Autonomy

Autonomy is an individual’s capacity for self-determination or self-governance. Beyond that, it is a much-contested concept that comes up in a number of different arenas. For example, there is the folk concept of autonomy, which usually operates as an inchoate desire for freedom in some area of one’s life, and which may or may not be connected with the agent’s idea of the moral good. This folk concept of autonomy blurs the distinctions that philosophers draw among personal autonomy, moral autonomy, and political autonomy. Moral autonomy, usually traced back to Kant, is the capacity to deliberate and to give oneself the moral law, rather than merely heeding the injunctions of others. Personal autonomy is the capacity to decide for oneself and pursue a course of action in one’s life, often regardless of any particular moral content. Political autonomy is the property of having one’s decisions respected, honored, and heeded within a political context.

Another distinction that can be made is between autonomy as a bare capacity to make decisions and of autonomy as an ideal. When autonomy functions as an ideal, agents who do not meet certain criteria in having reached a decision are deemed non-autonomous with respect to that decision. This can function both locally, in terms of particular actions, and globally, in terms of agents as a whole. For instance, children, agents with cognitive disabilities of a certain kind, or members of oppressed groups have been deemed non-autonomous because of their inability to fulfill certain criteria of autonomous agency, due to individual or social constraints.

There is debate over whether autonomy needs to be representative of a kind of “authentic” or “true” self. This debate is often connected to whether the autonomy theorist believes that an “authentic” or “true” self exists. In fact, conceptions of autonomy are often connected to conceptions of the nature of the self and its constitution. Theorists who hold a socially constituted view of the self will have a different idea of autonomy (sometimes even denying its existence altogether) than theorists who think that there can be some sort of core “true” self, or that selves as agents can be considered in abstraction from relational and social commitments and contexts.

Finally, autonomy has been criticized as being a bad ideal, for promoting a pernicious model of human individuality that overlooks the importance of social relationships and dependency. Responses to these criticisms have come in various forms, but for the most part philosophers of autonomy have striven to express the compatibility of the social aspects of human action within their conceptions of self-determination, arguing that there need not necessarily be an antagonism between social and relational ties, and our ability to decide our own course of action.

This article will focus primarily on autonomy at the level of the individual and the work being done on personal autonomy, but will also address the connection of autonomy to issues in bioethics and political theory.

Table of Contents

  1. The History of Autonomy
    1. Before Kant
    2. Kant
    3. The Development of Individualism in Autonomy
    4. Autonomy and Psychological Development
  2. Personal Autonomy
    1. Content-Neutral or Procedural Accounts
      1. Hierarchical Procedural Accounts
      2. Criticisms of Hierarchical Accounts
      3. Coherentist Accounts
    2. Substantive Accounts
  3. Feminist Philosophy of Autonomy
    1. Feminist Criticisms of Autonomy
    2. Relational Autonomy
  4. Autonomy in Social and Political Context
    1. Autonomy and Political Theory
    2. Autonomy and Bioethics
  5. References and Further Reading

1. The History of Autonomy

a. Before Kant

The roots of autonomy as self-determination can be found in ancient Greek philosophy, in the idea of self-mastery. For both Plato and Aristotle, the most essentially human part of the soul is the rational part, illustrated by Plato’s representation of this part as a human, rather than a lion or many-headed beast, in his description of the tripartite soul in the Republic. A just soul, for Plato, is one in which this rational human part governs over the two others. Aristotle identifies the rational part of the soul as most truly a person’s own in the Nicomachean Ethics (1166a17-19).

Plato and Aristotle also both associate the ideal for humanity with self-sufficiency and a lack of dependency on others. For Aristotle, self-sufficiency, or autarkeia, is an essential ingredient of happiness, and involves a lack of dependence upon external conditions for happiness. The best human will be one who is ruled by reason, and is not dependent upon others for his or her happiness.

This ideal continues through Stoic philosophy and can be seen in the early modern philosophy of Spinoza. The concept of autonomy itself continued to develop in the modern period with the decrease of religious authority and the increase of political liberty and emphasis on individual reason. Rousseau’s idea of moral liberty, as mastery over oneself, is connected with civil liberty and the ability to participate in legislation.

b. Kant

Kant further developed the idea of moral autonomy as having authority over one’s actions. Rather than letting the principles by which we make decisions be determined by our political leaders, pastors, or society, Kant called upon the will to determine its guiding principles for itself, thus connecting the idea of self-government to morality; instead of being obedient to an externally imposed law or religious precept, one should be obedient to one’s own self-imposed law.  The former he called heteronomy; the latter autonomy. In his “What is Enlightenment” essay, he described enlightenment as “the human being’s emergence from his self-incurred minority” and called on his readers to have the courage to use their own understanding “without direction from another” (Kant 1996, 17). This description is close to what we might acknowledge today as personal autonomy, but Kant’s account is firmly located within his moral philosophy.

In acting we are guided by maxims, which are the subjective principles by which we might personally choose to abide. If these maxims can be deemed universal, such that they would be assented to and willed by any rational being, and thus not rooted in any individual’s particular contingent experience, then they may gain the status of objective laws of morality. Each moral agent, then, is to be seen as a lawgiver in a community where others are also lawgivers in their own right, and hence are to be respected as ends in themselves; Kant calls this community the kingdom of ends.

While the will is supposed to be autonomous, for Kant, it is also not supposed to be arbitrary or particularistic in its determinations. He sees our inclinations and emotional responses as external to the process of the will’s self-legislation; consequently, letting them determine our actions is heteronomous rather than autonomous. Feelings, emotions, habits, and other non-intellectual factors are excluded from autonomous decision-making. Any circumstances that particularize us are also excluded from autonomous decision-making.

The reason for Kant’s exclusion of feelings, inclinations, and other particular aspects of our lives from the structure of autonomy is rooted in his metaphysical account of the human being, which radically separates the phenomenal human self from the noumenal human self. All empirical aspects of our selfhood — all aspects of our experience — are part of the phenomenal self, and subject to the deterministic laws of natural causality. Our freedom, on the other hand, cannot be perceived or understood; rather we must posit the freedom of the will as the basis for our ability to act morally.

Contemporary Kantians within moral theory do not adhere to Kant’s metaphysics, but seek to understand how something like Kant’s conception of autonomy can still stand today. Thomas Hill suggests, for example, that the separation of our free will from our empirical selfhood be taken less as a metaphysical idea but as a normative claim about what ought to count as reasons for acting (Hill 1989, 96-97)

There are significant differences between Kant’s conception of moral autonomy and the conceptions of personal autonomy developed within the last thirty years, which attempt to articulate how social and cultural influences can be compatible with autonomous decision-making. Further, the majority of contemporary theories of personal autonomy are content-neutral accounts of autonomy which are unconcerned with whether or not a person is acting according to moral laws; they focus more on determining whether or not a person is acting for his or her own reasons than on putting any restrictions on autonomous action.

c. The Development of Individualism in Autonomy

Between Kant’s description of moral autonomy and the recent scholarship on personal autonomy, however, there was a process of individualizing the idea of autonomy. The Romantics, reacting against the emphasis on the universality of reason put forth by the Enlightenment, of which Kant’s philosophy was a part, prized particularity and individuality. They highlighted the role of the passions and emotions over reason, and the importance of developing one’s own unique self. John Stuart Mill also praised and defended the development and cultivation of individuality as worthwhile in itself, writing that “A person whose desires and impulses are his own – are the expression of his own nature, as it has been developed and modified by his own culture – is said to have a character. One whose desires and impulses are not his own has no character, no more than a steam engine has a character” (Mill 1956, 73).

The Romantic conception of individuality was then echoed within the conception of authenticity that runs through phenomenological and existential philosophy. Heidegger posits an inner call of conscience summoning us away from ‘das Man’: in order to be authentic, we need to heed this inner call and break away from inauthentically following the crowd. This conception of authenticity became intertwined with the idea of autonomy: both involve a call to think for oneself and contain a streak of individualism (see Hinchman 1996).

Unlike the universalism espoused by Kantian autonomy, however, authenticity, like the Romantic view, involves a call to be one’s own person, not merely to think for oneself. For Kant, thinking for oneself would, if undertaken properly, lead to universalizing one’s maxims; for both the Romantics and the Existentialists, as well as for Mill, there is no such expectation. This division is still present in the contrast between conceiving of autonomy as a key feature of moral motivation, and autonomy as self-expression and development of individual practical identity.

The emphasis on autonomy within this strain of philosophy was criticized by Emmanuel Lévinas, who sees autonomy as part of our selfish and close-minded desire to strive toward our own fulfillment and self-gratification rather than being open to the disruptive call of the other’s needs (Lévinas 1969). He argues for the value of heteronomy over autonomy. For Lévinas, in heteronomy, the transcendent face of the other calls the ego into question, and the self realizes its unchosen responsibility and obligation to the other. The self is hence not self-legislating, but is determined by the call of the other. This criticism of the basic structure of autonomy has been taken up within continental ethics, which attempts to determine how or whether a practical, normative ethics could be developed within this framework (see for example Critchley 2007).

d. Autonomy and Psychological Development

The connection between autonomy and the ideal of developing one’s own individual self was adopted within the humanistic psychologies of Abraham Maslow and Carl Rogers, who saw the goal of human development as “self-actualization” and “becoming a person,” respectively. For Maslow and Rogers, the most developed person is the most autonomous, and autonomy is explicitly associated with not being dependent on others.

More recently Lawrence Kohlberg developed an account of moral psychological development, in which more developed agents display a greater amount of moral autonomy and independence in their judgments. The highest level bears a great resemblance to the Kantian moral ideal, in its reference to adopting universal values and standards as one’s own.

Kohlberg’s work was criticized by Carol Gilligan, who argued that this pattern reflected male development, but not female. Instead of taking “steps toward autonomy and independence,” in which “separation itself becomes the model and the measure of growth,” “for women, identity has as much to do with intimacy as with separation” (Gilligan 1982, 98). The trajectory is thus less about individualization and independence than toward ultimately balancing and harmonizing an agent’s interests with those of others.

Gilligan does not entirely repudiate autonomy itself as a value, but she also does not suggest how it can be distinguished from the ideals of independence and separation from others. Her critiques have been widely influential and have played a major role in provoking work on feminist ethics and, despite her criticism of the ideal of autonomy, conceptions of “relational autonomy.”

The contemporary literature on personal autonomy within philosophy tends to avoid these psychological ideas of individual development and self-actualization. For the most part, it adopts a content-neutral approach that rejects any particular developmental criteria for autonomous action, and is more concerned with articulating the structure by which particular actions can be deemed autonomous (or, conversely, the structure by which an agent can be deemed autonomous with respect to particular actions).

2. Personal Autonomy

The contemporary discussion of personal autonomy can primarily be distinguished from Kantian moral autonomy through its commitment to metaphysical neutrality. Related to this is the adherence to at least a procedural individualism: within contemporary personal autonomy accounts, an action is not judged to be autonomous because of its rootedness in universal principles, but based on features of the action and decision-making process purely internal and particular to the individual agent.

The main distinction within personal autonomy is that between content-neutral accounts, which do not specify any particular values or principles that must be endorsed by the autonomous agent, and substantive accounts which specify some particular value or values that must be included within autonomous decision-making.

a. Content-Neutral or Procedural Accounts

Content-neutral accounts, also called procedural, are those which deem a particular action autonomous if it has been endorsed by a process of critical reflection. These represent the majority of accounts of personal autonomy. Procedural accounts determine criteria by which an agent’s actions can be said to be autonomous, that do not depend on any particular conception of what kinds of actions are autonomous or what kinds of agents are autonomous. They are neutral with respect to what an agent might conceive of as good or might be trying to achieve.

i. Hierarchical Procedural Accounts

The beginning of the contemporary discussion of personal autonomy is in the 1970s works of Harry Frankfurt and Gerald Dworkin. Their concern was to give an account of what kind of individual freedom ought to be protected, and how that moral freedom may be described in the context of contemporary conceptions of free will. Their insight was that our decisions are worth protecting if they are somehow rooted in our values and overall commitments and objectives, and that they are not worth protecting if they run counter to those values, commitments, and objectives. The concept of personal autonomy, thus, can be used as a way of protecting certain decisions from paternalistic interference. We may not necessarily want to honor the decision of a weak-willed person who decides to do something against their better judgment and against their conscious desire to do otherwise, whereas we do want to protect a person’s decision to pursue an action that accords with their self-consciously held values, even if it is not what we ourselves would have done. Frankfurt and Dworkin phrase this insight in terms of a hierarchy of desires.

Frankfurt’s and Dworkin’s hierarchical accounts of autonomy form the basis upon which the mainstream discussion builds and reacts against. Roughly speaking, according to this hierarchical model, an agent is autonomous with respect to an action on the condition that his or her first-order desire to commit the act is sanctioned by a second-order volition endorsing the first-order desire (see Frankfurt 1988, 12-25). This account is neutral with respect to what the origins of the higher-order desires may be, and thus does not exclude values and desires that are socially or relationally constituted. The cause of such desires does not matter, solely the agent’s identification with them (Frankfurt 1988, 53-54). Autonomy includes our ability to consider and ask whether we do, in fact, identify with our desires or whether we might wish to override them (Dworkin 1988).  The “we”, in this case, is constituted by our higher-order preferences; Dworkin speaks of them as the agent’s “true self” (Dworkin 1989, 59).

ii. Criticisms of Hierarchical Accounts

There are several different objections to the hierarchical model, mostly revolving around the problem in locating the source of an agent’s autonomy, and questioning the idea that autonomy can be located somehow in the process of reflective endorsement itself.

First, the Problem of Manipulation criticism points out that because Frankfurt’s account is ahistorical, it does not protect against the possibility that someone, such as a hypnotist, may have interfered with the agent’s second-order desires. We would hesitate to call such a hypnotized or mind-controlled agent autonomous with respect to his or her actions under these circumstances, but since the hierarchical model does not specify where or how the second order volitions ought to be generated, it cannot adequately distinguish between an autonomous agent and a mind-controlled one. The structure of autonomous agency therefore seems to have a historical dimension to it, since the history of how we developed or generated our volitions seems to matter (see Mele 2001, 144-173).

John Christman develops a historical model of autonomy in order to rectify this problem, such that the means and historical process by which an agent reaches certain decisions is used in determining his or her status as autonomous or not (Christman 1991). This way, an agent brainwashed into having desire X would be deemed nonautonomous with respect to X.  The theory runs into difficulty in a case where an agent might freely choose to give up his or her autonomy, or conversely where an agent might endorse a desire but not endorse the means by which he or she was forced into developing the desire (see Taylor 2005, 10-12), but at least it draws attention to some of the temporal features of autonomous agency.

Another criticism of the hierarchical model is the Regress or Incompleteness Problem. According to Frankfurt and Dworkin, an agent is autonomous with respect to his or her first order desires as long as they are endorsed by second-order desires. However, this raises the question of the source of the second-order volitions; if they themselves rely on third-order volitions, and so on, then there is the danger of an infinite regress in determining the source of the autonomous endorsement (see Watson 1975). If the second order desires are autonomous for some other reason than a higher-order volition, then the hierarchical model is incomplete in its explanation of autonomy. Frankfurt, while acknowledging that there is “no theoretical limit” to the series of higher order desires, holds that the series can end with an agent’s “decisive commitment” to one of the first order desires (Frankfurt 1988, 21). However, the choice of terminating the series is itself arbitrary if there no reason behind it (Watson 1975).

Frankfurt responds to this criticism in “Identification and Wholeheartedness” by defining a decisive commitment as one which the agent makes without reservation, and where the agent feels no reason to continue deliberating (Frankfurt 1988, 168-9). To stop at this point is, Frankfurt argues, hardly arbitrary. It is possible that the agent is mistaken in his or her judgment, but that is always a possibility in deliberation, and thus not an obstacle to Frankfurt’s theory in particular. In making a decision, an agent “also seeks thereby to overcome or to supersede a condition of inner division and to make himself into an integrated whole” (Frankfurt 1988, 174). Thus, by making this decision, the agent has endorsed an intention that establishes “a constraint by which other preferences and decisions are to be guided” (Frankfurt 1988, 175), and thus is self-determining and autonomous.

The criterion of wholeheartedness and unified agency has been criticized by Diana Meyers, who argues for a decentered, fivefold notion of the subject, which includes the unitary, decision-making self, but also acknowledges the functions of the self as divided, as relational, as social, as embodied, and as unconscious (Meyers 2005). The ideal of wholeheartedness has also been criticized on the grounds that it does not reflect the agency of agents from oppressed groups or from mixed traditions. Edwina Barvosa-Carter sees ambivalence as an inescapable feature of much decision-making, especially for mixed-race individuals who have inherited conflicting values, commitments, and traditions (Barvosa-Carter 2007). Marina Oshana makes a similar point, with reference to living within a racist society (Oshana 2005).

In any case, it is a puzzle how decisive commitments or higher-order desires acquire their authority without themselves being endorsed, since deriving authority from external manipulation would seem to undermine this authority. This is the Ab Initio Problem: If the source of an agent’s autonomy is ultimately something that can’t itself be reflectively endorsed, then the agent’s autonomy seems to originate with something with respect to which he or she is non-autonomous, something that falls outside the hierarchical model.

A related objection to the Regress Problem is that this hierarchical account seems to give an unjustified ontological priority to higher versions of the self (see Thalberg 1978). Marilyn Friedman has argued that it begs the question to assume some sort of uncaused “true self” at the top of the hierarchical pyramid. In order to give a procedural account that would avoid these objections, Friedman has proposed an integration model in which desires of different orders ought to be integrated together, rather than being constructed in a pyramid (Friedman 1986).

iii. Coherentist Accounts

Part of the appeal of understanding autonomy is not simply in explaining how we make decisions, but because the idea of autonomy suggests something about how we identify ourselves, what we identify with. For Frankfurt, we identify with a lower level desire if we have a second order volition endorsing it. However, our second order volitions don’t necessarily represent us — we may have no reason for them, which Frankfurt acknowledges.

This concern drives some of the other approaches to personal autonomy, such as Laura Ekstrom’s coherentist account (Ekstrom 1993). Since autonomy is self-governance, it stands to reason that in order to understand autonomous agency, we must clarify our notion of the self and hence what counts as the self’s own reasons for acting; she argues that this will help avoid the Regress Problem and the Ab Initio Problem.

Ekstrom’s account of self is based on the endorsement of preferences. An agent has a preference if he or she holds a certain first level desire to be good; it is similar to a second order volition for Frankfurt. It presupposes higher level states since they are the result of an agent’s higher order reflection about the agent’s desires with regard to goodness. A self, then, is a particular character with certain beliefs and preferences which have been endorsed in a process of self-reflection, and the ability to reshape those beliefs and preferences in light of self-evaluation. The true self includes those beliefs and preferences which cohere together; that coherence itself gives them authorization. A preference is thus endorsed if it coheres with the agent’s character.

Michael Bratman develops a similar account, arguing that our personal identity is partly constituted by the organizing and coordinating function of our long-range plans and intentions (Bratman 2007, 5). Our decisions are autonomous or self-governing with respect to these plans.

This is, of course, only a very brief account of some of the literature on proceduralist accounts of autonomy, and it omits the various defenses of the hierarchical model and the objections to Friedman’s, Christman’s, and others’ formulations. But it should be enough to make clear the way in which theorists offering these accounts strive to ensure that no particular view of what constitutes a flourishing human life is imported into their accounts of autonomy. Autonomy is just one valued human property amongst others, and need not do all the work of describing human flourishing (Friedman 2003).

b. Substantive Accounts

Some doubt, however, that proceduralist accounts are adequate to capture autonomous motivation and action, or to rule out actions that or agents who we would hesitate to call autonomous. Substantive accounts of autonomy, of which there are both weak and strong varieties, set more requirements for autonomous actions to count as autonomous. Whether weak or strong, all substantive accounts posit some particular constraints on what can be considered autonomous; one example might be an account of autonomy that specifies that we might not autonomously be able to choose to be enslaved. Susan Wolf offers a strong substantive account, in which agents must have “normative competency,” in other words, the capacity to identify right and wrong (Wolf 1990). We do not need to be metaphysically responsible for ourselves or absolutely self-originating, but as agents we are morally responsible, and capable of revising ourselves according to our moral reasoning (Wolf 1987). Similarly, Paul Benson’s early accounts of autonomy also advocated a strong substantive account, stressing normative competence, and also the threat of oppressive or inappropriate socialization to our normative competence and thus to our autonomy (Benson 1991).

Contemporary Kantians such as Thomas Hill and Christine Korsgaard also advocate substantive accounts of autonomy. Korsgaard argues that we have practical identities which guide us and serve as the source of our normative commitments (Korsgaard 1996). We have multiple such identities, not all of which are moral, but our most general practical identity is as a member of the “kingdom of ends,” our identity as moral agents. This identity generates universal duties and obligations. Just as Kant called autonomy our capacity for self-legislation, so too Korsgaard calls autonomy our capacity to give ourselves obligations to act based on our practical identities. Since one of these is a universal moral identity, autonomy itself thus has substantive content.

Autonomy, for Hill, means that principles will not simply be accepted because of tradition or authority, but can be challenged through reason. He acknowledges that in our society we do not experience the kind of consensus about values and principles that Kant supposed ideally rational legislators might possess, but argues that it is still possible to bear in mind the perspective of a possible kingdom of ends. Human dignity, the idea of humanity as an end in itself, can represent a shared end regardless of background or tradition (Hill 2000, 43-45).

Substantive accounts have been criticized for conflating personal and moral autonomy and for setting too high a bar for autonomous action. If too much is expected of autonomous agents’ self-awareness and moral reflection, then can any of us be truly said to be autonomous (see for example Christman 2004 and Narayan 2002)? Does arguing that agents living under conditions of oppressive socialization have reduced autonomy help set a standard for promotion of justice, or does it overemphasize their diminished capacity without encouraging and promoting the capacities that they do have? This interplay between our socialization and our capacity for autonomy is highlighted in the relational autonomy literature, covered below.

In order to come to some middle ground between substantive and procedural accounts, Paul Benson has also suggested a weak substantive account, which does not specify any content, but sets the requirement that the agent must regard himself or herself as worthy to act; in other words, that the agent must have self-trust, self-respect (Benson 1991). This condition serves to limit what behavior can be deemed autonomous and to bring it in line with our intuition that a mind-controlled or utterly submissive agent is not acting autonomously, while not ruling out the agent’s ability to decide what values he or she wants to live by.

3. Feminist Philosophy of Autonomy

a. Feminist Criticisms of Autonomy

Feminist philosophers have been critical of concepts and values traditionally seen to be gender neutral, finding that when examined they reveal themselves to be masculine (see Jaggar 1983, Benjamin 1988, Grimshaw 1986, Harding and Hintikka 2003, and Lloyd 1986). Autonomy has long been coded masculine and associated with masculine ideals, despite being something which women have called for in their own right. Jessica Benjamin argues that while we are formally committed to equality, “gender polarity underlies such familiar dualisms as autonomy and dependency” (Benjamin 1988, 7). There has been some debate over whether autonomy is actually a useful value for women, or whether it has been tarnished by association.

Gilligan’s criticisms of autonomy have already been covered, but Benjamin writes along similar lines that:

The ideal of the autonomous individual could only be created by abstracting from the relationship of dependency between men and women. The relationships which people require to nurture them are considered private, and not truly relationships with outside others. Thus the other is reduced to an appendage of the subject – the mere condition of his being – not a being in her own right. The individual who cannot recognize the other or his own dependency without suffering a threat to his identity requires the formal, impersonal principle of rationalized interaction, and is required by them. (Benjamin 1988, 197)

Benjamin ultimately argues that the entire structure of recognition between men and women must be altered in order to permit an end to domination. Neither Gilligan nor Benjamin addresses the possibility of reformulating the notion of autonomy itself, but each sees it as essentially linked with individualism and separation. Sarah Hoagland is more emphatic: she openly rejects autonomy as a value, referring to it as “a thoroughly noxious concept” as it “encourages us to believe that connecting and engaging with others limits us” (Hoagland 1988, 144).

These criticisms have been countered, however, by feminists looking to retain the value of autonomy, who argue that the critics conflate the ideal of “autonomy” with that of “substantive independence.” Autonomy, while it has often been associated with individualism and independence, does not necessarily entail these. Most feminist criticism of autonomy is based on the idea that autonomy implies a particular model or expectation of the self. Marilyn Friedman and John Christman, however, point out that the proceduralist notion of autonomy which is the focus of contemporary philosophical attention does not have such an implication, but is metaphysically neutral and value neutral (Friedman 2000, 37-46; Christman 1995).

b. Relational Autonomy

A feminist attempt to rehabilitate autonomy as a value, and to further underscore the contingency of its relationship to atomistic individualism or independence, emerges in the growing research on “relational autonomy” (Nedelsky 1989, Mackenzie and Stoljar 2000). It addresses the challenge of balancing agency with social embeddedness, without promoting an excessively individualistic liberal atomism, or denying women the agency required to criticize or change their situation. The feminist work on relational autonomy attempts to capture the best of the available positions.

It is worth noting first, for clarity, that there are two levels of relationality at work within relational autonomy: social and relational sources of values, goals, and commitments, and social and relational commitments themselves. While all acknowledge that relationality at both levels is not incompatible with autonomy, not all accounts of relational autonomy require that we pursue social and relational commitments. For instance, on Marilyn Friedman’s account, a person could autonomously choose to be a hermit, despite having been brought up in a family and in a society and having been shaped by that upbringing (Friedman 2003, 94). However other relational autonomy theorists are skeptical about neatly separating the two, because they note that even our unchosen relationships still affect our self-identity and opportunities. They argue that while we need not pursue relationships, we cannot opt out entirely. Anne Donchin demonstrates this with regard to testing for genetically inherited disease (Donchin 2000).

In general, on relational autonomy accounts, autonomy is seen as an ideal by which we can measure how well an agent is able to negotiate his or her pursuit of goals and commitments, some of which may be self-chosen, and some the result of social and relational influences. Social and relational ties are examined in terms of their effect on an agent’s competency in this negotiation: some give strength, others create obstacles, and others are ambiguous. The primary focus of most relational autonomy accounts, however, tends to be less on procedure and more on changing the model of the autonomous self from an individualistic one to one embedded in a social context.

4. Autonomy in Social and Political Context

The value of autonomy can be seen in its social and political context. The idea that our decisions, if made autonomously, are to be respected and cannot be shrugged off, is a valuable one. It concerns the legitimacy of our personal decisions in a social, political, and legislative context.

a. Autonomy and Political Theory

The importance and nature of the value of autonomy is debated within political theory, but is generally intertwined with the right to pursue one’s interests without undue restriction. Discussions about the value of autonomy concern the extent of this right, and how it can be seen as compatible with social needs.

Kant described the protection of autonomy at the political level as encapsulated in the principle of right: that each person had the right to any action that can coexist with the freedom of every other person in accordance with universal law (Kant 1996, 387). Mill’s On Liberty similarly defends the rights of individuals to pursue their own personal goals, and emphasizes the need for being one’s own person (Mill 1956). On his view, this right prohibits paternalism, or restrictions or interference with a person of mature age for his or her own benefit. As Mill writes, “The only part of the conduct of anyone for which he is amenable to society is that which concerns others. In the part which merely concerns himself, his independence is, of right, absolute. Over himself, over his own body and mind, the individual is sovereign” (Mill 1956, 13).

Non-interference is generally seen as key to political autonomy; Gerald Gaus specifies that “the fundamental liberal principle” is “that all interferences with action stand in need of justification” (Gaus 2005, 272). If any paternalistic interference is to be permitted, it is generally restricted to cases where the agent is not deemed to be autonomous with respect to a decision (see for example Dworkin 1972); autonomy serves as a bar to be reached in order for an agent’s decisions to be protected (Christman 2004). The question is then how high the bar ought to be set, and thus what individual actions count as autonomous for the purposes of establishing social policy. Because of this, there is a strong connection between personal and political autonomy.

Further, there is also a connection between political liberalism and content-neutral accounts of autonomy which do not require any predetermined values for the agent to be recognized as autonomous. As Christman and Anderson point out, content-neutral accounts of autonomy accord with liberalism’s model of accommodating pluralism in ways of life, values, and traditions (Christman and Anderson 2005).

The framework of seeing the value of political autonomy in terms of protecting individual choices and decisions, however, has been criticized by those who argue that it rests on an inadequate model of the self.

Communitarians such as Michael Sandel criticize the model of the autonomous self implicit in liberal political theory, arguing that it does not provide an adequate notion of the human person as embedded within and shaped by societal values and commitments. Procedural accounts of autonomous decision-making do not adequately recognize the way our relational commitments shape us. We do not choose our values and commitments from the position of already being autonomous individuals; in other words, the autonomous self does not exist prior to the values and commitments that constitute the basis for its decisions. To deliberate in the abstract from these values and commitments is to leave out the self’s very identity, and that which gives meaning to the deliberation (Sandel 1998).

Feminist scholars have agreed with some of the communitarian criticism, but also caution that the values and commitments that communitarians appeal to may not be ones that are in line with feminist goals, in particular those values that concern the role and makeup of the family (Okin 1989 and Weiss 1995).

Another criticism of the dominant model of autonomy within political theory is made by Martha Fineman, who argues for the need to rethink the conceptions of autonomy that undergird legal and governmental policies in order to better recognize our interdependence and the dependence of all of us upon society (Fineman 2004, 28-30). While not drawing on the philosophical literature on personal autonomy or relational autonomy, but rather drawing upon sociological theories and accounts of legal and government policy, she traces the historical and cultural associations of autonomy with individuality and masculinity, and argues the need to see that real human flourishing includes dependency.

Recognizing the different levels of autonomy at play within the political sphere as a whole can help to clarify what is at stake, and to avoid one-sided accounts of autonomy or the autonomous self. Rainer Forst outlines five different conceptions of autonomy that can combine into a multidimensional account (Forst 2005). The first is moral autonomy, in which an agent can be considered autonomous as long as he or she “acts on the basis of reasons that take every other power equally into account” and which are “justifiable on the basis of reciprocally and generally binding norms” (Forst 2005, 230). Even though this is an interpersonal norm, it is relevant to the political, argues Forst, because it promotes the mutual respect needed for political liberty. Ethical autonomy concerns a person’s desires in the quest for the good life, in the context of the person’s values, commitments, relationships, and communities. Legal autonomy is thus the right not to be forced into a particular set of values and commitments, and is neutral toward them. Political autonomy concerns the right to participate in collective self-rule, exercised with the other members of the relevant community. Finally, social autonomy concerns whether an agent has the means to be an equal member of this community. Attending to social autonomy helps to demonstrate the responsibility of members of the community to consider each other’s needs, and to evaluate political and social structures in terms of whether they serve to promote the social autonomy of all of the members. Forst argues that ultimately “citizens are politically free to the extent to which they, as freedom-grantors and freedom-users, are morally, ethically, legally, politically, and socially autonomous members of a political community … Rights and liberties therefore have to be justified not only with respect to one conception of autonomy but with a complex understanding of what it means to be an autonomous person” (Forst 2005, 238).

Whether or not one agrees with this particular way of dividing the conceptions of autonomy, or with the particular explanation of the details of any of the conceptions, Forst’s account highlights the way that understanding the contribution of autonomy to political theory involves a multifaceted approach. It is of limited use to say that citizens are autonomous because they have the right to vote, if their material needs are not met, or if they are not free in their choice of values or ethical commitments.  Taking ethical autonomy into consideration can help to meet some of the concerns raised above by communitarian and feminist critics of autonomy; meanwhile, taking legal autonomy into account alongside ethical autonomy can help to provide the bulwark of protection against oppressive traditions that feminists are concerned about.

This can also be related to the work done by Martha Nussbaum and Amartya Sen on the capabilities approach to human rights, in which societies are called upon to ensure that all human beings have the opportunity to develop certain capabilities; agents then have a choice whether or not to develop them (see for example Sen 1999 and Nussbaum 2006).  The kind of political autonomy granted to subjects, then, depends on their ability to cultivate these various capabilities within a given society.

b. Autonomy and Bioethics

In applied ethics, such as bioethics, autonomy is a key value. It is appealed to by both sides of a number of debates, such as the right to free speech in hate speech versus the right to be free from hate speech (Mackenzie and Stoljar 2000, 4). There is a lack of consensus, however, on how autonomy ought to be used: how much rationality it requires, whether it merely involves the negative right against interference or whether it involves positive duties of moral reflection and self-legislation.

Autonomy has long been an important principle within biomedical ethics. For example, in the Belmont report, published in 1979 in the United States, which articulates guidelines for experimentation on human subjects, the protection of subjects’ autonomy is enshrined in the principle of “respect for persons.” One of the three key principles of the Report, it states that participants in trials ought to be treated as autonomous, and those with diminished autonomy (due to cognitive or other disabilities or illnesses) are entitled to protection. The way this principle is to be applied takes shape in the form of informed consent, as the Report presumes that this is the best way to protect autonomy.

One of the standard textbooks in biomedical ethics, Principles of Biomedical Ethics by Tom L. Beauchamp and James F. Childress, defends four principles for ethical decision-making, of which “respect for autonomy” is the first, even though it is not intended to override other moral considerations.  The principle can be seen as both a negative and a positive obligation. The negative obligation for health care professionals is that patients’ autonomous decisions should not be constrained by others. The positive obligation calls for “respectful treatment in disclosing information and fostering autonomous decision-making” (Beauchamp and Childress 2001, 64).

Beauchamp and Childress accept that a patient can autonomously choose to be guided by religious, traditional, or community norms and values. While they acknowledge that it can be difficult to negotiate diverse values and beliefs in sharing information necessary for decision-making, this does not excuse a failure to respect a patient’s autonomous decision: “respect for autonomy is not a mere ideal in health care; it is a professional obligation. Autonomous choice is a right, not a duty of patients” (Beauchamp and Childress 2001, 63).

Autonomy is also important within the disability rights movement. Within the disability rights movement, the slogan, “Nothing about us without us” is a call for autonomy or self-determination (see Charlton 1998). It goes beyond merely rejecting having decisions made for people with disabilities by others, but also speaks to the desire for empowerment and recognition as being agents capable of self-determination.

The relational approach to autonomy has become popular in the spheres of health care ethics and disability theory. The language of relational autonomy has been helpful in reframing the dichotomy between strict independence and dependence and providing a way of framing the relationship between a person with a disability and his or her caretaker or guardian. It has also been argued that a relational approach to patient autonomy provides a better model of the decision-making process.

Criticisms of a rationalistic and individualistic ideal of autonomy and the development of the idea of relational autonomy have been taken up within the mainstream of biomedical ethics. In response to criticism that early editions of their textbook on biomedical ethics had not paid adequate heed to intimate relationships and the social dimensions of patient autonomy, Beauchamp and Childress emphasize that they “aim to construct a conception of respect for autonomy that is not excessively individualistic (neglecting the social nature of individuals and the impact of individual choices and actions on others), not excessively focused on reason (neglecting the emotions), and not unduly legalistic (highlighting legal rights and downplaying social practices)” (Beauchamp and Childress, 2001, 57).

Their account of autonomy, however, has still been criticized by Anne Donchin as being a “weak concept” of relational autonomy (Donchin 2000). While they do not deny that selves are developed within a context of community and human relationships, agents are still assumed to have consciously chosen their beliefs and values and to be capable of detaching themselves from relationships at will (Donchin 2000, 238). A strong concept of relational autonomy, on the other hand, holds that “there is a social component built into the very meaning of autonomy,” and that autonomy “involves a dynamic balance among interdependent people tied to overlapping projects” (Donchin 2000, 239). The autonomous self is one “continually remaking itself in response to relationships that are seldom static,” and which “exists fundamentally in relation to others” (Donchin 2000, 239). Donchin argues that it is the strong concept of relational autonomy that offers the most helpful account of decision-making in health care.

