor imagery] is a necessary feature of the other.” Walton accepts that some exercises of the imagination “consist partly in having mental images,” but claims also that “imagining can occur without imagery.” Hidé Ishiguru (1966) deemphasizes the image even further. On Ishiguru’s view, imagery never plays an essential role in imagining: “mental images are, at most, necessary tools for a limited number of people in certain kinds of exercise of the imagination and are, for many people, merely psychological accompaniments which occur when they are engaged in imaginative work and not the essence of it.” Finally, another non-image-based account is offered by White (1990), who claims that to imagine a state of affairs is to think of it as possibly being so.

Perhaps the most important variety of non-image-based account, however, is the experiential theory. Lyons (1986), Peacocke (1985), and Vendler (1984) each offer a version of this theory. While there are significant differences between these three philosophers’ versions of the experiential theory, there are nonetheless important similarities, and I will here concentrate on Vendler’s version as representative of the tradition that analyzes imagining in terms of experience.

Vendler explicitly treats imagination as a kind of vicarious experience, claiming that “the materia ex qua of all imagination is imagined experience.” To motivate this account, Vendler contrasts two different kinds of imaginative exercises. First, imagine swimming in cold water. Next, imagine yourself swimming in cold water. In the first case, what you do is to imagine the salty taste of the water, the feel of the waves as they lap against you, and so on. You put yourself in the water from the inside. Vendler calls this subjective imagining. In the second case, one thing you might do is to picture yourself in the water, so you see your head bobbing in the waves, and so on. Once again, you put yourself in the water, but in this case you do it from the outside. Vendler calls this objective imagining.

Notice that I can adopt the same objective perspective in imagining someone else. I can just as easily imagine my sister or my husband swimming in the ocean as I can imagine myself swimming in the ocean. But subjective imagining works differently. There, I conjure up the experiences that I would be having if I were in certain circumstances, and it seems that I can do this only about myself. In objective imagining, I imagine what someone, myself included, would look like in a certain situation; in subjective imagining, I imagine what the situation itself would feel like.

Clearly, subjective imagining involves evoking experiences. When I imagine swimming in the ocean, I evoke experiences like feeling cold, being pulled by the current, and seeing the shoreline. Interestingly, however, Vendler argues that objective imagining also requires us to evoke experiences. When I imagine myself swimming in the water, I am essentially imagining the experience of seeing (or hearing, etc.) myself swimming in the water. Thus, objective imagination ultimately reduces to a specialized kind of subjective imagination. According to Vendler, the materials of both subjective and objective imagination are basically the same, namely, experiences. Both kinds of imagination are constructions out of experiences, but the constructions proceed in slightly different ways: “In the subjective case the aim is to represent a consciousness, one’s own, or someone else’s, at a given point of life-history. In the objective case the purpose is to represent a thing as it appears in the field of experience” (Vendler 1984).

Adopting an experiential account has interesting consequences for answering the question: What can we imagine? The basic form of subjective imagining is “I imagine φ-ing,” suggesting that we can substitute any activity for φ. But Vendler does not believe that we can. Consider being dead, or being sound asleep, or snoring while sound asleep. These are activities, or states of being, that lack experiential content. According to an experiential account of imagining, it is a necessary condition on imagining performing a certain action φ (or imagining being in a certain condition C) that there be an experiential content to φ-ing (or to being C). Thus these are activities that Vendler does not think we can imagine.

An interesting corollary of this necessary condition comes out in Thomas Nagel’s seminal paper, “What is it like to be a bat?” (1974). Bats are mammals, and most of us would probably share the intuition that they have conscious experiences, but bats perceive the external world in a way that is radically different from the way we perceive the external world: they use sonar, or echolocation. They emit high-pitched, subtly modulated noises and then detect objects that are in range on the basis of the reflections they detect. This raises an interesting question: can we know what it is like to be a bat? In attempting to answer this question, Nagel implicitly endorses the claim of an experiential account that we can only imagine what we can experience; as he notes, “Our own experience provides the basic material for our imagination, whose range is therefore limited.” Because Nagel thinks our imagination does not allow us to extrapolate to the experience of bats, he denies that we can imagine what it is like to be a bat. This shows that on an experiential account, not only must there be an experiential content to φ-ing (or to being C), but also it must be the case that the experiential content is in principle accessible to the imaginer.

Although the experiential account has some intuitive plausibility, the reduction of objective imagination to subjective imagination requires the proponent of the experiential analysis to do some fancy footwork in response to certain occurrences of the word “imagine” that come up in everyday speech. For example, it is quite common to say things like:

  • “Imagine that there is life on Mars.”
  • “I can pretty clearly imagine why she married him.”
  • “Imagine what would happen if the NAFTA treaty had not been signed.”

In each case, it seems as if we change the meaning of each of these mental exercises if we insert the word “seeing.” Imagining that there is life on Mars might not entail putting myself into the situation as observer, that is, it seems that it need not involve imagining seeing that there is life on Mars. Similar points can be made about the other two cases.

To deal with this problem, Vendler argues that the word “imagine” functions differently in these cases from the way it functions in the cases of objective and subjective imagination that we’ve been talking about. In essence, Vendler denies that these claims describe genuine exercises of the imagination. Just as one might say “I can pretty well see why she married him” without implying that one was doing something with one’s eyes, one can say “I can pretty well imagine why she married him” without implying that one is doing something with one’s imagination. In this case, it seems plausible to suppose that what is going on is an exercise of reasoning rather than a perceptual or imaginative exercise. (This recalls the strategy used by the image-based theorists to dismiss cases in which the word “imagining” seems to mean only supposition.)

There are, however, other cases that Vendler may not be able to dismiss as easily. Some of these are the sorts of cases that threaten image-based accounts—both image-based theories and experiential theories have trouble accounting for apparently non-perceptual imagining, as when someone imagines a solution to a problem. White (1990) suggests other examples as well; for example, one can imagine “sacrificing everything for one’s principles or selling one’s birthright for a mess of pottage, without giving oneself a representation of any experiences.” Or, to use another of White’s examples, suppose someone imagines giving up all she has for love. It is hard for the experiential theorist to dismiss this as an exercise of mere reasoning, but likewise, it is not plausible to suggest that in such an imagining what one is doing is imagining seeing oneself giving up all one has for love.

Interestingly, the fact that examples of the sort that threatened image-based accounts reappear in the context of experiential accounts suggests an important connection between these two types of accounts. Though image-based accounts and experiential accounts initially appear clearly different, in that they draw attention to different features that make an act an act of the imagination, it can be argued that the experiential analysis entails that acts of the imagination will involve mental imagery. If such an argument were to succeed, then the experiential account would ultimately collapse into an image-based account. Recall that Vendler claims that the material of the imagination is imagined experience. The image-based theorist might try to argue that these experiences can only be understood in terms of imagery. Similar points might be made about other experiential theories. For example, Lyons (1986) offers an experiential analysis according to which imagination is the “replay” of perception. For Lyons, when someone imagines something, she does not form a mental image but rather rehearses, reactivates, or replays the act of seeing that thing. But since, as we saw above, empirical evidence strongly suggests that the mechanisms underlying imagery and underlying perception are the same, the replay of perception will likely involve imagery as well.

As the foregoing suggests, even if experiential theories do not analyze imagination in terms of imagery, such theories may be thought at least implicitly to rely on imagery. Thus, insofar as mental imagery is ontologically problematic, such problems will likely confront experiential theories as well as image-based theories. Ontological worries about imagery began with the rise of behaviorism in the early twentieth century. As the mind-brain identity theory gained currency in the 1950s, worries about imagery grew, since the very existence of mental images has been thought to raise an ontological problem for such theories. To put the problem crudely, images are not the right sort of “stuff” for use in a scientific explanation of the mind. This problem has engendered a strong antipathy for mental images in the second half of the twentieth century. Correspondingly, many of the mid- to late-twentieth century theories of imagination, such as those offered by Ryle (1949), Shorter (1952), Armstrong (1968), and Dennett (1969), are imageless theories.

Ryle’s theory, which is probably the most developed of the imageless theories, was constructed in direct reaction to the Cartesian view of imagining. Ryle worries that once we think of imagining as a sort of seeing with the mind’s eye, we are inclined to suppose that there exist things, mental images, that are seen with the mind’s eye. His goal is to prevent this natural move: “the familiar truth that people are constantly seeing things in their minds’ eyes and hearing things in their heads is no proof that there exist things which they see and hear….” His defense of this claim relies in large part on an analogy: Just as the fact that a murder is staged as part of a play does not entail that there is a victim actually murdered, the fact that we see things with the mind’s eye does not entail that there are things actually seen. This analogy also leads Ryle to a positive theory of the imagination. Since an actor’s resemblance to a murderer can be explained by the fact that he is pretending to be a murderer, and pretending to murder, we can also explain the similarity between the imaginer and the observer by invoking the notion of pretense. More generally, Ryle claims that imagining is a species of pretending.

Ryle is clearly right that there are similarities between imagining and pretending; in particular, there is what we might call an “air of hypotheticality” to both activities. But despite such similarities, it seems a mistake to characterize the former sort of activity in terms of the latter. As Ryle characterizes it, pretending is typically a performance intended to convince, while imagining is the sort of pretending that typically aims at convincing oneself rather than others. But many cases of imagining involve no attempt at persuasion—even of oneself. Consider various different kinds of imagining: imagining one’s next dentist appointment, imagining the pain of having a tooth pulled, or imagining the tooth itself. In none of these imaginings must we suppose that the imaginer tries to convince herself of anything. White (1990) criticizes Ryle’s analogy between pretending and imagining in detail, elaborating numerous differences between these two types of activities. (See also Hamlyn 1994.)

Kind (2001), in addition to providing further criticism of Ryle’s account, argues more generally that any theory of imageless imagining is likely to be unsatisfactory. The argument rests on the inability of imageless theories to account sufficiently for three features of imagining: its directedness, its active nature, and its phenomenology. A theory which assimilates imagining to pretending, as Ryle’s did, can account for the active nature of imagining, and perhaps for its directedness, but not for its distinctive phenomenology. Another option available to the imageless theorist, such assimilating imagining to belief, will account for its directedness, but not for its active nature or its phenomenology. Likewise, if the imageless theorist were to assimilate imagining to sensation, he could account for its phenomenology, and perhaps for its directedness, but not for its active nature. Though Kind admits that there may be other options available to the imageless theorist, she takes her reflection on the above examples to suggest the basic difficulty that any imageless theory confronts: It seems that an adequate account of imagination must invoke some sort of mental representation in order to account for the directedness and active nature of imagining, but non-imagistic mental representations seem unable to account for imagining’s phenomenology. The invocation of imagery seems to be the only way to account for the three features of imagining in conjunction.

3. Imagination and Possibility

Now that we have reflected on the nature of the imagination, in this last section let us consider briefly the role that imagination plays in modal epistemology. Like David Hume (1739/1969), who wrote in the Treatise that “nothing we imagine is absolutely impossible,” contemporary philosophers have often associated the imaginable with the possible. Moreover, it is commonly supposed that the faculty of the imagination is an important tool in our acquisition of modal knowledge; the imagination, it is thought, serves as an epistemological guide to possibility.

Strictly speaking, the above quotation from Hume draws a connection between what we (in fact) imagine and what is possible, but philosophers have generally drawn the evidential link between what is imaginable and what is possible. Conversely, there has also been thought to be an evidential link between what is unimaginable and what is impossible; Hume claimed, for example, that our inability to imagine a mountain without a valley leads us to regard a valley-less mountain as impossible. The traditional conception of the link between imagination and possibility thus comprises the following two claims:

Unimaginability claim: if something is unimaginable, then it is impossible.

Imaginability claim: if something is imaginable, then it is possible.

Though these claims did not originate with Hume—Descartes (1642/1984), for example, famously relied on the imaginability claim in his argument for dualism, drawing the conclusion that disembodiment is possible from the premise that disembodiment is imaginable—he is the philosopher with whom they are most commonly associated. Thus, I will refer to them jointly as the Humean thesis.

Many different notions of possibility abound in contemporary philosophical discussion, so we should be clear that the possibility invoked by the Humean thesis is usually meant to be a very weak one, namely, logical possibility. Importantly, logical possibility far outstrips physical possibility; what is physically possible is governed by the laws of physics, but what is logically possible is governed only by the laws of logic. Were the imagination meant to be a guide to the physically possible, the imaginability claim would be immediately problematic. Many physical impossibilities seem easily imaginable: I might imagine a juggling pin remaining suspended in the air after having been thrown there, or I might imagine the eight ball remaining absolutely motionless after I hit it with the cue ball.

Ultimately, it seems that an analogy to perception motivates the Humean thesis: imagination is supposed to give rise to knowledge of possibility as perception gives rise to knowledge of the actual world. Our knowledge of the world in which we live is grounded largely in perception. But, since we have no sensory access to what is not actually the case, perception can afford us no real insight into non-actualized possibilities. In contrast, the imagination is not limited to what is actually the case. This feature of the imagination, in conjunction with the close connection between perception and imagination, is what seems to lead us to rely on the imagination for knowledge of possibility.

In fact, we need only to reflect briefly on how we typically form modal judgments to see the force of the Humean thesis. Presumably, we are convinced that it is possible for there to be purple cows, and for humans to fly unaided by machines, as a result of our imaginings: we can imagine a purple cow, and we can imagine humans flying without mechanical aid. Likewise, consider how we would determine whether round squares are possible, or whether it would have been possible for me to have been a fish. Our conviction that these are impossible states of affairs springs from our inability to imagine them. As Hart (1988) writes, “One’s own experience in settling modal questions seems to show that the imagination plays a fundamental role.”

But despite this intuitive support for the Humean thesis, there is legitimate reason to worry about it. The unimaginability claim in particular has been thought to be especially problematic. One problem derives from the fact that there is considerable variation among individuals’ imaginative capacities. Jill might be able to imagine many things that Jack cannot, in which case it would seem clear that we are by no means entitled to infer from the fact that Jack cannot imagine something that it is impossible. Fortunately, this problem can be fairly easily resolved by interpreting “unimaginable” as something like “unimaginable by any human.” Another problem is the fact that there might be features of human psychology that make certain states of affairs in principle unimaginable by any of us. But if the unimaginability of a state of affairs is due solely to some psychological limitation on our part, then we would not seem to be justified in inferring the impossibility of such a state. (See White 1990; Tidman 1994.)

Most problematic, however, is that the limitation of the possible to the imaginable, particularly on an image-based analysis of imagination, seems overly restrictive. Insofar as the imagination cannot extend to non-sensory objects and states of affairs, philosophers claim that we should not draw conclusions about impossibility based on unimaginability. For this reason, the Humean thesis is often interpreted as about conceivability rather than imaginability, where conception is supposed to be an intellectual faculty. (See Yablo 1993; Tidman 1994. But see Hart 1988 and Kind 2002 for arguments against this interpretation of the Humean thesis.)

The imaginability claim is generally thought to be less problematic than the unimaginability claim, and as such it (and/or the parallel conceivability claim) is often used in philosophical arguments. Modern-day philosophers of mind, in the tradition of the Cartesian argument mentioned above, argue that certain of our imaginings condemn type materialism. Type materialism is committed to the claim that pain, for example, is necessarily identical to a certain brain state, call it “S”. Insofar as we can imagine creatures who are in pain despite lacking biological brains (and thus S-states) altogether, it seems that it is possible for pain to be distinct from S-states. Related imaginings are brought to bear against functionalist theories of mind. To defend their theories, materialists and functionalists either argue directly against the imaginability claim, suggesting that imagining is not a reliable guide to possibility, or argue that in the imaginings in question we have not imagined what we think we have (Tye 1995). This latter point has led to a general cautionary tone in recent discussions of the connection between imagination and possibility, with many philosophers greatly restricting both the kind of imagining that can serve as an epistemic guide to modality and the kind of possibility to which imagining can serve as a guide (see Chalmers 2002 and Yablo 1993).

4. References and Further Reading

  • Armstrong, D. 1968. A Materialist Theory of the Mind. London: Routledge & Kegan Paul.
  • Berkeley, G. 1734/1965. “A Treatise Concerning the Principles of Human Knowledge” and “Three Dialogues Between Hylas and Philonous.” In George Berkeley: Principles, Dialogues, and Philosophical Correspondence, edited with an introduction by C.M. Turbayne. Indianapolis: Bobbs-Merrill Educational Publishing.
  • Bisiach, E., and Luzzatti, C. 1978. “Unilateral Neglect of Representational Space.” Cortex 14: 129-33.
  • Block, N. 1981. Imagery. Cambridge, Mass.: MIT Press.
  • Block, N. 1981a. “What Is the Issue?” In Block 1981.
  • Block, N. 1981b. Readings in the Philosophy of Psychology, vol. 2. Cambridge, Mass.: Harvard University Press.
  • Block, N. 1983. “Mental Pictures and Cognitive Science.” In Lycan 1990. Casey, E. 1971. “Imagination: Imagining and the Image.” Philosophy and Phenomenological Research 31: 475-90.
  • Chalmers, D. 2002. “Does Conceivability Entail Possibility?” Imagination, Conceivability, and Possibility, edited by T. Gendler and J. Hawthorne. Oxford: Oxford University Press.
  • Currie, G. 1995. “Visual Imagery as the Simulation of Vision.” Mind and Language 10: 25-44.
  • Dennett, D. 1969. “The Nature of Images and the Introspective Trap.” In Block 1981.
  • Dennett, D. 1979. “Two Approaches to Mental Images.” In Block 1981.
  • Descartes, R. 1642/1984. “Meditations on First Philosophy.” In The Philosophical Writings of Descartes, vol. 2, edited by J. Cottingham et al. Cambridge: Cambridge University Press.
  • Finke, R.A., and Shepard, R.N. 1986. “Visual Function of Mental Imagery.” In Handbook of Perception and Human Performance, edited by K.R. Boff, L. Kaufman, and J.P. Thomas. Chichester: John Wiley & Sons (1986).
  • Flew, A. 1953. “Images, Supposing, and Imagining.” Philosophy 28: 246-254.
  • Fodor, J. 1975. “Imagistic Representation.” In Block 1981.
  • Hamlyn, D.W. 1994. “Imagination.” In A Companion to the Philosophy of Mind, edited by Samuel Guttenplan. Oxford: Blackwell Publishers (1994): 361-66.
  • Hannay, A. 1971. Mental Images: A Defence. London: George Allen and Urwin, Ltd.
  • Hart, W.D. 1988. The Engines of the Soul. Cambridge: Cambridge University Press.
  • Heil, J. 1998. Philosophy of Mind. New York: Routledge.
  • Hobbes, T. 1651/1968. Leviathan. London: Penguin Books.
  • Hopkins, R. 1995. “Explaining Depiction.” Philosophical Review 104: 425-55.
  • Hume, D. 1739/1969. A Treatise of Human Nature. Edited by E.C. Mossner. London: Penguin Books.
  • Ishiguro, H. 1967. “Imagination.” Proceedings of the Aristotelian Society, Supplementary 41: 37-56.
  • Kind, A. 2001. “Putting the Image Back in Imagination,” Philosophy and Phenomenological Research 62: 85-109.
  • Kind, A. 2002 (unpublished). “Imagination and Possibility.”
  • Kosslyn, S.M. 1973. “Scanning Visual Images: Some Structural Implications.” Perception and Psychophysics 14: 90-94.
  • Kosslyn, S.M., and Pomerantz, J.R. 1977. “Imagery, Propositions, and the Form of Internal Representations.” Cognitive Psychology 9: 52-76.
  • Kosslyn, S.M. 1980. Image and Mind. Cambridge, Mass.: Harvard University Press.
  • Kosslyn, S.M. 1993. Image and Brain: The Resolution of the Imagery Debate. Cambridge, Mass.: Harvard University Press.
  • Kosslyn, S.M., and Osherson, D.N. 1995. Visual Cognition, An Invitation to Cognitive Science, vol. 2. Cambridge, Mass.: The MIT Press.
  • Levine, D., Warach, J., and Farah, M. 1985. “Two Visual Systems in Mental Imagery.” Neurology 35: 1011-18.
  • Lycan, W.G. 1990. Mind and Cognition. Cambridge, Mass.: Basil Blackwell.
  • Lyons, W. 1984. “The Tiger and His Stripes.” Analysis 44: 93-93.
  • Lyons, W. 1986. “‘Introspection’ as the Replay of Perception.” The Disappearance of Introspection. Cambridge, Mass.: MIT Press/Bradford Books.
  • Nagel, T. 1974. “What Is It Like To Be a Bat?” Philosophical Review 83 (4): 435-50.
  • Peacocke, C. 1985. “Imagination, Experience and Possibility: a Berkeleian View Defended.” In Essays on Berkeley, edited by J. Foster and H. Robinson. Oxford: Clarendon Press (1985): 19-35.
  • Perky, C.W. 1910. “An Experimental Study of Imagination.” American Journal of Psychology 21: 422-52.
  • Russow, L.M. 1978. “Some Recent Work on Imagination.” American Philosophical Quarterly 15 (1): 57-66.
  • Pinker, S. 1997. How the Mind Works. New York: Norton.
  • Pylyshyn, Z. 1973. “What the Mind’s Eye Tells the Mind’s Brain—A Critique of Mental Imagery.” Psychological Bulletin 80:1-24.
  • Pylyshyn, Z. 1978. “Imagery and Artificial Intelligence.” In Perception and Cognition: Issues in the Foundation of Psychology, edited by C. Wade Savage. Minneapolis: University of Minnesota Press (1978): 19-56.
  • Reynolds, S.L. 1989. “Imagining Oneself To Be Another.” Nous 23: 615-33.
  • Ryle, G. 1949. “Imagination.” The Concept of Mind. London: Hutchison & Company.
  • Schwitzgebel, E. 2002. “How Well Do We Know Our Own Conscious Experience? The Case of Imagery.” Journal of Consciousness Studies 9: 35-53.
  • Scruton, R. 1982. Art and Imagination. London: Routledge.
  • Seddon, G. 1972. “Logical Possibility.” Mind 81: 481-94.
  • Shepard, R. N., and Metzler, J. 1971. “Mental Rotation of Three-Dimensional Objects.” Science 171: 701-03.
  • Shepard, R.N., and Cooper, L. 1982. Mental Images and Their Transformations. Cambridge, Mass.: MIT Press/Bradford Books.
  • Shorter, J.M. 1952. “Imagination.” Mind 61: 528-42.
  • Sterelny, K. 1986. “The Imagery Debate.”
  • Tidman, Paul. 1994. “Conceivability as a Test for Possibility.” American Philosophical Quarterly 31: 297-309.
  • Tipton, I. 1987. “Berkeley’s Imagination.” In Essays on the Philosophy of George Berkeley, edited by E. Sosa. Dordrecht: D. Reidel Publishing Company (1987).
  • Tye, M. 1994. “Imagery.” In A Companion to the Philosophy of Mind, edited by Samuel Guttenplan. Oxford: Blackwell Publishers (1994): 355-61.
  • Tye, M. 1991. The Imagery Debate. Cambridge, Mass.: MIT Press.
  • Tye, M. 1995. Ten Problems of Consciousness. Cambridge, Mass.: MIT Press.
  • Walton, K. 1990. Mimesis as Make Believe. Cambridge, Mass.: Harvard University Press.
  • White, A. 1990. The Language of Imagination. Cambridge, Mass.: Basil Blackwell.
  • Williams, B. 1968. “Imagination and the Self.” Problems of the Self. Cambridge: Cambridge University Press.
  • Wittgenstein, L. 1953. Philosophical Investigations. New York: Macmillan Publishing Co.
  • Vendler, Z. 1984. The Matter of Minds. Oxford: Clarendon Press.
  • Yablo, S. 1993. “Is Conceivability a Guide to Possibility?” Philosophy and Phenomenological Research 53 (1): 1-42.

Author Information

Amy Kind
Email: amy.kind@claremontmckenna.edu
Claremont McKenna College
U. s. A.

Neo-Confucian Philosophy

confucius“Neo-Confucianism” is the name commonly applied to the revival of the various strands of Confucian philosophy and political culture that began in the middle of the 9th century and reached new levels of intellectual and social creativity in the 11th century in the Northern Song Dynasty. The first phase of the revival of the Confucian tradition was completed by the great philosopher Zhu Xi (1130-1200) and became the benchmark for all future Confucian intellectual discourse and social theory. Especially after the Song, the Neo-Confucian movement included speculative philosophers, painters, poets, doctors, social ethicists, political theorists, historians, local reformers and government civil servants. By the 14th Century Zhu’s version of Confucian thought, known as daoxue or the teaching of the way or lixue or the teaching of principle, became the standard curriculum for the imperial civil service examination system. The Neo-Confucian dominance of the civil service continued until the whole system was abolished in 1905.

The greatest challenge to Zhu Xi’s initial synthesis of the various themes and praxis of daoxue was presented by the great Ming philosopher, poet, general, and civil servant, Wang Yangming (1472-1529). Wang, while continuing many of the characteristic practices of the movement, argued for a different philosophical interpretation and cultivation of the xin or mind-heart, so much so that Wang’s distinctive philosophy is known as xinxue or the teaching of the mind-heart in order to distinguish it from Zhu’s teaching of principle. In the Qing Dynasty (1644-1911) there was a further reaction against the speculative philosophy of both Zhu and Wang and the movement known as hanxue of the learning of Han [Dynasty] arose to combat what were taken to be the grave mistakes of both Zhu and Wang. This last great Chinese Neo-Confucian movement is also know as the school of evidential research because of its commitment to historical and philological research in contradistinction to the Song and Ming fascination with speculative metaphysics and personal moral self-cultivation.

It is important to remember that along with being highly philosophical, the Neo-Confucian masters where also teachers of various forms of personal moral self-cultivation. From the Neo-Confucian perspective, merely abstract knowledge was useless unless conjoined with ethical self reflection and cultivation that eventuated in proper moral behavior and social praxis. The Neo-Confucians sought to promote a unified vision of humane flourishing that would end with a person becoming a sage or worthy by means of various forms of self-cultivation.

It is also vital to remember that Neo-Confucianism became an international movement and spread to Korea, Japan, and Vietnam. Neo-Confucianism flourished in all of these East Asian countries and since the 16th Century some of most creative philosophical work was achieved in Korea and Japan.

In the 20th Century, even amidst the tremendous political and military upheavals throughout the East Asian region, there was yet another revival movement based on Neo-Confucianism now known as New Confucianism. While the New Confucian movement is clearly an heir of its Neo-Confucian past, it is also deeply engaged in dialogue with Western philosophy and is emerging as fascinating form of global philosophy at the beginning of the 21st Century.

Table of Contents

  1. Defining the Confucian Way
  2. Historical Background
    1. The Classical Period
    2. The Han Dynasty
    3. The Daoist Revival and the Arrival of Buddhism
  3. The Emergence of Neo-Confucianism
  4. Traits, Themes and Motifs
  5. Song and Ming Paradigms: daoxue or “Teaching of the Way”
    1. Zhu Xi’s Synthesis
    2. Song and Ming Rebuttals of daoxue
    3. Wang Yangming
    4. The Role of Emotion
    5. Evidential Research
  6. Korean and Japanese Contributions
    1. Yi T’oegye and Yi Yulgok
    2. Kaibara Ekken
  7. The Legacy of Neo-Confucianism
  8. References and Further Reading

1. Defining the Confucian Way

Before we explore the revival of Confucian learning throughout East Asia, we need to reflect on just what was being revived. Prior to the emergence of the “Neo-Confucian” thinkers, the Confucian tradition already had a long and distinguished tradition of commentary on the teachings of the famous teachers from the legendary past into the historical world of the Warring States and later.

The English labels “Confucianism” and “Neo-Confucianism” imply a close connection to the life and thought of Master Kong or Kongzi (Confucius), whose traditional dates are 551-479 BCE. If the term “Neo-Confucianism” is considered problematic because of its modern origin, its ancestor, “Confucianism,” is likewise imprecise and without a clear reference in traditional East Asian philosophical usage. Critical scholars have pointed out that there is no single Chinese, Korean, Japanese or Vietnamese traditional term that matches “Confucianism.” The closest term would be the hallowed Chinese designation of ru or scholar. Some have suggested that Confucianism should be renamed, they have suggested Ruism or the Ruist tradition; they point out that this would match more closely what Master Kong thought he was doing in teaching about the glories of Zhou culture. The problem is that ru originally meant a scholar of ritual tradition and not just followers of Master Kong. While it is true that, by the Song dynasty, ru did indeed come to mean a “Confucian” as opposed to Daoist or Buddhist scholars, this was not the case in the classical period. Therefore, it is true that all “Confucians” were ru, although not all ru scholars were followers of Master.

As we shall see, the use of the term “Neo-Confucian” is confusing and needs some careful revision. By Song times, there are some perfectly good Chinese terms that can be used to define the work of these later Confucian masters. There are a number of terms in use after the Song such as ru or classical scholar, daoxue or learning of the way, lixue or the teaching of principle, xingxue or teaching of the mind-heart, or hanxue or Han learning just to name a few. All of these schools fit into the Western definition of Confucianism, but the use of a single name for all of them obscures the critical differences that East Asian scholars believe are stipulated by the diverse Chinese nomenclature. While Confucians did almost always recognize each other across sectarian divides, they were passionately concerned to differentiate between good and bad versions of the Confucian Way.

Is it possible to provide a perfect and succinct definition of the Confucian Way? Modern critical scholars are extremely wary of any hegemonic set of essential criteria to define something as vast and diverse as the Confucian Way in all its diverse East Asian forms. For instance, is the Confucian tradition to be defined as an East Asian philosophical discourse or is it better understood as one of China’s indigenous religious wisdom teachings? Or is the Confucian Way something entirely different from what would be included or excluded by the criteria of the Western concepts of philosophy or religion?

Notwithstanding such proper scholarly reticence, two contemporary Confucian philosophers, Xu Fuguan and Mou Zongsan, have offered a suggestion about at least one sustaining and comprehensive motif that suffuses Confucian thought from the classical age to its modern revivals. First, Xu and Mou argue that Confucianism has always generated and sustained a profound social and ethical dimension to its philosophical and social praxis. This kind of commitment has lead many western scholars to define Confucianism as an axiological philosophical sensibility, a worldview ranging from social ethics to an inspired aesthetics. Second, accepting for a moment the axiological nature of much Confucian discourse, Xu and Mou give such philosophic reflections a particular name and call this informing motif of the Confucian Way “concern consciousness.” First, concern consciousness speaks of the perennial Confucian “concern” for proper social relations and hence the tradition’s abiding interest in ethical reflection and ethically edifying ritual praxis. Secondly, concern consciousness is always set within a social context. For instance, Confucian teachers have often taught that the folk etymology of ren or humaneness makes the point of social nature of all proper Confucian action: humaneness is at least two people treating each other as they ought to in order to sustain human flourishing. Therefore Xu and Mou argue that all Confucian thinkers will eventually return to an explication of some form of “concern consciousness” when they are giving a robust and detailed explanation of the rich teachings of the Confucian Way. An unconcerned Confucian is an oxymoron. The content and context of their concern for the world and the Dao will vary dramatically, yet the sense of concern, of having a care as the Quakers taught on the other side of Eurasia, remains a hallmark of Confucian philosophical sensibilities.

2. Historical Background

The historical development of the Confucian Way or movement has been variously analyzed in terms of distinct periods. The simplest version is that there was a great classical tradition that arose in the Xia, Shang and Zhou kingdoms that was perfected in the works and records of the legendary sage kings and ministers and was then continued and refined by their later followers such as Kongzi, Mengzi (Mencius) and Xunzi. The death of Kongzi in 481 BCE marked the end of the Spring and Autumn periods of the Eastern Zhou kingdom and the beginning of the era called the Warring States period. On the one hand, although later Chinese thinkers decried the ceaseless interstate warfare that characterized the era, on the other hand the Warring States period is remembered as the most creative philosophical epoch in Chinese history. All of the great indigenous schools of Chinese philosophy find their origin in this period from 480 to 221 BCE when the Qin state finally unified the empire under the rule of the First Emperor of the Qin. After the incredible cultural efflorescence of the Warring States intellectuals, all future philosophical achievements were deemed to be commentary on the depositions of the classical masters.

Later scholars have suggested that this binary division of Chinese philosophical history is too simple and that there are three or more clear divisions for the Confucian movement because it has demonstrated a longevity and continuity of maturation for more than two thousand five hundred years. For instance, some modern scholars suggest that, based on creativity and transformation of the tradition, there was a three-fold division of the classical period, the Neo-Confucian movements of the Song, Yuan, Ming and Qing dynasties and most recently the era defined by the impact of the modern West on the East Asian philosophical and religious Confucian worlds. The most complex periodization differentiates the achievement of Confucian thinkers over the centuries more subtly than either the binary or triadic divisions allow. A strong case can be made for defining six discrete eras in the historical development of the Confucian tradition in East Asia:

  1. The classical period beginning in the Xia, Shang and Zhou kingdoms: includes the justly famous Warring States philosophers (c. 1700-221 BCE)
  2. The rise of the great commentarial traditions on early classical texts during the Han dynasty (206 BCE—200 CE)
  3. The renewal of the Daoist tradition and the arrival of Buddhism (220-907 CE)
  4. The renaissance of the Song [“Neo-Confucianism”], the flowering in the Yuan and Ming dynasties, and the spread of Neo-Confucianism into Korea and Japan (960-1644 CE)
  5. The “Han Studies” or “Evidential Research” movements of the Qing dynasty and the continued growth of the movement in Korea and Japan (1644-1911 CE)
  6. The impact of the West, the rise of modernity, and the decline and reformation of the Confucian Way as “New Confucianism” (1912 CE to the present)

In order to give a capsule outline of the development of Confucianism down to the rise of the great Neo-Confucian thinkers in the Song, what follows is a very short set of outlines of the first three of these six periods, which preceded the rise of Neo-Confucian movements. It is important to remember that although Confucianism began as a Chinese tradition it became an international movement throughout East Asia. A full understanding of Neo-Confucianism requires that attention be paid to its advancement in Korea, Japan and Vietnam along with the continuing unfolding of the tradition in China.

a. The Classical Period

According to Master Kong, there was a long and distinguished tradition of sage wisdom that stretched back even before the Xia and Shang dynasties. Master Kong sought to collect, edit and transmit these precious texts to his students in the hope that such an education project would lead to the renewed flourishing of the culture of humaneness based on the teachings of the sage kings and their ministers. Master Kong was followed by a stellar set of Confucian masters, the most important being Mengzi and Xunzi. These great Confucian masters not only argued among themselves about the nature of the Confucian way, they confronted the attacks of the other great schools and thinkers of the Warring States period. The texts attached to the names of these great scholars have served, along with the other early canonical material, to define the contours of the Confucian Way ever since the Warring States period.

While Master Kong would have rejected the notion that he founded or created a new tradition, it is to his Analects that countless generations of Confucians return to discover wisdom and insight into the nature of Confucian culture. Further, great teachers such as Master Meng and Master Xun continue to defend and refine the teachings of Master Kong in robust debate with the other schools of the Warring States period. Although there has always been skepticism about the claim for such authorship, traditional Confucian scholars held that Master Kong himself had an editorial role in the compilation of many of the canonical texts that became ultimately the Thirteen Confucian Classics.

b. The Han Dynasty

The Han dynasty contribution to the growth of the Confucian Way is often overshadowed by the grand achievements of the classical period. Yet the Han scholars edited almost all of the texts that survived and began to add their own critical commentaries and interpretations to the canonical texts. In many cases these Han commentaries are now recognized as classics in their own right. One of the features of the Confucian tradition is the use of various forms of commentaries as a vital philosophical genre. It is a period that reveres historical traditions and hence the commentary is viewed as a proper way to transmit the traditional learning.

c. The Daoist Revival and the Arrival of Buddhism

After the fall of the Han dynasty, there was a marked revival of various facets of the earlier Daoist traditions. The movement was called xuanxue or arcane or abstruse (profound) learning. Xuanxue thinkers were highly eclectic; sometimes they praised and used the great Warring States Daoist texts such as the Daodejing or the Zhuangzi to frame their complicated philosophical and religious visions, and sometimes they reframed materials drawn from the Confucian tradition as well. It is universally recognized that the great xuanxue scholars brought a new level of philosophical sophistication to their analysis of the classical and Han texts. Moreover, this was also the epoch of the emergence of the great Daoist religious traditions that mark the Chinese and East Asian landscape from this era down to the present day. The Daoist religious founders and reformers also claimed the early texts such as the Daodejing, Zhuangzi and the Yijing [The Book of Changes] as their patrimony.

The xuanxue revival was ultimately eclipsed by the arrival of Buddhism in China. The era stretching roughly from 200 to 850 marks the height of the influence of Buddhism on Chinese culture. Along with the translation of the immense Buddhist canon into Chinese, the scholar monks of this era also created the unique Chinese Buddhist schools that went on to dominate the religious life of East Asia. The Buddhists also introduced novel social institutions such as monastic communities for both men and women. Great Chinese schools of Buddhist philosophy and practice were founded, such as the Tiantai, Huayan, Pure Land and Chan traditions. In short, the impact on Chinese society and intellectual life was immense and shaped the future of Confucian philosophy.

It is very important to remember that Confucianism continued to play a vital and even creative role in the history of Chinese philosophy while Buddhism was ascendant. Confucianism never “disappeared” from sight and in fact continued to dominate elite family life and governmental service. Confucianism remained the preferred approach to political and social thought and much personal and communal ethical reflection was concurrent with the powerful contributions of Daoist and Buddhist thinkers.

3. The Emergence of Neo-Confucianism

Both traditional and modern historians of China mark the year 755 CE as the great divide within the Tang dynasty. This was the year of the catastrophic An Lushan rebellion and although the Tang dynasty formally lasted until its final demise in 906, it never recovered its full glory. And glorious the Tang was; it is the dynasty always remembered as one of the high points of Chinese imperial history in terms of political, military, artistic, philosophical and religious creativity. For instance, it was the flourishing and cosmopolitan culture of the Tang world—with everything from metaphysics to painting, calligraphy, poetry, food and clothes—that spread throughout East Asia into the emerging societies of Korea and Japan. Moreover, while the Tang is noted as the golden age of Buddhist philosophical originality in terms of the formation of important Chinese schools such as the Tiantai, Huayan, Pure Land and Chan [Zen in Japanese pronunciation], a number of important Confucian thinkers began to challenge the intellectual and philosophical supremacy of Buddhism.

Three great Confucian scholars stand out as the earliest “Neo-Confucians”: Han Yu (768-824), Li Ao (ca. 772-836) and Liu Zongyuan (773-819). All three scholars launched a double-pronged attack on Buddhism and a concomitant appeal for the restoration and revival of the Confucian Way. Just after the deaths of this trio of Confucian scholars, a late Tang emperor began a major persecution of Buddhism. Although not a bloody event as persecutions of religions go, many major schools failed to revive fully after 845 and this date, along with the earlier rebellion of An Lushan, marks dramatic changes in the philosophical landscape of China.

Along with his friends Han Yu and Li Ao, Liu Zongyuan was regarded as one of the most famous scholars of his time. Liu is perhaps more of a bridging figure between the early and later Tang intellectual worlds, but he still expressed a number of highly consistent Neo-Confucian themes and did so with a style that links him forward to the Song masters. For instance, Liu, unlike many earlier Tang Confucians, was interested in finding what he thought to be the principles expounded in the classic texts rather than a convoluted, arcane if compendious commentarial exegesis. He searched for the true meaning of the sages in the texts and not merely to study the philological subtlety of traditional commentarial lore. Further, Liu passionately believed that the authentic Dao was to be found in antiquity, by which he meant the true ideals of the Confucian teachings of the early sages. Along with this commitment to finding the confirmed teachings of the sages in the historical records, Liu was committed to political engagement based on these sage teachings. Like all the later Neo-Confucians, Liu asserted the need to apply Confucian ethical norms and insights to political and social life.

Han Yu is considered to be the most important and innovative of the Tang Confucian reformers. He was a true renaissance man; he was an important political figure, brilliant essayist, Confucian philosopher and anti-Buddhist polemicist. What gives his work such power is that he carried out his various roles with a unified vision in mind: the defense and restoration of the Confucian Way.

In order to restore the Confucian Way, Han Yu developed a program of reform and renewal manifested in a literary movement called guwen or the ancient prose movement. But Han was doing much more than simply calling for a return to a more elegant prose style. He was urging this reform in order to clarify the presentation of the ideas of the Confucian tradition that was needlessly obscured by the arcane writing styles of the current age. He wanted to write clearly in order to express the plain truth of the Confucian Way. Moreover, Han stressed a profound self-cultivation of the Dao. In order to do so, Han accentuated the image of the sage as the proper role model for humane self-cultivation. And last, but certainly not least, Han and his colleagues proposed a Confucian canon-within-the-canon of a select set of texts that especially facilitate such a quest, namely such works as The Doctrine of the Mean, The Great Learning, the Analects and the Mengzi .

Along with his reform of the style and canon of the teaching of the Confucian Way, Han also explained his philosophical program in terms of the vocabulary and sensibility of the later Song Neo-Confucian revival. As Han put it, the sage seeks “to develop one’s nature to perfection through the penetration of principle” or qiongli jinxing. Han himself wrote in an exegesis of a passage in the Analects in the examinations of 794:

Answer: The sage embraces integrity (cheng) and enlightenment (ming) as his true nature (zhengxing); he takes as his base the perfect virtue; this is equilibrium and harmony (zhongyong). He generates (fa) these inside and gives them form outside; they do not proceed from thought, yet all is in order. This mind [-heart] set on evil has no way to develop in him, and preferable behavior cannot be applied to him; so only the Sage commits no errors (Hartman 1986: 201).

Han Yu’s friend Li Ao shared similar views and wrote a highly influential essay on human nature that sounded more of the philosophic themes that would dominate the Song Neo-Confucian revival. While Li’s vision of the self might be a bit too quiescent for the tastes of the more activist Song literati, it still captured the tone of the philosophical revival:

Therefore it is sincerity that the sage takes as his nature, absolutely still and without movement, vast and great, clear and bright, shining on Heaven and Earth. When stimulated he can then penetrate all things in the world. In act or in rest, in speech or silence, he always remains in the ultimate. It is returning to his true nature that the worthy man follows without ceasing. If he follows it without ceasing he is enabled to get back to the source (Barrett 1992: 102).

In many ways it was this attempt to “get back to the source” in the classical Confucian texts that characterizes the philosophical endeavors of the Song, Yuan, Ming and Qing masters. There is a continuous debate about what this nature is, whether it is in constant movement or is still; what “the ultimate” ultimately is or what the nature of the source of all of this is.

4. Traits, Themes and Motifs

One of the most common assumptions about the philosophical achievements of the Neo-Confucian literati is that it was stimulated into life by interaction with Daoist and Buddhist thinkers. While there is a genuine element of truth in this stimulus theory of the origins of Neo-Confucianism, it is also true that, once prompted by the best of Daoist and Buddhist thought, the Neo-Confucians constructed their philosophies out of materials indigenous to the historical development of the Confucian Way. For instance, I have chosen to call this historical background the Confucian Way (rudao) because this was the concept used by the great Song masters. They argued that they were not inventing something new but were rather reviving “this culture of ours” as the true Dao of the sage kings of antiquity as transmitted by Master Kong and Master Meng. Yet the materials, the traits, concepts, themes and motifs the Song masters used in reconstructing the Confucian Way were drawn almost exclusively from the classical repertoire. These concepts, traits, themes and terms include:

  1. Ren as the paramount virtue and marker for all the other virtues such as justice/yi, ritual action/li, wisdom or discernment/zi and faithfulness/xin; these five constant virtues provide the axiological sensibility to the whole Neo-Confucian enterprise; these are linked to filial piety/xiao as an expression of primordial familial relationships.
  2. Li as ritual action; the social glue that holds society together and in fact helps to constitute the humane person.
  3. Tian or heaven and tianming or the Mandate of Heaven; di or earth; whether we should use a capital “H” for tian is an important question for the Neo-Confucian philosophy of religion; Tian, di and ren or heaven, earth and human beings form an important cosmological triad for the Neo-Confucians.
  4. Li as principle, pattern or order to the whole of the cosmos; a key Song philosophic term as a little used early Confucian concept.
  5. Xin or the mind-heart; the living center of the human person; needs to be cultivated by proper ritual in order to realize true virtue.
  6. Xing or human tendencies, dispositions or nature; this is the principle/li given to each emerging person by tian as the mandate for what the person ought to be.
  7. Qi or vital force or material force that functions as the dynamic force or matrix out of which all object or events emerge and into which they all return when their career is completed.
  8. Qing as emotion, desire and passion; intimately related to qi/vital force as the dynamic side of the cosmos.
  9. Dao wenxue & zun dexing or serious study and reflection or honoring the moral tendencies or dispositions as designations of two different ways of cultivating the xin/mind-heart and as contrasting modes of moral epistemology.
  10. gewu or the investigation of things was a key [and highly contested] epistemological methodology for the examination of the concrete objects and events of the world.
  11. Cheng or sincerity, genuineness and the self-actualization of the moral virtues such that one achieves a morally harmonious life via various forms of xiushen or self-cultivation by means of such praxis as jing mindfulness or attentiveness; this praxis is the “how” of the moral self-cultivation of the five constant virtues.
  12. Nei/wai as the inner and outer dimensions of any process; often also used for the “king without, sage within”; often also discussed in terms of the opposition of si/selfishness and pian/partiality or one-sidedness and gong of public spirit.
  13. tiyong or substance and function and ganying or stimulus and response as typical analytic dyads used to describe the reactive movement, generations, productions and emergence of the objects and events of the cosmos.
  14. liyi fenshu or the teaching that principle is one or unified while its manifestations are many or diverse; often seen as the characteristic holistic organic sensibility and yet realistic pluralism of Neo-Confucian thought.
  15. daotong or the Transmission of the Way or Succession, or Genealogy of the Way; Zhu Xi’s masterful account of the revival of the Confucian Way by a set of Northern Song philosophical masters.
  16. siwen or “this culture of ours” as the expression of refined self-cultivation and the manifestation of principle from the family to the cosmos.
  17. He or harmony and zhong or centrality as designations of the goals or outcomes of the successful cultivation of all the virtues necessary for humane flourishing.
  18. zhishan or the highest good as the realization of harmony and centrality; the ideal would be to become a sheng or sage (theoretically possible but in practice extremely difficult) or a junzi, a worthy or noble person.
  19. Taiji or the Supreme Polarity or Supreme Ultimate as the highest formal trait of the principle of the whole cosmos and for each particular thing; often discussed in terms of benti or the origin-substance or substance and source of all objects and events.
  20. Dao or the perfect good of all that is, will or can be; the totality of the cosmos as the shengsheng buxi or generation without cessation; also usually implies a moral “more” to the myriad things of the cosmos.

5. Song and Ming Paradigms: daoxue or “Teaching of the Way”

Zhu Xi’s (1130-1200) version of and description of the revival of Confucian thought formed the paradigm for the main philosophical developments that give rise to the Western notion of Neo-Confucianism and the variety of East Asian designations of the various Song movements such as daoxue. Other thinkers would adopt, modify, challenge, transform and sometimes abandon Zhu’s philosophy and his narrative of the development of the tradition; nonetheless, it is Zhu’s version of the Confucian Way that became the paradigm for all future Neo-Confucian discourse for either positive affirmation or negative evaluation. It is Master Zhu who also provides the philosophical interpretation of the rise of Neo-Confucianism that defines the historical accounts of the tradition from the Southern Song on. In short, Zhu’s theory of the daotong or the transmission or succession (genealogy) of the Way not only provides the content for the tradition but also the historical context for its further analysis by partisans and critics in the Yuan, Ming and Qing dynasties.

Zhu Xi inherited the rich complexity of the revival of Confucian thought from a variety of Northern Song masters. In organizing this heritage into an enduring synthesis, Zhu was highly selective in his choices about who he placed in the daotong or the succession of the way or the true teachings drawn from the legendary sages; historical paladins such as the Kings Wen, Wu and the Duke of Zhou, and then Master Kong and Master Meng as the consummate philosophers of the classical age. It is always important to remember that the Song cultural achievement is much broader then Zhu’s favored short list of Northern Song masters. Anyone interested in the history of Song Confucian thought will need to pay careful attention to thinkers as diverse as the Northern Song scholars and activists such as Fan Zhongyan (989-1052), Ouyang Xiu (1007-1072), Wang Anshi (1021-1086), Sima Guang (1019-1086), Su Shi (10-37-1101) and Southern Song colleagues and critics of Zhu such as Lu Xiangshan (1139-1193) and Chen Liang (1143-1194)—just to give a short list of major Song philosophers, scholars, politicians, historians, social critics and poets.

Zhu Xi’s own list included Zhou Tunyi (1017-1073), Zhang Zai (1020-1077), Cheng Hao (1032-1085) and Cheng Yi (1033-1107) [and though not canonized by Zhu, any such list would be incomplete without recognition of Shao Yong (1011-1077)]. Each one of these thinkers, according to Zhu, contributed important material for the recovery of “this culture of ours” and to the formation of daoxue as the appropriate Confucian teaching of the Song cultural renaissance. Zhu’s unique contribution to the process was to give philosophical order to the disparate contributions of the Northern Song masters.

a. Zhu Xi’s Synthesis

What Zhu Xi did was to give a distinctive ordering to the kinds of terms listed above; he gave them a pattern that became the philosophical foundation of daoxue. For those who disagreed, such as Lu Xiangshan and the later Ming thinker Wang Yangming (1472-1529), Zhu provided the template of Song thought that must be modified, transformed or even rejected, but never ignored.

The most famous innovation Zhu provided, based on the original insights of the two Cheng brothers and Zhang Zai was to frame daoxue philosophy via the complicated cosmological interaction of principle/li and vital force/qi. To understand Zhu’s argument, we must consider how the question of the relationship of principle and vital force presented itself to Zhu Xi as a philosophical problem in need of a solution. Zhu understood his analysis of principle and vital force to be the answer to the question of interpreting the relationship of the human mind-heart, human natural tendencies and the emotions. Trying to resolve how all of this fit together, Zhu borrowed a critical teaching of Zhang Zai to the effect that the mind-heart unifies the human tendencies and the emotions. Zhu then went on to claim that analytically understood this meant that the principle qua human tendencies or dispositions gave a particular order or pattern to the emerging person and that the dyad of principle and vital force coordinated and unified the actions of the mind-heart. In other words, Zhu discerned a tripartite patterning or principle of the emergence of the person, and by extension, all the other objects or events of the world in terms of form or principle, dynamics or vital force and their unification via the mind-heart: the mature schematic is form, dynamics and unification. Moreover, once this unification of the principle and vital force was achieved and perfected, the outcome, at least for the human person, was a state of harmony or balance.

Zhu’s ingenious synthesis, to which he gave the name daoxue or teaching of the way, accomplished two different ends. First, its breadth of vision provided Confucians with a response to the great philosophical achievements of the Chinese Buddhist schools such as the Tiantai or Huayan. Second, and more important, it outlined a Confucian cosmological axiology based upon the classical Confucian texts of the pre-Han era as well as an explanation for and analysis of the coming to be of the actual objects or events of the world. Zhu achieved this feat by showing how all the various concepts of the inherited Confucian philosophical vocabulary could be construed in three different modalities based on the pattern of form, dynamics and unification.

For instance, the analysis of the human person was very important for Zhu Xi. Each person was an allotment of vital force generated by union of the parents. Along with this allotment of qi or vital force, each person inherited a set of natural tendencies or what has often been called human nature. The subtlest portion of the vital force becomes the mind-heart for each person. The mind-heart has both cognitive and affective abilities; when properly cultivated, the mind-heart, for instance, can recognize the various principles inherent in its own nature and the nature of other objects and events. And when subject to proper education and self-cultivation, the mind-heart can even learn to correctly discern the various is/ought contrasts found in the world in order to sustain human flourishing via ethical action. In short, the mind-heart, as the experiential unity of concern consciousness becomes the human agent for creative and humane reason. The most pressing human is/ought contrast is that between the nature of principle as the ethical tendencies of human nature and the dynamic flux of human emotions that are governed, without proper self-cultivation, by selfishness and one-sidedness. There is nothing evil in an Augustinian sense of the human emotions save for the fact that they are much too prone to excess without the guidance of principle.

When asked to give an analytic account of this portrait of the human person, Zhu Xi then noted that this was to be explained by recourse to the concepts of the particular principle for each object or event, vital force of each such object or event and the normative or “heavenly mandate” of each object or event, which Zhu Xi called the Supreme Ultimate or Polarity. The whole system was predicated on the daoxue conviction of the ultimate moral tendency of the Dao to regulate the creative structure of the ceaseless production of the objects and events of the world. The world was thus to be seen as endlessly creative and relentlessly realistic in the sense that this cosmic creativity of the Dao eventuated in the concrete objects and events of the world.

The experiential world of the human mind-heart and the analytic schema of the unification of principle and vital force could also be described by the use of classical Confucian selective or mediating concepts such as cheng or self-actualization of jen or ultimate humanization as the paramount human ethical norm. Cheng and jen provide the modes of self-actualization and the methods of self-cultivation of the various emotional dispositions that give moral direction to the person when the person is grasped by a proper recognition of the various is/ought contrasts that inevitably arise in the conduct of human life. Hence the concern-consciousness of the person is the basis of individual creativity and manifests the particular principle of the mandate of heaven in a specific time and place for each person. Cosmic creativity or the ceaseless production of the objects and events of the cosmos replicates itself in the life of the person, and when properly actualized or integrated, can cause the person to find the harmony and balance of a worthy or even a sage. Thus even Zhu Xi’s explanation of the role of formal analysis, the arising of the existential manifestation of human nature and human emotion via the various mediating or selective concepts appropriate to the various levels of abstract or concrete determination itself takes on a carefully crafted triadic structure that manifests the proper discernment of the various dyadic conceptual pairs so evident in classical Confucian discourse. Both the tensions of the contrasting pairs such as nature and emotion are preserved and yet re-inscribed in the various allotments of the qi of each of the objects or events of the cosmos with a vision of their harmonious and balanced creative interaction. Zhu’s world is truly one of liyi fenshu or principle is one [unitary], whereas the manifestations are many.

