Phenomenal Conservatism

Phenomenal Conservatism is a theory in epistemology that seeks, roughly, to ground justified beliefs in the way things “appear” or “seem” to the subject who holds a belief. The theory fits with an internalistic form of foundationalism—that is, the view that some beliefs are justified non-inferentially (not on the basis of other beliefs), and that the justification or lack of justification for a belief depends entirely upon the believer’s internal mental states. The intuitive idea is that it makes sense to assume that things are the way they seem, unless and until one has reasons for doubting this.

This idea has been invoked to explain, in particular, the justification for perceptual beliefs and the justification for moral beliefs. Some believe that it can be used to account for all epistemic justification. It has been claimed that the denial of Phenomenal Conservatism (PC) leaves one in a self-defeating position, that PC naturally emerges from paradigmatic internalist intuitions, and that PC provides the only simple and natural solution to the threat of philosophical skepticism. Critics have objected that appearances should not be trusted in the absence of positive, independent evidence that appearances are reliable; that the theory allows absurd beliefs to be justified for some subjects; that the theory allows irrational or unreliable cognitive states to provide justification for beliefs; and that the theory has implausible implications regarding when and to what degree inferences produce justification for beliefs.

Table of Contents

  1. Understanding Phenomenal Conservatism
    1. Species of Appearance
    2. Defeasibility
    3. Kinds of Justification
    4. Comparison to Doxastic Conservatism
  2. The Nature of Appearance
    1. The Belief that P
    2. The Disposition to Believe that P
    3. The Belief that One Has Evidence for P
    4. The Experience View
    5. Appearance versus Acquaintance
  3. Arguments for Phenomenal Conservatism
    1. Intuitive Internalist Motivation
    2. An Internal Coherence Argument
    3. The Self-Defeat Argument
    4. Avoiding Skepticism
    5. Simplicity
  4. Objections
    1. Crazy Appearances
    2. Metajustification
    3. Cognitive Penetration and Tainted Sources
    4. Inferential Justification
  5. Summary
  6. References and Further Reading

1. Understanding Phenomenal Conservatism

a. Species of Appearance

The following is a recent formulation of the central thesis of phenomenal conservatism:

PC If it seems to S that P, then, in the absence of defeaters, S thereby has at least some justification for believing that P (Huemer 2007, p. 30; compare Huemer 2001, p. 99).

The phrase “it seems to S that P” is commonly understood in a broad sense that includes perceptual, intellectual, memory, and introspective appearances. For instance, as I look at the squirrel sitting outside the window now, it seems to me that there is a squirrel there; this is an example of a perceptual appearance (more specifically, a visual appearance). When I think about the proposition that no completely blue object is simultaneously red, it seems to me that this proposition is true; this is an intellectual appearance (more specifically, an intuition). When I think about my most recent meal, I seem to remember eating a tomatillo cake; this is a mnemonic (memory) appearance. And when I think about my current mental state, it seems to me that I am slightly thirsty; this is an introspective appearance.

b. Defeasibility

Appearances sometimes fail to correspond to reality, as in the case of illusions, hallucinations, false memories, and mistaken intuitions. Most philosophers agree that logically, this could happen across the board – that is, the world as a whole could be radically different from the way it appears. These observations do not conflict with phenomenal conservatism. Phenomenal conservatives do not hold that appearances are an infallible source of information, or even that they are guaranteed to be generally reliable. Phenomenal conservatives simply hold that to assume things are the way they appear is a rational default position, which one should maintain unless and until grounds for doubt (“defeaters”) appear. This is the reason for the phrase “in the absence of defeaters” in the above formulation of PC (section 1a).

These defeaters may take two forms. First, there might be rebutting defeaters, that is, evidence that what appears to be the case is in fact false. For instance, one might see a stick that appears bent when half-submerged in water. But one might then feel the stick, and find that it feels straight. The straight feel of the stick would provide a rebutting defeater for the proposition that the stick is bent.

Second, there might be undercutting defeaters, that is, evidence that one’s appearance (whether it be true or false) is unreliable or otherwise defective as a source of information. For instance, suppose one learns that an object that appears red is in fact illuminated by red lights. The red lighting is not by itself evidence that the object isn’t also red; however, the red lighting means that the look of the object is not a reliable indicator of its true color. Hence, the information about the unusual lighting conditions provides an undercutting defeater for the proposition that the object is red.

c. Kinds of Justification

Epistemologists commonly draw a (misleadingly named) distinction between “propositional justification” and “doxastic justification”, where propositional justification is justification that one has for believing something (whether or not one in fact believes it) and doxastic justification is justification that an actual belief possesses. The distinction is commonly motivated by pointing out that a person might have good reasons to believe a proposition and yet not believe it for any of those reasons, but instead believe it for some bad reason. For instance, I might be in possession of powerful scientific evidence supporting the theory of evolution, but yet my belief in the theory of evolution might actually be based entirely upon trust in the testimony of my tarot card reader. In that case, I would be said to have “propositional justification” but not “doxastic justification” for the theory of evolution.

It is commonly held that to have doxastic justification for P, an individual must satisfy two conditions: first, the individual must have propositional justification for P; second, the individual must base a belief that P on that propositional justification (or whatever confers that propositional justification). If we accept this view, then the phenomenal conservative should hold (i) that the appearance that P gives one propositional justification, in the absence of defeaters, for believing that P, and (ii) that if one believes that P on the basis of such an undefeated appearance, one thereby has doxastic justification for P.

Phenomenal conservatism was originally advanced as an account of foundational, or noninferential, justification (Huemer 2001, chapter 5). That is, it was advanced to explain how a person may be justified in believing that P without basing the belief that P on any other beliefs. Some hold that a variation of phenomenal conservatism may also be used to account for inferential justification – that is, that even when a person believes that P on the basis of other beliefs, the belief that P is justified in virtue of appearances (especially the “inferential appearance” that in the light of certain premises, P must be or is likely to be true) (Huemer 2013b, pp. 338-41); this last suggestion, however, remains controversial even among those sympathetic to PC.

d. Comparison to Doxastic Conservatism

A related but distinct view, sometimes called “epistemic conservatism” but better labeled “doxastic conservatism”, holds that a person’s merely believing that P gives that person some justification for P, provided that the person has no grounds for doubting that belief (Swinburne 2001, p. 141). (Etymological note: the term “doxastic” derives from the Greek word for belief [doxa], while “phenomenal” derives from the Greek word for appearance [phainomenon].)

Doxastic conservatism is an unpopular view, as it seems to endorse circular reasoning, or something very close to it. A thought experiment due to Richard Foley (1983) illustrates the counterintuitiveness of doxastic conservatism: suppose that S has some evidence for P which is almost but not quite sufficient to justify P. Suppose that S forms the belief that P anyway. If doxastic conservatism is correct, it seems, then as soon as S formed this belief, it would immediately become justified, since in addition to the evidence S already had for P, S would now have his belief that P serving as a source of justification, which would push S over the threshold for justified belief.

The phenomenal conservative aims to avoid this sort of implausibility. PC does not endorse circular reasoning, since it does not hold that a belief (or any other mental state) may justify itself; it holds that an appearance may justify a belief. Provided that no appearance is a belief, this view avoids the most obviously objectionable form of circularity, and it avoids the Foley counterexample. Suppose that S has almost enough justification to believe that P, and then, in addition, S acquires an appearance that P. Assume also that S has no defeaters for a belief in P. In this case, it is not counterintuitive to hold that S would then be justified in believing that P.

2. The Nature of Appearance

Phenomenal conservatism ascribes justificatory significance to appearances. But what are appearances? Philosophers have taken a number of different views about the nature of appearances, and which view one takes may dramatically affect the plausibility of PC. In this section, we consider some views philosophers have taken about what it is for it to “seem to one that P.”

a. The Belief that P

Here is a very simple theory: to say that it seems to one that P is to report a tentative sort of belief that P (Chisholm [1957, ch. 4] suggested something in this neighborhood). This, however, is not how “seems” is understood by phenomenal conservatives when they state that if it seems to one that P and one lacks defeaters for P, then one has justification for P.

To motivate the distinction between its seeming to one that P and one’s believing that P, notice that in some cases, it seems to one that P even though one does not believe that P. For instance, when one experiences perceptual illusions, the illusions typically persist even when one learns that they are illusions. That is to say, things continue to appear a certain way even when one does not believe that things are as they appear, indeed, even when one knows that things are not as they appear. This shows that an appearance that P is not a belief that P.

b. The Disposition to Believe that P

Some thinkers suggest that an appearance that P might be identified with a mere inclination or disposition to believe that P (Sosa 1998, pp. 258-9; Swinburne 2001, pp. 141-2; Armstrong 1961). Typically, when it appears to one that P, one will be disposed to believe that P. However, one may be disposed to believe that P when it doesn’t seem to one that P. For instance, if one is inclined to believe that P merely because one wants P to be true, or because one thinks that a virtuous person would believe that P, this would not be a case in which it seems to one that P. Even in cases where it seems to one that P, its seeming to one that P is not to be identified with the disposition to believe that P, since one is disposed to believe that P because it seems to one that P, and not the other way around. Thus, its seeming to one that P is merely one possible ground for the disposition to believe that P.

c. The Belief that One Has Evidence for P

Some philosophers hold that its seeming to one that P is a matter of one’s believing, or being disposed to believe, that some mental state one has is evidence for P (Conee 2013; Tooley 2013). This would undermine the plausibility of PC, since it is not very plausible to think that one’s merely being disposed to believe (whether rightly or wrongly) that one has evidence for P actually gives one justification for believing P.

Fortunately, phenomenal conservatives can reasonably reject that sort of analysis, on grounds similar to those used to reject the idea that its seeming to one that P is just a matter of one’s being disposed to believe that P. Suppose that Jon is disposed to believe that he has evidence for the reality of life after death merely because Jon wants it to be true that he has evidence for life after death (a case of pure wishful thinking). This surely would not count as its seeming to Jon that there is life after death.

d. The Experience View

Most phenomenal conservatives hold that its seeming to one that P is a matter of one’s having a certain sort of experience, which has propositional content but is not analyzable in terms of belief (for discussion, see Tucker 2013, section 1). Sensory experiences, intellectual intuitions, (apparent) memories, and introspective states are either species of this broad type of experience, or else states that contain an appearance as a component.

Some philosophers have questioned this view of appearance, on the ground that intellectual intuitions, perceptual experiences, memories, and episodes of self-awareness are extremely different mental states that have nothing interesting in common (DePaul 2009, pp. 208-9).

In response, one can observe that intuitions, perceptual experiences, memories, and states of self-awareness are all mental states of a kind that naturally incline one to believe something (namely, the content of that very mental state, or, the thing that appears to one to be the case). And it is not merely that one is inclined to believe that proposition for some reason or other. We can distinguish many different reasons why one might be inclined to believe P: because one wants P to be true, because one thinks a good person would believe P, because one wants to fit in with the other people who believe P, because being a P-believer will annoy one’s parents . . . or because P just seems to one to be the case. When we reflect on these various ways of being disposed to believe P, we can see that the last one is interestingly different from all the others and forms a distinct (non-disjunctive) category. Admittedly, I have not just identified a new characteristic or set of characteristics that all and only appearances have in common; I have not defined “appearance”, and I do not believe it is possible to do so. What I have done, I hope, is simply to draw attention to the commonality among all appearances by contrasting appearances with various other things that tend to produce beliefs. When Jon believes [for all numbers x and y, x+y = y+x] because that proposition is intuitively obvious, and Mary believes [the cat is on the couch] because she seems to see the cat on the couch, these two situations are similar to each other in an interesting respect – which we see when we contrast both of those cases with cases such as that in which Sally thinks her son was wrongly convicted because Sally just cannot bear the thought that her son is a criminal (Huemer 2009, pp. 228-9).

e. Appearance versus Acquaintance

Appearances should be distinguished from another sort of non-doxastic mental state sometimes held to provide foundational justification for beliefs, namely, the state of acquaintance (Russell 1997, chs. 5, 9; Fumerton 1995, pp. 73-9). Acquaintance is a form of direct awareness of something. States of acquaintance differ from appearances in that the occurrence of an episode of acquaintance entails the existence of an object with which the subject is acquainted, whereas an appearance can occur without there being any object that appears. For example, if a person has a fully realistic hallucination of a pink rat, we can say that the person experiences an appearance of a pink rat, but we cannot say the person is acquainted with a pink rat, since there is no pink rat with which to be acquainted. In other words, an appearance is an internal mental representation, whereas acquaintance is a relation to some object.

3. Arguments for Phenomenal Conservatism

a. Intuitive Internalist Motivation

Richard Foley (1993) has advanced a plausible account of rationality, on which, roughly, it is rational for S to do A provided that, from S’s own point of view, doing A would seem to be a reasonably effective way of satisfying S’s goals. Foley goes on to suggest that epistemic rationality is rationality from the standpoint of the goal of now believing truths and avoiding falsehoods. Though Foley does not draw this consequence, his account of epistemic rationality lends support to PC, for if it seems to S that P is true and S lacks grounds for doubting P, then from S’s own point of view, believing P would naturally seem to be an effective way of furthering S’s goal of believing truths and avoiding falsehoods. Therefore, it seems, it would be epistemically rational for S to believe that P (Huemer 2001, pp. 103-4; compare McGrath 2013, section 1).

b. An Internal Coherence Argument

Internalism in epistemology is, roughly, the view that the justification or lack of justification of a belief is entirely a function of the internal mental states of the believer (for a fuller account, see Fumerton 1995, pp. 60-9). Externalism, by contrast, holds that a belief’s status as justified or unjustified sometimes depends upon factors outside the subject’s mind.

The following is one sort of argument for internalism and against externalism. Suppose that externalism is true, and that the justification of a belief depends upon some external factor, E. There could be two propositions, P and Q, that appear to one exactly alike in all epistemically relevant respects—for instance, P and Q appear equally true, equally justified, and equally supported by reliable belief-forming processes; however, it might be that P is justified and Q unjustified, because P but not Q possesses E. Since E is an external factor, this need have no impact whatsoever on how anything appears to the subject. If such a situation occurred, the externalist would presumably say that one ought to believe that P, while at the same time either denying Q or withholding judgment concerning Q.

But if one took this combination of attitudes, it seems that one could have no coherent understanding of what one was doing. Upon reflecting on one’s own state of mind, one would have to hold something like this: “P and Q seem to me equally correct, equally justified, and in every other respect equally worthy of belief. Nevertheless, while I believe P, I refuse to believe Q, for no apparent reason.” But this seems to be an irrational set of attitudes to hold. Therefore, we ought to reject the initial externalist assumption, namely, that the justificatory status of P and Q depends on E.

If one accepts this sort of motivation for internalism, then it is plausible to draw a further conclusion. Not only does the justificatory status of a belief depend upon the subject’s internal mental states; it depends, more specifically, on the subject’s appearances (that is, on how things seem to the subject). On this view, it is impossible for P and Q to seem the same to one in all relevant respects and yet for P to be justified and Q unjustified. This is best explained by something like PC (Huemer 2006).

c. The Self-Defeat Argument

One controversial argument claims that PC is the only theory of epistemic justification that is not self-defeating (Huemer 2007; Skene 2013). The first premise of this argument is that all relevant beliefs (all beliefs that are plausible candidates for being doxastically justified) are based on appearances. I think there is a table in front of me because it appears that way. I think three plus three is six because that seems true to me. And so on. There are cases of beliefs not based on how things seem, but these are not plausible candidates for justified beliefs to begin with. For instance, I might believe that there is life after death, not because this seems true but because I want it to be true (wishful thinking) – but this would not be a plausible candidate for a justified belief.

The second premise is that a belief is doxastically justified only if what it is based on is a source of propositional justification. Intuitively, my belief is justified only if I not only have justification for it but also believe it because of that justification.

From here, one can infer that unless appearances are a source of propositional justification, no belief is justified, including the belief that appearances are not a source of propositional justification. Therefore, to deny that appearances are a source of propositional justification would be self-defeating. Huemer (2007) interprets this to mean that the mere fact that something appears to one to be the case must (in the absence of defeaters) suffice to confer justification. Some critics maintain, however, that one need only hold that some appearances generate justification, allowing that perhaps other appearances fail to generate justification even in the absence of defeaters (BonJour 2004, p. 359).

A related objection holds that there may be “background conditions” for a belief’s justification – conditions that enable an appearance to provide justification for a belief but which are not themselves part of the belief’s justification. Thus, PC might be false, not because appearances fail to constitute a source of justification, but because they only do so in the presence of these background conditions, which PC neglects to mention. And these background conditions need not themselves be causally related to one’s belief in order for one’s belief to be doxastically justified. (For this objection, see Markie 2013, section 2; for a reply, see Huemer 2013b, section 4.)

Other critics hold that the first premise of the self-defeat argument is mistaken, because it often happens that one justifiedly believes some conclusion on the basis of an inference from other (justified) beliefs, where the conclusion of the inference does not itself seem true; hence, one can be justified in believing P without basing that belief on a seeming that P (Conee 2013, pp. 64-5). In reply, the first premise of the self-defeat argument need not be read as holding that the belief that P (in relevant cases) is always based on an appearance that P. It might be held that the belief that P (in relevant cases) is always based either on the appearance that P or on some ultimate premises which are themselves believed because they seem correct.

d. Avoiding Skepticism

Skeptics in epistemology maintain that we don’t know nearly as much as we think we do. There are a variety of forms of skepticism. For instance, external world skeptics hold that no one knows any contingent propositions about the external world (the world outside one’s own mind). These skeptics argue that to know anything about the external world, one would need to be able to figure out what the external world is likely solely on the basis of facts about one’s own experiences, but that in fact nothing can be legitimately inferred about non-experiential reality solely from one’s own experiences (Hume 1975, section XII, part 1). Most epistemologists consider this conclusion to be implausible on its face, even absurd, so they have sought ways of rebutting the skeptic’s arguments. However, rebutting skeptical arguments has proved very difficult, and there is no generally accepted refutation of external world skepticism.

Another form of skepticism is moral skepticism, the view that no one knows any substantive evaluative propositions. On this view, no one ever knows that any action is wrong, that any event is good, that any person is vicious or virtuous. Again, this idea seems implausible on its face, but philosophers have found it difficult to explain how, in general, someone can know what is right, wrong, good, or bad. Skeptical views may also be held in a variety of other areas – skeptics may challenge our knowledge of the past, of other people’s minds, or of all things not presently observed. As a rule, epistemologists seek to avoid skeptical conclusions, yet it is often difficult to do so plausibly.

Enter phenomenal conservatism. Once one accepts something in the neighborhood of PC, most if not all skeptical worries are easily resolved. External world skepticism is addressed by noting that, when we have perceptual experiences, there seem to us to be external objects of various sorts around us. In the absence of defeaters, this is good reason to think there are in fact such objects (Huemer 2001). Moral skepticism is dealt with in a similarly straightforward manner. When we think about certain kinds of situations, our ethical intuitions show us what is right, wrong, good, or bad. For instance, when we think about pushing a man in front of a moving train, the action seems wrong. In the absence of defeaters, this is good enough reason to think that pushing the man in front of the train would be wrong (Huemer 2005). Similar observations apply to most if not all forms of skepticism. Thus, the ability to avoid skepticism, long considered an elusive desideratum of epistemological theories, is among the great theoretical advantages of phenomenal conservatism.

e. Simplicity

If we accept phenomenal conservatism, we have a single, simple principle to account for the justification of multiple very different kinds of belief, including perceptual beliefs, moral beliefs, mathematical beliefs, memory beliefs, beliefs about one’s own mind, beliefs about other minds, and so on. One may even be able to unify inferential and non-inferential justification (Huemer 2013b, pp. 338-41). To the extent that simplicity and unity are theoretical virtues, then, we have grounds for embracing PC. There is probably no other (plausible) theory that can account for so many justified beliefs in anything like such a simple manner.