5. References and Further Reading

  • Barvosa-Carter, Edwina. “Mestiza Autonomy as Relational Autonomy: Ambivalence and the Social Character of Free Will,” The Journal of Political Philosophy Vol. 15, no. 1 (2007), 1-21.
  • Beauchamp, Tom L. and James F. Childress. Principles of Biomedical Ethics, 5th ed, Oxford and New York: Oxford University Press, 2001.
  • Benjamin, Benjamin. The Bonds of Love: Psychoanalysis, Feminism, and the Problem of Domination, New York: Pantheon Books, 1988, 183-224.
  • Benson, Paul. “Autonomy and Oppressive Socialization,” Social Theory and Practice 17, no. 3 (1991), 385-408.
  • Bratman, Michael. Structures of Agency, Oxford: Oxford University Press, 2007.
  • Charlton, James I. Nothing About Us Without Us: Disability, Oppression and Empowerment, Berkeley and Los Angeles: University of California Press, 1998.
  • Christman, J., (ed.). The Inner Citadel: Essays on Individual Autonomy, New York and Oxford: Oxford University Press, 1989.
  • Christman, John, and Joel Anderson (ed.) Autonomy and the Challenges to Liberalism, Cambridge: Cambridge University Press, 2005.
  • Christman, John. “Autonomy and Personal History,” Canadian Journal of Philosophy, 21 no. 1(1991), 1-24.
  • Christman, John. “Autonomy, Self-Knowledge, and Liberal Legitimacy,” in Autonomy and the Challenges to Liberalism, ed. John Christman and Joel Anderson, Cambridge: Cambridge University Press, 2005.
  • Christman, John. “Feminism and Autonomy,” “Nagging” Questions: Feminist Ethics in Every Life, ed. Dana E. Bushnell. Lanham, MD: Rowman and Littlefield Publishers, Inc., 1995, 17-39.
  • Christman, John. “Relational Autonomy, Liberal Individualism, and the Social Constitution of Selves,” Philosophical Studies 117, no. 1-2 (2004), 143-164.
  • Critchley, Simon. Infinitely Demanding: Ethics of Commitment, Politics of Resistance, London: Verso, 2007.
  • Donchin, Anne. “Autonomy and Interdependence: Quandaries in Genetic Decision Making.” In Relational Autonomy: Feminist Perspectives on Autonomy, Agency, and the Social Self, edited by Catriona Mackenzie and Natalie Stoljar, 236-258. Oxford: Oxford University Press, 2000.
  • Dworkin, Gerald. “Paternalism,” The Monist, 56 no. 1 (1972), 64-84.
  • Dworkin, Gerald. The Theory and Practice of Autonomy, Cambridge: Cambridge University Press, 1988.
  • Dworkin, Gerald. “The Concept of Autonomy,” in The Inner Citadel, ed. John Christman, 54-62.
  • Ekstrom, Laura. “A Coherence Theory of Autonomy,” Philosophy and Phenomenological Research, 53 (1993), 599–616.
  • Fineman, Martha Albertson. The Autonomy Myth: A Theory of Dependency. New York: The New Press, 2004.
  • Forst, Rainer. “Political Liberty: Integrating Five Conceptions of Autonomy,” in Autonomy and the Challenges to Liberalism, 2005, 226-242.
  • Frankfurt, Harry. The Importance of What We Care About, ed. Harry Frankfurt, Cambridge: Cambridge University Press, 1988.
  • Friedman, Marilyn. “Autonomy and the Split-Level Self,” Southern Journal of Philosophy 24 (1986), 19-35.
  • Friedman, Marilyn. Autonomy, Gender, Politics, Oxford: Oxford University Press, 2003.
  • Gaus, Gerald F. “The Place of Autonomy Within Liberalism,” in Autonomy and the Challenges to Liberalism, 2005, 272-306.
  • Gilligan, Carol. In a Different Voice: Psychological Theory and Women’s Development. Cambridge, Mass.: Harvard University Press, 1982.
  • Grimshaw, Jean. Philosophy and Feminist Thinking. Minneapolis: University of Minnesota Press, 1986.
  • Harding, Sandra and Merrill B. Hintikka, eds., Discovering Reality: Feminist Perspectives on Epistemology, Metaphysics, Methodology, and Philosophy of Science, 2 ed.. Dordrecht: Kluwer Academic Publishers, 2003.
  • Hill, Thomas. “The Kantian Conception of Autonomy,” in The Inner Citadel, ed. John Christman, 91-105.
  • Hill, Thomas. “A Kantian Perspective on Moral Rules,” in Respect, Pluralism, and Justice: Kantian Perspectives (Oxford and New York: Oxford University Press, 2000), 33-55.
  • Hinchman, Lewis. “Autonomy, Individuality, and Self-Determination,” in What is Enlightenment? Eighteenth-Century Answers and Twentieth-Century Questions., ed. James Schmidt. Berkeley: University of California Press, 1996, 488-516.
  • Hoagland, Sarah L. Lesbian Ethics: Toward New Value. Palo Alto, California: Institute of Lesbian Studies, 1988, 144.
  • Jaggar, Alison M. Feminist Politics and Human Nature, Totowa, NJ: Rowman & Allenheld, 1983.
  • Lévinas, Emmanuel. Totality and Infinity, trans. Alphonso Lingis, Pittsburgh: Duquesne University Press, 1969.
  • Lloyd, Genevieve. The Man of Reason: Male and Female in Western Philosophy (London: Routledge, 1986).
  • Kant, Immanuel. Practical Philosophy. ed. and trans. Mary Gregor. 1996
  • Korsgaard, Christine. The Sources of Normativity. New York: Cambridge University Press, 1996.
  • Kymlicka, Will. Contemporary Political Philosophy: An Introduction. Oxford: Oxford University Press, 1991.
  • Mackenzie, Catriona, and Stoljar, Natalie, (eds.). Relational Autonomy, New York and Oxford: Oxford University Press, 2000.
  • Mele, Alfred R. Autonomous Agents: From Self-Control to Autonomy, New York and Oxford: Oxford University Press, 2001.
  • Meyers, Diana Tietjens. Self, Society, and Personal Choice, New York: Columbia University Press, 1989.
  • Meyers, Diana Tietjens. “Decentralizing Autonomy: Five Faces of Selfhood.” In Autonomy and the Challenges to Liberalism, edited by John Christman and Joel Anderson, 27-55. Cambridge: Cambridge University Press, 2005.
  • Mill, John Stuart. On Liberty, Indianapolis and New York: The Liberal Arts Press, 1956; originally published 1859.
  • Narayan, Uma. “Minds of Their Own: Choices, Autonomy, Cultural Practices, and Other Women,” in A Mind of One’s Own: Feminist Essays on Reason and Objectivity, ed. Louise M. Antony and Charlotte Witt (Boulder, CO: Westview Press, 2002), 418-432.
  • Nedelsky, Jennifer. “Reconceiving Autonomy: Sources, Thoughts and Possibilities.” Yale Journal of Law and Feminism, no. 1 (1989): 7-36.
  • Nussbaum, Martha. Frontiers of Justice: Disability, Nationality, Species Membership, Cambridge, MA: Belknap Press, 2006.
  • Okin, Susan Moller. Justice, Gender, and the Family, New York: Basic Books, Inc., 1989.
  • Oshana, Marina A. L. “Autonomy and Self-Identity.” In Autonomy and the Challenges to Liberalism: New Essays, edited by John Christman and Joel Anderson, 77-97. Cambridge: Cambridge University Press, 2005
  • Sandel, Michael J. Liberalism and the Limits of Justice, 2nd ed., Cambridge: Cambridge University Press, 1998.
  • Sen, Amartya. Development as Freedom, Oxford: Oxford University Press, 1999.
  • Taylor, James S. (ed.). Personal Autonomy, Cambridge: Cambridge University Press, 2005.
  • Thalberg, Irving. “Hierarchical Analyses of Unfree Action,” Canadian Journal of Philosophy, no. 8 (1978).
  • Watson, Gary. “Free Agency,” Journal of Philosophy, no. 72 (1975), 205-220.
  • Weiss, Penny A. “Feminism and Communitarianism: Comparing Critiques of Liberalism.” In Feminism and Community, edited by Penny A. Weiss and Marilyn Friedman. Philadelphia: Temple University Press, 1995, 161-186.
  • Wolf, Susan. Freedom within Reason (New York: Oxford University Press, 1990).
  • Wolf, Susan. “Sanity and the Metaphysics of Responsibility,” in Responsibility, Character and the Emotions, ed. Ferdinand Schoeman. New York: Cambridge University Press, 1987, 46-62.

Author Information

Jane Dryden
Email: jdryden@mta.ca
Mount Allison University
Canada

Metaphilosophy

What is philosophy? What is philosophy for? How should philosophy be done? These are metaphilosophical questions, metaphilosophy being the study of the nature of philosophy. Contemporary metaphilosophies within the Western philosophical tradition can be divided, rather roughly, according to whether they are associated with (1) Analytic philosophy, (2) Pragmatist philosophy, or (3) Continental philosophy.

The pioneers of the Analytic movement held that philosophy should begin with the analysis of propositions. In the hands of two of those pioneers, Russell and Wittgenstein, such analysis gives a central role to logic and aims at disclosing the deep structure of the world. But Russell and Wittgenstein thought philosophy could say little about ethics. The movement known as Logical Positivism shared the aversion to normative ethics. Nonetheless, the positivists meant to be progressive. As part of that, they intended to eliminate metaphysics. The so-called ordinary language philosophers agreed that philosophy centrally involved the analysis of propositions, but, and this recalls a third Analytic pioneer, namely Moore, their analyses remained at the level of natural language as against logic. The later Wittgenstein has an affinity with ordinary language philosophy. For Wittgenstein had come to hold that philosophy should protect us against dangerous illusions by being a kind of therapy for what normally passes for philosophy. Metaphilosophical views held by later Analytic philosophers include the idea that philosophy can be pursued as a descriptive but not a revisionary metaphysics and that philosophy is continuous with science.

The pragmatists, like those Analytic philosophers who work in practical or applied ethics, believed that philosophy should treat ‘real problems’ (although the pragmatists gave ‘real problems’ a wider scope than the ethicists tend to). The neopragmatist Rorty goes so far as to say the philosopher should fashion her philosophy so as to promote her cultural, social, and political goals. So-called post-Analytic philosophy is much influenced by pragmatism. Like the pragmatists, the post-Analyticals tend (1) to favor a broad construal of the philosophical enterprise and (2) to aim at dissolving rather than solving traditional or narrow philosophical problems.

The first Continental position considered herein is Husserl’s phenomenology. Husserl believed that his phenomenological method would enable philosophy to become a rigorous and foundational science. Still, on Husserl’s conception, philosophy is both a personal affair and something that is vital to realizing the humanitarian hopes of the Enlightenment. Husserl’s existential successors modified his method in various ways and stressed, and refashioned, the ideal of authenticity presented by his writings. Another major Continental tradition, namely Critical Theory, makes of philosophy a contributor to emancipatory social theory; and the version of Critical Theory pursued by Jürgen Habermas includes a call for ‘postmetaphysical thinking’. The later thought of Heidegger advocates a postmetaphysical thinking too, albeit a very different one; and Heidegger associates metaphysics with the ills of modernity. Heidegger strongly influenced Derrida’s metaphilosophy. Derrida’s deconstructive approach to philosophy (1) aims at clarifying, and loosening the grip of, the assumptions of previous, metaphysical philosophy, and (2) means to have an ethical and political import.

Table of Contents

  1. Introduction
    1. Some Pre-Twentieth Century Metaphilosophy
    2. Defining Metaphilosophy
    3. Explicit and Implicit Metaphilosophy
    4. The Classification of Metaphilosophies – and the Treatment that Follows
  2. Analytic Metaphilosophy
    1. The Analytic Pioneers: Russell, the Early Wittgenstein, and Moore
    2. Logical Positivism
    3. Ordinary Language Philosophy and the Later Wittgenstein
    4. Three Revivals
      1. Normative Philosophy including Rawls and Practical Ethics
      2. History of Philosophy
      3. Metaphysics: Strawson, Quine, Kripke
    5. Naturalism including Experimentalism and Its Challenge to Intuitions
  3. Pragmatism, Neopragmatism, and Post-Analytic Philosophy
    1. Pragmatism
    2. Neopragmatism: Rorty
    3. Post-Analytic Philosophy
  4. Continental Metaphilosophy
    1. Phenomenology and Related Currents
      1. Husserl’s Phenomenology
      2. Existential Phenomenology, Hermeneutics, Existentialism
    2. Critical Theory
      1. Critical Theory and the Critique of Instrumental Reason
      2. Habermas
    3. The Later Heidegger
    4. Derrida’s Post-Structuralism
  5. References and Further Reading
    1. Explicit Metaphilosophy and Works about Philosophical Movements or Traditions
    2. Analytic Philosophy including Wittgenstein, Post-Analytic Philosophy, and Logical Pragmatism
    3. Pragmatism and Neopragmatism
    4. Continental Philosophy
    5. Other

1. Introduction

The main topic of the article is the Western metaphilosophy of the last hundred years or so. But that topic is broached via a sketch of some earlier Western metaphilosophies. (In the case of the sketch, ‘Western’ means European. In the remainder of the article, ‘Western’ means European and North American. On Eastern meta­philosophy, see the entries filed under such heads as ‘Chinese philosophy’ and ‘Indian philosophy’.) Once that sketch is in hand, the article defines the notion of metaphilosophy and distinguishes between explicit and implicit metaphilosophy. Then there is a consideration of how metaphilosophies might be categorized and an outline of the course of the remainder of the article.

a. Some Pre-Twentieth Century Metaphilosophy

Socrates believed that the unexamined life – the unphilosophical life – was not worth living (Plato, Apology, 38a). Indeed, Socrates saw his role as helping to rouse people from unreflective lives. He did this by showing them, through his famous ‘Socratic method’, that in fact they knew little about, for example, justice, beauty, love or piety. Socrates’ use of that method contributed to his being condemned to death by the Athenian state. But Socrates’ politics contributed too; and here one can note that, according to the Republic (473c-d), humanity will prosper only when philosophers are kings or kings’ philosophers. It is notable too that, in Plato’s Phaedo, Socrates presents death as liberation of the soul from the tomb of the body.

According to Aristotle, philosophy begins in wonder, seeks the most fundamental causes or principles of things, and is the least necessary but thereby the most divine of sciences (Metaphysics, book alpha, sections 1–3). Despite the point about necessity, Aristotle taught ethics, a subject he conceived as ‘a kind of political science’ (Nicomachean Ethics, book 1) and which had the aim of making men good. Later philosophers continued and even intensified the stress on philosophical practicality. According to the Hellenistic philosophers – the Cynics, Sceptics, Epicureans and Stoics – philosophy revealed (1) what was valuable and what was not, and (2) how one could achieve the former and protect oneself against longing for the latter. The Roman Cicero held that to study philosophy is to prepare oneself for death. The later and neoplatonic thinker Plotinus asked, ‘What, then, is Philosophy?’ and answered, ‘Philosophy is the supremely precious’ (Enneads, I.3.v): a means to blissful contact with a mystical principle he called ‘the One’.

The idea that philosophy is the handmaiden of theology, earlier propounded by the Hellenistic thinker Philo of Alexandria, is most associated with the medieval age and particularly with Aquinas. Aquinas resumed the project of synthesizing Christianity with Greek philosophy – a project that had been pursued already by various thinkers including Augustine, Anselm, and Boethius. (Boethius was a politician inspired by philosophy – but the politics ended badly for him. In those respects he resembles the earlier Seneca. And, like Seneca, Boethius wrote of the consolations of philosophy.)

‘[T]he word “philosophy” means the study [or love – philo] of wisdom, and by “wisdom” is meant not only prudence in our everyday affairs but also a perfect knowledge of all things that mankind is capable of knowing, both for the conduct of life and for the preservation of health and the discovery of all manner of skills.’ Thus Descartes (1988: p. 179). Locke’s Essay Concerning Human Understanding (bk. 4. ch. 19, p. 697) connects philosophy with the love of truth and identifies the following as an ‘unerring mark’ of that love: ‘The not entertaining any Proposition with greater assurance than the Proofs it is built upon will warrant.’ Hume’s ‘Of Suicide’ opens thus: ‘One considerable advantage that arises from Philosophy, consists in the sovereign antidote which it affords to superstition and false religion’ (Hume 1980: 97). Kant held that ‘What can I know?’, ‘What ought I to do?’, and, ‘What may I hope?’ were the ultimate questions of human reason (Critique of Pure Reason, A805 / B33) and asserted that philosophy’s ‘peculiar dignity’ lies in ‘principles of morality, legislation, and religion’ that it can provide (A318 / B375). According to Hegel, the point of philosophy – or of ‘the dialectic’ – is to enable people to recognize the embodiment of their ideals in their social and political lives and thereby to be at home in the world. Marx’s famous eleventh ‘Thesis on Feuerbach’ declared that, while philosophers had interpreted the world, the point was to change it.

b. Defining Metaphilosophy

As the foregoing sketch begins to suggest, three very general metaphilosophical questions are (1) What is philosophy? (2) What is, or what should be, the point of philosophy? (3) How should one do philosophy? Those questions resolve into a host of more specific meta­philosophical conundra, some of which are as follows. Is philosophy a process or a product? What kind of knowledge can philosophy attain? How should one understand philosophical disagreement? Is philosophy historical in some special or deep way? Should philosophy make us better people? Happier people? Is philosophy political? What method(s) and types of evidence suit philosophy? How should philosophy be written (presuming it should be written at all)? Is philosophy, in some sense, over – or should it be?

But how might one define metaphilosophy? One definition owes to Morris Lazerowitz. (Lazerowitz claims to have invented the English word ‘metaphilosophy’ in 1940. But some foreign-language equivalents of the term ‘metaphilosophy’ antedate 1940. Note further that, in various languages including English, sometimes the term takes a hyphen before the ‘meta’.) Lazerowitz proposed (1970) that metaphilosophy is ‘the investigation of the nature of philosophy.’ If we take ‘nature’ to include both the point of philosophy and how one does (or should do) philosophy, then that definition fits with the most general meta­philosophical questions just identified above. Still: there are other definitions of metaphilosophy; and while Lazerowitz’s definition will prove best for our purposes, one needs – in order to appreciate that fact, and in order to give the definition a suitable (further) gloss – to survey the alternatives.

One alternative definition construes metaphilosophy as the philosophy of philosophy. Sometimes that definition intends this idea: metaphilosophy applies the method(s) of philosophy to philosophy itself. That idea itself comes in two versions. One is a ‘first-order’ construal. The thought here is this. Metaphilosophy, as the application of philosophy to philosophy itself, is simply one more instance of philosophy (Wittgenstein 2001: section 121; Williamson 2007: ix). The other version – the ‘second-order’ version of the idea that metaphilosophy applies philosophy to itself – is as follows. Metaphilosophy stands to philosophy as philosophy stands to its subject matter or to other disciplines (Rescher 2006), such that, as Williamson puts it (loc. cit) metaphilosophy ‘look[s] down upon philosophy from above, or beyond.’ (Williamson himself, who takes the first-order view, prefers the term ‘the philosophy of philosophy’ to ‘metaphilosophy’. For he thinks that ‘metaphilosophy’ has this connotation of looking down.) A different definition of metaphilosophy exploits the fact that ‘meta’ can mean not only about but also after. On this definition, metaphilosophy is postphilosophy. Sometimes Lazerowitz himself used ‘metaphilosophy’ in that way. What he had in mind here, more particularly, is the ‘special kind of investigation which Wittgenstein had described as one of the “heirs” of philosophy’ (Lazerowitz 1970). Some French philosophers have used the term similarly, though with reference to Heidegger and/or Marx rather than to Wittgenstein (Elden 2004: 83).

What then commends Lazerowitz’s (original) definition – the definition whereby metaphilosophy is investigation of the nature (and point) of philosophy? Two things. (1) The two ‘philosophy–of–philosophy’ construals are competing specifications of that definition. Indeed, those construals have little content until after one has a considerable idea of what philosophy is. (2) The equation of metaphilosophy and post-philosophy is narrow and tendentious; but Lazerowitz’s definition accommodates post-philosophy as a position within a more widely construed metaphilosophy. Still: Lazerowitz’s definition does require qualification, since there is a sense in which it is too broad. For ‘investigation of the nature of philosophy’ suggests that any inquiry into philosophy will count as meta­philosophical, whereas an inquiry tends to be deemed meta­philosophical only when it pertains to the essence, or very nature, of philosophy. (Such indeed is a third possible reading of the philosophy-of-philosophy construal.) Now, just what does so pertain is moot; and there is a risk of being too unaccommodating. We might want to deny the title ‘metaphilosophy’ to, say, various sociological studies of philosophy, and even, perhaps, to philosophical pedagogy (that is, to the subject of how philosophy is taught). On the other hand, we are inclined to count as meta­philosophical claims about, for instance, philosophy corrupting its students or about professionalization corrupting philosophy (on these claims one may see Stewart 1995 and Anscombe 1957).

What follows will give a moderately narrow interpretation to the term ‘nature’ within the phrase ‘the nature of philosophy’.

c. Explicit and Implicit Metaphilosophy

Explicit metaphilosophy is metaphilosophy pursued as a subfield of, or attendant field to, philosophy. Metaphilosophy so conceived has waxed and waned. In the early twenty-first century, it has waxed in Europe and in the Anglophone (English-speaking) world. Probable causes of the  increasing interest include Analytic philosophy having become more aware of itself as a tradition, the rise of philosophizing of a more empirical sort, and a softening of the divide between ‘Analytic’ and ‘Continental’ philosophy. (This article will revisit all of those topics in one way or another.) However, even when waxing, metaphilosophy generates much less activity than philosophy. Certainly the philosophical scene contains few book-length pieces of metaphilosophy. Books such as Williamson’s The Philosophy of Philosophy, Rescher’s Essay on Metaphilosophy, and What is Philosophy? by Deleuze and Guattari – these are not the rule but the exception.

There is more to metaphilosophy than explicit metaphilosophy. For there is also implicit metaphilosophy. To appreciate that point, consider, first, that philosophical positions can have meta­philosophical aspects. Many philosophical views – views about, say, knowledge, or language, or authenticity – can have implications for the task or nature of philosophy. Indeed, all philosophizing is somewhat meta­philosophical, at least in this sense: any philosophical view or orientation commits its holder to a metaphilosophy that accommodates it. Thus if one advances an ontology one must have a metaphilosophy that countenances ontology. Similarly, to adopt a method or style is to deem that approach at least passable. Moreover, a conception of the nature and point of philosophy, albeit perhaps an inchoate one, motivates and shapes much philosophy. But – and this is what allows there to be implicit metaphilosophy – sometimes none of this is emphasized, or even appreciated at all, by those who philosophize. Much of the metaphilosophy treated here is implicit, at least in the attenuated sense that its authors give philosophy much more attention than philosophy.

d. The Classification of Metaphilosophies – and the Treatment that Follows

One way of classifying metaphilosophy would be by the aim that a given metaphilosophy attributes to philosophy. Alternatively, one could consider that which is taken as the model for philosophy or for philosophical form. Science? Art? Therapy? Something else? A further alternative is to distinguish metaphilosophies according to whether or not they conceive philosophy as somehow essentially linguistic. Another criterion would be the rejection or adoption or conception of metaphysics (metaphysics being something like the study of’ the fundamental nature of reality). And many further classifications are possible.

This article will employ the Analytic–Continental distinction as its most general classificatory schema. Or rather it uses these categories: (1) Analytic philosophy; (2) Continental philosophy; (3) pragmatism, neopragmatism, and post-Analytic philosophy, these being only some of the most important of metaphilosophies of the last century or so. Those metaphilosophies are distinguished from one from another via the philosophies or philosophical movements (movements narrower than those of the three top-level headings) to which they have been conjoined. That approach, and indeed the article’s most general schema, means that this account is organized by chronology as much as by theme. One virtue of the approach is that it provides a degree of historical perspective. Another is that the approach helps to disclose some rather implicit metaphilosophy associated with well-known philosophies. But the article will be thematic to a degree because it will bring out some points of identity and difference between various metaphilosophies and will consider criticisms of the metaphilosophies treated. However, the article will not much attempt to determine, on meta­philosophical or other criteria, the respective natures of Analytic philosophy, pragmatism, or Continental philosophy. The article employs those categories solely for organizational purposes. But note the following points.

  1. The particular placing of some individual philosophers within the schema is problematic. The case of the so-called later Wittgenstein is particularly moot. Is he ‘Analytic’? Should he have his own category?
  2. The delineation of the traditions themselves is controversial. The notions of the Analytic and the Continental are particularly vexed. The difficulties here start with the fact that here a geographical category is juxtaposed to a more thematic or doctrinal one (Williams 2003). Moreover, some philosophers deny that Analytic philosophy has any substantial existence (Preston 2007; see also Rorty 1991a: 217); and some assert the same of Continental philosophy (Glendinning 2006: 13 and ff).
  3. Even only within contemporary Western history, there are significant approaches to philosophy that seem to at least somewhat warrant their own categories. Among those approaches are ‘traditionalist philosophy’, which devotes itself to the study of ‘the grand […] tradition of Western philosophy ranging from the Pre-Socratics to Kant’ (Glock 2008: 85f.), feminism, and environmental philosophy. This article does not examine those approaches.

2. Analytic Metaphilosophy

a. The Analytic Pioneers: Russell, the Early Wittgenstein, and Moore

Bertrand Russell, his pupil Ludwig Wittgenstein, and their colleague G. E. Moore – the pioneers of Analytic philosophy – shared the view that ‘all sound philosophy should begin with an analysis of propositions’ (Russell 1992: 9; first published in 1900). In Russell and Wittgenstein such analysis was centrally a matter of logic. (Note, however, that the expression ‘Analytic philosophy’ seems to have emerged only in the 1930s.)

Russellian analysis has two stages (Beaney 2007: 2–3 and 2009: section 3; Urmson 1956). First, propositions of ordinary or scientific language are transformed into what Russell regarded as their true form. This ‘logical’ or ‘transformative’ analysis draws heavily upon the new logic of Frege and finds its exemplar in Russell’s ‘theory of descriptions’ (Analytic Philosophy, section 2.a). The next step is to correlate elements within the transformed propositions with elements in the world. Commentators have called this second stage or form of analysis – which Russell counted as a matter of ‘philosophical logic’ – ‘reductive’, ‘decompositional’, and ‘metaphysical’. It is decompositional and reductive inasmuch as, like chemical analysis, it seeks to revolve its objects into their simplest elements, such an element being simple in that it itself lacks parts or constituents. The analysis is metaphysical in that it yields a metaphysics. According to the metaphysics that Russell actually derived from his analysis – the metaphysics which he called ‘logical atomism’ – the world comprises indivisible ‘atoms’ that combine, in structures limned by logic, to form the entities of science and everyday life. Russell’s empiricism inclined him to conceive the atoms as mind-independent sense-data. (See further Russell’s Metaphysics, section 4.)

Logic in the dual form of analysis just sketched was the essence of philosophy, according to Russell (2009: ch. 2). Nonetheless, Russell wrote on practical matters, advocating, and campaigning for, liberal and socialist ideas. But he tended to regard such activities as unphilosophical, believing that ethical statements were non-cognitive and hence little amenable to philosophical analysis (see Non-Cognitivism in Ethics). But he did come to hold a form of utilitarianism that allowed ethical statements a kind of truth-aptness. And he did endorse a qualified version of this venerable idea: the contemplation of profound things enlarges the self and fosters happiness. Russell held further that practicing an ethics was little use given contemporary politics, a view informed by worries about the effects of conformity and technocracy. (On all this, see Schultz 1992.)

Wittgenstein agreed with Frege and Russell that ‘the apparent logical form of a proposition need not be its real one’ (Wittgenstein 1961: section 4.0031). And he agreed with Russell that language and the world share a common, ultimately atomistic, form. But Wittgenstein’s Tractatus Logico-Philosophicus developed these ideas into a somewhat Kantian and perhaps even Schopenhauerian position. (That book, first published in 1921, is the main and arguably only work of the so-called ‘early Wittgenstein’. section 2.c treats Wittgenstein’s later views. The title of the book translates as ‘[a] schema of philosophical logic’.)

The Tractatus maintains the following.

Only some types of proposition have sense (or are propositions properly so called), namely, those that depict possible states of affairs. The cat is on the mat is one such proposition. It depicts a possible state of affairs. If that state of affairs does not obtain – if the cat in question is not on the mat in question – then the proposition is rendered false but still has sense. The same holds for most of the propositions of our everyday speech and for scientific propositions. Matters are otherwise with propositions of logic. Propositions of logic express tautologies or contradictions; they do not depict anything – and that entails that they lack sense. (Wittgenstein calls them ‘senseless’, sinnlos.) Nor do metaphysical statements make sense. (They are ‘nonsense’, Unsinn.) Such statements concern value or the meaning of life or God. Thus, they do try to depict something; but that which they try to depict is no possible state of affairs within the world.  ‘[W]henever someone […] want[s] to say something metaphysical’, one should ‘demonstrate to him that he had failed to give a meaning to certain signs in his propositions’ (section 6.53).

A complication is that the Tractatus itself tries to say something metaphysical or at least something logical. Consequently the doctrines of the book entails that it itself lacks sense. Accordingly, Wittgenstein ends the Tractatus with the following words. ‘My propositions serve as elucidations in the following way: anyone who understands me eventually recognises them as nonsensical, when he has used them – as steps – to climb up beyond them […] He must transcend these propositions, and then he will see the world aright. ¶ What we cannot speak about we must pass over in silence’ (section 6.54–7).

Here is the metaphilosophical import of all this. Philosophy is ‘a critique of language’ that exposes metaphysical talk as senseless (section 4.0031). Accordingly, and as just heard, we are to eschew such talk. Yet, Wittgenstein’s attitude to such discourse was not straightforwardly negative. For, as seen, the Tractatus itself is senseless by its own lights. Moreover, the book uses the seemingly honorific words ‘mystical’ and ‘higher’ in relation to the states of affairs that various metaphysical or metaphysico-logical statements purport to depict (section 6.42–6.522). There is an element of reverence, then, in the ‘passing over in silence’; there are some things that philosophy is to leave well enough alone.

Like Russell and Wittgenstein, Moore advocated a form of decompositional analysis. He held that ‘a thing becomes intelligible first when it is analyzed into its constituent concepts’ (Moore 1899: 182; see further Beaney 2009: section 4). But Moore uses normal language rather than logic to specify those constituents; and, in his hands, analysis often supported commonplace, pre-philosophical beliefs. Nonetheless, and despite confessing that other philosophers rather than the world prompted his philosophizing (Schilpp 1942: 14), Moore held that philosophy should give ‘a general description of the whole Universe’ (1953: 1). Accordingly, Moore tackled ethics and aesthetics as well as epistemology and metaphysics. His Principia Ethica used the not-especially-commonsensical idea that goodness was a simple, indefinable quality in order to defend the meaningfulness of ethical statements and the objectivity of moral value. Additionally, Moore advanced a normative ethic, the wider social or political implications of which are debated (Hutchinson 2001).

Russell’s tendency to exclude ethics from philosophy, and Wittgenstein’s protective version of the exclusion, are contentious and presuppose their respective versions of atomism. In turn, that atomism relies heavily upon the idea, as meta­philosophical as it is philosophical, of an ideal language (or at least of an ideal analysis of natural language). Later sections criticize that idea. Such criticism finds little target in Moore. Yet Moore is a target for those who hold that philosophy should be little concerned with words or even, perhaps, with concepts (see section 2.c and the ‘revivals’ treated in section 2.d).

b. Logical Positivism

We witness the spirit of the scientific world-conception penetrating in growing measure the forms of personal and public life, in education, upbringing, architecture, and the shaping of economic and social life according to rational principles. The scientific world-conception serves life, and life receives it. The task of philosophical work lies in […] clarification of problems and assertions, not in the propounding of special “philosophical” pronouncements. The method of this clarification is that of logical analysis.

The foregoing passage is from a manifesto issued by the Vienna Circle (Neurath, Carnap, and Hahn 1973: 317f. and 328). Leading members of that Circle included Moritz Schlick (a physicist turned philosopher), Rudolf Carnap (primarily a logician), and Otto Neurath (economist, sociologist, and philosopher). These thinkers were inspired by the original positivist, Auguste Comte. Other influences included the empiricisms of Hume, Russell and Ernst Mach, and also the Russell–Wittgenstein idea of an ideal logical language. (Wittgenstein’s Tractatus, in particular, was a massive influence.) The Circle, in turn, gave rise to an international movement that went under several names: logical positivism, logical empiricism, neopositivism, and simply positivism.

The clarification or logical analysis advocated by positivism is two-sided. Its destructive task was the use of the so-called verifiability principle to eliminate metaphysics. According to that principle, a statement is meaningful only when either true by definition or verifiable through experience. (So there is no synthetic apriori. See Kant, Metaphysics, section 2, and A Priori and A Posteriori.) The positivists placed mathematics and logic within the true-by-definition (or analytic apriori) category, and science and most normal talk in the category of verifiable-through-experience (or synthetic aposteriori). All else was deemed meaningless. That fate befell metaphysical statements and finds its most famous illustration in Carnap’s attack (1931) on Heidegger’s ‘What is Metaphysics?’ It was the fate, too, of ethical and aesthetic statements. Hence the non-cognitivist meta-ethics that some positivists developed.

The constructive side of positivistic analysis involved epistemology and philosophy of science. The positivists wanted to know exactly how experience justified empirical knowledge. Sometimes – the positivists took various positions on the issue – the idea was to reduce all scientific statements to those of physics. (See Reductionism.) That particular effort went under the heading of ‘unified science’. So too did an idea that sought to make good on the claim that positivism ‘served life’. The idea I have in mind was this: the sciences should collaborate in order to help solve social problems. That project was championed by the so-called Left Vienna Circle and, within that, especially by Neurath (who served in a socialist Munich government and, later, was a central figure in Austrian housing movements). The positivists had close relations with the Bauhaus movement, which was itself understood by its members as socially progressive (Galison 1990).

Positivism had its problems and its detractors. The believer in ‘special philosophical pronouncements’ will think that positivism decapitates philosophy (compare section 4.a below, on Husserl). Moreover, positivism itself seemingly involved at least one ‘special’ – read: metaphysical – pronouncement, namely, the verifiability principle. Further, there is reason to distrust the very idea of providing strict criteria for nonsense (see Glendinning 2001). Further yet, the idea of an ideal logical language was attacked as unachievable, incoherent, and/or – when used as a means to certify philosophical truth – circular (Copi 1949). There were the following doubts, too, about whether positivism really ‘served life’. (1) Might positivism’s narrow notion of fact prevent it from comprehending the real nature of society? (Critical Theory leveled that objection. See O’Neill and Uebel 2004.) (2) Might positivism involve a disastrous reduction of politics to the discovery of technical solutions to depoliticized ends? (This objection owes again to Critical Theory, but also to others. See Galison 1990 and O’Neill 2003.)

Positivism retained some coherence as a movement or doctrine until the late 1960s, even though the Nazis – with whom the positivists clashed – forced the Circle into exile. In fact, that exile helped to spread the positivist creed. But, not long after the Second World War, the ascendancy that positivism had acquired in Anglophone philosophy began to diminish. It did so partly because of the developments considered by the next section.

c. Ordinary Language Philosophy and the Later Wittgenstein

Some accounts group ordinary language philosophy and the philosophy of the later Wittgenstein (and of Wittgenstein’s disciples) together – under the title ‘linguistic philosophy’. That grouping can mislead. All previous Analytic philosophy was centrally concerned with language. In that sense, all previous Analytic philosophy had taken the so-called ‘linguistic turn’ (see Rorty 1992). Nevertheless, ordinary language philosophy and the later Wittgenstein do mark a change. They twist the linguistic turn away from logical or constructed languages and towards ordinary (that is, vernacular) language, or at least towards natural (non-artificial) language. Thereby the new bodies of thought represent a movement away from Russell, the early Wittgenstein, and the positivists (and back, to an extent, towards Moore). In short – and as many accounts of the history of Analytic philosophy put it – we have here a shift from ideal language philosophy to ordinary language philosophy.

Ordinary language philosophy began with and centrally comprised a loose grouping of philosophers among whom the Oxford dons Gilbert Ryle and J. L. Austin loomed largest. The following view united these philosophers. Patient analysis of the meaning of words can tap the rich distinctions of natural languages and minimize the unclarities, equivocations and conflations to which philosophers are prone. So construed, philosophy is unlike natural science and even, insofar as it avoided systematization, unlike linguistics. The majority of ordinary language philosophers did hold, with Austin, that such analysis was not the ‘the last word’ in philosophy. Specialist knowledge and techniques can in principle everywhere augment and improve it. But natural or ordinary language ‘is the first word’ (Austin 1979: 185; see also Analytic Philosophy, section 4a).

The later Wittgenstein did hold, or at least came close to holding, that ordinary language has the last word in philosophy. This later Wittgenstein retained his earlier view that philosophy was a critique of language – of language that tried to be metaphysical or philosophical. But he abandoned the idea (itself problematically metaphysical) that there was one true form to language. He came to think, instead, that all philosophical problems owe to ‘misinterpretation of our forms of language’ (Wittgenstein 2001: section 111). They owe to misunderstanding of the ways language actually works. A principal cause of such misunderstanding, Wittgenstein thought, is misassimilation of expressions one to another. Such misassimilation can be motivated, in turn, by a ‘craving for generality’ (Wittgenstein 1975: 17ff.) that is inspired by science. The later Wittgenstein’s own philosophizing means to be a kind of therapy for philosophers, a therapy which will liberate them from their problems by showing how, in their very formulations of those problems, their words have ceased to make sense. Wittgenstein tries to show how the words that give philosophers trouble – words such as ‘know’, ‘mind’, and ‘sensation’ – become problematical only when, in philosophers’ hands, they depart from the uses and the contexts that give them meaning. Thus a sense in which philosophy ‘leaves everything as it is’ (2001: section 124). ‘[W]e must do away with all explanation, and description alone must take its place’ (section 109). Still, Wittgenstein himself once asked, ‘[W]hat is the use of studying philosophy if all that it does for you is to enable you to talk with some plausibility about some abstruse questions of logic, etc. […]’? (cited in Malcolm 1984: 35 and 93). And in one sense Wittgenstein did not want to leave everything as it was. To wit: he wanted to end the worship of science. For the view that science could express all genuine truths was, he held, barbarizing us by impoverishing our understanding of the world and of ourselves.

Much meta­philosophical flack has been aimed at the later Wittgenstein and ordinary language philosophy. They have been accused of: abolishing practical philosophy; rendering philosophy uncritical; trivializing philosophy by making it a mere matter of words; enshrining the ignorance of common speech; and, in Wittgenstein’s case – and in his own words (taken out of context) – of ‘destroy[ing] everything interesting’ (2001: section 118; on these criticisms see Russell 1995: ch. 18, Marcuse 1991: ch. 7 and Gellner 2005). Nonetheless, it is at least arguable that these movements of thought permanently changed Analytic philosophy by making it more sensitive to linguistic nuance and to the oddities of philosophical language. Moreover, some contemporary philosophers have defended more or less Wittgensteinian conceptions of philosophy. One such philosopher is Peter Strawson (on whom see section 2.d.iii). Another is Stanley Cavell. Note also that some writers have attempted to develop the more practical side of Wittgenstein’s thought (Pitkin 1993, Cavell 1979).

d. Three Revivals

Between the 1950s and the 1970s, there were three significant, and persisting, meta­philosophical developments within the Analytic tradition.

i. Normative Philosophy including Rawls and Practical Ethics

During positivism’s ascendancy, and for some time thereafter, substantive normative issues – questions about how one should live, what sort of government is best or legitimate, and so on – were widely deemed quasi-philosophical. Positivism’s non-cognitivism was a major cause. So was the distrust, in the later Wittgenstein and in ordinary language philosophy, of philosophical theorizing. This neglect of the normative had its exceptions. But the real change occurred with the appearance, in 1971, of A Theory of Justice by John Rawls.

Many took Rawls’ book to show, through its ‘systematicity and clarity’, that normative theory was possible ‘without loss of rigor’ (Weithman 2003: 6). Rawls’ procedure for justifying normative principles is of particular metaphilosophical note. That procedure, called ‘reflective equilibrium’, has three steps. (The quotations that follow are from Schroeter 2004.)