Zhu Xi was equally famous for this theory of the praxis of the self-cultivation of the ultimately moral axiology of his multi-level system of philosophical analysis. His preferred method was that of gewu or the investigation of things. Zhu Xi believed that all the objects and events of the world had their own distinctive principle and that it was important for the student to study and comprehend as many of these principles as possible. It was a method of intellectual cultivation of the mind-heart that included both introspection and respect for external empirical research. In many respects, gewu was an attempt toward finding an objective and inter-subjective method to overcome pian or the perennial human disinclination to be one-sided, partial or blinkered in any form of thought, action and passion. In Zhu’s daoxue a great deal of emphasis was placed on reading and discerning the true meaning the Confucian classics, but there was also room in the praxis for a form of meditation known as quiet-sitting as well as empirical research into the concrete facts of the external world. The debates about the proper way to pursue self-cultivation and the examination of things proved to be one of the most highly debated sets of interrelated philosophical concerns throughout the Neo-Confucian world.

b. Song and Ming Rebuttals of daoxue

In terms of philosophical debate about the worthiness of daoxue, there was a great deal of disagreement about a variety of issues in the Song, Yuan, Ming and Qing dynasties. The Qing scholars were the most radical in their critique and merit a separate section; however, there were immediate Song dynasty rejoinders to Zhu Xi who argued against part of the synthesis on philosophical grounds. The first major rebuttal came from Zhu’s friend and critic Chen Liang (1143-1194), one of the great utilitarian philosophers of the Confucian tradition. What worried Chen about Zhu’s daoxue was that it was too idealistic and hence not suited to the actual geopolitical demands of the Southern Song reality. While it is clear that Zhu was passionately involved in the politics of his day, Chen contended that the world was a more empirically complex place than Zhu’s system implied. “I simply don’t agree with [your] joining together principles and [complex] affairs [as neatly and artificially] as if they were barrel hoops” (Tillman 1994: 52).

The nub of the debate revolved around the proper understanding of the notion of “public” or gong, gongli, public benefit. Here Chen broke with Zhu and suggested that good laws were needed just as good Neo-Confucian philosophers trained in a metaphysical praxis such as daoxue. “The human mind-heart (xin) is mostly self-regarding, but laws and regulations (fa) can be used to make it public-minded (gong)….Law and regulations comprise the collective or commonweal principle (gongli)” (Tillman 1994:16).

Such arguments for pragmatic political theory and even an appeal to the beneficial outcomes of carefully constructed legal regimes were never well received in the Neo-Confucian period, even if they did point to some genuinely diverse views within the Song Confucian revivals.

The most influential critique of Zhu Xi’s daoxue also came from another good friend, Lu Xiangshan (1139-1193). The crux of the philosophical disagreement resides in Lu’s different interpretation of the role of the mind-heart in terms of the common Neo-Confucian task of finding the right method for evaluating the moral epistemology of interpreting the world correctly. In a dialogue with a student, Lu pinpointed his argument with Zhu:

Bomin asked: How is one to investigate things (gewu)?

The Teacher (Lu Xiangshan) said: Investigate the principle of things.

Bomin said: The ten thousand things under Heaven are extremely multitudinous; how, then, can we investigate all of them exhaustively?

The teacher replied: The ten thousand things are already complete in us. It is only necessary to apprehend their principle (Huang 1977: 31).

There are two important things to notice about Lu’s critical response to the question of the examination of things. First, in many ways Lu does not disagree with the basic cosmological outline provided by Zhu Xi. Second, the philosophic sensibility, however, becomes even more focused on the internal self-cultivation of the person. Many scholars have remarked upon the fact that we find a turn inward in so much Song and Ming philosophy, and none more so than in Lu’s intense desire to find principle within the person. Of course, this is not to be understood as a purely subjective idealism. Rather, Lu would argue that only by finding principle in the mind-heart could the person then effectively comprehend the rest of the world. The point is not a solipsistic retreat into subjective and relativistic reveries of isolated individuality but rather a heightened ability to interpret and engage the world as it really is. The critical question is to find the proper place to start the investigation of things. If we start with the things of the world, we fall prey to the problems of self-delusion and partiality that infect the uncultivated person. But if we can find the correct place and method to investigate things and comprehend their principles, then we will understand the actual, concrete unity of principle.

c. Wang Yangming

Centuries later in the mid-Ming dynasty, Wang Yangming (1472-1529) sharpened what he took to be Lu’s critique of Zhu Xi. Wang’s philosophy was inextricably intertwined with of his eventful life. Wang also had the richest life of any of the major Neo-Confucian philosophers: he was a philosopher of major import, a poet, a statesman and an accomplished general. Wang began as a young student by attempting to follow Zhu’s advice about how to gewu or investigate things. With a group of naïve young friends they went into a garden to sit in front of some bamboos in order to discern the true principle of bamboo. The band of young scholars obviously thought that this would be an easy task. One by one they fell away, unable to make any progress in their quest to understand bamboo principle. Wang was the last to give up and only did so after having exhausted himself in the futile effort. Wang recounts that he simply believed that he lacked the moral and intellectual insight to carry out the task at hand; at this time he did not question Zhu’s master narrative about how to engage the world as a Confucian philosopher.

Later during a painful political exile in the far south of China, Wang Yangming had a flash of insight into the problem of finding the true location of principle. As Tu Weiming writes, “For the first time Yangming came to the realization that “My own nature is, of course, sufficient for me to attain sagehood. And I have been mistaken in searching for the li [principle] in external things and affairs [shiwu]” (Tu 1976: 120). Wang clearly understood this enlightenment experience as a confirmation that Lu Xiangshan was correct when Lu had declared that principle was to be found complete within the mind-heart of the person. In much greater detail than Lu, Wang then set out to develop the philosophical implications of the primordial insight into the proper way to carry out Confucian moral epistemology and self-cultivation. And after having straightened out the epistemology, Wang then went on to explain how the Confucian worthy should act in the world. This strong emphasis on the cultivation of the mind-heart led to the categorization of Wang’s teaching as a xinxue or teaching of the mind-heart as opposed to Zhu’s lixue or teaching of principle, and, in fact, this is the way later scholars often labeled the teachings of Zhu and Wang.

The way Wang taught about the task of realizing what he called the innate goodness of human nature was his famous doctrine of the unity of knowledge and action. As Wang said, “Knowledge is the direction for action and action is the effort for knowledge” and “Knowledge is the beginning of action and action is the completion of knowledge” (Ching 1976: 68). The problem that Wang was addressing was the deep concern that Zhu’s method for examining things in order to cultivate the essential goodness of the mind-heart was too fragmented and that such epistemological fragmentation would eventuate in moral failure and cognitive incompetence. Real praxis and theory could not be separated, and even if Wang acknowledged that Zhu was a sincere seeker after the Dao, Wang believed that Zhu’s methods were hopelessly flawed and actually dangerous to the cultivation of the Confucian worthy.

d. The Role of Emotion

There was yet another philosophical realignment within Ming thought that is harder to identify with the specific teachings of any one master, namely the debate over the role of qing or emotion within the Neo-Confucian world of discourse [representative scholars would be Li Zhi (1527-1602) and Ho Xingyin (1517-1579)]. The nature of the emotions or human feelings was always a topic of reflection within the broad sweep of the historical development of Confucianism because of the persistent Confucian fascination with moral anthropology and ethics. Zhu Xi had a very important place for the emotions in his teachings of the way, though many later thinkers felt that Zhu was too negative about the function of the emotions. While it was perfectly clear that Zhu never taught that the emotions per se were evil or entirely negative, he did teach that the emotions needed to be properly and carefully cultivated in terms of the conformity of the emotional life to the life of principle. Zhu thematized this as the contrast between the daoxin or the Mind of Dao and the renxin or the Mind of Humanity (the mind of the psychophysical person). Moreover, it was also perfectly clear that Zhu taught that the truly ethical person needed to realize the Mind of Dao in order to actualize the human tendencies as mandated by heaven for each person. If not hostile to the emotions, Zhu was wary of them as the prime location for human self-centered and partial behavior.

By the late Ming dynasty many of the followers of Wang Yangming harshly questioned what they took to be the negative Song teachings about the emotional life. In fact, many of these thinkers made the bold claim that the emotions were just as important and valuable philosophical resources for authentic Confucian teachings as reflections on the themes of principle or vital force. In fact, they contended that it was a proper and positive interpretation of human emotions and even passions that distinguishes Confucianism from Daoism and Buddhism. Whether or not these thinkers were correct in their interpretations of Daoist and Buddhist thought need not detain us here. What is more important is that these thinkers developed a more positive interpretation of qing than had been the case in earlier Song and Ming thought. It might be argued that such a concern for the emotions was just another marker of the Neo-Confucian turn toward the subject, a flight to contemplation of an inner subjective world as opposed to the much more activist style of the Han and Tang scholarly traditions. However, this speculation about emotion, even romantic love, had the unintended effect of allowing educated Chinese women to enter into the debate. Debarred, as they noted, from active lives outside the literati family compounds, the women observed that although living circumscribed lives compared to their fathers, brothers, husbands and sons, they did know something about the emotions—and that they had something positive to add to the debate.

Dorothy Ko’s important study of the role of educated women tells the wonderful and poignant story of three young women, Chan Tong (ca. 1650-1665), Tan Ze (ca. 1655-1675) and Qian Yi (fl. 1694). All three were eventually the wives of Wu Ren, with Chan and Tan dying very early in life and leaving what would be called the Three Wives Commentary on the famous Ming drama The Peony Pavilion to be completed and published in 1694 by the third wife, Madame Qian. The three women demonstrated just as great scholarly exegetical and hermeneutic skills as their husband, and he always acknowledged their authorship and their collective and individual genius against those who thought women unable to achieve this level of cultural, artistic and philosophical sophistication. In short, the three women defended and explicated the theory about human emotions, also held by the radical Taizhou school followers of Wang Yangming, that even the entangled emotions of romantic love could become “a noble sentiment that gives meaning of human life” (Ko 1994:84). Although not widely accepted in late Ming and Qing society, these Confucian women defended the notion of companionate marriage based, in part, on a Confucian analysis of the emotional needs of women and men.

e. Evidential Research

After the conquest of all of China by the Manchu in 1644, there was a tremendous cultural backlash against the radical thinkers of the late Ming dynasty. Rather than seeking validation of the emotions and human passions, many Qing scholars took a completely different approach to rediscover the true teachings of the classical Confucian sages. The point of departure for all of these thinkers was to reject the philosophical foundations of both Song scholars such as Zhu Xi and Ming teachers such as Wang Yangming. The charge the radical Qing scholars made against both Zhu and Wang Yangming was that both lixue and xinxue were completely infused with so much extraneous Daoist and Buddhist accretions that the true Confucian vision was subverted into something strange to the teachings of the classical Confucian masters. Therefore, the task of the Qing scholars was to strip Neo-Confucianism of its Daoist and Buddhist subversive inclusions.

The method that the Qing scholars chose has been called hanxue or Han Teaching or kaozhengxue, Evidential Research Learning. The chief tactic was to argue that the best way to return to true Confucian teachings in the face of Song Neo-Confucian distortions was to return to the work of the earliest stratum of texts, namely the work of the famous Han exegetes. The theory was that these Han scholars were closer to the classical texts and were also without the taint of undue Daoist or Buddhist influence. The other way to describe the movement is to note that these scholars promoted a various rigorous historical-critical and philological approach to the philosophical texts based on what they called an evidential research program. The grand axiom or rubric of the kaozhengxue scholars was to find the truth in the facts. They abjured what they believed to be the overly metaphysical flights of fancy of the Song and Ming thinkers and went back to the careful study of philology and textual and social history in order to return to a true Confucian scholarly culture. The better philosophers of this group, with Ku Yanwu (1613-1682) and Dai Zhen (1724-1777) as the bookends of the tradition, recognized that such an appeal to research methodology as opposed to Song metaphysics was also a philosophical appeal in its own right. Yet all these Evidential Research scholars were united in trying to find the earliest core of true Confucian texts by a meticulous examination of the whole history of Confucian thought. Along with major contributions to Confucian classical studies, these Evidential Research philosophers also made major additions to the promotion of local historical studies and even advanced practical studies in agriculture and water management. They really did try to find the truth in the facts. Yet the world of the Qing Evidential Research scholars was as ruthlessly destroyed as the metaphysical speculations of Song-style philosophers with the arrival of the all-powerful Western imperial powers in the middle of the 19th century.

6. Korean and Japanese Contributions

It is extremely important to remember that Neo-Confucianism was an international and cross-cultural tradition in East Asia, with different manifestations in China, Korea, Japan and Vietnam. For instance, a strong case can be made for the strong philosophical creativity of Korean Neo-Confucians in the 15th and 16th centuries and in Japan after the inception of Tokugawa rule in 1600. Two examples will have to suffice to demonstrate that in some eras the most stimulating and innovative Confucian philosophical work was being done in Korea and Japan. As mentioned above, little study has been devoted to the Vietnamese reception and appropriation of Neo-Confucian philosophy at that time, and thus it is still impossible to speak with as much confidence about it as we can about the creativity of the Korean and Japanese Neo-Confucian philosophers.

a. Yi T’oegye and Yi Yulgok

The Korean Neo-Confucians who practiced the official ideology of the Choson kingdom after its founding in 1392 were devoted followers of Zhu Xi’s daoxue. But just because they were profound students of Master Zhu’s Southern Song Neo-Confucian synthesis does not mean that they did not realize that there were still a number of outstanding philosophical issues that needed to be debated in terms of how Zhu Xi depicted the daoxue project as a coherent philosophical vision. The most famous case of this Korean perspicacity is found in the justly famous Four-Seven Debate, a profound dialogue among scholars about the role of emotions within Zhu’s Neo-Confucian cosmology; the two most famous philosophers were Yi T’oegye (1501-1570) and Yi Yulgok (1536-1583).

The debate was framed as a technical discussion of two different lists of emotions (one list of four and another of seven different emotions, and hence the name for the Four-Seven Debate) inherited from the classical Confucian texts. But the most interesting underlying philosophical issues that emerged had to do with the analysis of the nature of and relationship between principle and vital force. In short, the Korean scholars realized that as elegant as it might be, there were problems with Zhu’s account of the nature of principle. The problem was put this way in a famous metaphor: how could a dead rider (principle as a purely formal pattern) guide the living horse of vital force? In other words, the Korean scholars understood clearly that the whole sensibility of the daoxue project was suffused with an emphasis on cosmic process. Hence, if process was so essential to the working of Zhu’s system, how could principle, as a critical philosophical trait, itself be without the living creativity of process? In the words of the Yijing or Book of Changes, if the very spirit of the Dao is shengsheng buxi or the generation [of the myriad things] without cessation, then how does this notion of genuine cosmological creativity inform the proper interpretation of principle as the key trait of the formal side of Zhu’s master narrative?

Yi Yulgok, the younger of the two giants of Korean Neo-Confucianism, gave the most creative response to this question. Yulgok is often portrayed as a proponent of a qi-monism wherein Yulgok defends the primacy of process sensibilities in daoxue by augmenting the role of vital force at the expense of principle. While Yulgok does indeed have all kinds of illuminating insights into the role of vital force, he never abandons a deep concern for the role of principle. Yulgok forthrightly links the notion of principle creatively with the equally important concept of cheng or the self-actualization of the mind-heart. In making this strong linkage, Yulgok is able to defend the thesis that principle itself is a vital manifestation of the living creativity of the Dao as the ceaseless generation of the myriad things. It was a philosophical tour-de-force and is probably the most imaginative reinterpretation of Zhu’s daoxue to be found in traditional East Asia.

b. Kaibara Ekken

In 17th century Tokugawa Japan Kaibara Ekken (1630-1714) provides an exemplar of the Japanese contribution to the refinement of Neo-Confucian discourse. Ekken, like so many other great Confucian scholars, was something of a renaissance figure. This social concern manifested itself in some very traditional ventures such as the publication of his famous Precepts for Daily Life in Japan, wherein he tried to give advice about how Confucian principles could be applied to the conduct of concrete daily life. Moreover, this passion for the concrete details of daily life also led to a fervent naturalist concern for the world of plants, animals, fish and even shellfish. Ekken not only wrote about these humble creatures but, like many early Western naturalists, provided illustrations of these plants and animals.

Ekken’s concern for the dynamic processes of the quotidian world also led him to reread Zhu Xi’s daoxue in a dramatic way. For instance, Ekken argued that the Supreme Ultimate/Polarity was not some kind of abstract pattern but actually the correct name for the primordial qi before it began to divide into the yin and yang forces. Ekken did not abandon Zhu’s category of principle but rather read the cosmos via a stronger emphasis on the dynamic role of vital force. “The ‘Way of the sage’ is the principle of life and growth of heaven and earth; the original qi harmonizing the yin and yang in ceaseless fecundity” (Tucker 1989: 81). Ekken made a further deduction from his re-evaluation of the role of vital force, namely that there is no ontological or cosmological ground for holding to a distinction between the ideal nature, mandated by tian, and the physical nature or endowment of the particular creature or person. It is for this reason that Ekken is often held to be a champion of the primacy of a qi-monism, but this kind of reduction does not do justice to Ekken’s subtle re-inscription of the various roles of concepts such as principle, vital force and the Supreme Ultimate/Polarity within daoxue. Just as with his Korean colleagues, Ekken’s naturalistic vision of the Confucian Dao was such that he believed the nature of the Dao “flows through the seasons and never stops. It is the root of all transformations and it is the place from which all things emerge; it is the origin of all that is received from heaven” (Tucker 1989: 81).

The fate of Korean and Japanese Neo-Confucianism was subject to the same immense impact of the arrival of the Western imperial powers. As Korea and Japan struggled to find their ways in the modern world, Neo-Confucianism seemed a historical part of their traditional cultures and hardly something of great value for the transformations of culture in the contemporary world dominated by the Western powers. In this sense, the arrival of Western-inspired modernization marked the end of the Neo-Confucian epoch in East Asia.

7. The Legacy of Neo-Confucianism

The arrival of the imperial Western powers in East Asia during the nineteenth century caused an unprecedented challenge to the Confucian traditions of the region. Never before had the countries of East Asia faced a combination of military conquest, cultural attack and infiltration by a powerful new civilization. Opium, guns and ideas were pouring into Asia during the nineteenth and twentieth centuries, with catastrophic results for the sphere of Confucian East Asia. The intellectual assault was as powerful – and perhaps even more significant in the long term – as the material impositions of colonial and semi-colonial regimes. No Asian tradition suffered more than the Confucian Way.

Yet even in the darkest hours after 1911, a significant renewal movement arose in East Asia in defense of the good to be recovered from traditions such as Confucianism. Along with the revivals of Daoism and Buddhism, there was a new movement in East Asia called in English ‘New Confucianism’ in order to distinguish it from the previous avatars of the Confucian Way. Although New Confucianism has its obvious roots in the great achievements of the Song, Yuan, Ming and Qing periods, it is also the child of intercultural dialogue with Western philosophical movements and ideas. While it is too soon to chart the course of New Confucianism, it is clear that some form of the Confucian Way will not only survive into the 21st century but will flourish anew in East Asia and farther abroad wherever the East Asian Diaspora carries people for whom the Confucian Way functions as part of their cultural background.

Hitherto, it is impossible to chart the changes wrought by either contemporary philosophers who are dedicated to the revival and reformation of the Confucian Way or by other scholars who are interested in Confucian discourse as merely one important traditional element for modern East Asian philosophers to utilize in terms of their own constructive work. It is clear, however, that Neo-Confucianism has now passed over into a completely new era, that of New Confucian ecumenical dialogue and conversation with philosophers from around the global city of a vastly expanded new republic of letters.

8. References and Further Reading

  • Barrett, T. H. Li Ao: Buddhist, Taoist, or Neo-Confucian? Oxford: Oxford University Press, 1992.
  • Berthrong, John H. Transformations of the Confucian Way. Boulder, CO: Westview Press, 1998.
  • Berthrong, John H. and Berthrong, Evelyn Nagai. Confucianism: A Short Introduction. Oxford: Oneworld Publications, 2000.
  • Black, Alison Harley. Man and Nature in the Philosophical Thought of Wang Fu-chih. Seattle: University of Washington Press, 1989.
  • Bol, Peter K. “This Culture of Ours”: Intellectual Transition in T’ang and Sung China. Stanford: Stanford University Press, 1992.
  • Bresciani, Umberto. Reinventing Confucianism: The New Confucian Movement. Taipei, Taiwan: The Taipei Ricci Institute for Chinese Studies, 2001.
  • Chang, Carsun. The Development of Neo-Confucian Thought. 2 Vols. New York: Bookman Associates, 1957-1962.
  • Chen, Chun. Neo-Confucian Terms Explained: The Pei-hsi tzu-I by Ch’en Ch’un (1159-1223). Trans. and ed. Wing-tsit Chan. New York: Columbia University Press, 1986.
  • Cheng, Chung-ying. New Dimensions of Confucian and Neo-Confucian Philosophy. Albany, NY: State University of New York Press, 1991.
  • Cheng, Chung-ying and Nicholad Bunnin, eds. Contemporary Chinese Philosophy. Oxford: Blackwell Publishers, 2002.
  • Ching, Julia. To Acquire Wisdom: The Way of Wang Yang-ming. New York: Columbia University Press, 1976.
  • Ching, Julia. The Religious Thought of Chu Hsi. Oxford and New York: Oxford University Press, 2000.
  • Chu, Hsi and Lü Tsu-ch’ien. Reflections on Things at Hand: The Neo-Confucian Anthology. Trans. Wing-tsit Chan. New York: Columbia University Press, 1967.
  • Chung, Edward Y. J. The Korean Neo-Confucianism of Yi T’oegye and Yi Yulgok: A Reappraisal of the “Four-Seven Thesis” and Its Practical Implications for Self-Cultivation. Albany, NY: State University of New York Press, 1995.
  • Elman, Benjamin A. From Philosophy to Philosophy: Intellectual and Social Aspects of Change in Late Imperial China. Cambridge, MA: Harvard University Press, 1984.
  • Fung, Yu-lan. A History of Chinese Philosophy. 2 vols. Trans. Derk Bodde. Princeton: Princeton University Press, 1952-53.
  • Graham, A. C. Two Chinese Philosophers: The Metaphysics of the Brothers Ch’eng. La Salle, IL: Open Court, 1992.
  • Hartman, Charles. Han Yü and the T’ang Search for Unity. Princeton: Princeton University Press, 1986.
  • Henderson, John B. The Development and Decline of Chinese Cosmology. New York: Columbia University Press, 1984.
  • Huang- Siu-chi. Lu Hsiang-shan: A Twelfth Century Chinese Idealist Philosophy. Westport, CT: Hyperion Press, 1977.
  • Huang Tsung-hsi. The Records of Ming Scholars. Eds. Julia Ching with Chaoying Fang. Honolulu: University of Hawaii Press, 1987.
  • Ivanhoe, Philip J. Confucian Moral Self Cultivation. Second Edition. Indianapolis: Hackett Publishing Company, 2000.
  • Jensen, Lionel M. Manufacturing Confucianism: Chinese Traditions and Universal Civilization. Durham, NC: Duke University Press, 1997.
  • Kalton, Michael C., et al. The Four Seven Debate: An Annotated Translation of the Most Famous Controversy in Korean Neo-Confucian Thought. Albany, N.Y.: State University of New York Press, 1994.
  • Kasoff, Ira E. The Thought of Chang Tsai. Cambridge: Cambridge University Press, 1984.
  • Kim, Yung Sik. The Natural Philosophy of Chu Hsi, 1130-1200. Philadelphia, PA: Memoirs of the American Philosophic Society, 2000.
  • Ko, Dorothy. Teachers of the Inner Chambers: Women and Culture in Seventeenth-Century China. Stanford: Stanford University Press, 1994.
  • Liu, James T. C. Reform in Sung China: Wang An-shih (1021-1086) and His New Policies. Cambridge: Harvard University Press, 1959.
  • Liu, James T. C. Ou-yang Hsiu: An Eleventh-Century Neo-Confucianist. Palo Alto, CA: Stanford University Press, 1967.
  • Liu, Shu-hsien. Understanding Confucian Philosophy: Classical and Sung-Ming. Westport, CT: Praeger, 1998.
  • Liu, Shu-hsien. Essentials of Contemporary Neo-Confucian Philosophy. Westport, CT and London: Praeger, 2003.
  • Makeham, John, ed. New Confucianism: A Critical Examination. New York: Palgrave Macmillan, 2003.
  • Maruyama, Masao. Studies in the Intellectual History of Tokugawa Japan. Trans. Mikiso Hane. Princeton: Princeton University Press, 1974.
  • Metzger, Thomas A. Escape from Predicament: Neo-Confucianism and China’s Evolving Political Culture. New York: Columbia University Press, 1977.
  • Munro, Donald J. Images of Human Nature: A Sung Portrait. Princeton: Princeton University Press, 1988.
  • Neville, Robert C. Boston Confucianism: Portable Tradition in the Late-Modern World. Albany, NY: State University of New York Press, 2000.
  • Nosco, Peter, ed. Confucianism and Tokugawa Culture. Princeton: Princeton University Press, 1984.
  • Ro, Young-chan. The Korean Neo-Confucianism of Yi Yulgok. Albany, N.Y.: State University of New York Press, 1989.
  • Tillman, Hoyt Cleveland. Ch’en Liang on Public Interest and the Law. Honolulu: University of Hawaii Press, 1994.
  • Tillman, Hoyt Cleveland. Confucian Discourse and Chu Hsi’s Ascendancy. Honolulu: University of Hawaii Press, 1992.
  • T’oegye, Yi. To Become a Sage: The Ten Diagrams on Sage Learning by Yi T’oegye. Trans. Michael C. Kalton. New York: Columbia University Press, 1988.
  • Tu, Wei-ming. Neo-Confucian Thought in Action: Wang Yang-ming’s Youth (1472-1509). Berkeley: University of California Press, 1976.
  • Tu, Wei-ming and Mary Evelyn Tucker, eds. Confucian Spirituality. 2 vols. New York: The Crossroad Publishing Company, 2003-04.
  • Tucker, Mary Evelyn. Moral and Spiritual Cultivation in Japanese Neo-Confucianism: The Life and Thought of Kaibara Ekken (1630-1714). Albany, N.Y.: State University of New York Press, 1989.
  • Yao, Xinzhong, ed. Encyclopedia of Confucianism. 2 vols. London and New York: RoutledgeCurzon, 2003.

Author Information

John H. Berthrong
Email: jhb@bu.edu
Boston University
U. S. A.

American Philosophy

The term “American Philosophy,” perhaps surprisingly, has been somewhat vague. While it has tended to primarily include philosophical work done by Americans within the geographical confines of the United States, this has not been exclusively the case. For example, Alfred North Whitehead came to the United States relatively late in life. On the other hand, George Santayana spent much of his life outside of the United States. Until only recently, the term was used to refer to philosophers of European descent. Another focus for defining, or at least characterizing, American Philosophy has been on the types of philosophical concerns and problems addressed. While American philosophers have worked on traditional areas of philosophy, such as metaphysics, epistemology, and axiology, this is not unique to American Philosophy. Many scholars have highlighted American philosophers’ focus on the interconnections of theory and practice, on experience and community, though these, too, are not unique to American Philosophy. The people, movements, schools of thought and philosophical traditions that have constituted American Philosophy have been varied and often at odds with each other. Different concerns and themes have waxed or waned at different times. For instance, the analysis of language was important throughout much of the twentieth century, but of very little concern before then, while the relation between philosophy and religion, of great significance early in American Philosophy, paled in importance during much of the twentieth century. Despite having no core of defining features, American Philosophy can nevertheless be seen as both reflecting and shaping collective American identity over the history of the nation.

Table of Contents

  1. 17th Century
  2. 18th Century
  3. 19th Century
    1. Charles Peirce
    2. William James
    3. John Dewey
    4. Other Pragmatists
  4. 20th Century and Recent
  5. References and Further Reading

1. 17th Century

Though many people, communities and nations populated the area that is now the United States long before the U.S.A. became a nation-state, and they all wrestled with universal philosophical questions such as the nature of the self, the relationships between persons, their origins and destiny, most histories of American Philosophy begin with European colonization, especially from the time of the Puritans in New England. From the “Mayflower Compact,” penned in 1620 as the early English settlers arrived in the New World, basic socio-political positions were made explicit and fundamental to newly established communities. Speaking of forming a covenant to “combine ourselves into a civil Body Politic,” those arriving on the Mayflower immediately identified a close and ineliminable connection between individuals and their community. This sentiment was echoed in founding documents of other colonies, such as the Fundamental Orders of Connecticut (1639) and the Massachusetts Body of Liberties (1641). Likewise, the writings of prominent early colonial leaders, such as John Winthrop (1588-1649) emphasized “the care of the public must oversway all private respects…for it is a true rule that particular estates cannot subsist in the ruin of the public.” Although highly influential, such views were not universal, as the Maryland Toleration Act (1649) and the writings of other influential leaders, e.g., Roger Williams (1603-1683) stressed religious tolerance over commitment to the religious covenant of a community. From the earliest concerns, then, even prior to the establishment of the United States, the social and political issues of the relation of individuals to their communities as well as the nature of the communities themselves (that is, as secular or religious) were paramount.

2. 18th Century

Broadly speaking, American Philosophy in the eighteenth century can be divided into two halves, the first still heavily influenced by the Calvinism of the Puritans and the second more directly along the lines of the European Enlightenment and associated with the political philosophy of the Founding Fathers (e.g., Thomas Jefferson, Benjamin Franklin).

Far and away the most significant thinker of the first half of the 18th century for American Philosophy was Jonathan Edwards (1703-1758). Often associated primarily with the fiery oratory of sermons such as “Sinners in the Hands of an Angry God,” and the religious revivalist “Great Awakening” of the 1740s, Edwards both distilled and assimilated Calvinist theological thought and the emergent Newtonian scientific worldview. Frequently characterized as trying to synthesize a Christian Platonism, with an emphasis on the reality of a spiritual world, with an empiricist epistemology, an emphasis on Lockean sensation and Newtonian corpuscular physics, Edwards drew directly from the thought of Bishop George Berkeley, who stressed the necessity of mind (or non-material reality) to make sense of human experience. This non-material mind, for Edwards, consists of understanding and will, both of which are passive at root. It is understanding that, along lines of the successes of Newtonian physics, leads to the fundamental metaphysical category of Resistance, which Edwards characterizes as “the primary quality of objects.” That is, whatever features objects might have, what is fundamental to something qua object is that is resists. This power of resistance is “the actual exertion of God’s power” and is demonstrated by Newton’s basic laws of motion, in which objects at rest or in motion will remain undeterred until and unless acted on by some other force (that is, resisted). Understanding, though, is different than will. Edwards is perhaps best known for his rejection of free will. As he remarked, “we can do as we please, but we cannot please as we please.” Just as there is natural necessity and natural inability, for Edwards, there is moral necessity and moral inability. Every act of will is connected to understanding, and thus determined. Echoing the views of John Calvin, Edwards saw not (good) works, but the grace of God as the determiner of human fortune.

While couched primarily in a religious context for Edwards but less so for others, the acceptance and adaptation of a Newtonian worldview was something shared by most American philosophers in the latter half of the 18th century. These later thinkers, however, abandoned to a great extent the religious context and focused rather on social-political issues. Sharing many commitments of European philosophers of the Age of Enlightenment (such as a reliance on reason and science, a broad faith in scientific and social progress along with a belief in the perfectibility of humans, a strong advocacy of political democracy and laissez-faire economics), many of the famous names of American history identified themselves with this enlightenment thought. While they attended very little to basic issues of metaphysics or epistemology, the Founding Fathers, such as Thomas Jefferson (1743-1826), Benjamin Franklin (1706-1790), and James Madison (1751-1836), wrote voluminously on social and political philosophy. The American Declaration of Independence as well as the United States Constitution, with its initial amendments, better known as the Bill of Rights, was drafted at this time, with their emphasis on religious toleration. Though including explicit references to God, these thinkers tended to commit themselves in their writings less to Christianity per se and more to deism, the view of God as creator of a world governed by natural laws (which they believed were explicated for the most part by Newton) but not directly involved with human action. For example, as early as 1730 and as late as 1790 Franklin spoke of God as world-creator and Jesus as providing a system of morality but with no direct commitment to the divinity of Jesus or to any organized church. Instead, a major focus of concern was the appropriate nature of the State and its relation to individuals. While the thought of Thomas Jefferson, exemplified in the language of the Declaration of Independence, emphasized natural, inalienable rights of individuals against the tyranny of the State – with the legitimacy of the State only in securing the rights of individuals – federalists such as James Madison highlighted dangers of factional democracy, with his view of protecting both individual rights and the public good.

3. 19th Century

In a letter to John Adams written in 1814, Thomas Jefferson complained that, while the post-revolutionary American youth lived in happier times than their parents, this younger generation held “all knowledge which is not innate, [to be] in contempt, or neglect at least.” Their “folly” included endorsing “self-learning and self-sufficiency; of rejecting the knowledge acquired in past ages, and starting on the new ground of intuition.” These complaints reflected Jefferson’s concerns about the rise of romanticism in early nineteenth century America. Transcendentalism, or American Romanticism, was the first of several major traditions to characterize philosophical thought in America’s first full century as a nation, with Transcendentalism succeeded by the impact of Darwinian evolutionary thought and finally developing into America’s most renowned school of thought, Pragmatism. A Hegelian movement, centered in St. Louis and identified largely with its chief proponent, George Holmes Howison (1834-1916), occurred in the second half of the nineteenth century, but was overshadowed by the rise of Pragmatism. Even the journal founded in 1867 by the St. Louis Hegelians, The Journal of Speculative Philosophy, became best known later on because of its publication of essays by the pragmatist Charles Peirce (1839-1914).

Where the thinkers of the American enlightenment stressed social and political concerns, based on a Newtonian mechanistic view of the world, the thinkers of American Transcendentalism took the emphasis on individuals and their relation to the community in a different direction. This direction was based not on a mechanistic view of the world, but on an organic metaphor that stressed the subjective nature of human experience and existence. Highlighting personal experience and often even a fairly mystical holism, writers such as Ralph Waldo Emerson (1803-1882), Henry David Thoreau (1817-1872), and Walt Whitman (1819-1892) argued for the priority of personal non-cognitive, emotional connections to nature and to the world as a whole. Human are agents in the world more fundamentally than they are knowers of the world. “Real” knowledge is intuitive and personal; it transcends scientific understanding that is based on empirical sense experience. Because of this, those things that constrain or restrict free personal thought, such as conventional morality and political institutions, need to be transcended as well. This spirit is captured in the poetry of Walt Whitman’s “Song of Myself” in which he claims, “I celebrate myself…Unscrew the locks from the doors! Unscrew the doors themselves from their jambs! I speak the past-word primeval, I give the sign of democracy….” This sentiment is echoed in the works of Emerson and Thoreau, both of whom argue for the importance of self-reliance, intuition, and a return to nature, i.e., an embracing of what is non-civilized and non-industrial. In his 1836 paper, “Nature,” Emerson states, “In the woods, we return to reason and faith…I am nothing; I see all; the currents of the Universal Being circulate through me; I am part or parcel of God…In the wilderness I find something more dear and connate than in streets and villages.” Emerson’s “The Transcendentalist” (1842) stands as a manifesto of this philosophical movement, in which he explicitly identifies Transcendentalism as a form of philosophical Idealism. Emerson wrote:

As thinkers, mankind have ever been divided into two sects, Materialists and Idealists; the first class founding on experience, the second on consciousness; the first class beginning to think from the data of the senses, the second class perceive that the senses are not final, and say, The senses give us representations of things, but what are the things themselves, they cannot tell…Society is good when it does not violate me, but best when it is likest to solitude. Everything real is self-existent. Everything divine shares the self-existence of Deity…[Kant showed] there was a very important class of ideas or imperative forms, which did not come by way of experience, but through which experience was acquired; that these were intuitions of the mind itself; and he denominated them Transcendental forms.

At the same time, during the 1830s and 1840s, there were other thinkers who stressed greater social and political equality, particularly several important women writers and activists, such as Sarah Grimké (1792-1873) and Elizabeth Cady Stanton (1815-1902). The call for social and political emancipation, in many ways a call to fulfill the promise of the American enlightenment, came not just from women such as Grimké and Stanton, but also from those demanding the abolition of slavery, notably William Lloyd Garrison (1805-1879) and Frederick Douglass (1817-1895).

Just as much of American philosophical thought was influenced by the success of Newton’s scientific worldview throughout the eighteenth century, the publication of Charles Darwin’s evolutionary theory in 1859 had a great impact on subsequent American philosophy. Though not known widely outside of academic circles, two thinkers in particular wrote passionately for re-conceiving philosophical concerns and positions along Darwinian lines, John Fiske (1842-1901) and Chauncey Wright (1830-1875). Both stressed the need to understand consciousness and morality in terms of their evolutionary development. Such a naturalistic, evolutionary approach became even more pronounced at the end of the twentieth century. It was outside of academia, however, often under the label of “Social Darwinism” that this view had even greater impact and influence, especially via the writings of Herbert Spencer (1820-1903) and William Graham Sumner (1840-1910). Both Spencer and Sumner likened societies to organisms, in a struggle for survival. Indeed, it was Spencer, not Darwin, who coined the term “survival of the fittest” to capture what he (and many others) took to be the significance of evolutionary theory. If groups within a society, and even societies themselves, are – like biological organisms – in a constant competition for survival, then a sign of their fitness is the fact that the do in fact survive, for Spencer. Such competition, indeed, is useful and good, for in the long run those that survive will have competed and won, a clear statement of their superiority. Spencer, Sumner and others, such as the industrialist Andrew Carnegie (1835-1919), argued that the social implication of the fact of such struggle for survival is that free-market capitalism is the natural economic system and the one that will ensure the greatest success for a society’s economic well-being. In Sumner’s essay, “The Man of Virtue,” he remarks that, “Every man and woman in society has one big duty. That is, to take care of his or her own self…Society, therefore, does not need any care or supervision.” Carnegie’s “The Gospel of Wealth” echoes this view: “[The law of competition] is here, we cannot evade it; no substitutes for it have been found; and while the law may be sometimes hard for the individual, it is best for the race, because it insures the survival of the fittest in every department…the law of competition [is] not only beneficial, but essential to the future progress of the race.” The emphasis on competition as the key to evolutionary thought was not shared by everyone, however. One prominent advocate of Darwin, who nevertheless argued that cooperation rather than competition was the message of evolutionary thought, was Lester Ward (1841-1913). Not only are those groups that cooperate and function together as a group more likely to survive than those that don’t, he claimed, but human history has shown that government is a natural, emergent feature of human societies, rather than, contra Sumner, a hindrance and impediment to progress.

After Transcendentalism and evolutionary philosophy, the third and by far most renowned philosophical movement in nineteenth century America was Pragmatism. Informally christened as “pragmatism” in the 1870s by one of its most famous proponents, Charles Sanders Peirce, Pragmatism is seen by most philosophers today as the classic American philosophical tradition. Not easily definable, Pragmatism is a constellation of principles, stances, and philosophical commitments, some of which are more or less salient for particular pragmatism philosophers (as will be noted below). Nevertheless, there are threads that run across and through most pragmatists. There is a strong naturalistic bent, meaning that they look for an understanding of phenomena and concepts in terms of how they arose and how they play a part in our engagement with the world. Peirce’s “pragmatic maxim” captures this stance as follows: “Consider what effects, which might conceivably have practical bearings, we conceive the object of our conception to have. Then, our conception of these effects is the whole of our conception of the object.” There is a rejection of a foundationalist view of knowledge. All knowledge claims are fallible and revisable. The flip side of such fallibility and revisibility is that no inquiry is disinterested. Beliefs are fundamentally instruments for us to cope with the contingencies of the world. In addition, there is an enunciated commitment to intersubjectivity and community. So, while rejecting the notion of any pure “givens,” of experience, pragmatists also reject any pure subjectivism or abandonment of standards or criteria of adjudication beyond the individual. Unlike the American philosophical movements that preceded Pragmatism, pragmatists wrestled with issues and concerns across the philosophical spectrum, from basic metaphysics to epistemology to all forms of axiology (ethical, political, and even aesthetic).

a. Charles Peirce

Generally acknowledged as the “Big Three” classical pragmatists are Charles Peirce, William James (1842-1910), and John Dewey (1859-1952). Peirce, a polymath by all accounts, not only coined the term “pragmatism” in the 1870s, but did ground-breaking work in semiotics (the study of signs) as well as in logic, particularly in the logic of relations. In addition, while a scientist and mathematician by trade, he wrote a considerable amount on the philosophy of science (for example, on the nature of explanation), value theory, and metaphysics, including seminal work on categories. From his early writings in the 1860s, in which he criticized Cartesian doubt and foundationalist search for indubitability, to his later works on cognition and what he termed “evolutionary cosmology,” Peirce continuously and consistently argued against forms of nominalism and in favor of realism, both in the sense that non-particulars are real (though perhaps not existent) and in the sense that our conceptions are of things independent of us. An important feature of Peirce’s pragmatism is a strident rejection of subjectivism. This comes through in his insistence that, as inquirers do not exist in isolation, beliefs are not fulfilled (as he put it, the irritation of doubt is not overcome) in isolation. Rather, it is the development of successful habit that matters and it is the verdict of the community of inquirers in the long run that matters in the determination of what settles inquiry. Just as this is not a subjectivist view of what is real or true, it is also not a “social constructivist” view, in which what is real or true is determined by what society decides. Instead, as in the model of good science, there is a community of inquirers who form a system of checks and balances for any belief, but this community of inquirers operates within a world of objects, qualities, relations, and laws.

In establishing his notion of pragmatism as a means of clarifying and determining the meaning of signs, Peirce coined his “Pragmatic Maxim,” noted above. This maxim not only points to pragmatism as a criterion of meaningfulness but also to pragmatism as a standard of truth. For Peirce, belief is not merely a cognitive state of an isolated agent, rather it encompasses an awareness of a state of affairs along with the appeasement of the irritation of doubt (or surprise) and – as genuine belief and not simply verbiage – the establishment of a habit, or rule of action. This requirement of a rule of action carries over for Peirce beyond epistemological concerns to metaphysical ones as well, particularly in his work on categories, or fundamental modes of being. Using varied terminology at different times, Peirce identified three fundamental categories of being. One category was that of Quality (or Firstness). This is the conception of being independent of anything else, such as the example of a pure tone or color. A second category was that of Brute Fact (or Secondness), that is being relative to or connected with something else. This might be a particular instance of a tone or a color sample. This is what he sometimes called the “demonstrative application” of a sign. Finally, there is Law, or Habit (or Thirdness), or mediation whereby a First and Second are brought into relation. This is the notion of regularity and representation, and as such involves a regulative as well as descriptive aspect. An example is a red light indicating the need to stop or perhaps indicating danger. Law, habit, regularity are neither reducible to the particular instances that are true of it (that is, Secondness) nor to the pure material quality of what is instantiated in those particulars (that is, Firstness). For Peirce, these three categories are all real, are all irreducible to the others, and are all involved in any form or act of inquiry. In particular, his insistence on the reality of Habit/Law was basic, as was noted above, to his advocacy of a pragmatist conception of inquiry.

b. William James

William James, known during his lifetime as much for his work in psychology as for his work in philosophy, did much more than Peirce to popularize the label and notion of pragmatism, both as a philosophical method for resolving disputes and as a theory of meaning and truth. Though James himself also argued against subjectivism and for the importance of “older truths” (that is, established facts), his writings led many others (including Peirce) to see his position as much more relativist and nominalist-leaning. James stressed the practical effects of belief and assertion, claiming that truth is a species of good (what it is ultimately good for us to believe). Much of James’s philosophical work was aimed at dissolving many of the traditional philosophical puzzles and conundrums by showing that they made no practical difference in our lives or that they rested on mistaken and fruitless assumptions. For example, the traditional metaphysical concern of the nature of substance, as a category of things underlying and separable from attributes, has led to philosophers since the time of Plato to argue back and forth without any apparent solution. For James, the only significance of such an issue is what effect on our subsequent experience is likely to occur given the adoption of some position with respect to this issue. Likewise, any stance on, say, the existence of God, will matter only if adopting a belief (for or against such existence) will shape our future experience for the better. Since beliefs are instruments for coping with the world, those beliefs that are good for us, those that indeed help us cope, are the ones that are true. Of course, the goodness and coping-value of some beliefs might be negligible as in my beliefs that Romans wore socks while in Britain. The point for James is not the level or strength of goodness, but the appropriate criterion of truth and significance. While James, then, often focused on trying to dissolve long-standing philosophical puzzles, he also offered substantive positions on many issues. He argued for what is now called a compatibalist view of free will (that human freedom is compatible with some forms of determinism) as well as against a dualist view of mind. With respect to some traditional philosophical issues, e.g., freedom vs. determinism, he advocated a particular position because he did see predictable good or bad consequences. With respect to determinism, for example, he argued that a belief in determinism leads to a feeling of fatalism and a capitulation to the status quo; hence, it is not better for us.

In metaphysics, he is still known for his view of “radical empiricism,” in which he argued that relations between objects are as real as the properties of objects. This view, he claimed, consisted in outline of a postulate, a statement of fact, and a generalized conclusion. The postulate is that the only things that shall be debatable among philosophers shall be things definable in terms drawn from experience. The statement of fact is that the relations between things are just as much matters of direct particular experience as the things themselves or their properties. For example, when one looks at a cat and a mouse, not only are those two objects (and their properties, such as their color and shape) immediate aspects of my visual experience, but so is the relation of their relative sizes; that is, it is also an aspect of my immediate visual experience that I see that the cat is larger than the mouse. Seeing the cat as being larger than the mouse is just as immediate as seeing that the cat is black and the mouse is gray. The generalized conclusion is that the parts of experience hold together from next to next by relations that are themselves parts of experience. As James puts it, the “directly apprehended universe needs, in short, no extraneous trans-empirical connective support, but possesses in its own right a concatenated or continuous structure.”

Another metaphysical commitment of James is that of pluralism, i.e., that there is no single correct description or account of the world. With his consequentialist, future-oriented pragmatist view, focusing on effective possibilities, James argued that there can be multiple warranted or “true” accounts. Not only can there be different good accounts, but different correct accounts. In holding this view, James rejects a straight correspondence view of truth (what he calls “the copy theory”) in which truth is simply a relation between a belief and a state of affairs. Rather, truth involves both a belief and facts about the world, but also other background beliefs and, indeed, future consequences. For James, then, the very distinction between a good account and a correct account is not a sharp dichotomy. This does not mean that any account is as good as any other; clearly that is false. Rather, there can be different accounts that not only make sense of present and past knowledge and experience, but lead to useful future experiences. What will determine the truth or warrantability of an account will be its consequences (e.g., are predictions based on it borne out in experience, does it promote physical and spiritual flourishing, does it survive intersubjective scrutiny?).

c. John Dewey

Born a generation after Peirce and James, and living decades past them both, John Dewey produced a body of work that reached a far greater audience than either of his predecessors. Like Peirce and James, Dewey engaged in academic philosophical writing, publishing many essays and books on metaphysics, epistemology, and value theory. Unlike Peirce and James, though, he also wrote a vast amount on social and political philosophy and very often engaged in dialogue outside of the academy. He became nationally known as an education reformer, frequently participating in public forums, and producing highly influential works such as Democracy and Education. His social and political writings, such as The Public and Its Problems, reached an audience far beyond academic philosophers. Within philosophy proper, Dewey is probably best known for his work on inquiry and logic. Stating that all inquiry is conducted by agents, and not merely by passive information processors, he emphasized the experimental and instrumental nature of human conduct. Taking inquiry to be “the controlled transformation of an indeterminate situation so as to convert the elements of the original situation into a unified whole,” Dewey argued that logic, formal rules of inference and implication, are ultimately generalizations of warranted, or warrantable, conclusions. Logic is a species of inquiry, and the latter is never disinterested or free of valuation. This emphasis on purposeful interaction between agents and environments points to Dewey’s well-known criticism of what he termed “the quest for certainty.” Too much human activity (with philosophers being primary culprits) has been a search for absolutes, whether in the area of ontology, epistemology, or ethics. This, for Dewey, is mistaken. The world is filled with contingencies and is in flux. Human inquiry should be a matter of purposeful action in response to, and ultimately in anticipation of, such contingencies and change. Intelligence is experimental and evaluative; we learn by doing, by engagement with the puzzles and problems presented by a changing environment. While there might not be eternal, absolute standards or criteria for, say, moral judgment, it is also the case that there are criteria that transcend subjective preferences, since there are facts about the contingencies and problems we face.

Constantly and consistently stressing a naturalistic account of human activity, Dewey (like James) saw human inquiry as the entertainment of hypotheses and intelligence as evaluative. Preferring to call his philosophical approaches “instrumentalist” rather than “pragmatist,” Dewey emphasized the contingent, purposive nature of human action. This “learning-by-doing” view carried over into his metaphysical commitments. For example, he frequently stressed the position that an agent can only be fully understood as one pole in a person-environment interaction, not merely as a subject bumping into a world of objects. This carried over into more immediately practical areas, such as his educational theory. Here he strongly advocated formal schooling as a means to enhance the autonomy of persons, whereby that autonomy is understood as the ability of persons to frame purposes, plans and life goals along with the skills and abilities to carry those purposes and plans and goals into effect. An education that is relevant to meaningful experiences is one that recognizes and is based on two principles: a principle of continuity (we are temporal agents and today’s experiences are part of a continuum with yesterday’s and tomorrow’s) as well as a principle of interaction (we are social beings and one’s experiences are inherently and ineliminably interwoven with the experiences of others).

Frequently critiquing and rejecting dichotomies that he saw as unfounded and unsustainable, Dewey argued often against a fact/value dichotomy. What is good (or bad) is relative to contexts and goals, but at the same time is a matter of what helps an organism cope with and flourish in the world. Drawing from a Darwinian heritage and writing as an early proponent of what is now seen as evolutionary and naturalistic ethics, Dewey growth is the only moral end. Adaptation and adjustment to different and changing environments, including social and moral environments, are the signs of appropriate action. In the interaction with one’s environments, an agent must decide among goals and choices of action, based on predicted outcomes. Appraising situations and deliberating on likely outcomes is what Dewey refers to as “valuation.” This process of valuation, for Dewey, clearly demonstrates the useless and mistaken notion of a fact/value dichotomy.

Finally, along with arguing for valuation at the level of the individual organism or person, Dewey wrote voluminously on valuation at the level of the group or community. Often speaking of democracy as a way of life, he claimed that full self-realization requires community and emphasized this self-realization in the context of individuals’ participation in social collectives. Social arrangements, in fact, are means of “creating” individuals, for Dewey, not oppressive or repressive impositions on them (at least, not by their nature; social arrangements could be oppressive and repressive, but not merely by being social). Social arrangements, far from being foreign impositions on our freedom, are both “natural” and can be enhancing of our individual freedom. Dewey fleshes out this claim by distinguishing two types of freedom: freedom of movement and freedom of intelligence. Freedom of movement is what some philosophers refer to by the expression “freedom from.” To be free in this sense means that one is free from external constraints on one’s movements. This, says Dewey, is certainly an important sense of freedom, but it is only a sense that is a means toward a more important end, which he designates as a fuller sort of freedom, namely, freedom of intelligence (or what some philosophers call “freedom to”). Simply having no (significant) external constraints on one’s movements does not lead to or entail self-realization. As he put it in The Public and Its Problems: “No man and no mind was ever emancipated merely by being left alone.” What one is free to do, what one does with that absence of constraint is a much more important sense of freedom for Dewey. He expresses this fuller sense of freedom is a variety of ways throughout his writings, e.g., it is “a sound instinct which identifies freedom with the power to frame purposes and to execute or carry into effect purposes so framed.” Freedom of movement (that is, freedom from constraints) is a necessary, but on a necessary, condition for this fuller sense of freedom. Furthermore, this freedom of intelligence results not from living in isolation of in rejecting social constraints (or, in his wording, “social controls”). In fact, social controls are quite natural and self-directed, Dewey claims. For example, he says, watch children at play. One of the first things they will do is to establish rules and parameters for play, in order to make play possible. Games involve rules, which constrain action, but at the same time make meaningful action possible. The important point here is that these rules are not only accepted, but most often self-imposed by the children at play. In addition to being natural, freedom of intelligence, which incorporates social controls, is social in its nascence. For Dewey: “Liberty is that secure release and fulfillment of personal potentialities which take place only in rich and manifold association with others; the power to be an individualized self making a distinctive contribution and enjoying in its own way the fruits of association.”

d. Other Pragmatists

Besides the “Big Three” classical pragmatists, there were many other important thinkers labeled (sometimes self-identified) as pragmatist. George Herbert Mead (1863-1931) was particularly influential during the first several decades of the twentieth century, especially in his work on the social development of the self and of language. A generation later, Clarence Irving Lewis (1883-1964) wrote several significant works in the middle third of the twentieth century on what he termed “conceptualistic pragmatism,” stressing how pragmatic grounds shape the interpretation of experience. His contemporary, Alain Locke (1885-1954), blending the thought of earlier pragmatists with that of W.E.B. DuBois (1868-1963), produced a large body of work on the social construction of identity (particularly focusing on race) and advocating cultural pluralism within the context of what he called a philosophy of “critical relativism” or “critical pragmatism.”