4. Objections

a. Crazy Appearances

Some critics have worried that phenomenal conservatism commits us to saying that all sorts of crazy propositions could be non-inferentially justified. Suppose that when I see a certain walnut tree, it just seems to me that the tree was planted on April 24, 1914 (this example is from Markie 2005, p. 357). This seeming comes completely out of the blue, unrelated to anything else about my experience – there is no date-of-planting sign on the tree, for example; I am just suffering from a brain malfunction. If PC is true, then as long as I have no reason to doubt my experience, I have some justification for believing that the tree was planted on that date.

More ominously, suppose that it just seems to me that a certain religion is true, and that I should kill anyone who does not subscribe to the one true religion. I have no evidence either for or against these propositions other than that they just seem true to me (this example is from Tooley 2013, section 5.1.2). If PC is true, then I would be justified (to some degree) in thinking that I should kill everyone who fails to subscribe to the “true” religion. And perhaps I would then be morally justified in actually trying to kill these “infidels” (as Littlejohn [2011] worries).

Phenomenal conservatives are likely to bravely embrace the possibility of justified beliefs in “crazy” (to us) propositions, while adding a few comments to reduce the shock of doing so. To begin with, any actual person with anything like normal background knowledge and experience would in fact have defeaters for the beliefs mentioned in these examples (people can’t normally tell when a tree was planted by looking at it; there are many conflicting religions; religious beliefs tend to be determined by one’s upbringing; and so on).

We could try to imagine cases in which the subjects had no such background information. This, however, would render the scenarios even more strange than they already are. And this is a problem for two reasons. First, it is very difficult to vividly imagine these scenarios. Markie’s walnut tree scenario is particularly hard to imagine – what is it like to have an experience of a tree’s seeming to have been planted on April 24, 1914? Is it even possible for a human being to have such an experience? The difficulty of vividly imagining a scenario should undermine our confidence in any reported intuitions about that scenario.

The second problem is that our intuitions about strange scenarios may be influenced by what we reasonably believe about superficially similar but more realistic scenarios. We are particularly unlikely to have reliable intuitions about a scenario S when (i) we never encounter or think about S in normal life, (ii) S is superficially similar to another scenario, S’, which we encounter or think about quite a bit, and (iii) the correct judgment about S’ is different from the correct judgment about S. For instance, in the actual world, people who think they should kill infidels are highly irrational in general and extremely unjustified in that belief in particular. It is not hard to see how this would incline us to say that the characters in Tooley’s and Littlejohn’s examples are also irrational. That is, even if PC were true, it seems likely that a fair number of people would report the intuition that the hypothetical religious fanatics are unjustified.

A further observation relevant to the religious example is that the practical consequences of a belief may impact the degree of epistemic justification that one needs in order to be justified in acting on the belief, such that a belief with extremely serious practical consequences may call for a higher degree of justification and a stronger effort at investigation than would be the case for a belief with less serious consequences. PC only speaks of one’s having some justification for believing P; it does not entail that this is a sufficient degree of justification for taking action based on P.

b. Metajustification

Some argue that its merely seeming to one that P cannot suffice (even in the absence of defeaters) to confer justification for believing P; in addition, one must have some reason for thinking that one’s appearances are reliable indicators of the truth, or that things that appear to one to be the case are likely to actually be the case (BonJour 2004, pp. 357-60; Steup 2013). Otherwise, one would have to regard it as at best an accident that one managed to get to the truth regarding whether P. We can refer to this alleged requirement on justified belief as the “metajustification requirement”. (When one has an alleged justification for P, a “metajustification” is a justification for thinking that one’s alleged justification for P actually renders P likely to be true [BonJour 1985, p. 9].)

While perhaps superficially plausible, the metajustification requirement threatens us with skepticism. To begin with, if we think that appearance-based justifications require metajustifications (to wit, evidence that appearances are reliable indicators of the truth), it is unclear why we should not impose the same requirement on all justifications of any kind. That is, where someone claims that belief in P is justified because of some state of affairs X, we could always demand a justification for thinking that X – whatever it is – is a reliable indicator of the truth of P. And suppose X’ explains why we are justified in thinking that X is a reliable indicator of the truth of P. Then we’ll need a reason for thinking that X’ is a reliable indicator of X’s being a reliable indicator of the truth of P. And so on, ad infinitum.

One can avoid this sort of infinite regress by rejecting any general metajustification requirement. The phenomenal conservative will most likely want to maintain that one need not have positive grounds for thinking one’s appearances to be reliable; one is simply entitled to rely upon them unless and until one acquires grounds for doubting that they are reliable.

c. Cognitive Penetration and Tainted Sources

Another class of objection to PC adverts to cases of appearances that are produced by emotions, desires, irrational beliefs, or other kinds of sources that would normally render a belief unjustified (Markie 2006, pp. 119-20; Lyons 2011; Siegel 2013; McGrath 2013). That is, where a belief produced by a particular source X would be unjustified, the objector contends that an appearance produced by X should not be counted as conferring justification either (even if the subject does not know that the appearance has this source).

Suppose, for instance, that Jill, for no good reason, thinks that Jack is angry (this example is from Siegel 2013). This is an unjustified belief. If Jill infers further conclusions from the belief that Jack is angry, these conclusions will also be unjustified. But now suppose that Jill’s belief that Jack is angry causes Jill to see Jack’s facial expression as one of anger. This “seeing as” is not a belief but a kind of experience – that is, Jack’s face just looks to Jill like an angry face. This is, however, a misinterpretation on Jill’s part, and an ordinary observer, without any preexisting beliefs about Jack’s emotional state, would not see Jack as looking angry. But Jill is not aware that her perception has been influenced by her belief in this way, nor has she any other defeaters for the proposition that Jack is angry. If PC is true, Jill will now have justification for believing that Jack is angry, arising directly from the mere appearance of Jack’s being angry. Some find this result counter-intuitive, since it allows an initially unjustified belief to indirectly generate justification for itself.

Phenomenal conservatives try to explain away this intuition. Skene (2013, section 5.1) suggests that the objectors may confuse the evaluation of the belief with that of the person who holds the belief in the sort of example described above, and that the person should be adjudged irrational but her belief judged rational. Tucker (2010, p. 540) suggests that the person possesses justification but lacks another requirement for knowledge and is epistemically blameworthy (compare Huemer 2013a, pp. 747-8). Huemer (2013b, pp. 343-5) argues that the subject has a justified belief in this sort of case by appealing to an analogy involving a subject who has a hallucination caused (unbeknownst to the subject) by the subject’s own prior action.

d. Inferential Justification

Suppose S bases a belief in some proposition P on (his belief in) some evidence E. Suppose that the inference from E to P is fallacious, such that E in fact provides no support at all for P (E neither entails P nor raises the probability of P). S, however, incorrectly perceives E as supporting P, and thus, S’s belief in E makes it seem to S that P must be true as well. (It does not independently seem to S that P is true; it just seems to S that P must be true given E.) Finally, assume that S has no reason for thinking that the inference is fallacious, even though it is, nor has S any other defeaters for P. It seems that such a scenario is possible. If so, one can raise the following objection to PC:

1. In the described scenario, S is not justified in believing P.

2. If PC is true, then in this scenario, S is justified in believing P.

3. So PC is false.

Many would accept premise (1), holding that an inferential belief is unjustified whenever the inference on which the belief is based is fallacious. (2) is true, since in the described scenario, it seems to S that P, while S has no defeaters for P. (For an objection along these lines, see Tooley 2013, p. 323.)

One possible response to this objection would be to restrict the principle of phenomenal conservatism to the case of non-inferential beliefs and to hold a different view (perhaps some variation on PC) of the conditions for inferential beliefs to be justified.

Another alternative is to maintain that in fact, fallacious inferences can result in justified belief. Of course, if a person has reason to believe that the inference on which he bases a given belief is fallacious, then this will constitute a defeater for that belief. It is consistent with phenomenal conservatism that the belief will be unjustified in this case. So the only cases that might pose a problem are those in which a subject makes an inference that is in fact fallacious but that seems perfectly good to him, and he has no reason to suspect that the inference is fallacious or otherwise defective. In such a case, one could argue that the subject rationally ought to accept the conclusion. If the subject refused to accept the conclusion, how could he rationally explain this refusal? He could not cite the fact that the inference is fallacious, nor could he point to any relevant defect in the inference, since by stipulation, as far as he can tell the inference is perfectly good. Given this, it would seem irrational for the subject not to accept the conclusion (Huemer 2013b, p. 339).

Here is another proposed condition on doxastic justification: if S believes P on the basis of E, then S is justified in believing P only if S is justified in believing E. This condition is very widely accepted. But again, PC seems to flout this requirement, since all that is needed is for S’s belief in E to cause it to seem to S that P (while S lacks defeaters for P), which might happen even if S’s belief in E is unjustified (McGrath 2013, section 5; Markie 2013, section 2).

A phenomenal conservative might try to avoid this sort of counterexample by claiming that whenever S believes P on the basis of E and E is unjustified, S has a defeater for P. This might be true because (i) per epistemological internalism, whenever E is unjustified, the subject has justification for believing that E is unjustified, (ii) whenever S’s belief that P is based on E, the subject has justification for believing that his belief that P is based on E, and (iii) the fact that one’s belief that P is based on an unjustified premise would be an undercutting defeater for the belief that P.

Alternately, and perhaps more naturally, the phenomenal conservative might again restrict the scope of PC to noninferential beliefs, while holding a different (but perhaps closely related) view about the justification of inferential beliefs (McGrath 2013, section 5; Tooley 2013, section 5.2.1). For instance, one might think that in the case of a non-inferential belief, justification requires only that the belief’s content seem true and that the subject lack defeaters for the belief; but that in the case of an inferential belief, justification requires that the premise be justifiedly believed, that the premise seem to support the conclusion, and that the subject lack defeaters for the conclusion (Huemer 2013b, p. 338).

5. Summary

Among the most central, fundamental questions of epistemology is that of what, in general, justifies a belief. Phenomenal Conservatism is among the major theoretical answers to this question: at bottom, beliefs are justified by “appearances,” which are a special type of experience one reports when one says “it seems to me that P” or “it appears to me that P.” This position is widely viewed as possessing important theoretical virtues, including the ability to offer a very simple account of many kinds of justified belief while avoiding troublesome forms of philosophical skepticism. Some proponents lay claim to more controversial advantages for the theory, such as the unique ability to avoid self-defeat and to accommodate central internalist intuitions.

The theory remains controversial among epistemologists for a variety of reasons. Some harbor doubts about the reality of a special type of experience called an “appearance.” Others believe that an appearance cannot provide justification unless one first has independent evidence of the reliability of one’s appearances. Others cite alleged counterexamples in which appearances have irrational or otherwise unreliable sources. And others object that phenomenal conservatism seems to flout widely accepted necessary conditions for inferential justification.

6. References and Further Reading

  • Armstrong, David. 1961. Perception and the Physical World. London: Routledge & Kegan Paul.
  • BonJour, Laurence. 1985. The Structure of Empirical Knowledge. Cambridge: Harvard University Press.
  • BonJour, Laurence. 2004. “In Search of Direct Realism.” Philosophy and Phenomenological Research 69, 349-367.
    • Early objections to phenomenal conservatism.
  • Brogaard, Berit. 2013. “Phenomenal Seemings and Sensible Dogmatism.” In Chris Tucker (ed.), Seemings and Justification: New Essays on Dogmatism and Phenomenal Conservatism (pp. 270-289). Oxford: Oxford University Press.
    • Objections to phenomenal conservatism.
  • Chisholm, Roderick. 1957. Perceiving: A Philosophical Study. Ithaca: Cornell University Press.
    • Chapter 4 offers a widely cited discussion of three uses of “appears” and related terms.
  • Conee, Earl. 2013. “Seeming Evidence.” In Chris Tucker (ed.), Seemings and Justification: New Essays on Dogmatism and Phenomenal Conservatism (pp. 52-68). Oxford: Oxford University Press.
    • Objections to phenomenal conservatism.
  • Cullison, Andrew. 2010. “What Are Seemings?” Ratio 23, 260-274.
  • DePaul, Michael. 2009. “Phenomenal Conservatism and Self-Defeat.” Philosophy and Phenomenological Research 78, 205-212.
    • Objections to phenomenal conservatism, especially the self-defeat argument.
  • DePoe, John. 2011. “Defeating the Self-defeat Argument for Phenomenal Conservativism.” Philosophical Studies 152, 347–359.
    • Objections to phenomenal conservatism, especially the self-defeat argument.
  • Foley, Richard. 1983. “Epistemic Conservatism.” Philosophical Studies 43, 165-182.
    • Objections to doxastic conservatism.
  • Foley, Richard. 1993. Working without a Net. New York: Oxford University Press.
  • Fumerton, Richard. 1995. Metaepistemology and Skepticism. Lanham: Rowman & Littlefield.
  • Hanna, Nathan. 2011. “Against Phenomenal Conservatism.” Acta Analytica 26, 213-221.
    • Objections to phenomenal conservatism.
  • Huemer, Michael. 2001. Skepticism and the Veil of Perception. Lanham: Rowman & Littlefield.
    • Chapter 5 defends phenomenal conservatism and contains a version of the self-defeat argument. This is the original source of the term “phenomenal conservatism.”
  • Huemer, Michael. 2005. Ethical Intuitionism. New York: Palgrave Macmillan.
    • Chapter 5 uses phenomenal conservatism to explain moral knowledge.
  • Huemer, Michael. 2006. “Phenomenal Conservatism and the Internalist Intuition.” American Philosophical Quarterly 43, 147-158.
    • Defends phenomenal conservatism using internalist intuitions.
  • Huemer, Michael. 2007. “Compassionate Phenomenal Conservatism.” Philosophy and Phenomenological Research 74, 30-55.
    • Defends phenomenal conservatism using the self-defeat argument. Responds to BonJour 2004.
  • Huemer, Michael. 2009. “Apology of a Modest Intuitionist.” Philosophy and Phenomenological Research 78, 222-236.
    • Responds to DePaul 2009.
  • Huemer, Michael. 2013a. “Epistemological Asymmetries Between Belief and Experience.” Philosophical Studies 162, 741-748.
    • Responds to Siegel 2013.
  • Huemer, Michael. 2013b. “Phenomenal Conservatism Uber Alles.” In Chris Tucker (ed.), Seemings and Justification: New Essays on Dogmatism and Phenomenal Conservatism (pp. 328-350). Oxford: Oxford University Press.
    • Responds to several critiques of phenomenal conservatism found in the same volume.
  • Hume, David. 1975. “An Enquiry Concerning Human Understanding.” In L. A. Selby-Bigge (ed.), Enquiries Concerning Human Understanding and Concerning the Principles of Morals. Oxford: Clarendon.
  • Littlejohn, Clayton. 2011. “Defeating Phenomenal Conservatism.” Analytic Philosophy 52, 35-48.
    • Argues that PC may lead one to endorse terrorism and cannibalism.
  • Lycan, William. 2013. “Phenomenal Conservatism and the Principle of Credulity.” In Chris Tucker (ed.), Seemings and Justification: New Essays on Dogmatism and Phenomenal Conservatism (pp. 293-305). Oxford: Oxford University Press.
  • Lyons, Jack. 2011. “Circularity, Reliability, and the Cognitive Penetrability of Perception.” Philosophical Issues 21, 289-311.
  • Markie, Peter. 2005. “The Mystery of Direct Perceptual Justification.” Philosophical Studies 126, 347-373.
    • Objections to phenomenal conservatism.
  • Markie, Peter. 2006. “Epistemically Appropriate Perceptual Belief.” Noûs 40, 118-142.
    • Objections to phenomenal conservatism.
  • Markie, Peter. 2013. “Searching for True Dogmatism.” In Chris Tucker (ed.), Seemings and Justification: New Essays on Dogmatism and Phenomenal Conservatism (pp. 248-268). Oxford: Oxford University Press.
    • Objections to phenomenal conservatism.
  • McGrath, Matthew. 2013. “Phenomenal Conservatism and Cognitive Penetration: The ‘Bad Basis’ Counterexamples.” In Chris Tucker (ed.), Seemings and Justification: New Essays on Dogmatism and Phenomenal Conservatism (pp. 225-247). Oxford: Oxford University Press.
    • Uses the cognitive penetration counterexamples to motivate a modification of phenomenal conservatism.
  • Russell, Bertrand. 1997. The Problems of Philosophy. New York: Oxford University Press.
  • Siegel, Susanna. 2013. “The Epistemic Impact of the Etiology of Experience.” Philosophical Studies 162, 697-722.
    • Criticizes phenomenal conservatism and related views using the tainted source objection.
  • Skene, Matthew. 2013. “Seemings and the Possibility of Epistemic Justification.” Philosophical Studies 163, 539-559.
    • Defends the self-defeat argument for phenomenal conservatism and offers an account of why epistemic justification must derive from appearances.
  • Sosa, Ernest. 1998. “Minimal Intuition.” In Michael DePaul and William Ramsey (eds.), Rethinking Intuition (pp. 257-270). Lanham: Rowman & Littlefield.
  • Steup, Matthias. 2013. “Does Phenomenal Conservatism Solve Internalism’s Dilemma?” In Chris Tucker (eds.), Seemings and Justification: New Essays on Dogmatism and Phenomenal Conservatism (pp. 135-153). Oxford: Oxford University Press.
  • Swinburne, Richard. 2001. Epistemic Justification. Oxford: Oxford University Press.
  • Tolhurst, William. 1998. “Seemings.” American Philosophical Quarterly 35, 293-302.
    • Discusses the nature of seemings.
  • Tooley, Michael. 2013. “Michael Huemer and the Principle of Phenomenal Conservatism.” In Chris Tucker (ed.), Seemings and Justification: New Essays on Dogmatism and Phenomenal Conservatism (pp. 306-327). Oxford: Oxford University Press.
    • Objections to phenomenal conservatism.
  • Tucker, Chris. 2010. “Why Open-Minded People Should Endorse Dogmatism.” Philosophical Perspectives 24, 529-545.
    • Defends phenomenal conservatism, appealing to its explanatory power.
  • Tucker, Chris. 2013. “Seemings and Justification: An Introduction.” In Chris Tucker (ed.), Seemings and Justification: New Essays on Dogmatism and Phenomenal Conservatism (pp. 1-29). Oxford: Oxford University Press.

 

Author Information

Michael Huemer
Email: owl232@earthlink.net
University of Colorado
U. S. A.

Francis Hutcheson (1694—1745)

Francis HutchesonFrancis Hutcheson was an eighteenth-century Scottish philosopher whose meticulous writings and activities influenced life in Scotland, Great Britain, Europe, and even the newly formed North American colonies. For historians and political scientists, the emphasis has been on his theories of liberalism and political rights; for philosophers and psychologists, Hutcheson’s importance comes from his theories of human nature, which include an account of an innate care and concern for others and of the internal senses (including the moral sense). The latter were pivotal to the Scottish Enlightenment’s empirical aesthetics, and all of Hutcheson’s theories were important to moral sentimentalism. One cannot properly study the works of Adam Smith, Hutcheson’s most famous student, or David Hume’s moral and political theories, without first understanding Hutcheson’s contributions and influence.

Popular and well-read in his day, Hutcheson’s writings seem to be enjoying resurgence specifically among libertarians, contemporary moral psychologists and philosophers. The latter are taking another and more in-depth look at Hutcheson and the rest of the sentimentalists because present-day empirical studies seem to support many of their claims about human nature. This is not surprising because the philosophical theories of the Scottish Enlightenment were based on human observations and experiences, much of which would be considered psychology today.