  1. ‘[W]e elicit the moral judgments of competent moral judges’ on whatever topic is at issue. (In Theories of Justice itself, distributive justice was the topic.) Thereby we obtain ‘a set of considered judgments, in which we have strong confidence’.
  2. ‘[W]e construct a scheme of explicit principles, which will ‘‘explicate’’, ‘‘fit’’, ‘‘match’’ or ‘‘account for’’ the set of considered judgments.’
  3. By moving ‘back and forth between the initial judgments and the principles, making the adjustments which seem the most plausible’, ‘we remove any discrepancy which might remain between the judgments derived from the scheme of principles and the initial considered judgments’, thereby achieving ‘a point of equilibrium, where principles and judgments coincide’.

The conception of reflective equilibrium was perhaps less philosophically orthodox than most readers of Theory of Justice believed. For Rawls came to argue that his conception of justice was, or should be construed as, ‘political not metaphysical’ (Rawls 1999b: 47–72). A political conception of justice ‘stays on the surface, philosophically speaking’ (Rawls 1999b: 395). It appeals only to that which ‘given our history and the traditions embedded in our public life […] is the most reasonable doctrine for us’ (p. 307). A metaphysical conception of justice appeals to something beyond such contingencies. However: despite advocating the political conception, Rawls appeals to an ‘overlapping consensus’ (his term) of metaphysical doctrines. The idea here, or hope, is this (Rawls, section 3; Freeman 2007: 324–415). Citizens in modern democracies hold various and not fully inter-compatible political and social ideas. But those citizens will be able to unite in supporting a liberal conception of justice.

Around the same time as Theory of Justice appeared, a parallel revival in normative philosophy begun. This was the rise of practical ethics. Here is how one prominent practical ethicist presents ‘the most plausible explanation’ for that development. ‘[L]aw, ethics, and many of the professions—including medicine, business, engineering, and scientific research—were profoundly and permanently affected by issues and concerns in the wider society regarding individual liberties, social equality, and various forms of abuse and injustice that date from the late 1950s’ (Beauchamp 2002: 133f.). Now the new ethicists, who insisted that philosophy should treat ‘real problems’ (Beauchamp 2002: 134), did something largely foreign to previous Analytic philosophy (and to that extent did not, in fact, constitute a revival). They applied moral theory to such concrete and pressing matters as racism, sexual equality, abortion, governance and war. (On those problems, see Ethics, section 3).

According to some practical ethicists, moral principles are not only applied to, but also drawn from, cases. The issue here – the relation between theory and its application – broadened out into a more thoroughly metaphilosophical debate. For, soon after Analytic philosophers had returned to normative ethics, some of them rejected a prevalent conception of normative ethical theory, and others entirely rejected such theory. The first camp rejects moral theory qua ‘decision procedure for moral reasoning’ (Williams 1981: ix-x) but does not foreclose other types of normative theory such as virtue ethics. The second and more radical camp holds that the moral world is too complex for any (prescriptive) codification that warrants the name ‘theory’. (On these positions, see Lance and Little 2006, Clarke 1987, Chappell 2009.)

ii. History of Philosophy

For a long time, most analytic philosophers held that the history of philosophy had little to do with doing philosophy. For what – they asked – was the history of philosophy save, largely, a series of mistakes? We might learn from those mistakes, and the history might contain some occasional insights. But (the line of thought continues) we should be wary of resurrecting the mistakes and beware the archive fever that leads to the idea that there is no such thing as philosophical progress. But in the 1970s a more positive attitude to the history of philosophy began to emerge, together with an attempt to reinstate or re-legitimate serious historical scholarship within philosophy (compare Analytic Philosophy section 5.c).

The newly positive attitude towards the history of philosophy was premised on the view that the study of past philosophies was of significant philosophical value. Reasons adduced for that view include the following (Sorell and Rogers 2005). History of philosophy can disclose our assumptions. It can show the strengths of positions that we find uncongenial. It can suggest rolesthat philosophy might take today by revealing ways in which philosophy has been embedded in a wider intellectual and sociocultural frameworks. A more radical view, espoused by Charles Taylor (1984: 17) is that, ‘Philosophy and the history of philosophy are one’; ‘we cannot do the first without also doing the second.’

Many Analytical philosophers continue to regard the study of philosophy’s history as very much secondary to philosophy itself. By contrast, many so-called Continental philosophers take the foregoing ideas, including the more radical view – which is associated with Hegel – as axiomatic. (See much of section 4, below.)

iii. Metaphysics: Strawson, Quine, Kripke

Positivism, the later Wittgenstein, and Ordinary Language Philosophy suppressed Analytic metaphysics. Yet it recovered, thanks especially to three figures, beginning with Peter Strawson.

Strawson had his origins in the ordinary language tradition and he declares a large debt or affinity to Wittgenstein (Strawson 2003: 12). But he is indebted, also, to Kant; and, with Strawson, ordinary language philosophy became more systematic and more ambitious. However, Strawson retained an element of what one might call, in Rae Langton’s phrase, Kantian humility. In order to understand these characterizations, one needs to appreciate that which Strawson advocated under the heading of ‘descriptive metaphysics’. In turn, descriptive metaphysics is best approached via that which Strawson called ‘connective analysis’.

Connective analysis seeks to elucidate concepts by discerning their interconnections, which is to say, the ways in which concepts variously imply, presuppose, and exclude one another. Strawson contrasts this ‘connective model’ with ‘the reductive or atomistic model’ that aims ‘to dismantle or reduce the concepts we examine to other and simpler concepts’ (all Strawson 1991: 21). The latter model is that of Russell, the Tractatus, and, indeed, Moore. Another way in which Strawson departs from Russell and the Tractatus, but not from Moore, lies in this: a principal method of connective analysis is ‘close examination of the actual use of words’ (Strawson 1959: 9). But when Strawson turns to ‘descriptive metaphysics’, such examination is not enough.

Descriptive metaphysics is, or proceeds via, a very general form of connective analysis. The goal here is ‘to lay bare the most general features of our conceptual structure’ (Strawson 1959: 9). Those most general features – our most general concepts – have a special importance. For those concepts, or at least those of them in which Strawson is most interested, are (he thinks) basic or fundamental in the following sense. They are (1) irreducible, (2) unchangeable in that they comprise ‘a massive central core of human thinking which has no history’ (1959: 10) and (3) necessary to ‘any conception of experience which we can make intelligible to ourselves’ (Strawson 1991: 26). And the structure that these concepts comprise ‘does not readily display itself on the surface of language, but lies submerged’ (1956: 9f.).

Descriptive metaphysics is considerably Kantian (see Kant, metaphysics). Strawson is Kantian, too, in rejecting what he calls ‘revisionary metaphysics’. Here we have the element of Kantian ‘humility’ within Strawson’s enterprise. Descriptive metaphysics ‘is content to describe the actual structure of our thought about the world’, whereas revisionary metaphysics aims ‘to produce a better structure’ (Strawson 1959: 9; my stress). Strawson urges several points against revisionary metaphysics.

  1. A revisionary metaphysic is apt to be an overgeneralization of some particular aspect of our conceptual scheme and/or
  2. to be a confusion between conceptions of how things really are with some Weltanschauung.
  3. Revisionary metaphysics attempts the impossible, namely, to depart from the fundamental features of our conceptual scheme. The first point shows the influence of Wittgenstein. So does the third, although it is also (as Strawson may have recognized) somewhat Heideggerian. The second point is reminiscent of Carnap’s version of logical positivism. All this notwithstanding, and consistently enough, Strawson held that systems of revisionary metaphysics can, through the ‘partial vision’ (1959: 9) that they provide, be useful to descriptive metaphysics.

Here are some worries about Strawson’s metaphilosophy. ‘[T]he conceptual system with which “we” are operating may be much more changing, relative, and culturally limited than Strawson assumes it to be’ (Burtt 1963: 35). Next: Strawson imparts very little about the method(s) of descriptive metaphysics (although one might try to discern techniques – in which imagination seems to play a central role – from his actual analyses). More serious is that Strawson imparts little by way of answer to the following questions. ‘What is a concept? How are concepts individuated? What is a conceptual scheme? How are conceptual schemes individuated? What is the relation between a language and a conceptual scheme?’ (Haack 1979: 366f.). Further: why believe that the analytic philosopher has no business providing ‘new and revealing vision[s]’ (Strawson 1992: 2)? At any rate, Strawson helped those philosophers who rejected reductive (especially Russellian and positivistic) versions of analysis but who wanted to continue to call themselves ‘analytic’. For he gave them a reasonably narrow conception of analysis to which they could adhere (Beaney 2009: section 8; compare Glock 2008: 159). Finally note that, despite his criticisms of Strawson, the contemporary philosopher Peter Hacker defends a metaphilosophy rather similar to descriptive metaphysics (Hacker 2003 and 2007).

William Van Orman Quine was a second prime mover in the metaphysical revival. Quine’s metaphysics, which is revisionary in Strawson’s terms, emerged from Quine’s attack upon ‘two dogmas of modern empiricism’. Those ostensible dogmas are: (1) ‘belief in some fundamental cleavage between truths that are analytic, or grounded in meanings independently of matters of fact, and truths that are synthetic, or grounded in fact’; (2) ‘reductionism: the belief that each meaningful statement is equivalent to some logical construction upon terms which refer to immediate experience’ (Quine 1980: 20). Against 1, Quine argues that every belief has some connection to experience. Against 2, he argues that the connection is never direct. For when experience clashes with some belief, which belief(s) must be changed is underdetermined. Beliefs ‘face the tribunal of sense experience not individually but as a corporate body’ (p. 41; see Evidence section 3.c.i). Quine expresses this holistic and radically empiricist conception by speaking of ‘the web of belief’. Some beliefs – those near the ‘edge of the web’ – are more exposed to experience than others; but the interlinking of beliefs is such that no belief is immune to experience.

Quine saves metaphysics from positivism. More judiciously put: Quine’s conception, if correct, saves metaphysics from the verifiability criterion (q.v. section 2.b). For the notion of the web of belief implies that ontological beliefs – beliefs about ‘the most general traits of reality’ (Quine 1960: 161) – are answerable to experience. And, if that is so, then ontological beliefs differ from other beliefs only in their generality. Quine infers that, ‘Ontological questions […] are on a par with questions of natural science’ (1980: 45). In fact, since Quine thinks that natural science, and in particular physics, is the best way of fitting our beliefs to reality, he infers that ontology should be determined by the best available comprehensive scientific theory. In that sense, metaphysics is ‘the metaphysics of science’ (Glock 2003a: 30).

Is the metaphysics of science actually only science? Quine asserts that ‘it is only within science itself, and not in some prior philosophy, that reality is to be identified and described’ (1981: 21). Yet he does leave a job for the philosopher. The philosopher is to translate the best available scientific theory into that which Quine called ‘canonical notation’, namely, ‘the language of modern logic as developed by Frege, Peirce, Russell and others’ (Orenstein 2002: 16). Moreover, the philosopher is to make the translation in such a way as to minimize the theory’s ontological commitments. Only after such a translation, which Quine calls ‘explication’ can one say, at a philosophical level: ‘that is What There Is’. (However, Quine cannot fully capitalize those letters, as it were. For he thinks that there is a pragmatic element to ontology. See section 3.a below.) This role for philosophy is a reduced one. For one thing, it deprives philosophy of something traditionally considered one of its greatest aspirations: necessary truth. On Quine’s conception, no truth can be absolutely necessary. (That holds even for the truths of Quine’s beloved logic, since they, too, fall within the web of belief.) By contrast, even Strawson and the positivists – the latter in the form of ‘analytic truth’ – had countenanced versions of necessary truth.

Saul Kripke – the third important reviver of metaphysics – allows the philosopher a role that is perhaps slightly more distinct than Quine does. Kripke does that precisely by propounding a new notion of necessity. (That said, some identify Ruth Barcan Marcus as the discoverer of the necessity at issue.) According to Kripke (1980), a truth T about X is necessary just when T holds in all possible worlds that contain X. To explain: science shows us that, for example, water is composed of H20; the philosophical question is whether that truth holds of all possible worlds (all possible worlds in which water exists) and is thereby necessary. Any such science-derived necessities are aposteriori just because, and in the sense that, they are (partially) derived from science.

Aposteriori necessity is a controversial idea. Kripke realizes this. But he asks why it is controversial. The notions of the apriori and aposteriori are epistemological (they are about whether or not one needs to investigate the world in order to know something), whereas – Kripke points out – his notion of necessity is ontological (that is, about whether things could be otherwise). As to how one determines whether a truth obtains in all possible worlds, Kripke’s main appeal is to the intuitions of philosophers. The next subsection somewhat scrutinizes that appeal, together with some of the other ideas of this subsection.

e. Naturalism including Experimentalism and Its Challenge to Intuitions

Kripke and especially Quine helped to create, particularly in the United States, a new orthodoxy within Analytic philosophy. That orthodoxy is naturalism or – the term used by its detractors – scientism. But naturalism (/scientism) is no one thing (Glock 2003a: 46; compare Papineau 2009). Ontological naturalism holds that the entities treated by natural science exhaust reality. Meta­philosophical naturalism – which is the focus in what follows – asserts a strong continuity between philosophy and science. A common construal of that continuity runs thus. Philosophical problems are in one way or another ‘tractable through the methods of the empirical sciences’ (Naturalism, Introduction). Now, within meta­philosophical naturalism, one can distinguish empirical philosophers from experimental philosophers (Prinz 2008). Empirical philosophers enlist science to answer, or to help answer, philosophical problems. Experimental philosophers (or ‘experimentalists’) themselves do science, or do so in collaboration with scientists. Let us start with empirical philosophy.

Quine is an empirical philosopher in his approach to metaphysics and even more so in his approach to epistemology. Quine presents and urges his epistemology thus: ‘The stimulation of his sensory receptors is all the evidence anybody has had to go on, ultimately, in arriving at his picture of the world. Why not just see how this construction really proceeds? Why not settle for psychology?’ (Quine 1977: 75). Such naturalistic epistemology – in Quine’s own formulation, ‘naturalized epistemology’ – has been extended to moral epistemology. ‘A naturalized moral epistemology is simply a naturalized epistemology that concerns itself with moral knowledge’ (Campbell and Hunter 2000: 1). There is such a thing, too, as naturalized aesthetics: the attempt to use science to solve aesthetical problems (McMahon 2007). Other forms of empirical philosophy include neurophilosophy, which applies methods from neuroscience, and sometimes computer science, to questions in the philosophy of mind.

Naturalized epistemology has been criticized for being insufficiently normative. How can descriptions of epistemic mechanisms determine license for belief? The difficulty seems especially pressing in the case of moral epistemology. Wittgenstein’s complaint against naturalistic aesthetics – a view he called ‘exceedingly stupid’ – may intend a similar point. ‘The sort of explanation one is looking for when one is puzzled by an aesthetic impression is not a causal explanation, not one corroborated by experience or by statistics as to how people react’ (all Wittgenstein 1966: 17, 21). A wider disquiet about meta­philosophical naturalism is this: it presupposes a controversial view explicitly endorsed by Quine, namely that science alone provides true or good knowledge (Glock 2003a: 28, 46). For that reason and for others, some philosophers, including Wittgenstein, are suspicious even of scientifically-informed philosophy of mind.

Now the experimentalists – the philosophers who actually do science – tend to use science not to propose new philosophical ideas or theories but rather to investigate existing philosophical claims. The philosophical claims at issue are based upon intuitions, intuitions being something like ‘seemings’ or spontaneous judgments. Sometimes philosophers have employed intuitions in support of empirical claims. For example, some ethicists have asserted, from their philosophical armchairs, that character is the most significant determinant of action. Another example: some philosophers have speculated that most people are ‘incompatibilists’ about determinism. (The claim in this second example is, though empirical, construable as a certain type of second-order intuition, namely, as a claim that is empirical, yet made from the armchair, about the intuitions that other people have.) Experimentalists have put such hunches to the test, often concluding that they are mistaken (see Levin 2009 and Levy 2009). At other times, though, the type of intuitively-based claim that experimentalists investigate is non-empirical or at least not evidently empirical. Here one finds, for instance, intuitions about what counts as knowledge, about whether some feature of something is necessary to it (recall Kripke, above), about what the best resolution of a moral dilemma is, and about whether or not we have free will. Now, experimentalists have not quite tested claims of this second sort. But they have used empirical methods in interrogating the ways in which philosophers, in considering such claims, have employed intuitions. Analytic philosophers have been wont to use their intuitions about such non-empirical matters to establish burdens of proof, to support premises, and to serve as data against which to test philosophical theories. But experimentalists have claimed to find that, at least in the case of non-philosophers, intuitions about such matters vary considerably. (See for instance Weinberg, Nichols and Stitch 2001.) So, why privilege the intuitions of some particular philosopher?

Armchair philosophers have offered various responses. One is that philosophers’ intuitions diverge from ‘folk’ intuitions only in this way: the former are more considered versions of the latter (Levin 2009). But might not such considered intuitions vary among themselves? Moreover: why at all trust even considered intuitions? Why not think – with Quine (and William James, Richard Rorty, Nietzsche, and others) that intuitions are sedimentations of culturally or biologically inherited views? A traditional response to that last question (an ‘ordinary language response’ and equally, perhaps, ‘an ideal language’ response) runs as follows. Intuitions do not convey views of the world. Rather they convey an implicit knowledge of concepts or of language. A variation upon that reply gives it a more naturalistic gloss. The idea here is that (considered) intuitions, though indeed ‘synthetic’ and, as such, defeasible, represent good prima facie evidence for the philosophical views at issue, at least if those views are about the nature of concepts (see for instance Graham and Horgan 1994).

3. Pragmatism, Neopragmatism, and Post-Analytic Philosophy

a. Pragmatism

The original or classical pragmatists are the North Americans C.S. Peirce (1839–1914), William James (1842–1910), John Dewey (1859–1952) and, perhaps, G. H. Mead. The metaphilosophy of pragmatism unfolds from that which became known as ‘the pragmatic maxim’.

Peirce invented the pragmatic maxim as a tool for clarifying ideas. His best known formulation of the maxim runs thus: ‘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’ (Peirce 1931-58, volume 5: section 402). Sometimes the maxim reveals an idea to have no meaning. Such was the result, Peirce thought, of applying the maxim to transubstantiation, and, indeed, to many metaphysical ideas. Dewey deployed the maxim similarly. He saw it ‘as a method for inoculating ourselves against certain blind alleys in philosophy’ (Talisse and Aikin 2008: 17). James construed the maxim differently. Whereas Peirce seemed to hold that the ‘effects’ at issue were, solely, effects upon sensory experience, James extended those effects into the psychological effects of believing in the idea(s) in question. Moreover, whereas Peirce construed the maxim as a conception of meaning, James turned it into a conception of truth. ‘“The true”’ is that which, ‘in almost any fashion’, but ‘in the long run and on the whole’, is ‘expedient in the way of our thinking’ (James 1995: 86). As a consequence of these moves, James thought that many philosophical disputes were resolvable, and were only resolvable, through the pragmatic maxim.

None of the pragmatists opposed metaphysics as such or as a whole. That may be because each of them held that philosophy is not fundamentally different to other inquiries. Each of Peirce, James and Dewey elaborates the notion of inquiry, and the relative distinctiveness of philosophy, in his own way. But there is common ground on two views. (1) Inquiry is a matter of coping. Dewey, and to an extent James, understand inquiry as an organism trying to cope with its environment. Indeed Dewey was considerably influenced by Darwin. (2) Experimental science is the exemplar of inquiry. One finds this second idea in Dewey but also and especially in Peirce. The idea is that experimental science is the best method or model of inquiry, be the inquiry practical or theoretical, descriptive or normative, philosophical or non-philosophical. ‘Pragmatism as attitude represents what Mr. Peirce has happily termed the “laboratory habit of mind” extended into every area where inquiry may fruitfully be carried on’ (Dewey 1998, volume 2: 378). Each of these views (that is, both 1 and 2) may be called naturalistic (the second being a version of metaphilosophical naturalism; q.v. section 2.e).

According to pragmatism (though Peirce is perhaps an exception) pragmatism was a humanism. Its purpose was to serve humanity. Here is James (1995: 2): ‘no one of us can get along without the far-flashing beams of light it sends over the world’s perspectives’, the ‘it’ here being pragmatist philosophy and also philosophy in general. James held further that pragmatism, this time in contrast with some other philosophies, allows the universe to appear as ‘a place in which human thoughts, choices, and aspirations count for something’ (Gallie 1952: 24). As to Dewey, he held the following. ‘Ideals and values must be evaluated with respect to their social consequences, either as inhibitors or as valuable instruments for social progress’; and ‘philosophy, because of the breadth of its concern and its critical approach, can play a crucial role in this evaluation’ (Dewey, section 4). Indeed, according to Dewey, philosophy is to be ‘a social hope reduced to a working programme of action, a prophecy of the future, but one disciplined by serious thought and knowledge’ (Dewey 1998, vol. 1: 72). Dewey himself pursued such a programme, and not only in his writing – in which he championed a pervasive form of democracy – but also (and to help enable such democracy) as an educationalist.

Humanism notwithstanding, pragmatism was not hostile to religion. Dewey could endorse religion as a means of articulating our highest values. James tended to hold that the truth of religious ideas was to be determined, at the broadest level, in the same way as the truth of anything else. Peirce, for his part, was a more traditional philosophical theist. The conceptions of religion advocated by James and Dewey have been criticized for being very much reconceptions (Talisse and Aikin 2008: 90–94). A broader objection to pragmatist humanism is that its making of man the measure of all things is false and even pernicious. One finds versions of that objection in Heidegger and Critical Theory. One could level the charge, too, from the perspective of environmental ethics. Rather differently, and even more broadly, one might think that ‘moral and political ambitions’ have no place ‘within philosophy proper’ (Glock 2003a: 22 glossing Quine). Objections of a more specific kind have targeted the pragmatic maxim. Critics have faulted Peirce’s version of the pragmatic maxim for being too narrow or too indeterminate; and Russell and others have criticized James’ version as a misanalysis of what we mean by ‘true’.

Pragmatism was superseded (most notably in the United States) or occluded (in those places where it took little hold in the first place) by logical positivism. But the metaphilosophy of logical positivism has important similarities to pragmatism’s. Positivism’s verifiability principle is very similar to Peirce’s maxim. The positivists held that science is the exemplar of inquiry. And the positivists, like pragmatism, aimed at the betterment of society. Note also that positivism itself dissolved partly because its original tenets underwent a ‘“pragmaticization”’ (Rorty 1991b: xviii). That pragmaticization was the work especially of Quine and Davidson, who are ‘logical pragmatists’ in that they use logical techniques to develop some of the main ideas of pragmatists (Glock 2003a: 22–3; see also Rynin 1956). The ideas at issue include epistemological holism and the underdetermination of various type of theory by evidence. The latter is the aforementioned (section 2.d.iii) pragmatic element within Quine’s approach to ontology (on which see further Quine’s Philosophy of Science, section 3).

b. Neopragmatism: Rorty

The label ‘neopragmatism’ has been applied to Robert Brandom, Susan Haack, Nicholas Rescher, Richard Rorty, and other thinkers who, like them, identify themselves with some part(s) of classical pragmatism. (Karl-Otto Apel, Jürgen Habermas, John McDowell, and Hilary Putnam are borderline cases; each takes much from pragmatism but is wary about ‘pragmatist’ as a self-description.) This section concentrates upon the best known, most controversial, and possibly the most meta­philosophical, of the neopragmatists: Rorty.

Much of Rorty’s meta­philosophy issues from his antirepresentationalism. Antirepresentationalism is, in the first instance, this view: no representation (linguistic or mental conception) corresponds to reality in a way that exceeds our commonsensical and scientific notions of what it is to get the world right. Rorty’s arguments against the sort of privileged representations that are at issue here terminate or summarize as follows. ‘[N]othing counts as justification unless by reference to what we already accept […] [T]here is no way to get outside our beliefs and our language so as to find some test other than coherence’ (Rorty 1980: 178). Rorty infers that ‘the notion of “representation,” or that of “fact of the matter,”’ has no ‘useful role in philosophy’ (Rorty 1991b: 2). We are to conceive ourselves, or our conceptions, not as answerable to the world, but only to our fellows (see McDowell 2000: 110).

Rorty thinks that antirepresentationalism entails the rejection of a metaphilosophy which goes back to the Greeks, found a classic expression in Kant, and which is pursued in Analytic philosophy. That metaphilosophy, which Rorty calls ‘epistemological’, presents philosophy as ‘a tribunal of pure reason, upholding or denying the claims of the rest of culture’ (Rorty 1980: 4). More fully: philosophy judges discourses, be they religious, scientific, moral, political, aesthetical or metaphysical, by seeing which of them, and to what degree, disclose reality as it really is. (Clearly, though, more needs to be said if this conception is to accommodate Kant’s ‘transcendental idealism’. See Kant: Metaphysics, section 4.)

Rorty wants the philosopher to be, not a ‘cultural overseer’ adjudicating types of truth claims, but an ‘informed dilettante’ and a ‘Socratic intermediary’ (Rorty 1980: 317). That is, the philosopher is to elicit ‘agreement, or, at least, exciting and fruitful disagreement’ (Rorty 1980: 318) between or within various types or areas of discourse. Philosophy so conceived Rorty calls ‘hermeneutics’. The Rortian philosopher does not seek some schema allowing two or more discourses to be translated perfectly one to the other (an idea Rorty associates with representationalism). Instead she inhabits hermeneutic circle. ‘[W]e play back and forth between guesses about how to characterize particular statements or other events, and guesses about the point of the whole situation, until gradually we feel at ease with what was hitherto strange’ (1980: 319). Rorty connects this procedure to the ‘edification’ that consists in ‘finding new, better, more interesting, more fruitful ways of speaking’ (p. 360) and, thereby, to a goal he calls ‘existentialist’: the goal of finding new types of self-conception and, in that manner, finding new ways to be.

Rorty’s elaboration of all this introduces further notable meta­philosophical views. First: ‘Blake is as much of a philosopher Fichte and Henry Adams more of a philosopher than Frege’ (Rorty 1991a: xv). For Sellars was right, Rorty believes, to define philosophy as ‘an attempt to see how things, in the broadest possible sense of the term, hang together, in the broadest possible sense of the term’ (Sellars 1963: 1; compare section 6, Sellars’ Philosophy of Mind; presumably, though, Rorty holds that one has good philosophy when such attempts prove ‘edifying’). Second: what counts as a philosophical problem is contingent, and not just in that people only discover certain philosophical problems at certain times. Third: philosophical argument, at least when it aspires to be conclusive, requires shared assumptions; where there are no or few shared assumptions, such argument is impossible.

The last of the foregoing ideas is important for what one might call Rorty’s practical metaphilosophy. Rorty maintains that one can argue about morals and/or politics only with someone with whom one shares some assumptions. The neutral ground that philosophy has sought for debates with staunch egoists and unbending totalitarians is a fantasy. All the philosopher can do, besides point that out, is to create a conception that articulates, but does not strictly support, his or her moral or political vision. The philosopher ought to be ‘putting politics first and tailoring a philosophy to suit’ (Rorty 1991b: 178) – and similarly for morality. Rorty thinks that no less a political philosopher than John Rawls has already come close to this stance (Rorty 1991b: 191). Nor does Rorty bemoan any of this. The ‘cultural politics’ which suggests ‘changes in the vocabularies deployed in moral and political deliberation’ (Rorty 2007: ix) is more useful than the attempt to find philosophical foundations for some such vocabulary. The term ‘cultural politics’ could mislead, though. Rorty does not advocate an exclusive concentration on cultural as against social or economic issues. He deplores the sort of philosophy or cultural or literary theory that makes it ‘almost impossible to clamber back down […] to a level […] on which one might discuss the merits of a law, a treaty, a candidate, or a political strategy’ (Rorty 2007: 93).

Rorty’s metaphilosophy, and the philosophical views with which it is intertwined, have been attacked as irrationalist, self-refuting, relativist, unduly ethnocentric, complacent, anti-progressive, and even as insincere. Even Rorty’s self-identification with the pragmatist tradition has been challenged (despite the existence of at least some clear continuities). So have his readings, or appropriations, of his philosophical heroes, who include not only James and Dewey but also Wittgenstein, Heidegger and, to a lesser extent, Davidson and Derrida. For a sample of all these criticisms, see Brandom 2000 (which includes replies by Rorty) and Talisse and Aikin 2008: 140–148.

c. Post-Analytic Philosophy

‘Post-Analytic philosophy’ is a vaguely-defined term for something that is a current rather than a group or school. The term (in use as early as Rajchman and West 1985) denotes the work of philosophers who owe much to Analytic philosophy but who think that they have made some significant departure from it. Often the departures in question are motivated by pragmatist allegiance or influence. (Hence the placing of this section.) The following are all considerably pragmatist and are all counted as post-Analytic philosophers: Richard Rorty; Hilary Putnam; Robert Brandom; John McDowell. Still, those same figures exhibit, also, a turn to Hegel (a turn rendered slightly less remarkable by Hegel’s influence upon Peirce and especially upon Dewey). Some Wittgensteinians count as post-Analytic too, as might the later Wittgenstein himself. Stanley Cavell stands out here, though in one way or another Wittgenstein strongly influenced most of philosophers mentioned in this paragraph. Another common characteristic of those deemed post-Analytic is interest in a range of ‘Continental’ thinkers. Rorty looms large here. But there is also the aforementioned interest in Hegel, and, for instance, the fact that one finds McDowell citing Gadamer.

Post-Analytic philosophy is associated with various more or less meta­philosophical views. One is the rejection or severe revision of any notion of philosophical analysis. Witness Rorty, Brandom’s self-styled ‘analytic pragmatism’, and perhaps, meta­philosophical naturalism (q.v. section 2.e). (Still: only rarely – as in Graham and Horgan 1994, who advocate what they call ‘Post-Analytic Metaphilosophy’ – do naturalists call themselves ‘post-Analytic’.) Some post-Analytic philosophers go further, in that they tend, often under the influence of Wittgenstein, to attempt less to solve and more to dissolve or even discard philosophical problems. Each of Putnam, McDowell and Rorty has his own version of this approach, and each singles out for dissolution the problem of how mind or language relates to the world. A third characteristic feature of post-Analytic philosophy is the rejection of a certain kind of narrow professionalism. That sort of professionalism is preoccupied with specialized problems and tends to be indifferent to broader social and cultural questions. One finds a break from such narrow professionalism in Cavell, in Rorty, in Bernard Williams, and to an extent in Putnam (although also in such “public” Analytic philosophers as A. C. Grayling).

Moreover, innovative or heterodox style is something of a criterion of post-Analytic philosophy. One thinks here especially of Cavell. But one might mention McDowell too. Now, one critic of McDowell faults him for putting ‘barriers of jargon, convolution, and metaphor before the reader hardly less formidable than those characteristically erected by his German luminaries’ (Wright 2002: 157). The criticism betokens the way in post-Analytic philosophers are often regarded, namely as apostates. Post-Analytic philosophers tend to defend themselves by arguing either that Analytic philosophy needs to reconnect itself with the rest of culture, and/or that Analytic philosophy has itself shown the untenability of some of its most central assumptions and even perhaps ‘come to the end of its own project—the dead end’ (Putnam 1985: 28).

4. Continental Metaphilosophy

a. Phenomenology and Related Currents

i. Husserl’s Phenomenology

Phenomenology, as pursued by Edmund Husserl describes phenomena. Phenomena are things in the manner in which they appear. That definition becomes more appreciable through the technique through which Husserl means to gain access to phenomena. Husserl calls that technique the epoche (a term that owes to Ancient Greek skepticism). He designates the perspective that it achieves – the perspective that presents one with ‘phenomena’ – ‘the phenomenological reduction’. The epoche consists in suspending ‘the natural attitude’ (another term of Husserl’s coinage). The natural attitude comprises assumptions about the causes, the composition, and indeed the very existence of that which one experiences. The epoche, Husserl says, temporarily ‘brackets’ these assumptions, or puts them ‘out of play’ – allowing one to describe the world solely in the manner in which it appears. That description is phenomenology.

Phenomenology means to have epistemological and ontological import. Husserl presents the epistemological import – to begin with that – in a provocative way: ‘If “positivism” is tantamount to an absolutely unprejudiced grounding of all sciences on the “positive,” that is to say, on what can be seized upon originaliter, then we are the genuine positivists’ (Husserl 1931:  20). The idea that Husserl shares with the positivists is that experience is the sole source of knowledge. Hence Husserl’s ‘principle of all principles’: ‘whatever presents itself in “intuition” in primordial form […] is simply to be accepted as it gives itself out to be, but obviously only within the limits in which it thus presents itself’ (Husserl 1931: section 24). However, and like various other philosophers (including William James and the German Idealists), Husserl thinks that experience extends beyond what empiricism makes of it. For one thing – and this reveals phenomenology’s intended ontological import – experience can be of essences. A technique of ‘imaginative variation’ similar to Descartes’ procedure with the wax (see Descartes, section 4) allows one to distinguish that which is essential to a phenomenon and, thereby, to make discoveries about the nature of such phenomena as numbers and material things. Now, one might think that this attempt to derive essences from phenomena (from things in the manner in which they appear) must be idealist. Indeed – and despite the fact that he used the phrase ‘to the things themselves!’ as his slogan – Husserl did avow a ‘transcendental idealism’, whereby ‘transcendental subjectivity […] constitutes sense and being’ (Husserl 1999b: section 41). However, the exact content of that idealism – i.e. the exact meaning of the phrase just quoted – is a matter of some interpretative difficulty. It is evident enough, though, that Husserl’s idealism involves (at least) the following ideas. Experience necessarily involves various ‘subjective achievements’. Those achievements comprise various operations that Husserl calls ‘syntheses’ and which one might (although here one encounters difficulties) call ‘mental’. Moreover, the achievements are attributable to a subjectivity that deserves the name ‘transcendental’ in that (1) the achievements are necessary conditions for our experience, (2) the subjectivity at issue is transcendent in this sense: it exists outside the natural world (and, hence, cannot entirely be identified with what we normally construe as the mind). (On the notion of the transcendental, see further Kant’s transcendental idealism and transcendental arguments.)

Husserl argued that the denial of transcendental subjectivity ‘decapitates philosophy’ (Husserl 1970: 9). He calls such philosophy ‘objectivism’ and asserts that it confines itself to the ‘universe of mere facts’ and allies itself with the sciences. (Thus Husserl employs ‘positivism’ and ‘naturalism’ as terms with similar import to ‘objectivism’.) But objectivism cannot even understand science itself, according to Husserl; for science, he maintains, presupposes the achievements of transcendental subjectivity. Further, objectivism can make little sense of the human mind, of humanity’s place within nature, and of values. These latter failings contribute to a perceived meaninglessness to life and a ‘fall into hostility toward the spirit and into barbarity’ (Husserl 1970: 9). Consequently, and because serious investigation of science, mind, our place in nature, and of values belongs to Europe’s very raison d’être, objectivism helps to cause nothing less than a ‘crisis of European humanity’ (Husserl 1970: 299). There is even some suggestion (in the same text) that objectivism prevents us from experiencing people as people: as more than mere things.

The foregoing shows that phenomenology has a normative aspect. Husserl did make a start upon a systematic moral philosophy. But phenomenology is intrinsically ethical (D. Smith 2003: 4–6), in that the phenomenologist eschews prejudice and seeks to divine matters for him- or herself.

ii. Existential Phenomenology, Hermeneutics, Existentialism

Husserl hoped to found a unified and collaborative movement. His hope was partially fulfilled. Heidegger, Sartre and Merleau-Ponty count as heirs to Husserl because (or mainly because) they believed in the philosophical primacy of description of experience. Moreover, many of the themes of post-Husserlian phenomenology are present already, one way or other, in Husserl. But there are considerable, and indeed meta­philosophical, differences between Husserl and his successors. The meta­philosophical differences can be unfolded from this: Heidegger, Sartre and Merleau-Ponty adhere to an ‘existential’ phenomenology. ‘Existential phenomenology’ has two senses. Each construal matters meta­philosophically.

In one sense, ‘existential phenomenology’ denotes phenomenology that departs from Husserl’s self-proclaimed ‘pure’ or ‘transcendental’ phenomenology. At issue here is this view of Husserl’s: it is logically possible that a consciousness could survive the annihilation of everything else (Husserl 1999b: section 13). Existential phenomenologists deny the view. For they accept a kind of externalism whereby experience, or the self, is what it is – and not just causally – by dint of the world that is experienced. (On externalism, see Philosophy of Language, section 4a and Mental Causation, section 3.b.ii.) Various slogans and terms within the work existential phenomenologists express these views. Heidegger’s Being and Time presents the human mode of being as ‘being-in-the-world’ and speaks not of ‘the subject’ or ‘consciousness’ but of ‘Da-sein’ (‘existence’ or, more literally, ‘being-there’). Merleau-Ponty asserts that we are ‘through and through compounded of relationships with the world’, ‘destined to the world’ (2002: xi–xv). In Being and Nothingness, Sartre uses such formulations as ‘consciousness (of) a table’ (sic) in order to signal his rejection of ‘the “reificatory” idea of consciousness as some thing or container distinct from the world in the midst of which we are conscious’ (as Cooper puts – Cooper 1999: 201).

Existential phenomenology, so construed, has meta­philosophical import because it has methodological implications. Being and Nothingness holds that the inseparability of consciousness from the objects of consciousness ruins Husserl’s method of epoche (Sartre 1989: part one, chapter one; Cerbone 2006: 1989). Merleau-Ponty may not go as far. His Phenomenology of Perception has it that, because we are ‘destined to the world’, ‘The most important lesson of the reduction is the impossibility of a complete reduction’ (2002: xv). But the interpretation of this remark is debated (see J Smith 2005). At any rate, Merleau-Ponty found a greater philosophical use for the empirical sciences than did Husserl. Heidegger was more inclined to keep the sciences in their place. But he too – partly because of his existential (externalist) conception of phenomenology – differed from Husserl on the epoche. Again, however, Heidegger’s precise position is hard to discern. (Caputo 1977 describes the interpretative problem and tries to solve it.) Still, Heidegger’s principal innovation in philosophical method has little to do with the epoche. This article considers that innovation before turning to the other sense of existential phenomenology.