Another important thinker, often labeled as pragmatist, but noted more for advocating an explicit version of philosophical idealism, was Josiah Royce (1855-1916). Though there were other American idealists (e.g., G. H. Howison of the St. Louis Hegelians and Bordon Parker Bowne (1847-1910), known for his view of “personalism”), Royce is recognized as the most influential of them. Epistemologically, Royce noted that any analysis of experience shows that the fact and, indeed, very possibility of error leads to the postulation of both mind and external reality, since only minds can be in error and being in error presupposes something about which mind can be mistaken. The recognition of error presupposes a higher level of awareness, since knowing that one is in error about X presupposes that one recognize both X and what is mistaken about one’s judgment. Error, then, presupposes some form or level of veridicality. Much like the story of the blind men who come upon an elephant, each believing that part of the elephant captures the whole, the message here is that error is really partiality, that is having only partial truth. For Royce, this also pointed to the ultimate communal nature of all interpretation, as knowledge (even of one’s self) comes from signs, which in turn require some kind of comparison and finally of community. Royce extended this view, and displayed definite affinities to pragmatism, in his analysis of meaning. The meaning of an idea, he claimed, contained both an external and an internal element, much as we say that terms have both a denotation and a connotation. Ideas have external meaning in the sense that they connect up to an external world. But they have an internal meaning in the sense that they embody or express purpose. What is real, Royce claimed, is “the complete embodiment in individual form and in final fulfillment, of the internal meaning of finite ideas.” As these in turn require comparison and moving beyond partiality, they come finally to a complete and coherent absolute level of ideas, what he termed “Absolute Pragmatism.”

4. 20th Century and Recent

Much of the philosophical work of the classic pragmatists, as well as that of Royce and others, though begun in the latter half of the nineteenth century, carried over into the early decades of the twentieth century. While pragmatism continued to be a dominant movement in American philosophy in these early decades, other movements and schools of thought emerged. In the first several decades, there was a revival of common sense realism and naturalism (or, put another way, an explicit rejection of what was seen as the idealism of Royce and some aspects of pragmatism) as well as the emergence of Process Philosophy, which was directly influenced by contemporary science, especially Einsteinian relativity theory. Mid-twentieth century philosophy was heavily dominated in America by empiricism and analytic philosophy, with a strong focus on language. Finally, in the latter couple of decades there was a re-discovery and revival of pragmatism as well as the emergence of feminist and “minority” issues and concerns, of people and groups who had been marginalized and under-represented throughout the nation’s history. Some movements and schools of thought that had been prominent in Europe, such as existentialism and phenomenology, though having advocates in America, never gained significant widespread attention in American philosophy.

One of the earliest movements in twentieth century American thought was a rejection of idealism, spearheaded in large part by Royce’s own student, George Santayana (1863-1952), who saw philosophy as having unfortunately abandoned, and in the case of idealism contradicted, common sense. If we push the concept of knowledge to the point of requiring indubitability, then skepticism is the result, since nothing will satisfy this requirement. On the other hand, if knowledge is a kind of faith, much as common sense rests on untested assumptions, then we are led to a view of “animal faith,” which Santayana endorses. This return to common sense, or at least to a naturalist, realist stance was echoed by many philosophers at this time. In 1910 an essay in the Journal of Philosophy (then called the Journal of Philosophy, Psychology, and Scientific Methods), entitled, “The Program and First Platform of Six Realists,” announced a strong reaction against idealism and what were seen idealist elements in pragmatism. Among the platform planks of this program were statements that objects exist independently of mind, that ontology is logically independent of epistemology, that epistemology is not logically fundamental (that is, that things are known directly to us), that the degree of unity, consistency, or connection subsisting among entities is a matter to be empirically ascertained, etc. Given this realist stance, these philosophers then proceeded to try to produce naturalistic accounts of philosophical matters, for example, Ralph Barton Perry’s (1876-1957) General Theory of Value.

A second school of thought early in the century was known as “Process Philosophy.” Identified largely with the work of Alfred North Whitehead (1861-1947), though having other notable proponents such as Charles Hartshorne (1897-2000), process philosophy proceeded from an ontology that took events or processes as primary. Change and becoming were emphasized over permanence and being. Drawing on contemporary scientific advances, in particular the new Einsteinian worldview, Whitehead highlighted this “event ontology.” In his well-known work, The Concept of Nature, he insisted that “nature is a structure of events,” and taking the new Einsteinian four-dimensional understanding of the world, things (what he called “concresences”) are merely those streams of events “which maintain permanence of character.” This embracing of contemporary science did not entail a materialist stance for Whitehead any more than Jonathan Edwards’s embracing of the Newtonian worldview entailed materialism on his part. Rather, Whitehead distinguished between the notion of “Nature lifeless” and “Nature alive,” with the latter an acknowledgement of value and purpose being just as basic to experience as an external world of events.

Despite the presence of these two movements and the still-present influence of pragmatism, the middle half of the twentieth century was dominated in America by empiricism and analytic philosophy, with a pronounced turn toward linguistic analysis. Beginning with the powerful influence of the Logical Positivists (or Logical Empiricists), most notably Rudolf Carnap (1891-1969), academic philosophy turned in a decided way away from social and political concerns to conceptual analysis and self-reflection (that is, to the question of just what the proper role of philosophy is). Without a doubt, the most influential American philosopher during this time was Willard Van Orman Quine (1908-2000). Though Quine was critical of many aspects of Logical Positivism, indeed, one of his most renowned essays was “Two Dogmas of Empiricism,” he nevertheless shared their view that the role of philosophy was not to enlighten persons or serve social and political concerns. Saying that philosophers in the professional sense have no particular fitness for inspiration or “helping to get society on an even keel,” he argued instead that philosophy’s job is to clear away conceptual muddles and mistakes. Seeing philosophy as in large part continuous with science in the sense of trying to understand what there is and how we can then flourish in the world, he claimed that philosophy is on the abstract, theoretical end of scientific pursuits. Advocating a physicalist ontology, Quine was openly behaviorist about understanding human agency and knowledge. Criticizing the analytic/synthetic distinction and the view that there are truths independent of facts about the world, Quine strongly advocated a naturalized epistemology and naturalized ethics. Openly acknowledging an affinity with some aspects of pragmatism, Quine claimed a holistic approach to knowledge, insisting that no particular experiences occur in isolation; rather we experience a “web of belief,” with every belief or statement or experience affecting “the field as a whole,” and hence “our statements about the external world face the tribunal of sense experience not individually but only as a corporate body.” Reminiscent of Dewey, Quine asserted that while there is no fact/value dichotomy, the sciences, with their system of checks and balances, do provide the best theories and models of what there is. Besides his commitment to materialism, behaviorism, and holism, Quine urged what he called “semantic ascent,” that is, that philosophy should proceed by focusing on an analysis of language. By looking at the language we use and by framing philosophical concerns in terms of language, we can avoid fruitless philosophical disputes and faulty ontological commitments. Within academic philosophy, Quine is perhaps best known for his work in formal, mathematical logic and with his doctrine of “the indeterminacy of translation.” In his highly influential book, Word and Object, he introduced the term “gavagai.” “Gavagai” is a term uttered by a native while pointing at something in the immediate environment, something that appears to us as a rabbit. However, from that utterance, we don’t know if “gavagai” should be translated into English as “rabbit” or “undetached rabbit parts” or “rabbit time-slice” or something else. The point is that there is no givenness to the situation, no determinateness of translation. Nor is this a simple matter, as this lack of givenness and determinacy holds in all situations. There are other, pragmatic, factors that allow communication and understanding to be possible.

With this formal, often extremely technical, conceptual analysis dominating mid-century American philosophy, a return to social and political concerns did not become mainstream again until the 1970s. Such a return is often credited to the publication of John Rawls’s (1921-2002) A Theory of Justice. While other philosophers had, of course, written on these issues, it was Rawls’s book that brought these topics back into mainstream consideration among professional philosophers. Rawls argued for a position of political liberalism based on a system of procedural justice. Though his work was widely influential, it was critiqued by philosophers identified as libertarian, such as Robert Nozick (1938-2002), who saw it as too restrictive of individual liberties, as well as by communitarians, such as Alasdair MacIntyre (1929- ) who saw it as focusing too much on procedural justice and not enough on what is good for persons, who are also citizens situated in communities. Still, the revival of substantive social and political philosophy was effected. Outside of academic philosophy, these concerns had not been absent, however, but were present in the writings of social and political leaders, and in popular political philosophy, such as the writings of Ayn Rand (1905-1982) and Martin Luther King, Jr. (1929-1968).

As the century ended, there was a renewal of interest in pragmatism as a philosophical movement, with two important philosophers in particular adopting the label of pragmatist, Hilary Putnam (1926- ) and Richard Rorty (1931- ). Known throughout the philosophical world, they brought the writings and stance of classical pragmatists back into the forefront of professional philosophy, often with their critiques of each other’s works. This renewal of pragmatism, along with the revival of social and political philosophy, came at the same time, the final quarter of the century, as feminist philosophy emerged, though there had been prominent feminist thinkers in American philosophy prior to this time, e.g., Grimké and Stanton, noted earlier, as well as others, such as Charlotte Perkins Gilman (1860-1935) or even Anne Hutchinson (1591-1643). Outside of academic philosophy, the publication, in the 1960s, of Betty Friedan’s The Feminine Mystique, struck a popular nerve about the marginalization of women. Inside academic philosophy, feminist philosophers, such as Adrienne Rich (1929- ) and many others, began critiques of traditional philosophical concerns and stances. These critiques were leveled at the very roots of philosophical issues and across the board. For example, there were critiques of epistemic values such as objectivity (that is, detached, disembodied inquiry), as well as what were taken as masculine approaches to ethics and political philosophy, such as procedural over substantive justice or rights-based ethical theories. Insisting that there was not a public/private dichotomy and no value-neutral inquiry, feminists reformulated philosophical issues and concerns and redirected philosophical attention to issues of power and the social dimensions (and construction) of those very issues and concerns. This demand for pluralism in content was expanded to philosophical methods and goals, generally, and was expanded to other traditionally marginalized perspectives. By century’s end, traditional philosophical work continued in full force, for example, with a strong surge of interest in philosophy of mind, philosophy of science, etc., but was accompanied at the same time by a sharp increase in these newly-demanded foci, such as philosophy of race, philosophy of law, philosophy of power, etc.

One final note. This survey of American Philosophy clearly is all-too-brief. One difficulty with summarizing American Philosophy is what has counted as philosophy over time. Unlike European cultures, there has tended to be less of an academic class in America, hence less of a sense of professional philosophy, until, that is, the twentieth century. Even then, much of what has been taken as philosophy by most Americans has been distant from what most professional philosophers have taken as philosophy. The kind of public awareness in France and indeed Europe as a whole of, say, the death of Jean-Paul Sartre, was nowhere near matched in America by the death of Quine, though for professional philosophers the latter was at least of equal stature. Few American philosophers have had the social impact outside of academia as John Dewey. A second difficulty here is that many thinkers in American intellectual history lie outside what is today considered philosophy. Because of his intellectual lineage, Jonathan Edwards is still studied within American Philosophy, but other important American thinkers, such as Reinhold Niebuhr (1892-1971) and C. Wright Mills (1916-1962) are not. Much as other academic disciplines, philosophy in America has become professionalized. Nevertheless, professional philosophers, for example in their analysis of rights and the question of the meaningfulness of animal rights, or in their application of philosophical ethics to health care contexts, have both reflected and shaped the face of American culture.

5. References and Further Reading

There are numerous works available on particular American philosophers and specific movements or philosophical traditions in American philosophy. The references below are for books that deal widely with American Philosophy as a whole.

  • Blau, Joseph L. Men and Movements in American Philosophy. Englewood Cliffs, NJ: Prentice-Hall, 1952.
  • Borradori, Giovanna. The American Philosopher. Chicago: University of Chicago Press, 1994.
  • Cohen, Morris. American Thought. Glencoe, IL: The Free Press, 1954.
  • Fisch, Max H. (ed.). Classic American Philosophers. New York: Appelton-Century-Crofts, 1951.
  • Flower, Elizabeth and Murray G. Murphy. A History of Philosophy in American, two volumes. New York: G. P. Putnam’s Sons, 1977.
  • Hollinger, David A. and Charles Capper. The American Intellectual Tradition, two volumes. Oxford: Oxford University Press, 1989. (Second edition, 1993.)
  • Harris, Leonard. Philosophy Born of Struggle: Anthology of African American Philosophy from 1917. Dubuque, IO: Kendell/Hunt, 1983.
  • Harris, Leonard, Scott L. Pratt, and Anne S. Waters (eds.). American Philosophies. Oxford: Blackwell, 2002.
  • Kuklick, Bruce. A History of Philosophy in American, 1720-2000. Oxford: Clarendon Press, 2001.
  • Kuklick, Bruce. The Rise of American Philosophy: Cambridge, Massachusetts, 1860-1930. New Haven: Yale University Press, 1977.
  • MacKinnon, Barbara (ed.). American Philosophy: A Historical Anthology. Albany: SUNY Press, 1985.
  • Muelder, Walter G., Laurence Sears and Anne V. Schlabach (eds.). The Develolpment of American Philosophy. New York: Houghton Mifflin, 1940. (Second edition, 1960.)
  • Myers, Gerald (ed.). The Spirit of American Philosophy. New York: Capricorn Books, 1971.
  • Pratt, Scott L. Native Pragmatism. Bloomington: Indiana University Press, 2002.
  • Reck, Andrew J. The New American Philosophers. New York: Dell, 1968.
  • Reck, Andrew J. Recent American Philosophy. New York: Pantheon Books, 1964.
  • Schneider, Herbert W. A History of American Philosophy. New York: Columbia University Press, 1946.
  • Singer, Marcus G. (ed.) American Philosophy. Cambridge: Royal Institute of Philosophy, 1985.
  • Smith, John E. The Spirit of American Philosophy. New York: Oxford University Press, 1963.
  • Smith, John E. Themes in American Philosophy. New York: Harper & Row, 1970.
  • Stanlick, Nancy A. and Bruce S. Silver (eds.). Philosophy in America: Primary Readings. Upper Saddle River, NJ: Pearson Prentice Hall, 2004.
  • Stroh, Guy W. American Philosophy. Princeton: D. Van Nostrand, 1968.
  • Stuhr, John J. (ed.). Classical American Philosophy. Oxford: Oxford University Press, 1987.
  • Stuhr, John J. (ed.). Pragmatism and Classical American Philosophy, second edition. Oxford: Oxford University Press, 2000.
  • Waters, Anne S. American Indian Thought. Oxford: Blackwell, 2003.
  • West, Cornell. The American Evasion of Philosophy. Madison: University of Wisconsin Press, 1989.
  • White, Morton (ed.). Documents in the History of American Philosophy. New York: Oxford University Press, 1972.
  • White, Morton. Science and Sentiment in America. Oxford: Oxford University Press, 1972.
  • Winn, Ralph B. (ed.). American Philosophy. New York: Greenwood Press, 1968.

Author Information

David Boersema
Email: boersema@pacificu.edu
Pacific University
U. S. A.

Anaximander (c. 610—546 B.C.E.)

anaximander-160x300Anaximander was the author of the first surviving lines of Western philosophy. He speculated and argued about “the Boundless” as the origin of all that is. He also worked on the fields of what we now call geography and biology. Moreover, Anaximander was the first speculative astronomer. He originated the world-picture of the open universe, which replaced the closed universe of the celestial vault.

His work will always remain truncated, like the mutilated and decapitated statue that has been found at the market-place of Miletus and that bears his name. Nevertheless, by what we know of him, we may say that he was one of the greatest minds that ever lived. By speculating and arguing about the “Boundless” he was the first metaphysician. By drawing a map of the world he was the first geographer. But above all, by boldly speculating about the universe he broke with the ancient image of the celestial vault and became the discoverer of the Western world-picture.

Table of Contents

  1. Life and Sources
  2. The “Boundless” as Principle
  3. The Arguments Regarding the Boundless
    1. The Boundless has No Origin
    2. The Origin must be Boundless
    3. The “Long Since” Argument
  4. The Fragment
  5. The Origin of the Cosmos
  6. Astronomy
    1. Speculative Astronomy
    2. The Celestial Bodies Make Full Circles
    3. The Earth Floats Unsupported in Space
    4. Why the Earth Does Not Fall
    5. The Celestial Bodies Lie Behind One Another
    6. The Order of the Celestial Bodies
    7. The Celestial Bodies as Wheels
    8. The Distances of the Celestial Bodies
    9. A Representation of Anaximander’s Universe
  7. Map of the World
  8. Biology
  9. Conclusion
  10. References and Further Reading

1. Life and Sources

The history of written Greek philosophy starts with Anaximander of Miletus in Asia Minor, a fellow-citizen of Thales. He was the first who dared to write a treatise in prose, which has been called traditionally On Nature. This book has been lost, although it probably was available in the library of the Lyceum at the times of Aristotle and his successor Theophrastus. It is said that Apollodorus, in the second century BCE, stumbled upon a copy of it, perhaps in the famous library of Alexandria. Recently, evidence has appeared that it was part of the collection of the library of Taormina in Sicily, where a fragment of a catalogue has been found, on which Anaximander’s name can be read. Only one fragment of the book has come down to us, quoted by Simplicius (after Theophrastus), in the sixth century AD. It is perhaps the most famous and most discussed phrase in the history of philosophy.

We also know very little of Anaximander’s life. He is said to have led a mission that founded a colony called Apollonia on the coast of the Black Sea. He also probably introduced the gnomon (a perpendicular sun-dial) into Greece and erected one in Sparta. So he seems to have been a much-traveled man, which is not astonishing, as the Milesians were known to be audacious sailors. It is also reported that he displayed solemn manners and wore pompous garments. Most of the information on Anaximander comes from Aristotle and his pupil Theophrastus, whose book on the history of philosophy was used, excerpted, and quoted by many other authors, the so-called doxographers, before it was lost. Sometimes, in these texts words or expressions appear that can with some certainty be ascribed to Anaximander himself. Relatively many testimonies, approximately one third of them, have to do with astronomical and cosmological questions. Hermann Diels and Walter Kranz have edited the doxography (A) and the existing texts (B) of the Presocratic philosophers in Die Fragmente der Vorsokratiker, Berlin 1951-19526. (A quotation like “DK 12A17” means: “Diels/Kranz, Anaximander, doxographical report no.17”).

2. The “Boundless” as Principle

According to Aristotle and Theophrastus, the first Greek philosophers were looking for the “origin” or “principle” (the Greek word “archê” has both meanings) of all things. Anaximander is said to have identified it with “the Boundless” or “the Unlimited” (Greek: “apeiron,” that is, “that which has no boundaries”). Already in ancient times, it is complained that Anaximander did not explain what he meant by “the Boundless.” More recently, authors have disputed whether the Boundless should be interpreted as spatially or temporarily without limits, or perhaps as that which has no qualifications, or as that which is inexhaustible. Some scholars have even defended the meaning “that which is not experienced,” by relating the Greek word “apeiron” not to “peras” (“boundary,” “limit”), but to “perao” (“to experience,” “to apperceive”). The suggestion, however, is almost irresistible that Greek philosophy, by making the Boundless into the principle of all things, has started on a high level of abstraction. On the other hand, some have pointed out that this use of “apeiron” is atypical for Greek thought, which was occupied with limit, symmetry and harmony. The Pythagoreans placed the boundless (the “apeiron”) on the list of negative things, and for Aristotle, too, perfection became aligned with limit (Greek: “peras”), and thus “apeiron” with imperfection. Therefore, some authors suspect eastern (Iranian) influence on Anaximander’s ideas.

3. The Arguments Regarding the Boundless

It seems that Anaximander not only put forward the thesis that the Boundless is the principle, but also tried to argue for it. We might say that he was the first who made use of philosophical arguments. Anaximander’s arguments have come down to us in the disguise of Aristotelian jargon. Therefore, any reconstruction of the arguments used by the Milesian must remain conjectural. Verbatim reconstruction is of course impossible. Nevertheless, the data, provided they are handled with care, allow us to catch glimpses of what the arguments of Anaximander must have looked like. The important thing is, however, that he did not just utter apodictic statements, but also tried to give arguments. This is what makes him the first philosopher.

a. The Boundless has No Origin

Aristotle reports a curious argument, which probably goes back to Anaximander, in which it is argued that the Boundless has no origin, because it is itself the origin. We would say that it looks more like a string of associations and word-plays than like a formal argument. It runs as follows: “Everything has an origin or is an origin. The Boundless has no origin. For then it would have a limit. Moreover, it is both unborn and immortal, being a kind of origin. For that which has become has also, necessarily, an end, and there is a termination to every process of destruction” (Physics 203b6-10, DK 12A15). The Greeks were familiar with the idea of the immortal Homeric gods. Anaximander added two distinctive features to the concept of divinity: his Boundless is an impersonal something (or “nature,” the Greek word is “phusis”), and it is not only immortal but also unborn. However, perhaps not Anaximander, but Thales should be credited with this new idea. Diogenes Laërtius ascribes to Thales the aphorism: “What is the divine? That which has no origin and no end” (DK 11A1 (36)). Similar arguments, within different contexts, are used by Melissus (DK 30B2[9]) and Plato (Phaedrus 245d1-6).

b. The Origin Must be Boundless

Several sources give another argument which is somehow the other way round and answers the question of why the origin should be boundless. In Aristotle’s version, it runs like this: “(The belief that there is something Boundless stems from) the idea that only then genesis and decay will never stop, when that from which is taken what has been generated, is boundless” (Physics 203b18-20, DK 12A15, other versions in DK12A14 and 12A17). In this argument, the Boundless seems to be associated with an inexhaustible source. Obviously, it is taken for granted that “genesis and decay will never stop,” and the Boundless has to guarantee the ongoing of the process, like an ever-floating fountain.

c. The “Long Since” Argument

A third argument is relatively long and somewhat strange. It turns on one key word (in Greek: “êdê”), which is here translated with “long since.” It is reproduced by Aristotle: “Some make this (namely, that which is additional to the elements) the Boundless, but not air or water, lest the others should be destroyed by one of them, being boundless; for they are opposite to one another (the air, for instance, is cold, the water wet, and the fire hot). If any of them should be boundless, it would long since have destroyed the others; but now there is, they say, something other from which they are all generated” (Physics 204b25-29, DK 12A16).

This is not only virtually the same argument as used by Plato in his Phaedo (72a12-b5), but even more interesting is that it was used almost 2500 years later by Friedrich Nietzsche in his attempts to prove his thesis of the Eternal Recurrence: “If the world had a goal, it would have been reached. If there were for it some unintended final state, this also must have been reached. If it were at all capable of a pausing and becoming fixed, if it were capable of “being,” if in the whole course of its becoming it possessed even for a moment this capability of “being,” then again all becoming would long since have come to an end.” Nietzsche wrote these words in his notebook in 1885, but already in Die Philosophie im tragischen Zeitalter der Griechen (1873), which was not published during his lifetime, he mentioned the argument and credited Anaximander with it.

4. The Fragment

The only existing fragment of Anaximander’s book (DK 12B1) is surrounded by all kinds of questions. The ancient Greeks did not use quotation marks, so that we cannot be sure where Simplicius, who has handed down the text to us, is still paraphrasing Anaximander and where he begins to quote him. The text is cast in indirect speech, even the part which most authors agree is a real quotation. One important word of the text (“allêlois,” here translated by “upon one another”) is missing in some manuscripts. As regards the interpretation of the fragment, it is heavily disputed whether it means to refer to Anaximander’s principle, the Boundless, or not. The Greek original has relative pronouns in the plural (here rendered by “whence” and “thence”), which makes it difficult to relate them to the Boundless. However, Simplicius’ impression that it is written in rather poetic words has been repeated in several ways by many authors. Therefore, we offer a translation, in which some poetic features of the original, such as chiasmus and alliteration have been imitated:

Whence things have their origin,
Thence also their destruction happens,
As is the order of things;
For they execute the sentence upon one another
– The condemnation for the crime –
In conformity with the ordinance of Time.

In the fourth and fifth line a more fluent translation is given for what is usually rendered rather cryptic by something like “giving justice and reparation to one another for their injustice.”

We may distinguish roughly two lines of interpretation, which may be labeled the “horizontal” and the “vertical.” The horizontal interpretation holds that in the fragment nothing is said about the relation of the things to the Boundless, whereas the vertical interpretation maintains that the fragment describes the relationship of the things to the Boundless. The upholders of the horizontal interpretation usually do not deny that Anaximander taught that all things are generated from the Boundless, but they simply hold that this is not what is said in the fragment. They argue that the fragment describes the battle between the elements (or of things in general), which accounts for the origin and destruction of things. The most obvious difficulty, however, for this “horizontal” interpretation is that it implies two cycles of becoming and decay: one from and into the Boundless, and the other caused by the mutual give and take of the elements or things in general. In other words, in the “horizontal” interpretation the Boundless is superfluous. This is the strongest argument in favor of the “vertical” interpretation, which holds that the fragment refers to the Boundless, notwithstanding the plural relative pronouns. According to the “vertical” interpretation, then, the Boundless should be regarded not only as the ever-flowing fountain from which everything ultimately springs, but also as the yawning abyss (as some say, comparable with Hesiod’s “Chaos”) into which everything ultimately perishes.

The suggestion has been raised that Anaximander’s formula in the first two lines of the fragment should have been the model for Aristotle’s definition of the “principle” (Greek: “archê”) of all things in Metaphysics 983b8. There is some sense in this suggestion. For what could be more natural for Aristotle than to borrow his definition of the notion of “archê,” which he uses to indicate the principle of the first presocratic philosophers, from Anaximander, the one who introduced the notion?

It is certainly important that we possess one text from Anaximander’s book. On the other hand, we must recognize that we know hardly anything of its original context, as the rest of the book has been lost. We do not know from which part of his book it is, nor whether it is a text the author himself thought crucial or just a line that caught one reader’s attention as an example of Anaximander’s poetic writing style. The danger exists that we are tempted to use this stray text – beautiful and mysterious as it is – in order to produce all kinds of profound interpretations that are hard to verify. Perhaps a better way of understanding what Anaximander has to say is to study carefully the doxography, which goes back to people like Aristotle and Theophrastus, who probably have had Anaximander’s book before their eyes, and who tried to reformulate what they thought were its central claims.

5. The Origin of the Cosmos

The Boundless seems to have played a role in Anaximander’s account of the origin of the cosmos. Its eternal movement is said to have caused the origin of the heavens. Elsewhere, it is said that “all the heavens and the worlds within them” have sprung from “some boundless nature.” A part of this process is described in rather poetic language, full of images, which seems to be idiosyncratic for Anaximander: “a germ, pregnant with hot and cold, was separated [or: separated itself] off from the eternal, whereupon out of this germ a sphere of fire grew around the vapor that surrounds the earth, like a bark round a tree” (DK 12A10). Subsequently, the sphere of fire is said to have fallen apart into several rings, and this event was the origin of sun, moon, and stars. There are authors who have, quite anachronistically, seen here a kind of foreshadowing of the Kant-Laplace theory of the origin of the solar system. Some sources even mention innumerable worlds (in time and/or in space), which looks like a plausible consequence of the Boundless as principle. But this is presumably a later theory, incorrectly read back into Anaximander.

6. Astronomy

At first sight, the reports on Anaximander’s astronomy look rather bizarre and obscure. Some authors even think that they are so confused that we should give up trying to offer a satisfying and coherent interpretation. The only way of understanding Anaximander’s astronomical ideas, however, is to take them seriously and treat them as such, that is, as astronomical ideas. It will appear that many of the features of his universe that look strange at first sight make perfect sense on closer inspection.

a. Speculative Astronomy

The astronomy of neighboring peoples, such as the Babylonians and the Egyptians, consists mainly of observations of the rising and disappearance of celestial bodies and of their paths across the celestial vault. These observations were made with the naked eye and with the help of some simple instruments as the gnomon. The Babylonians, in particular, were rather advanced observers. Archeologists have found an abundance of cuneiform texts on astronomical observations. In contrast, there exists only one report of an observation made by Anaximander, which concerns the date on which the Pleiades set in the morning. This is no coincidence, for Anaximander’s merits do not lie in the field of observational astronomy, unlike the Babylonians and the Egyptians, but in that of speculative astronomy. We may discern three of his astronomical speculations: (1) that the celestial bodies make full circles and pass also beneath the earth, (2) that the earth floats free and unsupported in space, and (3) that the celestial bodies lie behind one another. Notwithstanding their rather primitive outlook, these three propositions, which make up the core of Anaximander’s astronomy, meant a tremendous jump forward and constitute the origin of our Western concept of the universe.

b. The Celestial Bodies Make Full Circles

The idea that the celestial bodies, in their daily course, make full circles and thus pass also beneath the earth – from Anaximander’s viewpoint – is so self-evident to us that it is hard to understand how daring its introduction was. That the celestial bodies make full circles is not something he could have observed, but a conclusion he must have drawn. We would say that this is a conclusion that lies to hand. We can see – at the northern hemisphere, like Anaximander – the stars around the Polar star making full circles, and we can also observe that the more southerly stars sometimes disappear behind the horizon. We may argue that the stars of which we see only arcs in reality also describe full circles, just like those near the Polar star. As regards the sun and moon, we can observe that the arcs they describe are sometimes bigger and sometimes smaller, and we are able to predict exactly where they will rise the next day. Therefore, it seems not too bold a conjecture to say that these celestial bodies also describe full circles. Nevertheless, it was a daring conclusion, precisely because it necessarily entailed the concept of the earth hanging free and unsupported in space.

c. The Earth Floats Unsupported in Space

Anaximander boldly asserts that the earth floats free in the center of the universe, unsupported by water, pillars, or whatever. This idea means a complete revolution in our understanding of the universe. Obviously, the earth hanging free in space is not something Anaximander could have observed. Apparently, he drew this bold conclusion from his assumption that the celestial bodies make full circles. More than 2500 years later astronauts really saw the unsupported earth floating in space and thus provided the ultimate confirmation of Anaximander’s conception. The shape of the earth, according to Anaximander, is cylindrical, like a column-drum, its diameter being three times its height. We live on top of it. Some scholars have wondered why Anaximander chose this strange shape. The strangeness disappears, however, when we realize that Anaximander thought that the earth was flat and circular, as suggested by the horizon. For one who thinks, as Anaximander did, that the earth floats unsupported in the center of the universe, the cylinder-shape lies at hand.

d. Why the Earth Does Not Fall

We may assume that Anaximander somehow had to defend his bold theory of the free-floating, unsupported earth against the obvious question of why the earth does not fall. Aristotle’s version of Anaximander’s argument runs like this: “But there are some who say that it (namely, the earth) stays where it is because of equality, such as among the ancients Anaximander. For that which is situated in the center and at equal distances from the extremes, has no inclination whatsoever to move up rather than down or sideways; and since it is impossible to move in opposite directions at the same time, it necessarily stays where it is.” (De caelo 295b10ff., DK 12A26) Many authors have pointed to the fact that this is the first known example of an argument that is based on the principle of sufficient reason (the principle that for everything which occurs there is a reason or explanation for why it occurs, and why this way rather than that).

Anaximander’s argument returns in a famous text in the Phaedo (108E4 ff.), where Plato, for the first time in history, tries to express the sphericity of the earth. Even more interesting is that the same argument, within a different context, returns with the great protagonist of the principle of sufficient reason, Leibniz. In his second letter to Clarke, he uses an example, which he ascribes to Archimedes but which reminds us strongly of Anaximander: “And therefore Archimedes (…) in his book De aequilibrio, was obliged to make use of a particular case of the great Principle of a sufficient reason. He takes it for granted that if there be a balance in which everything is alike on both sides, and if equal weights are hung on the two ends of that balance, the whole will stay at rest. This is because there is no reason why one side should weigh down, rather than the other”.

One may doubt, however, whether the argument is not fallacious. Aristotle already thought the argument to be deceiving. He ridicules it by saying that according to the same kind of argument a hair, which was subject to an even pulling power from opposing sides, would not break, and that a man, being just as hungry as thirsty, placed in between food and drink, must necessarily remain where he is and starve. To him it was the wrong argument for the right proposition. Absolute propositions concerning the non-existence of things are always in danger of becoming falsified on closer investigation. They contain a kind of subjective aspect: “as far as I know.” Several authors, however, have said that Anaximander’s argument is clear and ingenious. Already at first sight this qualification sounds strange, for the argument evidently must be wrong, as the earth is not in the center of the universe, although it certainly is not supported by anything but gravity. Nevertheless, we have to wait until Newton for a better answer to the question why the earth does not fall.

e. The Celestial Bodies Lie Behind One Another

When Anaximander looked at the heaven, he imagined, for the first time in history, space. Anaximander’s vision implied depth in the universe, that is, the idea that the celestial bodies lie behind one another. Although it sounds simple, this is a remarkable idea, because it cannot be based on direct observation. We do not see depth in the universe. The more natural and primitive idea is that of the celestial vault, a kind of dome or tent, onto which the celestial bodies are attached, all of them at the same distance, like in a planetarium. One meets this kind of conception in Homer, when he speaks of the brazen or iron heaven, which is apparently conceived of as something solid, being supported by Atlas, or by pillars.

f. The Order of the Celestial Bodies

Anaximander placed the celestial bodies in the wrong order. He thought that the stars were nearest to the earth, then followed the moon, and the sun farthest away. Some authors have wondered why Anaximander made the stars the nearest celestial bodies, for he should have noticed the occurrence of star-occultations by the moon. This is a typical anachronism, which shows that it not easy to look at the phenomena with Anaximander’s eyes. Nowadays, we know that the stars are behind the moon, and thus we speak of star-occultation when we see a star disappear behind the moon. But Anaximander had no reason at all, from his point of view, to speak of a star-occultation when he saw a star disappear when the moon was at the same place. So it is a petitio principii to say that for him occultations of stars were easy to observe. Perhaps he observed stars disappearing and appearing again, but he did not observe – could not see it as – the occultation of the star, for that interpretation did not fit his paradigm. The easiest way to understand his way of looking at it – if he observed the phenomenon at all – is that he must have thought that the brighter light of the moon outshines the much smaller light of the star for a while. Anaximander’s order of the celestial bodies is clearly that of increasing brightness. Unfortunately, the sources do not give further information of his considerations at this point.

g. The Celestial Bodies as Wheels

A peculiar feature of Anaximander’s astronomy is that the celestial bodies are said to be like chariot wheels (the Greek words for this image are presumably his own). The rims of these wheels are of opaque vapor, they are hollow, and filled with fire. This fire shines through at openings in the wheels, and this is what we see as the sun, the moon, or the stars. Sometimes, the opening of the sun wheel closes: then we observe an eclipse. The opening of the moon wheel regularly closes and opens again, which accounts for the phases of the moon. This image of the celestial bodies as huge wheels seems strange at first sight, but there is a good reason for it. There is no doxographic evidence of it, but it is quite certain that the question of why the celestial bodies do not fall upon the earth must have been as serious a problem to Anaximander as the question of why the earth does not fall. The explanation of the celestial bodies as wheels, then, provides an answer to both questions. The celestial bodies have no reason whatsoever to move otherwise than in circles around the earth, as each point on them is always as far from the earth as any other. It is because of reasons like this that for ages to come, when Anaximander’s concept of the universe had been replaced by a spherical one, the celestial bodies were thought of as somehow attached to crystalline or ethereal sphere-shells, and not as free-floating bodies.

Many authors, following Diels, make the image of the celestial wheels more difficult than is necessary. They say that the light of a celestial bodies shines through the openings of its wheel “as through the nozzle of a bellows.” This is an incorrect translation of an expression that probably goes back to Anaximander himself. The image of a bellows, somehow connected to a celestial wheel, tends to complicate rather than elucidate the meaning of the text. If we were to understand that every celestial body had such a bellows, the result would be hundreds of nozzles (or pipes), extending from the celestial wheels towards the earth. Anaximander’s intention, however, can be better understood not as an image, but as a comparison of the light of the celestial bodies with that of lightning. Lightning, according to Anaximander, is a momentary flash of light against a dark cloud. The light of a celestial body is like a permanent beam of lightning fire that originates from the opaque cloudy substance of the celestial wheel.

h. The Distances of the Celestial Bodies

The doxography gives us some figures about the dimensions of Anaximander’s universe: the sun wheel is 27 or 28 times the earth, and the moon wheel is 19 times the earth. More than a century ago, two great scholars, Paul Tannery and Hermann Diels, solved the problem of Anaximander’s numbers. They suggested that the celestial wheels were one unit thick, this unit being the diameter of the earth. The full series, they argued, had to be: 9 and 10 for the stars, 18 and 19 for the moon, and 27 and 28 for the sun. These numbers are best understood as indicating the distances of the celestial bodies to the earth. In others words, they indicate the radii of concentric circles, made by the celestial wheels, with the earth as the center. See Figure 1, a plane view of Anaximander’s universe.

anaxfig1

These numbers cannot be based on observation. In order to understand their meaning, we have to look at Hesiod’s Theogony 722-725, where it is said that a brazen anvil would take nine days to fall from heaven to earth before it arrives on the tenth day. It is not a bold guess to suppose that Anaximander knew this text. The agreement with his numbers is too close to neglect, for the numbers 9 and 10 are exactly those extrapolated for Anaximander’s star wheel. Hesiod can be seen as a forerunner to Anaximander, for he tried to imagine the distance to the heaven. In the Greek counting system Hesiod’s numbers should be taken to mean “a very long time.” Thus, Troy was conquered in the tenth year after having stood the siege for nine years; and Odysseus scoured the seas for nine years before reaching his homeland in the tenth year. We may infer that Anaximander, with his number 9 (1 x 3 x 3) for the star ring, simply was trying to say that the stars are very far away. Now the numbers 18 and 27 can easily be interpreted as “farther” (2 x 3 x 3, for the moon ring) and “farthest” (3 x 3 x 3, for the sun ring). And this is exactly what we should expect one to say, who had discovered that the image of the celestial vault was wrong but that the celestial bodies were behind one another, and who wished to share this new knowledge with his fellow citizens in a language they were able to understand.

i. A Representation of Anaximander’s Universe

Although it is not attested in the doxography, we may assume that Anaximander himself drew a map of the universe, like that in figure 1. The numbers, 9, 10, 18, etc., can easily be understood as instructions for making such a map. Although Diogenes Laërtius reports that he made a “sphere,” the drawing or construction of a three-dimensional model must be considered to have been beyond Anaximander’s abilities. On the other hand, it is quite easy to explain the movements of the celestial bodies with the help of a plan view, by making broad gestures, describing circles in the air, and indicating direction, speed, and inclination with your hands, as is said of a quarrel between Anaxagoras and Oenopides (DK 41A2).

Almost nothing of Anaximander’s opinions about the stars has been handed down to us. Probably the best way to imagine them is as a conglomerate of several wheels, each of which has one or more holes, through which the inner fire shines, which we see as stars. The most likely sum-total of these star wheels is a sphere. The only movement of these star wheels is a rotation around the earth from east to west, always at the same speed, and always at the same place relative to one another in the heaven. The sun wheel shows the same rotation from east to west as the stars, but there are two differences. The first is that the speed of the rotation of the sun wheel is not the same as that of the stars. We can see this phenomenon by observing how the sun lags behind by approximately one degree per day. The second difference is that the sun wheel as a whole changes its position in the heaven. In summer it moves towards the north along the axis of the heaven and we see a large part of it above the horizon, whereas in winter we only observe a small part of the sun wheel, as it moves towards the south. This movement of the sun wheel accounts for the seasons. The same holds mutatis mutandis for the moon. Today, we use to describe this movement of the sun (and mutatis mutandis of the moon and the planets) as a retrograde movement, from west to east, which is a counter-movement to the daily rotation from east to west. In terms of Anaximander’s ancient astronomy it is more appropriate and less anachronistic to describe it as a slower movement of the sun wheel from east to west. The result is that we see different stars in different seasons, until the sun, at the end of a year, reaches its old position between the stars.

Due to the inclination of the axis of the heaven, the celestial bodies do not circle around the earth in the same plane as the earth’s – flat – surface, but are tilted. This inclination amounts to about 38.5 degrees when measured at Delphi, the world’s navel. The earth being flat, the inclination must be the same all over its surface. This tilting of the heaven’s axis must have been one of the biggest riddles of the universe. Why is it tilted at all? Who or what is responsible for this phenomenon? And why is it tilted just the way it is? Unfortunately, the doxography on Anaximander has nothing to tell us about this problem. Later, other Presocratics like Empedocles, Diogenes of Apollonia, and Anaxagoras discuss the tilting of the heavens.

Although there exists a report that says the contrary, it is not likely that Anaximander was acquainted with the obliquity of the ecliptic, which is the yearly path of the sun along the stars. The ecliptic is a concept which belongs to the doctrine of a spherical earth within a spherical universe. A three-dimensional representation of Anaximander’s universe is given in Figures 2 and 3.

anaxfig23

7. Map of the World

Anaximander is said to have made the first map of the world. Although this map has been lost, we can imagine what it must have looked like, because Herodotus, who has seen such old maps, describes them. Anaximander’s map must have been circular, like the top of his drum-shaped earth. The river Ocean surrounded it. The Mediterranean Sea was in the middle of the map, which was divided into two halves by a line that ran through Delphi, the world’s navel. The northern half was called “Europe,” the southern half “Asia.” The habitable world (Greek: “oikoumenê”) consisted of two relatively small strips of land to the north and south of the Mediterranean Sea (containing Spain, Italy, Greece, and Asia Minor on the one side, and Egypt and Libya on the other side), together with the lands to the east of the Mediterranean Sea: Palestine, Assyria, Persia, and Arabia. The lands to the north of this small “habitable world” were the cold countries where mythical people lived. The lands to the south of it were the hot countries of the black burnt people.

8. Biology

The doxography tells us that according to Anaximander life originated from the moisture that covered the earth before it was dried up by the sun. The first animals were a kind of fish, with a thorny skin (the Greek word is the same that was used for the metaphor “the bark of a tree” in Anaximander’s cosmology). Originally, men were generated from fishes and were fed in the manner of a viviparous shark. The reason for this is said to be that the human child needs long protection in order to survive. Some authors have, rather anachronistically, seen in these scattered statements a proto-evolutionist theory.

9. Conclusion

It is no use trying to unify the information on Anaximander into one all-compassing and consistent whole. His work will always remain truncated, like the mutilated and decapitated statue that has been found at the market-place of Miletus and that bears his name. Nevertheless, by what we know of him, we may say that he was one of the greatest minds that ever lived. By speculating and arguing about the “Boundless” he was the first metaphysician. By drawing a map of the world he was the first geographer. But above all, by boldly speculating about the universe he broke with the ancient image of the celestial vault and became the discoverer of the Western world-picture.

10. References and Further Reading

  • Diels, H. and W. Kranz, Die Fragmente der Vorsokratiker. Zürich/Hildesheim 1964
    • The standard collection of the texts of and the doxography on Anaximander and the other presocratics.
  • Guthrie, W.K.C. A History of Greek Philosophy I, The Earlier Presocratics and the Pythagoreans. London/New York 1985 (Cambridge 1962)
  • Kirk, G.S., J.E. Raven, and M. Schofield, The Presocratic Philosophers, Cambridge 1995 (1957)
    • The above two works each have a good survey of Anaximander’s thoughts in the context of ancient Greek philosophy, with translations of the most important doxography.
  • Kahn, C.H. Anaximander and the Origins of Greek Cosmology. New York 1960 (Indianapolis/Cambridge 1994)
    • A classical study on Anaximander’s cosmology and his fragment, also with many translations.
  • Furley, D.J. and R.E. Allen, eds. Studies in Presocratic Philosophy, Vol. I, The Beginnings of Philosophy. New York/London 1970
    • Contains many interesting articles on Anaximander by different authors.
  • Couprie, D.L., R. Hahn, and G. Naddaf, Anaximander in Context. Albany 2003
    • A volume with three recent studies on Anaximander.
  • Kahn, C.H. “Anaximander and the Arguments Concerning the Apeiron at Physics 203b4-1.” in: Festschrift E. Kapp, Hamburg 1958, pp.19-29.
  • Stokes, M.C. “Anaximander’s Argument.” in: R.A. Shiner & J. King-Farlow, eds., New Essays on Plato and the Presocratics. 1976, pp.1-22.
    • Two articles on some of Anaximander’s arguments.
  • Dicks, D.R. “Solstices, Equinoxes, and the Presocratics,” The Journal of Hellenic Studies 86. 1966, pp.26-40
  • Kahn, C.H. “On Early Greek Astronomy.” The Journal of Hellenic Studies 90. 1970, pp.99-116
    • Two conflicting articles on Anaximander’s astronomy.
  • Furley, D.J. The Greek Cosmologists, Volume I, Cambridge 1987
  • Dicks, D.R. Early Greek Astronomy to Aristotle . Ithaca/New York 1970
    • Two good books on early Greek astronomy.
  • Bodnár, I.M. “Anaximander’s Rings,” Classical Quarterly 38. 1988, pp. 49-51
  • O’Brien, D. “Anaximander’s Measurements,” The Classical Quarterly 17. 1967, pp.423-432
    • Two articles on important details of Anaximander’s astronomy.
  • McKirahan, R. “Anaximander’s Infinite Worlds,” in A. Preus, ed., Essays in Ancient Greek Philosophy VI: Before Plato, Albany 2001, pp. 49-65
    • A recent article on ‘innumerable worlds.’
  • Heidel, W.A. The Frame of the Ancient Greek Maps. With a Discussion of the Discovery of the Sphericity of the Earth. New York 1937
    • An old but still valuable book on Anaximander’s map of the world.
  • Loenen, J.H.M.M. “Was Anaximander an Evolutionist?” Mnemosyme 4. 1954, pp.215-232
    • A discussion of Anaximander’s biology.
  • West, M.L. Early Greek Philosophy and the Orient. Oxford 1971
    • A discussion of possible Iranian influence on Anaximander.
  • Conche, M. Anaximandre. Fragments et Témoignages. Paris 1991
    • The best book in French.
  • Classen, C.J. Ansätze. Beiträge zum Verständnis der frühgriechischen Philosophie. Würzburg/Amsterdam 1986
    • The best book in German.

Author Information

Dirk L. Couprie
Email: dirkcouprie@dirkcouprie.nl
The Netherlands

Alexander Polyhistor (1st cn. B.C.E.)

Known in his own time as a prolific writer, historian and philosopher, Alexander Polyhistor’s existing writings are fragmentary and are often cited from secondary or paraphrased sources.  In addition to having recorded the geographies of ancient Greek and Roman empires and having transcribed the writings of Hellenistic Jewish scholars that would otherwise be lost, Alexander Polyhistor is recognized for his interpretation of Pythagorean doctrines, all the while not being officially recognized as a Pythagorean in written histories. Alexander’s writings on Pythagorean ideas address central doctrines: the harmony of numbers as Unity and the ideal that the mathematical world has primacy over, or can account for the existence of, the physical world.  Yet the often conflicting accounts of Pythagorean concepts of numbers and Unity, the order giving rise to each, and their relation to the concept of matter and the origin of the universe make it difficult to determine with certainty how Alexander’s interpretation complements or embodies the varied lineages of the Pythagorean thinkers. Nonetheless, Alexander Polyhistor’s attempt at reconciling these ideas is considered a concise and valuable remnant of ancient Pythagorean thought, the importance of which still occupies scholars.

The main doctrine of Old Pythagoreanism was that of numbers as the First Principles. The main difficulty of this doctrine was the impossibility of explaining how material things originated from non-material beginnings. Neo-Pythagoreanism divided into two streams; and some Pythagoreans simply didn’t put forward the concept of the number; others strived to retain original doctrine of numbers, arranging it with some teachings about matter, and thus moving toward Neo-Platonism.

Table of Contents

  1. Life
  2. Work
  3. Thought
  4. References and Further Reading

1. Life

Lucius Cornelius Alexander Polyhistor was a Greek scholar, imprisoned by the Romans in the war of Sulla against Mithridates of Pontus and brought as a slave to Rome for employment as a tutor. After Alexander’s release he lived in Italy as a Roman citizen. He had written so many books on philosophy, geography, and history, that he received the name Polyhistor. The writings of Alexander are now lost; only fragments exist, providing valuable information on antiquarian and eastern Mediterranean subjects. Alexander’s most important treatise consisted of 42 books of historical and geographical accounts of nearly all the countries of the ancient world. His other notable work is about the Jews; it reproduces in paraphrase relevant excerpts from Jewish writers, of whom otherwise nothing would be known. One of Alexander’s students was Gaius Julius Hyginus, Latin author, scholar and friend of Ovid, who was appointed by Augustus to be superintendent of the Palatine library.

2. Work

As a philosopher, Alexander Polyhistor had written Philosophers’ Successions, mentioned several times by Diogenes Laertius in his Lives and Opinions of Eminent Philosophers [hereafter ‘DL’]. Usually Diogenes used bio-bibliographical information from Alexander — on Socrates, Plato, Carneades of Cyrene, Chrysippus of Soli, Pyrrho of Elea, and others. There is also one passage about the Pythagoreans [DL, VIII, 25-36], containing several thoughts (on contradictions, fate, life, soul and its parts, perfect figures), and different curiosities (do not eat beans, do not touch a white cock, and similar). All these are of less importance.

3. Thought

Diogenes has preserved one extraordinarily interesting paraphrase of Alexander Polyhistor, concerning the Pythagorean idea of numbers as the elements of the universe:

The beginning of all is unity (monas); unity is a cause of indefinite duality as a matter; both unity and indefinite duality are sources of the numbers; the points are proceeding from numbers; the lines – from the points; from the lines are plane figures; from plane are volumetric figures; from them – sensibly acceptable solids, in which four elements are – fire, water, earth, and air; moving and changing totally, they give rise to the universe – inspired, intelligent, spherical, in the middle of which is the earth; and the earth is also spherical and inhabited from all sides. [DL, VIII, 25]

Here and elsewhere Alexander expounds Pythagorean doctrines. (It is interesting to mention that Alexander states that he found all his information in some Pythagorean notes, and an addition to these notes made by Aristotle [DL, VIII, 36]). However, straight evaluation of Alexander himself as a Pythagorean does not follow from the quote. Also, the “catalogue of the Pythagoreans” by the Neo-Platonist Iamblichus [On Pythagorean Life 267] includes 218 persons, but Alexander’s name is absent. Most likely, he was an erudite scholar, well-informed of different philosophical schools. It is proved by his nickname and his use of the genre of “successions of philosophers,” as well as references in other of Diogenes’ books, unrelated to Pythagoreanism.

The passage quoted above explains in its own way a harmonious conception of some mathematical idealism. The physical world is secondary with regard to the mathematical one. F.M. Cornford considered this information to be related to the Old Pythagoreans. He approved that the “original Pythagoreanism was monistic.” He thought that the Pythagoreans, from the very beginning, had taken unity as the first principle of all. [Classical Quarterly, XXVII, 1933, p.104] This seems to be in correspondence with the beginning of the fifth chapter of the first book (A) of Aristotle’s Metaphysics:

Contemporaneously with these philosophers, and even earlier, the so-called Pythagoreans, who were the first to take up mathematics, not only advanced this study, but also having been brought up in it, they thought its principles were the principles of everything. Since of these principles numbers are by nature the first, and in numbers they seemed to see many resemblances to the things that exist and come into being – more than in fire and earth and water … since, again, they saw that the properties and the ratios of the musical scales were expressible in numbers; – since, then, all other things seemed in their whole nature to be modeled on numbers, and numbers seemed to be the ultimate things in the whole of nature, they supposed the elements of numbers to be the elements of everything, and the whole universe to be a harmony (or proportion) and a number. [985b-986a]

Aristotle’s explanation seems to contain some difficult inconsistency. It is not one and the same to say that individual things “are numbers,” or the whole cosmos to be a number — because of difference between the singularities and the universals. Further, different sources sometimes ascribe to Pythagoreans the idea that things “are numbers,” or sometimes that they are “like numbers.” Furthermore, it is not so difficult to admit geometric figures or musical scales depending on numbers; more difficult is to imagine, for example, a fire made of numbers; and it is almost incomprehensible, how justice (say) “was four.” Indeed, the very Pythagorean doctrine of numbers was full of contradictions. Were really “all things” (everything) numbers — or only some of them? Were the things really numbers, or “like numbers?” Were the numbers elements of the things, or “the elements of numbers to be the elements of everything?” Were the things “made of numbers,” or “to be modeled on numbers,” i.e. they were made “according to numbers?” It is not so easy to reconcile such discrepancy of ill-assorted opinions.

We have still to consider a view, also attributed to Pythagoreans, that the First Principle (arkhe) is Unity (monas): “The beginning of all is unity…” [DL, VIII, 25]. Late Pythagoreans erected altars and temples for the Unity (i.e. One), and worshipped it as God. They deified Unity, rather than numbers. A reason is that the numbers themselves consist of, or originated from the units. But in what sense did the Pythagoreans speak of the Unity as the First Principle — as a unity of singular things? or hidden unity, being the basis of everything? or the unity of opposites? and if so, then either opposite philosophical categories (finite and infinite, one and many, rest and motion, etc.), or opposing characteristics and qualities of singular things (as, for example, white-black, sweet-bitter, and similar)? As we can see, the Pythagorean concept of the Unity is no clearer than their doctrine of numbers.