As part of his attempt to defend Shaftesbury against the attacks of Bernard Mandeville, Hutcheson’s writings concentrate on human nature. Hutcheson also promoted a natural benevolence against the egoism of Thomas Hobbes and against the reward/punishment view of Samuel Pufendorf by appealing to our own experiences of ourselves and others.

What follows is an overview of Hutcheson’s life, works and influence, with special attention paid to his writings on aesthetics, morality, and the importance of the internal senses of beauty, harmony, and the moral sense.

Table of Contents

  1. Life
  2. Internal Senses
  3. Moral Sense Faculty
    1. Operations of moral sense faculty
    2. Sense vs. Reason
    3. Basis of Moral Determinations
  4. Benevolence: Response to Hobbes and Pufendorf
  5. Influences on Hume and Smith
  6. References and Further Reading
    1. Works by Hutcheson
      1. Collected Works and Correspondence
    2. Secondary Readings

1. Life

Francis Hutcheson was born to Scottish parents on August 8, 1694 in Ireland. Though remembered primarily as a philosopher, he was also a Presbyterian minister, as were his father and grandfather before him. After he attended the University of Glasgow in Scotland in 1711 he returned to Dublin in 1716. Rather than taking a ministry position he was asked to start an academy in Dublin, and it was here that he wrote his most influential works. At this time he also married Mary Wilson and had one son, Francis. Eventually he was appointed professor and chair of Moral Philosophy at the University of Glasgow in 1729 following the death of his mentor and teacher, Gershom Carmichael.

Hutcheson was a popular lecturer perhaps because he was the first professor to use English in lectures rather than the commonly used Latin and also, possibly influenced by his preaching experience, was more animated than was typical of an eighteenth-century academic. Throughout his career he retained a commitment to the liberal arts as his thoughts and theories were always connected to the ancient traditions, especially those of Aristotle and Cicero. His writings were respected even before his Glasgow position and this reputation continued throughout his lifetime. His most influential pieces, first published in Dublin anonymously, were An Inquiry into the Original of Our Ideas of Beauty and Virtue (1725) and An Essay on the Nature and Conduct of the Passions and Affections, with Illustrations of the Moral Sense (1728). Hutcheson’s moral theory was influenced most by Lord Shaftesbury, while his aesthetics were in many ways influenced by and a response to John Locke’s primary and secondary qualities. Those who read and were influenced by Hutcheson’s theories included David Hume and Adam Smith, his student at Glasgow, while Thomas Reid and Immanuel Kant both cited Hutcheson in their writings.

Francis Hutcheson died in 1745 after 16 years at Glasgow while on a visit to Ireland, where he is buried.  After his death, his son and namesake published another edition of Hutcheson’s Illustrations on the Moral Sense in 1746 and in 1755, A System of Moral Philosophy, a text written specifically for college students.

2. Internal Senses

Though Shaftesbury could be called the father of modern aesthetics, Hutcheson’s thorough treatment of the internal senses, especially of beauty, grandeur, harmony, novelty, order and design in the Inquiry, is what specifically moved the focus of study from rational explanations to the sensations. For Hutcheson the perception of beauty does depend on the external sense of sight; however, the internal sense of beauty operates as an internal or reflex sense. The same is the case with hearing: hearing music does not necessarily give the perception of harmony as it is distinct from the hearing (Inquiry I. I. X). Yet, the internal senses are senses because like the external senses they are immediate perceptions not needing knowledge of cause or advantage to receive the idea of beauty. Both the external and internal senses are characterized by a passive and involuntary nature, and the internal senses are a source of pleasure and pain. With a nod to Locke’s primary and secondary qualities (Inquiry I, 1 7), Hutcheson described perception specifically of beauty and harmony in terms of simple and complex ideas. Without the internal sense of beauty there is no perception of it: “This superior power of perception is justly called a sense, because of its affinity to the other senses in this, that the pleasure does not arise from any knowledge of principles, proportions, causes, or of the usefulness of the object; but strikes us at first with the idea of beauty: nor does the most accurate knowledge increase this pleasure of beauty, however it may super-add a distinct rational pleasure from prospects of advantage, or from the increase of knowledge” (Inquiry I, 1, 8).

The perception of beauty though excited by an object is not possible without this internal sense of beauty. There is a specific type of absolute beauty and there are figures that excite this idea of beauty. We experience this when recognizing what Hutcheson calls “uniformity amidst variety” (Inquiry, I, 2, 3). This happens with both mathematical and natural objects, which although multifaceted and complex, are perceived with a distinct uniformity. The proportions of an animal or human figure can also excite and touch the internal sense as absolute beauty. Imitative beauty, on the other hand, is perceived in comparison to something else or as an imitation in art, poetry, or even in an idea. The comparison is what excites this sense of beauty even when the original being imitated is not singularly beautiful.

Hutcheson wondered why there would be a question about whether there were internal senses since they, like the external ones, are prominent in our own experiences. Perhaps one of the reasons that the internal senses are questioned more than the external is because there are no common names for them such as ‘hearing’ and ‘seeing’ (Inquiry, I. VI, IX). There is no easy way to describe the sense that feels beauty, yet we all experience it in the presence of beauty. Though this internal sense can be influenced by knowledge and experience it is not consciously controlled and is involuntary. Moving aesthetics away from logic and mathematical truths does not make it any less real and important for our pleasure as felt in the appreciation and experience of beauty and harmony. The internal senses also include the moral sense, so called by Shaftesbury and developed thoroughly by Hutcheson.

3. Moral Sense Faculty

a. Operations of moral sense faculty

Hutcheson, like Shaftesbury, claimed moral judgments were made in the human faculty that Shaftesbury called a moral sense. Both believed human nature contained all it needed to make moral decisions, along with inclinations to be moral.

The process, Hutcheson described, begins with a feeling of pleasure or advantage felt in the moral sense faculty—not necessarily to us but advantageous to someone or generally for everyone. This perception of pleasure has a specific moral flavor and causes us to feel moral approbation. We feel this pleasure when considering what is good or beneficial to others as a part of our natural instinct of benevolence. The things pursued for this pleasure are wanted because of our self-love and interest in the good for others. So first there is a sense of pleasure; then there is the interest in what causes the pleasure. From there, our experience or reason can tell us what objects have and may continue to give us pleasure or advantage (Hutcheson 1725, 70). For Hutcheson, the moral sense thus described is from God, implanted, not like innate ideas, but as an innate sense of pleasure for objects that are not necessarily to our advantage—and for nobler pleasures like caring for others or appreciation of harmony (Hutcheson 1725, I.VIII, 83).

Evaluating what is good or not—what we morally approve of or disapprove of—is done by this moral sense. The moral sense is not the basis of moral decisions or the justification of our disapproval as the rationalists claim; instead it is better explained as the faculty with which we feel the value of an action. It does not justify our evaluation; the moral sense gives us our evaluation. The moral faculty gives us our sense of valuing—not feeling in an emotional sense as that would be something like sadness or joy.  There is feeling, but the feeling is a valuing type of feeling.

Like the other internal senses of beauty and harmony, people are born with a moral sense. We know this because we experience moral feelings of approbation and disapprobation. We do not choose to make moral approvals or disapprovals; they just happen to us and we feel the approvals when they occur. Hutcheson put it this way: “approbation is not what we can voluntarily bring upon ourselves” (Hutcheson 1728, I. 412). He continued that in spite of the fact that it is a pleasurable experience to approve of actions, we cannot just approve of anything or anyone when we want to. Hutcheson gives illustrations of this: for instance, people do not “approve as virtuous the eating a bunch of grapes, taking a glass of wine, or sitting down when tired” (ibid.). The point is that moral approvals and disapprovals done by our moral sense are specific in nature and only operate when there is an action that can be appropriately judged of by our moral sense (ibid.). Another way to make this point is to compare the moral sense to the olfactory sense. I can put my nose to this ceramic cup in front of me but my nose will not smell anything if there is nothing to smell. The moral sense operates when an idea touches it the same way a nose smells when there is an odor reaching it. No odor, no smell; no moral issue, no moral sentiment. For Hutcheson, the moral sense is involved and included when the agent reflects on an action or a spectator observes them in reference to the action’s circumstances, specifically those whom it affects (Hutcheson 1728, I. 408). So when an action has consequences for others, it is more likely to awaken our moral sensibility.

Reasoning and information can change the evaluation of the moral sense, but no amount of reasoning can or does precede the moral sense in regard to its approval of what is for the public good. Reason does, however, inform the moral sense, as discussed below. The moral sense approves of the good for others. This concern for others by the moral sense is what is natural to humankind, Hutcheson contended. Reason gives content to the moral sense, informing it of what is good for others and the public good (Hutcheson 1728, I. 411).

Some may think Hutcheson a utilitarian and certainly no thorough accounting of historical utilitarianism is complete without a mention of Hutcheson. Consider the following statement from Hutcheson: “In the same manner, the moral evil, or vice, is as the degree of misery, and number of sufferers; so that, that action is best, which procures the greatest happiness for the greatest numbers; and that, worst, which, in like manner, occasions, misery.” Preceding this, though, is the phrase, “…we are led by our moral sense of virtue to judge thus…” (Inquiry, II, 3, 8). So it is our moral sense that evaluates goodness and evil and does seem to evaluate much like a utilitarian, but it is not bound by the utilitarian rule—moral sense evaluations are normatively privileged and prior to moral rules of any kind.

In Illustrations upon the Moral Sense (1728), Hutcheson gives definitions of both the approbation of our own actions and those of others. Approbation of our own action is given when we are pleased with ourselves for doing the action and/or pleased with our intentions for doing the action. Hutcheson puts it this way: “[A]pprobation of our own action denotes, or is attended with, a pleasure in the contemplation of it, and in reflection upon the affections which inclined us to it” (I. 403). Consider what happens when someone picks up and returns something that another person drops. In response to the action, the person who picked up the dropped item would have feelings of approbation toward their own action. This person would be happy with what they did, especially after giving it some thought. Further, they would be pleased if their own intentions were ones with which they could also be pleased. The intention could possibly be that they just wanted to help this person; however, if the intention was to gain advantage with the other person, then they would not be as pleased with themselves. Approbation of another’s action is much the same except that the observer is pleased to witness the action of the other person and feels affection toward the agent of the action. Again Hutcheson:

[A]pprobation of the action of another has some little pleasure in attending it in the observer, and raises love toward the agent, in whom the quality approved is deemed to reside, and not in the observer, who has a satisfaction in the act of approving (Hutcheson 1728, 403).

There is a distinction, Hutcheson claimed, between choosing to do an action or wanting someone else to do an action and our approbation of the action. According to Hutcheson, we often act in ways we disapprove of (ibid. 403). All I have to think of is the extra cookie I have just consumed: upon reflection I am not pleased with my choice; I disapprove of eating the cookie.

b. Sense vs. Reason

In response to the difficulty philosophers seem to have understanding the separate operations of sensing—done by the moral sense—and intellectual reasoning, Hutcheson referred to the ancients—a common element in his writing—and the division of the soul between the will (desires, appetites, ‘sensus’) and the intellect. Philosophers who think reasons motivate and/or judge have conflated the will into the intellect (Hutcheson 1728, 405). In this same discussion, Hutcheson, borrowing from Aristotle, explained that reason and the intellect help determine how to reach an end or goal. Yet the desire for that goal is the job of the will. The will is moved by the desire for that end which, of course, for Aristotle, was happiness (ibid. I. 405-6).

There has to be a desire for the will to choose something. Something is chosen because it is seen as a possible fulfillment of a human desire. For Hutcheson, there is a natural instinct and desire for the good of others. Without this natural desire, Hutcheson claimed, no one would care whether an action benefits or harms one person or many. Information may be sound and true about the dangers of an action, yet without the instinct to care about those who would be benefited or harmed the information would not move our passions (ibid. I. 406-7). The only reason to care about a natural disaster 1,000 miles away where we do not know anyone and we are not affected even indirectly is that we care about others in general and do not wish harm on them. A person can only want something if the desire for it is connected to or understood to be satisfying a certain natural instinct or affection (ibid. I. 404). This instinct or desire for the welfare of others is what influences our moral sense to approve or disapprove of an action.

Reasons and discussions that excite and motivate presuppose instincts and affections (ibid.). To be moved means there is an instinct that is moved. Consider a different type of instinct like one’s instinct for happiness. Hutcheson explained it this way: “[T]here is an instinct or desire fixed in his nature, determining him to pursue his happiness: but it is not this reflection on his own nature, or this [some] proposition which excites or determines him, but the instinct itself” (ibid. I. 406). It is not the proposition that a certain act will produce lots of money that excites a person, but rather the instinct toward happiness and the belief that money will bring the desired happiness. So reasoning that leads a person to believe that money will bring happiness presupposes an instinct that values happiness. Reasons that justify or explain something as being moral or immoral presuppose a moral sense (ibid. 404). If there are reasons for something and those reasons are considered, a moral sense must exist that cares about and utilizes the information.

Hutcheson thought one of the reasons there was confusion and opposition to the idea of moral judgment coming from one’s instincts or affections is the violent, passionate actions that are observed in people and would not be effective as moral evaluators. Yet Hutcheson was not claiming that these passions and out-of-control desires are the source of moral judgment; it is “the calm desire or affection which employs our reason freely…” (ibid. IV. 413). Also, for Hutcheson, “the most perfect virtue consists in the calm, impassionate benevolence, rather than in particular affection” (ibid.). So not only are the moral passions calm, they naturally respond positively to behaviors that benefit the public good. Hutcheson did not claim that this should be the case and, therefore, it is not the normative claim utilitarianism makes; rather, what Hutcheson argued is that his experiences and moral sense find this to be the case.

To the criticism that a person’s moral sense might be judged good or evil, Hutcheson replied that this was not possible. He compared judging the moral sense as good or evil with calling the “power of tasting, sweet or bitter; or of seeing, strait or crooked, white or black” (ibid. I. 409). So a person cannot have a morally evil moral sense even if this person disagrees with another. Hutcheson did see that people may differ in taste—and various people could and do—and that the moral sense can be silenced or ignored (ibid. 410). He contended, however, that these differences in taste and evaluation do not indicate evil in the moral sense itself.

Hutcheson did address the issue of uniformity in moral sentiments by answering whether or not we can know others will also approve of that which we approve (ibid. IV. 414). Though there is no certainty of agreement, the moral sense as natural to humankind is largely uniform. Hutcheson added that God approves of benevolence and kindness and so he created human nature with the capability to make the same types of approvals, and this is done by the moral sense. Our moral sense naturally, according to Hutcheson, approves of kindness and caring for others, and unless there is a prejudiced view of whether the action is truly kind and publicly useful, it is not probable that a person would judge incorrectly (ibid.). So, yes, there is disagreement sometimes, but the disagreement is not rooted in self-interest.

c. Basis of Moral Determinations

For Hutcheson, the foundation of our moral determinations is not self-love. What is basic to morality is our inclination for benevolence—an integral part of our moral evaluations which will be more fully examined in the following section. In response to the Hobbesian doctrine of egoism as advanced by authors like Bernard Mandeville, Hutcheson set out to prove the existence of natural feelings like benevolence in order to show that not every action was performed out of self-interest. Although the following quote demonstrates that Hutcheson worried that our natural benevolence could get caught up with our selfish nature, he hoped people could realize that our natural benevolence will allow us to see the higher character and that we can understand and encourage what is best for everyone:

Let the misery of excessive selfishness, and all its passions, be but once explain’d, that so self-love may cease to counteract our natural propensity to benevolence, and when this noble disposition gets loose from these bonds of ignorance, and false views of interest, it shall be assisted even by self-love, and grow strong enough to make a noble virtuous character. Then he is to enquire, by reflection upon human affairs, what course of action does most effectually promote the universal good… (Hutcheson 1725, VII. 155).

However, even when selfishness drowns out our benevolent instincts, our moral sense still operates in response to what is good for others.

Hutcheson’s moral sense theory helped to conceptually circumvent the problems that stem from a strict doctrine of egoism. He claimed that it is natural for us to want good things for others. When someone’s moral sense operates and they judge an action as morally wrong, the moral sense is not why they feel the wrongness, it is how they feel it. It is like an applause meter that evaluates the morality that is expressed in the sentiment: “I morally disapprove of that.” This last statement is a report of the moral sense into an opinion of morality, moving from a feeling to an idea. Yet, if the moral sense faculty works the way Hutcheson describes, there needs to be an innate benevolence, and that case is made by Hutcheson.

4. Benevolence: Response to Hobbes and Pufendorf

Hutcheson’s arguments for an instinctual benevolence are in both Reflections on the Common Systems of Morality (1724) and the Inaugural Lecture on the Nature of Man (1730), both found in Francis Hutcheson: Two Texts on Human Nature (Mautner 1993). In these texts Hutcheson responds to both Thomas Hobbes and Samuel Pufendorf, arguing that from our own experiences we can see that there are, in fact, disinterested motivations common in humankind. Hutcheson specifically claims that the term ‘state of nature’ as used by Hobbes and Pufendorf creates a misunderstanding of what is actually present in human nature. The actual ‘state of nature,’ for Hutcheson, includes the benevolence he claimed as instinctual to humankind. The particular Pufendorf claim that Hutcheson was concerned with was that people would not be virtuous unless they believed in divine punishment and reward (Mautner 1993, 18). This is not unlike Hobbes, who claimed that without civil authority, life for humankind would be “solitary, poor, nasty, brutish and short” (Hobbes 1651, 13.8). For both Hobbes and Pufendorf, the natural ‘state of nature’ is unappealing and full of egoistic defensive protections against others. In opposition, Hutcheson claims the nature of humankind as created by God includes a natural instinct for benevolence. Hutcheson considered the state of nature as described by Hobbes and Pufendorf as an uncultivated state (Hutcheson 1730, 132). He described the cultivated state as one in which a person’s mind is actively learning and developing. These cultivated persons are, for Hutcheson, truly following their own nature as designed by God. In this cultivated state, persons take care of themselves and want all of humankind to be safe and sound (Hutcheson 1730, 133). Hutcheson would have preferred that Hobbes and Pufendorf had used a term other than ‘state of nature’—perhaps ‘state of freedom’—to describe the uncultivated state. This may seem like an unimportant distinction, but consider it for a moment: if humankind is naturally as Hobbes and Pufendorf described, then they need to be forced to develop in cooperative ways, which would be against their nature. If humankind were by nature caring of others, as Hutcheson proposed, then individuals would not need to be forced to cooperate.

Besides the label, ‘state of nature,’ Hutcheson had other objections to the negative characterization of humankind ascribed by Pufendorf and Hobbes. Surely we experience other aspects of people that are not cruel or selfish. We also experience in ourselves a caring and a concern for others. Hutcheson wondered why there was no attention or acknowledgement given by Hobbes or Pufendorf to people’s natural propensity and:

kind instinct [s] to associate; of natural affections, of compassion, of love of company, a sense of gratitude, a determination to honour and love the authors of any good offices toward any part of mankind, as well as of those toward our selves… (Hutcheson 1724, 100).

These characteristics, for Hutcheson, are certainly a part of what we experience in ourselves and in others. We reach out to people for friendship and are impressed and grateful to people who kindly help others as well as ourselves.