Heidegger’s revisions of phenomenological method place him within the hermeneutic tradition. Hermeneutics is the art or practice of interpretation. The hermeneutic tradition (sometimes just called ‘hermeneutics’) is a tradition that gives great philosophical weight to an interpretative mode of understanding. Members of this tradition include Friedrich Schleiermacher (1768–1834), Wilhelm Dilthey (1833–1911) and, after Heidegger, Hans-Georg Gadamer (1900–2002) and Paul Ricœur. Heidegger is hermeneutical in that he holds the following. All understanding is interpretative in that it always has preconceptions. One has genuine understanding insofar as one has worked through the relevant preconceptions. One starts ‘with a preliminary, general view of something; this general view can guide us to insights, which then lead – should lead – to a revised general view, and so on’ (Polt 1999: 98). This ‘hermeneutic circle’ has a special import for phenomenology. For (according to Heidegger) our initial understanding of our relations to the world involves some particularly misleading and stubborn preconceptions, some of which derive from philosophical tradition. Heidegger concludes that what is necessary is ‘a destruction—a critical process in which the traditional concepts, which at first must necessarily be employed, are deconstructed down to the [experiential, phenomenological] sources from which they were drawn’ (Heidegger 1988: 22f.). But Heidegger’s position may be insufficiently, or inconsistently, hermeneutical. The thought is that Heidegger’s own views entail a thesis that, subsequently, Gadamer propounded explicitly. Namely: ‘The very idea of a definitive interpretation [of anything] seems to be intrinsically contradictory’ (Gadamer 1981: 105). This thesis, which Gadamer reaches by conceiving understanding as inherently historical and linguistic, bodes badly for Heidegger’s aspiration to provide definitive ontological answers (an aspiration that he possessed at least as much as Husserl did). Yet arguably (compare Mulhall 1996: 192–5) that very result gels with another of Heidegger’s goals, namely, to help his readers to achieve authenticity (on which more momentarily).

The second meaning or construal of ‘existential phenomenology’ is existentialism. Gabriel Marcel invented that latter term for ideas held by Sartre and by Simone de Beauvoir. Subsequently, Heidegger, Merleau-Ponty, Camus, Karl Jaspers, Kafka, and others, got placed under the label. A term used so broadly is hard to define precisely. But the following five theses each have a good claim to be called ‘existentialist’. Indeed: each of the major existential phenomenologists held some version of at least most of the theses (although, while Sartre came to accept the label ‘existentialist’, Heidegger did not).

  1. One’s life determines ever anew the person that one is.
  2. One is free to determine one’s life and, hence, one’s identity.
  3. There is no objective moral order that can determine one’s values. One encounters values within the world (indeed, one encounters them bound up with facts); but nothing rationally compels decision between values.
  4. 1–3 perturb. Hence a tendency towards the inauthenticity (Heidegger’s term) or bad faith (Sartre’s term) which consists in the denial or refusal of those points – often by letting society determine one’s values and/or identity.
  5. The relation to one’s death – as well as to certain types of anxiety and absurdity or groundlessness – is important for disclosing possibilities of authentic existence.

These theses indicate that for the existentialist philosophy must be practical. It is not, though, that existentialism puts ethics at the heart of philosophy. That is because a further central existentialist idea is that no-one, even in principle, can legislate values for another. True, Sartre declared freedom to be ‘the foundation of all values’ (Sartre 2007: 61); and he wrote Notebooks for an Ethics. According to the ethic in question, to will one’s own freedom is to will the freedom of others. But in no further way does that ethic make much claim to objectivity. Instead, much of it turns upon the ‘good faith’ that consists in not denying the fact of one’s freedom.

What of politics? Little in Husserl fits a conventional understanding of political philosophy. Sartre came to hold that his existential ethics made sense only for a society that had been emancipated by Marxism (Sartre 1963: xxv-xxvi). Merleau-Ponty developed a phenomenologically informed political philosophy – and disagreed with Sartre on concrete political questions and on the manner in which the philosopher should be ‘engaged’ (Diprose and Reynolds: ch. 8; Carmen and Hansen 2005: ch. 12). Sartre and Merleau-Ponty give one to think, also, about the idea of artistic presentations of philosophy (Diprose and Reynolds: ch.s 9 and 18). What of Heidegger? He was, of course, a Nazi, although for how long – how long after he led the ‘Nazification’ of Freiburg University – is debated, as is the relation between his Nazism and his philosophy (Wolin 1993; Young 1997; see also section 4.c below). Now the ‘Heidegger case’ raises, or makes more urgent, some general meta­philosophical issues. Should philosophers get involved in politics? And was Gilbert Ryle right to say – as allegedly, apropos Heidegger, he did say (Cohen 2002: 337 n. 21), – that ‘a shit from the heels up can’t do good philosophy’?

The foregoing material indicates a sense in which phenomenology is its own best critic. Indeed, some reactions against phenomenology and existentialism as such – against the whole or broad conception of philosophy embodied they represent – owe to apostates or to heterodox philosophers within those camps. We saw that, in effect, Sartre came to think that existentialism was insufficient for politics. In fact, he came to hold this: ‘Every philosophy is practical, even the one which at first sight appears to be the most contemplative [. . . Every philosophy is] a social and political weapon’ (Sartre 1960: 5). Levinas accused phenomenologists prior to himself of ignoring an absolutely fundamental ethical dimension to experience (see Davis 1996). Derrida resembles Sartre and Levinas, in that, like them, he developed his own metaphilosophy (treated below) largely via internal criticism of phenomenology. Another objection to phenomenology is that it collapses philosophy into psychology or anthropology. (Husserl himself criticized Heidegger in that way.) Rather differently, some philosophers hold that, despite its attitude to naturalism, phenomenology needs to be naturalized (Petitot et al 1999). As to existentialism, it has been criticized for ruining ethics and for propounding an outlook that is not only an intellectual mistake but also – and Heidegger is taken as the prime exhibit – politically dangerous (see Adorno 1986 and ch. 8 of Wolin).

b. Critical Theory

‘Critical Theory’ names the so-called Frankfurt School – the tradition associated with the Institute of Social Research (Institutfürsozialforschung) which was founded in Frankfurt in 1924. (See Literary Theory section 1 for a wider or less historical notion of Critical Theory.) According to Critical Theory, the point of philosophy is that it can contribute to a critical and emancipatory social theory. The specification of that idea depends upon which Critical Theory is at issue; Critical Theory is an extended and somewhat diverse tradition. Its first generation included Theodor Adorno, Max Horkheimer and Herbert Marcuse. Most of the members of this generation had Jewish backgrounds. For that reason, and because the Institute was Marxist, the first generation fled the Nazis. The Institute re-opened in Frankfurt in 1950. Within the second generation, the most prominent figures are Jürgen Habermas and Albrecht Wellmer. Within the third, Axel Honneth is the best known. There is a fourth generation too. Moreover, there were stages or phases within the first generation. Following Dubiel (1985), we may distinguish, within that generation: (i) an intitial stage (1924 to around 1930) in which the school was more traditionally Marxist than it was subsequently; (ii) a ‘materialist’ stage (1930–1937); (iii) a stage (1937–1940) that began with the adoption of the label ‘Critical Theory’; and (iv) the ‘critique of instrumental reason’ (1940–1945). The treatment of first generation Critical Theory that follows confines itself to iii and iv.

i. Critical Theory and the Critique of Instrumental Reason

It was Horkheimer who introduced the term ‘the critical theory of society’ (‘Critical Theory’ for short) in 1937. He was director of the Institute at the time. He introduced the phrase partly from prudence. By 1937 the Frankfurt School was in the United States, where it was unwise to use the word ‘Marxist’ or even ‘materialist’. But prudence was not the only motive for the new name. Horkheimer meant to clarify and shape the enterprise he was leading. That enerprise, he proposed (see Horkheimer 1937), was the construction of a social theory that was, for one thing, broad. It treats society as a whole or in all its aspects. That breadth, together with the idea that society is more independent of the economy than traditional Marxism recognizes, means that Critical Theory ought to be interdisciplinary. (The expertise of the first-generation encompassed economics, sociology, law, politics, psychology, aesthetics and philosophy.) Next, Critical Theory is emancipatory. It aims at a society that is rational and free and which meets the needs of all. It is to that end that Critical Theory is critical. It means to reveal how contemporary capitalist society, in its economy and its culture and in their interplay, deceives and dominates.

Critical Theory so defined involves philosophy in several ways. (1) From its inception, it adapted philosophical ideas, especially from German Idealism, in order to analyze society. Nonetheless, and following Lukács, (2) Critical Theory thought that some parts of some philosophies could be understood as unknowing reflections of social conditions. (3) Philosophy has a role to play, not as the normative underpinning of the theory, but in justification for the lack of such underpinning. To begin to explain that third point: Horkheimer and company little specified the rational society they sought and little defended the norms by which they indicted contemporary society. With Marx, they held that one should not legislate for what should be the free creation of the future. With Hegel, they held that, anyway, knowledge is conditioned by its time and place. They held also, and again in Hegelian fashion, that there are norms that exist (largely unactualized) within capitalism – norms of justice and freedom and so forth – which suffice to indict capitalism. (4) Critical Theory conceives itself as philosophy’s inheritor. Philosophy, especially post-Kantian German Idealism, had tried to overcome various types of alienation. But only the achievement of a truly free society could actually do that, according to Critical Theory. Note lastly here that, at least after 1936, Critical Theory denied both that ostensibly Marxist regimes were such and that emancipation was anywhere nearly at hand. Consequently, this stage of Critical Theory tended to aim less at revolution and more at propagating awareness of the faults of capitalism and (to a lesser extent) of ‘actually existing socialism’.

There is a sense in which philosophy looms larger (or even larger) in the next phase of the first generation of Critical Theory. For, this phase of the movement (the ‘critique of instrumental reason’ phase) propounded that which we might call (with a nod to Lyotard) a (very!) grand narrative. Adorno and Horkheimer are the principle figures of this phase, and their co-authored Dialectic of Enlightenment its main text. That text connects enlightenment to that which Max Weber had called ‘the disenchantment of the world’. To disenchant the world is to render it calculable. The Dialectic traces disenchantment from the historical Enlightenment back to the proto-rationality of myth and forward to modern industrial capitalism (to its economy, psychology, society, politics, and even to its philosophies). Weber thought that disenchantment had yielded a world wherein individuals were trapped within an ‘iron cage’ (his term) of economy and bureaucracy. Here is the parallel idea in the Dialectic. Enlightenment has reverted to myth, in that the calculated world of contemporary capitalism is ruled, as the mythic world was ruled, by impersonal and brutish forces. Adorno and Horkheimer elaborate via the idea of instrumental reason (although, actually, the preferred term in Dialectic of Enlightenment – and in Horkheimer’s Eclipse of Reason, something of a popularization of the Dialectic – is ‘subjective reason’). Disenchantment produces a merely instrumental reason in that it pushes choice among ends outside of the purview of rationality. That said, the result – Horkheimer and Adorno argue – is a kind of instrumentalization of ends. Ends get replaced, as a kind of default, by things previously regarded merely instrumentally. Thus, at least or especially by the time of contemporary capitalism, life comes to be governed by such means-become-ends as profit, technical expertise, systematization, distraction, and self-preservation.

Do these ideas really amount to Critical Theory? Perhaps they are too abstract to count as interdisciplinary. Worse: they might seem to exclude any orientation towards emancipation. True, commentators show that Adorno offered more practical guidance than was previously thought; also, first-generation Critical Theory, including the critique of instrumental reason, did inspire the 1960s student movement. However: while Marcuse responded to that movement with some enthusiasm, Adorno and Horkheimer did not. Perhaps they could not. For though they fix their hopes upon reason (upon ‘enlightenment thinking’), they indict that very same thing. They write (2002: xvi):

We have no doubt—and herein lies our petitio principii—that freedom in society is inseparable from enlightenment thinking. We believe we have perceived with equal clarity, however, that the very concept of that thinking, no less than the concrete historical forms, the institutions of society with which it is intertwined, already contains the germ of the regression.

ii. Habermas

Habermas is a principal source of the criticisms of Adorno and Horkheimer just presented. (He expresses the last of those criticisms by speaking of a ‘performative contradiction’.) Nonetheless, or exactly because he thinks that his predecessors have failed to make good upon the conception, Habermas pursues Critical Theory as Horkheimer defined it, which is to say, as broad, interdisciplinary, critical, and emancipatory social theory.

Habermas’ Critical Theory comprises, at least centrally, his ‘critique of functionalist reason’, which is a reworking of his predecessors’ critique of instrumental reason. The central thesis of the critique of functionalist reason is that the system has colonized the lifeworld. In order to understand the thesis, one needs to understand not only the notions of system, lifeworld, and colonization but also the notion of communicative action and – this being the most philosophical notion of the ensemble – the notion of communicative rationality.

Communicative action is action that issues from communicative rationality. Communicative rationality consists, roughly, in ‘free and open discussion [of some issue] by all relevant persons, with a final decision being dependent upon the strength of better argument, and never upon any form of coercion’ (Edgar 2006: 23). The lifeworld comprises those areas of life that exhibit communicative action (or, we shall see, which could and perhaps should exhibit it). The areas at issue include the family, education, and the public sphere. A system is a social domain wherein action is determined by more or less autonomous or instrumental procedures rather than by communicative rationality. Habermas counts markets and bureaucracies as among the most significant systems. So the thesis that the lifeworld has been colonized by the system is the following claim. The extension of bureaucracy and markets into areas such as the family, education, and the public sphere prevent those spheres from being governed by free and open discussion.

Habermas uses his colonization thesis to explain alienation, social instability, and the impoverishment of democracy. He maintains, further, that even systems cannot function if colonization proceeds beyond a certain point. The thinking runs thus. Part of the way in which systems undermine communicative action is by depleting resources (social, cultural and psychological) necessary for such action. But systems themselves depend upon those resources. (Note that, sometimes, Habermas uses the term ‘lifeworld’ to refer to those resources themselves rather than to a domain that does or could exhibit communicative action.) Still: Habermas makes it relatively clear that the colonization thesis is meant not only as descriptive but also as normative. For consider the following. (1) A ‘critique’ – as in ‘critique of functional reason’ – is, at least in its modern usage, an indictment. (2) Habermas presents the creation of a ‘communicative’ lifeworld as essential to the completion – a completion that he deems desirable – of what he calls ‘the unfinished project of modernity’. (3) Habermas tells us (in his Theory of Communicative Action, which is the central text for the colonization thesis) that he means to provide the normative basis for a critical theory of society.

How far does Habermas warrant the normativity, which is to say, show that colonization is bad? It is hard to be in favour of self-undermining societies. But (some degree of?) alienation might be thought a price worth paying for certain achievements; and not everyone advocates democracy (or at least the same degree or type of it). But Habermas does have the following argument for the badness of colonization. There is ‘a normative content’ within language itself, in that ‘[r]eaching understanding is the inherent telos of human speech’; and/but a colonized lifeworld, which by definition is not a domain of communicative action, thwarts that telos. (Habermas 1992a: 109 and Habermas 1984: 287 respectively.)

The idea that language has a communicative telos is the crux of Habermas’ thought. For it is central both to his philosophy of language (or to his so-called universal pragmatics) and to his ethics. To put the second of those points more accurately: the idea of a communicative telos is central to his respective conceptions of both ethics and morality. Habermas understands morality to be a matter of norms that are mainly norms of justice and which are in all cases universally-binding. Ethics, by contrast, is a matter of values, where those values: express what is good for some individual or some group; have no authority beyond the individual or group concerned; and are trumped by morality when they conflict with it. Habermas has a principle, derived from the linguistic, communicative telos mentioned above, which he applies to both normal norms and ethical values. To wit: a norm or value is acceptable only if all those affected by it could accept it in reasonable – rational and uncoerced – discourse. This principle makes morality and ethics matters not for the philosopher but ‘for the discourse between citizens’ (Habermas 1992a: 158). (For more on Habermas’ moral philosophy – his ‘discourse ethics’, as it is known – and on his political philosophy, and also on the ways in which the various aspects of his thought fit together, see Finlayson 2005. Note, too, that in the twenty-first century Habermas has turned his attention to (1) that which religion can contribute to the public discourse of secular states and (2) bioethics.)

Habermas’ denial that philosophers have special normative privileges is part of his general (meta)­philosophical orientation. He calls that orientation ‘postmetaphysical thinking’. In rejecting metaphysics, Habermas means to reject not only a normative privilege for philosophy but also the idea that philosophy can ‘make claims about the world as a whole’ (Dews 1995: 209). Habermas connects postmetaphysical thinking to something else too. He connects it to his rejection of that which he calls ‘the philosophy of consciousness’. Habermas detects the philosophy of consciousness in Descartes, in German Idealism, and in much other philosophy besides. Seemingly a philosophy counts as a philosophy of consciousness, for Habermas, just in case it holds this: the human subject apprehends the world in an essentially individual and non-linguistic way. To take Habermas’ so-called ‘communicative turn’ is to reject that view; it is to hold, instead, that human apprehension is at root both linguistic and intersubjective. Habermas believes that Wittgenstein, Mead, and others prefigured and even somewhat accomplished this ‘paradigm shift’ (Habermas 1992a: 173, 194).

Habermasian postmetaphysical thinking has been charged both with retaining objectionable metaphysical elements and with abandoning too many of philosophy’s aspirations. (The second criticism is most associated with Karl-Otto Apel, who nonetheless has co-operated with Habermas in developing discourse ethics. On the first criticism, see for instance Geuss 1981: 94f.) Habermas has been charged, also, with making Critical Theory uncritical. The idea here is this. In allowing that it is alright for some markets and bureaucracies to be systems, Habermas allows too much. (A related but less meta­philosophical issue, touched on above, is whether Habermas has an adequate normative basis for its social criticisms. This issue is an instance of the so-called normativity problem in Critical Theory, on which see Freyenhagen 2008; Finlayson 2009.)

Here are two further meta­philosophical issues. (1) Is it really tenable or desirable for philosophy to be as intertwined with social science as Critical Theory wishes it to be? (For an affirmative answer, see Geuss 2008.) (2) Intelligibility seems particularly important for any thinker who means ‘to reduce the tension between his own insight and the oppressed humanity in whose service he thinks’ (Horkheimer 1937: 221); but Critical Theory has been criticized as culpably obscure and even as mystificatory (see especially the pieces by Popper and Albert in Adorno et al 1976). Adorno has been the principal target for such criticisms (and Adorno did defend his style; see Joll 2009). Yet Habermas, too, is very hard to interpret. That is partly because this philosopher of communication exhibits an ‘unbelievable compulsion to synthesize’ (Knödler-Bunte in Habermas 1992a: 124), which is to say, to combine seemingly disparate – and arguably incompatible – ideas.

c. The Later Heidegger

‘The later Heidegger’ is the Heidegger of, roughly, the 1940s onwards. (Some differences between ‘the two Heideggers’ will emerge below. But hereafter normally ‘Heidegger’ will mean ‘the later Heidegger’.) Heidegger’s difficult, radical, and influential metaphilosophy holds that: philosophy is metaphysics; metaphysics involves a fundamental mistake; metaphysics is complicit in modernity’s ills; metaphysics is entering into its end; and ‘thinking’ should replace metaphysics/philosophy.

Heidegger’s criterion of metaphysics – to start with that – is the identification of being with beings. To explain: metaphysics seeks something designatable as ‘being’ in that metaphysics seeks a principle or ground of beings; and metaphysics identifies being with beings in that it identifies this principle or ground (i.e. being) with something that it itself a being – or at least a cause or property of some being or beings. Heidegger’s favored examples of such construals of being include: the Idea in Plato; Aristotelian or Cartesian or Lockean ‘substance’; various construals of God; the Leibnizian ‘monad’; Husserlian subjectivity; and the Nietzschean ‘will to power’. Philosophy is co-extensive with metaphysics in that all philosophy since Plato involves such a project of grounding.

Now Heidegger himself holds that beings (das Seiende) have a dependence upon being (das Sein). Yet, being is ‘not God and not a cosmic ground’ (Heidegger 1994: 234). Indeed, being is identical to no being or being(s) or property or cause of any being(s) whatsoever. This distinction is ‘the ontological difference—the differentiation between being and beings’ (Heidegger 1982: 17; this statement is from Heidegger’s earlier work, but this idea, if not quite the term, persists). We may put the contention thus: pace metaphysics/philosophy, being is not ontic. But what, then, is being?

It may be that Heidegger employs ‘das Sein’ in two senses (Young 2002: ch. 1, Philipse 1998: section 13b; compare for instance Caputo 1993: 30). We might (as do Young and Philipse) use ‘being’, uncapitalized, to refer to the first of these sense and ‘Being’ (capitalized) to refer to the other. (Where both senses are in play, as sometimes they seem to be in Heidegger’s writing, this article resorts sometimes to the German das Sein. Note, however, that this distinction between two senses of Heideggerian Sein is interpretatively controversial.) In the first and as it were lowercase sense, being is what Heidegger calls sometimes a ‘way of revealing’.  That is, it is something – something ostensibly non-ontic – by dint of which beings are ‘revealed’ or ‘unconcealed’ or ‘come to presence’, and indeed do so in the particular way or ways in which they do. In the second and ‘uppercase’ sense,  Being is that which is responsible for unconcealment, i.e. is responsible for das Sein in the first, lowercase sense. A little more specifically, Being (in this second, uppercase sense) ‘sends’ or ‘destines’ being; accordingly, it is that from which beings are revealed, the ‘reservoir of the non-yet-uncovered, the un-uncovered’ (Heidegger 1971: 60). With this second notion of das Sein, Heidegger means to stress the following point (a point that perhaps reverses a tendency in the early Heidegger): humanity does not determine, at least not wholly, how beings are ‘unconcealed’.

One wants specification of all this. We shall see that Heidegger provides some. Nevertheless, it may be a mistake to seek an exact specification of the ideas at issue. For Heidegger may not really mean das Sein (in either sense) to explain anything. He may mean instead to stress the mysteriousness of the fact that beings are accessible to us in the form that they are and, indeed, at all.

One way in which Heidegger fills out the foregoing ideas is by posit ing ‘epochs’ of being, which is to say, a historical series of ontological regimes (and here lies another difference between the earlier and the later Heidegger). The series runs thus: (1) the ancient Greek understanding of being, with which Heidegger associates the word ‘physis’; (2) the Medieval Christian understanding of being, whereby beings (except God and artifacts) are divinely created things; (3) the modern understanding of being as resource (on which more below). That said, sometimes Heidegger gives a longer list of epochs, in which list the epochs correlate with metaphysical systems. Thus the idea of a ‘history of being [Seinsgeschichte] as metaphysics’ (Heidegger 2003: 65). It is important that this history, and indeed the simpler tripartite scheme, does not mean to be a history merely of conceptions of being. It means to be also a history of being itself, i.e. of ontological regimes. Heidegger holds, then, that beings are ‘unconcealed’ in different ways in different epochs (although he holds also that each metaphysic ‘absolutizes’ its corresponding ontological regime, i.e. that each metaphysic overlooks the fact that beings are unconcealed differently in different epochs; see Young 2002: 29, 54, 68).

Heidegger allows also for some ontological heterogeneity within epochs, too. Here one encounters Heidegger’s notion of ‘the thing’ (das Ding). Trees, hills, animals, jugs, bridges, and pictures can be Things in the emphatic sense at issue, but such Things are ‘modest in number, compared with the countless objects’. A Thing has ‘a worlding being’. It opens a world by ‘gathering’ the fourfold (das Geviert). The fourfold is a unity of ‘earth and sky, divinities and mortals’. (All Heidegger 1971: 179ff.). Some of this conception is actually fairly straightforward. Heidegger tries to show how a bridge (to take one case) can be so interwoven with human life and thereby with other entities that, via the ‘world’ that comprises those interrelations (a world not identical with any particular being), the following is the case. The Thing (the bridge), persons, and numerous other phenomena all stand in relations of mutual determination, i.e. make each other what they are.

But in modernity ontological variety is diminished, according to Heidegger. In modernity Things become mere objects. Indeed subsequently objects themselves, together with human beings, become mere resources. A resource (or ‘standing-reserve’; the German is Bestand) is something that, unlike an object, is determined wholly by a network of purposes into which we place it. Heidegger’s examples include a hydroelectric powerplant on the Rhine and an airplane, together with the electricity and fuel systems to which those artifacts are connected. Heidegger associates resources with modern science and with ‘the metaphysics of subjectivity’ within which (he argues) modern science moves. That metaphysics, which tends towards seeing man as the measure of all things, is in fact metaphysics as such, according to Heidegger. For anthropocentrism is incipient in the very beginnings of philosophy, blossoms in various later philosophers including Descartes and Kant, and reaches its apogee in Nietzsche, the extremity of whose anthropocentrism is the end of metaphysics. It is the end of metaphysics (or, pleonastically: of the metaphysics of subjectivity) in that here, in Nietzsche’s extreme anthropocentrism, metaphysics reaches  its completion or full unfolding. And that end reflects the reign of resources. ‘[T]he world of completed metaphysics can be stringently called “technology”’ (Heidegger 2003: 82). However, in Heidegger’s final analysis the ubiquity of resources owes not to science or metaphysics but to a ‘mode of revealing’; it owes to an epochal ontological regime that Heidegger calls ‘Enframing’, even if he seems to think, also, that a change in human beings could mitigate Enframing and prepare for something different and better. (More on this mitigation shortly.)

What though is wrong with the real being revealed as resource? Enframing is ‘monstrous’ (Heidegger 1994: 321). It is monstrous – Heidegger contends – because it is nihilism. Nihilism is a ‘forgetfulness’ of das Sein (Seinsvergessenheit). Some such forgetfulness is nigh inevitable. We are interested in beings as they present themselves to us. So we overlook the conditions of that presentation, namely, being and Being. But Enframing represents a more thoroughgoing form of forgetfulness. The hegemony of resources makes it very hard (harder than usual – recall above) to conceive that beings could be otherwise, which is to say, to conceive that there is something called ‘Being’ that could yield different regimes of being. In fact, Enframing actively denies being/Being. That is because Enframing, or the metaphysics/science that corresponds to it, proceeds as if humanity were the measure of all things and hence as if being, or that which grants being independently of us (Being), were nothing. Such nihilism sounds bearable. But Heidegger lays much at its door: an impoverishment of culture; a deep kind of homelessness; the devaluation of the highest values (see Young 2002: ch. 2 and passim). He goes so far as to trace ‘the events of world history in this [the twentieth] century’ to Seinsvergessenheit (Heidegger in Wolin 1993: 69).

Heidegger’s response to nihilism is ‘thinking’ (Denken). The thinking at issue is a kind of thoughtful questioning. Its object – that which it thinks about – can be the pre-Socratic ideas from which philosophy developed, or philosophy’s history, or Things, or art. Whatever its object, thinking always involves recognition that it is das Sein, albeit in some interplay with humanity, which determines how beings are. Indeed, Heideggerian thinking involves wonder and gratitude in the face of das Sein. Heidegger uses Meister Eckhart’s notion of ‘releasement’ to elaborate upon such thinking. The idea (prefigured, in fact, in Heidegger’s earlier work) is of a non-impositional comportment towards beings which lets beings be what they are. That comportment ‘grant[s] us the possibility of dwelling in the world in a totally different way’. It promises ‘a new ground and a new foundation upon which we can stand and endure in the world of technology without being imperiled by it’ (Heidegger 1966: 55). Heidegger calls the dwelling at issue ‘poetic’ and one way in which he specifies it is via various poets. Moreover, some of Heidegger’s own writing is semi-poetic. A small amount of it actually consists of poems. So it is not entirely surprising to find Heidegger claiming that,  ‘All philosophical thinking’ is ‘in itself poetic’ (Heidegger 1991, vol. 2: 73; Heidegger made this claim at a time when he still considered himself a philosopher as against a non-metaphysical, and hence non-philosophical, ‘thinker’). The claim is connected to the centrality that Heidegger gives to language, a centrality that is summed up (a little gnomically) in the statement that language is ‘the house of das Sein’ (Heidegger 1994: 217).

Heideggerian ‘thinking’ has been attacked as (some mixture of) irrationalist, quietist, reactionary, and authoritarian (see for example Adorno 1973 and Habermas 1987b: ch. 6). A related objection is that, though Heidegger claimed to leave theology alone, what he produced was an incoherent reworking of religion (Haar 1993; Philipse 1998). Of the more or less secular or (in Caputo’s term) ‘demythologized’ construals of Heidegger, many are sympathetic and, among those, many fasten upon such topics as technology, nihilism, and dwelling (Borgmann 1984, Young 2002: ch.s 7–9; Feenberg 1999: ch. 8). Other secular admirers – including, notably, Rorty and Derrida – concentrate upon Heidegger’s attempt to encapsulate and interrogate the entire philosophical tradition.

d. Derrida’s Post-Structuralism

Structuralism was an international trend in linguistics, literary theory, anthropology, political theory, and other disciplines. It sought to explain phenomena (sounds, tropes, behaviors, norms, beliefs . . .) less via the phenomena themselves, or via their genesis, and more via structures that the phenomena exist within or instantiate. The post-structuralists applied this structural priority to philosophy. They are post-structuralists less because they came after structuralism and more because, in appropriating structuralism, they distanced themselves from the determinism and scientism it often involved (Dews 1987: 1–4). The post-structuralists included Deleuze, Foucault, Lyotard and Lacan (and sometimes post-structuralism is associated with ‘post-modernism’; see Malpas 2003: 7–11). Each of these thinkers (perhaps excepting Lacan) is highly meta­philosophical. But attention is restricted to the best known and most controversial of the post-structuralists, namely, Jacques Derrida.

Derrida practiced ‘deconstruction’ (Déconstruire, la Déconstruction; Derrida adapts the notion of deconstruction from Heidegger’s idea of ‘destruction’, on which latter see section 4.a.ii above). Deconstruction is a ‘textual “operation”’ (Derrida 1987: 3). The notion of text here is a broad one. It extends from written texts to conceptions, discourses, and even practices. Nevertheless, Derrida’s early work concentrates upon actual texts and, more often than not, philosophical ones. The reason Derrida puts ‘operation’ (‘textual “operation”’) within scare-quotes is that he holds that deconstruction is no method. That in turn is for two reasons (each of which should become clearer below). First, the nature of deconstruction varies with that which is deconstructed. Second, there is a sense in which texts deconstruct themselves. Nonetheless: deconstruction, as a practice, reveals such alleged self-deconstruction; and that practice does have a degree of regularity. The practice of deconstruction has several stages. (In presenting those stages, ‘text’ is taken in the narrow sense. Moreover, it is presumed that in each case a single text is, at least centrally, at issue.)

Deconstruction begins with a commentary (Derrida 1976: 158) – with a ‘faithful’ and ‘interior’ reading of a text (Derrida 1987: 6). Within or via such commentary, the focus is upon metaphysical oppositions. Derrida understands metaphysics as ‘the metaphysics of presence’ (another notion adapted from Heidegger); and an opposition belongs to metaphysics (pleonastically, the metaphysics of presence) just in case: (i) it contains a privileged term and a subordinated term; and (ii) the privileged term has to do with presence. ‘Presence’ is presence to consciousness and/or the temporal present. The oppositions at issue include not only presence–absence (construed in either of the two ways just indicated) but also, and among others (and with the term that is privileged within each opposition given first) these: ‘normal/abnormal, standard/parasitic, fulfilled/void, serious/nonserious, literal/nonliteral’ (Derrida 1988: 93).

The next step in deconstruction is to show that the text undermines its own metaphysical oppositions. That is: the privileged terms reveal themselves to be less privileged over the subordinate terms – less privileged vis-à-vis presence, less ‘simple, intact, normal, pure, standard, self-identical’ (Derrida 1988: 93) – than they give themselves out to be. Here is a common way in which Derrida tries to establish the point. He tries to show that a privileged term essentially depends upon, or shares some crucial feature(s) with, its supposed subordinate. One of Derrida’s deconstructions of Husserl can serve as an example. Husserl distinguishes mental life, which he holds to be inherently intentional (inherently characterized by aboutness) from language, which is intentional only via contingent association with such states. Thereby Husserl privileges the mental over the linguistic. However: Husserl’s view of the temporality of experience entails that the presence he makes criterial for intrinsic intentionality – a certain presence of meanings to the mind – is always partially absent. Or so Derrida argues (Derrida, section 4). A second strategy of Derrida’s ‘is to apply a distinction onto itself reflexively and thus show that it itself is imbued with the disfavored term’ (Landau, 1992/1993: 1899). ‘For example, Derrida shows that when Aristotle and other philosophers discuss the nature of metaphors (and thereby the distinction between metaphors and non-metaphors), they use metaphors in the discussions themselves’ (idem) – and so fail in their attempts to relegate or denigrate metaphor. A further strategy involves the notion of undecidability (see Derrida, section 5).

A third stage or aspect of deconstruction is, one can say, less negative or more productive (and Derrida himself calls this the productive moment of deconstruction). Consider Derrida’s deconstruction(s) of the opposition between speech and writing. Derrida argues, initially, as follows. Speech – and even thought, understood as a kind of inner speech – shares with writing features that have often been used to present writing as only a poor descendent of speech. Those features include being variously interpretable and being derivative of something else. But there is more. Derrida posits something, which he calls archi-écriture, ‘arche-writing’, which is ‘fundamental to signifying processes in general, a “writing” that is the condition of all forms of expression, whether scriptural, vocal, or otherwise’ (Johnson 1993: 66). Indeed: as well as being a condition of possibility, arche-writing is, in Derrida’s frequent and arresting phrase, a condition of its impossibility. Arche-writing establishes or reveals a limit to any kind of expression (a limit, namely, to the semantic transparency, and the self-sufficiency, of expressions). Other deconstructions proceed similarly. A hierarchical opposition is undermined; a new term is produced through a kind of generalization of the previously subordinate term; and the new term – such as ‘supplement’, ‘trace’ and the neologism différance (Derrida, section 3.c–e) – represents a condition of possibility and impossibility for the opposition in question.

What is the status of these conditions? Sometimes Derrida calls them ‘quasi-transcendental’. That encourages this idea: here we have an account not just of concepts but of things or phenomena. Yet Derrida himself does not quite say that. He denies that we can make any simple distinction between text and world, between conceptual system and phenomena. Such may be part of the thrust of the (in)famous pronouncement, ‘There is nothing outside of the text’ (il n’y a pas de hors-texte; Derrida 1976: 158). Nor does Derrida think that, by providing such notions as arche-writing, he himself wholly evades the metaphysics of presence. ‘We have no language—no syntax and no lexicon—that is foreign to this history; we can pronounce not a single deconstructive proposition which has not already had to slip into the form, the logic, and the implicit postulations of precisely what it seeks to contest’ (Derrida 1990: 280f.). Still: ‘if no one can escape this necessity, and if no one is therefore responsible for giving in to it […] this does not mean that all the ways of giving in to it are of equal pertinence. The quality and fecundity of a discourse are perhaps measured by the critical rigor with which this relation to the history of metaphysics and to inherited concepts is thought’ (Derrida 1990: 282).

Derrida retained the foregoing views, which he had developed by the end of the 1960s. But there were developments of metaphilosophical significance. (1) In the ’70s, his style became more playful, and his approach to others’ text became more literary (and those changes more or less persisted; Derrida would want to know, however, just what we understand by ‘playful’ and ‘literary’). (2) Again from the ’70s onwards, Derrida joined with others in order to: sustain and promote the teaching of philosophy in schools; to consider philosophy’s role; and to promote philosophy that transgressed disciplinary boundaries. (3) In the ’80s, Derrida tried to show that deconstruction had an ethical and political import. He turned to themes that included cosmopolitanism, decision, forgiveness, law, mourning, racism, responsibility, religion, and terrorism – and claimed, remarkably, that ‘deconstruction is justice’ (Derrida 1999: 15). To give just a hint of this last idea: ‘Justice is what the deconstruction of the law’ – an analysis of the law’s conditions of possibility and impossibility, of its presuppositions and limits – ‘means to bring about’, where ‘law’ means ‘legality, legitimacy, or legitimation (for example)’ (Caputo 1997: 131f.). (On some of these topics, see Derrida, section 7.) (4) By the ’90s, if not earlier, Derrida held that in philosophy the nature of philosophy is always and everywhere at issue (see for instance Derrida 1995: 411).

Despite his views about the difficulty of escaping metaphysics, and despite his evident belief in the critical and exploratory value of philosophy, Derrida has been attacked for undermining philosophy. Habermas provides an instance of the criticism. Habermas argued that Derrida erases the distinction between philosophy and literature. Habermas recognizes that Derrida means to be ‘simultaneously maintaining and relativizing’ the distinction between literature and philosophy (Habermas 1987b: 192). But the result, Habermas thinks, is an effacement of the differences between literature and philosophy. Habermas adds, or infers, that ‘Derrida does not belong to those philosophers who like to argue’ (Habermas 1987b: 193). Derrida objected to being called unargumentative. He objected, also, to Habermas’ procedure of using other deconstructionists – those that Habermas deemed more argumentative – as the source for Derrida’s views.

Subsequently, Habermas and Derrida underwent something of a rapprochement. Little reconciliation was achieved in the so-called ‘Derrida affair’, wherein a collection of philosophers, angry that Derrida was to receive an honorary degree from Cambridge, alleged that Derrida ‘does not meet accepted standards of clarity or rigor’ (quoted Derrida 1995: 420; a detailed attack upon Derrida’s scholarship is Evans 1991).