So, what was the First Principle? Was it the Number, or the Unity? It is hard to see how the Pythagoreans could reconcile the two. If the Number was the beginning of all, then we must regard the numbers as resulting from the units; and, then, the Universe originated from the Unity, rather than numbers. Even we could exclude numbers at all, because any thing is some entire wholeness and a unit (not “two”, or “three”, or “number”). Then, we have to consider the numbers as secondary qualities or external characteristics of things, proceeding from the Unity.

However, Pythagorean teaching of the Unity also maintains a contradiction — between really existing things and some underlying, invisible and ‘mystical’ Unity. So, singular things, gathered together, become not a unity, but a plurality. If we want to dig anything out of the depth of things, why was it unity, rather than duality (say), or plurality again? Consequently, we accept a unity of singular, finite, separate things in themselves (as “units”) — but we couldn’t realize their unity as One (monas). Thus, the Pythagorean principle of the Unity is inconsistent with the doctrine that things are numbers.

There is no doubt, however, that the Pythagoreans asserted that “things were like numbers”, and this was the original doctrine, going back to Pythagoras himself. Valuable comments are to be found in W.K.C. Guthrie:

The earlier of them (i.e. the Pythagoreans) maintained, that the “things were numbers.” To demonstrate it they said: “Look! 1 is a point, 2 a line, 3 a surface, and 4 a solid. Thus you have solid bodies generated from numbers.” We may call this an unwarrantable and indeed incomprehensible leap from the abstract intellectual conceptions of mathematics to the solid realities of nature. The pyramid, which they have made of the number 4, is not a pyramid of stone or wood, but non-material, a mere concept of the mind. Aristotle was already too far removed from their mentality to understand it, and complained that they “made weightless entities the elements of entities which had weight.” [Guthrie 1960, pp.14-15. Cf. Aristotle, Metaphysics 1090a32-34]

Consequently, the above question — whether Pythagoreans acknowledged as the First Principle the Number, or the Unity — we also have to reconcile with matter. To understand the origin of the Universe, it is necessary to explain how material things proceeded either from (non-material) Number, or from (non-material) Unity, or how “entities which had weight” originated from “weightless entities.” It was an irresolvable yet important problem for the whole Ancient philosophy. The outstanding importance and exclusive difficulties of this problem were stressed in Aristotle’s criticism of theory of ideas and numbers as independent entities and first principles of the things (in books 13 and 14 of Metaphysics). The final conclusion is that that to explain the origin of numbers is tortuous, and it is impossible here to make ends meet; thus, it gives evidence of impossibility — in spite of Pythagorean statements — to separate mathematical objects from sensibly acceptable things, and that they are not the First Principles of these things. [Metaphysics 1093b25f.]

Perhaps a suitable historical approach to the question is the one proposed by the famous Russian philosopher Alexey Losev, in his Ancient Cosmos and Contemporary Science:

As it is known, the Neo-Pythagoreanism developed into two different directions: the first didn’t put forward the concept of the number (Timaeus Locrus, Ocellos, Pseudo-Architos); the second proceeded from the philosophy of number — here are the Pythagoreans Alexander Polyhistor, and also Moderatus, Nichomachos, Numenius and some others. The study of this second direction in the Neo-Pythagoreanism is especially important for understanding of Plotinus’ (say, Neo-Platonic) teaching of matter. [Losev 1993, p. 464]

Thus, the main doctrine of Old Pythagoreanism was that of numbers as the First Principles. The main difficulty of this doctrine was the impossibility of explaining how material things originated from non-material beginnings. Neo-Pythagoreanism divided into two streams; and some Pythagoreans simply didn’t put forward the concept of the number; others strived to retain original doctrine of numbers, arranging it with some teachings about matter, and thus moving toward Neo-Platonism.

At last, we could consider the fragment of Polyhistor (quoted above) as a quite successful attempt to reconcile Pythagorean concepts of the unity, their doctrine of numbers as the beginning of all things, and simultaneously to include matter in the Pythagorean explanation of the origin of the sensibly acceptable world. It was a great deed, even more amazing with regard to the fact that we haven’t sufficient grounds to consider Alexander Polyhistor himself exactly as Pythagorean. In the same time, by his felicitous reconciliation of main Pythagorean ideas — just in one paraphrase — Polyhistor provided us with some integrated philosophical account of  Pythagoreanism from a doctrinal perspective, and perhaps he is, for this reason, a better Pythagorean than Pythagoras himself. Generally speaking, from what we know of Polyhistor’s ideas, we could gather that this “unknown philosopher” was an outstanding historian of philosophy, and an important thinker of his era, somewhat along the lines of Posidonius. Indeed, the almost absolute loss of his writings is one of the irrecoverable and unbearable tragedies of the history of philosophy!

4. References and Further Reading

  • Guthrie, W.K.C. The Greek Philosophers: From Thales to Aristotle (New York: Evanston 1960)
  • Losev, A.F. Ancient Cosmos and Contemporary Science in Being – Name – Cosmos (Moscow: Thought 1993 – published in Russian)

Author Information

Oleg Romanov
Email: roleg@ssu.samara.ru
Rumania

Theodor Adorno (1903—1969)

Photo by Jeremy J. ShapiroTheodor Adorno was one of the foremost continental philosophers of the twentieth century. Although he wrote on a wide range of subjects, his fundamental concern was human suffering—especially modern societies’ effects upon the human condition. He was influenced most notably by Hegel, Marx, and Nietzsche. He was associated with The Institute for Social Research, in the Frankfurt School, which was a social science and cultural intellectual hub for promoting socialism and overthrowing capitalism. It was responsible for the creation of the philosophical form called critical theory, which takes the stand that oppression is created through politics, economics, culture, and materialism, but is maintained most significantly through consciousness. Therefore the focus of action must come from consciousness. The Institute of Social Research deviated from orthodox Marxism in its argument that social and cultural factors played as important a role as economics in oppression.

Adorno made many contributions to critical theory, notably his view that reason had become entangled with domination and suffering. Adorno coined the tern ‘identity thinking’ to describe the process of categorical thought in modern society, by which everything becomes an example of an abstract, and thus nothing individual in its actual specific uniqueness is allowed to exist. He lamented that the human race had gone from understanding the world through myth to understanding it through scientific reasoning, but that this latter ‘enlightenment’ was the same as understanding the world through myth. Both modes create a viewpoint that the subjective must conform to an outside world to which it has no control. Within this argument, Adorno saw morality as being stuck within this powerless subjective: in a world that values only recognizable facts, morality becomes nihilistic, a mere prejudice of individual subjectivity. Adorno is also known for his critique of the ‘the culture industry.’ He felt that the entertainment industry of modern society is just as mechanical, formulaic, and dominating as the workplace. He argued that humans in modern society are programmed at work and in their leisure, and though they seek to escape the monotony of their workplace, they are merely changing to another piece of the machine – from producer to consumer. There is no chance of becoming free individuals who can take part in the creation of society, whether at work or play.

Table of Contents

  1. Biography
  2. Philosophical Influences and Motivation
  3. Identity Thinking and Instrumental Reason
  4. Morality and Nihilism
  5. The Culture Industry
  6. Conclusion and General Criticisms
  7. References and Further Reading

1. Biography

Theodor Wiesengrund Adorno was born in 1903 to relatively affluent parents in central Germany. His mother was a gifted singer, of Italian descent, and his father was a Jewish wine merchant. Adorno’s partial Jewish status was to have an immeasurable effect upon his life and philosophical works. He was an academically and musically gifted child. Initially, it appeared that Adorno was destined for a musical career. During the early to mid 1920s Adorno studied music composition under Alban Berg in Vienna and his talent was recognized by the likes of Berg and Schoenberg. However, in the late 1920s, Adorno joined the faculty of the University of Frankfurt and devoted the greatest part of his considerable talent and energy to the study and teaching of philosophy. Adorno’s Jewish heritage forced him to eventually seek exile from Nazi Germany, initially registering as a doctoral student at Merton College, Oxford and then, as a member of the University of Frankfurt’s Institute for Social Research, in New York concluding his exile in Southern California. Adorno did not complete his Oxford doctorate and appeared to be persistently unhappy in his exilic condition. Along with other members of the Institute for Social Research, Adorno returned to the University of Frankfurt immediately after the completion of the war, taking up a professorial chair in philosophy and sociology. Adorno remained a professor at the University of Frankfurt until his death in 1969. He was married to Gretel and they had no children.

2. Philosophical Influences and Motivation

Adorno is generally recognized within the Continental tradition of philosophy as being one of the foremost philosophers of the 20th Century. His collected works comprise some twenty-three volumes. He wrote on subjects ranging from musicology  to metaphysics and his writings span to include such things as philosophical analyses of Hegelian metaphysics, a critical study of the astrology column of the Los Angeles Times, and jazz. In terms of both style and content, Adorno’s writings defy convention. In seeking to attain a clear understanding of the works of any philosopher, one should begin by asking oneself what motivated his or her philosophical labors. What was Adorno attempting to achieve through his philosophical writings? Adorno’s philosophy is fundamentally concerned with human suffering. It is founded upon a central moral conviction: that the development of human civilization has been achieved through the systematic repression of nature and the consolidation of insidiously oppressive social and political systems, to which we are all exposed. The shadow of human suffering falls across practically all of Adorno’s writings. Adorno considered his principal task to be that of testifying to the persistence of such conditions and thereby, at best, retaining the possibility that such conditions might be changed for the better. The central tension in Adorno’s diagnosis of what he termed ‘damaged life’ consists in the unrelentingly critical character of his evaluation of the effects of modern societies upon their inhabitants, coupled with a tentative, but absolutely essential, commitment to a belief in the possibility of the elimination of unnecessary suffering. As in the work of all genuine forms of critical philosophy, Adorno’s otherwise very bleak diagnosis of modernity is necessarily grounded within a tentative hope for a better world.

Adorno’s philosophy is typically considered to have been most influenced by the works of three previous German philosophers: Hegel, Marx, and Nietzsche. In addition, his association with the Institute of Social Research profoundly affected the development of Adorno’s thought. I shall begin by discussing this last, before briefly summarizing the influence of the first three.

The Institute for Social Research was established at the University of Frankfurt in 1923. The Institute, or the ‘Frankfurt School’, as it was later to become known, was an inter-disciplinary body comprising specialists in such fields as philosophy, economics, political science, legal theory, psychoanalysis, and the study of cultural phenomena such as music, film, and mass entertainment. The establishment of The Frankfurt School was financed by the son of a wealthy grain merchant who wished to create a western European equivalent to the Marx-Engels Institute in Moscow. The Intellectual labor of the Institute in Frankfurt thus explicitly aimed at contributing to the overthrow of capitalism and the establishment of socialism.

However, from 1930 onwards, under the Directorship of Max Horkheimer, the work of the Frankfurt School began to show subtle but highly significant deviations from orthodox Marxism. Principally, the School began to question, and ultimately reject, the strict economic determinism to which orthodox Marxism was enthralled at the time. This coincided with a firm belief amongst the members of the School that social phenomena, such as culture, mass entertainment, education, and the family played a direct role in maintaining oppression. Marxists had typically dismissed the importance of such phenomena on the grounds that they were mere reflections of the underlying economic basis of the capitalist mode of production. An undue concern for such phenomena was thus generally thought of as, at best, a distraction from the real task of overthrowing capitalism, at worst a veritable hindrance. In contrast, the Frankfurt School argued that such phenomena were fundamentally important, in their own right. The Frankfurt School thus challenged the economically-centric character of Marxism. The Frankfurt School’s rejection of economic determinism and interest in the social and cultural planes of human oppression culminated in a far more circumspect appraisal of the likelihood of capitalism’s demise. The Frankfurt School rejected the Marx’s belief in the economic inevitability of capitalism experiencing cataclysmic economic crises. The Frankfurt School continued to argue that capitalism remained an oppressive system, but increasingly viewed the system as far more adaptable and robust than Marxists had given it credit for. The Frankfurt School came to portray capitalism as potentially capable of averting its own demise indefinitely. The final break with orthodox Marxism occurred with the Frankfurt School’s coming to condemn the Soviet Union as a politically oppressive system. Politically the Frankfurt School sought to position itself equidistant from both Soviet socialism and liberal capitalism. The greater cause of human emancipation appeared to call for the relentless criticism of both systems.

The Frankfurt School’s contribution to the cause of human emancipation consisted in the production of primarily theoretical studies of social and cultural phenomena. This brand of theoretical study is generally referred to as ‘critical theory’. Although originating with the Frankfurt School, critical theory has now achieved the status of a distinct and separate form of philosophical study, taught and practiced in university departments throughout the world. What, then, are the central philosophical characteristics of critical theory and to what extent does Adorno’s philosophy share these characteristics? Critical theory is founded upon an unequivocal normative basis. Taking a cold, hard look at the sheer scale of human misery and suffering experienced during the 20th century in particular, critical theory aims to testify to the extent and ultimate causes of the calamitous state of human affairs. The ultimate causes of such suffering are, of course, to be located in the material, political, economic, and social conditions which human beings simultaneously both produce and are exposed to. However, critical theory refrains from engaging in any direct, political action. Rather, critical theorists argue that suffering and domination are maintained, to a significant degree, at the level of consciousness and the various cultural institutions and phenomena that sustain that consciousness. Critical theory restricts itself to engaging with such phenomena and aims to show the extent to which ‘uncritical theory’ contributes to the perpetuation of human suffering. Critical theory has thus been defined as ‘a tradition of social thought that, in part at least, takes its cue from its opposition to the wrongs and ills of modern societies on the one hand, and the forms of theorizing that simply go along with or seek to legitimate those societies on the other hand.’ (J.M.Bernstein, 1995:11)

Max Horkheimer, the Director of the Frankfurt School, contrasted critical theory with what he referred to as ‘traditional theory’. For Horkheimer the paradigm of traditional theory consisted in those forms of social science that modeled themselves upon the methodologies of natural science. Such ‘positivistic’ forms of social science attempted to address and account for human and social phenomena in terms analogous to the natural scientist’s study of material nature. Thus, legitimate knowledge of social reality was considered to be attainable through the application of objective forms of data gathering, yielding, ultimately, quantifiable data. A strict adherence to such a positivist methodology entailed the exclusion or rejection of any phenomena not amenable to such procedures. Ironically, a strict concern for acquiring purely objective knowledge of human social action ran the very real risk of excluding from view certain aspects or features of the object under study. Horkheimer criticized positivism on two grounds. First, that it falsely represented human social action. Second, that the representation of social reality produced by positivism was politically conservative, helping to support the status quo, rather than challenging it. The first criticism consisted of the argument that positivism systematically failed to appreciate the extent to which the so-called social facts it yielded did not exist ‘out there’, so to speak, but were themselves mediated by socially and historically mediated human consciousness. Positivism ignored the role of the ‘observer’ in the constitution of social reality and thereby failed to consider the historical and social conditions affecting the representation of social facts. Positivism falsely represented the object of study by reifying social reality as existing objectively and independently of those whose action and labor actually produced those conditions. Horkheimer argued, in contrast, that critical theory possessed a reflexive element lacking in the positivistic traditional theory. Critical theory attempted to penetrate the veil of reification so as to accurately determine the extent to which the social reality represented by traditional theory was partial and, in important respects, false. False precisely because of traditional theory’s failure to discern the inherently social and historical character of social reality. Horkheimer expressed this point thus: “the facts which our senses present to us are socially preformed in two ways: through the historical character of the object perceived and through the historical character of the perceiving organ. Both are not simply natural; they are shaped by human activity, and yet the individual perceives himself as receptive and passive in the act of perception.” Horkheimer’s emphasis upon the detrimental consequences of the representational fallacies of positivism for the individual is at the heart of his second fundamental criticism of traditional theory. Horkheimer argues that traditional theory is politically conservative in two respects. First, traditional theory falsely ‘naturalizes’ contingent social reality, thereby obscuring the extent to which social reality emanates not from nature, but from the relationship between human action and nature. This has the effect of circumscribing a general awareness of the possibility of change. Individuals come to see themselves as generally confronted by an immutable and intransigent social world, to which they must adapt and conform if they wish to survive. Second, and following on from this, conceiving of reality in these terms serves to unduly pacify individuals. Individuals come to conceive of themselves as relatively passive recipients of the social reality, falsely imbued with naturalistic characteristics, that confronts them. We come to conceive of the potential exercise of our individual and collective will as decisively limited by existing conditions, as we find them, so to speak. The status quo is falsely perceived as a reflection of some natural, inevitable order.

Adorno was a leading member of the Frankfurt School. His writings are widely considered as having made a highly significant contribution to the development of critical theory. Adorno unequivocally shared the moral commitment of critical theory. He also remained deeply suspicious of positivistic social science and directed a large part of his intellectual interests to a critical analysis of the philosophical basis of this approach. He shared the Frankfurt School’s general stance in respect of orthodox Marxism and economic determinism, in particular. Adorno persistently criticized any and all philosophical perspectives which posited the existence of some ahistorical and immutable basis to social reality. He thus shared Horkheimer’s criticisms of any and all attempts at ‘naturalizing’ social reality. However, Adorno ultimately proceeded to explicate an account of the entwinement of reason and domination that was to have a profound effect upon the future development of critical theory. In stark contrast to the philosophical convention which counter-posed reason and domination, whereby the latter is to be confronted with and dissolved by the application of reason so as to achieve enlightenment, Adorno was to argue that reason itself had become entangled with domination. Reason had become a tool and device for domination and suffering. This led Adorno to reassess the prospects for overcoming domination and suffering. Put simply, Adorno was far more sanguine in respect of the prospects for realizing critical theory’s aims than other members of the Frankfurt School. Adorno was perhaps the most despairing of the Frankfurt School intellectuals.

The Frankfurt School provided Adorno with an intellectual ‘home’ in which to work. The development of Adorno’s thought was to have a profound effect upon the future development of critical theory. Adorno’s philosophy itself owed much to the works of Hegel, Marx, and Nietzsche. The greater part of Adorno’s thought, his account of reason, his understanding of the role of consciousness in the constitution of reality, and his vision of domination and human suffering are all imbued with the thought of these earlier philosophers. Adorno’s philosophy consists, in large part, of a dialogue with these philosophers and their particular, and very different, visions of the formation and deformation of social reality. I shall briefly consider each in turn.

Hegel’s philosophy is notoriously abstruse and difficult to fully understand. There are aspects of Hegel’s thought which Adorno consistently criticized and rejected. However, what Adorno did take from Hegel, amongst other things, was a recognition that philosophy was located within particular socio-historical conditions. The objects of philosophical study and, indeed, the very exercise of philosophy itself, were social and historical phenomena. The object of philosophy was not the discovery of timeless, immutable truths, but rather to provide interpretations of a socially constituted reality. Hegel was also to insist that understanding human behavior was only possible through engaging with the distinct socio-historical conditions, of which human beings were themselves a part. In stark contrast to Immanuel Kant’s conception of the self-constituting character of human consciousness, Hegel argued that human consciousness was mediated by the socio-historical conditions of specific individuals. Further, Hegel argued that the development of each individual’s self-consciousness could only proceed through relations with other individuals: attaining a consciousness of oneself entailed the existence of others. No one single human being was capable of achieving self-consciousness and exercising reason by herself. Finally, Hegel also argued that the constitution of social reality proceeded through subjects’ relationship with the ‘objective’, material realm. In stark contrast to positivism, an Hegelian inspired understanding of social reality accorded a necessary and thoroughly active role to the subject. Hegel draws our attention to our own role in producing the objective reality with which positivists confront us. Adorno was in basic agreement with all of the above aspects of Hegel’s philosophy. A recognition of philosophy as a socio-historical phenomenon and an acceptance of the socio-historical conditions of human consciousness remained central to Adorno’s thought.

However, Adorno differed from Hegel most unequivocally on one particularly fundamental point. Hegel notoriously posited the existence of some ultimately constitutive ground of human reality, in the metaphysical form ‘Geist’, or ‘Spirit’. Hegel ultimately viewed reality as a manifestation of some a priori form of consciousness, analogous to a god. In conceiving of material reality as emanating from consciousness, Hegel was expounding a form of philosophical Idealism. Adorno would never accept this aspect of Hegel’s thought. Adorno consistently argued that any such recourse to some a priori, ultimately ahistorical basis to reality was itself best seen as conditioned by material forces and conditions. For Adorno, the abstractness of such philosophical arguments actually revealed the unduly abstract character of specific social conditions. Adorno could thereby criticize Hegel for not according enough importance to the constitutive character of distinct social and historical conditions.

Such criticisms reveal the influence of Karl Marx’s thought upon the development of Adorno’s thought. Marx has famously been described as standing Hegel on his head. Where Hegel ultimately viewed consciousness as determining the form and content of material conditions, Marx argued that material conditions ultimately determined, or fundamentally conditioned, human consciousness. For Marx, the ultimate grounds of social reality and the forms of human consciousness required for the maintenance of this reality were economic conditions. Marx argued that, within capitalist societies, human suffering and domination originated in the economic relations characteristic of capitalism. Put simply, Marx argued that those who produced economic wealth, the proletariat, were alienated from the fruits of their labor as a result of having to sell their labor to those who controlled the forces of production: those who owned the factories and the like, the bourgeoisie. The disproportionate wealth and power of the bourgeoisie resulted from the extraction of an economic surplus from the product of the proletariat’s labor, in the form of profit. Those who owned the most, thus did the least to attain that wealth, whereas those who had the least, did the most. Capitalism was thus considered to be fundamentally based upon structural inequality and entailed one class of people treating another class as mere instruments of their own will. Under capitalism, Marx argued, human beings could never achieve their full, creative potential as a result of being bound to fundamentally alienating, dehumanizing forms of economic production. Capitalism ultimately reduces everyone, bourgeoisie and proletariat alike, to mere appendages of the machine.

Adorno shared Marx’s view of capitalism as a fundamentally dehumanizing system. Adorno’s commitment to Marxism caused him, for example, to retain a lifelong suspicion of those accounts of liberalism founded upon abstract notions of formal equality and the prioritization of economic and property rights. Adorno’s account of domination was thus deeply indebted to Marx’s account of domination. In addition, in numerous articles and larger works, Adorno was to lay great stress on Marx’s specific understanding of capitalism and the predominance of exchange value as the key determinant of worth in capitalist societies. As will be shown later, the concept of exchange value was central to Adorno’s analysis of culture and entertainment in capitalist societies. Marx’s account of capitalism enabled critical theory and Adorno to go beyond a mere assertion of the social grounds of reality and the constitutive role of the subject in the production of that reality. Adorno was not simply arguing that all human phenomena were socially determined. Rather, he was arguing that an awareness of the extent of domination required both an appreciation of the social basis of human life coupled with the ability to qualitatively distinguish between various social formations in respect of the degree of human suffering prerequisite for their maintenance. To a significant degree, Marx’s account of capitalism provided Adorno with the means for achieving this. However, as I argued above, Adorno shared the Frankfurt School’s suspicions of the more economically determinist aspects of Marx’s thought. Beyond even this, Adorno’s account of reason and domination ultimately drew upon philosophical sources that were distinctly non-Marxian in character.

Foremost amongst these were the writings of Friedrich Nietzsche. Of all the critical theorists, the writings of Nietzsche have exerted the most influence upon Adorno in two principal respects. First, Adorno basically shared the importance which Nietzsche attributed to the autonomous individual. However, Nietzsche’s account of the autonomous individual differs in several highly important respects from that typically associated with the rationalist tradition, within which the concept of the autonomous individual occupied a central place. In contrast to those philosophers, such as Kant, who tended to characterize autonomy in terms of the individual gaining a systematic control over her desires and acting in accordance with formal, potentially universalizable rules and procedures, Nietzsche placed far greater importance upon spontaneous, creative human action as constituting the pinnacle of human possibility. Nietzsche considered the ‘rule-bound’ account of autonomy to be little more than a form of self-imposed heteronomy. For Nietzsche, reason exercised in this fashion amounted to a form of self-domination. One might say that Nietzsche espoused an account of individual autonomy as aesthetic self-creation. Being autonomous entailed treating one’s life as a potential work of art. This account of autonomy exercised an important and consistent influence upon Adorno’s own understanding of autonomy. Furthermore, Adorno’s concern for the autonomous individual was absolutely central to his moral and political philosophy.

Adorno argued that a large part of what was so morally wrong with complex, capitalist societies consisted in the extent to which, despite their professed individualist ideology, these societies actually frustrated and thwarted individuals’ exercise of autonomy. Adorno argued, along with other intellectuals of that period, that capitalist society was a mass, consumer society, within which individuals were categorized, subsumed, and governed by highly restrictive social, economic and, political structures that had little interest in specific individuals. For Adorno, the majority of peoples’ lives were lead within mass, collective entities and structures, from school to the workplace and beyond. Being a true individual, in the broadly Nietzschean sense of that term, was considered to be nigh on impossible under these conditions.

In addition to this aspect of Nietzsche’s influence upon Adorno, the specific understanding which Adorno developed in respect of the relationship between reason and domination owed much to Nietzsche. Nietzsche refused to endorse any account of reason as a thoroughly benign, or even disinterested force. Nietzsche argued that the development and deployment of reason was driven by power. Above all else, Nietzsche conceived of reason as a principal means of domination; a tool for dominating nature and others. Nietzsche vehemently criticized any and all non-adversarial accounts of reason. On this reading, reason is a symptom of, and tool for, domination and hence not a means for overcoming or remedying domination. Adorno came to share some essential features of this basically instrumentalist account of reason. The book he wrote with Max Horkheimer, Dialectic of Enlightenment, which is a foremost text of critical theory, grapples with precisely this account of reason. However, Adorno refrained from simply taking over Nietzsche’s account in its entirety. Most importantly, Adorno basically shared Nietzsche’s account of the instrumentalization of reason. However Adorno insisted against Nietzsche that the transformation of reason was less an expression of human nature and more a consequence of contingent social conditions which might, conceivably, be changed. Where Nietzsche saw domination as an essential feature of human society, Adorno argued that domination was contingent and potentially capable of being overcome. Obviously, letting go of this particular aspiration would be intellectually cataclysmic to the emancipatory aims of critical theory. Adorno uses Nietzsche in an attempt to bolster, not undermine, critical theory.

Adorno considered philosophy to be a social and historical exercise, bound by both the past and existing traditions and conditions. Hence, it would be fair to say that many philosophical streams run into the river of Adorno’s own writings. However, the works of Hegel, Marx, and Nietzsche exercised a profound and lasting influence upon the form and content of Adorno’s work. It is now time to move on and engage with certain key aspects of Adorno’s philosophical writings. I shall focus upon three aspects of Adorno’s writings so as to provide a clear summary of the scope and substance of Adorno’s philosophy: his understanding of reason and what he termed ‘identity thinking’; his moral philosophy and discussion of nihilism; and finally, his analysis of culture and its effects upon capitalist societies.

3. Identity Thinking and Instrumental Reason

Adorno unequivocally rejected the view that philosophy and the exercise of reason afforded access to a realm of pristine thoughts and reality. In stark contrast to those rationalists such as Plato, who posited the existence of an ultimate realm of reality and truth underlying the manifest world, Adorno argued that philosophical concepts actually expressed the social structures within which they were found. Adorno consistently argued that there is no such thing as pure thought: thinking is a socio-historical form of activity. Hence, Adorno argued that there did not exist a single standpoint from which ‘truth’ could be universally discerned. To many this may sound like mere philosophical relativism: the doctrine which claims that all criteria of truth are socially and historically relative and contingent. However, the charge of relativism has rarely been leveled at Adorno’s work. Relativists are typically accused of espousing a largely uncritical form of theorizing. A belief in the social contingency of truth criteria appears to exclude the possibility of criticizing social practices and beliefs by recourse to practices and beliefs alien to that society. Further, their commitment to the notion of contingency has frequently resulted in philosophical relativists being accused of unduly affirming the legitimacy claims of any given social practice or belief without subjecting them to a sufficiently critical scrutiny. No such criticisms have been made of Adorno’s work. Adorno’s analysis of philosophical concepts aims to uncover the extent to which such concepts are predicated upon, and manifestations of, relations of power and domination.

Adorno coined the term ‘identity thinking’ to refer to that form of thinking which is the most expressive philosophical manifestation of power and domination. Drawing a contrast between his own form of dialectical thinking and identity thinking, Adorno wrote that “dialectics seek to say what something is, while ‘identarian’ thinking says what something comes under, what it exemplifies or represents, and what, accordingly, it is not itself.” (1990:149). A perfect example of identity thinking would be those forms of reasoning found within bureaucracies where individual human beings are assembled within different classes or categories. The bureaucracy can thus only be said to ‘know’ any specific individual as an exemplar of the wider category to which that individual has been assigned. The sheer, unique specificity of the individual in question is thereby lost to view. One is liable to being treated as a number, and not as a unique person. Thus, Adorno condemns identity thinking as systematically and necessarily misrepresenting reality by means of the subsumption of specific phenomena under general, more abstract classificatory headings within which the phenomenal world is cognitively assembled. While this mode of representing reality may have the advantage of facilitating the manipulation of the material environment, it does so at the cost of failing to attend to the specificity of any given phenomenal entity; everything becomes a mere exemplar. One consequence of apprehending reality in this way is the elimination of qualities or properties that may inhere within any given object but which are conceptually excluded from view, so to speak, as a result of the imposition of a classificatory framework. In this way, identity thinking misrepresents its object. Adorno’s understanding and use of the concept of identity thinking provides a veritable foundation for his philosophy and ultimately underlies much of his writing. One of the principal examples of Adorno’s analysis of identity thinking is to be found in his and Horkheimer’s critical study of enlightenment, presented within their Dialectic of Enlightenment.

The centerpiece of Adorno and Horkheimer’s highly unusual text is an essay on the concept of enlightenment. The essay presents both a critical analysis of enlightenment and an account of the instrumentalization of reason. The Enlightenment is characteristically thought of as an historical period, spanning the 17th and 18th Centuries, embodying the emancipatory ideals of modernity. Enlightenment intellectuals were united by a common vision in which a genuinely human social and political order was to be achieved through the dissolution of previously oppressive, unenlightened, institutions. The establishment of enlightenment ideals was to be achieved by creating the conditions in which individuals could be free to exercise their own reason, free from the dictates of rationally indefensible doctrine and dogma. The means for establishing this new order was the exercise of reason. Freeing reason from the societal bonds which had constrained it was identified as the means for achieving human sovereignty over a world which was typically conceived of as the manifestation of some higher, divine authority. Enlightenment embodies the promise of human beings finally taking individual and collective control over the destiny of the species. Adorno and Horkheimer refused to endorse such a wholly optimistic reading of the effects of the rationalization of society. They stated, “in the most general sense of progressive thought, the Enlightenment has always aimed at liberating men from fear and establishing their sovereignty. Yet the fully enlightened earth radiates disaster triumphant.” (1979:3)

How do Adorno and Horkheimer conceive of the ‘fully enlightened earth’ and what is the nature of the ‘disaster’ that ensues from this? Adorno and Horkheimer’s understanding of enlightenment differs in several highly significant respects from the conventional understanding of the concept. They do not conceive of enlightenment as confined to a distinct historical period. As a recent commentator on Adorno has written, “Adorno and Horkheimer do not use the term ‘enlightenment’ primarily to designate a historical period ranging from Descartes to Kant. Instead they use it to refer to a series of related intellectual and practical operations which are presented as demythologizing, secularizing or disenchanting some mythical, religious or magical representation of the world.” (Jarvis, 1998:24). Adorno and Horkheimer extend their understanding of enlightenment to refer to a mode of apprehending reality found in the writings of classical Greek philosophers, such as Parmenides, to 20th century positivists such as Bertrand Russell. At the core of Adorno and Horkheimer’s understanding of enlightenment are two related theses: “myth is already enlightenment, and enlightenment reverts to mythology.” (1979: xvi). An analysis of the second of these two theses will suffice to explicate the concept of enlightenment Adorno and Horkheimer present. Adorno and Horkheimer’s understanding of enlightenment differs fundamentally from those accounts of the development of human thought and civilization that posit a developmental schema according to which human history is considered as progressively proceeding through separate stages of cognitively classifying and apprehending reality. These accounts typically describe the cognitive ascent of humanity as originating in myth, proceeding to religion, and culminating in secular, scientific reasoning. On this view, the scientific worldview ushered in by the enlightenment is seen as effecting a radical intellectual break and transition from that which went before.

Adorno and Horkheimer fundamentally challenge this assumption. Their thesis that ‘myth is already enlightenment’ is based on the claim that the development of human thought possesses a basic continuity. Both myth and enlightenment are modes of representing reality, both attempt to explain and account for reality. Adorno and Horkheimer’s second thesis, that enlightenment reverts to mythology requires a far more detailed explanation since it entails engaging with their entire understanding of reason and its relationship with heteronomy. They aim to demonstrate that and how enlightenment’s rationalization of society comes to revert to the character of a mythical order. Adorno and Horkheimer argue that enlightenment’s reversion to mythology amounts to the betrayal of the emancipatory ideals of enlightenment. However, they view the betrayal of enlightenment as being inherently entwined with enlightenment itself. For them, the reversion to mythology primarily means reverting to an unreflexive, uncritical mode of configuring and understanding reality. Reverting to mythology means the institution of social conditions, over which individuals come to have little perceived control. Reverting to mythology means a reversion to a heteronomous condition.

Adorno and Horkheimer conceive of enlightenment as principally a demythologizing mode of apprehending reality. For them, the fundamental aim of enlightenment is the establishment of human sovereignty over material reality, over nature: enlightenment is founded upon the drive to master and control nature. The realization of this aim requires the ability to cognitively and practically manipulate the material environment in accordance with our will. In order to be said to dominate nature, nature must become an object of our will. Within highly technologically developed societies, the constraints upon our ability to manipulate nature are typically thought of in terms of the development of technological, scientific knowledge: the limits of possibility are determined not by a mythical belief in god, say, but in the development of the technological forces available to us. This way of conceiving of the tangible limits to human action and cognition had first to overcome a belief that the natural order contained, and was the product of, mythical beings and entities whose presumed existence constituted the ultimate form of authority for those societies enthralled by them. The realization of human sovereignty required the dissolution of such beliefs and the disenchantment of nature. Adorno and Horkheimer write, “the program of the Enlightenment was the disenchantment of the world; the dissolution of myths and the substitution of knowledge for fancy. From now on, matter would at last be mastered without any illusion of ruling or inherent powers, of hidden qualities.” (1979:3-6) Overcoming myth was effected by conceiving of myth as a form of anthropomorphism, as already a manifestation of human cognition so that a realm which had served to constrain the development of technological forces was itself a creation of mankind, falsely projected onto the material realm. On this reading, enlightenment is conceived of as superseding and replacing mythical and religious belief systems, the falsity of which consist, in large part, of their inability to discern the subjective character and origins of these beliefs.

Few would dispute a view of enlightenment as antithetical to myth. However, Adorno and Horkheimer’s claim that enlightenment reverts to mythology is considerably more contentious. While many anthropologists and social theorists, for example have come to accept Adorno and Horkheimer’s claim that myth and enlightenment have the same functional purpose of representing and understanding reality, most political theorists would take great issue with the claim that enlightenment has regressed, or relapsed into some mythical state since this latter claim clearly implies that the general state of social and political freedom assumed to exist in ‘enlightened’ societies is largely bogus. This is, however, precisely what Adorno and Horkheimer argue. They argue that human beings’ attempt to gain sovereignty over nature has been pursued through, in large part, the accumulation of objective, verifiable knowledge of the material realm and its constitutive processes: we take control over nature by understanding how it can be made to work for us. Viewed in this way, the value of nature is necessarily conceived of in primarily instrumental terms: nature is thought of as an object for, and instrument of, human will. This conception of nature necessitates drawing a distinction between this realm and those beings for whom it is an object. Thus, the instrumentalist conception of nature entails a conception of human beings as categorically distinct entities, capable of becoming subjects through the exercise of reason upon nature. The very category of subject thus has inscribed within it a particular conception of nature as that which is to be subordinated to one’s will: subject and object are hierarchically juxtaposed, just as they are in the works of, for example, Descartes and Kant. For nature to be considered amenable to such subordination requires that it be conceived of as synonymous with the objectified models through which human subjects represent nature to themselves. To be wholly conceivable in these terms requires the exclusion of any properties that cannot be subsumed within this representational understanding of nature, this particular form of identity thinking. Adorno and Horkheimer state, “the concordance between the mind of man and the nature of things that he had in mind is patriarchal: the human mind, which overcomes superstition, is to hold sway over a disenchanted nature.” (1979:4) Nature is thereby configured as the object of human will and representation. In this way, our criteria governing the identification and pursuit of valid knowledge are grounded within a hierarchical relationship between human beings and nature: reason is instrumentalized. For Adorno and Horkheimer then, “myth turns into enlightenment, and nature into mere objectivity. Men pay for the increase of their power with alienation from that over which they exercise their power. Enlightenment behaves towards things as a dictator toward men. He knows them in so far as he can manipulate them. The man of science knows things in so far as he can make them. In this way, their potentiality is turned to his own ends.” (1979:9) Adorno and Horkheimer insist that this process results in the establishment of a generally heteronomous social order; a condition over which human beings have little control. Ultimately, the drive to dominate nature results in the establishment of a form of reasoning and a general world-view which appears to exist independently of human beings and, more to the point, is principally characterized by a systematic indifference to human beings and their sufferings: we ultimately become mere objects of the form of reason that we have created. Adorno and Horkheimer insist that individual self-preservation in ‘enlightened’ societies requires that each of us conform to the dictates of instrumental reason.

How do Adorno and Horkheimer attempt to defend such a fundamentally controversial claim? Throughout his philosophical lifetime Adorno argued that authoritative forms of knowledge have become largely conceived of as synonymous with instrumental reasoning; that the world has come to be conceived of as identical with its representation within instrumental reasoning. Reality is thus deemed discernible only in the form of objectively verifiable facts and alternative modes of representing reality are thereby fundamentally undermined. A successful appeal to the ‘facts’ of a cause has become the principal means for resolving disputes and settling disputes in societies such as ours. However, Adorno argued that human beings are increasingly incapable of legitimately excluding themselves from those determinative processes thought to prevail within the disenchanted material realm: human beings become objects of the form of reasoning through which their status as subjects is first formulated. Thus, Adorno discerns a particular irony in the totalizing representation of reality which enlightenment prioritizes. Human sovereignty over nature is pursued by the accumulation of hard, objective data which purport to accurately describe and catalogue this reality. The designation of ‘legitimate knowledge’ is thereby restricted to that thought of as ‘factual’: legitimate knowledge of the world is that which purports to accurately reflect how the world is. As it stands, of course, the mere act of describing any particular aspect of the material realm does not, by itself, promote the cause of human freedom. It may directly facilitate the exercise of freedom by providing sufficient knowledge upon which an agent may exercise discretionary judgment concerning, say, the viability of any particular desire, but, by itself, accurate descriptions of the world are not a sufficient condition for freedom. Adorno, however, argues that the very constituents of this way of thinking are inextricably entwined with heteronomy. In commenting upon Adorno and Horkheimer’s claim that enlightenment restricts legitimate knowledge to the category of objectively verifiable facts, Simon Jarvis writes: “thought is to confine itself to the facts, which are thus the point at which thought comes to a halt. The question as to whether these facts might change is ruled out by enlightened thought as a pseudo-problem. Everything which is, is thus represented as a kind of fate, no less unalterable and uninterogable than mythical fate itself.” (1998:24). Conceived of in this way, material reality appears as an immutable and fixed order of things which necessarily pre-structures and pre-determines our consciousness of it. As Adorno and Horkheimer themselves state, “factuality wins the day; cognition is restricted to its repetition; and thought becomes mere tautology. The more the machinery of thought subjects existence to itself, the more blind its resignation in reproducing existence. Hence enlightenment reverts to mythology, which it never really knew how to elude. For in its figures mythology had the essence of the status quo: cycle, fate, and domination of the world reflected as the truth and deprived of hope.” (1979:27) Facts have come to take on the same functional properties of a belief in the existence of some mythical forces or beings: representing an external order to which we must conform. The ostensible difference between them is that the realm of facts appears to be utterly objective and devoid of any subjective, or anthropomorphic forces. Indeed, the identification of a truly objective order was explicitly pursued through the exclusion of any such subjective prejudices and fallacies. Subjective reasoning is fallacious reasoning, on this view.

Adorno’s attempt to account for this objective order as constituted through identity thinking poses a fundamental challenge to the epistemological conceit of such views. Adorno and Horkheimer argued that the instrumentalization of reason and the epistemological supremacy of ‘facts’ served to establish a single order, a single mode of representing and relating to reality. For them, “enlightenment is totalitarian” (1979:24). The pursuit of human sovereignty over nature is predicated upon a mode of reasoning whose functioning necessitates subsuming all of nature within a single, representational framework. We possess knowledge of the world as a result of the accumulation of facts, ‘facts’ that are themselves necessarily abstractions from that to which they refer. Assembled within a classificatory scheme these facts are not, cannot ever be, a direct expression of that to which they refer; no aspect of its thought, by its very nature, can ever legitimately be said to possess that quality. However, while facts constitute the principal constituents of this classificatory scheme, the scheme itself, this mode of configuring reality, is founded upon a common, single cognitive currency, which necessarily holds that the essence of all that can be known is reducible to a single, inherently quantifiable property: matter. They insist that this mode of configuring reality originates within a desire to dominate nature and that this domination is effected by reducing the manifold diversity of nature to, ultimately, a single, manipulable form. For them the realization of the single totality that proceeds from the domination of nature necessitates that reason itself be shorn of any ostensibly partial or particularistic elements. They conceive of enlightenment as aspiring towards the institution of a form of reasoning which is fundamentally universal and abstract in character: a form of reasoning which posits the existence of a unified order, a priori. They argue, “in advance, the Enlightenment recognizes as being and occurrence only what can be apprehended in unity: its ideal is the system from which all and everything follows. Its rationalist and empiricist versions do not part company on this point.” (1979:7) Thus, the identarian character of enlightenment, on this reading, consists of the representation of material reality as ultimately reducible to a single scale of evaluation or measurement. Reality is henceforth to be known in so far as it is quantifiable. Material reality is presented as having become an object of calculation. The form of reasoning which is adequate to the task of representing reality in this way must be necessarily abstract and formal in character. Its evaluative procedures must, similarly, avoid the inclusion of any unduly restrictive and partial affiliations to any specific component property of the system as a whole if they are to be considered capable of being applicable to the system as a whole. Adorno and Horkheimer present the aspiration towards achieving human sovereignty over nature as culminating in the institution of a mode of reasoning which is bound to the identification and accumulation of facts; which restricts the perceived value of the exercise of reason to one which is instrumental for the domination of nature; and which, finally, aims at the assimilation of all of nature under a single, universalizing representational order. Adorno and Horkheimer present enlightenment as fundamentally driven by the desire to master nature, of bringing all of material reality under a single representational system, within which reason is transformed into a tool for achieving this end. For Adorno and Horkheimer then, nature has been fully mastered within the ‘fully enlightened earth’ and human affairs are regulated and evaluated in accordance with the demands of instrumental reasoning: the means by which nature has been mastered have rebounded upon us. The attempt to fully dominate nature culminates in the institution of a social and political order over which we have lost control. If one wishes to survive, either as an individual or even as a nation, one must conform to, and learn to utilize, instrumental reason. Thought and philosophy aids and abets this order where it seeks merely to mirror or ‘objectively’ reflect that reality.

Adorno aims to avoid providing any such support by, at root, providing a prototypical means of deconstructing that ‘reality’. The radical character of his concept of ‘identity thinking’ consists in its insistence that such ‘objective’ forms of representing reality are not ‘objective’ enough, so to speak. The facts upon which instrumental reasoning goes to work are themselves conceptual abstractions and not direct manifestations of phenomena, as they claim to be. Adorno’s philosophical writings fundamentally aim to demonstrate the two-fold falsity of ‘identity thinking’: first, in respect of debunking the claims of identity thinking to representing reality objectively; second, in respect of the effects of instrumental reasoning as a form of identity thinking upon the potential for the exercise of human freedom. Adorno posits identity thinking as fundamentally concerned not to understand phenomena but to control and manipulate it. A genuinely critical form of philosophy aims to both undercut the dominance of identity thinking and to create an awareness of the potential of apprehending and relating to phenomena in a non-coercive manner. Both how he aims to do this, and how Adorno’s philosophical project can itself be criticized will be considered in the final section. However, having summarized the substance of Adorno’s understanding of philosophy and reason, what must now be considered is the next most important theme addressed in Adorno’s philosophical writings: his vision of the status of morality and moral theory within this fully enlightened earth.

4. Morality and Nihilism

Adorno’s moral philosophy is similarly concerned with the effects of ‘enlightenment’ upon both the prospects of individuals leading a ‘morally good life’ and philosophers’ ability to identify what such a life may consist of. Adorno argues that the instrumentalization of reason has fundamentally undermined both. He argues that social life in modern societies no longer coheres around a set of widely espoused moral truths and that modern societies lack a moral basis. What has replaced morality as the integrating ‘cement’ of social life are instrumental reasoning and the exposure of everyone to the capitalist market. According to Adorno, modern, capitalist societies are fundamentally nihilistic, in character; opportunities for leading a morally good life and even philosophically identifying and defending the requisite conditions of a morally good life have been abandoned to instrumental reasoning and capitalism. Within a nihilistic world, moral beliefs and moral reasoning are held to have no ultimately rational authority: moral claims are conceived of as, at best, inherently subjective statements, expressing not an objective property of the world, but the individual’s own prejudices. Morality is presented as thereby lacking any objective, public basis. The espousal of specific moral beliefs is thus understood as an instrument for the assertion of one’s own, partial interests: morality has been subsumed by instrumental reasoning. Adorno attempts to critically analyse this condition. He is not a nihilist, but a critic of nihilism.

Adorno’s account of nihilism rests, in large part, on his understanding of reason and of how modern societies have come to conceive of legitimate knowledge. He argues that morality has fallen victim to the distinction drawn between objective and subjective knowledge. Objective knowledge consists of empirically verifiable ‘facts’ about material phenomena, whereas subjective knowledge consists of all that remains, including such things as evaluative and normative statements about the world. On this view, a statement such as ‘I am sitting at a desk as I write this essay’ is of a different category to the statement ‘abortion is morally wrong’. The first statement is amenable to empirical verification, whereas the latter is an expression of a personal, subjective belief. Adorno argues that moral beliefs and moral reasoning have been confined to the sphere of subjective knowledge. He argues that, under the force of the instrumentalization of reason and positivism, we have come to conceive of the only meaningfully existing entities as empirically verifiable facts: statements on the structure and content of reality. Moral values and beliefs, in contrast, are denied such a status. Morality is thereby conceived of as inherently prejudicial in character so that, for example, there appears to be no way in which one can objectively and rationally resolve disputes between conflicting substantive moral beliefs and values. Under the condition of nihilism one cannot distinguish between more or less valid moral beliefs and values since the criteria allowing for such evaluative distinctions have been excluded from the domain of subjective knowledge.

Adorno argues that, under nihilistic conditions, morality has become a function or tool of power. The measure of the influence of any particular moral vision is an expression of the material interests that underlie it. Interestingly, Adorno identifies the effects of nihilism as extending to philosophical attempts to rationally defend morality and moral reasoning. Thus, in support of his argument he does not rely upon merely pointing to the extent of moral diversity and conflict in modern societies. Nor does he rest his case upon those who, in the name of some radical account of individual freedom, positively espouse nihilism.

Indeed, he identifies the effects of nihilism within moral philosophy itself, paying particular attention to the moral theory of Immanuel Kant. Adorno argues that Kant’s account of the moral law demonstrates the extent to which morality has been reduced to the status of subjective knowledge. Kant certainly attempts to establish a basis for morality by the exclusion of all substantive moral claims, claims concerning the moral goodness of this or that practice or way of life. Kant ultimately seeks to establish valid moral reasoning upon a series of utterly formal, procedural rules, or maxims which exclude even the pursuit of human happiness as a legitimate component of moral reasoning. Adorno criticizes Kant for emptying the moral law of any and all reference to substantive conceptions of human well-being, or the ‘good life’. Ultimately, Kant is condemned for espousing an account of moral reasoning that is every bit as formal and devoid of any substantively moral constituents as instrumental reasoning. The thrust of Adorno’s criticism of Kant is not so much that Kant developed such an account of morality, since this was, according to Adorno, to a large extent prefigured by the material conditions of Kant’s time and place, but that he both precisely failed to identify the effects of these conditions and, in so doing, thereby failed to discern the extent to which his moral philosophy provides an affirmation, rather than a criticism, of such conditions. Kant, of all people, is condemned for not being sufficiently reflexive.

Unlike some other thinkers and philosophers of the time, Adorno does not think that nihilism can be overcome by a mere act of will or by simply affirming some substantive moral vision of the good life. He does not seek to philosophically circumnavigate the extent to which moral questions concerning the possible nature of the ‘good life’ have become so profoundly problematic for us. Nor does he attempt to provide a philosophical validation of this condition. Recall that Adorno argues that reason has become entwined with domination and has developed as a manifestation of the attempt to control nature. Adorno thus considers nihilism to be a consequence of domination and a testament, albeit in a negative sense, to the extent to which human societies are no longer enthralled by, for example, moral visions grounded in some naturalistic conception of human well-being. For Adorno, this process has been so thorough and complete that we can no longer authoritatively identify the necessary constituents of the good life since the philosophical means for doing so have been vitiated by the domination of nature and the instrumentalization of reason. The role of the critical theorist is, therefore, not to positively promote some alternative, purportedly more just, vision of a morally grounded social and political order. This would too far exceed the current bounds of the potential of reason. Rather, the critical theorist must fundamentally aim to retain and promote an awareness of the contingency of such conditions and the extent to which such conditions are capable of being changed. Adorno’s, somewhat dystopian, account of morality in modern societies follows from his argument that such societies are enthralled by instrumental reasoning and the prioritization of ‘objective facts’. Nihilism serves to fundamentally frustrate the ability of morality to impose authoritative limits upon the application of instrumental reason.

5. The Culture Industry

I stated at the beginning of this piece that Adorno was a highly unconventional philosopher. While he wrote volumes on such stock philosophical themes as reason and morality, he also extended his writings and critical focus to include mass entertainment. Adorno analyzed social phenomena as manifestations of domination. For him both the most abstract philosophical text and the most easily consumable film, record, or television show shared this basic similarity. Adorno was a philosopher who took mass entertainment seriously. He was among the first philosophers and intellectuals to recognize the potential social, political, and economic power of the entertainment industry. Adorno saw what he referred to as ‘the culture industry’ as constituting a principal source of domination within complex, capitalist societies. He aims to show that the very areas of life within which many people believe they are genuinely free – free from the demands of work for example – actually perpetuates domination by denying freedom and obstructing the development of a critical consciousness. Adorno’s discussion of the culture industry is unequivocal in its depiction of mass consumer societies as being based upon the systematic denial of genuine freedom. What is the culture industry, and how does Adorno defend his vision of it?

Adorno described the culture industry as a key integrative mechanism for binding individuals, as both consumers and producers, to modern, capitalist societies. Where many sociologists have argued that complex, capitalist societies are fragmented and heterogeneous in character, Adorno insists that the culture industry, despite the manifest diversity of cultural commodities, functions to maintain a uniform system, to which all must conform. David Held, a commentator on critical theory, describes the culture industry thus: “the culture industry produces for mass consumption and significantly contributes to the determination of that consumption. For people are now being treated as objects, machines, outside as well as inside the workshop. The consumer, as the producer, has no sovereignty. The culture industry, integrated into capitalism, in turn integrates consumers from above. Its goal is the production of goods that are profitable and consumable. It operates to ensure its own reproduction.” (1981:91) Few can deny the accuracy of the description of the dominant sectors of cultural production as capitalist, commercial enterprises. The culture industry is a global, multibillion dollar enterprise, driven, primarily, by the pursuit of profit. What the culture industry produces is a means to the generation of profit, like any commercial enterprise.

To this point, few could dispute Adorno’s description of the mass entertainment industry. However, Adorno’s specific notion of the ‘culture industry’ goes much further. Adorno argues that individuals’ integration within the culture industry has the fundamental effect of restricting the development of a critical awareness of the social conditions that confront us all. The culture industry promotes domination by subverting the psychological development of the mass of people in complex, capitalist societies. This is the truly controversial aspect of Adorno’s view of the culture industry. How does he defend it? Adorno argues that cultural commodities are subject to the same instrumentally rationalized mechanical forces which serve to dominate individuals’ working lives. Through our domination of nature and the development of technologically sophisticated forms of productive machinery, we have becomes objects of a system of our own making. Any one who has worked on a production line or in a telephone call centre should have some appreciation of the claim being made. Through the veritably exponential increase in volume and scope of the commodities produced under the auspices of the culture industry, individuals are increasingly subjected to the same underlying conditions through which the complex capitalist is maintained and reproduced. The qualitative distinction between work and leisure, production and consumption is thereby obliterated. As Adorno and Horkheimer assert, “amusement under late capitalism is the prolongation of work. It is sought after as an escape from the mechanized work process, and to recruit strength in order to be able to cope with it again. But at the same time mechanization has such a power over man’s leisure and happiness, and so profoundly determines the manufacture of amusement goods, that his experiences are inevitably after-images of the work process itself.” (1979:137). According to Adorno, systematic exposure to the culture industry (and who can escape from it for long in this media age?) has the fundamental effect of pacifying its consumers. Consumers are presented as being denied any genuine opportunities to actively contribute to the production of the goods to which they are exposed. Similarly, Adorno insists that the form and content of the specific commodities themselves, be it a record, film, or TV show, require no active interpretative role on the part of the consumer: all that is being asked of consumers is that they buy the goods. Adorno locates the origins of the pacifying effects of cultural commodities in what he views as the underlying uniformity of such goods, a uniformity that belies their ostensible differences. Adorno conceives of the culture industry as a manifestation of identity-thinking and as being effected through the implementation of instrumentally rationalized productive techniques. He presents the culture industry as comprising an endless repetition of the same commodified form. He argues that the ostensibly diverse range of commodities produced and consumed under the auspices of the culture industry actually derive from a limited, fundamentally standardized ‘menu’ of interchangeable features and constructs. Thus, he presents the structural properties of the commodities produced and exchanged within the culture industry as being increasingly standardized, formulaic, and repetitive in character. He argues that the standardized character of cultural commodities results from the increasingly mechanized nature of the production, distribution, and consumption of these goods. It is, for example, more economically rational to produce as many products as possible from the same identical ‘mould’. Similarly, the increasing control of distribution centers by large, multinational entertainment conglomerates tends towards a high degree of uniformity.