Hutcheson also added that human beings naturally care what others think of them. He described this characteristic, observed in others and experienced in ourselves, as “a natural delight men take in being esteemed and honoured by others for good actions…” These characteristics, “all may be observed to prevail exceedingly in humane life,” are ones that we witness daily in people, and are ignored and therefore unaccounted for by Hobbes and Pufendorf (Hutcheson 1724, 100-1). Here, Hutcheson took care to describe his own experiences, and those of others for whom caring for others is not uncommon, and yet these characteristics are missing in the Hobbesian model of humankind. And it is not a meek or quiet instinct: “we shall find one of the greatest springs of their [men in general] actions to be love toward others…a strong delight in being honoured by others for kind actions…” (Hutcheson 1724, 101). Along with his disagreement with the Hobbesian characteristics of humankind, Hutcheson also discusses whether all human action comes from self-interest, arguing against psychological egoism. Hutcheson acknowledged that it is in everyone’s advantage to form cooperative units and that this interdependence is necessary for mankind’s survival (Hutcheson 1730, 134-5). This view agrees partially with what is referred to as prudentialism, as discussed by Hobbes and Pufendorf. Prudentialism is the theory that all cooperation and sociability comes from a self-interested motive. So people make friends or are kind because they know in the long run the effort will benefit their projects and survival—it is prudent to at least feign to care for others. Where Hutcheson disagreed with Hobbes and Pufendorf was over the claim that self-interest is the only motive for social life and/or caring for others. Hutcheson claimed that human beings have other natural affections and appetites “immediately implanted by nature, which are not directed towards physical pleasures or advantage but towards certain higher things which in themselves depend on associating with others” (Hutcheson 1730, 135).

Hutcheson could not imagine a rational creature sufficiently satisfied or happy in a state that would not include love and friendship with others. Hutcheson allowed that this person could have all the pleasant sensations of the external senses along with “the perceptions of beauty, order, harmony.” But that wouldn’t be enough (ibid. V. 144).  When discussing the pleasures of wealth and other external pleasures, Hutcheson connected the enjoyments of these with our experiences and involvement with others. For Hutcheson, even in an imaginary state of wealth, we include others. Hutcheson asked whether these kinds of ideas of wealth do not always include “some moral enjoyments of society, some communication of pleasure, something of love, of friendship, of esteem, of gratitude” (ibid. VI.147). Hutcheson asked more directly, “Who ever pretended to a taste of these pleasures without society” (ibid. VI. 147). So even in our imagination, while enjoying great wealth and material success, we are doing so in the company of others.

There is another minor disagreement between Hobbes and Hutcheson over what is considered funny, specifically what makes us laugh. Though taking up only small sections in Hobbes’ Human Nature (9. 13) and Leviathan (I.6.42), Hobbes’ claim that infirmity causes laughter was addressed by Hutcheson in “Thoughts [Reflections] on Laughter and Observations on ‘The Fable of the Bees.’” In this collection of six letters, Hutcheson also addresses his disagreements with Mandeville.  These letters, though not as well known today, could well have been quite influential essays when they were published originally in the Dublin Journal. They are also an excellent illustration of Hutcheson’s skills in argumentation.

5. Influences on Hume and Smith 

The moral sentimentalist theories of David Hume and Adam Smith were able to move past the Hobbesian view of human nature as both men considered Hutcheson to have handily defeated Hobbes’ argument. Hume does not take on Hobbes directly as he explains that “[m]any able philosophers have shown the insufficiency of these systems” (EPM, Appendix 2.6.17). Without Hutcheson’s successful argument for natural benevolence in human nature, Hume’s and Smith’s moral theories were not feasible because an innate care and concern for others and for society are both basic to their theories.

As a professor at the University of Glasgow, Hutcheson taught Smith, and his writings influenced both Smith and Hume by setting the empirical and psychological tone for both of their moral theories. Hutcheson particularly set up Hume’s moral theory in three ways. Hutcheson argued—as far as Hume was concerned, successfully—against humankind being completely self-interested. Hutcheson also described the mechanism of the internal moral sense that generates moral sentiments (although Hume’s description differed slightly, the mechanism in Hume’s account has many of the same characteristics). In connection to these two Hutcheson themes (the argument against human beings as solely self-interested and a moral sense wherein moral sentiments are felt), Hutcheson also made an argument for a naturally occurring instinct of benevolence in humankind. It was with these three Hutcheson themes that Hume and Smith began articulating their respective moral theories.

It is impossible to know how much Smith was influenced by Hutcheson. Many of Smith’s theories, especially concerning government regulations, property rights and unalienable rights, certainly resemble those espoused by Hutcheson. These were all addressed in the second treatise of the Inquiry (sections v-vii), where Hutcheson aligns the naturally occurring benevolence with feelings of honor, shame and pity, and with the evaluations of the moral sense—and also explains the way benevolence affects human affairs and the happiness of others. Smith’s ideas in Wealth of Nations align with Hutcheson on such issues as the division of labor and the compatibility of the amount and difficulty of labor with its value. Smith was also influenced by Hutcheson’s discussion of the cost of goods being dependent on the difficulty of acquiring them plus the demand for them (Systems II. 10. 7). Also of note in the same chapter is an insightful description for the use of coinage, gold and silver in the exchange of goods and the role of government in the use of coins. Overall, Hutcheson’s timely and meticulous attention to these kinds of social, economic and political details was not only instrumental to Smith’s development but also to that of the American colonies. The latter could have resulted specifically from Hutcheson’s A Short Introduction to Moral Philosophy being translated from Latin into English and used at American universities such as Yale.

6. References and Further Reading

a. Works by Hutcheson

  • Hutcheson, Francis. 1724. Reflections on the Common Systems of Morality. In Francis Hutcheson: On Human Nature, ed. Thomas Mautner, 1993. 96-106. Cambridge: Cambridge University Press
  • Hutcheson, Francis. Philosophical Writings, ed. R. S. Downie. Everyman’s Library. 1994. London: Orion Publishing Group.
  • Hutcheson’s Writings (selection) ed. John McHugh in the Library of Scottish Philosophy series ed. Gordon Graham. Forthcoming 2014
  • Hutcheson, Francis. 1725. An Inquiry Concerning the Original of Our Ideas of Virtue or Moral Good. Selections reprinted in British Moralists, ed. L. A. Selby –Bigge, 1964. 69-177. Indianapolis: Bobbs-Merrill.
  • Hutcheson, Francis. 1728. Illustrations upon the Moral Sense. Selections reprinted in British moralists, ed. L. A. Selby-Bigge. 1964. 403-418. Indianapolis: Bobbs-Merrill.
  • Hutcheson, Francis. 1730. Inaugural Lecture on the Social Nature of Man. In Francis Hutcheson: On Human Nature, ed. Thomas Mautner. 1993. 124-147. Cambridge: Cambridge University Press.
  • Hutcheson, Francis. 1742. An Essay on the Nature and Conduct of the Passions and Affections. Selections reprinted in British moralists, ed. L. A. Selby-Bigge. 1964. 392-402. Indianapolis: Bobbs-Merrill.
  • Hutcheson, Francis. 1755. A System of Moral Philosophy. Selection reprinted in British moralists, ed. L. A. Selby-Bigge. 1964. 419-425. Indianapolis: Bobbs-Merrill.

i. Collected Works and Correspondence

  • Liberty Fund Natural Law and Enlightenment series: General Editor, Knud Haakonssen. Liberty Fund, Indianapolis, Indiana U.S.A.
  • 1725 An Inquiry into the Original of Our ideas of Beauty and Virtue. 2004
  • 1742 An Essay on the Nature and Conduct of the Passions and Affections, with the Illustrations on the Moral Sense. 2002
  • 1742 Logic, Metaphysics, and the Natural Sociability of Mankind. 2006
  • 1745 (Translated into English 1747) Philosophiae Moralis Instituitio Compendiaria with A Short Introduction to Moral Philosophy. ed. Luigi Turco. 2007
  • 1755 Meditations of the Emperor Marcus Aurelius Antonius. 2008
  • 1729 “Thoughts on Laughter and Observations on ‘The Fable of the Bees’” in The Correspondence and Occasional Writings of Francis Hutcheson  2014

b. Secondary Readings

  • Berry, Christopher J. 2003. “Sociality and Socialization.” The Cambridge Companion to the Scottish Enlightenment, ed. Alexander Broadie, Cambridge University Press.
  • Blackstone, William T. 1965. Francis Hutcheson & Contemporary Ethical Theory. University of Georgia Press.
  • Broadie, Alexander, ed. 2003. The Cambridge Companion to the Scottish Enlightenment. Cambridge University Press.
  • Brown, Michael. 2002. Francis Hutcheson in Dublin 1719-1730: The Crucible of his Thought. Four Courts Press.
  • Carey, Daniel. 1999. Hutcheson. In The Dictionary of Eighteenth-Century British Philosophers, eds. John Yolton, John Valdimir Price, and John Stephens. Two volumes.Vol. II: 453-460. Bristol, England: Thoemmes Press.
  • D’Arms, Justin and Daniel Jacobson. 2000. Sentiment and Value. In Ethics 110 (July): 722-748. The University of Chicago.
  • Daniels, Norman and Keith Lehrer. Eds. 1998. Philosophical Ethics. Dimensions of Philosophy Series. Boulder, Colorado: Westview Press.
  • Darwall, Stephen. 1995. The British Moralists and the Internal ‘Ought’ 1640 – 1740. Cambridge: Cambridge University Press.
  • Darwell, Stephen, Allan Gibbard, and Peter Railton, eds.1997. Moral Discourse and Practice. Oxford University Press.
  • Emmanuel, Steven, ed. 2001. The Blackwell Guide to the Modern Philosophers. Massachusetts: Blackwell Press.
  • Gill, Michael. 1996. Fantastic Associations and Addictive General Rules: A fundamental difference between Hutcheson and Hume. Hume Studies vol. XXII, no. 1 (April): 23-48.
  • Graham, Gordon. 2001. Morality and Feeling in the Scottish Enlightenment. Philosophy. Volume 76.
  • Haakonssen, Knud. 1996. Natural Law and Moral Philosophy: From Grotius to the Scottish Enlightenment. Cambridge: Cambridge University Press.
  • Haakonssen, Knud. 1998. Adam Smith. Aldershot, England: Dartmouth Publishing Company Limited and Ashgate Publishing Limited.
  • Harman, Gilbert. 2000. Explaining Value. Oxford: Clarendon Press.
  • Herman, Arthur. 2002. How the Scots Invented the Modern World: The True story of How Western Europe’s Poorest Nation Created Our World. Broadway Books.
  • Hope, Vincent. 1989. Virtues by Consensus: The Moral Philosophy of Hutcheson, Hume, and Adam Smith. Oxford University Press.
  • Hobbes, Thomas. 1651. Leviathan, ed. Edwin Curley. 1994. Indiana, USA: Hackett Press.
  • Hobbes, Thomas. 1651. Human Nature: or the Fundamental Elements of Policy. In British Moralists, ed. D.D. Raphael, 1991. Pp. 3-17. Indiana USA: Hackett Press.
  • Hume, David. 1740. A Treatise of Human Nature, eds. L. A. Selby-Bigge and P. H. Nidditch. second edition, 1978. Oxford: Clarendon Press.
  • Hume, David. 1751. Enquiries Concerning the Human Understanding and Concerning the Principles of Morals, eds. L. A. Selby-Bigge and P. H. Nidditch. Revised third edition, 1975. Oxford: Clarendon Press.
  • LaFollette, Hugh, ed. 2000. The Blackwell Guide to Ethical Theory. Massachusetts: Blackwell Publishers.
  • LaFollette, Hugh. 1991. The truth in Ethical Relativism. Journal of Social Philosophy. 146-54.
  • Kivy, Peter. 2003. The Seventh Sense: A Study of Francis Hutcheson’s Aesthetics and Its Influence in Eighteenth-Century Britain. 2nd edition. New York: Franklin.
  • Mackie, J. L. 1998. The Subjectivity of Values. In Ethical Theories, third edition, ed. Louis Pojman. 518 – 537.Wadworth Publishing.
  • Mautner, Thomas, ed. 1993. Francis Hutcheson: Two Texts on Human Nature. Cambridge University Press.
  • McDowell, John.1997. Projection and Truth in Ethics. In Moral Discourse and Practice, eds. Stephen Darwall, Allan Gibbard, Peter Railton. Chapter 12: 215 – 225. Oxford Press.
  • McNaughton, David. 1999. Shaftesbury. In The Dictionary of Eighteenth-Century British Philosophers, eds. John Yolton, John Valdimir Price, and John Stephens. Two volumes. Vol.1: 781-788. Bristol, England: Thoemmes Press.
  • Mercer, Philip. 1972. Sympathy and Ethics. Oxford: Clarendon Press.
  • Mercer, Philip. 1995. “Hume’s concept of sympathy.” Ethics, Passions, Sympathy, ‘Is’ and ‘Ought.’  David Hume: Critical Assessments. Volume IV: 437 – 60. London and New York: Routledge Press.
  • Moore, James. 1990. “The Two Systems of Francis Hutcheson: On the Origins of the Scottish Enlightenment,” in Studies in the Philosophy of the Scottish Enlightenment, ed. M.A. Stewart. Pp. 37-59. Oxford: Clarendon Press.
  • Moore, James. 1995. “Hume and Hutcheson.” Hume and Hume’s Connections, eds. M. A. Stewart and James P. Wright. 23-57. The Pennsylvania State University Press.
  • Price, John Valdimir. 1999. “Hume.” The dictionary of eighteenth-century British philosophers, eds. John Yolton, John Valdimir Price, and John Stephens. Two volumes. Volume II: 440-446. Bristol, England: Thoemmes Press.
  • Russell, Paul. 1995. Freedom and Moral Sentiments, Oxford University Press.
  • Schneewind, J. B. 1990. Moral Philosophy from Montagne to Kant: An Anthology. Volumes I and II. Cambridge University Press.
  • Schneider, Louis. 1967. The Scottish Moralists: On Human Nature and Society. Phoenix Books, University of Chicago.
  • Scott, William Robert. 1900. Francis Hutcheson, His Life, Teaching and Position in the History of Philosophy. Cambridge: Cambridge University Press, Reprint 1966 New York: A. M. Kelley.
  • Strasser, Mark. 1990. Francis Hutcheson’s Moral Theory. Wakefield, New Hampshire: Longwood Academic.
  • Strasser, Mark. 1991-2. “Hutcheson on Aesthetic Perception.” Philosophia 21: 107-18
  • Stewart, M. A. and Wright, John P., eds. 1995. Hume and Hume’s Connections. The Pennsylvania State University Press.
  • Taylor, W. L. 1965. Francis Hutcheson and David Hume as Predecessors of Adam Smith. Duke University Press.
  • Turco, Luigi. 2003. “Moral Sense and the Foundations of Morals.” The Cambridge Companion to the Scottish Enlightenment, ed. Alexander Broadie, Cambridge University Press.
  • Yolton, John, John Valdimir Price, and John Stephens, eds.1999. The Dictionary of Eighteenth-Century British Philosophers, Two volumes. Bristol, England: Thoemmes Press.

 

Author Information

Phyllis Vandenberg
Email: vandenbp@gvsu.edu
Grand Valley State University
U. S. A.

and

Abigail DeHart
Email: dehartab@mail.gvsu.edu
Grand Valley State University
U. S. A.

Emergence

If we were pressed to give a definition of emergence, we could say that a property is emergent if it is a novel property of a system or an entity that arises when that system or entity has reached a certain level of complexity and that, even though it exists only insofar as the system or entity exists, it is distinct from the properties of the parts of the system from which it emerges. However, as will become apparent, things are not so simple because “emergence” is a term used in different ways both in science and in philosophy, and how it is to be defined is a substantive question in itself.

The term “emergence” comes from the Latin verb emergo which means to arise, to rise up, to come up or to come forth. The term was coined by G. H. Lewes in Problems of Life and Mind (1875) who drew the distinction between emergent and resultant effects.

Effects are resultant if they can be calculated by the mere addition or subtraction of causes operating together, as with the weight of an object, when one can calculate its weight merely by adding the weights of the parts that make it up. Effects are emergent if they cannot be thus calculated, because they are qualitatively novel compared to the causes from which they emerge. For Lewes, examples of such emergent effects are mental properties that emerge from neural processes yet are not properties of the parts of the neural processes from which they emerge.  In Lewes’ work, three essential features of emergence are laid out. First, that emergentism is a theory about the structure of the natural world; and, consequently, it has ramifications concerning the unity of science. Second, that emergence is a relation between properties of an entity and the properties of its parts. Third, that the question of emergence is related to the question of the possibility of reduction. These three features will structure this article’s discussion of emergence.

Table of Contents

  1. The British Emergentists
    1. J. S. Mill
    2. Samuel Alexander
    3. C. Lloyd Morgan
    4. C. D. Broad
  2. Later Emergentism
    1. Kinds of Emergence
      1. Strong and Weak Emergence
        1. Strong Emergence: Novelty as Irreducibility and Downward Causation
        2. Weak Emergence: Novelty as Unpredictability
      2. Synchronic and Diachronic Emergence
    2. Emergence and Supervenience
  3. Objections to Emergentism
    1. The Supervenience Argument
    2. Do Cases of Genuine (Strong) Emergence Exist?
  4. References and Further Reading

1. The British Emergentists

The group of emergentists that Brian McLaughlin (1992) has dubbed the “British emergentists” were the first to make emergence the core of a comprehensive philosophical position in the second half of the nineteenth century and the beginning of the twentieth century. A central question at that time was whether life, mind and chemical bonding could be given a physical explanation and, by extension, whether special sciences such as psychology and biology were reducible to more “basic”’ sciences and, eventually, to physics. Views were divided between the reductionist mechanists and the anti-reductionist vitalists. The mechanists claimed that the properties of an organism are resultant properties that can be fully explained, actually or in principle, in terms of the properties and relations of its parts. The vitalists claimed that organic matter differs fundamentally from inorganic matter and that what accounts for the properties of living organisms is not the arrangement of their constitutive physical and chemical parts, but some sort of entelechy or spirit. In this debate the emergentists proposed a middle way in which, against the mechanists, the whole is more than just the sum and arrangement of its parts yet, against the vitalists, without anything being added to it “from the outside”—that is, there is no need to posit any mysterious intervening entelechy to explain irreducible emergent properties.

Though the views of the British emergentists differ in their details we can generally say they were monists regarding objects or substances in as much as the world is made of fundamentally one kind of thing, matter. However, they also held that at different levels of organization and complexity matter exhibits different properties that are novel relative to the lower levels of organization from which they emerged and this makes the emergentist view one of property dualism (or pluralism). It should also be noted that the British emergentists identified their view as a naturalist position firstly because whether something is emergent or not is to be established or rejected by empirical evidence alone, and secondly because no extra-natural powers, entelechies, souls and so forth are used in emergentist explanations. The main texts of this tradition of the so-called “British emergentists” are J. S. Mill’s System of Logic, Samuel Alexander’s Space, Time and Deity, C. Lloyd Morgan’s Emergent Evolution and C. D. Broad’s The Mind and its Place in Nature. Beyond these emergentists, traditional brands of emergentism can be found in the work of R. W. Sellars (1922), A. Lovejoy (1927), Roger Sperry (1980, 1991), Karl Popper and John Eccles (1977) and Michael Polanyi (1968).

a. J. S. Mill

Though he did not use the term ‘emergence,’ it was Mill’s System of Logic (1843) that marked the beginning of British emergentism.