There might be a sense in which Derrida is too rigorous. For he holds this: ‘Every concept that lays claim to any rigor whatsoever implies the alternative of “all or nothing”’ (Derrida 1988: 116). One might reject that view. Might it be, indeed, that Derrida insists upon rigid oppositions ‘in order to legitimate the project of calling them into question’ (Gerald Graff in Derrida 1988: 115)? One might object, also, that Derrida’s interrogation of philosophy is more abstract, more intangible, than most metaphysics. Something Levinas said apropos Derrida serves as a response. ‘The history of philosophy is probably nothing but a growing awareness of the difficulty of thinking’ (Levinas 1996: 55; compare Derrida 1995: 187f.). The following anxiety might persist. Despite Derrida’s so-called ethical and political ‘turns’, and despite the work he has inspired within he humanities, deconstruction little illuminates phenomena that are not much like anything reasonably designatable as a text (Dews 1987: 35). A more general version of the anxiety is that, for all the presentations of Derrida as ‘a philosopher of difference’, deconstruction obscures differences (Kearney 1984: 114; Habermas 1992a: 159).

5. References and Further Reading

Note that, in the case of many of the items that follow, the date given for a text is not the date of its first publication.

a. Explicit Metaphilosophy and Works about Philosophical Movements or Traditions

  • Anscombe, G. E. M. (1957) ‘Does Oxford Moral Philosophy Corrupt Youth?’ in her Human life, Action, and Ethics: Essays, pp. 161–168. Exeter, UK: Imprint Academic, 2005. Edited by Mary Geach and Luke Gormally.
  • Beaney, Michael (2007) ‘The Analytic Turn in Early Twentieth-Century Philosophy’, in Beaney, Michael ed. The Analytic Turn. Essays in Early Analytic Philosophy and Phenomenology, New York and London: Routledge, 2007.
    • Good on, especially, the notions of analysis in early Analytic philosophy and on the historical precedents of those notions.
  • Beaney, Michael (2009) ‘Conceptions of Analysis in Analytic Philosophy’: Supplement to entry on ‘Analysis’, The Stanford Encyclopedia of Philosophy (Summer 2009 Edition), Edward N. Zalta (ed.).
  • Beauchamp, Tom L. (2002) ‘Changes of Climate in the Development of Practical Ethics’, Science and Engineering Ethics 8: 131–138.
  • Bernstein, Richard J. (2010) The Pragmatic Turn. Cambridge MA and Cambridge.
    • An account of the influence and importance of pragmatism.
  • Chappell, Timothy (2009) ‘Ethics Beyond Moral Theory’ Philosophical Investigations 32: 3 206–243.
  • Chase, James, and Reynolds, Jack (2010) Analytic Versus Continental: Arguments on the Methods and Value of Philosophy. Stocksfield: Acumen.
  • Clarke, Stanley G. (1987) ‘Anti-Theory in Ethics’, American Philosophical Quarterly 24: 3 237–244.
  • Deleuze, Giles, and Guattari, Félix (1994) What is Philosophy? London and New York: Verso. Trans. Graham Birchill and Hugh Tomlinson.
    • Less of an introduction to metaphilosophy than its title might suggest.
  • Galison, Peter (1990) ‘Aufbau/Bauhaus: Logical Positivism and Architectural Modernism’, Critical Inquiry, 16(4[Summer]): 709–752.
  • Glendinning, Simon (2006) The Idea of Continental Philosophy: A Philosophical Chronicle. Edinburgh: Edinburgh University Press.
  • Glock, Hans-Johann (2008) What Is Analytic Philosophy? Cambridge and New York: Cambridge University Press.
    • Comprehensive. Illuminating. Not introductory.
  • Graham, George and Horgan, Terry (1994) ‘Southern Fundamentalism and the End of Philosophy’, Philosophical Issues 5: 219–247.
  • Lazerowitz, Morris (1970) ‘A Note on “Metaphilosophy”, Metaphilosophy, 1(1): 91–91 (sic).
    • An influential (but very short) definition of metaphilosophy.
  • Levin, Janet (2009) ‘Experimental Philosophy’, Analysis, 69(4) 2009: 761–769.
  • Levy, Neil (2009) ‘Empirically Informed Moral Theory: A Sketch of the Landscape’, Ethical Theory and Moral Practice 12:3–8.
  • McNaughton, David (2009) ‘Why Is So Much Philosophy So Tedious?’, Florida Philosophical Review IX(2): 1-13.
  • Joll, Nicholas (2009) ‘How Should Philosophy Be Clear? Loaded Clarity, Default Clarity, and Adorno’, Telos 146 (Spring): 73–95.
  • Joll, Nicholas (Forthcoming) Review of Jürgen Habermas et al, An Awareness of What Is Missing (Polity, 2010), Philosophy.
    • Tries to clarify and evaluate some of Habermas’ thinking on religion.
  • Papineau, David (2009) ‘The Poverty of Analysis’, Proceedings of the Aristotelian Society Supplementary Volume lxxxiii: 1–30.
  • Preston, Aaron (2007) Analytic Philosophy: The History of an Illusion. London and New York: Continuum.
    • Argues, controversially, that Analytic philosophy has never had any substantial philosophical or meta­philosophical unity.
  • Prinz, Jesse J. (2008) ‘Empirical Philosophy and Experimental Philosophy’ in J. Knobe and S. Nichols (eds.) Experimental Philosophy. Oxford: Oxford University Press, 2008.
  • Urmson, J. D. (1956) Philosophical Analysis: Its Development Between the Two World Wars. London: Oxford University Press.
  • Rescher, Nicholas (2006) Philosophical Dialectics. An Essay on Metaphilosophy. Albany: State University of New York Press.
    • Centres upon the notion of philosophical progress. Contains numerous, occasionally gross typographical errors.
  • Rorty, Richard ed. (1992) The Linguistic Turn: Essays in Philosophical Method, Chicago and London: University of Chicago Press. Second edition.
    • A useful study of 1930s to 1960s Analytic metaphilosophy.
  • Rorty, Richard, Schneewind, Jerome B., and Skinner, Quentin eds. (1984) Philosophy in History: Essays in the Historiography of Philosophy. Cambridge: Cambridge University Press.
  • Sorell, Tom, and Rogers, C. A. J. eds. (2005) Analytic Philosophy and History of Philosophy. Oxford and New York: Oxford.
  • Stewart, Jon (1995) ‘Schopenhauer’s Charge and Modern Academic Philosophy: Some Problems Facing Philosophical Pedagogy’, Metaphilosophy 26(3): 270–278.
  • Taylor, Charles (1984) ‘Philosophy and Its History’, in Rorty, Schneewind, and Skinner 1984.
  • Williams, Bernard (2003) ‘Contemporary Philosophy: A Second Look’ in The Blackwell Companion to Philosophy, ed. Nicholas Bunnin and E. P. Tsui-James, pp. 25–37. Oxford: Blackwell. Second edition.
  • Williamson, Timothy (2007) The Philosophy of Philosophy, Malden MA and Oxford: Blackwell.
    • A dense, rather technical work aiming to remedy what it sees as a meta­philosophical lack in Analytic philosophy. Treats, among other things, these notions: conceptual truth; intuitions; thought experiments.

b. Analytic Philosophy including Wittgenstein, Post-Analytic Philosophy, and Logical Pragmatism

  • Austin, J. L., Philosophical Papers (1979). Third edition. Oxford and New York: Oxford University Press.
  • Burtt, E. A. (1963) ‘Descriptive Metaphysics’, Mind 72(285):18–39.
  • Campbell, Richmond and Hunter, Bruce (2000) ‘Introduction’, in R. Campbell and B. Hunter eds. Moral Epistemology Naturalized, Supple. Vol., Canadian Journal of Philosophy: 1–28.
    • Campbell has a published a similar piece, under the title ‘Moral Epistemology’, in the online resource the Stanford Encyclopedia of Philosophy.
  • Carnap (1931) ‘The Elimination of Metaphysics Through Logical Analysis of Language’ in Ayer, A. J. (1959) ed. Logical Positivism. Glencoe IL: The Free Press.
  • Cavell, Stanley (1979) The Claim of Reason. Wittgenstein, Skepticism, Morality, and Tragedy. Oxford: Oxford University Press.
  • Cohen, G. A. (2002) ‘Deeper into Bullshit’, in Buss, Sarah and Overton, Lee eds. Contours of Agency: Themes from the Philosophy of Harry Frankfurt, Cambridge, MA: MIT Press.
    • Adapts Harry Frankfurt’s construal of bullshit in order to diagnose and indict much ‘bullshit in certain areas of philosophical and semi-philosophical culture’ (p. 335). Reprinted in Hardcastle, Gary L. and Reich, George A. eds. Bullshit and Philosophy, Chicago and La Salle, IL: Open Court, 2006.
  • Copi, Irving M. (1949) ‘Language Analysis and Metaphysical Inquiry’ in Rorty 1992.
  • Freeman, Samuel (2007) Rawls. Oxford and New York: Routledge.
  • Gellner, Ernest (2005) Words and Things. An Examination of, and an Attack on, Linguistic Philosophy. Second edition. Abingdon and New York: Routledge.
  • Glock, Hans-Johann (2003a) Quine and Davidson on Language, Thought and Reality. Cambridge and New York: Cambridge University Press.
  • Glock, Hans-Johann ed. (2003b) Strawson and Kant. Oxford and New York: Oxford University Press.
  • Haack, Susan (1979) ‘Descriptive and Revisionary Metaphysics’, Philosophical Studies 35: 361–371.
  • Hacker, P. M. S. (2003) ‘On Strawson’s Rehabilitation of Metaphysics’ in Glock ed. 2003b.
  • Hacker, P. M. S. (2007) Human Nature: the Categorial Framework. Oxford: Blackwell.
  • Hutchinson, Brian (2001) G. E. Moore’s Ethical Theory: Resistance and Reconciliation. Cambridge: Cambridge University Press.
  • Kripke, Saul A (1980) Naming and Necessity. Oxford: Blackwell. Revised and Enlarged edition.
  • Lance, M. and Little, M., (2006) ‘Particularism and anti-theory’, in D. Copp, ed., The Oxford handbook of ethical theory, Oxford and New York: Oxford University Press.
  • Loux, Michael J (2002) Metaphysics. A Contemporary Introduction, second ed. Routledge: London and New York.
  • Malcolm, Norman (1984) Ludwig Wittgenstein: a memoir / by Norman Malcolm; with a biographical sketch by G. H. von Wright and Wittgenstein’s Letters to Malcolm. Second ed. Oxford and New York, Oxford University Press.
  • McDowell, John (1994) Mind and World. Cambridge MA and London: Harvard University Press.
    • Perhaps the paradigmatic ‘post-Analytic’ text.
  • McDowell, John (2000) ‘Towards Rehabilitating Objectivity’ in Brandom ed. (2000).
  • McMahon, Jennifer A. (2007) Aesthetics and Material Beauty: Aesthetics Naturalized. New York and London: Routledge.
  • Moore, G. E. (1899) ‘The Nature of Judgement’, in G. E. Moore Selected Writings, London: Routledge, 1993, ed. T. Baldwin.
  • Moore, G. E. (1953) Some Main Problems of Philosophy. New York: Humanities Press.
    • From lectures given in 1910 and 1911.
  • Moore, G. E. (1993) Principia Ethica. Cambridge and New York: Cambridge University Press.
    • Second and revised edition, containing some other writings by Moore.
  • Neurath, Otto, Carnap, Rudolf, and Hahn, Hans (1996) ‘The Scientific Conception of the World: the Vienna Circle’, in Sarkar, Sahotra ed. The Emergence of Logical Empiricism: from 1900 to the Vienna Circle. New York: Garland Publishing, 1996. pp. 321–340.
    • An English translation of the manifesto issued by the Vienna Circle in 1929.
  • Orenstein, Alex (2002) W. V. Quine. Chesham, UK: Acumen.
  • Pitkin, Hanna (1993) Wittgenstein and Justice. On the Significance of Ludwig Wittgenstein for Social and Political Thought. Berkeley and London: University of California Press.
  • Putnam, Hilary (1985) ‘After Empiricism’ in Rajchman and West 1985.
  • Quine, W. V. O. (1960) Word and Object. Cambridge MA: MIT Press.
  • Quine, W. V. O. (1977) Ontological Relativity and Other Essays. New York: Columbia University Press. New edition.
  • Quine, W. V. O. (1980) From A Logical Point of View. Harvard: Harvard University Press. New edition.
  • Quine, W. V. O. (1981) Theories and Things. Cambridge, MA: Harvard University Press.
  • Rawls, John (1999a) A Theory of Justice. Revised edition. Cambridge MA: Harvard University Press.
  • Rawls, John (1999b) Collected Papers ed. Samuel Freeman. Cambridge, MA: Harvard University Press.
  • Russell, Bertrand (1992) A Critical Exposition of the Philosophy of Leibniz. London and New York: Routledge.
  • Russell, Bertrand (1995) My Philosophical Development. Abingdon, UK and New York: Routledge.
  • Russell, Bertrand (2009) Our Knowledge of the External World: As a Field for Scientific Method in Philosophy. Abingdon and New York: Routledge.
  • Rynin, David (1956) ‘The Dogma of Logical Pragmatism’, Mind 65(259): 379–391.
  • Schilpp, P. A. ed. (1942) The Philosophy of G. E. Moore Northwestern University Press, Evanston IL.
  • Schilpp, Paul Arthur ed. (1942) The Philosophy of G. E. Moore. Evanston and Chicago: Northwestern University Press.
  • Schroeter, François (2004) ‘Reflective Equilibrium and Antitheory’, Noûs, 38(1): 110–134.
  • Schultz, Bart (1992) ‘Bertrand Russell in Ethics and Politics’, Ethics, 102: 3 (April): 594–634.
  • Sellars, Wilfred (1963) Science, Perception and Reality. Routledge & Kegan Paul Ltd; London, and The Humanities Press: New York.
  • Strawson, Peter (1959) Individuals: An Essay in Descriptive Metaphysics. London: Methuen.
  • Strawson, Peter (1991) Analysis and Metaphysics. An Introduction to Philosophy. Oxford and New York: Oxford University Press.
    • Both an introduction to philosophy and an introduction to Strawson’s own philosophical and meta­philosophical views.
  • Strawson, Peter (2003) ‘A Bit of Intellectual Autobiography’ in Glock ed. 2003b.
  • Weinberg, Jonathan M., Nichols, Shaun and Stitch, Stephen (2001) ‘Normativity and Epistemic Intuitions’, Philosophical Topics, 29(1&2): 429–460.
  • Williams, Bernard (1981) Moral Luck. Cambridge: Cambridge University Press.
  • Wittgenstein, Ludwig (1961) Tractatus Logico-Philosophicus. Trans. D.F. Pears and B.F. McGuinness. Routledge: London.
  • Wittgenstein, Ludwig (1966) Lectures and Conversations on Aesthetics, Psychology and Religious Belief. Oxford: Blackwell.
  • Wittgenstein, Ludwig (1969) The Blue and Brown Books. Preliminary Studies for the “Philosophical Investigations”. Blackwell: Oxford.
  • Wittgenstein, Ludwig (2001) Philosophical Investigations. The German Text, with a Revised English Translation. Malden MA and Oxford: Blackwell. Third edition. Trans. G. E. M. Anscombe.
    • The major work of the ‘later’ Wittgenstein.
  • Wright, Crispin (2002) ‘Human Nature?’ in Nicholas H. Smith ed. Reading McDowell. On Mind and World. London and New York: Routledge.

c. Pragmatism and Neopragmatism

  • Brandom, Robert B. ed. (2000) Rorty and His Critics. Malden MA and Oxford: Blackwell.
  • Dewey, John (1998) The Essential Dewey, two volumes, Larry Hickman and Thomas M. Alexander eds. Indiana University Press.
  • James, William (1995) Pragmatism: A New Name for Some Old Ways of Thinking. New York: Dover Publications.
    • Lectures.
  • 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.
  • Rorty, Richard (1980) Philosophy and the Mirror of Nature. Oxford: Blackwell.
    • Rorty’s magnum opus.
  • Rorty, Richard (1991a) Consequences of Pragmatism (Essays: 1972–1980). Hemel Hempstead, UK: Harvester Wheatsheaf.
  • Rorty, Richard (1991b) ‘The Priority of Democracy to Philosophy’, pp. 175–196 of his Objectivity, Relativism, and Truth. Philosophical Papers, Volume 1. Cambridge, New York and Melbourne: Cambridge University Press.
  • Rorty, Richard (1998) Achieving Our Country. Leftist Thought in Twentieth-Century America. Cambridge MA and London: Harvard University Press.
  • Rorty, Richard (2007) Philosophy as Cultural Politics. Philosophical Papers, Volume 4. Cambridge: Cambridge University Press.
  • Talisse, Robert B. and Aikin, Scott F. (2008) Pragmatism: A Guide for the Perplexed. Continuum: London and New York.
    • Good and useful.

d. Continental Philosophy

  • Adorno, Theodor W. (1986) The Jargon of Authenticity. London and Henley: Routledge and Kegan Paul, 1986; trans. Knut Tarnowski and Frederic Will.
  • Adorno, Theodor W. and Horkheimer, Max (2002) Dialectic of Enlightenment. Philosophical Fragments. Stanford: Stanford University Press. Trans. Edmund Jephcott.
  • Adorno, Theodor W. (1976) with R. Dahrendorf, J. Habermas, H. Pilot, and K. Popper, The Positivist Dispute in German Sociology, trans. G. Adey and D. Frisby, London: Heinemann Educational Books.
    • Documents from debates between Popperians (who were not, in fact, positivists in any strict sense) and the Frankfurt School.
  • Baxter, Hugh (1987) ‘System and Life-World in Habermas’ Theory of Communicative ActionTheory and Society 16: 1 (January): 39–86.
  • Braver, Lee (2009) Heidegger’s Later Writings. A Reader’s Guide. London and New York: Continuum.
    • Accessible and helpful, yet perhaps somewhat superficial.
  • Caputo, John D (1977) ‘The Question of Being and Transcendental Phenomenology: Reflections on Heidegger’s relationship to Husserl’, Research in Phenomenology 7 (1):84–105.
  • Caputo, John D (1993) Demythologizing Heidegger. Bloomington and Indianapolis: Indiana University Press.
    • More ‘Continental’ than one might guess merely from the title.
  • Caputo, John, D (1997) ‘A Commentary’, Part Two of Derrida, Jacques (1997) Deconstruction in a Nutshell. A Conversation with Jacques Derrida. New York: Fordam University Press. Edited and with a commentary by John D. Caputo.
  • Carmen, Taylor, and B. N. Hansen eds. (2005) The Cambridge Companion to Merleau-Ponty. Cambridge, Cambridge University Press.
  • Cerbone, David (2006) Understanding Phenomenology. Chesham, UK: Acumen.
    • A good introduction to phenomenology.
  • Cooper, David (1999) Existentialism. A Reconstruction 2nd ed. Blackwell: Oxford and Malden, MA
    • Careful, argumentative, fairly accessible.
  • Davis, Colin (1996) Levinas. An Introduction. Cambridge: Polity.
    • Not only introduces Levinas but also mounts a strong challenge to him.
  • Derrida, Jacques (1976) Of Grammatology. Baltimore and London: Johns Hopkins University Press. Trans. G. C. Spivak.
  • Derrida, Jacques (1987) Positions. London: Althone. Trans. Alan Bass.
    • Three relatively early interviews with Derrida. Relatively accessible.
  • Derrida, Jacques (1988) Limited Inc. Evanston, IL: Northwestern University Press.
    • Contains Derrida’s side of an (acrimonious) debate with John Searle. Includes an Afterword wherein Derrida answers questions put to him by Gerald Graff.
  • Derrida, Jacques (1990) Writing and Difference. London: Routledge. Trans. Alan Bass.
  • Derrida, Jacques (1995) Points . . . : Interviews, 1974–1994. Trans. Peggy Kamuf et al. Stanford, CA: Stanford University Press.
  • Derrida, Jacques (1999) ‘Force of Law’ in Drucilla Cornell, Michel Rosenfeld, and David Gray Carlson eds. (1982) Deconstruction and the Possibility of Justice, New York: Routledge.
  • Dews, Peter (1987) Logics of Disintegration. Post-stucturalist Thought and the Claims of Critical Theory. London and New York: Verso.
  • Dews, Peter (1995) ‘Morality, Ethics and “Postmetaphysical Thinking”’ in his The Limits of Disenchantment. Essays on Contemporary European Philosophy. London and New York: Verso, 1995.
  • Diprose, Rosalyn and Reynolds, Jack eds. (2008) Merleau-Ponty: Key Concepts. Chesham, UK: Acumen.
  • Dubiel, Daniel (1985) Theory and Politics. Studies in the Development of Critical Theory. Cambridge MA: MIT Press.
  • Edgar, Andrew (2006) Habermas. The Key Concepts. Routledge. London and New York.
  • Elden, Stuart (2004) Understanding Henri Lefebvre: Theory and the Possible. London and New York: Continuum.
  • Evans, J. Claude (1991) Strategies of Deconstruction: Derrida and the Myth of the Voice. Minneapolis: University of Minnesota Press.
    • Detailed contestation of Derrida’s interpretation of, especially, Husserl.
  • Finlayson, Gordon (2005) Habermas: A Very Short Introduction. Oxford: Oxford University Press.
  • Finlayson, Gordon (2009) ‘Morality and Critical Theory. On the Normative Problem of Frankfurt School Social Criticism’, Telos (146: Spring): 7–41.
  • Freyenhagen, Fabian (2008) ‘Moral Philosophy’ in Deborah Cook (ed.) Theodor Adorno: Key Concepts. Stocksfield: Acumen.
    • A good and somewhat revisionist synopsis of Adorno’s moral philosophy.
  • Gadamer, Hans-Geog (1981) Reason in the Age of Science. Cambridge MA: MIT. Trans. Frederick Lawrence.
  • Geuss, Raymond (1981) The Idea of a Critical Theory. Cambridge and New York: Cambridge University Press.
  • Geuss, Raymond (2008) Philosophy and Real Politics. Princeton and Oxford: Princeton University Press.
  • Glendinning, Simon (2001) ‘Much Ado About Nothing (on Herman Philipse, Heidegger’s Philosophy of Being)’. Ratio 14 (3):281–288.
  • Haar, Michel (1993) Heidegger and the Essence of Man. New York: State University of New York Press. Trans. McNeill, William.
  • Habermas, Jürgen (1984) The Theory of Communicative Action, Volume 1: Reason and the Rationalization of Society. Cambridge: Polity. Trans. McCarthy, Thomas.
  • Habermas, Jürgen (1987a) Knowledge and Human Interests. Cambridge: Polity. Second edition. Trans. Jeremy Shapiro.
  • Habermas, Jürgen (1987b) The Philosophical Discourse of Modernity: Twelve Lectures. Cambridge: Polity Press in association with Blackwell Publishers. Trans. Frederick Lawrence.
    • One of Habermas’ more accessible – and more polemical – works.
  • Habermas, Jürgen (1992a) Autonomy and Solidarity. Interviews with Jürgen Habermas. Ed. Peter Dews. Revised edition.
    • A good place to start with Habermas.
  • Habermas, Jürgen (1992b) Postmetaphysical Thinking: Philosophical Essays. Oxford: Polity Press. Trans. William Mark Hohengarten.
  • Habermas, Jürgen (2008) Between Naturalism and Religion. Philosophical Essays. Cambridge and Malden Ma.: Polity. Trans. Ciaran Cronin.
  • Heidegger, Martin (1962) Being and Time. Oxford: Blackwell. Trans. John Macquarrie and Edward Robinson.
    • The ‘early’ Heidegger’s main work.
  • Heidegger, Martin (1966) Discourse on Thinking. A translation of Gelassenheit. New York: Harper & Row. Trans. John M. Anderson and E. Hans Freund.
  • Heidegger, Martin (1971) Poetry, Language, Thought. New York: Harper & Row. Trans. Albert Hofstadter.
  • Heidegger, Martin (1982) The Basic Problems of Phenomenology. Bloomington and Indianapolis: University of Indiana Press. Revised ed. Trans. Albert Hofstadter.
    • Close in its doctrines to Being and Time, but often considerably more accessible.
  • Heidegger, Martin (1991) Nietzsche, 4 volumes. New York: HarperCollins. Trans. David Farrell Krell.
  • Heidegger, Martin (1994) Basic Writings. London: Routledge. Revised and expanded edition.
    • Contains ‘What is Metaphysics?’, ‘Letter on Humanism’, and ‘The Question Concerning Technology’, among other texts.
  • Heidegger, Martin (2003) The End of Philosophy. Chicago: University of Chicago Press. Trans. Joan Stambaugh.
  • Held, David (1990) Introduction to Critical Theory. Cambridge: Polity.
    • Broad-brush and fairly accessible account of first-generation Critical Theory and of the relatively early Habermas.
  • Horkheimer, Max (1937) ‘Traditional and Critical Theory’ in Horkheimer, Critical Theory: Selected Essays. London and New York: Continuum, 1997.
  • Horkheimer, Max (1974) Eclipse of Reason. New York: Continuum.
    • Like Horkheimer and Adorno’s Dialectic of Enlightenment, but more accessible.
  • Husserl, Edmund (1931) Ideas. General Introduction to Pure Phenomenology. George Allen & Unwin Ltd / Humanities Press. Trans. W. R. Boyce Gibson.
    • Kluwer have produced a newer and more accurate version of this book; but the Boyce Gibson version is slightly more readable.
  • Husserl, Edmund (1970) The Crisis of the European Sciences and Transcendental Phenomenology. Evanston, IL: Northwestern University Press. Trans. David Carr.
  • Husserl, Edmund (1999a) The Idea of Phenomenology Dordrecht: Kluwer. Trans. Lee Hardy.
    • Probably Husserl’s most accessible (or least inaccessible) statement of phenomenology.
  • Husserl, Edmund (1999b) Cartesian Meditations. An Introduction to Phenomenology. Trans. Dorian Cairns. Dordrecht: Kluwer.
  • Johnson, Christopher (1993) System and Writing in the Philosophy of Jacques Derrida. Cambridge: Cambridge University Press.
  • Johnson, Christopher (1999) Derrida. The Scene of Writing. New York: Routledge.
    • Good, short, and orientated around Derrida’s Of Grammatology.
  • Landau, Iddo (1992/1993 [sic]) ‘Early and Later Deconstruction in the Writings of Jacques Derrida’, Cardozo Law Review, 14: 1895–1909.
    • Unusually clear.
  • Levinas, Emmanuel (1996) Proper Names. Stanford: Stanford University Press.
  • Malpas, Simon (2003) Jean-François Lyotard. Routledge. London and New York.
  • Marcuse, Herbert (1991) One-Dimensional Man. Second edition. Routledge: London.
    • A classic work of first-generation Critical Theory.
  • Merleau-Ponty, Maurice (2002) Phenomenology of Perception. New York: Routledge. Trans. Colin Smith.
    • Merleau-Ponty’s principal work.
  • Mulhall, Stephen (1996) Heidegger and Being and Time. Routledge: London and New York.
  • Outhwaite, William (1994) Habermas. A Critical Introduction. Cambridge. Polity.
  • Pattison, George (2000) The Later Heidegger. London and New York: Routledge.
    • A helpful introduction to ‘the later Heidegger’.
  • Philipse, Herman (1998) Heidegger’s Philosophy of Being: a Critical Interpretation. New Jersey: Princeton University Press.
    • A large, serious, and very controversial work that sets out to understand, but also to demolish much of, Heidegger. Q.v. Glendinning (2001) – which defends Heidegger.
  • Plant, Robert (Forthcoming) ‘This strange institution called “philosophy”: Derrida and the primacy of metaphilosophy’, Philosophy and Social Criticism.
  • Polt, Richard (1999) Heidegger: An Introduction. London: UCL Press.
    • Superb introduction, but light on the later Heidegger.
  • Russell, Matheson (2006) Husserl: A Guide for the Perplexed. London and New York: Continuum.
    • Excellent.
  • Sartre, Jean-Paul (1963) The Problem of Method. Trans. Hazel E. Barnes. London: Methuen.
  • Sartre, Jean-Paul (1989) Being and Nothingness. An Essay on Phenomenological Ontology. London: Routledge. Trans. Hazel E. Barnes.
    • The early Sartre’s major work.
  • Sartre, Jean-Paul (1992) Notebooks for an Ethics. Chicago and London: Chicago University Press. Trans. David Pellauer.
  • Sartre, Jean-Paul (2004) The Transcendence of the Ego. A Sketch for a Phenomenological Description. Abingdon, U.K.
  • Sartre, Jean-Paul (2007) Existentialism and Humanism. London: Methuen. Trans. Philip Mairet.
    • Sartre’s philosophy at its most accessible.
  • Smith, David (2003) Husserl and the Cartesian Meditations. London and New York: Routledge.
  • Smith, Joel (2005) ‘Merleau-Ponty and the Phenomenological Reduction’, Inquiry 48(6): 553–571.
  • Wolin, Richard, ed. (1993) The Heidegger Controversy: A Critical Reader. Cambridge MA and London: MIT Press.
    • The controversy in question concerns Heidegger’s Nazism. See also Young 1997.
  • Young, Julian (1997) Heidegger, Philosophy, Nazism. Cambridge: Cambridge University Press.
  • Young, Julian (2002) Heidegger’s Later Philosophy. Cambridge: Cambridge University Press.
    • A slim introduction to, and an attempt to make compelling, the thought of the later Heidegger.

e. Other

  • Borgmann, Albert (1984) Technology and the Character of Everyday Life: A Philo­sophical Inquiry. Chicago and London: University of Chicago Press.
    • Interesting and impassioned. Influenced by Heidegger.
  • Descartes, René (1988) The Philosophical Writings Of Descartes (3 vols). Cambridge: Cambridge University Press. Trans. John Cottingham, Robert Stoothoff, and Dugald Murdoch. Volume one.
  • Feenberg, Andrew (1999) Questioning Technology. London and New York: Routledge.
    • This book has at least one foot in the Critical Theory tradition but also appropriates some ideas from Heidegger.
  • Hume, David (1980) Dialogues Concerning Natural Religion and the Posthumous Essays ‘Of the Immortality of the Soul’ and ‘Of Suicide.’ Indianapolis: Hackett. Ed. Richard H. Popkin.
  • Kant, Immanuel Critique of Pure Reason. Various translations.
    • As is standard, the article above refers to this work using the ‘A’ and ‘B’ nomenclature. The number(s) following ‘A’ denote pages from Kant’s first edition of the text. Number(s) following ‘B’ denote pages from Kant’s second edition.
  • Locke, John (1975) An Essay Concerning Human Understanding. Oxford: Oxford University Press.
  • O’Neill, John (2003) ‘Unified Science as Political Philosophy: Positivism, Pluralism and Liberalism’, Studies in History and Philosophy of Science, vol. 34 (September): 575–596.
  • O’Neill, John and Uebel, Thomas (2004) ‘Horkheimer and Neurath: Restarting a Disrupted Debate’, European Journal of Philosophy, 12:1 75–105.
  • Petitot, Jean, Varela, Francisco, Pachoud, Bernard, and Roy, Jean-Michel eds. (2000) Naturalizing Phenomenology: Issues in Contemporary Phenomenology and Cognitive Science. Stanford: Stanford University Press.

Author and Article Information

Nicholas Joll
Email: joll.nicholas@gmail.com
United Kingdom

Article first published 17/11/2010. Last revised 01/08/2017.

Michel Foucault (1926–1984)

Michel FoucaultMichel Foucault was a major figure in two successive waves of 20th century French thought–the structuralist wave of the 1960s and then the poststructuralist wave. By the premature end of his life, Foucault had some claim to be the most prominent living intellectual in France.

Foucault’s work is transdisciplinary in nature, ranging across the concerns of the disciplines of history, sociology, psychology, and philosophy. At the first decade of the 21st century, Foucault is the author most frequently cited in the humanities in general. In the field of philosophy this is not so, despite philosophy being the primary discipline in which he was educated, and with which he ultimately identified. This relative neglect is because Foucault’s conception of philosophy, in which the study of truth is inseparable from the study of history, is thoroughly at odds with the prevailing conception of what philosophy is.

Foucault’s work can generally be characterized as philosophically oriented historical research; towards the end of his life, Foucault insisted that all his work was part of a single project of historically investigating the production of truth. What Foucault did across his major works was to attempt to produce an historical account of the formation of ideas, including philosophical ideas. Such an attempt was neither a simple progressive view of the history, seeing it as inexorably leading to our present understanding, nor a thoroughgoing historicism that insists on understanding ideas only by the immanent standards of the time. Rather, Foucault continually sought for a way of understanding the ideas that shape our present not only in terms of the historical function these ideas played, but also by tracing the changes in their function through history.

Table of Contents

  1. Life
  2. Early works on psychology
  3. Archaeology
    1. The History of Madness
    2. Writings on Art and Literature
    3. The Birth of the Clinic
    4. The Order of Things
    5. The Archaeology of Knowledge
  4. Genealogy
    1. Discipline and Punish
    2. The Will to Knowledge
    3. Lecture Series
  5. Governmentality
  6. Ethics
  7. References and Further Reading
    1. Primary
    2. Secondary

1. Life

Michel Foucault was born Paul-Michel Foucault in 1926 in Poitiers in western France. His father, Paul-André Foucault, was an eminent surgeon, who was the son of a local doctor also called Paul Foucault. Foucault’s mother, Anne, was likewise the daughter of a surgeon, and had longed to follow a medical career, but her wish had to wait until Foucault’s younger brother as such a career was not available for women at the time. It is surely no coincidence then that much of Foucault’s work would revolve around the critical interrogation of medical discourses.

Foucault was schooled in Poitiers during the years of German occupation. Foucault excelled at philosophy and, having from a young age declared his intention to pursue an academic career, persisted in defying his father, who wanted the young Paul-Michel to follow his forebears into the medical profession. The conflict with his father may have been a factor in Foucault’s dropping the ‘Paul’ from his name. The relationship between father and son remained cool through to the latter’s death in 1959, though Foucault remained close to his mother.

He moved to Paris in 1945, just after the end of the war, to prepare entrance examinations for the École Normale Supérieure d’Ulm, which was then (and still is) the most prestigious institution for education in the humanities in France. In this preparatory khâgne year, he was taught philosophy by the eminent French Hegelian, Jean Hyppolite. Foucault entered the École Normale in 1946, where he was taught by Maurice Merleau-Ponty and mentored by Louis Althusser. Foucault primarily studied philosophy, but also obtained qualifications in psychology. These years at the École Normale were marked by depression – and attempted suicide – which is generally agreed to have resulted from Foucault’s difficulties coming to terms with his homosexuality. While at the École Normale, Foucault also joined the French Communist Party in 1950 under the influence of Althusser, but was never active and left with Althusser’s assent thoroughly disillusioned in 1952.

Foucault aggregated in philosophy from the École Normale in 1951. The same year, he began teaching psychology there, where his students included Jacques Derrida, who would later become a philosophical antagonist of Foucault’s. Foucault also began to work as a laboratory researcher in psychology. He would continue to work in psychology in various capacities until 1955, when he took up a position as a director of the Maison de France at the University of Uppsala in Sweden. From Sweden, he moved to Poland as French cultural attaché in 1958, and then from there moved to the Institut Français in Hamburg in 1959. During these overseas postings, he wrote his first major work and primary doctoral thesis, a history of madness, which was later published in 1961. In 1960, Foucault returned to France to teach psychology in the philosophy department of the University of Clermont-Ferrand. He remained in that post until 1966, during which he lived in Paris and commuted to teach. It was in Paris in 1960 that Foucault met the militant leftist Daniel Defert, then a student and later a sociologist, with whom he would form a partnership that lasted the rest of Foucault’s life.

From 1964, Defert was posted to Tunisia for 18 months of compulsory military service, during which time Foucault visited him more than once. This led to Foucault in 1966 taking up a chair of philosophy at the University of Tunis, where he was to remain until 1968, missing the events of May 1968 in Paris for the most part. 1966 also saw the publication of Foucault’s The Order of Things, which received both praise and critical remarks. It became a bestseller despite its length and the obscurity of its argumentation, and cemented Foucault as a major figure in the French intellectual firmament.

Returning to France in 1968, Foucault presided over the creation and then running of the philosophy department at the new experimental university at Vincennes in Paris. The new university was created as an answer to the student uprising of 1968, and inherited its ferment. Foucault assembled a department composed mostly of militant Marxists, including some who have gone on to be among the most prominent French philosophers of their generation: Alain Badiou, Jacques Rancière, and Étienne Balibar. After scandals related to this militancy, the department was briefly stripped of its official accreditation. Foucault was already moving on, however; he was in 1970 elected to a chair at France’s most prestigious intellectual institution, the Collège de France, which he held for the rest of his life. The only duty of this post is to give an annual series of lectures based on one’s current research. At the time of writing, Foucault’s thirteen Collège lecture series are in the process of being published in their entirety: eight have appeared in French, seven have been published in English.

The early 1970s were a politically tumultuous period in Paris, where Foucault was again living. Foucault threw himself into political activism, primarily in relation to the prison system, as a founder of what was called the “Prisons Information Group.” It originated in an effort to aid political prisoners, but in fact sought to give a voice to all prisoners. In this connection, Foucault became close to Gilles Deleuze, during which friendship Foucault wrote an enthusiastic foreword to the English-language edition of Deleuze and Félix Guattari’s Anti-Oedipus, before Foucault and Deleuze fell out.

In the late ‘70s, the political climate in France cooled considerably; Foucault largely withdrew from activism and turned his hand to journalism. He covered the Iranian Revolution first-hand in newspaper dispatches as the events unfolded in 1978 and 1979. He began to spend more and more time teaching in the United States, where he had lately found an enthusiastic audience.

It was perhaps in the United States that Foucault acquired HIV. He developed AIDS in 1984 and his health quickly declined. He finished editing two volumes on ancient sexuality which were published that year from his sick-bed, before dying on the 26th June, leaving the editing of a fourth and final volume uncompleted. He bequeathed his estate to Defert, with the proviso that there were to be no posthumous publications, a testament which has been subject to ever more elastic interpretation since.

A note on dates: Where there is any disagreement among sources as to the facts of Foucault’s biography, the chronology compiled by Daniel Defert at the start of Foucault’s Dits et écrits is considered in this article to be definitive.