Adorno’s analyses of specific sectors of the culture industry is extensive in scope. However, his principal area of expertise and interest was music. Adorno analyzed the production and consumption of music as a medium within which one could discern the principal features and effects of the culture industry and the commodification of culture. The central claim underlying Adorno’s analysis of music is that the extension of industrialized production techniques has changed both the structure of musical commodities and the manner in which they are received. Adorno argued that the production of industrialized music is characterized by a highly standardized and uniform menu of musical styles and themes, in accordance with which the commodities are produced. Consistently confronted by familiar and compositionally simplistic musical phenomena requires that the audience need make little interpretative effort in its reception of the product. Adorno presents such musical commodities as consisting of set pieces which elicit set, largely unreflected upon, responses. He states, ‘the counterpart to the fetishism of music is a regression of listening. It is contemporary listening which has regressed, arrested at the infantile stage. Not only do the listening subjects lose, along with freedom of choice and responsibility, the capacity for conscious perception of music, but they stubbornly reject the possibility of such perception. They are not childlike, as might be expected on the basis of an interpretation of the new type of listener in terms of the introduction to musical life of groups previously unacquainted with music. But they are childish; their primitivism is not that of the undeveloped, but that of the forcibly retarded.’ (1978:286). Here Adorno drew upon a distinction previously made by Kant in his formulation of personal autonomy. Distinguishing between maturity and immaturity, Adorno repeats the Kantian claim that to be autonomous is to be mature, capable of exercising one’s own discretionary judgment, of making up one’s own mind for oneself. Adorno argued that the principal effect of the standardization of music is the promotion of a general condition of immaturity, frustrating and prohibiting the exercise of any critical or reflexive faculties in one’s interpretation of the phenomena in question.

Adorno viewed the production and consumption of musical commodities as exemplary of the culture industry in general. However, he also extended his analysis to include other areas of the culture industry, such as television and, even, astrology columns. A brief discussion of this latter will suffice to complete the general contours of Adorno’s account of the culture industry. Adorno conducted a critical textual analysis of the astrology column of the Los Angeles Times. His aim was to identify the ‘rational’ function of the cultural institution itself. He thus took astrology seriously. He considered astrology to be a symptom of complex, capitalist societies and discerned in the widespread appeal of astrology an albeit uncritical and unreflexive awareness of the extent to which individuals’ lives remain fundamentally conditioned by impersonal, external forces, over which individuals have little control. Society is projected, unwittingly, on to the stars. He stated that, “astrology is truly in harmony with a ubiquitous trend. In as much as the social system is the ‘fate’ of most individuals independent of their will and interest, it is projected onto the stars in order thus to obtain a higher degree of dignity and justification in which individuals hope to participate themselves.” (1994:42). According to Adorno, astrology contributes to, and simultaneously reflects, a pervasive fetishistic attitude towards the conditions that actually confront individuals’ lives through the promotion of a vision of human life as being determined by forces beyond our ultimate control. Rather than describing astrology as being irrational in character, Adorno argued that the instrumentally rational character of complex, capitalist societies actually served to lend astrology a degree of rationality in respect of providing individuals with a means for learning to live with conditions beyond their apparent control. He describes astrology as “an ideology for dependence, as an attempt to strengthen and somehow justify painful conditions which seem to be more tolerable if an affirmative attitude is taken towards them.” (1994:115)

For Adorno no single domain of the culture industry is sufficient to ensure the effects he identified as generally exerting upon individuals’ consciousness and lives. However, when taken altogether, the assorted media of the culture industry constitute a veritable web within which the conditions, for example, of leading an autonomous life, for developing the capacity for critical reflection upon oneself and one’s social conditions, are systematically obstructed. According to Adorno, the culture industry fundamentally prohibits the development of autonomy by means of the mediatory role its various sectors play in the formation of individuals’ consciousness of social reality. The form and content of the culture industry is increasingly misidentified as a veritable expression of reality: individuals come to perceive and conceive of reality through the pre-determining form of the culture industry. The culture industry is understood by Adorno to be an essential component of a reified form of second nature, which individuals come to accept as a pre-structured social order, with which they must conform and adapt. The commodities produced by the culture industry may be ‘rubbish’, but their effects upon individuals is deadly serious.

6. Conclusion and General Criticisms

Adorno is widely recognized as one of the leading, but also one of the most controversial continental philosophers of the 20th century. Though largely unappreciated within the analytical tradition of philosophy, Adorno’s philosophical writings have had a significant and lasting effect upon the development of subsequent generations of critical theorists and other philosophers concerned with the general issue of nihilism and domination. Publications on and by Adorno continue to proliferate. Adorno has not been forgotten. His own, uncompromising diagnosis of modern societies and the entwinement of reason and domination continue to resonate and even inspire many working within the continental tradition. However, he has attracted some considerable criticism. I shall briefly consider some of the most pertinent criticisms that have been levelled at Adorno within each of the three areas of his writings I have considered above. I want to begin, though, with some brief comments on Adorno’s writing style.

Adorno can be very difficult to read. He writes in a manner which does not lend itself to ready comprehension. This is intentional. Adorno views language itself as having become an object of, and vehicle for, the perpetuation of domination. He is acutely aware of the extent to which this claim complicates his own work. In attempting to encourage a critical awareness of suffering and domination, Adorno is forced to use the very means by which these conditions are, to a certain extent, sustained. His answer to this problem, although not intended to be ultimately satisfying, is to write in a way that requires hard and concentrated efforts on the part of the reader, to write in a way that explicitly defies convention and the familiar. Adorno aims to encourage his readers to attempt to view the world and the concepts that represent the world in a way that defies identity thinking. He aims, through his writing, to express precisely the unacknowledged, non-identical aspects of any given phenomenon. He aims to show, in a manner very similar to contemporary deconstructionists, the extent to which our linguistic conventions simultaneously both represent and misrepresent reality. In contrast to many deconstructionists, however, Adorno does so in the name of an explicit moral aim and not as a mere literary method. For Adorno, reality is grounded in suffering and the domination of nature. This is a profoundly important distinction. Adorno’s complaint against identity-thinking is a moral and not a methodological one. However, it must be admitted that understanding and evaluating the strengths and weaknesses of Adorno’s philosophical vision is a difficult task. He does not wish to be easily understood in a world in which easy understanding, so he claims, is dependent upon identity-thinking’s falsification of the world.

Adorno’s writing style follows, in large part, from his account of reason. Adorno’s understanding of reason has been subject to consistent criticism. One of the most significant forms of criticism is associated with Jurgen Habermas, arguably the leading contemporary exponent of critical theory. In essence, Habermas (1987) argues that Adorno overestimates the extent to which reason has been instrumentalized within modern, complex societies. For Habermas, instrumental reasoning is only one of a number of forms of reasoning identifiable within such societies. Instrumental reasoning, therefore, is nowhere near as extensive and all-encompassing as Adorno and Horkheimer presented it as being in the Dialectic of Enlightenment. For Habermas, the undue importance attributed to instrumental reasoning has profound moral and philosophical consequences for Adorno’s general vision. Habermas insists that Adorno’s understanding of reason amounts to a renunciation of the moral aims of the Enlightenment, from which critical theory itself appears to take its bearings. There is not doubt that the deployment of technology has had the most horrendous and catastrophic effects upon humanity. However, Habermas argues that these effects are less the consequence of the extension of reason grounded in the domination of nature, as Adorno argues, and more an aberration of enlightenment reason. Adorno is accused of defending an account of instrumental reasoning that is so encompassing and extensive as to exclude the possibility of rationally overcoming these conditions and thereby realizing the aims of critical theory. Adorno is accused of leading critical theory down a moral cul-de-sac. Habermas proceeds to criticize Adorno’s account of reason on philosophical grounds also. He argues, in effect, that Adorno’s account of the instrumentalization of reason is so all encompassing as to exclude the possibility of someone like Adorno presenting a rational and critical analysis of these conditions. Adorno’s critical account of reason seems to logically exclude the possibility of its own existence. Habermas accuses Adorno of having lapsed into a form of performative contradiction. For Habermas, the very fact that a given political or social system is the object of criticism reveals the extent to which the form of domination that Adorno posits has not been fully realized. The fact that Adorno and Horkheimer could proclaim that ‘enlightenment is totalitarian’ amounts to a simultaneous self-refutation. The performance of the claim contradicts its substance. Habermas takes issue with Adorno, finally, on the grounds that Adorno’s account of reason and his advocacy of ‘non-identity thinking’ appear to prohibit critical theory from positively or constructively engaging with social and political injustice. Adorno is accused of adopting the stance of an inveterate ‘nay-sayer’. Being critical can appear as an end in itself, since the very radicalness of Adorno’s diagnosis of reason and modernity appears to exclude the possibility of overcoming domination and heteronomy. Similar criticisms have been leveled at Adorno’s account of morality and his claims in respect of the extent of nihilism. Adorno is consistently accused of failing to appreciate the moral gains achieved as a direct consequence of the formalization of reason and the subsequent demise of the authority of tradition. On this view, attempting to categorize the Marquis de Sade, Kant, and Nietzsche as all similarly expressing and testifying to the ultimate demise of morality, as Adorno and Horkheimer do, is simply false and an example of an apparent tendency to over-generalize in the application of particular concepts.

7. References and Further Reading

  • Adorno, T.W. & Horkheimer, M. Dialectic of Enlightenment. tr. Cumming, J. London: Verso, 1979.
  • Adorno, T.W. Minima Moralia: Reflections from Damaged Life. tr. Jephcott, E.F.N. London: Verso, 1978.
  • Adorno, T.W. Negative Dialectics. tr. E.B.Ashton. London, Routledge, 1990.
  • Habermas, J. The Philosophical Discourse of Modernity: Twelve Lectures. tr. F.G.Lawrence. Cambridge: Polity Press, 1987
  • Held, D. Introduction to Critical Theory: Horkheimer to Habermas. Cambridge: Polity Press, 1980.
  • Jarvis, S. Adorno: A Critical Introduction. Cambridge: Polity Press, 1998.
  • Rasmussen, D. (ed.) The Handbook of Critical Theory. Oxford: Blackwell, 1996.

Author information

Andrew Fagan
Email: fagaaw@essex.ac.uk
University of Essex
United Kingdom

Dietrich Bonhoeffer (1906—1945)

bonhoefferFor Bonhoeffer, the foundation of ethical behaviour lay in how the reality of the world and the reality of God were reconciled in the reality of Christ. Both in his thinking and in his life, ethics were centered on the demand for action by responsible men and women in the face of evil. He was sharply critical of ethical theory and of academic concerns with ethical systems precisely because of their failure to confront evil directly. Evil, he asserted, was concrete and specific, and it could be combated only by the specific actions of responsible people in the world. The uncompromising position Bonhoeffer took in his seminal work Ethics, was directly reflected in his stance against Nazism. His early opposition turned into active conspiracy in 1940 to overthrow the regime. It was during this time, until his arrest in 1943, that he worked on Ethics.

Table of Contents

  1. Life and Resistance
  2. Ethics
  3. References and Further Reading

1. Life and Resistance

Dietrich Bonhoeffer was born in Breslau on February 4, 1906. Dietrich and his twin sister, Sabina, were two of eight children born to Karl and Paula (von Hase) Bonhoeffer. Karl Bonhoeffer, a professor of psychiatry and Neurology at Berlin University, was Germany’s leading empirical psychologist. Dietrich received his doctorate from Berlin University in 1927, and lectured in the theological faculty during the early thirties. He was ordained a Lutheran pastor in 1931, and served two Lutheran congregations, St. Paul’s and Sydenham, in London from 1933-35.

In 1934, 2000 Lutheran pastors organized the Pastors’ Emergency League in opposition to the state church controlled by the Nazis. This organization evolved into the Confessing Church, a free and independent protestant church. Bonhoeffer served as head of the Confessing Church’s seminary at Finkenwalde. The activities of the Confessing Church were virtually outlawed and its five seminaries closed by the Nazis in 1937.

Bonhoeffer’s active opposition to National Socialism in the thirties continued to escalate until his recruitment into the resistance in 1940. The core of the conspiracy to assassinate Adolph Hitler and overthrow the Third Reich was an elite group within the Abwehr (German Military Intelligence), which included, Admiral Wilhelm Canaris, Head of Military Intelligence, General Hans Oster (who recruited Bonhoeffer), and Hans von Dohnanyi, who was married to Bonhoeffer’s sister, Christine. All three were executed with Bonhoeffer on April 9, 1945. For their role in the conspiracy, the Nazis also executed Bonhoeffer’s brother, Klaus, and a second brother-in-law, Rudiger Schleicher, on April 23, 1945, seven days before Hitler himself committed suicide on April 30.

Bonhoeffer’s role in the conspiracy was one of courier and diplomat to the British government on behalf of the resistance, since Allied support was essential to stopping the war. Between trips abroad for the resistance, Bonhoeffer stayed at Ettal, a Benedictine monastery outside of Munich, where he worked on his book, Ethics, from 1940 until his arrest in 1943. Bonhoeffer, in effect, was formulating the ethical basis for when the performance of certain extreme actions, such as political assassination, were required of a morally responsible person, while at the same time attempting to overthrow the Third Reich in what everyone expected to be a very bloody coup d’etat. This combination of action and thought surely qualifies as one of the more unique moments in intellectual history.

2. Ethics

Bonhoeffer’s critique of ethics results in a picture of an Aristotelian ethic that is Christological in expression, i.e., it shares much in common with a character-oriented morality, and at the same time it rests firmly on his Christology. For Bonhoeffer, the foundation of ethical behavior is how the reality of the world and how the reality of God are reconciled in the reality of Christ (Ethics, p. 198). To share in Christ’s reality is to become a responsible person, a person who performs actions in accordance with reality and the fulfilled will of God (Ethics, p.224). There are two guides for determining the will of God in any concrete situation: 1) the need of one’s neighbor, and 2) the model of Jesus of Nazareth. There are no other guides, since Bonhoeffer denies that we can have knowledge of good and evil (Ethics, p.231). There is no moral certainty in this world. There is no justification in advance for our conduct. Ultimately all actions must be delivered up to God for judgment, and no one can escape reliance upon God’s mercy and grace. “Before God self-justification is quite simply sin” (Ethics, p.167).

Responsible action, in other words, is a highly risky venture. It makes no claims to objectivity or certainty. It is a free venture that cannot be justified in advance (Ethics, p.249). But, nevertheless, it is how we participate in the reality of Christ, i.e., it is how we act in accordance with the will of God. The demand for responsible action in history is a demand no Christian can ignore. We are, accordingly, faced with the following dilemma: when assaulted by evil, we must oppose it directly. We have no other option. The failure to act is simply to condone evil. But it is also clear that we have no justification for preferring one response to evil over another. We seemingly could do anything with equal justification. Nevertheless, for Bonhoeffer, the reality of a demand for action without any (a priori) justification is just the moral reality we must face, if we want to be responsible people.

There are four facets to Bonhoeffer’s critique of ethics that should be noted immediately. First, ethical decisions make up a much smaller part of the social world for Bonhoeffer than they do for (say) Kant or Mill. Principally he is interested only in those decisions that deal directly with the presence of vicious behavior, and often involve questions of life and death. Second, Bonhoeffer’s own life serves as a case study for the viability of his views. Bonhoeffer is unique in this regard. His work on ethics began while he was actively involved in the German resistance to National Socialism and ended with his arrest in 1943. He fully expected that others would see his work in the conspiracy as intrinsically related to the plausibility of his ethical views. When it comes to ethics, Bonhoeffer noted, “(i)t is not only what is said that matters, but also the man who says it” (Ethics, p.267).

Third, like Aristotle, Bonhoeffer stays as close to the actual phenomenon of making moral choices as possible. What we experience, when faced with a moral choice, is a highly concrete and unique situation. It may share much with other situations, but it is, nevertheless, a distinct situation involving its own particulars and peculiarities, not excluding the fact that we are making the decisions, and not Socrates or Joan of Ark.

And finally, again like Aristotle, Bonhoeffer sees judgments of character and not action as fundamental to moral evaluation. Evil actions should be avoided, of course, but what needs to be avoided at all costs is the disposition to do evil as part of our character. “What is worse than doing evil,” Bonhoeffer notes, “is being evil” (Ethics, p.67). To lie is wrong, but what is worse than the lie is the liar, for the liar contaminates everything he says, because everything he says is meant to further a cause that is false. The liar as liar has endorsed a world of falsehood and deception, and to focus only on the truth or falsity of his particular statements is to miss the danger of being caught up in his twisted world. This is why, as Bonhoeffer says, that “(i)t is worse for a liar to tell the truth than for a lover of truth to lie” (Ethics, p.67). A falling away from righteousness is far worse that a failure of righteousness. To focus exclusively on the lie and not on the liar is a failure to confront evil.

Nevertheless, the central concern of traditional ethics remains: What is right conduct? What justifies doing one thing over another? For Bonhoeffer, there is no justification of actions in advance without criteria for good and evil, and this is not available (Ethics, p.231). Neither future consequences nor past motives by themselves are sufficient to determine the moral value of actions. Consequences have the awkward consequence of continuing indefinitely into the future. If left unattended, this feature would make all moral judgments temporary or probationary, since none are immune to radical revision in the future. What makes a consequence relevant to making an action right is something other than the fact that it is a consequence. The same is true for past motives. One motive or mental attitude surely lies behind another. What makes one mental state and not an earlier state the ultimate ethical phenomenon is something other than the fact that it is a mental state. Since neither motives nor consequences have a fixed stopping point, both are doomed to failure as moral criteria. “On both sides,” Bonhoeffer notes, “there are no fixed frontiers and nothing justifies us in calling a halt at some point which we ourselves have arbitrarily determined so that we may at last form a definite judgement” (Ethics, p.190). Without a reason for the relevance of specific motives or consequences, all moral judgments become hopelessly tentative and eternally incomplete.

What is more, general principles have a tendency to reduce all behavior to ethical behavior. To act only for the greatest happiness of the greatest number, or to act only so that the maxim of an action can become a principle of legislation, become as relevant to haircuts as they do to manslaughter. All behavior becomes moral behavior, which drains all spontaneity and joy from life, since the smallest misstep now links your behavior with the worst crimes of your race, gender, or culture. Ethics cannot be reduced to a search for general principles without reducing all of the problems of life to a bleak, pedantic, and monotonous uniformity. The “abundant fullness of life,” is denied and with it “the very essence of the ethical itself” (Ethics, p.263).

Reliance on theory, in other words, is destructive to ethics, because it interferes with our ability to deal effectively with evil. Bonhoeffer asks us to consider six strategies, six postures people often strike or adopt when attempting to deal with real ethical situations involving evil and vicious people. Any of these postures or orientations could employ principles, laws, or duties from ethical theory. But, in the end, it makes little difference what principles they invoke. The ethical postures themselves are what make responsible action impossible. A resort to the dictates of reason, for example, demands that we be fair to all the details, facts, and people involved in any concrete moral situation (Ethics, p.67). The reasonable person acts like a court of law, trying to be just to both sides of any dispute. In doing so, he or she ignores all questions of character, since all people are equal before the law, and it makes no difference who does what to whom. Thus, whenever it is in the interest of an evil person to tell the truth, the person of reason must reward him for doing so. The person of reason is helpless to do otherwise, and in the end is rejected by all, the good and the evil, and achieves nothing.

Likewise, Bonhoeffer argues, the enthusiasm of the moral fanatic or dogmatist is also ineffective for a similar reason. The fanatic believes that he or she can oppose the power of evil by a purity of will and a devotion to principles that forbid certain actions. Again, the concern is exclusively on action, and judgments of character are seen as secondary and derivative. But the richness and variety of actual, concrete situations generates questions upon questions for the application of any principle. Sooner or later, Bonhoeffer notes, the fanatic becomes entangled in non-essentials and petty details, and becomes prone to simple manipulation in the hands of evil (Ethics, p.68).

The man or woman of conscience presents an even stranger case. When faced with an inescapable ethical situation that demands action, the person of conscience experiences great turmoil and uncertainty. What the person of conscience is really seeking is peace of mind, or a return to the way things were, before everything erupted into moral chaos. Resolving the tensions is as important as doing the right thing. In fact, doing the right thing should resolve the conflicts and tensions or it is not the right thing. Consequently, people of conscience become prey to quick solutions, to actions of convenience, and to deception, because feeling good about themselves and their world is what matters ultimately. They fail completely to see, as Bonhoeffer notes, that a bad conscience, that disappointment and frustration over one’s action, may be a much healthier and stronger state for their souls to experience than peace of mind and feelings of well being (Ethics, p.68).

An emphasis on freedom and private virtuousness are even less capable of dealing effectively with evil. What Bonhoeffer means by freedom is not coextensive with the theoretical freedom of the existential either/or, where it makes no difference what we do, since we are all going to get it in the end anyway; nor is it the freedom of the positivist’s personal preference or emotivism. No, freedom here means the freedom to make exceptions to general rules or principles. The free person is the person who has the where-with-all to ignore conscience, reputation, facts, and anything else in order to make the best arrangement possible under the circumstances. This is the freedom to act in any way necessary, even to do what is wrong, in order to avoid what is worse, e.g., avoiding war by being unjust to large numbers of people, and consequently failing to see that what he thinks is worse, may still be the better, failing to see that evil can never be satiated (Ethics, p. 69).

On the other hand, the escape to a domain of private virtue is, perhaps, of all temptations the most dangerous to the Christian. This is a pulling back from the petty and vulgar affairs of the world in order to avoid being contaminated by evil. This monastic urge is rejected by Bonhoeffer, because for him there is no such thing as escaping your responsibility to act. When faced with evil, there is no middle path. You either oppose the persecution of the innocent or you share in it. No one can preserve his or her private virtue by turning away from the world (Ethics, p.69).

Bonhoeffer’s last category, duty, is perhaps the most important to him, because it is the most easily co-opted by evil; and again it makes no difference what laws we introduce to determine our duty. If a devotion to duty does not discriminate in terms of character, it will end up serving evil. “The man of duty,” Bonhoeffer observes, “will end by having to fulfill his obligations even to the devil” (Ethics, p.69).

Bonhoeffer replaces philosophical ethics and its pursuit of criteria to justify action in advance with an ethics grounded in the emergence of Christ as reconciler. The cornerstone of Bonhoeffer’s ethical world is a social/moral realism. In any given context there is always a right thing to do. This reality is a direct result of his Christology. The reality of the sensible world, with all its variety, multiplicity, and concreteness, has been reconciled with the spiritual reality of God. These two radically divorced worlds have now been made compatible and consistent in the reality of Christ (Ethics, p.195). Through Jesus the reality of God has entered the world (Ethics, p.192). If an action is to have meaning, it must correspond to what is real. Since there is only the reality of Christ, Christ is the foundation of ethics. Any Christian who attempts to avoid falsehoods and meaninglessness in his or her life must act in accordance with this reality.

Furthermore, the sole guide for acting in accordance with this reality is the model of Jesus’ selfless behavior in the New Testament. There are numerous dimensions to this model. First and foremost, your action can in no way be intended to reflect back on you, your character, or your reputation. You must, for the sake of the moment, unreservedly surrender all self-directed wishes and desires (Ethics, p.232). It is the other, another person, that is the focus of attention, and not yourself. In ethical action, the left hand really must be unaware of what the right hand is doing if the right hand is to do anything ethical. If not, your so-called good action becomes contaminated and its moral nature altered.

Bonhoeffer illustrates this notion of selfless action by contrasting the behavior of Jesus in the New Testament to that of the Pharisee. The Pharisee “…is the man to whom only the knowledge of good and evil has come to be of importance in his entire life…”(Ethics, p.30). Every moment of his life is a moment where he must choose between good and evil (Ethics, p.30). Every action, every judgment, no matter how small, is permeated with the choice of good and evil. He can confront no person without evaluating that person in terms of good and evil (Ethics, p.31). For him, all judgments are moral judgments. No gesture is immune to moral condemnation.

Jesus refuses to see the world in these terms. He lightly, almost cavalierly, casts aside many of the legal distinctions the Pharisee labors to maintain. He bids his disciples to eat on the Sabbath, even though starvation is hardly in question. He heals a woman on the Sabbath, although after eighteen years of illness she could seemingly wait a few more hours. Jesus exhibits a freedom from the law in everything he does, but nothing he does suggests all things are possible. There is nothing arbitrary about his behavior. There is, however, a simplicity and clarity. Unlike the Pharisee, he is unconcerned with the goodness or badness of those he helps, unconcerned with the personal moral worth of those he meets, talks to, dines with, or heals. He is concerned solely and entirely with the well being of another. He exhibits no other concern. He is the paradigm of selfless action, and the exact opposite of the Pharisee, whose every gesture is fundamentally self-reflective.

The responsible person is, thus, a selfless person, who does God’s will by serving the spiritual and material needs of another, since “…what is nearest to God is precisely the need of one’s neighbor” (Ethics, p.136). The selfless model of Jesus is his or her only guide to responsible action. And second, the responsible person must not hesitate to act for fear of sin. Any attempt to avoid personal guilt, any attempt to preserve moral purity by withdrawing from conflicts is morally irresponsible. For Bonhoeffer, no one who lives in this world can remain disentangled and morally pure and free of guilt (Ethics, p.244). We must not refuse to act on our neighbor’s behalf, even violently, for fear of sin. To refuse to accept guilt and bear it for the sake of another has nothing to do with Christ or Christianity. “(I)f I refuse to bear guilt for charity’s sake,” Bonhoeffer argues, “then my action is in contradiction to my responsibility which has its foundation in reality” (Ethics, p.241). The risk of guilt generated by responsible action is great and cannot be mitigated in advance by self-justifying principles. There is no certainty in a world come of age. No one, in other words, can escape a complete dependency on the mercy and grace of God.

3. References and Further Reading

All quotes from: Dietrich Bonhoeffer, Ethics, (New York: Simon & Schuster Inc., Touchstone Edition, 1995).

Works by Bonhoeffer:

  • Sanctorum Communio (The Communion of Saints)
  • Act and Being
  • The Cost of Discipleship
  • Life Together
  • Ethics
  • Letters and Papers from Prison
  • Gesammelte Schriften, 4 vols.

Author Information

Douglas Huff
Email: dhuff@gac.edu
Gustavus Adolphus College
U. S. A.

Maurice Blondel (1861—1949)

BlondelBlondel’s importance has largely been in theological and Catholic philosophical circles in France, Germany, Spain, Italy, and Quebec. Among many other important authors in the 20th Century, Blondel is responsible for the “new theology”, that played such a great role in the deliberations and arguments of the Second Vatican Council.

Blondel’s readings of other philosophical figures also bears a striking resemblance to the type of reading carried out under the rubric of Deconstruction. There are some major differences, however, both in the aim and the method of the reading. Blondel’s style of reading is to read a text through fully, eschewing polemics and taking of reified positions until the doctrines advanced in a text have been adequately understood. Then he proceeds to develop these doctrines or theses to their fullest extent, acting as if they were true in order too see what sort of consequences they would have for the thinking and acting subject. The aim is to assess the adequacy of the doctrines as the representation of a philosophical position, and this consists in two parts. First, there is the question of the adequacy of the representation. Second there is the question of the adequacy of the developed philosophical position itself. The goal of such a reading is to allow a doctrine or philosophical position to provide evidence of its own inadequacy on its own grounds, by indicating to us the extent to which it is true and able to provide an account of itself immanently, and by thereby indicating to us the extent to which it is only relatively true and insufficient, without thereby being simply false.

In his focus upon and demonstration of the inadequacy of the various philosophical positions and theses Blondel considers in his works, the mediations of human action that remains irreducible to unreflective practice, and the necessary requirement of a transcendence which the philosophical positions and doctrines attempt to efface, disparage, or force into forgetfulness, Blondel can also be brought into a continuity with certain Western Marxist figures, perhaps most closely with Theodore Adorno. Although Blondel does not use the term until his later works, he is intent upon critiquing reified consciousness and ideology.

Table of Contents

  1. Biography
  2. Immanence and Transcendence
  3. L’Action (1893)
  4. The Reaction to L’Action and the Dialectic Between Philosophy and Christianity
  5. Blondel’s Metaphysical Trilogy
  6. Blondel’s Methodology
  7. References and Further Reading

1. Biography

Maurice Blondel was born in Dijon, France in 1861, entered the École Normale Supérieure in 1881, and passed the aggregation in 1886. Like many in his generation, he was profoundly affected by the tensions in French life, particularly those between the French academic establishment and Catholicism. Blondel defended his thesis, L’action in 1893, at the Sorbonne. His thesis, which argues for the inescapability of the “religious problem”, brought him into the heart of theological and philosophical controversy of his time, First, Blondel was refused an university position on the grounds of having taken an improperly religious position in his philosophy, finally receiving a Professorship in Aix in 1897. After his difficulties with the philosophers, Blondel found himself under attack by conservative neo-thomist theologians for having rationalized theology, and ultimately by the group L’Action Francaise, as a “modernist”. Blondel wrote the Letter on Apologetics in 1896 and History and Dogma in 1903 precisely to address these problems, not least the great gap between Catholic thought and Modern philosophy and social existence.

Blondel refused to republish L’action (1893), intending to rework it in light of a larger, more rigorous project that was to become his metaphysical trilogy. In the meantime, he published numerous articles upon Modern Philosophy and Church Fathers, and took part in the Modernist controversy, taking a position that was neither Modernist nor Veterist, but rather stressed the role of a living tradition. In 1905, Blondel purchased the journal Annales de la Philosophie Chrétienne, and set up Lucien Laberthonière as editor, and engaged himself in argument against L’Action Francaise and its authors. In 1919, Blondel’s wife, Rose, died, and in 1927, his vision degenerated, leaving him nearly blind, necessitating his retirement, able to work only by dictation. From 1934 to 1937, however, he published the five volumes, La Pensée (2 vol.), L’être et les êtres, and L’action (2 vol.) of the metaphysical trilogy, followed by L’Esprit chrétien, only two volumes of which were completely finished at his death in 1949.

Blondel’s importance has largely been in theological and Catholic philosophical circles in France, Germany, Spain, Italy, and Quebec. Among many other important authors in the 20th Century, Blondel is responsible for the “new theology”, that played such a great role in the deliberations and arguments of the Second Vatican Council.

2. Immanence and Transcendence

Perhaps the most central theme in Blondel’s work is the complex relationship between immanence and transcendence. For each order of phenomena, it is possible to carry out an analysis simply at the level of those phenomena or in terms of those phenomena, within certain limits. Such an analysis, while revealing the relative sufficiency and structures of one level, for instance, those of affectivity and the body on the one hand, or of political association, on the other, has as its goal the indication at what points at to what degree these levels are not self-sufficient and must make recourse, either overtly or covertly to something transcendent to that level and order, for example, intentional and voluntary action as transcendent to affectivity, or humanity and morality as transcendent to political association. This type of analysis does not nullify the reality of the phenomena treated as immanent, but rather exhibits their necessary co-structuring relationship with the orders of phenomena transcendent to them.

This relationship is often figured in terms of adequacy and self-sufficiency. The goal of Blondel’s analyses is to show that the order of phenomena treated as immanent from within the scope of that particular investigation is not sufficient unto itself, that is, that at least another order of phenomena, an order transcendent to the order under investigation. Philosophical, religious, and scientific doctrines function, never simply as representations of reality, simply within the range of speculation or theory, but also serve to orient the life, practices, and action of human subjects, and it is in this respect that adequacy as a criterion comes into play. A doctrine about the reality in which human beings live which does not sufficiently take into account and provide a reflective basis for action, by which a subject can come to understand their role and destiny within that life, a life shared by others, mediated historically and materially, and ultimately oriented towards transcendence, cannot but prove to be inadequate to the demands of the problem of action.

In this perspective then, the goal of Blondel’s life-work was three-fold: First, to examine the exigencies of human action in order to delineate the too-often neglected structures of this vital dimension of human existence. Second, to examine the doctrines of thinkers, texts, and movements, in order to assess the adequacy of their positions and to expose the inadequacies of their positions and practices. What Blondel carried out in his own time is what has come to be called, in certain circles, as set of “philosophical interventions”; Finally, the development of a more fully articulated “philosophy of insufficiency”, which would comprehensively treat the relationship of action to thought and being for the human subject oriented historically, socially, and in relation to the Absolute.

3. L’Action (1893)

L’Action: essai d’une critique de la vie et d’une science de la pratique, with minor adjustments, is the thesis defended by Blondel at the Sorbonne at. This work, despite its very early position in Blondel’s corpus, is perhaps the best known of his works. While not as comprehensive as his later works, many of the themes that dominate his work are treated in L’action, and for this reason, this article gives the greatest space to a summary of these themes as found in that work. The text consists of five main sections, developing a dialectical phenomenology and ontology of the subject of action and its relation to transcendence. Blondel begins, in the Introduction, by delineating the relationship between speculation and action, and by arguing the impossibility of a purely speculative resolution or even setting of the problem action poses

The human condition is of the necessity to act, without ever having the luxury of taking a purely speculative position prior to involvement.

Impossibility of abstaining or of holding myself back, an incapacity to satisfy myself, to suffice to myself, and to be free of myself, this is what a first glance at my condition reveals to me. (p.x)

At the same time, this condition of already being enmired in the situation of action, action one has already taken, and action one is yet to take, provides the subject with the possibility of knowledge about the conditions and determinations of action, both a type of self-knowledge, and a knowledge of reality. Commitment, therefore, does not preclude speculative objectivity, rather it is its condition of possibility.

I will not claim to know myself and to experience myself, to acquire certainty, nor to assess the destiny of Man, without placing all of Man that I carry in myself into the crucible. It is a living laboratory, this organism of flesh, appetites, desires, and thoughts whose obscure labor I feel perpetually. (p.xii).

In fact, Blondel will go so far as to demand that the understanding of action must be brought to the point of a “science”, a science, however, which, must go beyond the limitations of the conception of science as simply objective. What Blondel means by science in this context is similar to what Hegel means by science in his discussions in the Phenomenology of Spirit and the Science of Logic. This science is particularized as well in the knowing and acting subject.

It is therefore a science of action that we must constitute; a science that will only be such to the degree that it is total, because every way of thinking and living deliberately implies a complete solution to the problem of existence. (p. xvii)

Blondel focuses his investigation upon action precisely because this is the only way to call everything into question, to proceed without relying completely on any presuppositions or predeterminations. This, however, leads him to a central concept and experience, that of a will (volonté), at the very center, the “common knot of science, morals, and metaphysics”, of his being.

At the ground of my being, there is a willing and a loving of being, or there is nothing . . . Involuntary and constrained being would no longer be: so much it is true that the last word of everything is beneficence; and to be is to will and to love. (p. xxiii)

In the first part, Blondel asks whether the problem of action is necessary to pose in the first place, or whether it can be avoided. By the problem of action, Blondel means the problem of the determination of the subject morally by some degree of reflection and engagement within being. It is not possible to suppress or banish this problem entirely by denying the possibility or reality of moral action, nor to, in appearance going one step further, deny any possibility of an adequate knowledge of being, in the first place because these attempts to deny the ground of the problem must still make some claim to a basis in truth and a relation to value.

In order to suppress everything, it is necessary, and it suffices, as it appears, to be all science, all sensation, and all action. (p.2)

This is a theme which appears over and over in Blondel’s works. Such negative and ultimately idealistic attempts to banish the problem indicate a deep form of egoism, a taking of self as the ultimately valuable and real, and an attempt, at the same time to remove any constraints upon the pure freedom of the self. This takes place though an attempt to conceal this position of a will, not only to power, but for the preservation of the conditions of employing that power, by means of a scepticism or nihilism that ostensibly denies the reality of values, an treats being as appearance. What this position truly maintains, however, is the will willing its own freedom, a type of freedom, however, unconditioned by any object but the self.

And, “I do not will to will”, nolo velle, translates immediately in the language of reflection into the two words, volo nolle, “I will not to will”. At least to do violence to the laws of conscience, not moral, but psychological, at least to dissimulate, under a completely verbal subtlety, to truth of things, the single sentiment of an absence of will implies the idea of a will that does not will and abdicates. (p. 12)

No denial of the problem, therefore, can sustain itself, not simply because it is false, but because it relies secretly upon that which it would refuse to affirm. In the second part, Blondel asks whether, given that the problem of action in unavoidable, one can consistently take a negative solution to it, the solution of pessimism or of a tragic sensibility. This position is not without a certain ground in truth, for our experience of life is not one of simple harmony, but one of discord, of suffering, of the presence of evil. It does not suffice for us to will the good for the good to be produced, or even for our wills to remain constant. The experience at the ground of pessimism is one of futility and the vanity of our attempts to come to terms with reality. Blondel views this problematic as especially acute in modern times, promoted by the artificial modes of thought of Kantian Critical Philosophy

Under the pretext of raising back up and of strengthening perhaps practical reason, one ruined it by the same stroke that strikes a deadly blow to pure reason. For all, whether they know or not, the problem of life is at the same time a question of metaphysics, or morals, and of science: action is that synthesis of willing, of knowing, and of being, the link of the human composite that one cannot separate without destroying everything that has been deunited.

The modern forms of pessimism result, in part, from the dominance of a mode of thought that, driven by epistemological concerns, imposes these ultimately false separations, both methodologically, as in the sciences, and more generally in the conditions of public life. If the possibility of a coherent totality of willing, knowing and being, is denied, these fall apart into orders of mere positivities whose ultimate meaning cannot be grasped. Indeed, pessimism is the very denial of such a meaning.

Again, Blondel finds in pessimism a hidden movement and directedness of the will. The pessimist cannot be satisfied with life because he postulates some greater value, unsatisfied in that life, namely the fullness of being, not merely the phenomenon.

From the phenomenon, he argues against being, even though he only feels the insufficiency of the phenomenon if it is penetrated first by the grandeur of being: he affirms before denying it and in order to deny it. (p. 33)

At the moment when one declares the insufficiency of the phenomenon, one attaches oneself to it as if it were the only real and solid being; one persists in contenting oneself with what thought and desire recognize to be vain, deceptive, and nul; one places one’s whole where one admits otherwise that there is nothing. (p. 35)

The third part of L’action, divided into five sections, takes up the task of delineating a positive solution to the problem of action, by means of generating and applying the “Science of action” Blondel spoke of earlier. Blondel argues that one cannot restrict the phenomenon of action or the science which would study it to a purely natural order, least of all that of the “natural sciences” developed in Modernity. In the first section, beginning with an analysis of sensation, the incapacity for the natural sciences to deal effectively with sensation as actually sensed, that is, buy a subject, and not treated merely as an objective fact, leads Blondel into a distinction between two different but auto-reinforcing fields of “science”, namely deductive science and positive or empirical science. Both of these types of science, which remain incapable of treating subjectivity as such, are justified by a covert appeal to each other, explaining the dominance of the scientific viewpoint in Modernity.

In order to effectively study action, a subjective science is necessary, a science that finds its basis in the very phenomenon of subjectivity

That is to say that in every scientific truth and in every known reality we must suppose, in order that it be known, an internal principle of unity, a center of grouping imperceptible to the senses or to the mathematical imagination, an operation immanent to the diversity of the parts, an organic idea, an original action which escapes from positive knowledge at the moment when it makes it possible, and to employ a word which needs to be better defined, a subjectivity (p. 87)

In the second section, Blondel begins to work out this science of subjectivity, beginning at the level of the threshold of consciousness and the affective and sensual structures of the body. In his investigation of the determinations of these basic components of consciousness, Blondel rejects any reduction to formal-mechanistic conceptions of determination, namely mechanistic determinism. At first this takes place in terms of a mere psychological spontaneity.

So, from the moment where it appears under the form of appetite or of instinctual need, there is a spontaneity victorious over mechanist determinism, an automatism already completely psychological. (p. 103)

The psychological determinism absorbs and puts to use the physical determinism, and will, in its turn be likewise set upon by higher levels of human existence, mediated in great part by symbolic activity. Symbolic activity is the original basis of both the intellect and the will, of intentional action and of reflection. The categories by which action and thought become possible remain imbued, but no longer determined by, affectivity and sensation, and enter into and generate further complex orders of their own which, although they are distinguishable from the lower orders, maintain a continuity with them as well.

It is from this basis that the human being becomes conscious, no merely of urges and desires or capacities, but also of freedom as such and of more than fleeting self-consciousness. In fact, the two, while not identical, are inextricable. Reflection guides action, and action demands reflection, both of these taking place through the subject which is never completely either one or the other. It is also at this level where transcendence can begin to be grasped reflectively, as further determination with respect to the immanent and not merely the negation of the immanent. For the subject, this takes place in relation to the infinite, and an infinite which one comes to know imperfectly through action.

What is it in effect that reveals to consciousness that apparent infinity of a power which is that agent’s? It is the very action which accomplishes itself in it and by it. And what inspires for it the desire and the feeling of its own power? It is the idea of that infinity of action from which it makes the origin of its voluntary decisions: a reflection and freedom impossible for whoever instead of acting would be acted upon. For there is no reason or reflective consciousness or sentiment of infinity except where there is consciousness of acting. (p.120)

Action then, reposing originally upon a ground of passivity, of being acted upon by the world and others, is a transcendence of that passivity. In turn, however, that means that the process of the determination of that activity, that transcendence will be a process that is in fact in process, that cannot be simply reduced again to another immanent order, especially an order represented as purely immanent, for that would involve us again in the problem of a subjectivity which does not take account at all, as was the case in modern science, of its continual, complex, and irreducible role in orders of objectivity.

The freedom of the will and the capacity for reflection, for rationality, cannot be maintained as purified, however, as they were for Kant, for the attempt to guarantee autonomy of the will as a condition for moral action ignore the requirement of commitment, of a necessary degree of heteronomy. In order to act in a world which is not simply dominated by the subject, the subject must allow its action to de determined in part by the exigencies of the situation. A certain heteronomy is therefore the condition for the possibility of autonomy.

Submitting itself to a heteronomy in order to maintain its own sovereignty, it brings to the service of a chosen tendency the very forces of the rival tendencies; it does what it does with the power that it would have used to do everything that it does not do. (p.130)

Action is a sort of co-action, not simply the imposition of force externally, but a relation to what one wills to act upon and with. Blondel makes a distinction between the willing will (volonté voulante) and the willed will (volonté voulue) which are both aspects of this play between autonomy and heteronomy in co-action.

This is why, proposing to itself freedom as an end, one feels a disproportion between the willing will, quod procedit ex volontate, and the willed will, quod volontatis objectum fit. One experiences the difficulty of a choice and a sacrifice.(p. 132)

In the three sections that follow, Blondel carries out a set of analyses, moving from the body of the subject to the relationship between the individual and society, and finally from the social to the religious in a general sense, the “superstitious”. The general movement in each case follows the same structure: an analysis of the order of immanence indicates the insufficiency of that order to the phenomena that are uncovered in that analysis, pointing to the necessity of something transcendent to and contributing to the structure of meaning of the immanent order. That transcendent then is explored from the new vantage point of that order of phenomena, and reveals in its turn its own insufficiencies and exigencies.

Beginning with the body, Blondel exposes the relationship between conscious life and the unconscious, which has its own role in action. The very irreducibility of action to a verbal or conceptual formalization derives from the fact that our existence as conscious and self-conscious beings is mediated by the unconscious, that which is, as determinations of agents, without being explicitly known by those agents.

The unconscious is not down below only; it is also up above and beyond deliberate resolutions. (p.150)

Consciousness is not something which sorts out the vagaries of the unconscious or operates upon it afterward; rather it is a node of clarity and lucidity which is at the same time, a shifting off into regions of shadow. Blondel asks why the will has to incarnate itself in materiality. The answer to this is not simply a matter of the interaction between formal and material causes, so that in order to have a form, there must be a matter in which the form resides. Nor, in a variation on this, is it simply a matter of efficient causality, so that the essence of the will be that it act upon and through the body. Instead, there is a relationship of final causality which includes these others but surpasses them. For, more is gained by the will than simply the locus of its externalization in its incarnation, precisely because the will is something which takes place temporally. The will allows itself to be worked upon, to be unfolded, to blossom open, only though its thoroughgoing ebb and flow into and out of materiality. Hence, in order for the will to be, not simply what it wills, but what it will be, what it would be, that is, for it to move towards its final end, it must allow this incorporation and materialization in the body.

This means that the will has to incorporate itself in habitual processes, where there is an interplay between the conscious and the unconscious. The permeability of the conscious and the unconscious to each other is what allows them to interact.

Thus the prealable notion of effort is like the structure prepared to receive all of the precise lessons of effective experience. What is afferent in real perception is not perceived as such except as the consequece of a yet undetermined initiative and because of the a priori welcome of the expected a posteriori. (p.156)

This very complex process cannot be taken in by consciousness as a whole without the aid of adumbration and imagery. At the same time, however, the very passivity and habitude which is required for the effectuation of the will is at the same time a product of previous willings mediated through previous states of materiality.

 

The habitual comportments, modified by the conscious interventions of the will and reflection, are not merely the relationship of a subject to a set of objects. Rather, at this basic level, the relationships to objects are already invested with a degree of subjectivity that is not merely a projection on the part of the acting subject. To the degree that the forces which resist the willing will and thus condition the willed will are not simply physical factors of an order completely heterogenous to the will, they take on a partially subjective nature.

But, the forces that are not a pure inertia, nor a brutal and blind weight; the multiple forces that express themselves in us by an instinctive tendency toward ends in view, by appetites, by solicitations that hold our thought, of forces that, in a word, reveal, below reflection, a subjective life and the intervention of obscure consciousnesses. (p.162)

These forces, within the willing subject are partially dominated by reason and the will, but a reversal of this is possible as well, where the subject comes to be dominated by these impulsions of forces. In fact, this is quite reflective of Blondel’s position. These motifs can come to dominate the reasonable willing subject precisely because they play a necessary role in action. Rational and voluntary action is then never pure, it always requires a co-action and synergy.

This co-action becomes much more explicit in the domain of the social. The possibility of action does not lie simply in the relation of the individual to the world, but is rather already permeated by sociality, not least in so far as action is brought into reflective thought by instances of conceptualization and language, but also by a categorical exigency of intersubjectivity.

Just as the formulated liberty could not save its autonomy except by imposing on itself the heteronomy of a practical obligation and an effort, the person is not born in the individual, it does not constitute and conserve itself except by assigning itself an impersonal end . . .Man does not suffice to himself; he must act for others, with others, by others. One cannot arrange for onself the affairs of one’s own life. Our existences are so connected that it is impossible the conceive a single action that does not extend in infinite undulations, quite beyond the end that it seemed to aim at. (p.198)

The condition for all but the most primitive and basic types of action is that one act within a social world, which means not simply a world of others, but a world in which others act, have acted, and will act. In the fourth section, Blondel turns his attention explicitly to the conditions of the intelligibility of acts, and this implies a necessary mediation by signification, signs, and language. In its most fundamental form, this co-implication of self and other takes place in terms of giving aid, of helping, prior to all strive and contention, which, however, are also then possibilities of the acting subject in relation to other subjects.

The fact of such an intricate relationship between action and signification, however, also means that the expressivity of the act does not remain with the subject, but is in a certain sense, just as much as a word or a gesture, alienated from the originating subject. Any other subject might be the one to perceive and interpret, give a meaning to the action, and this is a condition for the ac even in the process of origination, which makes all action, in a certain sense universal. Significative action, however, is not simply representation, but is also productive.

One should not believe that, in the sign, there is nothing more than its weakened echo: no, there is, already in it, in order to make it possible and to produce it, a commerce of the agent with something other than the agent, a new synthesis of the individual life with the milieu where it deploys itself. So, one does not speak in the void; and it is a foreign concourse a parte acti, which permits the most rudimentary expansion a parte agentis. Every sign is already a work. (p. 208)

This does not mean, however, that action is always successful, always aided by those brought into it through their own contribution to the act. Working along with each other means that the guidance and direction of the action is also alienable.

The impenetrability, the insufficiency, the unintelligence of our allies mess up our projects just as much as the hostility of obstacles: They make theirs what we want to be our own. (p. 217)

This, however, is never an all-or-nothing determination. Implicitly, all involved in an action play some role in its determination.

So the causal link results at the same time from a subjective disposition and an emperical association. Its originality is at the same time analytic a priori and synthetic a posteriori; for, in the effect produced, each of the subjects who contributes is a principal agent. The ideal intention seems completely drawn from the initiator; the response appears to come entirely from the collaborator; but, in fact, there is a reciprocity of the forma and the matter, and in the work, there is a symmetrical operation: each thinks to have done everything. (p. 223)

In the arrangements of social relations, a level transcendent to the individual subject, this becomes explicit. And, with this movement to the level of the social, Blondel treats another order of immanence, one where the existence and agency of individuals is no longer oriented around the subject alone.

That there are subjects foreign to the agent, this is a phenomenon of the same order as the existence of the subject himself (p. 225)

Blondel elaborates the structures of social organization in the fifth part of the third section. He does not assume a single basis for society. There are different levels, all of which interpenetrate each other and contribute to determination of each other, but within which there exists a certain order irreducible to but affected by the other orders.

These societies, more or less comprehensive, are in effect defined and limited, just as every organism is. They form a collective individuality, and bear, like a living being, a proper name: the family, the homeland, humanity. But, at the same time that they are circumscribed and as it were boxed-up in each other, they remain open. (p.246)

These different levels of social organization, however, can fall into difficulties and idolatries analogous to those that can bedevil the individual. Often the capacity for healthy and salutary social involvement exists only in potentia, in actu at the level of the individuals only, not at the level of society. Blondel devotes analyses to each of the levels. At the level of the family, a mutual commitment, rooted in but not reducible to organic processes, conditioned but not entirely determined by the culture of the homeland, results in the generation of a new generation, maintaining a certain identity through difference. More complex and serving different ends than the family alone is the homeland, the patrie, the nation, where a common culture is shared, the mode of life is differentiated, and a continuity beyond that of blood-relations is preserved.

Blondel is quite conscious of the dangers that a Romantic conception of the nation as Volk promotes. He raises two very important requirements for a nation to be more than simply an ideological construct which conceals structures of domination. First, there must be equitable relations of production between the classes and groups comprising the society. Second, there must be a reflective and free social discourse.

Not that the historical development of nations and races accomplishes itself with the infallible spontaneity of instinct. It is not at all a matter of that confused life that vegetates in the heart of popular masses. Human history is not, in the strict sens of the word, natural history. That is to say, beyond the indistinct forces which move the great human currents, reflection and liberty are original powers, capable of penetrating profoundly, as essential factors, into the destiny of peoples. (p. 266)

In fact, this requirement for the social to be conditioned by reflection and freedom, the province of the will and reason means that the homeland, the nation is revealed as insufficient to itself. To the degree that universal ideas are appealed to and promoted, the nation is no longer able to close itself off and treat others as mere tools or slaves. The higher developments of national consciousness, for Blondel, introduce the development of consciousness of humanity as such.

The universalization of morality that this movement introduces the role of morality as more than simply a set of customs or an ethos. The acting agent, acting within a social milieu which is, most often, quite flawed and wracked by conflicts, injustices, violence, remains capable of, even called to, action that can promote the good, both social and individual. Morality, is not, however, as it was for Kant, the universal precepts of a reason legislating for itself and for all rational beings. Instead, more comprehensively, it consists in the relations of social and moral solidarity with the actions, many of them past, the actions of those who are already themselves dead. Morality is something which exceeds the moral agent not because the moral agent is not rational enough, but because morality is something which, properly speaking, takes place within, but is not reduced to or absolutely determined by society.

Morals are not simple individual habits generalized. If there is an action of the individual on society, and of society on the individual, we must above all take account of the influence of society on society itself. That is to say that morals create morals; that a social fact derives from other social and collective facts where the sentiment has a greater part than the clear idea; and that individual action cannot suffice to organize the life of the individual, because there always is in practical logic more than the abstract analysis could discover. (p.284)

Morality, however, and the possibility of moral action, leads to another level of transcendence. It is impossible to account fully for morality by reference to a purely secular order of phenomena, and the demythologised accounts of Enlightenment philosophy remain unable to account for it as well. There is a dimension which Blondel calls the “superstitious” that supports value and morality and provides it with an end and structure of motivations as well. Even in the appeal to a demythologized or disenchanted social world, this functions as a new type of myth, the myth of having and appealing to no myths. This means that the social order, transcendent to the individual subject, cannot be wholly self-sufficient as well, not even when expanded to a generalized humanity. One must take account of the role of the supernatural, not merely in its role in the origins of primitive cultures, but within all cultures.