Mill distinguished between two modes of what he called “the conjoint action of causes,” the mechanical and the chemical. In the mechanical mode the effect of a group of causes is nothing more than the sum of the effects that each individual cause would have were it acting alone. Mill calls the principle according to which the whole effect is the sum of the effects of its parts the “principle of composition of causes” and illustrates it by reference to the vector sum of forces. The effects thus produced in the mechanical mode are called “homopathic effects” and they are subject to causal “homopathic laws.” Mill contrasts the mechanical mode with the chemical mode in which the principle of composition of causes does not hold. In the chemical mode causal effects are not additive but, instead, they are “heteropathic” which means that the conjoint effect of different causes is different from the sum the effects the causes would have in isolation. The paradigmatic examples of such effects were, for Mill, the products of chemical reactions which have different properties and effects than those of the individual reactants. Take, for example a typical substitution reaction:

Zn + 2HCl → ZnCl2 + H2.

In such a reaction zinc reacts with hydrogen chloride and replaces the hydrogen in the latter to produce effects that are more than just the sum of the parts that came together at the beginning of the reaction. The newly formed zinc chloride has properties that neither zinc nor hydrogen chloride possess separately.

Mill’s heteropathic effects are the equivalent of Lewes’ emergent effects, whereas homopathic effects are the equivalent of Lewes’ resultants. Heteropathic effects are subject, according to Mill, to causal “heteropathic” laws which, though now relative to the laws of the levels from which they emerged, do not counteract them. Such laws are found in the special sciences such as chemistry, biology and psychology.

b. Samuel Alexander

In Space, Time and Deity (1920), Samuel Alexander built a complex metaphysical system that has been subject to a number of different interpretations. As we shall see, Alexander in effect talks of different levels of explanation as opposed to the more robust ontological emergence we find in the works of the other British emergentists.

According to Alexander, all processes are physico-chemical processes but as their complexity increases they give rise to emergent qualities that are distinctive of the new complex configurations. These are subject to special laws that are treated by autonomous special sciences that give higher-order explanations of the behavior of complex configurations. One kind of such emergent qualities is mental qualities (others are biological and chemical qualities). Since for Alexander all processes are physico-chemical processes, mental processes are identical to neural processes. However Alexander claims that mental qualities are distinctive of higher-order configurations. Furthermore, Alexander claims, mental qualities are not epiphenomenal. A neural process that lost its mental qualities would not be the same process because it is in virtue of its mental qualities that the “nervous”—neural—process has the character and effects that it has. So though emergent qualities are co-instantiated in one instance in a physico-chemical process, they are distinct from that process due to their novel causal powers.

Alexander also holds that emergent qualities and their behavior cannot be deduced even by a Laplacean calculator from knowledge of the qualities and laws of the lower—physiological—order. To be precise, though a Laplacean calculator could predict all physical processes (and hence all mental processes, since mental processes are physical processes) he would not be able to predict the emergent qualities of those events because their configuration, though being in its entirety physico-chemical, exhibits different behavior from the kind the physico-chemical sciences are concerned with and this behavior is, in turn, captured by emergent laws. Hence the emergence of such qualities should be taken as a brute empirical fact that can be given no explanation and should be accepted with “natural piety”. However it should be noted here that Alexander leaves open the possibility that, if chemical properties were to be reduced without residue to physico-chemical processes, then they would not be emergent, and he adds that the same holds for mental properties.

c. C. Lloyd Morgan

In Emergent Evolution (1923) (and subsequently in Life, Spirit and Mind [1926] and The Emergence of Novelty [1933]) the biologist C. Lloyd Morgan introduced the notion of emergence into the notion of the process of evolution and maintained that in the course of evolution new properties and behaviors emerge (like life, mind and reflective thought) that cannot be predicted from the already existing entities they emerged from. Taking off from Mill and Lewes, Morgan cites as the paradigmatic case of an emergent phenomenon the products of chemical reactions that are novel and unpredictable. These novel properties, moreover, are not merely epiphenomenal but bring about “a new kind of relatedness”—new lawful connections—that affects the “manner of go” of lower-level events in a way that would not occur had they been absent. Thus emergent properties are causally autonomous and have downward causal powers.

d. C. D. Broad

The last major work in the British emergentist tradition and, arguably, the historical foundation of contemporary discussions of emergence in philosophy, was C. D. Broad’s Mind and Its Place in Nature (1925).

Broad identified three possible answers to the question of how the properties of a complex system are related to the properties of its parts. The “component theory” of the vitalists, the reductive answer of the mechanists and the emergentist view that the behavior of the whole cannot in principle be deduced from knowledge of the parts and their arrangement.  From this latter view—Broad’s own—it follows that contrary to the mechanist’s view of the world as homogeneous throughout, reality is structured in aggregates of different order. Different orders in this sense exhibit different organizational complexity and the kinds that make up each order are made up of the kinds to be found in lower orders. This lack of unity is, in turn, reflected in the sciences, where there is a hierarchy with physics at the lower order and then ascending chemistry, biology and psychology—the subject matter of each being properties of different orders that are irreducible to properties of the lower orders. According to Broad these different orders are subject to different kinds of laws: trans-ordinal laws that connect properties of adjacent orders and intra-ordinal laws that hold between properties within the same order. Trans-ordinal laws, Broad writes, cannot be deduced from intra-ordinal laws and principles that connect the vocabularies of the two orders between which they hold; trans-ordinal laws are irreducible to intra-ordinal laws and, as such, are fundamental emergent laws—they are metaphysical brute facts.

Broad considered the question whether a trans-ordinal law is emergent to be an empirical question. Though he considered the behavior of all chemical compounds irreducible and thus emergent, he admitted, like Alexander, that if one day it is reduced to the physical characteristics of the chemical compound’s components it will not then count as emergent. However, unlike Alexander, he did not consider the same possible concerning the phenomenal experiences that “pure”—secondary—qualities of objects cause in us. Broad calls trans-ordinal laws that hold between physical properties and secondary qualities “trans-physical laws”. Though he is willing to grant that it could turn out that we mistakenly consider some trans-ordinal laws to be emergent purely on the basis of our incomplete knowledge, trans-physical laws are necessarily emergent—we could never have formed the concept of blue, no matter how much knowledge we had of colors, unless we had experienced it.  Broad puts forward an a priori argument to this effect that can be seen as a precursor of the knowledge argument against physicalism. These qualities, he says, could not have been predicted even by a “mathematical archangel” who knows everything there is to know about the structure and working of the physical world and can perform any mathematical calculation—they are in principle irreducible, only inductively predictable and hence emergent.

In this we see that Broad’s emergentism concerning the phenomenal experience of secondary qualities is not epistemological (as is sometimes suggested by his writings) but is a consequence of an ontological distinction of properties. That is, the impossibility of prediction which he cites as a criterion of emergence is a consequence of the metaphysical structure of the world; the “mathematical archangel” could not have predicted emergent properties not because of complexity or because of limits to what can be expressed by lower-level concepts, but because emergent facts and laws are brute facts or else are laws that are in principle not reductively explainable.

2. Later Emergentism

Beginning in the late 1920’s, advances in science such as the explanation of chemical bonding by quantum mechanics and the development of molecular biology put an end to claims of emergence in chemistry and biology and thus marked the beginning of the fall of the emergentist heyday and the beginning of an era of reductionist enthusiasm. However, beginning with Putnam’s arguments for multiple realizability in the 1960’s, Davidson’s anomalous monism of the psychophysical and Fodor’s argument for the autonomy of the special sciences, the identity theory  and reductionism were dealt a severe blow. Today, within a predominant anti-reductivist monist climate, emergentism has reappeared in complex systems theory, cognitive science and the philosophy of mind.

a. Kinds of Emergence

Because emergent properties are novel properties, there are different conceptions of what counts as emergent depending on how novelty is understood, and this is reflected in the different ways the concept of emergence is used in the philosophy of mind and in the natural and cognitive sciences. To capture this difference, David Chalmers (2006) drew the distinction between weak and strong emergence. A different distinction has been drawn by O’Connor and Wong (2002) between epistemological and ontological emergence, but this can be incorporated into the distinction between weak and strong emergence becasue ultimately both differentiate between an epistemological emergence couched in terms of higher and lower-level explanations or descriptions and a robust ontological difference between emergent and non-emergent phenomena. Beyond this, accounts of emergence differ in whether novelty is understood as occurring over time or whether it is a phenomenon restricted to a particular time. This difference is meant to be captured in the distinction between synchronic and diachronic emergence.

i. Strong and Weak Emergence

1. Strong Emergence: Novelty as Irreducibility and Downward Causation

The metaphysically interesting aspect of emergence is the question of what it takes for there to be genuinely distinct things. In other words, the question is whether a plausible metaphysical distinction can be made between things that are “nothing over and above” what constitutes them and those things that are “something over and above” their constituent parts. The notion of strong emergence that is predominant in philosophy is meant to capture this ontological distinction that was part of the initial motivation of the British emergentists and which is lacking in discussions of weak emergence.

Though a phenomenon is often said to be strongly emergent because it is not deducible from knowledge of the lower-level domain from which it emerged—as was the case for C.D. Broad—what distinguishes the thesis of strong emergence from a thesis only about our epistemological predicament is that this non-deducibility is in principle a consequence of an ontological distinction.  The question then is what sort of novelty must a property exhibit in order for it to be strongly emergent?

Even reductive physicalists can agree that a property can be novel to a whole even though it is nothing more than the sum of the related properties of the parts of the whole. For instance, a whole weighs as much as the sum of the weights of its parts, yet the weight of the whole is not something that its parts share. In this sense resultant systemic properties, like weight, are novel but not in the sense required for them to be strongly emergent. Also, numerical novelty, the fact that a property is instantiated for the first time, is not enough to make it strongly emergent for, again, that would make many resultant properties emergent, like the first time a specific shape or mass is instantiated in nature.

For this reason the criterion often cited as essential for the ontological autonomy of strong emergents (along with in principle irreducibility or non-deducibility) is causal novelty.  That is, the basic tenet of strong emergentism is that at a certain level of physical complexity novel properties appear that are not shared by the parts of the object they emerge from, that are ontologically irreducible to the more fundamental matter from which they emerge and that contribute causally to the world. That is, emergent properties have new downward causal powers that are irreducible to the causal powers of the properties of their subvenient or subjacent (to be more etymologically correct) base. Ontological emergentism is therefore typically committed not only to novel fundamental properties but also to fundamental emergent laws as was the case with the British emergentists who, with the exception of Alexander, were all committed to downward causation—that is, causation from macroscopic levels to microscopic levels. (It should be noted also that this ontological autonomy of emergents implies the existence of irreducible special sciences.) Thus Timothy O’Connor (1994) defines strong emergent properties as properties that supervene on properties of the parts of a complex object, that are not shared by any of the objects parts, are distinct from any structural property of the complex, and that have downward causal influence on the behavior of the complex’s parts.

However, though downward causal powers are commonly cited along with irreducibility as a criterion for strong emergence, there is no consensus regarding what is known as “Alexander’s dictum” (that is, that for something to be real it must have causal powers) and hence not everyone agrees that strong emergentism requires downward causation. For example, David Chalmers (2006) who is neutral on the question of epiphenomenalism, does not take downward causation to be an essential feature of emergentism. Rather, Chalmers defines a high-level phenomenon as strongly emergent when it is systematically determined by low-level facts but nevertheless truths concerning that phenomenon are in principle not deducible from truths in the lower-level domain. The question is posed by Chalmers in terms of conceptual entailment failure. That is, emergent phenomena are nomologically but not logically supervenient on lower-level facts and therefore novel fundamental laws are needed to connect properties of the two domains.

A different approach is offered by Tim Crane (2001, 2010) who bases his account of strong emergence on the distinction between two kinds of reduction: (1) ontological reduction, which identifies entities in one domain with those in another, more fundamental one, and (2) explanatory reduction: that is, a relation that holds between theories aimed at understanding phenomena of one level of reality in terms of a “lower” level. In other words, one theory, T2, is explanatorily reduced to another, T1, when theory T1 sheds light on the phenomena treated in T2; that is, shows from within theory T1 why T2 is true. Crane argues that the difference between strong emergentism and non-reductive physicalism lies in their respective attitude to reduction: though both non-reductive physicalism and emergentism deny ontological reduction, non-reductive physicalism requires explanatory reduction (at least in principle) whereas the distinguishing feature of emergentism is that it denies explanatory reduction and is committed to an explanatory gap. Crane argues that if you have supervenience with in-principle irreducibility and downward causation then you have dependence without explanatory reduction and, hence, strong emergence.

2. Weak Emergence: Novelty as Unpredictability

Weak emergence is the kind of emergence that is common in the early twenty-first century primarily (though not exclusively) in cognitive science, complex system theory and, generally, scientific discussions of emergence in which the notions of complexity, functional organization, self-organization and non-linearity are central. The core of this position is that a property is emergent if it is a systemic property of a system—a property of a system that none if its smaller parts share—and it is unpredictable or unexpected given the properties and the laws governing the lower-level, more fundamental, domain from which it emerged. Since weak emergence is defined in terms of unpredictability or unexpectedness, it is an epistemological rather than a metaphysical notion. Commonly cited examples of such weak emergent phenomena range from emergent patterns in cellular automata and systemic properties of connectionist networks to phase transitions, termite organization, traffic jams, the flocking patterns of birds, and so on.

Weak emergence is compatible with reduction since a phenomenon may be unpredictable yet also reducible. For instance, processes comprised of many parts may fall under strict deterministic laws yet be unpredictable due to the unforeseeable consequences of minute initial conditions. And, as Chalmers (2006) argues, weak emergence is also compatible with deducibility of the emergent phenomenon from its base, as for instance, in cellular automata in which though higher-level patterns may be unexpected they are in principle deducible given the initial state of the base entities and the basic rules governing the lower level.

Mario Bunge’s “rational emergentism” (1977) is a form of weak emergence according to which emergent properties are identified with systemic properties that none of the parts of the system share and that are reducible to the parts of the system and their organization. Bunge identifies his view as an emergentism of sorts because he claims that, unlike reductionist mechanism it appreciates the novelty of systemic properties. In addition, he thinks of novelty as having a reductive explanation. He calls this “rational” emergence.

William Wimsatt (2000) also defends an account according to which emergence is compatible with reduction. Wimsatt defines emergence negatively as the failure of aggregativity; aggregativity is the state in which “the whole is nothing more than the sum of its parts” in which, that is, systemic properties are the result of the component parts of a system rather than their organization. Contrasting emergence to aggregativity, Wimsatt defines a systemic property as emergent relative to the properties of the parts of a system if the property is dependent on their mode of organization (and is also context-sensitive) rather than solely on the system’s composition. He argues that, in fact, it is aggregativity which is very rare in nature, while emergence is a common phenomenon (even if in different degrees).

Robert Batterman (2002), who focuses on emergence in physics, also believes that emergent phenomena are common in our everyday experience of the physical world. According to Batterman, what is at the heart of the question of emergence is not downward causation or the distinctness of emergent properties, but rather inter-theoretic reduction and, specifically, the limits of the explanatory power of reducing theories. Thus, a property is emergent, according to this view, if it is a property of a complex system at limit values that cannot be derived from lower level, more fundamental theories. As examples of emergent phenomena Batterman cites phase transitions and transitions of magnetic materials from ferromagnetic states to paramagnetic states, phenomena in which novel behavior is exhibited that cannot be reductively explained by the more fundamental theories of statistical mechanics. However, Batterman wants to distinguish explanation from reduction and so claims that though emergent phenomena are irreducible they are not unexplainable per se because they can have non-reductive explanations.

More recently Mark Bedau (1997, 2007, 2008) has argued that the characteristic of weak emergence is that, though macro-phenomena of complex systems are in principle ontologically and causally reducible to micro-phenomena, their reductive explanation is intractably complex, save by derivation through simulation of the system’s microdynamics and external conditions. In other words, though macro-phenomena are explainable in principle in terms of micro-phenomena, these explanations are incompressible, in the sense that they can only be had by “crawling the micro-causal web”—by aggregating and iterating all local micro-interactions over time. Bedau argues that this is the only kind of real emergence and champions what he calls the “radical view” of emergence according to which emergence is a common phenomenon that applies to all novel macro-properties of systems. (He contrasts this to what he calls the “sparse view” which he characterizes as the view that emergence is a rare phenomenon found only in “exotic” phenomena such as consciousness that are beyond the scope of normal science.) However, though this is a weak kind of emergence in that it denies any strong form of downward causation and it involves reducibility of the macro to the micro (even if only in principle), Bedau denies that weak emergence is merely epistemological, or merely “in the mind” since explanations of weak emergent phenomena are incompressible because they reflect the incompressible nature of the micro-causal structure of reality which is an objective feature of complex systems.

Andy Clark (1997, 2001) also holds a weak emergentist view according to which emergent phenomena need not be restricted to unpredictable or unexplainable phenomena but are, instead, systemic phenomena of complex dynamical systems that are the products of collective activity. Clark distinguishes four kinds of emergence. First, emergence as collective self-organization (a system becomes more organized due solely to the collective effects of the local interaction of its parts, such as  flocking patterns of birds, or due to the collective effects of its parts and the environment, such as termite nest building). Second, emergence as unprogrammed functionality, that is, emergent behavior that arises from repeated interaction of an agent with the environment, such as wall-following behavior in “veer and bounce” robots (Clark, 1997). Third, emergence as interactive complexity in which effects, patterns or capacities of a system emerge resulting from complex, cyclic interaction of its components. For example, Bénard and Couette convection cells that result from a repetitive cycle of movement caused by differences in density within a fluid body in which the colder fluid forces the warmer fluid to rise until the latter loses enough heat to descend and cause the former fluid to rise again, and so on. And fourth, emergence as uncompressible unfolding (phenomena that cannot be predicted without simulation). All of these formulations of emergence are compatible with reducibility or in principle predictability and are thus forms of weak emergence. For Clark, emergence picks out the “distinctive way” in which factors conspire to bring about a property, event or pattern and it is “linked to the notion of what variables figure in a good explanation of the behavior of a system.” Thus, Clark’s notion of emergence in complex systems theory is explanatory in that it focuses on explanations in terms of collective variables, that is, variables that focus on higher-level features of complex dynamical systems that do not track properties of the components of the system but, instead, reflect the result of the interaction of multiple agents or their interaction with their environment.

Proponents of weak emergence do not support the strong notion of downward causation that is found in strong emergentist views but, instead, favor one in which higher-level causal powers of a whole can be explained by rules of interaction of its parts, such as feedback loops. Though this kind of view of emergence is predominant in the sciences, it is not exclusive to them. A form of weak emergence within philosophy that denies strong downward causation can be found in John Searle (1992). Searle allows for the existence of “causally emergent system features” such as liquidity, transparency and consciousness that are systemic features of a system that cannot be deduced or predicted from knowledge of causal interactions of lower levels. However, according to Searle, whatever causal effects such features exhibit can be explained by the causal relations of the systems parts, for example, in the case of consciousness, by the behavior and interaction of neurons.

If we make use, for more precision, of the distinction between ontological and explanatory reduction we can see that if we understand strongly emergent phenomena as both ontologically and explanatorily irreducible, as Crane (2010) does, then they are also weakly emergent. However, if strongly emergent phenomena are only ontologically irreducible they may still be, in principle, predictable. For example, even if you deny the identity of heat with mean kinetic energy (perhaps because of multiple realizability) a Laplacean demon could still predict a gas’ heat from the mean kinetic energy of its molecules with the use of “bridge laws” that link the two vocabularies. These bridge laws can be considered to be part of what Crane calls an explanatory reduction. So in such cases, strong emergence does not entail weak emergence. Also it should be noted that weak emergence does not entail strong emergence. A phenomenon can be unpredictable yet also ontologically reducible: perhaps for instance, because systemic properties are subject to indeterministic laws. So a case of weak emergence need not necessarily be a case of strong emergence.

ii. Synchronic and Diachronic Emergence

Another distinction that is made concerning how novelty is understood is the distinction between synchronic and diachronic novelty. The former is novelty exhibited in the properties of a system vis-à-vis the properties of its constituent parts at a particular time; the latter is temporal novelty in the sense that a property or state is novel if it is instantiated for the first time. This distinction leads to distinction between synchronic and diachronic emergence.