2. Early works on psychology

Foucault’s earliest work lacks a distinctively “Foucauldian” perspective. In these works, Foucault displays influences typical of young French academics of the time: phenomenology, psychoanalysis, and Marxism. Foucault’s primary work of this period was his first monograph, Mental Illness and Personality, published in 1954. This slim volume, commissioned for a series intended for students, begins with an historical survey of the types of explanation put forward in psychology, before producing a synthesis of perspectives from evolutionary psychology, psychoanalysis, phenomenology and Marxism. From these perspectives, mental illness can ultimately be understood as an adaptive, defensive response by an organism to conditions of alienation, which an individual experiences under capitalism. Foucault first modified the book in 1962 in a new edition, entitled Mental Illness and Psychology. This resulted in the change of the later parts – the most Marxist material and the conclusion –to bring them into line with the theoretical perspective that he had by then expounded in his later The History of Madness. According to this view, madness is something natural, and alienation is responsible not so much for creating mental illness as such, but for making madness into mental illness. This was a perspective with which Foucault in turn later grew unhappy, and he had the book go out of print for a time in France.

Foucault’s other major publication of this early period, a long introduction (much longer than the text it introduced) to the French translation of Ludwig Binswanger’s Dream and Existence, a work of Heideggerian existential psychoanalysis, appeared in the same month in 1954 as Mental Illness and Personality. Far from merely introducing Binswanger’s text, Foucault here expounds a novel account of the relation between imagination, dream and reality. He combines Binswanger’s insights with Freud’s, but arguing that neither Binswanger nor Freud understands the fundamental role of dreaming for the imagination. Since imagination is necessary to grasp reality, dreaming is also essential to existence itself.

3. Archaeology

a. The History of Madness

Foucault’s first canonical monograph, in the sense of a work that he never repudiated, was his 1961 primary doctoral thesis, Madness and Unreason: A History of Madness in the Classical Age, which has ultimately come to be known simply as the History of Madness. It is best known in the English-speaking world by an abridged version, Madness and Civilization, since for decades the latter was the only version available in English. History of Madness is a work of some originality, showing several influences, but not slavishly following any convention. It resembles Friedrich Nietzsche’s Birth of Tragedy in style and form (thought greatly exceeding it in length), proposing a disjunction between reason and unreason similar to Nietzsche’s Apollonian/Dionysian distinction. It also bears the influence of French history and philosophy of science, the most prominent twentieth century representative of which was Gaston Bachelard, the developer of a notion of “epistemological rupture” to which most of Foucault’s works are indebted. Yet Georges Canguilhem’s focus on the division of the normal from the pathological is perhaps the most telling influence on Foucault in this book. Foucault’s thought continues moreover to owe something to Marxism and to social history more generally, constituting an historical analysis of social divisions.

The History of Madness follows logically enough from Foucault’s interest in psychology. The link is stronger even than the title indicates: much of the work is concerned with the birth of medical psychiatry, which Foucault associates with extraordinary changes in the treatment of the mad in modernity, meaning first their systematic exclusion from society in early modernity, followed by their pathologization in late modernity. The History of Madness thus sets the pattern for most of Foucault’s works by being concerned with discrete changes in a given area of social life at particular points in history. Like Foucault’s other major works of the 1960s, it fits broadly into the category of the history and philosophy of science. It has wider philosophical import than that, however, with Foucault ultimately finding that madness is negatively constitutive of Enlightenment reason via its exclusion. The exclusion of unreason itself, concomitant with the physical exclusion of the mad, is effectively the dark side of the valorization of reason in modernity. For this reason, the original main title of the work was Madness and Unreason. Foucault argues in effect for the recuperation of madness, via a valorization of philosophers and artists deemed mad, such as Nietzsche, a recuperation which Foucault thinks the works of such men already portend.

b. Writings on Art and Literature

Foucault’s writings on art and literature have received relatively little attention, even though Foucault’s work is widely influential among scholars of art and literature. This is surely because Foucault’s work directly in these areas is relatively minor and marginal in his corpus. Still, Foucault wrote several short treatments on artists, including Manet and Magritte, and more substantially on literature. In 1963, Foucault wrote a short book on the novelist Raymond Roussel, published in English as Death and the Labyrinth, which is exceptional as Foucault’s only book-length piece of literary or artistic criticism, and which Foucault himself never considered as of a similar importance to his other books of the 1960s. Still, the figure of Roussel offers something of a bridge from The History of Madness and the work that Foucault will now go on to do, not least because Roussel is a writer who could be categorized as rehabilitating madness in the literary sphere. Roussel was a madman – eccentrically suicidal – whose work consisted in playing games with language according to arbitrary rules, but with the utmost dedication and seriousness, the purpose of which was to investigate language itself, and its relation to extra-linguistic things. This latter theme is precisely that which comes to preoccupy Foucault in the 1960s, and in the form too of uncovering the rules of the production of discourse.

Despite that the Roussel book was the only one Foucault wrote on literature, he wrote literary essays throughout the 1960s. He wrote several studies of French literary intellectuals, such as the “Preface to Transgression” about the work of Georges Bataille in relation to that of the Marquis de Sade, the “Prose of Actaeon” about Pierre Klossowski,  the “Thought of the Outside” about Maurice Blanchot. These were all figures who wrote literature or wrote about it, but they were also all philosophical thinkers too, influenced by Nietzsche and/or Martin Heidegger: it was through his contemporary Blanchot, a Heideggerian, that Foucault came to Bataille, and thus to Nietzsche, who proved to be a decisive influence on Foucault’s work at multiple points. Foucault also wrote “Language to Infinity,” about de Sade and his literary influence, and a piece on Flaubert at this time. All of these works contribute to a general engagement by Foucault with the theme of language and its relation to its exterior, a theme which is explored at greater length in his contemporaneous monographs.

c. The Birth of the Clinic

The major work of 1963 for Foucault was his follow-up to his The History of Madness, entitled The Birth of the Clinic: An Archaeology of Medical Perception. The Birth of the Clinic examines the emergence of modern medicine. It follows on from the History of Madness logically enough: the analysis of the psychiatric classification of madness as disease is followed by an analysis on the emergence of modern medicine itself. However, this new study is a considerably more modest work than the other, due largely to a significant methodological tightening. The preface to The Birth of the Clinic proposes to look at discourses on their own terms as they historically occur, without the hermeneutics that attempts to interpret them in their relation to fundamental reality and historical context. That is, as Foucault puts it, to treat signifiers without reference to the signified, to look at the evolution of medical language without passing judgment on the things it supposedly referred to, namely disease.

The main body of the work is an historical study of the emergence of clinical medicine around the time of the French revolution, at which time the transformation of social institutions and political imperatives combined to produce modern institutional medicine for the first time. The leitmotif of the work is the notion of a medical “gaze”: modern medicine is a matter of attentive observation of patients, without prejudging the maladies one may find, in the service of the demographic needs of society. There is some significant tension between the methodology and the rest of the book, however, with much of what is talked about in the book clearly not being signifiers themselves. The fulfillment of the intention announced at the beginning of The Birth of the Clinic is found rather in Foucault’s next book, The Order of Things, first published in 1966.

d. The Order of Things

Subtitled “An Archaeology of the Human Sciences,” this book aims to uncover the history of what today are called the “human sciences.” This is an obscure area, in fact, certainly to English-speaking readers, who are not often used to seeing the relevant disciplines grouped in this way. The human sciences do not comprise mainstream academic disciplines; they are rather an interdisciplinary space for the reflection on the “man” who is the subject of more mainstream scientific knowledge, taken now as an object, sitting between these more conventional areas, and of course associating with disciplines such as anthropology, history, and, indeed, philosophy. Disciplines identified as “human sciences” include psychology, sociology, and the history of culture.

The mainstay of the book is not concerned with this narrow area, however, but its pre-history, in the sense of the academic discourses which preceded its very existence. In dealing with these, Foucault employs a method which is certainly similar to that of his earlier works, but is now more deliberate, namely the broad procedure of looking for what in the French philosophy of science are called “epistemic breaks.” Foucault does not use this phrase, which originated with Gaston Bachelard, but uses a resonant neologism, “episteme.” In using this term, Foucault refers to the stable ensemble of unspoken rules that governs knowledge, which is itself susceptible to historical breaks. The book tracks two major changes in the Western episteme, the first being at the beginning of the “Classical” age during the seventeenth century, and the second being at the beginning of a modern era at the turn of the nineteenth. Foucault does not concern himself here with why these shifts happen, only with what has happened. This then, is now the work that he calls “archaeology.”  In the original preface to The History of Madness, Foucault describes what he is doing as the “archaeology” of madness. This notion, used here apparently off-handedly, becomes the name of Foucault’s research project through the 1960s. In The Birth of the Clinic, Foucault once again uses the word “archaeology” only once, but this time in the subtitle itself. Only with The Order of Things is archaeology formulated as a methodology.

In The Order of Things, Foucault is concerned only to analyze the transformations in discourse as such, with no consideration of the concrete institutional context. The consideration of that context is now put aside until the 1970s. He shows that in each of the disciplines he looks at, the precursors of the contemporary discipline of biology, economics, and linguistics, the same general transformations occur at roughly the same time, encompassing myriad changes at a local level that might not seem connected to one another.

Before the Classical age, Foucault argues, Western knowledge was a rather disorganized mass of different kinds of knowledge (superstitious, religious, philosophical), with the work of science being to note all kinds of resemblances between things. With the advent of the Classical Age, clear distinctions between academic disciplines emerge, part of a general enthusiasm for categorizing information. The aim at this stage is for a total, definitive cataloguing and categorization of what can be observed. Science is concerned with superficial visibles, not looking for anything deeper. Language is understood as simply transparently representing things, such that the only concern with language is work of clarification. For the first time, however, there is an appreciation of the reflexive role of subjects in the enquiry they are conducting – the scientist is himself an object for enquiry, an individual conceived simultaneously as both subject and object. Then, from the beginning of the nineteenth century, a new attention to language emerges, and the search begins for precisely what is hidden from our view, hidden logics behind what we can see. To this tendency belong theories as diverse as the dialectical view of history, psychoanalysis, and Darwinian evolution. Foucault criticises all such thought as involving a division between what is “the Same” and what is other, with the latter usually excluded from scientific inquiry, focusing all the time on “man” as a privileged object of inquiry. Foucault ultimately argues, however, that there are signs of the end of “man” as an object of knowledge, as our thought, in the shape of the “counter-sciences” of psychoanalysis and ethnology, plumbs areas beyond what can be understood in terms of the concept of “man.” One sees, again, the valorization here of mad writers, such as Roussel and Nietzsche: the historico-philosophical thesis of The History of Madness, and its project of the recuperation of madness, is here inscribed in terms of the production of knowledge.

e. The Archaeology of Knowledge

Foucault followed the Order of Things with his Archaeology of Knowledge, which was published in 1969. In this work, Foucault tries to consolidate the method of archaeology: it is the only one of Foucault’s major works that does not comprise an historical study, and thus his most theoretical work. It is the most influential work of Foucault’s in literary criticism and some other applied areas.

Archaeology, Foucault now declares, means approaching language in a way that does not refer to a subject who transcends it – though he acknowledges he has not been rigorous enough in this respect in the past. That is not to say that Foucault is making a strong metaphysical claim about subjectivity, but rather only that he is proposing a mode of analysis that subordinates the role of the subject. Foucault in fact proposes to suspend acceptance not only of the notion of a subject who produces discourse but of all generally accepted discursive unities, such as the book. Instead, he wants to look only at the surface level of what is said, rather than to try to interpret language in terms of what stands behind it, be that hidden meaning, structures, or subjects. Foucault’s suggestion is to look at language in terms of discrete linguistic events, which he calls “statements,” such as to understand the multitudinous ways in which statements relate to one another. Foucault’s statement is not defined by content (a statement is not a proposition), nor by its simple materiality (the sounds made, the marks on paper). The specificity of a statement is rather determined both by such intrinsic properties and by its extrinsic relations, by context as well as content.

Foucault asserts the autonomy of discourse, that language has a power that cannot be reduced to other things, either to the will of a speaking subject, or to economic and social forces, for example. This is not to say that statements exist independently of extra-linguistic reality, however, or of larger “discursive formations” in which they occur. It is rather the opposite. Both these things in effect need to be factored into analyses of statements – the identity of the statement is conditioned both by its relation to other statements, to discourse as such, and to reality, as well as by its intrinsic form. The statement is governed by a “system of its functioning,” which Foucault calls the “archive.” Archaeology is now interpreted as the excavation of the archive. This of course retroactively includes much of what Foucault has been doing all along.

Foucault followed this work with his celebrated 1969 essay, “What is an Author?” (somewhat confusingly because many versions of this circulate, including multiple translations of the original, and Foucault’s own translation, was delivered in English many years later), which effectively concludes the series of Foucault’s writings on literature in the 1960s. This work represents an extension in literary theory of the impulse behind the Archaeology, with Foucault systematically criticizing the notion of an author, and suggesting that we can move beyond ascribing transcendent sovereignty to the subject in our understanding of discourse, understanding the subject rather as a function of discourse.

4. Genealogy

The period after May 1968 saw considerable social upheaval in France, particularly in the universities, where the revolt of that month had begun. Foucault, returning to this atmosphere from a Tunis that was also in political ferment, was politicized.

His work quickly reflected his new engagement (the Archaeology was completed early in 1968, though published the next year). His inaugural lecture at the Collège de France in 1970, published in French as The Order of Discourse (L’ordre du discours – it is available in diverse anthologized English translations under various titles, including as an appendix to the American edition of The Archaeology of Knowledge), represented an attempt to move the analysis of discourse that had preoccupied him through the 1960s onto a more political terrain, asking questions now about the institutional production of discourse. Here, Foucault announces a new project, which he designates “genealogy,” though Foucault never repudiates the archaeological method as such.

“Genealogy” implies doing what Foucault calls the “history of the present.” A genealogy is an explanation of where we have come from: while Foucault’s genealogies stop well before the present, their purpose is to tell us how our current situation originated, and is motivated by contemporary concerns. Of course, one may argue that all history has these features, but with genealogy this is intended rather than a matter of unavoidable bias. Some of Foucault’s archaeologies can be said to have had similar features, but their purpose was to look at epistemic shifts discretely, in themselves, without insisting on this practical relevance. The word “genealogy” is drawn directly from Nietzsche’s Genealogy of Morals: genealogy is a Nietzschean form of history, though rather more meticulously historical than anything Nietzsche ever attempted.

a. Discipline and Punish

In the early 1970s, Foucault’s involvement with the prisoners’ movement led him to lecture two years running on prisons at the Collège de France, which led to his work in 1975: Discipline and Punish: The Birth of the Prison. The subtitle here references The Birth of the Clinic, indicating some continuity of project; both titles in turn of course reference Nietzsche’s Birth of Tragedy.

Discipline and Punish is a book about the emergence of the prison system. The conclusion of the book in relation to this subject matter is that the prison is an institution, the objective purpose of which is to produce criminality and recidivism. The system encompasses the movement that calls for reform of the prisons as an integral and permanent part. This thesis is somewhat obscured by a particular figure from the book that has garnered much more attention, namely Jeremy Bentham’s “panopticon,” a design for a prison in which every prisoner’s every action was visible, which greatly influenced nineteenth century penal architecture, and indeed institutional architecture more generally, up to the level of city planning. Though Foucault is often presented as a theorist of “panopticism,” this is not the central claim of the book.

The more important general theme of the book is that of “discipline” in the penal sense, a specific historical form of power that was taken up by the state with professional soldiering in the 17th century, and spread widely across society, first via the panoptic prison, then via the division of labor in the factory and universal education. The purpose of discipline is to produce “docile bodies,” the individual movements of which can be controlled, and which in its turn involves the psychological monitoring and control of individuals, indeed which for Foucault produces individuals as such.

b. The Will to Knowledge

Foucault indeed focused on the concept of power so much that he remarked that he produced the analysis of power relations rather than the genealogies he had intended. Foucault began talking about power as soon as he began to do genealogy, in The Order of Discourse. In Discipline and Punish he develops a notion of “power-knowledge,” recombining the analysis of the epistemic with analysis of the political. Knowledge now for Foucault is incomprehensible apart from power, although Foucault continues to insist on the relative autonomy of discourse, introducing the notion of power-knowledge precisely as a replacement for the Marxist notion of ideology in which knowledge is seen as distorted by class power; for Foucault, there is no pure knowledge apart from power, but knowledge also has real and irreducible importance for power.

Foucault sketches a notion of power in Discipline and Punish, but his conception of power is primarily expounded only in a work published the following year in 1976, the first volume of his History of Sexuality, with the title The Will to Knowledge. The latter is a reference to Nietzsche’s Will to Power (this original French title is that of the current Penguin English edition – the English translation published in America, however, is titled simply The History of Sexuality: An Introduction).

The Will to Knowledge is an extraordinarily influential work, perhaps Foucault’s most influential. The central thesis of the book is that, contrary to popular perceptions that we are sexually repressed, the entire notion of sexual repression is part and parcel of a general imperative for us to talk about sex like never before: the production of behavior is represented simply as the liberation of innate tendencies.

The problem, says Foucault, is that we have a negative conception of power, which leads us only to call power that which prohibits, while the production of behavior is not problematized at all. Foucault claims that all previous political theory has found itself stuck in a view of power propagated in connection to absolute monarchy, and that our political thought has not caught up with the French Revolution, hence there is today a need “to cut off the head of the king” in political theory. Foucault’s point is that we imagine power as being a thing that can be possessed by individuals, as organized pyramidally, with one person at the apex, operating via negative sanctions. Foucault argues that power is in fact more amorphous and autonomous than this, and essentially relational. That is, power consists primarily not of something a person has, but rather is a matter of what people do, subsistsing in our interactions with one another in the first instance. As such, power is completely ubiquitous to social networks. People, one may say crudely, moreover, are as much products of power as they are wielders of it. Power thus has a relative autonomy apropos of people, just as they do apropos of it: power has its own strategic logics, emerging from the actions of people within a network of power relations. The carceral system and the device of sexuality are two prime examples of such strategies of power: they are not constructed deliberately by anyone or even by any class, but rather emerge out of themselves.

This leads Foucault to an analysis of the specific historical dynamics of power. He introduces the concept of “biopower,” which combines disciplinary power as discussed in Discipline and Punish, with a “biopolitics” that invests people’s live at a biological level, “making” us live according to norms, in order to regulate humanity at the level of the population, while keeping in reserve the bloody sword of “thanatopolitics,” now exaggerated into an industrial warfare that kills millions. This specific historical thesis is dealt with in more detail in the article Foucault and Feminism, in the first section. Foucault’s concerns with sexuality, bodies, and norms form a potent mix that has, via the work of Judith Butler in particular, been one of the main influences on contemporary feminist thought, as well as influential in diverse areas of the humanities and social sciences.

c. Lecture Series

After his lectures on prisons, Foucault for two years returned to the old theme of institutional psychiatry in work that effectively provides a bridge between the theme (and theory) of the genealogy of prisons, and that of sexuality. The first of these, Psychiatric Power, is a genealogical sequel to the The History of Madness. The second, Abnormal, is closer to The Will to Knowledge: as its title suggests, it is concerned with the production of norms, though again not straying far from the psyciatric context. The following year, 1976, Foucault lectured on the genealogy of racism in Society Must Be Defended, which provides a useful companion to The Will to Knowledge, and contains perhaps the clearest exposition of Foucault’s thoughts on biopower. The publication of these lecture series, and, a fortiori, of the lecture series that were given in the eight years in between the publication of The Will to Knowledge and the deathbed publication of the next volumes of The History of Sexuality are transforming our picture of Foucault’s later thought.

5. Governmentality

The notion of biopolitics, as the regulation of populations, brought Foucault’s thinking to the question of the state. Foucault’s work on power had generally been a matter of minimizing the importance of the state in the network of power relations, but now he started to ask about it specifically, via a genealogy of “government,” first in Security, Territory, Population, and then in his genealogy of neoliberalism, The Birth of Biopolitics. Foucault here coins the term “governmentality,” which has a rather shifting meaning.

The function of the notion of governmentality is to throw the focus of thinking about contemporary societies onto government as such, as a technique, rather than to focus on the state or the economy. Well before the publication of these lecture series in recent years, one of these lectures from Security, Territory, Population, dealing with this concept and published in English as “Governmentality,” had already become the basis for what is effectively an entire school of sociology and political theory.

This notion of government takes Foucault’s researches on biopower and puts them on a more human plane, in a tendential move away from the bracketing of subjectivity that had marked Foucault’s approach up to that point. The notion of government for Foucault, like that of power, straddles a gap between the statecraft that is ordinarily called “government” today, and personal conduct, so-called “government of the self.” The two are closely related inasmuch as, in a rather Aristotelian way, governing others depends on one’s relation to oneself. This thematic indeed takes Foucault in precisely the direction of Ancient Greek ethics.

6. Ethics

Foucault’s final years lecturing at the Collège de France, the early 1980s, saw Foucault’s attention move from modern reflections on government, first to Christian thought, then to Ancient. Foucault is here following the genealogy of government, but there are other factors at work. Another reason for this trajectory is the History of Sexuality project, for which Foucault found it necessary to move further and further back in time to trace the roots of contemporary thinking about sex. However, one might ask why Foucault never found it necessary to do this with any other area, for example madness, where doubtless the roots could have been traced further back. Another reason for this turn, then, at this time was a changed climate in French academe, where, the political militancy of the seventies in abeyance, there was a general “turn to ethics.”

The ultimate output of this period was the second and third volumes of the History of Sexuality, written and published at the same time, and constituting in effect a single intellectual effort. These volumes deal with Ancient sex literature, Greek and then Roman. They lack great theoretical conclusions like those of the first volume. They are patient studies of primary texts, and ones that are further from the present, both in the sense of dealing with more chronologically remote material, and in the sense of their relevance to our present-day concerns, than any others Foucault ever made. The relevance of the historical analysis is particularly unclear due to the absence of the fourth volume of the History of Sexuality. It was partially drafted but far from complete, and hence is unpublished and likely to remain so. In dealing with the Christian part of the history of the sexuality, it serves to link the second and third volumes to the first.

The extant volumes chart the changes that occurred within Ancient thinking about sex, between Greek and Roman thinking. There are certainly significant changes over the thousand years of Ancient writing about sex – an increasing attention on individuals for example – but for the purposes of the present it is the general differences between Ancient and modern attitudes that is more instructive. For the Ancients, sex was consistently a relatively minor ethical concern, simply one of many concerns relevant to diet and health more generally.

What Foucault got from studying this material, which he discussed in relation to the present primarily elsewhere than in these two books, is the notion of an ethics concerned with one’s relation to one’s self. Self-constitution is the overarching problematic of Foucault’s research in his final years. This “care for the self” Foucault manifestly finds attractive, though he is scathing of the precise modality it takes in patriarchal Ancient society, and he expresses some wish to resurrect such an ethics today, though he demurs on the question of whether such a resurrection is really possible. Thus, the point for Foucault is not to expound an ethics; it is rather the new analytical possibilities of focusing on subjectivity itself, rather than bracketing it as Foucault had tended to do previously. Foucault becomes interested increasingly in the way subjectivity is constituted precisely by the way in which subjects produce themselves via a relation to truth. Foucault now proclaims that his work was always about subjectivity. The dry investigations of the 1960s, while concerned explicitly about truth, were always about the way in which “the human subject fits into certain games of truth.”

7. References and Further Reading

Below is a list of English translations of works by Foucault that are named above, in the order they were originally written. The shorter writings and interviews of Foucault are also of extraordinary interest, particularly to philosophers. In French, these have been published in an almost complete collection, Dits et écrits, by Gallimard, both in a four volume edition and a two-volume edition. In English, however, Foucault’s shorter works are spread across many overlapping anthologies, which even between them omit much that is important. The three-volume Essential Works series of anthologies, published by Penguin and the New Press, and edited by Paul Rabinow (vol. 1 Ethics, vol. 2 Aesthetics, vol. 3 Power), are the closest to a comprehensive collection in English, although the most compendious single-volume anthology is Foucault Live. Edited by Sylvère Lotringer. New York: Semiotext(e), 1996.

a. Primary

  • Mental illness and psychology. Berkeley: University of California Press, 1987.
  • The History of Madness. London: Routledge, 2006.
  • Death and the Labyrinth. London: Continuum, 2004.
  • Birth of the Clinic. London: Routledge, 1989.
  • The Order of Things. London: Tavistock, 1970.
  • The Archaeology of Knowledge. New York: Pantheon, 1972.
  • Psychiatric Power. New York: Palgrave Macmillan, 2006.
  • Discipline and Punish. London: Allen Lane, 1977.
  • Abnormal. London: Verso, 2003.
  • Society Must Be Defended. New York: Picador, 2003.
  • An Introduction. Vol. 1 of The History of Sexuality. New York: Pantheon, 1978. Reprinted as The Will to Knowledge, London: Penguin, 1998.
  • Security, Territory, Population. New York: Picador, 2009.
  • The Birth of Biopolitics. New York: Picador, 2010.

b. Secondary

  • Timothy J. Armstrong (ed.). Michel Foucault: Philosopher. Hemel Hempstead: Harvester Wheatsheaf, 1992.
    • A particularly good collection of papers on Foucault from his contemporaries.
  • Gilles Deleuze. Foucault. Trans. Seán Hand. London: Athlone, 1988.
    • The best book about Foucault’s work, from one who knew him, though predictably idiosyncratic.
  • Gary Gutting. Michel Foucault’s archaeology of scientific reason. Cambridge: Cambridge University Press, 1989.
    • The definitive volume on Foucault’s archaeological period, and on Foucault and the philosophy of science.
  • Gary Gutting (ed.). Cambridge Companion to Foucault. Cambridge: Cambridge University Press, 1994.
    • Brilliant and comprehensive introductory essays on aspects of Foucault’s thought.
  • David Couzens Hoy (ed.). Foucault: A Critical Reader. Oxford: Blackwell, 1986.
  • Mark G. E. Kelly. The Political Philosophy of Michel Foucault. New York: Routledge, 2009.
    • For the political aspect of Foucault’s thought, from a philosophical perspective.
  • David Macey. The Lives of Michel Foucault. London: Hutchison, 1993.
    • This is the most comprehensive and most sober of the available biographies of Foucault.
  • David Macey. Michel Foucault. London : Reaktion Books, 2004.
    • A readable, abbreviated biography of Foucault.
  • Michael Mahon. Foucault’s Nietschean Genealogy: Truth, Power, and the Subject. Albany: SUNY Press, 1992.
    • A pointedly philosophical work on the influence of Nietzsche on Foucault.
  • Jeremy Moss (ed.).The Later Foucault. London: Sage, 1998.
    • On Foucault’s late work.
  • Barry Smart (ed.). Michel Foucault: Critical Assessments (mutli-volume). London: Routledge, 1995.

Author Information

Mark Kelly
Email: m.kelly@mdx.ac.uk
Middlesex University
United Kingdom

Diogenes of Apollonia (5th cn. B.C.E.)

Diogenes of Apollonia is often considered to be the last of the Presocratic Greek philosophers, although it is more than likely that Democritus was still active after the death of Diogenes. Diogenes’ main importance in the history of philosophy is that he synthesized the earlier Ionic monism of Anaximenes and Heraclitus with the pluralism of Empedocles and Anaxagoras. Diogenes serves as a sort of culminating point for Presocratic philosophy, uniting its differing tendencies toward emphasizing the absolute indivisibility or identity of reality with the equally absolute multiplicity of differing beings. Just as for Heraclitus, the truth for Diogenes was that one self-identical thing is all different things. By abiding by the Presocratic natural law that out of nothing comes nothing and into nothing, nothing goes, Diogenes proposed a definition of nature that identified it with life and explicitly affirmed that it is generated from itself. Diogenes’ main idea was that nature, the entire universe, is an indivisibly infinite, eternally living, and continuously moving substance he called, following Anaximenes, air. All the natural changes occurring throughout the universe—the various forms, the incalculable multiplicity the singular being takes—are one substance, air, under various modes. Air is also intelligent. Indeed, air is intelligence, or noesis in the Ancient Greek. Noesis is the purely intuitive, rational thinking that expresses and sustains all cosmic processes. As the self-causal power of rational, intuitive intelligence, air is also a god. When defining air solely as an atmospheric condition, as we do today, and in relation to the three other main elements, namely, fire, water, and earth, Diogenes’ air becomes the soul of singular beings. The soul is the source of every living thing’s sensitive ability to live, know, and thus also affect and be affected by other singular beings. The soul is also the way the absolute cosmic air identifies itself through a number of living differentiations as the means by which living creatures exhibit their differing degrees of temperature and density.  Through the soul, air is sometimes rarer or more condensed, and likewise sometimes hotter or cooler. The soul is the life-principle that, when mixed with and operating through other aerated forms like blood and veins, allows for the living functions of all singular beings to remain self-sustaining until the necessary process of decomposition affects them. Such decomposition, however, is just another means for nature’s processes to continue to function insofar as each decomposed being is the simultaneous site for the next modification that air will engender and express through itself. Ultimately, for Diogenes, the essence of all reality, identified as intelligent and divine air, is that it is both nature and life, as nature and life are identical as one absolute substance.

Table of Contents

  1. Life and Work
  2. Substance Monism
  3. Air
  4. Intelligence and Divinity
  5. Cosmology and Physiology
  6. Influence and Historical Role
  7. References and Further Reading

1. Life and Work

The exact chronology of the life of Diogenes of Apollonia is unknown, but most accounts place the date of his acme somewhere around 460-430 BCE.  It was once believed that he was from the Cretan city of Apollonia, but it is now thought that the Apollonia of which he was a citizen was the Milesian colony on the Pontus that was actually founded by the Presocratic philosopher Anaximander, and which is today the Bulgarian Black Sea resort town of Sozopol. It is also thought Diogenes lived for some time in Athens and that while there, he became so unpopular (being thought an atheist) that his life was in danger. Further proof of Diogenes’ probable residence in Athens is the parody we find of him in Aristophanes’ The Clouds, even though it is Socrates who is portrayed as holding Diogenes’ views. Diogenes Laertius writes, “Diogenes, son of Apollothemis, an Apolloniate, a physicist and a man of exceptional repute. He was a pupil of Anaximenes, as Antisthenes says. His period was that of Anaxagoras” (IX, 57). Theophrastus also mentions that Diogenes of Apollonia was ‘almost the youngest’ of the physical philosophers. It has been persuasively put forward that Diogenes Laertius was more than likely confused when he wrote that Diogenes of Apollonia was a pupil of Anaximenes, considering the agreed upon earliness and geographic location of Diogenes by most commentators. Like Anaximenes, however, Diogenes held that the fundamental substance of nature is air, but it is highly unlikely he could have studied with him. On the other hand, the view that Diogenes flourished in roughly the same period as Anaxagoras is uncontroversial.

There has been much debate over whether Diogenes wrote a single book or even as many as four. Only fragments of Diogenes’ work survive. A majority of the fragments that we have of Diogenes’ work come from Simplicius’ commentaries on Aristotle’s Physics and On the Heavens. Simplicius writes,

Since the generality of enquirers say that Diogenes of Apollonia made air the primary element, similarly to Anaximenes, while Nicolaus in his theological investigation relates that Diogenes declared the material principle to be between fire and air…, it must be realized that several books were written by this Diogenes (as he himself mentioned in On Nature, where he says that he had spoken also against the physicists—whom he calls ‘sophists’—and written a Meteorology, in which he also says he spoke about the material principle, as well as On the Nature of Man); in the On Nature, at least, which alone of his works came into my hands, he proposes a manifold demonstration that in the material principle posited by him is much intelligence. (Kirk, Raven, and Schofield: 1983, 435)

The debate is over whether On Nature is the one book that Diogenes wrote and which covered many different yet nevertheless interrelated topics (such as man, meteorology, and the Sophists), or that On Nature, On the Nature of Man, Meteorologia, and Against the Sophists were four separate works. Diels, the early German collator of the Presocratic fragments, preferred the former option (DK 64B9), while commentators like Burnet (EGP 353) prefer the latter view. It also entirely possible that Simplicius was either confused or misinformed in his reading of Diogenes because of the fact that the quotations of Diogenes’ work, which he himself provides, contain discussions, for example, on the nature of man, which should have been impossible if indeed he only had a copy of On Nature in his possession. At the same time, we have evidence from a work of the medical author Galen that a certain Diogenes wrote a treatise that dealt with a number of diseases and their causes and remedies. It is probable that this was Diogenes of Apollonia because we have other reports from Galen (and Theophrastus) that Diogenes held views about diagnosing a patient by analyzing his tongue and general complexion. This evidence, along with his discussions regarding anatomy and the function of veins, leads to the probability that Diogenes was a professional doctor of some sort who could have produced a technical medical treatise. Another interesting piece of evidence that suggests Diogenes could have been a doctor is the methodological claim he makes regarding his own form of writing, and which sounds very similar to what is said in the beginning of some of the more philosophical works in the Hippocratic corpus. Diogenes Laertius says that this was the first line of Diogenes’ book: “It is my opinion that the author, at the beginning of any account, should make his principle or starting-point indisputable, and his explanation simple and dignified” (Fr. 1).  Such a no-nonsense approach to writing was often championed by the early medical thinkers.

2. Substance Monism

Following his own recommendation that an author should clearly state his purpose up front, Diogenes began his account of nature by explicitly establishing his principle, or starting-point.  He writes:

My opinion, in sum, is that all existing things are differentiated from the same thing, and are the same thing. And this is manifest: for if the things that exist at present in this world-order—earth and water and air and fire and all the other things apparent in this world-order—if any of these were different from the other (different, that is, in its own proper nature), and did not retain an essential identity while undergoing many changes and differentiations, it would be in no way possible for them to mix with each other, or for one to help or harm the other, or for a growing plant to grow out of the earth or for a living creature or anything else to come into being, unless they were so composed as to be the same thing.  But all these things, being differentiated from the same thing, become different kinds at different times and return into the same thing. (Fr. 2)

Diogenes was what we today call a ‘substance monist’.  Substance monism is the idea that everything is one thing. In other words, it means that all putative different things essentially are one self-identical thing. Substance Monism is an answer to the question, ‘what is and how many are there? According to Diogenes, for anything to be it must paradoxically be both identical to and different from the one, the thing that is – the one substance that is everything. The differences, however, of things from the one thing that is, are never ‘proper,’ as Diogenes argues. That is to say, the differences of things are never substantial, but rather they are only adjectival differences.

Now, while we do not find the term ‘substance’ in the fragments we have of Diogenes’ writing, the idea of a substance, and, moreover, the idea of substance monism, can help us understand what Diogenes meant when he said ‘all existing things are differentiated from the same thing, and are the same thing.’ A substance is what a thing is. It is the basic being of a thing; the essential reality a thing has to have in order for it to be what it is.  Things are substances if they essentially are the things they are. The essence of a substance is its own existence. This line of arguing was common to all the Presocratics because for them it was a natural law that out of nothing came nothing and into nothing, nothing went. To truly be, something had to be the essential source or cause of its own existence. Reality or being, therefore, for most of the Presocratics, and especially for Diogenes, is absolutely immanent to itself, and so all the differences there are in nature inhere in, or are internal to, it. This line of reasoning was an early version of what was to become the ontological argument. A Substance is a thing that exists because that is what it is: a thing that exists, a thing that exists on the basis of its own immanent self-sufficiency.

Diogenes was concerned with understanding what it is that makes a thing be what it is, what a thing’s substantial being is, and how many of these things or substances there really are. He wanted to know what makes a thing substantial. To understand what things are, what makes things be what they are, and how many of them there are, Diogenes simply observed both what he himself was composed of and what the primary qualities of everything he had ever experienced and thus thought about were. Like all the Presocratic philosophers, Diogenes’ chief observation was that all things are natural or physical. Diogenes observed that all things of this ‘present world-order’ are natural or physical elemental qualities such as earth, water, fire, and air. The observation that all things are natural or physical also implied that all things change, and that everything is moving in some degree, both growing and decaying, composing and decomposing, and speeding up and slowing down. For Diogenes, then, all things are physical and moving, for they are all natural and living. Therefore, the one self-identical substance that is in essence all different things is nature itself, which is the mobile, living, and absolutely physical identity of the universe. Furthermore, all the different things nature expresses of itself, or modifies via itself are variable forms of earth, water, fire, and air, which compose and decompose with each other in many ways as nature lives and moves. The elemental qualities of nature differ from each other only in degree and are in essence simply a variety of ways in which nature is identical to itself.

The observation that all things are physical, mobile, and different only in elemental degrees led Diogenes to note that if this is indeed the case then all things must be interrelated in some way. Relations, however, seem to demand some form of proper or substantial difference in order to occur. Diogenes was troubled by the apparent demands of proper duality implied by the living and flowing relations he observed as occurring throughout all of nature. The problem he had was that if all the things he observed relating throughout nature were really different from each other, then there was nothing in them or about them that made such relations even possible in the first place (for how could things truly relate that are really different from each other?) and thus, even more threateningly, everything he perceived as expressing a certain substantial identity was then utterly deceptive and false. In response to this dilemma, he noticed that if things relate in some degree, as they certainly seem to, there must be at least something they share, something in common between them that enables them to relate. That it is manifestly clear that things relate allowed Diogenes to assert the equally indubitable fact that there must be something between them they must all share that allows them to relate.  If things were so different from each other that either they could not relate at all or that their relations brought about only their total fragmentation or annihilation, nothing in nature could grow or move or become in any way radically contrary to what he observed as happening in nature. For this reason, Diogenes posited that there must be some one thing, some self-identical substance that allows all the naturally different things to interact, relate, and compose and decompose with each other. Without a fundamental substance implicitly and inherently linking all things together, nothing would have a common ground to share and work upon or a situational medium through which to change and grow. Therefore, there must be a thing that makes all things relatable, a thing that allows all things to be different from each other to some degree, yet still be connected enough to each other to allow them to interact and compose and decompose with each other. This thing, for Diogenes, was going to have to be everywhere, all the time because there was nowhere at any time that he did not observe natural bodies moving, growing, and relating.