In the fourth part, Blondel, having elaborated the dialectical relationships between the various orders of immanence and transcendence, Blondel returns to the problem of action from considerations of the single acting subject. In the first moment, the will is revealed as inadequate to the action it aims to impose on phenomena; something always escapes it in its striving towards a goal. Second, willing action not only fails to produce entirely what it wills, it produces what it does not will, unforseen consequences; the will remains, itself one of these unforseen consequences, and this means responsibility cannot be easily evaded. Both of these moments lead to the point of realization that human action implies an “inevitable transcendence”, eventually leading the agent towards the “one thing necessary”, the necessary being, God, who we, however, are not able to figure and dominate by concepts or phenomena.

The part culminates in a radical determination of the acting individual subject in relation to the structures that have been uncovered and explored throughout the work, and in particular to the transcendent moment of unity, Religion and God. Blondel calls this moment “the option”. This does not correspond to a voluntarist determination of either absolute obedience to a divine being whose reasons one cannot question or to non-obedience, but rather to the possibility of an ascesis of the will and a recognition of one’s insufficiency. The other pole of the option is selfishness (egoisme), a decision taken against this insufficiency, to, in one permutation or another, will onself as the center of being, remaining, to be sure, inadequate to this position, but also concealing this from onself. This latter Blondel calls “the death of action” , counterpoised to the “life of action”, in which one wills to take part in an economy of grace, to recognize not only one’s finitude, but also the infinitude of the Absolute that is related to the finite personally.

Mortification is therefore the true metaphysical experiment, that which bears on being itself. What dies is that which impedes seeing, doing, living; and what survives is already that which is reborn. To survive oneself, there is the proof of the good will. The be dead would not be anything, but to survive, to feel oneself stripped of one’s intimate complacencies and of one’s tastes of independence, to be in the world as not being in it, to find for all human tasks more ardor in detachment than one can force in passion, this is the masterpiece of man. (383-4)

In the final part of L’action, Blondel turns explicitly to the relationship between philosophy and Christianity, the natural and the supernatural. He rejects the argument that anything supernatural must be, from a human perspective, arbitrary, since humans are not simply, as his studies of action have shown, confined merely to the immanent and natural orders. Blondel attacks the sterility of critical philosophy, the apogee of the Enlightenment, for having closed off questions rather than answering them, for demanding God to show Himself and to be judged by man. Blondel locates the fundamental error in the lack of attention to the phenomenon of action. Too often philosophy treats action as something only secondary, thinking that the limited intelligible structures philosophy treats are reality itself. Instead, action plays a fundamental mediatory role, it allows the “conditions of possibility” to be such, and to be manifested as such.

Blondel draws as a corollary the necessity for literal and actual lived practice in order to tackle the religious problem, which has important implications for philosophical practice

Without false respect or temerity, it is fitting to bring philosophy to the point where it can go, to the point that it ought to go. It has too often abandoned a part, the highest, of its domain; we ought to give it back to it. . . . It is a matter of seeing how this notion of the supernatural is necessarily engendered, and how the supernatural seems necessary to the human will in order that action be equated in consciousness. (406)

Blondel brings the work to a close by discussing corollaries to this, particularly the concrete and particular exigencies of such a practical grounding. This does not imply any sort of particularity one wishes to take; rather, to respond fully to the problem of action and the religious problem is already to be centered in a history mediated by certain texts and practices. At the same time, this also involves the acting subject in the most general determination, those of thought and of being, and these are structured dialectically, by a “logic” that does not allow itself to be subsumed simply to thought, or, as it did for Hegel, to the relationship between thought and being. The attempt to resolve the problem of action and the religious problem thus finds itself brought back finally to the problem of the end of human destiny

The Critique of Life, in order to resolve the human problem, can not not resolve the universal problem. It determines the common knot of science, or morals, and of metaphysics. It fixes the relations of consciousness and reality. It defines the meaning of being. This vital point it discovers at the intersection of knowing and of willing, in action (480)

4. The Reaction to L’Action and the Dialectic Between Philosophy and Christianity

Blondel came under attack from both sides after the defense of his thesis, first from the philosophical establishment, second from right-wing Catholic critics. It is in response to this second set of critics that Blondel wrote Letter on Apologetics and History and Dogma, two works which treat the relationship between Catholic dogma, the historical role of the Church, Modern Philosophy, and Modernity. These pieces allowed Blondel to clarify his position on the concrete exigencies of the historical relationship between the Catholic Church and the subject acting within a world which had changed drastically since the Middle Ages, a subject confronted not least with the increasingly marginalized role of the Church in politics, economics, science, and philosophy.

In the Letter on Apologetics, Blondel calls the Thomist-Scholastic synthesis, at its time an apogee of reflective and concrete thought engaged in social, intellectual, and religious problems, an “unstable equilibrium”, one which cannot be returned to or reimposed by fiat, but which must be replaced by a renewed consideration of the general conditions such a equilibrium was an attempt to reconcile and resolve. Blondel locates this in the capacity for the Thomistic synthesis to mediate the two conflicting realms of philosophy and theology by providing a third term, a mediating ground and link. This capacity, however, was a transitory one, lost in the immense changes that took place in Modernity, and Blondel calls for the restoration, through rigorous examination of the demands, motifs, and systematic claims of modern thought, of such a mediating term.

The central problematic, as Blondel views it, is one of conflicting requirements of autonomy and heteronomy. Philosophy, since it emancipated itself from theological concerns, in order to be what it ought to be, must be acknowledged as autonomous, while theology, by its very nature, cannot be theology under such conditions; while requiring use of the intellect and will, it ultimately can only take place in a fundamental heteronomy.

. . . the chief and indeed the unique aim of philosophy is to assure the full liberty of the mind, to guarantee the autonomous life of thought, and to determine in complete independence the conditions which establish its sway. Can there be, then, any possible connection between philosophy and Christianity, since the one seems to exclude the other. (152)

Blondel aims to undermine this false dichotomy in the Letter in two main ways. First, he addresses the question of the necessity of Christianity.

If Christianity were a belief and a way of life added to our nature and our reason as something optional, if we could develop in our integrity without this addition and we could refuse deliberately and with impunity the crushing weight of the supernatural gift, there would be no intelligible connection between these two levels, one of which, from the rational point of view might well not exist. (154-5)

Blondel argues that assuming such an optional status for Christianity, not optional in the sense of being merely a possible choice of the individual subject, but optional in the sense of being ultimately superfluous to rigorous philosophical reflection, is precisely to miss addressing the problem Christianity poses; ultimately, it is a question of “all or nothing”. One can reject the philosophical viewpoints that Christianity nurtures, one can decide a priori that there is no relevance or veracity to such a comportment or hypothesis, but this is not a neutral decision.

Second, Blondel argues that a dialectical engagement between Christianity, in particular Catholicism, and Modern philosophy has become necessary for either of these to remain consistent to themselves and their very projects. On the part of Christianity, if it is to retain a faithful orientation to Christ as Truth, it cannot afford to disregard the thought developed since the apogee of the Scholasticism, as was too often the case in Catholic circles. Nor could it afford to uncritically accept premises from current thought, too often the case in Protestant circles. For philosophy, the question is one of realizing the limits to its competence, not simply by laying down boundaries in the fashion Kant followed, through an intellectual division of labor that subordinated all other disciplines to philosophy; rather, philosophy, in order to remain true to itself, must come to recognize the competencies of other disciplines, and the exigencies of the supernatural, as the criteria for its limits.

Philosophy, in fine, giving up the pretension of containing and controlling totum et omne de omni et toto and the contrary but correlative pretension which makes it only a construction of thought or an epiphenomenon on the surface of life, must now precisely define its own competence and scope, including its own dynamism in the whole system of determination which it studies. (180)

Such a philosophy, which Blondel alternately calls a “Christian philosophy” or an “integral philosophy”, would in fact be the mediating third term discussed above, and is, Blondel maintains, the “subjective science” developed in his work L’action. This integral philosophy would not aim to replace all other systems, whether philosophical or theological, or to subordinate them, but rather to provide the supplement that they in fact require in order to fulfil their functions properly, including refraining from abrogating to themselves privileges, responsibilities, and authority which not only they do not rightly possess, but also interfere with their functioning and self-regulation and critique. Blondel’s critique, therefore, is also positive in that it not only manifest dialectically the limits and relations between philosophy and Christianity, but also constitutes precisely the theory and practice that maintains this reflection.

In History and Dogma, Blondel returns to these problems in a more historically motivated fashion. In the Letter on Apolgetics, he argued that there was a historical progress in the emancipation and subsequent development of Modern thought, not progress simpliciter, however, but rather a condition for progress, a condition that would be satisfied only in the evaluation, critique, and reappropriation of Modern thought by the integral philosophy he elaborated. Blondel also maintained that the proper attitude for the Catholic Church to take in the face of the effects, and even dominance, of Modern thought in recent time was not one of retrenchment, or return to an idealized Middle Ages dominated by Thomism, in part because of the progress to be realized through the confrontation with Modern thought, but also in greater part because there is no humanly historical origin-point to be returned to, which means that those advocating such a return are in effect covertly relying upon a form of idealism. In History and Dogma, Blondel takes up this problem more explicitly, arguing for a middle position between and critical of historicism and extrinsicism.

The question in particular was to the status of Christian dogma and its relationship to historical developments. One view, extrinsicism, held that dogma was unchanging, that it provided the meaning to historical events and developments, and that therefore the problems posed by the development of dogma in human history simply reflected errors. The static position taken by extrinsicism was motivated in part by the excesses of historicism, which argues that since dogmas arise historically, they are merely contingent products of historical processes. Within Catholic circles, such historicism took the form of Modernism, which, among other things, advocated accommodating dogma to Modern thought, precisely by using the categories and systems of Modern thought as the criteria for such accommodation.

Blondel rejects the explicit and systematic claims of both sides in the dispute, but offers a solution that allows a more fertile relationship between history and dogma. Dogma does in fact develop historically, and it is the product of historical process that are to a great degree contingent; in fact, going even further, in order for Dogma not to be simply another form of idealism, the believer must acknowledge that it is never present in absolutely completed form as extrinsicism maintains. Since Dogma purports to refer to reality, as part of that reality changes though the momentous changes of History, Dogma must be open to reinterpretation in light of, but not simply in terms of, present situations. In fact, living tradition allows for such a dialectic between past and present without requiring one to be absolutely subsumed to the other. On the other hand, the relativist claims of historicism are not even coherent, when they are taken to their logical conclusions. While the direction and thematics of history cannot be determined a priori (one of the conditions of it even being historical development), this does not mean that there are not some central processes and events that are more important than others and which play a much greater determinative role. In addition, for Blondel, history itself poses the religious problems that the dogma of Christianity represent solutions to.

Blondel’s emphasis upon tradition reflects his very methodology. Tradition is to function a a guide to the interpretation of the relationship between dogma and history, but this tradition itself, if it is not to falter and slip into one extreme or the other, must be a living and vital tradition. This means that it must remain engaged with the developments of the world outside of that tradition while at the same time remaining engaged within in a continuing conversation with the luminaries and decisive agents of its past. In the case of Catholicism, as Blondel argues both against the conservative Catholics of his time and against the Modern thinkers hostile to religion in general, let alone to Christianity or Catholicism, the very nature of the tradition requires a reflective and assiduously maintained commitment to fidelity to keeping that a living tradition.

5. Blondel’s Metaphysical Trilogy

In his later years, Blondel returned to the themes of L’action (1893), this time as a moment in a much more explicitly worked out metaphysical trilogy, La Pensée (2 vol.) in 1934 and 1935, L’être et les êtres in 1935., and a new version of L’action (2 vol) in 1936 and 1937. The later works reflect not only a deepened philosophical conception of the problems Blondel grapples with, nor simply a greater contact with and comparison to the thoughts of other philosophers, but also a more systematic structure of the problems. By treating the categories of thought and being rigorously in two separate, but related, works, he evades some of the difficulties that arise by placing action as the primary category. The various studies, however, form a cohesive whole, which is, in the end, rounded out by his more properly theological works, L’esprit chrétien and Les exigences philosophiques de chrétienité, and All of them culminate, like the first L’action, in considerations of the “option” and in the relationship to God. Only a greatly adumbrated account can be given here of these five volumes of work, but perhaps the key points can be made evident. In terms of this article, this requires a presentation that departs from Blondel’s explicit structuring of the works and instead places the key points in relation to each other synthetically.

In La Pensée, Blondel outlines a doctrine of “unthought thought”, or “cosmic” thought, thought that has not been thought by any human thinker, but nonetheless admits partially of being brought to intelligibility in a mediated fashion by human thinkers. This intelligible structure of phenomena does not remain, however, for the observer, merely immanent structures of phenomena, a dialectic of nature to be discovered and participated within. Nor does the thinking subject alone supply the determination to the reason and order it finds in the cosmos it explores, as in a dialectic of spirit. The thinking and acting human subject represents, not the ground of being and thought, nor simply a function or product of being or previous human thought, but rather an insufficient acting and thinking being whose action has its intelligibility and whose thought has its power of action only partly on its own basis. In effect, Blondel elaborates a dialectic of the supernatural that does not, as those of German Idealism do, reduce the spiritual to the human, a dialectic between nature, spirit, and God, which is a dialectic unfinished but not undetermined from the perspective of the human agent. In La Pensée, this takes place in terms of intelligibility , and in terms of the relationship of the subject to two constituitive types of thought.

In L’être et les êtres, the same problematic is approached in ontological terms, ultimately through the notion of created being. Blondel denounces various forms of what he calls “ontologisme”, ontologies that falsely hypostatize or reify some aspect of being as the ground or essence of all other beings and of Being itself. As he noted in La Pensée and comes to note in both L’action (1893) and the later L’action. There are striking similarities, given this formulation, between Heidegger’s insistences throughout his works that the question of Being has been reduced in each historical epoch to questions about beings; however, Blondel’s analyses both radically depart from Heidegger’s claim that all valuation is simply illegitimate projection onto Being on the part of the subject, and that the Christian God, as concept in a philosophical-theological system (for instance that of Thomas) does not address Being, but only a being to which all other beings are placed into relation.

In order to preserve and do justice to both the mysteriousness of Being, and the constant determination of beings, these cannot be strictly separated from each other by a concept of “ontological difference” as Heidegger claims. Rather than Being having to be unfigurable, it must be figured, there is an exigency within our very relation to Being that requires us to give it, and to discover within it, determination and solidarity not only between beings and other beings, the immanent order, but also between beings and Being, the order of transcendence. At the same time, from the human side, the thought of this, the being that supports this, and the action that produces this is always insufficient, meaning not that it necessarily fails, but that it requires the succor, teleological draw, and assistance of a greater Being, the “uniquely necessary”. Blondel argues that this is the Christian God.

It is for these reasons that the concept of created being is taken by Blondel to be the only truly coherent and consistent one. Any other ontology, in particular those of various forms of idealism, is more than simply a theory about the structure of and essence of beings; it is also an act of the willing subject, an act that covertly places the willing subject and its experiences as the center and ground of all other than itself, a form of self-idolatry. The central problem with such a position is not, however, simply that it is idolatrous, but that it betrays itself and its self-imposed philosophical task; such a position inevitably requires dismissing or reducing to another domain central phenomena of human historical existence. It is only through a study of being that acknowledges the insufficiency but also the capacity of the creature to know creation and the Creator that the being of the human person can be properly grasped. This has, as a consequence, the effect of arguing against the privileging of epistemology over a metaphysics of the knowing and acting subject, a common occurrence in Modernity.

Materiality is the first level of being that Blondel turns his critical attention to, primarily because materialisms of various sorts, as well as idealism as reactions against the stultifying effects of materialism, is a very common prejudice of Modernity. Blondel reiterates his argument made earlier in the article “L’illusion idéaliste” that any form of materialism that takes matter as something absolutely self-sufficient, as the ground of which all determinate things are made is actually a covert form of idealism, since it hypostatizes a concept, namely that of matter, and simply assumes the reducibility of all phenomena to arrangements of matter, actually to idealized structures. At the same time, Blondel does not aim to simply replace the concept of matter with that of thought and generate a new idealist system. Rather, his concern is to take account of the role of matter. Here, his account bears similarities to both the Thomistico-Aristotelean and the Marxist accounts of matter. For Thomas, prime matter is a mere conceptual necessity, a being of reason, but at the same time, our spiritual nature cannot be extricated absolutely from our matter, which provides the possibility not only for passion and duration, but also for action, sensation and intellection itself. Marx makes a distinction between vulgar materialism, which views matter and spirit as completely separate, and dialectical materialism, which views matter as already inhabited by spirit.

For Blondel, matter likewise does not simply provide the possibility of individuation and differentiation, but also of the solidarity of phenomena, even those of different orders, not least because being material also means at the same time insufficiency and determination.

Just as matter serves to separate them [beings] from Being in-itself , it also permits a participation without possible confusion with it. (EE.78)

Our material nature and the material nature of other beings we are in relation reflects our nature as thinking beings, a nature which, however, is not determined by an univocal or single grounding kind of thought.

If we have to speak according to sensible appearances and according to the common imagination, it is thought that seems to be contained in organized matter. Quite to the contrary, it is matter that is comprised between two very real faces of imperfect thought, of a thought that, irreducible to diaphanous unity, senses itself everywhere, in its effort to know (connaître), to will, to act, and to perfect itself, faced with an obstacle, a wall, an opacity, not, certainly, absolutely inscrutable, but which never allows itself to be entirely suppressed, to be entirely traversed. . . . So, matter is less a thing (chose) than the common condition of the resistances that all things (choses) oppose to us, and that we ourselves oppose to ourselves. (EE 80)

This thought finds itself split.

Our thought assumes two forms, neither self-sufficient in isolation nor directly connected, which we cannot therefore define either in their separate being or in their conjunction, and which operate, like all the generations of nature, in darkness and a kind of unconsciousness (Vol. 2. 41)

Blondel calls one of these forms noétique, the type of thought that unifies, that grasps universally and abstractly. The other form is the pneumatique, thought that grasps the particular, that penetrates to singularity. Both of these require the mediation of the other, and the task of the management of these introduces new possibilities of error, or rather of making the grounds of certain errors clear, errors which correctly recognize part of the being that they misunderstand. On the one hand, one can attempt to grasp all beings, thought and action primarily through the medium of abstraction, imposing strictures thereby upon what can be considered to be real, and thereby taken into consideration. On the other hand, one can go to the other extreme and privilege something particular or singular as the sole reality, around which all else is organized.

The exigencies that these two forms of thought necessary for human being and action impose are irreconcilable in any absolute sense for a human being. This introduces two other exigencies, one of the human relation to self, the other of the human relation to God. First, the insufficiency of human thought requires that all thought must be placed in relation to, but not reduced to practical comportment. Moral action and speculative knowledge thereby both depend

on the use to which the willing subject puts the two types of thought, not allowing itself to be dominated by either type while it relies upon them for determination of the relationships to self, world, and ultimately to God. Second, the recognition of such insufficiency also requires, given the fact that human action and thought does in fact possess a limited sufficiency, a recognition of what allows that to take place, namely the supernatural order, and ultimately the creative and loving action of God.

Thought, being and action are not three separate categories that could be schematically or deductively arranged apart from one another. To begin with, both thought and action are modes of being; neither one of them could be completely separated from a general study of being, but, on the other hand, neither one of them is simply reducible to a type of being, so that, having determined general characteristics of being, one would have at the same time defined and determined all characteristics of thought and action. All thought is a kind of action as well, without, again, thought being reducible to action; being requires for its part activity as well as duration and determination, and to be already implies, not just for the human, but at all levels of being, action. Thought provides coherent and reflective intelligibility to both being and action, a capacity for self-determination, limited by its insufficiencies to fully determine being or action, but also acting as a guiding function of both.

The metaphysical trilogy is rounded out by the partially unfinished theological work, L’esprit chrétien (completed by the two studies, Le sens chrétien and De l’assimilation, brought together in the work, Exigences philosophiques du christianisme), towards which all the texts of the trilogy lead. The analyses of the previous works lead to the point where the insufficiency of solely human thought, being, and action was successively demonstrated. At the same time, this insufficiency was always in relation to the Absolute, not an absolute insufficiency; human being, thought, and action possess determinacy, and a limited substantiality and consistency. Philosophy, carried out rigorously and in as much self-honesty as possible, ends up revealing its own limitations, the areas where it no longer possess a full competence. It retains, however, a role in relation to the Absolute, to the relationship to the Absolute that is religion, and, for Blondel, in particular Catholicism. Jean Lacroix provides an excellent summation of this:

On the one hand, rational thought has revealed exigences and aspirations to which a revelation must answer. . . . On the other hand, if it is truly an answer, this revelation in turn must nourish reason itself, must magnify it in some way and enable it to develop in a way that it could not have done on its own. (Maurice Blondel: An Introduction to the Man and his Philosophy, p. 65)

6. Blondel’s Methodology

Blondel, because of the systematicity of his work, has been called the “French Hegel” and the “Catholic Hegel”. In his main works, Blondel develops dialectical treatments of a set of levels of the phenomena under investigation, beginning from the requirements imposed by the subject matter itself. He treats the level of the acting subject early on in each of his works, first demonstrating that the subject cannot be reduced to any type or order of objectivity, whether it be of . The similarities to the Hegelian use of the dialectic lie in Blondel’s attention to structures of mediation and the role of determinate negation. Indicating the determination of the immanent by the transcendent does not mean referring the order of immanence simply to an order of transcendence or to a single transcendent moment, but rather means uncovering structures of mediation, by which the order of immanence is mediated by the entire structure of the transcendent, including by other levels relatively transcendent to the level treated as transcendent in relation to the immanent order, the order of phenomena being investigated. For instance, the social order is transcendent to the order of individual subjects, and mediates them in relation to each other and in the relation of the subject to itself, but the social order is itself mediated by larger social structures of shared history, and by the order of religion in relation ultimately to the Christian God.

This requires that the point of view, of analysis and description, be shifted from the immanent order to the transcendent, guided by the structure of mediation. This means that the immanent order, as in Hegelian Aufhebung, is not reduced to or nullified by the transcendent now under investigation, but is rather conserved and affirmed as an integral part of the larger structure and order, simply recognized as insufficient to itself and as mediated by the transcendent order. This recognition, from within the process of investigation of the immanent order, of the need for transcendence in order for the immanent phenomena to possess their meaning and being, is analogous to Hegel’s determinate negation, in which the negation of the thesis, the antithesis, emerges from the historical working-out of the truth and meaning of the thesis. It is through a full investigation of the immanent order, treating it provisionally as if it were fully self-sufficient and adequate to itself, that the order indicates its own negativity, its requirement for transcendence.

Blondel’s attention to the structures of the individual subject in the beginnings of his works does not at all therefore reflect a commitment to an ontology which would take those individuals as primary, and ontologically prior to the other levels of structure, in particular the social and the religious, which he later turns to. In fact, as pointed out earlier, his use of the method of immanence has as its purpose and aim to indicate the interpentration of those higher-level structures transcendent to the individual in the very structures by which the individual, the acting subject, exists. This involves Blondel in a sort of return to a realism about universals and about social structures, a realism, however, whose objects remain constrained by the same unfinished . Ontologically, one can put this in the following way. Individuals and individual things do not have full being, but the structures in which they take place do not have full being either. In terms of subject and object, one can say that both subject and object have an ontological insufficiency, which does not the same time, negate their reality or their existence.

Whereas, for Hegel, the System found its unity in the subject of Absolute Knowing, later treated as the philosophical subject or as Absolute Spirit, for Blondel, the ultimate unity comes in the Christian God as creator, who remains outside of the order of description of the relations and structures of the phenomena. Blondel, therefore, rejects Hegel’s insistence that the relation to the Absolute must, in the end, get beyond representation (Vorstellung) and assume the condition of Absolute Spirit conscious of itself in relation to its Other. Blondel also rejects Hegel’s doctrine that at the end of the process of development, all difference is no longer difference of form but only of content. For the acting human subject, who acts, thinks, and is, in relation to the Absolute, History has not come to an end, and humanity is still involved in processes that also involve development and difference in form as well as content, meaning that no speculative or theoretical body of doctrine can legitimately claim full adequacy, while, at the same time, the process of development remains one inhabited by and guided by a rationality which humanity and the acting subject can participate within fully.

Blondel’s use of the “method of immanence” (a term taken originally from Eduoard Le Roi’s works) bears a strong resemblance to methods used by other philosophical movements of the time. In that Blondel explicitly rejects anything like the Husserlian epoche, because it makes an unwarranted assumption of the possibility of suspension of claims to existence as well as a disengagement from practical and moral comportment, which in tunr does not allow the meanign of moral and practical phenomena to be grasped, Blondel’s way of getting at the phenomena bears a closer relationship to the phenomenologies of Max Scheler and Maurice Merleau-Ponty.

From the moment when I pose the theoretical problem of action and when I claim to discover the scientific solution, I no longer admit, at least provisionally and to that different point of view, the value of any practical solution. The usual words of good and evil, of duty, of culpability, that I employed are, from that moment on, denuded of meaning, until, of there is a place, I could restitute to them their fullness. (L’action. p.xix)

Scheler develops a hierarchy of values, which is not simply a hierarchy of meanings relative to each other, but also an order of constitution, ultimately guided by the value of the Holy that at the same time recognizes the relative sufficiency and absolute insufficiency of the other orders (utility, pleasure, life, and culture), and the constant interpenetration of these other orders by the transcendent as Holy. Merleau-Ponty places a constant emphasis upon the dialectic of the present and the absent, or the virtual, mediated by structures of affectivity and the human body, which is it the same time, in so far as it is a human body, socialized and oriented towards transcendence. On the other hand, Blondel’s insistence upon engaging with the phenomenon as the condition for knowledge of it does bear much in common with what Phenomenology, at its best, purports to require, getting “back to the things themselves”

Blondel’s readings of other philosophical figures also bears a striking resemblance to the type of reading carried out under the rubric of Deconstruction. There are some major differences, however, both in the aim and the method of the reading. Blondel’s style of reading is to read a text through fully, eschewing polemics and taking of reified positions until the doctrines advanced in a text have been adequately understood. Then he proceeds to develop these doctrines or theses to their fullest extent, acting as if they were true in order too see what sort of consequences they would have for the thinking and acting subject. The aim is to assess the adequacy of the doctrines as the representation of a philosophical position, and this consists in two parts. First, there is the question of the adequacy of the representation. Second there is the question of the adequacy of the developed philosophical position itself. The goal of such a reading is to allow a doctrine or philosophical position to provide evidence of its own inadequacy on its own grounds, by indicating to us the extent to which it is true and able to provide an account of itself immanently, and by thereby indicating to us the extent to which it is only relatively true and insufficient, without thereby being simply false.

In his focus upon and demonstration of the inadequacy of the various philosophical positions and theses Blondel considers in his works, the mediations of human action that remains irreducible to unreflective practice, and the necessary requirement of a transcendence which the philosophical positions and doctrines attempt to efface, disparage, or force into forgetfulness, Blondel can also be brought into a continuity with certain Western Marxist figures, perhaps most closely with Theodore Adorno. Although Blondel does not use the term until his later works, he is intent upon critiquing reified consciousness and ideology.

7. References and Further Reading

Most of Blondel’s works remain untranslated into English. Two translations of L’action (1893) exist, one by James Sommerville, the other, more recent, by Olivia Blanchette. The essays, “Letter on Apologetics” and “History and Dogma” have been translated by Alexander Dru and Illtyd Trethowan,and placed together in one volume, along with extensive introductions by the Dru and Trethowan.

  • L’action: essai d’une critique de la vie et d’une science de la pratique. Alcan and Presses Universitaires de France, Paris. 1893.
  • Les premiers écrits. Paris: Presses Universitaires de France. 1956 (includes the Letter on Apologetics and History and Dogma as well as several other important early works)
  • Dialogues avec les philosophes, Descartes, Spinoza, Malebranche, Pascal, Saint Augustin. Paris: Aubier Montaigne. 1966. (reproduction of some of Blondel’s articles on philosophical figures)
  • Patrie et Humanité Lyons: Chronique Sociale de France. 1928. (A course taught by Blondel in 1927)
  • La Pensee. 2 vol.Paris: Presses Universitaires de France. 1934, 35.
  • L’être et les êtres: essaie d’un ontologie concrète et intégrale. Paris: Alcan. 1935
  • L’action 2 vol. Paris: Alcan. 1936, 37
  • La philosophie et l’esprit chretienne. Paris: Presses Universitaires de France. 1946
  • Exigences philosophiques du christianisme. Paris, Presses Universitaires de France. 1950.
  • Blondel et Teilhard de Chardin; correspondance. Paris: Beauchesne. 1965.
  • Correspondance philosophique. Paris: Editions du Seuil. 1961.

Author Information

Gregory Sadler
Email: greg@reasonio.com
Marist College and ReasonIO
U. S. A.

George Berkeley (1685—1753)

berkeley

George Berkeley was one of the three most famous British Empiricists. (The other two are John Locke and David Hume.)  Berkeley is best known for his early works on vision (An Essay towards a New Theory of Vision, 1709) and metaphysics (A Treatise concerning the Principles of Human Knowledge, 1710; Three Dialogues between Hylas and Philonous, 1713).

Berkeley’s empirical theory of vision challenged the then-standard account of distance vision, an account which requires tacit geometrical calculations.  His alternative account focuses on visual and tactual objects.  Berkeley argues that the visual perception of distance is explained by the correlation of ideas of sight and touch.  This associative approach does away with appeals to geometrical calculation while explaining monocular vision and the moon illusion, anomalies that had plagued the geometric account.

Berkeley claimed that abstract ideas are the source of all philosophical perplexity and illusion.  In his Introduction to the Principles of Human Knowledge he argued that, as Locke described abstract ideas (Berkeley considered Locke’s the best account of abstraction), (1) they cannot, in fact, be formed, (2) they are not needed for communication or knowledge, and (3) they are inconsistent and therefore inconceivable.

In the Principles and the Three Dialogues Berkeley defends two metaphysical theses:  idealism (the claim that everything that exists either is a mind or depends on a mind for its existence) and immaterialism (the claim that matter does not exist).  His contention that all physical objects are composed of ideas is encapsulated in his motto esse is percipi (to be is to be perceived).

Although Berkeley’s early works were idealistic, he says little in them regarding the nature of one’s knowledge of the mind.  Much of what can be gleaned regarding Berkeley’s account of mind is derived from the remarks on “notions” that were added to the 1734 editions of the Principles and the Three Dialogues.

Berkeley was a priest of the Church of Ireland.  In the 1720s, his religious interests came to the fore.  He was named Dean of Derry in 1724.  He attempted to found a college in Bermuda, spending several years in Rhode Island waiting for the British government to provide the funding it had promised.  When it became clear that the funding would not be provided, he returned to London.  There he published Alciphron (a defense of Christianity), criticisms of Newton’s theory of infinitesimals, The Theory of Vision Vindicated, and revised editions of the Principles, and the Three Dialogues.  He was named Bishop of Cloyne in 1734 and lived in Cloyne until his retirement in 1752.  He was a good bishop, seeking the welfare of Protestants and Catholics alike.  His Querist (1735-1737) presents arguments for the reform of the Irish economy.  His last philosophical work, Siris (1744), includes a discussion of the medicinal virtues of tar water, followed by properly philosophical discussions that many scholars see as a departure from his earlier idealism.

Table of Contents

  1. Life and Works
  2. Essays on Vision
  3. Against Abstraction
  4. Idealism and Immaterialism
  5. Notions
  6. Concluding Remarks
  7. References and Further Reading

1. Life and Works

George Berkeley was born in or near Kilkenny, Ireland on 12 March 1685. He was raised in Dysart Castle. Although his father was English, Berkeley always considered himself Irish. In 1696, he entered Kilkenny College. He entered Trinity College, Dublin on 21 March 1700 and received his B.A. in 1704. He remained associated with Trinity College until 1724. In 1706 he competed for a College Fellowship which had become available and became a Junior Fellow on 9 June 1707. After completing his doctorate, he became a Senior Fellow in 1717. As was common practice for British academics at the time, Berkeley was ordained as an Anglican priest in 1710.

The works for which Berkeley is best known were written during his Trinity College period. In 1709, he published An Essay towards a New Theory of Vision. In 1710, he published A Treatise concerning the Principles of Human Knowledge, Part I. In 1712, he published Passive Obedience, which focuses on moral and political philosophy. In 1713, he published Three Dialogues between Hylas and Philonous. In 1721, he published De Motu. In addition, there is a set of notebooks, often called the Philosophical Commentaries (PC), that covers the period during which he developed his idealism and immaterialism. These were personal notebooks, and he never intended to publish them.

While Berkeley was associated with Trinity College until 1724, he was not continuously in residence. In 1713, he left for London, in part to arrange publication for the Three Dialogues. He befriended some of the intellectual lights of the time, including Jonathan Swift, Joseph Addison, Richard Steele, and Alexander Pope. He contributed several articles against free-thinking (agnosticism) to Steele’s Guardian. Since the articles were unsigned, disagreement remains regarding which articles Berkeley wrote. He was the chaplain to Lord Peterborough during his 1713-1714 continental tour. There is some evidence that Berkeley met the French philosopher Nicholas Malebranche during that tour, although the popular myth that their conversation occasioned Malebranche’s death is false: Malebranche died in 1715. He was the chaperone of young St. George Ashe, son of the Trinity College provost, during his continental tour from 1716-21. It was during this tour that Berkeley later claimed to have lost the manuscript to the second part of the Principles (Works 2:282). He observed the eruption of Mount Vesuvius in 1717 and sent a description of it to the Royal Society (Works 4:247-250). While in Lyon, France in 1720, Berkeley wrote De Motu, an essay on motion which reflects his scientific instrumentalism. The manuscript was Berkeley’s entry for a dissertation prize sponsored by the French Academy. It did not win.

In May 1724, Berkeley became Anglican Dean of Derry and resigned his position at Trinity College. He was never a dean in residence. Between 1722 and 1728, Berkeley developed a plan to establish a seminary in Bermuda for the sons of colonists and Native Americans. He actively lobbied for his project. He obtained a charter for the college, private contributions, and a promise for a grant of £20,000 from the British Parliament. After marrying Anne Foster on August 1, 1728, he and his bride departed for America in September 1728. He settled near Newport, Rhode Island, waiting for the promised grant. He bought a farm and built a house named Whitehall, which is still standing. He was an active cleric during his stay in Rhode Island. He was in contact with some of the leading American intellectuals of the time, including Samuel Johnson, who became the first president of King’s College (now Columbia University). He wrote the bulk of Alciphron, his defense of Christianity against free-thinking, while in America. In early 1731, Edmund Gibson, the Bishop of London, informed Berkeley that Sir Robert Walpole had informed him that there was little likelihood that the promised grant would be paid. Berkeley returned to London in October 1731. Before leaving America he divided his library between the Harvard and Yale libraries, and he gave his farm to Yale.

After his return to London, Berkeley published A Sermon before the Society for the Propagation of the Gospel in Foreign Parts (1732), Alciphron: or the Minute Philosopher (1732), The Theory of Vision, or Visual Language shewing the immediate Presence and Providence of A Deity, Vindicated and Explained (1733), The Analyst; or, a Discourse Addressed to an Infidel Mathematician (1734), A Defense of Free-Thinking in Mathematics (1735), Reasons for not Replying to Mr Walton’s Full Answer (1735), as well as revised editions of the Principles and the Dialogues (1734). The revisions of the Principles and Dialogues contain Berkeley’s scant remarks on the nature and one’s knowledge of mind (notions).

While the Bermuda Project was a practical failure, it increased Berkeley’s reputation as a religious leader. It is considered partially responsible for his appointment as Bishop of Cloyne in January 1734. In February 1734 he resigned as Dean of Derry. He was consecrated Bishop of Cloyne in St. Paul’s Church, Dublin, on 19 May 1734.

Berkeley was a good bishop. As bishop of an economically poor Anglican diocese in a predominantly Roman Catholic country, he was committed to the well-being of both Protestants and Catholics. He established a school to teach spinning, and he attempted to establish the manufacture of linen. His Querist (1735-1737) concerns economic and social issues germane to Ireland. Among other things, it contains a proposal for monetary reform. His Siris (1744) prefaces his philosophical discussions with an account of the medicinal value of tar water. The relationship of Siris to his early philosophy continues to be a matter of scholarly discussion.

Except for a trip to Dublin in 1737 to address the Irish House of Lords and a trip to Kilkenny in 1750 to visit family, he was continually in Cloyne until his retirement. In August 1752, Berkeley and his family left Cloyne for Oxford, ostensibly to oversee the education of his son George. While at Oxford, he arranged for the republication of his Alciphron and the publication of his Miscellany, a collection of essays on various subjects. He died on January 14, 1753 while his wife was reading him a sermon. In keeping with his will, his body was “kept five days above ground, … even till it grow offensive by the cadaverous smell” (Works 8:381), a provision that was intended to prevent premature burial. (This was the age in which some caskets were fitted with bells above ground so the “dead” could “ring up” if their beneficiaries had been a bit hasty.)

2. Essays on Vision

In 1709, Berkeley published An Essay towards a New Theory of Vision (NTV). This is an empirical account of the perception of distance, magnitude, and figure. The New Theory of Vision does not presuppose immaterialism, and, although Berkeley held that it was connected with his later works, the degree of connection is hotly contested among scholars. Berkeley also discusses vision in Dialogue 4 of Alciphron (1732), and, in reply to a set of objections, in the Theory of Vision …Vindicated (TVV). He alludes to his account of vision in the Principles of Human Knowledge (PHK §§42-44) and the Three Dialogues (DHP1 201-203).

Berkeley’s objective in the New Theory of Vision was “to shew the manner wherein we perceive by sight the distance, magnitude, and situation of objects. Also to consider the difference there is betwixt the ideas of sight and touch, and whether there be any idea common to both senses” (NTV §1). Berkeley agrees with other writers on optics that distance is not immediately seen (NTV §2) and recounts the positions of earlier writers. Some held that we correlate our current perceptions with earlier perceptions and judge that the objects are distant because we had experienced the large size of intermediate objects, or because the objects which now appear small and faint had earlier appeared large and vigorous (NTV §3). Some, such as Descartes, held that distance is judged by a natural geometry based on the angles between the perceived object and the eyes or on the angles of the rays of light that fall upon the eye (NTV §§4 and 6, and Works 1:237-238; Descartes 1:170). Berkeley rejects those accounts.

When one perceives mediately, one perceives one idea by means of perceiving another (NTV §9), for example, one perceives that someone is frightened by perceiving the paleness of her face (NTV §10). Empirically, the geometrical account fails, since one perceives neither the requisite lines, nor angles, nor rays as such (NTV §§12-15), even though such mathematical computations can be useful in determining the apparent distance or magnitude of an object (NTV §§ 38, 78; TVV §58). So, what are the immediate ideas that mediate the perception of distance? First, there are the kinesthetic sensations associated with focusing the eyes when perceiving objects at various distances (NTV §16). Second, as objects are brought closer to the eye, their appearance becomes more confused (blurred or double, NTV §21). Third, as an object approaches the eyes, the degree of confusion can be mitigated by straining the eyes, which is recognized by kinesthetic sensations (NTV §27). In each case, there is no necessary connection between the ideas and distance; there is merely a customary connection between two types of ideas (NTV §§17, 26, 28). A necessary connection is a relation such as that found among numbers in true arithmetic equations. It is impossible for 7+3 to equal anything other than 10, and it is impossible to imagine it to be anything other than 10. A customary connection is a relation found in experience in which one type of idea is found with or followed by another, but which one could imagine the situation to be otherwise. David Hume’s famous example is that experience shows that whenever one billiard ball hits another, the second rolls away, but the fact that one could imagine anything happening shows that there is merely a customary connection between the actions of the billiard balls. It is in this sense that ideas of touch and sight are merely customarily, and not necessarily, connected. The absence of a necessary connection between these ideas is further illustrated by the fact that nearsighted (purblind) persons find that objects appear less, rather than more, confused as they approach to the eyes (NTV §37). Since one perceives distance by sight mediately through the correlation of visual ideas with nonvisual ideas, a person born blind and who came to see would have no notion of visual distance: even the most remote objects would “seem to be in his eye, or rather his mind (NTV §41) This is Berkeley’s first allusion to Molyneux’s man-born-blind-made-to-see (cf. Locke 2.9.8, pp. 145-146), which Berkeley regularly uses to show the consequences of his theory of vision (see also NTV §§79, 110, and 132-133; TVV §71). Molyneux’s contention was that if a person were born blind and had learned to distinguish a cube from a sphere by touch, he would not immediately be able to distinguish a visual cube from a sphere if he were given sight.

Like most philosophers of the period, Berkeley seems to assume that touch provides immediate access to the world. Visual ideas of an object, on the other hand, vary with one’s distance from the object. As one approaches a tower one judges to be about a mile away, “the appearance alters, and from being obscure, small, and faint, grows clear, large, and vigorous” (NTV §44). The tower is taken to be of a determinate size and shape, but the visual appearance continually changes. How can that be? Berkeley claims that visual ideas are merely signs of tactile ideas. There is no resemblance between visual and tactile ideas. Their relationship is like that between words and their meanings. If one hears a noun, one thinks of an object it denotes. Similarly, if one sees an object, one thinks of a corresponding idea of touch, which Berkeley deems the secondary (mediate) object of sight. In both cases, there are no necessary connections between the ideas. The associative connection is based on experience (NTV §51; cf. TVV §40, Alciphron, Dialogue 4).

His discussion of magnitude is analogous to his discussion of distance. Berkeley explores the relationships between the objects of sight and touch by introducing the notions of minimum visibles and tangibles, the smallest points one actually can perceive by sight and touch, points which must be taken to be indivisible. The apparent size of a visible object varies with distance, while the size of the corresponding tangible object is taken to be constant (NTV §55). The apparent size of the visual object, its confusion or distinctness, and its faintness or vigor play roles in judging the size of the tangible object. All things being equal, if it appears large, it is taken to be large. “But, be the idea immediately perceived by sight never so large, yet if it be withal confused, I judge the magnitude of the thing to be but small. If it be distinct and clear, I judge it greater. And if it be faint, I apprehend it to be yet greater” (NTV §56; see also §57). As in the case of distance, there are no necessary connections between the sensory elements of the visual and tangible object. The correlations are only known by consistent experience (NTV §§59, 62-64), and Berkeley argues that measurements (inches, feet, etc.) are applicable only to tangible size (NTV §61).

The arguments are repeated, mutates mutandis, regarding visual and tangible figure (NTV §§105ff).

Berkeley argues that the objects of sight and touch – indeed, the objects of each sensible modalities – are distinct and incommensurable. This is known as the heterogeneity thesis (see NTV §§108ff). The tower that visually appears to be small and round from a distance is perceived to be large and square by touch. So, one complex tactual object corresponds to the indefinitely large number of visual objects. Since there are no necessary connections between the objects of sight and touch, the objects must be distinct. Further, his discussion of “hearing the coach approach” shows that there is a similar distinction between the objects of hearing and touch (NTV §46). Given the hypothesis that the number of minimum visibles seen is constant and the same among individual humans and other creatures (NTV §§80-81), it follows that the objects seen when using a microscope are not the same as those seen by the naked eye (NTV §85; cf. NTV §105 and DHP3 245-246).

Before turning to the discussions of Berkeley’s idealism and immaterialism, there are several points we should notice. First, there are various points in the New Theory of Vision where Berkeley writes as if ideas of touch are or are of external objects (cf. §§ 46, 64, 77, 78, 82, 88, 99, 117, 155). Since the Berkeley of the Principles and Dialogues contends that all ideas are mind-dependent and all physical objects are composed of ideas, some have questioned whether the position in the New Theory of Vision is consistent with the work that immediately follows. Some scholars suggest that either that the works on vision are scientific works which, as such, make no metaphysical commitments or that allusions to “external objects” are cases of speaking with the vulgar. Secondly, insofar as in his later works Berkeley claims that ordinary objects are composed of ideas, his discussion of the correlation of ideas of sight and touch tends to anticipate his later view by explaining how one “collects” the ideas of distinct senses to form one thing. Finally, the New Theory of Vision includes discussions of the primary/secondary qualities distinction (§§43, 48-49, 61, 109) and of abstraction (NTV §§122-127) that anticipate his later discussions of those topics.

3. Against Abstraction

In the Introduction to the Principles of Human Knowledge, Berkeley laments the doubt and uncertainty found in philosophical discussions (Intro. §§1-3), and he attempts to find those principles that drew philosophy away from common sense and intuition (PHK §4). He finds the source of skepticism in the theory of abstract ideas, which he criticizes.

Berkeley begins by giving a general overview of the doctrine:

It is agreed on all hands, that the qualities or modes of things do never really exist each of them apart by it self, and separated from all others, but are mixed, as it were, and blended together, several in the same object. But we are told, the mind being able to consider each quality singly, or abstracted from those other qualities with which it is united, does by that means frame to it self abstract ideas. … Not that it is possible for colour or motion to exist without extension: but only that the mind can frame to it self by abstraction the idea of colour exclusive of extension, and of motion exclusive of both colour and extension. (Intro, §7)

In §§8-9 he details the doctrine in terms of Locke’s account in the Essay concerning Human Understanding. Although theories of abstraction date back at least to Aristotle (Metaphysics, Book K, Chapter 3, 1061a29-1069b4), were prevalent among the medievals (cf. Intro, §17 and PC §779), and are found in the Cartesians (Descartes, 1:212-213; Arnauld and Nicole, pp. 37-38), there seem to be two reasons why Berkeley focused on Locke. First, Locke’s work was recent and familiar. Second, Berkeley seems to have considered Locke’s account the best available. As he wrote in his notebooks, “Wonderful in Locke that he could wn advanc’d in years see at all thro a mist yt had been so long a gathering & was consequently thick. This more to be admir’d than yt he didn’t see farther” (PC §567).

According to Locke, the doctrine of abstract ideas explains how knowledge can be communicated and how it can be increased. It explains how general terms obtain meaning (Locke, 3.3.1-20, pp. 409-420). A general term, such as ‘cat’ refers to an abstract general idea, which contains all and only those properties that one deems common to all cats, or, more properly, the ways in which all cats resemble each other. The connection between a general term and an abstract idea is arbitrary and conventional, and the relation between an abstract idea and the individual objects falling under it is a natural relation (resemblance). If Locke’s theory is sound, it provides a means by which one can account for the meaning of general terms without invoking general objects (universals).

Berkeley’s attack on the doctrine of abstract ideas follows three tracks. (1) There is the “I can’t do it” argument in Intro. §10. (2) There is the “We don’t need it” argument in Intro. §§11-12. And (3) there is the “The theory leads to inconsistencies” argument in Intro. §13, which Berkeley deemed the “killing blow” (PC §687). As we shall see, Berkeley uses a similar tripartite attack on doctrine of material substance (see PHK §§16-23).

Having outlined Locke’s account of abstraction in Introduction §§8-9, which allegedly results in the idea of a human which is colored but has no determinate color – that the idea includes a general idea of color, but not a specific color such as black or white or brown or yellow – which has a size but has no determinate size, and so forth, Berkeley argues in §10 that he can form no such idea. On the face of it, his argument is weak. At most it shows that insofar as he cannot form the idea, and assuming that all humans have similar psychological abilities, there is some evidence that no humans can form abstract ideas of the sort Locke described.

But there is a remark made in passing that suggests there is a much stronger argument implicit in the section. Berkeley writes:

To be plain, I own my self able to abstract in one sense, as when I consider some particular parts or qualities separated from others, with which though they are united in some object, yet, it is possible they may really exist without them. But I deny that I can abstract one from another, or conceive separately, those qualities which it is impossible should exist so separated; or that I can frame a general notion by abstracting from particulars in the manner aforesaid. Which two last are the proper acceptations of abstraction. (Intro. §10)

This three-fold distinction among types of abstraction is found in Arnauld and Nicole’s Logic or the Art of Thinking. The first type of abstraction concerns integral parts. The head, arms, torso, and legs are integral parts of a body: each can exist in separation from the body of which it is a part (Arnauld and Nicole, p. 37). The second kind of abstraction “arises when we consider a mode without paying attention to its substance, or two modes which are joined together in the same substance, taking each one separately” (Arnauld and Nicole, p. 37). The third concerns distinctions of reason, for example, conceiving of a triangle as equilateral without conceiving of it as equiangular (Arnauld and Nicole, p. 38). Berkeley grants that he can abstract in the first sense – “I can consider the hand, the eye, the nose, each by it self abstracted or separated from the rest of the body” (Intro. §10) – but he denies that he can abstract in the latter two senses. The latter two cases represent impossible states of affairs. In §7 Berkeley noted that the abstractionists held that it is impossible for a mode to exist apart from a substance. Many abstractionists also accepted a conceivability criterion of possibility: If one can (clearly and distinctly) conceive of a state of affairs, then it is possible for that state of affairs to exist as conceived (cf. Descartes, 2:54). This principle entails that impossible states of affairs are inconceivable. So, granting it is impossible for a mode to exist apart from a substance (Intro. §7), it follows that it is impossible to conceive of a mode apart from a substance, that the second form abstraction is impossible. And if the second falls, the third falls as well, since the third requires that alternative descriptions of an object pick out no differences in reality. So, a traditional theory of modes and substances, the conceivability criterion of possibility, and abstraction are an inconsistent triad. The inconsistency can be resolved by dropping the doctrine of abstract ideas. Berkeley made this point explicitly in the first draft of the Introduction:

It is, I think, a receiv’d axiom that an impossibility cannot be conceiv’d. For what created intelligence will pretend to conceive, that which God cannot cause to be? Now it is on all hands agreed, that nothing abstract or general can be made really to exist, whence it should seem to follow, that it cannot have so much as an ideal existence in the understanding. (Works 2:125)

One of the marks of the modern period is an adherence to the principle of parsimony (Ockham’s Razor). The principle holds that the theoretically simpler of two explanations is more probably true. In the seventeenth and eighteen centuries, this was sometimes expressed as “God does nothing in vain” (cf. DHP2 214). So, if it is possible to construct a theory of meaning that does not introduce abstract ideas as a distinct kind of idea, that theory would be simpler and deemed more probably true. This is the strategy Berkeley adopts in Introduction §§11-12.

Granting Locke that all existents are particulars (Locke 3.3.6, p. 410), Berkeley remarks, “But it seems that a word becomes general by being made the sign, not of an abstract general idea but, of several particular ideas, any one of which it indifferently suggests to the mind” (Intro. §11). Ideas remain particular, although a particular idea can function as a general idea. For example, when a geometer draws a line on a blackboard, it is taken to represent all lines, even though the line itself is particular and has determinate qualities. Similarly, a particular idea can represent all similar ideas. So, whether one takes Berkeley to mean that words apply immediately to objects or that meaning is mediated by paradigmatic ideas, the theory is simpler than the abstractionists’ insofar as all ideas are particular and determinate.

In Introduction §13, Berkeley turns to Locke’s abstract general idea of a triangle, an idea which “must be neither oblique nor rectangle, neither equilateral, equicrural, nor scalenon, but all and none of these at once. In effect, it is something imperfect that cannot exist, an idea wherein some parts of several different and inconsistent ideas are put together” (Locke 4.7.9, p. 596; quoted in Intro. §13, Berkeley’s emphasis). Upon quoting the passage, Berkeley merely asks his reader whether he or she can form the idea, but his point seems to be much stronger. The described idea is inconsistent, and therefore represents an impossible state of affairs, and it is therefore inconceivable, since whatever is impossible is inconceivable. This is explicit in a parallel passage in the New Theory of Vision. After quoting the triangle passage, Berkeley remarks, “But had he called to mind what he says in another place, to wit, ‘That ideas of mixed modes wherein any inconsistent ideas are put together cannot so much as exist in the mind, i.e. be conceived.’ vid. B. iii. C. 10. S. 33. ibid. I say, had this occurred to his thoughts, it is not improbable he would have owned it above all the pains and skill he was master of, to form the above-mentioned idea of a triangle, which is made up of manifest, staring contradictions” (NTV §125).

If abstract ideas are not needed for communication – Berkeley takes the fact that infants and poorly educated people communicate, while the formation of abstract ideas is said to be difficult, as a basis for doubting the difficulty thesis (Intro. §14) – he is able to give short shrift to the contention that abstract ideas are necessary for knowledge. The abstractionists maintain that abstract ideas are needed for geometrical proofs. Berkeley argues that only properties concerning, for example, a triangle as such are germane to a geometric proof. So, even if one’s idea of a triangle is wholly determinate (consider a diagram on a blackboard), none of the differentiating properties prevent one from constructing a proof, since a proof is not concerned solely with the idea (or drawing) with which one begins. He maintains that it is consistent with his theory of meaning to selectively attend to a single aspect of a complex, determinate idea (Intro. §16).

Berkeley concludes his discussion of abstraction by noting that not all general words are used to denote objects or kinds of objects. His discussion of the nondenotative uses of language is often taken to anticipate Ludwig Wittgenstein’s interest in meaning-as-use.

4. Idealism and Immaterialism

Berkeley’s famous principle is esse is percipi, to be is to be perceived. Berkeley was an idealist. He held that ordinary objects are only collections of ideas, which are mind-dependent. Berkeley was an immaterialist. He held that there are no material substances. There are only finite mental substances and an infinite mental substance, namely, God. On these points there is general agreement. There is less agreement on Berkeley’s argumentative approach to idealism and immaterialism and on the role of some of his specific arguments. His central arguments are often deemed weak.