In synchronic emergence, articulated by C. D. Broad and predominant in the philosophy of mind, the higher-level, emergent phenomena are simultaneously present with the lower-level phenomena from which they emerge. Usually this form of emergence is stated in terms of supervenience of mental phenomena on subvenient/subjacent neural structures, and so mental states or properties co-exist with states or properties at the neural level. Strong ontological emergence is thus usually understood to be synchronic, “vertical”, emergence. In contrast, diachronic emergence is “horizontal” emergence evolved through time in which the structure from which the novel property emerges exists prior to the emergent. This is typical of the weakly emergent states appealed to in discussions of complex systems, evolution, cosmology, artificial life, and so forth. It can be found in Searle (1992) since he views the relation of the emergent to its base as causal thus, at least in non-synchronic accounts of causation, excluding synchronic emergence.

Because diachronic emergence is emergence over time, novelty is understood in terms of unpredictability of states or properties of a system from past states of that system. And because weak emergence is typically defined in terms of unpredictability it is also usually identified with cases of diachronic emergence. In contrast, in synchronic emergence, which refers to the state of a system at a particular time, novelty revolves around the idea of irreducibility and thus synchronic emergence is usually identified with strong emergence. However, there are formulations of non-supervenience-based strong emergence that are causal and diachronic, such as O’Connor and Wong’s (2005). Note that synchronic emergence could be the result of diachronic emergence but is not entailed by it since, presumably, if God were to create the world exactly as it is in this moment, synchronically emergent phenomena would exist without them being diachronically emergent.

b. Emergence and Supervenience

The British emergentists, and this is especially clear in the writing of C. D. Broad, thought that a necessary feature of emergentism is a relation of the kind we would today call supervenience. Supervenience is a relation of covariation between two sets of properties, subjacent/underlying properties and supervenient properties. Roughly, we say that a set of properties A supervenes on a set of properties B if and only if two things that differ with respect to A-properties will also differ with respect to B-properties. Today, because of the failure of successful reductions, especially in the case of the mental to the physical, and because the relation of supervenience per se doesn’t entail anything about the specific nature of the properties it relates, for example, whether they are distinct or not, it has been seen as a prima facie good candidate for a key feature of the relation between emergents and their subjacent base that can account for the distinctness and dependence of emergents while also adding the restriction of synchronicity. Jaegwon Kim (1999), James van Cleve (1990), Timothy O’Connor (1994), Brian McLaughlin (1997), David Chalmers (2006) and Paul Noordhof (2010) all take nomological strong supervenience to be a necessary feature of emergentism. (For present purposes, following Kim we can define strong supervenience thus: A-properties strongly supervene on B-properties if and only if for any possible worlds w1 and w2 and any individuals x in w1 and y in w2, if x in w1 is B-indiscernible from y in w2, then x in w1 is A-indiscernible from y in w2. Nomological supervenience restricts the range of possible worlds to those that conform to the natural laws).

However, not everyone agrees that the relation of strong supervenience is necessary for strong emergence. Some, like Crane (2001), argue that supervenience is not sufficient for emergence and other proponents of strong emergence have questioned that supervenience is even a necessary condition for emergence. For example, O’Connor (2000, 2003, O’Connor & Wong 2005) now supports a form of dynamical emergence which is causal and non-synchronic. A state of an entity is emergent, in this view, if it instantiates non-structural properties as a causal result of that object’s achieving a complex configuration. O’Connor’s view includes a strong notion of downward causation (and the denial of causal closure–roughly, the principle that all physical effects are entirely determined by, or have their chances entirely determined by, prior physical events) and the possibility that an emergent state can generate another emergent state.

Paul Humphreys (1996, 1997) has also offered an alternative account to supervenience-based emergence according to which emergence of properties is the diachronic result of fusion of lower-level properties, a phenomenon that Humphreys claims is common in the physical realm. That is, properties of the base are fused (thereby ceasing to exist) and give rise to new emergent properties with novel causal powers which are not made up of the old property instances—and, in this sense, the only real phenomenon is the emergent phenomenon. Humphreys offers as a paradigmatic example of such emergence quantum entanglement, in which a system can be in a definite state while its individual parts are not and in which the state of the system determines the states of its parts and not the other way around. It must be noted that Humphreys claims ignorance about whether this is what happens in the case of mental properties. Different formulations of non-supervenience-based emergence can be found in Silberstein and McGeever (1999) who have also argued for ontological emergence in quantum mechanics and, by extension, as a real feature of the natural world, as well as in Bickhard and Campbell’s (2000) “process model” of ontological emergence.

3. Objections to Emergentism

a. The Supervenience Argument

The most usually cited objection to strong emergence, initially formulated by Pepper (1926) and championed today by Jaegwon Kim (1999, 2005), concerns the novel (and downward) causal powers of emergent properties.

Kim’s formulation is based on three basic physicalist assumptions: (1) the principle of causal closure which Kim defines as the principle that if a physical event has a cause at t, then it has a physical cause at t, (2) the principle of causal exclusion according to which if an event e has a sufficient cause at t, no event at t distinct from c can be the cause of e (unless this is a genuine case of causal over-determination), and (3) supervenience. Kim defines mind/body supervenience as follows: mental properties strongly supervene on physical/biological properties, that is, if any system s instantiates a mental property M at t, there necessarily exists a physical property P such that s instantiates P at t, and necessarily anything instantiating P at any time instantiates M at any time.

The gist of the problem is the following. In order for emergent mental properties to have causal powers (and thus to exist, according to what Kim has coined “Alexander’s dictum”) there must be some form of mental causation. However, if this is the case, the principle of causal closure is violated and emergence is in danger of becoming an incoherent position. If mental (and therefore downward) causation is denied and thus causal closure retained, emergent properties become merely epiphenomenal and in this case their existence is threatened.

More specifically, the argument is as follows. According to mind-body supervenience, every time a mental property M is instantiated it supervenes on a physical property P. Now suppose M appears to cause another mental property M¹, the question arises whether the cause of M¹ is indeed M or whether it is M¹’s subvenient/subjacent base P¹ (since according to supervenience M¹ is instantiated by a physical property P¹). Given causal exclusion, it cannot be both, and so, given the supervenience relation, it seems that M¹ occurs because P¹ occurred. Therefore, Kim argues, it seems that M actually causes M¹ by causing the subjacent P¹ and that mental to mental (same level) causation presupposes mental to physical (downward) causation. [Another, more direct, way to put this problem is whether the effect of M is really M¹ or M¹’s subjacent base P¹. I chose an alternative formulation in order for the problem to be more clear to the non-expert reader.] However, Kim continues, given causal closure, P¹ must have a sufficient physical cause P. But given exclusion again, P¹ cannot have two sufficient causes, M and P, and so P is the real cause of P¹ because, if M were the real cause then causal closure would be violated again. Therefore, given supervenience, causal closure and causal exclusion, mental properties are merely epiphenomenal. The tension here for the emergentist, the objection goes, is in the double requirement of supervenience and downward causation in that, on the one hand, we have upward determination and the principle of causal closure of the physical domain, and, on the other hand, we have causally efficacious emergent phenomena. In other words, Kim claims that what seem to be cases of emergent causation are just epiphenomena because ultimately the only way to instantiate an emergent property is to instantiate its base. So, saying that higher level properties are causally efficacious renders any form of non-reductive physicalism, under which Kim includes emergentism, at least implausible and at most incoherent.

Note that this is an objection leveled against cases of strong emergence because in cases of weak emergence that do not make any claims of ontological novelty the causal inheritance principle is preserved—the emergents’ causal powers are inherited from the powers of their constitutive parts. For example, a flocking pattern of birds may affect the movement of the individual birds in it but that is nothing more than the effect of the aggregate of all the birds that make it up. Also, this argument applies to cases of supervenience-based emergence which retain base properties intact along with emergent properties, but accounts of emergence that are non-synchronic sidestep the problem of downward causation. So, Kim’s objection does not get off the ground as a retort to O’Connor’s dynamical emergence, Bickhard and Campbell’s process model, Silberstein and McGeever’s quantum mechanical emergence or Humphreys’ fusion emergence.

In the cases where this objection applies, there have been different responses.  Philosophers who want to retain causal closure while also retaining emergent properties have tried to give modified accounts of strong emergence that deny either downward causation or the requirement that emergent properties have novel causal powers. For example, Shoemaker (2001) believes that what must be denied is not the principle of causal closure but, instead, that emergent properties have novel causal powers (the appearance of which he elsewhere attributes to “micro-latent” powers of lower-level entities). This approach, however, is problematic, since it seems to be a requirement for robust strong emergence that emergent properties are not merely epiphenomenal. Another approach has recently been proposed by Cynthia and Graham Macdonald (2010) who attempt to preserve causal closure and to show that it is compatible with emergence by building a metaphysics in which events can co-instantiate in a single instance mental and physical properties thus allowing for mental properties to have causal effects (a view that Peter Wyss (2010) has correctly pointed out is in some respects reminiscent of Samuel Alexander’s). In this schema, the Macdonalds argue, property instances do not belong to different levels (though properties do) and so the problem of downward causation is resolved because, in effect, there is no downward causation in the sense assumed by Kim’s argument (and causal efficacy for emergent and mental properties is preserved, they argue, since if a property has causally efficacious instances that means that the property itself has causal powers). However this view will also seem unsatisfactory to the strong emergentist who wants to retain a robust notion of emergent properties and downward causation.

Other philosophers who want to retain strong emergence have opted for rejecting causal closure instead.  Such a line has been taken by Crane (2001), Hendry (2010) and Lowe (2000) who, however, subsequently offers an account of strong emergence compatible with causal closure (Lowe, 2003).

b. Do Cases of Genuine (Strong) Emergence Exist?

Kim’s supervenience argument is meant to question the very possibility of strongly emergent properties. However, even if strong emergence is possible, there is the further question of whether there are any actual cases of strong emergence in the world.

Brian McLaughlin (1992) who grants that the emergence of novel configurational forces is compatible with the laws of physics and that theories of emergence are coherent and consistent, has argued that there is “not a scintilla of evidence” that there are any real cases of strong emergence to be found in the world. This is a commonly cited objection to emergence readily espoused by reductive physicalists committed to the purely physical nature of all the phenomena that have at different times been called emergent and also raised by Mark Bedau who claims that though weak emergence is very common we have no evidence for cases of strong emergence.

Hempel and Oppenheim (1948) have argued that the unpredictability of emergent phenomena is theory-relative—that is, something is emergent only given the knowledge available at a given time—and does not reflect an ontological distinction. And Ernest Nagel (1960), agreeing that emergence is theory-relative, argued that it is a doctrine concerning “logical facts about formal relations between statements rather than any experimental or even ‘metaphysical’ facts about some allegedly ‘inherent’ traits of properties of objects.” According to these views, theoretical advance and accumulation of new knowledge will lead to the re-classification of what are today considered to be emergent phenomena, as happened with the case of life and chemical bonding of the British emergentists. However, though these objections can be construed as viable objections to some forms of weak emergence they fail to affect strong emergence (which was their target) because it is concerned with in principle unpredictability as a result of irreducibility.

Though this skepticism is shared by a few, some philosophers believe that though strong emergence may be rare, it does exist. Bickhard and Campbell (2000), Silvester and McGeever (1999) and Humphreys (1997) claim that ontological emergence can be found (at least) in quantum mechanics—an interesting proposal, and somewhat ironic given that it was advances in quantum physics in the early 20th century that was supposed to have struck the death blow to the British emergentist tradition. Predominantly, however, the usual candidates for strongly emergent properties are mental properties (phenomenal and/or intentional) that continue to resist any kind of reduction. Chalmers (2006)—because of the explanatory gap—considers consciousness to be the only possible intrinsically strongly emergent phenomenon in nature while O’Connor (2000) has argued that our experience of free will which is, in effect, macroscopic control of behavior, seems to be irreducible and hence strongly suggests that human agency may be strongly emergent. (Stephan (2010) also sees free will as a candidate for a strongly emergent property.)

Another line of response is taken by E. J. Lowe (2000) according to whom emergent mental causes could be in principle out of reach of the physiologist, and so it should not come as a surprise that physical science has not discovered them. Lowe argues that, even if we grant that every physical event has a sufficient immediate physical cause, it is plausible that a mental event could have caused the physical event to have that physical cause. That is not to say that the mental event caused the physical event that caused the physical effect; rather, the mental event linked the two physical events so the effect was jointly caused by a mental and a physical event. Such a case, Lowe argues, would be indistinguishable from the point of view of physiological science from a case in which causal closure held.

Following this line of thought it can be argued that though we do not have actual empirical proof that emergent properties exist, the right attitude to hold is to be open to the possibility of their existence. That is, given that there is no available physiological account of how mental states can cause physical states (or how they can be identical), while at the same time having everyday evidence that they do, as well as a plausible mental—psychological or folk psychological—explanation for it, we have independent grounds to believe that emergent properties could possibly exist.

4. References and Further Reading

  • Alexander, Samuel, Space, Time, and Deity. New York: Dover Publications, 1920.
  • Batterman, Robert W., “Emergence in Physics”. Routledge Encyclopedia of Philosophy Online.
  • Batterman, Robert W., The Devil in the Details: Asymptotic Reasoning in Explanation, Reduction, and Emergence. Oxford Studies in Philosophy of Science. Oxford, UK: Oxford University Press, 2001.
  • Bedau, Mark A. and Humphreys, Paul (eds.), Emergence: Contemporary Readings in Philosophy and Science. London, UK: MIT Press, 2007.
    • A collection of contemporary philosophical and scientific papers on emergence.
  • Bedau, Mark A. “Weak Emergence”, in J. Tomberlin (ed.) Philosophical Perspectives: Mind, Causation and World, vol.11.  Malden, MA: Blackwell, 1997. pp. 375-399.
  • Batterman, Robert W. “Is Weak Emergence Just in the Mind?” Minds and Machines 18, 2008: 443-459.
    • On weak emergence as computational irreducibility and explanatory incompressibility respectively.
  • Bickhard, M. & D.T. Campbell, “Emergence”, in P.B. Andersen, C. Emmerche, N. O. Finnemann & P. V. Christiansen (eds), Downward causation. Aarhus: Aarhus University Press, 2000.
  • Bickhard, M. and D.T. Campbell, “Physicalism, Emergence and Downward Causation” Axiomathes, October 2010.
    • On the “process model” of emergence.
  • Broad, C.D., The Mind and Its Place in Nature. London: Routledge and Kegan Paul, 1925.
    • The classical formulation of British emergentist tradition.
  • Bunge, Mario, “Emergence and the Mind”. Neuroscience 2, 1977: 501-509.
    • On “rational emergence,” a form of weak emergence.
  • Chalmers, David, “Strong and Weak Emergence”.  In P. Clayton and P. Davies, eds, The Re-emergence of Emergence Oxford: Oxford University Press, 2006.
    • On weak and strong emergence.
  • Clark, Andy, Being There: Putting Brain, Body, and World Together Again. Cambridge, MA: MIT Press, 1997.
  • Clark, Andy, Mindware: An Introduction to the Philosophy of Cognitive Science. Oxford and New York: Oxford University Press, 2001.
    • On the four types of weak emergence that Clark identifies in the cognitive sciences.
  • Crane, Tim, “Cosmic Hermeneutics vs. Emergence: The Challenge of the Explanatory Gap” in Emergence in Mind, eds. Cynthia Macdonald and Graham Macdonald. New York: Oxford University Press, 2010.
  • Crane, Tim, “The Significance of Emergence” in B. Loewer and G. Gillett (eds) Physicalism and Its Discontents. Cambridge, UK: Cambridge University Press, 2001.
    • On the relation of emergence to non-reductive physicalism, reduction and theexplanatory gap.
  • Hempel, Carl Gustav and Paul Oppenheim (1948), “Studies in the Logic of Explanation”, in Hempel, C. G. Aspects of Scientific Explanation. New York: Free Press, 1965.
    • An exposition of the objection that emergence is only theory relative and not a genuine phenomenon in nature.
  • Humphreys, Paul, “How Properties Emerge.” Philosophy of Science, 1997(a), 64: 1-17.
  • Humphreys, Paul, “Emergence, Not Supervenience.” Philosophy of Science, 1997(b), 64: 337-345.
    • On non-supervenience – based emergence as fusion of properties.
  • Hendry, Robin Findlay, “Emergence vs. Reduction in Chemistry” in Mcdonald & Mcdonald (2010).
    • Contains an argument against causal closure and for downward causation in chemistry in support of the position that emergentism is at least as supported by empirical evidence as non-reductive physicalism.
  • Kim, Jaegwon, “‘Downward Causation’ in Emergentism and Nonreductive Physicalism”, in Beckermann, Flohr, and Kim (eds), Emergence or Reduction? Essays on the Prospects of Nonreductive Physicalism. Berlin: Walter de Gruyter, 1992.
  • Kim, Jaegwon,“Making Sense of Emergence”. Philosophical Studies, 95, 1999: 3-36.
  • Kim, Jaegwon, Physicalism, or Something Near Enough.  Princeton and Oxford: Princeton University Press, 2005.
    • Contain analyses of non-reductive physicalism and emergence and a main source of criticism of these views, including the supervenience argument.
  • Lewes, George Henry. Problems of Life and Mind. Vol 2. London: Kegan Paul, Trench, Turbner, & Co., 1875.
      • Another of the historical texts of the British emergentist tradition in which the term “emergent” is coined.
  • Lowe, J., “Causal Closure Principles and Emergentism.” Philosophy, 75 (4), 2000.: 571-585.
  • Lowe, J., “Physical Causal Closure and the Invisibility of Mental Causation” in Sven Walter and Heinz-Dieter Heckmann (eds.) Physicalism and Mental Causation: The Metaphysics of Mind and Action. UK: Imprint Academic, 2003.
    • For an idea of what it could be like for there to be mental forces in principle out of reach of the physiologist yet also consistent with causal closure.
  • Macdonald, C. and G. Macdonald, eds., Emergence in Mind. New York: Oxford University Press, 2010.
    • A collection of philosophical essays on emergence covering a wide range of issues from explanation and reduction to free will and group agency.
  • McLaughlin, Brian P., “Emergence and Supervenience.” Intellectica, 2, 1997: 25-43.
  • McLaughlin, Brian P.,“The Rise and Fall of British Emergentism” in Beckerman, Flor and J.Kim (eds.), Emergence or Reduction? Berlin, Germany: Walter DeGruyter &Co., 1992.
    • The most comprehensive critical historical overview of British emergentism.
  • Mill, J.S., A System of Logic Ratiocinative and Inductive.  London: Longmans, Green and Co., 1930.
    • For Mill’s discussion of homopathic and heteropathic effects and laws that marked the beginning of the British emergentist tradition.
  • Mitchell, Sandra D., Unsimple Truths. Chicago and London: The University of Chicago Press, 2009.
    • A very good account of emergence in science.
  • Morgan, C.L., Emergent Evolution. London: Williams and Norgate, 1923.
  • Nagel, Ernest, The Structure of Science. London: Routledge & Kegan Paul, 1961.
    • On the objection that emergence is only theory relative.
  • Noordhof, Paul, “Emergent Causation and Property Causation” in Emergence in Mind, eds.  Cynthia Macdonald and Graham Macdonald, New York: Oxford University Press, 2010.
  • O’Connor, Timothy, “Causality, Mind and Free Will”. Philosophical Perspectives, 14, 2000: 105-117.
  • O’Connor, Timothy, “Emergent Individuals”. The Philosophical Quarterly, 53, 213, 2003: 540-555.
  • O’Connor, Timothy, Emergent Properties”. American Philosophical Quarterly, 31, 1994: 91-104.
  • O’Connor, Timothy,  & Hong Yu Wong, “The Metaphysics of Emergence”. Noûs 39, 4, 2005: 58–678.
    • In defense of strongly emergent properties.
  • Papineau, David, “Why Supervenience?” Analysis, 50, 2 (1990): 66-71.
  • Pepper, Stephen C., “Emergence”. Journal of Philosophy, 23, 1926: 241- 245.
    • The original formulation of the objection against downward causation.
  • Searle, J.R., The Rediscovery of Mind. Cambridge, Mass.: MIT Press, 1992.
    • Contains a philosophical discussion supporting a weak form of causal emergence for consciousness.
  • Shoemaker, S., “Realization and Mental Causation” in Physicalism and Its Discontents, Barry Loewer and Carl Gillett (eds.). Cambridge: Cambridge University Press, 2001: 74-98.
  • Silberstein, Michael and John McGeever, “The Search for Ontological Emergence”. The Philosophical Quarterly, 49, 1999: 182-200.
    • An account of strong emergence based on the relational holism of quantum states.
  • Sperry, R. W. “A Modified Concept of Consciousness” Psychological Review, 76, 6, 1969: 532-536
  • Sperry, R.W.  “Mind-Brain Interaction: Mentalism, Yes; Dualism, No”. Neuroscience, 5, 1980: 195-206.
    • An argument for the strong emergence of consciousness involving downward causation from a neuroscientist’s perspective.
  • Stephan, Achim, “Varieties of Emergentism.” Evolution and Cognition, 49, vol. 5, no.1, 1999: 49-59.
    • On different kinds of emergentism and how they relate.
  • Stephan, Achim, “An Emergentist’s Perspective on the Problem of Free Will” in Macdonald & Macdonald  (2010).
    • On free will as a strongly emergent property
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    • On a view of emergence as non-aggregativity that is compatible with reduction.
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Author Information

Elly Vintiadis
Email: evintus@gmail.com
Naval Staff and Command College
U. S. A.