Substance monism, therefore, served not only to explain the absolute immanence and essential self-identity of nature to itself, it also explained how all the kinds of living, growing, and interacting of singular beings occur throughout nature. By sharing the common substance they all modify, all the different things of nature, all the elemental and formal means of composing and decomposing could relate, interact, and help and harm each other through the infinite and eternal process of natural or physical growth and decay. In other words, for Diogenes and his kind of substance monism, being is becoming, nature is nurturing, and all forms of movement, work, creation, destruction, and causality are so many ways one self-identical substance naturally lives the life of all its self-differentiated forms. For Diogenes, substance monism entails that nature is life and that, in essence, the universe lives. One absolutely physical identity underwrites all the apparent diversity.

3. Air

 

Diogenes’ substance monism may seem radically opposed to what we believe today, especially with respect to our definitions of nature and life. Yet, even in Diogenes’ own time, his thinking was considered to be as peculiar and eclectic as that of many of the other Presocratics. Presocratic philosophy was often considered, in its own time and even today, to be neither religious nor scientific, but rather idiosyncratic and esoteric because of its emphasis on achieving the experience of a direct and immediate intuition of the essence of nature. Such an intuition defines the rarity and excellence of Presocratic wisdom. Like other Presocratics, Diogenes was a sage-like independent spirit who neither followed nor founded a school and who made use of the best elements of other philosophies he thought worthy of greater elaboration and which could yield him the wisdom he sought and loved. One such philosopher he borrowed from, as we mentioned, was Anaximenes. Like Anaximenes, Diogenes maintained that air is the one substance of which everything is made, and is a mode of. In his Refutation of all Heresies, Hippolytus reports,

Anaximenes…said that infinite air was the principle, from which the things that are becoming, and that are, and that shall be, and gods and things divine, all come into being, and the rest from its products. The form of air is of this kind: whenever it is most equable, it is invisible to sight, but is revealed by the cold and the hot and the damp and by movement. It is always in motion; for things that change do not change unless there be movement. Through becoming denser or finer it has different appearances; for when it is dissolved into what is finer it becomes fire, while winds, again, are air that is becoming condensed, and cloud is produced from air by felting. When it is condensed still more, water is produced; with a further degree of condensation earth is produced, and when condensed as far as possible, stones. The result is that the most influential components of generation are opposites, hot and cold. (Kirk, Raven, and Schofield: 1983, 145)

Diogenes agreed with Anaximenes and proposed that air is the one substance that is reality. Following Anaximenes, Diogenes argued that air is the essential identity of all different things and that all different things are just so many forms of condensed or rarefied air. Nature, as air, is an infinite and eternal process that, through its indivisible mobility and continuity, constantly becomes all the ways it comes to be and passes away through an absolute multiplicity of singular beings. All different things are momentarily denser or finer forms or modes of one ubiquitous air. Through Simplicius, Theophrastus tells us,

Diogenes the Apolloniate, almost the youngest of those who occupied themselves with these matters (that is, physical studies), wrote for the most part in an eclectic fashion, following Anaxagoras in some things and Leucippus in others. He, too, says that the substance of the universe is infinite and eternal air, from which, when it is condensed and rarefied and changed in its dispositions, the form of other things comes into being. This is what Theophrastus relates about Diogenes; and the book of Diogenes which has reached me, entitled On Nature, clearly says that air is that from which all the rest come into being. (Fr. 2)

Now, there is for us something obviously problematic about Diogenes’ thinking regarding air. The problem we have with trying to reconcile Diogenes’ thinking with what we know today is figuring out how ‘air’ can still be an absolutely cosmic, indivisibly infinite, and eternally living substance when it is limited to only the earth’s atmosphere. We understand air today to be reducible to other properties. To approach this problem it must first be understood what Diogenes meant by the term we are using. Aer in Ancient Greek was rooted in the verb ‘to blow, or breathe’ and the term often denoted a certain sense of loftiness and light, spirited movement.  Aer was also associated with the wind, the sky, and brightness. What Diogenes meant by air was the celerity and rapidity of the light and fluid movement of nature’s waxing and waning, its constant condensing and rarefying, its expanding and contracting. Air, for Diogenes, is the gaseous fluidity of all living and natural phenomena. It is important to understand that by ‘air’ Diogenes did not intend the grand total of all the substantially distinct atoms of oxygen, nitrogen, argon and so on that compose our atmosphere, but rather the simple fact that all things are natural, living, and moving. Air, for Diogenes, was both the constant stirring of the atmosphere as a singular elemental formation, and also all the ‘inhalations’ and ‘exhalations’ of the planetary and celestial movements. Air expresses the becoming of being, the living of nature. A mobile movement, a movement conceived not as the attribute or property of an immobile substance, but rather as a substance itself, movement itself conceived as substance, is what Diogenes understood by air. Air is the indivisible body that is the universe, all that is: “this very thing [air] is both eternal and immortal body, but of the rest some come into being, some pass away” (Fr. 7). And of the rest that come into being and pass away, they are all ways air modifies itself.  Atmospheric air is, therefore, another way absolute, substantial air (aer) becomes and expresses itself.

4. Intelligence and Divinity

 

Diogenes, moreover, says that air is intelligence. The Ancient Greek term for intelligence is noesis. Noesis is not just intelligence in the sense of being sharp or smart. What Diogenes designated by noesis was the active power of a mind to immediately intuit and know what it thinks. Noesis is not so much a belief held by a mind, as it is the activity of thinking itself that is a mind. A mind is an actively thinking thing. Now, we might be wondering how the absolute cosmic substance, air, could also have an immediately intuitive and active mind, that is, how it could also be a thinking thing. First, it is important to keep in mind that everything was physical for Diogenes. Thinking was a physical process for him that was not limited to only organisms with brains. (There will be more on this in the next section.) In other words, thinking did not solely mean cognition for Diogenes. Air is intelligence itself; pure thought intuitively thinking itself.  Just as all singular bodies are in air as modes or ways it modifies and transforms itself through condensation and rarefaction, so too are all minds, all intellects or intelligent beings, in air as modes or ideas through which it immediately intuits and thus thinks itself. If air is intelligence, or purely active thinking, and intelligence is thus the one indivisible body that imbues everything, then every singular body is also going to be imbued with mind. Second, Diogenes argued that intelligence was the power inherent to air with which it could absolutely and internally differentiate itself in a rational and measured fashion. We have already seen the four main elements of nature as an example of this rational and measured differentiation. Intelligence was for Diogenes a sufficient reason for all the differences of degree found throughout nature:

For, he [Diogenes] says, it would not be possible without intelligence for it [sc. the substance] so to be divided up that it has measures of all things—of winter and summer and night and day and rains and winds and fair weather. The other things, too, if one wishes to consider them, one would find disposed in the best possible way. (Fr. 3)

The intelligence and the soul, the thinking and the living of singular beings are modifications of substantial air-intelligence. Through the cessation of breathing, sensing, and knowing, living beings decompose and lose their intelligence, but only so there can be a simultaneous re-composition of air-intelligence elsewhere. Diogenes says, “Men and the other living creatures live by means of air, through breathing it. And this is for them both soul [that is, life principle] and intelligence, as will be clearly shown in this work; and if this is removed, then they die and intelligence fails.” (Fr. 7)

Diogenes also says that air is divine. Divinity designated natural power for the Presocratics, who also tended not to anthropomorphize their gods. Instead, a divinity for the first philosophers was more a natural force, usually an elemental power found permeating all of nature and imbuing it with all its creative and destructive power. Along with substance monism, pantheism—the idea that everything is divine, that God is all things—was an idea shared by many of the Presocratics. For Diogenes, his substance monism definitely entailed pantheism. Air-intelligence is divine. Only a god could remain identical to itself while also rationally differentiating itself through an infinity of singular beings. Only a god as well could have the intuitive intelligence to actively and affirmatively know all the self-identical differentiations it expressed of itself. As Diogenes says, it is only nature conceived as an absolutely immanent and divine air-intelligence that could be “both great and strong and eternal and immortal and much-knowing (Fr. 8).” Diogenes summarized all these points wonderfully when he wrote:

And it seems to me that that which has intelligence is what men call air, and that all men are steered by this and that it has power over all things. For this very thing seems to me to be a god and to have reached everywhere and to dispose all things and to be in everything. And there is no single thing that does not have a share of this; but nothing has an equal share of it, one with another, but there are many fashions both of air itself and of intelligence. For it is many-fashioned, being hotter and colder and drier and moister and more stationary and more swiftly mobile, and many other differentiations are in it both of taste and of color unlimited in number. And yet of all living creatures the soul is the same, air that is warmer than the outside, in which we exist, but much cooler than that near the sun. But in none of living creatures is this warmth alike (since it is not even so in individual men); the difference is not great, but as much as still allows them to be similar. Yet it is not possible for anything to become truly alike, one to the other, of the things undergoing differentiation, without becoming the same. Because, then, the differentiation is many-fashioned, living creatures are many fashioned and many in number, resembling each other neither in form nor in way of life nor in intelligence, because of the number of differentiations. Nevertheless, they all live and see and hear by the same thing, and have the rest of their intelligence from the same thing. (Fr. 5)

5. Cosmology and Physiology

 

Singular beings are not only composed of air, they also live and have intelligence by breathing air. The soul or life principle of all things is an absolute and divine air-intelligence that, in a sense, breathes through itself in all the forms it takes on. Air is both eternal and omnipresent as it takes on an unlimited number of forms. Like many of the Presocratics, Diogenes provides an account of how air modifies itself through a variety of physical compositions ranging from galaxies and solar systems to respiratory, circulatory, and cognitive systems. Diogenes provides us with a cosmogony that explains the creation of the earth and sun on the basis of the condensation and rarefaction of air. In The pseudo-Plutarchean Stromateis, which Eusebius preserved, it is stated that:

Diogenes the Apolloniate premises that air is the element, and that all things are in motion and the worlds innumerable. He gives this account of cosmogony: the whole was in motion, and became rare is some places and dense in others; where the dense ran together centripetally it made the earth, and so the rest by the same method, while the lightest parts took the upper position and produce the sun. (Kirk, Raven, and Schofield: 1983, 445)

Diogenes also made some cosmological observations. He gave an interesting account of heavenly bodies that included an attempt to explain meteorites.

Diogenes says that the heavenly bodies are like pumice-stone, and he considers them as the breathing-holes of the world; and they are fiery. With the visible heavenly bodies are carried round invisible stones, which for this reason have no name: they often fall on the earth and are extinguished, like the stone star that made its fiery descent at Aegospotami. (Kirk, Raven, and Schofield: 1983, 445)

There are many similarities between Diogenes’ cosmogony and cosmology and that of his fellow Presocratics. First, he posits the existence of innumerable worlds like many other Presocratics. It makes sense that Diogenes asserts an immeasurable plurality of worlds because he places no restrictions to the amount of differentiations and composition air can take. Why wouldn’t there be a plethora of worlds littered throughout the universe insofar as worlds are, by definition, just momentary formations of the universe (air) anyway? Secondly, it is from Anaxagoras that Diogenes likely borrowed the idea of a noetic substance forming a vortex within itself. Thirdly, it was common in the Ionic tradition to describe the origin of the earth as the formation of more concentrated and denser material in the center of such a vortex. Likewise, the rarer material would go to the extremes of the vortex, following the law that differentiation is a symmetrical process whereby like follows like. Lighter air, therefore, tends towards greater heights and extremities while denser air tends to concentrate into relative core positions. With respect to astronomical objects, it seems Diogenes said heavenly bodies were like pumice stone because pumice is both glowing and light, or ‘airy,’ and composed of translucent and very porous bubble walls, which are, once again, qualities that accommodate the substance that Diogenes countenances.

From extrasolar objects and the solar system down to the earth itself, Diogenes continues to explain all physical and psychological phenomena as so many self-modifying processes of one substantial air. Within and through the atmospheric air of our planet, Diogenes addresses the thinking and sensing of particular organisms. The law of like following like is as applicable on earth as it is throughout the cosmos. From Theophrastus’ de sensu, Diogenes is reported as having a detailed theory of sensation and cognition based on the reception and circulation of air within and between singular beings. Each of the five senses are dealt with in terms of how they process air. Degrees of intelligence or cognitive ability are also delineated by the amount and kind of air each being possesses. The differences between beings are defined by how swiftly, and with how much agility, they engender and circulate. Some beings, for example, have more intelligence, or more complex brain activity while others have say, a better sense of smell. All kinds of perception, however, are ways that air processes and modifies itself.

Diogenes attributes thinking and the senses, as also life, to air.  Therefore he would seem to do so by the action of similars (for he says that there would be no action of being acted upon, unless all things were from one). The sense of smell is produced by the air round the brain. Hearing is produced whenever the air within the ears, being moved by the air outside, spreads toward the brain. Vision occurs when things are reflected on the pupil, and it, being mixed with the air within, produces a sensation. A proof of this is that, if there is an inflammation of the veins (that is, those in the eye), there is no mixture with the air within, nor vision, although the reflexion exists exactly as before. Taste occurs to the tongue by what is rare and gentle. About touch he gave no definition, either about its nature or its objects. But after this he attempts to say what is the cause of more accurate sensations, and what sort of objects they have. Smell is keenest for those who have least air in their heads, for it is mixed most quickly; and, in addition, if a man draws it in through a longer and narrower channel; for in this way it is more swiftly assessed. Therefore some living creatures are more perceptive of smell than are men; yet nevertheless, if the smell were symmetrical with the air, with regard to mixture, man would smell perfectly.  (Kirk, Raven, and Schofield: 1983, 448).

It seems that for Diogenes correspondence in perception entails a matching-up of the degrees of air within the brain with air that is being received through the sensitive faculties. Sensation itself is the reception of air by air and so is a mixing of airs through the aerated blood channels that are themselves oxygenated through respiration.  (Diogenes also attempted an anatomy of the veins.) Usually, the reception of air by air takes place in an organism as an agitation or irritation of the sense organs and thus also the brain. An accurate or adequate perception is one in which there is a mutually interpenetrating coalescence of finer air flows within, between, and amongst the parts of organisms and the finer air received through sensations. This entails that a certain kind of affective or sensitive openness, which can be regarded as a susceptibility to finer air, allows for greater perceptual correspondences with the other kinds of air-composites.  Such affective openness implies that one must come to pursue or avoid interaction with other air-composites in accordance with how they increase or decrease one’s respiratory and cognitive abilities. The trick is to have sensitive correspondences serve the rationally differentiated regulatory systems that allow organisms to survive and persevere. Overall, Diogenes was one of the first thinkers to emphasis the relationship between sensation, respiration, and cognition.

Theophrastus continues in his report of Diogenes’ thinking regarding sensation and cognition. Pleasure and pain are also definable by the sensitive reception and circulation of air.

That the air within perceives, being a small portion of the god, is indicated by the fact that often, when we have our mind on other things, we neither see nor hear.  Pleasure and pain come about in this way: whenever air mixes in quantity with blood and lightens it, being in accordance with nature, and penetrates through the whole body, pleasure is produced; but whenever the air is present contrary to nature and does not mix, then the blood coagulates and becomes weaker and thicker, and pain is produced. Similarly, confidence and health and their opposites… Thought, as has been said, is caused by pure and dry air; for a moist emanation inhibits the intelligence; for this reason thought is diminished in sleep, drunkenness, and surfeit. That moisture removes intelligence is indicated by the fact that other living creatures are inferior in intellect, for they breathe the air from the earth and take to themselves moister sustenance. (Kirk, Raven, and Schofield: 1983, 448)

The key to cultivating a stronger intelligence, greater pleasures, and a good sense of taste (for the wise man is the sage, the sapiens, the one who tastes well) is to take in, breathe, and allow to permeate one’s organic structure the finer, lighter, dryer, warmer, and swifter air. To breathe well is to live well. To stand erect, awake, warm-blooded, firm, and at attention is to manifest a stronger and more well-regulated and attuned disposition.  Like Heraclitus, Diogenes advises that one must avoid excessive moistening. To become more god-like, more substantially identical with what one essentially is, one should actively, aggressively, and affirmatively seek out other aerated bodies of similar dispositions and compose well with them. Certain compositions lead to the reproduction of new organic forms. Since air is the vitality of its own natural and substantial existence, it will continuously reproduce itself through the distribution of its own aerated seeds.  Indeed, air, understood as nature’s ubiquitous and eternal living, is constantly conceiving itself, impregnating and giving birth to its own various forms of gradients of denser or finer air.

Diogenes, it is worth mentioning, also had an interest in embryology. The self-conception of air takes place through the intermingling of aerated sperm and eggs. For Diogenes, life grows naturally and intelligently at all levels because of the aerated nature of blood and veins.

And in the continuation he shows that also the sperm of living creatures is aerated and acts of intelligence take place when the air, with the blood, gains possession of the whole body through the veins; in the course of which he gives an accurate anatomy of the veins. Now in this he clearly says that what men call air is the material principle. (Fr. 5)

6. Influence and Historical Role

The Eleatic philosophers were monists, believing that were there two things, we would have to say of one that it is not (the other). They thought, however, that one may not speak of what is not, as one would be speaking of nothing. The fact that there is only one thing in existence was thought to entail that change could not occur, as there would need to be two things for there to be the relata required for a causal relation. Diogenes seems to have agreed with the monistic aspect of the Eleatic philosophy while attempting to accommodate the possibility of change. His move was to claim that one thing might be a causa sui, and that the change we experience is the alteration thereof. The substance best suited as the substrate was thought to be air, and here rings reminiscent the view of Anaximenes. One also finds, arguably, the influence of Anaxagoras, when one considers the claim that this substance is intelligence or nous. Finally, it is worth noting that the idea that the universe is a living being is broached in Plato’s Timaeus. And the idea of substance monism has had other advocates in the history of philosophy, most famous perhaps being Benedict Spinoza.

7. References and Further Reading

There are no monographs on Diogenes of Apollonia in English. Unfortunately, Diogenes has been given rather brief attention throughout the secondary literature. Diogenes is usually addressed in chapters in books on the Presocratics.

  • Barnes, Jonathan. The Presocratic Philosophers. London: Routledge & Kegan Paul (1 vol. ed.), 1982, 568-592.
  • Burnet, J. Early Greek Philosophy. London: Black (4th ed.), 1930.
  • Diels, H. “Leukippos und Diogenes von Apollonia.” RM 42, 1887, 1-14.
  • Diller, H. “Die philosophiegeschichtliche Stellung des Diogenes von Apollonia.” Hermes 76, 1941, 359-81.
  • Guthrie, W.K.C. The Presocratic Tradition from Parmenides to Democritus. Vol. II. Cambridge: Cambridge University Press, 1993, 362-381.
  • Huffmeier, F. “Teleologische Weltbetrachtung bei Diogenes von Apollonia.” Philologus 107, 1963, 131-38.
  • Jaeger, Werner. The Theology of the Early Greek Philosophers. Oxford: Oxford University Press, 1967, 155-171.
  • Kirk, G.S., J.E. Raven, and M. Schofield. The Presocratic Philosophers. 2nd edn. Cambridge: Cambridge University Press, 1983.
  • Laks, Andre. “Soul, Sensation, and Thought.” The Cambridge Companion to Early Greek Philosophy. Cambridge: Cambridge University Press, 1999, 250-270.
  • Laks, Andre. Diogene d’ Apollonie. Paris: Lille, 1983.
  • McKirahan, Richard D. Philosophy Before Socrates. Indianapolis: Hackett Publishing Company, 1994, 344-352.
  • Shaw, J. R. “A Note on the Anatomical and Philosophical Claims of Diogenes of Apollonia.” Aperion 11.1, 1977, 53-7.
  • Warren, James. Presocratics. Berkeley: University of California Press, 2007, 175-181.

Author Information

Jason Dockstader
Email: jdock36@hotmail.com
University College Cork
Ireland

David Hume: Causation

HumeDavid Hume (1711-1776) is one of the British Empiricists of the Early Modern period, along with John Locke and George Berkeley. Although the three advocate similar empirical standards for knowledge,  that is, that there are no innate ideas and that all knowledge comes from experience, Hume is known for applying this standard rigorously to causation and necessity. Instead of taking the notion of causation for granted, Hume challenges us to consider what experience allows us to know about cause and effect.

Hume shows that experience does not tell us much. Of two events, A and B, we say that A causes B when the two always occur together, that is, are constantly conjoined. Whenever we find A, we also find B, and we have a certainty that this conjunction will continue to happen. Once we realize that “A must bring about B” is tantamount merely to “Due to their constant conjunction, we are psychologically certain that B will follow A”, then we are left with a very weak notion of necessity. This tenuous grasp on causal efficacy helps give rise to the Problem of Induction–that we are not reasonably justified in making any inductive inference about the world. Among Hume scholars it is a matter of debate how seriously Hume means us to take this conclusion and whether causation consists wholly in constant conjunction.

This article examines the empirical foundations that lead Hume to his account of causation before detailing his definitions of causation and how he uses these key insights to generate the Problem of Induction. After explicating these two main components of Hume’s notion of causation, three families of interpretation will be explored: the causal reductionist, who takes Hume’s definitions of causation as definitive; the causal skeptic, who takes Hume’s problem of induction as unsolved; and the causal realist, who introduces additional interpretive tools to avoid these conclusions and maintains that Hume has some robust notion of causation.

Table of Contents

  1. Causation’s Place in Hume’s Taxonomy
  2. Necessary Connections and Hume’s Two Definitions
  3. The Problem of Induction
  4. Causal Reductionism
  5. Causal Skepticism
  6. Causal Realism
  7. References and Further Reading
    1. A Note on Hume’s Works
    2. Hume’s Works on Causation
    3. Works in the History of Philosophy
    4. Contemporary Metaphysics of Causation

1. Causation’s Place in Hume’s Taxonomy

Hume’s most important contributions to the philosophy of causation are found in A Treatise of Human Nature, and An Enquiry concerning Human Understanding, the latter generally viewed as a partial recasting of the former. Both works start with Hume’s central empirical axiom known as the Copy Principle. Loosely, it states that all constituents of our thoughts come from experience. By learning Hume’s vocabulary, this can be restated more precisely. Hume calls the contents of the mind perceptions, which he divides into impressions and ideas. Though Hume himself is not strict about maintaining a concise distinction between the two, we may think of impressions as having their genesis in the senses, whereas ideas are products of the intellect. Impressions, which are either of sensation or reflection (memory), are more vivid than ideas. Hume’s Copy Principle therefore states that all our ideas are products of impressions.

At first glance, the Copy Principle may seem too rigid. To use Hume’s example, we can have an idea of a golden mountain without ever having seen one. But to proffer such examples as counter to the Copy Principle is to ignore the activities of the mind. The mind may combine ideas by relating them in certain ways. If we have the idea of gold and the idea of a mountain, we can combine them to arrive at the idea of a golden mountain. The Copy Principle only demands that, at bottom, the simplest constituent ideas that we relate come from impressions. This means that any complex idea can eventually be traced back to its constituent impressions.

In the Treatise, Hume identifies two ways that the mind associates ideas, via natural relations and via philosophical relations. Natural relations have a connecting principle such that the imagination naturally leads us from one idea to another. The three natural relations are resemblance, contiguity, and cause and effect. Of these, Hume tells us that causation is the most prevalent. But cause and effect is also one of the philosophical relations, where the relata have no connecting principle, instead being artificially juxtaposed by the mind. Of the philosophical relations, some, such as resemblance and contrariety, can give us certitude. Some cannot. Cause and effect is one of the three philosophical relations that afford us less than certain knowledge, the other two being identity and situation. But of these, causation is crucial. It alone allows us to go beyond what is immediately present to the senses and, along with perception and memory, is responsible for all our knowledge of the world. Hume therefore recognizes cause and effect as both a philosophical relation and a natural relation, at least in the Treatise, the only work where he draws this distinction.

The relation of cause and effect is pivotal in reasoning, which Hume defines as the discovery of relations between objects of comparison. But note that when Hume says “objects”, at least in the context of reasoning, he is referring to the objects of the mind, that is, ideas and impressions, since Hume adheres to the Early Modern “way of ideas”, the belief that sensation is a mental event and therefore all objects of perception are mental. But causation itself must be a relation rather than a quality of an object, as there is no one property common to all causes or to all effects. By so placing causation within Hume’s system, we arrive at a first approximation of cause and effect. Causation is a relation between objects that we employ in our reasoning in order to yield less than demonstrative knowledge of the world beyond our immediate impressions. However, this is only the beginning of Hume’s insight.

2. Necessary Connections and Hume’s Two Definitions

In both the Treatise and the Enquiry, we find Hume’s Fork, his bifurcation of all possible objects of knowledge into relations of ideas and matters of fact. Hume gives several differentiae distinguishing the two, but the principal distinction is that the denial of a true relation of ideas implies a contradiction. Relations of ideas can also be known independently of experience. Matters of fact, however, can be denied coherently, and they cannot be known independently of experience. Although Immanuel Kant later seems to miss this point, arguing for a middle ground that he thinks Hume missed, the two categories must be exclusive and exhaustive. A true statement must be one or the other, but not both, since its negation must either imply a contradiction or not. There is no middle ground. Yet given these definitions, it seems clear that reasoning concerning causation always invokes matters of fact. For Hume, the denial of a statement whose truth condition is grounded in causality is not inconceivable (and hence, not impossible; Hume holds that conceivability implies possibility). For instance, a horror movie may show the conceivability of decapitation not causing the cessation of animation in a human body. But if the denial of a causal statement is still conceivable, then its truth must be a matter of fact, and must therefore be in some way dependent upon experience. Though for Hume, this is true by definition for all matters of fact, he also appeals to our own experience to convey the point. Hume challenges us to consider any one event and meditate on it; for instance, a billiard ball striking another. He holds that no matter how clever we are, the only way we can infer if and how the second billiard ball will move is via past experience. There is nothing in the cause that will ever imply the effect in an experiential vacuum. And here it is important to remember that, in addition to cause and effect, the mind naturally associates ideas via resemblance and contiguity. Hume does not hold that, having never seen a game of billiards before, we cannot know what the effect of the collision will be. Rather, we can use resemblance, for instance, to infer an analogous case from our past experiences of transferred momentum, deflection, and so forth. We are still relying on previous impressions to predict the effect and therefore do not violate the Copy Principle. We simply use resemblance to form an analogous prediction. And we can charitably make such resemblances as broad as we want. Thus, objections like: Under a Humean account, the toddler who burned his hand would not fear the flame after only one such occurrence because he has not experienced a constant conjunction, are unfair to Hume, as the toddler would have had thousands of experiences of the principle that like causes like, and could thus employ resemblance to reach the conclusion to fear the flame.

If Hume is right that our awareness of causation (or power, force, efficacy, necessity, and so forth – he holds all such terms to be equivalent) is a product of experience, we must ask what this awareness consists in. What is meant when some event is judged as cause and effect?  Strictly speaking, for Hume, our only external impression of causation is a mere constant conjunction of phenomena, that B always follows A, and Hume sometimes seems to imply that this is all that causation amounts to. (And this notion of causation as constant conjunction is required for Hume to generate the Problem of induction discussed below.)  Nevertheless, ‘causation’ carries a stronger connotation than this, for constant conjunction can be accidental and therefore doesn’t get us the necessary connection that gives the relation of cause and effect its predictive ability. We may therefore now say that, on Hume’s account, to invoke causality is to invoke a constant conjunction of relata whose conjunction carries with it a necessary connection.

Hume points out that this second component of causation is far from clear. What is this necessity that is implied by causation?  Clearly it is not a logical modality, as there are possible worlds in which the standard laws of causation do not obtain. It might be tempting to state that the necessity involved in causation is therefore a physical or metaphysical necessity. However, Hume considers such elucidations unhelpful, as they tell us nothing about the original impressions involved. At best, they merely amount to the assertion that causation follows causal laws. But invoking this common type of necessity is trivial or circular when it is this very efficacy that Hume is attempting to discover.

We must therefore follow a different route in considering what our impression of necessity amounts to. As causation, at base, involves only matters of fact, Hume once again challenges us to consider what we can know of the constituent impressions of causation. Once more, all we can come up with is an experienced constant conjunction. Of the common understanding of causality, Hume points out that we never have an impression of efficacy. Because of this, our notion of causal law seems to be a mere presentiment that the constant conjunction will continue to be constant, some certainty that this mysterious union will persist. Hume argues that we cannot conceive of any other connection between cause and effect, because there simply is no other impression to which our idea may be traced. This certitude is all that remains.

For Hume, the necessary connection invoked by causation is nothing more than this certainty. Hume’s Copy Principle demands that an idea must have come from an impression, but we have no impression of efficacy in the event itself. Instead, the impression of efficacy is one produced in the mind. As we experience enough cases of a particular constant conjunction, our minds begin to pass a natural determination from cause to effect, adding a little more “oomph” to the prediction of the effect every time, a growing certitude that the effect will follow again. It is the internal impression of this “oomph” that gives rise to our idea of necessity, the mere feeling of certainty that the conjunction will stay constant. Ergo, the idea of necessity that supplements constant conjunction is a psychological projection. We cannot help but think that the event will unfurl in this way.

Having approached Hume’s account of causality by this route, we are now in a position to see where Hume’s two definitions of causation given in the Treatise come from. (He gives similar but not identical definitions in the Enquiry.) He defines “cause” in the following two ways:

(D1)      An object precedent and contiguous to another, and where all the objects resembling the former are placed in like relations of precedency and contiguity to those objects that resemble the latter.

(D2)      An object precedent and contiguous to another, and so united with it, that the idea of the one determined the mind to form the idea of the other, and the impression of the one to form a more lively idea of the other. (T 1.3.14.31; SBN 170)

There are reams of literature addressing whether these two definitions are the same and, if not, to which of them Hume gives primacy. J.A. Robinson is perhaps the staunchest proponent of the position that the two are nonequivalent, arguing that there is a nonequivalence in meaning and that they fail to capture the same extension. Two objects can be constantly conjoined without our mind determining that one causes the other, and it seems possible that we can be determined that one object causes another without their being constantly conjoined. But if the definitions fail in this way, then it is problematic that Hume maintains that both are adequate definitions of causation. Some scholars have argued for ways of squaring the two definitions (Don Garrett, for instance, argues that the two are equivalent if they are both read objectively or both read subjectively), while others have given reason to think that seeking to fit or eliminate definitions may be a misguided project.

One alternative to fitting the definitions lies in the possibility that they are doing two separate things, and it might therefore be inappropriate to reduce one to the other or claim that one is more significant than the other. There are several interpretations that allow us to meaningfully maintain the distinction (and therefore the nonequivalence) between the two definitions unproblematically. For instance, D1 can be seen as tracing the external impressions (that is, the constant conjunction) requisite for our idea of causation while D2 traces the internal impressions, both of which are important to Hume in providing a complete account. As Hume says, the definitions are “presenting a different view of the same object.” (T 1.3.14.31; SBN 170)  Supporting this, Harold Noonan holds that D1 is “what is going on in the world” and that D2 is “what goes on in the mind of the observer” and therefore, “the problem of nonequivalent definitions poses no real problem for understanding Hume.” (Noonan 1999: 150-151)  Simon Blackburn provides a similar interpretation that the definitions are doing two different things, externally and internally. However, Blackburn has the first as giving the “contribution of the world” and the latter giving the “functional difference in the mind that apprehends the regularity.” (Blackburn 2007: 107)  However, this is not the only way to grant a nonequivalence without establishing the primacy of one over the other.

Another method is to cash out the two definitions in terms of the types of relation. Some scholars have emphasized that, according to Hume’s claim in the Treatise, D1 is defining the philosophical relation of cause and effect while D2 defines the natural relation. Walter Ott argues that, if this is right, then the lack of equivalence is not a problem, as philosophical and natural relations would not be expected to capture the same extension. (Ott 2009: 239)  This way of dismissing the nonequivalence of the two definitions becomes more problematic, however, when we realize that Hume does not make the distinction between natural and philosophical relations in the Enquiry, yet provides approximately the same two definitions. If the definitions were meant to separately track the philosophical and natural relations, we might expect Hume to have explained that distinction in the Enquiry rather than dropping it while still maintaining two definitions. Perhaps for this reason, Jonathan Bennett suggests that it is best to forget Hume’s comment of this correspondence. (Bennett 1971: 398)

Though this treatment of literature considering the definitions as meaningfully nonequivalent has been brief, it does serve to show that the definitions need not be forced together. In fact, later in the Treatise, Hume states that necessity is defined by both, either as the constant conjunction or as the mental inference, that they are two different senses of necessity, and Hume, at various points, identifies both as the essence of connection or power. Whether or not Robinson is right in thinking Hume is mistaken in holding this position, Hume himself does not seem to believe one definition is superior to the other, or that they are nonequivalent.

Beyond Hume’s own usage, there is a second worry lingering. Attempting to establish primacy between the definitions implies that they are somehow the bottom line for Hume on causation. But Hume is at pains to point out that the definitions are inadequate. In discussing the “narrow limits of human reason and capacity,” Hume asks,

And what stronger instance can be produced of the surprizing ignorance and weakness of the understanding than [the analysis of causation]?…so imperfect are the ideas we form concerning it, that it is impossible to give any just definition of cause, except what is drawn from something extraneous and foreign to it….But though both these definitions be drawn from circumstances foreign to cause, we cannot remedy this inconvenience, or attain any more perfect definition…. (EHU 7.29; SBN 77, emphasis his)

The tone this passage conveys is one of resigned dissatisfaction. Although Hume does the best that can be expected on the subject, he is dissatisfied, but this dissatisfaction is inevitable. This is because, as Hume maintains in Part VII of the Enquiry, a definiens is nothing but an enumeration of the constituent simple ideas in the definiendum. However, Hume has just given us reason to think that we have no such satisfactory constituent ideas, hence the “inconvenience” requiring us to appeal to the “extraneous.”  This is not to say that the definitions are incorrect. Note that he still applies the appellation “just” to them despite their appeal to the extraneous, and in the Treatise, he calls them “precise.”  Rather, they are unsatisfying. It is an inconvenience that they appeal to something foreign, something we should like to remedy. Unfortunately, such a remedy is impossible, so the definitions, while as precise as they can be, still leave us wanting something further. But if this is right, then Hume should be able to endorse both D1 and D2 as vital components of causation without implying that he endorses either (or both) as necessary and sufficient for causation. For these reasons, Hume’s discussion leading up to the two definitions should be taken as primary in his account of causation rather than the definitions themselves.

3. The Problem of Induction

The second of Hume’s influential causal arguments is known as the problem of induction, a skeptical argument that utilizes Hume’s insights about experience limiting our causal knowledge to constant conjunction. Though Hume gives a quick version of the Problem in the middle of his discussion of causation in the Treatise (T 1.3.6), it is laid out most clearly in Section IV of the Enquiry. An influential argument, the Problem’s skeptical conclusions have had a drastic impact on the field of epistemology. It should be noted, however, that not everyone agrees about what exactly the Problem consists in. Briefly, the typified version of the Problem as arguing for inductive skepticism can be described as follows:

Recall that proper reasoning involves only relations of ideas and matters of fact. Again, the key differentia distinguishing the two categories of knowledge is that asserting the negation of a true relation of ideas is to assert a contradiction, but this is not the case with genuine matters of fact. But in Section IV, Hume only pursues the justification for matters of fact, of which there are two categories:

(A)           Reports of direct experience, both past and present

(B)           Claims about states of affairs not directly observed

Matters of fact of category (A) would include sensory experience and memory, against which Hume never raises doubts, contra René Descartes. For Hume, (B) would include both predictions and the laws of nature upon which predictions rest. We cannot claim direct experience of predictions or of general laws, but knowledge of them must still be classified as matters of fact, since both they and their negations remain conceivable. In considering the foundations for predictions, however, we must remember that, for Hume, only the relation of cause and effect gives us predictive power, as it alone allows us to go beyond memory and the senses. All such predictions must therefore involve causality and must therefore be of category (B). But what justifies them?

It seems to be the laws governing cause and effect that provide support for predictions, as human reason tries to reduce particular natural phenomena “…to a greater simplicity, and to resolve the many particular effects into a few general causes….” (EHU 4.12; SBN 30)  But this simply sets back the question, for we must now wonder what justifies these “general causes.”  One possible answer is that they are justified a priori as relations of ideas. Hume rejects this solution for two reasons:  First, as shown above, we cannot meditate purely on the idea of a cause and deduce the corresponding effect and, more importantly, to assert the negation of any causal law is not to assert a contradiction.

Here we should pause to note that the generation of the Problem of Induction seems to essentially involve Hume’s insights about necessary connection (and hence our treating it first). Since the Problem of Induction demands that causal connections cannot be known a priori, and that our access is only to constant conjunction, the Problem seems to require the most crucial components of his account of necessity. It is therefore an oddity that, in the Enquiry, Hume waits until Section VII to explicate an account of necessity already utilized in the Problem of Section IV. In the Treatise, however, a version of the Problem appears after Hume’s insights about experience limiting causation to constant conjunction but before the explication of the projectivist necessity and his presenting of the two definitions. It is therefore not entirely clear how Hume views the relationship between his account of necessity and the Problem. Stathis Psillos, for instance, views Hume’s inductive skepticism as a corollary to his account of necessary connection. (Psillos 2002: 31)  However, Peter Millican rightly points out that the Problem can still be construed so as to challenge most non-reductive causal theories as well. (Millican 2002: 141)  Kenneth Clatterbaugh goes further, arguing that Hume’s reductive account of causation and the skepticism the Problem raises can be parsed out so they are entirely separable. (Clatterbaugh 1999: 186)  D.M. Armstrong disagrees, arguing that “…if laws of nature are nothing but Humean uniformities, then inductive scepticism is inevitable.” (Armstrong 1999: 52)

Whether the Problem of induction is in fact separable from Hume’s account of necessary connection, he himself connects the two by arguing that “…the knowledge of this relation is not, in any instance, attained by reasonings a priori; but arises entirely from experience, when we find that any particular objects are constantly conjoined with each other.” (EHU 4.6; SBN 27)  Here, Hume invokes the account of causation explicated above to show that the necessity supporting (B) is grounded in our observation of constant conjunction. This is to say that (B) is grounded in (A). But again, (A) by itself gives us no predictive power. We have thus merely pushed the question back one more step and must now ask with Hume, “What is the foundation of all conclusions from experience?” (EHU 4.14; SBN 32, emphasis his)

The answer to this question seems to be inductive reasoning. We use direct observation to draw conclusions about unobserved states of affairs. But this is just to once more assert that (B) is grounded in (A). The more interesting question therefore becomes how we do this. What lets us reason from (A) to (B)?  The only apparent answer is the assumption of some version of the Principle of the Uniformity of Nature (PUN), the doctrine that nature is always uniform, so unobserved instances of phenomena will resemble the observed. This is called an assumption since we have not, as yet, established that we are justified in holding such a principle. Once more, it cannot be known a priori, as we assert no contradiction by maintaining its falsity. A sporadic, random universe is perfectly conceivable. Therefore, knowledge of the PUN must be a matter of fact. But the principle is predictive and not directly observed. This means that the PUN is an instance of (B), but we were invoking the PUN as the grounds for moving from beliefs of type (A) to beliefs of type (B), thus creating a vicious circle when attempting to justify type (B) matters of fact. We use knowledge of (B) as a justification for our knowledge of (B). The bottom line for Hume’s Problem of induction seems to be that there is no clear way to rationally justify any causal reasoning (and therefore no inductive inference) whatsoever. We have no ground that allows us to move from (A) to (B), to move beyond sensation and memory, so any matter of fact knowledge beyond these becomes suspect.