The account developed here is based primarily on the opening thirty-three sections of the Principles of Human Knowledge. It assumes, contrary to some commentators, that Berkeley’s metaphysics rests on epistemological foundations. This approach is prima facie plausible insofar as it explains the appeal to knowledge in the title of the Principles (cf. Intro. §4), it is consistent with Berkeley’s epistemic concerns in other writings (cf. TVV §18), and it provides an explanatory role for abstract ideas. There will be occasional digressions concerning the problems perceived by those who claim that Berkeley’s approach was more straightforwardly metaphysical.

Berkeley begins his discussion as follows:

It is evident to any one who takes a survey of the objects of human knowledge, that they are either ideas actually imprinted on the senses, or else such as are perceived by attending to the passions and operations of the mind, or lastly ideas formed by help of memory and imagination, either compounding, dividing, or barely representing those originally perceived in the aforesaid ways. (PHK §1).

This seems to say that ideas are the immediate objects of knowledge in a fundamental sense (acquaintance). Following Locke, there are ideas of sense, reflection, and imagination. So, ordinary objects, as known, are collections of ideas marked by a single name. Berkeley’s example is an apple.

If ideas are construed as objects of knowledge, then there must also be something that “knows or perceives them, and exercises divers operations, as willing, imagining, remembering about them” (PHK §2; cf. §6). This Berkeley calls this ‘mind’ or ‘spirit’. Minds (as knowers) are distinct from ideas (as things known). For an idea, to be is to be perceived (known). Since this holds for ideas in general, it holds for “sensations or ideas imprinted on the sense” in particular (§3).

Berkeley contends that the “opinion strangely prevailing amongst men, that houses, mountains, rivers, and in a world all sensible objects have an existence natural or real, distinct from being perceived” is inconsistent, “a manifest contradiction” (PHK §4). If one construes ‘sensible objects’ as ideas of sense, and ideas are objects of knowledge, then having a real existence distinct from being perceived would require that an object be known (as an idea) and unknown (as a thing distinct from being perceived), which is inconsistent. He explains the source of the error on the basis of the doctrine of abstract ideas (PHK §5), a discussion which parallels the discussion in Introduction §10.

Ordinary objects, as known, are nothing but collections of ideas. If, like Descartes, Berkeley holds that claims of existence are justified if and only if the existent can be known, then ordinary objects must be at least collections of ideas. As Berkeley put it, “all the choir of heaven and furniture of the earth, in a word all those bodies which compose the mighty frame of the world, have not any subsistence without a mind, that their being is to be perceived or known” (PHK §6). The only substance that can be known is a spirit or thinking substance (PHK §7). But notice what has not yet been shown. It has not been shown that ordinary objects are only collections of ideas, nor has it be shown that thinking substances are immaterial. Berkeley’s next move is to ask whether there are grounds for claiming ordinary objects are something more than ideas.

The above account is not the only interpretation of the first seven sections of the Principles. Many commentators take a more directly metaphysical approach. They assume that ideas are mental images (Pitcher, p.70; cf. Winkler, p. 13 and Muehlmann, p. 49), or objects of thought (Winker, p.6), or modes of a mental substance (Bracken, pp. 76ff), or immediate objects of perception (Pappas, pp. 21-22), or any of Berkeley’s other occasional characterizations of ideas, and proceed to show that, on the chosen account of ideas, Berkeley’s arguments fail. A. A. Luce tells us that Berkeley’s characterization of an apple in terms of ideas (PHK §1) is concerned with the apple itself, rather than a known apple (Luce 1963, p. 30; cf. Tipton, p. 70), which suggests that Berkeley begs the question of the analysis of body. Many commentators tell us that what seems to be an allusion to ideas of reflection in the first sentence of §1 cannot be such, since Berkeley claims one has no ideas of minds or mental states (PHK §§27, 89, 140, 142; DHP2 223, DHP3 231-233; cf. Works 2:42n1). They ignore his allusions to ideas of reflection (PHK §§13, 25, 35, 68, 74, 89) and the presumption that if there are such ideas, they are the effects of an active mind (cf. PHK §27). Many commentators suggest that the argument for esse is percipi is in §3 – ignoring the concluding words in §2 – and find the “manifest contradiction” in §4 puzzling at best. Most commentators assume that the case for idealism – the position that there are only minds and mind-dependent entities – is complete by §7 and lament that Berkeley has not established the ‘only’. The epistemic interpretation we have been developing seems to avoid these problems.

Berkeley holds that ordinary objects are at least collections of ideas. Are they something more? In §§8-24 Berkeley examines the prime contenders for this “something more,” namely, theories of material substance. He prefaces his discussion with his likeness principle, the principle that nothing but an idea can resemble an idea. “If we look but ever so little into our thoughts, we shall find it impossible for us to conceive a likeness except only between our ideas” (PHK §8). Why is this? A claim that two objects resemble each other can be justified only by a comparison of the objects (cf. PC §377, ##16-18). So, if only ideas are immediately perceived, only ideas can be compared. So, there can be no justification for a claim that an idea resembles anything but an idea. If claims of existence rest on epistemically justified principles, the likeness principle blocks both grounds for claiming that there are mediately perceived material objects and Locke’s claim that the primary qualities of objects resemble one’s ideas of them (Locke, 1.8.15, p. 137).

One of the marks of the modern period is the doctrine of primary and secondary qualities. Although it was anticipated by Descartes, Malebranche, and others, the terms themselves were introduced in Robert Boyle’s “Of the Origins of Forms and Qualities” (1666) and Locke’s Essay. Primary qualities are the properties of objects as such. The primary qualities are solidity, extension, figure, number, and mobility (Locke 2.8.9, p. 135; cf. 2.8.10, p. 135). Secondary qualities are either the those arrangements of corpuscles containing only primary qualities that cause one to have ideas of color, sound, taste, heat, cold, and smell (Locke 2.8.8, p. 135; 2.8.10, p. 135) or, on some accounts, the ideas themselves. If the distinction can be maintained, there would be grounds for claiming that ordinary objects are something more than ideas. It is this theory of matter Berkeley considers first.

After giving a sketch of Locke’s account of the primary/secondary quality distinction (PHK §9), his initial salvo focuses on his previous conclusions and the likeness principle. “By matter therefore we are to understand an inert, senseless substance, in which extension, figure, and motion, do actually subsist” (PHK §9). Such a view is inconsistent with his earlier conclusions that extension, figure, and motion are ideas. The likeness principle blocks any attempt to go beyond ideas on the basis of resemblance. Combining the previous conclusions with the standard account of primary qualities requires that primary qualities both exist apart from the mind and only in the mind. So, Berkeley concludes that “what is called matter or corporeal substance, involves a contradiction in it” (PHK §9). He then turns to the individual qualities.

If there is a distinction between primary and secondary qualities, there must be a ground for the distinction. Indeed, given the common contention that an efficient cause must be numerically distinct from its effect (see Arnauld and Nicole, p. 186; Arnauld in Descartes, 2:147; Locke 2.26.1-2, pp. 324-325), if one cannot show that primary and secondary qualities are distinct, there are grounds for questioning the causal hypothesis. Berkeley argues that there is no ground for the distinction. Appealing to what one knows – ideas as they are conceived – Berkeley argues that one cannot conceive of a primary quality such as extension without some secondary quality as well: one cannot “frame an idea of a body extended and moved, but I must withal give it some colour or other sensible quality which is acknowledged to exist only in the mind” (PHK §10). If such sensible qualities as color exist only in the mind, and extension and motion cannot be known without some sensible quality, there is no ground for claiming extension exists apart from the mind. The primary/secondary quality distinction collapses. The source of the philosophical error is cited as the doctrine of abstract ideas. His arguments in Principles §§11-15 show that no evidence can be found that any of the other so-called primary qualities can exist apart from the mind.

After disposing of the primary/secondary quality distinction, Berkeley turns to an older theory of material substance, a substratum theory. At least since Aristotle, philosophers had held that qualities of material objects depend on and exist in a substance which has those qualities. This supposed substance allegedly remains the same through change. But if one claims there are material substances, one must have reasons to support that claim. In Principles §§16-24 Berkeley develops a series of arguments to the effect that (1) one cannot form an idea of a substratum, (2) the theory of material substance plays no explanatory role, and (3) it is impossible to produce evidence for the mere possibility of such an entity.

Can one form an idea a substratum? No. At least one cannot form a positive idea of a material substratum itself – something like an image of the thing itself – a point that was granted by its most fervent supporters (see Descartes 1:210; Locke 2.23.3, p. 295). The most one can do is form “An obscure and relative Idea of Substance in general” (Locke 2.23.3, p. 296), “though you know not what it is, yet you must be supposed to know what relation it bears to accidents, and what is meant by its supporting them” (PHK §16). Berkeley argues that one cannot make good on the notion of ‘support’ – “It is evident support cannot here be taken in its usual or literal sense, as when we say that pillars support a building: in what sense therefore must it be taken?” (PHK §16) – so one does not even have a relative idea of material substratum. Without a clear notion of the alleged relation, one cannot single out a material substance on the basis of a relation to something perceived (PHK §17).

If an idea of a material substratum cannot be derived from sense experience, claims of its existence might be justified if it is necessary to provide an explanation of a phenomenon. But no such explanation is forthcoming. As Berkeley notes: “But what reason can induce us to believe the existence of bodies without the mind, from what we perceive, since the very patrons of matter themselves do not pretend, there is any necessary connexion betwixt them and our ideas? I say it is granted on all hands (and what happens in dreams, phrensies, and the like, puts it beyond dispute) that it is possible we might be affected with all the ideas we have now, though no bodies existed without, resembling them” (PHK 18). Since material substance is not necessary to provide an explanation of mental phenomena, reason cannot provide grounds for claiming the existence of a material substance.

Berkeley’s final move against material substance is sometimes called the “Master Argument.” It takes the form of a challenge, one on which Berkeley is willing to rest his entire case. “It is but looking into your own thoughts, and so trying whether you can conceive it possible for a sound, or figure, or motion, or colour, to exist without the mind, or unperceived. This easy trial may make you see, that what you contend for, is a downright contradiction” (PHK §22). Berkeley seems to argue that in any case one might consider – books in the back of a closet, plants deep in a wood with no one about, footprints on the far side of the moon – the objects are related to the mind conceiving of them. So, it is contradictory to claim that those objects have no relation to a mind (PHK, §§22-23; cf. DHP1 199-201). This is generally not considered Berkeley at his best, since many commentators argue that it is possible to distinguish between the object conceived and the conceiving of it. George Pappas has provided a more sympathetic interpretation of the passage. He contends that Berkeley is calling for an “impossible performance” (Pappas, pp. 141-144). Conceivability is the ground for claiming that an object is possible. If one conceives of an object, then that object is related to some mind, namely, the mind that conceives it. So, the problem is that it is not possible to fulfill the conditions necessary to show that it would be possible for an object to exist apart from a relation to a mind.

Thus, Berkeley concludes, there are no grounds for claiming that an ordinary object is more than a collection of ideas. The arguments in §§1-7 showed that ordinary objects are at least collections of ideas of sense. The arguments in §§8-24 provide grounds for claiming that ordinary objects are nothing more than ideas. So, Berkeley is justified in claiming that they are only ideas of sense. Berkeley’s argument for immaterialism is complete, although he has not yet provided criteria for distinguishing ideas of sense from ideas of memory and imagination. This is his task in §§29-33. Before turning to this, Berkeley introduces several remarks on mind.

Berkeley claims that an inspection of our ideas shows that they are causally inert (PHK §25). Since there is a continual succession of ideas in our minds, there must be some cause of it. Since this cause can be neither an idea nor a material substance, it must be a spiritual substance (PHK §26). This sets the stage for Berkeley’s argument for the existence of God and the distinction between real things and imaginary things.

One knows that one causes some of one’s own ideas (PHK §28). Since the mind is passive in perception, there are ideas which one’s own mind does not cause. Only a mind or spirit can be a cause. “There is therefore some other will or spirit that produces them” (PHK §29). As such, this is not an argument for the existence of God (see PHK §§146-149), although Berkeley’s further discussion assumes that at least one mind is the divine mind.

He is now in a position to distinguish ideas of sense from ideas of the imagination: “The ideas of sense are more strong, lively, and distinct than those of the imagination; they have likewise a steadiness, order, and coherence, and are not excited at random, as those which are the effects of human wills often are” (PHK §30). This provides the basis for both the distinction between ideas of sense and ideas of imagination and for the distinction between real things and imaginary things (PHK §33). Real things are composed solely of ideas of sense. Ideas of sense occur with predictable regularity; they form coherent wholes that themselves can be expected to “behave” in predictable ways. Ideas of sense follow (divinely established) laws of nature (PHK §§30. 34, 36, 62, 104).

So, Berkeley has given an account of ordinary objects without matter. Ordinary objects are nothing but lawfully arranged collections of ideas of sense.

This section 4 is a condensed version of (Flage 2004).

5. Notions

If one reads the Principles and Dialogues, one discovers that Berkeley has little to say regarding our knowledge of minds, and most of what is found was added in the 1734 editions of those works. The reason is Berkeley originally intended the Principles to consist of at least three parts (cf. PC §583). The second was to examine issues germane to mind, God, morality, and freedom (PC §§508, 807). He told Samuel Johnson, his American correspondent, that the manuscript for the second part was lost during his travels in Italy in about 1716 (Works 2:282). In the 1734 editions of the Principles and Dialogues, Berkeley included brief discussions of our notions of minds.

Berkeley claims we do not have ideas of minds, since minds are active and ideas are passive (PHK §27; cf. §89, 140, 142). Nonetheless, “we have some notion of soul, spirit, and the operations of the mind, such as willing, loving, hating, in as much as we know or understand the meaning of those words” (PHK §27, 1734 edition). Given Berkeley’s theory of meaning, this seems to imply that so long as one able to pick out (distinguish) minds from other things one can have a notion of mind. Since Berkeley remarks, “Such is the nature of spirit or that which acts, that it cannot be of it self perceived, but only by the effects which it produceth” (PHK §27, all editions), one might come to believe that Berkeley knows minds in much the same way as Locke knows them. Locke claims one has a relative idea of substance in general (Locke 2.23.3, p. 296): one is able to pick out a substance as such on the basis of its relation to a directly perceived idea or quality. While nominally distinct from Lockean relative ideas, Berkeley could claim that notions pick out an individual mind as the thing that perceives some determinate idea (one’s own mind) or which causes some determinate idea (God or, perhaps, some other spirit). Since Berkeley held that causal and perceptual relations are necessary connections, this seems to avoid the problems with ‘support’ discussed in Principles §16. Such a position seems to be consistent with everything said in the Principles and much of what is said in the Dialogues (DHP2 2:223; DHP3 2:232-233). However, there are two passages in the Third Dialogue which suggest that one’s own mind is known directly, rather than relatively. Philonous says:

I own I have properly no idea, either of God or any other spirit; for these being active, cannot be represented by things perfectly inert, as our ideas are. I do nevertheless know, that I who am a spirit or thinking substance, exist as certainly, as I know my ideas exist. Farther, I know what I mean by the terms I and myself; and I know this immediately, or intuitively, though I do not perceive it as I perceive a triangle, a colour, or a sound. (DHP3 2:231, all editions)

How often must I repeat, that I know or am conscious of [my emphasis] my own being; and that I my self am not my ideas, but somewhat else, a thinking active principle that perceives, knows, wills, and operates about ideas. (DHP3 233, 1734 edition)

If you know yourself immediately “by a reflex act” (DHP3 232, all editions), and if this is independent of any relation to an idea, then it would seem that notions of oneself are nothing more than that unique way in which the mind knows itself. Nothing more can be said of them. Such a position seems to make notions an ad hoc addition to Berkeley’s philosophy.

But, perhaps, we need to draw a distinction between knowing that there is a mind and knowing what a mind is. Perhaps one might know directly that one has a mind, but one can know what a mind is only relative to ideas: a mind is that which causes or perceives ideas. One should not be surprised if this is Berkeley’s position. Such a relative understanding of the mind as knower and ideas as the known is already found in the opening sections of the Principles.

6. Concluding Remarks

According to Berkeley, the world consists of nothing but minds and ideas. Ordinary objects are collections of ideas. Already in his discussion of vision, he argued that one learns to coordinate ideas of sight and touch to judge distance, magnitude, and figure, properties which are immediately perceived only by touch. The ideas of one sense become signs of ideas of the other senses. In his philosophical writings, this coordination of regularly occurring ideas becomes the way the world is known and the way humans construct real things. If there are only minds and ideas, there is no place for some scientific constructs. Newtonian absolute space and time disappear. Time becomes nothing but the succession of ideas in individual minds (PHK §98). Motion is entirely object-relative (PHK §§112-117). Science becomes nothing more than a system of natural signs. With the banishing of abstraction, mathematics is reduced to a system of signs in which words or numerals signify other words or numerals (PHK §122). Space is reduced to sensible extension, and since one cannot actually divide a piece of extension into an infinite number of sensible parts, various geometrical paradoxes dissolve. As Berkeley understands them, science and Christian theology become compatible.

7. References and Further Reading

  • Berkeley, George. Philosophical Works, Including the Works on Vision. Edited by Michael R. Ayers. Everyman edition. London: J. M. Dent, 1975.
    • This is the most comprehensive one-volume edition of Berkeley’s philosophical works available. When the work is not divided into sections, marginal references are made to the page in The Works of George Berkeley.
  • Berkeley, George. The Works of George Berkeley, Bishop of Cloyne. Edited by A. A. Luce and T. E. Jessop. 9 volumes. London: Thomas Nelson and Sons, 1948-1957.
    • This is the standard edition of Berkeley’s works. Page references above are to this edition.
  • Arnauld, Antoine and Nicole, Pierre. Logic or the Art of Thinking. Translated by Jill Vance Buroker. Cambridge Texts in the History of Philosophy. Cambridge: Cambridge University Press, 1996.
    • This was one of the most widely-read logic textbooks of the early modern period.
  • Atherton, Margaret. Berkeley’s Revolution in Vision. Ithaca: Cornell University Press, 1990.
  • Belfrage, Bertil. “Towards a New Interpretation of Berkeley’s Theory of Vision” (in French). In Dominique Berlioz, editor, Berkeley: language de la perception et art de voir. Paris: Presses Universitires de France, 2003.
  • Berman, David. George Berkeley: Idealism and the Man. Oxford: Clarendon Press, 1994.
  • Boyle, Robert. Selected Philosophical Papers of Robert Boyle. Edited by M. S. Stewart. Philosophical Classics. Manchester: University of Manchester Press, 1979.
  • Bracken, Harry M. Berkeley. Philosophers in Perspective. New York: St. Martin’s Press, 1974.
  • Dancy, Jonathan. Berkeley: An Introduction. Oxford: Blackwell, 1987.
  • Descartes, René. The Philosophical Writings of Descartes. Translated and edited by John Cottingham, Robert Stoothoff, Dugald Steward, and (volume 3) Anthony Kenny. Cambridge: Cambridge University Press, 1985, 1984, 1991.
  • Flage, Daniel E. Berkeley’s Doctrine of Notions: A Reconstruction based on his Theory of Meaning. London and New York: Croom Helm and St. Martin’s Press, 1987.
  • Flage, Daniel E. Berkeley’s Epistemic Ontology:  The Principles,” Canadian Journal of Philosophy 34 (2004):  25-60. Reprinted in Flage, Daniel E., Berkeley (Polity Press, 2014).
  • Grayling, A. C. Berkeley: The Central Arguments. La Salle, IL: Open Court, 1986.
  • Locke, John. An Essay concerning Human Understanding. Edited by Peter H. Nidditch. Oxford: Clarendon Press, 1975.
  • Luce, A. A. Berkeley’s Immaterialism: A Commentary on his “A Treatise Concerning the Principles of Human Knowledge”. London: Thomas Nelson and Sons, 1945.
  • Luce, A. A. The Dialectic of Immaterialism. London: Hodder and Stroughton, 1963.
  • Muehlmann, Robert G. Berkeley’s Ontology. Indianapolis: Hackett, 1992.
  • Pappas, George S. Berkeley’s Thought. Ithaca: Cornell University Press, 2000.
  • Pitcher, George. Berkeley. The Arguments of the Philosophers. London: Routledge and Kegan Paul, 1977.
  • Stoneham, Tom. Berkeley’s World: An Examination of the Three Dialogues. Oxford: Oxford University Press, 2002.
  • Tipton, I. C. Berkeley: The Philosophy of Immaterialism. London: Methuen, 1974.
  • Warnock, G. J. Berkeley. London: Penquin, 1953.
  • Winkler, Kenneth P. Berkeley: An Interpretation. Oxford: Clarendon Press, 1989.

Author Information

Daniel E. Flage
Email: flagede@jmu.edu
James Madison University
U. S. A.

Behaviorism

Behaviorism was a movement in psychology and philosophy that emphasized the outward behavioral aspects of thought and dismissed the inward experiential, and sometimes the inner procedural, aspects as well; a movement harking back to the methodological proposals of John B. Watson, who coined the name.  Watson’s 1913 manifesto proposed abandoning Introspectionist attempts to make consciousness a subject of experimental investigation to focus instead on behavioral manifestations of intelligence.  B. F. Skinner later hardened behaviorist strictures to exclude inner physiological processes along with inward experiences as items of legitimate psychological concern.  Consequently, the successful “cognitive revolution” of the nineteen sixties styled itself a revolt against behaviorism even though the computational processes cognitivism hypothesized would be public and objective—not the sort of private subjective processes Watson banned.  Consequently (and ironically), would-be-scientific champions of consciousness now indict cognitivism for its “behavioristic” neglect of inward experience.

The enduring philosophical interest of behaviorism concerns this methodological challenge to the scientific bona fides of consciousness (on behalf of empiricism) and, connectedly (in accord with materialism), its challenge to the supposed metaphysical inwardness, or subjectivity, of thought.  Although behaviorism as an avowed movement may have few remaining advocates, various practices and trends in psychology and philosophy may still usefully be styled “behavioristic”. As long as experimental rigor in psychology is held to require “operationalization” of variables, behaviorism’s methodological mark remains.  Recent attempts to revive doctrines of “ontological subjectivity” (Searle 1992) in philosophy and bring “consciousness research” under the aegis of Cognitive Science (see Horgan 1994) point up the continuing relevance of behaviorism’s metaphysical and methodological challenges.

Table of Contents

  1. Behaviorists and Behaviorisms
    1. Psychological Behaviorists
      1. Precursors: Wilhelm Wundt, Ivan Pavlov
      2. John B. Watson: Early Behaviorism
      3. Intermediaries: Edward Tolman and Clark Hull
      4. B. F. Skinner: Radical Behaviorism
      5. Post-Behaviorist and Neo-behavioristic Currents: Externalism and Connectionism
    2. Philosophical Behaviorists
      1. Precursors, Preceptors, & Fellow Travelers: William James, John Dewey, Bertrand Russell
      2. Logical Behaviorism: Rudolf Carnap
      3. Ordinary Language Behaviorists: Gilbert Ryle, Ludwig Wittgenstein
      4. Reasons, Causes, and the Scientific Imperative
      5. Later Day Saints: Willard van Orman Quine and Alan Turing
      6. The Turing Test Conception: Behaviorism as Metaphysical Null Hypothesis
      7. Logical Behaviorism Metaphysically Construed
  2. Objections & Discussion
    1. Technical Difficulties
      1. Action v. Movement
      2. From Paralytics to Perfect Actors
      3. The Intentional Circle
      4. Methodological Complaints
    2. The Ur-Objection: Consciousness Denied
  3. References and Further Reading

1. Behaviorists and Behaviorisms

Behaviorism, notoriously, came in various sorts and has been, also notoriously, subject to variant sortings: “the variety of positions that constitute behaviorism” might even be said to share no common-distinctive property, but only “a loose family resemblance” (Zuriff 1985: 1) . Views commonly styled “behavioristic” share various of the following marks:

  • allegiance to the “fundamental premise … that psychology is a natural science” and, as such, is “to be empirically based and … objective” (Zuriff 1985: 1);
  • denial of the utility of introspection as a source of scientific data;
  • theoretic-explanatory dismissal of inward experiences or states of consciousness introspection supposedly reveals;
  • specifically antidualistic opposition to the “Cartesian theater” picture of the mind as essentially a realm of such inward experiences;
  • more broadly antiessentialist opposition to physicalist or cogntivist portrayals of thought as necessarily neurophysiological or computational;
  • theoretic-explanatory minimization of inner physiological or computational processes intervening between environmental stimulus and behavioral response;
  • mistrust of the would-be scientific character of the concepts of “folk psychology” generally, and of the would-be causal character of its central “belief-desire” pattern of explanation in particular;
  • positive characterization of the mental in terms of intelligent “adaptive” behavioral dispositions or stimulus-response patterns.

Among these features, not even Zuriff’s “fundamental premise” is shared by all (and only) behaviorists. Notably, Gilbert Ryle, Ludwig Wittgenstein, and followers in the “ordinary language” tradition of analytic philosophy, while, for the most part, regarding behavioral scientific hopes as vain, hold views that are, in other respects, strongly behavioristic. Not surprisingly, these thinkers often downplay the “behaviorist” label themselves to distinguish themselves from their scientific behaviorist cousins. Nevertheless, in philosophical discussions, they are commonly counted “behaviorists”: both emphasize the external behavioral aspects, deemphasize inward experiential and inner procedural aspects, and offer broadly behavioral-dispositional construals of thought.

a. Psychological Behaviorists

i. Precursors: Wilhelm Wundt, Ivan Pavlov

Wundt is often called “the father of experimental psychology.” He conceived the subject matter of psychology to be “experience in its relations to the subject” (Wundt 1897: 3). The science of experience he envisaged was supposed to be chemistry like: introspected experiential data were to be analyzed; the basic constituents of conscious experience thus identified; and the patterns and laws by which these basic constituents combine to constitute more complex conscious experiences (for example, emotions) described. Data were to be acquired and analyzed by trained introspective Observers. While the analysis of experience was supposed to be a self-contained enterprise, Wundt—originally trained as a physiologist—fully expected that the structures and processes introspective analysis uncovered in experience would parallel structures and processes physiological investigation revealed in the central nervous system. Introspectionism, as the approach was called, soon spread, and laboratories sprang up in the United States and elsewhere, aiming “to investigate the facts of consciousness, its combinations and relations,” so as to “ultimately discover the laws which govern these relations and combinations” (Wundt 1912: 1). The approach failed primarily due to the unreliability of introspective Observation. Introspective “experimental” results were not reliably reproducible by outside laboratories: Observers from different laboratories failed to agree, for instance, in their Observation (or failure to Observe) imageless thoughts (to cite one notorious controversy).

Pavlov’s successful experimental discovery the laws of classical conditioning (as they came to be called), by way of contrast, provided positive inspiration for Watson’s Behaviorist manifesto. Pavlov’s stimulus-response model of explanation is also paradigmatic to much later behavioristic thought. In his famous experiments Pavlov paired presentations to dogs of an unconditioned stimulus (food) with an initially neutral stimulus (a ringing bell). After a number of such joint presentations, the unconditional response to food (salivation) becomes conditioned to the bell: salivation occurs upon the ringing of the bell alone, in the absence of food. In accord with Pavlovian theory, then, given an animal’s conditioning history behavioral responses (for example, salivation) can be predicted to occur or not, and be controlled (made to occur or not), on the basis of laws of conditioning, answering to the stimulus-response pattern:

S -> R

Everything adverted to here is publicly observable, even measurable; enabling Pavlov to experimentally investigate and formulate laws concerning temporal sequencing and delay effects, stimulus intensity effects, and stimulus generalization (opening doors to experimental investigation of animal perception and discrimination).

Edward Thorndike, in a similar methodological vein, proposed “that psychology may be, at least in part, as independent of introspection as physics” (Thorndike 1911: 5) and pursued experimental investigations of animal intelligence. In experimental investigations of puzzle-solving by cats and other animals, he established that speed of solution increased gradually as a result of previous puzzle exposure. Such results, he maintained, support the hypothesis that learning is a result of habits formed through trial and error, and Thorndike formulated “laws of behavior,” describing habit formation processes, based on these results. Most notable among Thorndike’s laws (presaging Skinnerian operant conditioning) is his Law of Effect:

Of several responses made to the same situation, those which are accompanied or closely followed by satisfaction to the animal will, other things being equal, be more firmly connected with the situation, so that, when it recurs, they will be more likely to recur; those which are accompanied or closely followed by discomfort to the animal will, other things being equal, have their connections with that situation weakened, so that, when it recurs, they will be less likely to occur. The greater the satisfaction or discomfort, the greater the strengthening or weakening of the bond . (Thorndike 1911)

In short, rewarded responses tend to be reinforced and punished responses eliminated. His methodological innovations (particularly his “puzzle-box”) facilitated objective quantitative data collection and provided a paradigm for Behaviorist research methods to follow (especially the “Skinner box”).

ii. John B. Watson: Early Behaviorism

Watson coined the term “Behaviorism” as a name for his proposal to revolutionize the study of human psychology in order to put it on a firm experimental footing. In opposition to received philosophical opinion, to the dominant Introspectionist approach in psychology, and (many said) to common sense, Watson (1913) advocated a radically different approach. Where received “wisdom” took conscious experience to be the very stuff of minds and hence the (only) appropriate object of psychological investigation, Watson advocated an approach that led, scientifically, “to the ignoring of consciousness” and the illegitimacy of “making consciousness a special object of observation.” He proposed, instead, that psychology should “take as a starting point, first the observable fact that organisms, man and animal alike, do adjust themselves to their environment” and “secondly, that certain stimuli lead the organisms to make responses.” Whereas Introspectionism had, in Watson’s estimation, miserably failed in its attempt to make experimental science out of subjective experience, the laboratories of animal psychologists, such as Pavlov and Thorndike, were already achieving reliably reproducible results and discovering general explanatory principles. Consequently, Watson—trained as an “animal man” himself—proposed, “making behavior, not consciousness, the objective point of our attack” as the key to putting the study of human psychology on a similar scientific footing. Key it proved to be. Watson’s revolution was a smashing success. Introspectionism languished, behaviorism flourished, and considerable areas of our understanding of human psychology (particularly with regard to learning) came within the purview of experimental investigation along broadly behavioristic lines. Notably, also, Watson foreshadows Skinner’s ban on appeals to inner (central nervous) processes, seeming to share the Skinnerian sentiment “that because so little is known about the central nervous system, it serves as the last refuge of the soul in psychology” (Zuriff 1985: 80). Watson is, consequently, loath to hypothesize central processes, going so far as to speculate that thought occurs in the vocal tract, and is—quite literally—subaudible talking to oneself (Watson 1920).

iii. Intermediaries: Edward Tolman and Clark Hull

Tolman and Hull were the two most noteworthy figures of the movement’s middle years. Although both accepted the S-R framework as basic, Tolman and Hull were far more willing than Watson to hypothesize internal mechanisms or “intervening variables” mediating the S-R connection. In this regard their work may be considered precursory to cognitivism, and each touches on important philosophical issues besides. Tolman’s purposive behaviorism attempts to explain goal-directed or purposive behavior, focusing on large, intact, meaningful behavior patterns or “molar” behavior (for example, kicking a ball) as opposed to simple muscle movements or “molecular” behavior (for example, various flexings of leg muscles); regarding the molecular level as too far removed from our perceptual capacities and explanatory purposes to provide suitable units for meaningful behavioral analysis. For Tolman, stimuli play a cognitive role as signals to the organism, leading to the formation of “cognitive maps” and to “latent learning” in the absence of reinforcement. Overall,

The stimuli which are allowed in are not connected by just simple one-to-one switches to the outgoing responses. Rather the incoming impulses are usually worked over and elaborated in the central control room into a tentative cognitive-like map of the environment. And it is this tentative map, indicating routes and paths and environmental relationships, which finally determines what responses, if any, the animal will finally make. (Tolman 1948: 192)

Clark Hull undertook the ambitious program of formulating an exhaustive theory of such mechanisms intervening between stimuli and responses: the theory was to take the form of a hypothetical-deductive system of basic laws or “postulates” enabling the prediction of behavioral responses (as “output variables”) on the basis of external stimuli (“input variables”) plus internal states of the organism (“intervening variables”). Including such organismic “intervening” variables (O) in the predictive/explanatory laws results in the following revised explanatory schema:

S & O -> R

The intervening O-variables Hull hypothesized included drive and habit strength. Attributes of, and relations among, these variables are what the postulates describe: further attributes and relationships were derived as theorems and corollaries from the basic postulates. Hull’s student, Edward Spence, attempted to carry on with the program, without lasting success. Expected gains in predictive-explanatory scope and precision were not achieved and, with hindsight, it is easy to see that such an elaborate theoretical superstructure, built on such slight observational-experimental foundations, was bound to fall. Hull’s specific proposals are presently more historical curiosities than live hypotheses. Nevertheless, currently prevalent cognitivist approaches share Hull’s general commitment to internal mechanisms.

iv. B. F. Skinner: Radical Behaviorism

Skinner’s self-described “radical behaviorist” approach is radical in its insistence on extending behaviorist strictures against inward experiential processes to include inner physiological ones as well. The scientific nub of the approach is a concept of operant conditioning indebted to Thorndike’s “Law of Effect.” Operants (for example, bar-presses or key-pecks) are units of behavior an organism (for example, a rat or pigeon) occasionally emits “spontaneously” prior to conditioning. In operant conditioning, operants followed by reinforcement (for example, food or water) increase in frequency and come under control of discriminative stimuli (for example, lights or tones) preceding the response. By increasingly judicious reinforcement of increasingly close approximations, complex behavioral sequences are shaped. On Skinner’s view, high-level human behavior, such as speech, is the end result of such shaping. Prolonged absence of reinforcement leads to extinction of the response. Many original and important Skinnerian findings—for example, that constantly reinforced responses extinguish more rapidly than intermittently reinforced responses—concern the effects of differing schedules of reinforcement. Skinner notes the similarity of operant behavioral conditioning to natural evolutionary selection: in each case apparently forward-looking or goal-directed developments are explained (away) by a preceding course of environmental “selection” among randomly varying evolutionary traits or, in the psychological case, behavioral tricks. The purposiveness which Tolman’s molar behavioral description assumes, radical behaviorism thus claims to explain. Likewise, Skinner questions the explanatory utility of would-be characterizations of inner processes (such as Hull’s): such processes, being behavior themselves (though inner), are more in need of explanation themselves, Skinner holds, than they are fit to explain outward behavior. By “dismissing mental states and processes,” Skinner maintains, radical behaviorism “directs attention to the … history of the individual and to the current environment where the real causes of behavior are to be found” (Skinner 1987: 75). On this view, “if the proper attention is paid to the variables controlling behavior and an appropriate behavioral unit is chosen, orderliness appears directly in the behavior and the postulated theoretical processes become superfluous” (Zuriff: 88). Thus understood, Skinner’s complaint about inner processes “is not that they do not exist, but that they are not relevant” (Skinner 1953) to the prediction, control, and experimental analysis of behavior.

Skinner stressed prediction and control as his chief explanatory desiderata, and on this score he boasts that “experimental analysis of behaviour” on radical behaviorist lines “has led to an effective technology, applicable to education, psychotherapy, and the design of cultural practices in general” (Skinner 1987: 75). Even the most strident critics of radical behaviorism, I believe, must accord it some recognition in these connections. Behavior therapy (based on operant principles) has proven effective in treating phobias and addictions; operant shaping is widely and effectively used in animal training; and behaviorist instructional methods have proven effective—though they may have become less fashionable—in the field of education. Skinnerian Behaviorism can further boast of significantly advancing our understanding of stimulus generalization and other important learning-and-perception related phenomena and effects. Nevertheless, what was delivered was less than advertised. In particular, Skinner’s attempt to extend the approach to the explanation of high-grade human behavior failed, making Noam Chomsky’s dismissive (1959) review of Skinner’s book, Verbal Behavior, something of a watershed. On Chomsky’s diagnosis, not only had Skinner’s attempt at explaining verbal behavior failed, it had to fail given the insufficiency of the explanatory devices Skinner allowed: linguistic competence (in general) and language acquisition (in particular), Chomsky argued, can only be explained as expressions of innate mechanisms—presumably, computational mechanisms. For those in the “behavioral sciences” already chaffing under the severe methodological constraints Skinnerian orthodoxy imposed, the transition to “cognitive science” was swift and welcome. By 1985 Zuriff would write, “the received wisdom of today is that behaviorism has been refuted, its methods have failed, and it has little to offer modern psychology” (Zuriff 1985: 278). Subsequent developments, however, suggest that matters are not that simple.

v. Post-Behaviorist and Neo-behavioristic Currents: Externalism and Connectionism

Several recent developments inside and beside the mainstream of “cognitive science”—though their proponents have not been keen to style themselves “behaviorists”—appear to be rather behavioristic. Semantic externalism is the view that “meanings ain’t in the head” (Putnam 1975: 227) but depend, rather, on environmental factors; especially on sensory and behavioral intercourse with the referents of the referring thoughts or expressions. If emphasis on the outward or behavioral aspects of thought or intelligence—and attendant de-emphasis of inward experiential or inner procedural aspects—is the hallmark of behaviorism, semantic externalism is, on its face, behavioristic (though this is seldom remarked). Emphasis (as by Burge 1979) on social (besides the indexical, or sensory-behavioral) determinants of reference—on what Putnam called “the linguistic division of labor”—lends this view a distinct Wittgensteinean flavor besides. Such externalist “causal theories” of reference, although far from unquestioned orthodoxy, are currently among the leading cognitive scientific contenders. Less orthodox, but even more behavioristic, is the procedural externalism advocated by Andy Clark (2001), inspired by work in “Situated Cognition, Distributed and Decentralized Cognition, Real-World Robotics, and Artificial Life” (Clark 2001: abstract); identifying thought with “complex and iterated processes which continually loop between brain, body, and technological environment”; according to which the “intelligent process just is the spatially and temporally extended one which zig-zags between brain, body, and world” (Clark 2001: 132). Perhaps most importantly, the influential connectionist hypothesis that the brain does parallel processing of distributed representations, rather than serial processing of localized (language-like) representations, also waxes behavioristic. In parallel systems, typically, initial programming (comparable to innate mechanisms) is minimal and the systems are “trained-up” to perform complex tasks over a series of trails, by a process somewhat like operant shaping.

b. Philosophical Behaviorists

i. Precursors, Preceptors, & Fellow Travelers: William James, John Dewey, Bertrand Russell

In opposition to the “Structuralist” philosophical underpinnings of introspectionism, behaviorism grew out of a competing “Functionalist” philosophy of psychology that counted Dewey and William James among its leading advocates. Against structuralist reification of the content of experience, Dewey urged that sensations be given a functional characterization, and proposed to treat them as functionally defined occupants of roles in the “reflex arc” which—since it “represents both the unit of nerve structure and the type of nerve function”—should supply the “unifying principle and controlling working hypothesis in psychology” (Dewey 1896: 357); though the arc, Dewey insisted, is misunderstood if not viewed in broader organic-adaptive context. On another front—against structuralist reification of the subject of experience—William James famously maintained,

that ‘consciousness,’ when once it has evaporated to this estate of pure diaphaneity, is on the point of disappearing altogether. It is the name of a nonentity, and has no right to a place among first principles. Those who still cling to it are clinging to a mere echo, the faint rumor left behind by the disappearing ‘soul’ upon the air of philosophy.

James hastened to add, that he meant “only to deny that the word [`consciousness’] stands for an entity, but to insist most emphatically that it does stand for a function” (James 1912). The James-Lange theory of emotions—which holds that “the bodily changes follow directly the PERCEPTION of the exciting fact, and that our feeling of the same changes as they occur IS the emotion (James 1884: 189-190)—prefigures later behavioristic deflationary analyses of other categories of presumed mentation.

Bertrand Russell was among the first philosophers to recognize the philosophical significance of the behaviorist revolution Watson proposed. Though never a card-carrying behaviorist himself—insisting that the inwardness or “privacy” of “sense-data” “does not by itself make [them] unamenable to scientific treatment” (Russell 1921: 119)—Russell, nevertheless, asserted that behaviorism “contains much more truth than people suppose” and regarded it “as desirable to develop the behaviourist method to the fullest possible extent” (Russell 1927: 73), proposing a united front between behaviorism and science-friendly analytic philosophy of mind. Such fronts soon emerged on both the “formal language” and “ordinary language” sides of ongoing analytic philosophical debate.

ii. Logical Behaviorism: Rudolf Carnap

What is sometimes called the “formalist” or “ideal language” line of analytic philosophy seeks the logical and empirical regimentation of (would-be) scientific language for the sake of its scientific improvement. “Logical behaviorism” refers, most properly, to Carnap and Hempel’s proposed regimentation of psychological discourse on behavioristic lines, calling for analyses of mental terms along lines consonant with the Logical Empiricist doctrine of verificationism (resembling the “operationism” of P.W. Bridgman 1927) they espoused. According to verificationism, a theoretic attribution—say of temperature—as in “it’s 23.4º centigrade” “affirms nothing other than” that certain “physical test sentences obtain”: sentences describing the would-be “coincidence between the level of the mercury and the mark of the scale numbered 23.4” on a mercury thermometer, and “other coincidences,” for other measuring instruments (Hempel 1949: 16-17). Similarly, it was proposed, that for scientific psychological purposes, “the meaning of a psychological statement consists solely in the function of abbreviating the description of certain modes of physical response characteristic of the bodies of men and animals” (Hempel 1949: 19), the modes of physical response by which we test the truth of our psychological attributions. “Paul has a toothache” for instance would abbreviate “Paul weeps and makes gestures of such and such kinds”; “At the question `What is the matter?,’ Paul utters the words `I have a toothache'”; and so on (Hempel 1949: 17). As Carnap and Hempel came to give up verificationism, they gave up logical behaviorism, and came to hold, instead, that “the introduction and application of psychological terms and hypotheses is logically and methodologically analogous to the introduction and application of the terms and hypotheses of a physical theory.” Theoretical terms on this newly emerging (and now prevalent) view need only be loosely tied to observational tests in concert with other terms of the theory. They needn’t be fully characterized, each in terms of its own observations, as on the “narrow translationist” (Hempel 1977: 14) doctrine of logical behaviorism. As verificationism went, so went logical behaviorism: liberalized requirements for the empirical grounding of theoretical posits encouraged the taking of “cognitive scientific” liberties (in practice) and (in theory) the growth of cognitivist sympathies among analytic philosophers of mind. Still, despite having been renounced by its champions as unfounded and having found no new champions; and despite seeming, with hindsight, clearly false; logical behaviorism continues to provoke philosophical discussion, perhaps due to that very clarity. Appreciation of how logical behaviorism went wrong (below) is widely regarded by cognitivists as the best propaedeutic to their case for robust recourse to hypotheses about internal computational mechanisms.

iii. Ordinary Language Behaviorists: Gilbert Ryle, Ludwig Wittgenstein

The “ordinary language” movement waxed most strongly in the work of Ryle and Wittgenstein around the middle of the twentieth century. Their investigations are “meant to throw light on the facts of our language” in its everyday employment (Wittgenstein 1953: §130). Where the formalist seeks the logical and empirical regimentation of would-be scientific language, including psychological terms, Ryle and Wittgenstein regard our everyday use of mental terminology as unimpeached by its scientific “defects”—which are not defects—because such talk is not in the scientific line of business. To misconstrue talk of people “as knowing, believing, or guessing something, as hoping, dreading, intending or shirking something, as designing this or being amused at that” (Ryle 1949: 15) on the model of scientific hypotheses about inner mechanisms misconstrues the “logical grammar” (Wittgenstein) of such talk, or makes a “category-mistake” (Ryle). Philosophical puzzlements about knowledge of other minds and mind-body interaction arise from such misconstrual: for instance, attempts to solve the mind-body problem, Ryle claims, “presuppose the legitimacy of the disjunction `Either there exist minds or there exist bodies (but not both)'” which “would be like saying, `Either she bought a left-hand and a right-hand glove or she bought a pair of gloves (but not both)'” (Ryle 1949: 22-3). The most basic misconstrual (Wittgenstein’s and Ryle’s diagnoses concur) involves thinking—when we talk of “knowing, believing, or guessing,” etc.—”that these verbs are supposed to denote the occurrence of specific modifications” either mechanical (in brains) or “paramechanical” (in streams of consciousness):

So we have to deny the yet uncomprehended process in the yet unexplored medium. And now it looks as if we have denied the mental processes. And naturally we don’t want to deny them.” (Wittgenstein 1953: §308)

Not wanting to deny, for example, “that anyone ever remembers anything” (Wittgenstein 1953: §306) Wittgenstein and Ryle offer broadly dispositional stories about how mentalistic talk does work, in place of “the model of ‘object and designation'” (Wittgenstein 1953: §293) they reject.

According to Wittgenstein on the object-designation model—where the object is supposed to be private or introspected—it “drops out of consideration as irrelevant” (Wittgenstein 1953: §293): the “essential thing about private experience” here is “not that each person possesses his own exemplar” but “that nobody knows whether other people also have this or something else” (§272). So, if “someone tells me that he knows what pain is only from his own case” this would be as if

everyone had a box with something in it: we call it a `beetle’. No one can look in anyone else’s box, and everyone says he knows what a beetle is only by looking at his beetle.—Here it would be quite possible for everyone to have something different in his box. One might even imagine such a thing constantly changing.—But suppose the word `beetle’ had a use in these people’s language?—If so, it would not be used as the name of a thing. The thing in the box has no place in the language-game at all; not even as a something: for the box might even be empty.—No, one can `divide through’ by the thing in the box; it cancels out, whatever it is. (§293)

Rather than referring to inner experiences, sensation words, according to Wittgenstein, “are connected with the primitive, the natural, expressions of the sensation and used in their place” (§246): self-attributions of “pain” and other sensation terms are avowals not descriptions: “A child has hurt himself and he cries; and then adults talk to him and teach him exclamations and, later, sentences. They teach the child new pain-behaviour.” Here, Wittgenstein explains, he is not “saying that the word `pain’ really means crying”: rather, “the verbal expression of pain replaces crying and does not describe it” (§244). Avowals join the “natural expressions” to supply the “outward criteria” which logically (not just evidentially) constrain and enable the uses sensation and other “`inner process'” words have in our public language (§580). Furthermore, Wittgenstein famously argues, we cannot even coherently imagine a private language “in which a person could write down or give vocal expression to his inner experiences” exclusively “for his private use” because the “private ostensive definition” (§380) required to fix the reference of the would-be sensation-denoting expression could not establish a rule for its use. “To think one is obeying a rule is not to obey a rule” and in the case of usage consequent on the envisaged private baptism “thinking one was obeying a rule would be the same thing as … obeying” (§202).

For Ryle, when we employ the “verbs, nouns and adjectives, with which in ordinary life we describe the wits, characters, and higher-grade performances of people with whom we have do” (Ryle 1949: 15) “we are not referring to occult episodes of which their overt acts and utterances are effects; we are referring to those overt acts and utterances themselves” (25) or else to a “disposition, or a complex of dispositions” (15) to such acts and utterances. “Dispositional words like `know’, `believe’, `aspire’, `clever’, and `humorous”’ signify multi-track dispositions: “abilities, tendencies or pronenesses to do, not things of one unique kind, but things of lots of different kinds” (118): “to explain an action as done from a specified motive or inclination is not to describe the action as the effect of a specified cause”: being dispositions, motives “are not happenings and are not therefore of the right type to be causes” (113). Accordingly, “to explain an act as done from a certain motive is not analogous to saying that the glass broke, because a stone hit it, but to the quite different type of statement that the glass broke, when the stone hit it, because the glass was brittle” (87). The force of such explanation is not “to correlate [the action explained] with some occult cause, but to subsume it under a propensity or behavior trend” (110). The explanation does not prescind from the act to its causal antecedents but redescribes the act in broader context, telling “a more pregnant story,” as when we explain the bird’s “flying south” as “migration”; yet, Ryle observes,” the process of migrating is not a different process from that of flying south; so it is not the cause of its flying south” (142). Finally, the connection between disposition and deed, as Ryle understands it, is a logical-criterial, not a contingent-causal one: brave deeds are not caused by bravery, they constitute it (as the “soporific virtue,” or sleep-inducing power, of opium doesn’t cause it to induce sleep since tending to induce sleep is this power or “virtue”).

iv. Reasons, Causes, and the Scientific Imperative

For formalists, the informality and imprecision of ordinary language formulations invite criticism. Take Ryle’s “migration” comparison: either, it would seem Ryle is saying that everyday psychological explanations yield only vague interpretive understanding, having no scope for scientific development; or else it would seem, the “more pregnant story” must be formalizable in terms of predictive-explanatory laws (as of migration, in Ryle’s example) with logical-behaviorial-definition-like rigor (if not content). The point of logical behaviorist analysis is to scientifically ground talk of “belief,” “desire,” “sensation,” and the rest, whose everyday use seems empirically precarious. With this aim in mind, “explanatory” procession from low-level matter-of-fact description (“flying south”) to more interpretive description (“migration”), such as Ryle envisages, seems to move in the wrong direction—unless, again, the “more pregnant story” is not just redescriptive but delivers scientific theoretic gains in the form of more general and precise explantory-predictive laws. A related debate raged fiercely through the nineteen fifties and early sixties between defenders of the (would-be) scientific status of “motive” or “belief-desire” explanations (notably Hempel) and champions of the Rylean thesis that “reasons aren’t causes” (Elizabeth Anscombe and Stuart Hampshire, among them). Donald Davidson’s (1963) defense of “the ancient—and commonsense—position that rationalization is a species of causal explanation” is widely recognized as a watershed in this debate, though it remains doubtful to what extent cognivists retain rights to the water shed, since Davidson counts reasons to be causal in virtue of noncognitive (low-level physical) properties. On the other hand, philosophers in the ordinary language tradition (for example, Hampshire 1950, Geach 1957) raised daunting technical difficulties (below) for the “narrow translationist” plans of logical behaviorism. Such criticisms hastened the advent of cognitivism as an alternative to behaviorism of any stripe among philosophers unwilling to abide the informality, imprecision, and seeming scientific defeatism of the ordinary language approach.

v. Later Day Saints: Willard van Orman Quine and Alan Turing

Quine, considered by many to be the greatest Anglo-American philosopher of the last half of the twentieth century, was a self-avowed “behaviorist,” and such tendencies are evident in several areas of his thought, beginning with his enthusiasm for a linguistic turn (as Bergmann 1964 styled it: see Rorty 1967) in the philosophy of mind. “A theory of mind,” Quine writes, “can gain clarity and substance … from a better understanding of the workings of language, whereas little understanding of the working of language is to be hoped for in mentalistic terms” (Quine 1975: 84). Quine’s “naturalized” inquiries concerning knowledge and language attempt, further, to incorporate empirical findings and methods from Skinnerian psychology. In contrast to logical behaviorism (above), notably, Quine “never…aspired to the ascetic adherence to operational definitions” and always acknowledged—indeed insisted —that science “settles for partial criteria and for partial explanations” of its theoretic posits “in terms of other partially explained notions” (Quine 1990: 291). Still, he is not keen—as his cognitivist contemporaries (for example, Putnam) and followers (for example, Fodor) are—about the prospects such looser empiricist strictures offer for scientific deployment of mentalistic vernacular terms like “belief,” “desire,” and “sensation”. To standard behaviorist concern about the empirical credentials of alleged private entities and introspective reports, Quine adds the consideration that talk of “belief”, “desire”, and other intentional mental states is so logically ill-behaved as to be irreconcilable with materialism and scientifically unredeemable. In the final analysis, however, the behaviorism Quine proposes is methodological. His final metaphysical word is physicalism: “having construed behavioral dispositions in turn as physiological states, I end up with the so called identity theory of mind: mental states are states of the body” (Quine 1975: 94); yet, his antiessentialism here (as elsewhere) lends his physicalism a behavioristic cast (see next section).

Alan Turing is transitional. Along with the digital age, his theory of computation helped inspire the cognitivist revolution, making him, by some lights the first cognitivist. On the other hand, the methodological behaviorism of Turing’s proposed Imitation Game test for artificial intelligence (the “Turing test”) has been widely remarked and “the Turing test conception” of intelligence may be considered a parade case of metaphysical behaviorism for purposes of refutation (as by Block 1981) or illustration (as follows).

vi. The Turing Test Conception: Behaviorism as Metaphysical Null Hypothesis

The Imitation Game proposed by Turing (1950) was originally a game of female impersonation: the aim of the game for the (male) querant is to pass for (that is, be judged by the questioner to be) female. The Turing test replaces the male querant with a computer whose aim is to pass for human. This simplified setup (Turing’s actual proposal involves an additional complication, a third participant or foil besides to the querant and questioner) can be used to explain the metaphysical character of the dispute as a dispute about essence. In the original (man-woman) Imitation Game, notice, however good the impersonation, it doesn’t make the querant female. Something else is essential: it’s the content of their chromosomes (not their conversation) that makes the querant female or not. Different proposals for what that essential something is in the case of thought, then, represent different metaphysical takes on the nature of mind. In the Turing test scenario these different [proposed essences] represent further conditions necessary to promote intelligent-seeming behavior into actual intelligence, and sufficing for intelligence, or mentation, even in the absence of such behavior.