Bernard Mandeville (1670—1733)

MdandevilleBernard Mandeville is primarily remembered for his impact on discussions of morality and economic theory in the early eighteenth century. His most noteworthy and notorious work is The Fable of the Bees, which triggered immense public criticism at the time. He had a particular influence on philosophers of the Scottish Enlightenment, most notably Francis Hutcheson, David Hume, Jean-Jacques Rousseau, and Adam Smith. The Fable’s overall influence on the fields of ethics and economics is, perhaps, one of the greatest and most provocative of all early-eighteenth century English works.

The controversy sparked by the Fable was over Mandeville’s proposal that vices, such as vanity and greed, result in publically beneficial results. Along the same lines, he proposed that many of the actions commonly thought to be virtuous were, instead, self-interested at their core and therefore vicious. He was a critic of moral systems that claimed humans had natural feelings of benevolence toward one another, and he instead focused attention on self-interested passions like pride and vanity that led to apparent acts of benevolence. This caused his readers to imagine him to be a cruder reincarnation of Thomas Hobbes, particularly as a proponent of egoism. What follows is an overview of Mandeville’s life and influence, paying specific attention to his impact on discussions of morality and economic theory.

Table of Contents

  1. Life
  2. The Fable of the Bees
  3. The Private Vice, Public Benefit Paradox
  4. The Egoist “Culprit”
  5. On Charity
  6. Influence on Economic Theory
  7. References and Further Reading
    1. Works by Mandeville
    2. Secondary Literature

1. Life

Mandeville was born in 1670 to a distinguished family in the Netherlands, either in or nearby Rotterdam. His father was a physician, as was his great-grandfather, a factor that, no doubt, influenced his own educational path in medicine at the University of Leyden, receiving his M.D. in 1691. He also held a baccalaureate in philosophy, and wrote his dissertation defending the Cartesian doctrine that animal bodies are mere automata because they lack immaterial souls.

Mandeville moved to England some time after the Glorious Revolution of 1688, and it was here he settled permanently, married, and had at least two children. His first published works in English were anonymous pieces in 1703 entitled The Pamphleteers: A Satyr and Some Fables after the Easie and Familiar Method of Monsieur de la Fontaine. In the first, Mandeville defends against those “pamphleteers” who were criticizing both the Glorious Revolution and the late King William III. In Some Fables, he translated twenty-seven of La Fontaine’s Fables, adding two of his own in the same comic style as employed in his later Grumbling Hive.

Although Dr. Mandeville supported his family through his work as a physician, he was also engaged in many literary-political activities. His political interests were not directly obvious until 1714 when he published a piece of political propaganda, The Mischiefs that Ought Justly to be Apprehended from a Whig-Government, which demonstrates his support for the Whig party. Throughout his life, he published numerous smaller works and essays, most of them containing harsh social criticism. Published in 1720, Free Thoughts on Religion, the Church and National Happiness was his final party political tract in which he endorses the advantages of Whig governance as well as advancing a skeptical view of the religious establishment and priestcraft.

Mandeville still continued to publish other provocative pieces, for example: A Modest Defence of Publick Stews (1724), containing controversial plans which would create public housing for prostitution. Within this piece he argued that the best societal solution was to legalize prostitution and regulate it under strict government supervision. Mandeville’s most notable and notorious work, however, was The Fable of the Bees; it began as an anonymous pamphlet of doggerel verse in 1705, entitled The Grumbling Hive: Or, Knaves Turn’d Honest. More is known of Mandeville’s writings than of his life, and so it is most useful to turn to The Fable for a further examination of his history.

2. The Fable of the Bees

It is rare that a poem finds its way into serious philosophical discussion, as The Grumbling Hive: or, Knaves Turn’d Honest has done. Written in the style of his previous fables, the 433-line poem served as the foundation for Mandeville’s principal work: The Fable of the Bees: or, Private Vices, Publick Benefits. The Fable grew over a period of twenty-four years, eventually reaching its final, sixth edition in 1729. In this work, Mandeville gives his analysis of how private vices result in public benefits like industry, employment and economic flourishing. Interpreted by his contemporaries as actively promoting vice as the singular explanation and precondition for a thriving economic society, this central analysis was the primary reason for Mandeville’s reputation as a scandalous libertine. This was a misreading of Mandeville’s position. Most of the work he later produced was either an expansion or defense of the Fable in the light of contemporary opposition.

The Grumbling Hive poem is a short piece, later published as just a section of the larger Fable, which was mostly comprised as a series of commentaries upon the 1705 poem. It immediately introduces its reader to a spacious and luxurious hive of bees. This hive was full of vice, “Yet the whole mass a paradise” (The Fable, Vol. I, pg. 31). The society flourished in many ways, but no trade was without dishonesty. Oddly, the worst cheats of the hive were those who complained most about this dishonesty and fraud so plaguing their society. Here the poem dramatically turns as “all the rogues cry’d brazenly, Good gods, had we but honesty!” (The Fable, Vol. I, pg. 33) Jove, the bees’ god, angrily rid the hive of all vice, but the results were catastrophic as the newly virtuous bees were no longer driven to compete with one another. As a result, industry collapsed, and the once flourishing society was destroyed in battle, leaving few bees remaining. These bees, to avoid the vices of ease and extravagance, flew into a hollow tree in a contented honesty.

The implication of the poem is clear for the beehive, but perhaps not for humanity: it seems paradoxical to suggest that a society is better when it promotes a culture characterized by private vice. However, it is precisely this paradox on which Mandeville draws to make his larger point. The “Moral” at the end of the poem claims, “Fools only strive To make a Great an’ honest Hive.”(The Fable, Vol. I, pg. 36) Mandeville thought the discontent over moral corruptness, or the private vice of society, was either hypocritical or incoherent, as such vice served an indispensable role in the economy by stimulating trade, industry and upward economic improvement i.e., public benefit. The desire to create a purely virtuous society was based on “a vain EUTOPIA seated in the Brain”: fancying that a nation can, with virtues like honesty, attain great wealth and success, when in fact it is the desire to improve one’s material condition in acts of self-indulgence that lies at the heart of economic productivity (The Fable, Vol. I, pg. 36).

The poem’s humorous ending demonstrates that vice can look surprisingly like virtue if implemented correctly. To Mandeville’s readers this was a deeply offensive conclusion to draw, and yet for almost twenty years his work went largely unnoticed. In 1714, Mandeville published the Fable of the Bees, presented as a series of “Remarks” offering an extended commentary upon the original “The Grumbling Hive”, and intended to explain and elucidate the meaning of the earlier poem. But the Fable initially garnered little attention. It was not until a second edition in 1723, featuring a new addition, “An Essay on Charity and Charity-Schools”, that Mandeville gained the notoriety that would make him infamous amongst his contemporaries. The 1723 edition soon prompted reproach from the public, and was even presented before the Grand Jury of Middlesex and there declared a public nuisance. The presentment of the Jury claimed that the Fable intended to disparage religion and virtue as detrimental to society, and to promote vice as a necessary component of a well-functioning state. Though never censored, the book and author achieved sudden disrepute, and the Fable found itself the subject of conversation amongst clergymen, journalists, and philosophers.

3. The Private Vice, Public Benefit Paradox

Rather than giving a lengthy argument proving that private vice can be useful, Mandeville illustrates in the Fable that vice can be disguised, and yet is necessary in the attainment of collective goods, thus resulting in a paradox of “private vices, public benefits”. For instance, and to take one of Mandeville’s central examples, pride is a vice, and yet without pride there would be no fashion industry, as individuals would lack the motivation to buy new and expensive clothes with which to try and impress their peers. If pride were eradicated tomorrow, the result would leave hundreds of companies bankrupt, prompt mass unemployment, risk the collapse of industry, and in turn devastate both the economic security and with it the military power of the British commercial state. Similarly, and on a smaller scale, without thieves there would be no locksmiths, without quarrels over property, no lawyers, and so on.

Crucially, however, Mandeville did not claim a paradox of private vice, public virtue. The “benefits” that arose from individually vicious actions were morally compromised due to their being rooted in private self-seeking- one of Mandeville’s starkest challenges to his contemporaries, and a point which makes his fundamental philosophical commitments difficult to interpret. It is still disputed as to what, exactly, Mandeville thought the relation between private vice and public benefit should be: was he merely holding up a mirror to a corrupt society, satirizing those who claimed commercial opulence was straightforwardly compatible with virtue? Or did he seriously believe that modern commercial states should abandon their luxurious comforts for austere self-denial, so as to escape the paradox he alleged? Whatever the case, his notoriety arose from placing the two together, a little too closely for most of his readers’ taste and comfort. Mandeville’s paradox alleged, unapologetically, the tendency of men to hide vices behind socially acceptable forms of behavior, thereby appearing virtuous.  On the one hand, Mandeville wished to imply that common sense views are not as reliant on common sense as they first appear: what looks like virtuous behavior may in fact be disguised selfishness. On the other, those who preach virtue may turn out to be deluded hypocrites: real virtue would mean the collapse of all the benefits that supervene on private vice. Chief amongst Mandeville’s targets was Anthony Ashley Cooper, Third Earl of Shaftesbury, who claimed that a large-scale flourishing commercial society was compatible with individuals securing virtue by engaging in rational self-restraint whilst enjoying the benefits of economic advancement. For Mandeville, this was incorrect and preposterous: society could be prosperous and based on private vices, or poor and based on private virtues- but not both.

4. The Egoist “Culprit”

Mandeville’s psychological examination of humankind, often perceived as cynical, is a large part of his genius and also his infamy. Much in keeping with the physician he was, it is fitting that he took on the task of diagnosing society in order to expose what he believed to be the true motives of humankind. Nonetheless, there was a religious component in Mandeville’s thought. His man was necessarily fallen man: capable only of pleasing himself, the individual human being was a postlapsarian creature, irredeemably selfish and greedy for its own private pleasure, at which it always aimed even if it hid such self-seeking behind more respectable facades (The Fable, Vol. I, pg. 348). Mandeville’s examination showed the ways in which people hid their real thoughts and motives behind a mask in order to fake sociability by not offending the selfish pride of their peers. Ironically, Mandeville’s own honesty led him into trouble: he boldly claimed vice was inevitably the foundation of a thriving society, insofar as all human beings had to act viciously because their status as selfish fallen men ensured that whatever displays they affected, at bottom selfishness always dictated their actions. All social virtues are evolved from self-love, which is at the core irredeemably vicious. Mandeville also challenged conventional moral terminology by taking a term like “vice” and showing that, despite its negative connotations, it was beneficial to society at large.

In its time, most responses to the Fable were designed as refutations (and understandably so, as few desired association with Mandeville’s central thesis) mainly focused on its analysis of the foundations of morality. To many, Mandeville was on par with Thomas Hobbes in promoting a doctrine of egoism which threatened to render all putative morality a function of morally-compromised selfishness. This accusation comes, in part, from “An Enquiry into the Origin of Moral Virtue” (1723) where Mandeville first proposes his theory of the skillful politician. Whether genuine theory, or more of Mandeville’s playful satirizing, the “Enquiry” was a provocative analysis designed to call into question contemporary notions of virtue. According to Mandeville, skillful politicians originally flattered the masses into believing that actions were vicious when done in order to gratify selfish passions, and virtuous when they were performed in contrast with immediate impulse of nature to acquire private pleasure, by instead suppressing this urge temporarily so as not to offend or harm others. But Mandeville’s central contention was that that no action was virtuous when inspired by selfish emotions. When men learned to temporarily suppress their urges for pleasure, they did not act from virtue. What they really did was find innovative ways to better secure their private pleasures, by engaging in forms of socially-sanctioned behavior they were flattered for- thus securing a more advanced form of pleasure than would be had by simply glorying over their peers in immediate displays of selfishness. Because he considered all natural human passions to be selfish, no action could be virtuous if it was done from a natural impulse which would itself be necessarily selfish. Accordingly, a human could not perform a virtuous act without some form of self-denial. Skillful politicians invented a sort of quasi-morality by which to control naturally selfish men- but because this involved the redirection of natural passion, not active self-denial, at root this was vice. The upshot of Mandeville’s vision was that excepting acts of Christian virtue assisted directly by God, all human actions were vicious and thus morally compromised. Unsurprisingly, this view of human nature was thought to be cynical and degrading, which is why he was often categorized with Hobbes, usually by critics of both, as a proponent of the serious egoist system denying the reality of moral distinctions.

Many critical reactions followed Mandeville’s depiction of humankind as selfish and unruly. He was often understood to deny the reality of virtue, with morality being merely the invention of skillful politicians in order to tame human passions. As Mandeville’s analysis of human nature developed throughout his life, he increasingly placed more emphasis on the peculiarity of human passions. His central estimation is that humankind is filled and predominantly governed by the passion of pride, and even when one seems to be acting contrarily, he or she is doing so out of some form of self-interest. He spends a considerable amount of time satirizing “polite” societies whose members imagine their actions to be entirely benevolent. Statements like “Pride and Vanity have built more Hospitals than all the Virtues together” are used to point out the real motives behind seemingly charitable actions (The Fable, Vol. 1, pg. 294). Pride is central to Mandeville’s analysis because it accounts for human actions performed in order to appear selfless to gain public honor, but which can be made into public benefits. It takes the central role in the skillful politician’s plan to socialize humanity through flattery, offering honor as an ever-renewable prize to anyone who would deny his or her immediate self-interest for the sake of another.

For Mandeville, one problem that arose from this account was over the exact role of skillful politicians in mankind’s societal development. How could it be, if men were only able to please themselves, that some (these skillful politicians) could know enough to control others by instigating a system of social virtues? The second volume of the Fable was written to elucidate difficulties such as these and to explain several things “that were obscure and only hinted at in the First.” (The Fable, Vol. II, pg. vi) To accomplish this task, he fashioned six dialogues between interlocutors Cleomenes, who was an advocate for the Fable, and Horatio, described as one who found great delight in Lord Shaftesbury’s writings. These dialogues provided, among other topics, an explanation of how humankind transitioned from its original state of unrestrained self-pleasing into a complex functioning society. Pride was still central to this analysis, but because of the intricacy and confusion behind such a word as pride, Mandeville introduced a helpful distinction between “self-love” and “self-liking”. Self-liking was identified as the cause of pride and shame and accounted for the human need to gain approval from others, whereas self-love referred to material needs of the body; he asserted that the seeds of politeness were lodged within self-love and self-liking.

In part, this distinction came as response to Joseph Butler who claimed that Mandeville’s version of psychological egoism fell apart upon application. By seeking to reduce the consequences that stemmed from Mandeville’s exposure of the hypocrisy of acting for public benefit, Butler argued the compatibility of self-love and benevolence. He did this by making self-love a general, not a particular passion and in doing so, he made the object of self-love happiness. Happiness, then, would be entirely in the interest of moral subjects. Butler held that self-love was compatible with benevolence because calculating long-term interests led to virtuous action. To Mandeville, however, this avoided the main point by failing to ask the central ethical question: how the distinction between moral and non-moral action can be made if moral acts are indistinguishable from self-interested ones. This second volume of the Fable dismisses many of Butler’s criticisms as ignorant, but Mandeville did realize that his notion of pride needed to be re-conceptualized because it was a loaded term and yet was central to his estimation. According to Mandeville, Butler’s error –leading him to claim Mandeville’s system collapsed incoherently– was failing to recognize that men first had to like themselves, but could only do so through other’s recognition and then approbation. Mandeville upheld that self-love is given to all for self-preservation, but we cannot love what we dislike and so we must genuinely like our own being. He alleged that nature caused us to value ourselves above our real worth and so in order to confirm the good opinions we have of ourselves, we flock together to have these notions affirmed. He wrote, “an untaught Man would desire every body that came near him, to agree with him in the Opinion of his superiour Worth, and be angry, as far as his Fear would let him, with all that should refuse it: He would be highly delighted with, and love every body, whom he thought to have a good Opinion of him” (The Fable, Vol. II, pg. 138-9). So, he thought even in an instance where a group of men was fully fed, within less than a half an hour self-liking would lead to a desire for superiority in some way, be it through strength, cunning, or some other grander quality.

Mandeville thought introducing the distinction between “self-liking” and “self-love” rectified confusions over the role of pride. Humans have a deeply rooted psychological need for approbation, and this can drive us to ensure we truly possess the qualities we admire in others. In fact, he claimed self-liking is so necessary to beings who indulge it that people can taste no pleasure without it. Mandeville gives an example of the extremities of this need­­ by claiming self-liking can even drive one to suicide if he or she fails to receive the approbation of others. Still, Mandeville maintains that because our motivation is for the pleasure of a good opinion of ourselves along with a good reputation, our achievement of virtuous character traits, even if genuinely desired, is not true virtue. The motivation is selfish and, consequently, not virtuous.