Louis Loeb calls this reconstruction of Hume targeting the justification of causal inference-based reasoning the “traditional interpretation” (Loeb 2008: 108), and Hume’s conclusion that causal inferences have “no just foundation” (T 1.3.6.10; SBN 91) lends support to this interpretation. Under this reconstruction, the epistemic circularity revealed by Hume’s Problem of Induction seems detrimental to knowledge. However, there are philosophers (Max Black, R. B. Braithwaite, Charles Peirce, and Brian Skyrms, for instance) that, while agreeing that Hume targets the justification of inductive inference, insist that this particular justificatory circle is not vicious or that it is unproblematic for various reasons. As discussed below, Hume may be one such philosopher. Alternatively, there are those that think that Hume claims too much in insisting that inductive arguments fail to lend probability to their conclusions. D. C. Stove maintains that, while Hume argues that inductive inference never adds probability to its conclusion, Hume’s premises actually only support “inductive fallibilism”, a much weaker position that induction can never attain certainty (that is, that the inferences are never valid). Hume illicitly adds that no invalid argument can still be reasonable. (Stove 1973: 48)

But not all are in agreement that Hume’s intended target is the justification of causal or inductive inference. Tom Beauchamp and Alexander Rosenberg agree that Hume’s argument implies inductive fallibilism, but hold that this position is adopted intentionally as a critique of the deductivist rationalism of Hume’s time. (Beauchamp and Rosenberg 1981: 44)  Annette Baier defends a similar account, focusing on Hume’s use of “reason” in the argument, which she insists should be used only in the narrow sense of Hume’s “demonstrative sciences”. (Baier 1991: 60)  More recently, Don Garret has argued that Hume’s negative conclusion is one of cognitive psychology, that we do not adopt induction based on doxastically sufficient argumentation. Induction is simply not supported by argument, good or bad. Instead, it is an instinctive mechanism that we share with animals. (Garrett 1997: 92, 94)  Similarly, David Owen holds that Hume’s Problem of induction is not an argument against the reasonableness of inductive inference, but, “Rather Hume is arguing that reason cannot explain how we come to have beliefs in the unobserved on the basis of past experience.” (Owen 1999: 6)  We see that there are a variety of interpretations of Hume’s Problem of induction and, as we will see below, how we interpret the Problem will inform how we interpret his ultimate causal position.

4. Causal Reductionism

Having described these two important components of his account of causation, let us consider how Hume’s position on causation is variously interpreted, starting with causal reductionism. The family of reductionist theories, often read out of Hume’s account of necessity outlined above, maintain that causation, power, necessity, and so forth, as something that exists between external objects rather than in the observer, is constituted entirely by regular succession. In the external world, causation simply is the regularity of constant conjunction. In fact, the defender of this brand of regularity theory of causation is generally labeled a “Humean” about causation. However, since this interpretation, as Hume’s own historical position, remains in contention, the appellation will be avoided here.

Because of the variant opinions of how we should view the relationship between the two definitions proffered by Hume, we find two divergent types of reduction of Humean causation. First, there are reductionists that insist Hume reduces causation to nothing beyond constant conjunction, that is, the reduction is to a simple naïve regularity theory of causation, and therefore the mental projection of D2 plays no part. The motivation for this interpretation seems to be an emphasis on Hume’s D1, either by saying that it is the only definition that Hume genuinely endorses, or that D2 somehow collapses into D1 or that D2 does not represent a genuine ontological reduction, and is therefore not relevant to the metaphysics of causation. Robinson, for instance, claims that D2 is explanatory in nature, and is merely part of an empiricist psychological theory. (Robinson 1962)

This focus on D1 is regarded as deeply problematic by some Hume scholars (Francis Dauer, H.O. Mounce, and Fred Wilson, for instance), because it seems to be an incomplete account of Hume’s discussion of necessary connection presented above. A reductive emphasis on D1 as definitive ignores not only D2 as a definition but also ignores all of the argument leading up to it. This is to disregard the discussion through which Hume accounts for the necessity of causation, a component which he describes as “of much greater importance” than the contiguity and succession of D1. (T 1.3.2.11; SBN 77)  In short, a reduction to D1 ignores the mental determination component. However, this practice may not be as uncharitable as it appears, as many scholars see the first definition as the only component of his account relevant to metaphysics. For instance, D.M. Armstrong, after describing both components, simply announces his intention to set aside the mental component as irrelevant to the metaphysics of causation. (Armstrong 1983: 4)  J. L. Mackie similarly stresses that, “It is about causation so far as we know about it in objects that Hume has the firmest and most fully argued views,” (Mackie 1980: 21) and it is for this reason that he focuses on D1.

However, not everyone agrees that D2 can or should be dropped so easily from Hume’s system. In addition to its accounting for the necessity of causation mentioned above, recall that Hume makes frequent reference to both definitions as accurate or just, and at one point even refers to D2 as constituting the essence of causation. Therefore, whether or not the projectivism of D2 actually is relevant to the metaphysics of causation, a strong case can be made that Hume thinks it is so, and therefore an accurate historical interpretation needs to include D2 in order to capture Hume’s intentions. (Below, the assumption that Hume is even doing metaphysics will also be challenged.)  The more common Humean reduction, then, adds a projectivist twist by somehow reducing causation to constant conjunction plus the internal impression of necessity. (See, for instance, Beauchamp and Rosenberg 1981: 11, Goodman 1983: 60, Mounce 1999: 42, Noonan 1999: 140-145, Ott 2009: 224 or Wilson 1997: 16)  Of course while this second type of reductionist agrees that the projectivist component should be included, there is less agreement as to how, precisely, it is supposed to fit into Hume’s overall causal picture. Largely for this reason, we have a host of reductionist interpretations rather than a single version. The unifying thread of the reductionist interpretations is that causation, as it exists in the object, is constituted by regularity.

But given the Humean account of causation outlined above, it is not difficult to see how Hume’s writings give rise to such reductionist positions. After all, both D1 and D2 seem reductive in nature. If, as is often the case, we take definitions to represent the necessary and sufficient conditions of the definiendum, then both the definitions are reductive notions of causation. D1 reduces causation to proximity, continuity, and constant conjunction, and D2 similarly reduces causation to proximity, continuity, and the internal mental determination that moves the first object or idea to the second. Even considering Hume’s alternate account of definitions, where a definition is an enumeration of the constituent ideas of the definiendum, this does not change the two definitions’ reductive nature. Given that Hume’s discussions of causation culminate in these two definitions, combined with the fact that the conception of causation they provide is used in Hume’s later philosophical arguments of the Treatise, the definitions play a crucial role in understanding his account of causation. Therefore, the various forms of causal reductionism can constitute reasonable interpretations of Hume. By putting the two definitions at center state, Hume can plausibly be read as emphasizing that our only notion of causation is constant conjunction with certitude that it will continue. Nevertheless, reductionism is not the only way to interpret Hume’s theory of causation.

5. Causal Skepticism

One way to interpret the reasoning behind assigning Hume the position of causal skepticism is by assigning similar import to the passages emphasized by the reductionists, but interpreting the claims epistemically rather than ontologically. In other words, rather than interpreting Hume’s insights about the tenuousness of our idea of causation as representing an ontological reduction of what causation is, Humean causal skepticism can instead be viewed as his clearly demarcating the limits of our knowledge in this area and then tracing out the ramifications of this limiting. (Below, we will see that the causal realists also take Hume’s account of necessity as epistemic rather than ontological.)  If Hume’s account is intended to be epistemic, then the Problem of induction can be seen as taking Hume’s insights about our impressions of necessity to an extreme but reasonable conclusion. If it is true that constant conjunction (with or without the added component of mental determination) represents the totality of the content we can assign to our concept of causation, then we lose any claim to robust metaphysical necessity. But once this is lost, we also sacrifice our only rational grounding of causal inference. Our experience of constant conjunction only provides a projectivist necessity, but a projectivist necessity does not provide any obvious form of accurate predictive power. Hence, if we limit causation to the content provided by the two definitions, we cannot use this weak necessity to justify the PUN and therefore cannot ground predictions. We are therefore left in a position of inductive skepticism which denies knowledge beyond memory and what is present to the senses. By limiting causation to constant conjunction, we are incapable of grounding causal inference; hence Humean inductive skepticism.

In this way, the causal skeptic interpretation takes the “traditional interpretation” of the Problem of induction seriously and definitively, defending that Hume never solved it. Since we never directly experience power, all causal claims certainly appear susceptible to the Problem of Induction. The attempted justification of causal inference would lead to the vicious regress explained above in lieu of finding a proper grounding. The supporters of Humean causal skepticism can then be seen as ascribing to him what seems to be a reasonable position,  which is, the conclusion that we have no knowledge of such causal claims, as they would necessarily lack proper justification. The family of interpretations that have Hume’s ultimate position as that of a causal skeptic therefore maintain that we have no knowledge of inductive causal claims, as they would necessarily lack proper justification. We can never claim knowledge of category (B)  D. M. Armstrong reads Hume this way, seeing Hume’s reductivist account of necessity and its implications for laws of nature as ultimately leading him to skepticism. (Armstrong 1983: 53)  Other Hume scholars that defend a skeptical interpretation of causation include Martin Bell, (Rupert and Richman 2007: 129) and Michael Levine, who maintains that Hume’s causal skepticism ultimately undermines his own Enquiry argument against miracles.

There are, however, some difficulties with this interpretation. First, it relies on assigning the “traditional interpretation” to the Problem of induction though, as discussed above, this is not the only account. Secondly, reading the conclusion of the Problem of Induction in this way is difficult to square with the rest of Hume’s corpus. For instance, the Copy Principle, fundamental to his work, has causal implications, and Hume relies on inductive inference as early as T 1.1.1.8; SBN 4. Hume consistently relies on analogical reasoning in the Dialogues Concerning Natural Religion even after Philo grants that the necessity of causation is provided by custom, and the experimental method used to support the “science of man” so vital to Hume’s Treatise clearly demands the reliability of causal inference. Hume’s causal skepticism would therefore seem to undermine his own philosophy. Of course, if this is the correct way to read the Problem of Induction, then so much the worse for Hume.

A more serious challenge for the skeptical interpretation of Hume is that it ignores the proceeding Part of the Enquiry, in which Hume immediately provides what he calls a “solution” to the Problem of Induction. Hume states that, even though they are not supported by reason, causal inferences are “essential to the subsistence of all creatures,” and that:

It is more comfortable to the ordinary wisdom of nature to secure so necessary an act of the mind, by some instinct or mechanical tendency, which may be infallible in its operations, may discover itself at the first appearance of life and thought, and may be independent of all the laboured deductions of the understanding. As nature has taught us the use of our limbs, without giving us the knowledge of the muscles and nerves by which they are actuated; so she has implanted in us an instinct, which carries forward the thought in a correspondent course to that which she has established among external objects; though we are ignorant of those powers and forces, on which this course and succession of objects totally depends. (EHU 5.22; SBN 55)

Here, Hume seems to have causal inference supported by instinct rather than reason. The causal skeptic will interpret this as descriptive rather than normative, but others are not so sure. It is not clear that Hume views this instinctual tendency as doxastically inappropriate in any way. Therefore, another interpretation of this “solution” is that Hume thinks we can be justified in making causal inferences. However, it is not reason that justifies us, but rather instinct (and reason, in fact, is a subspecies of instinct for Hume, implying that at least some instinctual faculties are fit for doxastic assent). This will be discussed more fully below.

6. Causal Realism

Against the positions of causal reductionism and causal skepticism is the New Hume tradition. It started with Norman Kemp Smith’s The Philosophy of David Hume, and defends the view that Hume is a causal realist, a position that entails the denial of both causal reductionism and causal skepticism by maintaining that the truth value of causal statements is not reducible to non-causal states of affairs and that they are in principle, knowable. (Tooley 1987: 246-47)  The case for Humean causal realism is the least intuitive, given the explications above, and will therefore require the most explanation. However, the position can be rendered more plausible with the introduction of three interpretive tools whose proper utilization seems required for making a convincing realist interpretation. Of these, two are distinctions which realist interpretations insist that Hume respects in a crucial way but that non-realist interpretations often deny. The last is some mechanism by which to overcome the skeptical challenges Hume himself raises.

The first distinction is between ontological and epistemic causal claims. Strawson points out that we can distinguish:

(O)  Causation as it is in the objects, and

(E)  Causation so far as we know about it in the objects.

He maintains, “…Hume’s Regularity theory of causation is only a theory about (E), not about (O).” (Strawson 1989: 10)  Whether or not we agree that Hume limits his theory to the latter, the distinction itself is not difficult to grasp. It simply separates what we can know from what is the case. The realist interpretation then applies this to Hume’s account of necessary connection, holding that it is not Hume’s telling us what causation is, but only what we can know of it. Hume’s account is then merely epistemic and not intended to have decisive ontological implications. This undercuts the reductionist interpretation. Simply because Hume says that this is what we can know of causation, it does not follow that Hume therefore believes that this is all that causation amounts to. In fact, such an interpretation might better explain Hume’s dissatisfaction over the definitions. If Hume were a reductionist, then the definitions should be correct or complete and there would not be the reservations discussed above.

Further, given Hume’s skeptical attitude toward speculative metaphysics, it seems unlikely that he would commit the Epistemic Fallacy and allow the inference from “x is all we can know of y” to “x constitutes the real, mind-independent essence of y,”  as some (though not all) reductionist accounts would require. In fact, Hume must reject this inference, since he does not believe a resemblance thesis between perceptions and external objects can ever be philosophically established. He makes this denial explicit in Part XII of the Enquiry.

The epistemic interpretation of the distinction can be made more compelling by remembering what Hume is up to in the third Part of Book One of the Treatise. Here, as in many other areas of his writings, he is doing his standard empiricist investigation. Since we have some notion of causation, necessary connection, and so forth, his Copy Principle demands that this idea must be traceable to impressions. Hume’s account of causation should therefore be viewed an attempt to trace these genesis impressions and to thereby reveal the true content of the idea they comprise. Thus, it is the idea of causation that interests Hume. In fact, the title of Section 1.3.2 is “Of probability; and of the idea of cause and effect”. He announces, “To begin regularly, we must consider the idea of causation, and see from what origin it is deriv’d.” (T 1.3.2.4; SBN 74, his emphasis )  Hume therefore seems to be doing epistemology rather than metaphysics. (Mounce 1999: 32 takes this as indicative of a purely epistemic project.)

Although this employment of the distinction may proffer a potential reply to the causal reductionist, there is still a difficulty lurking. While it may be true that Hume is trying to explicate the content of the idea of causation by tracing its constituent impressions, this does not guarantee that there is a coherent idea, especially when Hume makes occasional claims that we have no idea of power, and so forth. The challenge seems to amount to this:  Even if the previous distinction is correct, and Hume is talking about what we can know but not necessarily what is, the causal realist holds that substantive causal connections exist beyond constant conjunction. This is to posit a far stronger claim than merely having an idea of causation. The realist Hume says that there is causation beyond constant conjunction, thereby attributing him a positive ontological commitment, whereas his own skeptical arguments against speculative metaphysics rejecting parity between ideas and objects should, at best, only imply agnosticism about the existence of robust causal powers. (It is for this reason that Martin Bell and Paul Russell reject the realist interpretation.)  There therefore seems to be a tension between accepting Hume’s account of necessary connection as purely epistemic and attributing to Hume the existence of an entity beyond what we can know by investigating our impressions.

Put another way, Hume’s Copy Principle requires that our ideas derive their content from constitutive impressions. However, if the previous distinction is correct, then Hume has already exhaustively explicated the impressions that give content to our idea of causation.  This is the very same content that leads to the two definitions. It seems that Hume has to commit himself to the position that there is no clear idea of causation beyond the proffered reduction. But if this is true, and Hume is not a reductionist, what is he positing?  It is here that the causal realist will appeal to the other two interpretive tools, viz. a second distinction and a belief mechanism, the former allowing us to make sense of the positive claim and the latter providing justification for it.

The realists claim that the second distinction is explicit in Hume’s writing. This is the distinction between “conceiving” or “imagining” and merely “supposing”. The general proposal is that we can and do have two different levels of clarity when contemplating a particular notion. We can either have a Cartesian clear and distinct idea, or we can have a supposition, that is, a vague, incomplete, or “relative” notion. The suggestion is this:  Simple ideas are clear and distinct (though not as vivid as their corresponding impressions) and can be combined via the various relations. Groups compiled by relating these simple ideas form mental objects. In some cases, they combine in a coherent way, forming clear and distinct complex ideas, while in other cases, the fit is not so great, either because we do not see how the constituent ideas relate, or there is something missing from our conception. These suppositions do not attain the status of complex ideas in and of themselves, and remain an amalgamation of simple ideas that lack unity. The claim would then be that we can conceive distinct ideas, but only suppose incomplete notions.

Something like this distinction has historical precedence. In the Fifth Replies, Descartes distinguishes between some form of understanding and a complete conception. Berkeley also distinguishes between an “idea” and a mere “notion” in the third Dialogue and the second edition of the Principles. Perhaps most telling, Locke uses terminology identical to Hume’s in regard to substance, claiming we have “…no other idea of it at all, but only a Supposition….” (Essay, II.xxiii.2, emphasis his)  Such a supposition is “an obscure and relative Idea.” (Essay, II.xxiii.3)

The realist employment of this second distinction is two-fold. First, the realist interpretation will hold that claims in which Hume states that we have no idea of power, and so forth, are claims about conceiving of causation. They only claim that we have no clear and distinct idea of power, or that what is clearly and distinctly conceived is merely constant conjunction. But a more robust account of causation is not automatically ruled out simply because our notion is not distinct. In this way, the distinction may blunt the passages where Hume seems pessimistic about the content of our idea of causation.

The second step of the causal realist interpretation will be to then insist that we can at least suppose (in the technical sense) a genuine cause, even if the notion is opaque, that is, to insist that mere suppositions are fit for doxastic assent. There doesn’t seem to be anything terribly problematic in believing in something of which we have an unclear representation. To return to the Fifth Replies, Descartes holds that we can believe in the existence and coherence of an infinite being with such vague ideas, implying that a clear and distinct idea is not necessary for belief. Hume denies clear and distinct content beyond constant conjunction, but it is not obvious that he denies all content beyond constant conjunction.

This second distinction is not introduced without controversy. Briefly, against the distinction, Kenneth Winkler offers an alternative suggestion that Hume’s talk of secret connections is actually a reference to further regularities that are simply beyond current human observation (such as the microscopic or subatomic), while ultimately interpreting Hume as an agnostic about robust causation. (Winkler 1991: 552-556)  John Wright argues that this is to ignore Hume’s reasons for his professed ignorance in the hidden, that is, our inability to make causal inferences a priori. (Wright 1983: 92)  Alternatively, Blackburn, a self-proclaimed “quasi-realist”, argues that the terminology of the distinction is too infrequent to bear the philosophical weight that the realist reading would require. (Blackburn 2007: 101-102)  P.J.E. Kail resists this by pointing out that Hume’s overall attitude strongly suggests that he “assumes the existence of material objects,” and that Hume clearly employs the distinction and its terminology in at least one place: T 1.4.2.56; SBN 217-218. (Kail, 2007: 60) There, Hume describes a case in which philosophers develop a notion impossible to clearly and distinctly perceive, that somehow there are properties of objects independent of any perception. We simply cannot conceive such an idea, but it certainly remains possible to entertain or suppose this conjecture. Clatterbaugh takes an even stronger position than Blackburn, positing that for Hume to talk of efficacious secret powers would be literally to talk nonsense, and would force us to disregard Hume’s own epistemic framework, (Clatterbaugh 1999: 204) while Ott similarly argues that the inability to give content to causal terms means Hume cannot meaningfully affirm or deny causation. (Ott 2009: 198)

Even granting that Hume not only acknowledges this second distinction but genuinely believes that we can suppose a metaphysically robust notion of causal necessity, the realist still has this difficulty. How can Hume avoid the anti-realist criticism of Winkler, Ott, and Clatterbaugh that his own epistemic criteria demand that he remain agnostic about causation beyond constant conjunction?  In other words, given the skeptical challenges Hume levels throughout his writings, why think that such a seemingly ardent skeptic would not merely admit the possibility of believing in a supposition, instead of insisting that this is, in fact, the nature of reality?  The realist seems to require some Humean device that would imply that this position is epistemically tenable, that our notion of causation can reasonably go beyond the content identified by the arguments leading to the two definitions of causation and provide a robust notion that can defeat the Problem of Induction.

This is where the realists (and non-realists) seem most divided in their interpretations of Hume. Generally, the appeal is to Hume’s texts suggesting he embraces some sort of non-rational mechanism by which such beliefs are formed and/or justified, such as his purported solution to the Problem of Induction. This picture has been parsed out in terms of doxastic naturalism, transcendental arguments, psychological necessity, instinct, and even some form of proper function. However, what the interpretations all have in common is that humans arrive at certain mediate beliefs via some method quite distinct from the faculty of reason.

Let us now consider the impact that adopting these naturally formed beliefs would have on Hume’s causal theory. The function is two-fold. First, it provides some sort of justification for why it might be plausible for Hume to deem mere suppositions fit for belief. The other role is to answer the skeptical challenges raised by the “traditional interpretation” of the Problem of Induction. It would provide a way to justify causal beliefs despite the fact that said beliefs appear to be without rational grounds. It accomplishes the latter by emphasizing what the argument concludes, namely that inductive reasoning is groundless, that there is no rational basis for inductive inference. As Hume says, “Reason can never show us the connexion of one object with another….” (T 1.3.6.12; SBN 92, emphasis mine)  In granting such a mechanism, we grant Hume the epistemic propriety of affirming something reason cannot establish. Further, it smoothes over worries about consistency arising from the fact that Hume seemingly undercuts all rational belief in causation, but then merrily shrugs off the Problem and continues to invoke causal reasoning throughout his writings.

In the realist framework outlined above, doxastic naturalism is a necessary component for a consistent realist picture. Kemp Smith argues for something stronger, that this non-rational mechanism itself implies causal realism. After engaging the non-rational belief mechanism responsible for our belief in body, he goes on to argue, “Belief in causal action is, Hume argues, equally natural and indispensable; and he freely recognizes the existence of ‘secret’ causes, acting independently of experience.” (Kemp Smith 2005: 88)  He connects these causal beliefs to the unknown causes that Hume tells us are “original qualities in human nature.” (T 1.1.4.6; SBN 13)  Kemp Smith therefore holds that Humean doxastic naturalism is sufficient for Humean causal realism. The reductionist, however, will rightly point out that this move is entirely too fast. Even granting that Hume has a non-rational mechanism at work and that we arrive at causal beliefs via this mechanism does not imply that Hume himself believes in robust causal powers, or that it is appropriate to do so. However, combining Humean non-rational justification with the two distinctions mentioned above at least seems to form a consistent alternative to the reductionist and skeptical interpretations. Just which of these three is right, however, remains contentious.

7. References and Further Reading

a. A Note on Hume’s Works

Hume wrote all of his philosophical works in English, so there is no concern about the accuracy of English translation. For the casual reader, any edition of his work should be sufficient. However, Oxford University Press produced the definitive Clarendon Edition of most of his works. For the serious scholar, these are a must have, as they contain copious helpful notes about Hume’s changes in editions, and so forth. The general editor of the series is Tom L. Beauchamp.

When referencing Hume’s works, however, there are standard editions of the Treatise and his Enquiries originally edited by L.A. Selby-Bigge and later revised by P.H. Nidditch. Hence, citations will often be given with an SBN page number (now called ISBN). But Hume also numerated his own works to varying degrees. The Treatise is divided into three Books, each with Parts, Sections, and paragraphs. Hence, four numbers can give a precise location of a passage. Hume’s two definitions of cause are found at T 1.3.14.31; SBN 170, that is, in the Treatise, Book One, Part Three, Section Fourteen, paragraph thirty-one. This paragraph can be found on page 170 of the Selby-Bigge Nidditch editions. Hume’s shorter works, such as the Enquiry Concerning Human Understanding, are not as thoroughly outlined.  Instead, the Enquiry is only divided into Sections, only some of which have Parts. Hence, we also find Hume’s definitions at EHU 7.29; SBN 76-77, or Part Seven of the Enquiry, paragraph twenty-nine, pages 76 and 77 of the Selby-Bigge Nidditch editions.

b. Hume’s Works on Causation

  • Hume, David. A Treatise of Human Nature. Clarendon Press, Oxford, U.K., 2007, edited by David Fate Norton and Mary J. Norton.
  • Hume, David. An Enquiry Concerning Human Understanding. Clarendon Press, Oxford, U.K., 2000, edited by Tom L. Beauchamp.

c. Works in the History of Philosophy

  • Ayers, Michael. “Natures and Laws from Descartes to Hume”, in The Philosophical Canon in the Seventeenth and Eighteenth Centuries: Essays in Honour of John W. Yolton, edited by G.A.J. Rogers and S. Tomaselli, University of Rochester Press, Rochester, New York, 1996.
    • This article argues that there are two main traditions of efficacy in the Early Modern period, that objects have natures or that they follow laws imposed by God. This bifurcation then informs how Hume argues, as he must engage the former.
  • Baier, Annette C. A Progress of Sentiments- Reflections on Hume’s Treatise. Harvard University Press, Cambridge Massachusetts, 1991.
    • Baier argues for a nuanced reading of the Treatise, that we can only understand it with the addition of the passions, and so forth, of the later Books.
  • Beauchamp, Tom L. and Rosenberg, Alexander. Hume and the Problem of Causation. Oxford University Press, New York, New York, 1981.
    • This is an important but technical explication and defense of the Humean causal reductionist position, both as a historical reading and as a contemporary approach to causation. The authors argue directly against the skeptical position, instead insisting that the Problem of induction targets only Hume’s rationalist predecessors.
  • Beebee, Helen. Hume on Causation. Routledge University Press, New York, New York, 2006.
    • Beebee rejects the standard interpretations of Hume’s causation before proffering her own, which is grounded in human nature and his theory of mind. Her critiques of the standard Humean views are helpful and clear.
  • Bennett, Jonathan. Learning from Six Philosophers. (two volumes)  Oxford University Press, Oxford, U.K., 2001.
    • These two volumes constitute a solid introduction to the major figures of the Modern period. Volume One discusses Descartes, Spinoza, and Leibniz, and Volume Two is an updated recasting of his Locke, Berkeley, Hume- Central Themes.
  • Bennett, Jonathan. Locke, Berkeley, Hume- Central Themes. Oxford University Press, Glasgow, U.K., 1971.
    • This is an excellent overview of the main doctrines of the British empiricists.
  • Blackburn, Simon. “Hume and Thick Connexions”, as reprinted in Read, Rupert and Richman, Kenneth A. (Editors). The New Hume Debate (Revised Edition). Routledge, New York, New York, 2007, pages 100-112.
    • This is the second, updated version of an important investigation into the realism/reductionism debate. He ultimately adopts a “quasi-realist” position that is weaker than the realist definition given above.
  • Buckle, Stephen. Hume’s Enlightenment Tract- The Unity and Purpose of An Enquiry Concerning Human Understanding. Clarendon Press, Oxford, Oxford U.K., 2001.
    • This book examines the Enquiry, distancing it from the standard reading of a recasting of the Treatise. Instead, Buckle argues that the work stands alone as a cohesive whole.
  • Clatterbaugh, Kenneth. The Causation Debate in Modern Philosophy, 1637-1739. Routledge, New York, New York, 1999.
    • This book traces the various causal positions of the Early Modern period, both rationalist and empiricist.
  • Costa, Michael J. “Hume and Causal Realism”. Australasian Journal of Philosophy, 67: 2, pages 172-190.
    • Costa gives his take on the realism debate by clarifying several notions that are often run together. Like Blackburn, he ultimately defends a view somewhere between reductionism and realism.
  • Craig, Edward. “The Idea of Necessary Connexion” in Reading Hume on Human Understanding, edited by Peter Millican, Oxford University Press, New York, New York, 2002, pages 211-229.
    • This article is an updated and expanded defense of the Hume section of The Mind of God and the Works of Man.
  • Craig, Edward. The Mind of God and the Works of Man. Oxford University Press Clarendon, New York, New York, 1987.
    • A complex book that discusses the works of several philosophers in arguing for its central thesis, Craig’s work is one of the first to defend a causal realist interpretation of Hume.
  • Dauer, Francis Watanabe. “Hume on the Relation of Cause and Effect” in A Companion to Hume, edited by Radcliffe, Elizabeth S, Blackwell Publishing, Ltd, Malden, MA, 2008, pages 89-105.
    • Dauer takes a careful look at the text of the Treatise, followed by a critical discussion of the three most popular interpretations of the two definitions.
  • Fogelin, Robert J. Hume’s Skepticism in the Treatise of Human Nature. Routledge and Kegan Paul, London, U.K., 1985.
  • Garrett, Don. Cognition and Commitment in Hume’s Philosophy. Oxford University Press. New York, New York, 1997.
    • This is a great introduction to some of the central issues of Hume’s work. Garrett surveys the various positions on each of ten contentious issues in Hume scholarship before giving his own take. Among other things, he argues for a novel way to square the two definitions of cause.
  • Howson, Colin. Hume’s Problem: Induction and the Justification of Belief. Oxford University Press, Oxford, U.K., 2000.
    • This highly technical text first defends Hume’s skeptical induction against contemporary attempts at refutation, ultimately concluding that the difficulties in justifying induction are inherent. Nevertheless, given certain assumptions, induction becomes viable. He then goes on to provide a reliable Bayesian framework of a limited type.
  • Kail, P.J.E. Projection and Realism in Hume’s Philosophy. Oxford University Press, Oxford, U.K., 2007.
    • This book explores the projectivist strand of Hume’s thought, and how it helps clarify Hume’s position within the realism debate, presenting Hume’s causal account as a combination of projectivism and realism.
  • Kemp Smith, Norman. The Philosophy of David Hume. Palgrave MacMillan, New York, New York, 2005.
    • This is the work that started the New Hume debate. Palgrave MacMillan has released it in a new edition with an extended introduction describing the work’s importance and the status of the debate.
  • Livingston, Donald W. “Hume on Ultimate Causation.”  American Philosophical Quarterly, Volume 8, 1971, pages 63-70.
    • This is a concise argument for causal realism, which Livingston later expands into a book. Here, he defends the Humean skeptical realism that he considers necessary for other strands of Hume’s philosophy.
  • Livingston, Donald W. Hume’s Philosophy of Common Life. University of Chicago Press, Chicago, Illinois, 1984.
    • This is one of the standard explications of Humean causal realism. It stresses Hume’s position that philosophy should conform to and explain common beliefs rather than conflict with them.
  • Loeb, Louis E. “Inductive Inference in Hume’s Philosophy”, in A Companion to Hume, edited by Radcliffe, Elizabeth S, Blackwell Publishing, Ltd, Malden, MA, 2008, pages 106-125.
    • This is a contemporary analysis of the Problem of induction that ultimately rejects causal skepticism.
  • Loeb, Louis E. Stability and Justification in Hume’s Treatise, Oxford University Press, Oxford, U.K., 2002.
    • This well-argued work offers an interpretation of the Treatise building around Hume’s claim that the mind ultimately seeks stability in its beliefs. Linking justification with “settled beliefs” provides a positive rather than merely destructive epistemology.
  • McCracken, Charles J. Malebranche and British Philosophy. Clarendon Press, Oxford, U.K., 1983.
    • Among other things, McCracken shows how much of Hume’s insight into our knowledge of causal necessity can be traced back to the occasionalism of Malebranche.
  • Millican, Peter. “Hume, Causal Realism, and Causal Science”, Mind, Volume 118, Issue 471, July, 2009, pages 647-712.
    • After giving an overview of the recent debate, Millican argues that the New Hume debate should be settled via Hume’s logic, rather than language, and so forth. He largely rejects the realist interpretation, since the reductionist interpretation is required to carry later philosophical arguments that Hume gives.
  • Millican, Peter. “Hume’s Sceptical Doubts concerning Induction”, in Reading Hume on Human Understanding, edited by Peter Millican, Clarendon Press, Oxford, Oxford, U.K. 2002, pages 107-173.
    • This is a somewhat technical reconstruction of the Problem of Induction, as well as an exploration of its place within Hume’s philosophy and its ramifications.
  • Mounce, H.O. Hume’s Naturalism, Routledge, New York, New York, 1999.
    • This book is an extended development of Hume’s doxastic naturalism over his empiricism.
  • Noonan, Harold W. Routledge Philosophy Guidebook to Hume on Knowledge. Routledge, London, U.K., 1999.
    • Noonan gives an accessible introduction to Hume’s epistemology.
  • Ott, Walter. Causation and Laws of Nature in Early Modern Philosophy. Oxford University Press, Oxford, U.K., 2009.
    • This is an advanced survey of causation in the Early Modern period, covering both the rationalists and the empiricists.
  • Owen, David. Hume’s Reason. Oxford University Press, New York, New York, 1999.
    • This book is an extended treatment of Hume’s notion of reason and its impact on many of his important arguments.
  • Robinson, J. A. “Hume’s Two Definitions of ‘Cause’”. The Philosophical Quarterly, Volume 12, 1962.
    • This article is a concise argument for the difficulties inherent to squaring the two definitions.
  • Robinson, J. A. “Hume’s Two Definitions of ‘Cause’ Reconsidered”. The Philosophical Quarterly, Volume 15, 1965, as reprinted in Hume, A Collection of Critical Essays, edited by V. C. Chappell. University of Notre Dame Press, Notre Dame, Indiana, 1966.
    • This is an updated follow-up to his previous article.
  • Read, Rupert and Richman, Kenneth A. (editors). The New Hume Debate- Revised Edition. Routledge, New York, New York, 2007.
    • This compilation presents a balanced collection of the important works on both sides of the causal realism debate.
  • Stove, David. Probability and Hume’s Inductive Skepticism. Oxford University Press, Oxford, U.K., 1973.
    • Stove presents a math-heavy critique of Hume’s inductive skepticism by insisting that Hume claims too much. Instead of concluding that inductive inference adds nothing to the probability of a conclusion, his premises only imply inductive fallibilism, that is, that they never attain deductive certainty. While no inductive inference is valid, this does not imply that they cannot be reasonable.
  • Strawson, Galen. The Secret Connexion- Causation, Realism, and David Hume. Oxford University Press Clarendon, New York, New York, 1989.
    • This book is perhaps the most clear and complete explication of the New Hume doctrines.
  • Wilson, Fred. Hume’s Defense of Causal Inference. University of Toronto Press, Toronto Canada, 1997.
    • Wilson’s main goal is to defend an anti-skeptical interpretation of Hume’s causal inference, but the book is wide-ranging and rich in many areas of Hume scholarship.
  • Winkler, Kenneth P. “The New Hume”, The Philosophical Review, Volume 100, Number 4, October 1991, pages 541-579.
    • Winkler presents a clear and concise case against the realist interpretation.
  • Wright, John P. The Sceptical Realism of David Hume. University of Minnesota Press, Minneapolis, Minnesota, 1983.
    • This book is one of the standard explications of Humean causal realism. The interpretation is arrived at via a focus on Hume’s attention to human nature. The book also places Hume’s notion of knowledge within its historical context.

d. Contemporary Metaphysics of Causation

  • Armstrong, D. M. What is a Law of Nature? Cambridge University Press, New York, New York, 1983.
    • This book investigates the status of the laws of nature. He ultimately argues that laws are relations between universals or properties.
  • Goodman, Nelson. Fact, Fiction, and Forecast. Fourth Edition, Harvard University Press, Cambridge, Massachusetts, 1983.
    • Goodman explicates the Problem of induction and makes a more general form of the difficulty it raises.
  • Mackie, J. L. The Cement of the Universe- A Study of Causation. Oxford University Press Clarendon, New York, New York, 1980.
    • This work begins with Hume’s analysis of causation and then goes on to consider what we can know about causation as it exists in external objects. Though it is highly technical, it touches many issues important to contemporary metaphysics of causation.
  • Psillos, Stathis. Causation and Explanation. MCGill-Queen’s University Press, Montreal, Canada, 2002.
    • This book is an accessible survey of contemporary causality, linking many of the important issues and engaging the relevant literature.
  • Tooley, Michael. Causation–A Realist Approach. Clarendon Press, Oxford, U.K., 1987.
    • Tooley presents a contemporary defense of realism with efficacy as relations among universals. In doing so, he clarifies many notions and commitments of the various realist and anti-realist positions.

Author Information

C. M. Lorkowski
Email: clorkows@kent.edu
Kent State University
U. S. A.