Dualistic Essentialism: S -> [(the right) conscious experiential processes] -> R
Physicalistic Essentialism: S -> [(the right) physical processes] -> R
Cognitivistic Essentialism: S -> [(the right) computational processess] -> R
Behavioristic Inessentialism: S -> [whatever works] -> R

Dualistic theories propose a conscious experiential essence; physicalistic (or “mind-brain identity”) theories propose a physical (specifically, neurophysiological) essence; and cognitivistic theories a procedural or computational essence. Behaviorism, in contrast, doesn’t care what mediates the intelligent-seeming S -> R connection; behavioristically speaking, intelligence is as intelligence does regardless of the manner of the doing (experiential, neurophysiological, computational, or otherwise). Behaviorism, thus construed, “is not a metaphysical theory: it is the denial of a metaphysical theory” and consequently “asserts nothing” (Ziff 1958: 136); at least, nothing positively metaphysical.

vii. Logical Behaviorism Metaphysically Construed

Logical behaviorism may be seen, in the light of the preceding, as attempting to stipulate nominal essences (Locke 1690: IIiii15) where dualism, physicalism, and cognitivism propose to discover real ones. Further, although the motives of its founders (Carnap and Hempel) were chiefly epistemic or “methodological,” logical behaviorism seemed to many to invite metaphysical exploitation. Because the definitions Carnap and Hempel proposed sought to specify observationally necessary and sufficient conditions for true attributions of the mental terms in what they called “the physical thing language,” the successful completion of this program, it seemed, would reduce the mental to the physical. Mentalistic descriptions of people as “expecting pain” or “having toothaches” would be completely replaceable, in principle and without cognitive loss, by talk of bodily transitions; thoughts and experiences would thus be shown to be nothing above and beyond such bodily transitions; vindicating materialism. As the the methodological emphasis of early analytic philosophy receded and was replaced by more frankly metaphysical concerns among formalist analytic philosophers of mind, it was chiefly this would-be metaphysical application of logical behaviorism that came increasingly under philosophical scrutiny.

2. Objections & Discussion

a. Technical Difficulties

i. Action v. Movement

Ordinary language philosophers were among the first to raise daunting difficulties for the strict translationist program which, they argued, was guilty of a category mistake—or at least of wildly underestimating the impracticability of what they were proposing—in conflating the concepts of action and movement under the heading of “behavior.” As D. W. Hamlyn puts this complaint, “where activity is exhibited, it is not necessarily inappropriate to talk of movements, but it will be so to do so in the same context, in the same universe of discourse”:

With movements we are concerned with physical phenomena, the laws concerning which are in principle derivable from the laws of physics. But the behaviour which we call “posting a letter” or “kicking a ball” involves a very complex series of movements, and the same movements will not be exhibited on all occasions on which we should describe the behavior in the same way. No fixed criteria can be laid down which will enable us to decide what series of movements shall constitute “posting a letter.” Rather we have learnt to interpret a varying range of movements as coming up to the rough standard which we observe in acknowledging a correct description of such behaviour as posting a letter. (Hamlyn 1953: 134-135)

The task of defining mentalistic predications such as “wanting to score a goal” in terms of outward acts—or dispositions to acts—like kicking a ball (Tolman’s “molar behavior”) seems daunting enough; the task of casting the definition in terms of movements or “molecular behavior”—”colorless movements and mere receptor impulses” (Watson), “motions and noises” (Ryle)—seems beyond daunting.

ii. From Paralytics to Perfect Actors

If the mental were completely definable in outwardly behavioral terms—as logical behaviorism proposes—then outward behavioral capacities or dispositions would be necessary for thought or experience. But a complete paralytic, it seems, might still think thoughts (for example, I can’t move), harbor desires (for example, to move) and experience (for example, despairing) sensations. Such possibilities are, on their face, contrary to logical behaviorism. From the logical behaviorist perspective, while such cases may complicate the description of the mental in behavioral terms, they do not seem fatal. It may be replied, for example, that wanting to move is being disposed to move if able and, since the various possible causes of the disability (severed spinal cords, curare poisoning, etc.) are physically specifiable, this envisaged complication is wholly consistent with behaviorist strictures and reductionist hopes. Hilary Putnam’s imagined super-super-spartans (“X-worlders“) are less easily countered. X-worlders (as Putnam called them) “suppress all … pain behavior” by “a great effort of will” for “what they regard as important ideological reasons” (Putnam 1963: 332-334). Like paralytics, these super-super-spartans “lack the behavioral dispositions envisioned by the behaviorists to be associated with pain, even though they do in fact have pain” (Block 1981: 12); but, unlike paralytics, they lack these dispositions for psychological reasons: efforts of will undertaken for ideological reasons—unlike severed spinal cords and doses of curare—would not be physically specifiable and any envisaged complications of the behavioral definitions attempting to build exceptions for these causes would be inconsistent with behaviorist strictures and reductionist hopes. And contrary to the sufficiency of behavior for pain that logical behaviorist definitions would imply, “an exactly analogous example of perfect pain-pretenders shows that no behavioral disposition is sufficient for pain either” (Block 1981: 12: emphasis added).

iii. The Intentional Circle

Among the technical arguments against logical behaviorism, the most influential has been the “intentional circle” argument harking back to Chisholm (1957, ch. 11) and Geach (1957, p. 8): indeed the perfect actor line of counterexamples “flows out of the Chisholm-Geach point” as Block (1981:12) notes. A desire to stay dry, for instance, will dispose you to carry an umbrella only on the condition that you believe it might rain; and, conversely, the belief it might rain will dispose you to carry an umbrella only on the condition that you desire to stay dry. Such Geach-Chisholm type examples show that “which behavioral dispositions a desire issues in depends on other states of the desirer. And similar points apply to behaviorist analyses of belief and other mental states” (Block 1981: 12). While this point is most plain with respect to intentional mental states such as belief and desire, perfect actor examples seem to show it to extend to sensations, such as pain, as well: “a disposition to pain behavior is not a sufficient condition of having pain, since the behavioral disposition could be produced by a number of different combinations of mental states, for example, [pain + a normal preference function] or by [no pain + an overwhelming desire to appear to have pain]” (Block 1981: 15); and, conversely, the dispositions are not a necessary condition since unpained-behavior dispositions might be produced by, for example. [no pain + a normal preference function] or by [pain + an overwhelming desire to appear not to have pain]. “Conclusion: one cannot define the conditions under which a given mental state will issue in a given behavioral disposition” as logical behaviorism proposes “without adverting to other mental states” (Block 1981: 12), which logical behaviorism precludes. Such arguments are widely “regarded as decisive refutations of behaviorist analyses of many mental states, such as belief, desire, and pain” (Block 1981: 13). The “functionalist” doctrine that a mental state is “definable in terms of its causal relations to inputs, outputs, and other mental states” (Block 1980: 257), not to inputs and outputs alone (a la logical behaviorism), also flows directly from the Geach-Chisholm point.

In truth, as Putnam himself notes, whether refutation of the “admittedly oversimplified position” of logical behaviorism refutes behaviorism tout court depends on the extent to which “the defects which this position exhibits are also exhibited by the more complex and sophisticated positions which are actually held” (Putnam 1957: 95). Notably, perfect actor and other would-be thought experimental counterexamples to behaviorism would counterexemplify metaphysical construals which those who have actually held “the more complex and sophisticated positions” at issue, for the most part, explicitly disavow. Also, notably, Ryle’s characterization of intentional mental states (in particular) as multi-track “dispositions the exercises of which are indefinitely heterogenous” (Ryle 1949: 44) seems already to allow for intentional “circularity”: Tolman and Hull-style behaviorism even explicitly embraces it. For refutation of behaviorism tout court to be claimed, cognitivism would be have to be so simply identified with the view that a mental state is “definable in terms of its causal relations to inputs, outputs, and other mental states” that Tolman, Hull, and Ryle, count as cognitivists. That’s too simple. One may agree “that the logically necessary and sufficient conditions for the ascription of a mental state” would have to “refer not just to environmental variables but to other mental states of the organism” (Fodor 1975: 7 n.7)—that mental attributions have to be reduced all together (or holistically) not one by one (atomistically)—yet behavioristically refuse the call for further computational (or physical or phenomenological) constraints on what count as mental states. The “faith that … one will surely get to pure behavioral ascriptions”—motions and noises—”if only one pursues the analysis far enough” (Fodor 1975: 7 n.7) is also behavioristically dispensable. Notably these two tacks have their costs: the first abandons hope for essential scientific characterization of the mental. The second abandons hope for reductionist exploitation of behaviorist ideas on behalf of materialism. So chastened, behaviorism, while defensible, seems, to many, too boring to merit further philosophical bother.

iv. Methodological Complaints

Fodor’s summation of the complaint against against methodological behaviorism is succinct: by it, he maintains, “[p]sychology is … deprived of its theoretical terms” meaning “psychologists can provide methodologically reputable accounts only of such aspects of behavior as are the effects of environmental variables”; but “the spontaneity and freedom from local environmental control that behavior often exhibits” makes “this sort of methodology intolerably restrictive” (Fodor 1975: 1-2). Furthermore, “there would seem to be nothing in the project of explaining behavior by reference to mental processes which requires a commitment to [their] epistemological privacy in the traditional sense” of conscious subjectivity. “Indeed,” Fodor continues, “for better or worse, a materialist cannot accept such a commitment since his view is that mental events are a species of physical events, and physical events are publicly observable, at least in principle” (Fodor 1975: 4): the commitment is to inner computational not inward experiential processes. However, while Fodor 1975 adduces, “failure of behavioristic psychology to provide even a first approximation to a plausible theory of cognition” (Fodor 1975: 8) in support of cognitivist alternatives, Fodor 2000 confesses “that the most interesting—certainly the hardest—problems about thinking are unlikely to be much illuminated by any kind of computational theory we are now able to imagine” (Fodor 2000: 1). As for more isolated or “modular” processes (for example, syntactic processing) where the “Computational Theory of Mind” by Fodor’s lights remains “by far the best theory of cognition that we’ve got; indeed, the only one we’ve got that’s worth the bother” (Fodor 2000: 1) … here, where, in Fodor’s judgment, behaviorism failed “to provide even a first approximation of a plausible theory,” cognitivism may be faulted with producing too many: elaborate theoretical superstructures built on slight observational-experimental foundations reminiscent of Hull’s. Notably, since Chomsky’s watershed “Review of Verbal Behavior by B. F. Skinner” Chomsky himself has held at least four distinct syntactic theories, and his currently fashionable “Minimalist Theory” presently competes with at least five distinct others. (Chomsky’s four theories (in chronological order) have been Transformational Grammar (1965), Extended Standard Theory (1975), Government and Binding (1984), and Minimalism (1995). Competing theories include, notably, Lexical Function Grammar (Bresnan), Head-Driven Phrase Structure Grammar (Sag, Pollard), Functionalism (see Newmeyer), Categorial Grammar (Steedman), and Stratificational Grammar (Lamb).)

b. The Ur-Objection: Consciousness Denied

Behaviorism’s disregard for consciousness struck many from the first, and continues to strike many today, as contrary to plain self-experience and plain common-sense; not to mention all that makes life precious and meaningful. In this vein behaviorism has been “likened to `Hamlet’ without the Prince of Denmark” (Ryle 1949: 328) and behaviorists accused of “affecting general anesthesia” (Ogden & Richards 1926: 23) and made the butt of jokes in the vein of the following (see Ziff 1958):

Q: What does one behaviorist say to another when they meet on the street?
A: You’re fine. How am I?
Q: What does one behaviorist say to another after sex?
A: That was great for you. How was it for me?

In the same vein as John Searle still complains “the behaviorist seems to leave out the mental phenomena in question,” (Searle 1992: 34), E. B. Titchener complained, at the movement’s outset, of behaviorism’s “irrelevance to psychology as psychology is ordinarily understood” (Titchener 1914: 6). On the other hand Titchener’s prediction—that, due to this irrelevance, introspective psychology would continue to flourish alongside behaviorism—with hindsight, seems a bit laughable itself. As Ryle puts it, “the extruded hero,” consciousness, for scientific purposes, “soon came to seem so bloodless and spineless a being that even the opponents of these [behaviorist] theories began to feel shy of imposing heavy burdens upon his spectral shoulders” (Ryle 1949: 328). Ryle’s countercomplaint still rings true today despite recent attempts to revive consciousness as a subject of serious scientific inquiry; or, more to the point especially, in light of such attempts, which all, in one way or another, seek to revive the Wundtian program of correlating introspected experiential with observed neurophysiological events. While it may be urged that the hero was never wholly extruded but has been lurking all along in the caves of psychophysics (for example, in correlations of physical stimulus variations with noticed differences in sensation), recent attempts to extend this psychology-as-psychophysics approach beyond psychophysics remain nascent at best.

“Imagery from Galton on has been the inner stronghold of a psychology based on introspection” (Watson 1913: 421) and here, with regard to direct sensory presentations (for example, afterimages) and sensations (for example, pain)—so-called qualia—the “neglect of consciousness” complaint against behaviorism is most acutely felt; and here it must be confessed that behaviorist replies have been mostly halting and evasive. Watson, confessing, “I may have to grant a few sporadic cases of imagery to him who will not be otherwise convinced” would marginalize the phenomena, insisting, “that the images of such a one are as sporadic and as unnecessary to his well-being and well-thinking as a few hairs more or less on his head” (Watson 1913: 423n.3)—a verdict Ryle deems confirmed. Scientifically, the “extruded hero,” it seems, can neither explanans nor explanandum be. Inward experience seems, scientifically, as nonexplanatory (of intentionality, intelligence, or other features of mind we should like to explain) as it seems itself scientifically inexplicable. Nevertheless, Ryle frankly confesses that “there is something seriously amiss” with his own treatment of sensations (Ryle 1949: 240) and, even, “not to know the right idioms to discuss these matters” in behavioristic good conscience; only hoping, his “discussion of them in the official idioms may have at least some internal Fifth Column efficacy” (Ryle 1949: 201). Still, inward experiences seem just as unaccountable on inner computational grounds as on outward behavioral ones—Kossyln’s 1980 data structural analysis of images as two dimensional data arrays, for example, leaves their qualia still unaccounted for. Behavioristic losses on the count of qualia are, by no means, cognitivistic gains. Cognitivism itself “has been plagued by two `qualia’ centered objections” in particular: the Inverted Qualia Objection that, possibly, for example, “though you and I have exactly the same functional organization, the sensation that you have when you look at red things is phenomenally the same as the sensation that I have when I look at green things” (Block 1980: 257); and the Absent Qualia Objection “that it is possible that a mental state of a person x be functionally identical to a state of y, even though x‘s state has qualitative character while y‘s state lacks qualitative character altogether” (Block 1980: 258).

Methodologically, then, the matter of consciousness remains about where Watson left it, as scientifically intractable as it seems morally crucial and common-sensically inescapable. Unless there is more scientific gold in those psychophysical hills than recently renewed attempts to mine them by Crick (1994) Edelman (1989) and others (see Horgan 1994) suggest, this is apt to be where matters remain for the foreseeable future. Notice, metaphysical dualism (identifying mental events with private, subjective, nonphysical, “modes” of conscious experience) may be held consistently with methodological behavioristic commitment to the explanatory superfluity of such factors by disallowing such events their apparent causal roles in the generation of behavior. Epiphenomenalism denies their causal efficacy altogether. Parallelism just denies their “downward” (mental-to-physical) causal efficacy. It is due, largely, to their reluctance to embrace such drastic expedients as parallelism and epiphenomenalism that, despite recently renewed would-be scientific interest in consciousness, most cognitive scientists and allied analytic philosophers continue to reject metaphysical dualism—remaining true to their metaphysical, along with their methodological, behavioral roots.

The enduring cogency of behaviorism’s challenge to the scientific bona fides of consciousness means that methodologically, at least, there seems no viable alternative to “practically everybody in cognitive science” remaining—if not “a behaviorist of one sort or another” (Fodor 2001: 13-14)—at least, behavioristic in some manner. Cognitive Science killed Behaviorism, they say. Still, Cognitive Science seems entitled to its last name only on condition that it retain a good measure of behavioristic conscience.

3. References and Further Reading

  • Anscombe, G. E. M. Intention. Oxford: Blackwell, 1957.
  • Bergmann, Gustav. Logic and Reality. Madison: University of Wisconsin Press, 1964.
  • Bergmann, Gustav, and Kenneth Spence. “Operationism and Theory in Psychology.” Psychological Review 48 (1964): 1-14.
  • Block, Ned. “Troubles with Functionalism.” First appeared in Perception and Cognition: Minnesota Studies in the Philosophy of Science, Vol. IX. Ed. P. French, T. Uehling, and H. Wettstein. Minneapolis: University of Minnesota Press, 1979. Reprinted in Readings in the Philosophy of Psychology. Ed. N. Block. Cambridge: Harvard University Press, 1980: 268-305.
  • Block, Ned. “Are Absent Qualia Impossible?” The Philosophical Review 89 (1980): 257-274.
  • Block, Ned. “Psychologism and Behaviorism.” The Philosophical Review 90 (1981): 5-43.
  • Bresnan, Joan. Lexical-Functional Syntax. Malden, MA: Blackwell, 2001.
  • Bridgman, P. W. The Logic of Modern Physics. New York: Macmillan, 1927.
  • Burge, Tyler. “Individualism and the Mental.” Studies in Metaphysics: Midwest Studies in Philosophy, vol. 4. Ed. P. French, T. Uehling, and H. Wettstein. Minneapolis: University of Minnesota Press, 1979: 73-121.
  • Carnap, Rudolf. 1932/33. “Psychology in Physical Language.” Erkenntnis 3. Reprinted (in translation by George Schick) in Logical Positivism. Ed. A. J. Ayer. New York: The Free Press, 1959: 165-98.
  • Chalmers, David. The Conscious Mind: In Search of a Fundamental Theory. New York: Oxford University Press, 1996.
  • Chihara, C. S., and Fodor, J. A. “Operationalism and Ordinary Language: A critique of Wittgenstein.” American Philosophical Quarterly 2 (1965): 281-295.
  • Chisholm Roderick. Perceiving: a Philosophical Study. Ithaca: Cornell University Press, 1957.
  • Chomsky, Noam. “Review of Verbal Behavior by B. F. Skinner.” Language 35 (1959): 26-58.
  • Chomsky, Noam. Aspects of the Theory of Syntax. Cambridge MA: MIT Press, 1965.
  • Chomsky, Noam. “Conditions on Transformations.” A Festschrift for Morris Halle. Ed. Stephen R. Anderson and Paul Kiparsky. New York: Holt, Rinehart & Winston, 1973. 232-286.
  • Chomsky, Noam. Lectures on Government and Binding: The Pisa Lectures. Dordrecht Holland: Foris Publications, 1984.
  • Chomsky, Noam. The Minimalist Program. Cambridge, MA: MIT Press, 1995.
  • Clark, Andy. “Reasons, Robots and the Extended Mind.” Mind & Language 16 (2001): 121-145.
  • Crick, Francis. The Astonishing Hypothesis: The Scientific Search for the Soul. New York: Simon and Schuster, 1994.
  • Davidson, Donald. “Actions, Reasons, and Causes.” Essays on Actions and Events. Oxford: Oxford University Press (1980): 3-19.
  • Descartes, Rene. Meditations on First Philosophy. Trans. John Cottingham, Robert Stoothoff and Dugald Murdoch. In The philosophical writings of Descartes, Vol. II. New York: Cambridge University Press, 1984: 1-62. First appeared 1642.
  • Dewey, John. “The Reflex Arc Concept in Psychology.” Psychological Review, 3 (1896): 357-370.
  • Edelman, G.M. The Remembered Present: A Biological Theory of Consciousness. New York: Basic Books, 1989
  • Fodor, Jerry A. The Mind Doesn’t Work that Way. Cambridge, MA: MIT Press, 2000.
  • Fodor, Jerry A. “Language, Thought, and Compositionality.” Mind and Language 16 (2001): 1-15.
  • Geach, P. Mental Acts: Their Content and Their Objects. London: Routledge & Kegan Paul: 1957.
  • Hamlyn, D. W. “Behaviour.” Philosophy 28 (1953): 132-145.
  • Hampshire, Stuart. “Critical Notice of Ryle, The Concept of Mind. Mind 59 (1950): 234: .
  • Hampshire, Stuart. Thought and Action. London: Chatto & Windus, 1959.
  • Hempel, Karl. “The Logical Analysis of Psychology.” Readings in the Philosophy of Psychology, Vol. 1. Ed. N. Block. Cambridge: Harvard University Press, 1980. 15-23. First appeared 1949.
  • Hempel, Carl. “Author’s Prefatory Note, 1977.” Readings in the Philosophy of Psychology, Vol. 1. Ed. N. Block. Cambridge: Harvard University Press, 1980. 14-15.
  • Horgan, John. “Can Science Explain Consciousness?” Scientific American, 271.1 (1994): 88-94.
  • Hull, Clark. Principles of Behavior. New York: Appleton-Century-Crofts, 1943.
  • Hume, David. A Treatise of Human Nature. Online: http://www.socsci.mcmaster.ca/~econ/ugcm/3ll3/hume/treat.html. Originally appeared 1739.
  • James, William. “What is an Emotion?” Mind 9 (1884): 188-205. Online: http://psychclassics.yorku.ca/James/emotion.htm.
  • James, William. “Does `Consciousness’ Exist?” Journal of Philosophy, Psychology, and Scientific Methods 1 (1912) : 477-491. Online: http://psychclassics.yorku.ca/James/consciousness.htm.
  • Kossyln, S. M. Image and Mind. Cambridge, MA: Harvard University Press, 1980.
  • Lamb, Sidney. Pathways of the Brain: The Neurocognitive Basis of Language. Amsterdam: John Benjamins, 1999.
  • Lewis, David. “Psychophysical and Theoretical Identifications.” Australasian Journal of Philosophy 50 (1972): 207-215.
  • Locke, John. An Essay Concerning Human Understanding. Online: http://humanum.arts.cuhk.edu.hk/Philosophy/Locke/echu/index.htm. First appeared 1690.
  • Newmeyer, Frederich J. “The Prague School and North American Functionalist Approach to Syntax.” Journal of Linguistics 37 (2001): 101-126.
  • O’Donohue, William and Richard Kitchener, eds. 1999. Handbook of Behaviorism. San Diego: Academic Press.
  • Ogden, C. K., and I. A. Richards, eds. The Meaning of Meaning. London: Harcourt, Brace, & Co, 1926.
  • Pavlov, I. P. Conditioned Reflexes. London: Oxford, 1927.
  • Place, Ullin T. “Ryle’s Behaviorism.” Handbook of Behaviorism. Ed. William O’Donohue and Richard Kitchener. San Diego: Academic Press, 1999.
  • Pollard, Carl, and Ivan Sag. Head-Driven Phrase Structure Grammar. Chicago: University of Chicago Press, 1994.
  • Putnam, Hilary. “Psychological Concepts, Explication, and Ordinary Language.” Journal of Philosophy 54 (1957): 94-100.
  • Putnam, Hilary. “Brains and Behavior.” Mind, Language, and Reality: Philosophical Papers, Vol. 2: 325-341. Cambridge: Cambridge University Press. First appeared 1963.
  • Putnam, Hilary. “The Meaning of `Meaning’.” Mind, Language, and Reality: Philosophical Papers, Vol. 2: 215-271. Cambridge: Cambridge University Press, 1975.
  • Quine, W. V. “Mind and Verbal Dispositions.” Mind and Language. Ed. S. Guttenplan. Oxford: Clarendon Press, 1975.
  • Quine, W. V. “Comment on Parsons.” Perspectives on Quine. Ed. R. Barrett and R. Gibson. Oxford: Basil Blackwell, 1990. 291-293.
  • Rorty, Richard. Introduction. The Linguistic Turn: Recent Essays in Philosophical Method. Ed. R. Rorty. Chicago: University of Chicago Press, 1967. 1-39.
  • Russell, Bertrand. The Analysis of Mind . New York: Macmillan, 1921.
  • Russell, Bertrand. Philosophy . New York: W. W. Norton, 1927.
  • Ryle, Gilbert. The Concept of Mind. Chicago: The University of Chicago Press, 1949.
  • Searle, John R. The Rediscovery of the Mind. Cambridge, MA: MIT Press, 1992.
  • Searle, John R. The Mystery of Consciousness. Cambridge, MA: MIT Press, 1997.
  • Skinner, B. F. Science and Human Behavior . New York: Macmillan, 1953.
  • Skinner, B. F. Verbal Behavior. New York: Appleton-Century-Crofts, Inc., 1957.
  • Skinner, B. F. 1987. “Behaviourism, Skinner On.” Oxford Companion to the Mind. New York: Oxford University Press.
  • Smith, Laurence D. Behaviorism and Logical Positivism: A Reassessment of the Alliance. Stanford, CA: Stanford University Press, 1986.
  • Steedman, Mark. Surface Structure and Interpretation. Cambridge, MA: MIT Press, 1996.
  • Thorndike, Edward. Animal Intelligence. Online: http://psychclassics.yorku.ca/Thorndike/Animal/chap5.htm. First published 1911.
  • Titchener, E. B. “On `Psychology as the Behaviorist Views it’.” Proceedings of the American Philosophical Society 53 (1914): 1-17.
  • Tolman, Edward. “Cognitive Maps in Rats and Men.” Psychological Review 55 (1948): 189-208.
  • Turing, Alan. “Computing Machinery and Intelligence.” Mind 59 (1950): 433-460. Online: http://www.loebner.net/Prizef/TuringArticle.html.
  • Watson, J. B. “Psychology as the Behaviorist Views it.” Psychological Review 20 (1913): 158-177. Online: http://psychclassics.yorku.ca/Watson/views.htm.
  • Watson, J. B. “Image and Affection in Behavior.” The Journal of Philosophy, Psychology, and Scientific Methods 10 (1913): 421-428.
  • Watson, J. B. “Is Thinking Merely the Action of Language Mechanisms?” British Journal of Psychology 11 (1920): 87-104. Online: http://psychclassics.yorku.ca/Watson/thinking.htm .
  • Wittgenstein, Ludwig. Philosophical Investigations . Trans. G. E. M. Anscombe. New York: Macmillan, 1953.
  • Wundt, Wilhelm. Outlines of Psychology. Trans. Charles Hubbard Judd. Online: http://psychclassics.yorku.ca/Wundt/Outlines/index.htm. First published 1897.
  • Ziff, Paul. “About Behaviourism.” Analysis 18 (1958): 132-136.
  • Zuriff, G. E. Behaviorism: A Conceptual Reconstruction. New York: Columbia University Press, 1985.

Author Information

Larry Hauser
Email: lshauser@aol.com
Alma College
U. S. A.

Cynosarges

A gymnasium near Athens and the site where Cynic philosophers taught.

Table of Contents

  1. Location, Structures, and Layout of Cynosarges
  2. Bridge
  3. Heracleion
  4. Other Sanctuaries
  5. Gymnasium
  6. Palaistra
  7. Peripatos
  8. Groves
  9. History of the Use of Cynosarges
  10. References and Further Reading

1. Location, Structures, and Layout of Cynosarges

Cynosarges was located along the southern bank of the Ilissos river, not far from the ancient city wall (Diogenes Laertius 6.13 and [Plato] Axiochus 364d) in the deme of Diomeia (Hegesander of Delphi, FHG 4.413, Harpocration, Lexicon s.v. en Diomeois Heracleion; Telephanes, FHG 4.507; Herodian,Correct Pronunciation, s.v. Cynosarges; and Steph. Byz. s.v. Cynosarges). Scholarly debate over the precise location and boundaries of Cynosarges continues, but evidence for specific structures is discussed below.

The literary and epigraphic evidence attests many cult sanctuaries, a gymnasial area for exercise, apalaistra (wrestling school), parcels of land leased to private individuals for cultivation, and open space for equestrian activities.

2. Bridge

The philosopher Diogenes of Sinope is said to have asked to be thrown from a bridge near the Cynosarges gymnasium when he was near the point of death (Aelian, Varia Historia 8.14.3). The bridge presumably spanned the Ilissos river.

3. Heracleion

The Cynosarges area belonged to Heracles (Pausanias 1.19.3, Hesychius s.v. Cynosarges and Suda, s.v.Cynosarges). A temple and altar dedicated to Heracles is attested (Pausanias 1.19.3, Suda, s.v. Es Cynosarges and s.v. Cynosarges; Apostolios, CPG 10.22; old scholia on [Plato] Axiochus 364a). Nearby there were altars for Alcmene and Iolaus, Heracles’ mother and companion respectively, and for Hebe, his consort in Olympus (Pausanias 1.19.3).

4. Other Sanctuaries

All the other deities associated with Cynosarges are closely connected with Heracles himself. There is attested a sanctuary to Antiochus, Heracles’ son and the eponymous hero of the Antiochid tribe (SEG III 115, 116, and 117), and a sanctuary of Diomos, the eponymous hero of the deme Diomeia and founder of the festival for Heracles (IG II2 1247). A statue and cult to Philip II of Macedon, whose family was allegedly founded by Heracles, was set up in Cynosarges during the 330s BCE (Clement of Alexandria,Protrepticus 4.54.5). A sanctuary of Hermes may have also existed (Palatine Anthology 6.143), but the evidence is slim.

5. Gymnasium

During the Classical and Hellenistic periods, the gymnasium in Cynosarges was probably a large, open space dedicated to athletic and military training. None of the literary or epigraphic sources attest a built gymnasium in Cynosarges during this period. Excavations carried out in 1896-1897 by the British School at Athens uncovered a building of the Archaic period and a much larger building of the 2nd century CE on the southern bank of the Ilissos. The results of the excavation were never fully published, but J. Travlos has associated these buildings with Cynosarges and a gymnasium built by the Roman emperor Hadrian (Pausanias 1.18.9). Scholarly opinion remains divided on this identification with some preferring a location further downstream.

6. Palaistra

A wrestling school is attested for Cynosarges (Aelian, Varia Historia 8.14.3 and Diogenes Laertius 6.30.8). The palaistra may have been a building or simply an open area marked off for training in combat sports such as boxing and wrestling.

7. Peripatos

An area for walking is mentioned briefly in the pseudo-Platonic dialogue Axiochus (372a).

8. Groves

Leases for properties belonging to Heracles (Agora XIX L6) make it clear that a number of plots of arable land in the Cynosarges area were leased to private individuals for the benefit of Heracles’ cult during the fourth century BCE. The size of the plots themselves is unclear, buy the total value of the land described in the surviving leases has been estimated at approximately 2 talents.

9. History of the Use of Cynosarges

The origin of the name “Cynosarges” appears to have been a mystery even in antiquity. According to a often re-told story, a “white” or “swift” dog snatched the sacrificial meats from the altar of Heracles (e.g., Hesychius, s.v. Cynosarges Suda, s.v. Es Cynosarges and Cynosarges, and Eustathius, Commentary on Homer’s Odyssey 2.11 p. 1430.54-59). The athletic facilities, cults, educational, and military uses of the area continued from the Archaic period to the siege of Athens in 200 BCE by Philip V of Macedon, whose army encamped in Cynosarges.

By the sixth century BCE, Cynosarges functioned as a cult center for Heracles and as a gymnasium used by the nothoi or offspring of mixed Athenian/non-Athenian parentage (Demosthenes, Against Aristagoras II 214, Harpocration, Lexicon s.v. notheia and cf. Suda, s.v. Antisthenes). The most famous of these nothoi was Themistocles (Plutarch, Themistocles 1.3), who allegedly encouraged his young friends who were not nothoi to use the grounds at Cynosarges themselves in order that there would be a blurring of the distinction.

There was also a connection between the nothoi and the cult of Heracles. The parasitoi who made offerings monthly along with the priest of Heracles were chosen from the nothoi (Athenaeus, The Wise Dinner Companions 6.234d-e). Heracles himself is said to have been considered a nothos as his mother was the mortal, Alcmene, and his father the god Zeus (Plutarch, Themistocles 1.3).

Cynosarges was also the site of the Heracleia, in which Heracles received sacrifices as an Olympian god (Aristophanes Frogs 650, SEG XLII 50, Demosthenes On the False Embassy 125, IG II2 1247, Harpocration, Lexicon s.v. Heracleia, and Suda, s.v. Heracleia). A priest of Diomos, the eponymous hero of the deme Diomeia and the founder of the these rites for Heracles, also took part in the superintendence of the festival (IG II2 1247.16-24. Polemon, fr. 78).

Cynosarges never seems to have attracted the level of organized philosophical discussion and study as the Lyceum and Academy, but it was commonly associated with Cynic philosophy. Socrates appears on his way out to Cynosarges in the pseudo-Platonic dialogue Axiochus (364a1-b1), but it is Socrates’ student Antisthenes whose association with Cynosarges would have a more lasting legacy. Antisthenes was reportedly himself a nothos –his mother was a Thracian–and thus had frequented the gymnasium since his youth (Suda, s.v. Antisthenes). After Socrates’ death in 399 BCE, Antisthenes taught a philosophy in Cynosarges that emphasized simplicity and austerity in life. It is debatable whether Antisthenes taught Diogenes of Sinope or not, but Diogenes is said to have taught and lived in the area of Cynosarges (Diogenes Laertius, 6.13, 6.30.8; Aelian, Varia Historia 8.14.3). Because Cynicism was more a way of life than a formal study of philosophy, no organized school seems to have developed in Cynosarges, which is absent in the lists of philosophical schools that were a part of the regular curriculum of young men during the Hellenistic and Roman periods.

Another group associated with Cynosarges was called The Sixty, who appear to have been a loosely organized comedy club that met in the sanctuary of Heracles (Athenaeus, The Wise Dinner Companions6.260b). Their fame in telling jokes had spread as far north as Macedon during the reign of Philip II (360-336 BCE), who reportedly sent them an enormous sum of money in exchange for a written account of their jokes (Athenaeus, The Wise Dinner Companions 14.614).

Cynosarges was also a critical strategic point in the Persian invasion of Attica in 480 BCE. After their defeat at Marathon, the Persian fleet reportedly sailed into the Saronic gulf and attempted a landing in the bay of Phaleron to the West of Athens. Herodotus (6.116) tells us that the victorious Athenians quickly marched from the sanctuary of Heracles at Marathon to another sanctuary of Heracles at Cynosarges (around 26.5 miles). The sight of the Athenian troops arrayed for battle only a few miles away caused the Persians to retreat.

Cynosarges also was used for military training (Diogenes Laertius 6.30.8 and SEG III 115, 116, 117) and equestrian exercises, as is attested by the orator Andocides (On the Mysteries 61), who said he broke his collarbone in a riding accident there.

The area was used as a camp by Philip V during his unsuccessful, but destructive siege of Athens in 200 BCE (Diodorus Siculus 28.7.1 and Livy 31.24.17-18). Since the sources mention no further activity in Cynosarges after 200 BCE, many believe that the area did not recover from this disaster.

10. References and Further Reading

  • Billot, M.-F. “Le Cynosarges. Histoire, mythes et archéologie,” in Dictionnaire des Philosophes Antiques, R. Goulet, ed. (Paris 1994).
  • Billot, M.-F. “Antisthène et le Cynosarges dans l’Athènes des Ve et IVe siècles,” in Le Cynisme ancien et ses prolongments: Actes du Colloque International du CNRS (Paris 22-25 juillet 1991). M.-O. Goulet-Cazé and R. Goulet, eds. (Paris 1993) 69-116.
  • Walbank, M. “Leases of Public Lands. The Leasing of Public Lands in Attica and in Territories controlled by Athens,” in The Athenian Agora vol. XIX Inscriptions (Princeton 1991)
  • Wycherley, R.E. The Stones of Athens. Princeton 1978.
  • Travlos, J. Pictorial Dictionary of Ancient Athens (New York 1971).
  • Judeich, J. Topographie von Athen2 (Berlin 1931). (Berlin 1931).
  • Stuart, J. and N. Revett, The Antiquities of Athens. (London 1762 [repr. New York 1968])

Author Information

William Morison
Email: morisonw@gvsu.edu
Grand Valley State University

John Calvin (1509—1564)

calvinOne can scarcely imagine a figure with a greater reputation for disapproval of philosophy than John Calvin. The French expatriate penned some of the most vitriolic diatribes against philosophy and its role in scholastic theology ever written. Thus, in one way, this reputation is rather well-earned, and an article upon Calvin in an encyclopedia of philosophy can be rather brief. However, in another way, Calvin’s consideration, knowledge, and use of philosophy in his own work refutes the obscurantist representation left by a surface-level reading. A closer reading of Calvin’s great work, the Institutes of the Christian Religion, along with his commentaries and treatises demonstrates that instead of denying the importance of philosophy, Calvin generally seeks to set philosophy in what he regards as its proper place. His vehemence stems from his belief that the rationalism of some of the scholastics had displaced God’s wisdom, most securely found in the work of the Holy Spirit in the scriptures, as the pinnacle for knowledge of the divine.

Table of Contents

  1. Biography
  2. Philosophy
    1. Knowledge of Philosophy
    2. Epistemology
    3. Influence
  3. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Biography

John Calvin, (1509-1564) was born in Noyon, the son of a notary, Gerard Cauvin, and his wife, Jeanne LeFranc. Although Calvin’s father displayed no particular piety, his mother is recorded as having taken him to visit shrines, and on one such occasion he is supposed to have kissed a fragment of the head of St. Ann. Calvin was the fourth of five sons in a family that was definitely not of the aristocracy. Normally, this would have worked against his chances of receiving a thorough education,but through the good fortune of his father’s professional relationship to a family of the local nobility, he received a private education with that family’s children. Having distinguished himself at an early age, Calvin was deemed worthy of receiving the support of a benefice, a church-granted stipend, at the age of 12, so as to support him in his studies. Although normally benefices were granted as payment for work for the church, either present or in the future, there is no record that Calvin ever performed any duties for this position. Later on he held two more benefices, for which he also did no work. Thus supported by the Church, at age 14, Calvin was enrolled at the College de la Marche in the University of Paris, though he quickly transferred to the College de Montaigu.

In Paris, Calvin first came into contact with the new humanistic learning while preparing for a career as a priest,. Though all the contacts which Calvin made cannot be traced, it seems clear that he met many of the leading humanists of his day. Calvin earned his masters degree at the age of 18. However, he did not proceed with his original plan to prepare for a clerical career. Gerard Cauvin, recently excommunicated in a dispute with the cathedral chapter at Noyon, ordered his son to enroll instead at Orleans in the law faculty. Calvin obeyed, and applied himself, finishing his doctorate in law sometime before 14 January 1532. In that same year, his first published book appeared, a commentary on Seneca’s De Clementia. Significantly, it contains no overt evidence of an awareness of, let alone a preoccupation with, the contemporary events in the religious world.

Around 1533, Calvin experienced a “subita conversione,” a sudden conversion. As Calvin is notoriously reticent about revealing his personal life, his writings do not grant much insight as to the exact time or cause of this event. Ganoczy relates it to the prosecution of Cop for heresy, during which Calvin fled Paris, and at which time his apartment was searched and his papers confiscated. In any case, on May 4, 1534, he appeared in Noyon, and surrendered his clerical benefices. Probably from that point on, Calvin no longer had a personal attachment to the church of Rome.

Writing rapidly, Calvin finished the first edition of his Institutes of the Christian Religion in 1536. It enjoyed a wide popular demand, and the original supply was exhausted within a year. Instead of simply reprinting it, Calvin revised it, and the edition of 1539 expanded substantially the original work. This would be Calvin’s pattern throughout the subsequent Latin editions of 1543, 1550, and 1559. French editions were printed in 1545 and 1560, and Calvin’s French is easily as influential as Luther’s German for the formation of the modern vernacular. Each Latin edition was a rearrangement of earlier material, as well as the addition of new components. If this had been the sole gift from Calvin’s pen, it might seem enough. But Calvin also wrote commentaries on almost every book of the Bible, issued numerous tracts, and preached almost every day in Geneva.

Geneva was to be Calvin’s triumph and tribulation. In 1536, Guillaume Farel shamed Calvin into sharing the leadership of Geneva. This period of Calvin’s life lasted until the city council threw him out in April of 1538. Calvin was too rigid for their taste. He settled in Strasbourg, and pastored a congregation. It was here that he began his other life work: commenting upon the books of the Bible. Beginning with the Romans commentary, written at least partially and published in Strasbourg in 1540, Calvin would comment upon most of the books of the scripture. However, Geneva called him back in 1541. Calvin, believing that Geneva was his particular call, returned. He was to live there, alternately supporting and berating the council, until his death in 1564. It was in this period that Calvin made his other great contribution to the Church, preparing, and then forcing the city council to ratify, his Ecclesiastical Ordinances of the Church of Geneva. In this, all the principles of Reformed polity are found. In 1564, debilitated by a series of illnesses, Calvin died in Geneva. By the terms of his will, he was buried in an unmarked grave, so as to avoid any possibility of idolatry.

Calvin’s thought is marked by a constant dialectic between the perspective of a wholly pure and good creator (God) and the corrupted created being (humanity). His anthropology and soteriology shows his dependence on Augustine, with the will being somewhat limited in human application, and powerless to effect change in its status vis-à-vis salvation. However, Calvin balances that with a hearty emphasis on human response to God’s love and mercy in the created order, by correct action both in the human world and the world of nature.

2. Philosophy

a. Knowledge of Philosophy

Given Calvin’s occasional antipathy for philosophers, it is all too tempting to dismiss him as someone who knew very little philosophy, striking out at that which he did not know. However tempting that may be, it simply is untrue. In the Institutes, his treatises, and the commentaries, Calvin continually demonstrates a familiarity with both general and specific philosophical knowledge which seems to have been gained through his own study of their writings. What seems most significant about Calvin’s use of philosophy is that in general, he refuses to accept a philosophical system. Instead, he considers philosophy as the history of human wisdom’s attempt to search out answers to the questions of human existence. Thus, philosophers and their theories become paradigms for consideration, rather than structures for the organization of thought.

Hence, Calvin’s effort at using philosophy must be understood as part of his humanism, rather than a tool of the coherence of systematization of his thought. Calvin placed logic in the curriculum of the Genevan Academy. He could illustrate faith with the four-fold causality of Aristotle. He can use the thoughts of the philosophers as aids to training the mind, and believed that not many pastors, and certainly no doctor of the church could be ignorant of philosophy. However, that respect lived in constant tension with his irritation at the efforts of philosophy (and philosophers) at exceeding their proper place.

b. Epistemology

As noted, Calvin can seem overly harsh about philosophy. Concerning the knowledge of God, Calvin states that it is at this point that it becomes clear “how volubly has the whole tribe of philosophers shown their stupidity and silliness! For even though we may excuse the others (who act like utter fools), Plato, the most religious of all and the most circumspect, also vanishes in his round globe.” (Institutes of Christian Religion I.v.11) Calvin finds that even the most wise philosophers do not compare to the “sacred reading,” which has within itself the power to move the very heart of the reader. (ICR I.viii.1) The power of the scripture is that it carries the gospel, ensured by the Holy Spirit’s presence, so that its words can transport the soul. God’s purpose, Calvin states, in the scriptural teaching of his infinite and spiritual essence, is to refute even subtle speculations of secular philosophy. (ICR I.viii.1) Even those who have attained the intellectual first rank, cannot reach the eminence which is natural to the Gospel. (Commentary on I Corinthians 2.7).

However, Calvin is not anti-philosophical, hating the works of philosophers and philosophy in general. If so, would he have required logic in the Genevan Academy? Rather, he wished to turn the question of wisdom and philosophy clearly towards obedience to Christ. Thus, in the commentary on I Corinthians, Calvin writes that

“For whatever knowledge and understanding a man has counts for nothing unless it rests upon true wisdom; and it is of no more value for grasping spiritual teaching than the eye of a blind man for distinguishing colours. Both of these must be carefully attended to, that (1) knowledge of all the sciences is so much smoke apart from the heavenly science of Christ; and (2) that man with all his shrewdness is as stupid about understanding by himself the mysteries of God as an ass is incapable of understanding musical harmony.”

The interesting point about this passage is that Calvin is neither denigrating human philosophy, nor human reason. He is, rather, discussing what the true purpose of that knowledge or understanding should be, and what the real foundation of human knowledge is. Here, Calvin is not moving back to an Aristotelian self-evident principle; his foundation is instead true wisdom. For Calvin, the phrase “true wisdom” (vera sapientia) hearkens immediately to the beginning sentence of the Institutes. (ICR I.i.1) It was that basis of “true and sound wisdom” (vera ac solida sapientia) which Calvin was seeking, the only place from which epistemology could be safely grounded. Reason, and the fruits of reason, have their place. However, that place does not command a privilege over revealed wisdom.

This instrumental view allows Calvin to give high praise to the fruits of reason. Human reason can even occasionally ascend to consider the truths which are more properly above its grasp, but cannot provide the necessary controls to make sure that its investigations are carefully and correctly considered. “Reason is intelligent enough to taste something of things above, although it is more careless about investigating these.” (ICR II.ii.13). Calvin divides reason, giving it various depths of penetration according to its subject matter. He could write “this then, is the distinction: that there is one kind of understanding of earthly things; another of heavenly. I call ‘earthly things’ those which do not pertain to God or his Kingdom, to true justice, or to the blessedness of the future life; but which have their significance and relationship with regard to the present life and are, in a sense, confined within its bounds.” (ICR II.ii.13)

Thus, Calvin is simply fulfilling his own division when he comments from I Corinthians 3 that “The apostle does not ask us to make a total surrender of the wisdom which is either innate or acquired by long experience. He only asks that we subjugate it to God, so that all our wisdom might be derived from His Word.” (Commentary on I Corinthians 3.18). Calvin is wishing, quite explicitly, to consider the various arts as maid-servants. He cautions against making them mistresses.

There can be no doubt that Calvin made this move for at least two reasons. The first is that for Calvin, the effects of sin are far more drastic than for some other Christian thinkers. Sin has corrupted not only the will, but also the intellect. After the introduction of sin into the world, human possibility is radically limited, and no un-aided intellect, not even the sharpest, will be able to penetrate into the mysteries of God’s truth and God’s current will for humanity.

As important as that insight is another which many have failed to grasp. Calvin’s theology involves a radical notion of God’s accommodation to human capacity, or more truly, human frailty. Even before the Fall, humans were only able to know God because of God’s self-disclosure; humans were only able to please God because of God’s prior guidance in the form of rules. There was never a moment when humans were able truly to initiate either the knowledge of God or the movement toward God. That is immeasurably more true after the establishment of sin in the world, and its effects. Calvin thus dismisses all efforts at going beyond the scriptures (and a great deal of classical metaphysics), as pure speculation, both wrong and sinful.

c. Influence

Perhaps strangely, Calvin’s legacy on the subordinate position of philosophy in the search for divine truth is neither clear, nor lasting. During his own lifetime, Genevan theologians such as Theodore Beza were far more sanguine about grasping the tools of scholastic theology and philosophy, and seem to have been moving away from that hierarchy upon which Calvin insisted. Within the next century, some of the foremost Protestant scholastic theologians would teach at the Genevan Academy, or at least have their ideas taught there.

A modern theological and historiographical struggle exists over what that change entails, and what its significance must be. Some, like Brian G. Armstrong, have argued that this shift towards scholastic models of thought represent an inevitable shift in the content of Reformed theology, and thus a falling away from Calvin’s theological project. Others, notably Richard Muller, have contended that there was not an original time without scholastic theology, and that scholastic method is content neutral. In any case, what is clear is that by the mid-17th century, the caution which Calvin so frequently expressed about the use of philosophy, had been lost. With its loss came the loss of Calvin’s distinctive appropriation of philosophy.

3. References and Further Reading

a. Primary Sources

  • Opera Quae Supersunt Omnia. 59 volumes. Edited by Wilhelm Baum, Edward Cunitz, & Edward Reuss. Brunswick: Schwetschke and Sons, 1895.
    • Still the standard edition of Calvin’s works.
  • Opera Selecta. 5 volumes. 3rd ed. Edited by Peter Barth and Wilhelm Niesel. Munich: Christian Kaiser, 1967.
    • Almost as frequently cited as the Calvini Opera.
  • Ioannis Calvini Opera Exegetica. Various editors. Geneva: Droz, 1992-.
    • This represents a modern effort to provide true critical editions of Calvin’s exegetical works, the first volumes present fine texts.
  • Registres du Consistoire de Genève au Temps de Calvin. Tome I (1542-1544). Edited by Thomas A. Lambert and Isabella M. Watt. Geneva: Droz, 1996.
    • Along with later volumes, this allows a far greater contextualization of Calvin than previously possible.
  • Institutes of the Christian Religion. 2 volumes. Translated by Ford Lewis Battles, edited by John T. McNeill. Library of Christian Classics. Philadelphia: Westminster Press, 1960.
    • The standard English translation of Calvin’s final Latin edition of the Institutes.
  • Calvin’s Commentaries, translated by the Calvin Translation Society, 1843-1855; reprint, Grand Rapids, Michigan: Baker, 1979, 22 volumes.
    • A usable translation of Calvin’s commentaries.
  • Calvin’s New Testament Commentaries, 12 volumes. Edited by David W. Torrance and Thomas F. Torrance. Grand Rapids: Eerdmans, 1960.
    • Probably the most widely read edition of Calvin’s New Testament commentaries.
  • Calvin’s Old Testament Commentaries, Rutherford House Translation, ed. D. F. Wright. Grand Rapids, Michigan: Eerdmans, 1993-.
    • A fine new translation of Calvin’s Old Testament Commentaries.

b. Secondary Sources

  • Bieler, Andre. The Social Humanism of Calvin. Translated by Paul T. Fuhrmann. Richmond: John Knox Press, 1961.
    • An important work on Calvin’s social ethic.
  • Bouwsma, William. John Calvin: A Sixteenth Century Portrait. Oxford: Oxford University Press, 1988.
    • A widely cited, controversial reconstruction of Calvin’s thought from a psychological framework.
  • Breen, Quirinus. John Calvin: A Study in French Humanism. 2nd ed. New York: Archon Books, 1968.
    • A helpful engagement of Calvin’s work as humanism.
  • Cottret, Bernard. Calvin: A Biography. Translated by M. Wallace McDonald. Grand Rapids: Eerdmans, 2000.
    • The newest biography of Calvin, written from a historian’s viewpoint, and supplying rich contextual detail for consideration of Calvin’s influences.
  • Davis, Thomas J. The Clearest Promises of God: The Development of Calvin’s Eucharistic Teaching. New York: AMS Press, 1995.
    • The clearest setting out of Calvin’s eucharistic teaching and its development.
  • Dowey, Edward A. Jr. The Knowledge of God in Calvin’s Theology. 3rd ed. Grand Rapids, MI: Wm. B. Eerdmans, 1994.
    • Essentially unchanged from its appearance in 1952, still indispensable for its categories and its vital grasp of the Reformer’s thought.
  • Gamble, Richard C. Articles on Calvin and Calvinism, 9 vols. New York: Garland Publishing Co., 1992.
    • Gathers together most of the significant articles on Calvin, other fine collections exist, but this is the most comprehensive.
  • Ganoczy, Alexandre. The Young Calvin. Translated by David Foxgrover and Wade Provo. Philadelphia: Westminster Press, 1987.
    • The best biography and tracing of Calvin’s early influences.
  • Kingdon, Robert. Geneva and the Coming of the Wars of Religion in France, 1555-1563. Geneve: Librairie E. Droz, 1956.
    • This seminal work demonstrated the importance of solid historical work to undergird any effort at understanding Calvin’s world.
  • McGrath, Alister E. A Life of John Calvin: A Study in the Shaping of Western Culture. Cambridge, MA: Blackwell Publishers, 1990.
    • A standard biography of Calvin.
  • Millet, Olivier. Calvin et la dynamique de la parole: Etude de Rhétorique réformée. Geneve: Editions Slatkine: 1992.
    • Not yet translated, but too important to leave off the list – this magisterial work opens new vistas of research into rhetoric, the early use of theological French, and Calvin’s linguistic skills.
  • Muller, Richard. The Unaccommodated Calvin: Studies in the Foundation of a Theological Tradition. Oxford: Oxford University Press, 2000.
    • A conscious effort at returning Calvin studies toward the texts and thought-worlds of the sixteenth century.
  • Naphy, William. Calvin and the Consolidation of the Genevan Reformation. Manchester: Manchester University Press, 1994.
    • One of the best works for understanding Calvin’s Geneva.
  • Parker, T.H.L. Calvin’s New Testament Commentaries. 2nd ed. Louisville: Westminster/John Knox Press, 1993.
  • Calvin’s Old Testament Commentaries. Edinburgh: T. & T. Clark, 1986.
    • Together, these two volumes serve as a fine introduction to Calvin’s major life work – the exposition of the scripture.
  • Partee, Charles. Calvin and Classical Philosophy. Leiden: E. J. Brill, 1977.
    • Probably the best place to begin in considering Calvin’s knowledge of Greek and Latin philosophy.
  • Schreiner, Susan E. The Theater of His Glory: Nature and the Natural Order in the Thought of John Calvin. Studies in Historical Theology. Durham: Labyrinth Press, 1991.
    • The best textually-argued source for considering Calvin’s appropriation of the created order.
  • Steinmetz, David. Calvin in Context Oxford: Oxford University Press, 1995.
    • This set of essays argues convincingly for understanding Calvin always within the stream of tradition he inherited.
  • Thompson, John. The Daughters of Sarah: Women in Regular and Exceptional Roles in the Exegesis of Calvin, His Predecessors, and His Contemporaries. Geneve: Librairie Droz, 1992.
    • Demonstrates the promise of considering new questions through solid history of exegetical models.
  • Wendel, François. Calvin: Origins and Development of His Religious Thought. Translated by Philip Mairet. Durham, NC: Labyrinth Press, 1987.
    • Originally published in 1963, this introduction is still widely cited.
  • Zachman, Randall C. The Assurance of Faith: Conscience in the Theology of Martin Luther and John Calvin. Minneapolis: Fortress Press, 1993.
    • A sensitive study of how the different grasp of a critical concept led to quite different outcomes in the thought of two giants of the Reformation.

Author Information:

R. Ward Holder
Assistant Professor of Theology
St. Anselm College
U. S. A.