A large part of Mandeville’s later work focused on critiquing theorists like Berkeley, Law, and Shaftesbury. He particularly criticized Shaftesbury who claimed that human benevolence was natural and that men could act disinterestedly without regard to pride. Mandeville opposed the search for this objective standard of morality as being no better than “a Wild-Goose-Chace that is little to be depended on” (The Fable, Vol. I, p. 331). He thought that impressing upon people that they could be virtuous without self-denial would be a “vast inlet to hypocrisy,” not only deceiving everyone else, but also themselves (The Fable, Vol. I, p. 331). Mandeville aimed to show that, by using his own rigorous and austere standards of morality, his opponents had never performed a virtuous act in their lives; furthermore, if everyone must live up to these ideals, it would mean the collapse of modern society. Thus by alleging the difficulty of achieving virtue and the usefulness of vice, his paradox seemed to set a trap. Francis Hutcheson took up this debate in defense of Shaftesbury in order to establish an alternate account of human virtue to show how humanity could naturally be virtuous by acting from disinterested benevolence. He found the Fable’s outcome detestable in that it reduced societal virtue to passion and claimed this constituted a comprehensive system of sociability. Hutcheson considered a proper moralist to be one who promoted virtue by demonstrating that it is within one’s own best interest to act virtuously. He argued, by constructing his theory of the moral sense, that virtue was pleasurable and in complete accordance with one’s nature. Still, even with this radical departure from Mandeville’s conclusions, both undoubtedly agreed that reason could not sufficiently supply a standard for action: one must begin with an examination of human nature.

Other philosophers took the Fable in a less outraged and condemnatory fashion than Hutcheson. Instead of agreeing with Mandeville that self-interest negated moral worth and attempting to show that human action could be entirely disinterested, Hume agreed with substantial aspects of his basic analysis, but pointed out that if good things result from vice, then there is something deeply incorrect in retaining the terminology of vice after all. Hume considered Hutcheson’s conclusion— that we give our approvals because we are pleased naturally by the actions we find virtuous— to be incorrect. Hume noted, much like Mandeville, that our sense of duty or morality solely occurs in civilization, and he aligns himself more closely with Mandeville than Hutcheson when accounting for human sociability.

It is, perhaps, through Jean-Jacques Rousseau that Mandeville’s naturalistic account of human sociability found its most important messenger. In 1756, Adam Smith, in his review of Rousseau’s Discourse on the Origins of Inequality remarked how Mandeville’s second volume of the Fable gave occasion to Rousseau’s system. Rousseau and Mandeville both deny the natural sociability of man and equally stress the gradual evolution of society. For Rousseau, mankind was endowed with pity, or a “natural repugnance at seeing any other sensible being and particularly any of our own species, suffer pain or death” (Discourse on the Origins of Inequality). This pity or compassion plays a large part in modifying amour de soi-même (self-respect) and making it humane. He saw this passion as a natural and acknowledged that Mandeville agreed. What Mandeville failed to see, thought Rousseau, was that from this pity came all of the other societal virtues.

Smith was also influenced by Mandeville, but likewise disagreed with the supposition that people are wholly selfish, and his Theory of Moral Sentiments spends considerable time debunking the positions of Hobbes and Mandeville accordingly. Smith was able to circumvent this purely self-interested account by drawing on the role of sympathy. He supposed the whole account of self-interest as found in Hobbes’s and Mandeville’s systems caused such commotion in the world because of misapprehensions on the role of sympathy. Smith determined that an operational system of morals was partly based on its capacity to account for a good theory of fellow feeling. So, for example, Mandeville claimed that one’s motivation to help a beggar on the streets would stem from passions like pity that govern humankind: to walk away from someone in need would raise pity within one’s self in such way as to cause psychological harm, and therefore any help given would be performed in order to relieve the unease of seeing another in suffering.

Smith also considered Mandeville’s claim that humans only associated with one another to receive pleasure from the esteem they sought. While Smith did not wholly accept this, they both agreed about the enticing nature of public praise and that it can, at times, be a more powerful desire than accumulation of money. Smith responds directly to Mandeville on this point in the Theory of Moral Sentiments, paying particular attention to Mandeville’s account of the role of pride. Smith rejects Mandeville’s contention that all public spirit and self-sacrifice are merely clever ways to receive the praise of society. He gets around this by drawing a distinction between the desire to become praise-worthy, which is not vice, and the desire of frivolous praise for anything whatsoever. He claims there is a tricky similarity between the two that has been exaggerated by Mandeville, but the distinction is made by separating vanity from the love of true glory. Both are passions, but one is reasonable while the other is ridiculous. Significantly, though, Smith never lays to rest the importance of motivation to one’s overall actions and acknowledges how there are alternate motivations to act which employ both the role of sympathy and self-interest, e.g., one may donate out of some true feeling from sympathy, all the while knowing the move is socially advantageous. Smith gives some praise to Mandeville’s licentious system, because even though it was ultimately incorrect, it could not have made so much noise in the world if it had not, in some way, bordered upon truth. Smith noted it was because of Mandeville’s clever, yet misplaced analysis of human nature that people began to feel the connection between economic activity and human desire.

5. On Charity

In Mandeville’s “Vindication” of the Fable, he proposed that the reason for its sudden popularity may have been his “An Essay on Charity and Charity-Schools” (1723). In this essay Mandeville took his theory from fable to applied social criticism as he claimed that charity is often mistook for pity and compassion. Pity and compassion, as opposed to charity, can be traced back to a desire to think well of one’s self. This “charity”, then, would not be virtuous action but vicious, and therefore worthy of examination. To say Mandeville was unpopular for writing against the formation of charity schools would be an understatement: charity schools were highly regarded and were the most popular form of benevolence in eighteenth-century England. Initiated near the end of the seventeenth century, they were the predominant form of education for the poor. Donning a charitable temperature, these schools provided ways to impose virtuous qualities into the minds of poor children. The common attitude toward these children was rather derogatory and often depicted them as “rough” because they came from pickpockets, idlers and beggars of society. The curriculum within charity schools was overtly religious, attempting to instill moral and religious habits so as to turn these children into polite members of society.

Bernard Mandeville opposed the formation of charity schools, and while his disagreement may seem harsh, it is a practical example of the kind of hypocrisy he contested. Mandeville challenged the use of the word “charity” in description of these schools, and claimed that they were formed not out of the virtue of charity, but out of the passion of pity. To him, passions like pity are acted upon to relieve one’s own self the unease of seeing another in suffering. He explains that, in order for an action to be virtuous, there must not be an impure motive. Acts performed on behalf of friends and family, or done in order to gain honor and public respect could not be charitable. If charity were reducible to pity, then charity itself would be an undiscriminating universal passion and be of no use to society. To him, charity schools were simply clever manifestations of pride. Beginning the essay with his own rigid definition of charity, Mandeville clearly intended to show that these schools were not worthy to be so entitled.

Mandeville argued pity and compassion were accounted for by human passions, and noted, that though it may seem odd, we are controlled by self-love that drives us to relieve these feelings. He drew a sketch of self-love and pity working together with his beggar example. Imagine a beggar on the streets appeals to you by explaining his situation, showing off his wound in need of medical attention, and then implores you to show virtue for Jesus Christ’s sake by giving him some money. His image raises within you a sense of pity, and you feel compelled to give him money. Mandeville claimed the beggar is a master in this art of capturing pity and makes his marks buy their peace. It is our self-love alone that motivates us to give money to this beggar, which cannot constitute an act of charity.

The part of the “Essay” that would have been truly offensive to those in Mandeville’s time comes when he turns accusations of villainy not to so-called objects of charity but to people with wealth and education. He attacks those of good reputation and claims that the reason they have this good reputation is that they have hidden their private vice behind public benefit. He compared charity schools to a vogue in the fashion of hooped petticoats, and pointed out no reason could be given for either. Moreover, he considered these schools to be pernicious, as they would weaken the established social hierarchies on which the British state depended. Charity schools were fashionable to support, but beyond this, Mandeville found little reason for their continuation.

Mandeville disagreed with the entire motivation behind charity schools, seeing them as nothing but a system where men he most opposed could impart their views onto following generations. Mandeville thought, as was common in his day, that people were born into their life stations and should seek to be content within them. He still considered charity to be necessary at times because the helpless should be looked after, but he believed the model of charity schools would only ever promote laziness in society. This view becomes less cynical when considering his support of economic activity as a solution. Mandeville approved of the growing industry and he saw economic advancements as necessary pieces to advancing civilization because standards were being raised, for example: today’s poor were living like yesterday’s rich. He alleged that British prosperity depended, in part, on exploiting the laboring poor, and so it was not the economic advancement he challenged, but rather the hypocrisy of individuals who thought that by their public benefit, they were advancing society. These citizens were acting out of self-love not charity, and if this could be realized, then instances like charity schools could be given over to the critical examination Mandeville thought they deserved.

6. Influence on Economic Theory

Mandeville’s defense of luxury stands amidst the forefront of economic discussions in the eighteenth century. While he charged that a state founded on selfishness is corrupt, he also showed that society must be based upon that selfishness and that no state can be great without embracing luxury. His argument that luxury was harmless to social (if not personal, spiritual) prosperity and necessary for economic flourishing flew in the face of traditional ascetic moral codes embedded in certain Christian teaching, as well as earlier republican political theory which claimed that luxury rendered a population impotent and corrupted individuals, leading to the internal decay of the polity and its vulnerability to external conquest.

Mandeville’s most prevalent influence on economic theory was through Adam Smith. Both of them by and large supported market-based systems of free resource allocation. Mandeville’s commanding point, which could not be ignored by future economists, was that without indulgence there would be little, if any, consumer spending. Mandeville certainly influenced Smith’s economic thought, as Smith picks up the private vice, public benefit paradox in order to claim that one of the original principles in human nature is to barter and trade for private advantage, which then propels commercial society forward resulting in economic advancement and prosperity. This paradox raised the question of whether self-interested action was vicious, and further proposed that by attending to one’s own needs, one could actually contribute to society in positive ways. In his Wealth of Nations, Smith borrowed largely from Mandeville’s earlier position on the usefulness of self-interested behavior, though he denied the scandalous implications Mandeville provided. It is speculated as to whether Smith inherited his invisible hand notion from the paradox Mandeville presented–although the phrase was never explicitly mentioned in Mandeville’s writing– because Smith mentions the invisible hand when he provides an example of unintended public interest brought about by intending one’s own gain. Influence is also found in the division of labor theory, which was one of Smith’s tenets of modern economic thought.

Most notably, Mandeville’s work contains the genealogical origins of laissez-faire economic theory- in particular as put forward by Friedrich von Hayek, one of the Fable’s keenest twentieth-century admirers. The similarity lies in Mandeville’s claim that self-seeking individuals will interact in mutually beneficial ways without being coordinated from above, while a natural check on their interactions will result in public benefit as the outcome. Interference with this self-seeking will pervert the balance- as alleged in the conclusion of the Grumbling Hive. Because of this notion of order emerging through voluntarily, unregulated activities, Hayek credits Mandeville as being one of the first to put forward the concept of “spontaneous order”. Using the same sort of language, Mandeville remarked, “how the short-sighted Wisdom, of perhaps well-meaning People, may rob us of a Felicity, that would flow spontaneously from the Nature of every large Society, if none were to divert or interrupt the Stream” (The Fable, Vol. II, p. 427). Hayek argued that instead of solely viewing Mandeville through the lens of a moral philosopher, we should see him as a great psychologist who may not have contributed much by way of answers, but certainly asked the right questions using an evolutionary approach to understand society. Hayek even goes so far as to claim that Darwin, in many respects, is the culmination of a development Mandeville started more than any other single person. This approach– rather than assuming society was the product of planning and conscious design by elites– helped spark new empirical explorations. Mandeville saw the sociability of man as arising from two things: the many desires he has, and the opposition met while attempting to satisfy these desires. He brings to the foreground the beneficial effects of luxury, and this was part of what interested John Maynard Keynes. In his General Theory, Keynes cited Mandeville as a source for his position in emphasizing the positive effects of consumption (aggregate demand). This stood in opposition to classical economics who held up production (aggregate supply) as the motor of economic growth.

While there was no systematic formulation of laissez-faire theory in Mandeville’s writing, it was an important literary source for the doctrine, namely, its analysis of human selfishness and the societal benefits ironically and unintentionally stemming therefrom. It is precisely through these attempts to reconcile the paradox of private vices, public benefits that we find some of the first leanings toward a modern utilitarian attitude. Accordingly, Mandeville is thought to be one its most fundamental and early philosophical influences, as transmitted in particular by David Hume and Adam Smith to Jeremy Bentham and then John Stuart Mill.

7. References and Further Reading

Bernard Mandeville was an outspoken and controversial author and an equally interesting character. He claims that he wrote mostly for his own entertainment, but the vast number of essays, poems, and stories he composed should, perhaps, be allowed to speak for themselves. The best modern edition and collection of Mandeville’s work is F.B. Kaye’s The Fable of the Bees. The textual references throughout the article were from Kaye’s Fable through the Online Library of Liberty (1988). The following list of Mandeville’s work is adapted from and indebted to Kaye’s own work on Bernard Mandeville.

a. Works by Mandeville

  • Bernandi a Mandeville de Medicina Oratorio Scholastica. Rotterdam: Typis Regneri Leers, 1685.
  • Disputatio Philosophica de Brutorum Operationibus. Leyden: Apud Abrahamum Elzevier, Academiae Typograph, 1689.
  • Disputatio Medica Inauguralis de Chylosi Vitiata. Leyden: Apud Abrahamum Elzevier, Academiae Typograph, 1691.
  • The Pamphleteers: A Satyr. London, 1703.
  • Some Fables after the Easie and Familiar Method of Monsieur de la Fontaine. London, 1703.
  • Aesop Dress’d; or a Collection of Fables Writ in Familiar Verse. By B. Mandeville, M.D. London: Printed for Richard Wellington, 1704.
  • Typhon: or The Wars Between the Gods and Giants; A Burlesque Poem in Imitation of the Comical Mons. Scarron. London: Printed for J. Pero & S. Illidge, and sold by J. Nutt, 1704.
  • The Grumbling Hive: or, Knaves Turn’d Honest. London: Printed for Sam. Ballard and sold by A. Baldwin, 1705.
  •  The Virgin Unmask’d: or, Female Dialogues Betwixt an Elderly Maiden Lady, and Her Niece, On Several Diverting Discourses on Love, Marriage, Memoirs, and Morals of the Times. London: Sold by J. Morphew & J. Woodward, 1709.
  • A Treatise of the Hypochondriack and Hysterick Passions, Vulgarly call’d the Hypo in Men and Vapours in Women… By B. de Mandeville, M.D. London: Printed for the author, D. Leach, W. Taylor & J. Woodward, 1711.
  • Wishes to a Godson, with Other Miscellany Poems, By B.M. London: Printed for J. Baker, 1712.
  • The Fable of the Bees: or, Private Vices, Publick Benefits. London: Printed for J. Roberts, 1714.
  • The Mischiefs that Ought Justly to be Apprehended from a Whig-Government. London: Printed for J. Roberts, 1714.
  • Free Thoughts on Religion, the Church and National Happiness, By B.M. London: Sold by T. Jauncy & J. Roberts, 1720.
  • A Modest Defence of Publick Stews… by a Layman. London: Printed by A. Moore, 1724.
  • An Enquiry into the Cause of the Frequent Executions at Tyburn… by B. Mandeville, M.D. London: Sold by J. Roberts, 1725.
  • The Fable of the Bees. Part II. By the Author of the First. London: Sold by J. Roberts, 1729.
  • An Enquiry into the Origin of Honour, and the Usefulness of Christianity in War. By the Author of the Fable of the Bees. London: Printed for J. Brotherton, 1732.
  • A Letter to Dion, Occasion’d by his Book call’d Alciphron or The Minute Philosopher. By the Author of the Fable of the Bees. London: Sold by J. Roberts, 1732.

b. Secondary Literature

  • Cook, H. J. “Bernard Mandeville and the Therapy of ‘The Clever Politician’” Journal of the History of Ideas 60 (1999): 101-124.
    • On the clever politicians’ manipulation of people’s passions to make politics run smoothly.
  • Goldsmith, M.M. Private Vices, Public Benefits: Bernard Mandeville’s Social and Political Thought. Christchurch, New Zealand: Cybereditions Corporation, 2001.
    • A helpful monograph of Mandeville’s ideas placed in context of eighteenth-century England’s political atmosphere.
  • Hayek, F.A. The Trend of Economic Thinking: Essays on Political Economists and Economic History Volume III. Taylor & Francis e-Library, 2005.
    • See Hayek’s chapter 6 devoted to what he sees as two important Mandevillean contributions to the history of economics.
  • Heath, E. “Mandeville’s Bewitching Engine of Praise” History of Philosophy Quarterly 15 (1998): 205-226.
    • Offers Mandeville’s account of human nature and how government arises from a state of nature. Also depicts Mandeville as one of the first defenders of commercial modernity.
  • Hont, I. “The early Enlightenment debate on commerce and luxury” The Cambridge History of Eighteenth-Century Political Thought. 1st ed. Cambridge: Cambridge University Press (2006): 377-418.
    • See especially pages 387-395 for a discussion of Mandeville’s place in the luxury debate.
  • Hundert, E.J. The Enlightenment’s Fable: Bernard Mandeville and the Discovery of Society. Cambridge: Cambridge University Press, 1994.
    • A comprehensive book which examines the strategies of Mandeville’s ideas and sources and how they lent to his eighteenth-century influence.
  • Hundert, E.J. The Fable of the Bees: And Other Writings. Indianapolis: Hackett Publishing Company, Inc., 1997.
    • An anthology with a wonderful, short introduction to Mandeville.
  • Jones, M.G. The Charity School Movement: A Study of Eighteenth Century Puritanism in Action. Cambridge: Cambridge University Press, 1938.
    • A valuable study, especially helpful in understanding the context of Mandeville’s “An Essay on Charity and Charity-Schools”.
  • Kaye, F.B. Commentary and Introduction to The Fable of the Bees, 2 Volumes. Oxford: Clarendon Press, 1924.
    • The best modern edition and collection of The Fable along with an introduction to Mandeville’s work.
  • Kaye, F.B. “The Writings of Bernard Mandeville: A Bibliographical Survey” The Journal of English and Germanic Philology 20 (1921): 419-467.
    • A scholarly survey of Mandeville’s writings.
  • Kerkhof, B. “A fatal attraction? Smith’s ‘Theory of moral sentiments’ and Mandeville’s ‘Fable’” History of Political Thought 16 no. 2 (1995): 219-233
    • A helpful article on Mandeville’s distinction between “self-liking” and “self-love”
  • Malcom, J. “One State of Nature: Mandeville and Rousseau” Journal of the History of Ideas 39 no. 1 (1978): 119-124.
    • A piece exploring the similarities between Mandeville and Rousseau’s state of nature and process of human sociability.
  • Primer, I. (ed.), Mandeville Studies: New Explorations in the Art and Thought of Dr. Bernard Mandeville (1670-1733). The Hague: Nijhoff, 1975.
    • A collection of various articles, including pieces on some of Mandeville’s minor writings and his relation to specific writers, such as: Defoe, Shaftesbury and Voltaire.
  • Primer, I. The Fable of the Bees Or Private Vices, Publick Benefits. New York: Capricorn Books, 1962.
    • A helpful edited edition good for a basic overview of Mandeville’s thought- complete with an introduction.
  • Runciman, D. Political Hypocrisy: The Mask of Power, from Hobbes to Orwell and Beyond. Princeton: Princeton University Press, 2008.
    • In chapter 2 the author proposes two types of hypocrisy present in Mandeville’s analysis and demonstrates how, to Mandeville, certain kinds of hypocrisy are necessary whilst others are detestable.
  • Welchman, J. “Who Rebutted Bernard Mandeville?” History of Philosophy Quarterly 24 No. 1 (2007): 57-74.
    • On Mandeville and some of his moral interlocutors. It presents several attempts to rebut Mandeville made by Hutcheson, Butler, Berkeley, Hume, and Smith.

Author Information

Phyllis Vandenberg
Email: vandenbp@gvsu.edu
Grand Valley State University
U. S. A.

and

Abigail DeHart
Email: dehartab@mail.gvsu.edu
Grand Valley State University
U. S. A.